CSS 2015

Candidate
Name :

FOUZIA NOUREEN

Roll No:

21644

CNIC:

38403-9136149-2
COMPULSORY SUBJECTS
Subject

Total Marks Passing Marks

Marks
Total Marks Accepted
Obtained

Essay

100

40

26

26

00

English

100

40

58

58

58

General Knowledge

300

120

GK1 (Everyday Science)

100

51

GK2 (Current Affairs)

100

53

GK3 (Pakistan Affairs)

100

50

154

154

Islamiat

100

53

53

53

40

OPTIONAL SUBJECTS
Subject

Total Marks Passing Marks

Public Administration

100

33

Geography

200

66

Marks
Total Marks Accepted
Obtained
68

Paper A

71

Paper B

57

Psychology including
Experimental psychology

200

68

68

128

128

66

Paper A

60

Paper B

36

96

96

72

72

72

Punjabi

100
Total Marks

33

629

Table of Contents

CHAPTER

1........................................................................................................... 23

Criminology.............................................................................................................. 23
WHAT IS CRIMINOLOGY?........................................................................................... 24
Criminology and Criminal Justice.............................................................................. 24
Criminology and Deviance........................................................................................ 25
A BRIEF HISTORY OF CRIMINOLOGY..........................................................................26
CONCEPT SUMMARY................................................................................................. 26
Criminal Justice......................................................................................................... 26
Overlapping Areas of Concern.................................................................................. 27
Deviance.................................................................................................................. 27
Overlapping Areas of Concern.................................................................................. 27
Classical Criminology................................................................................................ 27
Nineteenth-Century Positivism................................................................................. 28
SOCIAL POSITIVISM................................................................................................... 30
The Foundations of Sociological Criminology............................................................30
MILE DURKHEIMA.................................................................................................... 31
The Development of Sociological Criminology..........................................................31
The Roots of Conflict Criminology............................................................................. 32
THE CRIMINOLOGICAL ENTERPRISE..........................................................................33
Criminological Perspectives...................................................................................... 34
Biological /Psychological Perspective.......................................................................34
Criminal Statistics..................................................................................................... 35
The Sociology of Law................................................................................................ 36
Theory Construction................................................................................................. 36
Criminal Behavior Systems....................................................................................... 37
Penology................................................................................................................... 37
Recent research by Samuel Gross and his colleagues..............................................37
Victim logy................................................................................................................ 37
Comparative Criminology......................................................................................... 38
International Crime Trends....................................................................................... 38
HOW CRIMINOLOGISTS VIEW CRIME.........................................................................39
Why the Change?..................................................................................................... 40
Critical Thinking........................................................................................................ 40

The Consensus View of Crime..................................................................................40

SOCIAL HARM........................................................................................................... 41
The Conflict View of Crime....................................................................................... 41
The Definition of Crime............................................................................................. 43
Defining Crime.......................................................................................................... 43
CRIME AND THE CRIMINAL LAW................................................................................ 44
Common Law............................................................................................................ 45
Contemporary Criminal Law..................................................................................... 45
The Evolution of Criminal Law..................................................................................46
Common-Law Crimes................................................................................................ 47
Crimes against the Person........................................................................................ 47
Inchoate (Incomplete) Offenses................................................................................ 48
Crimes against Property........................................................................................... 48
ETHICAL ISSUES IN CRIMINOLOGY............................................................................48
WHAT TO STUDY?..................................................................................................... 49
The Criminological Enterprise................................................................................... 50
The Elements of Criminal Law..................................................................................50
Actus Reus................................................................................................................ 50
Mens Rea................................................................................................................. 51
WHOM TO STUDY?.................................................................................................... 51
Strict Liability........................................................................................................... 51
Critical Thinking........................................................................................................ 52
HOW TO STUDY?....................................................................................................... 53
SUMMARY................................................................................................................. 53
Thinking like a Criminologist..................................................................................... 54
CRITICAL THINKING QUESTIONS............................................................................... 54
Typologies................................................................................................................. 55
CHAPTER II: Understanding Criminology.................................................................56
Criminology and its Scope........................................................................................ 56
Meaning and Definition of Criminology.....................................................................57
Nature of Criminology............................................................................................... 58
Scope of Criminology................................................................................................ 58
The Viewpoint of Elliot and Merrill............................................................................ 59

Crime as social problem........................................................................................... 59

Causes of Crime....................................................................................................... 60
Deviance (sociology)................................................................................................ 61
CRIME A Social problems in Pakistan........................................................................61
Major Sins in Islam.................................................................................................... 63
Minor Sins in Islam................................................................................................... 63
Repentance and Forgiveness.................................................................................... 63
Vice.......................................................................................................................... 67
The opposite of vice is virtue.................................................................................... 67
Difference between Norms and Values of Society....................................................67
Culture: Values, Norms & Material Objects...............................................................68
Culture: Values, Norms Overview.............................................................................68
Sociological Approaches to Cultural Study...............................................................69
Values....................................................................................................................... 69
Norms....................................................................................................................... 70
Types of Norms......................................................................................................... 70
Entering the Century of the Environment: A New Social Contract for Science.........71
GLOBAL CHANGES AND THEIR CAUSES....................................................................73
CHANGES FOR ECOSYSTEM SERVICES AND HUMANITY............................................74
REDEFINING THE ENVIRONMENT.............................................................................. 76
Human health........................................................................................................... 76
The economy............................................................................................................ 77
Social justice............................................................................................................ 78
National security...................................................................................................... 78
Summary.................................................................................................................. 79
THE ROLES OF SCIENCE............................................................................................ 79
The roles of science............................................................................................... 81
A NEW SOCIAL CONTRACT FOR SCIENCE..................................................................81
CHAPTER III : Crime and Criminals............................................................................84
Organized crime, corporate crimes..........................................................................84
Definition.................................................................................................................. 84
TYPES OF WHITE COLLAR CRIME..............................................................................85
TYPES OF WHITE COLLAR SCHEMES.........................................................................88

State-corporate crime.............................................................................................. 91
Organized Crime....................................................................................................... 91
Organized Crime....................................................................................................... 92
Mafia-membership law............................................................................................. 93
Illegal gambling businesses...................................................................................... 94
Federal Bureau of Investigation laws........................................................................94
Effectiveness of organized crime prosecution..........................................................94
A Sociological Look at Crime.................................................................................... 95
What Are the Different Types of Crimes?..................................................................95
What Are The Different Levels of Seriousness for Different Crimes?........................96
THE OCCASIONAL CRIMINALS................................................................................... 97
Types of Crimes........................................................................................................ 97
The occasional criminals........................................................................................ 100
Occasional criminals or criminaloids......................................................................101
The habitual criminal.............................................................................................. 101
PROFESSIONAL THIEVES AND PROFESSIONAL "HEAVY CRIMINALS.......................102
PROFESSIONAL FRINGE VIOLATORS....................................................................102
PROFESSIONAL THIEVES......................................................................................... 103
PROFESSIONAL "HEAVY CRIMINALS.......................................................................103
PROFESSIONAL "FRINGE VIOLATORS....................................................................104
WHITE COLLAR CRIMINALS..................................................................................... 104
WHITE COLLAR CRIMINALS..................................................................................... 105
White Collar Crime................................................................................................. 106
Common Types of Offenses.................................................................................... 106
Dealing with an Investigation.................................................................................106
CORPORATE CRIME................................................................................................. 108
Types of corporate crimes...................................................................................... 108
CORPORATE VIOLENCE........................................................................................... 108
ECONOMIC CORPORATE CRIMES............................................................................. 109
CHAPTER IV (SEE CHAPTER I also) Crime and Criminality: Theoretical Perspectives
............................................................................................................................... 110
Early explanation of criminal behavior...................................................................110
Biological Theories; Psychological Theories; Sociological Theories........................111
Biological theories.................................................................................................. 111
5

Psychological theories............................................................................................ 112

Sociological theories............................................................................................... 113
Radical criminological theories............................................................................114
Social-structural-strain theories.............................................................................. 114
Finally, ecological theories..................................................................................... 114
A non-Western view: China..................................................................................... 114
Trends..................................................................................................................... 115
Social Disorganization theory.................................................................................115
Background............................................................................................................ 115
STRAIN THEORIES OF CRIME................................................................................... 118
MERTON'S STRAIN THEORY..................................................................................... 119
COHEN'S STRAIN THEORY....................................................................................... 122
CLOWARD AND OHLIN'S STRAIN THEORY...............................................................123
AGNEW'S STRAIN THEORY...................................................................................... 125
Agnews Three Major Types of Deviance-Producing Strain...................................125
Failure to Achieve Positively Valued Goals ...........................................................126
Removal of Positively Valued Stimuli......................................................................126
Confrontation with Negative Stimuli.......................................................................126
MESSNER AND ROSENFELD'S STRAIN THEORY.......................................................128
FUTURE DIRECTIONS OF STRAIN THEORY...............................................................128
Strain theory, developed by Robert K. Merton........................................................130
MERTON'S STRAIN THEORY..................................................................................... 131
Social Control theory.............................................................................................. 133
Learning theory...................................................................................................... 133
Islamic perspective on deviance and crime............................................................134
1. Introduction........................................................................................................ 135
2. Comparison of Crime Statistics..........................................................................135
Type of offence Islamic Non-Islamic Countries........................................................136
3. Islam: Submission to God...................................................................................138
3.1. Articles of Faith................................................................................................ 138
3.2. The Rituals of Islam......................................................................................... 140
4. Shura or Islamic Law.......................................................................................... 141
Islamic jurists generally classify all actions into five categories,............................141

4.1. The Penal Law of Islam.................................................................................... 143

6. Conclusion.......................................................................................................... 147
Chapter V: Juvenile Delinquency Meaning, definitions (Behavioral Vs Legal), Juvenile
delinquent Vs status offender, Official statistics of juvenile delinquency...............148
Definition of JUVENILE DELINQUENCY.....................................................................148
Juvenile delinquency, also known as "juvenile offending",.....................................148
Causes of Juvenile Crime in Pakistan......................................................................149
Pakistan: Protection of juveniles in the criminal justice system remains inadequate
............................................................................................................................... 150
1. Introduction........................................................................................................ 150
2. Implementation of the JJSO.................................................................................152
Rights and freedoms of children.............................................................................153
Failings in the implementation of the JJSO..............................................................154
Islam is the Solution............................................................................................... 158
Child Delinquency: Early Intervention and Prevention............................................159
Concluding Remarks............................................................................................... 159
Juvenile Delinquents vs. Status Offenders..............................................................160
BACKGROUND ON STATUS OFFENDERS by: Lawrence K. Furbish, Director.............161
SUMMARY............................................................................................................... 161
STATUS OFFENSES.................................................................................................. 162
JUDICIAL PROCESS AND INCARCERATION...............................................................162
RULES GOVERNING CUSTODY.................................................................................163
JUVENILE STATUS OFFENSES: FACT SHEET.............................................................164
Detention................................................................................................................ 166
CHAPTER VI: Juvenile Justice System......................................................................168
Juvenile justice system Pakistan...........................................................................168
Approaches and Strategies..................................................................................... 169
Recommendations.................................................................................................. 169
Legal Reform.......................................................................................................... 170
Punjab.................................................................................................................... 170
Khyber Pakhtunkhwa.............................................................................................. 171
Sindh...................................................................................................................... 172
Balochistan............................................................................................................. 173
Role of a Police Officer............................................................................................ 173
7

Status Offenses...................................................................................................... 174

Education............................................................................................................... 174
Training................................................................................................................... 175
Juvenile Court Sentencing Options.........................................................................175
Incarcerating Juvenile Delinquents.........................................................................175
Juvenile Court: An Overview................................................................................... 177
What Is Juvenile Court?........................................................................................... 177
Eligibility for Juvenile Court.................................................................................... 177
Cases Heard in Juvenile Court................................................................................177
Sentencing Options for Juvenile Delinquents..........................................................179
Penalties for juvenile offenders.............................................................................. 179
Pre trial, trial and sentencing, ROLE OF PROSECUTOR, Defence counsel...............180
ROLE OF JUVINILE JUDGE........................................................................................ 182
Probation.......................................................................................................... 182
Appeals and Post-Disposition Changes.............................................................182
SENTENCING........................................................................................................... 183
Incarcerating Juvenile Delinquents.........................................................................183
Non-Incarceration Options for Juveniles...........................................................184
Probation................................................................................................................ 184
Appeals and Post-Disposition Changes.............................................................185
Guidelines on the Role of Prosecutors....................................................................185
Qualifications, selection and training.....................................................................186
Status and conditions of service............................................................................. 187
Freedom of expression and association..................................................................187
Role in criminal proceedings...................................................................................187
Discretionary functions........................................................................................... 188
Alternatives to prosecution..................................................................................... 188
Relations with other government agencies or institutions......................................189
Disciplinary proceedings........................................................................................ 189
Observance of the Guidelines................................................................................. 189
DUTIES AND RESPONSIBILITIES OF THE PROBATION AND PAROLE OFFICER (PPO). 189
With Intent to Reform: Alternatives to Juvenile Detention, Incarceration...............191
Community-Based Programs.................................................................................. 192

Californias Urgent Need for Reform.......................................................................193

A Future of Alternatives: Research, Reason & Choice.............................................193
Punitive.................................................................................................................. 194
CHAPTER VII: What Procedures Must the Police Follow While Making an Arrest?....194
What is FIR?............................................................................................................ 195
Who can lodge FIR?................................................................................................ 195
Procedure of filling FIR............................................................................................ 195
What should you mention in the FIR?.....................................................................196
Arrest Definition and Meanings..............................................................................197
What is procedure for Warrant of Arrest in Pakistan?.............................................197
What Is It?.............................................................................................................. 199
How the Criminal Justice Process Works.................................................................200
Adjudication (Trial Process)..................................................................................... 202
Post-Trial................................................................................................................. 202
If You Are a Victim................................................................................................... 203
Types of mechanisms............................................................................................. 204
Interaction and relationship between formal and informal justice systems and
impact.................................................................................................................... 205
Faislo or Sulah....................................................................................................... 206
Types of decisions or outcome of these processes.................................................206
Role of witness (es)................................................................................................ 206
Human rights implications...................................................................................... 207
Recent Initiatives regarding ADR in Pakistan..........................................................207
RECOMMENDATIONS............................................................................................... 208
LIST OF ACRONYMS................................................................................................ 209
Reasons, why lower judiciary in Pakistan cannot take bold decisions;...................213
Introduction............................................................................................................ 213
Flaws in lower judiciary.......................................................................................... 214
Recommendations.................................................................................................. 215
Conclusion.............................................................................................................. 216
Challenges facing the system.................................................................................216
Recommendations.................................................................................................. 217
DUTIES OF PUBLIC PROSECUOR............................................................................. 218
Prosecutor.............................................................................................................. 218
9

Prosecutors are public or private............................................................................218

The Prosecutor's Role in Sentencing.......................................................................220
7.

Roles in court...................................................................................................... 221

Prisons, Probation and Parole.................................................................................222

Probation................................................................................................................ 222
Conditions of Probation.......................................................................................... 223
Parole..................................................................................................................... 223
Probation and Parole Differences............................................................................223
Consequences of a Parole Violation........................................................................224
Departments that Handle Parole and Probation.....................................................224
Protecting Your Rights............................................................................................ 224
CHAPTER VIII :Punitive and Reformative Treatment of Criminals............................225
Corporal punishment, Imprisonment and Rehabilitation of criminals.....................225
DILEMA OF CORPORAL PUNISHMENT AND 21st CENTURY Prof. Dr. Mahr Muhammad
Saeed Akhtar.......................................................................................................... 225
HISTORY OF CORPORAL PUNISHMENT:....................................................................225
PURPOSES OF CORPORAL PUNISHMENT:................................................................226
THE ORIGIN OF SCHOOL CORPORAL PUNISHMENT:................................................226
DILEMMA OF CORPORAL PUNISHMENT:..................................................................226
PROPONENTS OF CORPORAL PUNISHMENT:............................................................228
Corporal punishment views in USA.........................................................................228
OPPONENTS OF CORPORAL PUNISHMENT:..............................................................229
Summary................................................................................................................ 231
All above are short-range solutions........................................................................231
Intermediate range solutions include.....................................................................232
Finally long range solutions include:.......................................................................232
Reforming Pakistans Prison System.......................................................................233
RECOMMENDATIONS............................................................................................... 234
EFFECTIVE MEASURES TO IMPROVE OFFENDER TREATMENTPROGRAMMES AND
INTERVENTIONS THROUGH COMMUNITY INVOLVEMENT.........................................237
II. SUMMARY OF THE DISCUSSIONS........................................................................237
A. Effective Measures to Rehabilitate Offenders.....................................................237
B. Institutional Treatment of Offenders...................................................................237
C. Community-Based Treatment of Offenders.........................................................238
10

D. Measures to Enhance Community Involvement.................................................239

III. CONCLUSIONS AND RECOMMENDATIONS..........................................................240
A. Conclusions........................................................................................................ 240
B. Recommendations.............................................................................................. 240
CHAPTR IX: Criminal Investigation.......................................................................242
Principles of criminal investigation.........................................................................243
Policy:..................................................................................................................... 243
Procedure:.............................................................................................................. 243
Summary:............................................................................................................... 243
2. Safety Procedures............................................................................................... 243
Policy:..................................................................................................................... 244
Procedure:.............................................................................................................. 244
Policy:..................................................................................................................... 244
Summary:............................................................................................................... 245
Policy:..................................................................................................................... 245
Bystanders:............................................................................................................ 245
Summary:............................................................................................................... 245
Boundaries:............................................................................................................ 246
Policy:..................................................................................................................... 246
Procedure:.............................................................................................................. 246
Note:....................................................................................................................... 246
Summary:............................................................................................................... 247
Policy:..................................................................................................................... 247
Procedure:.............................................................................................................. 247
Summary:............................................................................................................... 247
Document Actions and Observations Principle:......................................................247
Policy:..................................................................................................................... 247
Procedure:.............................................................................................................. 247
Summary:............................................................................................................... 248
Preliminary Documentation and Evaluation of the Scene.......................................248
Conduct Scene Assessment Principle:....................................................................248
Policy:..................................................................................................................... 248
Procedure:.............................................................................................................. 248

11

Summary:............................................................................................................... 249
Conduct SceneWalk-Throughand Initial Documentation Principle:......................249
Policy:..................................................................................................................... 249
Procedure:.............................................................................................................. 249
Determine Team Composition Principle:.................................................................250
Policy:..................................................................................................................... 250
Procedure:.............................................................................................................. 250
Summary:............................................................................................................... 250
Processing the Scene.............................................................................................. 250
Contamination Control Principle:............................................................................250
Procedure:.............................................................................................................. 250
Documentation Principle:....................................................................................... 251
Policy:..................................................................................................................... 251
Procedure:.............................................................................................................. 251
Documentation....................................................................................................... 252
Summary:............................................................................................................... 252
Prioritize Collection of Evidence Principle:..............................................................252
Policy:..................................................................................................................... 252
Procedure:.............................................................................................................. 252
Summary:............................................................................................................... 253
Collect, Preserve, Inventory, Package, Transport, and Submit Evidence Principle:. 253
Policy:..................................................................................................................... 253
Procedure:.............................................................................................................. 253
Summary:............................................................................................................... 254
Establish Crime Scene Debriefing Team Principle:..................................................254
Policy:..................................................................................................................... 254
Procedure:.............................................................................................................. 254
Completing and Recording the Crime Scene Investigation.....................................255
Summary:............................................................................................................... 255
Perform Final Survey of the Crime Scene Principle:................................................255
Policy:..................................................................................................................... 255
Summary:............................................................................................................... 255
Documentation of the Crime Scene Principle:........................................................255

12

Policy:..................................................................................................................... 256
Procedure:.............................................................................................................. 256
Documentation of the Crime Scene........................................................................256
Summary:............................................................................................................... 256
Crime Scene Equipment......................................................................................... 256
Gauging the Value of Evidence............................................................................... 260
Manual of preliminary investigation Intelligence operations,................................261
Criminal Intelligence analysis................................................................................. 261
Main objectives....................................................................................................... 261
Support operational activities and complex investigations....................................261
Types of analysis.................................................................................................... 261
INDIVIDUALS AND NOTICES.................................................................................... 263
Notices and nominal data....................................................................................... 263
Child abusers and victims....................................................................................... 263
FORENSIC DATA...................................................................................................... 263
Fingerprints............................................................................................................ 263
DNA profiles............................................................................................................ 263
TRAVEL AND OFFICIAL DOCUMENTS.......................................................................264
STOLEN PROPERTY................................................................................................. 264
FIREARMS AND DANGEROUS MATERIALS...............................................................265
ORGANIZED CRIME NETWORKS..............................................................................265
Electronic investigation: International Journal of Cyber Criminology......................266
Abstract.................................................................................................................. 266
Introduction............................................................................................................ 266
Rand study of criminal investigation......................................................................267
Definitional differences........................................................................................... 269
Role of the First-Responding Officer........................................................................270
Role of the Investigator.......................................................................................... 270
Evidence Collection and Processing........................................................................273
Reactive and Proactive Investigations....................................................................275
Symbolic Investigations........................................................................................ 275
Recruiting, Mentorship, and Promotion...................................................................276
Training Requirements............................................................................................ 277

13

Outsourcing to the Private Sector...........................................................................277

Discussion and Conclusion..................................................................................... 279
Electronic Surveillance........................................................................................... 280
What is Electronic Surveillance?.............................................................................280
Why Use Electronic Surveillance?...........................................................................280
Computer and Mobile Phone Surveillance..............................................................280
Computer Surveillance........................................................................................... 280
Mobile Phone Surveillance...................................................................................... 281
Is It Legal?.............................................................................................................. 281
Am I Under Electronic Surveillance?.......................................................................281
Do I Need An Electronic Surveillance Investigation?...............................................281
What Can I Expect From An Investigator Specializing in Electronic Surveillance?. .282
Forensic Investigation............................................................................................. 282
How Forensic Lab Techniques Work........................................................................282
Curiosity Project: What can lead someone to violence?.........................................282
History of Forensics................................................................................................ 282
Forensic Lab Safety................................................................................................ 283
Forensic Drug Testing............................................................................................. 284
Forensic Paint Analysis and Arson Investigation.....................................................284
Paint Analysis......................................................................................................... 284
Arson Investigations............................................................................................... 285
Murder Investigations............................................................................................. 285
Gunshot residue:.................................................................................................... 285
Fibers:..................................................................................................................... 286
Fingerprints:........................................................................................................... 286
Body fluids:............................................................................................................. 286
Bloodstain Pattern Analysis.................................................................................... 287
Basics of Blood....................................................................................................... 287
Type and velocity of weapon..................................................................................288
Type of injuries....................................................................................................... 288
Whether death was immediate or delayed.............................................................288
DRIED AND CLOTTED.............................................................................................. 288
THE WAY OF THE GUN............................................................................................ 289

14

Stringing, Sine and Spatter Shapes........................................................................289

blood droplets elongate.......................................................................................... 290
Area of convergence............................................................................................... 290
BECOMING A BLOODSTAIN PATTERN ANALYST........................................................290
History of Blood Spatter Analysis........................................................................... 290
Bloodstain Pattern Analysis in Action: The Chamberlain Case................................291
Computer Forensics................................................................................................ 292
Computer Forensics Basics..................................................................................... 293
IN PLAIN VIEW........................................................................................................ 293
Phases of a Computer Forensics Investigation.......................................................293
Anti-Forensics......................................................................................................... 294
Standards of Computer Evidence...........................................................................296
Computer Forensics Tools....................................................................................... 296
Investigation........................................................................................................... 297
Crime Scene Investigation...................................................................................... 297
CSI Basics............................................................................................................... 298
Who's at the Scene?............................................................................................... 298
Scene Recognition.................................................................................................. 299
Scene Documentation............................................................................................ 301
Notes...................................................................................................................... 301
CSI photography..................................................................................................... 301
Photographs........................................................................................................... 302
Cleanup Crews........................................................................................................ 302
Sketches................................................................................................................. 303
Video...................................................................................................................... 303
Finding the Evidence.............................................................................................. 303
Photo courtesy U.S. Aid.......................................................................................... 303
Hair and fibers........................................................................................................ 303
Examining the body................................................................................................ 304
Examining the scene.............................................................................................. 305
Do the clocks show the right time?........................................................................306
Evidence Collection................................................................................................ 306
Trace evidence....................................................................................................... 306

15

Body fluids.............................................................................................................. 307

Hair and Fibers....................................................................................................... 307
Fingerprints............................................................................................................ 308
Powder (for non-porous surfaces): Metallic silver powder or velvet black powder. 308
Powders and brushes at the CBI latent-fingerprint lab...........................................308
Footwear Impressions and Tool Marks....................................................................309
Impressed:.............................................................................................................. 309
Striated:.................................................................................................................. 309
Firearms.................................................................................................................. 310
Stuff You Might Find in a CSI Van............................................................................310
Documents............................................................................................................. 310
Analyzing the Evidence: Forensic Science On the Stand........................................311
Latent fingerprints and impressions.......................................................................311
Trace evidence....................................................................................................... 311
Comparison microscope setup in the CBI serology lab...........................................312
CSI vs. "CSI"........................................................................................................... 312
Photo courtesy HSW Shopper................................................................................. 312
Becoming a CSI...................................................................................................... 312
CSI vs. "CSI"........................................................................................................... 313
Photo courtesy HSW Shopper................................................................................. 313
Crime Scene Photography...................................................................................... 314
Types of Crime Scene Photos.................................................................................. 315
Crime Scene Photography Equipment....................................................................315
Crime Scene Photographs as Art............................................................................316
Fingerprinting......................................................................................................... 316
Forensics Image Gallery......................................................................................... 316
CAN YOUR FINGERPRINTS BE CHANGED -- OR STOLEN?.........................................317
What are fingerprints?............................................................................................ 317
The Fingerprinting Process..................................................................................... 318
History of Fingerprinting......................................................................................... 319
Other Biometrics.................................................................................................... 321
Forensic Dentistry................................................................................................... 322
Types of Teeth......................................................................................................... 322

16

Tooth Identification................................................................................................. 324

X-ray of teeth.......................................................................................................... 324
TEETH AND THE BLACK DEATH............................................................................... 324
Bite-mark Analysis.................................................................................................. 325
Bite-mark Analysis Controversy.............................................................................. 326
BECOMING A FORENSIC DENTIST...........................................................................327
Chapter X: Techniques of Investigations.................................................................327
Tools.................................................................................................................... 328
Information Gathering............................................................................................ 328
Suspects residence or automobile.........................................................................329
National Crime Information Center (NCIC)..............................................................329
U.S. Postal Inspection Service.................................................................................330
Techniques.............................................................................................................. 330
The Preliminary Investigation................................................................................. 330
The Continued Investigation...................................................................................331
Obtaining Financial Information.............................................................................. 332
Identifying Additional Victims................................................................................. 333
Case Preparation.................................................................................................... 333
Gathering information from persons.......................................................................333
The Human Polygraph............................................................................................ 333
How to be a Human Polygraph............................................................................... 334
THE INVESTIGATIVE INTERVIEW.............................................................................. 334
The Truth is always easy to remember...................................................................336
POINTS TO REMEMBER........................................................................................... 338
Interview Techniques.............................................................................................. 339
EFFECTIVE COMMUNICATION.................................................................................. 340
Criminal investigation analysis............................................................................... 340
Consulting Services................................................................................................ 341
BACKGROUND OF PROFILING.................................................................................344
ADVANCEMENT OF CRIMINAL INVESTIGATIVE ANALYSIS.........................................344
Definition of Problem.............................................................................................. 347
RESEARCH STUDY................................................................................................... 348
CONCLUSION.......................................................................................................... 350

17

CHAPTER XI: Legal and Ethical Guidelines for Investigators...................................350

Stop and frisk operations, Arrest procedures,.........................................................350
SEARCH AND SEIZURE............................................................................................ 358
CHAPTER XII: International Policing and Criminal Justice Monitoring Organizations
............................................................................................................................... 374
UNAFEI,................................................................................................................... 374
Contribution to the Commission............................................................................. 376
Statement of the Director of UNAFEI......................................................................377
Joint Statement of PNI Members............................................................................. 378
INTERPOL,............................................................................................................... 390
Organization and functions..................................................................................... 390
History.................................................................................................................... 391
INTERPOL................................................................................................................ 392
What Is INTERPOL?................................................................................................. 392
INTERPOL's Roles.................................................................................................... 393
Tools of INTERPOL................................................................................................... 393
EUROPOL................................................................................................................ 394
EUROPOL STAFF AND LIAISON OFFICERS (ELOS)....................................................394
UNIQUE SERVICES.................................................................................................. 395
STATE-OF-THE-ART TECHNOLOGY........................................................................... 396
AREAS OF EXPERTISE.............................................................................................. 396
UNODC................................................................................................................... 396
UNICEF.................................................................................................................... 397
WHAT DOES IPA DO?............................................................................................... 400
IPA 2nd view............................................................................................................. 401
What Does IPA Stand For?...................................................................................... 402
How Was IPA Invented?.......................................................................................... 402
IPA Today................................................................................................................ 402
WHAT IS IPA?.......................................................................................................... 402
CHAPTER XIII : Modern Concepts in Contemporary Criminology.............................404
The Classical Scholars............................................................................................ 404
Pre-Classical Notions of Crime & Criminals.............................................................404
The Classical School: Cesare Beccaria and Reform................................................404
Rational behavior is behavior that is consistent with logic.....................................405
18

The Legacy of the Classical School.........................................................................405

What is Positivism?................................................................................................. 405
Charles Gorings Assault on Lombroso...................................................................407
The Legacy of Positivism........................................................................................ 407
Deterrence and Choice: Pain versus Gain...............................................................408
Connecting Criminological Theory & Social Policy..................................................410
Implications of Neoclassical Theories.....................................................................410
Terrorism,................................................................................................................ 410
What is Terrorism?.................................................................................................. 410
TERRORISM TYPES.................................................................................................. 412
Radicalism and War on Terror (read print)..............................................................413
Definitions of radicalism......................................................................................... 414
The role of the Internet: Islamic radicalism and anti-Americanism in Indonesia.....414
Medias representation of Crime and the Criminal Justice System.........................415
INTRODUCTION....................................................................................................... 415
FEAR OF CRIME AND PUNITIVE JUSTICE ATTITUDES................................................416
POLICE EFFECTIVENESS.......................................................................................... 417
METHODS............................................................................................................... 418
Measures................................................................................................................ 419
Fear/Worry of Crime................................................................................................ 419
Perception of Police Effectiveness..........................................................................419
Punitive Justice Attitudes........................................................................................ 419
Mass-Media Variables............................................................................................. 420
Socio-Demographic Measures/Control Variables.....................................................420
Analytic Strategy.................................................................................................... 420
Results.................................................................................................................... 421
Multivariate Analysis.............................................................................................. 423
Fear of Crime.......................................................................................................... 423
Punitive Justice Attitudes........................................................................................ 424
Perceived Police Effectiveness................................................................................425
DISCUSSION/CONCLUSION...................................................................................... 425
Modern Law Enforcement and Crime Prevention....................................................426
Homeland Security Affairs...................................................................................... 426

19

Community-oriented Policing..................................................................................427
Community Partnerships........................................................................................ 428
Problem Solving...................................................................................................... 428
Organizational Transformation................................................................................ 428
Adapting Community Policing to Homeland Security..............................................429
Organizational Transformation................................................................................ 429
Organization-wide Adoption................................................................................... 430
Training................................................................................................................... 430
Decentralized Decision-making and Accountability................................................431
Fixed Geographic Accountability and Generalist Responsibilities...........................431
Utilizing Volunteer Resources................................................................................. 431
Neighborhood Watch.............................................................................................. 432
Volunteers in Police Service (VIPS).........................................................................432
Community Emergency Response Teams (CERT)....................................................432
Medical Reserve Corps (MRC).................................................................................433
Problem Solving Tactics Applied to Homeland Security..........................................433
Crime Prevention through Environmental Design (CPTED).....................................433
Intelligence Gathering............................................................................................ 433
Geographic Information Systems (GIS) Mapping and Analysis...............................434
Community partnerships........................................................................................ 434
Working with the Media.......................................................................................... 435
Neighborhood Watch, Business Watch and Worship Watch Programs....................435
Citizen Academies.................................................................................................. 436
Homeland policing.................................................................................................. 436
HISTORY OF PROACTIVE POLICING..........................................................................437
Elements of proactive policing...............................................................................438
Intelligence-led Policing.......................................................................................... 439
Community Policing and the Police Officer.............................................................441
A new professionalism............................................................................................ 443
Quality supervision................................................................................................. 451
Supporting officers in the community....................................................................452
Private Public Partnership....................................................................................... 455
Introduction............................................................................................................ 456

20

Private Policing....................................................................................................... 457

Crime Prevention.................................................................................................... 459
Policing and Private Security in the Modern Age....................................................460
Faith in the police to prevent crime........................................................................461
Changing Forms of Policing and Private Security....................................................462
Regulating the South African Private Security Industry..........................................468
Partnership Policing............................................................................................... 471
Private Investigations............................................................................................. 479
Conclusion.............................................................................................................. 483
Gender and Crime in Urban and Rural Pakistan......................................................485
Mental and Physical Victimization of Rural Women................................................489
INTRODUCTION....................................................................................................... 489
MATERIALS AND METHODS..................................................................................... 490
RESULTS AND DISCUSSION..................................................................................... 490
Socio-economic characteristics..............................................................................490
Domestic violence against women.........................................................................490
CONCLUSION AND SUGGESTIONS..........................................................................491
Key Findings........................................................................................................... 491
Crime and Urbanization, Organized Crime and White-Collar Crime........................492
MONEY LAUNDERING.............................................................................................. 498
DRUG MONEY......................................................................................................... 500
Pakistan Experience............................................................................................... 500
Principal Sources of Illegal Proceeds.......................................................................500
CONCLUSION.......................................................................................................... 504
RECOMMENDATIONS............................................................................................... 506
Cyber Crime........................................................................................................... 508
1. INTRODUCTION................................................................................................... 508
Cybercrimes in Pakistan......................................................................................... 509
Governments Proposed and Modified Cybercrime Bill 2015..................................515
Role of NAB National Accountability Bureau...........................................................517
National Accountability Ordinance, 1999...............................................................517
ACCOUNTABILITY.................................................................................................... 521
ORGANIZATION CHART........................................................................................... 522

21

ANTI CORRUPTION AGENCIES.................................................................................523

Detention without Warrant..................................................................................... 524
Plea Bargain........................................................................................................... 524
Imprisonment......................................................................................................... 524
Exemption of Armed Forces and Judiciary from NAB..............................................524
High Profile Politicians not convicted......................................................................524
National Anti-Corruption Strategy..........................................................................524
Federal Investigation Agency: FBI...........................................................................525
Accountability Courts............................................................................................. 525
Performance of Anti-corruption agencies................................................................525
FIA The Federal Investigation Agency.....................................................................526
Priorities and departments..................................................................................... 527
Background............................................................................................................ 528
Creation.................................................................................................................. 528
National security and efforts against terrorism......................................................528
Anti-piracy efforts................................................................................................... 530
Special FIA teams................................................................................................... 530
Covert operations on political groups.....................................................................531
2005 FIA scandal.................................................................................................... 531
2008 Lahore bombings........................................................................................... 531
Cooperation with foreign counterparts...................................................................531
Organization........................................................................................................... 531
Organization structure............................................................................................ 532
Structure................................................................................................................ 533
Federal Investigation Agency FIA Pakistan.............................................................533
History.............................................................................................................. 533
Structure.......................................................................................................... 533
History.................................................................................................................... 535
Policy Review Board................................................................................................ 535
ANF's Charter of Duty............................................................................................. 536
'Demand Reduction'............................................................................................... 536
National Drug Abuse Assessment Study of Pakistan 2008-11................................537
Findings of the Study-Highlights............................................................................. 537

22

Extradition of Drug Traffickers................................................................................ 539

CRIMNOLOGY BOOK
Section-I (25 Marks)
CHAPTER

Criminology
When basketball idol Kobe Bryant was arrested in Eagle, Colorado, on July 4, 2003,
and charged with felony sexual assault on July 18, a strong ripple went through all
levels of American society. Bryant was alleged to have assaulted a 19-yearold girl
who worked at a luxury hotel in which he was staying when he was in Colorado for
knee surgery. The case dominated the media for months. ESPN told viewers that a
hotel bellman saw the woman leaving Bryants room with marks on her face and
neck. People magazine reported that Kobe Bryant bought his wife a $4 million, 8carat pink diamond ring. Other reports said that Bryants accuser overdosed on pills
two months before the alleged incident and that she was sexually promiscuous.
Bryant, a married man with an infant daughter, used the media to announce that he
had committed adultery with the woman but insisted the sex was consensual. On
July 23, 2004, before the trial began, a Colorado judge ruled that the defense had
met the burden required under the states rape victim law of proving that evidence
about the womans sex life was relevant for the jury to hear. Bowing to the pressure
(which included death threats), Bryants accuser refused to testify. On September1,
2004, prosecutors were forced to drop the case. Bryant issued a statement that
said, in part:
Although I truly believe this encounter between us was consensual, I recognize now
that she did not and does not view this incident the same way I did. . . . After
months of reviewing discovery, listening to her attorney, and even her testimony in
person, I now understand how she feels that she did not consent to this encounter.
The Bryant case certainly raises questions about justice in the United States. It
illustrates the medias role in high-profile criminal trials. How is it possible to select
a fair and impartial jury and carry out an objective trial if the case has already been
tried in the press? Is it fair for the media to expose the victims sexual and medical
history? How do details from her past contribute to deciding the truth of a criminal
matter? If Kobe Bryant had been accused of robbing a store, would it be fair to
23

reveal the owners financial background and/or sexual orientation? How relevant are
such details to proving guilt in the case at hand?
The case also illustrates that the definition of crime is not always obvious. Bryant
admitted having a sexual relationship with the woman but denied it was rape. In his
statement he concedes that she may have viewed the act as nonconsensual and
therefore a sexual assault. Can a clear line be drawn between legal and illegal
behavior, and if so who gets to draw it? Is the definition of crime open to subjective
interpretation?
Although a suspects race or ethnic background should not be relevant in a criminal
matter, the fact that Bryant was a famous black athlete facing an accusation from a
white woman was not lost on the public. Was Kobe Bryant another O.J. Simpson? Are
African American men routinely and falsely accused by the justice system? And if he
did indeed attack the young girl, what factors could have motivated a wealthy and
famous athlete to commit a violent act? Could he possess an impulsive personality
that limited his ability to exercise self-control over his actions?
The questions about crime and its control raised by the Bryant case and other
similar criminal trials have spurred continued and intense interest in criminology, an
academic discipline that makes use of scientific methods to study the nature,
extent, cause, and control of criminal behavior. Using these methods, criminologists
are devoted to the design and collection of valid and reliable data that address the
causes of crime as well as crime patterns and trends. Unlike media commentators,
whose opinions about crime may be colored by personal experiences, biases, and
values, criminologists remain objective as they study crime and its consequences.
This text analyzes criminology and its major subareas of inquiry. It focuses on the
nature and extent of crime, the causes of crime, and patterns of criminal behavior.
This chapter introduces and defines criminology: What are its goals? What is its
history? How do criminologists define crime? How do they conduct research? What
ethical issues face those wishing to conduct criminological research?
WHAT IS CRIMINOLOGY?
Criminology is the scientific approach to studying criminal behavior. In their classic
definition, criminologists Edwin Sutherland and Donald Cressey state: Criminology is
the body of knowledge regarding crime as a social phenomenon. It includes within
its scope the processes of making laws, of breaking laws, and of reacting toward the
breaking of laws. . . . The objective of criminology is the development of a body of
general and verified principles and of other types of knowledge regarding this
process of law, crime, and treatment.
Sutherland and Cresseys definition includes some of the most important areas of
interest to criminologists: (1) the development of criminal law and its use to define
crime, (2) the cause of law violation, and (3) the methods used to control criminal
behavior. This definition also makes reference to the term verified principles, which
underscores the fact that criminologists use the scientific method when conducting
24

their research. They gather data, create theories to explain the patterns found in
the data, and test the theories validity by posing research questions (hypotheses),
which they answer empirically. In conducting their research and testing their
theories, criminologists employ established methods of social science inquiry,
including experimental designs and sophisticated data analysis. Because
criminology is essentially an interdisciplinary science and criminologists have been
trained in diverse fields most commonly sociology but also criminal justice,
political science, psychology, economics, and the natural sciences they are able to
employ a wide range of methods and techniques to conduct research and test
hypotheses.
Criminology and Criminal Justice
Although the terms criminology and criminal justice may seem similar, and people
often confuse the two or lump them together, there are major differences between
these fields of study. Criminology explains the etiology (origin), extent, and nature
of crime in society, whereas criminal justice refers to the study of the agencies of
social controlpolice, courts, and corrections. Criminologists are mainly concerned
with identifying the suspected causes of crime, while criminal justice scholars strive
to identify effective methods of crime control. Because both fields are crime related,
they do overlap. Criminologists must be aware of how the agencies of justice
operate, how they influence crime and criminals, and how justice policies shape
crime rates and trends. Criminal justice experts cannot begin to design programs of
crime prevention or rehabilitation without first understanding something of the
nature of crime. It is common, therefore, for criminal justice programs to feature
courses on criminology and for criminology courses to evaluate the agencies of
justice.
Criminology and Deviance
Criminology is also sometimes confused with the study of deviant behavior.
However, significant distinctions can be made between these areas of scholarship.
Deviant behavior is behavior that departs from social norms. Included within the
broad spectrum of deviant acts are behaviors ranging from violent crimes to joining
a nudist colony. Crime and deviance are often confused because not all crimes are
deviant or unusual acts, and not all deviant acts are illegal or criminal. For example,
using recreational drugs, such as marijuana, may be illegal, but is it deviant? A
significant percentage of the population have used or are using drugs. Therefore, it
is erroneous to argue that all crimes are deviant behaviors that depart from the
norms of society. Similarly, many deviant acts are not criminal even though they
may be both disturbing and shocking to the conscience. Suppose a passerby
witnesses someone floundering in the ocean and makes no rescue attempt. Most
people would condemn the onlookers coldhearted behavior as callous, immoral,
and deviant. However, no legal action could be taken since private citizens are not
required by law to affect rescues. There is no legal requirement that a person rushes
into a burning building, brave a flood, or jump into the ocean to save another from
25

harm. In sum, many criminal acts, but not all, fall within the concept of deviance.
Similarly, some deviant acts, but not all, are considered crimes Becoming Deviant to
understand the nature and purpose of law, criminologists study both the process by
which deviant acts are criminalized (become crimes) and, conversely, how criminal
acts are decriminalized and/or legalized. In some instances, individuals, institutions,
or government agencies mount a campaign aimed at convincing both the public and
lawmakers that what was considered merely deviant behavior is actually dangerous
and must be outlawed. During the 1930s, Harry Anslinger, then head of the Federal
Bureau of Narcotics, used magazine articles, public appearances, and public
testimony to sway public opinion about the dangers of marijuana, which up until
that time had been legal to use and possess In testimony before the House Ways
and Means Committee considering passage of the Marijuana Tax Act of 1938,
Anslinger stated:
In Florida a 21-year-old boy under the influence of this drug killed his parents and
his brothers and sisters. The evidence showed that he had smoked marihuana. In
Chicago recently two boys murdered a policeman while under the influence of
marihuana. Not long ago we found a 15-year-old boy going insane because, the
doctor told the enforcement officers, he thought the boy was smoking marihuana
cigarettes. They traced the sale to some man who had been growing marihuana and
selling it to these boys all less than 15 years of age, on a playground there.
As a result of Anslingers efforts, a deviant behavior, marijuana use, became a
criminal behavior, and previously law-abiding citizens were defined as criminal
offenders. Today, some national organizations, such as the Drug Policy Alliance, are
committed to repealing draconian drug laws and undoing Anslingers moral
crusade. They call for an end to the war against drugs, which they believe has
become overzealous in its effort to punish drug traffickers. In2004, the alliance
issued this statement:
Many of the problems the drug war purports to resolve are in fact caused by the
drug war itself. So-called drug related crime is a direct result of drug prohibitions
distortion of immutable laws of supply and demand. Public health problems like HIV
and Hepatitis C are all exacerbated by zero tolerance laws that restrict access to
clean needles. The drug war is not the promoter of family values that some would
have us believe. Children of inmates are at risk of educational failure, joblessness,
addiction and delinquency. Drug abuse is bad, but the drug war is worse Moral
crusades designed to draw a clear line between behavior that is deviant but legal
and behavior that is outlawed and criminal did not end in the 1930s. In 2004, radio
host Howard Stern was fined by the Federal Communication Commission (FCC) for
repeated, graphic and explicit sexual descriptions that were pandering, titillating or
used to shock the audience.
The government action prompted Clear Channel Communications to drop Sterns
show from their stations. In retaliation, Stern posted on his website transcripts from

26

the Oprah TV show that used very similar language but was deemed no offensive by
government regulators.
Stern was so outraged by the campaign to censor his program that he left public
broadcasting for unregulated satellite radio; Stern abandoned free commercial radio
for satellite radio in 2005.
In sum, criminologists are concerned with the concept of deviance and its
relationship to criminality. The shifting definition of deviant behavior is closely
associated with our concept of crime. The relationship among criminology, criminal
justice, and deviance is illustrated in Concept Summary 1.1.
A BRIEF HISTORY OF CRIMINOLOGY
The scientific study of crime and criminality is relatively recent. Although written
criminal codes have existed for thousands of years, these were restricted to defining
crime and setting punishments. What motivated people to violate the law remained
a matter for conjecture? During the middle Ages (1200 1600), superstition and fear
of satanic possession dominated thinking. People who violated social norms or
religious practices were believed to be witches or possessed by demons. The
prescribed method for dealing with the possessed was burning at the stake, a
practice that survived into the seventeenth century. Between1581 and 1590,
Nicholas Remy, head of the Inquisition in the French province of Lorraine, ordered
900 sorcerers and witches burned to death; likewise, Peter Bins field, the bishop of
the German city of Trier, ordered 6,500 people to death. An estimated 100,000
people were prosecuted throughout Europe for witchcraft during the sixteenth and
seventeenth centuries. It was also commonly believed that some families produced
offspring who were unsound or unstable and that social misfits were inherently
damaged by reason of their inferior [Link] was common practice to use cruel
tortures to extract confessions, and those convicted of violent or theft
CONCEPT SUMMARY
Criminal Justice
Criminal justice refers to the study of agencies of social control that handle criminal
offenders. Criminal justice scholars engage in describing, analyzing, and explaining
the operations of the agencies of justice, specifically the police departments, courts,
and correctional facilities. They seek more effective methods of crime control and
offender rehabilitation.
Overlapping Areas of Concern
Criminal justice experts cannot begin to design effective programs of crime
prevention or rehabilitation without understanding the nature and cause of crime.
They require accurate criminal statistics and data to test the effectiveness of crime
control and prevention programs.
27

Deviance
Deviance refers to the study of behavior that departs from social norms. Included
within the broad spectrum of deviant acts are behaviors ranging from violent crimes
to joining a nudist colony. Not all crimes are deviant or unusual acts, and not all
deviant acts are illegal.
Overlapping Areas of Concern
Under what circumstances do deviant behaviors become crimes? When does
sexually oriented material cross the line from merely suggestive to obscene and
therefore illegal? If an illegal act becomes a norm, should society reevaluate its
criminal status? There is still debate over the legalization and/or decriminalization of
abortion, recreational drug use, possession of handguns, and assisted suicide
crimes suffered extremely harsh penalties including whipping, branding, maiming,
and execution.
Classical Criminology
During the eighteenth century, social philosophers such as Jeremy Bentham began
to embrace the view that human behavior was a result of rational thought
processes. According to Benthams utilitarianism, people choose to act when, after
weighing costs and benefits, they believe that their actions will bring them an
increase in pleasure and a reduction of pain. It stands to reason that criminal
behavior could be eliminated or controlled if would-be law violators could be
convinced that the pain of punishment exceeds the benefits of crime. Cesare
Beccaria (17381794) applied these principles to criminal behavior in his famous
treatise On Crimes and Punishment. Because he believed that people want to
achieve pleasure and avoid pain, Beccaria suggested that harsh punishments and
routine use of torture were inappropriate and excessive. If every felon were
punished with death, he reasoned, there would be little incentive for criminals not to
escalate the severity of their crimes. To deter crime, the pain of punishment must
be administered in a fair, balanced, and proportionate amount to counterbalance
the pleasure obtained from crime. Beccaria stated his famous theorem: In order for
punishment not to be in every instance, an act of violence of one or many against a
private citizen, it must be essentially public, prompt, necessary, the least possible in
the given circumstances, proportionate to the crimes, and dictated by the laws.
The writings of Beccaria and his followers form the core of what today is referred to
as classical criminology. As originally conceived in the eighteenth century, classical
criminology theory had several basic elements:
In every society people have free will to choose criminal or lawful solutions to meet
their needs or settle their problems.
Criminal solutions may be more attractive because they usually require less work
for a greater payoff.
28

A persons choice of crime may be controlled by his other fear of punishment.

To be an effective crime deterrent, punishment must be severe, certain, and swift.
This classical perspective influenced penal practices for more than two centuries.
The law was made proportionate to the crime so that the most serious offenses
earned the harshest punishments. Executions were still widely used but gradually
were reserved for only the most serious crimes. The catch phrase was let the
punishment fit the [Link] the nineteenth century, a new perspective
challenged the validity of classical theory and presented an innovative way of
looking at the causes of crime.
Nineteenth-Century Positivism
During the late nineteenth century the scientific method was beginning to take hold
in Europe. Rather than rely on pure thought and reason, people began using careful
observation and analysis of natural phenomena to understand the way the world
worked. This movement inspired new discoveries in biology, astronomy, and
chemistry. Work on the evolution of man by Charles Darwin (18091882)
encouraged a nineteenth-century cult of science that mandated that all human
activity could be verified by scientific principles. If the scientific method could be
applied to natural phenomena, then why not use it to study human behavior?
Auguste Comte (17981857), considered the founder of sociology, applied scientific
methods to the study of society.
According to Comte, societies pass through stages that can be grouped on the basis
of how people try to understand the world in which they live. People in primitive
societies consider inanimate objects as having life (for example, the sun is a god); in
later social stages, people embrace a rational, scientific view of the world. Comte
called this final stage the positive stage, and those who followed his writings
became known as positivists.
As we understand it today, positivism has two main elements. The first is the belief
that human behavior is a function of forces beyond a persons control. Some of
these forces are social, such as the effect of wealth and class, and some are political
and historical, such as war and famine. Other forces are more personal and
psychological, such as an individuals brain structure and his or her biological
makeup or mental ability. Each of these forces influences and shapes human
behavior.
The second aspect of positivism is the use of the scientific method to conduct
research. Positivists rely on the strict use of empirical methods to test hypotheses.
That is, they believe in the factual, firsthand observation and measurement of
conditions and events. Positivists would agree that an abstract concept such as
intelligence exists because it can be measured by an IQ test. They might question
the concept of the soul because it is a condition that cannot be verified by the
scientific method. These principles began to be applied to the study of criminal
29

behaviors. BIOLOGICAL POSITIVISM The earliest scientific studies applying the

positivist model to criminology were conducted by physiognomists, such as J. K.
Lavater (17411801), who studied the facial features of criminals to determine
whether the shape of ears, nose, and eyes and the distance between them were
associated with antisocial behavior. Phrenologists, such as Franz Joseph Gall (1758
1828) and Johann [Link] (1776 1832), studied the shape of the skull and
bumps on the head to determine whether these physical attributes were linked to
criminal behavior. Phrenologists believed that external cranial characteristics dictate
which areas of the brain control physical activity. Other beliefs are that the brain has
thirty different areas or faculties that control behavior, that the larger the area the
more active it is, that the size of a brain area could be determined by inspecting the
contours of the skull, and that the relative size of brain areas could be increased or
decreased through exercise and self-discipline.
Though their techniques and methods are no longer practiced or taken seriously,
these efforts wherein early attempt to use a scientific method to study crime. By the
early nineteenth century, abnormality in the human mind was being linked to
criminal behavior patterns.
PhilippePinel (17451826), one of the founders of French psychiatry, claimed that
some people behave abnormally even without being mentally ill. He coined the
phrase manie sans desire to denote what today is referred to as a psychopathic
personality. In 1812, an American, Benjamin Rush, described patients with an
innate preternatural moral depravity.
Another early criminological pioneer, English physician Henry Maudsley (1835
1918), believed that insanity and criminal behavior were strongly linked. He stated:
Crime is a sort of outlet in which their unsound tendencies are discharged; they
would go mad if they were not criminals, and they do not go mad because they are
criminals.
These early research efforts shifted attention to brain functioning and personality as
the keys to criminal behavior. When Sigmund Freuds (1856 1939) worked on the
unconscious gained worldwide attention, the psychological basis of behavior was
forever established.
In Italy, Cesare Lombroso (18351909), a physician who served much of his career
in the Italian army, was studying the cadavers of executed criminals in an effort to
scientifically determine whether law violators were physically different from people
of conventional values and behavior.
Lombroso believed that serious offenders those who engaged in repeated assaultor theft-related activities inherited criminal traits. These born criminals inherited
physical problems that impelled them into a life of crime. Lombroso held that born
criminals suffer from atavistic

30

Anomaliesphysically, they are throwbacks to more primitive times when people

were savages. Criminals were believed to have the enormous jaws and strong
canine teeth common to carnivores and savages who devour raw flesh. These
criminogenic traits can be acquired through indirect heredity, from a degenerate
family whose members suffered from such ills as insanity, syphilis, and alcoholism.
He believed that direct hereditybeing related to a family of criminals is the
second primary cause of crime.
Lombrosos version of criminal anthropology was brought to the United States via
articles and textbooks that adopted his ideas. He attracted a circle of followers who
expanded on his vision of biological determinism, and his scholarship helped
stimulate interest in a criminal anthropology.
His work was actually more popular in the United States than it was in Europe. By
the turn of the century, American authors were discussing the science of penology
and the science of criminology.
Lombrosos version of strict biological determinism is no longer taken seriously.
Later in his career even he recognized that not all criminals are biological
throwbacks. Today, those criminologists who suggest that crime has some biological
basis also believe that environmental conditions influence human behavior. Hence,
the term biosocial theory has been coined to reflect the assumed link among
physical and mental traits, the social environment, and behavior.
SOCIAL POSITIVISM
At the same time that biological views were dominating criminology, social
positivists were developing the field of sociology to scientifically study the major
social changes that were taking place in nineteenth-century society.
Sociology seemed an ideal perspective from which to study society. After thousands
of years of stability, the world was undergoing a population explosion: The
population estimated at 600 million in 1700 had risen to 900 million by1800. People
were flocking to cities in ever-increasing numbers. Manchester, England, had 12,000
inhabitants in 1760and 400,000 in 1850; during the same period, the population of
Glasgow, Scotland, rose from 30,000 to 300,000. The development of machinery
such as power looms had doomed cottage industries and given rise to a factory
system in which large numbers of people toiled for extremely low wages. The
spread of agricultural machines increased the food supply while reducing the need
for a large rural workforce; these excess laborers further swelled city populations. At
the same time, political, religious, and social traditions continued to be challenged
by the scientific method.
The Foundations of Sociological Criminology
The foundations of sociological criminology can be traced to the works of pioneering
sociologists L. A. J. (Adolphe)Quetelet (1796 1874) and (David) mile
31

Durkheim(18581917). Quetelet instigated the use of data and statistics in

performing criminological research. Durkheim considered one of the founders of
sociology, defined crime as a normal and necessary social event.
These two perspectives have been extremely influential on modern criminology. A. J.
(ADOLPHE) QUETELETA Belgian mathematician, Quetelet began (along with a
Frenchman, Andre-MichelGuerry) what is known as the cartographic school of
criminology. This approach made use of social statistics that were being developed
in Europe in the early nineteenth century. Statistical data provided important
demographic information on the population, including density, gender, religious
affiliations, and wealth. Quetelet studied data gathered in France (called the
Comptes generaux de ladministration de la justice) to investigate the effect of
social factors on the propensity to commit crime. In addition to finding a strong
influence of age and sex on crime, Quetelet also uncovered evidence that season,
climate, population composition, and poverty were related to criminality. More
specifically, he found that crime rates were greatest in the summer, in southern
areas, among heterogeneous populations, and among the poor and uneducated. He
also found crime rates to be influenced by drinking habits. Quetelet identified many
of the relationships between crime and social phenomena that still serve as a basis
for criminology today. His findings that crime has a social basis directly challenged
Lombrosian biological determinism.
MILE DURKHEIMA
According to Durkheims vision of social positivism, crime is part of human nature
because it exists during periods of both poverty and prosperity. Crime is normal
because it is virtually impossible to imagine a society in which criminal behavior is
totally absent. Such a society would almost demand that all people be and act
exactly alike. Durkheim believed that the inevitability of crime is linked to the
differences (heterogeneity) within society. Since people are so different from one
another and employ such a variety of methods and forms of behavior to meet their
needs, it is not surprising that some will resort to criminality. Even if real crimes
were eliminated, human weaknesses and petty vices would be elevated to the
status of crimes. As long as human differences exist, then, crime is inevitable and
one of the fundamental conditions of social life.
Durkheim argued that crime can be useful and, on occasion, even healthy for
society. He held that the existence of crime paves the way for social change and
means that the social structure is not rigid or inflexible. Put another way, if crime
did not exist, it would mean that everyone behaved the same way and agreed on
what is right and wrong. Such universal conformity would stifle creativity and
independent thinking. To illustrate this concept, Durkheim offered the example of
the Greek philosopher Socrates, who was considered a criminal and put to death for
corrupting the morals of youth simply because he expressed ideas that were
different from what people believed at that time.

32

Durkheim reasoned that another benefit of crime is that it calls attention to social
ills. A rising crime rate can signal the need for social change and promote a variety
of programs designed to relieve the human suffering that may have caused crime in
the first place. In his influential book, The Division of Labor in Society, Durkheim
described the consequences of the shift from a small, rural society, which he
labeled mechanical, to the more modern organic society with a large urban
population, division of labor, and personal isolation.
From this shift flowed anomie, or norm and role confusion, a powerful sociological
concept that helps describe the chaos and disarray accompanying the loss of
traditional values in modern society. Durkheims research on suicide indicated that
anomic societies maintain high suicide rates; by implication, anomie might cause
other forms of deviance as well.
The Development of Sociological Criminology
The primacy of sociological positivism was secured by research begun in the early
twentieth century by Robert Ezra Park (1864 1944), Ernest W. Burgess (1886
1966), LouisWirth (18971952), and their colleagues in the sociology department at
the University of Chicago. The scholars who taught at this program created what is
still referred to as the Chicago School, in honor of their unique style of doing
research. These urban sociologists pioneered research on the social ecology of the
city. Their work inspired a generation of scholars to conclude that social forces
operating in urban areas create criminal interactions; some neighborhoods become
natural areas for crime.
These urban neighborhoods maintain such a high level of poverty that critical social
institutions, such as the school and the family, break down. The resulting social
disorganization reduces the ability of social institutions to control behavior, and the
outcome is a high crime rate. Criminal behavior, they argued, was not a function of
personal traits or characteristics but rather a reaction to an environment that was
inadequate for proper human relations and development. They initiated the
ecological study of crime by examining how neighborhood conditions, such as
poverty levels, influenced crime rates.
Their findings substantiated their belief that crime is a function of where one lives
rather than individual pathologies. The Development of Social Process Theories
during the 1930s and 1940s, another group of sociologists added a socialpsychological link to criminological behavior.
They concluded that the individuals relationship to important social processes
such as education, family life, and peer relations is the key to understanding
human behavior. Some concluded that poverty and social disorganization alone are
not sufficient to cause criminal activity. After all, many people living in the most
deteriorated areas never commit criminal offenses. Something else is needed. Their
research indicated that children who grow up in homes wracked by conflict, attend
inadequate schools, and/or associate with deviant peers become exposed to pro33

crime forces. Edwin Sutherland, the preeminent American criminologist, suggested

that people learn criminal attitudes from older, more experienced law violators.
Crime is a learned behavior similar to any other such as driving and playing sports.
Another view, developed by Walter Reckless, is that crime occurs when children
develop an inadequate self-image, which renders them incapable of controlling their
own misbehavior.
Criminologists seized upon this concept of control and suggested that it is a key
element in a criminal career: People become crime prone when social forces prove
inadequate to control their behavior. Both of these views learning and control
link criminality to the failure of socialization, the interactions people have with the
various individuals, organizations, institutions, and processes of society that help
them mature and develop By mid-century, most criminologists had embraced either
the ecological view or the socialization view of crime.
However, these were not the only views of how social institutions influence human
behavior. In Europe, the writings of another social thinker, Karl Marx (18181883),
had pushed the understanding of social interaction in another direction and sowed
the seeds for a new approach in criminology.
The Roots of Conflict Criminology
In his Communist Manifesto and other writings, Marx described the oppressive labor
conditions prevalent during the rise of industrial capitalism. Observations of the
economic structure convinced Marx that the character of every civilization is
determined by its mode of productionthe way its people develop and produce
material goods (materialism). The most important relationship in industrial culture is
between the owners of the means of production, the capitalist bourgeoisie, and the
people who do the actual labor, the proletariat. The economic system controls all
facets of human life; consequently, peoples lives revolve around the means of
production. The exploitation of the working class, he believed, would eventually lead
to class conflict and the end of the capitalist system.
Though these writings laid the foundation for a Marxist criminology, decades passed
before the impact of Marxist theory was realized. In the United States during the
1960s, social and political upheaval was fueled by the Vietnam War, the
development of an anti-establishment counterculture movement, the civil rights
movement, and the womens movement. Young sociologists interested in applying
Marxist principles to the study of crime began to analyze the social conditions in the
United States that promoted class conflict and crime. What emerged from this
intellectual ferment was a Marxist-based critical criminology that indicted the
economic system as producing the conditions that support a high crime rate. The
critical tradition has played a significant role in criminology ever since
Contemporary Criminology the various schools of criminology developed throughout
the past two centuries. Though they have evolved, each continues to have an
impact on the field. For example, classical theory has evolved into rational choice
34

and deterrence theories. Choice theorists today argue that criminals are rational
and use available information to decide if crime is a worthwhile undertaking; an
offshoot of choice theory, deterrence theory holds that this choice is structured by
the fear of punishment. Biological positivism has undergone a similar
transformation. Although criminologists no longer believe that a single trait or
inherited characteristic can explain crime, some are convinced that biological and
psychological traits interact with environmental factors to influence all human
behavior, including criminality. Biological and psychological theorists study the
association between criminal behavior and such traits as diet, hormonal makeup,
personality, and intelligence.
Sociological theories, tracing back to Quetelet and Durkheim, maintain that
individuals lifestyles and living conditions directly control their criminal behavior.
Contemporary social ecological theory holds that those at the bottom of the social
structure cannot achieve success and thus experience anomie, strain, failure, and
frustration. Learning and control theories are still popular with contemporary
criminologists. In their modern incarnation, they suggest that individuals learning
experiences and socialization directly control their behavior. In some cases, children
learn to commit crime by interacting with and modeling their behavior on those
they admire, whereas other criminal offenders are people whose life experiences
have shattered their social bonds to society.
The writings of Marx and his followers continue to be influential. Many criminologists
view social and political conflict as the root cause of crime. The inherently unfair
economic structure of the United States and other advanced capitalist countries is
the engine that drives the high crime rate. Critical criminology, the contemporary
form of Marxist/conflict theory will be discussed further in Chapter [Link]
criminologists are now integrating each of these concepts into more complex
theories that link personal, situational, and social factors. These developmental
theories of crime are analyzed in Chapter 9. Each of the major perspectives is
summarized in Concept
THE CRIMINOLOGICAL ENTERPRISE
Regardless of their theoretical orientation, criminologists are devoted to the study of
crime and criminal behavior. As two noted criminologists, Marvin Wolfgang and
Franco Ferracuti put it: A criminologist is one whose professional training,
occupational role, and pecuniary reward are primarily concentrated on a scientific
approach to, and study and analysis of, the phenomenon of crime and criminal
behavior.
Several subareas of criminology exist within the broader arena of criminology. Taken
together, these subareas make up the criminological enterprise. Criminologists may
specialize in a subarea in the same way that psychologists might specialize in a
subfield of psychology, such as child development, perception, personality,

35

psychopathology, or sexuality. Some of the more important criminological

specialties are described next and summarized in Concept
Criminological Perspectives
The major perspectives of criminology focus on individual (biological, psychological,
and choice theories); social (structural and process theories); political and economic
(conflict theory); and multiple (developmental theory) factors. Classical /Choice
Perspective
Situational forces: Crime is a function of free will and personal choice.
Punishment is a deterrent to crime.

Biological /Psychological Perspective

Internal forces: Crime is a function of chemical, neurological, genetic, personality,
intelligence, or mental traits.
Structural Perspective
Ecological forces: Crime rates are a function of neighborhood conditions, cultural
forces, and norm conflict.
Process Perspective
Socialization forces: Crime is a function of upbringing, learning, and control.
Peers, parents, and teachers influence behavior.
Conflict Perspective
Economic and political forces: Crime is a function of competition for limited
resources and power. Class conflict produces crime.
Developmental Perspective
Multiple forces: Biological, social-psychological, economic, and political forces
may combine to produce crime.
Criminal Statistics
The subarea of criminal statistics involves measuring the amount and trends of
criminal activity. How much crime occurs annually? Who commits it? When and
where does it occur? Which crimes are the most serious? Criminologists interested
in criminal statistics try to create valid and reliable measurements of criminal
behavior. They create techniques to access the records of police and court agencies
and use sophisticated statistical methods to understand underlying patterns and
trends. They develop survey instruments and then use them with large samples to
determine the actual number of crimes being committed and the number of victims
36

who suffer criminal violations: How many people are victims of crime, and what
percentage reports crime to police?
The development of valid methods to measure crime is a crucial aspect of the
criminological enterprise, because without valid and reliable data sources, efforts to
conduct research on crime and create criminological theories would be futile. It is
also important to determine why crime rates vary across and within regions in order
to gauge the association between social and economic forces and criminal activity.
Criminal statistics can also be used
CONCEPT SUMMARY 1.3
The Criminological Enterprise
Criminal Statistics
Gathering valid crime data: Devising new research methods; measuring crime
patterns and trends.
The Sociology of Law
Determining the origin of law:
society.

Measuring the forces that can change laws and

Theory Construction
Predicting individual behavior: Understanding the cause of crime rates and
trends.
Criminal Behavior Systems
Determining the nature and cause of specific crime patterns: Studying violence,
theft, organized, white-collar, and public order crimes.
Penology
Studying the correction and control of criminal behavior: Using scientific methods
to assess the effectiveness of crime control and offender treatment programs.
Victim logy
Studying the nature and cause of victimization: Aiding crime victims;
understanding the nature and extent of victimization; developing theories of
victimization risk. To make international comparisons to understand why some
countries are crime free while others are beset by antisocial activities. This is the
topic of the Comparative
The Sociology of Law

37

The sociology of law is a subarea of criminology concerned with the role social
forces play in shaping criminal law and, concomitantly, the role of criminal law in
shaping society. These criminologists study the history of legal thought, how social
forces shape the law, and the effectiveness of legal change.
The law is constantly evolving. Computer fraud, airplane hijacking, ATM theft, and
cyber stalking did not exist when the nation was founded. Consequently, the law
must be revised to reflect cultural, societal, and technological changes.
Criminologists are often asked to determine whether legal change is required and, if
so, what shape it should take. In fact, the Supreme Court often considers empirical
research supplied by criminologists on such topics as racial discrimination in death
penalty cases before it renders an opinion. There search conducted by
criminologists then helps form the direction of their legal decision making.
Theory Construction
Social theory is typically viewed as a systematic set of interrelated statements or
principles that explain some aspect of social life; it serves as a model or framework
for understanding human behavior. Theories are aimed at trying to explain the
structure of criminal behavior and the forces that change or alter its content and
direction.
Ideally, criminological theories are based on social factsreadily observed
phenomenon that can be consistently quantified and measured. Once constructed,
theories are tested by constructing hypotheses expectations of behavior that can
be derived from the theory and then assessing them using valid empirical research.
If, for example, a theory states that the greater the number of police on the street
the lower the crime rate, the hypothesis that could be used to support the theory
might include:
1. Cities with the most police officers per capita will also have the lowest crime
rates.
2. Adding more police officers to the local force will cause the crime rate to decline.
3. Cities that reduce the size of their police force will experience an upsurge in
criminal activity. If adding police officers had little or no effect on the crime rate,
then the validity of the theory would be damaged. In contrast, if research shows
that adding police reduces crime and this effect is observed at different times in a
number of different locales, then the theory might eventually become an accepted
element of social thought. Sometimes criminologists use innovative methods to test
theory. For example, when Dennis Wilson sought to determine whether adding
police would deter crime, he used data from the National Hockey League to test the
hypothesis that adding an enforcement agent (in this case, an additional referee)
would deter law violations (penalties). His analysis of game data supported the
theory that adding police would bring the crime rate down: As the number of refs
increases, serious penalties that are potentially harmful decline!
38

Criminal Behavior Systems

The criminal behavior systems subarea of criminology involves research on specific
criminal types and patterns: violent crime, theft crime, public order crime, and
organized crime. Numerous attempts have been made to describe and understand
particular crime types. For example, Marvin Wolfgangs famous 1958 study, Patterns
in Criminal Homicide, is considered a landmark analysis of the nature of homicide
and the relationship between victim and offender.
Edwin Sutherlands analysis of business-related offenses helped coin a new phrase
white-collar crimeto describe economic crime activities. The study of criminal
behavior also involves research on the links between different types of crime and
criminals. This is known as crime typology. Some typologies focus on the criminal,
suggesting the existence of offender groups such as professional criminals,
psychotic criminals, occasional criminals, and so on. Others focus on the crimes,
clustering them into categories such as property crimes, sex crimes, and so on.
Penology
The study of penology involves the correction and control of known criminal
offenders; it is the segment of criminology that most resembles criminal justice.
Criminologists conduct research designed to evaluate justice initiatives in order to
determine their efficiency, effectiveness, and impact. For example, should capital
punishment continue to be employed or is its use simply too risky?
Recent research by Samuel Gross and his colleagues
Helps answer this critical question. Gross looked at the number of death row
inmates who were later found to be innocent. During the period he studied, 1989
2003, 340 people (327 men and 13 women) were exonerated after having served
years in prison. Almost half (144 people) were cleared by DNA evidence.
Collectively, they had spent more than3, 400 years in prison for crimes they did not
commitan average of more than 10 years each. Gross and his colleagues found
that exonerations for death row prisoners are more than 25 times more frequent
than exonerations for other prisoners convicted of murder and more than 100 times
more frequent than for all imprisoned felons.
The Gross research illustrates how important it is to evaluate penal measures in
order to determine their effectiveness and reliability.
Victim logy
In two classic criminological studies, one by Hans von Hentig and another by
Stephen Schafer, the critical role of the victim in the criminal process were
identified. These authors were among the first to suggest that victim behavior is
often a key determinant of crime and that victims actions may actually precipitate
crime. Both men believe that the study of crime is not complete unless the victims
role is considered.
39

For those studying the role of the victim in crime, these areas are of particular
interest:
Using victim surveys to measure the nature and extent of criminal behavior not
reported to the police
Calculating the actual costs of crime to victims
Measuring the factors that increase the likelihood of becoming a victim of crime
Studying the role of the victim in causing or precipitating crime
Designing services for the victims of crime, such as counseling and compensation
programs
The study of victims and victimization has uncovered some startling results. For one
thing, criminals have been found to be at greater risk for victimization than
noncriminal.
Rather than being the passive targets of criminal acts and simply being in the wrong
place at the wrong time, victims may engage in high-risk lifestyles that increase
their chances of victimization and make them vulnerable to crime.
Comparative Criminology
International Crime Trends
India has experienced a shocking form of violence against women known as bride
burning. A woman may be burned to death if her family fails to provide the
expected dowry to the grooms family or if she is suspected of premarital infidelity;
many Indian women commit suicide to escape the brutality of their situation. The
danger from various forms of violent behavior, such as bride burning in India, has
become a worldwide epidemic. While crime rates are trending downward in the
United States, they seem to be increasing abroad. The United States in 1980 clearly
led the Western world in overall crime, but there has been a marked decline in U.S.
crime rates, a trend that has now ranked crime prevalence in the United States
below other industrialized nations, including England and Wales, Denmark, and
Finland. And, contrary to the common assumption that the United States is the most
heavily armed nation on earth, there is new evidence that people around the world
are arming themselves in record numbers: Residents in the fifteen countries of the
European Union have an estimated 84 million firearms. Of that, 67 million (80
percent) are in civilian hands. With a total population of375 million people, this
amounts to17.4 guns for every 100 people.
Though these trends are alarming, making international comparisons is often
difficult because the legal definitions of crime vary from country to country. There
are also differences in the way crime is measured. For example, in the United
States, crime maybe measured by counting criminal acts reported to the police or
40

by using victim surveys, while in many European countries crime is measured by

the number of cases solved by the police. Despite these problems, valid
comparisons can still be made about crime across different countries using a
number of reliable data sources. For example, the United Nations Survey of Crime
Trends and Operations of Criminal Justice Systems (UNCJS) is the most well-known
source of information on cross-national data. The International Crime Victims Survey
(ICVS) is conducted in sixty countries and managed by the Ministry of Justice of the
Netherlands, the Home Office of the United Kingdom, and the United Nations
Interregional Crime and Justice Research Institute. There is also the United Nations
International Study on the Regulation of Firearms. INTERPOL, the international police
agency, collects data from police agencies in 179 countries. The World Health
Organization (WHO) has conducted surveys on global violence. The European
Sourcebook of Crime and Criminal Justice Statistics provide data from police
agencies in thirty-six European nations. What do these various sources tell us about
international crime rates?
Homicide: Many nations, especially those experiencing social or economic
upheaval, have murder rates much higher than the United States. Colombia has
about 63 homicides per 100,000 people, and South Africa51, compared to less than
6 in the United States. During the 1990s there were more homicides in Brazil than in
the United States, Canada, Italy, Japan, Australia, Portugal, Britain, Austria, and
Germany combined. Why are murder rates so high in nations like Brazil? Law
enforcement officials link the upsurge in violence to drug trafficking, gang feuds,
vigilantism, and disputes over trivial matters, in which young, unmarried,
uneducated males are involved.
Rape: Until 1990, U.S. rape rates were higher than those of any Western nation,
but by 2000, Canada took the lead. Violence against women is related to economic
hardship and the social status of women. Rates are high in poor nations in which
women are oppressed. Where women are more emancipated, the rates of violence
against women are lower. For many women, sexual violence starts in childhood and
adolescence and may occur in the home, school, and community. Studies conducted
in a wide variety of nations, ranging from Cameroon to New Zealand, found high
rates of reported forced sexual initiation. In some nations, as many as 46 percent of
adolescent women and 20 percent of adolescent men report sexual coercion at the
hands of family members, teachers, boyfriends, or strangers.
HOW CRIMINOLOGISTS VIEW CRIME
Professional criminologists usually align themselves with one of several schools of
thought or perspectives in their field. Each perspective maintains its own view of
what constitutes criminal behavior and what causes people to engage in criminality.
This diversity of thought is not unique to criminology; biologists, psychologists,
sociologists, historians, economists, and natural scientists disagree among
themselves about critical issues in their fields. Considering the multidisciplinary
nature of the field of criminology, fundamental issues such as the Sexual violence
41

has significant health consequences, including suicide, stress, mental illnesses,

unwanted pregnancy, sexually transmitted diseases, HIV/AIDS, self-inflicted injuries,
and, in the case of child sexual abuse, adoption of high-risk behaviors such as
multiple sexual partners and drug use.
Robbery: Countries with more reported robberies than the United States included
England and Wales, Portugal, and Spain. Countries with fewer reported robberies
included Germany, Italy, and France, as well as Middle Eastern and Asian nations.
Burglary: The United States had lower burglary rates than Australia, Denmark,
Finland, England and Wales, and Canada. It had higher reported burglary rates than
Spain, Korea, and Saudi Arabia.
Vehicle theft: Australia, England and Wales, Denmark, Norway, Canada, France,
and Italy now have higher rates of vehicle theft than the United States.
Child abuse: A World Health Organization report found that child physical and
sexual abuse takes a significant toll around the world. Ina single year about 57,000
children less than 15 years of age are murdered. The homicide rates for children
aged 0 to 4 years were over twice as high as rates among children aged 5 to 14
years. Many more children are subjected to nonfatal abuse and neglect; 8 percent of
male and 25 percent of female children up to age 18 experience sexual abuse of
some kind.
Why the Change?
Why are crime rates increasing around the world while leveling off in the United
States? In some developing nations, crime rates may be spiraling upward because
they are undergoing rapid changes in their social and economic makeup. In Eastern
Europe, the fall of communism has brought about a transformation of the family,
religion, education, and economy. These changes increase social pressures and
result in crime rate increases. Some Asian societies, such as China, are undergoing
rapid industrialization, urbanization, and social change. The shift from agricultural to
industrial and service economies has produced political turmoil and a surge in crime
rates. For example, the island of Hong Kong, long a British possession but now part
of the Peoples Republic of China, is experiencing an upsurge in club drugs. Tied to
the local dance scene, ecstasy and ketamine use has skyrocketedalong with the
traditional drug of choice, heroin. The crime problems we experience in the United
States are not unique.
Critical Thinking
[Link] risk factors at all levels of social and personal life contribute to youth
violence, kids in all nations who experience change in societal level factors such
as economic inequalities; rapid social change; and the availability of firearms,
alcohol, and drugs seem the most likely to get involved in violence. Can anything
be done to help alleviate these social problems?
42

2. The United States is well known for employing much tougher penal measures
than Europe. Do you believe our tougher measures explain why crime is declining in
the United States while increasing abroad?
Nature and definition of crime itselfare cause for disagreement among
criminologists. A criminologists choice of orientation or perspective depends, in
part, on his or her definition of crime: The beliefs and research orientations of most
criminologists are related to this definition. This section discusses the three most
common concepts of crime used by criminologists.
The Consensus View of Crime
According to the consensus view, crimes are behaviors believed to be repugnant to
all elements of society. The term consensus is used because it implies that there is
general agreement among a majority of citizens on what behaviors should be
outlawed by the criminal law and viewed as crimes. The substantive criminal law,
which is the written code that defines crimes and their punishments, reflects the
values, beliefs, and opinions of societys mainstream.
As stated by eminent criminologists Sutherland and Cressey:
Criminal behavior is behavior in violation of the criminal law. . . . [I]t is not a crime
unless it is prohibited by the criminal law [which] is defined conventionally as a
body of specific rules regarding human conduct which have been promulgated by
political authority, which apply uniformly to all members of the classes to which the
rules refer, and which are enforced by punishment administered by the state.
This approach to crime implies that it is a function of existing beliefs, morality, and
rules administered by elected and or appointed government officials. According to
Sutherland and Cresseys statement, criminal law is applied uniformly to all
members of the classes to which the rules refer. This statement reveals the
authors faith in the concept of an ideal legal system that deals fairly with all classes
and types of people. Laws outlawing theft and violence maybe directed at the
neediest members of society, whereas laws banning insider trading, embezzlement,
and corporate price-fixing are aimed at controlling the wealthiest. The reach of the
criminal law is not restricted to any single element of society.
SOCIAL HARM
The consensus view of crime links illegal behavior to the concept of social harm.
Though people generally enjoy a great deal of latitude in their behavior, it is agreed
that behaviors that are harmful to others and to society in general must be
controlled. Social harm is what sets strange, unusual, or deviant behavior or any
other action that departs from social norms apart from criminal behaviors. This
position is not without controversy. Although it is clear that rape, robbery, and
murder are inherently harmful and their control justified, behaviors such as drug use
and prostitution are more problematic because the harm they inflict is primarily on
43

those who are willing participants. According to the consensus view, society is
justified in controlling these so-called victimless crimes because public opinion holds
that they undermine the social fabric and threaten the general well-being of society.
Society has a duty to protect all its members even those who choose to engage in
high-risk behaviors.
The Conflict View of Crime
The conflict view depicts society as a collection of diverse groups owners,
workers, professionals, students who are in constant and continuing conflict.
Groups able to assert their political power use the law and the criminal justice
system to advance their economic and social position. Criminal laws, therefore, are
viewed as acts created to protect the haves from the have-nots. Critical
criminologists often contrast the harsh penalties exacted on the poor for their
street crimes (burglary, robbery, and larceny) with the minor penalties the
wealthy receive for their white-collar crimes (securities violations and other illegal
business practices), though the latter may cause considerably more social harm.
While the poor go to prison for minor law violations, the wealthy are given lenient
sentences for even the most serious breaches of law. Rather than being class
neutral, criminal law reflects and protects established economic, racial, gendered,
and political power and privilege.
Crime, according to this definition, is a political concept designed to protect the
power and position of the upper classes at the expense of the poor. Even crimes
prohibiting violent acts such as armed robbery, rape, and murder may have
political undertones. Banning violent acts ensures domestic tranquility and
guarantees that the anger of the poor and disenfranchised classes will not be
directed at their wealthy capitalist exploiters. According to this conflict view of
crime, real crimes would include the following acts:
Violations of human rights due to racism, sexism, and imperialism
Unsafe working conditions
Inadequate child care
Inadequate opportunities for employment and education and substandard housing
and medical care
Crimes of economic and political domination
Pollution of the environment
Price-fixing
Police brutality
Assassinations and war-making
44

Violations of human dignity

Denial of physical needs and necessities and impediments to self-determination
Deprivation of adequate food and blocked opportunities to participate in political
decision making
The Interactionist View of Crime The interactionist view of crime traces its
antecedents to the symbolic interaction school of sociology, first popularized by
pioneering sociologists George Herbert Mead, Charles Horton Cooley, and W. I.
Thomas.
This position holds that(1) people act according to their own interpretations of
reality, through which they assign meaning to things; (2) they observe the way
others react, either positively or negatively; and(3) they reevaluate and interpret
their own behavior according to the meaning and symbols they have learned from
others. According to this perspective, there is no objective reality. People,
institutions, and events are viewed subjectively and labeled either good or evil
according to the interpretation of the evaluator. For example, some people might
consider the film Pulp Fiction obscene, foul-mouthed, and degrading, but another
observer may consider the same film an imposing work of art. When an argument
results in the death of one of the participants, a jury may be asked to decide
whether it was murder, self-defense, or merely an accidental fatality. Each person
on the jury may have his or her own interpretation of what took place.
According to the interactionist view, the definition of crime reflects the preferences
and opinions of people who hold social power in a particular legal jurisdiction. These
people use their influence to impose their definition of right and wrong on the rest
of the population. Criminals are individuals society has stigmatized, or chosen to
label as outcasts or deviants, because they have violated social rules. In a classic
statement, sociologist Howard Becker argued, The deviant is one to whom that
label has successfully been applied; deviant behavior is behavior people so label.
Crimes are outlawed behaviors because society defines them that way and not
because they are inherently evil or immoral acts. The interactionist view of crime is
similar to the conflict perspective; both suggest that behavior should be outlawed
when it offends people who maintain the social, economic, and political power
necessary to have the law conform to their interests or needs. However, unlike the
conflict view, the interactionist perspective does not attribute capitalist economic
and political motives to the process of defining crime. Instead, interactionists see
the criminal law as conforming to the beliefs of moral crusaders or moral
entrepreneurs, who use their influence to shape the legal process in the way they
see fit.
Laws against pornography, prostitution, and drugs are believed to be motivated
more by moral crusades than by economic values. The three main views of crime
are summarized in
45

The Definition of Crime

The definition of crime affects how criminologists view the cause and control of
illegal behavior and shapes their research orientation.
Consensus View
The law defines crime.
Agreement exists on outlawed behavior.
Laws apply to all citizens equally.
Conflict View
The law is a tool of the ruling class.
Crime is a politically defined concept.
Real crimes are not outlawed.
The law is used to control the underclass.
Interactionist View
Moral entrepreneurs define crime.
Acts become crimes because society defines them that way.
Criminal labels are life-transforming events.
Defining Crime
Today, each definition of crime has its own followers. Thesis important because
criminologists personal definitions of crime dominate their thinking, research, and
attitudes toward their profession. Because of their diverse perspectives,
criminologists have taken a variety of approaches in explaining the causes of crime
and suggesting methods forts control. Considering these differences, it is possible to
take elements from each school of thought to formulate an integrated definition of
crime:
Crime is a violation of societal rules of behavior as interpreted and expressed by a
criminal legal code created by people holding social and political power. Individuals
who violate these rules are subject to sanctions by state authority, social stigma,
and loss of status.
This definition combines the consensus position that the criminal law defines crimes
with the conflict perspectives emphasis on political power and control and the
Interactionist concept of labeling and stigma. Thus crime, as defined here, is a
political, social, and economic function of modern life.
46

CRIME AND THE CRIMINAL LAW

No matter which definition of crime we embrace, criminal behavior is tied to the
criminal law. It is therefore important for all criminologists to have some
understanding of the development of criminal law, its objectives, its elements, and
how it evolves.
The concept of criminal law has been recognized for more than 3,000 years.
Hammurabi (17921750 BCE), the sixth king of Babylon, created the most famous
set of written laws of the ancient world, known today as the Code of Hammurabi.
Preserved on basalt rock columns, the code established a system of crime and
punishment based on physical retaliation (an eye for an eye). The severity of
punishment depended on class standing: If convicted of an unprovoked assault, a
slave would-be killed, whereas a free man might lose a limb. More familiar is the
Mosaic Code of the Israelites (1200 BCE). According to tradition, God entered into a
covenant or contract with the tribes of Israel in which they agreed to obey his law
(the 613 laws of the Old Testament, including the Ten Commandments), as
presented to them by Moses, in return for Gods special care and protection. The
Mosaic Code is not only the foundation of Judeo-Christian moral teachings but is
also a basis for the U.S. legal system. Prohibitions against murder, theft, perjury,
and adultery preceded by several thousand years the same laws found in the
modern United States
Though ancient formal legal codes were lost during the Dark Ages, early German
and Anglo-Saxon societies developed legal systems featuring monetary
compensation for criminal violations. Guilt was determined by two methods. One
was compurgation, in which the accused person swore an oath of innocence with
the backing of twelve to twenty-five oath helpers, who would attest to his or her
character and claims of innocence. The second was trial by ordeal, which was based
on the principle that divine forces would not allow an innocent person to be harmed.
It involved such measures as having the accused place his or her hand in boiling
water or hold a hot iron. If the wound healed, the person was found innocent; if the
wound did not heal, the accused was deemed guilty. Another version of the ordeal
was trial by combat, which allowed the accused to challenge his accuser to a duel,
with the outcome determining the legitimacy of the accusation. Punishments
included public flogging, branding, beheading, and burning.
Common Law
After the Norman conquest of England in 1066, royal judges began to travel
throughout the land, holding court in each county several times a year. When court
was in session, the royal administrator, or judge, would summon a number of
citizens who would, on their oath, tell of the crimes and serious breaches of the
peace that had occurred since the judges last visit. The royal judge would then
decide what to do in each case, using local custom and rules of conduct as his
guide. Courts were bound to follow the law established in previous cases unless a
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higher authority, such as the king or the pope, overruled the law. The present
English system of law came into existence during the reign of Henry II (1154 1189),
when royal judges began to publish their decisions in local cases. Judges began to
use these written decisions as a basis for their decision making, and eventually a
fixed body of legal rules and principles was established. If a new rule was
successfully applied in a number of different cases, it would become a precedent.
These precedents would then be commonly applied in all similar cases hence the
term common law. Crimes such as murder, burglary, arson, and rape are commonlaw crimes whose elements were initially defined by judges. They are referred to as
mala in se, or inherently evil and depraved. When the situation required, the English
Parliament enacted legislation to supplement the judge-made common law. Crimes
defined by Parliament, which reflected existing social conditions, were referred to as
mala prohibit, or statutory crimes. Before the American Revolution, the colonies,
then under British rule, were subject to the common law. After the colonies acquired
their independence, state legislatures standardized common-law crimes such as
murder, burglary, arson, and rape by putting them into statutory form in criminal
codes. As in England, whenever common law proved inadequate to deal with
changing social and moral issues, the states and Congress supplemented it with
legislative statutes, creating new elements in the various state and federal legal
codes. Concept Summary 1.5 lists a number of crimes that were first defined in
common law.
Contemporary Criminal Law
Criminal laws are now divided into felonies and misdemeanors. The distinction is
based on seriousness: A felony is a serious offense; a misdemeanor is a minor or
petty crime. Crimes such as murder, rape, and burglary are felonies; they are
punished with long prison sentences or even death. Crimes such as unarmed
assault and battery, petty larceny, and disturbing the peace are misdemeanors;
they are punished with a fine or a period of incarceration in a county jail. Regardless
of their classification, acts prohibited by the criminal law constitute behaviors
considered unacceptable and impermissible by those in power. People who engage
in these acts are eligible for severe sanctions. By outlawing these behaviors, the
government expects to achieve a number of social goals:
Enforce social control: Those who hold political power rely on criminal law to
formally prohibit behaviors believed to threaten societal well-being or to challenge
their authority. For example, U.S. criminal law incorporates centuries-old
prohibitions against the following behaviors harmful to others: taking another
persons possessions, physically harming another person, damaging another
persons property, and cheating another person out of his or her possessions.
Similarly, the law prevents actions that challenge the legitimacy of the government,
such as planning its overthrow, collaborating with its enemies, and so on.
Discourage revenge: By punishing people who infringe on the rights, property, and
freedom of others, the law shifts the burden of revenge from the individual to the
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state. As Oliver Wendell Holmes stated, this prevents the greater evil of private
retribution.
Although state retaliation may offend the sensibilities of many citizens, it is greatly
preferable to a system in which people would have to seek justice for them.
Express public opinion and morality: Criminal law reflects constantly changing
public opinions and moral values. Mala in scrims, such as murder and forcible rape,
are almost universally prohibited; however, the prohibition of legislatively created
mala prohibited crimes, such as traffic offenses and gambling violations, changes
according to social conditions and attitudes. Criminal law is used to codify these
changes.
Deter criminal behavior: Criminal law has a social control function. It can control,
restrain, and direct human behavior through its sanctioning power. The threat of
punishment associated with violating the law is designed to prevent crimes before
they occur. During the middle Ages, public executions drove this point home. Today
criminal laws impact is felt through news accounts of long prison sentences and an
occasional execution.
Punish wrongdoing: The deterrent power of criminal law is tied to the authority it
gives the state to sanction or punish offenders. Those who violate criminal law are
subject to physical coercion and punishment.
Maintain social order: All legal systems are designed to support and maintain the
boundaries of the social system they serve. In medieval England, the law protected
the feudal system by defining an orderly method of property transfer and
ownership. Laws in some socialist nations protect the primacy of the state by
strictly curtailing profiteering and individual enterprise. Our own capitalist system is
also supported and sustained by criminal law. In a sense, the content of criminal law
is more a reflection of the needs of those who control the existing economic and
political system than are presentation of some idealized moral code.
Some of the elements of the contemporary criminal law are discussed in The
Criminological Enterprise feature The Elements of Criminal Law on pages 2223.
The Evolution of Criminal Law
Criminal law is constantly evolving in an effort to reflect social and economic
conditions. Sometimes legal changes are prompted by highly publicized cases that
generate fear and concern. For example, a number of notorious cases of celebrity
stalking, including Robert John Bardos fatal shooting of actress Rebecca Schaeffer
on July 18, 1989, prompted more than twenty-five states to enact stalking statutes.
Such laws prohibit the willful, malicious, and repeated following and harassing of
another person.

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Similarly, after 7-year-old Megan Kanka of Hamilton Township, New Jersey, was killed
in 1994 by a repeat sexual offender who had moved into her neighborhood, the
federal government passed legislation requiring that the general public be notified
of local pedophiles (sexual offenders who target children).
Californias sexual predator law, which took effect on January 1, 1996, allows people
convicted of sexually violent crimes against two or more victims to be committed to
a mental institution after their prison terms have been served The criminal law may
also change because of shifts in the culture and in social conventions, reflecting a
newfound tolerance of behavior condemned only a few years before. For example,
in an important 2003 case, Lawrence v. Texas, the Supreme Court declared that
laws banning sodomy were unconstitutional because they violated the due process
rights of citizens based on their sexual orientation. In its decision, the court said
Although the laws involved . . . here . . . do not more than prohibit a particular
sexual act, their penalties and purposes have more far-reaching consequences,
touching upon the most private human conduct, sexual behavior, and in the most
private of places, the home. They seek to control a personal relationship that,
whether or not entitled to formal recognition in the law, is within the liberty of
persons to choose without being punished as criminals. The liberty protected by the
Constitution allows homosexual persons the right to choose to enter upon
relationships in the confines of their homes and their own private lives and still
retain their dignity as free persons. As a result of the decision, all sodomy laws in
the United States are now unconstitutional and therefore not enforceable.
The future direction of U.S. criminal law remains unclear. Certain actions, such as
crimes by corporations and political corruption, will be labeled as criminal and given
more attention. Other offenses, such as recreational drug use, may diminish in
importance or be removed entirely from the criminal law system. In addition,
changing technology and its ever-increasing global and local roles in our lives will
require modifications in criminal law. For example, technologies such as automatic
teller machines and cellular phones have already spawned a new generation of
criminal acts including identity theft and software piracy.
Common-Law Crimes
Crimes against the Person
First-degree murder: First-degree murder is unlawful killing of another human
being with malice forethought and with premeditation and deliberation. Example: A
woman buys poison and pours it into a cup of coffee her husband is drinking,
intending to kill him for the insurance benefits.
Voluntary manslaughter: Voluntary man slaughter is intentional killing committed
under extenuating circumstances that mitigate the killing, such as killing in the heat
of passion after being provoked. Example: A husband coming home early from work

50

finds his wife in bed with another man. The husband goes into a rage and shoots
and kills both lovers with a gun he keeps by his bedside.
Battery: Battery is the unlawful touching of another with intent to cause injury.
Example: A man sees a stranger sitting in his favorite seat in a cafeteria and goes
up to that person and pushes him out of the seat.
Assault: Assault is intentional placing of another in fear of receiving an immediate
battery. Example: A student aims an unloaded gun at her professor and threatens to
shoot. The professor believes the gun is loaded.
Rape: Rape is unlawful sexual intercourse with a female without her consent.
Example: After a party, a man offers to drive a young female acquaintance home.
He takes her to a wooded area and, despite her protests, forces her to have sexual
relations with him.
Robbery: Robbery is wrongful taking and carrying away of personal property from
a person by violence or intimidation. Example: A man armed with a loaded gun
approaches another man on a deserted street and demands his wallet.
Inchoate (Incomplete) Offenses
Attempt: An intentional act for the purpose of committing a crime that is more
than mere preparation or planning of the crime. The crime is not completed,
however. Example: A person places a bomb in the intended victims car so that it
will detonate when the ignition key is used. The bomb is discovered before the car is
started. Attempted murder has-been committed.
Conspiracy: Voluntary agreement between two or more people to achieve an
unlawful object or to achieve a lawful object using means forbidden by law.
Example: A doctor conspires with a con man to fake accidents and then brings the
false victims to his office so he can collect medical fees from an insurance
company.
Solicitation: With the intent that another person engage in conduct constituting a
felony, a person solicits, requests, commands, or otherwise attempts to cause that
person to engage in such conduct. Example: A terrorist approaches a person he
believes is sympathetic to his cause and begs him to join in a plot to blow up a
government building.
Crimes against Property
Burglary: Burglary is breaking and entering of a dwelling house of another in the
nighttime with the intent to commit a felony. Example: Intending to steal some
jewelry and silver, a young man breaks a window and enters anothers house at 10
P.M.

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Arson: Arson is the intentional burning of a dwelling house of another. Example: A

worker, angry that her boss did not give her a raise, goes to his house and sets it on
fire.
Larceny: Larceny is taking and carrying away the personal property of another with
the intent to keep and possess the property. Example: While shopping, a woman
sees a diamond ring displayed at the jewelry counter. When no one is looking, the
woman takes the ring, places it in her pocket, and walks out of the store without
paying.
ETHICAL ISSUES IN CRIMINOLOGY
A critical issue facing students of criminology involves recognizing the fields
political and social consequences. All too often, criminologists forget the social
responsibility they bear as experts in the area of crime and justice. When
government agencies request their views of issues, their pronouncements and
opinions become the basis for sweeping social policy. The lives of millions of people
can be influenced by criminological research data. Debates over gun control, capital
punishment, and mandatory sentences are ongoing and contentious. Some
criminologists have successfully argued for social service, treatment, and
rehabilitation programs to reduce the crime rate, but others consider them a waste
of time, suggesting instead that a massive prison construction program coupled
with tough criminal sentences can bring the crime rate down. By accepting their
roles as experts on law-violating behavior, criminologists place themselves in a
position of power; the potential consequences of their actions are enormous.
Therefore, they must be aware of the ethics of their profession and be prepared to
defend their work in the light of public scrutiny. Major ethical issues include these:
What is to be studied?
Who is to be studied?
How are studies to be conducted
WHAT TO STUDY?
Under ideal circumstances, when criminologists choose a subject for study, they are
guided by their own scholarly interests, pressing social needs, the availability of
accurate data, and other similar concerns. Nonetheless, in recent years, a great
influx of government and institutional funding has influenced the direction of
criminological inquiry. Major sources of monetary support include the Justice
Departments National Institute of Justice and the Office of Juvenile Justice and
Delinquency Prevention. Both the National Science Foundation and the National
Institute of Mental Health have been prominent sources of government funding.
Private foundations, such as the Edna McConnell Clark Foundation, have also played
an important role in supporting criminological research.

52

Though the availability of research money has spurred criminological inquiry, it has
also influenced the direction of the research. State and federal governments provide
a significant percentage of available research funds, and they may also dictate the
areas that can be studied. In recent years, for example, the federal government has
spent millions of dollars funding long-term cohort studies of criminal careers.
Consequently, academic research has recently focused on criminal careers. Other
areas of inquiry may be ignored because there is simply not enough funding to pay
for or sponsor the research. A potential conflict of interest may arise when the
institution funding research is itself one of the principal subjects of the research
project. For example, the government may be reluctant to fund research on fraud
and abuse of power by government officials. It may also exert a not-so-subtle
influence on the criminologists seeking research funding: If criminologists are too
critical of the governments efforts to reduce or counteract crime, perhaps they will
be barred from receiving further financial help. This situation is even more acute
when we consider that criminologists typically work for universities or public
agencies and are under pressure to bring in a steady flow of research funds or to
maintain the continued viability of their agency. Even when criminologists maintain
discretion of choice, the direction of their efforts may not be truly objective.
The objectivity of research may be questioned if studies are
The Criminological Enterprise
The Elements of Criminal Law
While each state and the federal government have unique methods of defining
crime, there are significant uniformities and similarities that shape the essence of
almost all criminal law codes. While the laws of California, Texas, and Maine may be
somewhat different, the underlying concepts that guide and shape their legal
systems are universal.
The question remains: Regardless of jurisdictional boundaries, what is the legal
definition of a crime, and how does the criminal law deal with it? Legal Definition of
a Crime Today, in all jurisdictions, the legal definition of a crime involves the
elements of the criminal acts that must be proven in a court of law if the defendant
is to be found guilty. For the most part, common criminal acts have both mental and
physical elements, both of which must be present if the act is to be considered a
legal crime. In order for a crime to occur, the state must show that the accused
committed the guilty act, or acts resumed had the men are, or criminal intent, to
commit the act. The acts resumed may be an aggressive act, such as taking
someones money, burning a building, or shooting someone; or it may be a failure
to act when there is a legal duty to do so, such as a parents neglecting to seek
medical attention for a sick child. The men are (guilty mind) refers to an individuals
state of mind at the time of the act or, more specifically, the persons intent to
commit the crime.
Actus Reus
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To satisfy the requirements of actus Reus, guilty actions must be voluntary. Even
though an act may cause harm or damage, it is not considered a crime if it was
done by accident or was an involuntary act. For example, it would not be a crime if
a motorist obeying all the traffic laws hit a child who had run into the street. If the
same motorist were drinking or speeding, then his action would-be considered a
vehicular crime because it was a product of negligence. Similarly, it would not be
considered a crime if a baby-sitter accidentally dropped a child and the child died.
However, it would be considered manslaughter if the sitter threw the child down in
anger or frustration, and the blow caused the childs death. In some circumstances
of actus Reus, the use of words is considered criminal. In the crime of sedition, the
words of disloyalty constitute the actus Reus. If a person falsely yells fire in a
crowded theater and people are injured in the rush to exit, that person is held
responsible for the injuries, because the use of the word in that situation constitutes
an illegal act. Typically, the law does not require people to aid people in distress,
such as entering a burning building to rescue people trapped by a fire. However,
failure to act is considered a crime in certain instances:
Relationship of the parties based on status: Some people are bound by
relationship to give aid. These relationships include parent child and husbandwife.
If a husband finds his wife unconscious because she took an overdose of sleeping
pills, he is obligated to save her life by seeking medical aid. If he fails to do so and
she dies, he can be held responsible for her death.
Imposition by statute: Some states have passed laws requiring people to give
aid. For example, a person who observes a broken-down automobile in the desert
but fails to stop and help the other parties involved may be committing a crime.
Contractual relationships: These relationships include lifeguard and swimmer,
doctor and patient, and baby-sitter or au pair and child. Because lifeguards have
been hired to ensure the safety of swimmers, they have a legal duty to come to the
aid of drowning persons. If a lifeguard knows a swimmer is in danger and does
nothing about it and the swimmer drowns, the lifeguard is legally responsible for the
swimmers death.
Mens Rea
In most situations, for an act to constitute a crime, it must be done with criminal
intent, or mens rea. Intent, in the legal sense, can mean carrying out an act
intentionally, knowingly, and willingly. However, the definition also funded by
organizations that have a vested interest in the outcome of the research. For
example, a study on the effectiveness of the defensive use of handguns to stop
crime maybe tainted if the funding for the project comes from a gun manufacturer
whose sales may be affected by the research findings. Efforts to show that private
prisons are more effective than state correctional facilities might be tainted if the
researchers received a research grant from a corporation that maintains private
prisons.
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WHOM TO STUDY?
A second major ethical issue in criminology concerns who is the subject of the
inquiries and study. Too often, criminologists focus their attention on the poor and
minorities while ignoring the middle-class criminal who may be committing whitecollar crime, organized crime, or government crime. Critics have charged that by
unmasking the poor and desperate, criminologists have justified any harsh
measures taken against them. For example, a few social scientists have suggested
that criminals encompasses situations in which recklessness or negligence
establishes the required criminal intent. Criminal intent also exists if the results of
an action, although originally unintended, are certain to occur. For example, when
Timothy McVeigh planted a bomb in front of the Murrah Federal Building in
Oklahoma City, he did not intend to kill any particular person in the building. Yet the
law would hold that McVeigh or any other person would be substantially certain that
people in the building would be killed in the blast, and McVeigh therefore had the
criminal intent to commit murder.
Strict Liability
Though common-law crimes require that both the actus Reus and the mens rea
must be present before a person can be convicted of a crime, several crimes
defined by statute do not require mens [Link] these cases, the person accused is
guilty simply by doing what the statute prohibits; intent does not enter the picture.
These strict liability crimes, or public welfare offenses, include violations of health
and safety regulations, traffic laws, and narcotics control laws. For example, a
person stopped for speeding is guilty of breaking the traffic laws regardless of
whether he or she intended to go over the speed limit or did it by accident. The
underlying purpose of these laws is to protect the public; therefore, intent is not
required Criminal Defenses
When people defend themselves against criminal charges, they must refute one or
more of the elements of the crime of which they have been accused. A number of
different approaches can be taken to create this defense.
First, defendants may deny the actus Reus by arguing that they were falsely
accused and that the real culprit has yet to be identified.
Second, defendants may claim that although they engaged in the criminal act of
which they are accused, they lacked the mens rea(intent)needed to be found guilty
of the crime. If a person whose mental state is impaired commits a criminal act, it is
possible for the person to excuse his other criminal actions by claiming that he or
she lacked the capacity to form sufficient intent to be held criminally responsible.
Insanity, intoxication, and ignorance are types of excuse defenses.
A defendant might argue that because he suffered from a mental impairment that
prevented him from understanding the harmfulness of his acts, he lacked sufficient
mens rea to be found guilty as charged.
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Another type of defense is justification. Here the individual usually admits

committing the criminal act but maintains that he or she should not be held
criminally liable because the act was justified. Among the justification defenses are
necessity, duress, self-defense, and entrapment. A battered wife who kills her mate
might argue that she acted out of duress; her crime was committed to save her own
life.
People standing trial for criminal offenses may thus defend themselves by claiming
that they did not commit the act in question, that their actions were justified under
the circumstances, or that their behavior can be excused by their lack of mens Rea.
If either the physical or mental elements of a crime cannot be proven, then the
defendant cannot be convicted.
Critical Thinking
1. Should the concept of the guilty mind be eliminated from the criminal law and
replaced with a strict liability standard? If you do the crime, you do the time?
2. Some critics believe that current criminal defenses, such as the battered wife
defense or the insanity defense, allow the guilty to go free even though they
committed serious criminal acts. Do you agree? Have lower intelligence quotients
than the average citizen, and that because minority group members have lower
than average IQ scores, their crime rates are high.
This was the conclusion reached in The Bell Curve, a popular though highly
controversial book written by Richard Herrnstein and Charles Murray.
Although such research is often methodologically unsound, it brings to light the
tendency of criminologists to focus on one element of the community while ignoring
others. The question that remains is whether or not it is ethical for criminologists to
publish biased or subjective research findings, paving the way for injustice.
HOW TO STUDY?
Ethics are once again questioned in cases where subjects are misled about the
purpose of the research. When white and African American youngsters are asked to
participate in a survey of their behavior or to take an IQ test, they are rarely told in
advance that the data they provide may later be used to prove the existence of
significant racial differences in their self-reported crime rates. Should subjects be
told about the true purpose of a survey? Would such disclosures make meaningful
research impossible? How far should criminologists go when collecting data? Is it
ever permissible to deceive subjects to collect data? Criminologists must take
extreme care when they select subjects for their research studies to ensure that
they are selected in an unbiased and random manner.
When criminological research efforts involve experimentation and treatment, care
must be taken to protect those subjects who have been chosen for experimental
and control groups. For example, it may be unethical to provide a special treatment
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program for one group while depriving others of the same opportunity. Conversely,
criminologists must be careful to protect subjects from experiments that may
actually cause them harm. For example, an examination of the highly publicized
Scared Straight program, which brought youngsters into contact with hardcore
prison inmates to scare them out of a life of crime, discovered that the young
subjects may have been harmed by their experience. Rather than being frightened
into conformity, subjects actually increased their criminal behavior.
SUMMARY
Criminology is the scientific approach to the study of criminal behavior and
societys reaction to law violations and violators. It is essentially an interdisciplinary
field; many of its practitioners were originally trained as sociologists, psychologists,
economists, political scientists, historians, and natural scientists.
Criminology has a rich history, with roots in the utilitarian philosophy of Beccaria,
the biological positivism of Lombroso, the social theory of Durkheim, and the
political philosophy of Marx.
The criminological enterprise includes subareas such as criminal statistics, the
sociology of law, theory construction, criminal behavior systems, penology, and
victim logy.
When they define crime, criminologists typically hold one of three perspectives:
the consensus view, the conflict view, or the Interactionist view.
The consensus view holds that criminal behavior is defined by laws that reflect the
values and morals of a majority of citizens.
The conflict view states that criminal behavior is defined in such a way that
economically powerful groups can retain their control over society.
The Interactionist view portrays criminal behavior as a relativistic, constantly
changing concept that reflects societys current moral values. According to the
Interactionist view, behavior is labeled as criminal by those in power; criminals are
people society chooses to label as outsiders or deviants.
The criminal law is a set of rules that specify the behaviors society has outlawed.
The criminal law serves several important purposes: It represents public opinion
and moral values, it enforces social controls, it deters criminal behavior and
wrongdoing, it punishes transgressors, and it banishes private retribution.
The criminal law used in U.S. jurisdictions traces its origin to the English common
law. In the U.S. legal system, lawmakers have codified common-law crimes into
state and federal penal codes.

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Every crime has specific elements. In most instances, these elements include both
the actus Reus (guilty act)and the mens rea (guilty mind)the persons state of
mind or criminal intent.
At trial, a defendant may claim to have lacked mens Rea and, therefore, not be
responsible for a criminal action. One type of defense is excuse for mental reasons,
such as insanity, intoxication, necessity, or duress. Another type of defense is
justification by reason of self-defense or entrapment.
The criminal law is undergoing constant reform. Some acts are being
decriminalizedtheir penalties are being reducedwhile penalties for others are
becoming more severe.
Ethical issues arise when information-gathering methods appear biased or
exclusionary. These issues may cause serious consequences because research
findings can significantly impact individuals and groups
Thinking like a Criminologist
You have been experimenting with various techniques to identify a sure-fire method
to predict violence-prone behavior in delinquents. Your procedure involves brain
scans, DNA testing, and blood analysis. Used with samples of incarcerated
adolescents, your procedure has been able to distinguish with 80 percent accuracy
between youths with a history of violence and those who are exclusively property
offenders. Your research indicates that if any youth were tested with your
techniques, potentially violence-prone career criminals easily could be identified for
special treatment. For example, children in the local school system could be tested,
and those who are identified as violence prone carefully monitored by teachers.
Those at risk to future violence could be put into special programs as a precaution.
Some of your colleagues argue that this type of testing is unconstitutional because
it violates the subjects Fifth Amendment right against self-incrimination. There is
also the problem of error: Some kids may be falsely labeled as violence prone. How
would you answer your critics? Is it fair and/or ethical to label people as potentially
criminal and violent even though they have not yet exhibited any antisocial
behaviors? Do the risks of such a procedure outweigh its benefits?
CRITICAL THINKING QUESTIONS
1. Beccaria argued that the threat of punishment controls crime. Are there other
forms of social control? Aside from the threat of legal punishments, what else
controls your own behavior?
2. What research method would you employ if you wanted to study drug and alcohol
abuse at your own school? What are the ethical implications of this type of
research?

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3. Would it be ethical for a criminologist to observe a teenage gang by hanging

with them, drinking, and watching as they steal cars? Should he report that
behavior to the police?
4. Can you identify behaviors that are deviant but not criminal? What about crimes
that is not deviant?
5. Do you agree with conflict theorists that some of the most damaging acts in
society are not punished as crimes? If so, what are they?
6. Under common law a person must have mens Rea to be guilty of a crime. Would
society be better off if criminal intent were not considered? After all, arent we
merely guessing about a persons actual motivation for committing crime?
Typologies
Typologies involve classifying offenses or offenders according to some criteria of
relatedness or similarity. For example, criminologists have made many attempts to
arrange offenders into categories such as normal or abnormal and habitual or
professional and to develop a continuum of criminals that would extend from the
insane at one extreme through various career criminals, petty offenders, and
white-collar criminals to organized or professional criminals at the other
extreme. The typological method, while broader than the case study, is not so broad
as the statistical method, being less impersonal and heterogeneous than that
method and less individual or specific than the case study. The method, developed
initially in Germany and Austria, has been criticized because it attempts to reduce
complex phenomena to simple terms while tending to ignore important individual
differences. Despite its considerable intuitive appeal, its problems seem to outweigh
its benefits, and it is consequently not often used.

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CHAPTER II: Understanding Criminology

Criminology and its Scope
Man is a social animal. Human beings live in communities and groups together
engaged in mutual concourse. In order to keep order and avoid conflict it is
essential to have a set of rules and regulations of collective behaviour. Each
community and each group prescribes its own behavioural norms and standards
which keep the wheels of society well-oiled and as far as possible frictionless; only
thus can a community make progress. The norms and standards prescribed in a
particular society determine the activities of the individuals which can be
considered normal or permissible any deviation from these permissible acts is an
abnormal behaviour. If these abnormal acts are pronouncedly deviant and pose
threat to communal order and peace, these are called crimes. Thus crimes may be
defined as an act inimical to social peace and harmony. The crimes may be defined
as an act inimical to social peace and harmony. The crimes are hurtful to social
stability. In order to achieve prevention of crimes, we need to study the various
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causes and background of crimes systematically. The discipline engaged in such a

systematic investigation is known as criminology. Before making a detailed study of
Criminology it is essential to understand its meaning and scope.
Meaning and Definition of Criminology
The word criminology is composite of two words criminal + logy. Literally, it means a
systematic study of the criminals, that is, persons who break or offend the social or
group law. However, since the offences committed by criminals are crimes; and as
crimes occur in society, the term criminology fully means a study of crimes as well
as criminals in relation to society. It also tries to determine the causes of these and
also thereby recommends preventive measures. The science of criminology is a
scientific and systematic study of a social phenomenon. Various scientific
techniques and methods are employed for the study of this phenomenon. As
criminology views man as a social animal, it tries to study social interactions and
phenomena to place its subject matter in a proper perspective. The science of
criminology also investigates the structure and function of social laws rules and
regulations. How do the social laws, conventions and traditions get formulated? How
and why does an individual break them? Is there an element of compulsion or
coercion in his defiance of the law? Or is it deliberate? These and other allied
matters are studied by criminology with a view to find adequate answers which may
help to formulate the effective preventive measures and controls. The reaction of
society towards a criminal and the disposition of criminal towards society are the
important matters for investigation which help to understand adequately the
phenomenon of crime. Only by a full appreciation of these matters can we learn
ways and means to control crime. The above discussion makes explicit the meaning
of criminology. But in order to appreciate fully the nature of criminology, it is
essential to examine closely the definitions given by learned sociologists and
eminent criminologists. Below we give the most important of these definitions:
(1)
According to an eminent sociologist Sutherland: Criminology is the body of
knowledge regarding crime as a social phenomenon. This definition exhibits
sociological bias and regards crime to be reaction to certain set of social factors and
causes.
(2)
According to an eminent criminologist Elliot: Criminology may be defined as
the scientific study of rime and its treatment. This definition, besides emphasizing
the scientific investigation into the nature and etiology of crime, stresses the
practical or utilitarian nature of this body of knowledge, namely, devising ways and
means to prevent or reduce the incidence of crime and rehabilitate criminals as
normal members of the society.
(3)
According to renowned criminologist D. R. Taft: Criminology is the study
which includes all the subject matter necessary to understanding and prevention of
crimes together with the punishment and treatment of delinquents and criminals.
This is a comprehensive definition and describes theoretical as well as practical
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aspects of the study. It brings out clearly the fact, which may get overlooked
usually, that criminology is concerned not with the offences committed by adults
only but also deals with juvenile offences.
According to another noted sociologist Webster, the science of Criminology may be
described to be the scientific study of crime as a social phenomenon, or of
criminals and their mental traits, habits and discipline. This definition has the merit
of emphasizing equally the sociological as well as psychological aspects of the
crime and the criminal.
Nature of Criminology
The foregoing discussion about the meaning and description of criminology makes
abundantly explicit and clear the nature of this science. Fundamentally speaking,
the task of criminology is a scientific, systematic, statistical, structural and
functional in depth study of crime. The behaviour covertly deviant is liable to
become overtly offensive of social norms and laws, both from sociological and
psychological standpoints. Besides having a theoretical understanding of crime,
criminal and his behaviour, the object of criminology is also to devise effective tools
to minimize the incidence of crime, reform and rehabilitate the criminal. Lastly,
criminology also tries to suggest reform in penal code and its enforcement in order
to make these rational and humanitarian.
Scope of Criminology
Like other social sciences, the scope of criminology is also quite vast and extensive.
It is related to each and every social class and structure. Though the scope of
criminology is very vast and coextensive with many sciences, the criminologists
have tried to limit its scope in order to be able to study the subject scientifically,
systematically and exhaustively. The viewpoints of certain notable criminologists are
given on next page:
(A)
According to Sutherland the science of criminology, includes within its scope
the processes of making laws, of breaking laws, and of reacting towards the
breaking of laws. In the opinion of Sutherland criminology has three distinct
aspects of departments. Though distinct, these are nonetheless not independent,
but inter-linked. A thorough study of these aspects exhausts the scope of
criminology; to study all of them is the same as studying the whole science of
criminology. In accordance with Sutherlands description of the scope of
criminology, we can divide it into departments:
(a) The sociology of law-In this we study the nature of crime from legalistic point of
view. Also we investigate into the effects of present laws upon them and study the
possible reforms in the laws in order to prevent and control the occurrence of crime.
The major concern of the sociology of law is to critically examine the impact of
various legal systems upon crime. This study can go a long way to evolve suitable
changes in the laws to curb crime.
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(b) Criminal Etiology-In this department a systematic investigation into the various
causes of crime is made. Here we study the social and personal factors responsible
for the occurrence of crime and growth of criminals.
(c) Penology-Besides knowledge and determination of the causes and factors which
generate or encourage crime, it is equally, if not more essential to know the ways
and means of controlling and preventing the crime. This aspect is studied
systematically and in a scientific manner to achieve control over crime. The facts
and theories in this regard from the scope of Penology, an important department of
criminology.
The Viewpoint of Elliot and Merrill
The eminent scholars Elliot and Merrill have made an exhaustive and thorough
study regarding the scope of criminology. According to these scholars, in
criminology we study four sets of facts. These are as follows:
(a) The Nature of Crime-What are the features of crime? What type of action is
crime? In what respect does a criminal act differ from a social or moral act? Is it just
the action which may be considered criminal or can the motive make difference to
our description of a crime? For example, the theft committed for personal gain and
the theft committed for impersonal reasons or social gain are both cases of theft.
Can we make any distinction between the two? The answers to these questions tell
us the nature of crime.
(b) Investigations into the causes of Crime-Under this aspect of Criminology we
study the reasons of criminal behaviour. The different types of crime have different
causes. Are these differences apparent or real? Can we come by a general theory of
crime which will be adequate to explain all types of crime? Are there relations,
inverse or direct, between various crimes. These questions are investigated under
this head. Besides, we also study the question of responsibility of crimes. If
criminals are made and not born, who is responsible for encouraging criminality? Is
it parent education or social system that is responsible in conjunction or one of
these alone? All these questions form the subject mater of this aspect of
criminology.
(c) Individualized Study of Criminals-How and when does one turn into a criminal?
What particular event or series of events happened which turned man towards
criminality? In order to know all these facts we have to study in detail the personal
lives of the criminals. Also we have to study the life of a person in totality for
understanding the nature of crime and criminal. For this purpose we make use of
what has come to be known as the technique of case-history method.
(d) Study of Prevention of Crime & Reform of the Criminal-Most obviously crimes is
inimical to the interests of the society. They not only disturb the social equilibrium
but make life hell for the criminal as well as his relatives. Even more, due to crime
the normal law abiding citizen lives in fear. Therefore it is most essential to devise
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ways and means to prevent crime and reform the criminals. Should the system of
punishment the deterrent, preventive, reformative or exemplary? What type of
punishment is adequate for each type of crime? Such questions are studied under
this head.
Crime as social problem
Crime is a violation of criminal law for which formal penalties are applied by some
governmental authority. It represents some type of deviation from formal social
norms administered by the state. Crimes are divided by law into various categories,
depending on the severity of the offence, the age of the offender, the potential
punishment that can be levied, and the court that holds jurisdiction over the case.
There is no society in any part of the world, which is without crimes. One of the
serious problems of todays crimes is that in many cases the criminals are socially,
politically and economically so powerful that they decide the course of punishment
for others while they themselves manage to get escaped completely.
Causes of Crime
There are many causes of the crime. Few of the many causes may be discussed as
under:

1.

Poverty

Poverty is one of the most importance causes of crime. In fact it can be said that it
is the root cause of many crimes. Though poverty is a relative term, yet in every
form it result in corruption and adopting illegal and underhand means. Poverty
results in committing suicide and prostitution as well as bribery and so on. Directly
or indirectly poverty is responsible for all sorts of crimes.
2.

Educational System

Unfortunately present day educational system is very defective. The system of

education does not lay stress on morality and character, which are effective forces
for checking crimes. Similarly we find the education is mostly not vocational biased
and does not help the young people to get timely employment. Delay in getting
proper employment encourages tendency towards crime.
3.

Unemployment

In the economic field unemployment plays an important role in committing of

crimes. Thus an unemployed young person can become robber or a thief. He can
become violent and take law into his own hands. In this way unemployment results
in many crimes. That is the reason that we find that in countries, which have
undeveloped economy, and in which chances of unemployment are marginal, rate
of crimes is high.
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Political Set up

Our political set up also encourages crimes in our modern times government
machineries are slow and inefficient with the result that this becomes premium on
the illegal activities of the criminals. Similarly our legal system too is very complex
and complicated and the criminals are confident that they can escape free and
involve some innocent persons in it. They know that by their illegally earned wealth
they can purchase as well as mould the course of law. Not only this, but we find that
some of our politicians encourage criminals for one reason or the other.
5.

Change in Values

As we know that due to industrialization and advancement of science and

advancement of science and technology social values have very greatly changed.
Today we are more materialists and rational as well as individualists. Collectivism
and blind faith is being replaced by new ideas. Due to these changes, social values
have also together changed and restrictions considerably reduced. This has resulted
in committing many crimes.
Deviance (sociology)
In sociology, deviance describes an action or behavior that violates social norms,
including a formally enacted rule (e.g., crime),[1] as well as informal violations of
social norms (e.g., rejecting folkways and mores). It is the purview of sociologists,
psychologists, psychiatrists, and criminologists to study how these norms are
created, how they change over time and how they are enforced.
Norms are rules and expectations by which members of society are conventionally
guided. Deviance is an absence of conformity to these norms. Social norms differ
from culture to culture. For example, a deviant act can be committed in one society
that breaks a social norm there, but may be normal for another society.
Viewing deviance as a violation of social norms, sociologists have characterized it as
"any thought, feeling, or action that members of a social group judge to be a
violation of their values or rules "or group" conduct, that violates definitions of
appropriate and inappropriate conduct shared by the members of a social system.
The departure of certain types of behavior from the norms of a particular society at
a particular time and "violation of certain types of group norms where behavior is in
a disapproved direction and of sufficient degree to exceed the tolerance limit of the
community.
Deviance can be relative to time and place because what is considered deviant in
one social context may be non-deviant in another (e.g., fighting during a hockey
game vs. fighting in a nursing home). Killing another human is considered wrong,
except when governments permit it during warfare or for self defense. Deviant
actions can be mala in se or mala prohibita.
CRIME A Social problems in Pakistan
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Pakistan is a country which at the present scenario is facing a lot of problems which
includes the economic problems, political and with the same time they are also
facing Social problems. In such cases there are several reasons which have created
the scenario in which such problems prevail. One of the very important problem
through which Pakistan is going through is the social problems which have just
ruined the culture, values and norms of the state. There are so many reasons which
have created such social problems and at the same time it has dreadful impacts on
the people as well as the image of the state. One of the biggest social problem is
the crime of the state which has poked its head in most sever manner. The daily
crime which includes theft, target killing, murder and sexual harassment has
inculcated fear and terror in the minds of the citizens of the country. The
government is unable to provide the security to the people of the state and at the
same time it is unable to find out the root causes of such crimes, the root cause
behind this is unemployment and unfair judicial system of the country. The
difference between the poor and the rich has increased and is being increased day
by day which is making the situation further worse. The poor are getting poorer and
the rich are getting richer. So this difference has created so many sections and the
levels in the people and people belonging to same levels interact with each other in
other manners and with the other level people they react in other manner so this
differentiation has also increased hate redness and bad feeling for each other. Being
as Islamic state we have forgotten the basic Islamic principle which has stated that
all Muslims are brother of each other and nobody has any priority over other.
Another social problem is the gender discrimination. In Pakistan females are being
neglected and are not considered as the part of the society and are not encouraged
to move forward and compete with male in all the sections of life which has given
unequal rights to the both genders which is again the basic rules and regulation of
the religion Islam.
Social problems of Pakistan also include the curse like corruption, religious
extremism and division in various religious sects which includes Shia, Sunni,
Wahhabi, Barailvi and many more. This has ultimately reduced the combined
strength of the country and instead of being one powerful unit we have divided
ourselves in many sects which have shared the power and has ultimately reduced
the combined power of the Islamic Republic of Pakistan. It is very important to get
rid of these social problems as soon as possible before it gets too late and we give
our opponents a golden chance to rule us as before.
What is the definition of a sin? The Prophet Muhammad once said, "Righteousness
is good character, and sin is that which wavers in your heart and which you do not
want people to know about."
In Islam, there is nothing like the Christian concept of original sin, for which all
human beings are eternally punished. Nor does sinning automatically cause
someone to be ousted from the faith of Islam. We each try our best, we each fall
short, and we each (hopefully) seek Allahs forgiveness for our shortcomings. Allah
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is prepared to forgive, as the Quran describes: "God will love you and forgive you
your sins; for God is Much-Forgiving, a Dispenser of Grace" (Quran 3:31).
Of course, sin is something to be avoided. From an Islamic perspective, however,
there are some sins which are extremely serious and are thus known as Major Sins.
These are mentioned in the Quran as being worthy of punishment both in this world
and the hereafter. (See below for a list.)
Other missteps are known as Minor Sins; not because they are insignificant, but
rather because they are not mentioned in the Quran as having a legal punishment.
These so-called minor sins are sometimes overlooked by a believer, who then
engages in them to the extent that they become part of their lifestyle. Making a
habit of sinning brings a person further away from Allah, and causes them to lose
faith. The Quran describes such people: ...their hearts have been sealed by the
sins they have accumulated (Quran 83:14). Additionally, Allah says that you
counted it a little thing, while with Allah it was very great (Quran 24:15).
One who recognizes that he or she is engaging in minor sins, must vow to make
lifestyle changes. They must recognize the problem, feel remorse, vow not to repeat
the mistakes, and seek forgiveness from Allah. Believers who sincerely care about
Allah and the hereafter must do their best to avoid both Major and Minor sins.
Major Sins in Islam
The major sins in Islam include the following behaviors:
Associating others with God (shirk or polytheism) This is the only sin which Allah
considers unforgivable, as it violates the primary tenet of Islam which is the Unity of
God.
Murder
Adultery or fornication
Theft
Consuming usury (interest)
Stealing from an orphans estate
Bearing false witness
Engaging in magic or fortune-telling
Abandoning the battle-field during a time of war
Drinking alcohol
Slandering chaste women
Disrespecting ones parents
Minor Sins in Islam
It is difficult to list all of the minor sins in Islam. The list should include anything
which violates Allahs guidance, which is not itself a Major sin. A minor sin is
something you are ashamed of, which you would not want people to find out about.
Some of the most common behaviors include:
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Breaking a promise
Being immodest (flirting, watching obscene movies/TV, etc.)
Being suspicious or spying on others
Name-calling or bullying another person
Talking excessively about things which are not our business
Swearing
And so on.

Repentance and Forgiveness

In Islam, committing a sin doesn't eternally separate a person from the Almighty.
The Quran reassures us that Allah is prepared to forgive us. "Say: Oh, my servants
who have transgressed against their own souls! Do not despair of Allah's mercy.
Indeed Allah forgives all sins, for Truly He is Oft-Forgiving, Most Merciful (Quran
39:53).
One can rectify minor sins by seeking forgiveness from Allah, and then practicing
good deeds such as giving to the needy in charity. Above all, we should never doubt
Allahs Mercy: "If you avoid the great sins which you are forbidden to do, We shall
remit from you your (small) sins, and admit you to a Noble Entrance (i.e. Paradise)"
(Quran 4:31).
He Holy Last Messenger (s.a.s.) said:
Righteousness is good morality and sin is that which causes discomfort (or
pinches) within your soul and which you dislike people to become informed of.
[Sahih Muslim]
Sin is that aspect in a Muslims life in which he or she makes effort to abstain from
at all costs. Allah warns all of mankind that everything mankind does in this world
will be put before us on Yawmul-Qiyaama (The Day of Resurrection) in Surah alZilzal:
And he who does an atoms weight of good will see it. And he who does an atoms
weight of evil will see it. [Holy Quran, 99:7-8]
Allah also warns mankind that the one whose bad deeds (sins) are heavy will be in
Hell, as can be found in Surah al-Qariah. A Muslims strife is to live the life of a
believer and separate from the likeness of the sinner, as Allah differentiates the
Mumin (believer) from the fasiq (sinner) in Surah As-Sajdah:
Is he who is a believer like unto him who is a sinner? They are not alike! For those
who believe and do righteous works, for them are Gardens of Retreat, a welcome (in
reward) for what works they did. And as for those who do evil, their abode is the
Fire. Whenever they wish to leave, they will be forced back into it, and it will be said
to them: Taste the torment of the Fire which you used to reject. [Holy Quran,
32:18-20]
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It is clear that one must steer away from sin and do righteous acts. However
uncertainty arises in the mind when referring to the subject of sin such as 1.) the
difference between a sin and a mistake, 2.) Shaytaans (Satan) role in the
commission of a sin, 3.) if one becomes removed from Islam due to committing a
sin, and 4.) the major sins. The purpose of this essay is to provide concise answers
to such inquiries, inShaAllah.
Question: What is the difference between sin and mistakes? What role
does Shaytaan, the accursed one, play in sin?
Fault means any action that takes place unintentionally and sin is with intention. For
example, Shaytaan put such ideas into the heart of Hazrat Adam (a.s.) to approach
the tree. Adam did it and as a result, Allah sent him to the earth. Similarly, Hazrat
Yunus (Jonah) committed a fault and he adopted that way prohibited to him
according to the instruction of Allah. Allah says in the Holy Quran that it was
Shaytaan who put the idea into Hazrat Adam and Hazrat Yunus (a.s.), so there is no
doubt that Shaytaan can put these ideas into the hearts of the Nabiyeen to divert
their attention from the right way. But the mistakes they commit are only according
to the Hikmat of Allah. These mistakes are below the standards of the Nabiyeen, so
we cannot point it out that they took place according to the Order of Allah. We must
say Shaytaan is responsible. All the good things take place from the Kindness of
Allah while all of the bad things are due to Shaytaan. The awliya are not free from
this was-was (evil whispers), but if this was-ws happens to any wali, as soon as he
realizes it, he busies himself in tawba (repentance). But on the other hand, the
common people, when they commit a sin, they do not realize it and they do not feel
guilty about it.
Note: Sins are of three types:
1.

against Allah.

2.

against brotherhood.

3.

against humanity.

In Hadith, Hazrat Anas (r.a.) narrated that Rasulullah (s.a.s.) said Shaytaan travels
through the body like blood.
Explanation by Imam Al-Bukhari and Imam Muslim: Allah gave full power to
Shaytaan to put evil ideas into the hearts of men. If a man does not act upon these
ideas, he has passed the worldly examination and will get a high place in Jinnah
(Heaven). When we say that the Shaytaan travels through the body like blood, it
means not physically but according to his evil ideas or thinking there are things that
travel like the human blood.
In Hadith Hazrat Imam Abu Hanifah (r.a.) related that the Nabi (s.a.s.) said:

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The was-ws that enters the hearts of my ummah Allah has forgiven, as long as
they dont act upon or voice it. [Imam Al-Bukhari and Imam Muslim agree on it]
Tafsir (Commentary): Was-ws is the bad intentions that enters ones heart. And
those good intentions that enter ones heart is called ilham. The ilham wont be
accepted unless it is accordance with the Holy Quran and Hadith. Bad thoughts by
a person that is not related to aqeeda (belief), and doesnt act on them, for him is
Maafoo (forgiveness). If vice versa is related to kufr (disbelief), then it will be kufr.
And if related to dhal (straying away), then it will be dhalleen. For both of these
situations, tawba is fardh (obligatory). If this intention is related to any actions and
not aqaid (belief), and he keeps this intention in his heart, then he is a sinner.
Question: Does the commission of sin remove one from Islam?
Hazrat Anas bin Malik relates Rasulullah said that three things form the foundation
of Al-Islam.
1.)
Whosoever says Laa ilaaha illAllah, Muhammadur-Rasulullah (There is none
worthy of worship, but Allah, Muhammad is His Messenger), do not take him out of
Al-Islam because he committed a sin.
2.)
From the time I was sent as Nabi, Jihad will continue until the last person of
this ummah wages war against the dajjal, and the rule of a tyrant and the justice of
a just ruler can not abrogate this.
3.)

To accept the taqdir of Allah. [Sahih of Abu Dawud]

Tafsir: Ahlus-Sunnah (The People of the Sunnah, or traditions & practice of the Holy
Nabi Muhammad, May Allahs Peace and Blessings be upon him.) does not remove
someone from Al-Islam because he committed a sin, but the Khariji say the person
becomes a kafir (disbeliever). The Mutazila say the person will be out of Islam, but
still be Muslim. If a person commits such an act which is a sign of kafir (wearing
crosses, sajda to idols, etc.) then he will be out of Islam, but if someone says
something that has one hundred meanings and ninety-nine are kafir and one is
Islam, then we must take the one meaning unless hes referring to any of the
ninety-nine.
Question: What other kinds of sin are there, and how are they forgiven?
Kabirat is that which Shariah has strictly forbidden. And the punishment for that in
this dunya is haad or tazirat or the punishment will come in Akheel. Kabirat
pertains to that which is not forgiven, until a person makes tawba (repentance).
Gumara sajira, or its called tharaba sajira, is forgiven through practicing of good
deeds. If one commits tharaba sajira continuously, it becomes tharaba kabira. There
are four kinds of tharuba (sins).
1.) That which will not be forgiven without tawba. Commission of this sin is like a
kafir.
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2.)
That sin which has a possibility of being forgiven by tawba or by good deeds.
These are tharaba saghira.
3.)
Those sins for which tawba is necessary, but, if Allah wills, he can forgive
without tawba. This is tharaba kabira, but it is tharab that transgress the rights of
Allah.
4.) The tharab kabira that are connected to the rights of the society, other people.
For forgiveness, it is necessary to make tawba and then restore the rights to that
person and ask his forgiveness, and on conditions that he forgives you. This does
not pertain exclusively to wealth. If one does not ask for forgiveness and is not
forgiven, then on Yawmul-Qiyaama, the one whose rights have been transgressed
will be given the good deeds of the transgressor as much as he pleases in
accordance with justice. Or else the sins of the oppressed will be given to the
transgressor according to justice. Allah may, of His own will, make the oppressed
happy and show Mercy to the dhalameen (oppressor).
Hadith: Hazrat Abdullah bin Masud narrates that a person asked Rasulullah (s.a.s.),
Ya Rasulullah, according to Allah, which is the greatest sin? Rasulullah (s.a.s.)
answered, To associate partners with Allah (known as shirk), while He has created
you. Then he was asked, Which is the biggest sin after that? And he (s.a.s.) said,
To kill your offspring because he will eat with you. Then he was asked Which is
the greatest after that, and he said, To make zinna (fornication) with your
neighbors wife.
As can be seen from the evidence provided, sin is a very major issue in the life of a
Muslim. A Muslim strives to gain the pleasure of Allah and abstains from that which
incurs the wrath of Allah. A Muslim begs Allah for His Guidance each and every time
he or she performs Salaat (the ritual form of prayer a Muslim is commanded to
perform five times a day), by reciting the last three ayats of Surah al-Fatiha (the
opening Surah of the Holy Quran):
(We beg of you to) Guide us in the Straight Path. The path of those whom You have
favored. Not of those who have earned your anger, and nor of those who have gone
astray.
Allah shows the Muslim the prayer for seeking His Guidance and avoiding His Wrath.
The Mumin is one who fully adheres to the Shariah and earns the Pleasure of Allah,
thus steering away from sin at all costs. Al-Gawth Al-Azam Shaykh Muhyyuddin
Abdul-Qadir al-Jilani (r.a.) has given many discourses on securing this path, and
inFutuh Al-Ghaib (The Revelations of the Unseen), he states in the very first
discourse:
Three things are indispensable for a believer in all conditions of life: he should keep
the Commandments of Allah; he should abstain from the haraam (forbidden); and
he should be pleased with the decree of Providence. Thus the least that is expected
of a believer is that he should be without these three things. So it is meant that he
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should make up his mind for this and talk to himself about this and keep his organs
engaged in this.
In conclusion, one sees that there exists a distinct difference between sin and
mistakes. One should distinguish between the two and be aware of what his or her
niyyat (intention) is before proceeding with an action. The Holy Last Messenger
(s.a.s.) Actions are but by intentions and every man will have but that which he
[Link] is best that one proceeds with the intention of pleasing Allah, and doing
an action for Allahs sake. Major sins are those sins in which a Muslim would never
imagine of doing under any circumstances, but if committed, tawba would be
performed immediately. Ones sins do not remove him or her from Islam unless he
or she commits an act of kafir, unless their belief removes one from Islam. Allah
says: If I were to punish everyone for their sins, then NOTHING would remain in
existence. The worst sin anyone could ever commit is to ascribe partners with
Allah, and this is known as shirk.
The evil which man does is either by his nafs (the unruly self which causes man to
act irreligiously and cause his own harm) or Shaytaan. Allah is not happy with evil or
bad deeds, and good deeds make Allah happy. And good is done by the help of
Allah, but Allah only helps who desires good and puts forth effort. May Allah guide
us all and forgive the sins of the past and the present and protect us from future
sins. Aameen!
Vice
Vice is a practice, behavior, or habit generally considered immoral, sinful, depraved,
or degrading in the associated society. In more minor usage, vice can refer to a
fault, a negative character trait, a defect, an infirmity, or a bad or unhealthy habit
(such as an addiction to smoking). Vices are usually associated with a transgression
in a person's character or temperament rather than their morality.[1] Synonyms for
vice include fault, sin, depravity, iniquity, wickedness, and corruption.
The opposite of vice is virtue.
'Norm' refers to attitudes and behaviors that are considered normal, typical or
average within that group. All societies have cultural norms. Even though norms
influence every facet of our lives, including what we value, our attitudes, and how
we behave, we are often unaware that we are influenced at [Link] 11, 2015
Difference between Norms and Values of Society
Both termsnorms and valuesare at many times used interchangeably in our dayto-day discourse. But social scientists use them in a specific sense. Social norms are
standards, rules, guides and expectations for actual behaviour, whereas values are
abstract conceptions of what is important and worthwhile. Honesty is a general
value; the expectation that students will not cheat or use such material forbidden
by the codes in the examinations is a norm.
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Values are general guidelines, while norms are specific guidelines. Values are
general standards, which decide what is good and what is bad. Norms are rules and
expectations that specify how people should and should not behave in various social
situations.
To conform to a particular value of a society, there can be many norms. Norms link
values with actual norms. In brief, values are ends while norms are means to
achieve these ends. Sometimes, the values and norms of a society conflict with
each other. The change in one element of material culture (mechanization of
agriculture) may sometimes conflict with the associated aspect of non-material
culture (system of joint family or collective living).
Though there is a difference between norms and values, still, there is often a direct
relationship between values, norms, and sanctions of a society. For example, if a
society highly values the institution of marriage, it may have norms and strict
sanctions which prohibit the act of adultery and allow divorce only in hard cases.
If a society views private property as a basic value, it will probably have stern laws
against theft and vandalism. The most cherished values (right of life) of a society
will receive the heaviest sanctions (capital punishment), whereas matters regarded
as less critical will carry light and informal sanctions.
Culture: Values, Norms & Material Objects
The sociological study of culture focuses on values, norms, material objects,
language, and cultural change. These cultural components, while not an exhaustive
list, comprise the bulk of cultural activities and practices of interest to cultural
sociologists. This article defines the main components of culture, provides
examples, and explains the role these components plays in constructing a culture.
This article explores the sociology of culture in three parts: An overview of values,
norms; material objects, language, and cultural change; a description of the growth
of cultural relativistic thought in cultural sociology, and; a discussion of the issues
related to cultural sociology's relationships with the fields of cultural studies and
traditional sociology.
Culture: Values, Norms Overview
The sociology of culture, also referred to as cultural sociology, is an increasingly
studied sub-field of sociology. While society remains sociology's primary object of
study, sociologists do actively explore the ways in which culture operates in and
shapes society. The term society refers to a group of people living and interacting in
a defined area and sharing a common culture. Sociologists define culture as the set
of customs, attitudes, values, and beliefs that characterize one group of people and
distinguish them from other groups. Culture is the collection of customs, attitudes,
values, and beliefs that characterizes one group of people and distinguishes them
from other groups. Culture includes the products of a group of people. Culture is
passed from one generation to succeeding generations through immaterial culture,
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such as values, norms, language, rituals, and symbols, and material culture, such as
objects, art, and institutions.
Sociological Approaches to Cultural Study
Cultural sociology employs five distinct approaches to the study of culture. These
approaches, including the organizational approach, social-systemic approach,
culture-critical movement, sociological phenomenology, and semiotic approach,
each offer a distinctive conception of culture.
In the organizational approach, sociologists study the impact that the social
relations of production, distribution, and consumption of culture have on culture.
In the social-systemic approach, sociologists study the exchanges between culture
as a whole and society as a whole.
In the culture-critical movement approach, sociologists study a culture as a whole
entity. In the sociological phenomenology approach, sociologists study the
subjective meanings that the researcher or interpreter attributes to cultural
elements, objects and acts.
In the semiotic approach, sociologists study the meanings and definitions symbolic
designs and social texts (Kavolis, 1985).
Despite variations in approach and focus to the sociological study of culture, cultural
sociology recognizes that the main components of culture include values, norms,
and material objects. Understanding the role culture plays in society is vital
background for all those interested in the sociology of culture. This article explores
the sociology of culture in three parts: An overview of values, norms; material
objects, language, and cultural change; a description of the growth of cultural
relativism in cultural sociology, and; a discussion of the issues related to cultural
sociology's relationships with the fields of cultural studies and traditional sociology.
Values
Values refer to intangible qualities or beliefs accepted and endorsed by a given
society. Values are distinct from attitudes, traits, norms, and needs. Values share the
following characteristics and qualities:

Values
Values
Values
Values

tend to be unobservable;
tend to be conflated with other social and psychological phenomena;
tend to have historical and cultural variability.
express an idealized state of being.

Examples of modern U.S. values include achievement; success; independence;

freedom; democracy; scientific discovery; progress; comfort; education; and ideas
of racial, sexual, religious, or gender superiority and have found ten values shared
by 70 cultures spread throughout the world. These ten values include hedonism,
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power, achievements, stimulation,

conformity, tradition, security.

self-direction,

universalism,

benevolence,

Values influence individual and group action. Sociologists study the mechanisms
through which values inspire, motivate and influence action in and by society.
Sociologists have found that values must be activated in individual and group
consciousness to effect action. Values, once activated, lead to varying levels of
acceptance for certain actions. Values influence attention, perception, and
interpretation within situations and ultimately influence the planning of individual
and group action. Sociologists study how individuals learn values. Sociology
currently speculates that an individual's values, shaped through late adolescence,
tend to be stable across the life course (Hitlin & Piliavin, 2004).
Norms
Norms refer to conditions for social relations between groups and individuals, for the
structure of society and the difference between societies, and for human behavior in
general. Norms are shared rules, customs, and guidelines that govern society and
define how people should behave in the company of others. Norms may be
applicable to all members of society or only to certain subsets of the population,
such as students, teachers, clergy, police officers, or soldiers in warfare. Norms
guide smooth and peaceful interactions by prescribing predictable behavior in
different situations. For instance, in the United States, handshaking is a traditional
greeting; in other countries, the expected protocol upon meeting someone might be
to kiss both cheeks, bow, place palms together, or curtsy. Norms tend to be
institutionalized and internalized. Most social control of individuals through norms is
internal and guided by the pressures and restraints of cultural indoctrination.
Individual cultures sanction their norms. Sanctions may be rewards for conformity to
norms or punishment for nonconformity. Positive sanctions include rewards, praise,
smiles, and gestures. Negative sanctions include the infliction of guilt,
condemnation, citations, fines, and imprisonment (Opp, 1979).
There is a definite difference and distinction between values and norms. Values are
individual or, in some instances, commonly shared conceptions of desirable states
of being. In contrast, norms are generally accepted prescriptions for or prohibitions
against behavior, belief, or feeling. While values can be held by an individual, norms
cannot and must be upheld by a group. Norms always include sanctions but values
never do. Norms tend to be based on and influenced by common values and they
tend to persist even after the reasons for certain behaviors are forgotten. For
instance, the habit of shaking hands when meeting another person has its origin in
the practice of revealing that the right hand did not conceal a weapon (Morris,
1956).
Types of Norms
Sociologists divide norms into four types: Folkways, mores, taboos, and laws. These
four types of norms are ranked from least restrictive to most compulsory.
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Protect common conventions

Folkways refer to norms that protect common conventions. Most people in a society
follow traditional folkways but failure to conform to them is considered neither
illegal nor immoral. Examples of common folkways found in the United States
include having turkey for Thanks giving dinner or mowing ones lawn.
Moral values
Mores refer to stronger norms with associated moral values. Examples of common
mores found in the United States include prohibitions against murder, multiple
spouses, or desecration of religious symbols.
Taboos refer to the strongest types of mores. Taboos include the belief that certain
activities, such cannibalism, are outside the bounds of cultural acceptance.
Violations of mores and taboos tend to be treated with strong social disapproval or
criminal consequences.
Laws refer to the mores that are formally enforced by political authority and backed
by the power of the state. Laws may enforce norms or work to change them.
Examples of laws that worked to change existing norms include the liquor
prohibition laws of the 1920s or civil rights legislation of the 1950s.
Social norms
Ultimately, social norms are important, in part, because they enable individuals to
agree on a shared interpretation of the social situation and prevent harmful social
interactions. When individuals transgress against existing norms, they are engaging
in a norm violation. Norm violations refer to public or private instances of
transgression and deviance from culturally-sanctioned behaviors (Kiesler, 1967).
Material Objects
Material objects, also known as material culture, refer to items with physical
substance shaped or produced by humans. Material culture includes all past...
Entering the Century of the Environment: A New Social Contract for
Science
ABSTRACT
As the magnitude of human impacts on the ecological systems of the planet
becomes apparent, there is increased realization of the intimate connections
between these systems and human health, the economy, social justice, and national
security. The concept of what constitutes the environment is changing rapidly.
Urgent and unprecedented environmental and social changes challenge scientists to
define a new social contract. This contract represents a commitment on the part of
all scientists to devote their energies and talents to the most pressing problems of
76

the day, in proportion to their importance, in exchange for public funding. The new
and unmet needs of society include more comprehensive information,
understanding, and technologies for society to move toward a more sustainable
biosphereone which is ecologically sound, economically feasible, and socially just.
New fundamental research, faster and more effective transmission of new and
existing knowledge to policy- and decision-makers, and better communication of
this knowledge to the public will all be required to meet this challenge.
Scientists today are privileged to be able to indulge their passions for science and
simultaneously to provide something useful to society. With these privileges, of
course, comes serious responsibility. The close of a century and a millennium
provides an occasion for reflection on the nature of these responsibilities and an
evaluation of the extent to which we are fulfilling them.
The scientific enterprise has provided phenomenal understanding of our bodies, our
minds, our world, and our universe. The advances that have emerged from space,
defense, and medical research, among many other areasall of which have
depended on basic research across all disciplineshave been astounding. Space
exploration, for example, has given us not only new understanding of the cosmos,
and wonderful products and technologies, but also a new sense of our world and
ourselves: a sense captured forever by that first photograph of the whole Earth
taken against the black background of space. Scientific research is advancing
explosively on all fronts. The benefits include a dizzying array of new knowledge,
economic opportunities, and productsranging from laser surgery to genetic
testing, from global positioning systems to prediction of El Nio events, from the
discovery of new drugs derived from natural products to new information systems.
In the United States, much of the investment that produced this wealth was a result
of strong bipartisan political support and popular enthusiasm for science that began
during World War II and increased substantially in the 1960s. This support was
predicated in part upon an (unwritten) social contract between science and society,
specifically the expectation that a substantial investment in research would result in
winning the war (initially World War II and later the Cold War), winning the space
race, and conquering diseases (bacterial infections, polio, and cancer). The scale of
the U.S. investment in science changed dramatically during this period. Investment
in science in most other developed nations is predicated upon a similar expectation
of a return of knowledge and technology to society. The scientific enterprise that
has produced this wealth is widely admired and envied. The question I pose is
whether the enterprise that has met these past challenges is prepared for the
equally crucial and daunting challenges that lie in our immediate future. The answer
that I must give is no. I assert that the immediate and real challenges facing us
have not been fully appreciated nor properly acknowledged by the community of
scientists whose responsibility it is, and will be, to meet them.
Part of our collective responsibility to society must include a scientific communitywide periodic reexamination of our goals and alteration of our course, if appropriate.
77

The fact that the scientific community has responded to societal needs several
times in the past centuryalthough generally in wartimeprovides encouragement
that it is possible to mobilize and change course rapidly in the face of a crisis. As the
geologist Marshal Kay was fond of saying, What does happen, can happen.
Despite the plethora of reports examining the future of the scientific enterprise
(1, 2), I see the need for a different perspective on how the sciences can and should
advance and also return benefit to society. This different perspective is firmly
embedded in the knowledge of specific, identifiable changes occurring in the natural
and social worlds around us. These changes are so vast, so pervasive, and so
important that they require our immediate attention. Scientific knowledge is
urgently needed to provide the understanding for individuals and institutions to
make informed policy and management decisions and to provide the basis for new
technologies.
This paper is organized around four key questions: How is our world changing? What
are the implications of these changes for society? What is the role of science in
meeting the challenges created by the changing world? And how should scientists
respond to these challenges? My goal in communicating these thoughts is to
stimulate a dialogue within the scientific community on these topics. I hope that the
result will be a thoughtful reexamination of our individual and collective priorities
and actions.
The Board of Directors of AAAS has initiated an electronic discussion of the
relationship between science and society. A paper, summarizing its deliberations
along with comments from a number of scientists, is posted to invite an exchange of
ideas on the questions posed above. On behalf of the Board, I invite your
participation.
GLOBAL CHANGES AND THEIR CAUSES
How is our world changing? One major way is that we now live on a humandominated planet. The growth of the human population and the growth in amount of
resources used are altering Earth in unprecedented ways. Through the activities of
agriculture, fisheries, industry, recreation, and international commerce, humans
cause three general classes of change. Human enterprises
(i) transform the land and seathrough land
urbanization, mining, trawling, dredging, and so on;

clearing,

forestry,

grazing,

(ii) Alter the major biogeochemical cyclesof carbon, nitrogen, water, synthetic
chemicals, and so on; and
(iii) Add or remove species and genetically distinct populationsvia habitat
alteration or loss, hunting, fishing, and introductions and invasions of species.
The resulting changes are relatively well documented but not generally appreciated
in their totality, magnitude, or implications. Vitousek and colleagues have provided
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a succinct and dramatic summary of the extent of human domination of Earth in the
following six conclusions (4):
(i) between one-third and one-half of the land surface has been transformed by
human action (7);
(ii) the carbon dioxide concentration in the atmosphere has increased by nearly
30% since the beginning of the Industrial Revolution (8);
(iii) more atmospheric nitrogen is fixed by humanity than by all natural terrestrial
sources combined (9); (iv) more than half of all accessible surface fresh water is put
to use by humanity (10);
(v) about one-quarter of the bird species on Earth have been driven to extinction
(11); and (vi) approximately two-thirds of major marine fisheries are fully exploited,
overexploited, or depleted (12).
The rates and spatial scales of most of these changes are increasing. In addition,
some of the changes are new. Novel chemical compoundsranging from
chlorofluorocarbons to persistent organic compounds such as DDT and PCBsare
being synthesized and released. Only a few of the thousand or so new chemicals
released each year (13) are monitored; the biological effects of most are unknown,
especially synergistic interactions of different compounds (14), and interference
with developmental and hormonal systems (15).
Many of these physical, chemical, and biological changes entrain further alterations
to the functioning of the Earth system, most notably causing:
(i) disruptions to the global climate ,
(ii) depletion of stratospheric ozone ,
(iii) irreversible losses of biological diversity , and
(iv) Changes in the structure and functioning of ecosystems around the world.
The conclusions from this overview are inescapable: during the last few decades,
humans have emerged as a new force of nature. We are modifying physical,
chemical, and biological systems in new ways, at faster rates, and over larger
spatial scales than ever recorded on Earth. Humans have unwittingly embarked
upon a grand experiment with our planet. The outcome of this experiment is
unknown, but has profound implications for all of life on Earth. An assessment from
the Ecological Society of America entitled the Sustainable Biosphere Initiative states
that environmental problems resulting from human activities have begun to
threaten the sustainability of Earth's life support systems. Among the most
critical challenges, facing humanity, are the conservation, restoration and wise
management of the Earth's resources.

79

The world is changing in myriad other important ways as well. Inequity within and
among all nations has increased; new infectious diseases have emerged; there are
dramatically more democratic governments; technology, communication, and
information systems have undergone revolutionary changes; markets have become
global; the biotic and cultural worlds have been homogenized; the rate of transport
of people, goods, drugs, and organisms has increased around the globe;
multinational corporations have emerged; and nongovernmental organizations have
increased. (22). Most of these changes have profound implications for our future.
Integration of the human dimensions of these global changes with the physicalchemical-biological dimensions is clearly needed.
The individual and collective changes described above are so different in
magnitude, scale, and kind from past changes that even our best records and
models offer little guidance concerning the scale or even the character of likely
responses to these challenges. The future is quite likely to involve increasing rates
of change; greater variance in system parameters; greater uncertainty about
responses of complex biological, ecological, social, and political systems; and more
surprises. The world at the close of the 20th century is a fundamentally different
world from the one in which the current scientific enterprise has developed. The
challenges for society are formidable and will require substantial information,
knowledge, wisdom, and energy from the scientific community. Business as usual
will not suffice.
CHANGES FOR ECOSYSTEM SERVICES AND HUMANITY
Many of the environmental changes have serious consequences for humanity.
Climatic disruption, increased ultraviolet (UV)-B radiation, or insufficient drinking
water provide examples of undesirable outcomes. Many of the most serious
consequences are less obvious and mediated through the functioning of ecological
systems. Humans and our social and economic systems are intimately dependent
upon the ecological systems now undergoing rapid changes (21,23).
Ecological systemsfrom wetlands, forests, coral reefs, and tundra, to grasslands,
kelp beds, estuaries, and the open oceanprovide a broad range of essential goods
and services to humanity. They are the life-support systems for all of life on Earth.
Ecological goods and services provide a key link to understanding how changes in
biodiversity, climate, land transformation, stratospheric ozone, water, nitrogen, and
so forth have immediate and long-term implications for humanity. The key is simply
that human well-being and prosperity depend upon diverse, functioning ecological
systems in ways we are only beginning to appreciate.
Most people are well aware that humans extract goods from nature: seafood, game
animals, fodder, fuel wood, timber, pharmaceutical products, and genes, for
example. We buy, sell, and trade these goods. Until recently, little attention has
been paid to another benefit provided by natural ecological systems, the
fundamental life-support services without which human civilization would cease to
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thrive (24, 25). These ecosystem services include the purification of air and water;
mitigation of floods and droughts; detoxification and decomposition of wastes;
generation and renewal of soil and soil fertility; pollination of crops and natural
vegetation; control of the vast majority of potential agricultural pests; dispersal of
seeds and translocation of nutrients; maintenance of biodiversity, from which
humanity has derived key elements of its agricultural, medicinal, and industrial
enterprise; protection from the sun's harmful UV rays; partial stabilization of
climate; moderation of temperature extremes and the force of winds and waves;
support of diverse human cultures; and provision of aesthetic beauty and
intellectual stimulation that lift the human spirit (24).
Although these services are essential to human societies, their continued existence
has been taken for granted. Never before have human actions so threatened their
provision. Because these services are not traded in economic markets, society has
no feedback mechanisms to signal changes in their supply or in the deterioration of
underlying ecological systems that generate them. Various attempts have been
made to calculate the worth of global ecosystem services; all estimate the value to
be in the trillions of U.S. dollars (24-27).
As land is transformed globally, as biogeochemical cycles are modified on a grand
scale, and as genetic, population, species, and ecosystem diversity are lost, the
functioning of ecological systems is disrupted and the continued provision of
ecosystem services is threatened (4, 6, 20, 21,24). Primary threats to ecosystem
services include habitat degradation or loss, changes in biodiversity, and synergistic
interactions between these factors and rapid climate change, release of toxic
substances, and stratospheric ozone depletion.
A recent synthesis of information about ecosystem services from the Ecological
Society of America (28) concluded that: Based on available scientific evidence, we
are certain that: Ecosystem services are essential to civilization. Ecosystem services
operate on such a grand scale and in such intricate and little-explored ways that
most could not replaced by technology. Human activities are already impairing the
flow of ecosystem services on a large scale. If current trends continue, humanity will
dramatically alter virtually all of Earth's remaining natural ecosystems within a few
decades. In addition, based on current scientific evidence, we are confident that:
Many of the human activities that modify or destroy natural ecosystems may cause
deterioration of ecological services whose value, in the long term, dwarfs the shortterm economic benefits society gains from those activities. Considered globally,
very large numbers of species and populations are required to sustain ecosystem
services. The functioning of many ecosystems could be restored if appropriate
actions were taken in time. We believe that land use and development policies
should strive to achieve a balance between sustaining vital ecosystem services and
pursuing the worthy short-term goals of economic development.
REDEFINING THE ENVIRONMENT

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Recognizing the significance of the global environmental changes summarized

above, E. O. Wilson suggested that humanity is on the verge of Entering the
Century of the Environment. Based on emerging information about ecosystem
services and other environmental issues, I wish to take his phrase a step further and
broaden the dialogue about what constitutes an environmental issue. As we begin
to appreciate the intimate fashion in which humans depend on the ecological
systems of the planet, it is becoming increasingly obvious that numerous issues that
we have previously thought of as independent of the environment are intimately
connected to it. Human health, the economy, social justice, and national security all
have important environmental aspects whose magnitude is not generally
appreciated.
Human health
Human health is being increasingly recognized as having strong environmental
components. Obvious examples include the importance to human health of good air
quality, clean drinking water, clean food, and minimal exposure to toxic chemicals
and UV-B radiation. Less apparent examples include the impact of land-use
practices, climatic change, and population density on emergence and transmission
of diseases (29-31). Recent changes in the epidemiology of Lyme disease, hanta
virus, malaria, trypanosomiasis, schistosomiasis, cholera, and yellow fever are
attributable to changing land-use practices (29, 31). For example, the construction
of roads in Amazonia to access and transport timber, coupled with higher human
population densities, has increased the incidence and spread of malaria (32). Roads
and the accompanying canals of stagnant water provide prime conditions for the
numerical increase and spatial expansion of populations of mosquito vectors for the
malarial parasites.
Global climatic change is predicted to have direct and indirect effects on human
health. Direct effects include increases in heat stress, decreases in cold-related
mortality, and increases in air pollutionrelated pulmonary and allergic
complications. Indirect effects, some mediated through interactions with land-use
practices, include increases in the geographic distribution of a variety of diseases
including malaria, dengue fever, yellow fever, and hantavirus (16, 33).
The full consequences to human health of large-scale alterations in biogeochemical
cycles are not yet known. Over the last century, human activities have more than
doubled the amount of nitrogen fixed and therefore entering the global terrestrial
nitrogen cycle. Non anthropogenic nitrogen-fixationaccomplished by algae,
bacteria, and lightningtotals approximately 140 Tg/year. Anthropogenic sources
the making of fertilizer, planting of legumes (over larger areas than would naturally
occur), and burning of fossil fuelsnow contribute more than an additional 140
Tg/year. As Vitousek and colleagues state, Serious environmental consequences
are already apparent. In the atmosphere concentrations of the greenhouse gas
nitrous oxide and of the nitrogen-precursors of smog and acid rain are increasing.
Soils in many regions are being acidified and stripped of nutrients essential for
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continued fertility. The waters of streams and lakes in these regions are also being
acidified, and excess nitrogen is being transported by rivers into estuaries and
coastal waters. It is quite likely that this unaccustomed nitrogen loading has already
caused long-term declines in coastal fisheries and accelerated losses of plant and
animal diversity in both aquatic and land-based ecosystems (34).
Increased nutrients in coastal waters may also trigger population explosions of
certain taxa of phytoplankton that contribute to human health problems. Increases
in the frequency, spatial extent, and duration of harmful algal blooms are reported
from shores around the world (35). Many (although not all) harmful algal blooms
that involve toxic dinoflagellates and diatoms are known to respond to increases in
nutrients. In one such case, outbreaks of the ambush dinoflagellate Pfiesteria
piscicida in estuarine waters of the middle and southern Atlantic shores of the
United States have resulted in the death of billions of fish (36) and are suspected of
causing human health problems ranging from amnesia to kidney and liver
impairment. Nutrient pollution from upstream sources is the suspected trigger.
Prevention of further nutrient-triggered disruption of terrestrial, freshwater, and
marine ecosystems and resulting health consequences will be a formidable
challenge in view of the expected global increases in population, sewage, livestock,
aquaculture, and use of fossil fuels.
The economy
The economy is more interlinked with the environment than is often appreciated
(23, 37). The false assertion that society must choose between the economy and
the environment is often made. In reality, this jobs versus the environment choice
is a false dichotomy: the real choice is between short-term gain and long-term,
sustained prosperity (23,37, 38). The insurance industry has been a leader in
private sector concern about climatic change (39), in part because its business
demands a long-term perspective. The economic consequences of increases in the
frequency and severity of extreme weather events provide strong motivation to act
to decrease the probability of likely causes of these anomalies.
Economic development and prosperity hinge upon maintaining an adequate flow of
essential services provided by natural ecosystems. Human-engineered sources of
well-being foster the widespread misconception that affluence is independent ofor
possibly even hindered bythe preservation of natural ecosystems (40). However,
as humans fill in wetlands, clear-cut forests, degrade coral reefs, drive natural
populations and species to extinction, and introduce alien species, we often disrupt
the functioning of the systems or lose the ecosystem entirely. When we do so, we
begin to incur unanticipated and occasionally staggering costshaving now to
manufacture, grow, or otherwise provide what we once got for free.
A compelling example is provided by Chichilnisky and Heal's analyses of options for
the provision of drinking water for New York City (27). Historically, the watershed of
the Catskill Mountains provided the ecosystem service of water filtration and
83

purification. Over time, this watershed system became overwhelmed by sewage

and agricultural runoff to the point that the water quality was impaired. Chichilnisky
and Heal calculated and compared the costs of purchasing and restoring the
watershed so that it could continue to provide the ecosystem services of water
purification and filtration ($1 billion) versus the costs of building and maintaining a
water purification and filtration plant ($6 billion to $8 billion in capital costs, plus
annual operating costs of $300 million). This comparison provides an estimate of
the replacement costs for only a single service supplied by the watershed. Other
services include flood control, air purification, generation of fertile soil, and
production of a range of goods from timber to mushrooms, as well as sites for
recreation, inspiration, education, and scientific inquiry. Even acknowledging that
not all ecosystem services can be replaced by a human-made substitute, this
analysis helps put some of the tradeoffs in perspective.
Social justice
Social justice, too, has intimate environmental components (37, 41). The
consequences of environmental degradation are often borne disproportionately by
racially and economically disadvantaged groups. Wealthier individuals or countries
can afford to buy bottled water, move away from degraded and contaminated sites,
access information about alternative choices, influence the political process, cope
with environmental disasters, and buy better food, and purchase quality medical
services and treatments.
For example, intensive shrimp farming in Southeast Asia, India, and parts of South
and Central America often brings economic benefit to a few owners (large
multinational or national corporations) in the short term but in the longer term
destroys mangrove forests needed by indigenous peoples to provide food, fiber, and
ecosystem services such as water purification, sediment trapping, and flood control.
National security
National security is being viewed increasingly as an environmental issue, with
multiple, complex connections among population growth, environmental quality,
and security, including human migrations, war, disease, social disruption, political
fragmentation, competition for scarce resources, and eco terrorism (42).
Environmental degradation and scarcity of resources (water, fuel wood, fertile land,
forests, fisheries) have been identified as key contributors to economic disruption,
ethnic strife, civil war, migration, and insurgency throughout the world, for example
in Bangladesh, India, Mexico, Gaza, Pakistan, Rwanda, Senegal-Mauritania, South
Africa, El Salvador, Honduras, Haiti, Peru, Philippines, the West Bank, and Somalia
(21, 43). So-called fish wars for scarce cod and salmon present ongoing
challenges for the state departments of the United States and Canada.
During his tenure as U.S. Secretary of State, Warren Christopher initiated a new
perspective when he pledged to make environmental issues part of the
mainstream of American foreign policy. In framing a bold, new perspective on
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national security, Christopher declared that the environment has a profound

impact on our national interest in two ways. First, environmental forces transcend
borders and oceans to threaten directly the health, prosperity and jobs of American
citizens. Second, addressing natural resource issues is frequently critical to
achieving political and economic stability and to pursuing our strategic goals around
the world (44). In 1997, U.S. Secretary of State Madeline K. Albright issued the
State Department's first annual report on environmental diplomacy, stating that
environmental problems are often at the heart of the political and economic
challenges we face around the world. We would not be doing our jobs as
peacemakers and as democracy-builders, if we were not also good stewards of the
global environment (45).
Summary
In summary, national security, social justice, the economy, and human health are
appropriately considered to be environmental issues because each is dependent to
some degree on the structure, functioning, and resiliency of ecological systems.
Linkages among the social, political, economic, physical, biological, chemical, and
geological systems present new challenges to scientists. What is the role of science
in meeting these challenges?
THE ROLES OF SCIENCE
Science is the pursuit of knowledge about how the world works a pursuit with an
established process for inquiry, logic, and validation. Scientists engage in science
because we are curious about why things are the way they are, we relish the fun
and challenges of problem-solving, and we wish to contribute something useful to
current and future generations. Society supports science because doing so in the
past has brought benefits and doing so now is expected to provide more. Traditional
roles of science have been to discover, communicate, apply knowledge, and to train
the next generation of scientists.
Society currently expects two outcomes from its investment in science. The first is
the production of the best possible science regardless of area; the second is the
production of something useful. The first goal reflects the expectation that
scientists will search for the truth about how nature works producing
reproducible, independently verifiable results, logically consistent theories and
experiments that explain patterns in nature (46). An emphasis on investigatorinitiated, peer-reviewed science is designed to help meet this expectation.
The second part of the contract reflects the anticipation that the investment by
society will lead not only to improvements in our understanding of the world but
also the achievement of goals that society has deemed importantwinning wars,
conquering diseases, creating products, and improving the economy. This second
component often weighs heavily in decisions about the allocation of funds. As
President John F. Kennedy stated, Scientists alone can establish the objectives of
their research, but society, in extending support to science, must take account of its
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own needs (47). Hence, both the rationale for public investment in science as well
as specific decisions about the allocations of resources are tied to expected
outcomes that are beneficial to society.
The needs of society have changed over the years. Vannevar Bush's 1945 landmark
report
to
the
President
of
the
United
States,ScienceThe
Endless
Frontier, emphasizes providing help in the medical, defense, and economic arenas.
Bush's very first paragraph in his Summary of the Report stated (1): Progress in the
war against disease depends upon a flow of new scientific knowledge. New
products, new industries and more jobs require continuous additions to knowledge
of laws of nature, and the application of that knowledge to practical purposes.
Similarly, our defense against aggression demands new knowledge so that we can
develop new and improved weapons. This essential, new knowledge can be
obtained only though basic scientific research.
Forty-five years later, Erich Bloch, director of the National Science Foundation (NSF)
(established in response to Bush's report), acknowledged the changing political
landscape and highlighted the economic benefits of fundamental research and the
primacy of knowledge as a critical resource (48):The National Science Foundation
was a product of the Cold War and of a national policy decision that the contribution
of research to national strength was too valuable to be limited to the years of armed
conflict. In recent years, the rationale for supporting science and engineering
research and education has been changing. As political conflict among the great
powers diminishes, the major arena for world competition is increasingly becoming
economic, and in this new global economy, which runs on ideas and innovation,
knowledge is the critical resource.
In more recent years, as funding for science has gotten tighter and other needs for
funds expanded, there has been an even greater emphasis on the need for new
knowledge to generate new products and processes, for example, to fuel
technological advances, provide a competitive edge in the global marketplace, or
develop new medical treatments (2, 49). In this sense, public funding of science is
often argued to be an investment that brings monetary returns. A different
application of scientific knowledge is emerging as equally important in today's
world: knowledge to inform policy and management decisions (49-51).
The latter focus on the role of science in informing decisions is emerging as one of
the critical unmet needs of society at the end of the millennium (21, 49, 50). A
better understanding of the likely consequences of different policy options will allow
more enlightened decisions. Many of the choices facing society are moral and
ethical ones, and scientific information can inform them. Science does not provide
the solutions, but it can help understand the consequences of different choices.
The plethora of biological, physical, chemical, social, and economic changes
summarized earlier point to the myriad ways in which society's needs for scientific

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knowledge are changing. A wide range of studies focusing on environmental

challenges all point to
(i) The urgent need for improved understanding, monitoring, and evaluation to
protect, manage, and restore the environment;
(ii) More effective communication of existing knowledge to the public and policy
arenas;
(iii) The desirability of developing new technologies (manufacturing and waste
reduction, for example) to minimize the ecological footprints of human activities;
and
(iv) Better guidance about decision-making in the face of uncertainty (50, 51).
Summary
The roles of science
To discover, communicate, and use knowledge and train the next generation of
scientistshave not changed, but the needs of society have been altered
dramatically. The current and growing extent of human dominance of the planet will
require new kinds of knowledge and applications from scienceknowledge to
reduce the rate at which we alter the Earth systems, knowledge to understand
Earth's ecosystems and how they interact with the numerous components of
human-caused global change, and knowledge to manage the planet (4).
A NEW SOCIAL CONTRACT FOR SCIENCE
Recognizing that the world is changing in new and different ways, at faster rates
and over larger scales than ever before recorded, and recognizing the urgent need
for knowledge to understand and manage the biosphere, I propose that the
scientific community formulate a new Social Contract for science. This contract
would more adequately address the problems of the coming century than does our
current scientific enterprise. The Contract should be predicated upon the
assumptions that scientists will
(i) address the most urgent needs of society, in proportion to their importance;
(ii) Communicate their knowledge and understanding widely in order to inform
decisions of individuals and institutions; and
(iii) Exercise good judgment, wisdom, and humility. The Contract should recognize
the extent of human domination of the planet. It should express a commitment to
harness the full power of the scientific enterprise in discovering new knowledge, in
communicating existing and new understanding to the public and to policy-makers,
and in helping society move toward a more sustainable biosphere.

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Science alone does not hold the power to achieve the goal of greater sustainability,
but scientific knowledge and wisdom are needed to help inform decisions that will
enable society to move toward that end. A sustainable biosphere is one that is
ecologically sound, economically feasible, and socially just. Scientific understanding
can help frame the questions to be posed, provide assessments about current
conditions, evaluate the likely consequences of different policy or management
options, provide knowledge about the world, and develop new technologies. The
Contract would reflect the commitment of individuals and groups of scientists to
focus their own efforts to be maximally helpful. Each individual, each panel, each
agency, each congressional committee, each nation makes choices; these choices
should reflect a greater focus on the most critical issues of our day.
Fundamental research is more relevant and needed than ever before. The Contract
is absolutely not a call to abandon fundamental research; on the contrary, it should
be a call to invest in fundamental research in a broad spectrum of areas where new
knowledge is urgently needed. Just as the Manhattan Project involved a major
investment in fundamental research, adequately addressing broadly defined
environmental and social needs will require substantial basic research (50,51).
Because the environment is so broad a topic, research across all disciplines is
needed to provide the requisite knowledge base. Efforts similar to those devoted to
past societal wants and needsfor example to space, medicine, and defenseare
needed to focus more intensely on the challenges we know lie ahead. These
challenges encompass many of the earlier ones, but expand them in new directions.
The setting of priorities about which science to fund cannot be done in a social
vacuum. The needs of society for scientific knowledge should be an integral part of
the decision-making process.
The Contract should also be a strong call for new research and management
approaches. For example, innovative mechanisms are needed to facilitate the
investigation of complex, interdisciplinary problems that span multiple spatial and
temporal scales; to encourage interagency and international cooperation on societal
problems; and to construct more effective bridges between policy, management,
and science, as well as between the public and private sectors. A number of recent
reports have recommended ways to accomplish many of these goals (50, 51). The
Corson Committee of the National Research Council, for example, evaluated the U.S.
environmental research establishment, found it lacking in numerous ways, and
recommended a number of steps to effect cultural and organizational changes in
the environmental research enterprise (51).
There is a concomitant requirement to train interdisciplinary scientists and to
provide the skills and savvy to work at the policy-science or management-science
interface. Changes in university curricula and the reward system for professional
scientists within and outside universities would greatly facilitate achieving these
goals.

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The new Contract should extend well beyond research and training activities. Some
of the most pressing needs include communicating the certainties and uncertainties
and seriousness of different environmental or social problems, providing
alternatives to address them, and educating citizens about the issues. In parallel to
initiating new research, strong efforts should be launched to better communicate
scientific information already in hand. All too many of our current environmental
policies and much of the street lore about the environment are based on the science
of the 1950s, 1960s, and 1970s, not the science of the 1990s. Most of our efforts to
address economic and social problems are as yet mostly devoid of ecological
knowledge. Clearly, the interfaces between the environment, human health, the
economy, social justice, and national security are ripe for developing and entraining
into the policy arena. In view of the overarching importance of environmental issues
for the future of the human race, all graduates from institutions of higher learning
should be environmentally literate.
Powerful tools in communicating knowledge to inform policy and management
decisions are scientific assessments from credible groups of scientists. Assessments
such as the Intergovernmental Panel on Climate Change (16), the Ozone
Assessment, and the Global Biodiversity Assessment (19) have provided excellent
guidance to policy-makers, especially when they summarize certainties and
uncertainties and specify the likely outcomes of different options.
The whole system of science, society, and nature is evolving in fundamental ways
that cause us to rethink the way science is deployed to help people cope with a
changing world. Scientists should be leading the dialogue on scientific priorities,
new institutional arrangements, and improved mechanisms to disseminate and
utilize knowledge more quickly.
All sciences are needed to meet the full range of challenges ahead. It is time for the
scientific community to take responsibility for the contributions required to address
the environmental and social problems before us, problems that, with the best
intentions in the world, we have nonetheless helped to create. It is time for a
reexamination of the agendas and definitions of the grand problems in various
scientific disciplines.
We can no longer afford to have the environment be accorded marginal status on
our agendas. The environment is not a marginal issue, it is the issue of the future,
and the future is here now. On behalf of the Board of AAAS, I invite you to
participate vigorously in exploring the relationship between science and society and
in considering a new Social Contract for Science as we enter the Century of the
Environment.
Bill Watterson has summarized this challenge quite eloquently in the following
Calvin & Hobbes cartoon dialogue (52): Calvin and Hobbes are riding along in their
red wagon, careening through the woods: Calvin: It's true, Hobbes,
ignorance is bliss! Once you know things, you start seeing problems everywhere
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 and once you see problems, you feel like you ought to try to fix them and
fixing problems always seems to require personal change and change means
doing things that aren't fun! I say phooey to that! Moving downhill, they begin to
pick up speed. Calvin(looking back at Hobbes): But if you're willfully stupid, you
don't know any better, so you can keep doing whatever you like! The secret to
happiness is short-term, stupid self- interest! Hobbes (looking concerned): We're
heading for that cliff! Calvin (hands over his eyes): I don't want to know about it.
They fly off the cliff: Waaaugghhh! After crash landing, Hobbes: I'm not sure I can
stand so much bliss. Calvin: Careful! We don't want to learn anything from this.

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CHAPTER III : Crime and Criminals

Occasional criminals, Habitual criminals, Professional criminals, White-collar crime,
Organized crime, corporate crimes
Definition
Harmful act or omission against the public which the State wishes to prevent and
which, upon conviction, is punishable by fine, imprisonment, and/or death. No
conduct constitutes a crime unless it is declared criminal in the laws of the country.
Some crimes (such as theft or criminal damage) may also be civil wrongs (torts) for
which the victim(s) may claim damages in compensation.
A crime is defined as any act that is contrary to legal code or laws. There are many
different types of crimes, from crimes against persons to victimless crimes and
violent crimes to white collar crimes. With each type of crime also come different
sociological phenomena and demographic profiles.
Crimes against Persons
Crimes against persons, also called personal crimes, include murder, aggravated
assault, rape, and robbery. Personal crimes are unevenly distributed in the United
States, with young, urban, poor, and racial minorities committing these crimes more
than others.
Crimes against Property
Property crimes involve theft of property without bodily harm, such as burglary,
larceny, auto theft, and arson. Like personal crimes, young, urban, poor, and racial
minorities generally commit these crimes more than others.
Crimes against Morality
Crimes against morality are also called victimless crimes because there is not
complainant, or victim. Prostitution, illegal gambling, and illegal drug use are all
examples of victimless crimes.
White-Collar Crime
1. White-collar crime refers to financially motivated nonviolent crime committed by
business and government professionals. Within criminology, it was first defined by
sociologist Edwin Sutherland in 1939 as "a crime committed by a person of
respectability and high social status in the course of his occupation".
Lying, cheating, and stealing.
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Thats white-collar crime in a nutshell. The termreportedly coined in 1939is now

synonymous with the full range of frauds committed by business and government
professionals.
2. its not a victimless crime. A single scam can destroy a company, devastate
families by wiping out their life savings, or cost investors billions of dollars (or even
all three, as in the Enron case). Todays fraud schemes are more sophisticated than
ever, and we are dedicated to using our skills to track down the culprits and stop
scams before they start.
White-collar crimes are crimes that committed by people of high social status who
commit their crimes in the context of their occupation. This includes embezzling
(stealing money from ones employer), insider trading, and tax evasion and other
violations of income tax laws. White-collar crimes generally generate less concern in
the public mind than other types of crime, however in terms of total dollars, whitecollar crimes are even more consequential for society. Nonetheless, these crimes
are generally the least investigated and least prosecuted.
TYPES OF WHITE COLLAR CRIME
White collar crime refers to those offenses that are designed to produce financial
gain using some form of deception. This type of crime is usually committed by
people in the business world who, as a result of their job position, are able to gain
access to large amounts of other peoples money. White collar crime does not
involve violent, drug-related, or overtly illegal activities. In fact, perpetrators are
typically involved in otherwise lawful businesses and may hold respectable positions
in the community prior to the discovery of their fraudulent schemes.
1. Bank Fraud:
To engage in an act or pattern of activity where the purpose is to defraud a
bank of funds.
2. Blackmail:
A demand for money or other consideration under threat to do bodily harm,
to injure property, to accuse of a crime, or to expose secrets.
3. Bribery:
When money, goods, services, information or anything else of value is offered
with intent to influence the actions, opinions, or decisions of the taker. You
may be charged with bribery whether you offer the bribe or accept it.
4. Cellular Phone Fraud:
The unauthorized use, tampering, or manipulation of a cellular phone or
service. This can be accomplished by either use of a stolen phone, or where
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an actor signs up for service under false identification or where the actor
clones a valid electronic serial number (ESN) by using an ESN reader and
reprograms another cellular phone with a valid ESN number.
5. Computer fraud:
Where computer hackers steal information sources contained on computers
such as: bank information, credit cards, and proprietary information.
6. Counterfeiting:
Occurs when someone copies or imitates an item without having been
authorized to do so and passes the copy off for the genuine or original item.
Counterfeiting is most often associated with money however can also be
associated with designer clothing, handbags and watches.
7. Credit Card Fraud:
The unauthorized use of a credit card to obtain goods of value.
8. Currency Schemes:
The practice of speculating on the future value of currencies.
9. Embezzlement:
When a person who has been entrusted with money or property appropriates
it for his or her own use and benefit.
10. Environmental Schemes:
The overbilling and fraudulent practices exercised by corporations which
purport to clean up the environment.
11. Extortion:
Occurs when one person illegally obtains property from another by actual or
threatened force, fear, or violence, or under cover of official right.
12. Forgery:
When a person passes a false or worthless instrument such as a check or
counterfeit security with the intent to defraud or injure the recipient.
13. Health Care Fraud:
Where an unlicensed health care provider provides services under the guise
of being licensed and obtains monetary benefit for the service.
14. Insider Trading:

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When a person uses inside, confidential, or advance information to trade in

shares of publicly held corporations.
15. Insurance Fraud:
To engage in an act or pattern of activity wherein one obtains proceeds from
an insurance company through deception.
16. Investment Schemes:
Here an unsuspecting victim is contacted by the actor who promises to
provide a large return on a small investment.
17. Kickback:
Occurs when a person who sells an item pays back a portion of the purchase
price to the buyer.
18. Larceny/Theft:
When a person wrongfully takes another person's money or property with the
intent to appropriate, convert or steal it.

19. Money Laundering:

The investment or transfer of money from racketeering, drug transactions or
other embezzlement schemes so that it appears that its original source either
cannot be traced or is legitimate.
20. Racketeering:
The operation of an illegal business for personal profit.
21. Securities Fraud:
The act of artificially inflating the price of stocks by brokers so that buyers
can purchase a stock on the rise.
22. Tax Evasion:
When a person commits fraud in filing or paying taxes.
23. Telemarketing Fraud:
Actors operate out of boiler rooms and place telephone calls to residences
and corporations where the actor requests a donation to an alleged charitable
organization or where the actor requests money up front or a credit card
number up front, and does not use the donation for the stated purpose.

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24. Welfare Fraud:

To engage in an act or acts where the purpose is to obtain benefits (i.e. Public
Assistance, Food Stamps, or Medicaid) from the State or Federal Government.
25. Weights and Measures:
The act of placing an item for sale at one price yet charging a higher price at
the time of sale or short weighing an item when the label reflects a higher
weight.
TYPES OF WHITE COLLAR SCHEMES
1. Advanced Fee Schemes:
Actor induces victim to give him some type of advanced fee in return for a future
benefit. The future benefit never occurs and victim never receives the advanced fee
back.
2. Airport Scam:
Actor approaches victim in an airport stating that the newspaper stand cannot
change his one hundred dollar bill and asks the victim for change. Victim provides
actor with the change, actor returns to the store to get the one hundred dollar bill
back, however, never returns to victim.
3. Auto Repair:
Actor hangs out around an auto repair shop and approaches victims who leave after
getting estimates. Actor claims to do work off duty at a very low cost. Once actor
has the car, inferior work is completed and victim cannot get the return of the car
until the very high bill is paid.

4. Check Kiting:
A bank account is opened with good funds and a rapport is developed with the
bank. Actor then deposits a series of bad checks but prior to their discovery,
withdraws funds from the bank.
5. Coupon Redemption:
Grocery stores amass large amounts of coupons and redeem them to manufacturers
when in fact merchandise was never sold.
6. Directory Advertising:
Actor either impersonates sales person from a directory company like the yellow
pages or fraudulently sells advertising which the victim never receives.
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7. Fortune Telling:
Actor advises victim that victim is cursed. Actor advises victim that the curse must
be removed. Actor advises that she must meditate to the spirits and will require
payment. Over a period of time, victim pays fortune teller thousands of dollars to
remove curse.
8. Gypsies:
Actor states that victims money is cursed. In order to remove the curse, the money
must be placed into a bag or box that the actor provides. The bag or box is
switched. Actor advises victim to perform certain rituals over the money and the
curse will be removed. The bag or box cannot be opened for a period of time when
it is opened, the money is gone.
9. Home Improvement:
Actor approaches a home owner with a very low estimate for a repair or
improvement. Inferior or incomplete work is performed. Once the repairs are
completed, actor intimidates the victim to pay a price much greater than the
original estimate.
10. Inferior Equipment:
Actors travel around selling inferior equipment such as tools at high prices.
11. Jamaican Switch:
Actor #1 approaches a victim looking for the address of a prostitute. Actor #1
shows a large sum of money to the victim. Actor #2 arrives and tells Actor #1
where he can find the prostitute but cautions on taking all the money as the
prostitute might rob him. Actor #1 asks the victim to hold the money for him. Actor
#1 puts his money into a handkerchief with the victims money. Actor #1 shows the
victim how to hide the money under his arm, inside his shirt while switching
handkerchiefs. Victim takes the handkerchief and the parties split up, however,
Actor #1 leaves with victims money.
12. Land Fraud:
Actor induces victim to purchase tracks of land in some type of retirement
development which does not exist.

13. Odometer Fraud:

Unscrupulous used car salesman purchased used cars and turns back the
odometers. The used car is sold at a higher price due to its low mileage.

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14. Pigeon Drop:

Actor #1 befriends the victim. Actor #2 shows both Actor #1 and victim a "found"
package containing a large amount of cash. Actor #1 insists that the found money
be divided equally but only after each person puts up his own money to
demonstrate good faith. All the money is put in one package and the package is
later switched.
15. Police Impersonation:
Actor tells victim that his bank is being operated by fraudulent bank officers. Actor
instructs victim to take money out of bank and place it into a good bank. After the
money is withdrawn, the actor allegedly takes the money to the police station for
safe keeping. The victim never sees the money again.
16. Ponzi
An investment scheme where the actor solicits investors in a business venture,
promising extremely high financial returns or dividends in a very short period of
time. The actor never invests the money, however, does pay dividends. The
dividends consist of the newest investors funds. The first investors, pleased to
receive dividends, encourage new investors to invest. This scheme falls apart when
the actor no longer has sufficient new investors to distribute dividends to the old
investors or the actor simply takes all the funds and leaves the area.
17. Pyramid:
An investment fraud in which an individual is offered a distributorship or franchise
to market a particular product. The promoter of the pyramid represents that
although marketing of the product will result in profits, larger profits will be earned
by the sale of franchises. For example, if a franchise price is $10,000.00, the seller
receives $3,500.00 for every franchise sold. Each new franchise purchaser is
presented with the same proposal so that each franchise owner is attempting to sell
franchises. Once the supply of potential investors is exhausted, the pyramid
collapses. Many times, there are no products involved in the franchise, simply just
the exchange of money.
18. Quick Change:
Victim is confused by actors speedy series of money exchanges and in the end, is
short changed.
19. Shell Game:
Actor #1 manipulates a pea beneath three walnut shells or bottle caps. Actor #1
moves the caps around and shows victim the cap with the pea under it. With the
encouragement of another player, also Actor #2, victim places larger and larger

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bets as to which cap contains the pea. The game is ended by Actor #1 when the
take is large enough.
20. Utilities Impersonators:
Actor impersonates utilities employees by wearing jumpsuits with name tags. Actor
approaches victim with story about a gas leak or electrical surge to gain entry to the
home. Valuables are taken by actor.

21. VCR Scam:

Actor purports to sell new VCR's or televisions at an extremely low cost due to his
connections. Victim pays for the VCR or television only to discover that the box has
been filled with rocks.
22. West African Investment Scams:
Actors target businesses and obtain business' bank account information from which
all funds are later withdrawn.
State-corporate crime
The negotiation of agreements between a state and a corporation will be at a
relatively senior level on both sides; this is almost exclusively a white-collar
"situation" which offers the opportunity for crime. Although law enforcement claims
to have prioritized white-collar crime,[7] evidence shows that it continues to be a
low priority.[8]
When senior levels of a corporation engage in criminal activity using the company
this is sometimes called control fraud.
Corporate crime deals with the company as a whole. The crime benefits the
investors or the individuals who are in high positions in the company or corporation.
The relationship white-collar crime has with corporate crime is that they are similar
because they both are involved within the business world. Their difference is that
white-collar crime benefits the individual involved, and corporate crime benefits the
company or the corporation.
One well-known insider trading case in the United States is the ImClone stock
trading case. In December 2001, top-level executives sold their shares in ImClone
Systems, a pharmaceutical company that manufactured an anti-cancer drug. The
U.S. Securities and Exchange Commission investigated numerous top-level
executives, as well as Martha Stewart, a friend of ImClone's former chief executive
who had also sold her shares at the same time. The SEC reached a settlement in
2005.[5][6]
Organized Crime
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Organized crime is crime committed by structured groups typically involving the

distribution of illegal goods and services to others. Many people think of the Mafia
when they think of organized crime, but the term can refer to any group that
exercises control over large illegal enterprises (such as the drug trade, illegal
gambling, prostitution, weapons smuggling, or money laundering)
.A key sociological concept in the study or organized crime is that these industries
are organized along the same lines as legitimate businesses and take on a
corporate form. There are typically senior partners who control the business profits,
workers who manage and work for the business, and clients who buy the goods and
services that the organization provides.
1) First, by definition, organized crime is comprised of participants who incorporate
themselves into more or less complex systems for the purpose of committing
crimes.
2) The second attribute of organized crime is its instrumental nature. Instrumental
crimes are defined as illegal acts committed when individuals unable to obtain
desired goods and services through conventional means, resort to crimes-for-profit.
Organized crime exists for the sole purpose of making money.
3) Organized crime, at its core, offers illegal goods and services in order to make
profits -- examples are illegal gambling, prostitution, pornography, loan-sharking,
bootlegging, and fees for "protection" in the form of extortion. Murders within the
world of organized crime are generally committed to ensure the ongoing survival
and profitability of the organization. Organized crime has also been known to
promote other crimes-for-profit, such as bank robbery, hijacking, labor racketeering,
burglary and arson.
4) An important characteristic of organized crime is its connections with
government and politics. Political corruption (graft) is a critical part of the survival of
the business of organized crime. Graft greases the governmental machine, from
politicians and judges to law enforcement officials. The payoff ensures the
widespread power and profitability of organized crime. Note that graft generally falls
into one of two categories: clean or dirty.
a) Clean graft is comprised of payoffs that allow participants in organized crime to
run certain non-violent and so-called "victimless" rackets, such bookmaking,
prostitution rings and occasionally labor racketeering. Clean graft also comes in the
form of payments for forgiveness of minor transgressions such as parking tickets or
liquor violations.
b) Dirty graft is money offered to cover up murder, rape, armed robbery or drug
trafficking.
Organized Crime

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It is a criminal activity that is purposely undertaken for the purpose of acquiring

profit, power and influence. It involves a couple of people who organize themselves
on various hierarchical basis and they engage in both illegal and legal activities. The
various positions may be assigned according to kinship or friendship especially
hierarchical or skill. There is extreme willingness to use bribery or violence to
achieve intended goals and also to maintain discipline (Woodiwiss, 2001).
Membership is restricted though on a contingency basis some members may be
allowed. It involves: Punishable offences by a an imprisonment term that bears a
minimum of seven years, the act or process must involve either two or more
persons, substantial and reliable planning, overall organization and continuing
activity. It bears no political goals, limited membership, its perpetual in nature,
governed by a series of rules and regulation and it is very monopolistic in nature.
Relationships and problems established by organized crime
Corruption and organized crime are different but they supplement one another in a
symbiotic relationship. For instance South Africa is suffering this problem due to the
many years of political and economic isolation during the years of apartheid rule.
During this period various corrupt officials used their means to acquire resources of
the country inappropriately hence deteriorating the countrys economic growth.
Corruption is a major area that affects most of the third world countries and
appropriate measures should be formulated to ensure that it is addressed
(Woodiwiss, 2001). These countries later waste a lot of time and resources trying to
recover the lost funds through corruption.
Criminal alliances also are formed by a certain group of people who share a
common purpose plan of an involvement in illegal activity. This is mostly
experienced where there exists two or more groups who share a certain resource
disagree on a certain issue hence forming the alliance.
Market that is criminogenic in structure is also another relationship that is
established by organized crime since goods that are acquired through it leads to
unsaturated demand. These goods offered in the market are illegal and may include
drugs, vehicles, arms and products from various endangered species (Woodiwiss,
2001). Presence of aliens or undocumented migrants in various countries may not
only lead to competition for the available scarce resources but also their major role
in criminal activities.
These are some of the effects of organized crime.
False documentation and bribery has emerged as a way out for organized crime.
This is a way of acquiring false resident permanent and temporary certificates that
has been adopted by aliens. The greatest challenge is that some of these powerful
people who are given the responsibility of tracking down illegal in a country are also
illegal. In such a case it will be very difficult to cope with the challenge since the
official will not support the movement as intended.
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Organized crime in general has brought many problems in many countries. Growth
of our countries have deteriorated since corruption has taken the better part
running the country and this has resulted to the economy wealth being held by a
few people as opposed to being distributed to the people (Woodiwiss, 2001).
Presence of illegal goods has led to deteriorated business performance since the
goods are offered at a throw away price making the genuine goods go without
market. This has contributed to lack of employment as many energetic people
cannot find an opportunity to utilize their energy and earn their daily needs. This
has effectively contributed to rapid growth of crime in our countries since most of
the energetic people cannot afford the basic needs.
Limitations associated with combating organized crime and federal laws that guide
in combating organized crime
Mafia-membership law
The law was a proposal by Senator John Mc Cleallan during the 89th and 90th
Senate Bill Congress. The section 2 (a) of the law states that whoever remains or
becomes a member after enactment of this law or any of the various organizations
having one of its role will have violated the United States criminal laws with
knowledge of the obligation of the organization will be guilty and imprisoned for not
less than five years but not more than twenty years or equally fined less than
twenty thousand US dollars.
Illegal gambling businesses
This is a law that was enacted in United States under title 18 and has played a great
role. A racketeering activity is used to mean any threat or actual act involving
murder, gambling, kidnapping, narcotic, robbery or other dangerous drugs that is
punishable by an imprisonment of not less than one year (Woodiwiss, 2001). This is
also another federal law that aims at combating organized crime in the society and
is a reliable that is worth adopting.
Federal Bureau of Investigation laws
These include the laws that have been formulated by the FBI to guide and enable
them investigate federal crimes and threats towards achieving national security.
They also play a great role in assisting the law enforcement agencies to formulate
laws. Under Unit 28, Section 533 of the US code we realize that authority to
investigate federal crime lies with FBI only. The organization bears the responsibility
and authority of ensuring that national security prevails. Through formulation of this
organization, US have set an example that other countries should emulate to
combat organized crime.
Effectiveness of organized crime prosecution
Organized crime is a presentation of the major leading contemporary challenges
facing both federal and state-enforcement bodies and officials. There are various
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factors that make effective prosecution a hard nut to crack and include technical
skills and efficient organization of criminal syndicates. Also the use business
transactions that are complex in nature during normal operations leads to illegal
ventures, unavailability of people who are witnesses and ready to testify also
contribute towards combating organized crime a hard target.
Formulation of Anti-corruption legislation has greatly contributed to combating
organized crime as it forms a symbiosis relationship with corruption. This legislation
specializes in formulating punishment to various actions.
Staff selection method will also greatly contribute towards effectively combating it
since a detailed investigation about various officials to occupy posts will be carried
out (Woodiwiss, 2001). Criminal records should be properly scrutinized to ensure
that deserving people get the appointment. People vying for specific posts should
be ensured that they possess the necessary qualifications.
Implementation of criminal hotline should be implemented as this is an effective
way of combating crime since detailed information about organized crime can be
submitted anonymously whenever necessary. Various companies should implement
an internal department of organized crime with special investigative skills, they
should also be equipped with the most recent technology; moreover, they should
have the authority to access all the databases of the company and should be linked
directly to the administration to facilitate faster and direct reporting. This will dearly
present an effective way of combating crime within all major companies. This rule
can be easily enforced in all government owned companies.
Laws should be implemented to ensure severe punishment to all those people who
involve themselves in organized crime (Woodiwiss, 2001). The government should
play an effective role of ensuring that the laws are adhered to and that the victims
are appropriately punished without mercy. Through this the crime will eventually
come to an end.
A Sociological Look at Crime
Arrest data show a clear pattern of arrests in terms of race, gender, and class. For
instance, as mentioned above, young, urban, poor, and racial minorities generally
commit personal and property crimes more so than other demographic groups. To
sociologists, the question posed by this data is whether this reflects actual
differences in committing crimes among different groups or whether this reflects
differential treatment by the criminal justice system. Studies show that the answer
here is both. Certain groups are in fact more likely to commit crimes than others
because crime is linked to patterns of inequality in the United States. However, the
process of prosecution in the criminal justice system is also significantly related to
patterns of race, class, and gender inequality. We see this in the official arrest
statistics, in treatment by the police, in sentencing patterns, and in studies of
imprisonment.
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What Are the Different Types of Crimes?

Crimes are defined by criminal law, which refers to a body of federal and state rules
that prohibit behavior the government deems harmful to society. If one engages in
such behavior, they may be guilty of a crime and prosecuted in criminal court.
In todays society, criminal behavior and criminal trials are highly publicized in the
media and commonly the storyline in hit television shows and movies. As a result,
people may consider themselves well-informed on the different types of crimes.
However, the law can be quite complicated. There are many different types of
crimes but, generally, crimes can be divided into four major categories, personal
crimes, property crimes, inchoate crimes, and Statutory Crimes:
Personal Crimes Offenses against the Person: These are crimes that result in
physical or mental harm to another person. Personal crimes include:

Assault
Battery
False Imprisonment
Kidnapping
Homicide crimes such as first and second degree, murder, and involuntary
manslaughter, and vehicular homicide
Rape, statutory rape, sexual assault and other offenses of a sexual nature
Property Crimes Offenses against Property: These are crimes that do not
necessarily involve harm to another person. Instead, they involve an
interference with another persons right to use or enjoy their property.
Property crimes include:
Larceny (theft)
Robbery (theft by force) Note: this is also considered a personal crime since
it results in physical and mental harm.
Burglary (penalties for burglary)
Arson
Embezzlement
Forgery
False pretenses
Receipt of stolen goods
Inchoate Crimes Inchoate translates into incomplete, meaning crimes
that were begun, but not completed. This requires that a person take a
substantial step to complete a crime, as opposed to just intend to commit a
crime. Inchoate crimes include:
Attempt any crime that is attempted like attempted robbery
Solicitation
Conspiracy
Statutory Crimes A violation of a specific state or federal statute and can
involve either property offenses or personal offense. Statutory crimes include:
Alcohol-related crimes such as drunken driving (DUI)
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Selling alcohol to a minor

The crimes listed above are basically prohibited in every state, but each state is
different in how the law is written, how the behavior is regulated and the penalties
that each crime potentially carries. Also, the list is far from complete because
behavior may be prohibited in one state and not in others. For example, prostitution
is legal is some parts of Nevada, but is a crime in every other state. Likewise,
carrying a concealed firearm is only legal in certain states.
What Are The Different Levels of Seriousness for Different Crimes?
Crimes are often classified according to the level of seriousness, such as the
distinction between felony and misdemeanor crimes. Generally, the differences are:
Felony
More serious crimes such as murder, kidnapping and robbery Carries a year or more
in state prison
Misdemeanor
Less serious crimes such as shoplifting or a DUI .Usually carries a fine and jail
sentence of less than a year, if at all.
State laws may further divide the categories of crimes into subcategories. For
example, Offenses against the Person may be divided into the categories of Violent
Crimes and Non-Violent Crimes. Some states also place sexual crimes in their
own category. These categories are also developed for the purpose of sentencing.
Finally, crimes can also be divided according to criminal intent. The major intent
categories are General Intent Crimes and Specific Intent Crimes. These labels refer
to the state of mind that a defendant must have in order to be found guilty of a
crime. This is a difficult concept to master, but can be very important to your
defense if you are charged with a crime.
THE OCCASIONAL CRIMINALS
1.

Crime is an act punishable by law; usually considered an evil act.

2.
Crime is the breach of rules or laws for which some governing authority (via
mechanisms such as police power) may ultimately prescribe a conviction.
Types of Crimes
The Federal Bureau of Investigation collects crime data from local law-enforcement
agencies under the following definitions.
Aggravated Assault

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An unlawful attack by one person upon another for the purpose of inflicting severe
or aggravated bodily injury. This type of assault is usually accompanied by the use
of a weapon or by means likely to produce death or great bodily harm.
Arson
Any willful or malicious burning or attempt to burn, with or without intent to
defraud, a dwelling house, public building, motor vehicle or aircraft, personal
property of another, etc.
Assault (simple)
To knowingly or recklessly cause or attempt to cause physical harm to
another, but without use of a weapon.
Burglary
Unlawful entry of a structure to commit a felony or a theft
Disorderly Conduct
Any unlawful breach of the peace
Driving under the Influence
Driving or operating any vehicle while drunk or under the influence of liquor or
narcotics
Drug Abuse
Violations of state and local laws relating to the unlawful possession, sale, use,
growing, manufacturing, and making of narcotic drugs, including opium or cocaine
and their derivatives (morphine, heroin, codeine); marijuana; synthetic narcotics
(Demerol, methadone); and dangerous non-narcotic drugs (barbiturates,
Benzedrine)
Drunkenness
Offenses relating to drunkenness or intoxication, not including driving under the
influence
Embezzlement
The misappropriation or misapplication of money or property entrusted to ones
care, custody, or control.
Forgery and Counterfeiting
Making, altering, uttering, or possessing, with intent to defraud; anything false that
resembles that which is true (e.g. a document or monetary note)
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Fraud
Converting or obtaining money or property by false pretense, including confidence
games and the use of bad checks
Gambling
Promoting, permitting, or engaging in illegal gambling
Hate Crime
Also called bias crime, a criminal offense committed against a person, property, or
society that is motivated, in whole or in part, by the offenders bias against a race,
religion, ethnic/national origin group, or sexual-orientation group
LarcenyTheft Unlawful taking of property from the possession or constructive possession of
another; includes shoplifting, pocket picking, purse snatching, thefts from motor
vehicles, thefts of motor vehicle parts and accessories, and bicycle thefts
Violations
Violation of Liquor Law, Violations of laws or ordinances prohibiting
manufacture, sale, transporting, furnishing, or possessing of intoxicating liquor

the

Manslaughter by Negligence
The death of a person through another person or organizations act of gross
negligence
Motor Vehicle Theft
Theft or attempted theft of a motor vehicle
Murder and Non-negligent Manslaughter
Willful (non-negligent) killing of one human being by another
Non-forcible Rape
Unlawful but unforced sexual conduct; includes the crimes of incest and statutory
rape
Offenses against the Family and Children
Nonsupport, neglect, desertion, or abuse of family and children

Prostitution and Commercialized Vice

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Sex offenses of a commercialized nature, such as prostitution, procuring, or

transporting women for immoral purposes
Rape
Carnal knowledge of a person, forcibly and against that persons will; in non-forcible
rape, the victim is incapable of giving consent because of a temporary or
permanent mental or physical incapacity or because of his/her youth
Robbery
Taking or attempting to take anything of value from the care, custody, or control of
a person or persons by force or threat of force or violence and/or by putting the
victim in fear
Sex Offenses
Statutory rape and offenses against chastity, common decency, morals, and the
like, including voyeurism, forcible sodomy, and forcible fondling
Stolen Property
Buying, Receiving, Possessing: Knowingly buying, receiving, and possessing stolen
property
Vandalism
Willful or malicious destruction, injury, disfigurement, or defacement of any public
or private property, real or personal, without consent of the owner or persons
having custody or control
Weapons Law Violations
Violation of laws or ordinances dealing with regulatory weapons offenses, including
unlawful manufacturing, selling, or possession of deadly weapons; carrying deadly
weapons, concealed or openly; and furnishing deadly weapons to minors
The occasional criminals
The occasional criminal only performs the act if the opportunity occurs in his/her
routine of daily life. For example someone is walking by a car & it happens to be
unlocked & the person notices they might take their car stereo, etc.
Those criminal whose acts due to external circumstances and who were driven to
commit crimes because of a special passion.

Most crime committed by amateurs whose acts are unskilled, and unplanned
Occasional crime occurs when there is a situational inducement
Frequency of occasional crime varies according to age, class, race, and
gender
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Occasional criminals have little group support for the crimes

There is a class of occasional criminals, who do not exhibit, or who exhibit in slighter
degrees, the anatomical, physiological, and psychological characteristics which
constitute the type described by Lombroso as the criminal man.
There are occasional criminals who commit the offences characteristic of habitual
criminality, such as homicides, robberies, rapes, etc., so there are born criminals
who sometimes commit crimes out of their ordinary course.
Occasional criminals, who without any inborn and active tendency to crime lapse
into crime at an early age through the temptation of their personal condition, and of
their physical and social environment, and who do not lapse into it, or do not
relapse, if these temptations disappear.
Thus they commit those crimes and offences which do not indicate natural
criminality, or else crimes and offences against person or property, but under
personal and social conditions altogether different from those in which they are
committed by born and habitual criminals.
There is no doubt that, even with the occasional criminal, some of the causes which
lead him into crime belong to the anthropological class; for external causes would
not suffice without individual predispositions. For instance, during a scarcity or a
hard winter, not all of those who experience privation have recourse to theft, but
some prefer to endure want, however undeserved, without ceasing to be honest,
whilst others are at the utmost driven to beg their food; and amongst those who
yield to the suggestion of crime, some stop short at simple theft, whilst others go as
far as robbery with violence. Of millions of property and theft related crimes are
done by occasional criminals.
An occasional thief an individuals decision to steal is spontaneous, unplanned.
Criminologists suspect that the great majority of economic crimes are the work of
amateur criminals whose decision to steal is spontaneous and whose acts are
unskilled, unplanned, and haphazard. Occasional property crime occurs when there
is an opportunity or situational inducement to commit crime. Upper-class has the
opportunity to engage in the more lucrative business- related crimes. The lowerclass has opportunity to commit crime and short-run inducements. Occasional
criminals will deny any connection to a criminal life-style and instead view their
transgressions as being out of character. Whereas with the occasional criminals
moral sense is almost normal, but inability to realize beforehand the consequences
of his act causes him to yield to external influences.
The forms of occasional criminality, which are determined by these ordinary
temptations, are also determined by age, sex, poverty, worldly influences, and
influences of moral environment, alcoholism, personal surroundings, and imitation.
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Trade has ably demonstrated the persistent influence of these conditions on the
actions of men.
For thefts, again, whilst occasional simple thefts are largely the effect of social and
economical conditions. For slight offences by occasional criminals, strict
indemnification will, on the one hand, avoid the disadvantages of short terms of
imprisonment, and will, on the other hand, be much more efficacious and sensible
than an assured provision of food and shelter, for a few days or weeks, in the State
prisons.
Occasional criminals or criminaloids
Whose crimes are explained primarily by opportunity, although they too have
innate traits that predispose them to criminality.
Lombroso referenced the insane criminal, the criminaloid, and the habitual criminal
all as occasional criminals. His classification of the insane criminal (idiots,
imbeciles, paranoiacs, epileptics, alcoholics, etc.) came by way of his assertion that
this type of criminal was a result of brain deficiency. Lombroso differentiated the
atavistic or born criminal from the insane criminal through his proposition that the
insane criminal, was not born criminal. Instead, due to the deficiency/alteration of
the brain (which disturbs their moral nature and subsequently inhibits their ability to
discern between right and wrong) the insane criminal becomes criminal at any point
in their life (Lombroso-Ferrero, 1911, p. 74).
Of the criminaloid, the largest group of occasional criminals, Lombroso hypothesized
that they were only slightly less predisposed to criminality. He asserted that the
opportunity to commit crime and environmental factors was the most important
element in their etiology and that although they had innate traits and a touch of
degeneracy, their organic tendency was much less than that of the born criminal.
The habitual criminal
The habitual criminal is the third group of occasional criminals. Here Lombroso
asserts that the habitual criminal was born without serious anomalies or
tendencies in his constitution that would predispose him to crime (Mannheim,
1972, p. 253). Therefore, the habitual criminal came closest to a normal criminal.
Poor education and training from parents, the school and community at an early
age cause these individuals to fall into the primitive tendency towards evil
(Mannheim, 1972, p. 253). The associations of criminals, such as members of
organized crime, play a role in drawing habitual criminals into crime. Lombroso
makes the claim that the habitual criminals upbringing and associations drove
them into criminal activity.
The broadest and most inclusive category and include four types.
The Pseudocriminal Individuals who become criminals by mere accident e.g. killing
in self-defense. These criminals are also called Judicial Criminals.
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Criminaloid These are epileptoids who suffer from a milder form of the disease so
that without adequate cause criminality is not manifested. These are individuals
with weak natures who can be swayed by circumstances to commit crime. Often
showing hesitation before committing crime.
Habitual Criminals Individuals who regard the systematic violation of the law in the
light of an ordinary trade. Include those convicted of theft, fraud, arson, forgery and
blackmail.
Epileptoid Criminal Individual suffering from epilepsy
In short, for occasional criminals who commit slight offences, in circumstances
which show that they are not of a dangerous type, I say, as I have said already, that
reparation of the damage inflicted would suffice as a defensive measure, without a
conditional sentence of imprisonment.
As to the occasional criminals who commit serious offences, for which reparation
alone would not be sufficient, temporary removal from the scene of the crime
should be added in the less serious cases, whilst in the cases of greater gravity,
owing to material and personal considerations, there should be indefinite
segregation in an agricultural colony, with lighter work and milder discipline than
those prescribed in colonies for born criminals and recidivists.
PROFESSIONAL THIEVES AND PROFESSIONAL "HEAVY CRIMINALS
The attitudes and self-definitions of professional thieves and heavies are basically
similar, in that both groups see themselves as skilled career offenders and evidence
a certain pride in their chosen professions. Consequently, these two types are
separated from each other on the basis of offense patterns alone. The professional
thief eschews violence and relies on "wits," "front,"etc., while the "heavy" operates
with violence or threats of violence as a basic element of crime technique. Because
of the use of violence in one case and not in the other, and because of additional
variations in crime techniques, members of each group differentiate themselves
from members of the other group. Both groups clearly distinguish and disassociate
themselves from nonprofessional criminals."
PROFESSIONAL FRINGE VIOLATORS
Professional "fringe" violators are members of are cognized profession, such as
medicine or law, who are involved in illegal behavior outside of professional
activities but involving the use of professional skills and knowledge. The dearest
and most important example is the doctor-abortionist. Parenthetically, not all
abortionists are doctors; many are naturopaths or totally untrained persons. These
are excluded from this type, as are professional persons who commit offenses
unrelated to professional skills, as a doctor convicted of assaulter felony drunkdriving.
PROFESSIONAL THIEVES
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Sutherland and Maurer have presented detailed discussions of the complicated and
somewhat exotic skills and techniques of various kinds of professional thieves and
grafters, and Sutherland has stressed the role of differential association for the
acquisition of theft skills."However, not much has been said of the backgrounds
from which potential thieves are recruited. One thing is dear, professional thieves
are not the product of lower-class delinquency area backgrounds. It also appears
from scattered studies that recruits are often from occupations peripheral to the
criminal underworld such as bell-hopping, bartending, and taxi driving. Professional
-thieves lay great stress upon larceny sense as a critical element in theft. It may
be that "larceny sense, i.e., the ability to size-up victims, to control troublesome
situations, etc., is acquired largely in association with thieves.-Yet, it may also be
that "larceny sense" is characteristic of neophyte thieves, and that recruitment
into theft is partly dependent upon the judgments of thieves that a particular
prospect possesses the requisite verbal skills and other basic abilities. Richard L.
Jenkins implies that this is the case and that a "budding grafter" personality type
does exist." According to Jenkins, the "budding grafters a manipulator of
interpersonal relationships who has acquired these skills as a means of adjustment
to a situation in which he has been the pawn between antagonistic parents. Two
points are in order here. First, this is only a hypothesis at present, asit stems from
clinical observations rather than research. Second, if there is a grifter personality
type, only some of the individuals who exhibit it become professional thieves, for
the opportunities to be recruited into theft are limited. There are noncriminal
occupations which may attract persons of this kind, particularly certain types of
sales jobs.
PROFESSIONAL "HEAVY CRIMINALS
The remarks regarding the backgrounds of professional heavy offenders apply in
general to nonprofessional property criminals as well. One thing seems clear about
these types, both come. Predominately from urban, lower-class slum are a
backgrounds. The research data on gang offenders is a major part of the
sociological literature and extends as far back as Thrasher, Shaw, and [Link]
There is little argument regarding the ecological areas and economic backgrounds
from which gang offenders derive. Beyond this point, disagreements regarding gang
delinquents and their adult counterparts are numerous, so that much remains to be
investigated. For one thing, it is an oversimplification to talk of gang offenders as a
homogeneous group, for there may be at least two types of gang delinquent, the
predatory thief-the subject of the Shaw-McKay studies-and conflict gangs-the
subject of recent sociological and popular discussions. The "bopping gangs" vividly
described by Harrison Salisbury large gangs of juveniles mainly involved in
protecting their turf" by means of violence, are quite different from the small
gangs of predatory thieves studied by Shaw. Recently, Cohen and Short, Kobrin,
Cloward, Ohlin, and others have attempted to define the forms that gang
delinquency takes in contemporary society.
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Kobrin has argued that the character of gang delinquency varies according to the
kind of community in which it appears. In the integrated community, where criminal
and noncriminal patterns exist in interrelated fashion, delinquency may be
predominately predatory in nature, while in the unorganized area, delinquency
develops along the lines of untrammeled violence.
Cloward has commented upon the same matter with emphasis upon differential
accessibility of deviant opportlty structures.2 Similarly, Cohen and Short have
attempted to differentiate the various forms gang delinquency takes and the
etiological factors involved in much the same fashion Butmuch remains to be
investigated, as indicated by the disagreements between Cohen and Walter Miller
regarding the role of social class variations in delinquency.
A number of analyses of gang delinquency, e.g., those of Cohen and Miller, stress
certain class linked phenomena as critical in the genesis of this behavior. There is
more to the matter, however, for it may be that intra class variations in family
organization are also important in determining whether or not adolescents become
gang members in lower-class areas, and in determining the degree of involvement
and commitment to gang behavior patterns. Cohen has suggested that some gangarea adolescents may be differentially exposed to middle-class values and behave
in nondelinquentways.30 Reckless and his associates have suggested that some
lower-class families "insulate" their children against delinquency by virtue of the
kinds of relationships established between children and parents.
Finally, Reiss's study of Chicago delinquents indicates that gang offenders are not
all equally committed to gang activity and that differential involvement is
related to family pattems.
In summary, certain aspects of gang delinquency, from which recruits to "heavy"
crime are obtained, seem well understood. Other questions remain to be
investigated. One very important matter which has received scant attention so far
is the extent to which the defining agencies, i.e., the police, juvenile courts, etc.,
contribute to the development and reinforcement of criminal
PROFESSIONAL "FRINGE VIOLATORS
Although it may belabor the obvious, it should be noted that little is known
regarding this category of offender. For obvious reasons, little data is at hand
regarding abortionists and other deviant professionals. Still,' several observations
are in order. First, it is likely that "fringe" professionals are drawn from the relatively
unsuccessful members of specific professions. These persons are influenced by
internalized and community definitions of the style of life expected of professional
persons, so that considerable pressure may exist to engage in unethical or illegal
acts in order to obtain funds sufficient to fulfill such expectations.
--Another matter which may be of signal importance, particularly in abortion, is the
extent to which pressure for such services emanates from the community. In a
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society with widespread premarital sexual activity, coupled with harsh

condemnation of unwed mothers, a considerable demand for the services of
abortionists is to be expected. Likewise, when large numbers of married women are
motivated to terminate unwanted pregnancies so as to limit family size and
maintain a desired standard of living, demand for abortionists is to be expected. As
a result, the practice of abortion is easier to rationalize than might otherwise be the
case.-Like Al Capone, the abortionist may convince himself that he is simply,
providing a service which many people desire.
WHITE COLLAR CRIMINALS
After Sutherland introduced the term "white-collar crime," accompanied by his
strictures regarding the omission of upper class violators in the development of
causal statements, the concept was quickly assimilated into the criminological
literature.
But the term has not been used in a consistent fashion; consequently, considerable
confusion presently surrounds the notion of white-collar crime.
In Sutherland's analysis, white collar crimes were identified as violations of law
carried on as a part of regular business activities. Apparently these acts are
supported and encouraged by a general consensus that such violations are just
good business, necessary in order to keep abreast of competitors, and only
technically illegal. However, loose usage of the concept has extended it to cover a
wide variety of criminal acts committed by middle and upper class persons,
including abortion, embezzlement,
and other offenses which do not meet
Sutherland's criteria. In the typology here, three categories of upper and middle
income offenders are defined:
(1) Specific white collar offenders,
(2) Embezzlers, and
(3) Professional fringe violators
The usual focus of attention in white collar crime theory has been upon crime, not
criminals. That is, Sutherland, Clinard, and other students of white collar offenses
have been more concerned with the type of crime, and the structure of business
and corporate activity which produces this sort of crime, than with specific offenders
themselves. This emphasis has merit. However, in order to remain consistent with
its emphasis on criminals, this discussion handles white collar crime within the
framework of offender-oriented description. The white collar offender commits a
variety of highly complex and technically skilled criminal acts related to business
and financial activity. Sutherland has described these offenses in detail.
White collar criminals exhibit noncriminal self identifications and tend to view
themselves as law-abiding citizens. Violations of business regulations are viewed as
only technically wrong and it is frequently argued-by businessmen that the basic
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fault lies with those legislators who conceived these unnecessary restraints upon
business activity.'
WHITE COLLAR CRIMINALS
The phenomenon of white collar crime is many faceted and far more complicated to
deal with than can be indicated in this brief discussion. The major problem which
must be investigated concerns the conditions which have produced a business and.
Financial community that defines regulatory legislation as invalid, unnecessary, and
therefore to be ignored. At present, the ethics of the business and financial
community seem not entirely consistent with the imposed ethics embodied in
legislation; thus, businessmen frequently view the regulations as unnecessary
restraints. This disparity between business ethics and governmental regulations is
of special interest. Additional factors conducive to business violations include
ignorance of the law, although this appears to be of minor importance.
Finally, along with the view of regulatory provisions as invalid is the frequent
view that violation of the law is necessary to successful competition. Given this
kind of business climate, it would appear that novices in the business world would
learn these attitudes through differential association, so that the personal
characteristics of offenders are of little importance.
White Collar Crime
Most white collar crime is investigated and prosecuted by federal authorities. This is
not good news for the accused, as federal conviction rates are high, and U.S.
District Attorneys offices have substantial resources available to pursue
wrongdoers. There is a common misconception among the general public that
defendants convicted of white collar crimes will be treated with leniency. In reality,
sentences handed down for purely financial crimes can be as long or longer than
sentences handed down in cases involving violence or drugs.
Common Types of Offenses
A broad range of white collar crimes are perpetrated each day in the United States,
the variety of these crimes being limited only by the imagination of those who
commit them. Examples include tax evasion, insider trading, insurance fraud,
bribery, embezzlement, and money laundering. Some offenses are committed on a
small scale, like when individuals filing for liquidation bankruptcy fail to disclose
personal assets on their petition. Other times, a single fraud can affect the lives of
hundreds or thousands of people, such as investment frauds committed by
securities brokers.
The largest and most infamous example of white collar crime ever discovered took
the form of a giant Ponzi scheme. Named after a swindler who operated nearly a
century ago, Ponzi schemes involve the solicitation and misappropriation of
investment money. Early clients are not paid from profits, but rather from
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investment funds collected from later clients. In this particular case, New York
money manager Bernard Mad off used such a scheme to rob clients of an estimated
$65 billion. He pleaded guilty in 2009 and was sentenced to 150 years in prison.
Dealing with an Investigation
One of the unique aspects of white collar crime is that suspects will often become
aware of the fact that they are being investigated days, weeks, or even months
prior to their arrest. While this can cause suspects to experience fear and
apprehension about the future, it also provides an opportunity not available to those
who are arrested without warning. By retaining a criminal defense attorney at the
first indication of trouble, individuals may be able to considerably reduce their
exposure to criminal liability and perhaps avoid charges all together.
A defense attorney will not directly impede the investigative efforts of law
enforcement. However, individuals who are represented by counsel are far less
likely to unknowingly waive constitutional legal protections, or relent to the
demands of investigators when there is no need to do so. And while plea bargaining
typically occurs following an arrest, a skilled criminal defense lawyer will act
proactively, engaging the prosecuting attorneys early in the process. Many cases
are successfully resolved through negotiation before formal court proceedings
begin.
White-collar crime refers to financially motivated nonviolent crime committed by
business and government professionals.[1] Within criminology, it was first defined
by sociologist Edwin Sutherland in 1939 as "a crime committed by a person of
respectability and high social status in the course of his occupation". Typical whitecollar crimes include fraud, bribery, Ponzi schemes, insider trading, embezzlement,
cybercrime, copyright infringement, money laundering, identity theft, and forgery.
Impulse of passion criminals
The last category is that of criminals through an impulse of passion, not anti-social
but susceptible of excuse, such as love, honor, and the like. For these individuals all
punishment is clearly useless, at any rate as a psychological counteraction of crime,
for the very conditions of the psychological convulsion which caused them to offend
precludes any deterrent influence in a legal menace.
I therefore believe that in typical cases of criminals of passion; where there is no
clear demand for mental treatment in a criminal lunatic asylum, imprisonment is of
no use whatever. Strict reparation of damage will suffice to punish them, whilst they
are punished already by genuine and sincere remorse immediately after the
criminal explosion of their legitimate passion. Temporary removal from the scene of
their crime and from the residence of the victims family might be superadded.

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Nevertheless it must not be forgotten that I say this in connection with criminals in
whom the passionate impulse is really exceptional, and who present the
physiological and psychical features of the genuine criminal of passion.
I come to a different conclusion in the case of criminals who have merely been
provoked, who do not completely present these features, who are actuated by a
combination of social and excusable passion with an anti-social passion, such as
hate, vengeance, anger, ambition, &c. Of such a kind are murderers carried away by
anger just in itself, by blood-feuds, or desire to avenge the honor of their family, by
vindication of personal honor, by grave suspicion of adultery; persons guilty of
malicious wounding, disfigurement through erotic motives, and the like. These may
be classed as occasional criminals, and treated accordingly.
Such, then, in general outline, is the positive system of social, preventive, and
repressive defense against crimes and criminals, in accordance with the inferences
from a scientific study of crime as a natural and social phenomenon.
It is a defensive system which, in the nature of things, must of necessity be
substituted for the criminal and penitentiary systems of the classical school, so soon
as the daily experience of every nation shall have established the conviction, which
at this moment is more or less profound, but merely of a general character, that
these systems are henceforth incompatible with the needs of society, not only by
their crude pedantry, but also because their consequences are becoming daily more
disastrous.
Corporate crime
In criminology, corporate crime refers to crimes committed either by a corporation
(i.e., a business entity having a separate legal personality from the natural persons
that manage its activities), or by individuals acting on behalf of a corporation or
other business entity (see vicarious liability and corporate ...
CORPORATE CRIME
Hundreds of companies routinely commit crimes that injure the public much more
than street crimes in many ways: economically, socially, physically and
environmentally. Yet corporate crimes are generally dealt with by civil and
administrative law, with penalties such as fines but not prison. In environmental
law, e.g., many industries control themselves. The law is applied differently for
different people.
White collar crimes are committed by individuals for themselves in the course of
their occupations for personal gain. It is committed without the knowledge. The
most common white collar crime is when an employee steals from the employer or
who cheats customers and pockets the difference.
Corporate crimes are offenses committed by corporate officials for their
corporation and the offenses of the corporation themselves for corporate gain.
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Typically a corporate criminal bribes a government, dumps toxic industrial waste

into rivers. Corporate crimes are often called quiet acts because people not only
dont know whom to blame but may not even know that they have been victimized.
There are data collection problems also.
Types of corporate crimes:
CORPORATE VIOLENCE
Violence against workers:
6 million workers injured on the job in the US and 10,000 people die in the
workplace from injuries and 10,000 from long term effects of occupational diseases.
Corporate executives are responsible for the vast majority of deaths because they
have violated occupational health and safety standards or have chose not to create
adequate standards. So, workers are safer on the streets than on their job. For every
person murdered by a stranger on the street, two are murdered by their employees.
Violence against consumers:
Thousands of unsafe products injure or kill consumers every year. 100,000 people
are permanently disabled each year and 30,000 die.
Another important factor to take into account is dumping of products in the third
world.
Corporate pollution:
The general public also experiences violence in the form of pollution and other
green crimes. There are many different green crimes but they are all committed for
the sake of profit and they all harm the environment.
ECONOMIC CORPORATE CRIMES
Price fixing:
Tacit price fixing occurs when a limited number of controlling companies in a
particular market follow the lead of their competitors in price increases. Overt price
fixing involves secret meetings and subtle communications between competitors in
given industries. Most common forms:
(i) Setting prices at predetermined, similar levels,
(ii) Dividing the market into regions, with each firm agreeing to stay out of the
others territory, and
(iii) Agreeing to take turns submitting winning competitive bids for contracts, often
from government agencies.
False advertising:
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When companies use false advertisements to entice consumers to buy products or

services that offer few, if any, of the publicized benefits. Two forms:
(i) Blatantly false and
(ii) Puffery,
Which is a legal, more subtle form of false advertising that typically involves making
exaggerated claims for a product or service. It does not violate criminal or civil laws,
but it is designed to mislead consumers. Air Canada sale of seats would give it a
$10,000 profit and the cost of one single ad in the Toronto Star cost $10,000.
Criminal penalties are rarely used. Companies are ordered to refrain from using the
advertising campaign.
Theories of corporate crime
Sub cultural theory: Corporate crime is encouraged and justified by workplace
subcultures. Criminal subcultures develop because the members share problems
that require solutions not available or permitted by the law or general societal
norms. Corporate executives have frequent and intimate contact with other
executives who hold definitions favorable to violating laws. Thus, corporate crime,
like any other crime is learned differential association.
Structured action theory: junior male executives also learn executive conceptions of
masculinity from their senior counterparts, one of which is to sacrifice personal
principles to meet corporate goals, including the accumulation of profits through
illegal or unethical means.
Anomie theory: Environmental uncertainties cause some corporate executives to
experience strain, which often results in the use of innovative, illegitimate means to
achieve their companies goals.

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CHAPTER IV (SEE CHAPTER I also) Crime and Criminality: Theoretical

Perspectives
Early explanation of criminal behavior
Having explored the history of criminology, the early explanations of criminal
behaviour, and the scientific methods used by criminologists, we turn now to
contemporary theories and research. Current explanations of criminal behaviour
focus on biological, psychological, social, and economic factors. Biological and
psychological theories assume that criminal behaviour results from underlying
physical or mental conditions that distinguish criminals from non-criminals (Chapter
4). These theories yield insight into individual cases, but they do not explain why
crime rates vary from place to place and from one situation to another. Sociological
theories seek to explain criminal behaviour in terms of the environment. Chapter 5
examines strain theories, which focus on the social forces that cause people to
engage in criminal behaviour. These theories assume that social class and criminal
behaviour are related. Strain theorists argue that people commit crimes because
they are frustrated by not being able to achieve their goals through legitimate
means. In Chapter 6, the discussion centres on cultural deviance theories and
theories that focus on the formation of subcultures. Cultural deviance theorists
claim that crime is learned in socially disorganized neighborhoods where criminal
norms are transmitted from one generation to the next. We examine subcultures
that have their own norms, beliefs, and values, which differ significantly from those
of the dominant culture. Chapter 7 explains how people remain committed to
conventional behaviour in the face of frustration, poor living conditions, and other
criminogenic factors. In Chapter 8, we further discuss theoretical perspectives that
focus on societys role in creating criminals and defining them as such, including the
ways in which labeling helps to create future criminal behaviour. Finally, in Chapter
9, we discuss how legitimate routines and lifestyles can create opportunities for
victimization. We explain why offenders choose to commit one offence rather than
another at a given time and place.
Biological Theories; Psychological Theories; Sociological Theories
Biological theories
Biological theories of crime asserted a linkage between certain biological conditions
and an increased tendency to engage in criminal behaviour. In the 1890s great
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interest, as well as controversy, was generated by the biological theory of the Italian
criminologist Cesare Lombroso, whose investigations of the skulls and facial
features of criminals led him to the hypothesis that serious or persistent criminality
was associated with atavism, or the reversion to a primitive stage of human
development. In the mid-20th century, William Sheldon won considerable support
for his theory that criminal behaviour was more common among muscular, athletic
persons (mesomorphs) than among tall, thin persons (ectomorphs) or soft, rounded
individuals (endomorphs). During the 1960s, significant debate arose over the
possible association between criminal tendencies and chromosomal abnormalities
in particular, the idea that males with the XYY-trisomy (characterized by the
presence of an extra Y chromosome) may be more prone to criminal behaviour than
the general population.
Although the popularity of such earlier biological theories has waned, research has
continued, yielding important findings. For example, studies have found general
evidence for a connection between biology and criminality for both twins and
adoptees. Twins are more likely to exhibit similar tendencies toward criminality if
they are identical (monozygotic) than if they are fraternal (dizygotic). The fact that
identical twins are more similar genetically than fraternal twins suggests the
existence of genetic influences on criminal behaviour. Similarly, studies of adopted
children have shown that the likelihood of criminality generally corresponds with
that of their biological parents. The rate of criminality is higher among adopted
children with one biological parent who is a criminal than it is among children who
have one adoptive parent who is a criminal but whose biological parents are not
criminals. The highest rates of criminality are found among children whose
biological and adoptive parents are criminals.
Biochemical research in the 1980s and 90s attempted to identify specific factors
associated with an increased risk of engaging in criminal behaviour. For example,
certain neurotransmitter imbalances in the brain (e.g., low levels of serotonin),
hormonal imbalances (e.g., higher levels of testosterone), and slower reactions of
the autonomic nervous system appear to be associated with increased criminality.
These factors do not absolutely determine whether a person will commit a crime;
indeed, most people with these factors do not commit crimes. Instead, the presence
of these factors merely increases the chance that the person will engage in criminal
behaviour. Because these various biological factors may be influenced by
environmental conditions, however, the direction of causation is unclear.
Researchers have identified other biological factors associated with increased
violence and aggressiveness, including alcohol intoxication, the use of some drugs
(e.g., crack cocaine but not marijuana), diet, and the ingestion of toxic substances.
Drinking alcohol has tended to increase criminality temporarily, and the long-term
effects of ingesting lead (such as is found in lead-based paint) have generally been
associated with long-term increases in criminality. Further, certain types of head
injuries and complications during pregnancy or birth are correlated with long-term
increases in the tendency of the child to commit crime. The direction of causation in
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these cases is clearer than with serotonin and testosterone but not entirely certain.
For example, it could be the case that some other non biological intervening factor
(e.g., poverty) causes the increased tendency to commit crime and also causes the
increased tendency to experience complications during pregnancy and birth, to
ingest lead and other toxins, and to abuse alcohol.
Psychological theories
Psychologists approach the task of explaining delinquent and criminal behaviour by
focusing on an individuals personality. In particular, they examine the processes by
which behaviour and restraints on behaviour are learned. These processes often are
conceived as being the result of the interaction of biological predispositions and
social experiences.
Among the earliest psychological theories of crime were those based on the work of
Sigmund Freud (18561939). Freud argued that human nature includes a great
reservoir of instinctual drives (the id) that demand gratification. These drives are
restrained by moral and ethical codes (the superego) that children internalize as a
result of their great love for and attachment to their parents. Adults develop a
rational part of their personality (the ego) that mediates between the drives of the
id and the restraints of the superego. Because the id is a relatively constant drive,
criminality is assumed to result from the failure of the superego, a consequence of
its incomplete development. However, the empirical evidence for this theory is thin.
Later psychological theories of crime were based on behaviour theory, such as that
of the American psychologist B.F. Skinner (190490), who viewed all human
behaviourcriminal and otherwiseas learned and thus manipulable by the use of
reinforcement and punishment (see behaviourism). The social learning theory of
Ronald Akers expanded behaviour theory to encompass ways in which behaviour is
learned from contacts within the family and other intimate groups, from social
contacts outside the family (particularly from peer groups), and from exposure to
models of behaviour in the media, particularly television.
Beyond these broad psychological theories, it is sometimes argued that crime is
associated with certain mental conditions. Mental illness is generally the cause of a
relatively small proportion of crimes, but its perceived importance may be
exaggerated by the seriousness of some of the crimes committed by persons with
mental disorders. The closure of many American mental institutions in the 1960s
and 70s thrust many mentally ill people into the surrounding communities, where
some of them later became troublesome. Because authorities had no other place to
put them, there was a strong tendency for mentally ill people to end up in jails and
prisons.
One particular personality configurationantisocial personality disorderis thought
to be strongly associated with criminality. However, because the criteria for
diagnosing the disorder emphasize committing crimes and engaging in crime like
behaviour, it is unclear whether the disorder is a cause of crime or simply a label
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that psychiatrists use to describe people who happen to be criminals. In the 1990s,
psychological research was focused on early childhood experiences that tended to
lead to criminality in later life, including poor parental child-rearing techniques, such
as harsh or inconsistent discipline. Research also isolated impulsivitythe tendency
to engage in high levels of activity, to be easily distracted, to act without thinking,
and to seek immediate gratificationas a personality characteristic associated with
criminality.
Sociological theories
The largest number of criminological theories have been developed through
sociological inquiry. These theories have generally asserted that criminal behaviour
is a normal response of biologically and psychologically normal individuals to
particular kinds of social circumstances.
Examples of these approaches include the theory of differential association, which
claims that all criminal behaviour is learned and that the learning process is
influenced by the extent of the individuals contact with persons who commit
crimes. The more an individual associates with such persons, the more likely it
becomes that he will learn and adopt criminal values and behaviors. The theory of
anomie, proposed by the American sociologist Robert K. Merton, suggests that
criminality results from an offenders inability to attain his goals by socially
acceptable means; faced with this inability, the individual is likely to turn to other
not necessarily socially or legally acceptableobjectives or to pursue the original
objectives by unacceptable means. The concept of a criminal subculturean
alternative set of moral values and expectations to which people can turn if they
cannot find acceptable routes to the objectives held out for them by the broader
societyrepresents an integration of the differential-association and anomie
theories. Developed from studies of gangs of delinquents in U.S. cities, the
subculture approach has been disputed by some sociologists, who deny the
existence of any subculture of delinquency among the less affluent; the behaviour
of gangs, they argue, is in fact an expression of widespread lower-class values that
emphasize toughness and excitement.
Another set of sociological theories also denies the existence of sub cultural value
systems. Neutralization theory, advanced by the American criminologists David
Cressey, Gresham Sykes, and David Matza, portrays the delinquent as an individual
who subscribes generally to the morals of society but who is able to justify his own
delinquent behaviour through a process of neutralization, whereby the behaviour
is redefined to make it morally acceptable. Control theory emphasizes the links
between the offender and his social grouphis bond to society. According to this
view, the ability of the individual to resist the inclination to commit crime depends
on the strength of his attachment to his parents, his involvement in conventional
activities and avenues of progress, and his commitment to orthodox moral values
that prohibit the conduct in question.

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The theory of low self-control retains the focus on restraints from engaging in crime
but argues that those restraints are primarily internal. People with low self-control,
according to this theory, are impulsive and insensitive to others, tend to engage in
physical rather than mental activities and to take risks, and are oriented toward the
short term rather than the long term. Advocates of self-control theory argue that
these characteristics result from parental child-rearing practices and coalesce in the
individual by about age eight, remaining stable throughout life.
In contrast, labeling theory portrays criminality as a product of societys reaction to
the individual. It contends that the individual, once convicted of a crime, is labeled a
criminal and thereby acquires a criminal identity. Once returned to society, he
continues to be regarded as a criminal and is consequently rejected by law-abiding
persons and accepted by other delinquents. Over time, therefore, the offender
becomes increasingly socialized into criminal behaviour patterns and more
estranged from law-abiding behaviour.
Radical criminological theories
Radical criminological theories focus on power but anchor it in the political and
economic structure of society. In particular, these theories generally explain both
crime and criminal justice as by-products of capitalism and explore alternative
systems that might generate more harmonious social relations. Radical theories
tend to view criminal law as an instrument by which the powerful and affluent
coerce the poor into patterns of behaviour that preserve the status quo. One such
view, the so-called peacemaking theory, is based on the premise that violence
creates violence. Advocates of this theory argue that criminal justice policies
constitute state-sanctioned violence that generates rather than suppresses criminal
violence.
A similar view is represented by conflict theories, which hold that the powerful
pursue their own self-interest though the enactment and enforcement of criminal
laws. According to conflict theory, those with power and wealth are more likely to
obey the criminal law because it tends to serve their interests. In addition, they are
better able than poor people to avoid being incriminated when they do violate the
law.
Social-structural-strain theories
Social-structural-strain theories attempt to explain the high rate of theft for
monetary gain in the United States as a product of the class structure of American
society. They hold that pressures to achieve financial success drive people to
engage in this type of crime. They also maintain that less-affluent people commit
these types of crime more frequently than wealthy people do, because members of
lower economic classes generally have fewer opportunities to make money through
legitimate means.
Finally, ecological theories
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Finally, ecological theories focus on the influence of neighborhood organization on

criminal activity. Researchers have found that poorer neighborhoods, where families
frequently move from one location to another and where there is a relatively high
proportion of single-parent households, tend to have higher crime rates. Ecological
theorists argue that this is a result of the inability of neighborhood residents,
because of the chaotic conditions of their lives, to organize effectively to achieve
their goals.
A non-Western view: China
Since 1949 China has generally advocated a Marxist interpretation of the causes of
crime, viewing it as a product of an exploitative class structure founded upon the
institution of private property. Because the official view is that crime is impossible in
a purely socialist system, the unreformed elements of Chinese society are often
identified as the causes of contemporary crime. A number of specific sources of
criminal activity have been suggested: (1) external enemies and remnants of the
overthrown reactionary classes (the latter referring to the government of the
Republic of China in Taiwan), (2) other remnants of the old (pre-1949) society,
including gangsters and hooligans, who refuse to reform, (3) lingering aspects of
bourgeois ideology that value profit, cunning, selfishness, and decadence and thus
encourage crime, and (4) the poverty and cultural backwardness that is seen as the
legacy of the old society. The Cultural Revolution of the 1960s and 70s also has
been cited as a cause of crime, largely because it is thought to have confused
notions of right and wrong and to have destroyed respect for authority.
The economic reforms launched in China beginning in the mid-1970s led to
dramatic economic growth but also to a significant increase in criminal activity.
Although some dismissed the increase as a residual effect of the Cultural
Revolution, the phenomenon is more often explained as arising from various
unintended consequences of the economic reforms, including a loss of respect for
leaders of society and for the collective goals of the socialist state and the spread of
selfishness and lack of regard for others. Thus, because Chinese criminology views
crime as mainly caused by backward thinking and ignorance, Chinese authorities
have emphasized thought reform and education to combat criminal activity. Similar
theories of the causes of crime are found in other societies that retain a Marxist
economic system, including Cuba and North Korea.
Trends
Criminology represents a diverse body of knowledge that incorporates a wide
variety of approaches. Although few contemporary trends can be applied to the
whole field of study, it is nonetheless the case that much research is increasingly
quantitative, particularly in studies examining the causes of crime. Some of this
work applies the statistical approach originated by Quetelet to explain the crime
rates associated with particular societies and social groups; other work employs the
approach originated by Lombroso to explain the likelihood of an individuals
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committing a crime in terms of his biological, psychological, or social

characteristics. In addition, these approaches are increasingly aimed at probabilistic
predictions rather than absolute or deterministic ones. Finally, criminologists now
tend to concentrate on identifying factors in societies that are associated with
relatively small increases in crime rates and factors in individuals that are
associated with relatively small increases in the probability that they will commit
crimes. All of this reflects the inherent complexity of the subject and points to the
conclusion that no single factor actually determines whether an individual commits
a crime or whether a society has high or low crime rates
Social Disorganization theory
Background
The mapping of crime and delinquency has been around for many years and the
idea that delinquency is caused by environmental factors has long been debated.
A significant characteristic of early research into criminality was the use of charts
and maps to show spatial distributions of delinquency and crime. These research
methods were known as the "Cartographic School" approach. Research
conducted within this approach supported environmental explanations of
criminality, but could not provide a fundamental theory that contributed to the
explanation of these results. Instead, the findings were often used to point out
the lack of morality in specific population groups or ethnicities (Shoemaker,
1996).
The lack of control by traditional institutions over individuals initiated social
change known as Social Disorganization. The social disorganization theory comes
from the Chicago school of sociology in the early 1920s and can be defined as
the decline of influence of existing social rules of behavior upon individuals within
a group. In essence, social disorganization is the consequence of a community's
inability to realize common values and to solve the problems of its residents,
resulting in the breakdown of effective social control within that community. This
theory claimed that delinquency was not caused at the individual level, but was
considered to be the normal response of normal individuals to abnormal social
conditions. Consequently, there was an indirect loss in the ability to act
communally and individuals exhibited unrestricted freedom to express their
dispositions and desires, often resulting in delinquent behavior (Short, 1972).
The link between social disorganization and delinquency was associated with the
work of two sociologists, Clifford R. Shaw and Henry D. McKay. Affiliated with the
University of Chicago and the Illinois Institute for Social Research, Shaw and
McKay were primarily interested in crime and delinquency. They wanted to
demonstrate how crime was a normal response to social, structural, and cultural
characteristics of a community and to explain how deviant behavior was
produced among lower class, urban males. Using official delinquency data, Shaw
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and McKay made rate, zone, spot, and pin maps. Their finished work presented
detailed discussions of delinquency rates in Chicago over three time periods:
19001906, 19171923, and 19271933. Together they produced a collection of
books and reports that illustrated the distribution of delinquency rates in Chicago
and that discussed the processes associated with delinquent values and
traditions. Shaw and McKay's work was influenced by Robert E. Park and Ernest
W. Burgess, in which the Concentric Zone Model was applied in an analysis of
urban growth. Five concentric zones were identified characterizing growth in
Chicago, and in at least 20 other American cities in the 1920s. Specifically, Shaw
and McKay used this analysis to describe the distribution of juvenile delinquency
in detail and to explain why it was already dispersed in urban areas (Shoemaker,
1996). Shaw and McKay believed strongly that triumphing over social
disorganization was manifested in the ability of immigrant groups to relocate to
more desirable residential areas (Short, 1972). Indeed, Shaw and McKay's work
played a part in merging fact with theory in this area of delinquency research.
Their explanations represent the earliest modern sociological and social
psychological explanations of delinquency and crime. In fact, the concepts,
hypothesis, and research produced from these theories have influenced the
analysis of delinquency and crime for most of the 19th century.
Shaw and McKay believed that the social disorganization concept could be
applied to the passage of nationality groups through a spatial grid of the city.
Discovering a strong association between crime rates and census tracts, Shaw
and McKay explored the delinquency problem in inner-city areas in Chicago
within the setting of traditional institutional efforts to control the behavior of the
younger generation and the generations to come (Short, 1972). Their dependent
variables were delinquency rates from the city of Chicago, which were measured
by arrests, court appearances, and court adjudications of institutional
commitment. Their independent variables were economic conditions by squaremile areas, ethnic heterogeneity, and population turnover. These variables were
based on where delinquents lived and consisted of 10 to 16 year-old males who
were
petitioned
to
juvenile
court
(Shoemaker,
1996).
There were four specific assumptions of social disorganization as an explanation
of delinquency. First, delinquency is mainly the consequence of a collapse of
institutional, community-based controls. The people who live in these situations
are not personally disoriented; instead, they are viewed as responding naturally
to disorganize environmental conditions. Second, the disorganization of
community-based institutions is often a result of rapid industrialization,
urbanization, and immigration processes that occur primarily in urban areas.
Third, the effectiveness of social institutions and the desirability of residential
and business locations correspond closely to natural, ecological principles that
are influenced by the concepts of competition and dominance. This assumption
associates the term "ecological approach" with the social disorganization
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explanation of delinquency. The fourth assumption is that socially disorganized

areas lead to the development of criminal values and traditions that replace
conventional ones and that are self-perpetuating (Shoemaker, 1996).

Four distinct conclusions resulted from Shaw and McKay's research. First, the
rates of juvenile delinquency were consistent with an ordered spatial pattern. The
highest rates were found in the inner-city areas and declined with distance from
the center of the city. Second, there was an identical spatial pattern revealed by
various other indexes of social problems. Third, the spatial pattern of delinquency
rates showed significant long-term stability even though the nationality structure
of the population in the inner-city areas changed greatly throughout the decades.
Lastly, within inner-city areas the course of becoming delinquent occurred
through a network of interpersonal relationships involving family, gangs, and the
neighborhood. Seeing that the same neighborhoods had practically the same
delinquency rates in spite of which ethnic group moved in, Shaw and McKay
established "that all nationality groups evidence the same rate of juvenile
delinquency in the same urban areas and that nationality is not vitally related to
juvenile delinquency" (Shaw, 1969). They determined that delinquency was tied
to the neighborhoods and was not the result of the personal characteristics of the
people who lived in them, but the result of a strong neighborhood effect.
There have been some noteworthy criticisms about Shaw and McKay's work. First
of all, social disorganization as an explanation of delinquency downplays the
significance of ethnic and cultural factors. Some ethnicities may encourage
criminal activity where the crimes would not be considered criminal or wrong
within the cultural environment that such activities are committed. In addition,
the duplication of Shaw and McKay's work in different countries has usually
supported their argument that delinquent rates are highest in areas with
economic decline and instability. However, such research has not reproduced the
findings of decreasing rates from the center of the city outward. In fact, in some
countries the wealthy are often near the center of the city, while the poorer
zones of the city are found near its fringes. Not to mention, Shaw and McKay's
work does not address non delinquency in delinquency areas. The large
percentage of non delinquents in delinquent areas should be addressed if this
theory is to be considered a major explanation of delinquency. When compared
to unofficial measures of delinquency, the use of official court records lowers the
percentage of recognized delinquency in Shaw and McKay's research. It is
unrealistic to expect a theory to explain all cases of delinquency. In summary, the
social disorganization theory developed by Shaw and McKay has pointed to social
causes of delinquency that seem to be located in specific geographical areas.
Indeed, the theory contributed to the understanding of delinquency, but the lack
of specification of why delinquent rates are concentrated in certain areas of a

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city reduces the value of the theory (Shoemaker, 1996).

STRAIN THEORIES OF CRIME
"When people get mad, they act badly." (Robert Agnew)
Durkheim's theory of anomie is the basis for strain theory, at least in so far as
"anomie" is translated as "deregulation." It should be noted that control theorists
also trace their inspiration to Durkheim, and have translated "anomie" as
"normlessness." Durkheim's influence has been extremely broad in criminology and
sociology. His view that social forces caused crime was extremely radical at the
time.
The concept of anomie is most developed in the book, Suicide, published in 1897,
although Durkheim's theory of crime is embedded in his more general theory of
modernization (the progression of societies from mechanical to organic solidarity).
In mechanical societies, crime is normal (punishing criminals maintains social
solidarity thru a process of invidious comparison). In organic societies, the function
of law is to regulate the interactions of various parts of the whole of society.
When this regulation is inadequate, a variety of social problems occur, including
crime.
Strain (structural strain) refers generally to the processes by which
inadequate regulation at the societal level filters down to how the individual
perceives his or her needs. Strain (individual strain) refers to the frictions and pains
experienced by the individual as they look for ways to meet their needs (the
motivational mechanism that causes crime). Let's look at what Durkheim actually
said in Suicide (paraphrased, author's translation):
Whenever one's needs require more than what can be granted, or even merely
something of a different sort, they will be under continual friction and only function
painfully.... The more one has, the more one wants. A regulative force must play the
same role for moral needs as it plays for physical needs.... Society alone is the only
moral power superior enough to do this.... It alone can estimate the rewards to be
proffered for every human endeavor. When society is disturbed by some crisis or
abrupt transition, it is momentarily incapable of exercising this influence; thence the
sudden rises in suicides as we have seen.... So long as the social forces freed have
not gained equilibrium, their respective values are unknown and all regulation is
lacking for a time.
The limits are unknown between the possible and the
impossible, what is just and what are unjust, legitimate hopes and claims and those
which are immoderate. Consequently, there is no restraint upon aspirations....
Appetites, not controlled by public opinion, become distorted...and more impatient
of control. A condition of anomie results from passions being less disciplined,
precisely when they need more disciplining.
The following discussion focuses on the varieties of strain theory at the hands of
Merton (1938), Cohen (1955), Cloward and Ohlin (1960), Agnew (1992), Messner
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and Rosenfeld (1994). Strain theory has fairly consistently captured the imagination
of criminologists for over a century, and may well be the most theoretically explored
area of criminology. It served as the policy basis for the war on crime during the
1960s, the most famous program of which was Mobilization for Youth (MFY), based
almost entirely on Cloward and Ohlin's theory, with the two scholars, in fact,
working for the Kennedy-Johnson administration. Today's preschool programs, legal
aid clinics, mobile bookmobiles, and voter registration outreach programs are all
legacies of MFY.
MERTON'S STRAIN THEORY
The cornerstone of what is known as "the means-end theory of deviance" is that
crime breeds in the gap, imbalance, or dysjunction between culturally induced
aspirations for economic success and structurally distributed possibilities of
achievement. The theory assumes fairly uniform economic success aspirations
across social class, and the theory attempts to explain why crime is concentrated
among the lower classes who have the least legitimate opportunities for
achievement. "It is the combination of the cultural emphasis and the social
structure which produces intense pressure for deviation" (Merton 1968). The lower
classes are the most vulnerable to this pressure, or strain, and will maintain their
unfulfilled economic aspirations in spite of frustration or failure. The system can be
stabilized by providing rewards for noneconomic pursuits, but the stress, or "strain
toward anomie" (Merton 1968:211) is still operative in exclusive concern for
outcome over intrinsic satisfaction of competition. Imperfect coordination of means
and ends leads to limited effectiveness of social structure in providing regularity and
predictability and a condition of "anomie or cultural chaos supervenes" (Merton
1968).
The causal mechanism in Mertonian strain theory is a matter of debate. Agnew
(1987) argues in favor of tests focusing on the disjunction between aspirations and
expectations or levels of frustration. Bernard (1987b) argues for more aggregate
and objective measures than frustrations or aspirations. Messner (1988) argues in
favor of a dual theory, one of motivation and another of social organization, each
deserving of separate empirical testing.
It must be remembered that Merton (1938) regarded his typology of adaptations
as making links between structural inequality and individual behavior for the sole
purpose of shedding light on structural strain. Behaviorally, however, FigueiraMcDonough (1983) has shown that innovators tend to be more involved in property
offenses, ritualists more involved in deviance, retreatists more involved in drug use,
and rebels represented in all crime categories.

Adaptations: Cultural Goals:

Conformity

Structural Means:

+
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Innovation

Ritualism

Retreatism

Rebellion

+/-

+/-

Where + means accepting attitude toward (goals or means) and - means

rejecting attitude, and a mixed accepting/rejecting attitude is represented by +/-.
Akers (2000: 144) has operationalised most of Merton's adaptations as follows:
Conformity
Merton recognized conformity as the most common type of the five modes. During
this mode, people strive to obtain success by the most pure conventional means
available.
Innovation
During innovation, Merton identified a miniscule, but substantial change in the
perspective of the people whose mode is still in conformity and that of whom has
shifted to innovation. The people continue to seek success; however by innovation
they strive to obtain the success by taking advantage of illegal goals available to
them in place of less promising conventional means in order to attain success.
Rebellion
Merton suggested that by the time people reach the mode of rebellion, they have
completely rejected the story that everybody in society can achieve success and
have loomed into a rebellious state. They neither trust the valued cultural ends nor
the legitimate societal means used to reach success. Instead, these people replace
such ideas with irrational objectives to include the violent overthrow of the system
altogether.
Retreatism
Identified by Merton as the escapist response of the five modes, retreatism occurs
when people become practically dropouts of society. They give up all goals and
efforts to achieve success because they view it as an impractical, impossible,
almost imaginary, and irrational possibility. Merton attributes this mode as the one
to which drug addicts, alcoholics, vagrants, and the severely mental ill function
because their reactions to not being able to obtain success by legitimate means
represses them from society.
Ritualism
During ritualism, the final mode, people realize that they have no real opportunity to
advance in society and accept the little relevance that they have. It is in this mode
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that people concentrate on retaining what little they possibly gained or still have in
place of concentrating on a higher yield of success. They return to adhering to
conventional norms in hopes of maintaining the few possessions or possible gains
that they have attained. For many members of the urban lower socioeconomic
populous and disadvantaged minorities this period of short-lived and slightly
increased gains takes nearly a lifetime to obtain and to recognize its worth in a
modern industrial society.
There's not much agreement on the appropriate ways to measure strain in
Merton's theory. All that Merton said was that all persons have high economic
aspirations, and that social class aspirations are linked independently to crime.
Liska's (1971) review suggests that high aspirations (income, education, or
occupational goals) combined with low expectations (perceived chances of
achieving these goals) is the proper strain measure. Studies that used a measure of
educational goals over educational expectations (Hirschi 1969; Liska 1971; Quicker
1974) were generally unconvincing with Hirschi (1969) suggesting income as a
better component to use. Other studies used occupational goals over occupational
expectations (Short 1964; Johnson 1979; Elliott, Huizinga and Ageton 1985) with
only Short (1964) reporting any ordering with criminal involvement. Using
occupational components for individually reported status, Epps (1967) found little
support for Merton's theory. Farnworth and Leiber (1989) find reason to suggest
using the convention of an income over education measure.
The components of income, education, and occupation (hereafter referred to as
expectations) seem to be of some utility in measuring strain. They are indicators of
goal blockage.
When income expectations exceed educational expectations,
structural strain is present. These economic concerns can be hypothesized to
predict an innovative pattern of involvement in crime.
Perception of blocked opportunities (Datesman, Scarpitti, & Stephenson 1975) as
well as variation in aspirations (Cernkovitch & Giordana 1979a) have been looked
at, predicting both male and female crime. Simons and Gray (1989) found lower
class black males respond to structural strain the same as middle class white males.
Cernkovitch and Giordana (1979b) found white females more responsive to
structural strain, but Hill and Crawford (1990) found the criminality of black females
more directly tied to structural forces while white female criminality was mediated
by socio-psychological variables.
A review of Mertonian concepts is not complete without mentioning the reference
group. Merton (1968) used it to illustrate how relative deprivation could mediate
between social structure and interpersonal patterns of behavior. Indeed, while
Merton (1968) is vague on why individuals choose certain adaptations over others,
he is clearly explicit at pointing to normative concerns as evidence of anomie at the
individual level, all the time denying that anomie is a concept applicable to the
individual level (Merton 1964). At that level, however (sometimes called the anomia
level), individuals presumably compare themselves to similar others, evaluating
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their own condition by reference to the general conditions of their peers and
associates. Runciman (1966) made a useful distinction in this regard between
egoistic and fraternal deprivation, the one referring to injustices within one's group,
the other referring to injustices against one's group. The latter seems to be
consistent with Merton's (1968) discussion of the reference group concept.
COHEN'S STRAIN THEORY
Cohen's fundamental point is that, except perhaps for the category of rebellion,
Mertonian strain theory is incapable of explaining purposeless crime, just for the
"fun" of it (Cohen 1955). Cohen's thesis is that class based status frustration is the
origin of subcultures; malice, nonutilitarianism, and negativism form the content of
subcultures; and young, working-class males explain the distribution of subcultures.
Cohen's focus is on school based achievement status. The institution of the school
embodies middle class values for honesty, courtesy, personality, responsibility, and
so forth ("middle class measuring rod"). It is this milieu where competition takes
place for status, approval, or respect. Strain for Cohen is therefore not structural,
but interpersonal, located at the level of group interaction. "Group interaction is a
sort of catalyst which releases potentialities not otherwise visible" (Cohen
1955:136).
Losers in the competition for status experience strong feelings of frustration or
deprivation. Most of them adopt a corner boy attitude (Whyte 1955), accepting their
fate, but a significant number turn to crime. For Cohen as opposed to Merton, the
working class, a configurative term including lower, working, and qualitatively
similar middle class (Cohen & Short 1958), are more or less incapable of revising
their aspirations downward (Rodman 1963). What distinguishes those who turn to
crime is the social variable of peer influence and the psychological variable of
reaction formation. These two variables, representing a type of interpersonal and
normative strain, respectively, and cannot be understood without clarification of
Cohen's more important concept of status frustration.
Frustration is generally regarded as an aversive internal state due to goal
blockage or any irritating event (Berkowitz 1993). In criminology, it has often been
implicated in explanations of unexpected acts of violence (Glueck & Glueck 1950;
McCord, McCord & Zola 1959). Unexpected acts of disrespect for property could just
as easily be predicted by Cohen's strain theory since versatility in offending is
assumed. Frustration due to lower status origins would appear to be associated with
more serious, repetitive offending, according to some aspects of the theory and
Gold's (1963) research. Incidence of crime among a low status group was found to
be explained by low expectations in spite of aspirational downgradings. High status
repeaters did not anticipate failure at getting a prestigious job, but showed the
same aspirational concerns for self-respect. The combination of high ascribed status
with low achieved status has been found to be particularly frustrating (Jackson &
Burke 1965).

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Stinchcombe's (1964) research demonstrated the pervasiveness of status

frustration in all social classes and for each gender using a measure of anticipated
social class over expected prestigious job attainment, which significantly
differentiated those who thought school was unfair and those who did not.
Perceptions of unfairness were associated with more diffuse status concerns, such
as personality, intelligence, and grooming. Reiss and Rhodes (1963) found feelings
of deprivation about clothes and housing to be related to deviant involvement with
negligible social class, ethnicity, and gender differences (Reiss & Rhodes 1963).
These findings suggest that status frustration is intimately involved in peer
comparisons regardless of the referent. Beliefs about what are fair allocations of
tangible and intangible rewards are also important causal factors.
While theoretical importance in Cohen's strain theory is granted to the more
immediate goal of intangible rewards (Short & Strodtbeck 1965; Greenberg 1977),
another line of related research focuses upon tangibles in the school failure
experience. Proponents of "school status theory" (Polk 1969; Kelly & Balch 1971)
ignore status deprivation altogether claiming poor performance in school alone is
responsible for crime and deviance. School failure in terms of grades, spelling
ability, language usage, and general intelligence has been found to lead to crime
and deviance even when perceived deprivation (Phillips 1975), familial based class
(Kelly & Pink 1975), and outside misconduct (Phillips & Kelly 1979) were controlled.
These researchers argue that ascription based stratification and tracking systems in
schools lead poorly skilled students to reject being taught and create their own
failure (Polk & Schafer 1972). These same researchers also take issue with the idea
that higher status groups are equally involved in crime, but do not contest the idea
that peer influences can provide the belief that crime will be status rewarding.
According to Cohen's strain theory, there is no abrupt, discontinuous leap from a
pressure situation to crime. Instead, action is "tentative, groping, advancing,
backtracking, and sounding out" (Cohen 1965:8). The psychological variable,
reaction formation, is necessary to complete the causal chain from frustration to
crime. Middle class values, such as honesty, are not just rejected but flouted. At the
same time, dishonesty represents a desperate need for status approval according to
precepts of Cohen's reaction formation as well as related tenets of alternative
theories (Matza 1964). Cohen does not go quite so far as saying criminals are
pathological liars, but his reaction formation concept suggests they are convinced of
their own truthfulness. Liebow (1967) has documented the kind of fictions deprived
people live by. Many interpersonal problems are self created. There is some
research supporting the idea that status frustration leads to dishonesty of the kind
that can be measured by use of social desirability scales (Allison & Hunt 1959;
Stephenson & White 1968).
For Cohen (1977), the importance of having deviant friends is to help deal with a
common problem of legitimacy. There is no need for attachment, as control theory
postulates (Hirschi 1969). Actors become insulated from conventional standards,
resolving their inner doubts and conflicts. They may even plan offenses that will
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legitimate their group. There is some evidence from case studies in recidivism to
suggest that youths in trouble do derive psychological satisfaction from their peer
groups in this fashion (Haskell 1961). More recent research on serious offending
indicates that peer groups have some of the same characteristics as gangs, and
affect both males and females in the same directions (Morash 1986).
CLOWARD AND OHLIN'S STRAIN THEORY
The main emphasis of the "theory of differential opportunity systems" (Cloward &
Ohlin 1960) is on the intervening variables that account for the particular forms that
crime and deviance can take (Cullen 1988). Cloward (1959) had earlier shown how
blocked access to illegitimate as well as legitimate opportunities would be a logical
extension of Mertonian strain theory. An illegitimate opportunity is more than simply
the chance to get away with a criminal or deviant act; it involves learning and
expressing the beliefs necessary for sub cultural support. These beliefs constitute
the main intervening variables in Cloward and Ohlin's strain theory.
The theory relies upon previous work showing that communities vary by the
extent criminal and conventional values are integrated (Kobrin 1951). While the
form that behavior takes depends on how well criminal beliefs are learned, the
causal mechanism is a class linked sense of injustice from actual or anticipated
failure at achieving status by conventional standards. "Our hypothesis can be
summarized as follows: the disparity between what lower class youth are led to
want and what is actually available to them is the source of a major problem of
adjustment" (Cloward & Ohlin, 1960:86).
An individual's search for solutions to their adjustment problem will be triggered
by a gap between their aspirations and expectations. The effect of this gap will vary
depending upon precisely what it is that the individual aspires toward. Cloward and
Ohlin (1960) believe that many individuals aspire to a middle class lifestyle but that
many others simply want money without having to improve their lifestyle or change
their present social class membership. These latter types (Type III) are then under
the most pressure to become criminal or deviant because of their desire for money
and need for conspicuous consumption. Thwarted in their materialistic aspirations,
they turn to "seeking higher status within their own cultural milieu" (Cloward &
Ohlin 1960:96). Because such individuals resent the push for social mobility but are
led to believe that money is the means for success, the gap they experience would
be predictive of more serious criminal involvement. Bernard's (1984) review shows
that Cloward and Ohlin's theory merits considerable support when the focus is on
more serious and persistent crime.
Type of Youth:

Middle Class

Orientation: Money
Orientation:

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Type I +

Type III

Type II+
+

Type IV

Generally, the distinction between materialistic and lifestyle aspirations has been
supported by research on different success symbols, such as housing versus
clothing (Reiss & Rhodes 1963). Studies have reliably shown incarcerated youth
differ significantly in terms of rejecting lifestyle values such as self improvement,
work, courtesy, education, and wealth (Landis, Dinitz, & Reckless 1963; Landis &
Scarpitti 1965). Lower educational expectations combined with expectations of
improvement in economic position were found to be associated with anticipated
failure and effectively distinguished gang and nongang members (Rivera & Short
1967). Higher job goals than educational expectations would make an adequate
measure of Cloward and Ohlin's structural strain.
Whether the proper focus of Cloward and Ohlin's theory is serious crime is
questionable. My contention is that they were concerned with persistence, not
seriousness. Elliott's (1962) research showed that lower class youths do aspire to
middle class status in terms of jobs but engage in crime only when they do not
expect to go far in school. Further, the relationship held when social class position
was held constant. Spergel's (1964) research showed low educational expectations
explained both lower and middle class crime regardless of illegitimate opportunity
structure. Both Epps (1967) and Hirschi (1969) found variation in expectations to be
more significant in explaining self reported crime and deviance. Inability to revise
aspirations downward signifies persistence with deviance or trivial crime because of
an unwillingness to expect being "less well remunerated" (Cloward & Ohlin
1960:94).
Central to Cloward and Ohlin's strain theory are intervening variables that further
help to determine the specific form that crime and deviance will take. These
intervening variables have generally not been seen in the empirical research
(Ireland 1990). Probably the most important of these is degree of integration
between criminal and conventional values in a community environment. Spergel's
(1964) study and more recent research by Bursik (1980) show that some degree of
specialization can be predicted by a community organization variable. Briefly, the
theory predicts that actors are not free to assume any role they like, but that well
integrated communities offer more illegitimate opportunities for property offending,
disorganized communities for violent offending, and if neither theft nor violent
subcultures exist, retreatist crimes emerge. The causal chain is similar to Cohen's
strain theory except that inner conflict is demonstrated by a tendency to attribute
blame for actual or anticipated failure to the "social order or himself". In fact,
internal attributions are associated with solitary adaptations, and outside the scope
of the theory. Research by Simons and Gray (1989) indicates that system blaming
helps an individual to overcome feelings of guilt or remorse and is associated with
experience of more repeated anticipatory failures. System blaming points to

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persistence, and because the individual is still conflicted, they are likely to engage
in more deviance than crime until they learn more subcultural beliefs.
The intervening variable that stabilizes inner conflict and prepares the individual
for recruitment into a subculture, is withdrawal of legitimacy. Cloward and Ohlin
(1960:3) discussed this variable as a "challenge to the legitimacy of the basic
institutions of the society", separating crime from deviance. The beliefs that a
subculture looks for are signs that an individual has given up hope of any fairness in
the world. Withdrawal of legitimacy can be hypothesized to predict involvement in
serious crime.
AGNEW'S STRAIN THEORY
Agnew's (1984a) effort to uncover success goals not linked to social class or
cultural variables can be seen as part of efforts to refocus strain theory on self
generated norms (Coleman 1961) and more nebulous strivings such as a life free of
hassles (Mizruchi 1964). Acute rather than simple anomie is the focus, a distinction
made by DeGrazia (1948), characterizing individuals rather than society. Strain for
Agnew is neither structural nor interpersonal, but emotional, involving a breakdown
of beliefs in the role others play for expectations about normally occuring events
(Mizruchi & Perrucci 1962). Agnew himself often distinguishes between trait anger
(long term) and state anger (episodic), with the latter being his theory's focus.
Avoidance of noxious events affect the ability to establish or maintain relationships,
leading to alienative reactions, as Parsons (1951) once pointed out. Perception of an
adverse environment will lead to strongly negative emotions that motivate one to
engage in crime. Involvement in crime is sporadic for Agnew (1985), and people
would "desist" if not for persistent negative events and affect (Shoham & Hoffman
1991). Akers (2000: 159) has operationalized most of the variables in Agnew's
strain theory, as follows:
Agnews Three Major Types of Deviance-Producing Strain
Failure to Achieve Positively Valued Goals
The first of the three major types, the failure to achieve positively valued goals, is
subdivided into three further categories. These are the traditional concept, the gap
between expectations and actual achievements, and the difference between the
view of what a person believes the outcome should be and what actually results.
Under the first subcategory, Agnew includes personal goals that are both long term
and immediate. In addition, he adds the personal realization that some of the set
goals will never become true because of certain circumstances that are unavoidable
in life, which include individual weaknesses and blocked opportunities. The second
subtype continues to increase personal disappointment and the final subtype
encourages the person to stop desiring to put as much effort into relationships.
Removal of Positively Valued Stimuli

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The next major type of deviance-producing strain identified by Agnew occurs

primarily during adolescents when a dramatic change or loss happens. Examples of
this type include experiencing the stressful impact felt before and after moving and
when a death or serious illness befalls a family to include close friends or other
individuals that have close ties to the person.
Confrontation with Negative Stimuli
The last major type of deviance-producing strain also applies most to adolescents
than any other age group. Usually the individual is forced to remain among negative
actions that through an anger-induced response create deviant behavior. Examples
of negative inescapable stimuli include peer pressure and child abuse.
General strain theory is primarily concerned with "types of strain rather than
sources of strain" (Agnew 1992) which means that it aims at ultimately collecting
multi-item measures of injustice. The contributions of previous strain theorists
ought to be necessary for development of a complete model, and Agnew (1992)
does suggests drawing upon other disciplines, but he is not inclined to pursue
psychological variables. For example, Agnew's theory strongly holds that strain
causes personality, not personality leads to strain. The concept that best expresses
the idea that strain causes personality is irritability. Solitary adaptations may also
be possible with two of the theory's main causal factors, stress and hassles, but
little or no variation by socio-demographic categories is postulated. There is also a
third causal factor, inequity or sense of injustice, which has unfortunately seen little
coverage in the literature (see O'Connor 1993 and perhaps others' unpublished
dissertations).
It may be possible to measure inequity qualitatively or
quantitatively, but most researchers in this tradition have their hands full exploring
interaction effects with the various types of more directly noxious strain.
Stressful events interfere with achievement of existentially based expectations or
just/fair outcomes. "All manner of positive stimuli" previously experienced or
observed constitute expected goals, and their frustration leads to "anger,
resentment, rage, dissatisfaction, disappointment, and unhappiness--that is, all the
emotions customarily associated with strain in criminology" (Agnew 1992). General
strain theory claims that actors do not enter interactions with specific outcomes in
mind, only that certain distributive justice rules will be followed in establishing
equitable relationships. Distress occurs when individuals feel unrewarded for their
efforts compared to the efforts and rewards of similar others for similar outcomes.
The negative emotions associated with negative relationships may be more
successfully handled by engaging in delinquent behavior than in non delinquent
behavior (Brezina 1996).
Environmental aversion was measured by Agnew (1985) as being compelled to
live with one's family in a certain neighborhood, to go to a certain school, and to
interact with the same group of people repeatedly. Unhappiness in these contexts
was scaled, had a direct effect on anger, and had indirect effects on serious crime
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and aggression. Anger, in turn, had a significant impact on all measures of crime
and deviance. Frustration was not due to interference with valued goals, but to
inability to escape from or cope with persistent reminders about the importance of
these contexts. Much crime among students fits this description (Ba-Yunus 1971).
In the first test of general strain theory (Agnew and White 1992), environmental
aversion was redefined as stressful life events and hassles because the complete
theory includes other types of strain such as loss of positively valued stimuli and
presentation of noxious stimuli (Agnew 1992). Most versions of stressful life event
scales (Holmes & Rahe 1967; Dohrenwend & Dohrenwend 1974) contain items
indicating some kind of loss or nuisance. Unweighted scales purged of positive and
crime related events are used in criminological research, and most studies find little
more than ten percent variance explained using stressful events as sole predictors
(Rabkin & Struening 1976). Agnew and White's (1992) test explained more than
forty percent variance but added variables from other theories and had interaction
terms in the equation. Robert Agnew and his co-researcher and co-writer, Helene
Raskin White, have produced definitive empirical evidence that suggested that
general strain theory was positively able to relate delinquents and drug users. They
further concluded by the use of this theory that the strongest effect on the
delinquents studied was the delinquency of their peers.
Tests of general strain theory are just now emerging, but other research indicates
that anger is related to crime and deviance. It has been found to be a major
influence on middle class delinquency (Richards, Berk & Forster 1979). Agnew
(1992) treats anger as the most critical emotion since it is almost always outter
directed. Daum (1992) found anger a better predictor than anxiety and other
measures of psychological distress. Stress related anger seems to be related to
breakdowns in relationships (Spencer 1964) as the theory specifies, and the
stress/crime relationship appears to hold regardless of guilt feelings (Schlesinger &
Revitch 1980), age (Molof 1980), and capacity to cope when events occur
simultaneously or in close succession (Linsky & Straus 1986). Studies indicating the
nonspecific nature of stress with respect to criminal behavior have been reviewed
by Mawson (1987). In general, both positive and negative events (Dobrin 1993) can
predict the kind of incautious behaviors that bring one in contact with authorities
(Masuda, Cutler, Hein, & Holmes 1978; Linsky & Straus 1986).
The determinants of deviance may be different according to general strain theory.
Drug use as deviance was given special treatment in Agnew and White (1992)
because it did not really represent an attempt to direct anger or escape pain, but "is
used primarily to manage the negative affect caused by strain." A distinction
between stressful live events and life hassles may be useful in connection with what
Agnew (1992:57) curiously regards as "events" and "nonevents." Hassles are
clearly nonevent "micro stressors" that irritate, frustrate, and in some way
characterize everyday transactions with the environment (Monat & Lazarus 1991).
While non specificity can be expected with hassles, it is more likely to be associated
with deviance because the reaction is one of more caution instead of less. Hassles
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were measured by attitudinal scores on everyday concerns and difficulties and

found to have slightly more explanatory power for drug use than crime in Agnew
and White (1992). Hassles demoralize, leading to emotional withdrawal from the
rules of compulsory role interaction (Merton 1968). Generalized role stress has been
equated with everyday tension and found to explain minor forms of crime and
deviance (Palmer 1981; Friday 1983).
MESSNER AND ROSENFELD'S STRAIN THEORY
Messner and Rosenfeld (1994) developed an institutional anomie theory similar to
Merton's, sometimes called "American Dream" theory. The American dream is a
broad, cultural ethos that entails a commitment to the goal of material success, to
be pursued by everyone, in a mass society dominated by huge multinational
corporations. Their argument is not only that concern for economics has come to
dominate our culture, but that the noneconomic institutions in society have tended
to become subservient to the economy. For example, the entire educational system
seems to have become driven by the job market (nobody wants to go to college just
for the sake of education anymore), politicians get elected on the strength of the
economy, and despite lip service to family values, executives are expected to
uproot their families in service to corporate life. Goals other than material success
(such as parenting, teaching, and serving the community) are just not important
anymore.
The cause of crime is anomie, and the American Dream fosters anomie. Since
the emphasis is upon seeking the most efficient way to achieve economic success,
crime is often seen as the most efficient way to make immediate monetary gain.
Beliefs, values, and commitments are the causal variables, and the closer they are
to those of the marketplace, the more likely the logic of the economy (competitive,
individualistic, and materialistic) will dictate a powerful social force that motivates
the pursuit of money "by any means necessary." Since this lawlessness-producing
emphasis is caught up in society's structural emphasis upon the economy (and little
else), none of the many "wars" on crime will ever be successful (since they
indirectly attack the economy).
While commitment to the goal of material success is the main causal variable,
other variables consist of values and beliefs. Two of the values that make up the
American dream are achievement and individualism. Achievement involves the use
of material success to measure one's self-worth. Individualism refers to the notion
of intense personal competition to achieve material success. Other beliefs that are
related to the American Dream include universalism, the idea that chances for
success are open to everyone. This belief creates an intense fear of failure.
Another belief is the "fetishism" of money, which in this instance, refers to the
notion that there are no rules for when enough is enough, when it comes to money.
FUTURE DIRECTIONS OF STRAIN THEORY

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Today, anomie strain theory continues to attract attention and support as the
empirical evidence acquired from constant testing and research increases its
empirical validity. Strain theory has been (and can be) taken in a variety of different
directions. In fact, what is often called "anomie strain theory" has progressed
steadily in the field of criminology. Many fine ideas (and debates) have been
perpetuated over the years, such as studies on the sociological phenomena of
altruism, egoism, and other things that Durkheim pointed out, and there is, in fact,
a fairly useful modern perspective (mostly owing to Parsons and not Durkheim)
called neofunctionalism (O'Connor 1994), differentiation theory (Alexander &
Colomy 1990), or just Parsons' scheme for a comprehensive and coherent sociology
(Fox et al. 2005). Merton's more narrowed use of anomie has prompted many
academic studies of societal incoherence, and Merton will probably always be
remembered for phrases such as "role model" and self-fulfilling prophecy."
Consider the following from an anomie/strain perspective:
During a Congressional hearing, U.S. Senator Joseph Biden made the following
remarks to a presenter:
...I respectfully suggest they have responsibilities slightly above your pay
grade...to decide whether or not to take the nation to war alone or take the nation
to war part-way, or to take the nation to war half-way. That's a real tough decision.
That's why they get paid the big bucks. That's why they get the limos and you
don't. Their job is a hell of a lot more complicated than yours.
Think about the above quote. The most important sets of words are "have
responsibilities slightly above your pay grade" and "they get paid the big bucks."
U.S. Senator Joseph Biden is saying that someone who gets paid not so much is not
smart and that people who get paid a lot are smart, and U.S. Senator Joseph Biden
is suggesting--How dare you question higher authorities or your superiors.
However, it can also be said that how much a person makes does not equate with
how smart a person is. A person can be, for instance, a politician and be paid a lot
of money and still be stupid, uninformed, et cetera. Professional baseball players,
football players, hockey players, and actors can make millions and millions of dollars
a year, and their making that much money has nothing to do with the ability to
think (at least, beyond matters related to sports); also, anyway, it is usually the
agents of players who do the negotiating on behalf of the players with employers
and potential employers. In America, some people may define themselves as better
than you are by the money they make, and/or smarter than you are, because they
make more money than you make.
Strain theories do a good job in providing structural-functional explanations, and
there's some of it in conflict theory and many other approaches too. A purely
structural explanation ("how things work") locates a process, event, or factor within
a larger structure by emphasizing locations, interdependencies, distances or
relations among positions in that structure. A functional explanation uses a
structural explanation to analyze how interdependent parts fit into and sustain an
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overall system ("why things happen"). All systems depend on various parts working
together, and any failure (or "strain") on a critical part or combination of parts will
have disastrous consequences in terms of system failure unless "repair" or
replacement is done. Functionalists (and neofunctionalists, to a lesser extent)
usually assume long-term survival or continuity over time. For example, with the
world as a whole, a functionalist will often assume "master trends" like
secularization or modernization, and some unit or part, like education, may or may
not keep up with these trends. Functionalists further assume that as a society
progresses or changes, it becomes increasingly differentiated and more complex. It
evolves a specialized division of labor and develops greater individualism.
Specialization and individualism create temporary disruptions (or "strain") until the
system (people in the system) generate new methods of social relations and/or the
system as a whole generates new ways to fulfill old functions (left behind by the
decline in traditional ways of doing things). Parsons (1951) is considered the grand
master of structural-functionalist explanations. A modern treatment of Parsons can
be found in Fox et al. (2005). Some classic reading on structural-functionalism is
listed below.
Strain theory, developed by Robert K. Merton
Strain theory, developed by Robert K. Merton, argued that society may be set up in
a way that encourages too much deviance. Merton believed there was a disjunction
between socially approved means to success and legitimate cultural [Link] 22,
2014
Durkheim's theory of anomie is the basis for strain theory, at least in so far as
"anomie" is translated as "deregulation." It should be noted that control theorists
also trace their inspiration to Durkheim, and have translated "anomie" as
"normlessness." Durkheim's influence has been extremely broad in criminology and
sociology. His view that social forces caused crime was extremely radical at the
time.
The concept of anomie is most developed in the book, Suicide, published in 1897,
although Durkheim's theory of crime is embedded in his more general theory of
modernization (the progression of societies from mechanical to organic solidarity).
In mechanical societies, crime is normal (punishing criminals maintains social
solidarity thru a process of invidious comparison). In organic societies, the function
of law is to regulate the interactions of various parts of the whole of society.
When this regulation is inadequate, a variety of social problems occur, including
crime.
Strain (structural strain) refers generally to the processes by which
inadequate regulation at the societal level filters down to how the individual
perceives his or her needs. Strain (individual strain) refers to the frictions and pains
experienced by the individual as they look for ways to meet their needs (the
motivational mechanism that causes crime). Let's look at what Durkheim actually
said in Suicide (paraphrased, author's translation):
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Whenever one's needs require more than what can be granted, or even merely
something of a different sort, they will be under continual friction and only function
painfully.... The more one has, the more one wants. A regulative force must play the
same role for moral needs as it plays for physical needs.... Society alone is the only
moral power superior enough to do this.... It alone can estimate the rewards to be
proffered for every human endeavor. When society is disturbed by some crisis or
abrupt transition, it is momentarily incapable of exercising this influence, thence the
sudden rises in suicides as we have seen.... So long as the social forces freed have
not gained equilibrium, their respective values are unknown and all regulation is
lacking for a time.
The limits are unknown between the possible and the
impossible, what is just and what is unjust, legitimate hopes and claims and those
which are immoderate. Consequently, there is no restraint upon aspirations....
Appetites, not controlled by public opinion, become distorted...and more impatient
of control. A condition of anomie results from passions being less disciplined,
precisely when they need more disciplining.
The following discussion focuses on the varieties of strain theory at the hands of
Merton (1938), Cohen (1955), Cloward and Ohlin (1960), Agnew (1992), Messner
and Rosenfeld (1994). Strain theory has fairly consistently captured the imagination
of criminologists for over a century, and may well be the most theoretically explored
area of criminology. It served as the policy basis for the war on crime during the
1960s, the most famous program of which was Mobilization for Youth (MFY), based
almost entirely on Cloward and Ohlin's theory, with the two scholars, in fact,
working for the Kennedy-Johnson administration. Today's preschool programs, legal
aid clinics, mobile bookmobiles, and voter registration outreach programs are all
legacies of MFY.
MERTON'S STRAIN THEORY
The cornerstone of what is known as "the means-end theory of deviance" is that
crime breeds in the gap, imbalance, or disjunction between culturally induced
aspirations for economic success and structurally distributed possibilities of
achievement. The theory assumes fairly uniform economic success aspirations
across social class and the theory attempts to explain why crime is concentrated
among the lower classes that have the least legitimate opportunities for
achievement. "It is the combination of the cultural emphasis and the social
structure which produces intense pressure for deviation" (Merton 1968). The lower
classes are the most vulnerable to this pressure, or strain, and will maintain their
unfulfilled economic aspirations in spite of frustration or failure. The system can be
stabilized by providing rewards for noneconomic pursuits, but the stress, or "strain
toward anomie" (Merton 1968:211) is still operative in exclusive concern for
outcome over intrinsic satisfaction of competition. Imperfect coordination of means
and ends leads to limited effectiveness of social structure in providing regularity and
predictability and a condition of "anomie or cultural chaos supervenes" (Merton
1968).
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The causal mechanism in Mertonian strain theory is a matter of debate. Agnew

(1987) argues in favor of tests focusing on the disjunction between aspirations and
expectations or levels of frustration. Bernard (1987b) argues for more aggregate
and objective measures than frustrations or aspirations. Messner (1988) argues in
favor of a dual theory, one of motivation and another of social organization, each
deserving of separate empirical testing.
It must be remembered that Merton (1938) regarded his typology of adaptations
as making links between structural inequality and individual behavior for the sole
purpose of shedding light on structural strain. Behaviorally, however, FigueiraMcDonough (1983) has shown that innovators tend to be more involved in property
offenses, ritualists more involved in deviance, retreatists more involved in drug use,
and rebels represented in all crime categories.

Robert K. Merton discussed deviance in terms of goals and means as part of his
strain/anomie theory. Where Durkheim states that anomie is the confounding of
social norms, Merton goes further and states that anomie is the state in which social
goals and the legitimate means to achieve them do not correspond. He postulated
that an individual's response to societal expectations and the means by which the
individual pursued those goals were useful in understanding deviance. Specifically,
he viewed collective action as motivated by strain, stress, or frustration in a body of
individuals that arises from a disconnection between the society'sgoals and the
popularly used means to achieve those goals. Often, non-routine collective behavior
(rioting, rebellion, etc.) is said to map onto economic explanations and causes by
way of strain. These two dimensions determine the adaptation to society according
to the cultural goals, which are the society's perceptions about the ideal life, and to
the institutionalized means, which are the legitimate means through which an
individual may aspire to the cultural goals.[3]
Merton described 5 types of deviance in terms of the acceptance or rejection of
social goals and the institutionalized means of achieving them:
1. Innovation
It is a response due to the strain generated by our culture's emphasis on wealth and
the lack of opportunities to get rich, which causes people to be "innovators" by
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engaging in stealing and selling drugs. Innovators accept society's goals, but reject
socially acceptable means of achieving them. (e.g.: monetary success is gained
through crime). Merton claims that innovators are mostly those who have been
socialized with similar world views to conformists, but who have been denied the
opportunities they need to be able to legitimately achieve society's goals.[1]
2. Conformists
Conformists accept society's goals and the socially acceptable means of achieving
them (e.g.: monetary success is gained through hard work). Merton claims that
conformists are mostly middle-class people in middle class jobs who have been able
to access the opportunities in society such as a better education to achieve
monetary success through hard work.[1]
3. Ritualism
It refers to the inability to reach a cultural goal thus embracing the rules to the point
where the people in question lose sight of their larger goals in order to feel
respectable. Ritualists reject society's goals, but accept society's institutionalised
means. Ritualists are most commonly found in dead-end, repetitive jobs, where they
are unable to achieve society's goals but still adhere to society's means of
achievement and social norms.[1]
4. Retreatism
It is the rejection of both cultural goals and means, letting the person in question
"drop out". Retreatists reject the society's goals and the legitimate means to
achieve them. Merton sees them as true deviants, as they commit acts of deviance
to achieve things that do not always go along with society's values.[1]
5. Rebellion
It is somewhat similar to retreatism, because the people in question also reject both
the cultural goals and means, but they go one step further to a "counterculture"
that supports other social orders that already exist (rule breaking). Rebels reject
society's goals and legitimate means to achieve them, and instead creates new
goals and means to replace those of society, creating not only new goals to achieve
but also new ways to achieve these goals that other rebels will find acceptable.[1]
Social Control theory
Control theory advances the proposition that weak bonds between the individual
and society free people to deviate. By contrast, strong bonds make deviance costly.
This theory asks why people refrain from deviant or criminal behavior, instead of
why people commit deviant or criminal behavior, according to Travis Hirschi. The
control theory developed when norms emerge to deter deviant behavior. Without
this "control", deviant behavior would happen more often. This leads to conformity
and groups. People will conform to a group when they believe they have more to
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gain from conformity than by deviance. If a strong bond is achieved there will be
less chance of deviance than if a weak bond has occurred. Hirschi argued a person
follows the norms because they have a bond to society. The bond consists of four
positively correlated factors: opportunity, attachment, belief, and involvement.[12]
When any of these bonds are weakened or broken one is more likely to act in
defiance. Michael Gottfredson and Travis Hirschi in 1990 founded their Self-Control
Theory. It stated that acts of force and fraud are undertaken in the pursuit of selfinterest and self-control. A deviant act is based on a criminals own self-control of
themselves.
More contemporary control theorists such as Robert Crutchfield take the theory into
a new light, suggesting labor market experiences not only affect the attitudes and
the "stakes" of individual workers, but can also affect the development of their
children's views toward conformity and cause involvement in delinquency. This is an
ongoing study as he has found a significant relationship between parental labor
market involvement and children's delinquency, but has not empirically
demonstrated the mediating role of parents' or children's attitude.[citation needed]
In a study conducted by Tim Wadsworth, the relationship between parent's
employment and children's delinquency, which was previously suggested by
Crutchfield (1993), was shown empirically for the first time. The findings from this
study supported the idea that the relationship between socioeconomic status and
delinquency might be better understood if the quality of employment and its role as
an informal social control is closely examined.[13]
Learning theory
Frank Tannenbaum and Howard S. Becker created and developed the labelling
theory, which is a core facet of symbolic interactionism, and often referred to as
Tannenbaum's "dramatization of evil." Becker believed that "social groups create
deviance by making the rules whose infraction constitutes deviance."
Labeling is a process of social reaction by the "social audience,"(stereotyping) the
people in society exposed to, judging and accordingly defining (labeling) someone's
behavior as deviant or otherwise. It has been characterized as the "invention,
selection, manipulation of beliefs which define conduct in a negative way and the
selection of people into these categories [....]"[9]
Labeling theory, consequently, suggests that deviance is caused by the deviant's
being labeled as morally inferior, the deviant's internalizing the label and finally the
deviant's acting according to that specific label(in other words, you label the
"deviant" and they act accordingly). As time goes by, the "deviant" takes on traits
that constitute deviance by committing such deviations as conform to the label (so
you as the audience have the power to not label them and you have the power to
stop the deviance before it ever occurs by not labeling them) . Individual and
societal preoccupation with the label, in other words, leads the deviant individual to
follow a self-fulfilling prophecy of abidance to the ascribed label.[1]
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This theory, while very much symbolically interactionist, also has elements of
conflict theory, as the dominant group has the power to decide what is deviant and
acceptable, and enjoys the power behind the labeling process. An example of this is
a prison system that labels people convicted of theft, and because of this they start
to view themselves as by definition thieves, incapable of changing. "From this point
of view," as Howard S. Becker has written,
Deviance is not a quality of the act the person commits, but rather a consequence
of the application by others of rules and sanctions to an "offender". The deviant is
one to whom the label has successfully been applied; deviant behavior is behavior
that people so label.[10]
In other words, "Behavior only becomes deviant or criminal if defined and interfered
as such by specific people in [a] specific situation."[11] It is important to note the
salient fact that society is not always correct in its labeling, often falsely identifying
and misrepresenting people as deviants, or attributing to them characteristics which
they do not have. In legal terms, people are often wrongly accused, yet many of
them must live with the ensuant stigma (or conviction) for the rest of their lives.
On a similar note, society often employs double standards, with some sectors of
society enjoying favoritism. Certain behaviors in one group are seen to be perfectly
acceptable, or can be easily overlooked, but in another are seen, by the same
audiences, as abominable.
The medicalization of deviance, the transformation of moral and legal deviance into
a medical condition, is an important shift that has transformed the way society
views deviance.[12] The labelling theory helps to explain this shift, as behaviour
that used to be judged morally are now being transformed into an objective clinical
diagnosis. For example, people with drug addictions are considered "sick" instead of
"bad".[12]Labeling Theory
Islamic perspective on deviance and crime
International crime statistics indicate that in Islamic countries crime rates are lower
than in other countries. This feature of Islamic countries is most often explained by
two factors: a) the relatively low level of development, which has a positive effect
on crime rates, and b) the strictness of Islamic penal law. Providing some evidence,
this article maintains that the first factor fails to explain properly the difference in
the crime rates of Islamic and non-Islamic countries at a similar level of
development. It also argues that the second explanation is a reductionist one.
Following a Weberian approach, the article develops the argument that the content
and structure of Islamic belief and practice is the dominant shared element among
Islamic countries. It has given rise to a particular socio-cultural structure among
Muslims, one of the impacts of which has been the low crime rate. Islamic beliefs
and practice, therefore, are discussed as the main explanatory factor for the low
crime rate in Islamic countries. (Keywords: religion, crime, development, Islam,
Sharia, Islamic law, Muslim attitudes.) Recite what is sent of the Book by
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inspiration to thee, and establish Regular Prayer: for Prayer restrains from shameful
and evil deeds. And remembrance of God is the greatest (thing in life) and God
knows the (deeds) that ye do (Koran 29:45, trans. A. Yusuf Ali).
1. Introduction
Islam is seen by many scholars as a religion that consists of a set of political,
economic, legal, and social doctrines that affect every facet of the social life of
believers (Kurtz 1995, 106, 135; Groves et al. 1987, 497; Schacht [1964] 1982;
Turner 1974, 112; Robertson 1970, 86; Watt, 1961). Koranic teachings promote an
ascetic ethic of self-control that bears on virtually all aspects of everyday activity.
For Muslims, faith has not merely been a matter of private life and a personal
relation with God. It has had pervasive social consequences. Thus, following Stark et
al. (1982), it may be argued that Islam develops a strong sense of moral
community, where religion is an influential social force generating social sanctions
(Groves et al. 1987, 497), and that this contributes to a low crime rate.
Further, within Islam a detailed penal law has been elaborated in Journal of Arabic
and Islamic Studies 4 (20012002) 112 which severe punishments have been
prescribed for many serious criminal acts. Accordingly it has been suggested that
the severity of punishments in Islamic penal law accounts for the low crime rate in
Islamic countries (Saudi Arabia, Ministry of Interior, 1980; Haroon 1993, 83;
Mohammad 1991; Souryal 1990).
The examination of these arguments is the concern of the present writer. Firstly, in
order to illustrate the difference between crime rates in Islamic and non-Islamic
countries, these will be compared. Secondly, the content of Islamic belief will be
discussed, in order to understand its impact on the psychological and cultural
formation of Muslim individuals as well as on the development and maintenance of
the community of Muslims. Thirdly, we will look at Shara(the Islamic code of
behavior) and the content of Islamic penal law (as part of Shara) and then at the
effect of this complex on crime. Here a Weberian approach will be followed in two
senses. To begin with, like Webers approach in The Protestant Ethic and the Spirit of
Capitalism,the impact of religious (Islamic) creeds on the psychological and cultural
formation of individuals and society will be considered, and, moreover, Islamic
creeds and Sharawill be treated as an analytical ideal type, the diversity of which
will be disregarded (Gerth and Mills 1995, 5961).
2. Comparison of Crime Statistics
In spite of the rise in the general crime rate in recent years, most Islamic countries
are still low crime rate societies. In general, Islamic counties are categorised as
developing countries, the reported crime rates of which are notably less than those
of developed countries (Shelly 1981; United Nations 1993; Fajnzylber et al. 1998,
13). Despite the positive relationship between the level of development and the
level of crime, countries with almost the same level of development experience a
variety of patterns of criminality and crime rate because of significant historical and
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cultural differences (Wilson and Herrnstein 1985, 457; Shelly 1981, 50; Bennett
1990, 356).
Looking at crime rates, Shelly (1981, 5052) distinguished three general groups
among developing countries: Caribbean countries were characterized by quite a
high crime rate, while Middle Eastern and North African (Islamic) countries had a low
and stable rate, and Latin American and the rest of the Asian and African countries
were between those two extremes. Later reports suggest that almost the same
pattern still exists (United Nations 1993; Fajnzylber et al. 1998, 13).
There has been great concern among some scholars about the reliability of Seyed
Hossein Serajzadeh Table 1. Average crime rate per 100,000 populations of three
groups of countries in 1980 Developing Countries Developed
Type of offence Islamic Non-Islamic Countries
Assault, homicide, homicide, Drugs, Rape, Robbery, Fraud, Theft
Calculated based on data from Results of the Second United Nations Survey of
Crime Trends(United Nations 1992). The countries of each group are as follows:
Islamic countries:
Bangladesh, Kuwait, Pakistan, Qatar, and the United Arab Emirates
Non-Islamic developing countries:
Argentina, Chile, Colombia, Fiji, India, Madagascar, Nepal, Philippines, Republic of
Korea, Sri Lanka, Thailand
Developed Countries:
Canada, Denmark, Finland, France, Ireland, Italy, Japan, New Zealand, the
Netherlands, Norway, Sweden, the United Kingdom (including Northern Ireland), and
the United States
Because of missing data the number of countries based on which the average of
each group is computed is less than the number of listed countries. As can be seen
in Table 1, according to United Nations data, while the average total crime rate of
Islamic developing countries in 1980 was 694.2 per 100,000 inhabitants, those of
non-Islamic developing countries and developed countries were 1028.5 and 5968.5,
respectively per crime statistics for cross-national comparison (Groves et al. 1985,
5960; Rogers 1989, 325). The main reason for this concern is the poor quality of
crime statistics from developing countries, in which unreported crimes in particular
(the dark figure) are much higher than in statistics from developed countries
(Tanner 1983; United Nations 1993,4). However, an investigation of the reliability of
four widely used cross-national data sets on crime has suggested that for studies
seeking aggregate descriptions of world crime or analytic explanations of cross148

national crime rates, differences in the data sets do not make a difference in the
results (Bennett and Lynch 1990, 153). Moreover, cross-national comparison of
different groups of developing countries may be more reliable because, among
them, the quality of crime statistics with respect to the magnitude of dark figures
seems to be almost the same.
Journal of Arabic and Islamic Studies 4 (20012002) 114 100,000 inhabitants. This
pattern can be seen in almost all categories of crime, except in non-intentional and
intentional homicide and robbery. In these three categories Islamic countries again
had the lowest rate, while the rates of non-Islamic developing countries were higher
than those of developed countries. Likewise, Fajnzylber et al. have shown that from
1970 to 1994 the intentional homicide rate in Middle Eastern and North African
(Islamic) countries was lower than in other groups of countries (1998, 13, fig. 1).
In general, the low crime rate of the Islamic countries can be attributed to several
socio-cultural characteristics of these societies. Firstly, Islamic countries have been
culturally, to a great extent, homogeneous; in most Islamic countries (particularly
Middle Eastern countries) a majority of populations enjoy a remarkable religious and
often racial uniformity. Existing ethnic differences are mainly overshadowed by
religious harmony, which is a strong basis for national unity. Even in many huge
modern cities (mainly the capital cities), religious, racial, and ethnic distinctions,
although generally present, are not particularly noticeable.
Secondly, in Islamic countries a cohesive family network has been largely
preserved. Even in modern cities, the family network is still impressively effective. It
fulfils a considerable role in the process of socialization and provides social support
and security for its members (Helal and Coston 1991, 138; Shelly 1981, 50).
Thus, even those who live in big cities do not find themselves alone among the
masses, because family and communal relations are active and strong. Thirdly, in
the religious world-view of the peoples of Islamic countries there is more emphasis
on the duties of individuals than on their rights. Individuals interests are regarded
as subordinate to social and group interests. Consequently, family, community, and
even state interventions in some individuals private affairs are tolerated and
justified for the sake of their social benefits. Finally, and perhaps as a result of the
previous factors, public opinion in Islamic countries is less tolerant of criminal
behavior and more favorable towards severe punishments than in other nations
(Evans and Scott 1984; Scott and Al-Thakeb 1980, quoted from Wilson and
Herrnstein 2
Although divorce is neither prohibited nor especially difficult in Islam, the divorce
rate and the singleness rate in Islamic countries have been very low. For instance, in
spite of the increase in the number of divorces in recent years in Iran, the
proportion of divorces to marriages was 8% in 1992 (Statistical Centre of Iran
1373/199495, 50). Also, a survey study revealed that only 3.3% of high school
students in Tehran had divorced parents (Serajzadeh 1998).
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As far as the comparison of the three selected groups of developing countries is

concerned, the strong religious foundation of Islamic countries may be regarded as
the core factor underlying the factors we have discussedhomogeneity, a cohesive
family net, more emphasis on individual duties than on rights, less tolerance toward
criminalityand can account for the low crime rate of these countries. Therefore, as
Helal and Coston (1991, 126) argue, the Islamic religion that has formed the
underlying current for harmony and norm sharing is largely responsible for the law
abiding behavior that results in low crime rates. In order to elaborate this
argument it is necessary to look at the particularities of Islam that contribute to low
crime rates in Islamic societies.
3. Islam: Submission to God
The information contained in this and the following section (4) is largely common
knowledge for Muslims and for students of Islam. It bears repeating here, however,
because it is a necessary part of the argument made in this study and because
certain points of particular relevance to our purpose might otherwise be overlooked.
In the following, the contents of Islamic creeds will be briefly introduced and their
possible impact on the psycho-social dimensions of Islamic societies that contribute
to low crime rates discussed. Muslims are admittedly divided into a variety of
denominations and sects. As mentioned above, however, disregarding the
diversities, we will consider the core beliefs and ritualsin which all Muslims in one
sense or another share as an ideal type in a Weberian sense.
The Arabic word Islam is commonly taken to mean submission (of oneself to God),
and a Muslim is accordingly one who submits to the will of God. Gods will, Muslims
believe, is revealed in the Koran, which is the word of God dictated to the prophet
Mohammed (PBUH). They likewise believe that Mohammed (PBUH) was the last
messenger of God and that his teachings reflect the most complete account of the
message of the Almighty to human beings. Gods word and Gods will are thus the
central elements of Islamic belief and the main preoccupations of a person brought
up in accordance with the dictates of Islamic culture. Islam or submission is
summed up under the famous five pillars in the well-known Hadith of Gabriel,
with which Muslim opens his authoritative Sahh, namely, testifying to the
divine unity, ritual prayer, alms, the fast of Ramadan, and the pilgrimage to Mecca
(cf.
These studies will be discussed in section 5. Journal of Arabic and Islamic Studies 4
(20012002) 116 Muslim 1976, 1:3, trans Abdul Hamd Siddq). We will deal
with these in section 4 on the rituals of Islam.
3.1. Articles of Faith
Alongside Islam and its works lies the deeper level of faith (mn) that not all
achieve. The articles of faith are generally summarized as being five in number,
although there is some difference regarding them and the question of which are
[Link] the most usual summary is that reflected in the hadth of
150

Gabriel just mentioned (Muslim 1976, 1:34), which we give in a somewhat

expanded form here:

Belief in one and only one God of the universe (tawhd);

Belief in the existence of other spiritual beings, the angels, creatures of God
who perform different tasks, including watching over the deeds of humans;
Belief in prophet hood and the revealed scriptures, among which the Koran
represents the last and only uncorrupted version of the word of God;
Belief in the Day of Judgment, when every human being will be held
accountable by God; . Belief in the Divine Decree and Predestination
(although Gods overwhelming power over the life of people is not generally
interpreted so as to remove from them entire responsibility of for their own
actions in the framework of their limitations).

Considering the content of the articles of faith, one may readily observe that the
most important thing in them is the focus on belief in God, on submission to His will
as revealed in the Koran, and on the responsibility of individuals for their behavior
before Him on the Day of Judgment. It may be argued that other religions,
particularly Christianity and Judaism, share the belief in God, prophet hood,
revealed scriptures, the Lists of the of the articles of faith vary somewhat from
school to school, and not all include faith in the Divine Decree and Predestination
among the essential beliefs (see., e.g., Koran 2:177, cited in n. 7 below). Cf.
Encyclopedia of Islam, new ed., 3:1172a. 5
It is worth noting that according to Islamic teachings the psychic, social, economic,
and political limitations within which one is acting are recognized as elements
reducing ones accountability. This leads to lightening of punishment, both in this
world and the hereafter. For instance, a Quranic verse stresses that on no soul
doth God place a burden greater than it can bear (Koran 2:286, trans. A Yusuf Ali).
The punishment for burglary, for example, is very harsh according to Islamic law.
However, it can be only be carried out if several conditions are met, one of which is
that the offender must not be in desperate need of basic requirements of life
Day of Judgment and an efficacious divine decree. Nonetheless, it seems that
Muslims are unique in the extent of their emphasis on submission to Gods will in all
aspects of life, in the widespread acceptance among them, regardless of sect, of the
infallibility of their holy text, and in their stress on the accountability of individuals
for all their behavior in this world. These theological characteristics of Islam,
particularly the emphasis on submission to God, have had a visible impact on the
socio psychological, and even political, development of Muslim societies and have
made them distinctive from others. This impact is discussed by Robertson (1970,
8688), who argues that subscription to the religious point of reference, Allah, in
and of itself, is assumed to entail involvement in a religiously bonded social sphere.
This emphasis upon the simple act of submission says a lot about the unique
feature of Islam. In contrast to Confucianism and Judaism, Islam has definitely been
a religion of evangelizationthat is, it has sought to widen its social and cultural
151

scope and bring large numbers of individuals within its boundaries. . . . In contrast
to Christianity, Islam through its emphasis on submission, rather than on conversion
and induction reveals again its unique form of dynamismembracing the social
world and sustaining it through the religious impulse.
Giving priority to Gods will in all aspects of individual and social life is in open
contrast with individualism, at least in its extreme version, which lies at the
foundation of Western society. On this matter, Occidental and Islamic cultures are
clearly at variance (Turner 1994, 34). That the key notion in Islam of submission to
God is articulated through the idea of a personal relationship with Him and the
accountability of individuals for all their behavior in this world, moreover, increases
the divergence between Islamic and Modern Western culture. Within homogeneous
religious communities, an emphasis on personal responsibility for salvation, defined
in terms of obedience to Gods rules on the one hand and stress on the significance
of the community of believers on the other, contributes to a tight social bond and
effective control over the individual. The dynamism of this kind of control is
highlighted by Marxs observation on Protestantism:
Luther, without question, overcame servitude through devotion but only by
substituting servitude through conviction. He shattered the faith in authority by
restoring the authority of faith. He transformed the priests into laymen by turning
laymen into priests. He liberated man from external religiosity by making religiosity
the innermost essence of man. He liberated the body from its chains
Whether or not this situation is itself a function of development is a matter of
speculation and is not relevant to our purpose here. Journal of Arabic and Islamic
Studies 4 (20012002) because he fettered the heart with chains. (Marx 1972, 18,
quoted from Kurtz 1995, 113)
Like Judaism and Catholicism, Islam is regarded as a religion that develops a
community-based identity among individuals (Kurtz 1995, 109). Nonetheless, with
its emphasis on personal salvation and responsibility, it appears that Islam is in a
certain sense more similar to some Protestant sects that effectively internalize their
norms and values and strictly control their members (Kurtz 1995, 113). In the
process of internalization of religious values and norms, the formulation of religious
practice and ritual in Islam seems to play a significant role.
3.2. The Rituals of Islam
The religious practices and rituals that accompany the articles of faith are
noticeably specific to Islam. These are the well-known Five Pillars of Islam,
summarized in the Hadith of Gabriel. In their Islamic form these rituals seem to
contribute markedly to the internalization of the articles of faith as well as to the
establishment of a sense of a community of believers. They are:

152

The profession of faith (shahda), which must be uttered with full

understanding and which is repeated several times a day during a Muslims
daily prayers;
Ritual prayer (alt), which must be performed in a regulated manner five
times a day;
Alms (zakt), that is, an alms-duty every Muslim should pay, consisting of a
proportion of his or her wealth and/or income, either in money or in kind,
provided a certain minimum is owned;
Fasting (awm) in the month of Ramadan, that is, refraining from eating,
drinking, smoking and any sensual pleasures, from sunrise to sunset;
Making the pilgrimage (hajj) to the holy city of Mecca, which is an obligation
on every Muslim physically and financially able to do so, at least once during
his or her lifetimea ritual that functions to invoke the submission of
Abraham, the father of the mono theistic religions, to Gods will.

One of the Quranic verses stipulating zakt, along with other practices, shows
exactly the social and moral dimension of zakt:It is not righteousness that ye turn
your faces towards East or West; but it is righteousness to believe in God and the
Last Day, and the Angels, and the Book, and the Messengers; to spend of your
substance, out of love for Him, for your kin, for orphans, for the needy, for the
wayfarer, for those who ask, and for the ransom of slaves; to be steadfast in prayer,
and practice regular charity [zakt];to fulfill the contracts which ye have made; and
to be firm and patient, in pain (or suffering) and adversity, and throughout all
periods of panic. Such are the people of truth, the God-fearing (2:177, trans.
[Link] Ali).
Considering the nature of Muslim belief and practice, one can hardly fail to agree
with Aziz (1995, 45), when he states that the basic pillars of belief no doubt play an
important role in the psychological and cultural formation of the Muslim individual
and serve as a basis for his stands and attitudes towards himself, his community
and others. In other words, the essential beliefs and practices of Islam function as
a visible and regular reminder of the believers duty to uphold God and the
ummahat the centre of his or her life (Kurtz 1995, 110). Not only do they result in
the development of a community based identity, they also construct and reinforce a
sense of personal accountability. Thus both the beliefs (articles of faith) and
practices (pillars) of Islam function to strengthen considerably external and internal
sources of control. They must consequently be regarded as significant elements of
the social control of crime.
4. Shura or Islamic Law
On the basis of the foregoing discussion, although an exhaustive comparative study
would be necessary to prove our conclusions, we feel it safe to say that the ethos of
Islam, viewed alongside that of other religions, is distinguished by its
comprehensiveness, that is, it tends to encompass all aspects of the private and
social life of Muslims (Kurtz 1995, 106, 135; Groves et al. 1987, 497; Turner 1974,
153

112; Robertson 1970, 86; also, generally, Schacht 1982 and Watt 1961). Likewise in
ethical principles the distinctive feature of Islam, compared with other religions,
seems to be its unswerving stress on following rules laid down by God and on strict
discipline in private and public life (see Kurtz 1995, 104).
The ethical codes of Islam began to be developed in the early days of the religion by
scholar-jurists, who attempted to discover and elaborate The function of the
religious leaders among Muslims, the ulam or learned, is to teach the
requirements and the rules of Islam to ordinary people and to attempt to draw up
Islamic codes of behavior for new situations (ijtihd). Religious jurisprudence must
be based on the Koran, the tradition of the Prophet, reason, and the consensus of
previous scholars. What at present is known as Islamic law was mainly developed by
scholars relatively early in Islamic history (the eighth to eleventh centuries). By the
eleventh century, many scholars considered that ijtihd (religious jurisprudence)
had been exhausted by great preceding jurists and that no further development of
law was in principle possible (see Turner 1974, 113, and, generally, Schacht 1982).
Although Shiite ulam still believe in the possibility of ijtihd, in practice they
have been very conservative in changing the content of [Link] must be added
that among Journal of Arabic and Islamic Studies 4 (20012002) 120 Islamic
regulations in accordance with the will of God as revealed in the Koran and
crystallized in the prophet Mohammeds (PBUH) sayings and deeds (see Schacht
1982, 1075; also Turner 1974, 113). Shara,as the sets of religious codes of
behavior they produced are called, is usually translated as Islamic law. This
translation, however, may generate misunderstandings, because the coverage of
Shara is more comprehensive than that of law. It covers in meticulous detail
practically every aspect of human behavior known to the scholar-jurists, from
dietary rules to criminal procedures and from the rituals of worship to commercial
contracts.
Islamic jurists generally classify all actions into five categories,
Namely, obligatory (wjib), recommended (mustahabb/mandb), permissible
(mubh), disapproved (makrh), and forbidden (harm). This categorization
reveals that Sharaincludes both positive and negative prescriptions, most of which
are not legally enforceable, while many aspects of Sharawould be generally
excluded on the basis of a Western understanding of law (Breiner1995, 52; Newman
1982, 56657; De Seife 1994, 4). Broadly speaking, only omitting the first kind of
actions (obligatory) and committing the last kind (forbidden) are considered to be
sins. The sinner will be subject to punishment either in this world or in the hereafter,
or both, if he or she does not repent. Those actions that merit punishment in this
world come under the penal law of Islam, to which we will return later.
For Muslims, law and religion are completely fused and Muslims ideological
conception of themselves has been that of a community based on revelation or a
community observing Gods law (Watt 1961, 22781). Moreover, external piety in
Muslim society is considered to be a symbol of respecting Gods will and of inner
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belief. Muslims are therefore very sensitive about adhering to the mandates of
Sharaboth in private and in public. For this reason it has been argued that
Sharais one of the most important and distinctive features of Islamic civilization
(Watt 1961,192) and that Islamic law has had a far greater influence on Muslim
society than Western law has had on Western society (Savory 1976, quoted from
De Seife 1994, 4).
Muslims a twofold ethos has developed from the time of early Islam: that of
Sharaand that of Sufism, which have often challenged and sometimes been in
conflict with each other. While Sufism, with its focus on emotion and internal piety,
has been impressively influential in Islamic societies, the more rational Shara, with
its focus on external piety, has been the dominant ethos in most Islamic societies.
Sufism will therefore not be discussed here.
Turner (1974, 12213), dealing with the development of Islamic ethics (that is,
Shara), focuses in particular on the role of the motive of faithful Muslims for
clinging to the guidelines of the Koran and the Prophet. He emphasizes, however,
the function of Sharafor the whole of Muslim society, maintaining that in the
unstable situation of the urban life of Islamic societies in the Middle Ages,
Shara,which bears all the marks of a law and order campaign, functioned to
mitigate social disorder. It provided a theoretically universal set of norms by which
Muslims were held together and, at the same time, the ulema, while identified with
the notables, penetrated every level of society (1974, 104105). However, since
(both theoretically and practically) Sharahas remained almost unchanged after its
early development,
its application in a changeable social context has, at least in some areas, been met
with difficulties. Consequently, though remaining as a sacred and ideal law for
Muslims, in practice it has only partially been applied in Muslim society (Schacht
1982, 7685; Turner 1974, 11516; Coulson 1978, 1450). Ironically, as Turner (1974,
116) points out, Sharahas remained an ideal ethical system that has, at least
potentially, always provided a source of protest against the existing social and
political order. It occasionally serves as the ideology of rebellion as defined in
Mertons anomietheory (see Merton 1980, 11622), particularly in the modern
world, and provokes social and political unrest. Nonetheless, as a widely accepted
social norm, it has for the most part been a source of conformity and social order in
Islamic societies. Either way, as Watt (1961, 193) suggests, Sharais recognised at
least as an ideal throughout the Islamic world . . . and, even where it is little
observed, it sets a standard which has some influence on actual practice. The
attitudes of the people towards criminal behavior and criminal procedures are
among those aspects of social life in Islamic societies that have patently been
stamped by Sharaand the corollary penal law of Islam.
4.1. The Penal Law of Islam

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Since Islamic penal law, which is in some cases very harsh, is part of Shara, there
have been numerous but few successful calls for its implementation, and the matter
has been the subject of considerable controversy in the Muslim world. The low crime
rate of Islamic societies is sometimes attributed to the severity of Islamic penal law
and the application of its penalties (Saudi Arabia, Ministry of Interior, 1980; Haroon
1993, 83; Mohammad 1991; Sourial 1990). In order to evaluate this See n. 8. Journal
of Arabic and Islamic Studies 4 (20012002) 122 arguments, we must briefly review
of the main features of the Islamic penal system.
As previously noted, from the characteristic religious point of view of a Muslim, all
actions are subsumed into five categories, ranging from obligatory to forbidden,
with three intermediate categories. Committing forbidden actions and omitting
obligatory actions are considered sins that will in principle receive their punishment
in the hereafter. However, some sins are regarded as crimes that are punishable by
the temporal authorities as well. Thus crimes are seen by Muslims as a sub-category
of sin, the prevention of which is part of the religious duty of every believer.
Because of this, those who commit a crime will be under great informal social
pressure from family and members of the community to repent and to compensate
for their wrongdoing. However, it is the criminal act, not the criminal himself or
herself, that is most rigorously condemned.
Three types of crime are distinguished by Muslim scholar-jurists. The classification is
based mainly on the nature of the punishment laid down for the crimes, namely,
hadd, qi,and tazr.1. Hadd, which literally means limit(ation) or prohibition,
refers to punishments laid down in the Koran for unlawful intercourse, false
accusation of unlawful intercourse, drinking wine, theft, and highway robbery (cf.
Sdiq1372/199394, 407408; Schacht 1982, 17881). Haddpunishments are
considered as the right or claim of God (haqq Allh). Thus, they are fixed, and
after conviction no pardon or amicable settlement is possible. The punishment of
these crimes is also very strict, even harsh. In spite of the severity of the proposed
penalties, students of the Islamic penal system argue that there is a strong
tendency to restrict the applicability of the had punishment as much as possible,
except the had for false accusation of unlawful intercourse. This in turn serves to
restrict the applicability of the haddfor unlawful intercourse itself. (Schacht 1982,
176; see also Saif 1995a, 1314; Haroon 1993, 2841.)
In Koran 2:178, which deals with retaliation for murder, the next of kin of the slain
person (walal-dam) is called the brother of the murderer and he/she is exhorted
to forgive and accept compensation. The translation by A. Yusuf Ali of akhhi in the
verse as the brother of the slain does not follow this interpretation. But the text of,
for instance, al-Baydws commentary is clear on the matter: . . . akhhi,that is
to say the walal-dam, named here with the word signifying the brotherhood existing
between them [this person and the murderer] in race and in Islam that he might
relent and take pity on him. (1846, 1:100). Pickthalls translation gives this
meaning: And for him who is forgiven somewhat by his (injured) brother. . . .
156

Some instances of this tendency are as follows: It is strongly recom-Seyed Hossein

Serajzadeh 123 2. Qias (retaliation, lex talionis) applies to offences like murder and
bodily assault. Since qias is considered to be the right of the people, the decision to
prosecute and punish the offender is the right of the injured party or his or her
family. For intentional homicide, they can demand the death penalty, or material
compensation, or can completely forgive the offender. Thus, retaliation (the death
penalty in the case of murder) depends entirely on the victim or his or her family.
Given that people are normally influenced by public opinion, the likelihood of qias
penalties being applied may vary (Haroon 1993, 2627). Moreover, the Quranic
verse on qias strongly recommends forgiveness and material compensation.
3. The third category of crime is punishable by [Link] term legally refers to a
penalty that is not fixed because it is not cited in the sacred texts (the Koran or the
tradition of the Prophet). In fact,tazris applicable to all crimes that are outside the
realm of had and qias crimes. Tazris the dynamic part of Islamic penal law, under
which Islamic scholar-jurists discussed a variety of offences that could appear at
different times and in different societies. With this overview of Islamic penal law in
mind, we can return to the question of the effect of this law on crime in Islamic
societies. As previously noted, it is argued that the low crime rate of Islamic
societies reflects the severity of punishments in Islamic penal law. However,
considering the extreme caution built into Islamic penal law as well as the relative
unlikelihood of its being applied in Muslim societies, this argument would seem to
be irrelevant. Three reasons may be suggested for the irrelevance of the argument.
Firstly, Islamic penal law has not been the dominant law of the great majority of
Islamic countries in recent decades. From the early twentieth century, Islamic
countries began to adopt a Western style of criminal, commercial, and general civil
law (Coulson 1978, 1452).
The appeal mended that individuals who witness others sins do not report the
incidents but privately advise the sinner; for unlawful intercourse, four eyewitnesses are required whose statements should be precisely the same, otherwise,
they will be convicted for false accusation; the confession of the person who is
accused for a had crime can be withdrawn, and even the judge should suggest this
possibility to the person who has confessed, except in the case of false accusation
of unlawful intercourse; For carrying out the punishment for theft, several conditions
are required, some of which can rarely be met. One such condition is that the
offender should not be a needy person (see Schacht 1982, 176, 178; Saif 1995a,
1314; Haroon 1993, 2841; Qutb 1977, 13435). Koran 2:178. See note 10. 13
The only exception is Saudi Arabia, where a traditional approach to Islamic law has
long been in force. Most recently, under the influence of the Journal of Arabic and
Islamic Studies 4 (20012002) 124 for the application of Islamic law in Muslim
countries, as a general demand of the Islamic revival movement, has appeared
mainly in recent years.

157

In a few countries, like Iran, the movement has been able to reintroduce Shara law
as the basis of the penal system. At present, however, in only a few Islamic counties
is the penal law of Islam put more or less into effect. In general, therefore, the low
crime rate of Islamic countries cannot be attributed to the application of the Islamic
penal law and the severity of its punishments. Secondly, there are three dimensions
of punishment that may affect crime: severity, certainty, and celerity (Davis and
Stasz 1990, 44). With respect to these dimensions, Islamic penal law would appear
to introduce a high level of punishment. Nonetheless, with respect to the likelihood
of conviction and the execution of punishment, it enjoys a low level of certainty. As
previously noted Islamic penal law tends to restrict the application of had
punishment. The application of qis punishment, moreover, depends entirely on the
decision of the victim or of his or her family, who are exhorted to forgive the
offender. Regarding celerity, Islamic penal law, in its traditional form, seems to be
very swift. Nevertheless, as far as its application in modern times in a few Islamic
countries is concernedwe may take the example of Iranthe judicial system has
adopted a modern model of organization and procedure. As a consequence, owing
to the nature of bureaucratic process, the penal system in Iran is about as quick, or
slow, as in other countries. The third and last reason to doubt that the stringency of
Islamic penal law accounts for the low crime rate of Islamic societies is connected
with the general controversy over the relationship between the level of punishment
and the crime. The prohibiting impact of the level of punishment has been a matter
of dispute among criminologists. While empirical studies seem to suggest a positive
relationship between the certainty of punishment and the crime rate, most studies
fail to prove the existence of a relationship between the severity of punishment and
the crime rate Islamic revival movement, the application of Shara law has
emerged as a strong social demand. However, not all Muslim revivalists believe in
application of the traditional version of Shara. Therefore, what is applied in Iran as
Islamic Law is to a great extent different from what has been applied in Saudi
Arabia, or what was applied recently in Afghanistan by the Taliban, who adapted to
a considerable extent tribal rules as those of Shara.
It must be noted that among Muslims there are various interpretations of the
content of Shara and the ways in which it may apply (see the last parts of section
6).
(Tittle 1969; Davis and Stasz, 1990, 44; Mohammad 1991, 8389, 9196). Given the
disputes on this matter on the one hand, and the fact that Islamic penal law enjoys
severity but not certainty on the other, it is reasonable to question whether the
severity of punishment in Islamic penal law has any significant effect on the crime
rate. We think that Islamic penal law, in a particular sense, has indeed been an
effective element contributing to the low crime rate in Islamic societies; namely,
that as part of Shara Islamic penal law has been considered by Muslims as an
Ideal to be respected (Watt 1961, 193; Schacht 1982, 199; Saif 1995b, 121). In
other words, for Muslims, Shara reflects Gods will, prohibiting wrongdoing and
indicating the way to salvation. Thus, the more severe the suggested penalty for an
158

action, the more sinful the action is according to Muslims. In this regard, comparing
the crime rate of Saudi Arabia with those of surrounding Muslim countries, Souryal
(1990, 295) concludes that the application of Shara undoubtedly plays a role in
keeping the crime rate of Saudi Arabia low. However, he adds that unlike Western
style positive laws, Shara reflects an expanded view of socio-religious rules based
on the principles of prevention, conditioning, bonding, moralizing, and punishment.
In general, therefore, it may be concluded that if Islamic penal lawas part of
Sharahas had a real prohibitive effect on crime, it is not simply because it is
applied as formal penal law. It is mainly because the complex of religious ideas to
which it belongs has had a great influence on the mentality of Muslims. Watts
suggestion cited above (p. 121) that even when Sharais little observed it sets a
standard that is to some extent influential in the actual practice of Muslims thus
seems to be warranted. Consequently, regardless of whether the official penal law is
based on Shara or not, public opinion in Muslim countries can be expected to be
stricter towards crime, particularly towards those offences named in the penal law
of Islam that are considered to have an especially devastating effect on the moral
health of the society. In summary, Islamic penal law has had its prohibitive effect on
crime as a normative system respected by Muslims, and not just as a penal law that
threatens offenders. 5. Muslim Attitudes towards Crime: Empirical Evidence The
argument that, as a normative system, Shara and the penal law of Islam have had
an impact on Muslims negative attitudes towards crime may be supported by the
findings of a few empirical studies. In these studies the attitudes of Muslims towards
the seriousness of particular kinds of deviant behaviour were compared with those
of other nations. In a cross-national study conducted by Newman (1976), people in
six coun-Journal of Arabic and Islamic Studies 4 (20012002) tries (India, Indonesia,
Iran, Italy, Yugoslavia, and the USA) were asked about nine activities that are
generally recognized as deviant behaviour in most cultures: robbery, incest,
appropriation of public funds, homosexuality, abortion, taking drugs, factory
pollution, public protest, and not helping a person in danger. Among several other
questions, the respondents were asked, Do you think this act should be prohibited
by law? The average of positive answers across the set of acts for the countries
was as follows: Indonesia, 89.6; Iran, 87.6; Italy, 84.7; Yugoslavia, 77.0; India, 72.7;
and the USA, 58.1 (Newman 1976, 116). Considering this as a rough indicator of the
social tolerance of crime (cf. Wilson and Herrnstein 1985, 448), the results suggest
that public opinion regarding criminal acts in Islamic countries (Indonesia and Iran)
is stricter than in non-Islamic countries.
In another cross-national study, Scott and Al-Thakeb (1980, quoted from Wilson and
Herrnstein 1985, 45051 and fig.) ranked the perceived seriousness of several
categories of crime. The study included eight samples from Denmark, Finland,
Holland, Britain, Kuwait, Norway, Sweden, and the USA. The subjects were asked to
assign suitable penalties for some twenty offences. Kuwait is remarkably different
from the other countries in two respects: the severity of suggested penalties and
the rank of crimes with respect to the severity of recommended punishments.
Kuwaitis proposed heavier punishments than the nationals of other countries for all
159

categories of offenses. The penalties they suggested for violent, drug-related, and
sexual offences were far more severe, while those they suggested for economic
crimes and property related offenses were somewhat harsher. Moreover, based on
two samples of American and Kuwaiti students, Evans and Scott (1984) measured
the seriousness of a list of offences. Their findings were consistent with the previous
findings. As can be seen in table 2, Kuwaitis were tougher regarding all categories of
offences
The observed differences with respect to the social tolerance of crime between
Islamic and non-Islamic countries may conceivably be explained by the level of
development (Grove et al. 1987). The fact that almost all non-Islamic countries
included in the previously discussed studies were developed countries may give
support to the argument that emphasizes the significance of the level of
development. However, based on the data given in these studies, it is difficult to
distinguish between the effects of Islamic culture and those of modernity. In order to
examine precisely the effect of Islamic culture on the significantly different crime
rates of Islamic developing countries and non-Islamic developing countries shown
above in Table 1 (p. 113), one must compare public opinion towards crime in these
countries.
Of course the process of development and modernity, as it has happened so far, has
weakened traditional family, community, and religious bonds. Consequently, it has
changed traditional attitudes towards crime in favor of greater tolerance of at least
some categories of crime. In this regard, Islamic countries seem to be no exception.
Nevertheless, it can be argued that, because of the great role played by religion, the
process of development itself in Islamic societies is strongly influenced by Islamic
teachings. Thus it is very likely that public opinion in Islamic countries will remain
more sensitive towards crime, particularly towards offences against public decency
and personal morality (modesty in male-female relations, sexual morality, and drug
and alcohol codes), even when the effect of the development variable is controlled.
In this light, it does not seem unlikely that the fact that Islamic countries are
categorized as a low crime rate group among developing countries (Shelly 1981,
5052; cf. section 2) should be attributed to their Islamic cultural legacy. The
argument that Islam plays a role in the difference in the crime rates of developing
countries may be supported , moreover, by Newmans (1976) earlier cited study, in
which the average judgment of illegality in samples from two Islamic countries,
Indonesia and Iran, was stricter than that of an Indian sample (see the first
paragraph of this section).
6. Conclusion
In sum, belief, ritual, and practice have placed God, His word, and His will at the
center of Muslim life. The development in Islam of the set of religious and moral
precepts collectively known as Shara that cover almost all aspects of life is a
result of this fact. The penal system of Islam, as part of this moral system, has some
160

influence on the individual and social consciousness of Muslims, even when it is not
in practice enforced. This influence may act as a constraint that inhibits crime and
consequently contributes to the low crime rate of Islamic societies. Journal of Arabic
and Islamic Studies 4 (20012002) 128 The application of Shara has been a
matter of serious controversy in Islamic societies. This debate, however, lies far
beyond the concerns of the present study. Nonetheless, it should be noted that in
spite of the strength and popularity of the Islamic revitalization trend, which
emphasizes bringing Islamic values to bear in regulating society, the movement is a
heterogeneous one, within which two main interpretations of Islamization and
Shara can be distinguished. Traditional Islamists are loyal to the reading of Shara
that was developed by early Muslim scholar jurists, and they consider that reading
to be on the level of divine law and unchangeable. Modernist Islamists, in contrast,
criticize the thesis of the continued validity of the body of doctrine developed by
medieval scholars to respond to the necessities of their age (cf. Schacht 1982;
Coulson 1978, 145455; Saif 1995a, 919; Saif 1995b, 12023). While traditionalists
have pursued a nostalgic quest for past communal values, modernists have
attempted to create an Islamic version of modernity by reflecting on and embracing
the values of the modern world as well as the general principles of Islam (cf. Turner
1994, 9295). During recent decades the socio-economic structure of Islamic
societies has been modernizing and has changed dramatically. Religion, however,
has remained an influential force in the social life of Muslims. They still show great
concern for obeying Gods will and observing Quranic teachings in their everyday
life. It seems that the voices of modern Islamists have had louder echoes than those
of traditionalists. Nonetheless, the modernist approaches to Islamic revitalization
tend to present not only a more moderate but also a more individualistic
interpretation of Islamic law. One may therefore ask whether or not modernist
versions of Shara, or Islam in general, can create the social consensus that the
more stringent traditionalist versions have succeeded in creating so far. Muslim
societies have shown that they have been able to preserve their religious
commitment in the modern world to a great extent (Turner 1994, 9295). However,
they have not yet experienced fully, or reflected seriously on, the late modernity
and globalization era, in which an all embracing religious ethos seems very difficult
to practice (Kurtz 1995, 106; Robertson 1970, 88). Nonetheless, whatever the form
and the strength of religion in the era of late modernity will be (cf. Beckford 1996,
3047; Berger 1997), it could be argued that religion is more fervently practiced and
more effectively maintained in Muslim societies than in others. This is undoubtedly
a result of the dynamism of the motivation of being submissive to God among
Muslims. This dynamism, as previously discussed, generated in the traditional world
a particular version of sacred law that has made Islam different from other religions
with respect to the application of religious codes in the everyday life of believers,
and it has maintained Islam as a strong vigorous religion in the modern world. Thus,
if the future of any culture is stamped by its heritage (which it is), then it is more
likely that the dynamism of submission to God will lead Muslims to create new
versions of Shara that preserve their classical religious sentiments and codes
more effectively than others will be able to do with their traditional religious and
161

ethical systems. Hence, if religious sentiments, in a general sense, function to

control criminality, then it may be argued that when the level of development
(modernity) and other variables affecting crime are controlled, perhaps Islamic
societies will continue to experience lower crime rates than their counterparts.

Section-II (25 Marks)

Chapter V: Juvenile Delinquency Meaning, definitions (Behavioral Vs
Legal), Juvenile delinquent Vs status offender, Official statistics of juvenile
delinquency
Definition of JUVENILE DELINQUENCY
1. Conduct by a juvenile characterized by antisocial behavior that is beyond
parental control and therefore subject to legal action.
2. A violation of the law committed by a juvenile and not punishable by death or life
imprisonment.
Juvenile delinquency, also known as "juvenile offending",
is participation in illegal behavior by minors (juveniles, i.e. individuals younger than
the statutory age of majority). Most legal systems prescribe specific procedures for
dealing with juveniles, such as juvenile detention centers, and courts.
In common, acts of breaking the law by children or young people is then called juvenile delinquency, that also refers to youth crime as well as criminal/
delinquent behaviour amongst the young people (World Youth Report 2003). More
often than not, people also call those young people committed in juvenile
delinquency as either juvenile delinquent or youth criminals. So here, the use of
juvenile delinquent is interchangeable with youth criminal. In many developed
countries, there has been a specific legal system for dealing with juvenile
delinquency, such as crime prevention programme and juvenile detention center.
However, World Youth Report 2003 had come up to conclusion that current efforts
to fight juvenile delinquency are characterized by the lack of systemic action and
the absence of task-oriented and effective social work. For that reason, this article
is about to investigate the onsets of juvenile delinquency from the perspective of
Islamic education, and further how Islam tackles juvenile delinquency.
Causes of Juvenile Crime in Pakistan
1. Lack of responsibility
Juvenile delinquency begins with the lack and even absence of parents sense of
responsibility for monitoring and taking care of their children directly. Consequently,
162

some parents do not even know which kind of early education to be prioritized.
Soon as children fail to get proper education at their first environment direct
education from parents, they go outside attending for a bigger environment called
society where multifarious sources of norms, value, and knowledge are available
without filters, and therefore the next cause to juvenile delinquency is the society
itself. In society, children find themselves the object of any acceptance source
thus all provided to children whether they are good or bad will be accepted and
further
implied.
The first and the greatest cause to juvenile delinquency is the lack of sense of
responsibility amongst parents for monitoring and taking care of their children by
their hands. This assertion comes up as the recent phenomenon amongst the
modern parents reveals that some might bemoan, My sons committed to
delinquent acts at home frequently as he spends many times on street with those
criminals, but unfortunately, those parents never tried to spend more time at home
educating their children directly, guiding them to the true path. Instead, they keep
working out of home, leaving their children alone, hoping their children would no
longer commit to juvenile delinquency when a bunch of money are available, but
spiritual education to them is neglected.
2. Unawareness to social values
Indeed, this then contributes to the second cause to juvenile delinquency; that is
some parents do not even know what values to be given first to their children at
their early ages. It is unfortunate to see how the Western people (and it is possible
that some of Indonesian Muslims too) neglect totally spiritual values to be given to
children at their early ages and at the same time, they take greater priority of
stocking their children with only worldly affairs. Consequently, children will be blind
about acceptable values to be implied in society, and therefore commit in breaking
the
existing
norms,
values,
or
law.
Worse, the same imbalance between the worldly affairs education and spiritual
affairs education can also be found in many public schools where all values neither
good nor bad pour down into it. Then, this contributes to the next cause to
juvenile delinquency; that is influence from society. At this phase, children find
themselves amongst a number of multifarious values mixed into a society that is
natured to be heterogeneous. As children are not provided with basic spiritual
values at home, they might possibly absorb all the mixed values existing in society.
There are some hopes that children will find the true path in society, but more
often than not, sources of acceptance in society tend to be bad.
3. Poverty, survival and social disorder
Juvenile crimes are not only grass rooted in our society due to poverty and survival
but are a result of social disorder which prevails in all spheres of our life. It is a
social dilemma of our society, where we are unable to mould our community to
higher morals and acceptability of others right. Juvenile crimes are particularly high
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in urban areas, especially Lahore because it is an amalgam of all social classes,

where poorest to richest subsists, and this clash of wealth gives birth to crimes.
When, poor are compelled to commit crimes, considering other who has the luxuries
of life. Social discrimination and lust for the more, gives birth to such heinous crime
4. Lack of government measures
Government has been ignorant of considering juvenile criminals as an exception
from professional criminals as they constitute of the youth of the country. There
have been efforts made including providing them education and facilitating them
with modern technology at some jails in Karachi, Lahore and Rawalpindi etc.
However, these attempts are insufficient and should be further extended to all other
minor cities jails. By providing them education and catering to their needs, it would
help to extinguish their anguish and anxiety towards the society. It is the
responsibility of the government to nourish these individuals to become better
human beings rather than professional criminals. As these children are the future of
the country, they should be enhanced to contribute positively to the society and
become a valuable asset to the country. If proper measures are not taken to curb
juvenile criminal activities, due to already dooming economy, it would be a strong
threat to social prosperity. Government, as well as, individual need to realize the
social implication of juvenile crimes. If a child has been in jail for a few months for a
minor crime, and if he is not properly treated his punishment would become a
liability to the society rather than help the community by bringing him to the right
path.
The juvenile justice order system regarding under age children allows for a
reduction in their punishment sentence but it needs to be amended to create a
more comprehensive document working for the betterment of juvenile criminals
who are not professional criminals. The sentence for them should be reduced and
there should more awareness as well as educating of these criminals.
As individual we need to accept our responsibility and work for the social welfare of
these criminals. The law making policy regarding them and helping them on societal
basis is very important. Because, they are a part of the youth of the country and the
future generation in whose hands this country would be held. Therefore, we need to
thrive as society and remove malevolence such as juvenile crimes in our society.
Pakistan: Protection of juveniles in the criminal justice system remains
inadequate
"Childhood is entitled to special care and assistance." UN Convention on the Rights
of the Child,
Preamble
1. Introduction

164

The slow progress towards protection of child rights in Pakistan initiated by the
ratification of the United Nations (UN) Convention on the Rights of the Child (CRC)
(1) In 1990 and the introduction of the Juvenile Justice System Ordinance, 2000
(JJSO) came to an abrupt halt when, on 6 December 2004, the Lahore High Court
revoked the JJSO with effect for the whole country. The JJSO was promulgated on 1
July 2000 and focuses on the child in the criminal justice process. It defines the child
in line with international standards as a person below 18 years of age
(2); provides for the establishment of special juvenile courts exclusively to try
juveniles under special procedures suitable for children; regulates the arrest of
children by police as well as bail and probation; provides for the appointments of
special panels of lawyers to assist children free of charge in court; and prohibits the
death penalty and the use of fetters and handcuffs for children. The ratification of
the CRC and passing of the JJSO were major landmarks for the protection of child
rights in Pakistan. However, the implementation of the JJSO has been very slow in
the five years following its promulgation. Some of its provisions were not
implemented at all, others only very haltingly and partially. The law was only
enforced in select parts of the country leaving the criminal justice system in
otherareas without any child rights protection. The conclusion reached by Amnesty
International in 2003 in its report on juveniles that "despite the promulgation of the
JJSO the rights of young people accused of criminal offences continue to be denied"
stands unaltered.
(3) The present report looks at the implementation of the JJSO pointing to areas in
which implementation was less than adequate, building on or updating the findings
of Amnesty Internationals 2003 report. A special focus of this section is the death
penalty for juveniles which Amnesty International hopes will be permanently
abolished in law and practice in Pakistan one of the last countries where
thisblatant violation of the CRC and of customary international law outlawing the
death penalty for juveniles continues to be reported. The section concludes with a
set of recommendations for a more effective implementation of the JJSO. The
arguments of the Lahore High Court judgment on the basis of which it revoked the
JJSO are analyzed in a separate document.
(4) The Lahore High Court held that the JJSO unduly privileges juveniles but ignored
that the Constitution of Pakistan explicitly allows special provisions for the
protection of women and children without diminishing the rights of others. It further
claimed that other laws adequately protect juveniles and that courts take a lenient
attitude to juveniles making the JJSO redundant. An analysis of existing law and a
review of specific cases show both claims to be untenable. The Lahore High Court
also pointed to the fact that in practice many of the provisions of the JJSO have been
ignored and that people have made false statements to gain the benefits of
protection under the JJSO. It concluded that it was not worthwhile retaining a law
that presents a "nightmare of impracticality". Amnesty International believes that
the difficulties of implementation should have been analyzed and constructively
165

addressed to ensure adequate protection of children in contact with the criminal

justice system rather than served as a pretext to revoke a valuable piece of
legislation protecting children. Lastly, the Lahore High Court argued that the death
penalty for juveniles needed to be retained to deter crime. Scientific studies have,
however, consistently failed to find convincing evidence that the death penalty
deters crime more effectively than other punishments. Amnesty International
believes that none of the arguments adduced by the Lahore High Court provide a
sufficient basis for revoking the JJSO. They indicate practical problems in
implementation and a lack of clarity in the JJSO both of which urgently need to be
addressed.
More importantly, the organization believes that the Court failed to appreciate the
spirit of the JJSO and its intention, that is, to pay special attention to the needs of
children caught up in the criminal justice system. It also ignored that Pakistan
entered international commitments when it ratified the CRC which emphasizes the
best interest of the child and its right to special care and assistance. Instead, in
several of its arguments, the Lahore High Court set the protection of child rights as
being in contradiction to the pursuit and delivery of justice for all. The judgment of
the Lahore High Court appears to indicate a lack of care for, even hostility towards
children that seem to characterize some sections of the criminal justice system
which have imposed disproportionately long prison terms and heavy fines on
juveniles and continue to ignore the age of alleged offenders when imposing
sentences of death. In February 2005, the Supreme Court of Pakistan which had
admitted appeals against the Lahore High Court judgment stayed the Lahore High
Court judgment. While the appeals are pending in the Supreme Court and the JJSO
has been temporarily restored pending a decision, Amnesty International urges the
Government of Pakistan forcefully to make the case for child rights when the appeal
comes up for hearing. In the hope that the JJSO will be fully reinstated in Pakistan,
Amnesty International also calls on the Government to make its provisions a reality
for all children in all parts of the country and urges the government to consider
bringing into domestic law other areas of child rights protection contained in the
CRC.
2. Implementation of the JJSO
The JJSO provides important protection for children and should be permanently
reinstated and strengthened. However, its implementation requires attention. In
particular, the geographical coverage of the JJSO and the establishment and
jurisdiction of juvenile courts need to be addressed. Despite the JJSO stipulating
otherwise, Amnesty International continues to receive reports of children receiving
very long prison sentences, high fines and the death penalty. In April 2004, the
Adviser to the Prime Minister on Women Development, Nilofar Bakhtiar reportedly
announced that a plan had been prepared to implement the JJSO "in letter and spirit
this year". She admitted that "unfortunately" this could not be done earlier, without
giving any reason for the failure. She added that from then on nobody below the
age of 18 would be sentenced to death despite a legal ban on the death penalty
166

for juveniles having been in place for almost four years and commitments in that
regard having been made when the CRC was ratified 10 years earlier. She also
announced that a survey of all the prisons would be undertaken to prepare a list of
juveniles in detention. The non-governmental Human Rights Commission of Pakistan
(HRCP) has pointed out in successive annual reports that the JJSO remains
"extremely poorly implemented".
(5) Amnesty International agrees with this assessment. Most provisions of the JJSO
are at best partially implemented. The death penalty continues to be imposed on
children; the mandatory separation of trials of juveniles from those of adults is
routinely ignored and the JJSO has not been extended to large areas of the country
where children are tried and held under laws that entirely ignore the specific rights
and needs of children.
The UN Committee on the Rights of the Child discussing Pakistans second periodic
report on the CRC at its 34th session in October 2003 expressed its concern at the
"poor implementation [of the JJSO] and that many of the authorities in charge of its
implementation, particularly within provincial governments and tribal areas, are
unaware of its existence. The Committee is also deeply concerned at the high
number of children imprisons who are detained in poor conditions, often together
with adult offenders and thus vulnerable to abuse and ill-treatment. The very low
minimum age of criminal responsibility (7 years) is also of concern. Further, the
Committee is deeply concerned about reports of juvenile offenders being sentenced
to death and executed, which have occurred even after the promulgation of the
Ordinance."
(6) It recommended a range of measures to improve Pakistans child rights record,
including the setting up of an independent and effective mechanism to monitor the
implementation of the CRC and receive and address complaints from children in a
child-friendly and expeditious manner; scrutiny of existing laws including the
Hudood Ordinance with a view to bringing them in conformity with the CRC; and the
implementation of child rights protection in the Northern and tribal areas. It also
expressed concern about persistent discriminatory social attitudes towards children
which are evident even in the criminal justice system. The Committee also noted
that a very significant number of children are not registered at birth which has
negative consequences on the full enjoyment of fundamental
Rights and freedoms of children
A. The JJSO an important step towards child rights protection in Pakistan Despite
the slowness in implementation and the lack of awareness amongst members of the
criminal justice system of the JJSO, some progress has no doubt been made, largely
thanks to several child rights organizations in Pakistan which have formed the
Juvenile Justice Network, lobbied for the full implementation of the JJSO and
awareness training programs for staff of the criminal justice system be started.

167

In some cases, courts have begun to function effectively as juvenile courts and
taken into account childrens best interests. For instance, in August 2003, a juvenile
court in Peshawar convicted two boys of drug trafficking and sentenced them to five
years imprisonment but released them on probation after their guardian gave an
undertaking for their future good behaviour. The court ordered that the boys be
admitted to schools and that the guardian report to the probation officer regularly
on the boys progress.
(7) In a number of cases, provincial high courts have ordered that juveniles
sentenced to death by trial courts be retried by juvenile courts. The Peshawar High
Court acquitted a child offender who was below 12 years old at the time of the
alleged offence. Farman Ali was accused of killing another boy in April 2000. He
made a confessional statement but claimed that the pistol he was carrying had
gone off accidentally. The Swat qazi court (8) had convicted him under section 319
of the Pakistan Penal Code (PPC) (unintended murder) and sentenced him to five
years imprisonment and payment of diyat(compensation) for murder. In his appeal
to the Peshawar High Court, Farman Alis counsel argued that the boy had been
under 12 years, of immature understanding, could not be held criminally
responsible for the killing and should have been treated in accordance with the
protection of the JJSO. His confessional statement could not be relied on for the
same reason. The High Court agreed and acquitted him on account of his age.
Amnesty International was concerned for the safety of two boys held along with
convicted adults in a small cell in much prison. In 2003, Ziauddin, a handicapped
13-year-old boy, and 16-year-old Abdul Qadir were sentenced to death by an antiterrorism court in Baluchistan province. Though court documents clearly recorded
their being minors at the time of the offence, the court failed to refer the accused to
a juvenile court. A child rights activist visited the two boys in 2004 and reported
that they shared a cell measuring 6x8 feet in much prison with six adult men who
have been convicted and sentenced to death. The appeal of the boys was then
pending in the Quetta High Court. An activist told Amnesty International of his fears
that the boys may be subjected to abuse, including sexual abuses by fellow
prisoners. The Much Prison is heavily overcrowded with some 68 men under
sentence of death. In May 2005, the High Court of Baluchistan set aside the court
order and remanded the case to a juvenile court for a new trial. Amnesty
International members who had appealed to the Governor of Baluchistan on the
boys behalf were informed in mid-August 2005 that the boys were now held in a
separate room for juveniles and that they had no complaints.
Failings in the implementation of the JJSO
a. The JJSO was not extended to the entire country although the JJSO states
unequivocally in its first section that it "extends to the whole of Pakistan", it was
initially only applied in the four provinces, Sindh, Punjab, Baluchistan and the North
West Frontier Province (NWFP). It did not extend to other areas of Pakistan, including
the Northern Areas, Azad Jammu and Kashmir and the designated tribal areas.
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(9) Extension of the JJSO to these areas appears still incomplete. The JJSO was
adopted in Azad Jammu and Kashmir in January 2003. It is not known to Amnesty
International if Juvenile Justice Rules have meanwhile been notified there. The
Governor of the NWFP directed on 20 October 2004 that the JJSO be extended to the
Provincially Administered Tribal Areas (PATA)
(10). To Amnesty Internationals knowledge, the NWFP Juvenile Justice System Rules,
2002 which lay down procedures to make the JJSO operational, have not yet been
extended to PATA and accordingly no juvenile court has been set up by the NWFP
government nor have regular courts been authorized by the High Court of the NWFP
to assume functions of a juvenile court. As a result, the JJSO is not in operation in
that region and children continue to be deprived of the protection available under
the JJSO. Child rights groups have also lobbied for the appointment of a sufficient
number of probation officers and panels of lawyers in the PATA to extend free legal
assistance to juvenile accused or victims of crimes. This measure does not appear
to have been taken in PATA either. In the Federally Administered Tribal Areas (FATA),
the JJSO was notified on 22 November 2004 but as none of the required
infrastructure was made available in the region and the prevailing law was not
amended to allow the JJSO to be enforced, its formal extension to FATA remains
without effect. (For details of the law governing the FATAsee below) Under section
4(1) of the JJSO, the relevant provincial government in consultation with the Chief
Justice of the relevant High Court should establish one or more juvenile courts for
the area within its jurisdiction. However, neither a High Court nor a provincial
government has jurisdiction over the FATA. Similarly section 4(2) under which the
relevant High Court may confer powers of a juvenile court on a sessions court or
judicial magistrate is unenforceable in FATA as no High Court has jurisdiction in the
region, nor do the FATA have sessions courts or judicial magistrates. The FATA do not
have a probation department, hence no probation officers into whose care a child
accused can be released, nor required Borstal Institutions. Section 13(1) of the JJSO
which provides that an appeal against an order of a juvenile court can be filed in the
relevant High Court is unenforceable as there are no High Courts in FATA.
(11) Juvenile Justice Rules have not been formulated for the region and applied to it.
In short, the JJSO remains unenforced and, pending changes in the law governing
the region, unenforceable in FATA. Child rights protection available under the JJSO
remains absent in FATA and a wide range of abuses of child rights is reported. The
Frontier Crimes Regulation (FCR) of 1901 is the basic law in force in the FATA.
(12) It comprises substantive and procedural law relating to criminal and civil
matters. Passed in the colonial era, the law was intended to administer the strategic
border region by allowing the tribes to retain elements of traditional justice but
subject to colonial executive control. The FCR has remained unchanged in
independent Pakistan.
In case of any offence committed in the FATA, a tribal council or jirga tries the
offender and recommends a verdict of guilt or innocence to the Political Agent. The
169

Political Agent is appointed by the federal government and in turn appoints

members of the jirga. He is not bound by the jirga recommendations and may
decide the verdict and the punishment irrespective of such recommendations.
Appellate and revision powers lie with the executive as well.
The Constitution of Pakistan while declaring in Article 1 that the FATA are part of
Pakistan lays down a rigorous separation in terms of law, institutions and human
rights protection between the FATA and the rest of Pakistan. The criminal code of
Pakistan does not apply to the tribal areas and Article 247(7) of the Constitution
debars the jurisdiction of the countrys high courts and the Supreme Court from the
tribal areas. This means that offences are to be dealt with exclusively under the FCR
and no access or appeal to independent judicial authority outside the FATA is
permitted.(13) All executive, administrative and judicial functions for the region
exclusively lie with the Political Agent.
Human rights protection in the FATA is grossly inadequate. Fundamental rights are
guaranteed in the Constitution for all people in the whole of Pakistan, hence
including those living in the tribal areas. However, the enforcement of fundamental
rights through the higher judiciary under Article 199(14) and 184(3)(15) is debarred
in FATA, creating a paradoxical situation in which fundamental rights in the FATA are
available but unenforceable.
One of the positive features of the FCR is that it does not provide for the death
penalty. However, several other provisions of the FCR are incompatible with a whole
range of constitutional human rights guarantees given to everyone in Pakistan as
well as international human rights law and standards. The higher judiciary of
Pakistan has on several occasions acknowledged this discrepancy and
recommended the repeal of the FCR. President Musharraf in 2002 promised reform
of the FATA including the FCR and a blueprint was reportedly prepared but not
implemented. The amendment or repeal of the FCR is also advocated by many
people living in the tribal areas; some people have also pointed out that a gradual
transition may be preferable to abrupt change of the legal regime in the tribal
areas.
(16) The FCR conflicts with international fair trial standards as it inter alia fails to
provide for a separation of the judiciary from the executive, ignores the presumption
of innocence, the right to be represented by legal counsel of ones choice and to
appeal against conviction and sentence. In so far as these and other fundamental
rights are assured to people living outside the tribal areas, the FCR violates the right
to equality before law and equal protection of law guaranteed in Article 25 of the
Constitution of Pakistan. The provisions of the FCR relating to collective criminal
responsibility and punishment violate the presumption of individual responsibility
contained in the Constitution of Pakistan and statutory law. In so far as the
Constitution of Pakistan in Article 8 declares that any law, custom or usage having
the force of law, in so far as it is inconsistent with the fundamental rights recognized

170

in the Constitution is void, many provisions of the FCR appear to possess a doubtful
legal status.
The FCR is blind to child rights. There is no mention of children in the entire act and
consequently no provision for proceedings and punishment which take into account
the vulnerability of the child. It has no provisions limiting the criminal responsibility
of children or protection against harsh punishments. As a result children are treated
on par with adults. The FCR is also gender blind. It takes no cognizance of crimes
against women, does not allow for representation of women during criminal
proceedings and makes no allowance for the deprived status of women in the tribal
areas which sometimes forces them into crime. International human rights treaties
ratified by Pakistan are binding on the state in respect of all regions and all persons
under its jurisdiction. It is therefore obligatory for the state to take all necessary
legislative, administrative and other measures to ensure that the rights contained in
the ratified treaty are enjoyed by all within the state. Among the very few
international human rights treaties ratified by Pakistan is the CRC and some of its
provisions were brought into domestic law through the JJSO. Amnesty International
urges the Government of Pakistan to fully enforce the JJSO forthwith in the FATA by
developing and notifying Rules for its application as a further step towards ensuring
the full enjoyment of all the rights of the CRC by all children in Pakistan. Currently
more than 70 juveniles, including at least 15 children below the age of 10, are held
in jails of the NWFP under the FCR, both convicted and sentenced in their individual
capacity or under collective responsibility provisions for the offences of others.
Under section 40 FCR, collective punishment can be imposed on anyone in the tribal
areas, including children, for a crime committed by his or her extended family
members, including anyone from their khel (clan) or tribe. Some juveniles are
reportedly held in chains and blindfolded. The childrens imprisonment under the
FCR is conditional. After completion of their sentences, detainees are to be brought
before the Political Agent who can determine under the FCR if they are to be
released or to be held for a further three years. People held under the FCR have no
right to appeal against their sentences to a higher court outside the FATA. Appeals
go exclusively to the FCR Tribunal which consists of the provincial Home Secretary
and Law Secretary; in case of difference of opinion, the case can be referred to the
provincial Chief Secretary. There is no possibility to challenge the FCR Tribunal
decision.
Several juveniles were sentenced under the FCR to long prison terms without regard
to their young age, their socio-economic status and their need for, and right to,
rehabilitation and reintegration into society. Several of the sentences are grossly
disproportionate to the offences for which they are imposed, indicating a clear lack
of understanding of childs needs on the part of Political Agents. Qismat Khanwas 15
years old when he was arrested on 20 April 1995 in Jamrud, Khyber Agency, for
allegedly obstructing government employees in the performance of their official
duties, rioting, instigating people to riot and carrying weapons. He was sentenced to
45 years imprisonment as were his brother Milat Khanand cousin Ali
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Mohammad(both adults), who had come from the remote Tihar valley to meet
Qismat on the latters return from Karachi where he had been studying. Qismat
Khan and his two relatives were released on 21 May 2004 after an appeal to the
President through the offices of the Society for the Protection of the Rights of the
Child (SPARC) and on the intervention of the then NWFP Governor. Qismat Khans
appeal to the provincial High Court in Peshawar had been dismissed earlier as it has
no jurisdiction over cases tried under the FCR.(17)
Similarly Aqal Deenfrom North Waziristan was 17 when he was arrested on several
charges, including murder. On 17 November 2003 he was convicted and sentenced
to 42 years imprisonment by the Assistant Political Agent in Miranshah who decided
that the sentences for different charges should run consecutively, not concurrently.
Rasool Khanwas 13 when the Khyber Agency Assistant Political Agent in 1996
convicted him and sentenced him to 17 years of imprisonment with a Rs. 20,000
fine for allegedly stealing a car. After the benefit of various remissions on religious
and national holidays he completed his term of imprisonment but was not released
as he could not pay the fine imposed on him. He then had to serve another two
years imprisonment in place of the fine.
The FCR also permits the Political Agent to impose high fines regardless of the
alleged child offenders ability to pay. On 19 June 2000, then 16-year-old Shakeem
Gulwas arrested in Wana Bazaar in the South Waziristan Agency on suspicion of
being a member of a gang of robbers. The Assistant Political Agent convicted him in
exercise of his powers under the FCR in June 2000 and sentenced him to 10 years
rigorous imprisonment (i.e. imprisonment with labour) and stipulated that on
completion of his sentence, Shakeem is to furnish a security bond of Rs. 300,000
(1$ = 43 Rupees) with three reliable sureties in the same amount. Failure to pay
would result in a further three years imprisonment. Child rights activists in the
NWFP have informed Amnesty International that Shakeem Gul is the only now adult
male member of his family as his father and elder brother have been killed by their
tribal enemies and his mother and two younger brothers economically depend on
him. In this situation it is highly unlikely that he will be able to provide a security
bond of such a high amount and that anyone will provide sureties for him. Shakeem
has not received any visits in Central Prison Haripur since his arrest and is
reportedly depressed.
A team of SPARC during a visit in 2004 to the Central Prison of Dera Ismail Khan
found 13 children of the family of a wanted criminal suspect, Arsal Khan of the
Betani clan, serving three year prison sentences under section 40 of the FCR. Such
sentences are imposed on individual named children. They included the five
children of Shireen Bibi - Farzana (12 years old), Siyal Bano (7), Zahir Jan (6), Gul
Bano (4) and Khyal Bano
(2). Another woman of the Betani clan, Gul Sahiba, was detained along with her six
children, Gul Hira and Gul Zaram Jan, both in their early teens, Ghulam Hussain (9),
Shah Hussain (6) and Mohammad Hussain (4). Their elder brother, Eid Badshah (13)
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was being detained in the juvenile section of the prison along with four other minor
boys of the same clan. The group also includes several older clan members,
including 70-years-old Darmeena and 80-year-old Wazir Khan Kaka. Several women
and children are reportedly in detention under section 40 FRC simply for being
neighbors of Arsal Khan. According to SPARC, at least 24 other members of the
same family are also currently held in Central Prison Haripur, including children as
young as one year old. They were reportedly arrested in April 2004 in the vicinity of
Tajori police station in Lakki Marwat district of NWFP - where the FCR is not
applicable - and were shifted to Miramshah in North Waziristan Agency where the
FCR is applicable. The Assistant Political Agent of North Waziristan then sentenced
them each to three years imprisonment under section 40 FCR; they were
subsequently transferred to Haripur prison. On 22 October 2004, a meeting of the
Senate Human Rights Committee was requested by opposition members to discuss
the FCR and the sentencing of juveniles under it. When Senator Farhatullah Babar
showed a report in the newspaper Dawn of 4 October 2004 about a three-year old
girl being sentenced to three years imprisonment under the FCR, the Secretary
(Security) FATA dismissed this and similar reports as fabrications. He said, "a
Political Agent would be out of his mind to sentence three-year-olds under the
FCR."(18) Upon these categorical assurances by a state official, the Senate Human
Rights Committee did not pursue the matter but recommended that if such reports
were found to be true, women and children sentenced under the collective
responsibility clause should be released forthwith. However, Senator Babar in a
letter published on 24 November 2004 in the daily Dawn stated that he had since
then received an official list of convicted persons under the FCR, including the
names of at least 17 small children between two and nine years held under the FCR.
A SPARC coordinator during a public function on Human Rights Day 2004 stated that
according to official prison statistics, 49 children were in detention in different jails
in the NWFP under the FCR. Officials present at the function dismissed this assertion
with the then Governor reportedly publicly accusing the SPARC coordinator of lying.
Amnesty International considers the detention of children held under the collective
responsibility clause of the FCR as unlawful under Pakistans commitments under
the CRC and rules of customary international law and calls on the Government of
Pakistan urgently to amend or repeal the law to ensure that no child (or any adult) is
detained for offences he or she has not committed. All children currently held under
the FCR should be released and appropriately rehabilitated and compensated. The
government should also ensure that pending the amendment or abolition of the FCR
no further juveniles are detained under the collective responsibility clause or other
provisions which contravene provisions of the CRC.
Islam is the Solution
What first to do in terms of preventing juvenile delinquency is how to raise
awareness amongst parents of being responsible to their children. In Islam and
followers of other religions might also apply this, children are viewed a mandate
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bestowed upon parents by Allah, the only worshipped God. Muslim parents, in the
afterlife, will be asked about their treatment to their children whether or not the
childrens rights of getting both spiritual and material needs are fulfilled by parents.
Truly, it is true that the Prophet Muhammad (peace be upon him) said:
Every one of you is a guardian and every one of you is responsible (for his wards).
A ruler is a guardian and is responsible (for his subjects); a man (Husband) is a
guardian of his family and responsible (for them); a wife is a guardian of her
husbands house and she is responsible (for it); a slave is a guardian of his masters
property and is responsible (for that). Beware! All of you are guardians and are
responsible (for your wards) (Narrated by Bukhari in Wedlock, Marriage [nikaah]
Chapter, Hadith number 116).
The Prophet Muhammad (peace be upon him) has showed a great exemplary
behaviour in balancing the spiritual and material education given to his children.
The best of you are those who treat their family the best. And I am the best
amongst you in treating my family, (Narrated by Al-Hakim).
The above Hadith also reflects a message that if one carries out good deeds; hence,
he/she must show (read: educate) them to his/her family first, then other people.
This, likewise, implicates that Muslim parents must first struggle to establish an a
small-scale
Islamic
State
at
their
home,
at
their
family.
What next to do after raising awareness of responsibility amongst parents in order
to prevent juvenile delinquency is giving priority in the teaching of Islamic good
deeds to children since their very early ages. People, not only the Muslims, are
possibly in agreement that the Prophet Muhammad, and the first generation of the
Muslim ummah, is the best figure in the discussion of how to upbringing a child
properly. They did not merely emphasize on the teaching of worldly affairs, but also
and most importantly the spiritual education. At the early ages of his children,
the Prophet Muhammad did not provide them with mathematics, science, or
linguistics, but Islamic tawheed (the oneness of Allah). What makes the Prophet
Muhammads teaching approach better and endure even up to now is that he
taught worldly knowledge like mathematics, science, or linguistics, by teaching
Islamic tawheed to them. This fact then inspires modern educators in the West to
formulate teaching approaches like communicative language teaching,
contextual
language
teaching,
and
teaching
science
by
Quran.
The priority of teaching Islamic tawheed first to children at their very early ages is
also
based
on
the
Allahs
saying
below:
Behold, Luqman said to his son by way of instruction: O my son! Join not in
worship (other) with Allah: for false worship is indeed the highest wrong-doing
(Luqman
[31]:
13).
174

Soon as Muslim parents feel enough of installing their children with Islamic
tawheed, then they start teaching them Islamic good deeds, and finally worldly
affairs. It is hopefully that children are now capable of recognizing and further
differentiating good deeds from evil deeds the one that leads to juvenile
delinquency. The society and public school are two places where children spend
most of their time, and therefore they will encounter with a great number of values,
norms, and knowledge. Muslim parents who fully enough have given their children
filter are no longer afraid of releasing their children in society, but on the contrary,
those who do not provide their children with such a filter would someday find their
children commit in juvenile delinquency.
Child Delinquency: Early Intervention and Prevention
Juvenile Justice and Delinquency Prevention
Concluding
Remarks
Juvenile delinquency or criminal / delinquent behaviour amongst young people and
children is most possible caused by the lack of sense of responsibility amongst
parents for taking care and monitoring their children directly. Though they often
worry about their childrens growth, but more often than not, they still spend most
of their time working out of home with hope that their children would grow into what
they want by providing them merely with money. It, therefore, leads some parents
to give merely worldly affairs education, and neglects the spiritual affairs education
(Islamic tawheed). Thus, children find it hard to differentiate good deeds from evil
deeds mixed in heterogeneous society because of the absence of such a religious
filter.
Islam, brought first by the Prophet Muhammad in the 5th Century, has taught all
people, either Muslims or non-Muslims, that first urgent thing to be taught to
children at their early ages is providing them with spiritual affairs education then
worldly affairs education. The two here must be balanced as what have been
performed by the Prophet Muhammad in upbringing his children. Above all, parents
should now pay more attention to take care of their children because children in
Islam are mandate bestowed upon parents by Allah the only worshiped God.
Everyone of you is a guardian and everyone of you is responsible for his wards
(Hadith).
1: conduct by a juvenile characterized by antisocial behavior that is beyond
parental control and therefore subject to legal action
2: a violation of the law committed by a juvenile and not punishable by death or life
imprisonment
Children and youth are victims of theft and violent crimes. Some juveniles are
victims
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Of abuse and neglect at the hands of their parents or other caregivers. The term
dependent and neglected children describes those who are not provided with
proper shelter, clothing, food, clean and safe living conditions, and medical needs.
Child abuse ranges from verbal abuse to physical and sexual abuse
Child victimization has been linked to problem behaviors, delinquency, and
criminal behavior later in life. An understanding of victimization and juvenile
delinquency is therefore important for a better understanding of the most
appropriate juvenile justice system responses to these problems. Some highlights
from Juvenile Offenders and Victims: 2006 National Report
Juvenile Delinquents vs. Status Offenders
Status offender is a term for a juvenile who has committed an act that is an offense
only because of the age of the juvenile. If they were an adult there would be no
offense. Juvenile offenders are juveniles who commit offenses that are violations of
the law at any age (Bartollas, 2008). The status offender and the juvenile delinquent
create many separate and distinct problems for the juvenile justice system. The
status offender is in the system based on who they are (age), not what they do
(Samaha, 2011).
The problem with status offenders is what to do with them. If they are placed with
the juvenile delinquents there is a risk of exposing the child to a harder criminal
element. This can create adult offenders. Too hard of a hand can send the life of a
status offender into a downward spiral ending in criminality, when they did not
violate the penal code. Too soft of a hand on the status offender can create future
criminals as well. The child becomes labeled with the intake into the juvenile justice
system. If possible the least flex of punishment would be an advantageous option. It
would be better if they were removed from the juvenile justice system. Status
offenders are not accused of violence, theft, abuse, rape, murder, drug dealing or
any other such criminal acts found within the criminal court system. Yet, in the
juvenile justice system status offenders are treated as such, in some cases, status
offenders are treated more harshly that the criminal actors of the same age. The
status offender that has less interaction with the juvenile justice system will often
age out of offending and not receive a lifelong label of delinquent.
Juvenile delinquents pose a problem for the juvenile justice system because of the
varying age of the offender and how to punish them. There is a vast difference
between the 10 year old offender and the 16 year old delinquent. Placement must
be assessed on the age and degree of criminality of the child. Older delinquents are
often waived to the adult courts. Do children deserve punishment proportionate to
the gravity of the crime, or should the fact that they are children be taken into
account? The apparent solution is based on what model the juvenile justice system
is using. This is based on public opinion and the current trends in crime. There is no
one standard or policy that leads the juvenile justice system. Different states have

176

different guides. Texas falls under a legislative guide that provides

recommendations on the protection and care of juveniles (Bartollas, 2008, p. 21).
The chronic 6 percent are arrested four or more times. They rarely age out of
crime. Punishment has little effect on preventing future crimes of the chronic
offender, the best solution it to limit opportunity to commit crime. The courts look at
multi-pronged solutions to these cases. Research has shown that there are many
factors that cause the chronic offenders to continue in the commission of crime. The
crime control model is used with chronic delinquents (Bartollas, 2008, p. 25). The
crime control model emphasizes punishment. This is not the best solution for
chronic delinquents. The hard line does very little to influence recidivism rates
and the chronic delinquent is not reformed by punishment. If the prison population
is composed of 10 percent sociopaths, could the chronic 6 percent be the juvenile
representation of the adult sociopath population?
A status offender is someone charged with an offense that would not be a crime if
committed by an adult. Common examples are running away from home, being
truant from school, and being beyond parental control. Status offenders are virtually
never incarcerated for their first offense
BACKGROUND ON STATUS OFFENDERS by: Lawrence K. Furbish, Director
You asked for background information on status offenders including (1) the
definition of the term, (2) if they can be incarcerated, the process of finding them
guilty, and (3) any laws or regulations concerning their confinement.
SUMMARY
A status offender is someone charged with an offense that would not be a crime if
committed by an adult. Common examples are running away from home, being
truant from school, and being beyond parental control.
Status offenders are virtually never incarcerated for their first offense. But if they
later violate a court order governing their behavior, they can be found delinquent,
and if the court also finds that no less restrictive alternative is available, it can place
them in a juvenile facility. This could be the Connecticut Juvenile Training School in
Middletown, but this is rare.
If confined, they must be in a juvenile facility, and they are not kept with adults
except in special and rare circumstances. There are statutorily established rights for
children in the custody of the commissioner of the Department of Children and
Families (DCF), and pursuant to statute DCF has promulgated regulations governing
several aspects of their confinement. In addition, by law DCF must follow national
standards governing juvenile training schools.
STATUS OFFENSES

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In Connecticut, children or youth who commit status offenses are defined as Family
With Service Needs (FWSN) or Youth in Crisis (YIC). A FWSN is one that includes a
child (someone under age 16) who, within the last two years (1) has run away from
home or other lawful place of abode without just cause; (2) is beyond the control of
parents or guardian; (3) has engaged in indecent or immoral conduct; (4) is a
truant, habitually truant, or continuously and overtly defiant of school rules; or (5) is
13 or older and has had sex with a person 13 or older, but not more than two years
older than the child (CGS 46b-120(8)). A YIC is a youth (16- or 17- year old) who
(1) has run away from home or other lawful place of abode, (2) is beyond the
control of parents or guardian, or (3) has four unexcused school absences in any
month or 10 in any school year (CGS 46b-120(3)).
The FWSN law dates back to 1979 when Connecticut, responding to a federal
mandate, decriminalized behaviors such as running away from home, truancy, and
being beyond the control of ones parents. These were termed status offenses
because they were criminal acts only because of the age of the actors. Before 1979,
status offenders were treated as delinquents and could be placed in detention.
When the FWSN law was enacted the cut off age was set at age 16, primarily due to
issues of cost. But this left 16- and 17- year olds in what was frequently termed a
gray area; these youth were not yet adults but at the same time there was no
way for the police or the courts to help parents exert control. Throughout the 1980s
and 1990s proposals were introduced in the General Assembly to expand FWSN to
cover 16- and 17-year olds, but they foundered over the issue of cost. Finally, in
2000 the legislature passed PA 00-177, which created the YIC program to deal with
16- and 17- year old status offenders.
JUDICIAL PROCESS AND INCARCERATION
Any number of people can initiate a FWSN or YIC proceeding in juvenile court,
including the childs parents, police, school superintendents, DCF officials, child
caring agencies, youth service bureaus, and the child or his attorney (CGS 46b149). A written complaint is filed in Juvenile Court, and a juvenile probation office
first investigates to see if it is valid. If it is, the matter can be referred, with the child
and his parents consent, to a community-based service provider or a petition can
be filed to bring the case to court. If this happens, a confidential proceeding is held
with the child, his parents, and other appropriate parties. The court must do some
things at this stage depending on the nature of the case. For example, if it involves
truancy, the court must order an educational evaluation of the child. If the court
believes there is a strong probability the child will injure himself or run away, it can
order the child to be held in juvenile detention, which is operated by the Judicial
Department, or placed, with some suitable person or agency.
If the court finds by clear and convincing evidence that the child belongs to a FWSN,
it has an array of possible remedies. These include referring the child to DCF for
voluntary services, ordering the child to remain at home, committing the child to
178

DCF care and custody, or ordering community service or some other type of
program participation. In some cases a FWSN child who has been committed to DCF
can be placed in a residential treatment facility. DCF does not consider this to be
incarceration.
If the court imposes an order on the child directing him to do something or restrain
from doing something and the child subsequently violates that order, he can be
charged with delinquency (CGS 46b-148). (Delinquency is defined as violating a
federal or state law or municipal ordinance (CGS 46b-120(6)). Delinquent children
are also processed in Juvenile Court, but if a child is convicted as delinquent the
court has a more severe range of alternatives available to it. In this situation, a child
could be committed to DCF custody and end up at the Connecticut Juvenile Training
School (CJTS) in Middletown. According to Debra Korta, legislative liaison for DCF
and Deborah Fuller, legislative liaison for the Judicial Department, it is rare for
children convicted as delinquent for violating FWSN orders to be sent to CJTS. A YIC
who violates an order is not considered delinquent and cannot be confined (CGS
46b-150f).
RULES GOVERNING CUSTODY
Children committed to DCF can be placed in CJTS (a facility for boys), Long Lane
School (used now for girls but being phased out), or other privately operated
juvenile facility. The statutes authorize the commissioner of DCF to petition the
court to transfer a juvenile who is 14 or older, dangerous to himself or others, and
who cannot be safely held at CJTS or any other facility available to DCF to a facility
operated by the Department of Correction (CGS 17a-12a). If such a child were
male, he would go to the John R. Manson Youth Institution in Cheshire, if female, to
the Connecticut Correction Institution in Niantic. This is rare and would most likely
be a child committed for a violent juvenile act, not a status offense.
The statutes lay out a list of rights for children placed in any facility or treated by
DCF (CGS 17a-16). These include such things as the right to dignified and humane
treatment; the ability to communicate with others; writing materials and postage;
the ability to make and receive phone calls; the right to receive visitors, including
clergy and an attorney; and the right to visits from physicians and mental health
professionals. Pursuant to a requirement in this statute, DCF has promulgated
regulations governing the rights of children under DCF supervision (Regs. Of CT
State Agencies 17a-16-1-18). These include such things as: access to the
telephone, use and receipt of mail, when and how restraints may be placed on a
child, use of seclusion and force, and policies on hearings for out-of-state transfers.
A copy of these regulations is attached.
In 1999, when the General Assembly enacted legislation creating the new CJTS,
which replaced Long Lane School, it included a provision requiring DCF to use the
Manual of Standards for Juvenile Training Schools published by the American
Correctional Association. This book-length manual has standards for building and
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safety codes, housing, programs and services, security, rules and discipline, training
and staff development, health care, food services, safety and emergency
procedures, and fiscal management. According to Korta, DCF follows the standards
in this manual and is in the process of revising its policy manuals to reflect them.
She says that the department is pursuing accreditation for the school, using these
standards.
JUVENILE STATUS OFFENSES: FACT SHEET
What is a juvenile status offense?
A status offender is a juvenile charged with or adjudicated for conduct that would
not, under the law of the jurisdiction in which the offense was committed, be a
crime if committed by an adult.
What types of activities constitute juvenile status offenses?
The most common examples of status offenses are chronic or persistent truancy,
running away, being ungovernable or incorrigible, violating curfew laws, or
possessing alcohol or tobacco.
What are the causes of juvenile status offense behaviors?
There are numerous possible causes of status offense behaviors. These noncriminal
behaviors are often caused by poor family functioning or dynamics, school
problems, youth characteristics or community problems. For example, research
indicates that risk factors for potential truancy include domestic violence, academic
problems, substance abuse, lack of parental involvement in education, and chronic
health problems.
Research also indicates that many youth who run away were physically or sexually
abused at home in the year prior to their runaway episode. Family dysfunction and
drug use in the company of the child are also endangerment factors for youth who
run away.
How many youth are arrested because of juvenile status offenses?
In 2004, over 400,000 youth were arrested or held in limited custody by police
because of a status offense. This number represented approximately 18 percent of
all juvenile arrests that year.

How many youth are petitioned to court because of status offenses?

The most recent national estimates regarding all status offense court petitions were
collected in themid-1990s. In 1996, approximately 162,000 status offense cases
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were formally judicially processed. From 1985 to 2004, the total number of court
petitioned juvenile status offense cases doubled.
How many youth are placed in a juvenile justice facility because of a
status offense?
The latest Census of Juveniles in Residential Placement indicates that on any given
day in 2003, approximately 4,800 status offenders were in the custody of a juvenile
justice facility, accounting for five percent of juveniles in residential placement.
When including juvenile offenders in residential placement due to a technical
violation (typically a violation of a valid court order), the number increases to nearly
19,000 (or 20 percent of youth in custody).
Is there a link between status offense behavior and later delinquency or
criminal behavior?
Many state and county status offense systems lack programs, services, or resources
to help youth and their families in critical need of assistance. Judges sometimes
have few options but to take a child out of the home even when he or she poses no
threat to public safety and may be in need of treatment or services. This often leads
to more negative outcomes including victimization, increased family tension,
reduced involvement in school, and an increased likelihood of becoming more
deeply involved in the juvenile justice and criminal justice system.
In fact, research has clearly linked status offense behavior to later delinquency. For
example, truancy accounts for the majority of status offense cases that come to the
attention of juvenile courts and continues to be a major problem that negatively
influences the future of our youth. Truancy has been clearly identified as one of the
strongest early warning signs that youth are headed for potential delinquency or
educational failure. A 20 year longitudinal study found that truant youth were eight
times as likely to become delinquent as non-truant youth.
Do all states classify these activities as offenses?
The majority of states do have a legislative category for status offenders, often
referred to as children or juveniles in need of supervision, services, or care.
However, a minority of state laws designate some or all status offenders as
dependent or neglected children. For example, several states define a runaway
youth as one who has been neglected. There are also significant variations in how
states approach status offense cases, despite a commonly expressed state goal to
preserve families, ensure the safety of the public, and prevent youth from entering
the delinquency or criminal system. Some state legislatures have increased the
upper age by which youth may be brought into the status offense system, others
have increased the use of residential placements for alleged status offenders, while
several states have restricted access to a more formal court process by
emphasizing the provision of community-based and in-home services for families
and youth prior to any court involvement.
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What is the range of penalties that states apply to youth who are
adjudicated as status offenders?
Each state is different in the penalties a court may impose on a juvenile who has
been found to be a status offender. Many states allow courts to impose sanctions on
the youth such as suspending his or her drivers license or requiring he or she pay a
monetary restitution. Most states allow courts to place youth out of their home in
relative or substitute care (which may include foster or group home settings) and
most allow for the provision of services to youth. A majority of states also allow
courts to place youth in a secure or locked facility, if he or she violates a valid court
order. Finally, some states allow courts to order parents to comply with certain
services, such as counseling or parenting, which may help alleviate the causes of
the youths behaviors.
Are there particular strategies that states and communities can take to
implement effective alternatives to detention for status offenders?
Many states and communities have identified effective alternatives to detention for
status offenders. Existing resources, such as the Annie E. Casey Foundations
Juvenile Detention Alternatives Initiative (JDAI) have provided states and
communities with tools to reduce reliance on secure confinement and provide
appropriate detention alternatives for status offenders. JDAI promotes changes to
policies, practices, and programs that reduce reliance on secure confinement,
improve public safety, save taxpayers dollars, and stimulate overall juvenile justice
reforms. Since its inception in 1992, JDAI has demonstrated that jurisdictions can
safely reduce reliance on secure
Detention
There are now approximately 75 JDAI sites in 19states and the District of Columbia.
Through research, data analysis, facilitated strategic planning, and demonstration
projects, the Vera Institute of Justices Center on Youth Justice strives to enhance
rational decision-making in status offense processes and support system reforms
that deinstitutionalize court-involved youth. In 2002, New York State contracted with
Vera to help the State and its counties improve systems and services for status
offenders and their families. Vera provided technical assistance and strategic
planning support to 23 New York counties. As a result several counties took steps to
refine their intake processes to incorporate more immediate crisis intervention,
develop programmatic alternatives to non-secure detention and foster care
placement, and provide more supportive services to status offenders and their
families in lieu of court intervention. Momentum generated from these local reforms
prompted the state to pass amendments to New Yorks Family Court Act in 2005
that enhance diversion requirements for status offenders and narrow the
circumstances under which status offenders may lawfully be detained.

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Juvenile Prisoners December 2014

Total
Name of Province

Convicted

Under Trial

Punjab

694

63

Sindh
Khyber
Pakhtunkhwa
Balochistan

7
29

284
272

757
291
301

104

107

Total

733

623

1456

Juvenile Population in Pakistani Prisons 2003 to 2014

Punjab

Khyber
Pakhtunkhwa

Balochistan

Sindh

Total

Gran
d
total

Ye UT Convic Tot U Convic Tot U Convic Tot U Convic Tot UT Convict

ar
ted
al T ted
al T ted
al T ted
al
ed

20 15 353
03 20

18 41 58
73 9

47
7 58 93

15 52
1 6 33

55 25 537
9 23

306
0

20 12 253
04 48

15 20 55
01 1

25
6 62 43

10 58
5 9 88

67 21 439
7 00

253
9

20 10
05 07 188

11 27 66
95 5

34
1 46 22

67
68 7 87

76 20 363
4 05

236
8

183

20 10
06 03 161

11 28 37
64 1

31 10
8 9 12

12 64
1 2 21

66 20 231
3 35

226
6

20 10
07 17 147

11 20 36
64 7

24
3 80 4

50
84 6 18

52 18 205
4 10

201
5

20 92
08 0 79

99 22 41
9 8

26
9 79 17

40
96 8 16

42 16 153
4 35

178
8

20 74
09 0 80

82 17 20
0 1

19
1 39 15

27
54 5 17

29 12 132
2 25

135
7

20 61 102
10 8

72 19 12
0 6

20 38 11
8

49 22 26
2

24 10 151
8 74

122
5

20 74 88
11 5

83 21 30
3 1

24 33 7
1

40 27 40
8

31 12 165
8 67

143
2

20 71 99
12 6

81 18 32
5 5

21 30 17
7

47 27 26
7

30 12 179
3 19

139
8

20 75 93
13 7

85 22 36
0 1

25 47 43
7

90 29 11
0

30 13 183
1 15

149
8

201 694 63
4

757 27 29
2

301 10 3
4

107 28 7
4

291 135 285

4

145
6

184

CHAPTER VI: Juvenile Justice System

Juvenile justice

system Pakistan

Juvenile justice is the area of criminal law applicable to persons who at the time of
commission of an offense have not attained the age of 18 years. The main goal of a
juvenile justice system is rehabilitation rather than punishment for juvenile criminal
behaviour: to avoid the stigmatization resulting from a criminal conviction and the
phenomenon of reoffending.

It is not possible to know the exact number of prisoners, including children, in jails
at any given time simply because the number changes daily as some prisoners are
released and new ones are brought in. However, as of December 2014, there were
1,456 children in Pakistans jails. Only 733 of these had been convicted and the
remaining 623 children were still under trial.

SPARC is working to create awareness about the plight and needs of children in
conflict with the law, about Pakistans juvenile justice system and about the
international guidelines and agreements concerning juvenile justice. We train
185

relevant authorities about their responsibilities under the Juvenile Justice System
Ordinance 2000 and about child rights. We also work to improve conditions in the
juvenile sections of jails and to secure the release of as many children as possible.

Although there are a number of laws and constitutional guarantees for the
protection of the rights of children accused or convicted of crimes, in reality they
are seldom upheld. Juvenile prisoners, the majority of whom are under trial, are
among the worst off in Pakistan. Immediately following arrest and during police
remand, children suffer in police custody and are maltreated by the police
authorities. They are denied access to legal aid, and their relatives.

While in prison, children are subjected to degrading and inhuman treatment. Sadly,
the juvenile inmates in prisons face problems such as overcrowding, malnutrition,
physical, mental and sexual abuse and a lack of medical care, recreational and
entertainment. Many times, when convicted, sentences are in flagrant violation of
the key principles of juvenile justice, i.e., rehabilitation and the primacy of the well
being of the child. The prudence behind a juvenile justice system is reformation
exclusively. Any child when he or she comes into conflict with the law should be
treated as such.
Approaches and Strategies
Despite the childrens rights set out in the UNCRC, other international human rights
standards as well as national laws especially the federally applicable JJSO, childrens
rights are being violated on a daily basis in the justice system of the country.
Numerous children suffer and the juvenile justice system of Pakistan is still in need
of further improvement and reform.

Under the JJSO, following are the rights of the child who comes into
conflict with law:

Not to be handcuffed, given corporal punishment or made to do labor,

or awarded the death sentence (Section 12)
To be considered a child if under 18 years of age (Section 2 (b))
To be given legal aid at the expense of the State (Section 3 (1))
To be tried by a juvenile court (Section 4);

186

The case to be decided within four months of the court taking notice of
the offense (Section 4)
To be tried separate from adults no joint trials (Section 5)
To be given medical assistance at the expense of the State (Section 6
(6))
To be produced before the medical board for the determination of age
if a question arises as to the age (Section 7)
Protection of identity (Section 8)
To be released on bail in all bail able offenses by the SHO; or by the
Juvenile Court if the SHO has not released the child on bail (Section 10)
To be placed under the custody of a probation officer or a suitable
person or institution dealing with the welfare of the children if a parent
or guardian of the child is not present; under no circumstance to be
kept in a police station or jail in such cases (Section 10 (3))
To be released on probation under the custody of a probation officer or
responsible guardian (Section 11) or to be sent to a Borstal Institute
Recommendations

A separate juvenile justice policy and the allocation of adequate funds

for the implementation of the policy.
Child rights, the JJSO and the role of the probation and parole system
integrated into the training syllabus of the judiciary, police and prison
staff.
Exclusive juvenile courts should be established to try the cases of
juveniles with an adequate allocation of funds.
Adequate funds should be allocated for free legal aid to children
through panel of lawyers.
An appropriate national policy for the improvement of the probation
and parole system in the country should be formulated.
Appoint probation officers in each district of Pakistan and at least one
female probation officer in the divisional headquarters of all four
provinces, Gilgit Baltistan and AJK.
Detention should be considered as a last resort and if children are
detained, it should be for the shortest period of time. Children
including females should be kept away from the adult prisoners and
this should be strictly adhered to.
Borstal institutes should be established in all the provinces and should
be operated under Borstal laws; the staff at these institutes should be
separate and not transferred from the regular prisons and jails.
Legal Reform

The national legislation in Pakistan also requires urgent reform in line with the UN
CRC and other UN Guidelines on juvenile justice (including the Riyadh
Guidelines, the Beijing Rules, and JDLs)
187

To ensure that children below the age of 18 are accorded the protection of
separate justice provisions and are not treated like adults.
The JJSO should be extended to Gilgit Baltistan.
Borstal laws should be introduced in the provinces which lack any such laws
such as Balochistan and Khyber Pakhtunkhwa.
To set the minimum age of criminal responsibility at a suitable level with due
regard for the protection of all children above and below that age and in
accordance with international human rights standards.
To ban life imprisonment and other inhuman and degrading sentences and
treatment for crimes committed by children under the age of 18 at the time
of the offense.
All relevant laws including the Anti Terrorism Act (ATA) 1997, the Control of
Narcotics Substances 1997 and the Hudood Ordinances 1975 should be
amended.
Section 14 of the JJSO should be amended to override other laws to prevent
the death penalty for juveniles.
The Frontier Crimes Regulations (FCR) 1901 should be repealed.
Punjab

As of 2014, Punjab had the largest population of under trial and convicted
juvenile prisoners anywhere in Pakistan.
The 'Facts at a Glance' table reveals that in 2014, the Province had a total of
757 juveniles imprisoned or detained in various jails and Borstal Institutes of
the province. There has been a slight increase in under trial juvenile
detainees and a marked decrease in the number of convicted offenders. The
province has two Borstal Institutes namely in Faisalabad and Bahawalpur.

The basic living conditions in both the Borstal Institutes are sub-standard. In
2014, SPARCs project team discovered that the Faisalabad Borstal did not
have clean drinking water facilities for the detainees. SPARC installed a new
water filtration system which could not be kept functional for long.

Rehabilitative services in the Faisalabad Borstal also require urgent attention.

For instance, the Borstal teacher tasked with teaching the detainees does not
regularly take classes due to the paucity of funds. A male and female teacher
was provided by SPARC under a project; however, the initiative was not
sustainable as the Countering Violence in the Prisons of Punjab project was
concluded in March 2015. It is imperative that the prison authorities take
special interest in childrens education; otherwise the primary rehabilitative
function of the Institute will be lost.
Both the Punjab Borstal Institutes lack clean and well ventilated toilets. These
toilets are constructed inside the barracks and detainees have to deal with
unpleasant smells in their living quarters. Moreover, the Bahawalpur Borstal

188

also lacks proper schooling facilities (there is no permanent teacher) and

there are no health facilities to deal with the myriad health problems of
juveniles detained in an unhygienic environment.

In this regard, the Faisalabad Borstal is comparatively better than its

Bahawalpur counterpart as it has a functioning health facility which is
managed by a qualified doctor. However, both the Borstal Institutes are
managed by prisons authorities that sometimes lack training to deal with
juveniles; for instance, during SPARCs visits, a number of juveniles stated
that they were forced to do labor and subjected to corporal punishments by
jail authorities.
Khyber Pakhtunkhwa

By the end of 2013, Khyber Pakhtunkhwa prisons held a total of 301

juveniles. Out of the total, 272 were under trial and 29 were convicted
juveniles. All of the under trial juveniles were male while one of the convicted
juveniles was a female. Central Jail Peshawar housed the largest number of
juvenile offenders in the province. Despite the total authorized capacity of the
jail being 1500 prisoners, the jail administration houses some 2,500 to 2,800
prisoners at a time. The issue of overcrowding has been observed in all
prisons of Khyber Pakhtunkhwa.

In Khyber Pakhtunkhwa, juvenile offenders are held in separate barracks of

prisons as there are no functional Borstal institutions in the province. There is
an urgent need to construct Borstal Institutes in the province to provide
separate, specialized and rehabilitative detention facilities to juvenile
offenders.

As of 2014, the Borstal Institute in Bannu remained non-functional while the

separate section for juveniles in the Haripur Central Jail remained in the final
stages of its completion. It is imperative that the government take special
interest in the speedy completion of both these initiatives to provide relief to
a burgeoning number of juveniles in provincial prisons. Furthermore, the
Government is yet to formulate the rules of the Khyber Pakhtunkhwa Borstal
Institutions Act 2012.

During the year, juvenile offenders in the Provinces prisons faced issues with
regard to safe drinking water, adequate sanitation, nutrition, housing, health
and dental services, a healthy working environment, and information about
health and gender equality. As for the education of juvenile inmates, the
Khyber Pakhtunkhwa Prison Department recently approved a plan for
providing skills training to all prisoners in Haripur Jail. During 2013-14, the
prison administration of Mansehra and Haripur jails provided teaching

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facilities to the juvenile inmates: An inmate from each of these jails was
directed to provide support in this task.
Sindh

In 2014, there was a considerable increase in the number of under trial

juvenile prisoners in Sindh. In fact, the year witnessed the highest number of
juvenile inmates since 2008, after which a gradual decrease in the prison
populations of juveniles was recorded (until 2013).
In Sindh, there are five specialized detention centers for holding juveniles
who come in contact or conflict with the law. These include the Remand
Home in Karachi along with Youthful Offenders Industrial Schools (YOISs) in
Karachi, Hyderabad, Sukkur, and Larkana.
The detention centers in Sindh are in deplorable conditions, especially the
Remand Home in Karachi which requires immediate repair work or transfer to
a new location. In fact, a new building of the Remand Home has been
established in the Central Jail Karachi located in Jamshed Town; however, as
of 2014, the Remand Home was not shifted to the new location.
The YOISs in Sindh either lack basic rehabilitative facilities or have
inadequate facilities which fail to make a positive impact in the longer run.
For instance, the YOISs in Hyderabad and Larkana do not have a permanently
employed teacher for the non-formal education classes. Educational facilities
are available in the YOISs in Karachi and Hyderabad with permanently
employed teachers teaching a two hour non-formal education class every
day. Experts argue that the time period allocated for education is too little to
make a significant impact in terms of student learning; furthermore, there is a
need to revise and structure the current non-formal education course being
taught in these institutes. In this regard, experts argue that an intensive
three month course (the time period of detention for most of the juveniles
brought to these centers) should be initiated in these centers to impart basic
reading and writing skills to the detained juveniles by the time they leave
detention centers. In addition, psychologists should be hired in all of the
above mentioned detention centers to allow for periodic or regular counseling
of detained children as many of them suffer from psychological trauma.
A recent visit by SPARC staff to various YOISs in Sindh revealed that out of the
63 juveniles detained in the YOIS Hyderabad almost 50% of the detainees
were accused or convicted of murder charges; similarly, 10 out 17 detainees
in the Sukkur YOIS and 10 out of the 14 detained in Larkana YOIS were
convicted or accused of murder. The presence of a large number of juveniles
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(accused or convicted of violent crimes) in the detention centers of Sindh was

confirmed by a 2014 study conducted by the Legal Aid Office Committee for
Welfare of Prisoners (LAO). The study is based on 228 interviews of juvenile
offenders conducted in the various YOISs of Sindh (133 interviews were
conducted in Karachi, 53 in Hyderabad, 22 in Sukkur, and 20 in Larkana).
Furthermore, 71% of the juvenile UTPs in Sindh were between the ages of 16
and 18 years, about 34% of offenders were school going, 30% were
uneducated, and 0.9% were studying in jails. In addition, only 84% of the
offenders were not drug users, and 13% of the juveniles were deprived of
legal services of an advocate.

Balochistan

There are in all 107

Balochistan
Most

of

the

ten

juvenile offenders confined in the Jails of the

Province.
jails

are

built

in

the

pre-independence

era.

The juveniles in all the jails are given religious education, especially
teaching
them
Nimaz
and
Nazira
by
Hifz
Quran.
Educations

up

to

Matric

level

exist

only

at

Central

Jail

Mach.

Two religious teachers have been provided by Taleem-ul-Quran Trust

Karachi.
The facility of industrial training exists in Central Jail Mach. Such training
can enable the prisoners to earn their livelihood after their
release.

By the end of 2013, the juvenile barracks of Balochistans prisons held a total
of 107 juvenile inmates. Out of the total, 104 were under trial and 3 were
convicted juvenile offenders. All 107 of the juvenile inmates were males.
During 2013, juveniles in Mach Jail were shifted to the new barracks
refurbished by SPARC. The juvenile detainees were also provided with a
computer lab, an indoor football facility and TVs in the new barracks. Though
there is a computer lab in Hudda Jail Quetta, there are no functioning
computers in the lab or teachers to instruct the inmates on using computers.
Similar to the conditions of some juvenile detainees across the country, the

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juvenile prisoners in the Balochistan jails faced hygiene related issues due to
the non availability of clean water.
Role of a Police Officer

Contact with a police officer often is a young person's introduction to the

juvenile justice system. Law enforcement's role with youthful offenders -boys and girls under 18 -- is particularly challenging because federal law
protects young people who commit serious crimes and encourages their
return to the community. The other challenge for police is juveniles commit a
disproportionate number of offenses compared to their population.
Court Referrals
Police officers generally bring in or summon young offenders to the police
department's juvenile division and question, fingerprint, book and, if
necessary, detain them. At the time of an arrest, officers decide whether to
refer young offenders to juvenile court or to route these cases out of the
justice system. Police account for most referrals to juvenile court. According
to the U.S. Justice Department, 83 percent of court referrals came from law
enforcement agents in 2009. Parents, schools, crime victims and probation
officers made the remaining referrals. In the same year, police departments
handled and released 22 percent of all juveniles arrested. By contrast, the
police referred 70 percent of all young offenders to juvenile court. Under
federal law, officers who detain young offenders must keep them secure
while in custody and for a period of no more than six hours. Juvenile arrest
procedures differ across police departments.

Status Offenses

Police officers handle noncriminal behavior -- known as status offenses -involving juveniles. Skipping school, running away from home and violating
curfews are status offenses. Police also intervene in non-delinquent cases in
which youngsters are reported missing or believed to have been abused or
neglected. Officers investigate these situations by interviewing the alleged
victims, their parents or guardians, school officials and others associated with
the victims. Police departments often have crime units dedicated to juvenile
matters.
Protective Service
Police are charged with protecting the public from crime and general
mayhem. For juveniles, police protection might call for removing children
from an abusive home or transporting them to a shelter or hospital if they've
been abandoned. Officers are usually the first on the scene when a child is
left home alone, locked inside a car during extreme hot or cold weather
conditions or not strapped into a car seat as required for infants or toddlers.
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In some districts, police patrol the halls of public schools, especially in highcrime areas, to deter disturbances that put youngsters at risk of becoming
either victims or violators.
Education

Police officers sometimes partner with education officials and teachers to

deter criminal behavior among youngsters. Officers visit classrooms as
invited guests to warn students about the consequences of taking and selling
drugs, as well as talking to or walking away with strangers who might want to
harm them.
Arrest Alternatives
Arrest and detention aren't the only choices police offer juvenile offenders.
Sometimes police bring young offenders in for questioning, give them a
warning and release them to a parent or guardian. In other cases, police
place a juvenile under police supervision for a period of time. Officers
occasionally refer juveniles to a Big Brothers/Big Sisters program, a youth
services bureau, a mental health facility or a social service agency for
runaways. When officers refer young offenders to juvenile court, probation
officers take over these cases.

Training

Community leaders in some states recognize that police officers need training
to work with a growing population of juvenile offenders. The International
Association of Chiefs of Police survey, 2011 Juvenile Justice Training Needs
Assessment, shows that police chiefs generally want officers to learn the
skills needed to work more effectively with young offenders, but often lack
the funds and resources for training. The survey cites the top five areas in
which police need training as substance abuse; bullying, including cyberbullying; gang activity; sexual, physical and emotional abuse; and chronic
criminal behavior. The survey also cited training in school safety, Internet
offenses and handling runaways as a need for police officers

Juvenile Court Sentencing Options

Juvenile courts have a wide range of sentencing options (usually called "disposition
orders") that they can impose on juveniles or youth offenders who are found to be
"delinquent" (that is, finding that the minor violated a criminal law). Typically,
disposition options fall into two camps: incarceration and non-incarceration. One
non-incarceration option in particular -- probation -- forms the backbone of the
juvenile justice system. Read on to learn about the different kinds of sentencing
options used in juvenile court, the ins and outs of probation, and whether a
disposition order can be appealed or changed.

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Incarcerating Juvenile Delinquents

After adjudicating a juvenile as delinquent, a juvenile court may order incarceration

as a penalty. But methods used to confine juveniles are often very different from
those used in cases involving adult offenders.
Here are some ways that judges can order confinement for a juvenile who has been
found delinquent:
1. Home confinement/house arrest.
The judge can order the minor to remain at home, with exceptions (attend school,
work, counseling, and so on).
2. Placement with someone other than a parent or guardian
The judge can require that the minor live with a relative or in a group or foster
home.
3. Juvenile hall/juvenile detention facility
The judge can send the minor to a juvenile detention facility. These facilities are
designed for short-term stays.
4. Probation after juvenile hall
Some minors are sent to a juvenile facility for a few months and are then put on
probation afterward.
5. Secured juvenile facilities
These facilities are designed for longer term stays. Juveniles can be sent to secured
facilities (sometimes called "camps") for months or years.
5. Adult jail
In some cases, a judge can send a juvenile to adult facilities like county jail or state
prison.
6Juvenile and adult jail
In some jurisdictions, judges can send delinquent juveniles to a juvenile facility, and
then order transfer to an adult facility once the juvenile reaches the age of majority.
When a minor is ordered to serve time in both a juvenile and adult facility, it is
called a "blended sentence."Non-Incarceration Options for Juveniles
Juvenile court judges often have broad discretion to fashion a sentence or
rehabilitation program that fits the needs of the minor. A disposition order may
include options other than confinement, including:
1. Verbal warning
The sentence for the juvenile can be as simple as a verbal reprimand.
2. Fine.

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The minor may be required to pay a fine to the government or pay compensation to
the victim.
3. Counseling
Often, judges require juveniles to attend counseling as part of a disposition order.
4. Community service
Juveniles may be ordered to work a certain number of hours in service to the local
community.
5. Electronic monitoring.
Juveniles may be required to wear a wrist or ankle bracelet that verifies their
location at all times.
5. Probation.
Judges often order juveniles to enter probation after a delinquency finding. (To learn
more about probation, see the "Probation" section, just below.)
In creating a disposition order, juvenile court judges can order any of the above
options alone or in combination. For example, a delinquent minor might need to pay
a fine, attend counseling, and perform community service as a penalty for one
offense.
Juvenile Court: An Overview
The juvenile justice system is different from the criminal justice system. Read on to
learn the basics of juvenile court (also called young offender's court), juvenile cases,
and the juvenile court procedures.
What Is Juvenile Court?
Each state has special courts -- usually called juvenile courts -- to deal with minors
who have been accused of violating a criminal statute. The proceedings are civil as
opposed to criminal. So, instead of being formally charged with a crime, juvenile
offenders are accused of committing a delinquent act.
A juvenile case gets started when a prosecutor or probation officer files a civil
petition, charging the juvenile with violating a criminal statute and asking that the
court determine that the juvenile is delinquent. If the charges are proved and a
delinquency determination is made, the juvenile offender comes under the courts
broad powers. At that point, the juvenile court has the authority to do what it
considers to be in the best interest of the juvenile.
Often, the juvenile court retains legal authority over the minor for a set period of
time -- until the juvenile becomes an adult, or sometimes even longer.
Eligibility for Juvenile Court
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To be eligible for juvenile court, a young person must be a considered a "juvenile"

under state law. In most states, the maximum age for using juvenile court is 18. In a
few states the age is 16 or 17, and in one (Wyoming) the maximum age is set at 19.
States also set lower age limits for juvenile court eligibility. Most states consider
children under the age of 7 to be incapable of determining the difference between
right and wrong, or forming a "guilty mind." So, children under the age of seven are
usually excused from responsibility for acts they commit. Instead, parents may have
to pay compensation to anyone victimized by the acts of a very young child. In
some cases, the court will find a parent unfit to care for a child who has committed
wrongdoing and will place the child with relatives or foster parents. Whether
children between the ages of seven and 14 can form a guilty mind is usually left up
to the judge. If the judge feels that the child was capable of forming criminal intent,
the child will be sent to juvenile court.
Most states regard children 14 and older as capable of forming criminal intent, so
the majority of cases involving young people from 14 to 18 years of age are
adjudicated in juvenile court. In certain circumstances, a juvenile can be tried in
adult criminal court. (To learn more about trying juveniles in adult criminal court,
see When Juveniles Are Tried in Adult Criminal Court.)
Cases Heard in Juvenile Court
Not all cases heard in juvenile court are delinquency cases (those involving the
commission of a crime). There are two other types of cases:
Dependency cases and status offenses
Different procedures typically apply to all three types of juvenile court cases.
Juvenile delinquency cases
These cases involve minors who have committed crimes -- meaning that if the
crime had been committed by an adult, the matter would be tried in regular criminal
court. But the procedures in juvenile court differ significantly from those in adult
criminal court. (To learn more about procedures in juvenile delinquency cases, see
Juvenile Delinquency: What Happens in a Juvenile Case?)
Juvenile dependency cases
Cases involving minors who are abused or neglected by their parents or guardians -called "juvenile dependency" cases -- are also heard in juvenile court. In a juvenile
dependency case, the judge will ultimately decide whether or not a minor should be
removed from a problematic home environment.
Cases involving status offenses

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A status offense is a violation that only applies to minors. Examples include truancy
(skipping school), curfew violations, running away, and underage drinking. (To learn
more about status offenses, see Juvenile Law: Status Offenses.)
Common Offenses and Trends in Juvenile Cases
Roughly half of all juvenile arrests are made for theft, simple assault, drug abuse,
disorderly conduct, and curfew violations, according to the federal Office of Juvenile
Justice and Delinquency Prevention. In an average year, only about 3% of cases
heard in juvenile court involved violent offenses like robbery, rape, murder, and
aggravated assault.
Historically, the vast majority of juvenile court cases have involved male offenders.
But the number of girls entering the juvenile justice system has been on the rise in
recent years -- in an average year, girls accounted for 27% of all juveniles facing
proceedings in juvenile courts in the U.S.
Procedures in a Juvenile Court Case
When a juvenile is suspected of violating a criminal statute, the procedures are very
different from those used in adult criminal court. Most significantly, the police,
prosecutors, juvenile court intake officials, and juvenile court judges all have broad
discretion to take more informal steps in handling the case. As a result, many young
offenders never reach the point of a formal adjudicatory hearing. (To learn about the
process in a typical juvenile case -- including options for resolution along the way
Likewise, the constitutional rights of juveniles are different from those of adults who
have been accused of committing a crime. For example, although juveniles have the
right to an attorney at an adjudicatory hearing, in most states they do not have the
right to have their case heard by a jury.
Some juvenile cases are transferred to adult court in a procedure called a "waiver."
Typically, juvenile cases that are subject to waiver involve serious offenses, like rape
or murder, or juveniles who have been in trouble before. Juveniles have a right to a
hearing to determine if their case should be transferred to adult court
Sentencing Options for Juvenile Delinquents
Juvenile courts have a broad range of sentencing options (usually called "disposition
orders") if they find that a juvenile is delinquent. Courts can confine the juvenile in a
variety of ways -- from sending the minor to a traditional juvenile detention facility
to placing the juvenile under house arrest. More importantly, juvenile courts can
order a whole range of punishments that do not involve confinement -- including
counseling, curfews, and probation.
Penalties for juvenile offenders

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Juveniles aged 12 to 17 who commit an offence are penalized under juvenile

criminal law. The court may also apply juvenile criminal law to adults aged 18 to 22
years.
No prosecution of children under 12
Children under the age of 12 cannot be prosecuted. If a child commits a minor
offence, for instance theft or vandalism, the police will talk to the parents. They may
also send the child to the youth care office, which will either provide counseling or
refer them to other services. If a child under 12 really gets out of hand, the court
will intervene by, for example, appointing a family supervisor to monitor the child.
HALT programme
Juveniles who commit minor offences may be referred to the HALT juvenile crime
prevention programme. This provides them with the opportunity to put right what
they have done wrong. They can, for instance, apologies to the victims and pay for
any damage done. If they fulfill their obligations and complete their HALT
programme successfully, they will not have a criminal record.
If a juvenile refuses to take part in the HALT programme or does not complete it
successfully, their case is referred to the public prosecutor. This will usually result in
prosecution.
Alternative sanctions for juveniles
An alternative sanction for juveniles consists of a community service order (unpaid
work), a training order (a training project) or a combination of the two. The Child
Protection Board supervises juveniles who have received alternative sanctions.
Youth detention
Juveniles who have been sentenced to youth detention are sent to a young
offenders institution. The maximum sentence for juveniles aged 16 or 17 is two
years. For juveniles aged 12 to 15 the maximum is one year.
While in youth detention they attend school and are given extra lessons in, for
instance, social skills and anger management.
Youth protection and custody order
Some juveniles require intensive treatment and counseling to avoid repeat
offending, for instance because they suffer from a behavioural disorder. In such
cases the court can impose a PIJ order for placement in a youth protection and
custody institution.
A PIJ order is valid for at least three years and may be extended to a maximum of
seven years. During the final year, the juvenile is allowed out under certain

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conditions (conditional lifting of the order). They are then monitored by the youth
probation service.
Overnight detention
Overnight detention is a form of provisional detention. The juveniles go to school
during the day and are held in a young offenders institution outside school hours
and overnight. This allows them to continue their studies or work
Behavioural programme order
What happens if a custodial sentence is too severe, but a suspended sentence
would be too light? In that case a behavioural programme order
(gedragsbenvloedende maatregel, GBM) can be imposed on the juvenile. A GBM
consists of one or more training or treatment sessions, such as aggression training
or a course on how to stay off drugs and alcohol. The youth probation service
monitors the progress of the GBM.
Other penalties and non-punitive orders for juveniles
Other possible penalties and non-punitive orders in juvenile criminal law
are:Confiscation of property (such as scooters) and goods that have been obtained
illegally (for instance by theft or receiving stolen goods);
Payment of a fine or damages
Adolescent criminal law for young offenders aged 16 to 22
As of 1 April 2014, young offenders aged 16 to 22 can be tried either as a juvenile
or as an adult, under adolescent criminal law. This allows the court to take the
offenders development into account. Some juveniles need a tough approach, while
others benefit more from guidance, even though they may be older.
Pre trial, trial and sentencing, ROLE OF PROSECUTOR, Defence counsel
The Role of Defense Counsel in Ensuring a Fair Justice System By Richard
Klein
Warrior for justice. Maybe this is overly romanticized, but it is how I see the role of
the criminal defense attorney. The defense attorney is on the front lines doing, if not
Gods work, surely something quite close to it. And, as is true with anything that
important, the work is anything but easy. Obstacles, barriers, and road blocks are on
the path.
Defense counsel may accurately be considered law enforcers. While representing a
lone individual against all the power of the state, counsel must police the police to
determine if there has been an unconstitutional search, a coerced confession, an
unlawfully suggestive lineup, or the fabrication of testimony. Defense counsel must
attempt to ensure that the prosecutor is adhering to the professional requirement
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not merely to convict, but to do justice and comply with his obligations to turn
over Brady material to the defense. Perhaps most challenging of all is the need to
remind the judge of the constitutional mandate as well as the professional
obligation to protect the rights of the defendant rather than treat him as a docket
number to be quickly processed and sent to jail.
Supreme Court decisions are replete with statements about how crucial it is to have
a defense attorney represent the person who is accused of crime. In some respects,
the most meaningful were the words that the Court first articulated more than 30
years prior to Gideon:
Even the intelligent and educated layman has small and sometimes no skill in the
science of law. If charged with crime, he is incapable, generally, of determining for
himself whether the indictment is good or bad. He is unfamiliar with the rules of
evidence. Left without the aid of counsel he may be put on trial without a proper
charge, and convicted upon incompetent evidence, or evidence irrelevant to the
issue or otherwise inadmissible. He lacks both the skill and knowledge adequately
to prepare his defense, even though he has a perfect one. He requires the guiding
hand of counsel at every step in the proceedings against him. Without it, though he
be not guilty, he faces the danger of conviction because he does not know how to
establish his innocence. If that be true of men of intelligence, how much more true
is it of the ignorant and illiterate, or those of feeble intellect?
The case, of course, was Powell v. Alabama.1 the defendants were referred to as the
Scottsboro Boys, nine African-American youths ranging in age from 12 to 19, all but
one of whom had been sentenced to death.
It is somewhat odd to be doing (almost) Gods work, yet to have so few people
acknowledges the vital import of the work. When we challenge the validity of the
search of a home by the police, we are not just representing a single individual.
When vigorous advocacy informs the police that they will not be able to get away
with an illegal, unconstitutional search of a particular persons home, the benefits
accrue to and protect us all. If we did not keep them honest, or as honest as we can
keep them, there would be nothing to deter the police from entering any of our
homes at will. One can succeed, probably, in not committing a crime, but may not
be as successful in not being charged with a crime. The freedoms enjoyed by
everyone would be at risk if we did not (1) challenge the possible coercion of a
confession; (2) insist on adherence to the dictates of Miranda; and (3) require that a
lineup be conducted in such a way that prevents a police officer from identifying the
suspect to an eyewitness.
It is appropriate to view the role of the criminal defense attorney as, in some ways,
that of a constitutional lawyer. We attempt to protect clients from violations of their
Fourth Amendment rights by unlawful searches and seizures, their Fifth Amendment
rights by coerced confessions, their Sixth Amendment rights by a lawyer who is not
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totally effective in all respects, and their Eight Amendment right to not be subjected
to a sentence that is grossly disproportionate to the crime committed. We attempt
to compensate for the severe racial disparities of those arrested and prosecuted by
combating the prosecutorial and judicial abuse of discretion against minorities and
to secure the equal protection of the laws. And underlying it all is our commitment
to due process and our sometimes desperate struggles to have criminal
proceedings that are fundamentally fair.

Role of police
Juvenile court process:
Pre trial, trial and sentencing
Role of prosecutor, defense counsel, juvenile judge, juvenile probation officer
Juvenile correctional institutions; probation and non-punitive alternatives

ROLE OF JUVINILE JUDGE

Probation
The release of an offender from detention, subject to a period of good behaviour
under supervision.
"I went to court and was put on probation"
Probation
Probation is a program of supervision in which the minor's freedom is limited and
activities restricted. Probation has been called the "workhorse" of the juvenile
justice system -- according to the Office of Juvenile Justice and Delinquency
Prevention, probation is the most common disposition in juvenile cases that receive
a juvenile court sanction. In an average year, about half of all minors judged to be
delinquent receive probation as the most restrictive sentence.
Specific terms of probation vary widely from jurisdiction to jurisdiction, and from
case to case. Typically, a juvenile must obey both the general terms of probation
and any additional requirements tailored to the particular case. The court usually
expects that parents or a guardian will help the juvenile fulfill the conditions of the
probation order. These conditions can include community service, attendance at a
certain school, counseling, curfews, and orders that the juvenile not associate with
certain individuals (as in cases involving suspected gang members). As part of
probation, some juveniles must attend special day treatment programs that provide
additional monitoring and educational services -- including anger management
classes, social skills building, and substance abuse education.
Probation Officers
A juvenile placed on probation is assigned to a probation officer who monitors the
youth's compliance with the court's disposition order. The juvenile meets with the
probation officer periodically (weekly or twice month, for example), and the
juvenile's parents or guardian must report any probation violations to the probation
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officer. In this way, the probation officer and the parents work together to help the
juvenile fulfill the conditions of probation.
Probation Violations
If a juvenile is suspected of violating a probation condition, the probation officer
notifies the court -- usually by filing a "violation of probation" notice. If the judge
finds that the minor has indeed violated the terms of his or her probation, the court
can revoke the probation option and impose a harsher sentence -- such as
incarceration at a detention facility.
Appeals and Post-Disposition Changes
Just as adults can appeal a sentence handed down in criminal court, juveniles have
the right to appeal (or ask a higher court to overturn) a juvenile court's disposition
order after a delinquency finding.
Juveniles can also ask a court to modify an order if circumstances change -- this is
called a "post-disposition" change. Juvenile court judges have broad discretion to
change their original orders in order to better serve the juvenile's needs and best
interests. For example, a judge may order that the child change living arrangements
if a better option becomes available.
SENTENCING
Juvenile courts have a wide range of sentencing options (usually called "disposition
orders") that they can impose on juveniles or youth offenders who are found to be
"delinquent" (that is, finding that the minor violated a criminal law). Typically,
disposition options fall into two camps: incarceration and non-incarceration. One
non-incarceration option in particular -- probation -- forms the backbone of the
juvenile justice system. Read on to learn about the different kinds of sentencing
options used in juvenile court, the ins and outs of probation, and whether a
disposition order can be appealed or changed.
Incarcerating Juvenile Delinquents
After adjudicating a juvenile as delinquent, a juvenile court may order incarceration
as a penalty. But methods used to confine juveniles are often very different from
those used in cases involving adult offenders (when jail and prison are the fallback
options). Here are some ways that judges can order confinement for a juvenile who
has been found delinquent:
Home confinement/house arrest. The judge can order the minor to remain at
home, with exceptions (attend school, work, counseling, and so on).
Placement with someone other than a parent or guardian

202

The judge can require that the minor live with a relative or in a group or foster
home.
Juvenile hall/juvenile detention facility
The judge can send the minor to a juvenile detention facility. These facilities are
designed for short-term stays.
Probation after juvenile hall
Some minors are sent to a juvenile facility for a few months and are then put on
probation afterward.
Secured juvenile facilities
These facilities are designed for longer term stays. Juveniles can be sent to secured
facilities (sometimes called "camps") for months or years.
Adult jail
In some cases, a judge can send a juvenile to adult facilities like county jail or state
prison.
Juvenile and adult jail
In some jurisdictions, judges can send delinquent juveniles to a juvenile facility, and
then order transfer to an adult facility once the juvenile reaches the age of majority.
When a minor is ordered to serve time in both a juvenile and adult facility, it is
called a "blended sentence."
Non-Incarceration Options for Juveniles
Juvenile court judges often have broad discretion to fashion a sentence or
rehabilitation program that fits the needs of the minor. A disposition order may
include options other than confinement, including:
Verbal warning
The sentence for the juvenile can be as simple as a verbal reprimand.
Fine
The minor may be required to pay a fine to the government or pay compensation to
the victim.
Counseling
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Often, judges require juveniles to attend counseling as part of a disposition order.

Community service
Juveniles may be ordered to work a certain number of hours in service to the local
community.
Electronic monitoring
Juveniles may be required to wear a wrist or ankle bracelet that verifies their
location at all times.
Probation
Judges often order juveniles to enter probation after a delinquency finding. (To learn
more about probation, see the "Probation" section, just below.)
In creating a disposition order, juvenile court judges can order any of the above
options alone or in combination. For example, a delinquent minor might need to pay
a fine, attend counseling, and perform community service as a penalty for one
offense.
Probation
Probation is a program of supervision in which the minor's freedom is limited and
activities restricted. Probation has been called the "workhorse" of the juvenile
justice system -- according to the Office of Juvenile Justice and Delinquency
Prevention, probation is the most common disposition in juvenile cases that receive
a juvenile court sanction. In an average year, about half of all minors judged to be
delinquent receive probation as the most restrictive sentence.
Specific terms of probation vary widely from jurisdiction to jurisdiction, and from
case to case. Typically, a juvenile must obey both the general terms of probation
and any additional requirements tailored to the particular case. The court usually
expects that parents or a guardian will help the juvenile fulfill the conditions of the
probation order. These conditions can include community service, attendance at a
certain school, counseling, curfews, and orders that the juvenile not associate with
certain individuals (as in cases involving suspected gang members). As part of
probation, some juveniles must attend special day treatment programs that provide
additional monitoring and educational services -- including anger management
classes, social skills building, and substance abuse education.
Probation Officers
A juvenile placed on probation is assigned to a probation officer who monitors the
youth's compliance with the court's disposition order. The juvenile meets with the
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probation officer periodically (weekly or twice month, for example), and the
juvenile's parents or guardian must report any probation violations to the probation
officer. In this way, the probation officer and the parents work together to help the
juvenile fulfill the conditions of probation.
Probation Violations
If a juvenile is suspected of violating a probation condition, the probation officer
notifies the court -- usually by filing a "violation of probation" notice. If the judge
finds that the minor has indeed violated the terms of his or her probation, the court
can revoke the probation option and impose a harsher sentence -- such as
incarceration at a detention facility.
Appeals and Post-Disposition Changes
Just as adults can appeal a sentence handed down in criminal court, juveniles have
the right to appeal (or ask a higher court to overturn) a juvenile court's disposition
order after a delinquency finding.
Juveniles can also ask a court to modify an order if circumstances change -- this is
called a "post-disposition" change. Juvenile court judges have broad discretion to
change their original orders in order to better serve the juvenile's needs and best
interests. For example, a judge may order that the child change living arrangements
if a better option becomes available.
Guidelines on the Role of Prosecutors
Adopted by the Eighth United Nations Congress on the Prevention of Crime and the
Treatment of Offenders, Havana, Cuba, 7 August to 7 September 1990
Whereas in the Charter of the United Nations the peoples of the world affirm, inter
alia , their determination to establish conditions under which justice can be
maintained, and proclaim as one of their purposes the achievement of international
cooperation in promoting and encouraging respect for human rights and
fundamental freedoms without distinction as to race, sex, language or religion,
Whereas the Universal Declaration of Human Rights enshrines the principles of
equality before the law, the presumption of innocence and the right to a fair and
public hearing by an independent and impartial tribunal,
Whereas frequently there still exists a gap between the vision underlying those
principles and the actual situation,
Whereas the organization and administration of justice in every country should be
inspired by those principles, and efforts undertaken to translate them fully into
reality,

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Whereas prosecutors play a crucial role in the administration of justice, and rules
concerning the performance of their important responsibilities should promote their
respect for and compliance with the above-mentioned principles, thus contributing
to fair and equitable criminal justice and the effective protection of citizens against
crime,
Whereas it is essential to ensure that prosecutors possess the professional
qualifications required for the accomplishment of their functions, through improved
methods of recruitment and legal and professional training, and through the
provision of all necessary means for the proper performance of their role in
combating criminality, particularly in its new forms and dimensions,
Whereas the General Assembly, by its resolution 34/169 of 17 December 1979,
adopted the Code of Conduct for Law Enforcement Officials, on the recommendation
of the Fifth United Nations Congress on the Prevention of Crime and the Treatment
of Offenders,
Whereas in resolution 16 of the Sixth United Nations Congress on the Prevention of
Crime and the Treatment of Offenders, the Committee on Crime Prevention and
Control was called upon to include among its priorities the elaboration of guidelines
relating to the independence of judges and the selection, professional training and
status of judges and prosecutors,
Whereas the Seventh United Nations Congress on the Prevention of Crime and the
Treatment of Offenders adopted the Basic Principles on the Independence of the
Judiciary, subsequently endorsed by the General Assembly in its resolutions 40/32
of 29 November 1985 and 40/146 of 13 December 1985,
Whereas the Declaration of Basic Principles of Justice for Victims of Crime and Abuse
of Power recommends measures to be taken at the international and national levels
to improve access to justice and fair treatment, restitution, compensation and
assistance for victims of crime,
Whereas , in resolution 7 of the Seventh Congress the Committee was called upon
to consider the need for guidelines relating, inter alia , to the selection, professional
training and status of prosecutors, their expected tasks and conduct, means to
enhance their contribution to the smooth functioning of the criminal justice system
and their cooperation with the police, the scope of their discretionary powers, and
their role in criminal proceedings, and to report thereon to future United Nations
congresses,
The Guidelines set forth below, which have been formulated to assist Member
States in their tasks of securing and promoting the effectiveness, impartiality and
fairness of prosecutors in criminal proceedings, should be respected and taken into
account by Governments within the framework of their national legislation and
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practice, and should be brought to the attention of prosecutors, as well as other

persons, such as judges, lawyers, members of the executive and the legislature and
the public in general. The present Guidelines have been formulated principally with
public prosecutors in mind, but they apply equally, as appropriate, to prosecutors
appointed on an ad hoc basis.
Qualifications, selection and training
Persons selected as prosecutors shall be individuals of integrity and ability, with
appropriate training and qualifications.
States shall ensure that:
(a) Selection criteria for prosecutors embody safeguards against appointments
based on partiality or prejudice, excluding any discrimination against a person on
the grounds of race, colour, sex, language, religion, political or other opinion,
national, social or ethnic origin, property, birth, economic or other status, except
that it shall not be considered discriminatory to require a candidate for prosecutorial
office to be a national of the country concerned;
(b) Prosecutors have appropriate education and training and should be made aware
of the ideals and ethical duties of their office, of the constitutional and statutory
protections for the rights of the suspect and the victim, and of human rights and
fundamental freedoms recognized by national and international law.
Status and conditions of service

Prosecutors, as essential agents of the administration of justice, shall at all

times maintain the honour and dignity of their profession.

States shall ensure that prosecutors are able to perform their professional
functions without intimidation, hindrance, harassment, improper interference
or unjustified exposure to civil, penal or other liability.

Prosecutors and their families shall be physically protected by the authorities

when their personal safety is threatened as a result of the discharge of
prosecutorial functions.

Reasonable conditions of service of prosecutors, adequate remuneration and,

where applicable, tenure, pension and age of retirement shall be set out by
law or published rules or regulations.

Promotion of prosecutors, wherever such a system exists, shall be based on

objective factors, in particular professional qualifications, ability, integrity and

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experience, and decided upon in accordance with fair and impartial

procedures.
Freedom of expression and association

Prosecutors like other citizens are entitled to freedom of expression, belief,

association and assembly. In particular, they shall have the right to take part
in public discussion of matters concerning the law, the administration of
justice and the promotion and protection of human rights and to join or form
local, national or international organizations and attend their meetings,
without suffering professional disadvantage by reason of their lawful action or
their membership in a lawful organization. In exercising these rights,
prosecutors shall always conduct themselves in accordance with the law and
the recognized standards and ethics of their profession.

Prosecutors shall be free to form and join professional associations or other

organizations to represent their interests, to promote their professional
training and to protect their status.

Role in criminal proceedings

The office of prosecutors shall be strictly separated from judicial functions.

Prosecutors shall perform an active role in criminal proceedings, including

institution of prosecution and, where authorized by law or consistent with
local practice, in the investigation of crime, supervision over the legality of
these investigations, supervision of the execution of court decisions and the
exercise of other functions as representatives of the public interest.

Prosecutors shall, in accordance with the law, perform their duties fairly,
consistently and expeditiously, and respect and protect human dignity and
uphold human rights, thus contributing to ensuring due process and the
smooth functioning of the criminal justice system.

In the performance of their duties, prosecutors shall:

(a) Carry out their functions impartially and avoid all political, social, religious,
racial, cultural, sexual or any other kind of discrimination;
(b) Protect the public interest, act with objectivity, take proper account of the
position of the suspect and the victim, and pay attention to all relevant
circumstances, irrespective of whether they are to the advantage or disadvantage
of the suspect;

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(c) Keep matters in their possession confidential, unless the performance of duty or
the needs of justice require otherwise;
(d) Consider the views and concerns of victims when their personal interests are
affected and ensure that victims are informed of their rights in accordance with the
Declaration of Basic Principles of Justice for Victims of Crime and Abuse of Power.

Prosecutors shall not initiate or continue prosecution, or shall make every

effort to stay proceedings, when an impartial investigation shows the charge
to be unfounded.

Prosecutors shall give due attention to the prosecution of crimes committed

by public officials, particularly corruption, abuse of power, grave violations of
human rights and other crimes recognized by international law and, where
authorized by law or consistent with local practice, the investigation of such
offences.

When prosecutors come into possession of evidence against suspects that

they know or believe on reasonable grounds was obtained through recourse
to unlawful methods, which constitute a grave violation of the suspect's
human rights, especially involving torture or cruel, inhuman or degrading
treatment or punishment, or other abuses of human rights, they shall refuse
to use such evidence against anyone other than those who used such
methods, or inform the Court accordingly, and shall take all necessary steps
to ensure that those responsible for using such methods are brought to
justice.

Discretionary functions

In countries where prosecutors are vested with discretionary functions, the

law or published rules or regulations shall provide guidelines to enhance
fairness and consistency of approach in taking decisions in the prosecution
process, including institution or waiver of prosecution.

Alternatives to prosecution

In accordance with national law, prosecutors shall give due consideration to

waiving
prosecution,
discontinuing
proceedings
conditionally
or
unconditionally, or diverting criminal cases from the formal justice system,
with full respect for the rights of suspect(s) and the victim(s). For this
purpose, States should fully explore the possibility of adopting diversion
schemes not only to alleviate excessive court loads, but also to avoid the
stigmatization of pre-trial detention, indictment and conviction, as well as the
possible adverse effects of imprisonment.

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In countries where prosecutors are vested with discretionary functions as to

the decision whether or not to prosecute a juvenile, special consideration
shall be given to the nature and gravity of the offence, protection of society
and the personality and background of the juvenile. In making that decision,
prosecutors shall particularly consider available alternatives to prosecution
under the relevant juvenile justice laws and procedures. Prosecutors shall use
their best efforts to take prosecutor action against juveniles only to the
extent strictly necessary.

Relations with other government agencies or institutions

In order to ensure the fairness and effectiveness of prosecution, prosecutors

shall strive to cooperate with the police, the courts, the legal profession,
public defenders and other government agencies or institutions.

Disciplinary proceedings

Disciplinary offences of prosecutors shall be based on law or lawful

regulations. Complaints against prosecutors which allege that they acted in a
manner clearly out of the range of professional standards shall be processed
expeditiously and fairly under appropriate procedures. Prosecutors shall have
the right to a fair hearing. The decision shall be subject to independent
review.

Disciplinary proceedings against prosecutors shall guarantee an objective

evaluation and decision. They shall be determined in accordance with the
law, the code of professional conduct and other established standards and
ethics and in the light of the present Guidelines.

Observance of the Guidelines

Prosecutors shall respect the present Guidelines. They shall also, to the best
of their capability, prevent and actively oppose any violations thereof.

Prosecutors who have reason to believe that a violation of the present

Guidelines has occurred or is about to occur shall report the matter to their
superior authorities and, where necessary, to other appropriate authorities or
organs vested with reviewing or remedial power.

DUTIES AND RESPONSIBILITIES OF THE PROBATION AND PAROLE OFFICER

(PPO)
The PPO assists youth and families in navigating the juvenile justice system. He/she
supervises, advocates, refers and coordinates services for youth and their families,
which assists them in becoming productive citizens. The PPO helps youth adhere to
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the conditions set forth by the court and holds youth accountable for his/her
actions. PPOs provide consistent management of services based on youths
individual needs.
Duties and responsibilities of PPOs are extensive and varied. A PPO may:

Serve as case manager

Complete the intake process, if applicable
Make recommendations for probation and parole conditions
attend court, testify, and provide information to the court
complete Pre-dispositional Investigations and Social Histories
complete the orientation process with youth and family
assist youth in understanding and complying with the court order
hold youth accountable for conditions of the court order and the service plan
conduct a risk/needs assessment
Obtain additional information (health and school records, birth certificates,
social security cards, etc.)
develop the Individual Service/Reintegration Plan (ISP) based on needs
identified in initial assessments and review with appropriate staff and
providers
maintain regular contact with the youth and family, according to supervision
standards
update information in the case management system
build a working relationship with the youths family to promote successful
service delivery
conduct consistent curfew checks and/or home visits
conduct drug screens within 30 days of case assignment and regular intervals
according to the level of supervision
arrange and provide transportation for youth and families as needed
initiate and/or participate in all staffing (meetings to discuss the youths
progress)
be familiar with office technology and possess typing skills for input and
documentation of case-specific information and events
serve as the link between home, community, school and the juvenile justice
system
coordinate services to provide educational, vocational, and treatment
opportunities for youth to obtain skills, promoting successful maintenance
within the community and/or reintegration into the community
facilitate communication between staff and parents through increased
utilization of contacts and technology
submit modifications to OJJ attorneys, file modifications with the court and
make necessary recommendations
determine youths probation/parole violations
complete initial custody classification
complete a packet on each youth to disseminate to facilities
coordinate the youths placement into custody
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maintain consistent contact with the youth and residential facility staff
develop and implement aftercare plans for youth in residential programs and
make recommendations regarding the aftercare and permanent plan,
ensuring family involvement
complete home studies
supervise and monitor furloughs and home passes
initiate interstate compact application process on youth
serve as a duty officer
collaborate with other agencies
possess knowledge of youths treatment programs
understand mandatory reporting procedures
assist in apprehension of runaway youth and absconders
execute verified complaints
possess knowledge of services provided by community-based programs,
residential, and secure care treatment programs
provide excuse letters for youth and parent/guardian following appointments
with probation/parole officer
enhance their skills and knowledge through staff development

Probation is a penalty ordered by the court that permits the offender to remain in
the community under supervision. Probation may include jail time, fines, or other
sanctions. Unsupervised probation is the least restrictive community supervision
penalty. Supervised and some unsupervised probation requires predetermined
reporting and ongoing proof of meeting other requirements. Several thousand
probationers will be assessed as low-risk to reoffend and receive less-restrictive
supervision (administrative supervision), but many will be directly supervised by a
probation officer or parole agent, often for a number of years.
Parole or supervised releasealso called aftercare, reintegration, or re-entryis a
period of supervision following secure confinement, usually in a state or federal
prison. Parole and supervised release may require offenders to take part in
programs administered or monitored by correctional agencies.
Generally, release conditions are set by a parole board or releasing authorities.
Release may be revoked if conditions are violated. There is an important distinction
between officers who supervise adults and those who work with juveniles. The
terminology used for juveniles is different in that most are often identified as
delinquents, rather than offenders. Instead of being convicted of a crime, juveniles
are adjudicated. If held, juveniles are typically sent to detention facilities instead of
jails or prisons. Mentorship plays a far more important part in supervising juveniles
because the ability to develop pro-social attitudes and behaviors is somewhat easier
for juveniles than for adults. Typically, the term aftercare, as opposed to parole, is
used to refer to the supervision of juveniles who have spent time in a correctional
facility and are then released to live in the community. In 2005, an estimated
556,500 juvenile delinquency cases were diverted to probation.
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With Intent to Reform: Alternatives to Juvenile Detention, Incarceration

In the United States, about 27,000 youth enter secure detention facilities every day,
and nearly one million detentions occur in a year involving 600,000 juveniles, taking
into account repeat offenders. Less than one-third of these young people are
charged with violent crimes, and slightly more than this are charged with status
offenses (such as breaking curfew and truancy) or violating terms of probation. The
rate of US juvenile incarceration is about 300 per 100,000the highest in the world
and many youth are kept in overcrowded, expensive facilities that leave them
vulnerable to abuse while in custody and increase the likelihood of their delinquency
after release.
These facts point to the burden of detention and incarceration in the United States
and suggest that alternatives can offer needed relief. Juvenile crime has decreased
across the country over the past decade, but there has been a greater reliance on
secure detention, a trend that is causing some jurisdictions to re-examine detention
practices. Since the late 1990s, reformers have concentrated on developing
community-based alternatives that divert youth to educational and rehabilitative
services instead of locking them up. These measures ideally branch across
collaborative agencies and place the responsibility of taking care of youth onto the
greater community.
Data show that recent reforms have had some positive effects. For instance,
juveniles placed on probation pending case adjudication are more likely to have a
lower recidivism ratethat is, lower incidence of arrest or other correctional status
change within a given period of timethan youth who were detained, tried through
the court system, or served time in state custody. National recidivism rates are
difficult to measure since states submit information based on different criteria, but it
is estimated that only about 15 percent of juvenile probationers re-offend while
under supervision. In bold contrast, some state and local statistics show that
recidivism rates for youth who are detained can reach well over 50 percent.
Skeptics respond that youth on probation are less likely to recidivate because they
are less serious offenders than juveniles who have been incarcerated (and nonviolent offenders might be supervised for a shorter time). Still, the lower rates of reoffending only support the practice of using alternatives to detention and
incarceration to deal with the vast majority of youths whose cases do not involve
violence or other threats to themselves or society.
Community-Based Programs
The conditions of confinement in US detention centers and prisons tend to neglect
the sociological and physiological needs of juveniles, leading many to re-offend
upon their release. Working with, among others, state and district attorneys, public
defenders, and probation officers, juvenile court judges are able to weigh
information and assign youth to programs that avoid unnecessary confinement.
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Researchers have found that the best interventions come out of individualized
assessment of the factors around criminal activity instead of solely judging a
youths actions. This is especially true for juveniles with substance abuse or mental
health issues. About two-thirds of all youth in the juvenile justice system suffer from
such problems, and some jurisdictions are able to provide treatment in a hospital
setting or residential facility.
Short-term approaches that have dramatically reduced detention and recidivism
include electronic monitoring and home confinement with unscheduled visits by
probation officers. Day and evening reporting centers are also safe and effective
alternatives, and can cost just one-fourth as much per juvenile as detention
facilities. Often for youth who need to be supervised after leaving detention, these
centers offer short-term tutoring, counseling, life skills training, and recreational
activities, all structured around a tight schedule.
In addition, some facilities create safe environments for longer-term programs. Nonsecure and secure shelters may be appropriate for young offenders who cannot
return home and require more personalized attention. Residential programs in
regional facilitiesfor treatment, education, and rehabilitation that can last up to a
yearcreate a non-punitive environment for small populations of juveniles to
receive extensive services.
Restorative justice, a constructive tool for rehabilitation following detention or
incarceration, promotes public safety, accountability for crimes committed, and
juveniles competency to understand the adjudication of their cases. Restorative
justice aims to rebuild relationships among delinquents, their victims, and
communities. In this process, juveniles who have committed offenses appear before
panels and reach an agreement on a method of restitution, often in the form of a
community service project that incorporates the youths abilities and interests.
Californias Urgent Need for Reform
In California, state youth detention centers and prisons, longtime candidates for
massive overhaul, reveal the high costs of a system of incarceration that fails to
serve the needs of juveniles. California has the highest youth incarceration rate in
the United Statesmore than double the national averageand its youth prisons
have a history of poor services, beatings by staff, lengthy lockdowns, and use of
psychotropic medications and cages to restrain inmates. Under the California Youth
Authority (CYA)now known as the California Division of Juvenile Justice (DJJ)the
system as of 2004 had an annual budget of $387 million and imprisoned inmates at
a cost of $71,000 per ward each year.
At long last, reform is on the march. Since 2004, when DJJ housed about 6,000
youths, court-ordered reforms have cut that number by two-thirds; the number will
eventually go below 1,500 as California turns supervision of youth offenders over to
counties by 2011. Reforms have brought about improvements in the conditions of
confinement, health services, and other areas. Still, the costs of incarceration are
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astounding: California in 2008 will spend an estimated $554 million on a juvenile

population just one-fifth the size of the 1996 population.
A Future of Alternatives: Research, Reason & Choice
Observers of the US system are increasingly able to draw on research about which
alternatives to detention and incarceration benefit youth and their communities.
Besides a recognition among experts that juvenile detention centers and prisons
need reform, reports have shown that boot camps are counterproductive, wellintentioned restorative justice activities can fail, and training programs have missed
the mark. Overall, however, the US public is open to alternatives that can reduce
crime and protect youth and society.
But passing reform measures into law depends on many factors, including economic
and political climates. In tough economic times, ballot measures for large-scale
spending on programs that may seem non-essential often get voted down. And a
public skeptical of officials looking to score political points may turn away from
initiatives that could create as many problems as they attempt to solve. Also,
judges who make the final decisions about diverting youth to alternative programs
have to stand for re-election, further muddying the landscape. So when making
choices on such issues, US citizens are asked to weigh many considerations both
outside and within the walls of juvenile confinement to try to bring about better
alternatives for their youth and their communities.
Punitive
Inflicting or intended as punishment.
"He called for punitive measures against the Eastern bloc"
Synonyms: penal, disciplinary, corrective, correctional, retributive; (of a tax or
other charge) extremely high.
"a current punitive interest rate of 31.3 per cent"
Synonyms: harsh, severe, stiff, austere, cruel, savage, stringent, burdensome,
demanding, draconian, drastic, swinging, crushing, crippling;

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CHAPTER VII: What Procedures Must the Police Follow While Making an
Arrest?
What is FIR?
First Information Report (FIR) is a written document prepared by the police when
they receive information about the commission of a cognizable offence. It is a report
of information that reaches the police first in point of time and that is why it is
called the First Information Report. It is generally a complaint lodged with the police
by the victim of a cognizable offence or by someone on his/her behalf. Anyone can
report the commission of a cognizable offence either orally or in writing to the
police. Even a telephonic message can be treated as an FIR. It is a duty of police to
register FIR without any delay or excuses. Non-registration of FIR is an offence and
can be a ground for disciplinary action against the concerned police officer.
Cognizable Offence:
A cognizable offence is one in which the police may arrest a person without
warrant. They are authorized to start investigation into a cognizable case on their
own and do not require any orders from the court to do so.
Non-cognizable Offence:
A non-cognizable offence is an offence in which a police officer has no authority to
arrest without warrant. The police cannot investigate such an offence without the
courts permission.
FIR importance
FIR is a very important document as it sets the process of criminal justice in
motion. It is only after the FIR is registered in the police station that the police start
investigation of the case. According to Articles 21, 22, 23, 25, 49, 50 of Qanoon-eShahadat Order 1984, FIR is a relevant fact.
Who can lodge FIR?
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Anyone who knows about the commission of a cognizable offence can file an FIR. It
is not necessary that only the victim of the crime should file an FIR. A police officer
that comes to know about a cognizable offence can file an FIR himself/herself. You
can file FIR if:
a. You are the person against whom the offence has been committed.
b. You know yourself about an offence, which has been committed.
c. You have seen the offence being committed. The police may not investigate a
complaint even if you file an FIR, when:
1. The case is not serious in nature.
2. The police feel that there is not enough ground to investigate.
3. The police resources are already over-committed in investigating more serious
offences. However, the police must record the reasons for not
conducting an
investigation and in the latter case must inform you (Section 157 of the Code of
Criminal Procedure, 1898).
Procedure of filling FIR
The procedure of filing an FIR is prescribed in Section 154 of the Code of Criminal
Procedure, 1898. It is as follows:

I. When information about the commission of a cognizable offence is given

the police must write it down.

orally,

II. It is your right as a person giving information or making a complaint to

demand that the information recorded by the police is read over to you.
III. Once the police have recorded the information in the FIR Register, the person
giving the information must sign it.
IV. You should sign the report only after verifying that the information recorded by
the police is as per the details given by you.
V. People who cannot read or write must put their left thumb impression on the
document after being satisfied that it is a correct record.
VI. Always ask for a copy of the FIR, if the police do not give it to you.
VII. It is your right to get a copy of FIR free of cost.
What should you mention in the FIR?
1. Your name and address;
2. Date, Time and Location of the incident you are reporting;
3. The true facts of the incident as they occurred, including the use of weapons, if
any;
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4. Names and description of the persons involved in the incident;

5. Names and addresses of witnesses, if any. (Format used by the police for the
registration of FIR is attached).
Things you should NOT do:
1 Never file a false complaint or give wrong information to the police. You can be
prosecuted under law for giving wrong information or for misleading the police
(Section 182 of the Pakistan Penal Code, 1860).
2 Never exaggerate or distort facts.
3 Never make vague or unclear statements.
4
One who refuses to sign his statement of FIR can be prosecuted under section
180 of Pakistan Penal Code, 1860.
5 One who lodges a false charge of offence made with intent to injure a person can
be prosecuted under section 211 of Pakistan Penal Code, 1860.
Arrest Definition and Meanings
Arrest Definition and Meanings Chapter 5 of Criminal Procedure Code is defines the
arrest. Sections 46 to 67 are about the arrest and how it is made. First of all we have
to define what is arrest? Arrest is not defined in Cr.P.C but we can define it as, A
person a can be said to be arrested when he is actually touched or confined by
police officer or other person in accordance with law provided. Procedure of
Arrest/How to made arrest under section 46 of Criminal Procedure Code, in making
the arrest police officer or any other person making the arrest shall actually touch or
confine the body of persona to be arrested unless there be submission to the
custody by words or action. Essentials of Arrest
A police officer or another person authorized by law can arrest

Actual touch and confine

Submission to the custody by words or actions

When there is resistance to arrest The police officer or any other person authorized
to arrest may use all means necessary to effect the arrest if;

Such persona forcibly resists the Endeavour to arrest

Attempt o evade arrest

But he cannot cause death of such person during arrest (except in case when
person accused of an offence punishable with death or imprisonment of life).
Search for arrest

Search of place entered by person sought to be arrested

Procedure where ingress not obtainable
When there are chances that accused will escape, police officer can break
open any door or window of house
Notice to ladies of house in case of ladies in-house is necessary
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Power to break open doors and windows for purpose of liberation

No unnecessary restraint to prevent this escape
Search of arrested person
Mode of searching women
Power to seize offensive weapons

What is procedure for Warrant of Arrest in Pakistan?

Warrant of Arrest
Warrant of arrest issued by the court to of law in order to bring the required person
in the court with help of police or other person empowered on this behalf.
Form of warrant of arrest
Under section 75 of Cr.P.C. followings are the essential of warrant of arrest or we can
say form of warrant of arrest;

Ever warrant of arrest shall be in writing

Signed by presiding officer of court
In case bench of magistrate, any member of that bench
It must bear seal of the court

Warrant to whom directed

Section 77 of Cr.P.C. says that warrant can be directed to following persons;
Ordinary be directed to police officer
If no police officer is immediately available and if immediate execution is necessary,
court may diret it to any other person
Warrant can be directed to several persons
Warrant may be directed to landlords, farmers or manger o land for arrest of any
escaped convict of proclaimed offender who is hiding in that land
Such person acknowledge in writing the warrant of arrest
Such person after arresting criminal made over with warrant to nearest police officer
Release on furnishing security when court may direct security to be taken under
section 76 of Cr.P.C. if such person execute bond with sufficient securities for his
attendance, it shall state;

Number of sureties
The amount in which they and the person for whose arrest warrant is issued
are bound
The time at which he must attend court

Difference between warrant and summons

219

A warrant is an order addressed to a person, usually a police officer, to do

any particular act such as apprehensive or production of an offender or the
search for a thing.
A summons is always addressed to the person who is required either to
attend or to produce a document or thing.
A warrant to be issued by a court should assign reason. Issuance of warrant
without assigning any reason in bad in law.

The Criminal Justice System:

Pakistan is an Islamic republic. Islam is the state religion, and the Constitution
requires that laws be consistent with Islam. The legal system of Pakistan is derived
from English common law and is based on the much-amended 1973 constitution
and Islamic law (sharia). The Supreme Court, provincial high courts, and other
courts have jurisdiction over criminal and civil issues.
Criminal justice system:
A generic term for the procedure by which criminal conduct is investigated, arrests
made, evidence gathered, charges brought, defenses raised, trials conducted,
sentences rendered, and punishment carried out
Criminal Justice is the system of practices and institutions of governments directed
at upholding social control, deterring and mitigating crime, or sanctioning those who
violate laws with criminal penalties and rehabilitation efforts. Those accused of
crime have protections against abuse of investigatory and prosecution powers
Criminal Justice refers to the agencies of government charged with enforcing law,
adjudicating crime, and correcting criminal conduct. The criminal justice system is
essentially an instrument of social control: society considers some conducts so
dangerous and destructive that it either strictly controls their occurrence or outlaws
them outright. It is the job of the agencies of justice to prevent these behaviors by
apprehending and punishing transgressors or deterring their future occurrence.
Although society maintains other forms of social control, such as the family, school,
and church, they are designed to deal with moral, not legal, misbehavior. It is only
the criminal justice system in a legal system which has the power to control crime
and punish criminals.
The main objectives of the criminal justice system can be categorized as follows:
1.

Prevent the occurrence of crime.

2.

Punish the transgressors and the criminals.

3.

Rehabilitate the transgressors and the criminals.

4.

Compensate the victims as far as possible.

5.

Maintain law and order in the society.

220

6.

Deter the offenders from committing any criminal act in the future.

What Is It?
The criminal justice system is the set of agencies and processes established by
governments to control crime and impose penalties on those who violate laws.
There is no single criminal justice system in the United States but rather many
similar, individual systems. How the criminal justice system works in each area
depends on the jurisdiction that is in charge: city, county, state, federal or tribal
government or military installation. Different jurisdictions have different laws,
agencies, and ways of managing criminal justice processes.
1 The main systems are:
State:
State criminal justice systems handle crimes committed within their state
boundaries.
Federal:
The federal criminal justice system handles crimes committed on federal property
or in more than one state.
System Components
Most criminal justice systems have five components-law enforcement, prosecution,
defense attorneys, courts, and corrections, each playing a key role in the criminal
justice process.
Law Enforcement:
Law enforcement officers take reports for crimes that happen in their areas.
Officers investigate crimes and gather and protect evidence. Law enforcement
officers may arrest offenders, give testimony during the court process, and conduct
follow-up investigations if needed.
Prosecution:
Prosecutors are lawyers who represent the state or federal government (not the
victim) throughout the court process-from the first appearance of the accused in
court until the accused is acquitted or sentenced. Prosecutors review the evidence
brought to them by law enforcement to decide whether to file charges or drop the
case.
Prosecutors present evidence in court, question witnesses, and decide (at any point
after charges have been filed) whether to negotiate plea bargains with defendants.
They have great discretion, or freedom, to make choices about how to prosecute the
case. Victims may contact the prosecutor's office to find out which prosecutor is in
221

charge of their case, to inform the prosecutor if the defense attorney has contacted
the victim2, and to seek other information about the case.
Defense Attorneys:
Defense attorneys defend the accused against the government's case. They are
ether hired by the defendant or (for defendants who cannot afford an attorney) they
are assigned by the court. While the prosecutor represents the state, the defense
attorney represents the defendant.
Courts:
Courts are run by judges, whose role is to make sure the law is followed and
oversee what happens in court. They decide whether to release offenders before the
trial. Judges accept or reject plea agreements, oversee trials, and sentence
convicted offenders.
Corrections:
Correction officers supervise convicted offenders when they are in jail, in prison, or
in the community on probation or parole. In some communities, corrections officers
prepare pre-sentencing reports with extensive background information about the
offender to help judges decide sentences. The job of corrections officers is to make
sure the facilities that hold offenders are secure and safe. They oversee the day-today custody of inmates. They also oversee the release processes for inmates and
sometimes notify victims of changes in the offender's status.
How the Criminal Justice Process Works
Below is a basic outline of the sequence of events in the criminal justice process,
beginning when the crime is reported or observed. The process may vary according
to the jurisdiction, the seriousness of the crime (felony or misdemeanor),3 whether
the accused is a juvenile or an adult, and other factors. Not every case will include
all these steps, and not all cases directly follow this sequence. Many crimes are
never prosecuted because they are not reported, because no suspects can be
identified, or because the available evidence is not adequate for the prosecutor to
build a case.
Entry into the System
Report:
Law enforcement officers receive the crime report from victims, witnesses, or other
parties (or witness the crime themselves and make a report).
Investigation:
Law enforcement investigates the crime. Officers try to identify a suspect and find
enough evidence to arrest the suspect they think may be responsible.
222

Arrest or Citation:
If they find a suspect and enough evidence, officers may arrest the suspect or issue
a citation for the suspect to appear in court at a specific time. This decision depends
on the nature of the crime and other factors. If officers do not find a suspect and
enough evidence, the case remains open.
Prosecution and Pretrial
Charges:
The prosecutor considers the evidence assembled by the police and decides
whether to file written charges (or a complaint) or release the accused without
prosecution.
First Court Appearance:
If the prosecutor decides to file formal charges, the accused will appear in court to
be informed of the charges and of his or her rights. The judge decides whether there
is enough evidence to hold the accused or release him or her. If the defendant does
not have an attorney, the court may appoint one or begin the process of assigning a
public defender to represent the defendant.
Bail or Bond:
At the first court appearance (or at any other point in the process-depending on the
jurisdiction) the judge may decide to hold the accused in jail or release him or her
on bail, bond, or on his or her"own Recognizance" (OR)," (OR means the defendant
promises to return to court for any required proceedings and the judge does not
impose bail because the defendant appears not to be a flight risk). To be released
on bail, defendants have to hand over cash or other valuables (such as property
deeds) to the court as security to guarantee that the defendant will appear at the
trial. Defendants may pay bail with cash or bond (an amount put up by a bail
bondsman who collects a non-refundable fee from the defendant to pay the bail).
The judge will also consider such factors as drug use, residence, employment, and
family ties in deciding whether to hold or release the defendant.
Grand Jury or Preliminary Hearing:
In about one-half of the states, defendants have the right to have their cases heard
by a grand jury, which means that a jury of citizens must hear the evidence
presented by the prosecutor and decide whether there is enough evidence to indict
the accused of the crime. If the grand jury decides there is enough evidence, the
grand jury submits to the court an indictment, or written statement of the facts of
the offense charged against the accused. In other cases, the accused may have to
appear at a preliminary hearing in court, where the judge may hear evidence and
the defendant is formally indicted or released.

223

Arraignment:
The defendant is brought before the judge to be informed of the charges and his or
her rights. The defendant pleads guilty, not guilty, or no contest (accepts the
penalty without admitting guilt).

If the defendant pleads guilty or no contest, no trial is held, and offender is

sentenced then or later.
If the defendant pleads not guilty, a date is set for the trial.
If a plea agreement is negotiated, no trial is held.

Adjudication (Trial Process)

Plea Agreements:
The majority of cases are resolved by plea agreements rather than trials. A plea
agreement means that the defendant has agreed to plead guilty to one or more of
the charges in exchange for one of the following: dismissal of one or more changes,
a lesser degree of the charged offense, a recommendation for a lenient sentence,
not recommending the maximum sentence, or making no recommendation. The law
does not require prosecutors to inform victims about plea agreements or seek their
approval.
Trial:
Trials are held before a judge (bench trial) or judge and jury (jury trial), depending
on the seriousness of the crime and other factors. The prosecutor and defense
attorney present evidence and question witnesses. The judge or jury finds the
defendant guilty or not guilty on the original charges or lesser charges. Defendants
found not guilty are usually released. If the verdict is guilty, the judge will set a date
for sentencing.
Post-Trial
Sentencing:
Victims are allowed to prepare for the judge (and perhaps to read at the sentencing
hearing) a victim impact statement that explains how the crime affected them. In
deciding on a sentence, the judge has a range of choices, depending on the crime.
These choices include restitution (paying the victim for costs related to the crime),
fines (paid to the court), probation, jail or prison, or the death penalty. In some
cases, the defendant appeals the case, seeking either a new trial or to overturn or
change the sentence.
Probation or Parole:
A judge may suspend a jail or prison sentence and instead place the offender on
probation, usually under supervision in the community. Offenders who have served
224

part of their sentences in jail or prison may-under certain conditions-be released on

parole, under the supervision of the corrections system or the court. Offenders who
violate the conditions of their probation or parole can be sent to jail or prison.
If You Are a Victim
The criminal justice system can be overwhelming, intimidating, and confusing for
anyone who does not work within it every day. As a victim, you will need to know
what to expect and have support throughout the process.
You will also want to know your rights and the choices you may have to make.4 You
may also need information and guidance to help you stay safe. For example, if you
are harassed or stalked by the offender at any point in the criminal justice process,
you should immediately report these violations to the police and inform the
prosecutor. Also, while the offender is in jail or prison, the corrections staff is
generally required to notify you if the offender is released or escapes or if a parole
hearing is pending, if you request such notification. Also, most states have
automated notification systems that allow registered victims (those who sign up) to
check on the status of an offender at any time. Such systems will automatically
notify
you
of
an
inmate's
escape
or
release.
(See
[Link]/vinelink/[Link] for more information about state notification
systems.)
1. Readers may find it helpful to consult their local victim assistance program, local
prosecutor's office, and state attorney general's office, local or state bar association,
or local law library for information specific to their own area or jurisdictions.
2. Defense attorneys sometimes contact victims about their case. Victims do not
have to talk to defense attorneys or their investigators and are encouraged to
contact the prosecutor if they have any concerns about such requests.
3. Felonies are punishable by more than one year in prison; misdemeanors are
punishable by up to one year in jail.
Agencies:
Formal
Formal justice system there is number of categories of crimes which are part of
different legislations and accordingly their penalties and punishments have been
defined in general and special laws. It would be out of scope of the instant study to
discuss all of them here. However, under formal justice system warning, fine, simple
imprisonment, regressive imprisonment, imprisonment for life and capital
punishment are formally pronounced.
Informal

225

Informal systems include a range of traditional, customary, religious and informal

normative frameworks and mechanisms that handle and resolve disputes. In
Pakistan, the Jirga system in NWFP and Baluchistan and the Panchayats in Punjab
and, the Fasilo and Sulh in Sindh are well-known non-institutional mechanisms for
the settlement of disputes. Two kinds of ADR have been practiced in Pakistan;
traditional ADR and public bodies ADR. Jirga/Panchayat can be termed under
traditional ADR whereas dealing dispute through Msalehat Committee or SCMOCO
may be called public bodies ADR.
The specific aims and expected outcomes of the study are to obtain clarity
on:
The nature and characteristics of informal justice systems in different regions of
Pakistan.
The systemic aspects and issues with regard to the national normative
frameworks and the informal justice processes and systems.
Human rights implications of these informal justice processes, particularly related
to the rights of children, women, and vulnerable and marginalized groups, in areas
like FATA and PATA (where the existence of the state institutions such as judiciary
and its capacity to deliver , in relation to the functions of the law-enforcing agencies
is either absent or weak).
The scope for improving respect for human rights principles and practices in
informal justice systems, including the possible control and accountability
mechanisms that need to be established for such improvements.
Key programming opportunities and challenges for supporting greater alignment
of informal justice processes with formal justice system and with the requirements
of human rights standards, including possible opportunities for UN joint
programming.
Types of mechanisms
Traditional or informal justice system is an alternative system of dispensing justice
by which the disputes are settled for individuals and between two families,
communities and intra or inter tribes. In the context of Pakistan, this legal pluralism
has taken the shape of tribal justice system under various forms and
denominations. Prominent denomination amongst those is Jirga in NWFP, Tribal Area
and Baluchistan, Faislo in Sindh and Punchayat in thePunjab province. The growing
body of scholarly work has focused on the realm of Jirga/Faislo/Punchayat as
customary practice which legitimizes the Honor related crimes or codes. The
second aspect of Jirga/Faislo/Punchayat
includes mediation; arbitration and
reconciliation which are used as other methods of alternative dispute resolution that
will be the focus of this study. This aspect of Jirga has not been subjected to inquest
proportionate to the supplemental role it can play not only to reduce the back log of
226

cases in official judiciary but provide redressal mechanisms for the victims. Thus
traditional justice system in the form of Jirga is not new and has been prevalent and
practiced in both officially designated and non-designated areas in Pakistan. In the
aftermath of development of ADR mechanisms through court-annexed and other
institutional arrangements around the world has revitalized the debate in the
country as well as realization in the UN specialized agencies to analyze the impact
of these mechanisms and their interaction with formal justice system.
Sarkari Jirga
Established under the Frontier Crimes Regulation (FCR) 1901, the magistrate, the
political agent or his assistant can designate a group of elders to try a criminal or a
civil case. The FCR authorizes settlement of quarrels by this Jirga that arise out of
blood-feuds, relating to zan, zar, zamin (women, wealth and land) and all other
questions affecting the Pakhtoon honor and way of life. This Jirga can inflict a
maximum penalty of up to fourteen-year imprisonment.
Qaumi or Ulusi Jirga
The Ulasi Jirga is an assembly of the elders comprising each household of a certain
village or community. It is convened to discuss matters such as collective property,
rights and distribution of irrigation water, or common concerns, like selection of a
site for a school, etc.
Shakhsi Jirga
This Jirga is formulated in case a dispute arises between two individuals or families.
The Jirga members are chosen from both the parties to arrive at a just settlement
acceptable to both sides
The panchayat
The panchayat at the village level meets as and when required in order to settle
disputes or attend to communal issues. The disputes and communal issues range
from disagreements over water, women, boundaries, and the division of crops with
labourers during harvest, to campaigns to secure electricity supply for the village.
Composition (including gender perspective)
.While Jirga is a formal gathering as already mentioned, now incorporates civil
bureaucrats and the local police chiefs due to official patronage particularly for
resolving tribal feuds; so it is a more informal institution but still maintains
differential treatment where women are still prohibited in all situations be it victims,
witnesses or participants. In cases of compensation and evidence it interacts with
the principles of criminal justice system
Interaction and relationship between formal and informal justice systems
and impact
227

The Government of Pakistan has made attempts to integrate and develop

relationship between the formal and informal justice systems. A number of
legislations have been promulgated at the Federal and Provincial levels. The Local
Government has also initiated to strengthen informal justice system. The Local
Government Ordinance, 2001 (LGO) is the best example. It provides a basic
framework for resolution of disputes amicably through Musalihat Anjuman (MA). The
MA is envisaged under the LGO at the provincial levels which selects panel of nonelected persons from the community through Insaf Committees (ICs) at union
council level, who are publicly known as persons of integrity, good judgment and
command respect. Moreover, under section 104 of the LGO, cases may be referred
to MA by any court where proceedings are pending. Earlier conciliation Committees
were constituted for rederessal of petty issues at the union council level. This study
informs that police and courts in interior of Sindh refer cases of criminal nature
(compoundable) to the decisionmaker of informal justice system where heinous
offences like murder, injuries and theft,pending in formal courts are usually privately
resolved through mediation by decisionmakers of informal justice system and the
parties simply file compromise application in courts. Some times in noncompoundable offences the prosecution witnesses do not support the prosecution
case, which results in acquittal of accused from the charge. In urban areas
tenancy/rent matters and family matters are normally resolved in the courts
without considering legal intricacies involved in the case as the legislations in family
courts permit the presiding officer to make attempt to reconcile the dispute during
pre and post trial. Similarly in rent matters the appellate court has been given
powers under the Sindh Rented Premises Ordinance, 1979 to mediate the dispute
between the parties and motivate them to reach a settlement. It is a common
practice in dispute of civil nature that the parties during pendency of the action
continue to explore settlement through informal justice system and on settlement
file either a compromise or withdrawal application
Faislo or Sulah
Each party nominates two or more Musheers (Advisors). They are also Naikmards
(Notables) of their vicinity or tribe. Each party explains their case to them. The
Faislo is arranged at the Otaq (place) of another Notable known as Sarpench/Ameen
who is selected by the parties with their consent. If Sarpench/Ameen is not agreed
by consensus, the victims have an edge in opting for the arpench/Ameen. The
Musheers of each party discuss the case of their parties with each other and
endeavor to reach at some conclusion acceptable to both the parties. Sometimes
both the Musheers succeed in winning the consensus which is normally called
Sullah(settlement) and in case they fail to reach at some conclusion the fifth man
who is headman of Faislo (decision) intervenes and takes decision after hearing the
parties and their Musheers.
There is no mechanism for appeal.
Types of decisions or outcome of these processes
228

Under the informal justice system decisions are made by awarding compensation to
the aggrieved person. According to practitioners of the informal justice system,
punitive measures in the form of imprisonment or detention are not awarded.
A juvenile offender is dealt in different manner. Though he is also given the same
punishment in shape of compensation but the amount is paid by his family
members and in case they cannot pay (the amount of compensation), co-villagers
or caste fellow contribute and pay to the victim.
Role of witness (es)
Almost all the respondents said that the witnesses play very effective role in the
Punchayat/Jirga/Faislo. The Notable/Sardar while conducting the Jirga/Faislo may call
and ask as many persons as they like to state the facts on oath. Sometimes
witnesses or the parties are asked to take special oath on the Holy Quran. In Sindh,
it is known as Sakh and in NWFP known as Qassam .Most of the respondents stated
that witnesses play an active role during the proceeding and also at the end act as
witness of the decision by signing the written decision. Decision is based on their
evidence and facts disclosed by them.
In few tribes, even in D.G. Khan, the accused is asked to walk on fire. If he crosses
the way without sustaining injury, he is declared innocent
Another unique method of sakh is the charbeli - a fire ordeal.
. The accusing side names a person who should take the sakh, and walk through a
12 foot pit of burning embers. If the person taking fire ordeal burns his feet, then
the accusing side claims are considered to be true.
Under informal justice system there is no concept of legal aid as understood in
formal justice system. Only a notable person acts as musheer.
Over 20 percent of the worlds population is Muslim. The Islamic justice-legal
system did not generally require any lawyers since the litigants themselves pleaded
their own case. Disagreements and disputes were settled within the organic society
through the community as well as formal processes.
The population of rural areas has more faith in the informal justice system and they
desire to resolve their dispute in the light of Quran and Sunna. Normally decisions
are made on oath in the presence of a number of persons of the locality/village
Human rights implications
Human rights implications of the delivery of justice through informal mechanisms,
especially for women, children and vulnerable and marginalized groups
Efforts on the part of Government and National Bodies to support the
-informal justice systems
229

Recent Initiatives regarding ADR in Pakistan

a. Grafting of Section 89-A read with Order X, Rule 1-A, Code of Civil Procedure,
1908 though a very rudimentary provision but it has sown seed for ADR mechanism
in the primary procedural law in Pakistan.
b. Small Claims and Minor Offences Ordinance, 2002 has been promulgated for
providing exclusive forum (at the district level) for facilitating the resolution of
smaller disputes. This law also provides ADR mechanism for facilitating the
resolution and settlement of disputes within the framework of the formal court
system. This could be transformed into an excellent forum for addressing disputes
in the emerging justice sector in Pakistan. The mechanism under the Ordinance is
not being used to its fullest capacity for lack of awareness amongst litigants and
sustained training of judicial officers and other stake holders.
c. Under the Access to Justice Program, the review of Arbitration Act represents a
significant policy action. This review needs to be undertaken and capacity building
initiatives put in place to promote effective arbitration regime in Pakistan.
d. A new local government system through LGO has been introduced in Pakistan,
establishing elected local governments at the level of Union Council, Tehsil (Sub
District Level) and the District level. The institution of Musalihat Anjuman (literally
means conciliation forums) has been provided at the level of Union Councils for
dispute resolution through ADR (including conciliation, mediation and arbitration).
e. The legislature has also provided following provisions regarding the ADR in
various tax laws through finance bill, 2005 and ADR Committees have been formed
to resolve taxing liability:

Section 134 A of the Income Tax Ordinance, 2001 and Rule 231 C of the
Income Tax Rules, 2002.
Section 47 of the Sale Tax Act 1990 and Chapter X of the Sale Tax Rules 2004.
Section 195-C of the Customs Act 1969 and Chapter XVII of the Customs
Rules 2001.
Under the Finance Act 2006 ADR is made applicable even in cases where
appeal has been filed.
Under current Trade Policy 2008-09 Initiative, Government of Pakistan
propose to set up a trade Dispute Settlement Organization (TDSO) under
the administrative control of Ministry of Commerce and the existing
Directorate of Trade Dispute of Trade Development Authority of Pakistan
(TDAP) will be brought under TDSO.

f. Post amendment of Section 89-A CPC, International Finance Corporation (IFC),

private wing of World Bank is working with close association with MOL and entered
into MOU with Sindh High Court (SHC). SHC is supporting commercial dispute
settlement through enhancement of court procedures as well as support for
mediation in Pakistan. As a collaborative effort a nonprofit organization, a legal
230

entity under the name and style of Karachi Centre for Dispute Resolution was
conceived and registered on 30-11-2006 and became operation in February, 2007.
KCDR the first mediation centre in the country has foreign accredited mediators and
master trainers who are able to mediate disputes and train and sensitize
stakeholders on ADR. It is expected to set up similar Project in Lahore (Punjab) and
possibly other parts of the Country. KCDR has worked with Ministry of Law/AJP and
trained 46 judges of District Judiciary in Sindh. In December 2008, KCDR trained
legal practitioners in Karachi on ADR.( Alternate Dispute Resolution)
RECOMMENDATIONS
a. To develop linkages between stakeholders of formal and informal justice system
b.
To
develop
and
design
training
module
and
material
for
mediators/arbitrators/conciliators/saliseen involved in resolving disputes under
informal justice system and public bodies ADR mechanism.
c. To develop policy for early hearing of cases where court referred mediation fails
d. To design material to introduce procedure adopted in informal justice system for
general public, practicing advocates and newly appointed judges
e. Formation of a coordination, evaluation and implementation committee at all
level
f. To propagate existing provision of laws that link formal justice system with the
informal justice system
g. To impart training to the legal practitioners and judicial officers, police personnel
on ADR mechanisms.
h. To introduce court annexed mediation centres in civil and criminal cases at
district level
i. To set up child protection unit in big cities
j. To set up proper legal aid system for juvenile, women disadvantaged and
marginalized segment of the society
k.
To
encourage
and
acknowledge
the
services
of
Mediators/Arbitrators/Conciliators/Saliseen who are playing their effective role to run
traditional/informal justice system
l. Extend the reach of formal courts throughout the country
m. Development of linkages between Governmental and non- Governmental
organizations

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n. Decision under informal justice system may be in accordance with national laws
and according to international obligations
LIST OF ACRONYMS
ADR

Alternate Dispute Resolution

AGO

Attorney Generals Office

AJP

Access to Justice Program

CRC

Convention of Rights of Child

CAT

Convention Against Torture

CIDA

Canadian International Development Agency

CPC

Civil Procedure Code, 1908

CrPC

Criminal Procedure Code, 1891

CEDAW Convention on the Elimination of Discrimination against Women

DoL

Department of Law

D&SJ

District & Sessions Judge

FCR

Frontier Crimes Regulation

FHC

Federal High Court

GJTMAP Gender Justice through Musalihat Anjuman Project

HR
IC

Human Resource
Insaf Committee

ICADR International Centre for Alternative Dispute Resolution

ICG

International Crisis Group

ICCPR International Covenant on Civil and Bliticate Rights

IDLO

International Development Law Organization

IFC

International Finance Corporation

IGP

Inspector General Police

KCDR Karachi Centre for Dispute Resolution

LHC

Lahore High Court

232

LJCP

Law & Justice Commission of Pakistan

MAs

Masalihat Anjumans

MFCO Muslim Family Court Ordinance

MoL
MoU

Ministry of Law, Justice & Human Rights

Memorandum of Understanding

MoWD Ministry of Women Development

NCCWD National Commission for Child Welfare and Development
STUDY ON INFORMAL JUSTICE SYSTEM IN PAKISTAN SJA
NGO

Non-governmental organization

NWFP North-West Frontier Province

PHC
PLGO
PPC

Peshawar High Court

Punjab Local Government Ordinance, 2001
Pakistan Penal Code, 1860

PPO Provincial Police Officer

PCCWD Provincial Commission for Child Welfare Department
QHC
SC

Quetta High Court

Supreme Court

SCMOCO Small Claims and Minor Offences Courts Ordinance, 2002

SHC
SJA

Sindh High Court

Sindh Judicial Academy

SLGO Sindh Local Government Ordinance, 2001

TOR

Terms of Reference

TOT

Training of Trainer

UNDP United Nations Development Programme

UNICEF United Nations Childrens Fund
UNIFEM United Nation International fund for Women
USAID United States Agency for International Development
233

Badal-i-sullh
It is a term used for settling the blood dispute by exchanging of girl or woman.
Faislo
A local term used to describe meaning of Jirga in Sindh
Jirga
A local term used to define group of people/elders who sit together for resolving a
dispute. It is normally used in Balochistan, NWFP, FATA, PATA.
Karo Kari
Karo kari is a compound word. Literally karo means "black male" and kari means
"black female", A metaphoric term for adulterer and adulteress. Being so labeled
leads more often than not to the murder of both man and woman allegedly guilty of
having an illicit affair. This is especially true in the rural areas of the southern
province of Sindh. In other parts of the country, women are more likely to be
accused of sexual improprieties and murdered in order to wash the sullied family
honor.
Kursi
An elevated chair used by the Sardar or decision maker during Jirga proceeding.
Mahaslehat Anjuman
A committee constituted under SLGO at union council level for disposal of disputes
of the people residing in a particular jurisdiction
Musheer
An advisor who participates in the faislo and represents one of the partys dispute to
settle it. They also facilitate decision makers in resolving the dispute.
Naikmards
A respectable person of a village who is usually approached by the villagers for
resolving their disputes
Nikah
The legal contract between a bride and groom as part of an Islamic marriage;
contract under Islamic marriage
Otaq
A sitting place in village/rural areas of Sindh Province

234

Panchayat
A local term used to describe Jirga in the Punjab.
Sakh
It is a Sindhi term denoting administration of oath either on fire or on Holy Quran.
Sardar
Head of community/tribe mostly current in Sindh Province
Sawara
It is a traditional practice in NWFP where girls are given for settling or resolving
blood disputes between families and clans.
Shahi Jirga
Shahi Jirga, means a Jirga to resolve intricate disputes between individuals and
tribes.
Sharam
It is a feeling or gesture in which hesitation is disclosed/exhibited by the
communicator.
Surpunch
Head of Panchayat or tribal council
Tumandar
Head of family/community, mostly current in the Punjab Province
Vani
A custom to give a woman of his family to an enemys family as part of settlement
of a feud
Wadera
A term denoting small chieftain or a dominating personality of a village owning
reasonable agricultural land and most of the families of his village work on his land
as worker/Hari
Reasons, why lower judiciary in Pakistan cannot take bold decisions;
Introduction
The Courts in Pakistan are broadly divided into three groups:

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(i)

Constitutional Courts,

(ii)

Ordinary Courts, and

(iii)

Special Courts.

Constitutional Courts are three, namely the Supreme Court, the High Courts and the
Federal Shariat Court. These Courts are also known as Superior Courts. Ordinary
Courts, also called sub-ordinate judiciary, include the District and Session Judge; the
Additional District and Sessions Judge; the Senior Civil Judge; the Civil Judges class
First, 2nd & 3rd; the Judicial Magistrate Class First, 2nd & 3rd; Family Courts and
Revenue Courts.
Subordinate Judiciary:
The subordinate judiciary may be broadly divided into two classes; i.e.
(i)
1962 and
(ii)

Civil courts, established under the West Pakistan Civil Court Ordinance
Criminal courts, created under the Criminal Procedure Code 1898.

In addition, there also exist other courts and tribunals of civil and criminal nature,
created under special laws and enactments. Their jurisdiction, powers and functions
are specified in the statutes creating them.
Pakistan has adopted a federal system, having four provinces.
Each Province has been divided into Sessions Divisions, each headed by a District
and Sessions Judge.
The hierarchy of the subordinate Civil Courts from top to bottom is.
(i)

District Judge,

(ii)

Additional District Judge,

(iii)

Senior Civil Judge,

(iv)

Civil Judge First class, 2nd class and 3rd class.

Similarly, the hierarchy of criminal courts is.

(i)

Sessions Judge,

(ii)

Additional Sessions Judge,

(iii)

Judicial Magistrate First class, 2nd class and 3rd class.

Law fixes their pecuniary and territorial jurisdictions.

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The subordinate courts (civil and criminal) have been established and their
jurisdiction defined by law. They are supervised and controlled by the respective
High Court.
Flaws in lower judiciary
People of Pakistan are not satisfied with its judicial system. They believe it a
punishment to file a case due to its time consuming and fruitless procedure and
hence it is the need of the hour to revise the system.
To increase efficiency of lower courts, it is necessary to change the existing style of
dispensing justice. Though, Supreme and High Courts are speedily working yet
reforms are needed to be brought at lower level of judiciary.
The significant flaws of
enumerated below:-

lower judicial

system

in Pakistan can be

There is pressure of work on the judges because of the facts that the Courts are
under-staffed and many vacancies have not been filled up.
The legal processes are tardy and due to generous adjournments accorded at the
sub-ordinate Courts stages, the disposal of the cases is regrettably minimal.
The Government does to not allocate adequate budgetary allocations for day to day
administration of the Court and meeting their immediate and dire financial needs;
notwithstanding the huge income that arises from the Court fees received from the
litigants.
The case management is archaic in spite of the modern technical advances in
Computerization, E-Government and quick case citation through Internet and CDs.
Lot of time is wasted in lower courts by the lawyers in reading out texts of case law
whereas in the developing countries such citations are supplied on floppies or CDs
to the honorable judges.

The system of Bailiff is fraught with corrupt practices and the notices /
Summon are not served in order which procrastinate the cases progress.
Most of the precious time of the Courts is consumed in repeating the services
which are at once time and money-consuming.
If Suits or Decrees are passed, they are not executed as the execution
machinery is antiquated and not in synch with latest judicial developments.
Only paper decrees (as in several Banking cases) are passed which take
several years for implementation which is discouraging for the Banking sector
in terms of monetary waste and financial blockade.
Criminal cases are not disposed-off in time because of lack of vigilance by the
Courts in connivance with the Police Officials.

237

The offenders of law are sure to dodge and evade due process of law because
of the complicity of police officials, lethargy of courts and manipulation of
lawyers.
The detenues languish in prisons due to lack of timely legal aid and gross
corruption in Police department and also in criminal courts at lower rungs.
Neither police reforms (mere eye wash) nor the superintendence of the
Courts can accelerate the dispensation of justice unless the Judges are
appointed on merit and through fair selection.
The Pay and allowances and fringe benefits available to the Judges of the
subordinate courts are awfully low which create un-salutary working
conditions and stunning disincentives for the Judges to discharge their
responsibility efficiently, expeditiously and justly.
There is gaping difference between the privileges of a judge of the district
court and High Court. This is the cause for mis-carriage of justice and
rampant corruption with the courts.

Recommendations
Some reformative suggestions are placed before concerned authorities to improve
district judicial administrative system.
1. A law should be legislated that binds judges not to adjourn a case for more than 7
days, provided police has submitted all the facts and figures timely.
2. Coordination gap between police and judiciary should be bridged.
3. A committee should be formed by CJ province which hears complaints of the
litigators and review cases and other issues pertaining to law.
4. Free legal adviser should be provided to deserving and poor people.
5. E-justice: all cases should be computerized and maximum 15 days to be set to
dispose of a case (final verdict should be given as early as possible).
6. Administration of court should be made efficient and effective for speedy judicial
system, by deputing right man on the right job.
7. Postings, transfers and other related issues of judges should be dealt by superior
judiciary instead of law ministry.
8. Few provisions of law should be a part of the middle class syllabus for prevention
of crime and augmentation of awareness on judicial or legal matters.
9. Bar council should be more effective and efficient. Honest, loyal and efficient
lawyers should head the bar.
10. Judicial investigation wing to be set up to verify the fabricated charges.
11. Salaries of judges should be increased to discourage malpractice.
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12. Electronics and internet can be used for coordination, dissemination of case
information and hearing dates. This will save time of court and plaintiffs.
13. Vacancy for Judicial Ombudsman should be created and all issues pertaining to
administration of courts should be dealt by Ombudsman. He must be appointed by
Chief Justice of Supreme Court and prior to consideration his/her credibility should
be a matter of serious concern.
14. Outdated laws of evidence should be replaced with new laws.
15. Prime motive of judiciary should be to promote rule of law in the country and for
this equal justice dispensation is necessary.
16. Since judicial activism has gained momentum in the country, lawyers undue
movements have created a troublesome situation. However, they must be
prevented from acting violently and restlessly.
Conclusion
It is extremely important for Pakistan to have a well-established judicial system on
the pillars of speedy and transparent trail system in order to provide fair justice to
the people of our [Link] system is guarantee for the development of a
nation as it builds trust and confidence among the masses. It is very necessary to
reform the judicial system, as it is in the dilapidated condition and only the apex
court now building confidence among nation. But apex or superior courts alone
cannot solve the problem of the people. Above 90 % cases are registered in the
lower courts, which are so far unable to provide remedy to the people. Lower
judicial system must be reformed and considered on the priority basis. The above
mentioned suggestions will surely bring a change in the lower judicial system and
judiciary will start working on the set path as envisaged by Quaid-e-Azam
Muhammad Ali Jinnah.
Challenges facing the system
The Mitha commission recommended an upgrade of the technical aids to
investigation improved logistics career planning of police officer, and official,
greater freedom for supervisory officers in operational matters, and overall control
of the Inspector General over the allocated budget. The commission also called for
the reorientation of the police to become a service provider rather than a force. The
President of Pakistan General Muhammad Zia-ul Haq approved nearly all of the
commissions findings, but sadly, none was implemented principally because the no
police bureaucracy resisted any changes to the status quo in which civil secretariats
controlled the police through an intricate system of budgetary control and annual
evaluation reports on police officers. Many of the provisions of Police Order 2002
reflected the commissions recommendations.
Further, political elites interfere in the institution, investigation, and prosecution of
cases. The tenure of postings of all ranks from Inspector General to the lowest rank
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is at the discretion of the Chief Minister. Police order 2002 was enacted with a view
toward diminishing political influence on the police and making the institution
answerable to bodies. Unfortunately, the major salutary provisions were diluted by
amendments in 2004, and even the watered down version has not been followed.
The situation in lower criminal courts and the newly created prosecution
department is similarly deficient. The National judicial policy, an attempt at reform,
thus far has not had any visible impact. The higher judiciary is working overtime to
respond to incidents of notoriously overt bad governance and the miscarriage of
justice, but their number and time are in short supply. The Law and Justice
Commission of Pakistan has been able to correct pay scales and other provisions for
judges, but not overall performance. The Chief Justice of Pakistan, speaking to a bar
association in March 2012, expressed his severe displeasure at the delay and
expense that the common litigant / plaintiff must endure to secure his legal rights
through court. He went on to hold lawyers and lower courts equally responsible for
the sad state of affairs.
Additionally, there is widespread corruption in those lower courts that are not in the
ambit of either the National Accountability Bureau or the Anti-Corruption
Establishment of the province. Recent amendments in the law have produced a
situation in which civil judges are also the authority for criminal cases. The resulting
situation is truly hodgepodge. Under earlier dispensation, police officers were
prosecutors in court too, but new prosecution service are in the making in the
province. Senior police officers are dissatisfied with this new arrangement, as they
see conviction rates, already low, falling even further. It is commonly observed that
the prosecution service is yet another tier of corruption; it is staffed by cronies of
the elite. The situation is indicative of a turf war between the prosecution and the
police.
Recommendations
As a holistic, reductive approach, the following steps should be considered:
Oversight of the criminal justice system by parliament and the provincial assemblies
should be increased.
Greater emphasis should be placed on law and order and on the increased outlay of
resources during annual budget allocations.
Closer networking is needed between the subsystems of the criminal justice system.
Reliable and real-time statistical information covering all aspects of the law and
justice system through modern information technology management information
system is needed.
A commissioner-ate system of policing should be introduced in all major cities
with population of one million or more. Such a system would create units within
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provincial jurisdictions in which the commissioner would have magisterial power to

enforce local and special laws within his area of command.
The civil armed forces, such as the Rangers from Sindh and the Frontier Corps from
Baluchistan, should be removed from law and order duties.
The police should be audited by the Ministry of Justice on an annual basis. Programs
should be implemented to improve the quality of life for inmates so as to make
prisons more comfortable, humane, and useful
The role of civil society organization and nongovernmental organization working in
the human rights arena should be fostered, thereby creating for lobby for citizens
right.
Increased oversight by international donors is needed. These donors must revisit
the quality of their interventions in Pakistans justice system. Millions of dollars
spent over the years have not made things any better; on the contrary, the
situation continues to worsen.
DUTIES OF PUBLIC PROSECUOR
Prosecutor
A prosecutor is the government's attorney in a criminal case who represents the
people, such as a District Attorney, States Attorney, U.S. Attorney, Attorney General,
Solicitor General, or special prosecutor. A prosecutor may investigate certain
criminal offenses on his own initiative, or at the request of a government officer or
government body.
A prosecutor works with law enforcement officers to ensure that justice is done. He
or she makes the decision whether or not to bring charges for a crime and against
whom the charges will be brought. The prosecutor must persuade the jury or judge
"beyond a reasonable doubt" of every fact necessary to constitute the crime
charged. The prosecutor must both refrain from the use of improper methods
calculated to produce a wrongful conviction and must use every available legitimate
means to obtain just convictions.
Prosecutors are public or private.
1. The public prosecutor is an officer appointed by the government, to prosecute all
offences; he is the attorney general or his deputy.
2. A private prosecutor is one who prefers an accusation against a party who is
suspected to be guilty. Every man may become a prosecutor, but no man is bound
except in some few of the more enormous offences, as treason, to be one but if the
prosecutor should compound a felony, he will be guilty of a crime. The prosecutor
has an inducement to prosecute, because he cannot, in any cases, have any civil
remedy until he has done his duty to society by an endeavor to bring the offender
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to justice. If a prosecutor act from proper motives, me will not be responsible to the
party in damages, though he was mistaken in his suspicions; but if, from a motive of
revenge, he institutes a criminal prosecution without any reasonable foundation, he
may be punished by being mulcted in damages in an action for a malicious
prosecution.
3. In Pennsylvania a defendant is not bound to plead to an indictment where there
is a private prosecutor, until his name shall have been indorsed on the indictment
as such, and on acquittal of the defendant, in all cases except where the charge is
for a felony, the jury may direct that he shall pay the costs.
1. To promote the cause of prosecution.
2. To thoroughly scrutinize challans, i.e., Reports under section 173 of the
[Link] applications received from the police station in connection with the
arrest of offenders [Police Rules, 27. 15(1)].
3. To prosecute, watch or direct the prosecution of cases in courts.
4. To ensure the observance of conditions and restrictions of courts [Police Rules,
27.15(ii)].
5. To ensure the observance of all High Courts orders issued with the object of
expediting decisions and preventing abuses.
6. To supervise the transmission of warrants and summons to the executive police
under the orders of criminal courts and to see that returns to such processes are
made without delay.
7. To guide the investigating officer to remove the legal lacunae during
investigation, so that best evidence is presented in court.
8. To examine whether the challan has been put in court within the prescribed
period, as laid down in section 175 of the Cr.P.C.
9. As soon as final report of investigation under section 173 of the Cr.P.C. is received
from police, it is the duty of the public prosecutor to vet it minutely and, if found fit,
he should immediately send up the same to the court and, if found not fit due to
serious legal lacunae, he may withhold the same directing the investigating agency
to re-submit it in the best manner.
10. To file revision petition under sections 439 and 439-A of the Cr.P.C., provided the
impugned orders merits revision.
11. To prepare acquittal appeal under section 417 of the Cr.P.C.
12. To cross-examine necessarily the accused according to Article 44 of Qanun-eShahadat Order, 1984 (Evidence Act). It was not previously done so.

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13. According to section 232 of the Cr.P.C., whenever a charge is altered or added
by thecourt after the commencement of trial, the public prosecutor is empowered to
recall or summon and examine the witness with reference to such alteration or
addition.
14. According to section 265 of the Acr.P.C., in every trial before a Court of Sessions,
the prosecution shall be conducted by a public prosecutor.
15. As per section 494 of the Cr. P.C., the public prosecutor may, with the consent of
the court before the judgment is pronounced, withdraw from the prosecution any
person tried for the offence(s).
The Prosecutor's Role in Sentencing
1.

Sentencing is a decision for the court, but prosecutors have a duty to offer
assistance to the sentencing court in reaching its decision as to the
appropriate sentence by drawing the court's attention to the following factors:
a.
b.

any aggravating or mitigating factors disclosed by the prosecution

case;
any Victim Personal Statement;

c.

where appropriate, evidence of the impact of the offending on a

community;

d.

any statutory provisions, sentencing guidelines, or guideline cases

which may assist; and

e.

Any relevant statutory provisions relating to ancillary orders (such as

anti-social behaviour orders).

2.

Prosecutors may also offer assistance to the court by making submissions, in

the light of all the above factors, as to the sentencing range within which the
current offence falls.

3.

In all complex cases or where there is the potential for misunderstanding, the
prosecutor must set out in writing the aggravating and mitigating factors that
he or she will outline when informing the court of the case in the sentencing
hearing. In all other cases, this approach should be considered and undertaken
if it will be of benefit to the court or the public to understand the case.

4.

It is the duty of the prosecutor to apply for compensation

orders, such as anti-social behaviour orders and confiscation
appropriate cases. When considering which ancillary orders to
prosecutor must always have regard to the victim's needs,
question of their future protection.

and ancillary
orders, in all
apply for, the
including the

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5.

Prosecutors should challenge any assertion made by the defence in

mitigation that is inaccurate, misleading or derogatory. If the defence persists
in the assertion, and it appears relevant to the sentence, the court should be
invited to hear evidence to determine the facts and sentence accordingly.

6.

Prosecutors must comply with the "Attorney General's Guidelines on the

Acceptance of Pleas and the Prosecutor's Role in the Sentencing Exercise"
which set out in greater detail the extent of prosecutors' duties and role in the
sentencing process.

7. Roles in court
8. There are many people involved in the court system. Below is a list of some
of the people you might meet if you are required to attend court:

9. Accused
[Link] person against whom a criminal case is brought. Sometimes referred to
as the defendant.
[Link]
Judge (Supreme
Court)
The person who generally carries out the judicial function of hearing and
determining issues which arise before and after trial in civil cases. Associate
Judges do not hear trials.
[Link]
A legal advocate who is briefed by a solicitor to present the defence or
prosecution case in court.
[Link]
clerk (Magistrates',
Coroners
and
Children's
Court)
Sits near the magistrate or coroner, and announces the cases and calls
people into court. The bench clerk will direct people where to stand, read the
charges out in a criminal proceeding and administer the oath or affirmation to
witnesses.
[Link]
Solicitor
or
Duty
Solicitor
The person who represents the accused in court. If the accused does not
have a solicitor, they may be entitled to representation by a duty solicitor.
[Link]
In criminal cases, this is the police officer who charged the defendant. In
coronial inquests, this is the police officer who investigated on behalf of the
coroner. In some cases, the informant is a council officer or other government
official.
[Link]
The person who hears cases and makes decisions in the County Court and
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Supreme Court. If a judge and a jury hear the case, the judge will be
responsible for directing the jury about the law. If the accused is found guilty,
the judge will impose the sentence.
[Link] Victoria, the State Coroner is also a judge. When you speak to a judge, you
should address them as 'Your Honour'.
[Link]'s
Associate (Supreme,
County
and
Coroners
Courts)
Performs various administrative and court duties to assist the judge. These
duties may include completing paperwork, liaising with parities, keeping a
record of court proceedings, and taking verdicts or findings in coronial
hearings.
[Link]
The person who hears cases and makes decisions in the Magistrates' Court
and Children's Court. They decide what happens to a case, whether a case
will have to go to another court or be put off until another day, whether the
defendant is guilty or not guilty, and any penalty that will be given to the
defendant. Some coroners are also magistrates.
[Link] you speak to a magistrate or coroner, you should address them as
'Your Honour'.
[Link],
complainant
or
applicant
The person who initiates the case in a non-criminal (civil) matter.
[Link]
The person who appears in court to present the case against the defendant in
a criminal hearing. Cases in the Magistrates' Court and Children's Court are
usually prosecuted by a police officer. Cases in the higher courts are usually
prosecuted by the Office of Public Prosecutions.
[Link]
The manager/administrator of the court. It will be a registrar or deputy
registrar (or member of the registry staff) who will assist you at a court
counter.
[Link]
The person against whom a civil case is brought.
[Link] (Supreme
and
County
Courts)
Announces that the court is in session and administers oaths or affirmations
to witnesses. An important duty of the tipstaff is to look after the jury. He or
she escorts jury members into the courtroom and into the jury room, and
deals with any practical matters for the jury.
Prisons, Probation and Parole
What is the difference between probation and parole?
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Probation and parole are both alternatives to incarceration. However, probation

occurs prior to and often instead of jail or prison time, while parole is an early
release from prison. In both probation and parole, the party is supervised and
expected to follow certain rules and guidelines. These guidelines are called
conditions of parole, or probation conditions, and in both circumstances, the party is
expected to submit to warrantless searches, without probable cause.
Probation
Probation refers to a period of time before a person is actually sent to prison or jail.
When defendants receive probation, instead of pronouncing the sentence and
sending them straight to prison or jail, the judge gives them an opportunity to show
that they want to rehabilitate themselves. In this case, either the party is given
probation without a pre-determined sentence, or the judge will find the defendant
guilty, and temporarily suspend the sentence while the defendant is on probation. If
defendants do everything the judge instructs them to do, then they will not be sent
to prison to finish their sentence or given a new sentence based on the probation
violation and initial crime.
Conditions of Probation
Even though the person is not in jail, they may be subject to many of the same
conditions of serving time in jail including curfew rules, requirements to participate
in rehab programs, and monthly or more frequent drug testing by urinalysis. While
on probation, a defendant can be ordered to pay a fine, court costs, restitution, and
any court appointed attorney fees.
The length of time that a person is on probation can range from one year to up to
ten years. Many states will cap the length of time that a person can remain on
probation.
Probation is managed by a probation officer. The probation officer monitors a
defendants progress and file reports with the judge, advising them of any failure to
abide by probation terms or conditions. If the judge is not happy with a defendants
performance, the judge can order a capias to be issued and require a defendant to
be returned to his court for final sentencing. After sentencing, a defendant is
ordered to serve actual time in prison. If the defendant had a suspended prison
term, he is usually sent straight to prison to serve his time.
Parole
Parole refers to the period of time after a defendant is released from prison. A
defendant on parole will face many of the same controls or safeguards as probation.
Conditions of parole may include requiring a defendant to stay in a halfway house
and continuing with payments on fines and other financial obligations.
Instead of a probation officer, a defendant on parole usually reports to a parole
officer. The parole officer explains the rules of parole and expectations of a party on
246

parole to the defendant and monitors his progress. As with a regular probation, if a
defendant fails to comply with his parole conditions, then the parole officer could
file a report with the parole board. The parole board may, based on the defendant's
behavior while on parole, order the defendant returned to prison to finish the
balance of his sentence.
Probation and Parole Differences
The functions of the probation and parole process tend to be very similar. Both are
concerned with a defendant breaking the bad habits or behaviors that caused them
to break the law. Even though both probation and parole have a strong
rehabilitation component, each process has the additional goal of protecting the
community.
Parole has the additional function of trying to reintegrate a defendant into society.
Depending on the nature of a defendants offense, a defendants conditions of
probation or parole can be amended or changed. For example, if a defendant is
convicted of molesting a child, a defendant may be ordered to stay away from parks
and playgrounds where children frequent.
The conditions of both parole and probation must somehow relate to a defendants
rehabilitation or underlying offense. How conditions are set depend on whether a
defendant is on probation or parole. A defendant on probation is usually still subject
to the jurisdiction of the court. This means the judge has the right to amend or
modify a defendants conditions of probation. Any changes usually come in the form
of an order that modifies a defendants conditions.
Parole changes are not usually the result of a court order. Instead, parole conditions
are usually set by the parole board, and they are for all defendants. For example, all
defendants are banned from committing new offenses. Changes in conditions or
procedures related to those conditions do not come from the original judge, but
instead come from the parole officer or parole board. Instead of criminal proceeding,
these changes are referred to as administrative proceedings. This is an important
distinction, because a defendant is afforded more state and constitutional
protections in a criminal case than an administrative hearing.
Consequences of a Parole Violation
If a defendant fails to comply with his parole conditions, he could be brought before
the parole board to decide on appropriate consequences. The Board can revoke a
defendants parole and order the defendant returned to prison to finish his
sentence. The Board can also reinstate a defendant on parole and then allow him to
continue on parole. A defendant doesnt have the option of a jury trial. Unlike
probation, the cap on parole tends to follow the sentence. For example, if a
defendant is sentenced to thirty years in prison, then a defendant can be on and off
parole for up to thirty years.

247

Departments that Handle Parole and Probation

A defendant on probation or parole should maintain a good relationship with his
probation or parole officer. Some states will divide their functions into separate
divisions including the Parole Department and the Probation Department. Other
states will combine the functions into one office. In Louisiana, for example, a
defendant could be on probation, get revoked, go to prison, get released and
potentially have the same person who managed his probation managing his parole.
On the other hand, in the state of Texas, the agencies are split and a defendant will
have one officer while on probation, and report to a completely different officer for
parole.
Protecting Your Rights
Most people are very concerned about having good representation when they are
first facing a criminal charge. This is a valid concern. However, most states provide
several state and constitutional protections to ensure that a defendant receives due
process. Defendants should use as much diligence in procuring good counsel to
assist with parole issues as they did with the initial crime. Part of the reason for this
is that the constitutional procedures and protections tend to be much lower in
parole revocation situations because they are more administrative in nature. When
there are less built in protections, a defendant needs external protections the most.

CHAPTER VIII :Punitive and Reformative Treatment of Criminals

Corporal punishment, Imprisonment and Rehabilitation of criminals.
DILEMA OF CORPORAL PUNISHMENT AND 21st CENTURY Prof. Dr. Mahr
Muhammad Saeed Akhtar
Spare the rod and spoil the child has been a philosophy of child rearing
strongly held by both professionals and laymen. Kennedy (1995) reported that both
parents and teachers use corporal punishment for the purpose of discipline. It has
been reflected from many studies that corporal punishment has been still being
used at home as well as educational institutions. A heavy majority of 83% parents
were reported spanking their children (Cryan, 1987), and 75% of teachers were in
favor to using corporal punishment in classroom if needed (Brown & Payne, 1988).
Corporal punishment is an intentional infliction of physical pain subsequent to
misconduct for the purpose of deferring future misconduct. It involves pinching,
paddling (with or without an instrument), strapping, slapping, pushing, wrestling
holds, ear pulling, cracking fingers with ruler, arm twisting and shaking. Despite
large scale condemnation, it has been practiced in schools of many countries
legally, such as United States, Pakistan, Singapore, United Kingdom, India,
Bangladesh, Australia, and many others (Kennedy, 1995; Essex, 1989; Rose, 1989;
248

Cryan, 1987; Freeman, 1966). Countries like Japan, Canada, France, Israel, Sweden,
Denmark, Norway, Poland, Luxembourg, Holland, Austria, Finland, Belgium,
Philippine, Portugal and all the communist Block have abolished such punishment
long ago (Awender and Plantus, 1983).
Every morning we receive news from the entire world over through both
electronic as well as print media, about the discipline problem in educational
institutions; students are not following the procedures determined by the education/
school authorities. The purpose of this article is to once again bring out this issue in
front of the professionals and invite them to start 21st century with a possible
solution.
HISTORY OF CORPORAL PUNISHMENT:
The history of corporal punishment began hundreds, or even thousands of
years ago, in the times of barbarians and the Greeks and Romans (Neal, 1720). One
of the earliest recorded statements related to the practice of corporal punishment,
according to Fall (1941) is found in the Bible. The words of Solomon were,
"Foolishness is bound up in the heart of a child but the rod of correction shall drive it
far from him" (Fall, 1941). Fall also reported the use of corporal punishment by a
teacher Ezekial Cheever (1614-1708) in school, using a rod on a student because
the student was not getting the lesson competently.
In United States corporal punishment was used when American education
began (Rose, 1989; Alexander, K. and Alexander, M.D., 1985; Manning, 1979;
Bolmeier, 1976; Williams, 1973; Freeman, 1966). Essex (1989) summarized the
other writers and reported in this regard:
The use of corporal punishment in this country as a use of means of disciplining
school children dates back to the colonial period. It has survived the transformation
of primary and secondary education
from the colonials' reliance on optional private arrangements to our present system
of compulsory education and dependence on public schools (Essex, 1989).
PURPOSES OF CORPORAL PUNISHMENT:
With the broad definition that has been offered, there has been a long list of the
purposes to be gained from the use of corporal punishment which surface from the
literature on the subject are to:
a) Compel students to behave in a responsible way.
b) Force students to learn by memory religious prayers or course work materials
etc.
c) Maintain discipline within the classroom.

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d) Stop violation of rules in school.

e) Terminate an unpleasant behavior.
f) Decrease certain behavior by removing a pleasant or reinforcing stimulus.
g) Increase the probability of a response.
h) Use as a technique to ameliorate negative behavior.
e)

Remind the student what not to do.

(Fox, 1993; Demo, 1988; Scott, 1951; Fall, 1941)

THE ORIGIN OF SCHOOL CORPORAL PUNISHMENT:
The schools apparently adapted the use of corporal punishment under the influence
of religious and political practices. Throughout history for the fulfillment of religious
commandments and teaching or mandating of political doctrine IN LOCO PARENTIS
employed to authorize the use of corporal punishment especially with the statutory
provisions of compulsory school attendance for maintaining discipline (Bolmeir,
1976; Hyman, Mc Donwell and Raines, 1973).
DILEMMA OF CORPORAL PUNISHMENT:
For over a century and a half American courts have been important centers
regarding making determinations relative to corporal punishment. A variety of court
decisions can be found in literature and law books. Most of these were decided in
favor of both teachers and schools, and on less frequent occasions they were found
in favor of students and parents. Through the study of these cases and decisions it
was found that an impasse existed in the following cases:
a) Whether corporal punishment can be given or not by law,
b) Under what circumstances corporal punishment can be given,
c) To what extent it becomes positive,
d) To what extent it becomes negative,
e) What type of corporal punishment teachers can give?
f)How much corporal punishment can teacher give legally (how many strokes of the
rods or paddles or slaps),
g) Whether equal punishment is given to a habitual and to a mild mannered student
on a single mistake.
Constitutional theory has not become clear as to whether public schools were
authorized for corporal punishment or other such treatment. Counsel Murphy
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(quoted in Kerrigan, 1971) observed that standards regulating the administration of

corporal punishment were arbitrary, vague and overboard. Lunenburg and Ornstein
(1996) further pointed out the situation of lack of clarity as "although the Supreme
Court has held that the Federal Constitution does not prohibit corporal punishment
in schools. Its use may conflict with state constitutions, state statues, or local school
policies... some states authorize it; others forbid it. Still others are silent on the
matter, but implication allows it". Harris and Field (1977) summarized the overall
situation:
Consideration of these cases was hampered by the fact that no nuclear national
decision on this issue existed in case laws. Until 1975 the legal frame work of the
issue consisted of a list of questions that had gone unanswered through the Hodgepodge of conflicting state law and lower court decisions dating back over 100 years
(Harris and Field, 1977).
Being a sensitive issue, corporal punishment has gotten the full attention of the
scholars, teachers, diplomats, parents, administrators, researchers and the
government officials. Much research has been conducted in the field of corporal
punishment over the past four-or-five decades of this century. The writer reviewed
the research and identified the main points in favor and against the use of corporal
punishment.
The use of corporal punishment in schools is a major pedagogical, legal, and
emotional issue. Questions about the usefulness and constitutionality of this
approach have become the focus of discussion and litigation at local, state and
national level (McNamara, 1981; Hess, 1985). In recent years, the use of corporal
punishment in schools has been a widespread concern. Being a sensitive issue it got
much attention, and a lot of research was conducted in various parts of the world.
Corporal punishment was advocated and condemned. It has been the cause of
numerous controversies based on ethics, morality, legality, and efficacy of its use,
as a means of disciplining school children. (Hess, 1985; Maurer, 1982; Elrod, 1983;
Raichle, 1977-78; Owens and Straus, 1975)
Despite being a highly controversial issue, corporal punishment is practiced in most
states of the United States and many other countries such as United Kingdom,
Singapore, Japan, Saudi Arabia, Pakistan, Canada, Australia, India, Bangladesh,
Germany. The studies reveal that there are many persons both in favor of and
against corporal punishment. The Deskbook Encyclopedia of American school law
(1989) indicates that: most states in America have allowed the use of reasonable
physical force to correct unacceptable behavior and to maintain the order necessary
to conduct an educational program, however, some states prohibited corporal
punishment, where state law permitted. Richardson and Evans (1994) noted that
corporal punishment, was legal in schools in twenty-three states and illegal in
twenty-seven states, but even with these legal restrictions the actual position about
the practice was not clear. Some other states banned corporal punishment after
1994; for example Michigan State banned it in 1996.
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PROPONENTS OF CORPORAL PUNISHMENT:

Proponents of corporal punishment have promoted the concept that corporal
punishment is useful when given carefully. Moreover they have indicated that it has:
a) Provided rapid reduction or elimination of misbehavior,
b) Facilitated learning,
c) Taught respect for rule and authority,
d) Deterred similar misbehavior,
e) Helped in building character.
Corporal punishment views in USA
In the United States, many have accepted that decisions of the Supreme Court as a
disciplinary procedure and not a violation of ones constitutional rights support
corporal punishment. Furthermore, many others have promoted the concept that
the Eighth Amendment's ban on cruel and unusual punishment did not apply to
corporal punishment in public schools (Richards and Evans, 1994; Lunenburg and
Ornstein, 1996). In 1845, the Massachusetts Teachers Federation offered support for
teachers who enforced the "wholesome restraints of the rod when necessary". The
Federation, in its opening meeting, supported schoolroom corporal punishment for
the overall purpose of school reform (Student Rights Litigation Packet, 1972).
Proponents have argued that corporal punishment has an immediate and
measurable impact. They have contended that the practice had generated shortterm change in behavior and deterred criminal activity (Reinholz, 1977; Hess, 1985).
It was revealed from the study of Rose (1989) that use of corporal punishment,
(spanking with paddle and spanking with hands) gave very positive results in
stopping student from fighting and misbehaving. Further, she found that principals
also considered corporal punishment useful. They observed that it helped them to
decrease and occasionally abolish the fighting problems in their schools. Similarly, it
helped with a wide range of disobedience.
Many other researches have revealed
that corporal punishment has been effective in decreasing harassment, race,
sexual, and emotional problems (Agnew, 1983; Welsh, 1978; Essex, 1989).
In the United States common law did not protect students against all corporal
punishment, the administration of which was governed in many jurisdictions by
state statues or school board regulations except in few states (Remmlein and Ware,
1970). United States courts have allowed the use of corporal punishment. Many
parents have also supported the use of corporal punishment but have suggested
that it be administered carefully. In the court case of State V. Pendrgrass a useful
citation was given which stated: corporal punishment must be administered without
malice, be reasonable in light of the age, sex, size, and physical strength of the
child; be proportional to the gravity of the offence, and be performed to enforce
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reasonable rules, not producing degradation and psychological reaction (Kerrigan,

1971).
Essex (1989) enlarged upon rules to govern administration and identified the items
to be considered in administering corporal punishment which might reduce the risk
of lawsuits or criminal charges. He suggested such items as under:
1. When the corporal punishment is administered for offenses that, clearly does not
warrant physical force.
2. When students are not informed in advance that certain infraction would result in
corporal punishment.
3. When age, sex, size and physical conditions of the child are totally ignored.
4. Failure in use of a reasonable instrument.
5. without providing minimal due process for the child prior to administering
corporal punishment.
6. When they fail to have a witness present during the administration of corporal
punishment.
7. When corporal punishment is administered with malice or anger.
8. When it is used with excessive force or excessive poor judgement is used.
9. When they insist that corporal punishment is the only option and administer
punishment over a students or parents objection.
10. When state of local policy is not followed.
In summary, the proponents of corporal punishment appear to support the use of
corporal punishment when it was deemed necessary, but that it be administered
carefully.
OPPONENTS OF CORPORAL PUNISHMENT:
Opponents of the use of corporal punishment considered the practice an out dated
form of discipline. Americans of the eighteenth and nineteenth centuries used the
approach literally to beat the devil" out of children. This medieval basis of corporal
punishment had been contrasted with other approaches to discipline governed by
sweet reasonableness and "the love of its scholars" (Hyman, McDowell and Raines,
1977).
Over the period of time, some studies have been conducted in the psychological
area related to corporal punishment. Owens, Straus and others (1979) argued that
face to face application of physical force generated a profound, negative impact on
the attitude of young people. Some studies (quoted in Hess, 1985) produced the
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impact of this practice on the psychology and behavior of children. It revealed the
connection between physical punishment and the disruption of the learning process.
Some of these efforts focused on the incidence of truancy, tardiness, and dropping
out of school in selected districts where corporal punishment was practiced (Hess,
1985). The group End Violence against Next Generation (EVANG) opposed corporal
punishment by noting the negative impact on the younger generation (Essex,
1989). Hess (1985) reported that studies of Bongiovanni and Reinholz, focusing
practical impact of the use of corporal punishment, suggested opposition by
considering that it did not really affect student behavior. Much of their research
work indicated that no durable changes in student behavior resulted from physical
discipline. Also opposing corporal punishment Straus and Donnelly (1993)
commented that it was just authoritarianism and created negative attitude among
children. A professional group of researchers, on the evidence of their research
work, considered that corporal punishment was harmful, and it was associated with
an increase and probability of violence and other crimes (Kandel, 1991; Straus,
1991), depression (Straus, 1993), and alienation and lowered achievement (Straus
and Gimpel, 1992), likely seems to interfere with the development of independence
and to humiliate, and antagonize and infantile children (Iroquoian, 1950, 1959;
Kohlberg, 1969; Piaget, 1965).
Scharfenberg in (1996) opposed corporal punishment and stated that it was clearly
pointed out by the findings of researches that corporal punishment did more harms
than good. He also suggested that students, who were hit, experienced lower selfesteem and fear of the one who struck them. He stated that good teachers never
wanted their students to fear them.
Studies conducted in the early years of the second half of this century, indicated the
following undesirable effects of corporal punishment:
(a)Children may avoid or withdraw from the punishing situation whenever possible
(Azrin, Hake, Holz and Hutchinson, 1965; Bongiovanni and Hyman, 1978).
(b) Children may imitate adults' act of punishment (Bandura, 1965).
(c)Children may continue the behavior for what they were punished, which then
may be imitated by other students when the teacher is not present (Bandura,
1965).
(d)Children may be at greater risk for subsequent adjudication and delinquency
(Agnew, 1983).
(e)Children's self-concept and subsequent social interaction may be damaged
(Bryan and Freed, 1982).
(f)Children's behavior improvement may not generalize to different settings
(Birnbrauer, 1968; Bongiovanni, 1979; Johnston, 1972: Risley, 1968).

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(g)Children's aggressive reaction may increase, increasing both operant aggression

(i.e., attacks against the source of the punishment)(Delgado, 1963) and elicited
aggression (i.e., attacks directed toward other people or property in the
environment). (Azrin, Hake, and Hutchinson, 1965; Azrin, Hutchinson, and Sallery,
1964). Silverman (1958) pointed out that corporal punishment had deleterious
effects on children. He suggested that it disrupted the learning process by
repressing the natural tendency of children to explore.
Nash (1963) considered the use of corporal punishment very seriously. He indicated
that it might inhibit the development of self-criticism and self-direction in the child.
He stated that corporal punishment drove students to concentrate their energies on
conflict with the teacher instead of encouraging them to adjust to their classroom
situation. The famous psychologist Piaget (1965), Iroquoian (1950 & 1959), and
Kohlberg (1969) considered strongly that corporal punishment impeded the process
of moral development, identity formation and independent attainment. Estes and
Skinner (1963) thought that corporal punishment in the public schools was
producing harmful results, and was ineffective and useless in controlling behavior.
The National Education Association (1972) concluded, after the completion of the
study project on corporal punishment that the practicing of corporal punishment
was ineffective and did not give the required results for the purpose of behavior
problems control. According to Kerrigan (1971) the use of corporal punishment was
brutality and it undermined human dignity. He stated that students were placed at
the mercy of teachers who had the power to beat them without explanation or
justification and should therefore always be considered unreasonably. Richardson
and Evans (1995) reported that there were numerous national organizations that
opposed the use of corporal punishment. The list included: The Council of
Exceptional Children, The American Medical Association, The American Academy of
Pediatrics, The American Association for Counseling and Development, The National
Association of the Advancement of Colored People, The National Congress of Parents
and Teachers, and The American Humanist Association.
Fall, as early as 1941, was very optimistic and stated that:
I am safe in saying that it (corporal punishment) never occurs in the junior and
senior high schools and very infrequently in the elementary schools. We hold to the
general theory that the school should be able to solve its discipline problems
without the use of corporal punishment (Fall, 1941).
Summary
In summary, corporal punishment is educationally unsound and fundamentally
wrong and time has come to discard the despotism of the hickory stick and to stop
the beating as majority of the people considers corporal punishment harmful.
There are opponents and proponents of corporal punishment. At the same time this
is a fact that in almost every school there is a discipline problem. The teachers are
devoting a big share of their time to manage teaching class. School administrators
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(Assistant Principals and Principals) spend a lot of their time to keep students on the
right track. It is a challenge for the professionals for the 21st century.
McFadden (1987), in this regard, reported useful alternatives by The National
Education Association, Canada:
All above are short-range solutions
1)
Quiet places (corners, small rooms, and retreats) where a disruptive student
can regain his/her composure.
2)

Student teacher agreement on immediate alternatives.

3)
Teaming of adults to talk privately with disruptive students until stability
returns.
4)
Provision of alternative experiences (independent projects, work-study) for
students, who are bored, turned off, or otherwise unreceptive to a particular area or
experience.
5)
Class discussion/ participation on the need for, and consequences of, good
and bad behavior.
6)

Privileges to bestow or to withdraw.

Intermediate range solutions include:

1)
Student involvement in the decision making process of the school, and in
curriculum revision and experience.
2)

Alternative program for students.

3)

Work-study programs for students.

4)

Alternative education, including early college education.

Finally long range solutions include:

1)
Staff helps from local mental health and human relations agencies for
counseling.
2)
Relocation of some education experiences, with class in business, industry,
and social agencies.
3)
Intensive training and retraining of teachers in constructive discipline
procedures.
These methods look sound and might be helpful to improve the school environment.
To avoid corporal punishment, it is necessary to regard education as a top priority.
We should work for education like we worked for nuclear technology. We have the
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ability to land on the surface of the moon and do many more technological wonders.
Therefore, I would suggest the following:
1)
To conduct extensive research into the study of human nature, attitude,
behavior, aptitude,
Priorities of the society in terms of education and living
style, as they are very much inter-Linked.
2)
To provide positive incentives so that we can manage behavioral problems in
the classroom. For this purpose, the following will be helpful:
a)
The classroom should be rich with a variety of attractive curriculum related
materials. There should be plenty of fresh, value based, literature available for
students. Teachers should keep the student busy. All students should have access to
a computer under appropriate supervision. Working as a Principal, I rarely received
complaints about students due to discipline problem from the classrooms where
teachers kept the student busy, and involved the students in classroom affairs.
b)
Providing positive activities, like sports, debating competitions, writing clubs,
science club can reduce the problems, and festival organizations under close
supervision.
c)
Teacher training institutions should increase courses on human psychology,
and teachers should be given extensive training in dealing with children in a
humanitarian way. Furthermore, administration and teacher training programs
should be more research oriented in regards to classroom management and human
psychology.
I look forward to professionals accepting the challenge for this very important issue
in the 21st century.
Reforming Pakistans Prison System
A corrupt and dysfunctional prison system has contributed to and is a
manifestation of the breakdown of the rule of law in Pakistan. Heavily
overpopulated, understaffed and poorly managed, the prisons have become a fertile
breeding ground for criminality and militancy, with prisoners more likely to return to
crime than to abandon it. The system must be examined in the context of a
deteriorating criminal justice sector that fails to prevent or prosecute crime, and
protects the powerful while victimizing the underprivileged. Yet, while domestic and
international actors alike are devoting more resources to improve policing and
prosecution, prisons continue to be largely neglected. The Pakistan Peoples Party
(PPP)-led government at the centre and the four provincial governments, as well as
the countrys international partners, should make penal reform a central component
of a criminal justice reform agenda.
Pakistan lacks a systematic program for the capacity building of prison staff, while
existing regulations on postings, transfers and promotions are frequently breached
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because of nepotism and political interference. Given weak accountability

mechanisms for warders and prison superintendents, torture and other brutal
treatment are rampant and rarely checked. Moreover, with out-dated laws and
procedures, bad practices and poor oversight, the criminal justice system is
characterized by long detentions without trial. As a result, prisons remain massively
overcrowded, with nearly 33,000 more prisoners than the authorized capacity. The
large majority of the total prison population around 50,000 out of 78,000 are
remand prisoners awaiting or on trial. With more than two dozen capital offences,
including many discriminatory provisions that carry a mandatory death penalty, the
death-row population is the largest in the world, though the current government has
placed an informal moratorium on executions.
Circumventing the justice system, the military has detained thousands of people,
ostensibly suspected of terrorism but including thousands of political dissidents and
others opposed to the militarys policies, especially in Baluchistan, Khyber
Pakhtunkhwa (KPK) and the Federally Administered Tribal Areas (FATA). Its methods
include torture, collective justice and extrajudicial killings. By swelling public
resentment, such practices are more likely to create terrorists than counter them.
Instead of establishing parallel, unaccountable and illegal structures, countering
militancy requires the reform of a dysfunctional criminal justice system. The
separation of low-level offenders and suspects, particularly impressionable youth,
from the criminal hardcore is particularly urgent.
In violation of the Juvenile Justice System Ordinance (JJSO), children continue to be
arrested for petty offences and illegally detained for days and even months; in the
absence of adequate facilities, their exposure to hardened criminals, including
jihadis, makes them more likely to embrace crime, including militancy, after they
are released than before they were imprisoned.
Yet, with jails overflowing, it is nearly impossible to isolate hardened criminals,
including militants, from remand prisoners, juveniles and low-level or first-time
offenders. Provincial governments are trying to reduce overcrowding by
constructing more prisons and barracks. This strategy is not sustainable. The
problem is not simply one of inadequate infrastructure. The prison population will
continue to increase so long as bail rights are rarely granted, and accused persons
are seldom brought to court on their trial dates. Recent legislation under the current
government that makes it easier to obtain bail is a step in the right direction, but
only if consistently applied by the courts.
There is, however, an acute shortage of probation and parole officers and no
systematic programs to rehabilitate released prisoners. In addition to improving
police and judicial functioning, the national and provincial governments should
invest in establishing an effective probation regime; creating alternatives to
imprisonment for petty crimes, such as fines, community service, community
confinement and mental health and drug treatment; and providing free legal aid to
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those who cannot afford it, including by fully resourcing public defenders offices.
Strong action should also be taken against police and prison officials for often failing
to get prisoners to court on their trial dates, or often only doing so after bribes have
been paid.
Like the police and courts, the prison system is a major contact point between
citizen and state, reflecting the publics access to justice. Major reforms are
necessary to restore public confidence in the governments ability to enforce the
rule of law while protecting the rights of all citizens. Having ratified the International
Covenant on Civil and Political Rights (ICCPR) and the UN Convention Against
Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment (UNCAT) in
June 2010, the government should allocate the necessary human and financial
resources and meet its obligations under these international treaties, so as to
ensure that torture and other ill-treatment of detainees are stopped and that
officials and institutions responsible for such practices are held accountable. If
Pakistans prison system remains brutal, opaque and unaccountable, it will continue
to aggravate rather than help resolve the countrys major internal security
challenges.
RECOMMENDATIONS
To the Federal Government of Pakistan and Provincial Governments:
1. Repeal the Actions (in Aid of Civil Power) Regulation 2011 for the Federally
Administered Tribal Areas and Provincially Administered Tribal Areas, and replace
the Frontier Crimes Regulations (FCR) 1901, with an updated Penal Code, Criminal
Procedure Code and Evidence Act, in accordance with Article 8 of the constitution
and internationally accepted human rights standards.
2. Commit to the abolition of torture and other ill-treatment of detainees in all
places of detention, and with the necessary financial and human resources take
tangible steps to implement international conventions that Pakistan has ratified,
including the International Covenant on Civil and Political Rights (ICCPR) and the UN
Convention Against Torture and Other Cruel, Inhuman or Degrading Treatment or
Punishment (UNCAT).
3. Address overcrowding in prisons by:
a) enforcing existing bail laws, and urging the high judiciary to hold trial court
judges accountable for failing to grant bail according to the law;
b) passing a new law requiring judges to allow bail unless there are reasonable
grounds to believe the prisoner would abscond or commit further offences; and

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c) reforming the sentencing structure for non-violent petty crimes and first-time
offenders to include alternatives to imprisonment, such as fines, probation,
community service and psychological and drug treatment.
4. Implement the federal Public Defender and Legal Aid Office Act and pass and
implement provincial equivalents without delay; and fund and support NGOs
providing free legal aid to prisoners until such offices are established.
5. Improve the quality of prison staff by:
a) Making the inspectorate of prisons an autonomous organization instead of an
attached department of the provincial home ministry;
b) Raising salaries, and linking salaries and privileges to those of the police;
c) Ensuring recruitment on merit and streamlining promotion mechanisms to allow
the most deserving to be rewarded with career advancement opportunities;
d) Building a training institution in each of the four provinces; and
e) Improving the quality of instruction provided to prison staff through the
introduction of modern curricula, based on international standards.
6. Crack down on criminality and improve prison security by:
a) Taking action against prison officials for failing to enforce security-related
regulations;
b) Preventing access to mobile phones; taking steps to reduce substance abuse and
other criminal activity within prisons; and taking action against prison staff
responsible for providing prohibited material to inmates;
c) Training prison staff to more effectively quell riots and repel attacks by prisoners
and providing the staff with adequate equipment; and
d) Installing jamming devices and CCTVs in all major prisons.
7. Improve conditions for prisoners and ensure that they are consistent with legal
requirements by:
a) constituting criminal justice coordination committees at the national, provincial
and district levels, as mandated by Police Order (2002), and authorizing them to
regularly visit prisons to examine conditions, determine prison administrators
adherence to law and raise prison-related issues with responsible government
officials and policymakers;
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b) Constituting public safety commissions at the national, provincial and district

levels, as mandated by Police Order (2002), and extending their authority to hold
prison officials accountable for failure to uphold prisoners rights and to maintain
required standards in prison administration;
c) Ending the practice of putting condemned prisoners in death row cells while their
appeals are still pending, shifting them instead to general barracks;
d) Investing in better medical care for inmates by allocating more resources and
engaging with philanthropists and NGOs to provide better facilities;
e) Building separate detention facilities for women prisoners and ending the
practice of housing them in separate barracks within male prisons;
f) Eliminating the practice of keeping juveniles in regular prisons, including by
establishing functional borstal institutions in each province; and
g) Amending the Anti-Terrorism Act (ATA), 1997, to require juveniles charged under it
to be tried in juvenile courts.
8. Take steps toward the reintegration and rehabilitation of released prisoners by:
a) Investing in education services and vocational training for inmates, particularly
youth and women, to inculcate skills needed to re-enter the workforce;
b) improving the functioning of probation and reclamation departments by
developing specialized training and curriculums for probation officers and prison
staff in the National Academy for Prisons Administration (NAPA), the Punjab Prisons
Staff Training Institute and other training institutes;
c) directing each provincial home ministry to assess the number of probation and
parole officers required by existing and expected caseloads and to increase their
numbers accordingly, while providing them with proper offices and adequate
facilities, including transport; and
d) Engaging with probationers family members and encouraging community
involvement in their rehabilitation and reintegration.
9. End military-devised de-radicalization programs, developing instead a holistic
policy aimed at preventing jihadi recruitment, including separating juveniles and
other minor and first-time offenders from the adult prison population; making bail
the norm rather than the exception; and establishing an effective probation and
rehabilitation regime along the lines suggested above.
To the International Community, in particular the U.S.:
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10. Support the governments reform agenda, allocating a substantial portion of

civilian law enforcement assistance to prison reform, with a focus on:
a) Improving training programs for prison staff based on revised curriculums that
bring existing prison procedures in line with international standards;
b) Supporting the computerization of prison and probation records;
c) Working with training institutes to improve training for probation personnel and
with reclamation officials/departments to rehabilitate and reintegrate released
prisoners into society and the workforce; and
d) Supporting NGOs that provide legal aid, education, and vocational training to
prisoners, particularly juveniles.
11. Urge the Pakistan military to provide international and domestic humanitarian
agencies, including the International Committee of the Red Cross (ICRC), complete
access to the estimated thousands of detainees, including juveniles, under its
custody, including that of its intelligence agencies, in Baluchistan, Khyber
Pakhtunkhwa and FATA.
12. Condition military assistance on the Pakistani military immediately ending
practices that violate international conventions and basic international legal
standards, including illegal detention, collective justice, torture, and extrajudicial
killings; and scrutinize the militarys actions when reporting on Pakistans
compliance with the ICCPR, UNCAT and other treaties.
EFFECTIVE MEASURES TO IMPROVE OFFENDER TREATMENTPROGRAMMES
AND INTERVENTIONS THROUGH COMMUNITY INVOLVEMENT
II. SUMMARY OF THE DISCUSSIONS
A. Effective Measures to Rehabilitate Offenders
At the beginning, the Group made a request for each member to explain the
actual situations in their countries in regard to the most serious crimes offenders
commit and the treatment of such offenders. (It was confirmed by all members that
the word treatment includes rehabilitation, supervision of offenders, approaches
to shorten the duration of detention for unconvicted persons, and bail.)
Regarding the most serious crimes, each participant referred to their own countrys
serious crimes, such as, robbery, kidnapping, terrorism, street crimes, women
trafficking, poaching, rape, incest, armed holdups, corruption, fraud, recidivated
theft, drug offences, crimes committed by women or elderly ersons, etc.
(Note: Not listed in order of gravity.) About this subtopic, the Group shared some
valuable [Link]
the
rehabilitation
of
offenders,
many
participants stated that they are facing many difficult problems because of
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their different social conditions, legal matters and governmental funding, etc.
Each member shared his or her valuable experiences about rehabilitation
programmes (e.g. cognitive behavioural treatment or other treatments for
classified offenders, religious services, child care, vocational training, etc.).
Many countries wish to implement these programmes but they are expensive and
priority has to be given to other demands. Some countries are concentrating
on matters such as pardon, amnesty and gun control to both prevent crime
and to hasten the return of offenders to their communities. However, it is
still important to ensure that some rehabilitation should take place before
offenders are released to their communities.
B. Institutional Treatment of Offenders
The Group discussed possible solutions to the problems in the institutional
treatment of offenders. A fear and negative public [Link] therefore
felt that private companies, non-governmental and faith-based organizations
and individuals can play a good role in offender treatment and called for an opendoor policy to incorporate them.
Another participant stated that the private sector can contribute in key areas that
require high skills (programme planning, legal consultation), or do not require
expertise (maintenance, patrolling), and the government can encourage the private
sector by giving it professional, financial or other (such as selfrealization) merits,
sharing information and cooperating in a sound relationship with them.
More private finance and public funds can be sourced to build rehabilitation centres,
designed for institutional treatment, like Mine Rehabilitation Programme Centre in
Japan.
Another participant stated that charitable associations such as the Lions Club or the
Rotary Club should be invited to offer assistance in both in-care and out-care
programmes for offender treatment. It was also noted that multinational
corporations can be encouraged to build facilities as part of their corporate social
responsibility programmes to enhance offender treatment.
The group also noted that the family has a great role to play in facilitating offender
treatment, resettling offenders and curbing [Link] participant pointed out
that the paralegal system in Uganda (mentioned in the paper of Visiting Expert, Ms.
Chemonges) is a good example of how foreign aid can be harnessed to support
treatment of offenders, by offering free legal advice.
Some members were also of the view that volunteers play useful supportive roles in
offender treatment and that a wide range of retired professionals, like doctors,
nurses, social workers, teachers etc. can provide services, at little or no cost. To
encourage private organizations and individuals to assist, a strong partnership will
have to be developed with the community. The SCORES (Singapore
Corporation of Rehabilitative Enterprises) project in Singapore (mentioned in the
paper of Visiting Expert, Mr. Chin) is a clear example.
Another participant also suggested the importance of proper criminogenic
assessment of offenders needs, to stimulate participation of private companies,
organizations and individuals. The Strategic Action Plan to deliver these special
intervention programmes (e.g. sex offenders programmes) should be drawn,
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updated, reviewed and evaluated, with input from both the government and active
organizations, to build trust and cooperation.
C. Community-Based Treatment of Offenders
The first question addressed by participants is: Why the need for community
involvement in offender treatment?.
The consensus reached is that even the best in-care, without community support,
will only continue to increase recidivism.
This point is well illustrated by the two halfway houses we visited during our Study
Tour: it is clear that care-providers still face frustration from some sections of the
[Link] starting point, we all agree, has to be an open-door policy that will
educate and attract the community to give more support. The criminal justice
agencies should train their officers to engage with the community, and also develop
guidelines and policies so that all stakeholders know what is expected of them. (This
viewpoint was referred to by Visiting Expert, Dr. Kittipong.) There is the need to
establish a correctional advisory council to coordinate activities of stakeholders
within and outside the criminal justice system to improve offenders rehabilitation.
Participants feel that it is necessary to engage the participation of organizations,
clubs and societies with
interest in offenders to use their expertise and resources to complement
institutional treatment of offenders. Halfway houses and community skill acquisition
centres can be built and managed by these bodies. The Nigerian participant stated
that after-care support services where tools are provided to support discharged
offenders can also be provided by other community associations. Job placement and
accommodation are critical for efficient treatment and this can be provided by
cooperative employers and halfway houses. Mentoring, counseling and rolemodeling from notable members of the community and celebrities can do a lot at
lower or no cost. The participants feel that the government can experiment with
out-sourcing rehabilitative work previously exercised by state agencies, especially in
the areas of job placement, accommodations and other interventions.
The Papua New Guinean participant suggested that victim-and-offender
reconciliation is necessary to reduce social exclusion and encourage resettlement
of ex-offenders back to their homeland.
D. Measures to Enhance Community Involvement
All participants agreed that in some developing countries that have no
alternatives to imprisonment, existing legislation should be reviewed and new
legislation enacted. One participant from Japan suggested that in order to enhance
the involvement of the private sector, various methods of cooperation should be
used, such as the trial employment and guarantee system (subsidies for three
month payment and cover for accident by insurance).
Participants shared the view that intensive media and public enlightenment
campaigns should be implemented, like Singapores Yellow Ribbon Project and the
Japanese Movement for a Brighter Society, Thailands media and diplomats open
day visit to prisons, and the U.K.s National Offenders management Programmes.
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These programmes have been proved to be effective in garnering community

support in heir respective countries. In relation to this, one participant from Japan
stated that the media need to be well informed about the processes involved in
offender treatment to avoid undue sensationalism in reporting events that relate to
penal institutions.
All participants agreed that Community Volunteers Associations should be formed
for effective coordination and public participation. Community engagement
activities should be developed to stimulate public interest, while respected
community leaders and volunteers should be identified to support treatment
programmes as practiced in Japan (VPOs, Womens Association for Rehabilitation
Aid, BBS). Ex-offenders who have changed and are contributing positively to society
could be involved as role-models.
It was the view of participants that trust funds should be established to mobilize
public and private funds to support offender treatment, like the U.K. credit union
established to give start up loans to ex-offenders. All participants agreed that
continuous community outreach should be reviewed to raise social awareness and
acceptance of offenders in society. In doing so, stated some participants from
Japan, the government should educate young people, such as high school
students, about treatment of offenders, as well as introduce some kind of
collaborative court which involves people in the sentencing procedure with judges,
so that the public will gradually become aware of the treatment of offenders.
One participant from Japan stated that collaboration on human resources should be
achieved between the courts and the community and therefore finding cooperative
enterprises needs to be focused on people who have experienced the courts
sentencing procedure. Additionally, some participants stated that HIV infection
raises serious problems in offender treatment and that the government and NGOs
can support HIV infected inmates and help to reduce the stigma attached to their
diagnosis.
III. CONCLUSIONS AND RECOMMENDATIONS
A. Conclusions
After the discussions ended, the following conclusions were agreed among all
participants:
1. From the lectures given by Visiting Experts, international evidence has clearly
established that offender treatment programmes are improved and more effective
when appropriate cultural input is allowed. Therefore all programmes adopted must
be adapted to the cultural and socio-economic situations of each country.
ll participants noted that the hesitance of institutional agencies to adopt open-door
policies is borne of
2. Categories of serious crimes vary in each country. This depends on each
countrys social conditions, legal matters and other realities. The levels of
treatment of offenders are also varied from one place to the other. Most
developing countries are still faced with challenges that limit standards and
rehabilitative assistance to offenders.

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3. The importance of offender rehabilitation needs to be emphasized throughout

criminal justice procedure.
4. The role of an offenders family is important and needs to be included as
early as possible in the criminal justice process.
5.
Private organizations and individuals can play more important roles in
institutional and community based offender treatment. Private enterprises can
provide many services effectively or at low cost. The huge resources derived from
charitable organizations, voluntary associations, NGOs, community-based
organizations, including multi-national corporations, e.g. the Toyota Programme in
the U.K., should be harnessed to assist in offender treatment and management.
6. Thorough needs assessment is important to guide community participation in
offender treatment.
7. Public relations campaigns, incentives and awards are veritable motivational
tools that can encourage community participation in offender treatment.
8. Victim-and-offender reconciliation is necessity to enhance integration of offender
into society.
9. Ex-offenders face difficulties in finding jobs and resettling after their prison terms
due to stigmatization, social exclusion, and rejection. Aftercare services for exprisoners are therefore critical to help with reintegration.
10. Other obstacles that impede community involvement are: fear, stigmatization,
lack of understanding, indifference to offenders, sensational reporting by the media,
lack of regulations or legislation, poor funding and inadequate resources.
B. Recommendations
At the end of the discussions the Group reached a consensus on the following
recommendations:
1. Institutional Treatment Stage
1. To re-orientate the mindsets of the prison staff and offenders to allow all the
community to partner with them, spatially in the developing countries.
2. To ensure the thorough assessment of the needs of the offenders to guide the
involvement of the community.
3. To promote the vocational training for the prisoners to increase their
employability, including self employment.
4. To recommend an open-door policy for correctional institutions to enhance
community involvement.
2. Community-Based Treatment Stage
1. To promote victim and offender reconciliation.

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2. To promote government and community partnership in offender aftercare

services.
3. To recommend the government to support the community at local level by
providing funding to NGOs or CBOs, especially on the treatment of juvenile
offenders.
4. To recommend organizations such as the U.N. to promote voluntary association
targeted at offender treatment.
5. To recommend communities to harness resources to establish and manage
community based rehabilitation centres such as halfway houses and skill acquisition
centres
3. All Stages of Criminal Justice Procedure
1. To promote public relation activities to raise public awareness.
2. To gamer media support in public relation activities.
3. To seek support for offenders families and offenders from relevant organization.
4. To revise legislation and regulations to allow for community involvement.
5. To encourage charitable associations, NGOs and multi-national corporations to be
involved in offender treatment.
6. To give incentive to organizations and employ ex-prisoners.
7. To educate young people about the harmful effects of crime and offer them
second choice.
8. To introduce collaborative court proceedings which involve lay people in
sentencing.
9. To involve community n the planning and delivery of offender treatment to
encourage ownership of the programmes.
10. To promote collaboration on human resources between the courts and the
community
11. To recommend the government and NGOs to support HIV infected inmates in an
effort to reduce stigmatization.

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Section-III (25 Marks)

CHAPTR

IX: Criminal Investigation

Principles of criminal investigation

Initial Response/Receipt of Information Principle:
One of the most important aspects of securing the crime scene is to preserve the
scene with minimal contamination and disturbance of physical evidence. The initial
response to an incident shall be expeditious and methodical. Upon arrival, the
officer(s) shall assess the scene and treat the incident as a crime scene.
Policy:
The initial responding officer(s) shall promptly, yet cautiously, approach and enter
crime scenes, remaining observant of any persons, vehicles, events, potential
evidence, and environmental conditions.
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Procedure:
The initial responding officer(s) should:
a. Note or log dispatch information (e.g., address/location, time, date, type of call,
parties involved).
b. Be aware of any persons or vehicles leaving the crime scene.
c. Approach the scene cautiously, scan the entire area to thoroughly assess the
scene, and note any possible secondary crime scenes. Be aware of any persons and
vehicles in the vicinity that may be related to the crime.
d. Make initial observations (look, listen, smell) to assess the scene and ensure
officer safety before proceeding.
e. Remain alert and attentive. Assume the crime is ongoing until determined to be
otherwise.
f. Treat the location as a crime scene until assessed and determined to be
otherwise.
Arriving at the Scene: Initial Response/ Prioritization of Efforts A 12 1. Initial
Response/Receipt of Information
Summary:
It is important for the initial responding officer(s) to be observant when
approaching, entering, and exiting a crime scene.
2. Safety Procedures
Principle: The safety and physical well-being of officers and other individuals, in and
around the crime scene, are the initial responding officer(s) first priority.

Policy:
The initial responding officer(s) arriving at the scene shall identify and control any
dangerous situations or persons.
Procedure:
The initial responding officer(s) should:
a. Ensure that there is no immediate threat to other responders scan area for
sights, sounds, and smells that may present danger to personnel (e.g., hazardous
materials such as gasoline, natural gas). If the situation involves a clandestine drug

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laboratory, biological weapons , or radiological or chemical threats the appropriate

personnel/agency should be contacted prior to entering the scene.
b. Approach the scene in a manner designed to reduce risk of harm to officer(s)
while maximizing the safety of victims, witnesses, and others in the area.
c. Survey the scene for dangerous persons and control the situation. d. Notify
supervisory personnel and call for assistance/backup. Summary: The control of
physical threats will ensure the safety of officers and others present. 13 3.
Emergency Care Principle: After controlling any dangerous situations or persons, the
initial responding officer(s) next responsibility is to ensure that medical attention is
provided to injured persons while minimizing contamination of the scene.
Policy:
The initial responding officer(s) shall ensure that medical attention is provided with
minimal contamination of the scene. Procedure: The initial responding officer(s)
should:
a. Assess the victim(s) for signs of life and medical needs and provide immediate
medical attention.
b. Call for medical personnel.
c. Guide medical personnel to the victim to minimize contamination/alteration of the
crime scene.
d. Point out potential physical evidence to medical personnel, instruct them to
minimize contact with such evidence (e.g., ensure that medical personnel preserve
all clothing and personal effects without cutting through bullet holes, knife tears),
and document movement of persons or items by medical personnel.
e. Instruct medical personnel not to clean up the scene and to avoid removal or
alteration of items originating from the scene.
f. If medical personnel arrived first, obtain the name, unit, and telephone number of
attending personnel, and the name and location of the medical facility where the
victim is to be taken.
g. If there is a chance the victim may die, attempt to obtain dying declaration.
h. Document any statements/comments made by victims, suspects, or witnesses at
the scene.. Emergency Care
I. If the victim or suspect is transported to a medical facility, send law enforcement
official with the victim or suspect to document any comments made and preserve
evidence. (If no officers are available to accompany the victim/suspect, stay at the
scene and request medical personnel to preserve evidence and document any
comments made by the victim or suspect.)
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Summary:
Assisting, guiding, and instructing medical personnel during the care and removal of
injured persons will diminish the risk of contamination and loss of evidence.
Secure and Control Persons at the Scene Principle: Controlling, identifying, and
removing persons at the crime scene and limiting the number of persons who enter
the crime scene and the movement of such persons is an important function of the
initial responding officer(s) in protecting the crime scene.
Policy:
The initial responding officer(s) shall identify persons at the crime scene and
control their movement. Procedure: The initial responding officer(s) should:
a. Control all individuals at the sceneprevent individuals from altering/destroying
physical evidence by restricting movement, location, and activity while ensuring
and maintaining safety at the scene.
b. Identify all individuals at the scene, such as: Suspects: Secure and separate.
Witnesses: Secure and separate.
Bystanders:
Determine whether witness, if so treat as above, if not, remove from the scene.
Victims/family/friends: Control while showing compassion.
Medical and other assisting personnel.
c. Exclude unauthorized and nonessential personnel from the scene (e.g., law
enforcement officials not working the case, politicians, media).
Summary:
Controlling the movement of persons at the crime scene and limiting the number of
persons who enter the crime scene is essential to maintaining scene integrity,
safeguarding evidence, and minimizing contamination.
Boundaries:
Identify, Establish, Protect, and Secure Principle: Defining and controlling
boundaries provide a means for protecting and securing the crime scene(s). The
number of crime scenes and their boundaries are determined by their location(s)
and the type of crime. Boundaries shall be established beyond the initial scope of
the crime scene(s) with the understanding that the boundaries can be reduced in
size if necessary but cannot be as easily expanded.
Policy:
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The initial responding officer(s) at the scene shall conduct an initial assessment to
establish and control the crime scene(s) and its boundaries.
Procedure:
The initial responding officer(s) should:
a. Establish boundaries of the scene(s), starting at the focal point and extending
outward to include: Where the crime occurred. A 16 5. Boundaries: Identify,
Establish, Protect, and Secure
Potential points and paths of exit and entry of suspects and witnesses.
Places where the victim/evidence may have been moved (be aware of trace and
impression evidence while assessing the scene).
b. Set up physical barriers (e.g., ropes, cones, crime scene barrier tape, available
vehicles, personnel, other equipment) or use existing boundaries (e.g., doors, walls,
gates).
c. Document the entry/exit of all people entering and leaving the scene, once
boundaries have been established.
d. Control the flow of personnel and animals entering and leaving the scene to
maintain integrity of the scene.
e. Effect measures to preserve/protect evidence that may be lost or compromised
(e.g., protect from the elements (rain, snow, wind) and from footsteps, tire tracks,
sprinklers).
f. Document the original location of the victim or objects that you observe being
moved.
g. Consider search and seizure issues to determine the necessity of obtaining
consent to search and/or obtaining a search warrant.
Note:
Persons should not smoke, chew tobacco, use the telephone or bathroom, eat or
drink, move any items including weapons (unless necessary for the safety and wellbeing of persons at the scene), adjust the thermostat or open windows or doors
(maintain scene as found), touch anything unnecessarily (note and document any
items moved), reposition moved items, litter, or spit within the established
boundaries of the scene.
Summary:
Establishing boundaries is a critical aspect in controlling the integrity of evidentiary
material... Turn over Control of the Scene and Brief Investigator(s) in Charge
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Principle: Briefing the investigator(s) taking charge assists in controlling the crime
scene and helps establish further investigative responsibilities.
Policy:
The initial responding officer(s) at the scene shall provide a detailed crime scene
briefing to the investigator(s) in charge of the scene.
Procedure:
The initial responding officer(s) should:
a. Brief the investigator(s) taking charge.
b. Assist in controlling the scene.
c. Turn over responsibility for the documentation of entry/exit.
d. Remain at the scene until relieved of duty.
Summary:
The scene briefing is the only opportunity for the next in command to obtain initial
aspects of the crime scene prior to subsequent investigation.
Document Actions and Observations Principle:
All activities conducted and observations made at the crime scene must be
documented as soon as possible after the event to preserve information.
Policy:
Documentation must be maintained as a permanent record.
Procedure:
The initial responding officer(s) should document:
a. Observations of the crime scene, including the location of persons and items
within the crime scene and the appearance and condition of the scene upon arrival.
A 18 7. Document Actions and Observations
b. Conditions upon arrival (e.g., lights on/off; shades up/down, open/closed; doors,
windows, open/closed; smells; ice, liquids; movable furniture; weather; temperature;
and personal items.)
c. Personal information from witnesses, victims, suspects, and any statements or
comments made. d. Own actions and actions of others.
Summary:

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The initial responding officer(s) at the crime scene must produce clear, concise,
documented information encompassing his or her observations and actions. This
documentation is vital in providing information to substantiate investigative
considerations.
Preliminary Documentation and Evaluation of the Scene
Conduct Scene Assessment Principle:
Assessment of the scene by the investigator(s) in charge allows for the
determination of the type of incident to be investigated and the level of
investigation to be conducted.
Policy:
The investigator(s) in charge shall identify specific responsibilities, share
preliminary information, and develop investigative plans in accordance with
departmental policy and local, State, and Federal laws.
Procedure:
The investigator(s) in charge should:
a. Converse with the first responder(s) regarding observations/ activities.
b. Evaluate safety issues that may affect all personnel entering the scene(s) (e.g.,
bloodborne pathogens , hazards).
c. Evaluate search and seizure issues to determine the necessity of obtaining
consent to search and/or obtaining a search warrant.
d. Evaluate and establish a path of entry/exit to the scene to be utilized by
authorized personnel.
e. Evaluate initial scene boundaries.
f. Determine the number/size of scene(s) and prioritize.
g. Establish a secure area within close proximity to the scene(s) for the purpose of
consultation and equipment staging.
h. If multiple scenes exist, establish and maintain communication with personnel at
those locations.
i. Establish a secure area for temporary evidence storage in accordance with rules
of evidence/chain of custody
. Conduct Scene Assessment

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j. Determine and request additional investigative resources as required (e.g.,

personnel/specialized units, legal consultation/ prosecutors, equipment).
k. Ensure continued scene integrity (e.g., document entry/exit of authorized
personnel, prevent unauthorized access to the scene).
l. Ensure that witnesses to the incident are identified and separated (e.g., obtain
valid ID).
m. Ensure the surrounding area is canvassed and the results are documented.
n. Ensure preliminary documentation /photography of the scene, injured persons,
and vehicles.
Summary:
Scene assessment allows for the development of a plan for the coordinated
identification, collection , and preservation of physical evidence and identification of
witnesses. It also allows for the exchange of information among law enforcement
personnel and the development of investigative strategies.
Conduct SceneWalk-Throughand Initial Documentation Principle:
The scene walk-through provides an overview of the entire scene, identifies any
threats to scene integrity, and ensures protection of physical evidence. Written and
photographic documentation provides a permanent record.
Policy:
The investigator(s) in charge shall conduct a walkthrough of the scene. The walkthrough shall be conducted with individuals responsible for processing the scene.
Procedure:
During the scene walk-through, the investigator(s) in charge should:
a. Avoid contaminating the scene by using the established path of entry.
b. Prepare preliminary documentation of the scene as observed. c. Identify and
protect fragile and/or perishable evidence (e.g., consider climatic conditions,
crowds/hostile environment). Ensure that all evidence that may be compromised is
immediately documented, photographed, and collected. Summary: Conducting a
scene walk-through provides the investigator(s) in charge with an overview of the
entire scene. The walk-through provides the first opportunity to identify valuable
and/or fragile evidence and determine initial investigative procedures, providing for
a systematic examination and documentation of the scene. Written and
photographic documentation records the condition of the scene as first observed,
providing a permanent record..

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Determine Team Composition Principle:

Based on the type of incident and complexity of the scene, the investigator(s) in
charge shall determine team composition. Trained personnel shall perform scene
processing.
Policy:
The investigator(s) in charge shall assess the scene to determine specialized
resources required.
Procedure:
Following the walk-through, the investigator(s) in charge should:
a. Assess the need for additional personnel. Be aware of the need for additional
personnel in cases of multiple scenes, multiple victims, numerous witnesses, or
other circumstances.
b. Assess forensic needs and call forensic specialists to the scene for expertise
and/or equipment.
c. Ensure that scene security and the entry/exit documentation are continued.
d. Select qualified person(s) to perform specialized tasks (e.g., photography, sketch,
latent prints , evidence collection ).
e. Document team members and assignments.
Summary:
The scene(s) assessment determines
responsibilities will be assigned.

the

number

of

personnel

and

how

Processing the Scene

Contamination Control Principle:
Contamination control and preventing cross contamination at single or multiple
scenes is essential to maintaining the safety of personnel and the integrity of
evidence. Policy: The investigator(s) in charge shall require all personnel to follow
procedures to ensure scene safety and evidence integrity.
Procedure:
Other responders and/or team members should:
a. Limit scene access to people directly involved in scene processing.
b. Follow established entry/exit routes at the scene.

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c. Identify first responders and consider collection of elimination samples. d.

Designate secure area for trash and equipment.
e. Use personal protective equipment (PPE) to prevent contamination of personnel
and to minimize scene contamination.
f. Clean/sanitize or dispose of tools/equipment and personal protective equipment
between evidence collections and/or scenes.
g. Utilize single-use equipment when performing direct collection of biological
samples. Summary: Minimize contamination by being safe, clean, and careful to
ensure the welfare of personnel and the integrity of the evidence.
Documentation Principle:
An assessment of the scene determines what kind of documentation is needed
(e.g., photography, video, sketches, measurements, notes).
Policy:
The investigator(s) in charge shall ensure documentation of the scene.
Procedure:
The team member(s) should:
a. Review assessment of the scene to determine the type of documentation needed.
b. Coordinate photographs, video, sketches, measurements, and notes.
c. Photograph: Scene utilizing overall, medium, and close-up coverage.
Evidence to be collected with and without measurement scale and/or evidence
identifiers.
Victims, suspects, witnesses, crowd, and vehicles.
Additional perspectives (e.g., aerial photographs, witness view, area under body
once body is removed).
d. Videotape as optional supplement to photos.
e. Prepare preliminary sketch(es) and measure:
Immediate area of the scene, noting case identifiers and indicating north on the
sketch.
Relative location of items of evidence and correlate evidence items with evidence
records.
Evidence prior to movement.
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 Rooms, furniture, or other objects.

Distance to adjacent buildings or other landmarks.
f. Generate notes at the scene:
Documenting location of the scene, time of arrival, and time of departure.
Describing the scene as it appears.
Documentation
Recording transient evidence (e.g., smells, sounds, sights) and conditions (e.g.,
temperature, weather).
Documenting circumstances that require departures from usual procedures.
Summary:
A well-documented scene ensures the integrity of the investigation and provides a
permanent record for later evaluation.
Prioritize Collection of Evidence Principle:
Prioritize the collection of evidence to prevent loss, destruction, or contamination.
Policy:
The investigator(s) in charge and team members shall determine the order in which
evidence is collected.
Procedure:
The team member(s) should:
a. Conduct a careful and methodical evaluation considering all physical evidence
possibilities (e.g., biological fluids, latent prints, and trace evidence).
b. Focus first on the easily accessible areas in open view and proceed to out-of-view
locations.
c. Select a systematic search pattern for evidence collection based on the size and
location of the scene(s).
d. Select a progression of processing/collection methods so that initial techniques do
not compromise subsequent processing/ collections methods.
Concentrate on the most transient evidence and work to the least transient forms
of physical evidence. Move from least intrusive to most intrusive processing/
collection methods.

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e. Continually assess environmental and other factors that may affect the evidence.
f. Be aware of multiple scenes (e.g., victims, suspects, vehicles, locations).
g. Recognize other methods that are available to locate, technically document, and
collect evidence (e.g., alternate light source, enhancement, blood pattern
documentation, and projectile trajectory analysis).
Summary:
Prioritization provides for the timely and methodical preservation and collection of
evidence.
Collect, Preserve, Inventory, Package, Transport, and Submit Evidence
Principle:
The handling of physical evidence is one of the most important factors of the
investigation.
Policy:
The team member(s) shall ensure the effective collection, preservation, packaging,
and transport of evidence.
Procedure:
The team member(s) should:
a. Maintain scene security throughout processing and until the scene is released.
b. Document the collection of evidence by recording its location at the scene, date
of collection, and who collected it.
c. Collect each item identified as evidence.
d. Establish chain of custody.
e. Obtain standard/reference samples from the scene.
f. Obtain control samples.
g. Consider obtaining elimination samples.
h. Immediately secure electronically recorded evidence (e.g., answering machine
tapes, surveillance camera videotapes, and computers) from the vicinity.
I. Identify and secure evidence in containers (e.g., label, date, initial container) at
the crime scene. Different types of evidence require different containers (e.g.,
porous , nonporous , crushproof).
j. Package items to avoid contamination and cross-contamination.
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k. Document the condition of firearms/weapons prior to rendering them safe for

transportation and submission.
l. Avoid excessive handling of evidence after it is collected.
m. Maintain evidence at the scene in a manner designed to diminish degradation or
loss.
n. Transport and submit evidence items for secure storage.
Summary:
Evidence at crime scenes that is in the process of documentation, collection,
preservation, or packaging should be handled with attention to scene integrity and
protection from contamination or deleterious change. During the processing of the
scene, and following documentation, evidence should be appropriately packaged,
labeled, and maintained in a secure, temporary manner until final packaging and
submission to a secured evidence storage facility or the crime laboratory.
Establish Crime Scene Debriefing Team Principle:
The crime scene debriefing enables law enforcement personnel and other
responders to share information regarding particular scene findings prior to
releasing the scene. It provides an opportunity for input regarding follow up
investigation, special requests for assistance, and the establishment of post-scene
responsibilities.
Policy:
Law enforcement personnel and other responders shall participate in or initiate a
crime scene debriefing to ensure the crime scene investigation is complete and to
verify post-scene responsibilities.
Procedure:
The investigator(s) in charge of the crime scene should establish a crime scene
debriefing team. When participating in a scene debriefing, law enforcement
personnel and other responders should:
a. Establish a crime scene debriefing team, which includes the investigator(s) in
charge of the crime scene, other investigators and evidence collection personnel
(e.g., photographers, evidence technicians, latent print personnel, specialized
personnel, and initial responding officer(s) if still present).
b. Determine what evidence was collected.
c. Discuss preliminary scene findings with team members.

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d. Discuss potential technical forensic testing and the sequence of tests to be

performed.
e. Initiate any action(s) identified in discussion required to complete the crime
scene investigation.
Completing and Recording the Crime Scene Investigation
Establish Crime Scene Debriefing Team
f. Brief person(s) in charge upon completion of assigned crime scene tasks.
g. Establish post-scene responsibilities for law enforcement personnel and other
responders.
Summary:
The crime scene debriefing is the best opportunity for law enforcement personnel
and other responders to ensure that the crime scene investigation is complete.
Perform Final Survey of the Crime Scene Principle:
Final survey of the crime scene ensures that evidence has been collected and the
scene has been processed prior to release. In addition, a systematic review of the
scene ensures that evidence, equipment, or materials generated by the
investigation are not inadvertently left behind and any dangerous materials or
conditions have been reported and addressed.
Policy:
The investigator(s) in charge shall direct a walkthrough at the conclusion of the
scene investigation and ensure that the scene investigation is complete. Procedure:
The investigator(s) in charge should ensure that:
a. Each area identified as part of the crime scene is visually inspected.
b. All evidence collected at the scene is accounted for.
c. All equipment and materials generated by the investigation are removed.
d. Any dangerous materials or conditions are reported and addressed.
e. The crime scene is released in accordance with jurisdictional requirements.
Summary:
Conducting a scene walk-through ensures that all evidence has been collected, that
materials are not inadvertently left behind, and that any dangerous materials or
conditions have been reported and addressed.
Documentation of the Crime Scene Principle:
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Reports and other documentation pertaining to the crime scene investigation shall
be compiled into a case file by the investigator(s) in charge of the crime scene.
This file shall be a record of the actions taken and evidence collected at the scene.
This documentation shall allow for independent review of the work conducted.
Policy:
The investigator(s) in charge shall ensure that reports and other documentation
pertaining to the crime scene investigation are compiled.
Procedure:
The investigator(s) in charge should obtain the following for the crime scene case
file:
a. Initial responding officer(s) documentation.
b. Emergency medical personnel documents.
c. Entry/exit documentation.
d. Photographs/videos.
e. Crime scene sketches/diagrams.
f. Evidence documentation.
g. Other responders documentation.
h. Record of consent form or search warrant.
Documentation of the Crime Scene
Reports such as forensic/technical reports should be added to this file when they
become available. Note: The above list is limited to crime scene documentation.
This should not be considered a comprehensive list of the documents involved in an
investigative case file.
Summary:
This will ensure that reports and other documentation pertaining to the crime scene
investigation are compiled into a case file by the investigator(s) in charge of the
crime scene and allow for independent review of the work conducted.
Crime Scene Equipment
1. Initial Responding Officer(s)
2. Crime Scene Investigator/Evidence Technician Essential*

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Bindle Paper

Biohazard

Bags
Body fluid collection kit
Camera (35 mm) with flash/film/ tripod
casting materials
Essential* Consent/search forms
Crime Scene barricade
tape
First-aid kit
Flares
Flashlight and extra batteries
Personal protective equipment (PPE)

Paper bags

* These items should be in police vehicles or readily available to initial

responding officer(s).
Optional Audiotape recorder
Camera with flash and
extra film
Chalk.
Directional
marker/compass Disinfectant
Maps
Plastic bags
Pocket knife
Reflective vest
Tape
measure
Tarps to protect evidence from the
weather
Traffic cones
Waterless hands
wash (towelette with germicide) Wireless phone
Consent/search forms
Crime scene barricade
tape
Cutting instruments (knives, box cutter, scalpel, and scissors).
Directional marker/compass
Disinfectant
Evidence
collection containers
Evidence identifiers
Evidence seals/tape.
Flashlight and extra batteries
Latent print kit
Measuring devices
Personal protective equipment (PPE)
Presumptive blood test supplies
Tool kit

First-aid kit
High-intensity

lights

Magnifying glass
Permanent markers
Photographic scale (ruler)
Sketch paper.
Tweezers/forceps

* These items should be in police vehicles or readily available to initial

responding officer(s).
Optional Audiotape recorder
examination kit
Business cards
Chemical enhancement supplies
collection kit Extension cords.

Bloodstain

pattern

Chalk.
Entomology
Flares

(insect)

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Forensic light source (alternate light source , UV lamp/laser, goggles).

Generator
Gunshot residue kit.
Laser trajectory kit
Maps
Marking paint/snow wax
Metal detector
Mirror
Phone listing (important numbers)
Privacy screens
Protrusion rod set.
Reflective
vest
Refrigeration or cooling unit
Respirators with filters
Roll of string
Rubber band
Sexual assault evidence collection kit (victim and suspect).
Shoe print lifting equipment
human)
Thermometer
Trajectory rods
Wireless phone

Templates

(scene

and

Traffic cones
Video recorder

Crime Scene Investigator/Evidence Technician

Evidence Collection Kits (Examples) Blood Collection Bindle
Coin envelopes

Disposable scalpels

Distilled water

Ethanol

Evidence identifiers

Latex gloves

Photographic ruler (ABFO scales)

Presumptive chemicals

Sterile gauze

sterile swabs

Test tubes/test tube rack

ABFO scales.
Calculator
Permanent markers
String

Bloodstain

Pattern

Documentation

Laser pointer
Protractor
Tape

Excavation Cones/markers

Evidence identifiers

Metal detectors

Paintbrushes

Shovels/trowels
String

Sifting screens
Weights

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Wooden/metal stakes
Brushes
Cyanoacrylate (super glue) wand/ packets
Forensic light source

Fingerprint Black and white film

Chemical enhancement supplies
Flashlight
Lift cards

Lift tape

Measurement scales

One-to-one camera

Powders

Impression Bowls/mixing containers

Dental stone (die stone)
Measurement scales
Snow print wax

Boxes
Evidence identifiers
Permanent markers
Water

Pattern Print Lifter Chemical enhancement supplies Electrostatic dust lifter

. Gel lifter. Wide format lift tape

Tool marks Casting materials

E 36 Trace Evidence Collection Acetate sheet protector

Bindle paper
Flashlight (oblique lighting)
Glass vials.

Clear tape/adhesive lift

Forceps/tweezers
Slides and slide mailers.

Trace evidence vacuum with disposable collection filters.

Trajectory Calculator
Dummy
Mirror
String

Canned smoke
Laser
Protractor
Trajectory rods

The key principle underlying crime scene investigation is a concept that has become
known as Locards Exchange Principle. It states that whenever someone enters or
exits an environment, something physical is added to and removed from the scene.
This principle is generally summed up by stating: Every contact leaves a trace.
The logic behind this principle allows investigators to link suspects to victims, to
physical objects, and to scenes. Any evidence that can link a person to the scene is
referred to as associative evidence. This may include items such as fingerprints,
blood and bodily fluids, weapons, hair, fibers and the like. This type of evidence
answers the question Who did this?
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While associative evidence links people to the place of the crime, reconstructive
evidence allows investigators to gain an understanding of the actions that took
place at the scene. A broken window, a blood spatter pattern, bullet paths and shoe
prints can all reveal what actually happened. This type of evidence answers the
question, How did it happen?
To help establish the linkage of people and things to a scene, the investigator may
also collect known substances, called control samples. These can be items such as
fibers from carpeting at the scene, glass fragments, soil, vegetation and other trace
evidence. Learn more about trace evidence If these are found on the suspects
clothing, in their vehicle or at their residence, it could provide circumstantial
evidence linking the person to the scene.
For example, police are called to a residential neighborhood where a home invasion
and burglary has just occurred. Investigators collect glass fragments from a
shattered cabinet door with a distinct pattern etched into the glass. A tip leads
investigators to a local man with a known history of burglary. Examination of the
suspects clothing yields glass fragments with the same distinct pattern as the
smashed cabinet doors.
Eliminating people who could not be the perpetrator is also important. Control
samples of fingerprints and DNA are often collected from any person(s) who have
access to the scene who are not considered suspects.
Gauging the Value of Evidence
It is unique
If an item is found that helps narrow the possibilities of who might be considered a
suspect, or the manner in which a crime was committed, this evidence would be of
use. Is an impression from a vehicle tire found in the dirt at the scene? The tread
impression can be compared to others to determine the type of tire that was on the
car. Is a shoe print left in the soil? The tread may help to identify the size and type
of shoes it came from and the wear pattern could be used to match it to a specific
pair. Learn more about footwear impressions and tire tracks
It has a low probability of occurring by chance
Considering the mathematical probabilities will help to determine the odds that a
piece of physical evidence found at the scene could appear merely by coincidence.
If DNA evidence found at the scene matches a suspect, the chances are exceedingly
low that another person could have left this sample. But even evidence that has a
much higher probabilityfor instance, a common type of shoeprint that is left in the
soilis still valuable. When combined with other high probability evidence, these
can help narrow the list of possible parties and build a compelling case.
It is inconsistent
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If an item is found that is out of place or inconsistent with the setting, or is out of
character for the victimfor instance if the victim was a non-smoker but a cigarette
butt is found at the scenethis could be an important bit of evidence.
It is a physical match
If trace evidence is found on the suspect or in his possession that matches
something at the scene, this makes this item valuable as evidence. For instance,
broken plastic parts or a broken fingernail that can be matched by fracture marks
can demonstrate that two pieces were once a part of the same item.
Manual of preliminary investigation Intelligence operations,
Criminal Intelligence analysis
Criminal intelligence analysis is an essential component of effective policing, at both
the operational and strategic levels.
Analysts study data related to criminals, crime suspects, incidents, issues and
trends. By collecting and assessing this data, they can identify relationships or
connections between different crimes in different places.
The analysis is then used to provide insights that can drive or support law
enforcement investigations, operations and strategy, as well as influencing
government policy and decisions.
Main objectives
The central tasks of criminal intelligence analysis are to:

Help officials
Senior law enforcers, policy makers and decision makers deal more effectively
with uncertainty and new challenges;
Provide timely warning of threats;
Support operational activities and complex investigations.
Types of analysis
Criminal intelligence analysis is divided into operational (or tactical) and strategic
analysis.
While the basic skills required are similar, the two categories differ with regard to
the level of detail and the type of client for whom the products are designed.

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Operational analysis aims to achieve a specific law enforcement outcome. This

might be an arrest, seizure, forfeiture of assets or money gained from criminal
activities, or the disruption of a criminal group.
Operational analytical support includes:
Identifying links between suspects, and their involvement in crimes and criminal
activity;
Identifying key investigative or information gaps;
Preparing profiles of known or suspected criminals
Strategic analysis is intended to inform higher level decision makers, and the
benefits are realized over the long term.
The intention is to provide early warning of threats and to support senior decision
makers in preparing their organizations to deal with emerging criminal issues. This
might include allocating resources to different types of crime, or increasing training
in a particular crime-fighting technique.
Strategic analysis includes the identification of:
Modus operandi;
Crime trends and patterns;
Emerging threats;
The potential impact of external factors such as technology, demographics or
economics on crime.
Law enforcement support
At INTERPOL, our team of criminal intelligence analysts provides both operational
and strategic analytical support to crime-related projects, investigations and
operations. This typically includes producing reports focusing on particular regions,
crime types or a newly discovered modus operandi.
The analysts also provide consultancy services and training for police in member
countries, often as part of larger INTERPOL capacity building programmes on issues
such as counter-terrorism or people smuggling.
Additionally, analysts can be deployed in the field to assist police directly with
ongoing criminal investigations or operations.
Analytical products
In support of INTERPOL units and law enforcement authorities in member countries,
INTERPOL provides a diverse range of analytical products:
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Analytical reports;
Threat assessments for regions or specific crimes;
Risk assessments for a particular event;
Intelligence publications (bulletins, monthly reports)
Database investigation
The success of international police investigations is dependent upon the availability
of up-to-date, global data.
At INTERPOL, we provide our member countries with instant, direct access to a
number of criminal databases. These contain millions of records, contributed by
countries across the world.
Maximizing the reach
All databases, except IBIN (INTERPOL Ballistic Information Network), are accessible
real-time through the I-24/7 network which connects all INTERPOL National Central
Bureaus (NCBs).
We have developed web server solutions to extend access beyond our NCBs to
frontline law enforcement officers, such as border guards, allowing them to search
the databases on wanted persons, stolen and lost travel documents and stolen
motor vehicles.
INDIVIDUALS AND NOTICES
Notices and nominal data
INTERPOLs system of Notices is used to issue international alerts for fugitives,
suspected criminals, persons linked to or of interest in an ongoing criminal
investigation, persons and entities subject to UN Security Council Sanctions,
potential threats, missing persons and dead bodies. Details are stored in a database
known as the INTERPOL Criminal Information System, which also contains personal
data and the criminal history of people subject to request for international police
cooperation.
Child abusers and victims
The International Child Sexual Exploitation image database uses sophisticated
image comparison software to make connections between victims, abusers and
places. The aim is to identify, locate and arrest perpetrators, and to remove victims
from harm.
FORENSIC DATA

289

Fingerprints and DNA profiling can play a crucial role in solving crimes as they have
the potential to reveal links between individuals and/or crime scenes. Just as
importantly, they can help to prove a suspects innocence.
Fingerprints
Authorized users in member countries can view, submit and cross-check records in
the fingerprints database via a user-friendly automatic fingerprint identification
system (AFIS).
DNA profiles
This database contains DNA profiles from offenders, crime scenes, missing persons
and unidentified bodies. INTERPOL does not store any nominal data linking a DNA
profile to any individual.
TRAVEL AND OFFICIAL DOCUMENTS
Border points are critical locations for preserving national security. INTERPOL
provides a range of databases to help detect and prevent the fraudulent use of
travel papers and administrative documents, thereby restricting the movement of
criminals or illicit items.
Stolen and Lost Travel Documents (SLTD)
The SLTD database contains records on lost, stolen and revoked travel documents
such as passports, identity cards, and UN laissez-passer or visa stamps, including
stolen blank travel documents.
Stolen Administrative Documents (SAD)
The SAD database records stolen and official documents that serve to identify
objects, for example, vehicle registration documents and clearance certificates for
import/export.
Counterfeit documents
The Digital INTERPOL Alert Library Document (Dial-Doc) is a joint G8-INTERPOL
initiative, which allows countries to share at global level alerts produced nationally
on newly detected forms of document counterfeiting.
Comparison of genuine and fake documents
Edison (Electronic Documentation and Information System on Investigation
Networks) provides examples of genuine travel documents, in order to help identify
fakes. It contains images, descriptions and security features of genuine travel and
identity documents issued by countries and international organizations.
STOLEN PROPERTY
290

Stolen motor vehicles, vessels and works of art are likely to be trafficked across
borders. We maintain global databases in order to assist the law enforcement
community in identifying stolen items and to increase the chance of their recovery.
Motor vehicles
This database contains extensive identification details from all types of motor
vehicles (cars, trucks, trailers, heavy machinery, and motorbikes) and identifiable
spare parts reported as stolen.
Vessels
The Stolen Vessels database serves as a centralized tool for tracing and tracking
stolen vessels and engines.
Works of art
The Works of Art database contains descriptions and pictures of cultural objects
reported as stolen by INTERPOL member countries and international partners such
as the International Council of Museums and UNESCO. It includes items looted
during crisis periods in Afghanistan, Iraq and Syria.
FIREARMS AND DANGEROUS MATERIALS
We offer powerful tools which can help member countries to collect data, trace
items and analyze trends related to firearms and radiological and nuclear materials.
Identification of firearms
The INTERPOL Firearms Reference Table provides a standardized methodology to
identify and describe firearms, and enables an investigator to obtain or verify the
details of a firearm.
Comparison of ballistics data
The INTERPOL Ballistic Information Network provides a global platform for the
centralized collection, storage and cross-comparison of ballistics imaging.
Exchange of firearms data
The INTERPOL Illicit Arms Records and tracing Management System (iARMS)
facilitates information exchange and cooperation between law enforcement
agencies on firearm-related crime, and allows them to trace a firearm from the point
of manufacture or of legal importation into a country, through the lines of supply to
the last known point of possession.
Radiological and nuclear materials
The Project Geiger database is used to collate and analyze information on illicit
trafficking and other unauthorized activities involving radiological and nuclear
291

materials. It combines data from the International Atomic Energy Agency, opensource reports and law enforcement channels.
ORGANIZED CRIME NETWORKS
The purpose of these databases is to improve the collection and exchange of
intelligence, support investigations, and better analyze the crime networks, leading
to the identification and arrest of their leaders and financiers.
Maritime piracy
The maritime piracy database stores intelligence related to cases of piracy and
armed robbery at sea, including data on individuals, telephone numbers, e-mail
addresses, piracy incidents, locations, businesses and financial information.
Maras
The word Maras refers to criminal gangs operating in Central America (El Salvador,
Guatemala, Honduras and Nicaragua). This database includes information about
these gangs and their members, including personal data, images, weapons,
vehicles, mobile phones, and criminal events.
Electronic investigation: International Journal of Cyber Criminology
Abstract
Many traditional crimes are now being aided or abetted through the use of
computers and networks, and wrongdoing previously never imagined has surfaced
because of the incredible capabilities of information systems. Computer crimes are
requiring law enforcement departments in general and criminal investigators in
particular to tailor an increasing amount of their efforts toward successfully
identifying, apprehending, and assisting in the successful prosecution of
perpetrators. In the following text, key research findings in the area of traditional
American criminal investigations are summarized.
Similarities and differences
between traditional and computer crime investigations are then presented,
and consequent implications are discussed. Pragmatic suggestions as to how
American computer crime investigative task forces can most competently
fulfill their intended objectives are given in conclusion via a hypothetical example of
a specialized unit. It is hoped that past knowledge can be assimilated with current
observations of computer-related criminality to inform and guide the science
of police investigations in the future.
Introduction
Criminal investigation has been a topic of study for academics and practitioners
alike, and is defined as the process of legally gathering evidence of a crime
that has been or is being committed (Brown, 2001:3). It seeks to identify the
truths associated with how and why a crime occurred, and works toward
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building a case that may lead to the successful prosecution of the

offender(s).
Many research studies have sought to determine the best way in
which the investigative process can be conducted and managed. The overarching
goal of these studies has been to enable police departments to reflect upon their
own practices against the backdrop of the findings, and then to implement salient
positive changes which would improve the day-to-day operations of their
organization.
Practices of investigation have been modified and refined over the years, taking into
account changes in social, political, economic, and scientific domains. These
practices have infused science into an activity that was once primarily considered
an art (Beverage, 1957), and have consequently enhanced the investigative
process. In his law of insertion, Gabriel Trade ([1890] 1903) asserted that
novel forms of criminal behavior are fostered through the superimposing of new
practices onto traditional ones, often through technological advances or
innovation.
Due to the exponential growth of information technology in
modern society, many traditional crimes are now being aided or abetted
through the use of computers and networks, and criminality heretofore never
conceived has surfaced because of the incredible capabilities of information
systems. These computer crimes will require law enforcement departments in
general and criminal investigators in particular to tailor an increasing amount
of their effort towards successfully identifying, apprehending, and assisting in
the successful prosecution of perpetrators.
In order to develop a sound strategy in this regard, it is crucial to learn
from past research in the area of investigations, and to incorporate into law
enforcement organizations those policies deemed most fruitful. In the following
text, a summary of the two most important studies on
traditional investigations in America is presented for the purposes of providing
a historical and comparative position.
Next, similarities and differences
between traditional and computer crime investigations are given, and
consequent implications are discussed in terms of: the role of the firstresponding officer and investigator(s); information, The focus of this article is on
investigations of:1) traditional crimes in which a computer is used in an ancillary
manner, and 2) nontraditional or high-tech crimes in which a computer is
the primary object of, instrument in, or repository of evidence related to, a crime.
instrumentation, and interviewing; evidence collection and processing;
jurisdictional issues; reactive and proactive strategies; and utility of symbolic
investigations.
The current work concludes with some pragmatic suggestions as to how computer
crime investigative task forces should be created and managed to competently
fulfill their intended objectives. This is presented via a hypothetical example of a
specialized unit.
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Rand study of criminal investigation

In the 1970s, the RAND Corporation in the United States (US) conducted a
nationwide study of criminal investigations by law enforcement departments
with over 150 sworn officers or serving a population over 100,000. Through
analyses
of various
agencies with differing investigative
philosophies,
comparison with official crime statistics to determine investigative efficacy, and a
review of detailed case studies, a comprehension of how agencies managed
and organized investigations was sought. Four main conclusions wereset forth:
1. Case solution:
The most important determinant of case solution was the information provided to
the responding officer by the victim (Greenwood, Chaiken, & Petersilia, 1977). It
was also discovered that follow-up investigations were largely ineffective.
Specifically, if the victim was not able to provide identifying information of the
perpetrator, it was unlikely that apprehension would result. The importance of the
responding officer highlighted the need for well-trained patrol personnel with a
larger investigative role, who are then singularly capable of closing many cases
rather than turning them over to another person (see also Block & Weidman,
1975; Greenberg, Elliot, Kraft, & Proctor, 1977). As a consequence, this would
allow specialized investigative forces to address only those incidents that
absolutely require expert abilities, and would keep their caseload to a
manageable size.
2. Investigative effectiveness
Differences in investigative organization, training, staffing, workloads, and
procedures did not proportionately affect crime rates, arrest rates, or clearance
rates.
3. The processing of physical evidence:
While law enforcement departments collected a great deal of physical evidence,
much of it was not processed in Computer Crime Investigations in the United States
Sameer Hinduja an effective manner. As such, the suggested policy involved the
allocation of more resources to the processing of collected evidence, which
would thereby have a positive impact on crime-solving.
4. Investigative thoroughness:
Investigators were generally failing to thoroughly document all of the
important evidentiary facts that would strengthen the ability of prosecutors to
obtain the most appropriate convictions. Incompleteness in documentation, it
was argued, may have contributed to an increase in the number of case
dismissals and a weakening in the plea bargaining position of prosecutors
(Greenwood et al., 1977). This deficiency in comprehensive recordkeeping
necessitated immediate attention. PERF Study on the Investigation of Burglary and
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Robbery In another important study led by John Eck under the auspices of
the Police Executive Research Forum (PERF), more than 3,360 burglary and
320 robbery investigations over a two-year period were analyzed in three
jurisdictions: DeKalb County, Georgia; St. Petersburg, Florida; and Wichita,
Kansas. The PERF study differed from the earlier research by RAND in that it
focused on the entire investigative process, rather than only on the cases
cleared by arrest. As such, Eck was able to determine the impact of a host of
variables which affected the outcome to disproportionate degrees.
A primary finding was that both detectives and patrol officers contributed
equally to the solving of cases, and that it was a disservice to emphasize one over
the other (Eck, 1983). The research also found that individuals in both
positions should be less reliant on information provided by the victim and more
proactive in exploring leads provided by others related to the incident (Eck,
1983). The practice of neighborhood canvassing and the use of informants
were
asserted
as
important techniques to increase the effectiveness of
investigations. It appeared that while most information came from the victims
of the crime during the initial police response, much of those leads were unfruitful.
When other sources were consulted, however, much more useful information was
discovered.
The necessity of being sensitive to victims was also underscored by Eck, who
asserted the relative uselessness of re-interviewing the victim during follow-up
investigations. Physical evidence was found to be most useful to corroborate
preexisting identifications rather than as a means to identify suspects who were
previously unknown (Sanders, 1977; Wilson, 1976).
Cooperation, information
sharing, and information management among police departments were also
extolled as key factors in successful investigations (Eck, 1983).
One of the most practical recommendations to stem from Ecks study
concerned the categorization of cases into three groups those that could be
solved, those that have been solved, and those that may be solved through some
effort (Brown, 2001).
This triage system was devised to assist law
enforcement personnel in making objective decisions as to which cases were
worthy of resource expenditure.
Through this form of case screening,
investigations could proceed in a targeted and informed manner after
determining the presence of certain solvability factors that would most likely
lead to a case clearance. In addition, this procedure also allowed law enforcement
to tailor their efforts toward the small group of habitual offenders or career
criminals who committhe majority of serious crimes (Wolfgang, Figlio, & Sellin,
1972). Eck felt that these recommended changes would go a long way in
refining the process and improving its utility and success rate.
From these two intensive research endeavors in the US, some important lessons can
be learned. First, the role of the responding officer is crucial in investigations, and
oftentimes the information provided to him or her is the deciding factor in solving a
295

case. Additionally, it appears that expanding the breadth of investigations by

exploring other avenues of information acquisition may prove valuable, as
informative qualitative data can be gained in this manner. Allocating resources only
to those cases most likely to be solved is another wise strategy that law
enforcement departments can employ.
Finally, thoroughness in evidentiary
documentation is seemingly critical to building a strong case and increasing
the likelihood of a successful conviction by the prosecuting team.
Definitional differences
As mentioned, investigative practices and procedures for both traditional
crimes and highly developed forms of computer crime are Computer Crime
Investigations in the United States Sameer Hinduja similar in many respects
simply because of a recursive process inherent in the modification of traditional
crimes through innovation or technological development (Tarde, [1890] 1903).
Nonetheless, vital differences exist in the investigative process, and these
must be accommodated to best address computer crime. These differences are
largely revealed by the definitional distinctions therein. Traditional crimes generally
concern personal or property offenses that law enforcement has continued to
combat for centuries such as the Type I offenses of the FBIs Uniform Crime
Report in the US. Nontraditional crimes, for the purposes of the current work,
encompass those involving a computer. These historically have not received a
proportionate amount of attention as compared to traditional crimes, despite
their gravity and the substantive harm they often cause (Braithwaite, 1985;
Hinduja, 2004; Newman & Clarke, 2003; Parker, 1976; Rosoff, Pontell, & Tillman,
2002; Webster, 1980). Furthermore, they do not elicit the same visceral and
emotionally-charged reaction from the American public and political system as do
the conventional personal and property crimes that police largely work to
address (Benson, Cullen, & Maakestad, 1990; Cullen, Link, & Polanzi, 1982).
Since these entities significantly influence the policies and actions of the US
criminal justice system, the result is a comparatively small amount of effort and
resources allocated for computer crime.
Computer crime has been defined as any illegal act fostered or facilitated by
a computer, whether the computer is an object of a crime, an instrument used to
commit a crime, or a repository of evidence related to a crime (Royal Canadian
Mounted Police, 2000). Some of the most prominent types include e-commerce
fraud, child pornography trafficking, software piracy, and network security breaches.
Investigative difficulties are introduced when attempting to tackle computer
crime because of its generally technologically-advanced nature, the fact that it
can occur almost instantaneously, and because it is extremely difficult to observe,
detect, or track (Leibowitz, 1999; United Nations, 1994; Wittes, 1994). These
problems are compounded by the relative anonymity afforded by the Internet
as well as the transcendence of geographical and physical limitations in
cyberspace, both of which render difficult the detection of criminals who are
able to take advantage of a virtually limitless pool of victims.
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Application and extension to computer crime A multitude of aspects related to

investigations
are
necessarily implicated when considering how traditional
practices must be modified, augmented, or even restructured to compensate for
differences inherent in computer crime. While there is no universally applicable
panacea, it appears that acknowledging and accommodating the following points
will result in greater investigative efficacy when addressing high-technology
wrongdoing. Before proceeding, though, it must be stated that while this work
specifically concentrates on investigations of computer crime, some examples of
white-collar crime that can occur through the use of computer systems are
presented to support the assertions.
Role of the First-Responding Officer
As previously stated, one of the most important findings of the RAND study
concerned the role of patrol officers who first respond to a crime scene. It was
suggested that these first responders be granted additional investigatory
responsibilities to ease the caseload burdens of specialized investigators, and
because their initial presence on the scene often gave them information to
use as leads to explore (see e.g., Block & Weidman, 1975; Greenberg et al., 1977).
By extension, the role of the first responding law enforcement officer in computer
crime cases is of critical import because the evidence associated with a
computer crime is often intangible in nature. Certain precautions must be taken to
ensure that data stored on a system or on removable media is not modified
or deleted - either intentionally or accidentally (Lyman, 2002; Parker, 1976). Even
the simple shutting-down of a computer can change the last-modified or last
accessed timestamp of certain system files, which introduces questions
associated with the integrity of the data. In sum, to preclude vulnerabilities
in the prosecutors case and to adequately defend against any related
challenges, grave care must be exercised by first responders during the search
and seizure of computer equipment.
Depicting some parallels to the subject matter at hand is the collection of
hair, bodily fluids, and clothing samples from which DNA is Computer Crime
Investigations in the United States Sameer Hinduja extracted. They have no
obvious use or meaning until a criminalities expert analyzes them and
consequently determines their forensic significance. Once cogent knowledge
and proof is obtained from these samples by properly-trained personnel,
however, the investigation and its attendant efforts towards achieving justice are
often simplified.
In a similar vein, specialized skills must be taught to firstresponding officers who might encounter technological evidence which on the
surface may appear meaningless but upon further analyses by computer
forensic examiners might prove crucial in clearing a case.
Role of the Investigator

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The research of Greenwood et al. (1977) stated that over 50% of traditional street
crimes are solved based on information provided to the responding officer by the
victim(s), and that in cases where incomplete or unusable information is provided
by a victim, most are not subsequently solved through investigative efforts. Other
research has likewise shown that little is gained through police effort to aid
in offender apprehension following the commission of a crime (Block & Bell,
1976; Skogan & Antunes, 1979). Indeed, Skogan and Antunes (1979:223) have
specifically stated that investigatory follow-up work, the gathering of physical
evidence, and the ferreting out of criminals through detective work, play a relatively
unimportant role in identifying and apprehending offenders. Nonetheless, the role
of the investigator in computer crime cases will be much more important in
clearance and arrest rates than information presented to him or her by the
responding officer, victims, or witnesses.
Due to the veiled nature of the techniques associated with computer crime and
even the actual victimization itself, much effort will seemingly be expended in
order to identify evidentiary facts, interpret clues, follow leads, and gather data
to make a compelling case against the suspect(s). In addition, the PERF study
recommended that officers work to locate witnesses through a neighborhood
canvass; a similar procedure can be fruitful in an organizational context where
computer crime has occurred. The scope of the investigation can be expanded to
include interviews with other persons who might provide qualitative information
related to pressures, demands, constraints, motives, and rationalizations that
affect behavior. Accordingly, a sense of how the organization shapes and impels
behavior may be captured, and can thereby assist the investigator in better
comprehending possible stimuli for crime commission. Information, Instrumentation,
and Interviewing OHara & OHara (1980) have written that there are three
components of the criminal investigation: information, instrumentation, and
interviewing. While technology and technique might change, these fundamentals
persist across time and are therefore worthy of delineation. Information simply
refers to the fact that criminal investigation is centered around the gathering,
organizing, and interpreting of data directly or tangentially related to the
case. Second, instrumentation is related to forensic science and the specific
techniques afforded to crime-solving investigators. For example, technological
advances such as biometrics, DNA analyses, and audio/video data processing will
continue to enhance the accuracy of law enforcement in clearing cases.
Third,
interviewing involves the process of soliciting and lawfully extracting information
from individuals who are knowledgeable about the circumstances of a crime in
some capacity.
These three fundamentals have been and will continue to be utilized in
the investigation of traditional offenses in the US in a relatively straightforward
manner. However, their application to computer crime is less clear and seemingly
more nuanced. Information accumulation will continue to be the bread-andbutter of the investigation of these nontraditional crimes. In fact, the skill of
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the investigator is largely rendered irrelevant if he or she is not provided

with enough useful information to move toward case clearance during the
course of the investigation. Similarly, even the most adept investigator will
encounter difficulties if information culled during its course is incomplete or
generally inapplicable.
With this in mind, though, instrumentation and
interviewing which are simply other methods to gather information should
be executed in a distinctively different manner. Instrumentation in investigating
financially-related crimes involving computer systems primarily revolves around
the tracking and analysis of Though outside the scope of this work, it is interesting
to consider how the expertise of DNA evidence collection and analyses migrated
into the police organization, and whether the development of that specialized
component can serve as an instructive template for the introduction and
maturation of computer forensics expertise.
Sameer Hinduja records and logs to determine discrepancies or irregularities in the
normal order. For example, money laundering with the use of computers
concerns the process of concealing the source of illegally-obtained money and often
involves the creation, fabrication, or alteration of documents to create a legitimate
paper trail and history (Lyman, 2002). Financial institutions are presumed to
keep detailed records of all transactions, currency exchanges, and the
international transportation of funds exceeding a certain amount. Additionally,
the Bank Secrecy Act of 1970 requires these institutions to maintain records that
have a high degree of usefulness in criminal, tax and regulatory investigations and
proceedings and authorizes the Treasury Department to require the reporting
of suspicious financial activity which might be related to a law violation
(Office of Technology Assessment, 1995).
Another example testifies to the importance of instrumentation when dealing with
computer-related wrongdoing. Before the exponential growth of the Internet, the
investigation of credit-card fraud often involved accurate identification by
witnesses and the collection and identification of condemning physical evidence.
When an offender made a purchase at a retail establishment through the use
of a fraudulent credit card for payment, sales clerks and store employees
trained in accurately observing and remembering physical and behavioral
details of perpetrators were able to assist in the investigation. Catching an offender
in possession of the fraudulently-acquired merchandise was also easier since
purchases were made in a physical location. Finally, the handwriting sample
obtained when the goods were signed for, and fingerprints left at the scene of the
crime, also served as corroborating evidence.
With the advent and growth of
electronic commerce, however, the assistive role of witnesses and physical
evidence sources of information previously (and even heavily) relied upon has
now been largely eliminated. Combined with inter-jurisdictional complications, a
deficiency of available investigatory resources, and the fact that these crimes
occur in such an unconstrained and unregulated manner in cyberspace, the
problem is further confounded.
Investigators of computer crime must
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consequently pursue other avenues of inquiry and learn to master information

retrieval from these sources, or else continue to struggle in their case
clearance attempts.
The third component - interviewing - appears to be less salient as a direct method
to investigate computer crime, largely because the victim is often unaware (either
immediately or even for a great length of time) that a crime has occurred and
that harm has resulted (Parker, 1976; Webster, 1980). Information useful in the
solving of these cases is sometimes only identified after ferreting through reams of
data on a computer system, and often the victims only role in these
investigations is to report the crime and provide access to the data storage
machines. Furthermore, witnesses in computer crime are relatively rare since
these offenses tend to occur behind closed doors (Rosoff et al., 2002). The only
witnesses in most cases are those who commit the crimes either individually or
collectively, and therefore other techniques to gather information must be utilized
(Lyman, 2002).
Interviewing, then, may provide indirect utility for the investigator such as
insight into the motives and possibly the specific techniques employed,
particularly if the offender was an insider. Motive for a crime such as
embezzlement (the siphoning off of funds from an employer by an employee
often through the use of computer systems (Lyman, 2002; Rosoff et al., 2002)),
for example, might stem from organizational variables such as pressure from
supervisors or managers to demonstrate productivity or effectiveness, or from
a culture of competition that permeates the enterprise (Coleman & Ramos,
1998). It might also stem from individual-level variables such as a personality
characterized by laziness, vengeful inclinations, a tendency to mock authority,
or an inability to deal with stress in a pro-social manner (Krause, 2002).
Coworkers of a possible suspect may provide useful secondary information in
this regard, while also outlining the capabilities of (and methods potentially
used by) the individual to bypass access controls to commit the crime. The task
of the investigator would then be to evaluate the viability of the anecdotal feedback
received, and to follow leads which may uncover stronger evidence that would
hold substantive weight in a court of law.
Evidence Collection and Processing
In terms of evidentiary issues, the preliminary investigation strategies associated
with computer crime should be executed as any other Computer Crime
Investigations in the United States Sameer Hinduja type of crime.
Law
enforcement departments have procedural requirements for evidence collection
that should be followed, but certain subtleties endemic to computer crime must
be noted. For example, Lyman (2002) points to the complexity associated with the
lack of tangible evidence and an actual scene to be examined. As such, it is
suggested that the investigator learn as much as possible about the victim
and the possible suspects in a case. Though not exclusive in their impact,
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this highlights the salience of understanding individual-level variables as

predictors of this form of criminality. Furthermore, the detailed analyses of logs,
records, and documents associated with the unlawful transaction or action must
occur (Lyman, 2002). The collection and use of physical evidence has been
documented as vital (Eck, 1983), and while this procedure in investigating
computer crime is very time-intensive, it often yields key clues that can lead to an
apprehension. The manner in which evidence is procured in computer crime cases
remains a sizable challenge for law enforcement. Specific information related to
the computer system requiring search and possible seizure must be detailed in
the warrant in order to be approved, and also so that the prosecutor can
counter any evidentiary challenges brought by the defense staff.
Consistent
investigative standards and protocols for computer crimes have not yet become
firmly ensconced in most police departments, and this can lead to evidence being
deemed inadmissible evidence that otherwise might have led to a conviction
(Lyman, 2002; Webster, 1980). Search warrant proceedings for traditional crimes
are familiar and routine to the courtroom workgroup. Due to the relative
newness of search warrant applications for computer crimes, however, some states
are specifically designating individual judges to deal with these specialized
requests (New Jersey Attorney General Commission of Investigation, 2000).
Nonetheless, requests must still be presented in a manner that allows ease
of comprehension. The judge must not be confused by the technical details
associated with the investigation, but should understand the nuances of what is
involved so that the court can make an informed decision. The goal is to clearly
articulate probable cause that a crime has been committed, and that the items
described in the warrant are related to that crime. Likewise, technological jargon
is often used by victims to communicate the specifics of the victimization and
possible sources of investigative clues, and many law enforcement officers
themselves may not be able to fully understand the information, nor assimilate it to
direct or refine the investigation (Lyman, 2002). More police agencies are
employing technicians who can assist responding officers or detectives in the proper
preservation, collection, and processing of evidence, as well as with interpretation
and presentation of the technological details of crime commission.
Once evidence associated with a computer crime is lawfully discovered,
multiple safeguards should be instituted to preserve its continuity and
integrity.
Extreme attention must be given to the specifications on the search
warrant so that all relevant items are properly and legally seized. Moreover, it is
paramount to protect physical and removable media because of their sensitive
nature. Magnetic fields and even static electricity have the potential to render
unusable and unreadable certain electronic equipment such as data storage
devices or disks.
Another critical point is that suspects in a case should be restricted from the
computing environment because of the possibility that digital evidence might be
altered or deleted (Lyman, 2002). At this point, the forensic analysis of
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computer hard drives has proven to be beneficial in building a case against

a suspected criminal.
This method of evidence acquisition, however, is technically complex and laborious.
While the number is increasing, many law enforcement departments do not
have the expertise to perform these techniques and must outsource their
forensic analysis requirements to other agencies that do have skilled personnel.
Unfortunately, with the continued increase of computer crime and the limited
resources available for law enforcement to deal with traditional crimes - let
alone novel instantiations of them - backlogs are invariably created and rows of
computers often become lined up in evidence rooms awaiting analyses by a
technician (Bhaskar, 2006; Bogen & Dampier, 2004; Newville, 2001).
In
accordance with intuition, priority is given to computer crime cases involving
potential or actual physical harm to individuals.
Nonetheless, backlogs
invariably compromise the celerity with which justice is served to perpetrators
of other offenses, and consequently undermine the viability of the system
itself.
Computer Crime Investigations in the United States Sameer Hinduja Finally, the
RAND study (Greenwood et al., 1977) underscored the necessity to refine and
optimize evidence processing efforts, and the PERF Study (Eck, 1983) highlighted
the utility of collecting evidence to corroborate and strengthen the case
against a suspected offender, rather than used to identify a suspect. These
policy suggestions have been assisted and supported by recent technological
advances, such as software that can analyze hundreds of gigabytes of electronic
financial data for the purposes of detecting inconsistencies, and programs that
can parse log files quickly to hone in on the specific activities of offenders.
Unquestionably, more equipment, personnel, and training are essential to further
improving the efficiency of the process.
Jurisdiction Since national boundaries effectively disappear when considering many
computer crimes, jurisdiction is another complicated matter. While a complete
examination of jurisdictional issues is beyond the scope of this work, it merits
comment that countries differ in civil and criminal offense standards, substantive
and procedural law, data collection and preservation practices, and other
evidentiary and juridical factors (Lyman, 2002). Moreover, it is often ambiguous as
to whose responsibility it is to address a particular crime or spearhead an
investigation, or how best to collaborate through extradition and mutual
assistance policies. This plays out not only on an international level, but also
within nations where multiple law enforcement departments are implicated.
Reactive and Proactive Investigations
Another distinction illumined in the literature is between reactive and
proactive investigations (Lyman, 2002).
Intuitively, reactive investigations
attempt to solve crimes that have already occurred; this is the most frequent
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type. Proactive investigations attempt to deal with crime prior to the victimization,
rather than after it has exacted harm on an individual, a corporation, or society. This
often takes place through novel and innovative programming designed by
criminal justice organizations and assisting entities, such as situational crime
prevention strategies (Newman & Clarke, 2003). When law enforcement is able to
anticipate the commission of certain crimes, personnel are often deployed to survey
and target resources towards a known group of criminals or to counter a
specific type of crime. This type of investigation is primarily intelligence led, which
underscores the importance of collecting and appropriately responding to
useful data from viable sources while concurrently accounting for issues related
to civil liberties and evidentiary rules.
For example, the monitoring of bulletin-boards and chat-rooms by investigators
has led to the detection and apprehension of those who participate in sex
crimes against children (Meehan, Manes, Davis, Hale, & Shenoi, 2001; Mitchell,
Wolak, & Finkelhor, 2005; Penna, Clark, & Mohay, 2005). In addition, participants in
online communities have contributed to preventing
crimes
by
informing
authorities about questionable behavior, who then are able to provide that
information to investigators. For example, self-policing on Internet auction sites
has led to the identification of attempted and completed sales of counterfeit and
fraudulent items, and to the perpetrators of such crimes (Enos, 2000; Fusco, 1999).
Partnerships in the US between the private and public sector involving the sharing
of computer crime victimization data have also assisted law enforcement in its
investigative endeavors.
Symbolic Investigations
Lastly, Brandl & Horvath (1991) discovered that the effort expended by law
enforcement through investigative practices is positively related to victim
satisfaction rates. That is, victims are more pleased with the police response when
the department is able to demonstrate that due attention was given to the incident.
This can occur through the acts of fingerprint dusting, mug shot showing, and the
questioning of witnesses which in truth are often performed to maintain a
media-generated
image
rather than to productively contribute to the
investigation of a crime (Greenwood et al., 1977). This cumulatively underscores the
importance of symbolic investigations that serve purposes oriented more toward
public relations than crime solving (Greenwood et al., 1977).
Extending this finding to computer crime, it appears that in order for the
police to demonstrate that they are motivated and able to address these
nontraditional offenses, they must respond in a similar fashion. Otherwise,
individual and corporate victims will lose faith in the capacity of law enforcement to
control crime, and a shaken confidence in the most Computer Crime Investigations
in the United States Sameer Hinduja prominent arm of the criminal justice system
forebodes greater problems for society (Webster, 1980). Victims may also choose
against reporting suspected or actual wrongdoing, and may turn to their own
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means of investigating and punishing transgressors - perhaps in an unlawful

manner (Johnston, 1996; Silke, 2001). Trust must be developed to create and
perpetuate a candid and constant line of communication between victims and
law enforcement, so that each party can help the other in their collective goals of
preempting and addressing computer crime. Computer crime investigative task
forces as computer crime originating in the United States often implicates interstate
and international laws, many cases fall under federal jurisdiction.
Federal
collaboration with local law enforcement and prosecutors to share intelligence
and efforts through teamwork has demonstrated effectiveness in addressing
traditional crimes involving drugs, weapons, gangs, and violence(McGarrell &
Schlegel, 1993; RussellEinhorn, 2004).
By extension, many scholars and
practitioners have asserted the importance of forming comparable teams to
combat computer crime with the hope of similar positive outcomes (see e.g.,
Conly & McEwen, 1990).
Research has recently been conducted to determine how such task forces
might best meet the needs of law enforcement, the private sector, and
societal members at large (Hinduja, 2004). The findings have provided some
insight into the formation and organization of these dedicated teams. Most
importantly, it appears that their investigative functions should be structured
in a way that concentrates effort and attention on equipping personnel to
accomplish
their
goals. Characteristics of three areas should distinguish a
specialized computer crime task force from a traditional police unit: recruiting,
mentorship, and promotion practices; training requirements; and outsourcing to the
private sector. In the following text, each of these characteristics is elaborated in
the context of a hypothetical computer crime unit.
Recruiting, Mentorship, and Promotion
The United States Department of Justices Weed and Seed Program and
Project Safe Neighborhoods are two examples. To begin, individuals who seek to
become a part of the unit must have at least three years of experience as sworn
law enforcement officers to ensure familiarity with their role as an agent of the
state, as well as insight into the dynamics of the US criminal justice system. They
should also be recommended by their supervising officer as highly technicallyinclined and possessing character qualities essential to succeeding as an
investigator - such as attention to detail, patience, excellent communication skills,
and first-rate integrity. New recruits would then be charged with obtaining
experience in some of the more mundane duties of the department. For
example, new members of the unit would be responsible for assisting veterans
with the acquisition, safeguarding, and analysis of evidence, the processing of
paperwork to meet the requirements of the prosecuting team, the completion
and archiving of reports for the departments data collection purposes, and
the numerous telephone and face-to-face conversations related to specific
incidents with victims, witnesses, and informants.
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The key point is that new initiates would be specifically assigned to the tutelage and
supervision of a veteran investigator who would have the responsibility to assimilate
him or her into the culture of the unit and the investigation of computer crime cases
in general. This probationary period would last one year, after which time
new members would be assigned their own cases. The investigation of crimes
with comparatively little at stake - such as online credit card fraud, hate group
propaganda on the Internet, the digital counterfeiting of checks or currency
less than $1,000, software piracy, and minor unauthorized use of computing
resources - would be relegated to these neophytes. Ensconced veterans
would be in charge of crimes with more significant potential or actual
repercussions - such as cyber-terrorism, child pornography and identify theft
rings, network intrusions causing large-scale denial of service or data damage, hefty
financial losses to a victim, and those offenses with possible organized crime ties.
Concerning promotion, one would incorporate a typical hierarchical ladder of
positions
through
which
officers
would
ascend
incrementally after
demonstrating proficiency at their current level. If an investigator shows much
promise and has commendable case clearance and arrest rates with the type of
crimes currently assigned, he or she will be evaluated for
Computer Crime Investigations in the United States Sameer Hinduja promotion to
the next level where crimes with graver implications are addressed. With the
increased responsibility will come greater autonomy and, of course, greater
rewards contingent upon success at the new position. Greater autonomy will
ultimately result in authorization to conduct proactive investigations to preempt the
commission of computer crime before it occurs. Due to the controversial nature and
human rights implications of proactive strategies, only long-term, highly-skilled
veterans will be afforded this opportunity
Training Requirements
During the aforementioned probationary period, new recruits will be required
to attend numerous training workshops to deepen their knowledgebase with
regard to crimes facilitated by a computer. Technical sessions - on topics such as
network protocols, operating systems, encryption schemes, and forensic
analysis - will be complimented with legal sessions on topics such as the
application for, and execution of, search warrants in these cases, and the
importance of properly preserving and documenting evidentiary items and facts. In
the US, many of these training workshops are organized by federally-funded
entities and are administrated to law enforcement personnel at no charge.
Certification exams will also be administered to recruits to ensure that they have
truly learned the material taught, and can apply it to practical situations. Such
intensive training is essential to equip unit investigators to excel in their
positions.
Outsourcing to the Private Sector
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Proactive investigations introduce a host of techniques that alarm human

rights activists and privacy advocates, such as wire-tapping, database mining and
knowledge discovery, and grants of immunity and protection to informants. The
ethical nature of these techniques will continue to warrant debate, and violations to
civil rights must be precluded at all costs through policy and procedural guidelines
developed by agencies for their investigators (Brown, 2001).
Hinduja (2004) found through a survey of law enforcement agencies that when
presented with the options for more training, personnel, or equipment, law
enforcement agencies overwhelmingly declared a need for training over and above
the other resource provisions.
Hinduja (2004) discovered that the greatest training demands were in the areas of
search and seizure training, and evidence collection and processing.
This
speaks to the importance of accumulating knowledge and experience related
to the legal aspects of computer crime investigations over the need to acquire
more technical expertise.
For example, the National White Collar Crime Center holds workshops on basic and
advanced data recovery analysis at locations across the country throughout the
year.
The previous discussion appears to give no regard to the limited resources time, personnel, equipment, and knowledge with which most law enforcement
departments continually struggle.
Accordingly, the hypothesized computer
crime unit would develop partnerships with the private sector to mitigate the
relevance of initially inadequate resources. For example, it is presumed that
American corporations would want to act in ways that demonstrate an investment
in their local community for the purposes of maintaining and increasing
consumer allegiance, and to receive tax breaks.
As such, many of these
companies could donate equipment to the unit in the form of hardware, software,
and peripherals to meet law enforcements needs for investigative tools. Even the
time of a private sector employee might be provided non grata to the law
enforcement agency if and when a technical or legal question arises that
investigators are unable to answer, or when advice as to how to proceed in a case is
required. Simple telephone call betweenthese entities may be immeasurably
beneficial to crime solution and successful prosecution. With regard to computer
crime, some might argue that the entire investigative process be outsourced
to the business community. Historically, the privatization of investigations has
assisted public law enforcement by allowing them to concentrate on other
responsibilities, and has prevented their resources from being allocated in too
sparse a manner to be useful.
For example, Pinkerton's National Detective
Agency was created in 1852 (Kuykendall, 1986; Lyman, 2002), largely
stemming from vigilante forms of justice that prevailed in 18th and 19th
century rural America.
Vigilante justice has also reared its head in
cyberspace, most prominently with the defacement of websites related to the
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Taliban and the governments of Afghanistan, Pakistan, and Iran following the
September 11, 2001 terrorist attacks on America.
Indeed, the federal
government and private corporations have also engaged in self-help and have
launched counterattacks on computers that are used to penetrate or afflict their
systems (Schwartau, 1999). A primary sentiment shared by organizations who
strike back on their own terms is that law enforcement is impotent to competently
respond due to limited resources and intelligence, the slow pace at which
computer crime investigations tend to proceed, and the possibility that the
vulnerability will become public knowledge (Schwartau, 1999).
Computer Crime Investigations in the United States Sameer Hinduja Regardless of
the effectiveness of these retributive acts, these corporations are technically
engaging in criminal behavior subject to prosecution if caught. A mandate of
any partnerships between law enforcement and the private sector should
outline appropriate investigative and punitive responses by the latter, so that
law violation does not occur in an attempt to obtain justice. With this caveat in
mind, it appears a wiser solution would be to call upon American private
sector organizations to partially fulfill essential duties related to criminal
investigations. Their actions, in fact, may be more fruitful in facilitating an arrest or
case clearance than those of the public sector agency. To note, a host of companies
have arisen some with solely virtual storefronts on the Internet - that are
available for the outsourcing needs of individuals and businesses seeking
services of network security development and management, hard drive
forensic analyses and data recovery, and various other security-related tasks. It
might be argued that these firms possess the skill sets and resources to
competently assist law enforcement in their investigative duties, much like the
Pinkerton Detective Agency. Due in parts to the comparatively lucrative nature
of the business world, many of those who are technologically-skilled seek
employment in the private, rather than the public, sector. Additionally,
businesses are much more financially able to select and retain the most
proficient workers.
They are also in a better position to compile the
resources and develop the infrastructure necessary to provide computer crime
investigative services to other organizations and, of course, to profit from it.
By building a solid infrastructure around the components of recruiting,
mentorship, and promotion practices; training requirements; and outsourcing to
the private sector, the likelihood of successful computer crime investigations
are increased.
In time, it is very possible that some other unexpected
consequence will arise and affect either the Underscoring the utility of
employing a private business to aid in a criminal investigation; a victim of
auction fraud on [Link] contracted a private business to perform a reverse
cellular telephone lookup, which resulted in the discovery of the home address of
the perpetrator of the crime. After this information was retrieved, the victim
then got in contact with the law enforcement department that had jurisdiction
over the area in which the offender lived, and a sting was orchestrated which
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led to an arrest and case clearance of not only the current incident, but an
impressive array of similar auction frauds by the same individual (Smith, 2002).
investigative or prosecutorial effort, and policies will have to be adapted towards
closing any loopholes or vulnerabilities in the process. Structuring a
department in this manner, however, appears to hold the most promise with
which to assess and address computer-related criminality.
Discussion and Conclusion
Law enforcement will have to expand their investigative practices to competently
respond to the problem at hand; thankfully, they are not starting from squareone. A solid foundation has been laid through the years of modification and
refinement of traditional investigations, and through empirical research
assessing the relevance and efficacy of their techniques and procedures.
While not all are equally applicable to computer crime, much insight can be
gained from the past when developing sound policy to guide investigators in
the future. The preceding text has summarized key points from previous
research on traditional investigations in the United States, and has
extrapolated and applied certain best practices to computer crime
investigative efforts. Suggestions as to how to suitably create and manage a
specialized unit were also presented to inform American police departments
called to address these crimes in their jurisdiction.
The preceding recommendations are not sizable deviations from traditional
methods, but stem intuitively from principles with which law enforcement officials
are currently familiar. All that is generally required is awareness of particular
nuances associated with high-technology crimes to prevent investigative mistakes
from invalidating the criminal justice effort. The knowledgebase associated with
computer crime investigations will grow and be refined over time. Indeed, the
techniques and strategies should eventually become as second-nature to
investigators as are those they utilize to solve traditional forms of crime. The
hope is that with additional research by academics and experience
accumulated by practitioners, that time will come soon rather than later, as the
significance of crimes involving computers demands it.
Electronic Surveillance
What is Electronic Surveillance?
Electronic surveillance is a way of monitoring a home, business, or individual (using
a variety of devices such as CCTV, television, wiretapping, cameras, digital video
equipment, and other electronic, digital, and audio-visual means). Today, electronic
surveillance can also refer to surveillance done by or on a computer or mobile
phone. For example, computer surveillance can include e-mail tracking, internet
surveillance, remote PC surveillance, and other forms of monitoring a computer for

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suspicious activity. Mobile phone surveillance is quickly becoming a more important

tool as well.
Why Use Electronic Surveillance?
If you want to keep your home safe, electronic surveillance can help ensure that you
can monitor what is happening at your home even when you are away. If you want
to see what takes place at your business when you are gone, surveillance allows
you to be in two places at once. Electronic surveillance, a composite of video and
audio surveillance, gives you the most complete picture of what is happening in a
specific place at a specific time. It serves as a way for people to oversee behavior,
activity, and information for the purpose of protecting, managing, or influencing a
certain location.
Computer and Mobile Phone Surveillance
Increasingly, our lives revolve around our electronic devices. Information contained
in computers, tablets, and mobile devices can be extremely valuable when
conducting an investigation. Moreover, the security threat of unwanted access to
your computer or mobile device can have serious consequences. Computer and
phone surveillance are commonly used for investigations needing personal or
location data.
Computer Surveillance
Computer surveillance has evolved past simply your boss spying on your e-mails.
From malicious spyware to an employees activities, it is increasingly important that
businesses have a complete understanding about their computers. Failure to
monitor a computer can have many negative implications. Electronic surveillance
can alleviate or eliminate many fears business owners have regarding computer
security. For example, it can be an integral part of an infidelity investigation.
Mobile Phone Surveillance
Similar to monitoring a persons computer activity, electronic surveillance of mobile
phones is quickly becoming a viable means of gathering information. Geographical
location can easily be tracked and is extremely helpful when determining where a
subject may be. More often, text messages and phone records are being used as
evidence in court. Hiring a private investigator who specializes in electronic
surveillance can pay huge dividends in cases where mobile phones are involved.
Is It Legal?
In many states, there are laws that stipulate who can use surveillance techniques
and how (visit our page on audio surveillance laws to learn the audio surveillance
laws by state). Electronic surveillance laws are especially strict, simply because
there are so many ways that this type of surveillance can be used to invade privacy.
For this reason, it is imperative that you never attempt electronic surveillance
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yourself. Not only will any findings be potentially inadmissible in court, but you may
also find yourself facing a lawsuit. It is best to rely on an investigator who has
experience with electronic surveillance and knows the laws around it.
In many cases, electronic surveillance is used to stop or prevent crime, and so is
used to keep law-abiding citizens safe. If you need an investigation involving
surveillance, a private investigator can tell you exactly what will happen during the
investigation so that you can enjoy peace of mind.
Am I Under Electronic Surveillance?
If you leave your home, you are probably under some form of surveillance.
However, thanks to privacy laws, you likely have nothing to worry about (unless you
are doing something criminal). With that being said, many banks, businesses, and
companies use electronic surveillance to keep their companies and customers safe.
Increasingly, cities are following suit by installing cameras and other digital
monitoring devices in public places. In todays world, if you find yourself asking,
am I under surveillance? the answer is most likely yes. From your boss spying on
your computer and emails at work to the closed circuit surveillance system at the
gas station, chances are someone is monitoring your activity.
Do I Need An Electronic Surveillance Investigation?
If you want a better security system for your home or business, electronic
surveillance may be your best choice. Electronic surveillance systems are a
practical means for securing your home or business. The mechanical nature of
these electronic surveillance systems means they will never get bored, tired,
hungry, or need to take a break. If you need to see what is happening somewhere
else, this type of investigation can give you the best results. Seeing the facts on
video, in photographs, and in other audio-visual formats can give you the factual
information you need to win a case.
What Can I Expect From An Investigator Specializing in Electronic
Surveillance?
If you find the need to investigate your business or home, an investigator trained in
electronic surveillance will analyze and record any suspicious activity of criminal
action. The investigator's goal is to do whatever it takes to get video of the subject
and in many cases, this means discreetly following a subject to gather as much
evidence and video as possible. An investigator should be licensed in the state they
are serving, have equipment that properly records details (date and time), assure
you with a "plan of attack," and be an expert witness in the event that they would
need to testify in the case.
Forensic Investigation
How Forensic Lab Techniques Work
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When there is a murder, suspicious fire or hit-and-run accident, police and rescue
workers aren't the only ones in on the investigation. Forensic scientists also play an
important part. They will take samples collected at the scene and analyze them in a
forensics laboratory. With a little ingenuity and some very high-tech equipment,
forensic scientists can help law enforcement catch even the wiliest perpetrator.
Forensic science is a discipline that applies scientific analysis to the justice system,
often to help prove the events of a crime. Forensic scientists analyze and interpret
evidence found at the crime scene. That evidence can include blood, saliva, fibers,
tire tracks, drugs, alcohol, paint chips and firearm residue.
How Computer Forensics Works
How Fingerprinting Works
Curiosity Project: What can lead someone to violence?
Using scientific equipment, forensic scientists identify the components of the
samples and match them up. For example, they may determine that a paint chip
found on a hit-and-run accident victim came off a '96 Ford Mustang convertible, a
fiber found at a murder scene belonged to an Armani jacket or a bullet was fired
from a Glock G24 pistol.
History of Forensics
The history of forensic science dates back thousands of years. Fingerprinting was
one of its first applications. The ancient Chinese used fingerprints to identify
business documents. In 1892, a eugenicist (an adherent of the often prejudiced
system of scientific classification) named Sir Francis Galton established the first
system for classifying fingerprints. Sir Edward Henry, commissioner of the
Metropolitan Police of London, developed his own system in 1896 based on the
direction, flow, pattern and other characteristics in fingerprints. The Henry
Classification System became the standard for criminal fingerprinting techniques
worldwide.
In 1835, Scotland Yard's Henry Goddard became the first person to use physical
analysis to connect a bullet to the murder weapon. Bullet examination became
more precise in the 1920s, when American physician Calvin Goddard created the
comparison microscope to help determine which bullets came from which shell
casings. And in the 1970s, a team of scientists at the Aerospace Corporation in
California developed a method for detecting gunshot residue using scanning
electron microscopes.
Forensic Lab Safety
The job of a forensic scientist involves using a variety of chemicals, which can be
flammable, corrosive and even explosive if not handled properly. Here are a few tips
that forensic labs follow to ensure that their employees stay safe:
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Labs should have procedures in place for the use and disposal of chemicals, as well
as a safety plan in case of emergency (including a safety shower and eyewash
station).
Employees need to be well-trained in the use of all chemicals, understanding the
properties of each chemical and its potential to cause injury.
Lab technicians should wear the proper gear -- eyewear to protect against chemical
splashes and gloves to protect their hands.
Chemical containers should be properly labeled with the correct chemical name.
Flammable liquids should always be kept in special storage containers or a storage
room. Putting these types of chemicals in a regular refrigerator can lead to an
explosion.
In 1836, a Scottish chemist named James Marsh developed a chemical test to detect
arsenic, which was used during a murder trial. Nearly a century later, in 1930,
scientist Karl Landsteiner won the Nobel Prize for classifying human blood into its
various groups. His work paved the way for the future use of blood in criminal
investigations. Other tests were developed in the mid-1900s to analyze saliva,
semen and other body fluids as well as to make blood tests more precise.
With all of the new forensics techniques emerging in the early 20th century, law
enforcement discovered that it needed a specialized team to analyze evidence
found at crime scenes. To that end, Edmond Locard, a professor at the University of
Lyons, set up the first police crime laboratory in France in 1910. For his pioneering
work in forensic criminology, Locard became known as "the Sherlock Holmes of
France."
August Vollmer, chief of the Los Angeles Police, established the first American police
crime laboratory in 1924. When the Federal Bureau of Investigation (FBI) was first
founded in 1908, it didn't have its own forensic crime laboratory -- that wasn't set
up until 1932.
By the close of the 20th century, forensic scientists had a wealth of high-tech tools
at their disposal for analyzing evidence from polymerase chain reaction (PCR) for
DNA analysis, to digital fingerprinting techniques with computer search capabilities.
Forensic Drug Testing
Forensic labs are often called in to identify unknown powders, liquids and pills that
may be illicit drugs. There are basically two categories of forensic tests used to
analyze drugs and other unknown substances: Presumptive tests (such as color
tests) give only an indication of which type of substance is present -- but they can't
specifically identify the substance. Confirmatory tests (such as gas
chromatography/mass spectrometry) are more specific and can determine the
precise identity of the substance.
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Color tests expose an unknown drug to a chemical or mixture of chemicals. What

color the test substance turns can help determine the type of drug that's present?
Here are a few examples of color tests:
Other drug tests include ultraviolet spectrophotometry, which analyzes the way the
substance reacts to ultraviolet (UV) and infrared (IR) light. A spectrophotometry
machine emits UV and IR rays, and then measures how the sample reflects or
absorbs these rays to give a general idea of what type of substance is present.
A more specific way to test drugs is with the microcrystalline test in which the
scientist adds a drop of the suspected substance to a chemical on a slide. The
mixture will begin to form crystals. Each type of drug has an individual crystal
pattern when seen under a polarized light microscope.
Gas chromatography/mass spectrometry isolates the drug from any mixing agents
or other substances that might be combined with it. A small amount of the
substance is injected into the gas chromatograph. Different molecules move
through the chromatograph's column at different speeds based on their density. For
example, heavier compounds move more slowly, while lighter compounds move
more quickly. Then the sample is funneled into a mass spectrometer, where an
electron beam hits it and causes it to break apart. How the substance breaks apart
can help the technicians tell what type of substance it is.
Forensic Paint Analysis and Arson Investigation
Forensic scientists are sometimes called to help analyze evidence left from a hitand-run or possible case of arson. They have special techniques to study what's
often small or extremely damaged evidence.
Paint Analysis
Sometimes forensic scientists need to analyze a paint sample -- for example, if a
paint chip is found on the body of a hit-and-run victim and investigators are trying
to match it to a make and model of car.
First, the scientists look at the appearance of the sample -- its color, thickness and
texture. They examine the sample under a polarized light microscope to view its
different layers. Then they can use one of several tests to analyze the sample:
Fourier transform infrared (FTIR) spectrometry determines the type of paint
(chemicals, pigments, etc.) by analyzing the way in which its various components
absorb infrared light.
Solvent tests expose the paint sample to various chemicals to look for reactions
such as swelling, softening, curling and color changes.

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Pyrolysis gas chromatography/mass spectrometry helps distinguish paints that have

the same color, but a different chemical composition. The paint sample is heated
until it breaks into fragments, and then is separated into its various components.
Arson Investigations
To light a fire, arsonists need a flammable material and an accelerant (such as
kerosene or gas). Arson investigators look for these items when they're
investigating the crime scene. Because all that's usually left of the evidence is
charred remains, the investigators will collect fire debris and take it back to the
forensics lab for analysis.
Samples are sealed in airtight containers and then tested for residues of accelerant
liquid that might have been used to start the fire. These are the most common tests
performed by forensics labs during an arson investigation:
Static headspace heats the sample, causing the residue to separate out and
vaporize into the top, or "headspace" of the container. That residue is then injected
into a gas chromatograph, where it's broken apart to analyze its chemical structure.
Passive headspace heats the sample and the residue collects onto a carbon strip in
the container. Then the residue collected is injected into a gas chomatograph/mass
spectrometer for analysis.
Dynamic headspace bubbles liquid nitrogen gas through the sample and captures
the residue onto an absorbent trap. The trapped compounds are then analyzed
using gas chromatography.
Murder Investigations
A forensic analyst holds DNA samples that will be used to identify and prosecute a
suspected serial killer.
Mario Villafuerte/Getty Images
A forensic analyst holds
DNA samples.
Murder scenes can produce a wealth of evidence, from shell casings to human blood
and hair. Investigators gather all of this evidence, and forensic technicians analyze
it in various ways, based on the type of evidence:
Gunshot residue:
When a gun is fired, residue exits the gun behind the bullet. Traces of this residue
can land on the hands of the person firing the weapon or on the victim. Police use
tape or a swab to lift residue off the hands of a suspected shooter. Then the
forensics technician uses a scanning electron microscope to examine the sample.
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Because elements in gunpowder have a unique X-ray signature, examination under

the electron microscope can help determine whether the substance is actually
gunshot residue. Technicians will also use dithiooxamide (DTO), sodium rhodizonate
or the Greiss test to detect the presence of chemicals produced when a gun is fired.
Fibers:
Infrared spectrometry/spectroscopy identifies substances by passing infrared
radiation through them and then detecting how much of the radiation they absorb.
It can identify the structure and chemical components of various substances like
soil, paint or fibers. With this technique, forensic technicians can match fibers found
on a victim's body to those in a piece of clothing or furniture.
Fingerprints:
Fingerprinting relies on the unique pattern of loops, arches and whorls that covers
each person's fingertips. There are two types of fingerprints. Visible prints are made
on a card, or on a type of surface that creates an impression, such as blood or dirt.
Latent prints are made when sweat, oil and other substances on the skin reproduce
the fingerprints on a glass, murder weapon or any other surface the perpetrator has
touched. These prints can't be seen with the naked eye, but they can be made
visible using dark powder, lasers or other light sources.
One method forensics labs use to make latent prints visible uses cyanocrylate -- the
same ingredient in superglue. When it's heated inside a fuming chamber,
cyanocrylate releases a vapor that interacts with the amino acids in a latent
fingerprint, creating a white print. Technicians may also use a wandlike tool that
heats up a mixture of cyanocrylate and fluorescent pigment. The tool then releases
gases on the latent prints, to fix and stain them on the paper. Other chemicals that
react with oils in fingerprints to reveal latent prints include silver nitrate (the
chemical in black-and-white film), iodine, ninhydrin and zinc chloride.
Body fluids:
A number of tests are used to analyze blood, semen, saliva and other bodily fluids:
Semen:
To test a sample to see whether it contains semen, technicians use acid
phosphatase, an enzyme found in semen. If the test turns purple within a minute,
it's positive for semen. To confirm the results, technicians look at stained slides of
the sample under a microscope. The stain colors the heads of the sperm red and the
tails green (which is why the test is referred to as the "Christmas tree stain").
Blood:

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the Kastle-Meyer test uses a substance called phenolphthalein, which is normally

colorless, but turns pink in the presence of blood. Another test for blood is luminal,
which is sprayed over a room to detect even the tiniest droplets of blood.
Saliva:
The phadebas amylase test is used to detect a-amylase, an enzyme in human
saliva. If amylase is present, a blue dye will be released.
DNA analysis:
DNA is the unique genetic fingerprint that distinguishes one person from another.
No two people share the same DNA (with the exception of identical twins). Today,
forensic scientists can identify a person from just a few tiny blood or tissue cells
using a technique called polymerase chain reaction (PCR). This technique can make
millions of copies of DNA from a tiny sample of genetic material.
Bloodstain Pattern Analysis
If you're flipping channels one day and come upon a crime scene as depicted on one of the many TV shows that focus on forensic science -- like "CSI" or "Dexter" -you may have noticed something that seems pretty unusual. Amongst the
technicians dusting for fingerprints and collecting hair fibers at the murder scene,
the camera pans on an array of red strings running from the floor, the wall, the
table and the sofa. All of the strings seem to meet in a specific area.
Suddenly, an investigator begins recounting aspects of the crime, like when it
happened, where the assault took place in the room, what kind of weapon was used
on the victim and how close the assailant was to him. How could he have learned
that information from strings?
The strings themselves aren't important. They're simply a tool to help investigators
and analysts draw conclusions about a substance that's often found at crime
scenes: blood. We've become used to hearing how blood samples are used to
identify someone through DNA. But the blood itself -- where it lands, how it lands, its
consistency and the size and shape of the blood droplets, or spatter -- can
determine a lot of significant aspects of the crime.
Of course, analyzing blood splatter isn't nearly as simple as fictional bloodstain
pattern analysts like Dexter Morgan might make it appear to be. Experts in the field
often say that it's as much an art as it is a science. If there happen to be multiple
victims and multiple assailants, it becomes even more complex. But a well-trained
and seasoned bloodstain pattern analyst can often provide key information that
leads to arrest and conviction.
Basics of Blood

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As unpleasant as it is to deal with, when a crime results in bloodshed, the blood left
behind functions as evidence for investigators. A bloodstain pattern analyst can't
simply glance at drips and smears of blood and immediately tell you the who, what
and when of a crime scene. Blood spatter analysis takes time and is just one piece
of the puzzle when investigators are putting together the elements of a crime.
However, bloodstain pattern analysis can corroborate other evidence and lead
investigators to seek additional clues. After close analysis, blood spatters can
indicate important information such as:
Type and velocity of weapon
Number of blows
Handedness of assailant (assailants tend to strike with their dominant hand on the
opposite side of the victim's body)
Position and movements of the victim and assailant during and after the attack
Which wounds were inflicted first?
Type of injuries
How long ago the crime was committed
Whether death was immediate or delayed
Blood spatters can lead to the recreation of a crime because of how blood behaves.
Blood leaves the body as a liquid that follows the laws of motion and gravity. It
travels in spherical drops due to surface tension. Blood molecules are very cohesive,
or attracted to each other, so they squeeze against each other until they form a
shape with the smallest area possible. These drops behave in predictable ways
when they strike a surface or a force acts upon them.
Imagine what happens when you spill water droplets on the floor. The water falls
slowly to the ground, making a circular puddle. The shape and size of the puddle
depends on how much water you pour, how high you hold the water glass and
whether you're spilling it on carpet, wood, linoleum or some other surface. A lot of
water makes a larger puddle. If the water falls from a distance, the puddle will be
smaller in diameter. A hard surface will retain more of a circular shape, while carpet
absorbs some of the water and makes the edges spread.
DRIED AND CLOTTED
Over time, blood spatters dry. How quickly this happens depends on the surface
where the blood landed, how much blood is contained in the spatter, and the heat
and humidity in the crime scene. The outer edges dry first. A really dry blood
spatter can skeletonize, flaking off and leaving a ring around the original diameter

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of the spatter. An analyst can help to pinpoint when the crime occurred based off
the dryness of the blood.
Although initially it behaves as a liquid, blood eventually begins to clot after it
leaves the body. Clotting can occur within 15 minutes. If some blood spatters are
more clotted than others, it can indicate that multiple blows or gunshots occurred
over a period of time.
Blood spatters can also contain bits of tissue and bone. This usually points to a highimpact spatter, and the type of tissue can help to determine the depth and severity
of the injuries that were sustained in the attack.
THE WAY OF THE GUN
If a gunshot occurred at close range, the victim might have stippling, or burns on his
skin from gunpowder. Shots fired at very close range can also cause internal muzzle
staining. When this happens, the victim's blood is sucked back into the gun's muzzle
by the cooling of the explosive gases that are released when a short is fired. Testing
the gun's muzzle for blood can provide an additional clue to solve a case.
Stringing, Sine and Spatter Shapes
The technique of "stringing" -- attaching strings to each spatter to see where they
converge -- is just one way to determine the area of convergence, or source of the
blood. Most TV shows, like "Dexter," focus only on the analyst looking at the strings
and making statements about the crime, not on the process involved. In the
stringing method, which is still used by many analysts, the analyst documents the
location of each spatter using the coordinate system. Then, he or she establishes a
level line to show how the spatter is oriented in relation to the floor and ceiling.
Using elastic string, the analyst draws lines from each spatter through the level line.
Then, he or she uses a protractor on the level line in the area where the strings
converge to determine the angle of flight for each spatter. If the spatters are mostly
on a wall, the analyst can measure the distance from the area of convergence to the
wall to find out where the victim was located.
Some analysts use trigonometric calculations to find the area of convergence, which
basically means that they use triangles to figure it out. The measurements of the
blood stain become the sides of a right triangle. The length of the stain is the
triangle's hypotenuse, and its width is the side opposite the angle the analyst is
trying to find.
First, the analyst has to locate each spatter and measure its length and width using
a scale, a ruler or calipers. Then, he or she computes the angle using this formula:
Angle of impact = arc sin (opposite side/hypotenuse)
Here's what an analyst has to do to for this to work:
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Measure the length and width of the splatter.

Divide the width of the splatter by its length.
Determine the arc sin of that number, typically using a calculator with an arc sin
function.
A drop of blood that fell perfectly vertically, or at a 90-degree angle, will be round.
As the angle of impact increases, the drop of blood gets longer and develops a
"tail." This tail points in the direction that the drop travelled, but its length isn't part
of the measurements.
blood droplets elongate
The greater the difference between the width and length, the sharper the angle of
impact. For example, imagine a bloodstain 2 millimeters wide and 4 millimeters
long. The width divided by the length is 0.5. The arc sin of 0.5 is 30 -- so the blood
hit the surface at a 30-degree angle. In a bloodstain that is 1 millimeter wide and 4
millimeters long, the ratio between them is 0.25. In this case, the blood hit the
surface at about a 14-degree angle.
A third method involves taking the length and width of each blood spatter as well as
other measurements of the area and putting them into a computer program, such
as No More Strings. These programs create three-dimensional models and
animations of the crime scene and show the area of convergence. When used to
present evidence, computer programs can be more compelling and convincing than
jargon-filled expert testimony or two-dimensional photographs.
Area of convergence
So far, we've discussed how bloodstain pattern analysis can work when trained lawenforcement officers implement it correctly. We'll look at the history of bloodstain
pattern analysis, as well as an infamous case that contains botched bloodstain
pattern analysis practices,
BECOMING A BLOODSTAIN PATTERN ANALYST
The field of bloodstain pattern analysis requires knowledge of math, physics, biology
and chemistry. Students in Criminology and Criminal Justice learn about bloodstain
pattern analysis in forensic science classes or classes specifically on blood spatter.
But most analysts begin as law-enforcement officers who learn on the job, acquire
certifications and take courses, workshops and seminars. Many train in bloodstain
pattern (or blood spatter) analysis through the International Association of
Bloodstain Pattern Analysis (IABPA). The IABPA developed criteria for the Basic
Bloodstain Pattern Analysis Course, an introductory 40-hour course on the subject.
Other organizations, such as the International Association for Identification (IAP),
offer workshops and seminars as well as advanced courses which lead to
certification in blood spatter analysis. The Royal Canadian Mounted Police and the
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Ontario Police College both offer bloodstain pattern analysis understudy programs
to law-enforcement officers. The latter program is open to international candidates.
History of Blood Spatter Analysis
Although bloodstain pattern analysis has been studied since the late 1890s,
investigators haven't always recognized how valuable it can be. The first known
study of blood spatters occurred at the Institute for Forensic Medicine in Poland, by
Dr. Eduard Piotrowski. He eventually published the book "Concerning the Origin,
Shape, Direction and Distribution of the Bloodstains Following Head Wounds Caused
by Blows." Cases that included the interpretation of blood spatters didn't appear
until 50 years later.
In the highly publicized case of the State of Ohio v. Samuel Sheppard, an affidavit
concerning blood spatter evidence was entered by Dr. Paul Kirk. This 1955 case
marked one of the earliest instances of the legal system recognizing the importance
of blood spatter analysis. Dr. Kirk showed the position of the assailant and the
victim as well as showing that the assailant struck the victim with his left hand.
The next significant person in the field was [Link] MacDonell, who published
"Flight Characteristics of Human Blood and Stain Patterns" in 1971. MacDonell also
trained law-enforcement in blood spatter analysis and developed courses to
continue to train analysts. In 1983, he and other attendees of the first annual
Advanced Bloodstain Institute founded the International Association of Bloodstain
Pattern Analysts (IABPA). Since then, the field of bloodstain analysis has continued
to grow and develop. It has now become standard practice for law enforcement to
include during crime-scene investigation.
One infamous case that comes to the mind of many people when thinking about
blood spatter analysis also includes a line that became a catchphrase (thanks to
Meryl Streep in the movie "A Cry in the Dark" and Elaine Benes on "Seinfeld"): "The
dingo ate my baby.
Bloodstain Pattern Analysis in Action: The Chamberlain Case
In August 1980, the Chamberlain family was camping near a rock formation called
Ayers Rock in Central Australia. Lindy Chamberlain put two of her children, 4-yearold Reagan and 10-week-old Azaria, to bed in their tent. When she returned, she
cried "The dingo took my baby!"
According to Lindy, when she got to the tent she saw a dingo dragging something
out of it. She wasn't close enough to see what it was, but when she checked on the
children she saw that Azaria was missing. As the cry went out, she and her husband
Michael, along with other campers, began searching for Azaria. A nearby camper,
Sally Lowe, went into the tent to check on the still-sleeping Reagan. Seeing a small
pool of wet blood on the floor of the tent, she realized that Azaria was probably
already dead.
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When the head park ranger arrived, she showed him the blood as well as a torn and
bloody blanket and bloodstained items in the tent. Police offers took the blanket and
found bloodstains on the tent, but didn't take the bloodied clothes of the
Chamberlains until long afterwards.
When a tourist found the baby's jumpsuit near a dingo lair, it was only slightly torn
and bloody, but the snaps were still mostly closed. It was pleated down as if it had
been pulled off. The baby had been wearing other clothes that weren't found. A
police officer arrived on the scene, and as one tourist looked on in amazement, he
picked up the bloody jumpsuit and folded it. After a TV station crew showed up, a
reporter kept stating that the jumpsuit was found that way.
This continued to create more suspicion about the Chamberlains' involvement in
Azaria's death. The police claimed to have found bloodstains matching Lindy
Chamberlain's blood group in a cave near Ayers Rock. Initially, the small amount of
blood found in the tent was suspicious as well; only later testing of the bassinet
mattress showed that it had been saturated with enough blood to have resulted in
the death of a baby. Fluorescent examination of the jumpsuit showed that a bloody
mark consistent with the action of slitting a throat was present.
Throughout the case, the local police improperly handled blood spatter and other
evidence. They didn't photograph the scene or attempt to preserve materials found
there, which essentially rendered many of the conclusions that they reached invalid.
However, expert testimony proved to be enough to convict Lindy Chamberlain of
murder and her husband of being an accessory to murder. Three years later, after
another piece of Azaria's clothing was found, Lindy was released. The case officially
remains unsolved.
The Azaria Chamberlain case shows what can happen when law enforcement isn't
trained in blood spatter analysis. Once the scene is changed and clothing is washed,
there's no way of getting back that evidence. If the police had properly conducted
their investigation, the Chamberlains may have remained incarcerated, or they may
have been able to definitively prove that a dingo ate their baby.
Computer Forensics
When the company Enron declared bankruptcy in December 2001, hundreds of
employees were left jobless while some executives seemed to benefit from the
company's collapse. The United States Congress decided to investigate after
hearing allegations of corporate misconduct. Much of Congress' investigation relied
on computer files as evidence. A specialized detective force began to search
through hundreds of Enron employee computers using computer forensics.
The purpose of computer forensics techniques is to search, preserve and analyze
information on computer systems to find potential evidence for a trial. Many of the
techniques detectives use in crime scene investigations have digital counterparts,
but there are also some unique aspects to computer investigations.
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For example, just opening a computer file changes the file -- the computer records
the time and date it was accessed on the file itself. If detectives seize a computer
and then start opening files, there's no way to tell for sure that they didn't change
anything. Lawyers can contest the validity of the evidence when the case goes to
court.
Some people say that using digital information as evidence is a bad idea. If it's easy
to change computer data, how can it be used as reliable evidence? Many countries
allow computer evidence in trials, but that could change if digital evidence proves
untrustworthy in future cases.
Computers are getting more powerful, so the field of computer forensics must
constantly evolve. In the early days of computers, it was possible for a single
detective to sort through files because storage capacity was so low. Today, with
hard drives capable of holding gigabytes and even terabytes of data, that's a
daunting task. Detectives must discover new ways to search for evidence without
dedicating too many resources to the process.

Computer Forensics Basics

The field of computer forensics is relatively young. In the early days of computing,
courts considered evidence from computers to be no different from any other kind
of evidence. As computers became more advanced and sophisticated, opinion
shifted -- the courts learned that computer evidence was easy to corrupt, destroy or
change.
Investigators realized that there was a need to develop specific tools and processes
to search computers for evidence without affecting the information itself. Detectives
partnered with computer scientists to discuss the appropriate procedures and tools
they'd need to use to retrieve evidence from a computer. Gradually, they developed
the procedures that now make up the field of computer forensics.
Usually, detectives have to secure a warrant to search a suspect's computer for
evidence. The warrant must include where detectives can search and what sort of
evidence they can look for. In other words, a detective can't just serve a warrant
and look wherever he or she likes for anything suspicious. In addition, the warrant's
terms can't be too general. Most judges require detectives to be as specific as
possible when requesting a warrant.
For this reason, it's important for detectives to research the suspect as much as
possible before requesting a warrant. Consider this example: A detective secures a
warrant to search a suspect's laptop computer. The detective arrives at the
suspect's home and serves the warrant. While at the suspect's home, the detective
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sees a desktop PC. The detective can't legally search the PC because it wasn't
included in the original warrant.
Every computer investigation is somewhat unique. Some investigations might only
require a week to complete, but others could take months. Here are some factors
that can impact the length of an investigation:

The expertise of the detectives

The number of computers being searched
The amount of storage detectives must sort through (hard drives, CDs, DVDs
and thumb drives)
Whether the suspect attempted to hide or delete information
The presence of encrypted files or files that are protected by passwords

IN PLAIN VIEW
The plain view doctrine gives detectives the authority to gather any evidence that is
in the open while conducting a search. If the detective in our example saw evidence
of a crime on the screen of the suspect's desktop PC, then the detective could use
that as evidence against the suspect and search the PC even though it wasn't
covered in the original warrant. If the PC wasn't turned on, then the detective would
have no authority to search it and would have to leave it alone.
Phases of a Computer Forensics Investigation
Judd Robbins, a computer scientist and leading expert in computer forensics, lists
the following steps investigators should follow to retrieve computer evidence:
Secure the computer system to ensure that the equipment and data are safe. This
means the detectives must make sure that no unauthorized individual can access
the computers or storage devices involved in the search. If the computer system
connects to the Internet, detectives must sever the connection.
Find every file on the computer system, including files that are encrypted, protected
by passwords, hidden or deleted, but not yet overwritten. Investigators should make
a copy of all the files on the system. This includes files on the computer's hard drive
or in other storage devices. Since accessing a file can alter it, it's important that
investigators only work from copies of files while searching for evidence. The
original system should remain preserved and intact.
Recover as much deleted information as possible using applications that can detect
and retrieve deleted data.
Reveal the contents of all hidden files with programs designed to detect the
presence of hidden data.
Decrypt and access protected files.

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Analyze special areas of the computer's disks, including parts that are normally
inaccessible. (In computer terms, unused space on a computer's drive is called
unallocated space. That space could contain files or parts of files that are relevant
to the case.)
Document every step of the procedure. It's important for detectives to provide proof
that their investigations preserved all the information on the computer system
without changing or damaging it. Years can pass between an investigation and a
trial, and without proper documentation, evidence may not be admissible. Robbins
says that the documentation should include not only all the files and data recovered
from the system, but also a report on the system's physical layout and whether any
files had encryption or were otherwise hidden.
Be prepared to testify in court as an expert witness in computer forensics. Even
when an investigation is complete, the detectives' job may not be done. They may
still need to provide testimony in court [source: Robbins].
All of these steps are important, but the first step is critical. If investigators can't
prove that they secured the computer system, the evidence they find may not be
admissible. It's also a big job. In the early days of computing, the system might
have included a PC and a few floppy disks. Today, it could include multiple
computers, disks, thumb drives, external drives, peripherals and Web servers.
Some criminals have found ways to make it even more difficult for investigators to
find information on their systems. They use programs and applications known as
anti-forensics. Detectives have to be aware of these programs and how to disable
them if they want to access the information in computer systems.
Anti-Forensics
Anti-forensics can be a computer investigator's worst nightmare. Programmers
design anti-forensic tools to make it hard or impossible to retrieve information
during an investigation. Essentially, anti-forensics refers to any technique, gadget or
software designed to hamper a computer investigation.
There are dozens of ways people can hide information. Some programs can fool
computers by changing the information in files' headers. A file header is normally
invisible to humans, but it's extremely important -- it tells the computer what kind of
file the header is attached to. If you were to rename an mp3 file so that it had a .gif
extension, the computer would still know the file was really an mp3 because of the
information in the header. Some programs let you change the information in the
header so that the computer thinks it's a different kind of file. Detectives looking for
a specific file format could skip over important evidence because it looked like it
wasn't relevant.
Other programs can divide files up into small sections and hide each section at the
end of other files. Files often have unused space called slack space. With the right
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program, you can hide files by taking advantage of this slack space. It's very
challenging to retrieve and reassemble the hidden information.
It's also possible to hide one file inside another. Executable files -- files that
computers recognize as programs -- are particularly problematic. Programs called
packers can insert executable files into other kinds of files, while tools called binders
can bind multiple executable files together.
Encryption is another way to hide data. When you encrypt data, you use a complex
set of rules called an algorithm to make the data unreadable. For example, the
algorithm might change a text file into a seemingly meaningless collection of
numbers and symbols. A person wanting to read the data would need the
encryption's key, which reverses the encryption process so that the numbers and
symbols would become text. Without the key, detectives have to use computer
programs designed to crack the encryption algorithm. The more sophisticated the
algorithm, the longer it will take to decrypt it without a key.
Other anti-forensic tools can change the metadata attached to files. Metadata
includes information like when a file was created or last altered. Normally you can't
change this information, but there are programs that can let a person alter the
metadata attached to files. Imagine examining a file's metadata and discovering
that it says the file won't exist for another three years and was last accessed a
century ago. If the metadata is compromised, it makes it more difficult to present
the evidence as reliable.
Some computer applications will erase data if an unauthorized user tries to access
the system. Some programmers have examined how computer forensics programs
work and have tried to create applications that either block or attack the programs
themselves. If computer forensics specialists come up against such a criminal, they
have to use caution and ingenuity to retrieve data.
A few people use anti-forensics to demonstrate how vulnerable and unreliable
computer data can be. If you can't be sure when a file was created, when it was last
accessed or even if it ever existed, how can you justify using computer evidence in
a court of law? While that may be a valid question, many countries do accept
computer evidence in court, though the standards of evidence vary from one
country to another.
Standards of Computer Evidence
In the United States, the rules are extensive for seizing and using computer
evidence. The U.S. Department of Justice has a manual titled "Searching and Seizing
Computers and Obtaining Electronic Evidence in Criminal Investigations." The
document explains when investigators are allowed to include computers in a search,
what kind of information is admissible, how the rules of hearsay apply to computer
information and guidelines for conducting a search.

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If the investigators believe the computer system is only acting as a storage device,
they usually aren't allowed to seize the hardware itself. This limits any evidence
investigation to the field. On the other hand, if the investigators believe the
hardware itself is evidence, they can seize the hardware and bring it to another
location. For example, if the computer is stolen property, then the investigators
could seize the hardware.
In order to use evidence from a computer system in court, the prosecution must
authenticate the evidence. That is, the prosecution must be able to prove that the
information presented as evidence came from the suspect's computer and that it
remains unaltered.
Although it's generally acknowledged that tampering with computer data is both
possible and relatively simple to do, the courts of the United States so far haven't
discounted computer evidence completely. Rather, the courts require proof or
evidence of tampering before dismissing computer evidence.
Another consideration the courts take into account with computer evidence is
hearsay. Hearsay is a term referring to statements made outside of a court of law. In
most cases, courts can't allow hearsay as evidence. The courts have determined
that information on a computer does not constitute hearsay in most cases, and is
therefore admissible. If the computer records include human-generated statements
like e-mail messages, the court must determine if the statements can be considered
trustworthy before allowing them as evidence. Courts determine this on a case-bycase basis.
Computer Forensics Tools
Programmers have created many computer forensics applications. For many police
departments, the choice of tools depends on department budgets and available
expertise.
Here are a few computer forensics programs and devices that make computer
investigations possible:
Disk imaging software records the structure and contents of a hard drive. With such
software, it's possible to not only copy the information in a drive, but also preserve
the way files are organized and their relationship to one another.
Software or hardware write tools copy and reconstruct hard drives bit by bit. Both
the software and hardware tools avoid changing any information. Some tools require
investigators to remove hard drives from the suspect's computer first before making
a copy.
Hashing tools compare original hard disks to copies. The tools analyze data and
assign it a unique number. If the hash numbers on an original and a copy match, the
copy is a perfect replica of the original.
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Investigators use files recovery programs to search for and restore deleted data.
These programs locate data that the computer has marked for deletion but has not
yet overwritten. Sometimes this results in an incomplete file, which can be more
difficult to analyze.
There are several programs designed to preserve the information in a computer's
random access memory (RAM). Unlike information on a hard drive, the data in RAM
ceases to exist once someone shuts off the computer. Without the right software,
this information could be lost easily.
Analysis software sifts through all the information on a hard drive, looking for
specific content. Because modern computers can hold gigabytes of information, it's
very difficult and time consuming to search computer files manually. For example,
some analysis programs search and evaluate Internet cookies, which can help tell
investigators about the suspect's Internet activities. Other programs let
investigators search for specific content that may be on the suspect's computer
system.
Encryption decoding software and password cracking software are useful for
accessing protected data.
These tools are only useful as long as investigators follow the right procedures.
Otherwise, a good defense lawyer could suggest that any evidence gathered in the
computer investigation isn't reliable. Of course, a few anti-forensics experts argue
that no computer evidence is completely reliable.
Whether courts continue to accept computer evidence as reliable remains to be
seen. Anti-forensics experts argue that it's only a matter of time before someone
proves in a court of law that manipulating computer data without being detected is
both possible and plausible. If that's the case, courts may have a hard time
justifying the inclusion of computer evidence in a trial or inv PHONING IT IN
Cell phones can contain important information on them. A cell phone is essentially a
small computer. A few computer forensics vendors offer devices that can copy all
the contents in a cell phone's memory and print up a comprehensive report. These
devices retrieve everything from text messages to ring tones.
Investigation
Crime Scene Investigation
On TV shows like "CSI," viewers get to watch as investigators find and collect
evidence at the scene of a crime, making blood appear as if by magic and swabbing
every mouth in the vicinity. Many of us believe we have a pretty good grip on the
process, and rumor has it criminals are getting a jump on the good guys using tips
they pick up from these shows about forensics.

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But does Hollywood get it right? Do crime scene investigators follow their DNA
samples into the lab? Do they interview suspects and catch the bad guys, or is their
job all about collecting physical evidence? In this article, we'll examine what really
goes on when a CSI "processes a crime scene" and get a real-world view of crime
scene investigation from a primary scene responder with the Colorado Bureau of
Investigation.
CSI Basics
Crime scene investigation is the meeting point of science, logic and law. "Processing
a crime scene" is a long, tedious process that involves purposeful documentation of
the conditions at the scene and the collection of any physical evidence that could
possibly illuminate what happened and point to who did it. There is no typical crime
scene, there is no typical body of evidence and there is no typical investigative
approach.
At any given crime scene, a CSI might collect dried blood from a windowpane -without letting his arm brush the glass in case there are any latent fingerprints
there, lift hair off a victim's jacket using tweezers so he doesn't disturb the fabric
enough to shake off any of the white powder (which may or may not be cocaine) in
the folds of the sleeve, and use a sledge hammer to break through a wall that
seems to be the point of origin for a terrible smell.
Who's at the Scene?
Police officers are typically the first to arrive at a crime scene. They arrest the
perpetrator is he's still there and call for an ambulance if necessary. They are
responsible for securing the scene so no evidence is destroyed.
The CSI unit documents the crime scene in detail and collects any physical
evidence.
The district attorney is often present to help determine if the investigators require
any search warrants to proceed and obtain those warrants from a judge.
The medical examiner (if a homicide) may or may not be present to determine a
preliminary cause of death.
Specialists (entomologists, forensic scientists, and forensic psychologists) may be
called in if the evidence requires expert analysis.
Detectives interview witnesses and consult with the CSI unit. They investigate the
crime by following leads provided by witnesses and physical evidence.
All the while, the physical evidence itself is only part of the equation. The ultimate
goal is the conviction of the perpetrator of the crime. So while the CSI scrapes off
the dried blood without smearing any prints, lifts several hairs without disturbing
any trace evidence and smashes through a wall in the living room, he's considering
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all of the necessary steps to preserve the evidence in its current form, what the lab
can do with this evidence in order to reconstruct the crime or identify the criminal,
and the legal issues involved in making sure this evidence is admissible in court.
The investigation of a crime scene begins when the CSI unit receives a call from the
police officers or detectives on the scene. The overall system works something like
this:
The CSI arrives on the scene and makes sure it is secure. She does an initial walkthrough to get an overall feel for the crime scene, finds out if anyone moved
anything before she arrived, and generates initial theories based on visual
examination. She makes note of potential evidence. At this point, she touches
nothing.
The CSI thoroughly documents the scene by taking photographs and drawing
sketches during a second walk-through. Sometimes, the documentation stage
includes a video walk-through, as well. She documents the scene as a whole and
documents anything she has identified as evidence. She still touches nothing.
Now it's time to touch stuff -- very, very carefully. The CSI systematically makes her
way through the scene collecting all potential evidence, tagging it, logging it and
packaging it so it remains intact on its way to the lab. Depending on the task
breakdown of the CSI unit she works for and her areas of expertise, she may or may
not analyze the evidence in the lab.
The crime lab processes all of the evidence the CSI collected at the crime scene.
When the lab results are in, they go to the lead detective on the case.
Every CSI unit handles the division between field work and lab work differently.
What goes on at the crime scene is called crime scene investigation (or crime scene
analysis), and what goes on in the laboratory is called forensic science. Not all CSIs
are forensic scientists. Some CSIs only work in the field -- they collect the evidence
and then pass it to the forensics lab. In this case, the CSI must still possess a good
understanding of forensic science in order to recognize the specific value of various
types of evidence in the field. But in many cases, these jobs overlap.
Joe Clayton is a primary crime scene responder at the Colorado Bureau of
Investigation (CBI). He has 14 years of field experience and also is an expert in
certain areas of forensic science. As Clayton explains, his role in laboratory analysi s
varies according to the type of evidence he brings back from the crime scene:
Depending on what scientific examinations are needed or requested, I may be
involved in the actual "bench work" once the evidence is submitted to the
laboratory. I have expertise in blood pattern identification (blood spatter), trajectory
determination, serology (blood and body fluids), and photography. I also have
knowledge in many other areas (firearms, fingerprints, questioned documents...)
that may assist me at the scene. As a primary crime scene responder at the CBI, my
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role at the scene may involve one or more of my particular disciplines. While I would
not do a functionality test on a firearm here at the laboratory, my role at the crime
scene would be to collect the gun and understand its potential evidentiary
significance.
Scene Recognition
When a CSI arrives at a crime scene, he doesn't just jump in and start recovering
evidence. The goal of the scene recognition stage is to gain an understanding of
what this particular investigation will entail and develop a systematic approach to
finding and collecting evidence. At this point, the CSI is only using his eyes, ears,
nose, some paper and a pen.
The first step is to define the extent of the crime scene. If the crime is a homicide,
and there is a single victim who was killed in his home, the crime scene might be
the house and the immediate vicinity outside. Does it also include any cars in the
driveway? Is there a blood trail down the street? If so, the crime scene might be the
entire neighborhood. Securing the crime scene -- and any other areas that might
later turn out to be part of the crime scene -- is crucial. A CSI really only gets one
chance to perform a thorough, untainted search -- furniture will be moved, rain will
wash away evidence, detectives will touch things in subsequent searches, and
evidence will be corrupted.
Special thanks to Joe Clayton, Laboratory Agent and primary scene responder for
the Colorado Bureau of Investigation, for his generous assistance with this article.
Usually, the first police officers on the scene secure the core area -- the most
obvious parts of the crime scene where most of the evidence is concentrated. When
the CSI arrives, he will block off an area larger than the core crime scene because
it's easier to decrease the size of a crime scene than to increase it -- press vans and
onlookers may be crunching through the area the CSI later determines is part of the
crime scene. Securing the scene involves creating a physical barrier using crime
scene tape or other obstacles like police officers, police cars or sawhorses, and
removing all unnecessary personnel from the scene. A CSI might establish a "safe
area" just beyond the crime scene where investigators can rest and discuss issues
without worrying about destroying evidence.
Once the CSI defines the crime scene and makes sure it is secure, the next step is
to get the district attorney involved, because if anyone could possibly have an
expectation of privacy in any portion of the crime scene, the CSI needs search
warrants. The evidence a CSI recovers is of little value if it's not admissible in court.
A good CSI errs on the side of caution and seldom searches a scene without a
warrant.
With a search warrant on the books, the CSI begins a walk-through of the crime
scene. He follows a pre-determined path that is likely to contain the least amount of
evidence that would be destroyed by walking through it. During this initial walk330

through, he takes immediate note of details that will change with time: What's the
weather like? What time of day of day is it? He describes any notable smells (gas?
decomposition?), sounds (water dripping? smoke alarm beeping?), and anything
that seems to be out of place or missing. Is there a chair pushed up against a door?
Is the bed missing pillows? This is also the time to identify any potential hazards,
like a gas leak or an agitated dog guarding the body, and address those
immediately.
The CSI calls in any specialists or additional tools he thinks he'll need based on
particular types of evidence he sees during the recognition stage. A t-shirt stuck in a
tree in the victim's front yard may require the delivery of a scissor lift to the scene.
Evidence such as blood spatter on the ceiling or maggot activity on the corpse
requires specialists to analyze it at the scene. It's hard to deliver a section of the
ceiling to the lab for blood spatter analysis, and maggot activity changes with each
passing minute. Mr. Clayton happens to be an expert in blood spatter analysis, so he
would perform this task in addition to his role as crime scene investigator.
During this time, the CSI talks to the first responders to see if they touched anything
and gather any additional information that might be helpful in determining a plan of
attack. If detectives on the scene have begun witness interviews, they may offer
details that point the CSI to a particular room of the house or type of evidence. Was
the victim yelling at someone on the phone a half-hour before the police arrived? If
so, the Caller ID unit is a good piece of evidence. If an upstairs neighbor heard a
struggle and then the sound of water running, this could indicate a clean-up
attempt, and the CSI knows to look for signs of blood in the bathroom or kitchen.
Most CSIs, including Mr. Clayton, do not talk to witnesses. Mr. Clayton is a crime
scene investigator and a forensic scientist -- he has no training in proper interview
techniques. Mr. Clayton deals with the physical evidence alone and turns to the
detectives on the scene for any useful witness accounts.
The CSI uses the information he gathers during scene recognition to develop a
logical approach to this particular crime scene. There is no cookie-cutter approach
to crime scene investigation. As Mr. Clayton explains, the approach to a crime scene
involving 13 deaths in a high school (Mr. Clayton was one of the CSIs who processed
Columbine High School after the shootings there) and the approach to a crime
scene involving a person who was raped in a car are vastly different. Once the CSI
has formed a plan of attack to gather all of the evidence that could be relevant to
this particular crime, the next step is to fully document every aspect of the scene in
a way that makes it possible for people who weren't there to reconstruct it. This is
the scene-documentation stage.
Scene Documentation
The goal of crime-scene documentation is to create a visual record that will allow
the forensics lab and the prosecuting attorney to easily recreate an accurate view of
the scene. The CSI uses digital and film cameras, different types of film, various
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lenses, flashes, filters, a tripod, a sketchpad, graph paper, pens and pencils,
measuring tape, rulers and a notepad at this stage of the investigation. He may also
use a camcorder and a camera boom.
Scene documentation occurs during a second walk-through of the scene (following
the same path as the initial walk-through). If there is more than one CSI on the
scene (Mr. Clayton has been the sole CSI on a scene; he has also been one of
dozens), one CSI will take photos, one will create sketches, one will take detailed
notes and another might perform a video walk-through. If there is only one CSI, all
of these jobs are his.
Notes
Note-taking at a crime scene is not as straightforward as it may seem. A CSI's
training includes the art of scientific observation. Whereas a layperson may see a
large, brownish-red stain on the carpet, spreading outward from the corpse, and
write down "blood spreading outward from underside of corpse," a CSI would write
down "large, brownish-red fluid spreading outward from underside of corpse." This
fluid might be blood; it might also be decomposition fluid, which resembles blood at
a certain stage. Mr. Clayton explains that in crime scene investigation, opinions
don't matter and assumptions are harmful. When describing a crime scene, a CSI
makes factual observations without drawing any conclusions.
CSI photography
Joe Clayton's photography kit: He usually uses a digital Nikon D100 to photograph a
crime scene. He might also use a Nikon N8008s (35-mm film format) for special
applications.
Photographs
CSIs take pictures of everything before touching or moving a single piece of
evidence. The medical examiner will not touch the corpse until the CSI is done
photographing it and the surrounding area. There are three types of photographs a
CSI takes to document the crime scene: overviews, mid-views, and close-ups.
Overview shots are the widest possible views of the entire scene. If the scene is
indoors, this includes:
Views of all rooms (not just the room where the crime seems to have occurred), with
photos taken from each corner and, if a boom is present, overhead
Views of the outside of the building where the crime happened, including photos of
all entrances and exits
Views of the building showing its relation to surrounding structures
Photos of any spectators at the scene
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These last shots might identity a possible witness or even a suspect. Sometimes,
criminals do actually return to the scene of the crime (this is particularly true in
arson cases).
Mid-range photos come next. These shots show key pieces of evidence in context,
so the photo includes not only the evidence but also its location in a room and its
distance from other pieces of evidence.
Finally, the CSI takes close-ups of individual pieces of evidence, showing any serial
numbers or other identifying characteristics. For these pictures, the CSI uses a
tripod and professional lighting techniques to achieve the best possible detail and
clarity -- these photos in particular will provide the forensics lab with views to assist
in analyzing the evidence. The CSI also takes a second set of close-up shots that
includes a ruler for scale.
Every photo the CSI takes makes it into the photo log. This log documents the
details of every photo, including the photograph number, a description of the object
or scene in the photograph, the location of the object or scene, the time and date
the photograph was taken and any other descriptive details that might be relevant.
Without a good photo log, the pictures of the scene lose a lot of their value. In the
investigation of John F. Kennedy's assassination, the FBI photographers who
attended the autopsy didn't create descriptions of the pictures they were taking,
and investigators were later unable to distinguish between entrance and exit
wounds in the photos.
Cleanup Crews
Crime scene investigators do not clean up the scene -- neither do police officers,
detectives or anyone else involved in the investigation. The task of cleaning up a
gruesome crime scene often falls to the victim's family members. In the last 10
years, however, some people have recognized the need for hired crime-scene
cleaners to take care of the job so family members and landlords don't have to, and
some of these people have formed companies dedicated to the task. It's a dirty,
sometimes hazardous, very high-paying job. Crime-scene clean-up can run up to
$200 an hour on top of flat fees (in the thousands) and equipment costs. Cleaning
up a meth lab is especially expensive because of the risk to anyone who enters the
scene and the amount of work involved in making the area habitable again.
Sketches
In addition to creating a photographic record of the scene, CSIs also create sketches
to depict both the entire scene, which is easier to do in a sketch than in a
photograph because a sketch can span several rooms, and particular aspects of the
scene that will benefit from exact measurements. The goal is to show locations of
evidence and how each piece of evidence relates to rest of scene. The sketch artist
may indicate details like the height of a door frame, the exact size of the room, the

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distance from the window to the door and the diameter of the hole in the wall above
the victim's body.
Video
Scene documentation may also include a video walk-through, especially in major
cases involving serial killers or multiple homicides. A video recording can offer a
better feel for the layout of the crime scene -- how long it takes to get from one
room to another and how many turns are involved, for instance. Also, once the
investigation is further along, it may reveal something that was overlooked at the
scene because the investigators didn't know to look for it. During a video walkthrough, the CSI captures the entire crime scene and surrounding areas from every
angle and provides a constant audio narrative.
After the CSI has created a full record of the crime scene exactly as it was when he
arrived, it's time to collect the evidence. Now he starts touching things.
Finding the Evidence
Photo courtesy U.S. Aid
The goal of the evidence-collection stage is to find, collect and preserve all physical
evidence that might serve to recreate the crime and identify the perpetrator in a
manner that will stand up in court. Evidence can come in any form. Some typical
kinds of evidence a CSI might find at a crime scene include:
Trace evidence (gunshot residue, paint residue, broken glass, unknown chemicals,
drugs)
Impressions (fingerprints, footwear, tool marks)
Body fluids (blood, semen, saliva, vomit)
Hair and fibers
Weapons and firearms evidence (knives, guns, bullet holes, cartridge casings)
Questioned documents (diaries, suicide note, phone books; also includes electronic
documents like answering machines and caller ID units)
With theories of the crime in mind, CSIs begin the systematic search for
incriminating evidence, taking meticulous notes along the way. If there is a dead
body at the scene, the search probably starts there.
Examining the body
A CSI might collect evidence from the body at the crime scene or he might wait until
the body arrives at the morgue. In either case, the CSI does at least a visual

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examination of the body and surrounding area at the scene, taking pictures and
detailed notes.
Before moving the body, the CSI makes note of details including:
Are there any stains or marks on the clothing?
Is the clothing bunched up in particular direction? If so, this could indicate dragging.
Are there any bruises, cuts or marks on body? Any defense wounds? Any injuries
indicating, consistent with or inconsistent with the preliminary cause of death?
Is there anything obviously missing? Is there a tan mark where a watch or ring
should be?
If blood is present in large amounts, does the direction of flow follow the laws of
gravity? If not, the body may have been moved.
If no blood is present in the area surrounding the body, is this consistent with the
preliminary cause of death? If not, the body may have been moved.
Are there any bodily fluids present beside blood?
Is there any insect activity on the body? If so, the CSI may call in a forensic
entomologist to analyze the activity for clues as to how long the person has been
dead.
After moving the body, he performs the same examination of the other side of the
victim. At this point, he may also take the body temperature and the ambient room
temperature to assist in determining an estimated time of death (although most
forensic scientists say that time of death determinations are extremely unreliable -the human body is unpredictable and there are too many variables involved). He will
also take fingerprints of the deceased either at the scene or at the ME's office.
Once the CSI is done documenting the conditions of body and the immediately
surrounding area, technicians wrap the body in a white cloth and put paper bags
over the hands and feet for transportation to the morgue for an autopsy. These
precautions are for the purpose of preserving any trace evidence on the victim. A
CSI will usually attend the autopsy and take additional pictures or video footage and
collect additional evidence, especially tissue samples from major organs, for
analysis at the crime lab.
Examining the scene
There are several search patterns available for a CSI to choose from to assure
complete coverage and the most efficient use of resources. These patterns may
include:

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The inward spiral search: The CSI starts at the perimeter of the scene and works
toward the center. Spiral patterns are a good method to use when there is only one
CSI at the scene.
The outward spiral search: The CSI starts at the center of scene (or at the body)
and works outward.
The parallel search: All of the members of the CSI team form a line. They walk in a
straight line, at the same speed, from one end of crime scene to the other.
The grid search: A grid search is simply two parallel searches, offset by 90 degrees,
performed one after the other.
The zone search: In a zone search, the CSI in charge divides the crime scene into
sectors, and each team member takes one sector. Team members may then switch
sectors and search again to ensure complete coverage.
Consider This Crime scenes are three dimensional. CSIs should remember to look
up.
If a CSI shines a flashlight on the ground at various angles, even when there's
plenty of lighting, he'll create new shadows that could reveal evidence.
It's easy to recover DNA from cigarette butts.
While searching the scene, a CSI is looking for details including:
Are the doors and windows locked or unlocked? Open or shut? Are there signs of
forced entry, such as tool marks or broken locks?
Is the house in good order? If not, does it look like there was a struggle or was the
victim just messy?
Is there mail lying around? Has it been opened?
Is the kitchen in good order? Is there any partially eaten food? Is the table set? If so,
for how many people?
Are there signs of a party, such as empty glasses or bottles or full ashtrays?
If there are full ashtrays, what brands of cigarettes are present? Are there any
lipstick or teeth marks on the butts?
Is there anything that seems out of place? A glass with lipstick marks in a man's
apartment, or the toilet seat up in a woman's apartment? Is there a couch blocking
a doorway?
Is there trash in the trash cans? Is there anything out of the ordinary in the trash? Is
the trash in the right chronological order according to dates on mail and other

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papers? If not, someone might have been looking for something in the victim's
trash.
Do the clocks show the right time?
Are the bathroom towels wet? Are the bathroom towels missing? Are there any signs
of a cleanup?
If the crime is a shooting, how many shots were fired? The CSI will try to locate the
gun, each bullet, each shell casing and each bullet hole.
If the crime is a stabbing, is a knife obviously missing from victim's kitchen? If so,
the crime may not have been premeditated.
Are there any shoe prints on tile, wood or linoleum floors or in the area immediately
outside the building?
Are there any tire marks in the driveway or in the area around the
building?
Is there any blood splatter on floors, walls or ceilings?
The actual collection of physical evidence is a slow process. Each time the CSI
collects an item, he must immediately preserve it, tag it and log it for the crime
scene record. Different types of evidence may be collected either at the scene or in
lab depending on conditions and resources. Mr. Clayton, for instance, never
develops latent fingerprints at the scene. He always sends fingerprints to the lab for
development in a controlled environment. In the next section, we'll talk about
collection methods for specific types of evidence.
Evidence Collection
In collecting evidence from a crime scene, the CSI has several main goals in mind:
Reconstruct the crime, identify the person who did it, preserve the evidence for
analysis and collect it in a way that will make it stand up in court.
CBI Denver trace-evidence room
CBI Denver trace-evidence room
Trace evidence
Trace evidence might include gun-shot residue (GSR), paint residue, chemicals,
glass and illicit drugs. To collect trace evidence, a CSI might use tweezers, plastic
containers with lids, a filtered vacuum device and a knife. He will also have a
biohazard kit on hand containing disposable latex gloves, booties, face mask and
gown and a biohazard waste bag.

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If the crime involves a gun, the CSI will collect clothing from the victim and anyone
who may have been at the scene so the lab can test for GSR. GSR on the victim can
indicate a close shot, and GSR on anyone else can indicate a suspect. The CSI
places all clothing in sealed paper bags for transport to the lab. If he finds any illicit
drugs or unknown powders at the scene, he can collect them using a knife and then
seal each sample in a separate, sterile container. The lab can identify the
substance, determine its purity and see what else is in the sample in trace amounts.
These tests might determine drug possession, drug tampering or whether the
composition could have killed or incapacitated a victim.
Technicians discover a lot of the trace evidence for a crime in the lab when they
shake out bedding, clothing, towels, couch cushions and other items found at the
scene. At the CBI Denver Crime Lab, technicians shake out the items in a sterile
room, onto a large, white slab covered with paper.
The technicians then send any trace evidence they find to the appropriate
department. In the Denver Crime Lab, things like soil, glass and paint stay in the
trace-evidence lab, illicit drugs and unknown substances go to the chemistry lab,
and hair goes to the DNA lab.
Body fluids
Body fluids found at a crime scene might include blood, semen, saliva, and vomit.
To identify and collect these pieces of evidence, a CSI might use smear slides, a
scalpel, tweezers, scissors, sterile cloth squares, a UV light, protective eyewear and
luminol. He'll also use a blood collection kit to get samples from any suspects or
from a living victim to use for comparison.
If the victim is dead and there is blood on the body, the CSI collects a blood sample
either by submitting a piece of clothing or by using a sterile cloth square and a
small amount of distilled water to remove some blood from the body. Blood or saliva
collected from the body may belong to someone else, and the lab will perform DNA
analysis so the sample can be used later to compare to blood or saliva taken from a
suspect. The CSI will also scrape the victim's nails for skin -- if there was a struggle,
the suspect's skin (and therefore DNA) may be under the victim's nails. If there is
dried blood on any furniture at the scene, the CSI will try to send the entire piece of
furniture to the lab. A couch is not an uncommon piece of evidence to collect. If the
blood is on something that can't reasonably go to the lab, like a wall or a bathtub,
the CSI can collect it by scraping it into a sterile container using a scalpel. The CSI
may also use luminol and a portable UV light to reveal blood that has been washed
off a surface.
If there is blood at the scene, there may also be blood spatter patterns. These
patterns can reveal the type of weapon that was used -- for instance, a "cast-off
pattern" is left when something like a baseball bat contacts a blood source and then
swings back. The droplets are large and often tear-drop shaped. This type of pattern
can indicate multiple blows from a blunt object, because the first blow typically does
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not contact any blood. A "high-energy pattern," on the other hand, is made up of
many tiny droplets and may indicate a gun shot. Blood spatter analysis can indicate
which direction the blood came from and how many separate incidents created the
pattern. Analyzing a blood pattern involves studying the size and shape of the stain,
the shape and size of the blood droplets and the concentration of the droplets
within the pattern. The CSI takes pictures of the pattern and may call in a bloodspatter specialist to analyze it.
Hair and Fibers
A CSI may use combs, tweezers, containers and a filtered vacuum device to collect
any hair or fibers at the scene. In a rape case with a live victim, the CSI
accompanies the victim to the hospital to obtain any hairs or fibers found on the
victim's body during the medical examination. The CSI seals any hair or fiber
evidence in separate containers for transport to the lab.
A CSI might recover carpet fibers from a suspect's shoes. The lab can compare
these fibers to carpet fibers from the victim's home. Analysts can use hair DNA to
identify or eliminate suspects by comparison. The presence of hair on a tool or
weapon can identify it as the weapon used in the crime. The crime lab can
determine what type of animal the hair came from (human? dog? cow?); and, if it's
human, analysts can determine the person's race, what part of the body the hair
came from, whether it fell out or was pulled and whether it was dyed.
Fingerprints
Tools for recovering fingerprints include brushes, powders, tape, chemicals, lift
cards, a magnifying glass and Super Glue. A crime lab can use fingerprints to
identify the victim or identify or rule out a suspect. There are several types of prints
a CSI might find at a crime scene:
Visible: Left by the transfer of blood, paint or another fluid or powder onto a surface
that is smooth enough to hold the print; evident to the naked eye
Molded: Left in a soft medium like soap, putty or candle wax, forming an impression
Latent: Left by the transfer of sweat and natural oils from the fingers onto a surface
that is smooth enough to hold the print; not visible to the naked eye
A perpetrator might leave prints on porous or nonporous surfaces. Paper, unfinished
wood and cardboard are porous surfaces that will hold a print, and glass, plastic and
metal are non-porous surfaces. A CSI will typically look for latent prints on surfaces
the perpetrator is likely to have touched. For instance, if there are signs of forced
entry on the front door, the outside door knob and door surface are logical places to
look for prints. Breathing on a surface or shining a very strong light on it might
make a latent print temporarily visible. When you see a TV detective turn a
doorknob using a handkerchief, she's probably destroying a latent print. The only
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way not to corrupt a latent print on a non-porous surface is to not touch it. Proper
methods for recovering latent prints include:
Powder (for non-porous surfaces): Metallic silver powder or velvet black
powder
A CSI uses whichever powder contrasts most with the color of material holding the
print. He gently brushes powder onto the surface in a circular motion until a print is
visible; then he starts brushing in the direction of the print ridges. He takes a photo
of the print before using tape to lift it (this makes it stand up better in court). He
adheres clear tape to the powdered print, draws it back in a smooth motion and
then adheres is to a fingerprint card of a contrasting color to the powder.
Powders and brushes at the CBI latent-fingerprint lab
Chemicals (for porous surfaces): Iodine, ninhydrin, silver nitrate
The CSI sprays the chemical onto the surface of the material or dips the material
into a chemical solution to reveal the latent print.
Cyanoacrylate (Super Glue) fuming (for porous or non-porous surfaces)
The CSI pours Super Glue into a metal plate and heats it to about 120 F. He then
places the plate, the heat source and the object containing the latent print in an
airtight container. The fumes from the Super Glue make the latent print visible
without disturbing the material it's on.
This cast is a student sample. According to Mr. Clayton, footprints found at a crime
scene seldom produce such perfect specimens.
This cast is a student sample. According to Mr. Clayton, footprints found at a crime
scene seldom produce such perfect specimens.
Footwear Impressions and Tool Marks
A latent fingerprint is an example of a two-dimensional impression. A footwear
impression in mud or a tool mark on a window frame is an example of a threedimensional impression. If it's not possible to submit the entire object containing the
impression to the crime lab, a CSI makes a casting at the scene.
A casting kit might include multiple casting compounds (dental gypsum, Silicone
rubber), snow wax (for making a cast in snow), a bowl, a spatula and cardboard
boxes to hold the casts.
If a CSI finds a footwear impression in mud, she'll photograph it and then make a
cast. To prepare the casting material, she combines a casting material and water in
a Ziploc-type bag and kneads it for about two minutes, until the consistency is like
pancake batter. She then pours the mixture into the edge of the track so that it
flows into the impression without causing air bubbles. Once the material overflows
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the impression, she lets it set for at least 30 minutes and then carefully lifts the cast
out of the mud. Without cleaning the cast or brushing anything off it (this would
destroy any trace evidence), she puts the cast into a cardboard box or paper bag for
transport to the lab.
For tool mark impressions, a cast is much harder to use for comparison than it is
with footwear. If it's not feasible to transport the entire item containing the tool
mark, a CSI can make a silicone-rubber cast and hope for the best. There are two
types of tool marks a CSI might find at a crime scene:
Impressed:
A hard object contacts a softer object without moving back and forth (for example, a
hammer mark on a door frame). The tool mark is an impression of the tool's shape.
It's difficult to make a definite match with an impressed tool mark.
Striated:
A hard object contacts a softer object and moves back and forth (for example, pry
marks on a window frame). The tool mark is a series of parallel lines. It's easier to
make a definite match with a striated tool mark.
In tool mark analysis, the lab might determine what sort of tool made the mark and
whether a tool in evidence is the tool that made it. It can also compare the tool
mark in evidence to another tool mark to determine if the marks were made by the
same tool.
Firearms
If a CSI finds any firearms, bullets or casings at the scene, she puts gloves on, picks
up the gun by the barrel (not the grip) and bags everything separately for the lab.
Forensic scientists can recover serial numbers and match both bullets and casings
not only to the weapon they were fired from, but also to bullets and casings found
at other crime scenes throughout the state (most ballistics databases are
statewide). When there are bullets holes in the victim or in other objects at the
scene, specialists can determine where and from what height the bullet was fired
from, as well as the position of the victim when it was fired, using a laser trajectory
kit. If there are bullets embedded in a wall or door frame, the CSI cuts out the
portion of the wall or frame containing the bullet -- digging the bullet out can
damage it and make it unsuitable for comparison.
Stuff You Might Find in a CSI Van
In a CSI van, you might see hack saws, pliers, a pipe wrench, a pry bar, wire cutters,
bolt cutters, shovels, sifters, a slim Jim, a pocket knife, measuring tapes, orange
marker flags, a flashlight, batteries, chalk, forceps, Vise-Grips, a compass, a
magnet, a metal detector, distilled water, kneeling pads, and stuffed animals for
living child victims.
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Documents
A CSI collects and preserves any diaries, planners, phone books or suicide notes
found at a crime scene. He also delivers to the lab any signed contracts, receipts, a
torn up letter in the trash or any other written, typed or photocopied evidence that
might be related to the crime. A documents lab can often reconstruct a destroyed
document, even one that has been burned, as well as determine if a document has
been altered. Technicians analyze documents for forgery, determine handwriting
matches to the victim and suspects, and identify what type of machine was used to
produce the document. They can rule out a printer or photocopier found at the
scene or determine compatibility or incompatibility with a machine found in a
suspect's possession.
Whenever a CSI discovers a piece of evidence at the scene, she photographs it, logs
it, recovers it and tags it. An evidence tag may include identification information
such as time, date and exact location of recovery and who recovered the item, or it
may simply reflect a serial number that corresponds to an entry in the evidence log
that contains this information. The crime scene report documents the complete
body of evidence recovered from the scene, including the photo log, evidence
recovery log and a written report describing the crime scene investigation.
Analyzing the Evidence: Forensic Science On the Stand
The role of a crime scene investigator doesn't end when he completes his evidence
report. It doesn't even end when the lab results related to that evidence are
delivered to the detectives on the case. A big part of a CSI's job is testifying in court
about the evidence he collected, the methods he used to recover it and the number
of people who came into contact with it before it ended up as the prosecution's
Exhibit D. And the defense attorney's job is to attack the evidence, which
sometimes means attacking the person who collected it. This is why search
warrants, evidence logs, photographs and extremely detailed reports are so critical
to the CSI process. The defense will try to get every piece of incriminating evidence
thrown out of court. The legality of the search, the untainted preservation of the
evidence and the full, undisputable documentation of the crime scene are prime
considerations in a crime scene investigation.
The first forensics lab in the United States opened in 1923 in Los Angeles. In 1932,
the FBI established its own forensics lab to serve police departments and other
investigating authorities all over the country. The FBI lab is one of the largest in the
world.
The Denver Crime Lab at the Colorado Bureau of Investigation provides evidence
collection and laboratory analysis for any police department in Colorado that
requests its services. It also conducts state investigations that don't fall under the
jurisdiction of any local authority.
Some specialty departments in the Denver Crime Lab include:
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Latent fingerprints and impressions

Develop latent fingerprints; analyze and compare fingerprints, footwear and tire
impressions; run fingerprints through the Automated Fingerprint Identification
System (AFIS, which utilizes the FBI database) for comparison against hundreds of
millions of prints
CBI technicians use these camera setups to photograph recovered prints to use in
comparison and for running through the AFIS system. On the left is an old-school
Polaroid setup, and on the right is a digital-camera setup. Mr. Clayton prefers the
Polaroid results.
Trace evidence
Run GSR analysis; identify and compare samples of soil, glass, fibers and paint
Chemistry
Conduct analysis and comparison of illicit drugs, explosives and unknown chemicals
Computer Crimes
Recover evidence from computers; perform computer enhancement on audio or
video evidence
Firearms and tool mark identification
Identify firearms; test firearms to establish barrel pattern and distance of gun from
entrance wound; identify and compare bullets, casings and tool mark impressions
Serology and DNA
Conduct body fluid analysis, including DNA analysis for blood stains, semen and hair
for identification and comparison
Comparison microscope setup in the CBI serology lab
Questioned documents
Detect forgery and alterations; conduct handwriting comparisons; reconstruct
destroyed documents; identify and compares printers, typewriters or copiers used
to produce a document
Often, a piece of evidence passes through more than one department for analysis.
Each department delivers a complete report of the evidence it analyzed for the
case, including the actual results (numbers, measurements, chemical contents) and
any expert conclusions the scientists have drawn from these results. The CSI in
charge might compile the results and deliver them to the lead detective on the
case, or the lab might send the results directly to the detective squad.

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CSI vs. "CSI"

Photo courtesy HSW Shopper
So, does Hollywood get it right? When asked if the TV show "CSI" accurately depicts
his job, Joe Clayton's short answer was, "No." The long answer was that the show
does accurately represent certain aspects of crime scene investigation, but it leaves
a lot out and it adds a lot because, well, it's Hollywood. Viewers don't want to watch
a bunch of CSIs waiting around for a search warrant, and they would probably be
unsatisfied if they never got a look at the suspect.
Scientifically speaking, "CSI" sometimes misses the mark. In reality, it's not possible
to come up with a two-hour range for the time of death. Also, you don't just scan a
fingerprint into a computer and wait for it to spit out a photo of the suspect.
Fingerprint-comparison software returns several possible matches that an expert
then analyzes visually to determine a definite match.
Other places where Hollywood gets it wrong involves investigative process. Crime
scene investigators almost always get warrants before searching a scene. Pretty
much the only scene that might not require a warrant is an apartment owned by the
victim, who lived there alone and never shared the space with anyone else at any
time. This means there's a lot of waiting involved -- it's pretty unusual for a CSI to
arrive on a scene and just start searching. What usually happens is the CSI arrives
and determines which areas need to be searched, and then someone gets a hold of
the district attorney, who gets a hold of a judge, who signs whatever search
warrants are requested. Once the district attorney brings the warrants to the scene,
the search begins.
Becoming a CSI
CSIs work long hours, must be available for emergencies 24/7 and often deal with
gruesome scenes. For Joe Clayton, his job as a CSI involves constant reminders of
man's inhumanity to man. But he views his job as a chance to use science to help
people.
CSIs can be police officers or civilians. The most common way to become a CSI is to
become a police officer first and then receive CSI training. All police departments
and law-enforcement agencies have different criteria. Typically, a civilian CSI should
have a two- or four-year degree. Mr. Clayton is not a police officer. He graduated
from college with a bachelor's degree in biology and minors in chemistry and
behavioral sciences. He applied for a CSI position at the Kansas Bureau of
Investigation and received his training there.
Call your local police department or crime lab to find out what their requirements
are for civilian CSIs. Before deciding to pursue the job, you should visit a morgue
and have a look at a mangled body -- if you pass out, consider another career.

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And the search involves the evidence, not the neighbors of the victim. CSIs do not
deal with witnesses or suspects. They don't interview people at the scene, they
don't interrogate anyone and they definitely don't pursue the perpetrator. These are
all the jobs of the detectives on the case. Also, it's rare for a CSI to handle an entire
investigation from beginning to end, even if we're just talking about the evidence.
There are tons of people involved in collecting and analyzing evidence, including
CSIs, forensic specialists, medical examiners and detectives. It's a rare CSI who has
the time or expertise to do it all.
In Mr. Clayton's opinion, shows like "CSI" aren't making criminals any smarter. The
truth is, crime scene investigation and forensic science are always trying to catch
up with the criminals, not the other way around. And while there are certainly
people who meticulously plan a crime and how to get away with it, Mr. Clayton's
experience with crime scenes tells a different story: Most violent crimes are
committed in the heat of the moment. The perpetrator is in an agitated state,
possibly under the influence of drugs or alcohol, and doesn't have the presence of
mind to meticulously cover his tracks. It's the rare criminal genius who studies
forensic science so he can commit the perfect murder and get away with it.
CSI vs. "CSI"
Photo courtesy HSW Shopper
So, does Hollywood get it right? When asked if the TV show "CSI" accurately depicts
his job, Joe Clayton's short answer was, "No." The long answer was that the show
does accurately represent certain aspects of crime scene investigation, but it leaves
a lot out and it adds a lot because, well, it's Hollywood. Viewers don't want to watch
a bunch of CSIs waiting around for a search warrant, and they would probably be
unsatisfied if they never got a look at the suspect.
Scientifically speaking, "CSI" sometimes misses the mark. In reality, it's not possible
to come up with a two-hour range for the time of death. Also, you don't just scan a
fingerprint into a computer and wait for it to spit out a photo of the suspect.
Fingerprint-comparison software returns several possible matches that an expert
then analyzes visually to determine a definite match.
Other place where Hollywood gets it wrong involves investigative process. Crime
scene investigators almost always get warrants before searching a scene. Pretty
much the only scene that might not require a warrant is an apartment owned by the
victim, who lived there alone and never shared the space with anyone else at any
time. This means there's a lot of waiting involved -- it's pretty unusual for a CSI to
arrive on a scene and just start searching. What usually happens is the CSI arrives
and determines which areas need to be searched, and then someone gets a hold of
the district attorney, who gets a hold of a judge, who signs whatever search
warrants are requested? Once the district attorney brings the warrants to the scene,
the search begins.
345

And the search involves the evidence, not the neighbors of the victim. CSIs do not
deal with witnesses or suspects. They don't interview people at the scene, they
don't interrogate anyone and they definitely don't pursue the perpetrator. These are
all the jobs of the detectives on the case. Also, it's rare for a CSI to handle an entire
investigation from beginning to end, even if we're just talking about the evidence.
There are tons of people involved in collecting and analyzing evidence, including
CSIs, forensic specialists, medical examiners and detectives. It's a rare CSI who has
the time or expertise to do it all.
In Mr. Clayton's opinion, shows like "CSI" aren't making criminals any smarter. The
truth is, crime scene investigation and forensic science are always trying to catch
up with the criminals, not the other way around. And while there are certainly
people who meticulously plan a crime and how to get away with it, Mr. Clayton's
experience with crime scenes tells a different story: Most violent crimes are
committed in the heat of the moment. The perpetrator is in an agitated state,
possibly under the influence of drugs or alcohol, and doesn't have the presence of
mind to meticulously cover his tracks. It's the rare criminal genius who studies
forensic science so he can commit the perfect murder and get away with it.
Crime Scene Photography
In detective movies or TV shows like "CSI," photographers swarm in and take
countless pictures of a crime scene. They twist and turn their cameras haphazardly
as agents discuss leads over the background hum of the photographs' flash
explosions. But how does crime scene photography really go down? Since its
purpose is to record evidence that will be admissible in court, it's hardly a
haphazard operation.
Crime scene photography, also called forensic photography, has been around
almost as long as the camera itself. Criminologists quickly realized that such
technology could freeze time -- creating a supposedly incontestable record of a
crime scene, a piece of evidence or even a body. The 19th century French
photographer Alphonse Bertillon was the first to approach a crime scene with the
systematic methods of an investigator. He'd capture images at various distances
and take both ground level and overhead shots.
Today, forensic photographs are essential for investigating and prosecuting a crime.
This is because most evidence is transitory: Fingerprints must be lifted; bodies must
be taken away and examined; and homes or businesses must be returned to their
normal state. Photographs help preserve not only the most fleeting evidence -- like
the shape of a blood stain that will soon be mopped up -- but als o the placement of
items in a room and the relation of evidence to other objects. Such images can
prove vital to investigators long after the crime scene is gone.
Types of Crime Scene Photos

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Crime scene photographers must be methodical in their work. they can't afford to
leave out an important piece of evidence or produce photographs that could be
considered misleading in court. But they also have the pressure of the entire
operation behind them. Before other CSIs can touch or move any of the evidence
and even before the medical examiner can remove the body, the forensic
photographer must document the scene.
There are three classifications of forensic photos -- overviews, mid-range and closeups.
If the crime took place inside, overviews include photos of the outside of the
building, its entrances and exits as well as images that place the building in relation
to its surroundings. Photos of spectators at the scene can later help locate
witnesses or suspects. Overviews also include images of all rooms, taken from
overhead and from each corner.
The forensic photographer then hones in on key pieces of evidence and captures
images of them in the context. These mid-range photos might picture a piece of
evidence, like a knife, but at enough of a distance to show its relation to furniture, a
blood stain or the rest of the room. Mid-range images establish the distance of
object from surrounding objects.
Finally, the photographer thoroughly documents evidence with close-up images.
Close-ups include identifying marks like scars on a corpse or serial numbers on a
bloodied piece of electronic equipment. A photographer will often include a ruler in
the shot to establish scale but always takes a duplicate image without the
measuring device. In court, the defense could claim the device covered something
important.
And of course, pictures are of no value unless they're in context. A forensic
photographer keeps a photo log that includes every relevant detail, the photo
number, any filters applied, the time and date and the location and a description of
the object. The advent of digital photography has helped to make some aspects of
recording the time and date simpler and more verifiable.
Crime Scene Photography Equipment
Early detectives used to sketch the scene of a crime. Photography introduced a way
to produce images that were more true-to-life and credible than drawings. And while
an honest and technically sound photograph can record the original state of a crime
scene, it's simple enough to manipulate a photograph or record an image that's
drastically different from reality.
A good photograph of a crime scene must meet certain technical specifications:
correct exposure, sharp focus and maximum depth of field, the portion of the
photograph that appears sharp. The image must also be free from distortion. Such

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technical standards produce photos that will actually aid agents in their
investigation of a crime.
But there are additional qualities that make a photo admissible in court. The image
pictured cannot alter the scene or evidence -- say through strategic blocking with a
measuring device or an intentionally shallow depth of field. The image must also be
relevant to the case and should be composed with technical precision in mind, not
emotional appeal.
Photographers might vary their kit based on personal preferences or the type of
crime scene but most carry certain basics: a camera, obviously, and maybe even
multiple cameras; filters; electronic flashes; various lenses for wide-angle, midrange and close-up shots; a tripod; a measuring device; a gray card, which when
combined with a light meter helps produce correctly exposed photographs; and a
way to protect equipment from rain or extreme heat or cold.
Crime scene photographers usually use color images although black and white can
be useful when documenting evidence that relies more on texture than color like
latent fingerprints.
Crime Scene Photographs as Art
In 2001, police officers and artists uncovered a treasure trove in a city records
warehouse. They found a stockpile of forensic photo negatives from the Los Angeles
Police Department -- some dating back to the 1920s. The images include every-day
crimes, as well as the most infamous murders and biggest busts in the city's history.
Struck by many of the images' captivating, almost movie-like quality, the artists and
officers launched an effort to preserve the negatives, some of which were beginning
to decompose. They also launched an exhibition of the archive and sent it around
the United States. A lieutenant who helped present the archive explained that the
images' morbid artistic quality was a result of less-scrupulous forensics standards in
times past. The photographers were sometimes willing to fiddle with a crime scene
in order to produce the best shot. Consequently, the photos, though they still
functioned as evidence, look more like art than modern crime scene shots.
However, art and crime scene photography have long been linked. The New York
City freelance press photographer Weegee made a name for himself by capturing
images of crime scenes, news sites and movie premiers with equal frankness and
occasional irony. In 1941, he staged a solo exhibition at the Photo League in New
York entitled "Weegee: Murder is my Business."
But it's not terribly surprising that people display a fascination with crime scene
photography. The often grisly images are set in such normal locations -- the steak
house, the parlor or the street -- and subsequently elicit a morbid curiosity. They're
strangely like everyday life, yet entirely different and wholly unsettling.
Fingerprinting
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A woman has been murdered. When the detectives arrive on the scene, the house is
in shambles. Clothes are strewn about the floor, lamps are overturned and there's
no sign of the assailant. Then, one of the detectives picks up a glass. On its side is a
smudged, bloody thumbprint. He takes it down to the lab, where it's analyzed and
matched to a recorded set of prints. The detectives catch their killer.
Forensics Image Gallery
This scene has been replayed in one crime drama after another. Ever since
scientists discovered that every person's fingerprints are unique, and police officers
realized this singularity could help them catch criminals, fingerprints have been an
integral part of the law enforcement process. Today, fingerprints are also used to
prevent forged signatures, identify accident victims, verify job applicants and
provide personalized access to everything from ATMs to computer networks.
But fingerprinting has come a long way from the days when police officers lifted
prints from a crime scene and checked them manually against their files. Modern
fingerprinting techniques can not only check millions of criminal records
simultaneously, but can also match faces, backgrounds and other identifiable
characteristics to each perpetrator.
What are the basic characteristics of a fingerprint? How long have people been
using prints as a form of identification? Find out in the next section.
CAN YOUR FINGERPRINTS BE CHANGED -- OR STOLEN?
A minor scrape, scratch or even burn won't affect the structure of the ridges in your
fingerprints -- new skin reforms in its original pattern as it grows over the wound.
But each ridge is also connected to the inner skin by small projections called
papillae. If these papillae are damaged, the ridges are wiped out and the fingerprint
destroyed.
Some criminals have tried to evade capture by tampering with their own
fingerprints. Chicago bank robber John Dillinger reportedly burned his fingertips with
acid in the 1930s. Recently, a man in Lawrence, Mass., tried to hide his identity by
cutting and stitching up all ten of his fingertips (fortunately, a police officer
recognized his face).
But as fingerprint technology becomes a common form of authentication from bank
vaults to luxury cars, law enforcement officials worry that would-be criminals might
try to steal entire fingers for the prints. In one case, robbers in Malaysia cut off a
man's fingers so they could steal his Mercedes. Companies that make biometrics
security equipment realize the potential dangers of this system, and are now
creating scanners that detect blood flow to make sure the finger is still alive.
What are fingerprints?

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Fingerprints are the tiny ridges, whorls and valley patterns on the tip of each finger.
They form from pressure on a baby's tiny, developing fingers in the womb. No two
people have been found to have the same fingerprints -- they are totally unique.
There's a one in 64 billion chance that your fingerprint will match up exactly with
someone else's.
Fingerprints are even more unique than DNA, the genetic material in each of our
cells. Although identical twins can share the same DNA -- or at least most of it -they can't have the same fingerprints.
Fingerprinting is one form of biometrics, a science that uses people's physical
characteristics to identify them. Fingerprints are ideal for this purpose because
they're inexpensive to collect and analyze, and they never change, even as people
age.
Although hands and feet have many ridged areas that could be used for
identification, fingerprints became a popular form of biometrics because they are
easy to classify and sort. They're also accessible.
Fingerprints are made of an arrangement of ridges, called friction ridges. Each ridge
contains pores, which are attached to sweat glands under the skin. You leave
fingerprints on glasses, tables and just about anything else you touch because of
this sweat.
All of the ridges of fingerprints form patterns called loops, whorls or arches:
Loops begin on one side of the finger, curve around or upward, and exit the other
side. There are two types of loops: Radial loops slope toward the thumb, while ulnar
loops slope toward the little finger.
Whorls form a circular or spiral pattern.
Arches slope upward and then down, like very narrow mountains.
Scientists look at the arrangement, shape, size and number of lines in these
fingerprint patterns to distinguish one from another. They also analyze very tiny
characteristics called minutiae, which can't be seen with the naked eye.

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The Fingerprinting Process

The technique of fingerprinting is known as dactyloscopy. Until the advent of digital
scanning technologies, fingerprinting was done using ink and a card.
To create an ink fingerprint, the person's finger is first cleaned with alcohol to
remove any sweat and dried thoroughly. The person rolls his or her fingertips in ink
to cover the entire fingerprint area. Then, each finger is rolled onto prepared cards
from one side of the fingernail to the other. These are called rolled fingerprints.
Finally, all fingers of each hand are placed down on the bottom of the card at a 45degree angle to produce a set of plain (or flat) impressions. These are used to verify
the accuracy of the rolled impressions.
Today, digital scanners capture an image of the fingerprint. To create a digital
fingerprint, a person places his or her finger on an optical or silicon reader surface
and holds it there for a few seconds. The reader converts the information from the
scan into digital data patterns. The computer then maps points on the fingerprints
and uses those points to search for similar patterns in the database.
Law enforcement agents can analyze fingerprints they find at the scene of a crime.
There are two different types of prints:
Visible prints are made on a type of surface that creates an impression, like blood,
dirt or clay.
Latent prints are made when sweat, oil and other substances on the skin reproduce
the ridge structure of the fingerprints on a glass, murder weapon or any other
surface the perpetrator has touched. These prints can't be seen with the naked eye,
but they can be made visible using dark powder, lasers or other light sources. Police
officers can "lift" these prints with tape or take special photographs of them.
History of Fingerprinting
There are records of fingerprints being taken many centuries ago, although they
weren't nearly as sophisticated as they are today. The ancient Babylonians pressed
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the tips of their fingertips into clay to record business transactions. The Chinese
used ink-on-paper finger impressions for business and to help identify their children.
However, fingerprints weren't used as a method for identifying criminals until the
19th century. In 1858, an Englishman named Sir William Herschel was working as
the Chief Magistrate of the Hooghly district in Jungipoor, India. In order to reduce
fraud, he had the residents record their fingerprints when signing business
documents.
A few years later, Scottish doctor Henry Faulds was working in Japan when he
discovered fingerprints left by artists on ancient pieces of clay. This finding inspired
him to begin investigating fingerprints. In 1880, Faulds wrote to his cousin, the
famed naturalist Charles Darwin, and asked for help with developing a fingerprint
classification system. Darwin declined, but forwarded the letter to his cousin, Sir
Francis Galton.
Galton was a eugenicist who collected measurements on people around the world to
determine how traits were inherited from one generation to the next. He began
collecting fingerprints and eventually gathered some 8,000 different samples to
analyze. In 1892, he published a book called "Fingerprints," in which he outlined a
fingerprint classification system -- the first in existence. The system was based on
patterns of arches, loops and whorls.
Meanwhile, a French law enforcement official named Alphonse Bertillon was
developing his own system for identifying criminals. Bertillonage (or anthropometry)
was a method of measuring heads, feet and other distinguishing body parts. These
"spoken portraits" enabled police in different locations to apprehend suspects based
on specific physical characteristics. The British Indian police adopted this system in
the 1890s.
Around the same time, Juan Vucetich, a police officer in Buenos Aires, Argentina,
was developing his own variation of a fingerprinting system. In 1892, Vucetich was
called in to assist with the investigation of two boys murdered in Necochea, a village
near Buenos Aires. Suspicion had fallen initially on a man named Velasquez, a love
interest of the boys' mother, Francisca Rojas. But when Vucetich compared
fingerprints found at the murder scene to those of both Velasquez and Rojas, they
matched Rojas' exactly. She confessed to the crime. This was the first time
fingerprints had been used in a criminal investigation. Vucetich called his system
comparative dactyloscopy. It's still used in many Spanish-speaking countries.
Sir Edward Henry, commissioner of the Metropolitan Police of London, soon became
interested in using fingerprints to nab criminals. In 1896, he added to Galton's
technique, creating his own classification system based on the direction, flow,
pattern and other characteristics of the friction ridges in fingerprints. Examiners
would turn these characteristics into equations and classifications that could
distinguish one person's print from another's. The Henry Classification System
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replaced the Bertillonage system as the primary method of fingerprint classification

throughout most of the world.
In 1901, Scotland Yard established its first Fingerprint Bureau. The following year,
fingerprints were presented as evidence for the first time in English courts. In 1903,
the New York state prisons adopted the use of fingerprints, followed later by the FBI.
Modern Fingerprinting Techniques
The Henry system finally enabled law enforcement officials to classify and identify
individual fingerprints. Unfortunately, the system was very cumbersome. When
fingerprints came in, detectives would have to compare them manually with the
fingerprints on file for a specific criminal (that's if the person even had a record).
The process would take hours or even days and didn't always produce a match. By
the 1970s, computers were in existence, and the FBI knew it had to automate the
process of classifying, searching for and matching fingerprints. The Japanese
National Police Agency paved the way for this automation, establishing the first
electronic fingerprint matching system in the 1980s. Their Automated Fingerprint
Identification Systems (AFIS), eventually enabled law enforcement officials around
the world to cross-check a print with millions of fingerprint records almost
instantaneously.
AFIS collects digital fingerprints with sensors. Computer software then looks for
patterns and minutiae points (based on Sir Edward Henry's system) to find the best
match in its database.
The first AFIS system in the U.S. was speedier than previous manual systems.
However, there was no coordination between different agencies. Because many
local, state and federal law enforcement departments weren't connected to the
same AFIS system, they couldn't share information. That meant that if a man was
arrested in Phoenix, Ariz. and his prints were on file at a police station in Duluth,
Minn., there might have been no way for the Arizona police officers to find the
fingerprint record.
That changed in 1999, with the introduction of Integrated AFIS (IAFIS). This system
is maintained by the FBI's Criminal Justice Information Services Division. It can
categorize, search and retrieve fingerprints from virtually anywhere in the country
in as little as 30 minutes. It also includes mug shots and criminal histories on some
47 million people. IAFIS allows local, state and federal law enforcement agencies to
have access to the same huge database of information. The IAFIS system operates
24 hours a day, 365 days a year.
But IAFIS isn't just used for criminal checks. It also collects fingerprints for
employment, licenses and social services programs (such as homeless shelters).
When all of these uses are taken together, about one out of every six people in this
country has a fingerprint record on IAFIS.

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Other Biometrics
Fingerprinting isn't the only way to catch a criminal, or perform one of the many
other biometrics-driven technologies now available. Eye scans, voice fingerprints
and even DNA are now providing means of identification, as well as access to
everything from ATMs to cars.
Here are just a few of the biometrics you might be using in the near future:
Eye scans:
Both the retina (the layer of tissue in the back of the eye that converts light into
nerve signals) and the iris (the colored part of the eye) have unique characteristics
that make them highly accurate biometrics. For a retinal scan, a person holds his or
her eye close to the scanning device for 10 to 15 seconds while a low-intensity light
and sensor analyze distinct patterns. Although retinal scans are used in very highsecurity institutions like power plants and the military areas, they are currently too
expensive to be practical for widespread use. Irises have more than 200 different
unique identifying characteristics (about six times more than fingerprints) ranging
from rings to freckles. Iris identification systems take only about two seconds to
scan the iris and look for patterns. They're used in some prisons and a few airports.
Ear scans:
Ears are unique in size, shape and structure. Scientists use these traits to develop
biometric scans of the ear. In ear scans, a camera creates an image of the ear that
is analyzed for identifying characteristics.
Voice fingerprints:
Every time a new Osama bin Laden tape comes out, the FBI Audio Lab in
Quantico,Va. runs it through a voice analyzer, which captures the frequency,
intensity and other measurements to determine whether the tape is authentic.
These so-called "voice fingerprints" aren't as definitive as fingerprints or DNA, but
they can help distinguish one person from another.
DNA fingerprints:
Every individual has unique DNA. While you can change your appearance, you can't
change your DNA. Because of this, scientists are starting to use DNA analysis to link
suspects to blood, hair, skin and other evidence left at crime scenes. DNA
fingerprinting is done by isolating the DNA from human tissues. The DNA is cut
using special enzymes, sorted and passed through a gel. It's then transferred to a
nylon sheet, where radioactive probes are added to produce a pattern -- the DNA
fingerprint.
Some of these technologies are still in development, so it isn't yet known which the
most effective form of identification is. And of course, some types of biometrics are
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better suited for specific tasks than others. For example, voice fingerprints are most
appropriate for phone financial transactions.
Forensic Dentistry
In January 1978, a manhunt was underway for one of the most notorious serial
killers in the history of the United States. Ted Bundy was being held in a small jail in
Glenwood Springs, Colo., while awaiting trial for the murder of Caryn Campbell. He
escaped by sawing through a metal plate in the ceiling, going through the
crawlspace above and walking out through the apartment of the jailer, who
happened to be out for the night.
After traveling through Illinois, Michigan and Georgia, Bundy ended up in
Tallahassee, Fla. On Jan. 15, 1978, he went into the Chi Omega sorority house at
Florida State University. He bludgeoned four students with a club and strangled
them. Lisa Levy and Margaret Bowman were killed. Bundy also sexually assaulted
Levy and bit her, leaving clear bite marks.
Bundy was recaptured in February 1978 and eventually went on trial for the
murders he committed in the Chi Omega house. The bite mark was the only piece of
physical evidence that he left at the scene. Investigators took plaster casts of
Bundy's teeth, which showed that his teeth were unevenly aligned and that several
of them were chipped. A forensic dentist was able to show that these casts matched
with photographs of the bite mark from the body of Lisa Levy. This evidence was
instrumental in his conviction; if Bundy hadn't bitten Lisa Levy while assaulting her,
he may not have been found guilty.
The Bundy case is just one example of how our teeth can uniquely identify us.
Forensic dentists (also known as forensic odontologists) have two different tasks: to
identify the dead by their teeth and to determine who (or what) did the biting when
bite marks are found. Let's start by looking at the system that all dentists use to
distinguish one tooth from another.
Types of Teeth
Teeth aren't fingerprints; they aren't inherently unique from birth. When teeth grow
in, or erupt, they do so differently in each person. Teeth grow an average of 4
micrometers per day, so it's possible to give a rough age estimate based on teeth. It
can also be possible to distinguish ethnicity from the teeth. Some Asians and Native
Americans have incisors with scooped-out backs.
The patterns of tooth wear also vary and can change over time. Not only can people
be identified by their teeth, you can also learn a lot about their lifestyles and habits
by the state of their teeth.
Although each type of tooth has a different name, we have multiples of some types
of teeth. For example, a full set of adult teeth includes two upper central incisors
and two upper lateral incisors. Therefore, each individual tooth needs its own
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designation. There are dozens of methods for labeling teeth in use, but the three
most popular methods are the Universal System, the Palmer Method and the FDI
(Fdration Dentaire Internationale) World Dental Federation notation.
In the United States, most dentists use the Universal System. In this system, each of
the 32 adult teeth is assigned a number. Number one is the upper right third molar,
while number 32 is the lower right third molar. The 20 deciduous, or baby teeth, are
designated by the letters A through K or the number-letter combination of 1d
through 20d.
Some teeth, like molars, have multiple surfaces too. Each of these surfaces has a
name. The center of the tooth is the biting surface, known as the occlusal. This
surface has two elements: the cusps, or raised parts, and the grooves, or
indentions. The mesial surface of the tooth is toward the front of the mouth, while
the distal is toward the back. The side toward the inside of the mouth is the palatal
surface on the upper jaw (lingual on the lower jaw). The tooth surface facing the
cheek is the buccal. So if you get a filling on the distal of number 15, you'll know
that means it's on the surface facing the back of the mouth on your upper second
molar (or 12-year molar).
When you visit the dentist for a checkup, he or she uses a Universal System chart
and makes a notation on each tooth to show variations such as chips and dental
work such as fillings, crowns and bridges. The dentist also includes observations
about the health of your teeth, like receding gums or signs of periodontal disease.
Most dental visits involve taking sets of X-rays, which can also show work not easily
seen, like root canals.

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Tooth Identification
There is no database of teeth that corresponds with databases of fingerprints or
DNA, so dental records are how forensic dentists identify the dead. Tooth enamel
(the outer layer of teeth) is harder than any other substance in the human body,
which is why teeth remain long after all other parts have decayed. Victims of fires
are often identified by their teeth, which can withstand temperatures of more than
2,000 degrees Fahrenheit (1,093 degrees Celsius). Teeth that have been through
especially intense heat are very fragile and may shrink, but they can be preserved
with lacquer and used for identification as long as they are handled very carefully.
Dental work, such as a partial or gold crown, will be distorted by fire but can still aid
in identification.
To identify a person from his or her teeth, a forensic dentist must have a dental
record or records from the deceased person's dentist. In the case of an incident
involving multiple deaths, forensic dentists receive a list of possible individuals and
compare available records with the teeth and find a match. Examining the teeth of
an intact corpse often requires working in a morgue to expose the jaws surgically.
Even if only a few teeth are available, a forensic dentist can still make a positive
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identification. The best comparisons come from X-rays, but even if those aren't
available, notations on the tooth chart can tell the dentist if the teeth are the same.
X-ray of teeth
X-rays are the best way to make a match as far as forensic dentistry is concerned.
Robert Clare/Taxi/Getty Images
Identifying an individual by his or her teeth without dental records is much more
difficult. However, things like broken teeth, missing teeth and gold crowns might be
recognized by the friends and family members of the deceased. Things about the
biter's lifestyle can be determined by the teeth; a constant pipe smoker or a
bagpipe player has a distinctive wear pattern. Dressmakers and tailors, who often
put pins and needles in their mouths, may have chipped teeth.
In addition to the dental records, forensic investigators can retrieve DNA samples by
extracting the pulp from the center of the tooth. Unlike the enamel, pulp can be
damaged by fire and other conditions, but it can also last for hundreds of years.
Dental identification is often the last resort, and it isn't always possible -- some
people simply can't be identified.
We'll look at the other aspect of forensic dentistry, bite-mark analysis, next.
TEETH AND THE BLACK DEATH
Teeth have been used to answer historical questions as well as identify victims. For
years, scientists and historians have sought to discover if the bubonic plague
outbreaks during the Middle Ages were actually caused by the Yersinia pest is
bacteria. Pulp was extracted from the teeth of people who had allegedly died of the
plague, and the DNA tested for the presences of Y. pest is. Although it was found in
some of the teeth, not all of the alleged plague victims' teeth contained the
bacteria. Some of these people died of other diseases and not bubonic plague after
all.
Bite-mark Analysis
Although the Chi Omega murder trial had bite-mark evidence as its centerpiece, it's
usually used in conjunction with other types of physical evidence. Bite-mark
analysis is extremely complex, with many factors involved in a forensic dentist's
ability to determine the identity of the perpetrator.
The movement of a person's jaw and tongue when he or she bites contributes to the
type of mark that is left. Depending on the location of the bite, it's not typical to find
bite marks where both the upper and lower teeth left clear impressions -- usually
one or the other is more visible. If the victim is moving while being bitten, the bite
would look different from that inflicted on a still victim.

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If an investigator sees something on a victim that even resembles a bite, the

forensic dentist must be called in immediately, because bite marks change
significantly over time. For example, if the victim is deceased, the skin may slip as
the body decays, causing the bite to move.
The first step in analyzing the bite is to identify it as human. Animal teeth are very
different from humans' teeth, so they leave very different bite-mark patterns. Next,
the bite is swabbed for DNA, which may have been left in the saliva of the biter. The
dentist must also determine whether the bite was self-inflicted.
Forensic dentists then take measurements of each individual bite mark and record
it. They also require many photographs because of the changing nature of the bites.
Bruising can appear four hours after a bite and disappear after 36 hours. If the
victim is deceased, the dentist may have to wait until the lividity stage, or pooling
of the blood, clears and details are visible. The bite photography must be conducted
precisely, using rulers and other scales to accurately depict the orientation, depth
and size of the bite. The photos are then magnified, enhanced and corrected for
distortions.
Finally, bite marks on deceased victims are cut out from the skin in the morgue and
preserved in a compound called formalin, which contains formaldehyde. Forensic
dentists then make a silicone cast of the bite mark.
Forensic dentists use several different terms to describe the type of bite
mark:
Abrasion - a scrape on the skin
Artifact - when a piece of the body, such as an ear lobe, is removed through biting
Avulsion - a bite resulting in the removal of skin
Contusion - a bruise
Hemorrhage - a profusely bleeding bite
Incision - a clean, neat wound
Laceration - a puncture wound
In addition, there are several different types of impressions that can be left by teeth,
depending on the pressure applied by the biter. A clear impression means that there
was significant pressure; an obvious bite signifies medium pressure; and a
noticeable impression means that the biter used violent pressure to bite down.
A forensic dentist can tell a lot about the teeth of the biter based on the bite mark.
If there's a gap in the bite, the biter is probably missing a tooth. Crooked teeth leave
crooked impressions, and chipped teeth leave jagged-looking impressions of varying
depth. Braces and partials also leave distinctive impressions.
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Once investigators have identified a suspect, they obtain a warrant to take a mold
of his or her teeth as well as photos of the mouth in various stages of opening and
biting. They then compare transparencies of the mold with those of the bite-mark
cast, and photos of both the bite mark and the suspect's teeth are compared to look
for similarities.
Bite-mark Analysis Controversy
In January 2007, prisoner Roy Brown, who had been convicted of murder in New
York in 1992, was set free. Brown was one of many prisoners who have been
released after DNA analysis, not available or widely used during their trial, cleared
them of their crimes. In Brown's case, bite-mark analysis was instrumental in his
conviction. But DNA from saliva left on the bite matched with a different suspect. So
what went wrong?
The bite mark in the Brown case showed six tooth impressions from the front teeth
of the upper jaw, although he was missing two teeth at the time. The expert witness
claimed that Brown could have moved the skin of the victim around when biting to
make it appear that he wasn't missing any teeth. Although this testimony was not
the only evidence used by the prosecution, it was instrumental in helping jurors
reach a guilty verdict.
Just five years earlier, an Arizona man named Ray Krone was released from prison
after 10 years of serving his murder sentence. The prosecution's witness claimed a
perfect match between his teeth and a bite mark found on the victim. The witness
stated that "a match is 100 percent" [source: New Scientist]. Krone was cleared
after DNA belonging to another suspect was found on the victim's clothes.
Cases like these have led critics to speculate about the nature of bite-mark analysis.
Rather than extrapolate based on the bite mark itself, forensic dentists often get a
lot of information about the suspected biter before performing the analysis. This
might lead them to look for evidence that isn't actually there to fit the need. In
addition, forensic dentists may be giving juries the impression that bite marks are
as unique as fingerprints or DNA -- and they're not. Despite what the witness in the
Krone case stated, there is no evidence to show that you can state that an
individual was responsible for a bite mark with complete [Link] some critics
feel that bite-mark analysis should be used only to eliminate, not to identify, a
suspect. Others say that it's acceptable to state there is a probability that a suspect
created the mark, but that it's important to clarify that bite marks can't be the only
thing linking the suspect to the crime. Forensic dentist training as well as proper
education of the jury are also [Link] the Brown exoneration, Chief forensic
dentist Richard Souviron of the Miami-Dade Medical Examiner's Office told the New
York Times that, "If you say that this bite fits this person and nobody else in the
world, and if you use the bite mark as the only piece of physical evidence linking an
attacker to his victim, that's not science -- that's junk" [source: New York Times].
Anthony Cardoza, who co-authored a 1999 study showing that bite-mark analysis
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could be reliable under specific conditions, admitted, "The best bite mark is one you
can swab for DNA" [source: New Scientist].For lots more information about forensic
dentistry and crime stuff, check out the articles and links on the next page.
BECOMING A FORENSIC DENTIST
In the United States, many forensic dentists are certified by the American Board of
Forensic Odontology. There is a long list of qualifications to obtain this certification,
including:
Complete coursework at an approved school such as the Armed Forces Institute of
Pathology or the School of Dentistry at the University of Texas at San Antonio
Be present and participate in meetings of national organizations related to forensics
or forensic dentistry
Work with a coroner, medical examiner's office or law enforcement for at least two
years
Work on at least 25 forensic dental cases, including 15 positive identification cases
and two bite-mark cases

Chapter X: Techniques of Investigations

The techniques of federal investigation are myriad and almost limitless.
Surveillance of certain subjects may be employed by the investigative agency,
informants may be utilized, and records may be subpoenaed.
Electronic
surveillance and wiretaps, under limited circumstances and only with prior judicial
approval, may also be utilized. Consensual tape recordings may occur. Search
warrants may be utilized and painstaking forensic analyses of evidence employed.
The utilization of all such techniques will be employed for the same purpose: to
discover the truth and to prosecute those who violate federal law.
(a)

Surveillance

This technique is usually employed where photographic evidence may greatly assist
in the investigation of the case.
b)

Mail Covers

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This investigative technique, perfectly legal, is little known to the public and
oftentimes very useful to the investigating agency.
(c)

Wiretaps

Most laypersons believe that telephone wiretaps are commonly utilized by federal
investigative agencies. However, because of the Orwellian nature of this powerful
investigative tool, it can only legally be used under very narrow circumstances;
specifically, after personal approval by the Attorney General of the United States (or
his designee) and approval by a United States District Court Judge.
(d)

Consensual Monitoring

Information sharing with a person who can disclose it to third party. But you cannot
share privileged information i.e. Conversations between attorneys and their clients
are privileged.
Conversations between married persons are privileged.
Conversations between a psychiatrist and his patient are privileged. The contents
of these and other privileged communications cannot be disclosed without the
express consent of the party holding the privilege i.e. the client, the patient or
the confiding spouse.
(e)

Search Warrants

If a federal agent has probable cause to believe that evidence of a crime may be
found at a particular location where legitimate expectations of privacy exist.
Tools
In identity crime, it is rare that the perpetrator is caught on his/her first offense and
is highly likely that the crime the victim is reporting is not an isolated incident. It
may also be helpful to remember that the victim often knows the perpetrator and/or
has provided him/her with the information in the first place, believing it was to be
used for a legitimate purpose.
According to an FTC survey from 2006, in 16% of all cases, the victim personally
knew the person who had misused their personal information. Of those who could
personally identify the perpetrator, 6% said a family member or relative had
misused their personal information; 8% named a friend, neighbor, or in-home
employee; and 2% said the thief was a co-worker.
Information Gathering
The first step will be identifying the perpetrator.
To aid in identification, study the crime and determine the two weak points for an
identity crime - the contact point, or means by which the perpetrator contacted the
victim, and the drop point, or physical location where an item, record, card or
merchandise was sent. For example, if the victim information was used at a bank
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Web site to open a credit card account, the bank site will record the IP address of
the computer used to open the account, and will have a verified e-mail to send
account information. A search warrant for records can help reveal the suspects
Internet service provider and physical location of access.
If the account was opened over the phone, most bank sites will record the ANI or
caller ID number of the call made to open the account. The telephone number
provides a basic place to start the investigation.
Drop points can be shipping addresses for merchandise, mailing addresses for
statements, stores where the cards were or are being used, or ATMs where money is
withdrawn. The drop point helps to identify the physical location of the thief and can
provide valuable working points for search warrants. Dont forget to check these
locations for video of the transactions or for the records of delivery.
In addition, it is important that in any investigation all of the computer forensic
evidence is gathered and analyzed. The hard drive of a computer (and other digital
media) offer important evidence that can be quite fragile. It is helpful to reach out
to specialists to help with the seizure and analysis of such evidence. Many of the
investigative techniques useful in other criminal investigations can serve to gather
evidence in identity crimes as well. Important information can be found in:
Suspects trash
Suspects residence or automobile
Suspects computer, cellular phone, PDA or other wireless device
If you are able to get IP addresses linked to the application for fraudulent new
accounts, it may be possible to get a court order for the subscriber information from
the financial institution.
Investigators should not overlook using officers from other agencies as a resource
when they hit a roadblock in an investigation. Each identity crime case has different
nuances, and working collaboratively can leverage the collective wisdom, skills and
experiences of many of your colleagues in neighboring agencies.
Sometimes identity crimes are deceptively low-tech. Consider the suspect who
writes down a credit card number and name, then uses the phone book to get a
matching address, then uses that information to buy things over the telephone.
Investigators may also want to pay special attention to mapping the small crimes in
a jurisdiction. Using a pin map, it may be possible to see patterns in where credit
information is routinely swiped, stolen and used. Postal inspectors can be brought in
to help as well.

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Other agencies can help to gather information leading to the suspect:

National Crime Information Center (NCIC)
Has the suspect been arrested using the victims identity? Has he/she been arrested
for any other identity crimes? A check of NCIC, a computerized index of criminal
justice data such as criminal record history, fugitives, stolen properties, missing
persons, etc., may provide useful information. It is available to federal, state, and
local law enforcement and other criminal justice agencies and is operational 24
hours a day, 365 days a year.
U.S. Postal Inspection Service
A mail cover is the process by which a nonconsensual record is made of any data
appearing on the outside cover of sealed or unsealed mail; or by which a record is
made of the contents of any unsealed mail, as allowed by law, to obtain information
to protect national security; locate a fugitive; obtain evidence of the commission or
attempted commission of a crime; obtain evidence of a violation or attempted
violation of a postal statute; or assist in the identification of property, proceeds, or
assets forfeitable under law. A mail cover may be helpful in investigating identity
crimes
Postal Inspectors can also help with information about change of addresses the
suspects may have made using the victims information or their own. Also, if the
suspect is using a Post Office Box at either the Post Office or with a Commercial Mail
Receiving Agency (CMRA), a Postal Inspector will be able to help you obtain the
information used to open the P.O. Box.
Registry of Motor Vehicles
Did the suspect obtain a drivers license under the victims name/information?
Privately Operated Databases
Techniques
The Preliminary Investigation
Identity crimes are rarely contained in one jurisdiction. Every case requires
investigators to determine the point of compromise of the victim's identity that is
where the offender may have obtained the victim's identification information. This
will help lead to possible suspects, and often to additional victims.
Properly structured preliminary investigation saves investigative time, involves the
victim in resolution of the theft, and lays the foundation for prosecution.

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The investigation starts with the victim's report of the crime. As mentioned in
previous sections, victims need to help prepare for the investigation by gathering
the following:
Date of birth, driver's license number, Social Security number, telephone numbers
(work, home, and cellular), and e-mail addresses of every victim in the household;
A recent copy of at least one of their credit reports generated since the crime
occurred;
Account numbers involved in the theft and the names of primary and secondary
account holders;
When and how the fraud or theft was discovered, and under what circumstances the
victim became aware of the identity crime;
Exact locations (addresses, businesses, persons involved) where fraudulent use of
the identity occurred;
Name, addresses (home and work), phone numbers, date of birth of every person
involved in the incident;
Names of financial institutions the victim has notified of the theft, along with the
names, addresses, and phone numbers of customer service representatives or
investigators who accepted the report, the dates and times of the reports, a brief
summary of the conversation, and copies of any e-mail messages or faxes sent to or
received from the financial institutions;
Photocopies of any letters, account statements, and other documents associated
with the case;
A chronological log of the theft and the victim's actions since discovering it, to
include information about the discovery of theft or fraud, possible locations of the
theft, and names or descriptions of persons around when the theft might have
occurred.
During the early stages of the investigation it is important to determine the motive.
The motive will help direct the investigation. The motive for financial crimes is
usually greed, drugs or revenge. Determining the motive requires investigators to
conduct a detailed interview with the victim.
The U.S. Secret Service has developed a questionnaire filled with a variety of useful
information to the investigator for victims to fill out that can be used as a valuable
tool at this stage of investigation. It is available as part of Appendix A of this toolkit.
The Continued Investigation

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Next steps taken by the investigator should be to examine all financial and credit
bureau documents. These documents are useful and vital pieces of evidence to tie
suspects to the crime and eventual prosecution. For help with this step, the
investigator can contact appropriate state and local agencies, as well as the
following federal agencies:

Federal Bureau of Investigation

Secret Service
Social Security Administration
Postal Inspection Service
Bureau of Immigration and Customs Enforcement

The Secret Service has a program called the e Information Network, an intranet site
that is available, for free, to law enforcement agencies and investigators. It is an
important tool for investigators in accessing bank and credit card information.
Network include the following:

Bank identification number search

Credit card and skimming information
Counterfeit check database
Genuine and counterfeit identification document database
Cyber crime resources
Fraudulent document database

Financial Crimes Enforcement Network (Fin CEN) is another excellent network for
investigating identity crimes and other financial crimes. Fin CEN links databases
maintained by the law enforcement, financial and regulatory communities. Its
purpose is to collect, analyze, and share information with law enforcement
agencies. Fin CEN accesses approximately 37 different and independent databases
in three main categories: law enforcement, financial and commercial. The databases
include Auto Track, LexisNexis, the Social Security Administration Death Master File,
and the Drug Enforcement Administration, Federal Bureau of Investigation, and
Internal Revenue Service databases, to name a few.
Another valuable tool for investigators is the use of informants. Investigators should
develop informants from potential suspects during the investigation. Investigators
should also identify possible informants by using intelligence from other law
enforcement agencies or the private sector. A good technique to develop informants
is using other people who participated in some capacity in the identity crime, such
as a store employee who sold goods knowing the suspect was using someone else's
identity.
Investigators should consider using other means to gain access to privileged
information, including obtaining federal cooperation and funds, seeking state and
federal RICO statute investigations, or using forfeiture statutes to gain access to
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financial records. Above all, investigators should always follow the money this is
an appropriate investigative technique in any financial crime.
Obtaining Financial Information
Accessing financial information for any fraud case can be a daunting task for the
investigator, especially when cooperation is lacking. It is imperative that the
investigator gains cooperation from both the victim and the financial organization.
There are three ways of getting the financial information needed for an identity
theft case: (1) search warrant, (2) subpoena power (3) consent. Consent is the
simplest and most cost-effective.

Ask the victim to begin gathering and providing documentation to include the
following:

Bank and credit card statements

Letters from creditors
Merchant account statements
Any other financial documentation related to the crime

Ask the victim to obtain and voluntarily provide the credit reports from the three
major credit bureaus (Equifax, Experian and Trans Union). Under the 2003
amendments to the Fair Credit Reporting Act, the victim must contact their
creditors fraud or security department in writing to request that they send
transaction records related to the crime to the investigator. Otherwise, a subpoena
is needed from the courts.
Advise the victim to keep a log or a diary of everything they do or everyone they
talk with regarding the crime. This can be used as part of the victim impact
statement during any subsequent court proceeding. The FTC or ID Theft Resources
Center provides valuable information on how victims can organize their identity
crime cases.
The investigator should contact the financial institution or merchant security
departments and ask for (or subpoena) documentation on all fraudulent or suspect
accounts.
Identifying Additional Victims
There are many reasons why an investigator should locate and identify additional
victims, but among the most important is to ascertain if there is a larger, organized
ring victimizing the community. One way of doing this is by querying the FTC
Clearinghouse for other reported complaints that may be related to the case.
Investigators can also contact other agencies in the area to determine if there have
been similar crimes reported and possibly connected. If that is the case, these
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agencies can combine resources and personnel into a task force to combat the
crime.
Case Preparation
Filing the case criminally can be another daunting adventure. However, if the case is
well prepared, the criminal prosecutor will be better equipped to file the case. As
noted earlier, the best way of preparing the case is having the victim play a role by
taking and keeping notes or a diary, requesting and collecting financial information
regarding the crime and taking an overall interest and partnership in the case.
The key to getting an identity crime case filed and getting a successful conviction is
organization. It is also helpful if the investigator has an outline of the particular law
that is sought for filing when dealing with district attorneys who are unfamiliar with
the law. List the requested charges and enhancements on the charging sheet, along
with any additional charges.
A case synopsis is also a good way to give the prosecutor a summary of your case.
It is your cases facts-at-a-glance sheet. Tailor this sheet to match what the
prosecutor looks for in a case. This is helpful when your prosecutor is trying to
decide on whether to prosecute your case, and also when you share your case
information with other agencies.
Gathering information from persons
Interviewing and interrogation
Investigating Techniques

techniques,

Interviewing

and

Introduction:
We are given a task and if we are not careful we fall into patterns. We handle
complaints and we leave our footprints behind. The offender reads our footprints
and comes up with new ways to camouflage their activities. We must develop new
ways of dealing with old problems. The footprints we leave, we do so knowingly,
that they will provide no answers or help to the wrong doer. We must read their
prints instead and go outside that easy path to find different ways of trapping our
quarry.
Then when we have, we must record it, write it down, so that those who sit, watch
and subconsciously judge us can have a sense of the chase and the capture.
The Human Polygraph
Goals:
It is the goal of this instruction to identify the proper aspects of being a good
listener. The student will be given the steps to conducting a good interview. The
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student will have proxemics explained. The importance of non-verbal language and
the difference between reality and perception will be covered.
Objectives:
The student will demonstrate knowledge of the acronym POLITE. The student will be
able to use structured questions during an interview. The student will be able to
recognize stress during the interview and will be able to demonstrate how to
increase or decrease that stress. The student will be able to develop rapport with
suspect during the interview.
Definitions:
INTERVIEW: Obtaining Information about an Event
INTERROGATION: Obtaining information about an event in a structured and
focused manner one of the most important rules to a successful one is PRIVACY .
TALK: Motivating person to talk about pertinent matters
ASSESSING: Evaluating information for truthfulness.
How to be a Human Polygraph
First, you Norm a person. You assess a persons normal behaviors by asking
questions that obtain truthful answers and norm the person verbal and nonverbal
behavior while answering questions. The interviewer must engage in conversation
with the witness/suspect/subject on safe matters until the interviewer feels they
can identify the verbal and non-verbal responses that are given about true
information. Obtaining background information and general conversation can do
this. You have normed (normal) their non-guilty responses.
Second, you Test a person. Through the use of structured questions, observations
of verbal and non-verbal responses the interviewer looks for any discrepancies. The
interviewer must test the verbal/non-verbal responses to determine if the person
being interviewed is answering correctly. Interview the person about the issue and
use all the tools discussed earlier to determine whether the person through verbal
and non- verbal is indicating that they are telling the truth.
Finally, you assess a person. The interviewer must assess the responses and
determine in what areas there are discrepancies and how to determine why the
person is displaying deceptive responses. Have they told the truth? Verbal and nonverbal responses indicate that there may be a problem or not. If you feel they are
not being candid based upon all the discussed tools, then RE-test them.
THE INVESTIGATIVE INTERVIEW
An investigative interview is a spontaneous or planned conversation with a person
concerning the circumstances surrounding their knowledge of events or
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involvement in a crime. The purpose of an investigative interview is to collect facts,

ascertain the truth and obtain a statement, admission or confession.
1. First part of interview
The first part of the investigative interview is to TALK:
AgeThe person's age directly influences their ability to talk. Younger people might have
more of a limited vocabulary.
Life ExperiencesThe person's history may affect their ability to talk freely. Were they in the military?
Have they been audited before? Has the IRS had dealings with them? Has their
talking before helped or hurt their cause?
PerceptionsThis is similar to life experiences but has this person adopted an attitude or
"position" based upon a previous experience. Divorce, Bankruptcy, subject of an
allegation. These and many more things will influence how much a person will want
to talk.
Custodial SituationsIt means you have restricted their movement and generally applies to law
enforcement.
Person's IntelligenceThe person's ability to apply deductive and inductive logic will affect whether they
will want to talk.
2. Second part of interview
The next step in the investigative interview is to ASSESS:
Your ExperienceCan you relate? Do you have enough experience to develop an analogy? Don't fall
into the trap of saying "I know how you feel" if you actually don't.
Your Perceptionsdo not let your perceptions shade or affect what you think occurred.
Your intelligence-

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Your lack of being informed will hinder your ability to apply inductive or deductive
logic.
Body LanguageYour ability to observe and interpret accurately another person's non-verbal
communication is important.
Verbal ContentIs this person talking about pertinent matters?
One aspect to remember as the interviewer is the Speed Ratio of thinking versus
speaking versus writing. We think faster than we talk. We talk faster than we write.
We should always structure the interview to take advantage of the differences in
speed.
3. Third part of interview
The last aspect to be aware of as the interviewer is the mental location or Time
Differential between the interviewer and the interviewee.
PAST

PRESENT

FUTURE

The person's ability to recall previous responses to questions or to fully concentrate

on answering the questions is caused by this mental braking/accelerating system.
The interviewer is in the present asking about the past. The interviewee is in the
present, being asked about the past but mentally leaping ahead to the future in
anticipation of what their previous answer will cause the next question to be.
The Truth is always easy to remember.
Verbal SkillsThe voice is another tool to achieve intimacy or depict certain emotions. It should
be developed.
ToneYou can develop the ability to express dissatisfaction or irritation about an answer
without raising your voice.
StructureYou can structure your questions to be less threatening in nature. You can use words
like mistake or error instead of cheat or lie.
Modulation371

Achieving intimacy requires a softer, gentle, whisper. It is a form of seduction and

not the parade ground bellow of a drill instructor. Learn to pick your moments to
gain an advantage.
WitnessThe defense attorney attacks three different areas of a witnesses' statement.
PresenceWas the witness present when this happen?
ConsciousnessWas the witness conscious? They were not under the influence of anything?
AttentivenessWas the witness attentive, paying attention to, what was going on?
The witness can be in the same office with the suspect every day, fully awake but
because they were working on their own work, they would be inattentive.
WE:
Things we should consider and do during the interview.
Listening:
What are good listening skills?
Perceptions:
Understand what causes our perceptions to be the way they are.
Projection:
Try to understand the image that we project. Develop the skills to project any
image that is needed
Verbal Skills:
Develop those skills where you can express verbally the tone of the interview.
Picking our Roles:
Analyze the person being interviewed and determine the role that is best needed.
Be able to determine whether we are "Ok" or Not Ok".
Development of Analogies:

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Develop examples where similar situations have occurred and orient the response
to the goal you wish.
Development of Control:
You must control the interview from start to finish.
THEM:
Consider the following tactics regarding whom you interview.
Preparation:
When you are ready to interview someone, consider the following when you prepare
your interview questions and perform the actual interview.
Organized:
Identify those traits that indicate an organized individual and ask questions about
facts and details.
Disorganized:
Identify those traits that indicate a disorganized individual and ask questions about
emotions and feelings.
Setting:
Arrange the setting to determine that you are in control and whether the role you
have chosen is appropriate
Behavior Oriented:
During course of interview reward the person for talking about pertinent matters
and not reward for aversion.
Proxemics (Self-space):
Understand territory issues and the stress in "invading space".
Control:

Avoid giving power to the person being interviewed

As a review, when performing an interview, use the following acronym, POLITE, to

ensure you complete all the following steps of a successful interview.
P

stands for Prepare.

stands for Opening.

stands for Listening.

stands for Interview.

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T
E

stands for Think.

stands for End.

POINTS TO REMEMBER
1. Interview is art not science
2. Organized/disorganized responds differently
3. Stay neutral until youre sure
4. A well-practiced lie can sound like the truth
5. The truth can sound like a lie
6. Analogies
7. Never Lie
8. Confidence
9. Look forward
This is an activity that you will do on paper.
First, open The Human Polygraph Examination handout in PDF format.
* The PDFs will open in pop-up windows. Click here to get Adobe Acrobat Reader, a
free plug-in used to open PDF files. Be sure to close the pop-up windows to return to
the course.
Print the handout.
Then answer the questions.
Last, check your answers using the answer key, also in PDF format. It is
recommended that you try to complete the activity without the answers first
because some of these concepts will be addressed on the Comprehensive Exam at
the end of the course.
Interview Techniques
Everyone usually has some talent, even if it is sitting contentedly upon the couch. It
is the same with those people who are good interviewers. A good interviewer is able
to obtain the maximum amount of good information. While this sounds easy it is in
fact very difficult because we hold our secrets near and are reluctant to let them go.

374

A good interviewer finds that they have developed the ability to listen attentively,
the ability to guide the conversation in the necessary direction, the ability to quickly
gain rapport and empathy and the ability to detect inconsistencies. A good
interviewer has developed the skill to detect the slightest verbal or non-verbal
inconsistencies.
The interviewer through a Zen like atmosphere is able to become part of what is to
be achieved. He quickly is able to determine the normal behavior of the other
person and quickly sense when something is being hidden. Upon determining that
something is amiss the interviewer turns into a hybrid creature, part badger and
part ferret. This hybrid then relentlessly digs deeper and deeper becoming more
excited about the fact that such a
digging brings the rewards of the possible destruction of the person who is being
interviewed. The interviewer senses victory upon the total destruction of the person
being interviewed.
This in turn ultimately devours the interviewer, as they finally understand that the
victories they have achieved take it own tolls upon the interviewer. In the military,
interviews in many ways are referred to as soft or hard or in those rare cases as
wet. We have not developed that far yet in each of us there lurks that person who
can become aroused at the detection of the first admission.
EFFECTIVE COMMUNICATION
Objective:
To have the participants develop the ability to adjust their perceptions and
communicate more effectively in order to handle legal and trust matters.
Introduction:
This segment emphasizes the value Effective Communication has in working in such
a sensitive area as funeral and cemetery service. While there are tangible legal
concerns with contracts and trust, the way in which these matters are handled by
the examiner is crucial to a positive outcome.
Effective communication aids the delivery of good service at this sensitive time in
peoples lives. This segment serves to remind everyone of the important role
Communication plays in all aspects of the industry. This was an item that was
included in all the training modules. For the most part it refers to legal contracts and
trusts that are set up by persons for handling their affairs at the time of their death
or the death of their loved ones.
Obviously, this does not have to do with Communication when examined from the
legal, administrative point of view. However, we believe that Communication plays a
very important and large part in being sure that these sensitive affairs are handled
in the way that everyone desires.
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We talked briefly in the Workshop about how Effective Communication, and

especially learning to see things from a different angle, can be extremely helpful in
carrying out the work of Funeral and Cemetery directors. And, as Examiners, it is
useful to understand the various points of view to be sure that consumers are given
the kind of service they expect.
The fact that consumers trust persons in the Funeral and Cemetery industry with
one of the most sensitive issues in their lives makes it extremely important that
everyone in the industry, including those who examine the licensees, is well versed
in Effective Communication.
Criminal investigation analysis,
Criminal Investigative Analysis (CIA), also known as criminal profiling, is an
investigative tool used within the law enforcement community to help solve violent
crimes. The analysis is based on a review of evidence from the crime scene and
from witnesses and victims.
Criminal Investigative Analysis (CIA), also known as criminal profiling, is an
investigative tool used within the law enforcement community to help solve violent
crimes. The analysis is based on a review of evidence from the crime scene and
from witnesses and victims. The analysis is done from both an investigative and a
behavioural perspective. The analysis can provide insight into the unknown offender
(characteristics and traits) as well as investigative suggestions and strategies for
interviews and trial.
A CIA cannot replace a thorough investigation; and the accuracy and detail of a CIA
is limited by the accuracy and detail of the information on which it is based. CIA
does not use crystal balls or psychic experiences; it is a logical, systematic
approach for analyzing behaviour.
CIA services can assist in the investigation of interpersonal violence, particularly
homicide and sexual assault cases. CIA is suitable for single-incident or serial cases
with one or more victims, including:

homicides;
kidnapping, including infant kidnapping;
sexual assault;
child molestation and abuse;
hostage taking;
bombings;
arson;
threat cases; and
Extortion.

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CIA analysts are experienced investigators with extensive training in behavioural

analysis. They have been certified by the International Criminal Investigative
Analysis Fellowship to provide analyses of criminal behaviour.
Consulting Services
The consulting services that CIA analysts offer to criminal investigators include the
following areas:
Personality Profile:
This is a detailed behavioural analysis to derive information about an unknown
offender. The analyst examines information about the victim and the offence to
determine the characteristics and traits of the offender. Such a personality profile
may allow those involved to recognize someone as a possible offender. Based on
the analysis, the analyst can usually offer suggestions for further investigations.
Indirect Personality Assessment:
This is an assessment of a known individual believed to be responsible for
committing a violent crime. The assessment, based on an evaluation of the
individual's personality, can help to determine:
Whether or not the suspect's personality fits the crime under investigation;
Suspects strengths, weaknesses and areas of vulnerability;
Interview techniques appropriate for the suspect;
Strategies for a successful undercover operation;
Strategies for negotiating successfully with a hostage-taker;
Strategies for investigating offenders of sexual homicide or serial rape, particularly
to elicit predictable actions on the part of the offender; and
Most appropriate trial and courtroom strategy.
Equivocal Death Analysis:
This is an in-depth crime scene reconstruction undertaken to provide an opinion on
the manner of death: homicide, suicide, accidental death, death by natural causes,
or death by misadventure. This is generally done in conjunction with a psychological
autopsy.
Assessment of Threat or Extortion Communications:
The analyst examines a threat or extortion communication for content and stylistic
characteristics in order to assess the validity of the threat and the level of risk to

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the victim and suggest ways to minimize the risk to the victim. In some cases it is
possible to provide a profile of the unknown author or caller.
Consulting to Provide Expert Analysis:
This service is provided to help investigators focus and fine tune interview
techniques, develop investigative strategies including undercover operation
strategies, and develop an appropriate trial and courtroom strategy. A CIA analyst
can provide services such as:

Crime scene reconstruction;

Expert evidence/reports to coroner's inquest;
Expert opinions for use in search warrant and privacy act applications;
Expert evidence/reports regarding the 'signature' of serial violent offenders;
Analysis of stalking cases;
Research on unusual areas of expert examination; and
Consultation on media strategy and releases.
Requesting Criminal Investigative Analysis Services

CIA services should be requested early in the investigation in cases where the crime
is one of interpersonal violence, where most investigative leads have been
exhausted or where special circumstances exist.
Canadian and international police services can contact the RCMP to request the
services of a criminal investigative analyst. These services are limited to our
policing partners.
How to become a Criminal Investigative Analyst
To become a Criminal Investigative Analyst (CIA) in Canada, you must have
extensive policing experience working sexual assault and homicide investigations.
You must possess a knowledge of crime scene investigation and police procedures
regarding interviewing, interrogation, and forensic pathology. Currently the only
three police forces in Canada that have CIA positions are the RCMP, the Ontario
Provincial Police (OPP) and the Quebec Provincial Police (QPP).
While a University degree is not required to become a CIA, it does not hurt to have a
knowledge of the studies done in fields of psychology, criminology, and other
disciplines as they relate to offenders, victims, geography and so on.
There are several non-police persons, academic or otherwise, who claim that
policing is not required to be a Criminal Investigative Analyst. However, any analysis
done without an understanding of offender/victim interaction, and how it can be
reflected in a crime scene, misses a key component for doing a complete analysis.
Cases are typically referred by other police agencies, who will not typically disclose
sensitive information to those without proper clearances for investigational and
prosecutorial reasons. Details of a case are guarded and the only way to access the
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specifics of a case are by invite from the investigators, therefore access is limited to
police investigators only.
Criminal behavior profiling has increased in notoriety over the past three decades.
The media have guided the publics perception of this type of analysis, and fictional
television shows, such as Criminal Minds and The Mentalist, and the well-known
film Silence of the Lambs have helped spike its popularity. The Behavioral Analysis
Team led by Aaron Hotchner on Criminal Minds gives viewers the false impression
that each character on the show possesses some unique, specializedperhaps,
bordering on psychicinsight into offenders minds. Rather, individuals who
practice this specialized analysis have years of law enforcement experience and
training to prepare them to examine criminal behavior. Nonetheless, debates
persist, especially in academia, about the background, skills, and training needed to
practice behavioral analysis in this arena.
The lack of universal agreement regarding the definition of behavioral profiling lies
at the heart of many contentions. A history of offender profiling and how it has
advanced into a more comprehensive analysis, including additional services to
assist law enforcement agencies, can provide insight. The growth of more
widespread investigative assistance has led to both the need for and debate
concerning appropriate training in this area. Also valuable are observations derived
from a recent study that examined the experiences of actual criminal profilers,
referred to in this article and in the field as criminal investigative analysts.
This article constitutes part one of a four-part series
addressing different aspects of criminal investigative
analysis. Part two will address the skills, expertise, and These wider applications
training necessary for this type of analysis; part three of
behavioral
analysis
will explore measures of success and effectiveness; and illustrate the evolution and
part four will examine different applications for the utility of this analytical
courts.
approach in examining a
BACKGROUND OF PROFILING

broader
spectrum
criminal behaviors.

of

Since the 1970s the FBI has helped state, local, and
federal law enforcement agencies to investigate violent
crimes.[1] Experts within the FBIs Behavioral Science
Unit (BSU) initiated the practice of profiling, which involves providing a requesting
department with the behavioral and personality traits of a likely offender.[2] It
began as an analytical method to identify offender characteristics based upon a
thorough examination of the crime dynamics and the crime scene and continued to
develop over the years as a practical investigative tool to aid officers in advancing
their casework and sometimes narrowing down a suspect pool.[3]
Like many analytical approaches offender profiling was a byproduct of the training
programs offered within the BSU.[4] In their classes, instructors encouraged
students to discuss both solved and unsolved cases. Then, the officers noted crimes
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involving similar offenders. In subsequent courses students presented similar

unsolved cases, and instructors responded with verbal profiles. Students then used
this information when returning to their home agencies, later reporting that the
profiles assisted them in their cases by saving them time and focusing their efforts.
In some instances officers solved the case by using only the profile. As the news of
the valuable assistance grew, so did the number of requests for offender profiles.
However, at that time the instructors were primarily responsible for training, so they
had limited time to conduct formal case analyses.
Since the informal initiation of the analysis process, the FBI has assisted (e.g.,
through crime analysis, case linkage analysis, statement analysis, and
psycholinguistic techniques) with cases involving multiple types of crime, including
hostage taking, rape, arson, and serial sexual homicide.[5] In general, assistance
requested in these investigations focused on developing characteristics and traits of
offenders. These wider applications of behavioral analysis illustrate the evolution
and utility of this analytical approach in examining a broader spectrum of criminal
behaviors.
ADVANCEMENT OF CRIMINAL INVESTIGATIVE ANALYSIS
Again, when the various types of analytic services that were available to law
enforcement agencies increased, so did the need for assistance. Therefore, to better
reflect the roles of those within the FBI providing the assistance, profiling was
renamed criminal investigative analysis. Creating an unknown offender profile has
become and continues to be just one of the many services within this analytical
framework provided to law enforcement to assist with the investigation of violent
crimes.[6] As such, criminal investigative analysis has become an umbrella term
encapsulating a variety of services, including myriad behavioral advice provided by
the FBI to law enforcement agencies.[7]
While criminal investigative analysis, now practiced around the world, is most wellknown for the production of offender profiles, the practice has expanded into a more
comprehensive investigative aid providing a variety of services to law enforcement
agencies.[8]

Indirect personality assessments

Equivocal death analyses
Investigative suggestions
Interview strategies
Linkage analyses
Media strategies
Threat assessments
Search warrant affidavit assistance
Trial strategies
Expert testimony
Geographic profiling
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Critical incident analyses

To characterize criminal investigative analysis as only offender profiling is

oversimplified and antiquated. This perspective is highlighted by the findings
recent interviews with criminal investigative analysts who noted that
consultative services go far beyond providing an offender profile and may, in
be more useful during an investigation. According to one interviewee:

both
from
the
fact,

The most important thing I used to do was [assist with] interview or investigative
strategy. In other words, if I do a profile saying you are looking for a white guy in his
30s, the proper response from the investigator was, Thats kind of cool, but how do
I catch the guy? And, thats really the issue, so its investigative strategy or
interview strategy if youve got a suspect or several suspects or a difficult witness.
Its interview or interrogation strategy and investigative techniques that are the
nuts and bolts that really move things forward.
The primary goal of criminal investigative analysis is to examine all of the
behavioral information and provide advice to the requesting agency, rather than
become involved in the actual investigative process. Occasionally a criminal
investigative analyst or team will go out to the field and assist in the process or
testify, but the investigation is left for the law enforcement agency that requested
the assistance. The FBI does not come in and take over the case; rather, assistance
is provided to an agency in its investigation. One interviewed subject shared a
reference to a long-running television show, which underscores this point.
The Lone Ranger show, one of my favorite shows, the Lone Ranger was this guy
who came into town. He helped out the local sheriff or marshall, helped him solve
the case and arrested the bad guy. And, at the end the sheriff would be standing
there talking to people, saying, Yes, we got the guy who committed these murders,
hes in jail. There is a great sheriff, and everyone was asking, Howd you do it?
And where was the Lone Ranger in town? He was riding out of town. He gave all the
glory to the sheriff, and he just rode off into the sunset. That was the idea, that we
would come in and help these people. We didnt claim the credit and the glory.

If a homicide or other violent crime occurs, and your agency has

exhausted all investigative leads, you may think it wise to seek
behavioral analysis assistance. But, do you know what kind of
help would prove most beneficial?
Often, the initial thought is to request a behavioral profile of the
unknown offender. But, perhaps, a service other than a list of
traits and characteristics of your likely offender would be most
valuable. What may help the investigation more is a list of
strategies to help narrow down your suspect pool, followed by
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possible search warrant affidavit assistance.

Then, once you have a likely suspect,
following up with the criminal investigative
analyst for interview strategies would be most
helpful. Later, if the case goes to court, a
range of behavioral investigative strategies
(e.g., jury selection advice, prosecutorial trial
strategies, case presentation, or expert
testimony) may assist with a successful
To characterize criminal
prosecution.
investigative analysis as
only offender profiling is
both oversimplified and
antiquated.
Case Example
Exploring an adjudicated case can illustrate how the
range of criminal investigative analysis services can offer the most benefit during
an investigation.[9] However, this example only shows how criminal investigative
analysis services were provided in one particular case. It does not illustrate the
required protocol for services to be rendered in every case because this varies, nor
does it endorse a required methodology.
In the late 1980s a male offender was convicted of committing two homicides and
suspected in three others. The first victim was hitchhiking at the time of the crime
and, thus, was at high risk. Her body was found on the side of the road. A few
months later, the second victim, also hitchhiking at the time of the crime, was found
dumped on the side of the road. The investigating agency noticed the similarities
between the two cases and sought assistance from personnel trained in criminal
investigative analysis. Two FBI special agents assisted. First, they provided a general
crime analysis, which consisted of, for instance, identification of shared
characteristics of the crimes, evaluation of case linkages, assessment of
victimology, and analysis of crime signature aspects. Then, from that analysis, the
agency requested an unknown offender profile to identify the characteristics of the
individual that its investigators should look for. Therefore, the analysts provided
both traits and characteristics of the type of person who would have committed
these two homicides.
A threat assessment suggested that the offender would kill again. From this
information investigative techniques were developed to help make the subject
evident to the police. In this case it was thought that the community should be
warned of this individual through a media release, so the analysts also provided
media strategies.

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As the police pursued their investigation, another victim was discovered.

Unfortunately, due to decomposition of the body, there was not sufficient evidence
to assist in the investigation. Then, a month after finding the third body, another
victim disappeared and never was recovered. Because of the developments in the
case, officers continued providing information to the FBI special agents to receive
further investigative suggestions. A decoy operation using a female officer was set
in place. Although dangerous for that female officer, the necessary information was
gathered for identification of the suspect, as well as evidence that could help
convict the offender of the first two murders.
At that time research was gathered to support an affidavit for a search warrant to
gain access to the suspects car. The specifics of the complex case suggested that
law enforcement officers sought possible fibers from inside of the vehicle.
At the same time, another victim had disappeared, but was disposed of in water
(instead of dumped on the side of the road). This suggested that the offender
watched the media accounts and changed his methods of operation (MO). Thus, the
criminal investigative analysts modified their investigative suggestions.
Fortunately, these efforts were successful. With that said, once the suspect was
taken into custody, the investigators requested additional behavioral assistance
with interview and interrogation techniques. This involved an indirect personality
assessment (IPA) of the suspect. However, in this case it was difficult to get enough
background about the suspects personality.
When the case goes to trial, the IPA also could be used in formulating a
prosecutorial strategy. In this case the prosecutor had the same physical features as
the victims, which were used to re-create scenes for the jury during case
presentation. Trial strategies also are used during jury selection and opening and
closing remarks. Additionally, expert testimony may be requested for service as an
educated witness who can help identify, for instance, MO, signature, staging, or
sexual
homicide,
if
present.
Overall, this excellent real-life case example shows how numerous criminal
investigative analysis services can be requested and used in one case consultation
to assist a department with its investigation. However, this is an exceptional
circumstance. Rarely do law enforcement agencies request this level of specialized
behavioral assistance.
Definition of Problem
Although criminal investigative analysis has become a more comprehensive
investigative tool, no collective or agreed-upon definition describing this process
exists, either in law enforcement or academic literature. This exacerbates
subsequent debates regarding the methods employed and the training required to
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deliver these services. For example, one question that arises is whether this process
should be empirical or experience based. The expertise of an individual who
provides criminal investigative analysis is debated regularly in literature, including
whether investigative experience is necessary.[10] In addition, discrepancies were
found in the literature pertaining to required skills and training, the profiling
process, and criticisms of its application.[11] Common questions are debated
throughout the academic literature and highlight longstanding controversies within
the community of practice.

If I want to practice criminal investigative analysis, do I need formal training?

What makes someone who practices this analysis an expert?
Is investigative experience really necessary?
Is logic and objective reasoning more important than investigative
experience?
Are the methods used standard and reliable?
What makes criminal investigative analysis effective?
Is profiling actually successful?

These illustrate the obstacles this work must overcome to become more accepted
by the academic and law enforcement communities.[12] With that said, these
debates have been examined in an ad hoc manner with little systematic
assessment. To overcome this shortfall, the remainder of this article reports the
results of a recent study (referred to earlier) designed to examine these issues by
interviewing practitioners of this analytical technique.
RESEARCH STUDY
Various dynamics of profiling have undergone analysis in the past. Yet, there has
been little attempt to tap into the wealth of knowledge, experience, and skills of
those who engage in such work. As such, the literature has noted that fully
understanding the process requires examining the knowledge of those who engage
in the analysis and making it explicit.[13] This research responded to this call by
seeking to gain insight into the background, training,
skills, and expertise crucial for consistently applying the
criminal
profiling techniques within criminal investigative Although
analysis from individuals who likely have extensive investigative analysis has
a
more
knowledge in the practice. The primary goal was to become
comprehensive
examine common perspectives and practices among
tool,
no
individuals experienced and informed about criminal investigative
collective or agreed-upon
investigative analysis services and processes.[14]
definition describing this
Process
process exists, either in
law
enforcement
or
Participants
academic literature.
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The subjects consisted of individuals who had practiced criminal investigative

analysis while working with the FBI, persons trained by the FBI to perform these
services, or individuals with law enforcement experience in providing criminal
investigative analysis services who also received FBI instruction. All participants had
the ability to explicitly provide important data regarding practices of criminal
investigative analysis. Initial participants were identified using purposive and
convenience sampling from knowledge and access of working in the BSU.
Subsequent participants were recruited using snowball sampling, yielding a sample
size of 40.
Methods
After reviewing and signing a voluntary consent form, every participant completed a
semi structured 46-question interview. All of the interviews were audio recorded per
consent of the interviewee to obtain full documentation of responses. All individual
responses remain confidential because all results are aggregated and made
anonymous herein.
Findings
Demographics
Of the 40 individuals (male = 87.5 percent) interviewed for this study, 6 (15
percent) were from an international law enforcement agency. The mean number of
years of law enforcement experience reported was 32.9, ranging from 15.5 to 51.
Regarding prior experience, 97.5 percent had general investigative experience, and
75 percent had both general investigative experience and specific experience in
violent crime investigation. Of the individuals interviewed, 47.5 percent of them
currently practice criminal investigative analysis full time, and 22.5 percent do so
part time.
Definition of Criminal Investigative Analysis
An important finding from this research was that no singular definition of criminal
investigative analysis exists.

27.5 percent of the respondents described it as a list of services that can be

provided to an agency.
25 percent described it assimilar to the original definition of offender
profilingderiving characteristics of an offender from the characteristics of
the crime scene.
22.5 percent described it as a process used for analyzing information.
15 percent described it as both a list of services that can be provided and a
process to be used.
10 percent described it as something else.

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The notion that criminal investigative analysis may include multiple services
provided to a requesting law enforcement agency is illustrated by the viewpoint
offered by one of the respondents.
It encompasses a variety of investigative techniques that are aimed at narrowing
the focus of an investigation. I refer to it as behavioral forensics, so we might,
sometimes we are working during the investigative stage of assisting law
enforcement, helping investigators to have a better understanding of an unknown
offenders behaviors. We might do a crime scene analysis to sequence events, to
bring a better and a clearer, more accurate understanding of how a crime was
committed and identify the behaviors that the offender engaged in and the
behaviors that the victim engaged in, to put those together so, so that they
understand what happened. We might also do a crime scene reconstruction. But,
also, it entails working during the prosecution of a crime to provide, um, trial
strategy, cross-examination strategy, trial prep, expert testimony. Also worked doing
threat assessment. Also, in the, in the last portion of my work as a profiler, I worked
closely with geographic profilers to combine both the behavior and better
understanding of the locations involved. That was very, very successful.
Other varying perspectives on the definition of criminal investigative analysis exist.
For instance, one respondent explained the prototypical definition of profiling:
Criminal investigative analysis is a process of analyzing the facts of a case and
interpreting the interaction between the victim and the offender as exhibited at the
crime scene. Another respondent described criminal investigative analysis as both
providing multiple services, as well as a specific process
to follow: Its an umbrella of services, but it all focuses
perspectives
back to that process of reviewing that criminal act and the
surrounding the definition
then, you know, suggesting something from that.
of criminal investigative
CONCLUSION
analysis vary widely.
As is evident, the perspectives surrounding the
definition of criminal investigative analysis vary widely.
This lack of definition of its core concepts likely is the source of many other
disagreements (e.g., the methodology used and how to measure success), as well
as misunderstandings concerning the training and skills needed to deliver these
analytical services. Without understanding the core concepts measured and
implemented, it is difficult, if not impossible, to determine consistent and reliable
results to establish success.
This article has described the dynamics of the overall research study and
highlighted the inherent misunderstanding surrounding the definition of criminal
investigative analysis. Additional findings relative to further debates surrounding
the training and skills required, success and usefulness, and utility in court will be
addressed in the next three issues of the FBI Law Enforcement Bulletin.

386

CHAPTER XI: Legal and Ethical Guidelines for Investigators

Stop and frisk operations, Arrest procedures,
I.

PURPOSE

This directive:
A.
Establishes the responsibilities of Department members who take individuals
into custody.
B.
Sets forth procedures for investigation or detention outside of the district of
arrest.
C.

identifies the specific duties that must be followed for:

1.

Adult female arrestees,

2.

Transgender, intersex, and gender nonconforming (TIGN) arrestees,

3.

Foreign nationals and aliens,

4.

Juveniles,

5.

Traffic violators,

6.

Sick or injured arrestees,

7.

Arrestees requiring hospitalization, and

Arrestees in need of mental treatment

II.

RESPONSIBILITIES

A.
Department members taking an individual into custody or accepting custody
from other members will follow procedures outlined in the Department directive
entitled Restraining Arrestees. Members will be responsible for the safety and
security of the arrestee. A thorough search of persons taken into custody will be
conducted in accordance with established Department procedures.
B.
Members will transport an arrestee in a vehicle equipped with a protective
divider or request a squadron as soon as possible for transportation to the district of
387

arrest or, with prior approval of their supervisor, the appropriate holding facility
unless circumstances would make this unreasonable or impractical.
C.
Transporting officers will immediately transport the arrestee to the district of
arrest or, with prior approval of their supervisor, the appropriate holding facility and
turn the arrestee over to the arresting officer(s). Exceptions to the procedures
described in this directive will be made when:
1.
A multiple arrest incident is declared as outlined in the Department directive
entitled Mass Arrest Procedures.
2.
Arrestees are suspected of a homicide as delineated in the Department
directive entitled Digital Recording of Homicide Interrogations.
D.

As soon as the situation allows, the arresting officer(s) will:

1.

Proceed to the district of arrest or appropriate holding facility,

2.
Immediately notify the station supervisor that an arrestee has been brought
into the facility and report the name of the arrestee, the circumstances of the
arrest, and the probable charges,
3.

Accept custody of the arrestee, if applicable, and

4.
Ensure all the required arrest documentation is properly completed and
presented to the station supervisor of the district of arrest.
E.
Whenever an arrestee
Department facility, the:

requires

transfer

from

or

within

1.
Arrestee movement record within the Automated Arrest System will indicate
the location where the arrestee is being transported to.
2.

Transporting officers will:

a.
Transport the arrestee to the designated holding facility after the station
supervisor of the district of arrest approves of the initial probable cause to arrest
and ensures that all required arrest documents are properly completed.
b.
Ensure the Prisoner Transportation Transmittal of the Arrest Report, signed
complaints, and any other related documents accompany the arrestee to the
designated holding facility.
c.
Present the Prisoner Transportation Transmittal of the Arrest Report, signed
complaints, and any other related documents to the station supervisor in charge of
the designated holding facility for review.
F.
When an arrestee is taken to a police facility other than the district
of arrest, the:
388

1.

Arresting officer will:

a.
Complete and electronically submit the arrest report to the station supervisor
of the district of arrest.
b.

after preliminary approval of probable cause to arrest is obtained:

(1)
Request the district of arrest station supervisor to authorize the movement of
the arrestee to the requested holding facility.
(2)
Transport the arrestee to the designated holding facility or any authorized
locations (i.e., hospital, another holding facility).
2.

station supervisor of the district of arrest will:

a.

Record any subsequent arrestee movement in the Automated Arrest System.

b.

Review the arrest report and take any appropriate actions.

III.

DESIGNATED HOLDING FACILITIES

The designated holding facility for adult arrestees will be based upon the district of
arrest, the gender of the arrestee, and whether the arrestee requires wheelchair
accessibility as follows:
NOTE:
The designated holding facility for arrestees identified as transgender, intersex, or
gender nonconforming (TIGN) will be Central Detention.
IV.

INVESTIGATION OR DETENTION OUTSIDE THE DISTRICT OF ARREST

A.
When an arrest is made, the holding facility will normally be the district of
arrest.
1.
When an arrest is made subsequent to an interview or as a result of an
investigation conducted by select members of the Bureau of Detectives and the
Bureau of Organized Crime:
a.
In a district station/area center, the holding facility may be in the area center
that encompasses the facility where the arrest was affected.
b.
In a police facility other than a district station/area center, the holding facility
may be the district that encompasses facility to where the arrest was affected.
2.
When an arrest is made by an area-center-based unit from the Bureau of
Patrol, the holding facility may be the units operating area center or Department
facility.

389

B.
A subject detained at a Department facility may, upon further investigation,
be released without seeking approval of charges with the approval of their station
supervisor or unit commanding officer; however, a record of this event will be
documented in the appropriate case report.
C.
Members of the Bureau of Detectives and the Bureau of Organized Crime,
whose units operate out of facilities other than districts or area centers, making an
arrest:
1.
Will transport and process the arrestee to the district of arrest in the event
the arrest requires the completion of a Tactical Response Report.
2.
May detain and process arrestees whose Automated Arrest Record status
reflects "preliminary" at the area of arrest, Central Detention Section, their unit of
assignment, or the Juvenile Intervention and Support Center (JISC), if their units
have been so authorized by their bureau's written protocol.
3.

Will:

a.
Create the Automated Arrest Record at the units operating facility if the
arrestee is detained or processed at a facility other than the district of arrest.
b.
Transport the arrestee to a holding facility consistent with Item IV-A of this
directive.
D.

The immediate supervisor of arresting officers delineated in Item IV-C will:

1.
Visually inspect arrestees and the conditions of the processing location to
verify the arrestees well-being, and
2.
Ensure timely submission of the Automated Arrest Record (within six [6]
hours of the time of arrest) and monitor the entire arrest process.
V.

ADULT FEMALE ARRESTEES

A.
All adult female arrestees transported to a district of arrest with a holding
facility designated to detain only male arrestees will be processed as follows:
1.
Upon completion of the preliminary investigation, adult females requiring
fingerprinting will be:
a.
Fingerprinted and photographed in accordance with the Department directive
entitled Arrestee Identification Process.
b.

Given priority over adult males for fingerprinting and photographing.

NOTE:
Juvenile arrestees will be given priority over adult arrestees for the completion of
the booking process.
390

c.
Searched and accompanied into the holding facility processing area by a
sworn, female member. This member will remain with and maintain control of the
arrestee and observe the fingerprinting and photographing process.
2.
If after the completion of the preliminary investigation and booking process
the arrestee cannot be left to bail, the station supervisor will ensure the transport of
the arrestee to the designated female holding facility within a reasonable period of
time.
3.

Station supervisors will check the status of the arrestee and:

a.

If IUU is not complete, approve the transfer.

b.
If IUU is complete and the arrestee is clear and eligible for bail, the station
supervisor will complete the bonding process and not approve transport to the
designated female holding facility.
c.
if the arrestee is not eligible for bail or waiting for a judges bond, the station
supervisor will instruct the transporting officers to:
(1)

Transport the female arrestee to the designated holding facility, and

(2)
Upon arrival at the holding facility, notify the receiving district station
supervisor that a female arrestee has been brought into the facility.
4.
The station supervisor of the female holding facility will verify if the arrestee
is clear and eligible for bail prior to accepting custody of the arrestee. If the arrestee
is:
a.
Clear and eligible for bail, the station supervisor will complete the bonding
process.
b.
Not clear (i.e., IUU Pending, Redlined Prints) or not eligible for bail, the station
supervisor review of the Arrest Report, signed complaints, and any other related
documents.
5.
Prior to accepting the arrestee in the holding facility, the lockup keeper of the
holding facility will review the responses from the booking district in the Visual
Check of Arrestee Questionnaire and Arrestee Questionnaire sections of the
Arrest Report and:
a.
Confirm the accuracy
observations and questioning.

of

the

responses

through

their

own

physical

b.

document in the Lockup Keeper Remarks section of the Arrest Report:

(1)

the confirmation of the responses, or

391

(2)
Responses that is not identical to the recorded responses from the booking
district.
c.

Immediately notify their station supervisor of any discrepancies in responses.

6.
The Records Division, Instant Update Unit, will prioritize adult females over
adult male arrestees in the identification clearance process.
NOTE:
Juvenile arrestees will be given priority over adult arrestees for the
completion of the identification clearance process.
B.
All adult female arrestees transported to a district of arrest or appropriate
area center with a holding facility designated to detain female arrestees will be
processed as follows:
1.
The arresting officer(s) will conduct the preliminary investigation and obtain
the initial approval of probable cause from the station supervisor of the district of
arrest.
2.
Upon completion of the preliminary investigation and initial approval of
probable cause, adult females will be fingerprinted, photographed, booked, and
processed in the holding facility following existing directives and established
procedures.
C.
All adult female arrestees transported to a district of arrest without a
functioning holding facility (i.e., districts with closed lockups) will be processed as
follows:
1.
The arresting officer(s) will conduct the preliminary investigation and obtain
the initial approval of probable cause from the station supervisor of the district of
arrest.
2.
Upon completion of the preliminary investigation and initial approval of
probable cause, adult females will be:
a.

transported to the designated female holding facility.

b.
Fingerprinted, photographed, booked, and processed in the holding facility
following existing directives and established procedures
VI.
TRANSGENDER, INTERSEX, AND ENDER NONCONFORMING (TIGN)
ARRESTEES
A.
All adult transgender, intersex, and gender nonconforming (TIGN) arrestees
transported to a district of arrest with a functioning holding facility will be processed
as follows:

392

1.
Upon completion of the preliminary investigation, TIGN arrestees requiring
fingerprinting will be:
a.
Fingerprinted and photographed in accordance with the Department directive
entitled Arrestee Identification Process.
b.
Given priority for fingerprinting and photographing over arrestees remaining
in the holding facility.
NOTE:
Juvenile arrestees will be given priority over adult arrestees for the completion of
the booking process.
c.
searched and escorted into the holding facility processing area by a
Department member of the gender of the arrestee based on the gender
classification and searching guidelines delineated in the Department directive
entitled "Interactions with Transgender, Intersex, and Gender Nonconforming (TIGN)
Individuals." This member will remain with and maintain control of the arrestee and
observe the fingerprinting and photographing process.
2.
If after the completion of the preliminary investigation and booking process
the TIGN arrestee cannot be left to bail, the station supervisor will ensure the
transport of the TIGN arrestee to Central Detention within a reasonable period of
time.
3.

Station supervisors will check the status of the TIGN arrestee and:

a.
if IUU is not complete or the TIGN arrestee is not eligible for bail or waiting for
a judges bond, the station supervisor will approve the transfer and instruct the
transporting officers to:
(1)

Transport the TIGN arrestee to Central Detention, and

(2)
Upon arrival at Central Detention, notify the receiving station supervisor that
a TIGN arrestee has been brought into the facility.
b.
if IUU is complete and the arrestee is clear and eligible for bail, the station
supervisor will complete the bonding process and not approve transport to Central
Detention.
4.
The station supervisor of the 1st District will verify if the TIGN arrestee is
clear and eligible for bail prior to accepting custody of the TIGN arrestee. If the TIGN
arrestee is:
a.
Clear and eligible for bail, the station supervisor will complete the bonding
process.

393

b.
Not clear (i.e., IUU Pending, Redlined Prints) or not eligible for bail, the station
supervisor will review the Arrest Report, signed complaints, and any other related
documents.
5.
Prior to accepting the arrestee in Central Detention, the lockup keeper of
Central Detention will review the responses from the booking district in the Visual
Check of Arrestee Questionnaire and Arrestee Questionnaire sections of the
Arrest Report and:
a.
Confirm the accuracy
observations and questioning.

of

the

responses

through

their

own

physical

b.

document in the Lockup Keeper Remarks section of the Arrest Report:

(1)

The confirmation of the responses, or

(2)
Responses that is not identical to the recorded responses from the booking
district.
c.

Immediately notify their station supervisor of any discrepancies in responses.

B.
All adult TIGN arrestees transported to a district of arrest without a
functioning holding facility (i.e., districts with closed lockups) will be processed as
follows:
1.
The arresting officer(s) will conduct the preliminary investigation and obtain
the initial approval of probable cause from the station supervisor of the district of
arrest.
2.
Upon completion of the preliminary investigation and initial approval of
probable cause, adult TIGN arrestees will be:
a.

Transported to Central Detention.

b.
Fingerprinted, photographed, booked, and processed at Central Detention
following existing directives and established procedures.
VII.

FOREIGN NATIONALS AND ALIENS

For arrestees identified as a Diplomatic Officer, Consular Officer, Honorary

Consul, foreign national, illegal alien, a family member of a Diplomatic Officer,
Consular Officer, Honorary Consul, foreign national, or an illegal alien, members will
follow the procedures outlined in the Department directive entitled Foreign Mission
Personnel and Foreign Nationals.
VIII.

JUVENILE ARRESTEES

A.
Department members who have apprehended a juvenile for an offense other
than a curfew or traffic violation will follow the procedures in the Department
394

directives entitled Processing of Juveniles and Minors Under Department Control

and if applicable, Juvenile Intervention and Support Center.
B.
If a juvenile has been apprehended as a curfew violator, the arresting officer
will follow the procedures in the Department directive entitled Processing Curfew
Violators.
C.
If applicable, a juvenile arrestee may be processed as an adult in accordance
with the Department directive entitled Processing of Juveniles and Minors Under
Department Control.
D.
All juvenile arrests that are made within districts which do not have holding
facilities will have the:
1.
Approval of initial probable cause signed by the district of arrest station
supervisor.
2.
Juvenile transported to the districts assigned area for fingerprinting and
photographing, if applicable, and processing by detectives consistent with existing
directives.
IX.

TRAFFIC VIOLATORS

A.
Detention for a traffic violation other than a traffic arrest made on a warrant
will not require the completion of an Arrest Report when the violator is promptly let
to bail or is temporarily detained at the district waiting to post bond.
B.
Arresting officers will follow the procedures in the Department directive
entitled Traffic Violators, Name-Checks, and Bonding.
X.

SICK AND INJURED ARRESTEES

A.
In the event that an arrestee requires immediate medical care, the arrestee
will be transported to the nearest approved emergency room, as delineated by
Department directive entitled Approved Medical Facilities, prior to any further
arrest processing.
B.
A Hospital Run Sheet (CPD-62.420) will be completed regardless of the mode
of transport (CPD or EMS).
C.

If an arrestee is:

1.
Hospitalized, the Department directive entitled Hospitalized Arrestees will
be followed.
2.
Discharged from the hospital, an Arrestee Medical Clearance Report (CPD11.524) will be completed by the attending physician.
D.

The station supervisor will:

395

1.
Review the completed Arrestee Medical Clearance Report and determine
whether the physicians instructions, if any, can be complied with by the holding
facility.
2.

Ensure compliance with the physicians instructions.

3.
In the event the physicians instructions are beyond the capabilities of the
holding facility, consult with the physician via telephone and the station supervisor
will make a determination as to the best course of action.
XI.

ARRESTEES IN NEED OF MENTAL TREATMENT

If an arrestee is a Person Subject to Involuntary Admission, as defined in the State

of Illinois Mental Health Code, Chapter 405 of the Illinois Compiled Statutes, the
Department directive entitled Handling Persons in Need of Mental Treatment will
be followed.
XII.

CONFLICT PROVISION

If this directive conflicts with the Department directive entitled Processing

Persons Under Department Control, this directive will take precedence.
SEARCH AND SEIZURE
PROCEDURES:
1. SEARCHES WITH A WARRANT:
A. The general rule to be followed is that searches and seizures are reasonable and
proper if they are based upon a valid search warrant, the issuance of which
indicates that the police can demonstrate that probable cause exists that the
evidence of criminal activity will be uncovered by the search.
B. With certain limited exceptions, therefore, a search shall always be conducted
with a search warrant issued by a court of competent jurisdiction after the
presentation of a properly executed affidavit:
1. This affidavit must contain the facts, information, and circumstances which have
led a police officer to have probable cause to believe that a crime has been, is
being, or is about to be committed, and that sizable evidence relating to that crime
is present in the place or on the person to be searched;
2. "Probable Cause" is a phrase which describes the facts observed, information
obtained from others, and personal knowledge and experience that is sufficient to
lead a reasonable and prudent person to believe that sizable evidence of crime
exists and that it will be found in a specific location or on the specific person, and
which would justify a judge or magistrate to issue a search warrant;

396

3. Many cases have been lost because an officer had sufficient basis for probable
cause but did not furnish enough information in his affidavit;
4. Any fact that is not set out in the affidavit cannot be inserted or used later for the
purpose of establishing probable cause for a search;
5. It is most important that an affidavit describe with particularity the objects to be
seized, as the search warrant must be sufficiently definite that the officer serving
the warrant will not seize the wrong property and it must be sufficiently descriptive
that an officer will identify the property to be seized with reasonable certainty.
C. The legal procedure specified by Massachusetts Statute for the issuance of a
search warrant is as follows:
1. A court or justice authorized to issue warrants in criminal cases may, upon
complaint on oath that the complainant believes that any of the property or articles
hereinafter named are concealed in a house, place, vessel, or vehicle or in the
possession of a person anywhere within the commonwealth and territorial waters
thereof, if satisfied that there is probable cause for such belief, issue a warrant
identifying the property and naming or describing the person or place to be
searched, and commanding the person seeking such warrant to search for the
following property or articles:
a. Property or articles stolen, embezzled, or obtained by false pretenses, or
otherwise obtained in the commission of a crime;
b. Property or articles which are intended for use, or which are or have been used,
as a means or instrumentality of committing a crime, including, but not in limitation
of the foregoing, any property or article worn, carried, or otherwise used, changed,
or marked in the preparation for or perpetration of or concealment of a crime;
c. Property or articles the possession or control of which is unlawful, or which are
possessed or controlled for an unlawful purpose; except property subject to search
and seizure under sections 42 through 56, inclusive of chapter 138;
d. The dead body of a human being;
e. The body of a living person for whom a current arrest warrant is outstanding.
NOTE:
The word "property" as used in this section shall include books, papers, documents,
records, and any other tangible objects.
D. A search warrant may also authorize the seizure of evidence.
E. A search warrant shall designate and describe the building, house, place, vessel,
or vehicle to be searched and shall particularly describe the property or articles to
be searched for; the warrant shall be substantially in the form prescribed in section
397

2A of chapter 276 and shall be directed to the sheriff or his deputy or to a constable
or police officer, commanding him to search in the daytime, or if the warrant so
directs, in the nighttime, the building, house, place, vessel, or vehicle where the
property or articles for which he is required to search are believed to be concealed,
and to bring such property or articles when found, and the persons in whose
possession they are found, before a court having jurisdiction.
F. An officer requiring a search warrant shall consult with the Shift Commander, or
Chief of Police, and obtain his advice and guidance before proceeding to court. If the
court is not in session, the officer should communicate with an authorized court
official to make the necessary arrangements to secure a search warrant.
1. If legal assistance is required for the preparation of the search warrant affidavit,
the District Attorney's Office should be contacted.
2. Every search warrant issued and any action taken on such warrant should be
recorded by issuing an incident number, logging it in the daily police blotter, and
subsequently by submission of a written report.
G. After a search warrant is obtained, a police officer shall:
1. Check the warrant to ensure that it is signed and it clearly describes the place to
be searched and the articles to be seized.
2. Execute the warrant immediately, or within a reasonable time, but in any case,
within seven days from date of issuance (Mass. Gen. Law, Chap. 276, Sec. 3 A);
3. Execute the warrant in the day time unless it specifically provides for nighttime
search - nighttime for this purpose begins at 10 PM. and ends at 6 AM.
4. In executing a search warrant in the nighttime, all due care shall be taken to
avoid any possibility of error;
5. A search begun in the daytime may continue into the nighttime if such activity is
reasonable and not for the purpose of harassment;
6. Upon arrival, again check to make certain that the premises are in fact those
described in the warrant;
7. Officers shall first knock, identify themselves as police officers, announce that
they have a warrant to search the premises, and demand entrance Comm. v.
Gondola, 28 Mass. App. Ct. 286, 287 (1990). The knock and announce rule serves
three vital purposes:
a. It decreases the potential for violent reactions by surprised occupants;
b. It protects the privacy of those in their own homes; and

398

c. It prevents unnecessary damage to homes caused by forceful police entry. Comm

v. Gomes, 408 Mass. 43 (1990).
The failure of the police to knock and announce their identity in the absence of a
No-Knockwarrant, on scene emergency, or consensual entry, will INVALIDATE the
entry and result in the exclusion of any evidence found during the ensuing search of
the premises. Comm. v. Goggin, 412 Mass. 200, 202 (1992).
8. Upon entering, show a copy of the warrant to the person(s) lawfully on that
premises unless the circumstances are such that this is not practical.
9. Officers shall always seek entry as peacefully as possible, but forcible entry is
authorized if, after waiting a reasonable time, it becomes apparent:
a. That the officers will not be admitted voluntarily;
b. That the officers or any other persons are in danger of physical harm;
c. That the occupants are escaping; or
d. That evidence is being, or is in danger of being, destroyed.
NOTE:
What constitutes "a reasonable time before making a forcible entry depends upon
the circumstances of each case and the best judgment of the searching officers.
10. It is always a good police practice to gain entry without force, if possible, by
deception or by means of a ruse, if this will result in a safe, practical, and successful
execution of the search warrant with less destruction of property.
11. An immediate, forcible entry (or one gained by a ruse or trick) is authorized and the usual knock and announce procedure may be disregarded - if the searching
officers are in possession of reliable information that, to follow the knock and
announce procedure:
a. Would be likely to endanger their safety or the safety of others;
b. Would be likely to enable the wanted person or persons to escape; or
c. Would be likely to result in the evidence being destroyed during the period
between their announcement of purpose and subsequent forcible entry. Comm. v.
Cundriff,382 Mass. 137, 415 N.E. 2d 172 (1980), Comm. v. Scalise, 387 Mass. 413
(1982).
12. If, at the time the officers apply for the search warrant, they have reason to
believe the knock and announce rule should not be observed when the warrant will
be executed, they shall request that the Magistrate mark the Warrant "No Knock
and Announce" or words to that effect. A no-knock warrant is permitted when the
399

police inform the magistrate of circumstances providing probable cause to believe

that the object of the search may be destroyed or violence may occur if officers
knock and announce their presence. Comm. v. Rodriguez, 415 Mass. 447 (1993).
However, if the circumstances which would justify disregarding the knock and
announce rule are no longer present when the warrant is executed, the knock and
announce rule must be followed. Upon gaining entry in such cases, the searching
officers should immediately identify themselves as police officers and should state
that it is their purpose to serve a valid search warrant issued by the court.
H. The number of officers assigned to execute a search warrant should be
dependent upon the particular circumstances, and it is a good practice for at least
one of the searching officers to be in police uniform, unless this would jeopardize
the success of the search.
I. A search warrant should not be executed in or on any premise in the absence of
the owners, or occupants, unless there is good reason to believe that the occupants
do not intend to return for an extended period of time (or that they do not intend to
return at all); or that the property or articles designated in the search warrant will
be removed or destroyed if the premises are not searched immediately. In all such
cases, the manner of entry shall be made with the least possible destruction of
property and a copy of the warrant left in a conspicuous place on the premises.
J. Although not specified in the search warrant, the following articles may be lawfully
seized by an officer who observes them in plain view while serving a search
warrant:
1. Instrumentalities or means by which any crime was committed (such as weapons,
masks, tools, etc.);
2. Contraband (articles which may not be legally possessed, such as counterfeit
money or controlled substances, etc.);
3. Fruits of any crime (such as stolen property);
4. Other evidence of any crime (such as clothing or other items fitting the
description of the criminal offender); and
5. Property which bears a reasonable relationship to the purpose of the search (such
as documents establishing who owns the premises searched if ownership is an
element of the crime).
NOTE: Any item not named in the search warrant may be seized only if the police
have probable cause to believe it is contraband, stolen property, or evidence of a
known crime.
K. In order to ensure an orderly and safe search, all persons present on the premises
when the police arrive may be detained and prevented from moving about. The
police may secure the premises prior to obtaining a search warrant, but must NOT
400

begin their search until the warrant is issued and a copy presented to the
owner/occupier, Comm. v. Yesilcman, 406 Mass. 736 (1990). In the execution of a
search warrant, any person found on the premises may be frisked for weapons by a
police officer, for his own protection and safety, if the officer believes that such
person is armed. Terry v. Ohio, 392 U.S. 1 (1968). It should be noted, however, that
the Supreme Court ruled that this "does not permit a frisk for weapons on less than
reasonable belief or suspicion directed at the person to be frisked, even though
such person happens to be on premises where an authorized search is taking
place." Ybarra v. Illinois, 444 U.S. 85, 100 S. Ct. 338 (1979).
L. If a police officer suspects that any person present during an authorized search
would interfere with such search, the officer may direct such person to restrict his
movements on the premises; however, at least one of the occupants should be
permitted to witness all aspects of the search, if this is practical under particular
circumstances.
M. If during the execution of a search warrant it appears that there is probable
cause to believe that seizable property is located in an area of the premises outside
the scope of the present warrant, a new warrant should be obtained immediately,
unless consent is granted or exigent circumstances are present. While the new
warrant is being sought, any occupants of the premises may have their activities
restricted. A warrant authorizing the search of a residence also gives police the right
to search automobiles owned or controlled by the owner of such residence, which
are located within the cartilage at the time the warrant is executed. Comm. v.
Signorine, 404 Mass. 400 (1989).
N. A police officer responsible for the execution of a search warrant:
1. Shall not exceed the authority granted by this warrant;
2. Shall make diligent effort to find all the property listed in the warrant;
3. Shall not search beyond the area described in the warrant unless consent has
been obtained or exigent circumstancesexist (if the warrant authorizes a search of
the first floor of a building, a search of the second floor is unlawful). Kremar V.
U.S.353 U.S. 346, 77 S. Ct. 828 (1957), Comm. v. Wills398 Mass. 768 (1986).
4. Shall search only those areas capable of containing the property listed in the
warrant (if the warrant authorizes a search for a large TV set, do not search in a
small bureau drawer);
5. Shall carry out the search with the least possible damage to the premises;
6. Shall remain on the premises only for the time reasonably necessary to
thoroughly search for and seize the property listed in the warrant;
7. Shall terminate the search when the listed property has been found or when it
reasonably appears that such property in not on the premises;
401

8. Shall make adequate provisions for the security of the searched premises before
leaving unless the person in control of such premises refuses or rejects such police
protection;
9. Shall immediately and directly transport to the police station all seized property
and ensure that it is properly marked, recorded, and safeguarded in accordance
with departmental procedures for the care, handling, and security of evidence;
10. Shall complete the return section of the warrant and deliver it to the court as
soon as reasonably possible after the completion of the search, and should be no
later than seven days unless other circumstances exist. Comm. v. Cromer,365 Mass.
579, 313 N.E2d 557 (1974).
11. Shall note on the warrant the action taken with an inventory of all property
seized by authority of the warrant (if evidence not described in the warrant is
seized, attach a separate sheet to the return listing all such property and state that
it was seized during the execution of that warrant); failure to list some items will
result in the suppression of the items left out, but not the items listed. Comm. V.
Aldrich, 23 Mass. App. Ct 157 (1986); and
12. Shall make a full departmental report of all action taken on a search warrant.
2. SEARCHES WITHOUT A WARRANT:
A. the Fourth Amendment to the United States Constitution prohibits "unreasonable"
searches and seizures, and the Supreme Court has consistently held that unless
they come within one of the few carefully limited exceptions to the search warrant
requirement, warrantless searches and seizures are considered unreasonable.
Searches with prior judicial approval and a valid search warrant are preferred.
Stoner v. Calif., 376 U.S. 483, 484, 84 S. Ct. 889, 890 (1964). The burden of showing
that a valid exception exists rests upon the government when the circumstances of
a warrantless search are challenged in the courts.
B. The following are the major exceptions to the search warrant requirement that
have been recognized as constitutionally permissible by the court:
1. Warrantless stopping, questioning, and frisking (investigative detention);
2. Search incident to arrest (including protective sweep);
3. Exigent or emergency circumstances search (including "pursuit");
4. Consent searches;
5. Motor vehicle searches;
6. Plain view observations;
7. Pre-incarceration and inventory searches;
402

8. Protective custody searches; and

9. Administrative searches.
C. The following are not considered invasions of any privacy interest and do not
come under the search warrant requirement of the Fourth Amendment:
1. The "plain view" doctrine;
2. Abandoned property.
D. It should be carefully noted, however, that a police officer should never rely on
one of these exceptions when it is possible, under the particular circumstances, to
obtain a search warrant in advance. If a police officer is acting under the authority
of a valid search warrant, he is acting on secure legal grounds.
E. In every case (except Sec 2 B (1)) where a search is conducted without a warrant,
the police officers involved shall make a written report of the circumstances to
include all-important facts relative to the incident and an inventory of any evidence
seized.
3.
WARRANTLESS
(INVESTIGATIVE

STOPPING,

QUESTIONING,

AND

FRISKING

DETENTION): Both the Fourth Amendment and Mass. Gen. Law, Chap. 41, Sec. 98,
authorize police officers to briefly detain suspicious persons, to question such
persons and, if the officer reasonably believes the person may be armed or
dangerous, to frisk that person for weapons. These procedures are sometimes
referred to as a "threshold inquiry."
4. SEARCH INCIDENT TO LAWFUL ARREST:
A. It is well accepted that a search incident to a lawful arrest is a traditional
exception to the warrant requirement of the Fourth Amendment. Chimel v.
California, 395 U.S. 752, 89 S. Ct. 2034 (1969).
B. A police officer is authorized to conduct a warrantless search of an arrested
person under the following conditions:
1. The arrest is lawful and the search is reasonably related to the circumstances of
the arrest;
2. The search is conducted only for the purpose of seizing fruits, instrumentalities,
contraband, and other evidence of the crime for which the arrest was made, in
order to prevent its destruction or concealment or to remove any weapons that the
arrested person might use to resist arrest or to effect his escape; any evidence
seized in violation of this statutory requirement will not be admissible in evidence in
a criminal proceeding (Mass. Gen. Law, Chap. 276, Sec. 1);

403

3. The search is limited in scope to the person of the arrestee and the immediate
surrounding area. Immediate surrounding area means that area from which an
arrestee can either obtain a weapon or destroy evidence. Chimel v. Calif.395 U.S.
752, 89 [Link]. 2034 (1969).
4. The search is substantially contemporaneous with the arrest and conducted in
the immediate vicinity of the arrest. Shipley v. Calif.395 U.S. 818, 89 S. Ct 2053
(1969). However, if safety requires, the officer may delay the search and conduct it
at a safe location.
5. Also, there is a separate exception to the search warrant requirement which
allows police to conduct a warrantless search of a person who is about to be
incarcerated in a police lockup.
6. An officer conducting a search incident to an arrest (or by search warrant) may
use the degree of force reasonably necessary to:
a. Protect himself and others present;
b. Prevent escape;
c. Prevent the destruction of evidence; and
7. A search may also be made of articles actually in possession of the arrested
person and clothing worn at the time of arrest, if such search is related to the
offense for which the arrest was made.
C. It has been recognized that in addition to a careful search of the area within the
arrested person's immediate control, an examination of the entire premise may also
be justified at the time of or immediately following a valid arrest if there is a
reasonable belief that it was imperative for the officers safety because of the
presence of others in the house or apartment. Comm. v. Flowers, 1 Mass. App. Ct.
415, 298 N.E. 2d 898 (1973). this search, often termed a "protective sweep," is
limited to areas where an accomplice or other person who might come to the aid of
the arrestee might reasonably be hiding. Any item or object recognizable as criminal
evidence discovered in plain view during a justifiable "protective sweep" may be
properly seized. United States v. Bowdach, 561 F. 2d 1160 (5th Cir) (1977), (Comm.
v. Bowden,379 Mass. 472 (1980).
D. It should be understood that an arrest must not be used as a pretext in order to
make a search. South Dakota v. Opperman428 U.S. 364 (1976). If the arrest is
unlawful, the search is also unlawful. The courts have also ruled that a lawful arrest
must not be used as a pretext to search a suspectto uncover evidence of a totally
unrelated crime. Any search made under a false orfictitious warrant, or under any
pretended legal authority, is unlawful, even if as a result, consent for the search is
obtained. Any evidence seized under these circumstances would be declared
invalid.
404

5. SEARCH IN EMERGENCY OR EXIGENT CIRCUMSTANCES (INCLUDING HOT

PURSUIT):
A. A police officer is authorized to conduct a search without a warrant when faced
with an emergency situation where delay would endanger his or the public's safety
or might result in the escape of the offender or the destruction of evidence.
B. Many emergencies justifying a warrantless entry and search do not necessarily
involve criminal acts; for example, when a police officer hears a call for assistance,
when he observes smoke or flame, or when he learns of an actual or potential
natural or man-made calamity or disaster, he has the duty and obligation to
respond immediately.
1. The authority of the police to make warrantless entries in emergency situations,
whether criminal or non-criminal, is based upon their fundamental responsibility to
preserve the peace and to protect the public safety. Thurlow v. Crossman, 336 Mass.
248, 143 N.E. 2d 812 (1957), (Comm. v. Bates 28 Mass. App. Ct. 217 (1990).
2. The doctrine that permits warrantless entries and searches because of exigent
circumstances requires justification by the police that it was impracticable for them
to obtain a search warrant in advance and that the warrantless search was truly
necessitated by the emergency circumstances which could not have been
anticipated. Comm v. Collaza,29, 34 Mass. App. Ct. 79 (1993).
3. While conducting a lawful search justified by emergency circumstances, a police
officer may seize any incriminating evidence inadvertently discovered in plain view.
4. A warrantless entry into a burning building is permissible in an emergency, and
officials may remain for a reasonable time to investigate the cause of the fire and
any evidence of arson discovered is admissible at trial; but any reentry after the fire
has been extinguished and officials have left the scene should be made pursuant to
a search warrant, unless re-entry is justified by a recognized exception to the
warrant requirement, such as consent, emergency, or abandonment. Michigan v.
Tyler, 436 U.S. 499, 98 S. Ct. 1942 (1978), Michigan v. Clifford, 464 U.S. 287, 104 S.
Ct. 641 (1984).
5. It has been said that an officer who has reasonable cause to believe premises
contain things imminently likely to burn, explode, or substantial destruction of
property may, without a search warrant, enter and search such premises to the
extent reasonable necessary for the prevention of such death, bodily harm, or
destruction. Comm. v. Marchione, 384 Mass. 8, 422 N.E. 2d 1361
(1981).
C. The Supreme Court addressed the issue of immediate need to protect public
safety by supporting the "hot pursuit" exception to the search warrant requirement.
The Court ruled that when the police are in hot pursuit of a criminal suspect, they
may make reasonable warrantless entries to apprehend the suspect, to seize
405

weapons, and to secure evidence of that crime. Warden v. Hayden, 387 U.S. 294, 87
S. Ct.1642 (1967). The Court stated that "the exigencies of the case made that
course imperative... and the Fourth Amendment does not require police officers to
delay in the course of an investigation if to do sowould gravely endanger their lives
or the lives of others. McDonald v. United States,335 U.S. 451, 69 S. Ct. 191 (1948)
D. Justification for a warrantless search under the "hot pursuit" doctrine exists when
there is a definite need for immediate police action. The test to be applied is
whether the safety of the police and the public is immediately threatened or that
evidence is in the immediate process of being destroyed. U.S. v. Santana, 427 U.S.
38, 96 S. Ct. 2406 (1976) If there is an indication that there was no emergency
involved and that the search warrant could have been obtained, the "hot pursuit"
doctrine will not justify a warrantless search.
E. the Supreme Judicial Court outlined some factors that would support justification
of exigent circumstances under "hot pursuit" doctrine, as follows: Comm. v. Moran,
370 Mass. 10, 345 N.E. 2d 380 (1976):
1. The officers were on fresh and continued pursuit of the suspect;
2. A crime of violence was involved;
3. There was a strong possibility that the suspect was armed;
4. The suspect was known or reasonably believed to be in the building;
5. There was the likelihood that the suspect might escape unless immediately
apprehended; and
6. There was sufficient justification for failure to obtain a search warrant.
F. Where the above or other emergency factors are not present, police may stake
out the building or premises until a warrant is obtained. U.S. v. Adams, 621 F. 2d 41
1st Cir. (1980).
6. SEARCH BY LAWFUL CONSENT:
A. In many cases this recognized exception to the search warrant requirement may
be the quickest and easiest way for the police to gain lawful access to premises in
the investigation of crime. A "consent search," however, is based on a voluntary
relinquishment of a fundamental constitutional protection and will be carefully
scrutinized by the court.
B. Because such issues as who may give lawful consent to a police entry and search
or whether the consent was given voluntarily may arise at trial, police should not
unduly rely on such consent. On the other hand, when properly elicited, consent to
a search may expedite a criminal investigation. In fact, police may engage in a
warrantless search after obtaining consent even in circumstances where they do not
406

have probable cause. The Supreme Court summarized this police procedure as
follows Schneckloth v. Bustamonte, 421 U.S. 218, 93 [Link] 2041,(1973):
In situations where the police may have some evidence of illicit activity, but lack
probable cause to arrest, a search authorized by valid consent may be the only
means of obtaining important and reliable evidence. A search pursuant to consent
may result in considerably less inconvenience for the subject of the search, and
properly conducted, is a constitutionally permissible and wholly legitimate aspect of
effective police activity.

C. Consent is a question of fact to be determined by the circumstances in each

case.
1. In a consent search there are two vital elements. First, the consenting party must
have sufficient lawful authority over the premises or property to be able to give
consent to a search of that premise or property. (For example, a landlord may give
consent to searches of common areas such as hallways, stairwells, etc., but,
generally, has no legal right to give consent to a police search of a tenant's
apartment.) Second, consent must be freely and voluntarily given.
2. Although there is no legal requirement that a person be advised of their right to
refuse to give consent to a police search, this is one of the factors that the court will
consider in determining whether the consent was voluntarily given. Officers shall,
therefore, so notify the person from whom consent is sought.
D. A consent to search may be given orally, but preferably, it should be in writing.
1. Consent cannot be presumed from silence.
2. Consent is to be specifically and intelligently given.
3. Consent is to be voluntary, free of any coercion, intimidation, or threat (officers
must avoid even the appearance of intimidation or duress).
4. Consent may be obtained from any person who has the right of ownership,
possession, or control of the premise or property. If there is serious doubt, a search
warrant should be obtained. Generally, if property, such as a house, apartment, or
business, is owned jointly by two or more persons, any one of them may consent to
a search of the common areas of the premises. For example, a spouse may give
consent to a police search of a jointly owned home. However, if police receive
consent from a suspect's roommate, that roommate may be able to give consent to
a police search of common areas of the apartment, but the roommate probably
cannot give consent to a search of areas exclusively reserved for the suspect, such
as his bedroom or his luggage or closet. Generally, a landlord cannot give consent
to a search of a tenants apartment; nor can a hotel or motel owner or manager
give consent to a search of a guest's lodgings.
407

5. Consent is to be free of misrepresentation or fraud.

6. Consent is to be obtained prior to search and after the police officers have
identified themselves.
7. A consent search is limited to the area specified. Consent may be revoked at any
time and the search should cease upon revocation, unless additional factors or
information have come to light that justify a continued warrantless, non-consensual
search. For example, evidence found prior to revocation of consent may be retained
and used as a basis for an immediate arrest or as probable cause for a further
search (if exigent circumstances exist) or for obtaining a search warrant.
7. MOTOR VEHICLE SEARCHES (INCLUDING ROADBLOCKS):
A. Although motor vehicles are considered "effects" within the meaning of intent of
the Fourth Amendment, the courts have not considered motor vehicles in the same
category as other property and have upheld searches of motor vehicles where
searches of a dwelling house or other structure would have been prohibited. The
Supreme Court has observed that "the inherent mobility of automobiles often makes
it impracticable to obtain a warrant and, in addition, the configuration, use, and
regulation of automobiles often may dilute the reasonable expectation of privacy
that exists with respect to differently situated property. (Arkansas v. Sanders,442
U.S. 753, 99 S. Ct. 2586, (1979)
B. If it is at all possible and practicable, a search warrant should always be obtained
in the prescribed manner in advance of a motor vehicle search, as this procedure is
always preferred by the courts.
C. The practical considerations of police work, however, often require that a
warrantless search of a motor vehicle be conducted under the following
circumstances:
1. WARRANTLESS STOPPING, QUESTIONING, AND FRISKING OF MOTOR
VEHICLE OPERATOR OR OCCUPANTS
:A "stop and frisk" type of protective search is to determine whether a suspect is
armed, with the search confined to the area of the motor vehicle from which a
suspect might gain possession of a weapon.
2. SEARCH OF MOTOR VEHICLE INCIDENT TO ARREST OF OCCUPANT OR
OPERATOR:
A search incident to a lawful arrest limited to the area from which the person could
obtain a weapon or reach destructible evidence. If it is impractical to conduct the
search immediately at the scene, the vehicle should be towed to a police facility to
be searched later.
EXIGENT CIRCUMSTANCE SEARCH:
408

A search on probable cause to believe that there is incriminating evidence in

the vehicle and that exigent circumstances exist which justify a warrantless
search.
4. CONSENT:
A search conducted with the voluntary consent of the person in lawful control of the
vehicle.
5. ROADBLOCKS:
Roadblock stops (for example, to detect drivers under the influence of alcohol) are
permissible if the selection of motor vehicles to be stopped is not arbitrary, if the
safety of the public is assured by taking necessary precautions, if the motorists'
inconvenience is minimized, and the roadblock is conducted pursuant to a plan
devised by law enforcement supervisory personnel. In addition, if police have a
description of a suspect vehicle, they may stop all vehicles fitting that description,
Comm. v. Cameron 407 Mass. 1005 (1990).
6. PLAIN VIEW OBSERVATIONS:
If a police officer has lawfully stopped a motor vehicle and is questioning the
operator, any incriminating item in or on the vehicle observed in plain view,
including anything observed with the use of a flashlight, may furnish probable cause
to search the vehicle and seize the items observed without a warrant.
7. INVENTORY:
Inventory searches shall be conducted in accordance with Department procedures
outlined in the Truro Police Department Manual.
8. ADMINISTRATIVE SEARCHES:
Motor vehicles are subject to various types of administrative searches which do not
require search warrants.
D. It should be noted that "random" stops of motor vehicles in the absence of
reasonable suspicion of criminal activity or motor violations constitutes an
unreasonable seizure in violation of the Fourth Amendment, and any evidence
obtained as a result of such impermissible stops is subject to exclusion in court.
E. All police officers should be especially watchful and alert when stopping and
searching a motor vehicle or its occupants, as many officers have been seriously
injured, or killed, in taking this police action which should never be considered
"routine.

409

1. In stopping and searching motor vehicles, all officers shall take all reasonable
precautions for their personal safety, such as directing the occupants to alight from
the vehicle and frisking them for weapons when justification for that frisk exists.
2. Even after frisking the occupants, if the officers reasonably believe that there is
still a possible danger, they shall inspect those areas of the motor vehicle readily
accessible to an occupant that may contain a dangerous weapon. Officers frisking
the interior compartment of a motor vehicle are subject to the same conditions that
exist for frisking a person.
9. THE "PLAIN VIEW" DOCTRINE:
A. The so called "plain view" doctrine has often been relied upon by both state and
federal courts to uphold seizures of evidence observed by police officers
legitimately carrying out their duties. This "plain view" exception of the warrant
requirement is permissible if the following conditions are met:
1. The officer is lawfully on the premises;
2. The item is in plain view;
3. The discovery of the item is inadvertent;
4. The item seized must be immediately apparent as contraband or evidence
crime. Comm. v. Laplante, 416 Mass. 433 (1993).

of a

B. The term "inadvertent" has been interpreted to mean that a police officer did not
have probable cause to believe or suspect that such evidence would be found on
the premises. To satisfy the condition of being "immediately apparent" as sizable
evidence, the officer must have probable cause to believe that the evidence
observed in plain view was incriminating.
1. Example: An officer lawfully enters private premises to execute a valid search
warrant for designated property or articles; while conducting this lawful search, he
inadvertently discovers within plain view other evidence which he immediately
recognizes as incriminating. These items may be properly seized.
2. The courts have also upheld the seizure of incriminating evidence, inadvertently
found in plain view, when a police officer entered the premises to make a lawful
warrantless arrest; or entered as a result of lawful consent; or entered in an
emergency to render necessary aid or assistance.
C. When police officers lawfully enter a dwelling, they may seize objects in plain
view if such seizure was not anticipated and if they have reasonable cause to
believe that there is a connection between the objects seized and criminal behavior.
Items discovered by a police officer "inadvertently and without particular design"
and reasonably believed by him to be connected with criminal activity may be

410

seized if in plain view even though not mentioned in the search warrant. Comm. v.
Bond, 375 Mass. 201, 375 N.E. 2d, 1214, (1978)
D. Whenever an officer, in good faith, enters upon private premises as authorized or
required by his duties, he is not a trespasser and, therefore, anything that he
inadvertently observes in plain view that is subject to seizure may be seized without
a warrant. In such cases the usual requirements for search and seizure are not
necessary because no "search" is conducted. A "search" implies a prying into
hidden places for concealed items, but it is not a "search" to observe articles that
are open to plain view. It is also permissible for an officer to use a flashlight to make
such observations. An observant officer, utilizing this "plain view" doctrine, can
often be successful in recovering stolen property and seizing contraband or
weapons used, or intended to be used, in the commission of a crime.
10. PRE-INCARCERATION AND INVENTORY SEARCHES:
Refer to Truro Police Department Manual:
A. Truro Police Department Manual (Transportation of Prisoners);
B. Truro Police Department Manual (Holding Facility/Prisoner Processing); and
C. Truro Police Department Manual (Motor Vehicle Inventory Searches).
10. PROTECTIVE CUSTODY SEARCHES:Refer to Truro Police Department Manual:
A. Truro Police Department Manual (Transportation of Prisoners);
B. Truro Police Department Manual (Holding Facility/Prisoner Processing);
C. Truro Police Department Manual (MotorVehicle Inventory Searches); and
D. Mass. Gen. Law, Chap. 111b, Sec. 8.
11. ADMINISTRATIVE SEARCHES:
Police may under certain circumstances engage in warrantless searches or
inspections as part of their administrative functions. For example, it is proper to
search a person who is about to visit an arrestee in a cell if the visitor would
otherwise be able to smuggle a weapon or contraband to the arrestee. (Refer to the
Truro Police Department Manual.)
12. ABANDONED PROPERTY:
A. Experienced police investigators are fully aware that highly incriminating
evidence may often be found in wastebaskets, trash receptacles, garbage barrels,
etc. Garbage or trash that has been left in an area particularly suited for public view
and inspection, for the express purpose of having strangers take it and dispose of it,

411

is property which no longer enjoys the protection associated with the property that
individuals associate with a reasonable expectation of privacy.
B. The United States Supreme Court observed that once Abel had vacated the
premises (a hotel room) (Abel v. United States, 362 U.S. 217, 80 [Link], 683,
(1960): ...that it was not unlawful to seize (without a warrant) the entire contents of
a wastebasket, even though some of the contents had no connection with the
crime. So far as the records show, the petitioner (Abel) had abandoned these
articles. He had thrown them away. So far as he was concerned they were
abandoned goods. There can be nothing unlawful in the Government's appropriation
of such abandoned property. Pursuant to Comm. v. Pratt407 Mass. 647 (1990), a
person has no privacy interest is his trash under Article 14 of the Massachusetts
Declaration ofRights once the trash
has been placed at the curbside to await
collection. In Calif. v. Greenwood108 S. Ct. 1625 (1988), the U.S.S.C. held that the
4th Amendment to the United States Constitution does not prohibit the warrantless
search or seizure of garbage left for collection outside the curtilage of a home.
The court ruled there is no 4th Amendment protection once one exposes his
garbage to the public.
C. With regard to abandonment of premises such as an apartment or hotel room,
the courts have noted that abandonment consists of the act of leaving coupled with
an intention not to return. Comm. v. Lanigan, 12 Mass. App. Ct. 913, 423 N.E.2d
800, (1981).
13. OPEN FIELDS:
Open fields may be searched without a warrant even though the terrain in question
is not easily accessible to the public and even though the owner may have posted
"No Trespassing" signs and may even have locked a gate, Oliver v. U.S.466 U.S. 170
(1984).
14. SEARCHES BY PERSONS OTHER THAN LAW ENFORCEMENT OFFICERS:
Generally, a private individual may deliver to the police items or evidence which
that person obtained by searching someone else's property. For example, in one
case, the mother of a 16-year old girl (who was the suspect's girlfriend) opened a
letter from the suspect to the daughter, read it, and handed it over to the police.
Comm. v. Richmond, 379 Mass. 557, 399 N.E. 2d 1069, (1980). The Fourth
Amendment did not apply to this search by a private individual. A search of the
defendant's basement by city gas company inspectors was held to be outside the
scope of the Fourth Amendment (that search revealed gas used via unmetered
pipes.) Comm. v. Cote,15 Mass. App. Ct. 229, 444 N.E. 2d 1281, (1983) However,
the Fourth Amendment does apply to searches conducted by a police officer acting
as a private security guard if he acts beyond the scope of the private employer's
business. However, a private security guard acting within the scope of his

412

employer's business activity is not governed by the Fourth Amendment. Comm. v.

Leone,386 Mass. 329, 435 N.E. 2d 1036, (1982).

CHAPTER XII:
Organizations

International Policing and Criminal Justice Monitoring

UNAFEI,
he United Nations Asia and Far East Institute for the Prevention of Crime and the
Treatment of Offenders (UNAFEI) is a United Nations regional institute, established
in 1962 by agreement between the United Nations and the Government of Japan,
with the aim of promoting the sound development of criminal justice systems and
mutual cooperation in Asia and the Pacific Region.
In 2012, the United Nations Asia and Far East Institute for the Prevention of Crime
and the Treatment of Offenders (UNAFEI) marked its 50th Anniversary since its
establishment in 1962.
Contribution to the Work of the United Nations
UNAFEI contributes to the United Nations in formulating and implementing its global
policies on crime prevention and offender treatment.
UNAFEI attends the annual sessions of the Commission on Crime Prevention and
Criminal Justice [hereinafter Commission], a functional committee of the Economic
and Social Council, every year and reports its activities and research findings.
UNAFEI is also actively involved in the United Nations Congress on Crime Prevention
and Criminal Justice [hereinafter Congress], a United Nations conference held once
every five years, and has co-ordinated one of its Workshops at each Congress since
the Tenth.
In selecting the themes of its courses and seminars, UNAFEI pays due attention to
the priority areas of the United Nations Crime Prevention and Criminal Justice
Programme, identified by the General Assembly, the Economic and Social Council,
and the Commission as well as the needs of the participating countries. (The Theme
of the Twelfth Congress and Training Courses and Seminars of UNAFEI)

413

UNAFEI has always selected high priority issues of the United Nations in the fields of
crime prevention and criminal justice as themes for its training courses and
seminars, and has made efforts to promote and disseminate the related UN treaties
and standards and norms in the Asian and Far East region, and to familiarize its
participants with same.
The Twelfth United Nations Congress was held in April 2010 with an over-all theme
of "Comprehensive strategies for global challenges: crime prevention and criminal
justice systems and their development in a changing world", and more than 3,000
Government and NGO representatives from approximately 100 countries, including
Ministers of Justice and Attorneys General, participated. Most of the agenda items
discussed at the Twelfth Congress, as well as the themes of the five official
workshops, had been covered at recent UNAFEI training courses and seminars.
Furthermore, as mentioned earlier, UNAFEI organized a workshop on "Measures
against Overcrowding in Correctional Facilities", one of the five official workshops,
thereby contributing to the discussions at the Congress.
Based on discussions and deliberations held at the conference, the Congress
adopted the Salvador Declaration, which reflects the political will of the participating
states, to be submitted to the Commission as a policy recommendation. Click here
for a report of the 12th Congress.
Every one of the 55 items in the Declaration can be seen as an endorsement of past
training courses and the activities of UNAFEI.
(1)
The following items clearly reflect the outcomes of the Overcrowding
Workshop organized by UNAFEI.
"51. We stress the need to reinforce alternatives to imprisonment, which may
include community service, restorative justice and electronic monitoring and
support rehabilitation and reintegration programmes, including those to correct
offending behaviour, and educational and vocational programmes for prisoners."
"52. We recommend that Member States Endeavour to reduce pretrial detention,
where appropriate, and promote increased access to justice and legal defence
mechanisms."
(2) The following items strongly endorse various UNAFEI activities in the past, and
we consider them as an encouragement to further contribute to the crime
prevention and criminal justice policies of the United Nations.
"(Preamble) We, the States Members of the United Nations, stressing the need to
strengthen international, regional and sub regional cooperation to effectively
prevent, prosecute and punish crime, in particular by enhancing the national
capacity of States through the provision of technical assistance, declare as follows."

414

"3. We acknowledge the value and impact of the United Nations standards and
norms in crime prevention and criminal justice and Endeavour to use those
standards and norms as guiding principles in designing and implementing our
national crime prevention and criminal justice policies, laws, procedures and
programmes."
"4. Bearing in mind the universal character of the United Nations standards and
norms in crime prevention and criminal justice, we invite the Commission on Crime
Prevention and Criminal Justice to consider reviewing and, if necessary, updating
and supplementing them. In order to render them effective, we recommend that
appropriate efforts be made to promote the widest application of those standards
and norms and to raise awareness of them among authorities and entities
responsible for their application at the national level."
"8. We consider that international cooperation and technical assistance can play an
important role in achieving sustainable and long-lasting results in the prevention,
prosecution and punishment of crime, in particular by building, modernizing and
strengthening our criminal justice systems and promoting the rule of law. Specific
technical assistance programmes should thus be designed to achieve these aims,
for all the components of the criminal justice system, in an integrated way and with
a long-term perspective, enabling the capacity of requesting States to prevent and
suppress the various types of crime affecting their societies, including organized
crime. In that regard, the experience and expertise accumulated over the years by
the United Nations Office on Drugs and Crime constitutes a valuable asset."
"9. We strongly recommend the allocation of sufficient human and financial
resources to develop and implement effective policies, programmes and training
dealing with crime prevention, criminal justice and the prevention of terrorism. In
this regard, we stress the serious need to provide the United Nations Office on
Drugs and Crime with a level of resources commensurate with its mandate. We call
on Member States and other international donors to support, and coordinate with,
the United Nations Office on Drugs and Crime, including its regional and country
offices, the institutes of the United Nations crime prevention and criminal justice
programme network and requesting States in the provision of technical assistance
to strengthen their capacity to prevent crime."
"44. We undertake to promote appropriate training of officials entrusted with
upholding the rule of law, including correctional facility officers, law enforcement
officials and the judiciary, as well as prosecutors and defence lawyers, in the use
and application of those standards and norms."
Contribution to the Commission
The Commission, consisting of 40 Member States including Japan, is a functional
committee of the Economic and Social Council and is the central body within the
United Nations system providing policy guidance on crime prevention and criminal
justice.
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According to the General Assembly Resolution "Creation of an effective United

Nations crime prevention and criminal justice programme" (A/RES/46/152, adopted
Dec. 18, 1991), UNAFEI is one of the United Nations institutes comprising the United
Nations Crime Prevention and Criminal Justice Programme Network (a so-called
Programme Network Institute [hereinafter PNI]), and as such, is required to keep the
Commission informed of its programme of work and its implementation.
Accordingly, UNAFEI attends the annual sessions of the Commission, independent of
the Japanese government delegation.
The 19th session of the Commission on Crime Prevention and Criminal Justice,
convened in May 2010 at the Vienna International Centre of the United Nations,
deliberated the following agenda.
Item 3.
property.

Thematic discussion on protection against illicit trafficking in cultural

Item 4.
Integration and coordination of efforts by the United Nations Office on
Drugs and Crime and by Member States in the field of crime prevention and criminal
justice:
(a)
Ratification and implementation of the United Nations Convention against
Transnational Organized Crime and the Protocols thereto;
(b)
Ratification and implementation of the United Nations Convention against
Corruption;
(c)
Ratification and implementation of the international instruments to prevent
and combat terrorism;
(d)

Other crime prevention and criminal justice matters;

(e)
Other activities in support of the work of the United Nations Office on Drugs
and Crime, in particular activities of the United Nations crime prevention and
criminal justice programme network, non-governmental organizations and other
bodies.
Item 5.
World crime trends and emerging issues and responses in the field of
crime prevention and criminal justice.
Item 6.
Consideration of the conclusions and recommendations of the Twelfth
United Nations Congress on Crime Prevention and Criminal Justice.
Item 7.
Use and application of United Nations standards and norms in crime
prevention and criminal justice.
As regards Item 4(e) "Other activities in support of the work of the United Nations
Office on Drugs and Crime, in particular activities of the United Nations crime

416

prevention and criminal justice

organizations and other bodies" ,

programme

network,

non-governmental

(1)
a summary of UNAFEI's 2009 Annual Report, submitted to the United Nations
in accordance with the agreement between the Japanese government and the UN,
was included in the "Report of the Secretary-General on the activities of the
institutes of the United Nations Crime Prevention and Criminal Justice Programme
network" (E/CN.15/2010/10) distributed at the conference.
(2)
the Director of UNAFEI made a statement about UNAFEI's contributions in
promoting the UN priority issues in crime prevention and criminal justice.
(3)
the PNIs issued a joint statement that emphasized the roles and significance
of PNI members, including UNAFEI.
Statement of the Director of UNAFEI
The Director of UNAFEI gave a statement at the plenary meeting of the Commission.
The following is a summary of his speech. To see the Director's statement, click
here.
1)
UNAFEI, in selecting the themes for its international training courses and
seminars, pays due attention to the priority areas of the United Nations Crime
Prevention and Criminal Justice Programme. As a result, major recent activities of
UNAFEI have covered almost all the agenda items of this Congress and its workshop
themes. UNAFEI has thus contributed to the promotion and dissemination of UN
policies on crime prevention and criminal justice.
2)
At the Twelfth Congress, UNAFEI organized a workshop on Strategies and Best
Practices against Overcrowding in Correctional Facilities. UNAFEI brought together
leading world experts as presenters and panelists and, instead of simply focusing on
causes and counter measures within the prison setting, adopted a practice-oriented,
comprehensive, and integrated approach, addressing possible efforts that can be
taken at all stages of the criminal justice process. I am certain that the discussions
and the resulting recommendations will be an important milestone on the road to
the resolution of this significant problem.
3)
UNAFEI is determined to continue with its efforts to promote and enhance the
crime prevention and criminal justice policies of the United Nations, in close cooperation with UNODC and our PNI colleagues.
Joint Statement of PNI Members
According to the discussions held during the 19th Commission, members of the PNIs
resolved to make a joint statement under the item 4(e) as the PNIs, to broadly
announce their activities to each government delegation that attended the
Commission meeting. The draft of the statement was made after a deliberation.

417

The essence of this statement is as follows:

1)
The PNIs consist of UNODC and 16 other institutes from around the world who
became members between 1962 and 2007 (UNAFEI, the oldest affiliated institute of
the PNIs, is regarded as a leading member in the Report of the UN Secretary
General mentioned in point (1) above).
2)
The PNI member institutes provide a variety of services, including exchange
of information, research, and technical assistance, such as capacity building, in
order to strengthen international co-operation and to assist the international
community in the crucial area of crime prevention and criminal justice.
3)
The member institutes contribute to dissemination of UN standards and
norms in crime prevention and criminal justice and other relevant instruments and
activities: i) through research and technical assistance programmes, the institutes
respond to the requests of governments in their respective regions such as for
assistance in capacity building; ii) in collaboration with UNODC, the institutes work
on data collection and analysis, and the development of tools and training
materials; iii) contribute to the administration of the Commission, especially in
preparing workshops on the substantive themes of the session; and iv) through
support in planning, preparing and convening official workshops of the Congress,
the institutes are contributing to the administration of the Congresses. To see the
PNI statement, click here.
The member institutes of the PNIs also resolved to make a joint statement as the
PNI regarding Item 6: "Consideration of the conclusions and recommendations of
the Twelfth United Nations Congress on Crime Prevention and Criminal Justice"
through deliberations among PNI member institutes during the 19th Session of the
Commission. The draft of the statement was discussed and decided.
In this statement, the member institutes of the PNIs welcomed Item 9 of the
Salvador Declaration, the accomplishment of the above-mentioned Twelfth
Congress. In particular, the following description of Item 9 is highly appreciated:
"We strongly recommend the allocation of sufficient human and financial resources
to develop and implement effective policies, programmes and training dealing with
crime prevention, criminal justice and the prevention of terrorism. In this regard, we
stress the serious need to provide the United Nations Office on Drugs and Crime
with a level of resources commensurate with its mandate. We call on Member States
and other international donors to support, and coordinate with, the United Nations
Office on Drugs and Crime, including its regional and country offices, the institutes
of the United Nations crime prevention and criminal justice programme network and
requesting States in the provision of technical assistance to strengthen their
capacity to prevent crime."
The 19th session of the Commission adopted a total of 15 (draft)
resolutions/decisions All of the draft resolutions/decisions (A, B, and C below) were
adopted by the Economic and Social Council at its session on July 22, 2010.
418

A. Draft resolutions to be recommended by the Economic and Social Council for

adoption by the General Assembly
1)
Draft resolution I:
Strengthening crime prevention and criminal justice
responses to violence against women "Violence against women"
2)
Draft resolution II:
United Nations Rules for the Treatment of Women
Prisoners and Non-custodial Measures for Women Offenders (the Bangkok Rules)
3)
Draft resolution III:
Realignment of the functions of the United Nations
Office on Drugs and Crime and changes to the strategic framework
4)
Draft resolution IV:
Twelfth
Prevention and Criminal Justice

United

Nations

Congress

on

Crime

B. Draft resolutions for adoption by the Economic and Social Council

1)
Draft resolution I:
Crime Prevention and Criminal Justice responses to
protect cultural property especially with regard to its trafficking
2)
Draft resolution II:
Support for the development and implementation
of an integrated approach to programme development at the United Nations Office
on Drugs and Crime
C. Draft decision for adoption by the Economic and Social Council
Report of the Commission on Crime Prevention and Criminal Justice on its
nineteenth session and provisional agenda for its twentieth session
D. Matters brought to the attention of the Economic and Social Council
1)
Resolution 19/1: Strengthening
crime in all its forms and manifestations

public-private

partnerships

to

counter

2)
Resolution 19/2: Strengthening the collection, analysis and reporting of
comparable crime-related data
3)
Resolution 19/3: Hosting of the Fourth World Summit of Attorneys General,
Prosecutors General and Chief Prosecutors by the Republic of Korea
4)
Resolution 19/4: Measures for achieving progress on the issue of trafficking
in persons, pursuant to the Salvador Declaration on Comprehensive Strategies for
Global Challenges: Crime Prevention and Criminal Justice Systems and Their
Development in a Changing World
5)

Resolution 19/5: International cooperation in the forensic field

6)

Resolution 19/6: Countering maritime piracy off the Coast of Somalia

419

7)
Resolution 19/7: Strengthening of
cooperation in criminal Matters

regional networks for international

8)
Decision 19/1:
Strengthening crime prevention and criminal justice
responses to counterfeiting and piracy
CRIMINAL
2014 edition

JUSTICE

IN

JAPAN

WHOLE TEXT (PDF: 6,506KB)

COVER (PDF: 3,253KB)
CONTENTS (PDF: 190KB)
CHAPTER 1
STRUCTURE AND ORGANIZATION OF THE CRIMINAL JUSTICE ADMINISTRATION
(PDF: 1,406KB)
I. POLICE
A. Overview
B. National Police Organization
1. The National Public Safety Commission
2. The National Police Agency
C. Local Police Organization
1. The Prefectural Public Safety Commission
2. Prefectural Police Headquarters
II. PROSECUTION
A. Qualification
B. Organization
C. Functions and Jurisdiction
D. Status (Independence and Impartiality)
III. COURTS

420

A. Structure
1. Introduction
2. The Supreme Court
3. The High Court
4. The District Court
5. The Family Court
6. The Summary Court
B. Judges
1. Appointment of Judges
2. Categories and Qualifications of Judges
IV. CORRECTIONS
A. Organization of the Correctional Administration
1. Penal Institutions
2. Juvenile Correctional Institutions
B. Correctional Officials
V. REHABILITATION
A. Organization and Function
B. Personnel
1. Probation Officers
2. Rehabilitation Co-ordinators
C. Volunteers and the Voluntary Sector
1. Volunteer Probation Officers
2. Juridical Persons for Offenders Rehabilitation Services
3. Others

421

CHAPTER 2
THE CRIME SITUATION IN JAPAN (PDF: 330KB)
I. PENAL CODE OFFENCES
A. Trends in Penal Code Offences
B. Trends in Some Major Crimes
II. SPECIAL LAW OFFENCES
CHAPTER 3
CRIMINAL JUSTICE FLOW CHART (PDF: 163KB)
CHAPTER 4
PRE-TRIAL CRIMINAL PROCEDURE (PDF: 482KB)
I. INTRODUCTION
II. CONSTITUTIONAL SAFEGUARDS
III. INVESTIGATIVE AGENCIES
IV. INVESTIGATION PROCESS
A. Overview
B. Initiating a Criminal Investigation
C. Arrest
D. Post-Arrest Procedure
E. Collection of Evidence
1. Taking Statements
2. Interrogation of Suspects
3. Searches and Seizures
F. The Right to Counsel
G. Bail

422

V. DISPOSITION OF CASES
A. Monopolization of Prosecution
1. Principle
2. Exception
B. Forms of Prosecution
1. Formal Prosecution (Indictment)
2. Summary Prosecution (Request for a Summary Order)
C. Non-prosecution of Cases
1. No Offence Committed
2. Insufficiency of Evidence
3. Suspension of Prosecution
D. Safeguards against Arbitrary Disposition
1. Internal Administrative Review
2. Committee for Inquest of Prosecution
3. Quasi-Prosecution
E. Victim Notification Programme
CHAPTER 5
TRIAL PROCESS (PDF: 682KB)
I. SOME BASIC PRINCIPLES AND CHARACTERISTICS
A. Presumption of Innocence
B. Public Trials
C. Right to Remain Silent
D. Right to Counsel
E. Adversarial Procedure

423

F. No Arraignment
G. Single Stage Procedure
II. Saiban-In Trials
III. TRIAL PROCEEDINGS
A. Procedure before Trial
1. Introduction
2. Disclosure
3. Pretrial Conference Procedure
B. Trial
1. Opening Proceeding
2. Examination of Evidence
3. Questioning of Defendants
4. Closing Arguments
5. Victim Participation at Trial
C. Rules of Evidence
1. Hearsay Rule
2. Hearsay Exceptions
3. Confessions
4. Exclusionary Rule
D. Adjudication and Sentencing
E. Length of Trial
IV. APPEALS
A. Koso Appeals
B. Jokoku Appeals

424

V. EXTRAORDINARY REMEDIES
VI. PUNISHMENT
A. Categories
1. Overview
2. Death Penalty
3. Imprisonment
4. Fine, Misdemeanour Imprisonment without Work, Petty Fine
B. Suspension of Execution of Sentence
C. Outcomes of Court Proceedings
1. Formal Trials
2. Summary Proceedings
D. Parole
VII. COMPENSATION FOR INNOCENCE
VIII. SPECIAL PROCEDURES FOR JUVENILE CASES
CHAPTER 6
CORRECTIONAL SERVICE (PDF: 808KB)
I. INTRODUCTION
II. EFFECTIVE TREATMENT OF INMATES IN PENAL INSTITUTIONS
A. Trends in the Inmate Population in Penal Institutions
B. Philosophy of the Treatment of Inmates
C. Correctional Treatment of Sentenced Inmates
1. Assessment for Treatment
2. Prison Work
3. Guidance for Reform

425

4. Guidance in School Courses

D. Complaints Mechanism
1. Claim for Review and Reclaim for Review
2. Report of Cases
3. Filing of Complaints
E. Penal Institution Visiting Committee
F. Act on the Transnational Transfer of Sentenced Persons
III. EFFECTIVE TREATMENT OF JUVENILES IN JUVENILE TRAINING SCHOOLS
A. Overview
1. Structure of Juvenile Training Schools
2. Outline of the Treatment Process
B. Correctional Education
1. Living Guidance
2. Vocational Guidance
3. Academic Education
4. Health and Physical Education
5. Special Activities
C. Medical Care
CHAPTER 7
REHABILITATION OF OFFENDERS (PDF: 619KB)
I. PAROLE
A. Overview
1. Parole Examination
2. Parole Decision

426

3. Pre-parole Inquiry by Probation Officers

4. Coordination of Social Circumstances
II. PAROLE AND PROBATIONARY SUPERVISION OF ADULT OFFENDERS
A. Overview
1. Adult Parolees
2. Adult Probationers
B. Probation and Parole Conditions
1. General Conditions
2. Special Conditions
3. Life and Conduct Guidelines
C. Implementation of Probationary and Parole Supervision
1. General Framework
2. Intake Interviews and Treatment Plans
3. Role of Probation Officers and Volunteer Probation Officers
4. Day Offices
5. Progressive Treatment
6. Categorized Treatment
7. Treatment Programmes as Special Probation Conditions
8. Comprehensive Job Assistance Scheme
9. National Centre for Offenders Rehabilitation Project
10. Community Settlement Support Centers
11. Self-Reliance Support Homes
12. Social Contribution Activities
D. Termination of Probation and Parole

427

1. Measures for Good Conduct

2. Measures against Bad Conduct
E. Outcome of Probation and Parole
III. PAROLE AND PROBATIONARY SUPERVISION OF JUVENILES
A. Overview
1. Juvenile Parolees
2. Juvenile Probationers
B. Probation and Parole Conditions
C. Implementation of Probationary and Parole Supervision
1. Short -Term Programmes for Juvenile Probationers
2. Social Contribution Activities/Social Participation Activities
3. Treatment of Juveniles Who Have Committed Heinous/Serious Offence
4. Measures for Guardians
D. Termination of Probation and Parole
1. Measures for Good Conduct
2. Measures against Bad Conduct
E. Outcome of Probation and Parole
IV. AFTERCARE OF DISCHARGED OFFENDERS
V. PARDONS
VI. MEASURES FOR CRIME VICTIMS
VII. MEDICAL HEALTH SUPERVISION
VIII. CRIME PREVENTION ACTIVITIES
APPENDICES (PDF: 339KB)
Appendix Number of known cases, crime rate, number of cleared cases,

428

clearance rate, and number of offenders cleared of Penal Code

offences (1946-2012)

Appendix Number of known cases, number of cleared cases, and number

2
of offenders cleared of Penal Code offences, by type of major
offence (2001-2012)
Appendix Average daily number of inmates of penal institutions (19503
2012)
Appendix Frequency of imprisonment of newly admitted inmates, by type
4
of offence (2012)
Appendix Number of parole applications, grants, and rejections (19495
2012)
Appendix Number of newly received probationers and parolees (19496
2012)

INTERPOL,
In 1923, a new initiative was taken at the International Criminal Police Congress in
Vienna where the International Criminal Police Commission (ICPC) was successfully
founded as the direct forerunner of Interpol.
INTERPOL is the world's largest international police organization operating worldwide with 186 member countries. Its headquarters, the General Secretariat, are
located in Lyon, France.
Interpol, byname of International Criminal Police Organization,
Interpol [Credit: Interpol]intergovernmental organization that facilitates
cooperation between the criminal police forces of more than 180 countries. Interpol
aims to promote the widest-possible mutual assistance between criminal police
forces and to establish and develop institutions likely to contribute to the prevention
and suppression of international crime. Headquartered in Lyon, France, it is the only
police organization that spans the entire globe.
Organization and functions
Interpol concentrates on three broad categories of international criminal activity:
terrorism and crimes against people and property, including crimes against children,
trafficking in human beings, illegal immigration, automobile theft, and art theft;
economic, financial, and computer crimes, including banking fraud, money
laundering, corruption, and counterfeiting; and illegal drugs and criminal
organizations, including organized crime. Interpols day-to-day operation is
429

managed by a General Secretariat under the direction of a secretary general, who is

appointed for a five-year term by the General Assembly. The General Assembly,
consisting of one delegate from each member country, is Interpols supreme
decision-making body. An Executive Committee of 13 members, each representing a
different region of the world, is appointed by the General Assembly at its annual
meeting. The Executive Committee oversees the implementation of decisions made
by the General Assembly and supervises the work of the secretary general.
Each member country has a domestic clearinghousecalled the National Central
Bureau, or NCBthrough which its individual police forces may communicate with
the General Secretariat or with the police forces of other member countries. Interpol
relies on an extensive telecommunications system and a unique database of
international police intelligence. Each year, Interpols telecommunications staff
handles millions of messages in the organizations four official languages: Arabic,
English, French, and Spanish. An automatic search facility, introduced in 1992,
allows specially equipped NCBs to search a large database of information; search
results are automatically sent in the language of the query. A system known as I24/7, introduced in 2003, provides NCBs with quick access to a wide variety of data,
including fingerprints, DNA records, watch lists of criminal suspects and persons
wanted for questioning, and lists of stolen identification documents.
In contrast to the image occasionally conveyed on television and in the movies,
Interpol agents do not make arrests, a practice that would unacceptably infringe on
the national sovereignty of member countries. Instead, the organization, at the
request of NCBs, sends out red notices, based on warrants issued by member
countries, calling for the arrest and extradition of specific individuals. Interpol also
issues other colored notices: yellow to help locate missing persons, blue to collect
information on illegal activities or on an individuals identity, black to request
information needed to identify a body, green to warn agencies about criminals from
one country who may commit additional offenses in other countries, and orange to
warn law-enforcement agencies of dangers from bombs and other weapons.
History
Interpol traces its history to 1914, when a congress of international criminal police,
attended by delegates from 14 countries, was held in Monaco. In 1923, following a
significant increase in international crime that particularly affected Austria,
representatives of the criminal police forces of 20 countries met in Vienna and
formed the International Criminal Police Commission (ICPC) that year. The ICPCs
headquarters were established in Vienna, and the head of the Vienna police, Johann
Schober, became the organizations first president. The ICPC flourished until 1938,
when Nazi Germany annexed Austria; the ICPCs records were subsequently
relocated to Berlin. The outbreak of World War II effectively ended the ICPCs
activities.

430

After the war the ICPC accepted an offer from the French government of a
headquarters in Paris together with a staff for the General Secretariat consisting of
French police officials. The ICPC was thus revived, though the loss or destruction of
all its prewar records required that it be completely reorganized. In 1949 the ICPC
was granted consultative status by the United Nations. From 1946 to 1955 its
membership grew from 19 countries to 55. In 1956 the ICPC ratified a new
constitution, under which it was renamed the International Criminal Police
Organization (Interpol). The organization moved to its present headquarters in Lyon
in 1989.
Interpol was at first mainly a European organization, drawing only limited support
from the United States and other non-European countries (the United States did not
join the ICPC until 1938). Under the leadership of French Secretary General Jean
Npote (196378), Interpol became increasingly effective. By the mid-1980s the
number of member countries had risen to more than 125, representing all of the
worlds inhabited continents; by the early 21st century membership had surpassed
180.
In the 1970s the organizations ability to combat terrorism was impeded by Article 3
of its constitutionwhich forbids intervention or activities of a political, military,
religious or racial characterand by a 1951 resolution of the General Assembly
that defined a political crime as that whose circumstances and underlying motives
are political, even if the act itself is illegal under criminal law. One source of these
obstacles was removed in 1984, when the General Assembly revised the
interpretation of Article 3 to permit Interpol to undertake antiterrorist activities in
certain well-defined circumstances.
Interpol was reorganized in 2001 following the September 11 attacks on the United
States. The new post of executive director for police services was created to
oversee several directorates, including those for regional and national police
services, specialized crimes, and operational police support.
INTERPOL
INTERPOL is the International Criminal Police Organization. It links together law
enforcement from all corners of the world and houses a bureau in Washington D.C.
This lesson explains the roles and history of INTERPOL.
What Is INTERPOL?
Ira Einhorn brutally murdered his girlfriend in Philadelphia, but skipped bail and fled
to Europe before he could be prosecuted. This led to an international manhunt, with
Einhorn finally being found in a small village living a new life under a new name. He
was arrested by French police and convicted in the United States 25 years after the
murder. How could police coordinate such a long and extensive manhunt? They
used INTERPOL!

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INTERPOL is the International Criminal Police Organization. INTERPOL is a national

network of police agencies, founded in 1923. The idea behind INTERPOL was first
discussed during a 1914 international police conference in Monaco. There were 24
countries present. Today, there are 190 different nations linked together through
INTERPOL.
Each of those 190 nations houses a National Central Bureau, which serves as the
nation's INTERPOL office and houses a police force. The bureaus are connected to
one another through technology and other forms of communication, so that the
police forces can work together. In the United States, our National Central Bureau is
located in Washington D.C. and is known as INTERPOL Washington. INTERPOL
Washington is supervised by the U.S. Department of Justice.
INTERPOL Washington works closely with the other 189 bureaus to solve
international crimes. Sometimes crimes cross borders. An accused burglary suspect
might flee from Canada to Mexico. An offender might ship stolen goods from
Germany to the United States. Or an offender in Russia might be running an
international credit fraud operation from his home computer. INTERPOL's purpose is
to help countries work together to investigate international crimes and bring
offenders to prosecution.
INTERPOL's Roles
Let's take a closer look at INTERPOL'S various roles. INTERPOL is involved in three
main areas:
Crisis response
Event security
Crime prevention
INTERPOL addresses crisis response in a couple of different ways. First, INTERPOL
responds to major crimes. INTERPOL sends an Incident Response Team, which is a
specialized police force sent to aid an INTERPOL country when that country faces a
major crime or serious police issue, such as rioting. Incident Response Team
members are known for their police expertise and experience.
Second, INTERPOL addresses crisis response by sending Incident Response Teams to
INTERPOL countries when those countries experience large natural disasters, such
as floods or earthquakes. An Incident Response Team can also be sent for manmade
disasters, such as bombings. In general, Incident Response Teams are used to
support the existing police forces in INTERPOL countries when local forces are
overwhelmed or overpowered.
Now let's look at how INTERPOL addresses event security. INTERPOL helps with
major events by sending an INTERPOL Major Events Support Team, which is a
specialized police force sent to aid an INTERPOL country when that country hosts a
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large, international event. These teams are used for events like the Olympics and
the World Cup. The support team brings expertise and experience to the security
planning for the event and also to the policing of the event.
Lastly, let's look at how INTERPOL addresses crime prevention. INTERPOL mostly
addresses crime prevention through its vast network of police forces. Together, the
INTERPOL bureaus use intelligence to investigate incidents and apprehend suspects.
INTERPOL forces work together to find known criminals and bring them to justice.
Together, INTERPOL forces also focus on many types of Internet-based crimes, such
as closing down websites that sell illegal drugs or exploit children.
Tools of INTERPOL
INTERPOL forces work together through the use of several interesting and unusual
tools. INTERPOL uses extensive high-tech equipment and resources like that seen in
James Bond movies! The first of these is I-24/7. This is INTERPOL's secure network
that allows member countries to search international criminal databases. INTERPOL
describes I-24/7 as a private Internet just for police. It allows bureaus to check
fingerprints, criminal records, DNA and other data with records from all 190
countries. I-24/7 also allows INTERPOL bureaus to issue warnings and alerts to be
immediately shared with all other bureaus.
EUROPOL
Europol is the European Unions law enforcement agency whose main goal is to help
achieve a safer Europe for the benefit of all EU citizens. We do this by assisting the
European Unions Member States in their fight against serious international crime
and terrorism.
Largescale criminal and terrorist networks pose a significant threat to the internal
security of the EU and to the safety and livelihood of its people. The biggest security
threats come from terrorism, international drug trafficking and money laundering,
organised fraud, counterfeiting of the euro currency, and people smuggling. But
new dangers are also accumulating, in the form of cybercrime, trafficking in human
beings, and other modern-day threats. This is a multibillion euro business, quick to
adapt to new opportunities and resilient in the face of traditional law enforcement
measures.
EUROPOL STAFF AND LIAISON OFFICERS (ELOS)
Europol headquarters in The Hague, the Netherlands working closely with law
enforcement agencies in the 28 EU Member States and in other non-EU partner
states and organizations more than 900 staff
185 Europol Liaison Officers (ELOs) around 100 criminal analysts over 18 000 cross
border investigations each year More than 900 staff at Europol headquarters in The
Hague, the Netherlands, work closely with law enforcement agencies in the 28 EU
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Member States and in other non-EU partner states such as Australia, Canada, the
USA and Norway.
The agency uses its unique information capabilities and the expertise of its staff to
identify and track the most dangerous criminal and terrorist networks in Europe.
Law enforcement authorities in the EU rely on this intelligence work and the
services of Europols operational coordination centre and secure information
network, to carry out over 18 000 crossborder investigations each year. These have
led to the disruption of many criminal and terrorist networks, to the arrest of
thousands of dangerous criminals, to the recovery of millions of euro in criminal
proceeds, and to the recovery from harm of hundreds of victims, including children
trafficked for sexual exploitation. Europol also acts as a major centre of expertise in
key fields of law enforcement activity and as a European centre for strategic
intelligence on organized crime.
Europol officers have no direct powers of arrest but support EU law enforcement
colleagues by gathering, analyzing and disseminating information and coordinating
operations. Our partners use the input to prevent, detect and investigate offences,
and to track down and prosecute those who commit them. Europol experts and
analysts take part in Joint Investigation Teams which help solve criminal cases on
the spot in EU countries.
Europol personnel come from different kinds of law enforcement agencies, including
regular police, border police, customs and security services. This multi-agency
approach helps to close information gaps and minimize the space in which criminals
can operate.
Currently 185 Europol Liaison Officers (ELOs) are based at Europol headquarters.
These ELOs are seconded to Europol by the EU Member States and our non-EU
partners. They guarantee fast and effective cooperation based on personal contact
and mutual trust.
UNIQUE SERVICES
Support centre for law enforcement operations
Hub for criminal information and organizations
Centre for law enforcement expertise
One of the largest concentrations of analytical capability in the EU
Produces regular assessments and reports
High-security, 24/7 operational centre
Central platform for law enforcement experts from the European Union countries

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Our position at the heart of the European security architecture means we offer a
unique range of services. Europol is a support centre for law enforcement
operations, a hub for criminal information, and a centre for law enforcement
expertise.
Analysis is at the core of our activities. Europol employs around 100 criminal
analysts who are among the best trained in Europe. This gives Europol one of the
largest concentrations of analytical capability in the EU. Our analysts use state-ofthe-art tools to support Member States investigations on a daily basis.
To give our partners a deeper insight into the criminal problems they are dealing
with, Europol produces regular assessments which offer comprehensive and
forward-looking analyses of crime and terrorism in the European Union. The
European Organized Crime Threat Assessment (OCTA) identifies and assesses
emerging threats. The OCTA describes the structure of organized crime groups and
the way they operate, and the main types of crime affecting the European Union.
The EU Terrorism Situation and Trend Report (TE-SAT), published annually, gives a
detailed account of the state of terrorism in the EU.
Europol is a high-security operational centre. We deal with more than 18,000 cases
a year, turning high-quality analysis into operational successes. This flexible service
centre operates non-stop: 24 hours a day, 7 days a week.
Europol serves as an EU centre of expertise, providing a central platform for law
enforcement experts from the European Union countries.
Europol officers are always ready to travel at short notice and provide support with
our mobile office. Our presence is also in demand in the fight against illicit drugs
and we have a fully operational team to help dismantle synthetic drugs laboratories
on-the-spot.
STATE-OF-THE-ART TECHNOLOGY
International crime and terrorist groups operate worldwide and make use of the
latest technology. To ensure an effective and coordinated response, Europol needs
to be equally flexible and innovative, and make sure its methods and tools are up to
date. We have state-of-the-art databases and communication channels, offering fast
and secure capabilities for storing, searching, visualizing and linking information.
Gathering, analyzing and disseminating this information entails the exchange of
large quantities of personal data. Europol sets and adheres to the highest standards
of data protection and data security.
AREAS OF EXPERTISE
Since Europol can offer a flexible response, we focus on different areas of criminal
and terrorist activity from year to year, depending on the demands of the situation.
Our main priorities, however, tend to remain relatively stable, reflecting those of
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international criminal and terrorist groups. Over the years we have built up
substantial experience in fighting drug trafficking, illicit immigration networks and
trafficking in human beings, illicit vehicle trafficking, cybercrime, money laundering
and forgery of money. Europol is the European central office to combat euro
counterfeiting.
Europol enjoys excellent cooperation arrangements with law enforcement partners
in Europe and beyond. It also values its accountability arrangements and data
protection regime, which are among the most robust and transparent in the world.
We welcome public interest in our work and trust that the contents of this website
offer the reader a good illustration of our activities, the responsible way in which
they are carried out, and the impact they are having on making Europe safer.
UNODC
The United Nations Office on Drugs and Crime (UNODC)
The United Nations Office on Drugs and Crime (UNODC) is a global leader in the
fight against illicit drugs and international crime, in addition to being responsible for
implementing the United Nations lead programme on terrorism. Established in 1997,
UNODC has approximately 500 staff members worldwide. Its headquarters are in
Vienna and it operates 20 field offices, as well as liaison offices in New York and
Brussels.
UNODC works to educate people throughout the world about the dangers of drug
abuse and to strengthen international action against illicit drug production and
trafficking and drug-related crime. To achieve those aims, UNODC has launched a
range of initiatives, including alternatives in the area of illicit drug crop cultivation,
monitoring of illicit crops and the implementation of projects against money
laundering.
UNODC also works to improve crime prevention and assist with criminal justice
reform in order to strengthen the rule of law, promote stable and viable criminal
justice systems and combat the growing threats of transnational organized crime
and corruption. In 2002, the General Assembly approved an expanded programme
of activities for the Terrorism Prevention Branch of UNODC. The activities focus on
providing assistance to States, on request, in ratifying and implementing the
eighteen universal legal instruments against terrorism.
UNODC has 20 field offices covering over 150 countries. By working directly with
Governments and non-governmental organizations, UNODC field staff develop and
implement drug control and crime prevention programmes tailored to countries'
particular needs.
UNICEF

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UNICEF - United Nations International Children's Emergency Fund

NY

1987 New York,

Human rights,
Nutrition,
Sanitation,
Humanitarian assistance,
Emergency relief operations,
Water supply,
Disasters,
Community development,
Protection,
Health,
Policy,
Aids,
Education,
Children

UNICEF was established on 11 December 1946 by the United Nations to meet the
emergency needs of children in post-war Europe and China. Its full name was the
United Nations International Children's Emergency Fund.
The United Nations Childrens Fund (UNICEF) is the main UN organization defending,
promoting and protecting childrens rights. It also works towards protecting the
worlds most disadvantaged children. UNICEF believes that children have the

Right
Right
Right
Right
Right
Right

to
to
to
to
to
to

Adequate Nutrition,
Education,
Health,
Participate,
Protection, and
Clean Water.

Visit the following link to find out more about UNICEFs programs: UNICEFs
Presence in the World
UNICEF is the worlds leading advocate for children, with strong presence in 190
countries. The heart of UNICEFs work is in the field. Each country office carries out
UNICEFs mission through a unique programme of cooperation developed with the
host government. The overall management and administration of UNICEF takes
place at the New York headquarter, where global policy on children is shaped. In
addition, UNICEF operates the Innocenti Research Centre in Florence, Specialized
office such as the Supply Division in Copenhagen, and two Public-Sector Alliances
and Resource Mobilization Offices (PARMO) in Brussels and Tokyo. Furthermore,
UNICEF have 36 National Committees, that promote childrens rights, raise funds,
sell UNICEF greeting cards and products, create key partnerships, and provide other
support.
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Flags of countries where UNICEF is present Visit the following link to see the full list
of UNICEF offices: Publications

State of the World's Children - Special Edition

Humanitarian Action Report 2010
Progress for Children: A Report Card on Child Protection (No. 8)
Children and AIDS: Fourth Stocktaking Report, 2009
Visit the following link to see the full list of UNICEFs Publications:
UNICEF Public-Sector Alliances and Resource Mobilization Office in Brussels

UNICEF Brussels is a Public-Sector Alliances and Resource Mobilization Office

(PARMO). Its mandates include working to:

Collaborate with the European Union (EU) in all areas relevant to UNICEFs
work
Improve the image and visibility of UNICEF and the UN, promote political
support for the UN and ensure proper UN representation with EU Institutions
Ensure mutual understanding and knowledge between UNICEF & the EU in
Brussels and in the field
Mobilize resources for UNICEFs humanitarian and development work

This is achieved through:

Communication and Advocacy of Childrens Rights

Influencing EU policies regarding Childrens Rights

Coordination and Collaboration with UNICEF country offices on cooperation activities

between UNICEF and the European Union Mobilization of resources for country
offices in the field.
Focus areas

HIV/AIDS and children

Mother-to-Child Transmission, Pediatric Treatment, Prevention, Children
Affected by AIDS
Child survival and development
Evidence-based Child survival, Nutrition and environmental interventions
Child protection
Protecting children from violence, exploitation and abuse
Basic education and gender equality
Free, compulsory quality education for all children
Policy advocacy and partnerships
Data, policy analysis, leveraging resources, child participation

How we work

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Data on the situation of children and women, for tracking progress and focusing
[Link] UNICEF emergency and development programmes, Procurement Services
for [Link] in emergencies and humanitarian action

UNICEF in emergencies and humanitarian actions

Countries in crisis, emergency assistance, funding appeals and donor updates
Evaluation and good practices
Evaluation and identification of good practices helps UNICEF and partners
achieve better results for children.

Gender equality

The empowerment of women and girls and the pursuit of gender equality: the
way to a sustainable and just society
Adolescents and youth Participation, HIV Prevention among young people,
Adolescent Girls Project, Expression Communication for development
Improving the health, nutrition and other key social outcomes for children and
their families

Research

The Innocent Research Centre studies the changing situation of children

Human rights-based approach to programming
How UNICEF frames its programming to achieve results for all children

Situation analysis
How UNICEF supports strengthening evidence for achieving child-focused and
gender-sensitive policies, laws and budgets.
Social and economic policies
UNICEF's work on the impact that policies in social protection, migration and
budgeting have on child poverty

Innovations, lessions learned and good practices

Learning lessons from field experience

WHAT DOES IPA DO?

IPA liaises with international organizations and lobbies them when new
international treaties or other legal instruments are being shaped. To that
effect, IPA has official consultative status with United Nations organizations
including the World Intellectual Property Organization (WIPO), the United
Nations Educational, Scientific and Cultural Organization (UNESCO) and the
Universal Postal Union (UPU). IPA also sets up regular meetings with World
Trade Organization (WTO) staff and delegates, and other international
organizations.
439

IPA assists its national member organizations when national laws affecting
publishers, in particular copyright laws, are introduced, reviewed or
amended. IPA provides its members with legal advice and lobbies national
governments in cooperation with concerned member organizations.
IPA monitors cases of violations of freedom of expression and freedom to
publish worldwide. IPA supports publishers and authors in the case of their
prosecution and persecution, and brings their case to the attention of
international organizations, national governments and the media. IPA initiates
protest campaigns when appropriate.
IPA has developed an extensive network of internationally active nongovernmental organizations (NGOs) sharing IPA's objectives, in particular in
the area of copyright and freedom of expression. These include international
newspaper, periodical, and music publishers, writers, librarians, collecting
societies and human rights organizations.
Every two years IPA awards a prize, the IPA Freedom to Publish Prize, for
exemplary courage in upholding freedom of expression and freedom to
publish.
IPA regularly organizes international Publishers Congresses and organizes
international events focusing on publisher issues, e.g. 2006 Gteborg Book
Fair with its focal theme Freedom of Expression, Istanbul bi-annual Freedom
of Expression Gathering, 2007 Arab International Copyright Conference, 2008
Black Sea Book Fair, 2008 International Symposium on Neo-Censorship, etc.
IPA takes part in fact-finding missions, e.g. as member of the Tunisia
Monitoring Group (TMG), and in trial observation missions, e.g. at the trials of
Ragip Zarakolu.
IPA promotes the development of international standards important to the
publishing industry. It represents the publishing community on the board of
the International ISBN Agency. It is a founding member of the International
DOI Foundation and monitors other standards developments. IPA is a board
member of the International Federation of Reproduction Rights Organizations
(IFRRO).
IPA provides its members with regular information services and advice on
publishing-related developments around the world.
IPA promotes and monitors the ratification and enforcement of the UNESCO
Florence Agreement on the Importation of Educational, scientific and cultural
materials and its additional Protocol.
IPA collaborates with UNESCO to promote World Book and Copyright Day (23
April) and assists in selecting the World Book Capital City each year.

2. IPA

The IPA is Britains leading organisation delivering partnership, consultation

and employee engagement in the workplace. We work with major clients in
the public, private and third sectors to help managers and employees
develop new ways of working, based on trust and collaboration, that deliver
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1.
2.
3.
4.

better workplaces and better outcomes - increased productivity and improved

services.
IPA is a not-for-profit organisation, funded by membership subscriptions and
fee income from consultancy and training services.
Every workplace is different, so every project we undertake is individually
developed, and delivered based on the needs and circumstances of the
client. The areas we focus on are:
Employee Engagement
Information and Consultation
Partnership and High Performance Working
Equality and Diversity

Our professional and experienced team are skilled in developing and implementing
partnership agreements involving trade unions and management; we are a leading
provider of development and training services for companies and organizations
setting up information and consultation arrangements, and we are the cutting edge
of exploring how employee engagement developing a workplace culture where the
individual worker is enabled to play a full role and give of their best can be placed
at the centre of high performance working.
We also work with policy makers in Whitehall, agencies such as ACAS and the new
Equality and Human Rights Commission, academics and think tanks, and we meet
regularly with government ministers and advisers, to develop a national consensus
on the future agenda for Britains workplaces.
We are one of few open spaces in the UK where employers, trade unionists and
other workplace representatives, academics, legal experts, human resource and
employment specialists can come together with politicians and policy makers to
discuss and debate employment issues and policy.
Leading representatives of business including the CBI and the Engineering
Employers Federation as well as individual companies, third sector organizations
including MENCAP, the TUC and many individual unions, legal experts and academic
specialists sit on our executive and advisory boards. Government ministers, policy
makers and experts in the field contribute thought-provoking and cutting edge
articles to our monthly bulletin.
IPA 2nd view
IPA is an initialisem for India Pale Ale, a hoppy style of beer within the pale ale
category. This style did not originate in India but was first brewed in England in the
nineteenth century. The term India pale ale was first used in an advertisement
printed in Australia's first newspaper in [Link] 16, 2014
What Does IPA Stand For?

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IPA stands for India Pale Ale. As well see in a moment, India played an important
role in the creation of IPA. Its not the country that invented the brew, though.
How Was IPA Invented?
IPA was allegedly invented by the British during their efforts to colonize India. Again
and again, the beer they sent their troops failed to endure the sea voyage all the
way around the cape of Africa. Extreme temperatures and prolonged storage
without the benefits of refrigeration were less than ideal conditions for transporting
beer. As a result, it kept spoiling on the trip. The British had two tools to work with:
alcohol and hops. Both of these work as preservatives. According to legend, it was
George Hodgson of East Londons Bow Brewery who eventually created the first IPA.
It was bitter and highly alcoholic, but it could make the long ocean trip.
Breweries eventually sprung up in more locations. Refrigeration was invented. The
original hurdles IPA was created to clear were no longer an issue. IPA has stuck
around, however. It has even gathered its own pack of diehard fans.
IPA Today
The IPAs we encounter today are characterized by an abundance of hops. Several
varieties of hops may be used at different times throughout the brewing process.
Hops affect flavor, aroma, and bitterness. IPAs often smell like citrus, pine, or
flowers.
There are three main styles of IPA produced today. They are American-style, Englishstyle, and Double or Imperial. There are also plenty of sub-styles, including Black,
Hybrid, Wheat, and Belgian White IPAs. Each style and sub-style has its own
characteristics. In addition, many craft breweries have created their own unique
twists on the classic. This proliferation means there is plenty of variety in what falls
under the IPA label today.
Modern IPAs tend to have ABVs (alcohol by volume) between 5.5 and 7.5 percent.
They go well with strongly flavored foods, including salty dishes, spicy curries, and
grilled meats. If youre already an IPA fan, youll know what we mean. If youd like to
try an IPA, we encourage you to do so. Find your favorite local brewery and see if
they offer an IPA. Just be aware that many who love this style of beer admit it can
be an acquired taste!
WHAT IS IPA?
The International Publishers Association (IPA) is a federation of national, regional
and specialist publishers' associations. Its membership comprises more than 60
organizations from more than 50 countries in Africa, Asia, Australia, Europe and the
Americas. Based in Geneva, Switzerland, IPA represents the interests of the
publishing industry in international for a and wherever publishers' interests are at
stake.
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IPA was founded in 1896 in Paris by the leading publishers at the time. Its initial aim
was to ensure that countries throughout the world showed respect for copyright,
and properly implemented the (then) new international copyright treaty, the Berne
Convention for the protection of literary and artistic works. Until today, the
promotion and defence of copyright is one of IPA's main objectives.
Since its foundation, IPA also promotes and defends freedom to publish, a
fundamental aspect of the human right to freedom of expression. Likewise,
IPA stands for the promotion of literacy and reading, and has always been a meeting
place for publishers to network, exchange views and conduct business.
As an industry association, IPA also deals with a number of other issues affecting
publishers, from book fairs to standard developments.
IPA is an accredited non-governmental organization (NGO) enjoying consultative
relations with the United Nations.

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Section-IV (25 Marks)

CHAPTER XIII : Modern Concepts in Contemporary Criminology
The Classical Scholars
Modern criminology is the product of two main schools of thought: The classical
school originating in the 18th century, and the positivist school originating in the
19th century
Pre-Classical Notions of Crime & Criminals
Prior to the eighteenth century, explanations of a wide variety of phenomena
tended to be of a religious or spiritual nature. Demonological explanations of crime
began to wane in the 18th century with the beginning of a period of historians call
The Enlightenment, which was essentially a major shift in the way people began to
view the world and their [Link] thinkers focused on the dignity and
worth of the individual.A view that would eventually find expression in the law & the
treatment of criminal offenders.
The Classical School: Cesare Beccaria and Reform
The father of classical criminology is generally considered to be Cesare Bonesana,
Marchese di Beccaria.
Dei Delitti e della Pene (On Crimes and Punishment) (1764): This book is an
impassioned plea to humanize and rationalize the law and to make punishment
more just and reasonable.
Beccaria did not question the need for punishment, but he believed that laws should
be designed to preserve public safety and order, not to avenge crime.

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To ensure a rational and fair penal structure, punishments for specific crimes must
be decreed by written criminal codes, and the discretionary powers of judges
severely curtailed.
Jeremy Bentham and Human Nature
Principles of Morals and Legislation (1789) is a philosophy of social control based on
the principle of utility, which prescribed the greatest happiness for the greatest
number.
Any human action at all should be judged moral or immoral by its effect on the
happiness of the community.
Hedonism:
A doctrine with the central tenet that the achievement of pleasure or happiness is
the main goal of life
Rational behavior is behavior that is consistent with logic.
Hedonism and rationality are combined in concept of the hedonistic calculus, a
method by which individuals are assumed to logically weigh the anticipated benefits
of a given course of action against its possible costs.
Free will enables human beings to purposely and deliberately choose to follow a
calculated course of action.
If crime is to be deterred, punishment (pain) must exceed the pleasures gained from
the fruits of crime.
The Legacy of the Classical School
All modern criminal justice systems in the world assume the classical position that
persons are free agents who deserve to be punished when they transgress the law.
Many of the ideas championed by Beccaria in such rights as freedom from cruel and
unusual punishment, the right to a speedy trial, as freedom from cruel and unusual
punishment, the right to a speedy trial, the prohibition of ex post facto laws, the
right to confront ones accusers, and equality under law, contained in the Bill of
Rights and other documents at the heart of Western legal systems today.
What is Positivism?
In the 19th century criminologists began to move away from the classical
assumptions, especially the assumption of free will as it is commonly understood,
and toward a more scientific view of human behavior.

445

The increasingly popular view among criminologists of this period was that crime
resulted from internal and/or external forces impinging on individuals, biasing, or
even completely determining, their behavior choices.
This position became known as determinism, and its adherents were known as
positivists.
The term positivism is used to designate the extension of the scientific method to
social life.
Positivistic criminologists were more concerned with discovering the biological,
psychological, or social determinants of criminal behavior than with the classical
concerns of legal and penal reforms.
Enrico Ferro:
We are empirical scientists; you lot are armchair speculators.
A Bridge between the Classical and Positivist School
Bentham:
The fact that he recognized internal and external constraints on free will and
rationality leads us to believe that Bentham may have been both the last of the old
classical criminologists and the first of the positivist criminologists
Biological Positivism:
Cesare Lombroso and the Born Criminal
Cesare Lombrosos Criminal Man (1876) is considered the first book devoted solely
to the causes of criminality.
Lombrosos basic idea was that many criminals are born criminal, and they are
evolutionary throwbacks to an earlier form of life.
Atavism:
The term used to describe the appearance of organisms resembling ancestral forms
of life.
Lombroso was influenced by Ernst Haeckels famous biogenic law, which stated that
ontogeny recapitulates phylogeny.
Insane criminal:
Not born criminal, but rather become criminals as a result of an alteration of their
brain.
Criminaloids:
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Categorized as habitual criminals, who become so by contact with other criminals.

Raffael Garofalo:
Natural Crime and Offender Peculiarities
Peculiarities:
Particular characteristics that place offenders at risk for criminal behavior
Extreme criminals:
Execution for punishment
Impulsive criminals: Imprisonment for punishment
Professional criminals:
Punishment is elimination, either by life imprisonment or transportation to a
penal colony overseas
Endemic criminals:
Controlled through changes in the law
Enrico Ferri and Social Defense
Ferris concern was social preservation, not the nature of criminal behavior
Ferri was instrumental in formulating a concept of social defense the rational for
punishment. This theory of punishment asserts that its purpose is not to deter or to
rehabilitate but to defend society from criminal predation
Charles Gorings Assault on Lombroso
Charles Goring, who in 1913 published a book entitled The English Convict: A
Statistical Study concluded that there si no such thing as a physical criminal type.
Gorings book was the first to adopt the position that criminality is probably the
result of the interaction of a variety of hereditary and environmental factors at a
time when theorists thought in terms of either/or, and a bridge between early
biological positivism and the less deterministic psychological and psychiatric
schools.
The Legacy of Positivism
The legacy of the positivist school was the shift from the armchair philosophizing
about human behavior to utilizing the concepts and methods of science.
Positivism did not disprove or destroy classical principles; it simply shifted emphasis
from crime and penology to the individual offender.
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Neoclassicism: Rational Choice Theory

Rational choice theorists believe that factors such as poverty, IQ, impulsiveness, or
broken homes are not required to explain crime.
The choice is made in context of personal and situational constraints and the
availability of opportunities.
Criminal acts are specific examples of the general principle that all human behavior
reflects the rational pursuit of maximizing utility, which is the modern economists
version of Benthams principle of maximizing pleasure and minimizing pain.
Rational choice theory assumes a criminally motivated offender and focuses on the
process of the choice to offend.
Choice structuring: The constellation of opportunities, costs, and benefits
attaching to particular kinds of crimes.
Explanations of criminal events must be crime specific because offenses have
properties of their own.
Deterrence and Choice: Pain versus Gain
Deterrence: The prevention of criminal acts by the use or threat of punishment.
Specific deterrence refers to the effect of punishment on the future behavior of the
person who experiences the punishment.
Recidivism:
Committing another crime after previously being punished for one
There must be a relatively high degree of certainty that punishment will follow a
criminal act, the punishment will be administered very soon after the act, and it
must be quite [Link] affect of punishment on future behavior depends on the
contrast effect, which is the distinction between the circumstances of punishment
and the usual life experience of the person being punished.
General deterrence:
The preventive effect of the threat of punishment on the general population; it is
aimed at potential offenders.
Deterrence theorists tend to assume a more rational human being than rational
choice theorists, their models being full of complicated mathematical models
defining cost/benefit ratios.
Figure 3.1
Summary and Comparisons of the Classical and Positivist Schools
Pertaining to Certain Issues

448

Classical

Positivist

Historical
Period

18th-century
Enlightenment, early
period of Industrial
Revolution

19th-century Age of
Revolution

Leading
Figures

Cesare
Becarria,
Jeremy Bentham

Cesare Lombroso, Raffael Garofalo, Enrico

Ferri

Purpose of
School

To
reform
and
humanize the legal
and penal systems

To apply the scientific method to the study of

crime and criminality

Image
Human
Nature

of

Humans
are
hedonistic, rational,
and have free will.
Our
behavior
is
motivated
by
maximizing pleasure
and minimizing pain.

Human
behavior
is
determined
by
psychological, biological, or social forces that
constrain our rationality and free will.

Image
of
Criminals

Criminals
are
essentially the same
as
noncriminals.
They commit crimes
after
calculating
costs and benefits.

Criminals are different from noncriminals.

They commit crimes because they are inferior
in some way.

Definition
of Crime

Strictly legal; crime

is whatever the law
says that it is.

Based on universal human abhorance; crime

should be limited to inherently evil (mala in
se) acts.

Reason, midIndustrial

449

Purpose of
Punishmen
t

To deter. Punishment
is to be applied
equally
to
all
offenders committing
the
same
crime.
Judicial discretion to
be limited.

Social defense. Punishment to be applied

differently to different offenders based on
relevant
differences
and
should
be
rehabilitative.

Connecting Criminological Theory & Social Policy

Theories of crime causation imply that changing the conditions the theory holds
responsible for causing crime can reduce it and even prevent it.
Policy:
A course of action designed to solve some problem that has been selected from
among alternative courses of action.
Every theory has policy implications deducible from its primary assumptions and
propositions
A good theory should offer useful practical recommendations.
Policy and Prevention:
Implications of Neoclassical Theories
Rational choice and routine activities theories shift the policy focus from large and
costly social programs to target hardening and environmental designs that might
dissuade a motivated offender from offending.
The policy recommendations of deterrence theory increase the costs of committing
crimes and there will be less of it.
Lombroso believed that punishment should be only determined after a thorough
assessment of offenders and their needs.
As a social defense, Lombroso recommended death or life imprisonment for
congenital offenders.
Terrorism,
What is Terrorism?
Terrorism is not new and even though it has been used since the early times of
recorded history, it can be relatively hard to define terrorism.
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Terrorism has been described variously as both a tactic and strategy; a crime and a
holy duty; a justified reaction to oppression and an inexcusable abomination.
Obviously, a lot depends on whose point of view is being represented. Terrorism has
often been an effective tactic for the weaker side in a conflict. As an asymmetric
form of conflict, it confers coercive power with many of the advantages of military
force at a fraction of the cost. Due to the secretive nature and small size of terrorist
organizations, they often offer opponents no clear organization to defend against or
to deter.
That is why pre-emption is being considered to be so important. In some cases,
terrorism has been a means to carry on a conflict without the adversary realizing
the nature of the threat, mistaking terrorism for criminal activity. Because of these
characteristics, terrorism has become increasingly common among those pursuing
extreme goals throughout the world. But despite its popularity, terrorism can be a
nebulous concept. Even within the U.S. Government, agencies responsible for
different functions in the ongoing fight against terrorism and extremism use
different definitions.
The United States Department of Defense defines terrorism as the calculated use
of unlawful violence or threat of unlawful violence to inculcate fear; intended to
coerce or to intimidate governments or societies in the pursuit of goals that are
generally political, religious, or ideological. Within this definition, there are three
key elementsviolence, fear, and intimidationand each element produces terror
in its victims. The FBI uses this definition: "Terrorism is the unlawful use of force and
violence against persons or property to intimidate or coerce a government, the
civilian population, or any segment thereof, in furtherance of political or social
objectives." The U.S. Department of State defines terrorism to be "premeditated
politically-motivated violence perpetrated against non-combatant targets by subnational groups or clandestine agents, usually intended to influence an audience".
Outside the United States Government, there are greater variations in what features
of terrorism are emphasized in definitions. The United Nations produced the
following definition of terrorism in 1992; "An anxiety-inspiring method of repeated
violent action, employed by (semi-) clandestine individual, group or state actors, for
idiosyncratic, criminal or political reasons, whereby - in contrast to assassination the direct targets of violence are not the main targets." The most commonly
accepted academic definition starts with the U.N. definition quoted above, and adds
two sentences totalling another 77 words on the end; containing such verbose
concepts as "message generators" and "violence based communication processes".
Less specific and considerably less verbose, the British Government definition of
terrorism from 1974 is "...the use of violence for political ends, and includes any use
of violence for the purpose of putting the public, or any section of the public, in
fear."
Terrorism is a criminal act that influences an audience beyond the immediate victim.
The strategy of terrorists is to commit acts of violence that draws the attention of
451

the local populace, the government, and the world to their cause. The terrorists plan
their attack to obtain the greatest publicity, choosing targets that symbolize what
they oppose. The effectiveness of the terrorist act lies not in the act itself, but in the
publics or governments reaction to the act. For example, in 1972 at the Munich
Olympics, the Black September Organization killed 11 Israelis. The Israelis were the
immediate victims. But the true target was the estimated 1 billion people watching
the televised event. Those billion people watching were to be introduced to fear which is terrorism's ultimate goal. The introduction of this fear can be from the
threat of physical harm/a grizzly death, financial terrorism from the fear of losing
money or negative effects on the economy, cyber terrorism harming the critical
technological infrastructures of society and psychological terrorism designed to
influence people's behaviour. Terrorism is designed to produce an overreaction and
anecdotally, it succeeds at that almost all the time.
The Black September Organization used the high visibility of the Munich Olympics to
publicize its views on the plight of the Palestinian refugees. Similarly, in October
1983, Middle Eastern terrorists bombed the Marine Battalion Landing Team
Headquarters at Beirut International Airport. Their immediate victims were the 241
U.S. military personnel who were killed and over 100 others who were wounded.
Their true target was the American people and the U.S. Congress. Their one act of
violence influenced the United States decision to withdraw the Marines from Beirut
and was therefore considered a terrorist success.
There are three perspectives of terrorism: the terrorists, the victims, and the
general publics. The phrase one mans terrorist is another mans freedom fighter
is a view terrorists themselves would gladly accept. Terrorists do not see themselves
as evil. They believe they are legitimate combatants, fighting for what they believe
in, by whatever means possible to attain their goals. A victim of a terrorist act sees
the terrorist as a criminal with no regard for human life. The general publics view
though can be the most unstable. The terrorists take great pains to foster a Robin
Hood image in hope of swaying the general publics point of view toward their
cause. This sympathetic view of terrorism has become an integral part of their
psychological warfare and has been countered vigorously by governments, the
media and other organizations.
TERRORISM TYPES
Civil disorder
A form of collective violence interfering with the peace, security, and normal
functioning of the community
Political terrorism
Violent criminal behaviour designed primarily to generate fear in the community, or
substantial segment of it, for political purposes.

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Limited political terrorism

Genuine political terrorism is characterized by a revolutionary approach; limited
political terrorism refers to "acts of terrorism which are committed for ideological or
political motives but which are not part of a concerted campaign to capture control
of the state.
Official or state terrorism
"Referring to nations whose rule is based upon fear and oppression that reach
similar to terrorism or such proportions". It may also be referred to as Structural
Terrorism defined broadly as terrorist acts carried out by governments in pursuit of
political objectives, often as part of their foreign policy.
Data-terrorism
"The unjust storage or use of private information for economic, political or personal
gains". Commonly seen in governments and countries like the United States,
Canada and Australia. Large corporations such as Facebook are also guilty of using
user data without confirming explicit user knowledge and consent to do so when
joining.
Passive terrorism
(Passive + terrorism) is an, inert or quiescent behavior towards terrorism; an
inaction, non-reaction, non-participation, non-involvement in countering terrorism.
Passive terrorism describes a behavior of general public or government which
silently allows the spread or promotion of terrorism by turning a blind eye or
tolerating terrorism. Passive terrorism prevails when there is no deliberate effort or
decision to either counter it or raise voice against it.

Political terrorism
Sub-state terrorism
Social revolutionary terrorism
Nationalist-separatist terrorism
Religious extremist terrorism
Religious fundamentalist Terrorism
New religions terrorism
Right-wing terrorism
Left-wing terrorism
Single-issue terrorism
State-sponsored terrorism
Regime or state terrorism
Criminal terrorism
Pathological terrorism
Damage of transport, communication, water supply, warehouses and other
buildings or state and communal property
453

Terrorist acts against representatives of Soviet power or of workers and

peasants organisations
Counter-revolutionary sabotage
Counter-revolutionary action is any action aimed at overthrowing,
undermining or weakening of the power of workers' and peasants' Soviets
Armed uprising or intervention with the goal to seize the power
Undermining of state industry, transport, monetary circulation or credit
system, as well as of cooperative societies and organizations

Radicalism and War on Terror (read print)

Definitions of radicalism
The word radicalism comes from the Latin radical is, "of or having roots," which in
turn arose from radix, or "root." Both radical and radicalism came out of the idea
that political change must "come from the root," or the very basic source of society.
The role of the Internet: Islamic radicalism and anti-Americanism in
Indonesia
This study uses Indonesia as a local site for examining how the technology and
nature of the Internet interact with political and cultural struggles. It also shows how
the creation and assertion of identity on the Internet become a focal point of
contests over power. Specifically, the study examines the role of the Internet in
Indonesia in disseminating the message of radical fundamentalist Islamic groups
and, in particular, their anti-Americanism. It argues that the Internet serves as a key
tool of self-definition and collective action for these groupsit communicates the
global identity of radical fundamentalism as a means of self-definition for local
Islamic fundamentalist movements. Two case studies detail these phenomena. The
first examines Internet use by Laskar Jihad, the radical militia group involved in the
Maluku conflict. The second looks at how radical fundamentalist Islamic groups have
used the Internet after 9/11 to disseminate charges that the United States and
Israel are conspiring against Islam. By examining how information flowed from
cyberspace to real space in both cases, this study shows that the Internet has
potential as a site for the revival of primordial, ethno/religious, and communal
identities as forms of resistance to domination by both "non-believers" and global
actors such as the United States.
Deploying the concepts of identity politics, meta-narratives, and collective action,
the study examines how the Internet is used by Islamic radical-fundamentalist
individuals and groups. It shows that the Internet plays a crucial yet indeterminate
role in the milieus of politics, culture, and economic structure. In the case of
Indonesia, the Internet has played a key role in creating and sustaining political
legitimating,
resistance,
and
identity
projects
among
Islamic
radical
fundamentalists. It has also helped these groups transform their identity into social
and political power capable of scaling up social responses to effect political
transformations at national and global levels. The Internet is becoming a major
454

factor in identity formationone that can allow users to access global sources of
information while interpreting that information in local identity contexts through key
nodes and sources.
Indeed, Islamic radical fundamentalism has shown that the Internet has the
potential to facilitate identity formationsuch as the global fundamentalist
movementthat is not territorially bound. But this development does not mean that
national and other local identities have become obsolete in cyberspace. The
Internet facilitates multiple identities:
It can strengthen national identity while also fostering a de-territorialized identity.
Radical fundamentalist groups also use the Internet to bypass local/national
authorities and, in so doing, establish a new de-territorialized pattern of hierarchy. In
addition, the ways these groups use the Internet demonstrate a mass nature that
dovetails with the reductionist tendency and simplicity of the meta-narratives and
more specific narratives of conspiracy these groups endorse. This resonance
between the Internet and reductionism explains how the Internet can greatly
facilitate the dissemination of radical fundamentalist ideas and opinions.
However, in a country such as Indonesia, in which most of the population is not yet
connected to the Internet, the Internet also needs to be explicitly linked to other
media in order to extend its influence. Using the inter modalities of media networks,
various individuals and groups can create linkages that allow information originating
from cyberspace to reach audiences beyond the Internet. The Internet and its
linkages to other media have enabled the realization of new connections. Radical
groups use the Internet as a trawling tool to reach potential members at local,
national, and global levels.
But the Indonesian cases also show that the Internet is not persuasive enough to
mobilize people for extreme actions such as killing and murder. While the Internet
helps to form and disseminate a resistance identity, it alone cannot easily transform
that identity into jihad in the form of physical war.
Medias representation of Crime and the Criminal Justice System
ABSTRACT
Public knowledge of crime and justice is largely derived from the media. This paper
examines the influence of media consumption on fear of crime, punitive attitudes
and perceived police effectiveness. This research contributes to the literature by
expanding knowledge on the relationship between fear of crime and media
consumption. This study also contributes to limited research on the medias
influence on punitive attitudes, while providing a much-needed analysis of the
relationship between media consumption and satisfaction with the police.
Employing OLS regression, the results indicate that respondents who are regular
viewers of crime drama are more likely to fear crime. However, the relationship is
weak. Furthermore, the results indicate that gender, education, income, age,
455

perceived neighborhood problems and police effectiveness are statistically related

to fear of crime. In addition, fear of crime, income, marital status, race, and
education are statistically related to punitive attitudes. Finally, age, fear of crime,
race, and perceived neighborhood problems are statistically related to perceived
police effectiveness.
INTRODUCTION
Western society is fascinated with crime and justice. From films, books, newspapers,
magazines, television broadcasts, to everyday conversations, we are constantly
engaging in crime "talk". The mass media play an important role in the construction
of criminality and the criminal justice system. The publics perception of victims,
criminals, deviants, and law enforcement officials is largely determined by their
portrayal in the mass media. Research indicates that the majority of public
knowledge about crime and justice is derived from the media (Roberts and Doob,
1990; Surette, 1998). Therefore, it is imperative to examine the effects that the
mass media have on attitudes toward crime and justice. The purpose of this
research is to examine how the media influences audience perceptions of police
effectiveness and to examine whether media consumption is related to fear of crime
and punitive justice attitudes.
FEAR OF CRIME AND PUNITIVE JUSTICE ATTITUDES
Research on the effect that the media has on the public revolves around two
interconnected issues. Does coverage of sensationalistic and violent crime create
fear among the general public and does this fear influence criminal justice policy
attitudes? Review of the [End page 109] research indicates that there are mixed
results regarding the influence of the news media on creating an attitude of fear
among the general public (Surette, 1998). In an early study, Gerbner et al (1980)
hypothesized that heavy viewing of television violence leads to fear rather than
aggression. Gerbner et al (1980) find that individuals who watch a large amount of
television are more likely to feel a greater threat from crime, believe crime is more
prevalent than statistics indicate, and take more precautions against crime. They
find that crime portrayed on television is significantly more violent, random, and
dangerous than crime in the "real" world. The researchers argue that viewers
internalize these images and develop a "mean world view" or a scary image of
reality. This view is characterized by "mistrust, cynicism, alienation, and perceptions
of higher than average levels of threat of crime in society" (Surette, 1990:8). Further
studies on the relationship between fear and television viewing indicate a direct and
strong relationship (Barille, 1984; Bryant, Carveth and Brown, 1981; Hawkins and
Pingree, 1980; Morgan, 1983; Williams, Zabrack and Joy, 1982, Weaver and
Wakshlag, 1986). Conversely, Rice and Anderson (1990) find a weak, positive
association between television viewing and fear of crime, alienation and distrust.
However, multiple regression analysis fails to support the hypothesis that television
viewing has a direct, substantial effect on fear of crime.

456

In a review of the research, Heath and Gilbert (1996) find that the relationship
between media presentations and crime is dependent on characteristics of the
message and the audience. Presentation of large amounts of local crime news
engenders increased fear among the larger public, (Brillon, 1987; Sheley and
Ashkins, 1981) while the presentation of large amounts of non-local crime news has
the opposite effect by making the local viewers feel safe in comparison to other
areas (Liska and Baccaglini, 1990). In addition Chiricos et al (2000) finds that local
and national news are related to fear of crime. The effect of local news on fear of
crime is stronger for residents in high crime areas and those who experienced
victimization.
In terms of audience effects, fear of victimization will depend on who is viewing the
crime stories. Research indicates that residents in high crime urban areas who
watch a large amount of television are more likely to be afraid of crime (Doob and
MacDonald, 1979; Gerbner et al, 1980). Another important factor is whether
audience members have direct victim experience or share characteristics that make
them crime vulnerable. Research indicates that media sources will be more
meaningful when direct experience is lacking (Gunter, 1987; Liska and Baccaglini,
1990; Skogan and Maxfield, 1981). For example, Liska and Baccaglini (1990) find
that media influence was strongest for females, whites and the elderly, which are
segments of the population least likely to be victimized. In another study, Chiricos
et al (1997) find that the frequency of watching television news and listening to the
news on the radio is significantly related to fear. Their research indicates that
television news consumption is significantly related to fear only for white females
between the ages of 30 and 44. This is similar to other findings that suggest that
watching crime on television has a greater effect for women and whites, who have
low victim risk compared to males and non whites (Gerbner et al., 1980).
Examining the National Opinion on Crime and Justice (NOCJS), Haghighi and
Sorensen (1996) find that local media attention to crime was significantly related to
fear of sexual assault; getting mugged, beaten up, knifed or shot; and being
burglarized while at home. Fear of crime was not significantly related to fear of carjacking, being murdered, or being burglarized while not at home. However, they did
not find the source of crime news to be a factor in fear of crime. For example, those
who received their crime news from radio, newspapers or television had [End page
110] similar levels of worry about crime. In addition, their findings indicate that
crime show viewers were more likely to worry about being sexually assaulted;
getting beaten up, knifed or shot; and getting killed. However, crime-drama
viewing is not related to fear of car jacking, mugging, or burglary.
Researchers argue that public fear and anxiety is inextricably connected with public
pressure for solutions to crime problems. A number of research studies focus on
whether media depictions of crime influence public attitudes towards criminal
justice policy. They find that presentations of crime news increase public pressure
for more effective policing (Garofalo, 1981a) and more punitive responses to crime
(Barille, 1984; Surette, 1998). Furthermore, Surette (1998:) claims that the news
457

media feature agents of crime control as negatively ineffective and incompetent

which results in support for more police, more prisons, and more money for the
criminal justice system. Reith (1999) finds that for white males, crime show viewing
is related to high levels of aggression towards those who break the law, and low
levels against those who defend it. She also found that fear of victimization and fear
of victimization based on real life experiences did not have a mediating effect on
the relationship. In addition, Oliver and Armstrong (1995) find that frequent viewing
and greater enjoyment of reality-based crime shows are related to holding punitive
attitudes. However, frequent viewing and greater enjoyment of fictional crime
shows are not related to holding punitive attitudes.
POLICE EFFECTIVENESS
Public attitudes toward police are generally positive (Huang and Vaughn, 1996).
However, there are few studies that examine the medias influence on public ratings
of police effectiveness. Much of the literature focuses on media portrayals of police
officers and findings reveal two conflicting views. Some researchers argue that the
police are presented favorably in the media, while other research suggests that the
police are negatively portrayed in the media.
Presentations of police are often over-dramatized and romanticized by fictional
television crime dramas while the news media portray the police as heroic,
professional crime fighters (Surette, 1998; Reiner, 1985). In television crime
dramas, the majority of crimes are solved and criminal suspects are successfully
apprehended (Dominick, 1973; Estep and MacDonald, 1984; Carlson, 1985; Kooistra
et al. 1998, Zillman and Wakshlag, 1985). Similarly, news accounts tend to
exaggerate the proportion of offenses that result in arrest which projects an image
that police are more effective than official statistics demonstrate (Sacco and Fair,
1988; Skogan and Maxfield, 1981; Marsh, 1991; Roshier, 1973). The favorable view
of policing is partly a consequence of polices public relations strategy. Reporting of
proactive police activity creates an image of the police as effective and efficient
investigators of crime (Christensen, Schmidt and Henderson, 1982). Accordingly, a
positive police portrayal reinforces traditional approaches to law and order that
involves increased police presence, harsher penalties and increasing police power
(Sacco, 1995).
In addition, a number of researchers suggest that a symbiotic relationship exists
between news media personnel and the police. It is suggested that the police and
the media engage in a mutually beneficial relationship. The media needs the police
to provide them with quick, reliable sources of crime information, while the police
have a vested interest in maintaining a positive public image (Ericson, Baranek, and
Chan, 1987; Fishman, 1981; Hall et al, 1978). However, [End page 111] other
researchers argue that the police are not portrayed positively in the news media.
For example, Surette (1998) claims that docu-dramas and news tabloid programs
represent the police as heroes that fight evil, yet print and broadcast news personify
the police as ineffective and incompetent. Likewise, Graber (1980) claims that the
458

general public evaluates police performance more favorably compared with courts
and correction. Nevertheless, Graber (1980) states that the media provides little
information to judge police and that the news media focus on negative criticism
rather than positive or successful crime prevention efforts. In essence, most media
crime is punished, but policemen are rarely the heroes (Lichter and Lichter, 1983).
Prior research suggests that public knowledge about crime and justice is largely
derived from the media (Roberts and Doob, 1990; Surette, 1998). This research
seeks to build on previous research by addressing three research questions:

What is the relationship between media consumption and fear of crime?

What is the relationship between media consumption and punitive attitudes?
What is the relationship between media consumption and public ratings of
police effectiveness?

Police effectiveness, fear of crime and punitive attitudes are important aspects of
public attitudes toward crime and justice in the United States. First, police strategies
reflect departmental values, which reflect community values. Negative or positive
attitudes towards the police may influence police policy making and strategy.
Second, citizen attitudes toward the police may influence decisions to report crime.
Third, both fear of crime and punitive attitudes may influence policy making and law
making by government agencies, as public support or opposition may determine
policy.
METHODS
Sample
The sample is derived from the 1995 National Opinion Survey on Crime and Justice
(NOSCJ). The NOSCJ is a random telephone survey of adults (n= 1005) who reside in
the continental United States. The survey is cross-sectional and samples are
stratified to all U.S. counties in proportion to each countys share of the telephone
households in the target area. The survey employed random digit dialing (CATI) and
achieved a 62% response rate. The purpose of the NOSCJ is to provide knowledge
about American attitudes toward crime and justice issues, which may lead to more
informed criminal justice policy and practice. The survey examines a number of
issues, such as attitudes toward courts, police, neighborhood problems, juvenile
gangs, drug laws, death penalty, gun control, prisons, and worries about crime. In
addition to basic demographic characteristics, NOSCJ captures information about
hours of television viewing, crime show viewing and source of crime news. [End
page 11]
Measures
Fear/Worry of Crime

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Fear of crime is measured using seven items that examine the respondents
fear/worry toward crime. Respondents are asked if they worry about sexual assault;
car-jacking; getting mugged; getting beaten up, knifed or shot; getting murdered;
being burglarized while at home; and being burglarized while no one is at home.
Each question on worry/fear of crime has a four-category response ranging from
very frequently, somewhat frequently, seldom, and never.[1] The seven items are
scaled to establish an index of fear of crime that ranges from seven (low worry) to
twenty-eight (high worry). Higher scores indicate a greater amount of fear/worry
about crime. Reliability analysis reveals an alpha of .86, which indicates that the
scale is highly consistent.
Perception of Police Effectiveness
Police effectiveness is measured by using seven items that examine the
respondents attitudes towards police. Three questions address respondents
confidence in police ability to protect, solve, and prevent crime. Each question has a
four-category response ranging from a great deal, some, little, and none at all.
Three questions address respondents assessment of police promptness,
friendliness, and fairness. Each question has a five-category response ranging from
very high, high, average, low, and very low. For the scaling purposes, very low and
low were combined into one category. The final question examines the respondents
belief in the use of excessive force by police in their community. The category
response range from serious problem, somewhat of a problem, minor problem, and
not a problem at all.[2] The seven items are scaled to establish an index of
perceived police effectiveness that range from seven to twenty-eight. Higher scores
indicate positive appraisals towards police effectiveness and lower scores indicate
negative appraisals of political effectiveness. Reliability analysis reveals an alpha
of .83, which indicates this scale is consistent.
Punitive Justice Attitudes
Punitive justice attitudes are measured by using 11 items. These questions were
categorical in nature and for scaling purposes they were dummy coded. Table one
presents the items that are scaled to identify those who hold punitive attitudes
toward crime and justice.
he scale ranges from 0 (punitive attitudes) to 1 (non-punitive attitudes). The scores
range from 0 (highly punitive) to 11 (non-punitive) and the average score for
respondents is four. The alpha level of punitive attitude scale is .72, which indicates
that this scale is reliable. Nevertheless, one limitation is equating punitive attitudes
with retributive attitudes. Historically, the notion of retribution meant "an eye for an
eye" and emphasized "harsh" punishment. However, the concept of retribution has
evolved and includes the concept of just deserts. Just deserts require that the
nature of punishment be consistent with the offenders criminal conduct. The
central principle of just deserts is proportionality; the severity of the punishment
should be proportional to the gravity of the offense. Punitiveness is more concerned
460

with the prevention and reduction of crime through deterrence principles (Von
Hirsch, 1998). However, it is unclear whether survey respondents understand the
differences between punitiveness and retribution.
Mass-Media Variables
The media variables include crime-show viewing, television hours and crime news
source. Crime-show viewing is measured by asking respondents if they are frequent
viewers of a television crime show.[3] Television hours are measured by asking
respondents how many hours of television they watched per week. Finally,
respondents were asked the primary source of crime news. The categories include
television, newspaper, radio, and friends/neighbors and are dummy coded for the
analysis. Specifically, the intention is to examine the print medias effect on fear of
crime, punitive justice attitudes and perceived police effectiveness.
Socio-Demographic Measures/Control Variables
A number of control variables are employed in this research to ensure that media
effects are properly measured. Demographic variables such as race, gender, age,
income, residence, level of education, and marital status are employed in the
analysis. Race, income, residence, level of education and marital status are dummycoded.[4] In addition, a scale is created to measure respondents attitudes toward
problems in their neighborhood. Respondents were asked to rate the seriousness of
a number of issues in their neighborhood. The issues include: trash and litter; loose
dogs; unsupervised youth; graffiti; vacant houses; noise; people drunk/high in
public; and abandoned cars.[5] The scores range from eight to thirty-two. Higher
scores indicate high levels of problems in the neighborhood, whereas lower scores
indicate low levels of problems in the neighborhood. Reliability analysis reveals an
alpha of .81, which indicates a consistent scale.
Analytic Strategy
The analytic strategy is to examine the relationship between media variables and
fear of crime, perceived police effectiveness and punitive justice attitudes. The first
step is to conduct univariate and bivariate analysis. The next step is to employ
multivariate regression models using the ordinary least squares. Included in the
models are the socio-demographic variables/control variables described above.
Three models will be developed to examine the dependent variables, which will
include fear of crime, punitive justice attitudes and perceived police effectiveness.
The first model will examine the association between crime-show viewing,
newspaper as primary source of crime news, hours of television per week and fear
of crime. The [End page 114] control variables will include age, race, residence,
marital status, income, gender, problems in neighborhood, and perception of police
effectiveness.
The second model will examine the association between crime-show viewing,
newspapers as primary source of crime news, hours of television viewing and
461

punitive justice attitudes. We will employ the same control variables as step one,
except that we will include fear of crime as an independent variable. The final step
is to examine the association between crime-show viewing, newspapers as primary
source of crime news, hours of television viewing and perceived police
effectiveness. We will employ age, race, residence, marital status, income, gender,
neighborhood problems, fear of crime and punitive attitudes as control variables.
Results
Uni-variate and Bi-variate Analysis
Table two presents descriptive statistics of the variables employed in this study.
Table 2: Descriptive Statistics and Correlations

%
(Mean
)

Punitive
Justice
Attitudes

Low Fear
of Crime

Low
Perceived
Police
Effectiveness

Regular Crime Show

Viewer

100
5

42.5

.06

-.07*

.09*

Print Media
Source

Primary

100
5

20

-.04

-.05

.01

Television

966

(14.95
)

-.04

.03

-.04

Low
Neighborhood
Problems

979

(11.80
)

.04

.25**

-.22**

Hispanic

100
5

7.7

-.03

-.10**

.07*

White

100
5

81.3

.13**

.04

-.18**

Hours of
Viewing

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Black

100
5

7.7

-.13**

.01

.15**

Urban

100
5

15.9

-.06

-.09**

.08*

Married

100
5

53.1

.09**

-.04

-.08*

High Income (60k or

higher)

100
5

22.1

-.03

-.04

.02

Medium Income (30k

to 60k)

100
5

37.2

.01

-.01

-.10**

Low Income (15k to

30k)

100
5

25.8

.08*

.02

.04

Lowest Income (15k or

lower)

100
5

14.9

-.05

.02

.03

College Education

100
5

58.2

-.10**

-.08*

-.04

Male

100
5

52.1

.03

.14**

.05

Age

994

(45)

-.02

-.12**

.21**

100
5

(19.91
)

-.08*

-.14**

--

Low Fear of Crime

995

(13.65
)

-.04

--

-.14**

Punitive Attitudes

100
5

(4.09)

--

-.04

-.08*

Low
Effectiveness

Police

463

P*< .05; **P< .01

The results indicate that respondents average approximately 15 hours of television
per week, while 42% of the respondents report that they are regular viewers of
crime shows, and that 20% of the respondents report that newspapers are their
main source of crime news. The scaled variables were employed as both dependent
and control variables.[6] The results indicate that on a scale of seven to twentyeight, the respondents average score is 13.65 for fear of crime and 15 for
perceived police effectiveness. On a scale of eight to thirty-two, the respondents
score 11.8 [End page 115] for perceived problems in their neighborhood. On a scale
from 0 to 11, respondents mean score is 4.09 for punitive attitudes toward crime
and justice.
Socio-demographic characteristics of the sample indicate that 7.7% of the
respondents are African-American, 7.7% are Hispanic and 81.4% are white; 53.1%
are married; 52.1% are male; 15.9% are urban residents; 37; the average age is 45;
58.2% are college educated; 22.1% have incomes over $60,000; 37.2% have
incomes between $30,000 and $60,000; 25.8% have incomes between $15,000 and
$30,000; and 14.9% have incomes lower than $15,000.
The results of correlation analysis are also included in table 2. The results indicate
that viewing crime shows is significantly related to fear of crime and perceived
police effectiveness. Regular viewers of crime shows are more likely to fear or worry
about crime. Similarly, regular crime drama viewers are more likely to hold negative
attitudes toward police effectiveness. The bivariate analysis indicates that
newspaper as primary source of crime news and hours of television viewing are not
significantly related to fear of crime, punitive attitudes or perceived police
effectiveness.
In addition, the results indicate that white, married, and low-income (15k to 30k)
respondents are more likely to have punitive attitudes, whereas black, college
educated, and respondents with low appraisals of police effectiveness are less likely
to have punitive attitudes. The results also indicate that older respondents, males
and respondents with low perception of neighborhood problems are more likely to
have low fear of crime, whereas, younger respondents, female, Hispanic, collegeeducated and respondents with low appraisals of police effectiveness are more
likely to fear crime. Finally, bivariate results suggest that Hispanic, AfricanAmerican, urban, and younger respondents are more likely to have negative or low
appraisals of police effectiveness. Conversely, respondents with punitive attitudes,
with a medium income (30k to 60k), older, white, with low perceptions of
neighborhood problems are more likely to have positive or high appraisals of police
effectiveness. However, there may be a number of factors that mitigate or enhance
the relationships. Thus, it is necessary to conduct multivariate techniques to further
address these relationships

464

Multivariate Analysis
Fear of Crime
Table three presents three models based on OLS regression, employing fear of
crime, punitive attitudes, and perceived police effectiveness regressed on
media/control variables.[7]
The findings indicate that crime-show viewing is related to fear of crime.
Respondents who report that they are regular viewers of crime shows are more
likely to be fearful of crime. This is true even when we control for age, gender, race,
income, education, marital status, perceived police effectiveness and perceived
neighborhood problems. However, hours of television and newspaper as the primary
source of crime news are not significantly related to fear of crime.
In this model, the strongest relationship is perceived problems in the neighborhood,
followed by gender, education, regular viewing of crime shows, age, income and
perceived police effectiveness. Respondents who claim that there are a high
number of problems in their neighborhood are more likely to fear crime. This is not
surprising, as respondents may feel unsafe in an area that they believe is conducive
to crime. Female respondents are also more likely to fear crime. This is consistent
with prior research that shows that females are more likely to fear or worry about
crime (Garofalo, 1981b; LaGrange and Ferraro, 1989; Parker, 1993; Parker and Ray,
1990; Warr, 1984 Skogan and Maxfield, 1981). College educated respondents are
more likely to be fearful of crime. This result is unanticipated, as we would assume
that higher education would inform subjects about the nature of crime and justice.
However, college educated respondents may feel that they have more to "lose" if
they are victimized. Moreover, regular viewers of crime drama are more likely to
fear crime. Television portrayal of crime and justice is largely sensational, violent
and fear producing. Viewers may receive a "distorted" image of the typical crime or
criminal, which may produce fear or anxiety about criminal activity. Compared to
respondents with average incomes (30k to 60k), lower income respondents are
more likely to fear crime. This is consistent with prior research, which reveals that
low-income individuals are more likely to fear crime (Will and McGrath, 1995;
Skogan and Maxfield, 1981; Baumer, 1978).
Older respondents are less likely to fear crime, which is not consistent with prior
research (Baldassare, 1986; Garofalo, 1981b; Skogan and Maxfield, 1981; Yin,
1980). Finally, respondents who gave poor ratings of police performance are more
likely to be fearful of crime. [End page 117] These respondents may believe that
police are not effectively protecting the public or their community.
Punitive Justice Attitudes

465

Table three presents the results of punitive attitudes regressed on the media
consumption. The findings indicate none of the media consumption variables are
related to punitive attitudes. The strongest indicator of punitive attitudes is race,
followed by education, income, fear of crime, and marital status. African-American
respondents are more likely to hold non-punitive attitudes. This may be the result of
inequalities of the justice system. For example, compared to whites, AfricanAmericans are more likely to receive harsher punishments (such as the death
penalty) and African-Americans are disproportionately over- represented in prisons
(Reiman, 1998). Some African-Americans may feel threatened by a punitive justice
model or feel that a punitive justice model reinforces discrimination and persecution
of African-Americans.
In addition, respondents with college education are more likely to hold non-punitive
attitudes. Those with education may be more likely to recognize the inequalities of
the justice system and determine that solutions to the "crime problem" may be
better served by policies of reintegration or rehabilitation. Furthermore, compared
to average income respondents, low-income respondents (15,000 to 30,000) are
more likely to hold punitive attitudes towards crime and justice. This is in contrast to
the lowest income respondents ($15,000 or less) who hold non-punitive attitudes.
One reason for the difference may be that low income (15,000 to 30,000)
respondents are more likely to bear the brunt of crime and unlike the lowest income
($15,000 or less) respondents they may feel that they have more to "lose" by
victimization. As a result, low- income respondents may believe that a punitive
ideology is necessary to prevent and reduce crime in the areas in which they live.
Moreover, respondents with a high fear of crime are more likely to have punitive
attitudes. Fear of crime may provide impetus for support of "get tough" crime
policies. Finally, married respondents are more likely to have punitive attitudes.
Married respondents might believe that they have more to lose if they are
victimized (i.e. family and partner) and support tougher policies toward crime.
Perceived Police Effectiveness
Table three examines perceived police effectiveness regressed on media and control
variables. The findings reveal that none of the media variables are related to
respondents perceptions of police effectiveness. A possible explanation is that
there is little agreement on the role that police play on television crime dramas and
news reports. Some research suggests that police are positively portrayed while
others show that the police are negatively portrayed. However, the results indicate
that age, perceived problems in the neighborhood, fear of crime, and race are
significantly related to perceived police effectiveness. Older respondents are more
likely have high ratings of police effectiveness, whereas younger respondents are
more likely to have low ratings of police effectiveness. This is consistent with prior
research that shows that compared to younger persons; the elderly have more
favorable attitudes toward police (Garofalo, 1977; Hindelang, 1974; Thomas and
Hyman, 1977).
466

Respondents who believe that there a high number of problems in their

neighborhood are more likely to rate police effectiveness as being poor.
Respondents may not believe that the local police are not properly fulfilling their
role in the community. Similarly, respondents who have a [End page 118] high fear
of crime are more likely to give poor ratings to the police. These respondents may
feel that the police are not adequately protecting their communities.
Finally, African-Americans are more likely to hold low ratings of police effectiveness.
This is similar to prior research which suggests that African-Americans have an
antagonistic view of police (Garofalo, 1977) and that there is a "climate of distrust:"
between African-Americans and law enforcement (Jacob, 1971). However, other
studies indicate that residence and social class mitigate the effect of race. For
example, Kusow, Wilson and Martin (1998) find little support that African-Americans
are less satisfied with police effectiveness. They find that both African-American and
white suburbanites are more satisfied with police performance than AfricanAmerican and white urban residents. In addition, Albrecht and Green (1977) find
that low-income African-Americans living in inner cities possess the least favorable
attitudes toward the police. Similarly, Parker, Onyekwuluje and Murty (1995) find
that African-Americans who reside in high crime areas, and who have low incomes
are more likely to have held negative attitudes toward the police. Nevertheless,
controlling for income and residence we find that African-Americans are significantly
more likely to hold unfavorable attitudes toward police. Waddington and Braddock
(1991) find that African-Americans believe that whites receive preferential police
treatment and that African-Americans are subjects of discrimination. Research
indicates that there is a significant association between being black and being
harassed by police (Browning et al. 1994). Other factors may include an increased
awareness of police corruption, racism, brutality and racial profiling. A number of
significant "social" events occurred during the 1990's. For example, the beating of
Rodney King and the racist remarks of Mark Fuhrman elevated racism and police
brutality into national issues. Finally, we have seen racial profiling or "driving while
black" emerge as an important social issue.
DISCUSSION/CONCLUSION
This study reveals that regular viewers of crime shows are more likely to fear crime.
Although statistically significant, the strength of this finding is minimal. In addition,
there are a few limitations with regard to the measures of media consumption. First,
the type of crime show that the respondent is viewing is unknown. There are
numerous types of crime shows that may focus on different aspects of the criminal
justice system. For example, crime shows may focus on police, courts, private
investigators, defense lawyers and sometimes even the criminals. In addition, some
shows are more realistic, while others routinely portray violence, and consistently
misinform viewers about the nature of the criminal justice system and criminality. It
would be prudent to know which dramas the respondents are viewing. Second,
employing television hours watched is problematic, since there is no way of
determining what type of programs the respondent is viewing. There are a number
467

of different programs that may or may not address criminal justice issues and
address them in substantially different ways. Finally, examining newspapers as the
primary source of crime news suggests that only newspapers influence
respondents. It would be naive to suggest that respondents are not affected by a
number of sources; for example, respondents who receive their primary crime news
from newspapers may also be affected by presentations of crime from other sources
such as films, television and/or personal experiences.
Modern Law Enforcement and Crime Prevention
ABSTRACT: Like traditional crime, terrorism is a local issue and is a responsibility
shared among federal, state, and local governments. In the wake of September 11,
local law enforcement has taken on a pivotal role in preventing and responding to
future incidents of terrorism within the United States. The new policing model for
terrorism and homeland security must address the areas of crime prevention,
intelligence gathering, and information sharing. This will require a shift in the
culture of law enforcement agencies, involving the creation of external partnerships,
citizen involvement, problem solving, and the transformation of the organization.
Adoption of the homeland-policing model presented in this article suggests that
the community policing model serves as a solid framework for the development of
an effective prevention strategy for homeland security by local law enforcement
agencies.
SUGGESTED CITATION:
Docobo, Jose
. Community Policing as the Primary Prevention Strategy for Homeland Security at
the Local Law Enforcement Level.
Homeland Security Affairs
Traditionally, local law enforcement has concerned itself primarily with preventing
and solving crimes such as burglary, theft, and robbery crimes that have an
immediate and visible impact on the local community and affect citizen quality of
life. In the face of unknown future terrorist threats, however, local law enforcement
organizations will have to adapt existing policing strategies to fulfill the requirement
of homeland security.
Over the years, law enforcement organizations have sought to address the causes
and reduce the fear of crime in communities through the creation of effective
partnerships with the community and other public and private-sector resources, the
application of problem-solving strategies or tactics, and the transformation of
agency organization and culture. In the wake of September 11, 2001, local law
enforcement agencies throughout the country find themselves struggling to identify
their responsibilities and define their future role in the effort to combat terrorism.
468

The new policing model for terrorism and homeland security must address the areas
of crime prevention, intelligence gathering, and information sharing. While these
roles are not new to local policing, homeland security at the local level will require a
shift in law enforcements role if police are to ensure the safety and welfare of
citizens.
While some have suggested that community policing can fit into the overall national
strategy for homeland security, little research specifically identifies community
policing strategies and their direct application to the national strategy for homeland
security. Many of the objectives of terrorism prevention parallel current law
enforcement policies with respect to local crime issues. Because of these
similarities, individual, neighborhood, and community crime-prevention strategies
should support law enforcement in the fight against terrorism.
Community-oriented Policing
The United States Department of Justice has defined community policing as a
philosophy that focuses on crime and social disorder through the delivery of police
services that includes aspects of traditional law enforcement, as well as prevention,
problem-solving, community engagement, and partnerships. 1Despite varying
definitions of community- oriented policing, it is generally agreed that there are
three key components to the community policing philosophy. These include the
creation of and reliance on effective partnerships with the community and other
public/private-sector resources, the application of problem- solving strategies or
tactics, and the transformation of police organization and culture to support this
philosophical shift. In other words, community policing is not in itself a tactic or
strategy, but instead a philosophical approach to how policing is conducted. At its
core, community-oriented policing is based on law enforcement and the community
joining together to identify and address issues of crime and social disorder.
In a 2002 publication, the U.S. Department of Justice, Office of Community Oriented
Policing discussed a series of community-oriented policing resources and practices
that have a direct application to terrorism deterrence and prevention. These include
the use of crime mapping with GIS systems, data collection and analysis protocols,
and technologies that may be used as platforms for gathering intelligence to assess
terrorism vulnerability. In addition, the community partnerships formed by police in
the course of community-oriented problem solving provide a ready framework for
engaging citizens in helping police to identify possible threats and implement
preparedness plans. 2
Rob Chapman and Matthew C. Scheider, senior analysts at the Office of Community
Oriented Policing Services (COPS), suggest that community policing could play an
integral role in homeland security. They contend that by applying the principles of
organizational change, problem solving, and external partnerships, community
policing can help police to prepare for and prevent terrorist acts, and respond to the
469

fear such threats engender. 3 Community policing helps to build trust between the
community and law enforcement, which allows officers to develop knowledge of the
community and resident activity and can provide vital intelligence relating to
potential terrorist actions. Local law enforcement can facilitate information
gathering among ethnic or religious community groups with whom police have
established a relationship. It will generally be citizens who observe the unusual
groups of men living in apartments or motels, or unusual behavior at flight schools
in their own community, and could be expected to report such observations to
the local police. According to Chapman and Scheider, problem-solving models
typically used in community policing are well-suited for preventing and responding
to possible terrorist activity. Using existing data sources, agencies can conduct
target vulnerability assessments and develop risk-management and crisis plans. 4
Community Partnerships
Community policing is based on the notion that citizens should be empowered to
prevent crime or the problems that lead to crime. 5 Establishing and maintaining
mutual trust is therefore the central goal of community policing, as it allows wide
law enforcement access to valuable community information leading potentially to
the prevention and resolution of crimes.
The partnerships formed in support of community crime prevention efforts can also
provide a framework for engaging citizens to help police identify possible terrorist
threats and infrastructure vulnerabilities. Effective community policing involves not
only developing partnerships between law enforcement and citizens, however, but
also intergovernmental and interagency collaborations with state and federal
agencies. These partnerships are essential for the collection and exchange of
intelligence, the identification of threats and vulnerabilities, and the sharing of
resources in the event of an attack.
Problem Solving
Problem solving is a broad term that describes the process by which specific issues
or concerns are identified and the most appropriate remedies to abate the
problem(s) are identified. Problem solving is based on the assumption that
individuals make choices based on opportunities presented by the immediate
physical and social characteristics of an area. By manipulating these factors, people
will be less inclined to act in an offensive manner. 6 The idea is that if the
underlying conditions that create problems can be eliminated then so will the
problem. Such conditions range from the type of individuals involved to the physical
environment in which these problems are created.
Prior to the advent of community-oriented policing, problem-oriented policing was
associated with the decentralization of responsibility and with lateral
communication both within and outside the police department. Problem-oriented
470

policing dealt with the conditions that cause a problem; this concept of policing
required officers to recognize relationships that lead to crime and disorder and
direct their attention to issues of causation. 7 Mark Moore asserts that thought and
analysis is fundamental to problem-oriented policing in order to effectively respond
to the cause of the problem. 8
According to Spelman and Eck, problem-oriented policing converged on three main
themes: increased effectiveness, reliance on the expertise and creativity of officers,
and closer involvement with the community. These themes are implemented by
attacking underlying phenomena that deplete patrol officers and detectives time,
and educating officers to study problems and develop innovative solutions to ensure
that police address the needs of citizens. 9
Organizational Transformation
Community policing requires an organizational transformation inside the law
enforcement agency so that a set of basic values rather than mere procedures
guide the overall delivery of services to the community. Organizational
transformation involves the integration of the community policing philosophy into
the mission statement, policies and procedures, performance evaluations and hiring
and promotional practices, training programs, and other systems and activities that
define organizational culture and activities. 10
In the community policing model, individual officers are given broader freedom to
resolve concerns within their community. Individual officers are presumably the
most familiar with their communities and are therefore in the best position to forge
close ties with the community and create effective solutions. Community policing
emphasizes employee participation; individual officers are given the authority to
solve problems and make operational decisions suitable to their assignments.
Officers are seen as generalists, not specialists.
Adapting Community Policing to Homeland Security
Like traditional crime, terrorism is a local crime issue and is a responsibility shared
among federal, state, and local governments. Indeed, traditional crime and
terrorism are inextricably linked. International and domestic terrorist groups are
well-organized and trained, and demonstrate the sophistication of other, traditional
organized crime groups. These groups commit ancillary crimes like fraud, money
laundering, drug trafficking, and identity theft to provide the resources for their
terrorism. The investigative approach to a terrorist event is similar to that of a
traditional crime incident. Because of the similarities between traditional crime and
terrorism, departments that have already adopted a community policing philosophy
should find it a seamless transition to addressing terrorism and terrorism-related
crime. Officers should already have the skills to analyze the terrorism problem,

471

perform threat analysis, develop appropriate responses and reflect these efforts in
the mission, goals and objectives of the department. 11
In 2002, the Markle Foundation Task Force report stated:
Most of the real frontlines of homeland security are outside of Washington D.C.
Likely terrorists are often encountered, and the targets they might attack are
protected, by local officials a cop hearing a complaint from a landlord, an airport
official who hears about a plane some pilot trainee left on the runway, an FBI agent
puzzled by an odd flight school student in Arizona, or an emergency room resident
trying to treat patients stricken by an unusual illness. 12
In a more recent report, the Rockefeller Institute observed that while much
attention has been focused on the national governments efforts to address these
[Homeland Security] problems, there has been less consideration of the role of state
and local governments, which play a critical role in preventing and responding to
terrorist attack. 13 In the wake of September 11, 2001, however, local law
enforcement has taken on a pivotal role in preventing and responding to future
incidents of terrorism within the United States. This new role, like the adoption of
community policing, will require yet another shift in the culture of law enforcement
agencies.
Facilitating this shift, however, is the fact that community policing and homeland
security have a great deal in common. Both neighborhood crime and terrorism
threaten the quality of life in a community and exploit the fear they create. Despite
creative ways to stretch public safety budgets, local law enforcement cannot sustain
two separate missions of traditional policing and terrorism prevention. Community
policing and homeland security can share the same goals and strategies. Creating
external partnerships, citizen involvement, problem solving, and transforming the
organization to take on a new mission are all key elements of community policing
and should be part of a comprehensive homeland security strategy. The lesson
learned from fighting traditional crime is that prevention is the most effective
approach in dealing with crime, fear, and social disorder. Fighting terrorism is no
different.
Organizational Transformation
The task of a wholesale re-engineering of American local law enforcement toward a
counter-terrorism role is complex and unprecedented. If U.S. law enforcement is to
move forward to a national role in homeland security, then practical, focused, and
effective training must be a cornerstone of this transformation. Without appropriate
and ongoing training of both current and new law enforcement personnel, homeland
security will be dismissed as a passing concept instead of a cultural change in law
enforcement strategy.

472

There are a number of community policing practices that can support efforts in
homeland security. These practices include adopting the philosophy organizationwide, decentralizing decision-making and accountability, fixing geographic and
general responsibilities and utilizing volunteer resources. Local law enforcement
officers are most likely to come into contact with individuals who are either directly
or indirectly involved in terrorist activities and are certain to be the first responders
to any attack.
Empowering officers at lower levels with greater decision-making authority and
responsibility for important decisions could be valuable in a crisis. During a terrorist
event, there may be little time for decisions to move up the chain of command.
Officers who are accustomed to making decisions and retaining authority may be
better prepared to respond quickly and decisively to any event.
In terms of prevention, developing a flat organizational structure can help lowerlevel officers feel free to pursue leads regarding possible terrorist activity. In
addition, officers who work in a fixed geographic area for an extended period are
more likely to develop specific intelligence that may be a vital part of counterterrorism efforts. 14
Organization-wide Adoption
Homeland Security, like community policing, must be adopted agency-wide to
realize its full potential and effectiveness. Integrating the homeland security
responsibility into the agencys mission statement, goals, policies and procedures,
training programs, and other systems and activities that define organizational
culture, should reflect this adoption.
Training
Local agencies will need to expand beyond the rudimentary aspects of law
enforcement training such as firearms, driving, unarmed defense and criminal law
into one that emphasizes an analytical preventative approach. While law
enforcement must continue to train for their roles as first responders in postincident management and investigation, police must receive training and education
in:
Understanding the nature, dynamics, and operations of international terrorist
groups that may operate in or against the United States, and how that translates
into more effective patrol and investigative functions;
Understanding the locations, movements, and plans of international terrorist cells
that live and work in local communities;
Gathering and analyzing intelligence on potential terrorist activities;

473

Conducting threat assessments;

Conducting inquiries and investigations into potential terrorists while safeguarding
the constitutional rights of all people in the United States.
Most local law enforcement officers have never been in the intelligence business
and therefore may not know precisely what information they should look at as
indicative of terrorist activity or that may have value within a larger intelligence
context. These signs are not necessarily obvious, but rather subtle, and would be
discernible to a regular patrol officer or detective with proper training. Officers or
detectives may have valuable information without even knowing it and may not
know to share the information because they have never had adequate terrorism
intelligence training.
Another area of training that law enforcement must commit to is public education.
Although the majority of communities will never be impacted by a terrorist event,
the threat of potential terrorist attacks can create fear and undermine the sense of
community safety. It will therefore be critical that police take a leadership role in
maintaining community confidence. This can be done by educating the public as to
the nature of threats and actively responding to specific community concerns. For
the public to respond to an alert, it needs to know what to watch for. Educating the
public also garners support for government action in a crisis. Moreover, citizens
educated about potential threats can assist law enforcement during alerts. The
public would know what to look for, what to do, and how to respond. 15
Decentralized Decision-making and Accountability
In community policing, individual line officers are given authority to solve problems
and make operational decisions. Leadership is required and rewarded at every level;
supervisors and officers are held accountable for decisions and the effects of their
efforts at solving problems. Empowering officers at the lower levels will allow them
the freedom to pursue leads or suspected terrorist activity, or to identify possible
terrorist vulnerabilities within the community.
Fixed Geographic Accountability and Generalist Responsibilities
In community policing, most staffing, supervision, deployment, and tactical
decision-making are geographically based. Personnel are assigned to fixed
geographic areas for extended periods of time in order to foster communication and
partnerships between individual officers and their community. Having fixedgeographic responsibility allows officers to develop more productive relationships
with members of their community and, as a result, officers should be more attuned
to rising levels of community concern and fear. By virtue of these relationships,
officers should be in a position to respond effectively to those needs and concerns.
Community policing engenders trust and increases satisfaction among community

474

members and police, which in periods of heightened unrest or crisis can translate to
dealing more effectively with community fear. 16
Utilizing Volunteer Resources
After the events of September 11, 2001, the idea of involving citizens in crime
prevention has taken on new significance, with President Bush calling for greater
citizen involvement in homeland security through initiatives such as Citizen Corps
and Freedom Corps. 17 President Bush created these programs so Americans could
participate directly in homeland security efforts in their own communities. This
network of volunteer efforts uses the foundations already established by law
enforcement in order to prepare local communities to respond effectively to the
threats of terrorism and crime. In addition to creating the Citizens Corps and
Freedom Corps, the presidents plan is to enhance community-policing programs
already in place, such as Neighborhood Watch, by incorporating terrorism
prevention into its mission.
Community policing encourages the use of non-law enforcement resources within a
law enforcement agency such as volunteerism, which involves active citizen
participation with their law enforcement agency. Volunteer efforts can help free up
officer time, and provide an effective channel for citizen input. It has long been
recognized that many of the basic functions within a law enforcement agency can
be accomplished by other than sworn deputies or civilian employees. Volunteer
efforts can help free up officer time, and allow sworn personnel to be more
proactive and prevention-oriented. In many jurisdictions around the country,
citizens who have the time to volunteer in the community have offered their
services to law enforcement agencies, freeing up law enforcement personnel to
spend more time in a crime reduction role.
This community policing element dovetails perfectly with President Bushs Citizen
Corps, which was developed to harness the power of every individual through
education, training, and volunteer service to make communities safer, stronger, and
better prepared to respond to threats of terrorism, crime, public health issues, and
disasters of all kinds. 18 There are four programs in Citizen Corps: Neighborhood
Watch, Volunteers in Police Service (VIPS), Community Emergency Response Teams
(CERT), and Medical Reserve Corps (MRC), all of which integrate well with the
community policing philosophy. In fact, Neighborhood Watch has been an integral
component of the community policing philosophy virtually since its inception.
Neighborhood Watch
This crime prevention program, which has a thirty-year history, engages volunteer
citizen action to enhance security within local communities by encouraging citizens
to report suspicious activity in their immediate neighborhoods. Citizen Corps hopes
to double the number of neighborhood watch programs, while incorporating
475

terrorism prevention into the programs mission. In the aftermath of September 11,
2001, the need for strengthening and securing our communities has become even
more critical, and Neighborhood Watch groups have taken on greater significance.
In addition to serving a crime prevention role, Neighborhood Watch can also be used
as the basis for bringing neighborhood residents together to focus on disaster
preparedness as well as terrorism awareness, to focus on evacuation drills and
exercises, and even to organize group training, such as the Community Emergency
Response Team (CERT) training. 19
Volunteers in Police Service (VIPS)
This program provides training for civilian volunteers who assist local police
departments by performing non-sworn duties, effectively freeing up officers to
spend more time on critical functions. Since September 11, 2001, the demands on
state and local law enforcement have increased dramatically. As a result, alreadylimited resources are being stretched farther at a time when our country needs
every available officer out on the beat. The program provides resources to assist
local law enforcement officials by incorporating community volunteers into the
activities of the law enforcement agency and by using best practices to help state
and local law enforcement design strategies to recruit, train, and utilize citizen
volunteers in their departments. 20
Community Emergency Response Teams (CERT)
This program provides civilians with training in emergency management planning
and response functions to bolster the capacity of local communities to respond to
disasters. President Bush has proposed a three-fold increase, to 400,000, of the
number of citizens enrolled in CERT. Since its move into Citizen Corps, the program
has added a new module that addresses terrorism preparedness. When
emergencies happen, CERT members can give critical support to first responders,
provide immediate assistance to victims, and organize spontaneous volunteers at a
disaster site. CERT members can also help with non-emergency projects that help
improve the safety of the community. 21
Medical Reserve Corps (MRC)
The Medical Reserve Corps (MRC) Program coordinates the skills of practicing and
retired physicians, nurses, and other health professionals as well as other citizens
interested in health issues who are eager to volunteer to address their communitys
ongoing public health needs and to help their community during large-scale
emergency situations. Local community leaders develop their own Medical Reserve
Corps Units and identify the duties of the MRC volunteers according to specific
community needs. For example, MRC volunteers may deliver necessary public
health services during a crisis, assist emergency response teams with patients, and
provide care directly to those with less serious injuries and other health-related
issues. The Medical Reserve Corps (MRC) plays an integral part in our preparedness
476

and response strategy. It provides an organized way for medical and public health
volunteers to offer their skills and expertise during local crises and throughout the
year. 22
Problem Solving Tactics Applied to Homeland Security
Through programs such as Crime Prevention Through Environmental Design
(CPTED), intelligence gathering, information sharing, and the use of GIS mapping
and analysis, law enforcement can identify and conduct security assessments of
critical infrastructure and other important private sector facilities. Security
assessments can identify which facilities have the greatest potential as targets.
Once identified, detailed risk management and crisis plans can be developed and
implemented. The goal of problem solving in community-oriented policing is a
fundamental shift from traditional reactive policing to one that preemptively
reduces a facilitys vulnerability to a terrorist attack.
Crime Prevention through Environmental Design (CPTED)
Basic principles of CPTED include target hardening (controlling access to
neighborhoods and buildings and conducting surveillance on specific areas to
reduce opportunities for crime to occur) and territorial reinforcement (increasing the
sense of security in settings where people live and work through activities that
encourage informal control of the environment).
Local agencies will have to get involved in community planning through programs
like CPTED to ensure that future growth and construction of facilities minimizes the
vulnerability to terrorist acts. The conceptual thrust of CPTED is that the physical
environment can be manipulated by design to produce behavioral effects that will
reduce the incidence and fear of crime, thereby improving the quality of life. These
behavioral effects can be accomplished by reducing the propensity of the physical
environment to support crime. 23
Intelligence Gathering
For years, local law enforcement agencies have complained about federal agencies
failing to appreciate the role of law enforcement in intelligence activities. At a time
when asymmetric terrorist threats pose some of the biggest threats to our
communities, however, we cannot afford not to have local law enforcement more
fully integrated into the National Homeland Security Strategy.
The challenge here will be two-fold. First, it will require a philosophical change in
federal law enforcement to break down the barriers of compartmentalization and
accept local agencies as full partners in the national security intelligence
infrastructure. Secondly, local agencies need to receive the necessary training and
analytical resources. The challenge will come not in obtaining additional human
resources, but in training existing personnel to recognize information or behavior of
477

individuals or groups of possible threats, and the ability to disseminate that

information with others in a manner that would allow for the intervention of any
future terrorist acts.
Geographic Information Systems (GIS) Mapping and Analysis
Many of the innovations implemented through community-oriented policing require
a geographic focus, and emphasize the importance of integrating GIS mapping
technology into problem-solving strategies. Technological advances in computer
mapping have propelled crime mapping and analysis to the forefront of crime
prevention and community policing. Computerized crime mapping allows law
enforcement agencies to plot crime data against a digitized map of a community,
city, or region. Crime-related data can then be compared and analyzed with other
external data sources. 24
Community partnerships
Since September 11th, it has become apparent that Homeland Security is not an
effort that can be conducted by law enforcement alone. Instead, an effective
Homeland Security strategy must include partnerships not only with other law
enforcement organizations, but also with businesses, citizens, emergency
management, public health, and many other private and public organizations with a
stake in terrorism prevention and response. Partnerships need to be expanded to
take advantage of the many skills necessary to plan for, mobilize, and respond to
terrorist acts. For homeland security, this means building trust with Arab-American
and Islamic-American communities, not with empty promises but by demonstrating
how law enforcement can protect them in their neighborhoods, workplaces, places
of worship, and other public spaces. 25
There is often some misconception that in community-oriented policing,
community is defined by certain geographical boundaries. Daniel Flynn suggests
that law enforcement agencies look beyond traditional geographical boundaries and
that agencies also look at areas or groups with shared character or identity and
those with common problems or concerns. Flynn points to ethnic, cultural, and racial
communities, as well as businesses, schools, and churches. 26 In communityoriented policing, the police are only one of the many local government
organizations responsible for responding to community problems. In communityoriented policing, other government agencies are called upon and recognized for
their abilities to respond to crime and social disorder issues. Community-based
organizations also are brought into crime prevention and problem solving
partnerships with law enforcement. Encouraging citizen involvement in programs
such as neighborhood watch, youth education, and other activities with law
enforcement has been found to increase social cohesion among citizens and
decrease fear of crime. 27 The emphasis on building community partnerships

478

encouraged by community-oriented policing may also help reduce citizen fear of

terrorist events. 28
The prevention of terrorist activities requires not only effective communication
between local and state agencies and the federal government but, perhaps more
importantly, with the community. By building community partnerships facilitated by
community policing, law enforcement can develop responses aimed at reducing
levels of fear. While citizen fear of terrorist events is somewhat different from fear of
crime, some of the same techniques and programs can be used in its reduction.
Citizen awareness campaigns can inform citizens about what police and government
are doing to prepare for and prevent a future attack. 29
Working with the Media
In any terrorism strategy, the media will play a crucial role in defining the nature,
scope, and level of threat in critical situations, in disseminating information, and in
calming the population. According to Making the Nation Safer: The Role of Science
and Technology in Countering Terrorism, one way to blunt the behavioral,
attitudinal, and emotional responses to terrorism is to influence the human
response through an effective program of communications. 30
Through relationships and partnerships cultivated with reporters and producers, the
local media will look to law enforcement as an important partner in delivering
accurate and relevant information to the public. While government cannot control
how people will react to a terror attack, officials can help shape attitudes and
behaviors by providing helpful information as well as seek assistance in obtaining
information that may be relevant in the prevention or investigation of a terrorist
incident. Making information available about measures taken to prevent or defend
against an attack will give citizens a greater sense of control over uncertain
situations and tend to lower the level of public fear. 31
Neighborhood Watch, Business Watch and Worship Watch Programs
Neighborhood Watch as a crime prevention tool has been in place around the
country for many years. Recognizing that the detection of criminal activity is not a
job law enforcement can do alone, Neighborhood Watch has served as extra eyes
and ears in the community to report suspicious activity or crimes to law
enforcement. As the detection of suspicious behavior is an integral part of homeland
security, using this already established program should be part of an agencys
overall homeland security effort. Through the Neighborhood Watch program, law
enforcement can:
Act as a liaison with each current Neighborhood Watch group. This includes
developing more efficient methods of communication between law enforcement and
these groups in order to provide a better exchange of up-to-date crime prevention
479

and homeland security information. In turn, the interest level of Watch members
would increase and keep groups active.
Recruit new Neighborhood Watch groups. Experience has shown that in areas where
Neighborhood Watch groups are active, crime is generally lower and support for law
enforcement higher.
Review daily all crime-related calls for service records in their assigned area. Police
officers will be looking to identify problems areas that can be addressed with
prevention efforts. This includes working with crime analysts and district
enforcement personnel seeking unified approaches in reducing crime by prevention.
Meet with crime victims and other citizens to offer services to reduce their potential
of becoming a victim in the future. The main activity supporting this task is
conducting crime prevention programs and security surveys to residential areas.
Act as a conduit for homeland security initiatives to encourage citizens to be
observant and watchful by reporting things that seem unusual or out of place.
Managers and business owners make risk management decisions for their
businesses every day. These risks encourage them to seek new opportunities to
profit. Allowing crime an opportunity to exist is not one of these risks, since no
chance for profit exists when crime is present. Crime results in monetary loss,
inventory loss, and a loss to the reputation of the business. Most importantly, crime
can impact the personal safety of employees and their customers. This makes crime
prevention good for business from both a human and financial standpoint.
The Business Watch Program is modeled after the Neighborhood Watch Program and
establishes a formal communication network between law enforcement and
businesses countywide. Business members are alerted to the potential of crime and
are encouraged to look out for the community.
Law enforcement can provide members with training to educate owners, managers,
and employees to be able to recognize and report any suspicious activities or
crimes. Such training ranges from preventing shoplifting and robbery to learning
how to be a good witness, and many other topics. The key focus of each deputy is
the delivery of proactive crime prevention and homeland security services to the
business community.
Worship Watch was originally designed to bring crime prevention awareness and law
enforcement services to all religious communities regardless of their religious
beliefs by providing programs on personal safety, home security, drug awareness,
auto theft, and many other subjects of interest to the public. Since September
11th special emphasis has been placed upon religious institutions that, as a result of
current world events, may be at a greater threat level because of their religious
beliefs.
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Citizen Academies
Community-oriented policing is based on the premise that citizens should be
empowered to enhance their quality of life and prevent or eliminate crime and the
problems that lead to crime. 32 Everyone benefits when community members
understand the role and function of their police department and become active
proponents of law enforcement. 33 One such initiative used by law enforcement
agencies is the citizen academy. Citizen academies have been effective in educating
members of the community about the mission, goals, objectives, and programs of
the police department. Citizen academies should be expanded to address the issue
of terrorism and the role that the community can play in assisting law enforcement
with information gathering, identification of target vulnerabilities, and volunteer
opportunities directly supporting the homeland security strategy.
Homeland policing
For the past ten years, community-oriented policing has served as the impetus for
law enforcement agencies to establish a closer relationship with citizens to identify
threats within the community that create a climate of fear and social disorder. The
emphasis in community policing on community involvement and problem solving
clearly establishes a solid foundation upon which homeland security efforts should
be built. At a time when local law enforcement agencies have to deal with additional
homeland security responsibilities and shrinking budgets, there could be a tendency
to reduce community policing efforts, which are still often thought of as a frill.
Under these circumstances, it is important that law enforcement agencies not revert
to the traditional approach to policing. Instead of de-emphasizing communityoriented policing efforts, law enforcement agencies must realize that a strong
community-oriented policing philosophy within the agency provides a strong basis
for preventing and responding to terrorism and its goal of creating fear in the
community. Local law enforcement must realize that their efforts are integral to any
national homeland security strategy and that community-oriented policing could be
their most effective strategy in dealing with terrorism prevention and response in
their community.
The homeland-policing model presented here suggests that the existing
community policing model does serve as an effective framework for the
development of an effective prevention strategy for homeland security by local law
enforcement agencies. Results of a 2004 survey of all local law enforcement
agencies in the state of Florida showed that a significant correlation exists between
what agencies do in their day-to-day activities with respect to community policing
and homeland security. For example, agencies that use GIS to conduct crime
mapping and analysis also frequently use GIS to conduct terrorism target mapping
and analysis, and agencies that use their web site to disseminate crime prevention
information also frequently use it to disseminate homeland security information. In
short, results showed that factors associated with adopting a community policing
481

philosophy among agencies and implementing homeland security strategies within

agencies are highly related. 34
2. PROACTIVE POLICING
Proactive policing is the practice of deterring criminal activity by showing police
presence and engaging the public to learn their concerns, thereby preventing crime
from taking place in the first place. In contrast, responding to a complaint after a
crime has been committed is reactive policing. [1]

History of proactive policing

Elements of proactive policing
Related theories and criticisms
See also
5References
Further reading

HISTORY OF PROACTIVE POLICING

It is well known in law enforcement circles that the individual line officer wields an
enormous amount of discretion in enforcing the law (esp, non-dispatched runs like
traffic enforcement or street crime). What is surprising is the public belief that
police are usually eager and motivated to do their job. Thus, when a particular
crime problem becomes apparent, it is often approached by monetary related
arguments, such as the need for more police, equipment, training etc.; rather than
by non-monetary related approaches, such as recognizing how a high perception
of alienation among police officers from the citizens of the community where they
patrol reduces morale and spawns police indifference, inactivity, and apathy. [2]
The impact of alienation is especially relevant as the contemporary community
policing movement emphasizes proactive law enforcement strategies. [3] Effective
community policing requires that police officers work closely with local citizens in
designing and implementing a variety of proactive crime prevention and control
measures. To accomplish these initiatives, it is crucial that officers feel closely
integrated with the majority of citizens in the community they serve. Typically, this
means that officers perceive themselves as sharing important community values
and beliefs and being confident of community support in the decisions they make.[2]
As the perception of community alienation increases among police officers, their
sense of confidence or mastery in decision making will decrease, and so too their
motivation for proactive enforcement. The impact of highly publicized "pro-police"
verdicts of brutality incidents (i.e., Rodney King, Los Angeles 1991; Malice Green,
Detroit 1992; O.J. Simpson, Los Angeles 1994; Michael Brown, Ferguson 2014; Eric
Garner, New York 2014; and Freddie Gray, Baltimore 2015) are related to the level of
perceived alienation experienced by police and thus their willingness to respond
proactively to serious crime.[2][4][5][6]
482

Essentially a sociological concept developed by several classical and contemporary

theorists, alienation is a condition in social relationships reflected by a low degree of
integration or common values and a high degree of distance or isolation between
individuals, or between an individual and a group of people in a community or work
environment. Alienation is closely aligned with the concept of mastery. Mastery is
typically defined as a state of mind in which an individual feels autonomous and
experiences confidence in his or her ability, skill, and knowledge to control or
influence external events. The greater the level of alienation an individual
experiences in a community or work setting, the weaker will be their sense of
mastery.[2]
For police officers, a strong sense of mastery is particularly vital in relation to
proactive law enforcement. Proactive enforcement is usually defined as the
predisposition of a police officer to be actively involved in preventing and
investigating crime. Because police patrol work is highly unsupervised, most officers
have considerable discretion or personal initiative regarding their level of proactive
behavior on the streets. Again, it would seem logical that the stronger the level of
perceived community alienation among police officers, the weaker will be their
sense of mastery and motivation to engage in proactive law enforcement behavior.
[2]

Elements of proactive policing

Proactive policing is closely related to the practice of community policing.
[7]
Community policing's goal is "problem solving." Community policing emphasizes
proactive enforcement that proposes street crime can be reduced through greater
community involvement and integration between citizens and police. Community
policing departments and officers must commit time to develop a "partnership" with
the community to: 1) Prevent and counter crime; 2) Maintain order; and 3) Reduce
the fear of crime.[1] Police organization is decentralized with every police officer and
detective having a neighborhood to patrol with agreed upon goals and objectives to
solve. Police officers must feel integrated with the majority of the citizens of the
community where they patrol, and that they perceive themselves as sharing similar
values and beliefs so they are confident in their decision making ability. Each police
officer must get out of their cars (not just drive by and grin and wave) to visit with
citizens and businesses to learn the residents concerns and show they're a friend
and protector---in contrast to "strict law enforcement" or "reactive policing" which
doesn't view the citizens as customers.[1]
Proactive enforcement is historically based on the Peelian Principles that Sir Robert
Peel used to establish the world's first modern police department in London in 1829.
"The basic mission of the police is to prevent crime and disorder. Our duties are
dependent on public approval. This diminishes with our use of physical force and
increases with our impartial service to the law." [8]

483

Community policing was derived out of the Broken Windows Theory theory which
suggested that since a broken window is not against the law then it would be
ignored by the professional police officer.
Broken Windows Theory: A premise developed in New York City under the Giuliani
administration, the theory posits that environments with urban blight such as
broken windows, abandoned cars and homes, graffiti, litter and unenforced nuisance
crimes (e.g., drunks, panhandling, public urination, blaring music) give message
that criminals are in control not the law abiding because the citizens are either
afraid or indifferent. Further, it asserts that crime can best be alleviated by
proactive policing and foot patrols. [9] The Broken Windows Theory is straightforward
and claimed to be effective by supporters, however, the highly publicized case of
Eric Garner, New York City, 2014, who died as a result of a fatal choke hold by NYPD
officer Daniel Pantaleo in the process of being arrested for selling non-taxed
cigarettes in front of a convenience store brought the policy as implemented by
New York City to question by some. In addition, the lack of firm evidence or relevant
supporting metrics casts doubt on the overall effectiveness of the 'broken windows
theory', with its supporters reduced mostly to anecdotes as evidence of the policy
reducing crime.
Black's Law Theory: Our use of the law is governed by three qualifications:
The degree of intimacy we have with the defendant, i.e., we will invoke the law
more often (and prosecution is more likely) if we view the defendant as an outsider
versus a family member, neighbor, or friend;
Cultural distance, i.e., our use of the law will increase if the defendant is of a
different race or religion; and
Conventionality, i.e., if we participate in the culture of the majority we are more
likely to view the state as an advocate, e.g., whites versus blacks or the middle
versus the lower class.[10]
Intelligence-led Policing
In the backdrop of 9/11, international police leadership recognised the efficacy of
intelligence-led policing. Countries being policed without credible intelligence are
facing the major brunt of terrorism. Without credible intelligence, policing recedes to
a ceremonial status and leads to wastage of resources. The price for the continued
romance with a colonial, bureaucratic, autocratic, stagnant and inhuman policing
model is being paid by the victims of terrorism and crime. Those who are involved in
this romance derive the maximum benefits.
The idea of the Special Branch (SB) was coined in 1883 in the UK. Its prime mandate
was to collect intelligence of political nature. The Pakistani police inherited the SB
from its British masters. The very name indicates the special nature of functions
entrusted to this vital component of police: functions which are essential to police
484

work and require special aptitude to be performed. The SB of the Metropolitan Police
has always been given high recognition and extra space to maneuver. The running
of informer networks and undercover agents along with surveillance of suspected
activities is at the heart of the SBs functions. Organizations like the IRA have been
the special focus of the SB.
In Pakistan, back in 1974, the G Ahmad Committee (the cabinet committee on
intelligence) submitted its report, whose mandate was to study the intelligence setup in Pakistan and propose the distribution of roles and functions among different
intelligence agencies. The three premier intelligence agencies at the time were the
IB, the ISI and the provincial special branches. The committees submitted findings
to the cabinet, which were approved and sent to the president, gave official sanctity
to the charter of these agencies.
Our fabric of the SB is primarily devoted to either political intelligence collection or
law and order. Whether it was the wave of extremism in Malakand in 2008 or the Lal
Masjid crisis, the coordination between the SBs and law enforcement agencies was
found to be the weakest link. In many countries, SBs are playing an effective role. In
Bangladesh, the SB is the key intelligence agency consisting of 12 different sections
and has presence in 64 districts. The head of the SB of Bangladesh directly reports
to the prime minister. In Fiji, the SB deals with matters related to national security.
In 2009, it was renamed as the Fiji Police Intelligence Bureau. In 1985, the
Australian SB was renamed the Special Intelligence Branch and was merged into the
Security Intelligence and Diplomatic Liaison Branch in 1995. The Indian SB deals
with issues of state security. The presence of detective constables at the police
station level forms the backbone of the Indian SB.
In the present situation, counterterrorism is not the lone responsibility of state
institutions. It is a collective responsibility, hence the situation warrants
volunteerism on part of citizens. It warrants that SBs cultivate intelligence from the
communities. The neglect of decades has badly hampered the sniffing capabilities
of SBs; consequently, the polices dependence on civil and military intelligence
agencies has increased. There is no instant apparatus where quick interaction may
convert a threat alert into an action-oriented reality. Long, bureaucratic chains of
commands within the law enforcement apparatus erect barriers in intelligencesharing and in the free flow of communication. Reduced bureaucratic formalities
between intelligence agencies, the administration and the police will yield positive
dividends.
The SBs in provinces and district intelligence branches need instant revamping.
However, making this a reality requires dedicated professionals and the availability
of latest gadgets. In the past, SB personnel were better connected to society.
Presently, SBs primarily include those who do not want to be part of the operations
wing of the police and hence use SBs as shelters. Owing to temptations and
visibility of the operations wing, SBs often get unwilling talent.

485

During the last three decades, military intelligence agencies have improved the
quality of their personnel and gadgets; resultantly, the quality of intelligence has
improved. This has also resulted in the dependence of the police on military
intelligence agencies to increase manifold. Military intelligence agencies have a
wider scope, including the prime mandate to keep an eye out for anti-state
elements. Owing to the well-entrenched presence of the police within communities,
SB operators actually have ample opportunities to collect credible information,
something which is missing.
In the scenario we are facing, the enemy is invisible and hence, the mere
enhancement of police capabilities will not solve matters. Invisible enemies can be
traced better by invisible operators of SBs.
SBs were once considered the eyes and ears of provincial governments. Heads of
SBs directly interacted with provincial chief executives. This helped chief ministers
to make appropriate decisions. In the recent past, there have been instances where
SBs have not provided specific intelligence to the authorities, consequently reducing
their status to that of being mere reporting agencies.
While SB personnel are supposed to operate under cover, due to lack of training and
the urge for acknowledgment and recognition in society, the majority of them do
not care about concealing their identities. Consequently, during the last few years in
Khyber-Pakhtunkhwa and Karachi, a number of SB officials have been targeted.
It often seems that political considerations are the top priorities for SBs. The
situation warrants that there is a more detailed mandate of SBs, with educational
institutions, madrassas, NGOs, public places, government departments and key
installations being strictly monitored. Without an effective invisible intelligence arm,
the police may be reduced to the status of a mere spectator of eventualities.
The rudimentary analytical abilities of SBs have badly affected their effectiveness.
Since they are primarily reliant on police officials and traditional practices, there is a
lack of analytical approach and technical capabilities. The authorities should realize
that there is difference between compilation and analysis, hence, professionals
carrying relevant experience need to be inducted.
Unfortunately, a great majority of the senior police leadership has failed to
appreciate the true spirit and purpose of SBs and is ignorant about how they should
work. Information in the intelligence world is a commodity with a price tag. This
requires liberal disbursement of secret funds. The SBs in Pakistan have largely given
up their core areas of human intelligence collection and resultantly are presenting
an incomplete picture to the decision-makers. The need of the hour is to go back to
the basics and re-learn the art of operational intelligence work.
Community Policing
Community Policing and the Police Officer
486

Alvin Toffler, the author of Future Shock, and Heidi Toffler have stated that " . . .
almost all the major systems on which our society depends ... are in simultaneous
crisis" and the "failure to prepare in advance for the turbulent [nineties] could
produce a grave breakdown in public security."' For almost a decade, many
farsighted law enforcement executives and public safety scholars have been
responding to this challenge in what has been described as "a quiet revolution" that
is reshaping American policing.' Under a variety of names-strategic policing,
problem-solving policing, neighborhood-oriented policing, community and otherspolice agencies are developing new concepts to better satisfy the demands and
needs of the citizens they serve. In the course of the self-examination and creative
thinking that are taking place, fundamental questions have been raised about the
basic purpose and responsibilities of the police, the capabilities they possess, the
types of contributions they can make to society, the optimum methods of their
organization and deployment, and the relationship that they have with the
communities that employ them. In contrast to a philosophy of "business as usual,"
police executive sense the need to "redeploy the money and authority entrusted to
them in hopes that their organizations will produce greater value for society."~ I
much has been written about the potential effects of these innovative changes in
policing on community involvement, city government, and the police department
itself. This paper examines the impact of creative forms of policing on the ultimate
key to their success-the individual police officer. As the emphasis and methods of
policing change, the position of the police officer in the organization changes also.
Instead of reacting to specified situations, limited by rigid guidelines and
regulations, the officer becomes a thinking professional, utilizing imagination and
creativity to identify and solve problems. Instead of being locked in an
organizational straitjacket, the police officer is encouraged to develop cooperative
relationships in the community, guided by values and purposes, rather
Note
Community policing represents a new future for American law enforcement,
changing the way our Nation's police respond to the communities they serve. This
report, one in a series entitled Perspectives on Policing, is based on discussions held
in the Executive Session on Policing sponsored by NIJ at the John F. Kennedy School
of Government at Harvard University. The Executive Session on Policing has been
developed as part of the Kennedy School's Program in Criminal Justice Policy and
Management and is funded by the National Institute of Justice and private sources
that include the Charles Stewart Mott and Guggenheim Foundations. The success of
the police mission now and in the years ahead is the common goal of those who
have participated in the Executive Session. Helping to achieve that goal is the
purpose of these reports. The Executive Session on Policing has brought together
police chiefs, mayors, scholars, and many others in periodic meetings to focus on
modem strategies that produce better results. The rapid growth of these strategies
shows the willingness of American police executives to test new approaches to
crime, disorder, drugs, and fear in their communities. We hope that these
487

publications will challenge police executives and local officials to reexamine their
approach to law enforcement, just as those who participated in the Executive
Session have done.
than constrained by rules and excessive supervision. To make this possible, much
thought must be given to designing the structure of police organizations and to
recruiting, selecting, training, and supporting officers in the field. Changes must be
made in all of these areas to create a new police professionalism. New strategies
require new roles this new philosophy of police work has been called "community
policing," a term intended here to include problem-solving techniques, strategic
utilization of resources, and increasingly sophisticated investigative capabilities. But
these attributes must be understood in the context of a different view of the status
and role of community institutions in guiding and assisting police operations. As
Moore and Trojanowicz note, "In community policing, community institutions such as
families, schools, neighborhood associations, and merchant groups are seen as key
partners to the police in the creation of safe, secure communities. The success of
the police depends not only on the development of their own skills and capabilities,
but also on the creation of competent communities. Community policing
acknowledges that police cannot succeed in achieving their basic goals without both
the operational assistance and political support of the community. Conversely, the
community cannot succeed in constructing decent, open, and orderly communities
without a professional and responsive police force."~ The police, then, must be
more than a reactive force that responds to crimes already committed. They must
develop into a proactive entity that deals with a broad variety of conditions that
tend to disrupt the community peace or adversely affect the quality of life. This
description of the police task and the citizen relationships that are required to fulfill
it is different from the popular concept of a crime fighter in blue, whose position is
reminiscent of the pistol-toting marshal of the Old West. Indeed, the success of new
policing strategies depends on the ability of a police agency to recruit, develop, and
field a group of officers who not only understand their role as highly visible
representatives of governmental authority, but also recognize that their
responsibility for community service and peacekeeping is of equal importance to
law enforcement and crime suppression. These requirements give new meaning to
the notion of a professional police officer in the modem era. The conflicts that some
perceive in the various roles of peacekeeping, community service, and crime
fighting are not a new problem. A report to the National Commission on the Causes
and Prevention of Violence, published in 1970,states, "Perhaps the most important
source of police frustration . . . is the conflicting roles and demands involved in the
order maintenance, community service and crime-fighting responsibilities of the
police."Voo often officers feel that their efforts are not appreciated or deemed
important by either their supervisors or the public? One police executive has even
suggested that the police function should be divided into two separate agencies
under one department: one agency for law enforcement, the other for community
service. A more sophisticated view of the police function, which is inherent in the
concept of community policing, is that community service, peacekeeping, and crime
488

fighting are complementary, not conflicting, activities. Historically, the "patrolman

on the beat," maintaining order and communicating with the citizenry, was carrying
out a major police priority.' In addition, the information obtained through expanded
direct contact with citizens, generally on a routine and informal basis, helps to solve
crimes and apprehend offenders. As one police department notes, neighborhood
disorder and crime are viewed more and more as slightly different aspects of the
same problem. When police officers deal with the symbols of urban decayabandoned buildings, accumulated rubbish, panhandlers roaming the streets-they
mitigate the conditions under which crime and disorder flourish. The result is
lessened fear of crime and greater satisfaction with the police among members of
the community." The attention of the police to such matters, combined with
increased communication between officers and the public, can stimulate community
pride and provide the basis for police-citizen cooperation in building safer
neighborhoods and an improved quality of life.
A new professionalism
The changed strategy of policing alters in important ways the content of the police
officer's job. Police responsibilities expand beyond attempting to control criminal
activity-to preventing crime, promoting order, resolving disputes, and providing
emergency assistance in social crises. The officer's methods and resources extend
beyond arrests and citations. They now include mediation and negotiation, referrals
to other municipal agencies, and community mobilization. As police activity focuses
on the neighborhood, the demands on the basic police officer increase, as do the
scope of responsibility and the skills required. More fundamental than the change in
skills, however, is the change in the basic position of the police officer. Instead of
primarily reacting to incidents, the officer analyzes, plans, and takes the initiative.
Instead of constantly looking up the bureaucratic chain of command for guidance
and assistance, the community police officer looks out toward the problems to be
solved, and toward the community's interests in helping to solve them. In
community policing, the de facto discretion that always existed (and that often was
used well by police officers) is recognized and developed, rather than limited or
discouraged. In both the complexity of the skills and the initiative required of the
officers lies a new vision of police professionalism. James Q. Wilson has stated that
the characteristics of a professional include the exercise of "wide discretion alone
and with respect to matters of the greatest importance" and that this is based on a
status "conferred by an organized profession" that "certifies that the member has
acquired by education certain information and by apprenticeship certain arts and
skills that render him competent" to "handle emergency situations, to be privy to
'guilty information,' and to make decisions involving questions of life and death or
honor and dishonor." He goes on to say that a professional "is willing to subject
himself to the code of ethics and sense of duty of his colleagues.""
Professionalism has been the goal of modem policing for several decades and is
indeed a worthy objective. Police have pursued it by trying to develop their
technical skills through discipline, training, and apprenticeship, and by the use of
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increasingly sophisticated methods and equipment. While that is an important part

of professionalism, it is only a part. Another aspect of professionalism, which
requires extensive development if community policing is to be successful, focuses
on the values that the profession must adopt, the position of the officer in the
organization and the community, and the manner in which the police are held
accountable for their professional performance. It is a matter of both self-image and
community perception. The commitment to constitutional and legal values, to
mutual respect, and to service to the community, combined with self-reliance and
self-motivation, are the hallmarks of the new police professional.
The military model and professionalism Ironically, one of the principal factors
preventing the development of a strong sense of professionalism among police
officers-not only in their own eyes, but in the eyes of the public-may be the military
form of organization that the police have adopted from their earliest days.14 The
military system, with its rigid organizational structure and authoritarian
management style, increasingly has been called into question as a proper model for
modem policing.15 In some respects, the military form has served the police well, at
least for traditional policing. It has created a structure of discipline within which
ordinary people, hired for an exacting job, can be trained, equipped, and motivated
to function effectively. It has provided a means of controlling the behavior of
"working-level" employees. It has been useful for coordinating large numbers of
officers in operations such as crowd control, riot suppression, and investigative
searches. And it has enhanced the stature of police as a whole by presenting an
attractive image of discipline, skill, and service. Yet, it has not often been
acknowledged that the military model, as it traditionally has been applied by police
organizations, inadvertently downgrades the position of the primary figure in police
service: the individual officer. Too often the basic police officer is viewed as
comparable to a private in the army, the lowest ranking military person, who has
virtually no individual authority. Such a perception is understandable when several
police officers report to a sergeant who, in turn, reports to a lieutenant, and so on
up the chain of command. Sometimes police officers are described as constituting a
"squad," again a reference to those holding the lowest military rank. In some
departments the rank of corporal further reinforces the enlisted person versus
commissioned officer stereotype. It is little wonder, then, that those holding the
rank of police officer often are regarded as something less than professionals and
that they are denied individual authority, the presumption of expertise, and the
discretion that normally would accompany professional Nevertheless, there are
ways in which certain constructive aspects of the military style could be retained,
while still affording the basic police officer the professional standing that modem
policing strategies require. Rather than being considered as the equivalent of an
army private, the police officer should be given the distinction of an aviator in the
military services. Aircraft pilots initially are appointed as lieutenants in the Air Force
or ensigns in the Navy,16 not because of the number of personnel reporting to them
(which is usually small or nonexistent), but because of the great responsibility
entrusted to them when they are given charge of an expensive and potentially
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dangerous aircraft. Just as military pilots must exercise considerable judgment on

their own and accept that their individual actions may have grave consequences, so
police officers on the street should be considered the equivalent of commissioned
officers, with concomitant respect, authority, and discretion. This change in the
perception of a police officer--on his or her own part and on the part of police
superiors and the public may be a difficult task in most places, but it is crucial to
properly defining the individual officer's role in community policing. Several Federal
law enforcement agencies already have moved away from the military model in
their organization and rank structure. The Federal Bureau of Investigation and the
U.S. Secret Service classify their basic officers as special agents, a term used for all
nonsupervisory positions from entry level through veteran members. All required to
be college graduates, special agents are regarded as, and expected to perform as,
professionals. Reducing hierarchy and enriching skills Organizations of professionals
are distinguished by extensive and continuing professional training, by shared
understanding of and commitment to the values of the profession, by extensive
lateral communication, and-perhaps most important-by the absence of elaborate
and complex hierarchies. Organizational structures are relatively flat, but often deep
and differentiated in types and levels of skills. How to create such arrangements for
policing has been the subject of attention for many years. In 1967,for example, the
President's Commission on Law Enforcement and Administration of Justice
recommended changes in personnel practices that would improve the quality and
professionalism of the police service. One such proposal, designed to "attract better
personnel, to utilize them more effectively in controlling crime, and to gain greater
understanding of community problems," suggested that police candidates enter
departments at three levels of qualification, competence, responsibility, and pay:
community service officer, police officer, and police agent. The community service
officer would be essentially an apprentice working on the street under close
supervision, unarmed and without full law enforcement authority. The police officer
would carry out regular police functions, such as response to calls for service,
routine patrol, traffic enforcement, and accident investigation. The police agent
would handle the basic police tasks that are the most complicated, sensitive, and
demanding. Under this scheme, an individual could enter the police department at
any one of the three levels, depending upon prior education and experience, and
could advance through the various levels and attain the position of police agent
without having to compete for the limited number of supervisory positions available
in a traditional hierarchy.I7 Thus, an officer who was good at street policing or
investigation could continue performing those types of duties throughout his or her
career without having to become an administrator. Although various aspects of the
Commission's recommendations were tried by a number of departments throughout
the Nation, the proposal never caught on, and very few police agencies utilize either
the concept or the nomenclature today. One defect of the proposal, particularly in
the context of the community policing philosophy, is the creation of a structure that
relegates community service to the lowest level of the pyramid. One way to
eliminate the view of the police officer as a nonprofessional army private is to revise
the police rank system, utilizing nonmilitary titles for some or all personnel grades.
491

Such a revolutionary change may be difficult to achieve, since law enforcement

agencies typically are resistant to major change and may be more comfortable with
the rank nomenclature that traditionally has been used. Is nevertheless, such a
change in titles could be used skillfully by enterprising departments as part of their
implementation of new policing strategies. A more limited change in the grade
structure would be to substitute another title for the rank of sergeant, to eliminate
the noncommissioned officer connotation. Terms such as supervising police officer,
master police officer, or inspector (a title historically used in many parts of the
country to depict a rank just below lieutenant) could be used for the first level of
supervision. This would retain the existing management position while encouraging
the view of the basic police officer as a professional. One major problem of current
rank systems is that promotional opportunities and the accompanying financial
reward and rise in professional stature are relatively few. They could become even
fewer if police organizational structures are simplified as suggested below. It is
desirable, therefore, to expand the array of nonsupervisory positions to make a
graduated series of opportunities available to most career police officers. The Los
Angeles Police Department has done this by creating four grades of police officer
and three grades of detective. An officer in that department can earn more than
$50,000 per year without having to attain an administrative position.20 A system
that provides sufficient incentives for the successful police officer throughout a
career of basic police work properly recognizes the professional status of the person
who is on the street and in the neighborhood, working directly with the public.
Organizing for empowerment Changing titles and rank structure, however, is not
enough to elevate the professional standing of the basic police officer. Police
organizational structures should be revised to decrease the number of levels of
authority, particularly at the bottom of the hierarchy. Community policing envisions
the empowerment of officers to take independent action to solve problems, work
with community leaders, and improve the social environment of the neighborhoods
they serve. Such a vision, however, is a far cry from the experience of most officers
today. The average police officer spends an 8- or 10-hour tour of duty sitting in a
police car, responding to calls when directed by a dispatcher, and complying with
the rigid structure of detailed rules and regulations that will keep the officer from
being criticized or penalized by superiors. As Herman Goldstein notes, "The
dominant form of policing today continues to view police officers as automatons.
Despite awareness that they exercise broad discretion, they are held to strict
account in their daily work-for what they do and how they do it. . . Especially in
procedural matters, they are required to adhere to detailed regulations. In large
police agencies, rank and-file police officers are often treated impersonally and kept
in the dark regarding policy matters. Officers quickly learn, under these conditions,
that the rewards go to those who conform to expectations-that no thinking
compliance is valued."21 These rigid prescriptions for police conduct and limitations
on creativity are caused by the desire of both supervisors and command officers to
avoid wrongdoing by police officers and to ensure that the activities of subordinates
will not result in criticism of or embarrassment to their superiors. Obviously, the
successful implementation of community policing requires a major change in
492

attitudes and methods of supervision by managers. The new philosophy requires

that officers perform their responsibilities on the basis of shared values and
personal commitment to professionalism, rather than by constant supervision and
limitations on their authority. As more discretion and decision making authority are
shifted to individual officers, many police executives recognize that the rigid,
hierarchical model of organization is obsolete. New structural arrangements,
emphasizing streamlined administration and fewer layers of management, are being
employed. This has facilitated rapid decision making, more relevant policy
guidance, and overall improvement in communication among all ranks. Community
policing has a variety of organizational styles in the United States, Canada, and the
United Kingdom. They range from home-beat officers in outlying areas of London, to
basic car units in Los Angeles, to crime control teams composed of both patrol
officers and detectives, to officers patrolling in pairs on fixed neighborhood beats, as
well as numerous other structural combinations. An important ingredient of all
organizational patterns, however, is the decentralization of authority to the lowest
operational level-to the officers in direct contact with citizens and the community.
No longer is the individual police officer merely a report taker who must pass along
information about a problem to superiors, who then make the decisions and take
the actions for solving the problem. Instead, the patrol officer becomes a decision
maker, solving the problem if possible or at least participating in decisions about the
ultimate response. In England, for example, the chief superintendent commanding a
division in London (an organizational element roughly equivalent to a precinct in a
U.S. police department) divided the area of his command into four quarters. He then
placed an inspector (the equivalent of a U.S. police lieutenant) in charge of each
quadrant. He gave that middle management officer full authority to act as a mini
chief in implementing community policing. Specifically, the local inspector was
given great flexibility in deploying the sergeants and constables assigned to that
area in order to meet the particular needs of the community.22 The purpose of
changes in the management structure is to create a supportive organizational
environment for community policing and to revise the relationship between police
leaders and rank-and-file officers. One caveat should be mentioned: new
organizational changes imposed by police executives often look good on paper, but
the test must be whether they do in fact improve communication and expedite
action. For this reason, it is important that feedback be obtained from line officers at
each stage of implementation, to determine whether the new structure is providing
the intended benefits. Tables of organization and channels of communication should
be regarded as provisional, not immutable, until they have been proved in practice.
Even then, changes in conditions may require further changes in organizational
arrangements. Whatever the organizational model, it must facilitate maximum
participation by the line officer who is in direct contact with citizens of the
community. As Herman Goldstein has written, by "making it legitimate for rank-andfile officers to think and be creative in their daily work .. . the potential benefits are
of two kinds. The most important is the improvement that this could produce in the
quality of the responses that the police make to oft-recurring community problems.
In addition, such a change would be directly responsive to some critical needs in the
493

police organization-the need to treat rank-and-file police officers as mature men and
women; to demonstrate more trust and confidence in them; to give them more
responsibility and a stake in the outcome of their efforts; and to give them a greater
sense of fulfillment and job satisfaction."~~ Selecting and developing the new
professionals Changes in titles and organization can provide the conditions for
improved professionalism, but only human beings can fulfill the potential of the new
strategies for police work. Community policing is said to rest "on the belief that no
technology can surpass what creative human beings can achieve together." Police
departments must deploy the most innovative, self disciplined, and self-motivated
officers directly into the community as outreach specialists and community problem
solvers.
Furthermore, commanders and supervisors will be supportive of the new philosophy
and the accompanying modifications of managerial style only if, in the long run, the
people under their supervision justify the increased freedom and greater discretion
that are inherent in successful community policing. It must be remembered that the
individuals who work most directly with the public and who are perceived as the
primary representatives of the police department are patrol officers who occupy the
lower ranks in the police agency and who will probably serve out their careers in
those positions.
Considerable attention must be given, therefore, to the type of individual who is
encouraged to join a police department that emphasizes community policing.
Qualities that traditionally have been associated with the higher ranks, such as
leadership, communication skills, and the ability to persuade and motivate others,
must now be required of all officers. Recruiters must look for self-starters who
possess initiative and imagination, rather than "plodders" who will unquestioningly
follow directions and will be comfortable merely by complying with explicit
regulations. Indeed, as one of America's foremost law enforcement leaders has
stated, "the officer in a modem department today must possess many skills,
including those of information processor, community organizer, crime analyst,
counselor, street comer politician, arresting officer, school liaison, and community
leader."
Is college necessary? An immediate question arises about the selection of the
"new" police officer: should a college education be required? This has been a
subject of great debate over the years, with advocates on both sides of the
question. An argument for college-educated officers is that the department would
be composed of people from the general population "who have certain qualities
(motivation, self-discipline, general intelligence) that are probably quite useful in a
police career and, second, it inculcates certain characteristics (civility, urbanity, selfcontrol) that might be especially desired in an officer."~' On the other hand, it also
has been argued that college-educated people may not understand the problems
and attitudes of lower and working-class persons with whom police officers must
deal; that a police career often is unattractive for the college graduate because it is
"routine, sometimes dull, frequently unpleasant, and occasionally dangerous"; and
494

that advanced education may produce a higher level of cynicism than would be
present among those with less schooling.~~ Another concern is that the
requirement of a college degree might decrease the number of minority citizens
available for recruitment into police work. This is a matter of great concern to many
city governments that are seeking to have the police department reflect the
demographic composition of the citizenry. Most recent studies and commentators,
however, have concluded that a college education is necessary, or at least
desirable, in contemporary policing. One factor has been a change in society itself.
As more of the general public has attended higher education institutions, and as the
educational level of the community at large has increased, it is necessary that the
educational level of the police also be raised.
In addition, a college educated police force makes a difference in the agency itself.
As Patrick Murphy has stated, "In general, a police department that has had a fouryear college degree as an entry requirement for ten years or more can be quite a
different organization from one requiring only a high school diploma. More
responsibility can be placed on the officers, and a more collegial style of
management can be utilized. The college-educated force sets higher professional
standards and goals, which in turn, command public respect and help shape public
opinion. Finally, a college educated police force has the potential to proactively,
rather than just reactively, address the crime and drug problems that plague society
today."
It is notable that the educational level of police officers has risen considerably
during the past 20 years. In 1967, the average educational level for police was 12.4
years, just beyond a high school diploma. The most recent survey indicated that the
current average educational level among law enforcement officers was 13.6 years,
more than halfway through the second year of college. The study found that 65.2
percent of officers in the responding agencies had one or more years of college,
22.6 percent had earned at least a baccalaureate degree, and 3.7 percent had a
graduate degree.3' There are various approaches to achieving a college-educated
police department, several of which address the matter of attracting minority
applicants. Many police executives do not believe that lack of a college degree
should absolutely disqualify an individual from entering a department, if the person
is willing to seek higher education during his or her career. Many departments help
the individual attend college, some by arranging work schedules to permit class
attendance, others by providing financial support. One department, for instance,
pays half the college tuition of any officer working toward a bachelor's degree.
Another pays all the costs of books and tuition for its officers. Some departments
require 1 or 2 years of college as an entry requirement, while many provide
premium pay for those who have attained a bachelor's or master's degree.
Another approach that has been suggested is to use Federal funds already
available: The U.S. Department of Education now distributes a large amount of
public funds in grants and loans for higher education, most of which require no
obligation of public service. A portion of these &ants and lo&s should be allocated to
495

young men and women willing to enter the police service, or to those already
serving in police departments, who seek higher education. Loan funds could be
disbursed with the understanding that repayment would be forgiven if the individual
serves two years in the police service for each year of college education. Grants and
loans should also be available for veteran officers to pursue advanced degrees, with
a requirement of three additional years of service for each year of graduate
education.
A variation of this idea is the creation of a Police Corps, which already has been
proposed through legislation introduced in Congress. Like the military Reserve
Officer Training Corps, the Police Corps would provide educational funding for
college students, provided they serve a period of several years in a police agency
after graduation. Also, these types of programs that provide higher education
benefits for both pre service and in service police officers could increase the
opportunities for minority citizens to attend college and thus expand the pool of
qualified applicants for police service. While the specific selection criteria, types of
individuals recruited, and educational background required may vary from
department to department, it is clear that "if the new mode of policing is to realize
its full potential in crime control and community service, police departments must
attract highly educated persons with broad life experience and an expanded
perspective on their position of public service."
Expanded training programs If the concept of community policing is to be the
guiding strategy for a police department, it must be reflected not only in recruiting,
but throughout the training programs as well. This includes both the basic training
for new recruits. Who presumably have been selected for their potential capabilities
to carry out community policing, as well as veterans of the department who
essentially have to be retrained in the new philosophy and practices. The revisions
that must be made in the curriculum of traditional police academies reflect the
range of changes that must be made in the department as a whole. It usually will
involve expanding the entire program, lengthening the number of weeks of recruit
training, and adding additional periods of in service training for veteran officers.
Most important is the approach or "tone" inherent in the revised training.
Community policing cannot be imposed from "on high," but must become a part of
the culture of the department, and thus be reflected in significant attitude changes.
As one law enforcement agency phrased it, such attitude changes cannot be
mandated through policy, but must come about "through a long series of
environmental changes that foster behavior modification which consequently alters
attitude^."^^ Officers must under- stand that community policing helps them to be
more effective, that it gives them a greater participation in fashioning their own
work environment, and that they, as well as the community, will benefit from the
new policing strategy. The content of training programs must provide recruits with
an ample understanding of police tasks. It should provide information on the history
of law enforcement, the role of police in modem society, and the need for discretion
in law enforcement. Rather than preparing officers to perform police work
496

mechanically, it should help them to understand their communities, the police role,
and even the imperfections of the criminal justice system.36 In addition, the
following specific skills-which have not necessarily been a part of traditional police
training curriculums-must be taught:
(1) Communications skills: the ability to talk effectively with all types of citizens,
from community leaders to ordinary residents, as well as the ability to listen and
learn effectively.
(2) Public speaking: the ability to articulate ideas and motivate others, as well as
the art of leading meetings in ways to draw out the thoughts and ideas of the
participants.
(3) Problem-solving techniques: how to identify and analyze problems, as well as
how to develop effective responses and solutions.
(4) Conflict resolution and negotiating: how to help citizens resolve disputes within
the community, rather than resorting to violence or "self-help," or engaging formal
legal mechanisms. In addition, two bases of knowledge about the community should
be taught:
(I) Social, economic, and demographic conditions of the community.
(2) Supporting agencies in the community:
The existence of city departments, social agencies, and other resources that can be
used for referral of citizens and support for officers in their work.
Two other specialized skills should be included in the training curriculum. One is the
ability to type, since more and more police work will involve the use of computer
keyboards, whether on mobile digital terminals in police cars or laptop computers.
Being able to type quickly and accurately will save a great deal of time during an
officer's career. The other specialized skill, which would be adapted to particular
community conditions, is language capability. The ability of an officer to converse,
or at least understand, the languages spoken in his or her patrol area is not only a
valuable attribute but may be necessary for the officer's safety. Field training, under
the specific leadership of qualified field training officers (FTO's), has become a
regular part of most recruit training programs. A variation of the traditional training
sequence, in which recruits complete the academy phase and then go on the street
for training under FTO's, might better relate the two types of training, however. For
example, the initial training of the recruits should be in the academy, where they
would learn the history and role of policing, as well as specific skills and techniques,
such as use of firearms, laws of arrest, police procedures, defensive combat, and
others. Then officers might go on the street for field training for several weeks,
where they would observe conditions in the community. They could then return to
the academy for more advanced training in communication skills, community
conditions, techniques of community policing, and other subjects related to their
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work as members of a community policing team. The street experience between the
phases of academy training will make them more knowledgeable about the
community they will serve and thus more receptive to learning the police role in
dealing with neighborhood problems. Training in the concepts of community policing
is as important for those already in police service as it is for recruits. The way in
which new ideas are presented is critical, since the revised strategies that are
relevant to problem solving and community orientation will require many officers to
change the manner in which they perform their duties. Again, the emphasis on
benefit to the officer and increased participation in decision making should be
stressed. The formal training in community policing, particularly in the subjects
described above, should be continually reinforced by informal discussions at all
levels of command. Two-way communication and the opportunity for effective dialog
is a vital part of a truly professional organization.
Quality supervision
The most careful recruiting and selection, accompanied by an enlightened and
motivating training program, nevertheless can be nullified by poor supervision on
the street. If the new officers find that the values they were taught in the police
academy are not respected by their superiors under actual working conditions, or
that their own participation is reduced to mindlessly obeying orders and regulations,
the idealism and initiative fostered during the training period will be neutralized, if
not destroyed. The climate of the officer's working environment is established to a
great extent by the immediate supervisor. As Goldstein has stated, "However
strongly the head of an agency may elicit a different style of policing, the quality of
an officer's daily life is heavily dependent on how well the officer satisfies the
expectations and demands of his or her immediate supervisor."~' changing the
supervisory style to reflect the values and techniques of community policing is
therefore of critical importance. Supervisors must demonstrate that the objectives
and expectations developed in the police academy are carried out in practice. The
emphasis on relating to the community, on problem solving, and on the use of
creativity and imagination must be fostered by the daily contact that an officer has
with the supervisor. Leaders on the street must learn to develop the talents and
capabilities of each of their subordinates to the maximum, and must provide
guidance rather than simply issuing orders. Since the individual officer has more
discretion and is being urged to utilize his or her own skills and judgment to a
greater extent, the supervisor's function as a coach and role model becomes even
more significant. The new requirement includes being a facilitator, to increase the
effectiveness of those who serve under his or her leadership. Teamwork, flexibility,
mutual participation in decision making, and citizen satisfaction are concepts that
initially may threaten the supervisor who is more comfortable with the authoritarian
role and routinized operations inherent in traditional policing. Thus, the education of
supervisors in new styles of leadership and management must be given a high
priority if they are to carry out their responsibility for the success of community
policing. This establishment of a new philosophy must go beyond management
498

training. Commanders and supervisors must not only be knowledgeable, but must
be committed to the new form of leadership. The values that underlie the culture of
the department must be modified and reflected in appropriate statements of policy
by the departmental command group. Furthermore, rules and regulations must be
streamlined and, generally, reduced in number, so that the flexibility needed by
both supervisors and line officers will be possible. Just as the new policing style
requires more communication and guidance between supervisor and officer, it also
requires continuous dialog and sharing of information between the police chief and
command officers and those involved in direct supervision. It is unlikely that
improved communication will occur between police officers and citizens if effective
communication within the police department has not been established first.
Maximized participation in decision making since the 1970's, police executives have
been following the example of private sector business and industrial firms in
developing new mechanisms for participatory management. The and technical
assistance t.0 the community policing team leaders Newport News, Virginia, Police
Department utilized a variety and officers, incorporating the experiences and
lessons learned of task forces and committees to implement its problem- of other
policing teams oriented policing project. A management committee, comprising
bureau heads and unit commanders, participated in all major patrol decisions. An
operations advisory committee, composed of patrol officers and detectives, met
regularly with the chief to discuss their concerns. These groups dealt with a variety
of issues, from policy development and flexible deployment of officers on patrol
beats, to shift scheduling and equipment purchases.38 In the London Metropolitan
Police, the division chief superintendent held a meeting of all his officers, from
constables up through command officers, every 5 weeks to identify and analyze
problems in his area and to obtain suggestions from line officers as to their solution.
This opportunity to participate in important decisions on police activities not only
gave officers of all grades the opportunity to demonstrate their creativity, but by
being part of the process they also were more committed to the results. A further
extension of this method that was being contemplated was to include citizens of the
community in such meetings to broaden the input into police decision making.~~
The Sheriff's Department of Los Angeles County, California, instituted a new effort
called "service-oriented policing." To move the department and its personnel toward
a more service oriented posture, the sheriff established an SOP committee
composed of representatives from all elements of the department: command
officers, middle managers, supervisors, line deputies, and civilian employees. The
committee's task included examination of the department's organization and
culture; the expectations, rights, and needs of the service recipients (citizens) and
the service deliverers (departmental personnel); and the services that were being
provided, as well as how they might be enhanced or expanded. The SOP committee
also sought the ideas and responses of the more than 11,000members of the
department.~~
Supporting officers in the community

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Community policing officers are expected to be on the street during most of their
time on duty, communicating with citizens, patrolling neighborhoods and business
districts, attending meetings of residents, and conducting other police activities. It
is important, therefore, that they have technical and logistic backup in the form of
field support units (FSU's). Organizationally placed at precinct or headquarters level,
according to the size of the city, the FSU's are a valuable staff counterpart to the
officers in the field. They should include crime prevention specialists, who can
provide presentations at meetings and technical assistance on specific crime control
problems. The FSU can provide publications and materials for neighborhood
meetings, as well as specialized equipment such as videocassette recorders,
viewgraphs, etc. In addition, it can handle the printing and duplicating of notices
and other documents that are needed by community officers for distribution to
citizens. The FSU also can serve as a message center for officers in the field,
facilitating rapid callback responses to citizens. The leader of the FSU (a sergeant or
lieutenant) also can be available to provide advice and technical assistance t.0 the
community policing team leaders and officers, incorporating the experiences and
lessons learned of other policing teams
An important responsibility of the field support unit is to provide liaison and followup activity with other elements of the police department as well as the various city
departments whose services are needed to resolve community problems. The Los
Angeles Police Department has developed a "community enhancement request"
form that enables an officer to request specific services from city agencies to handle
conditions that may result in crime or community decay (see exhibit 1). When such
a request is turned in by a local officer, the FSU forwards it to the appropriate city
department or other unit of the police department, then maintains a suspense file
on the item until a response has been received and the problem alleviated. If no
response occurs within a reasonable time, the FSU itself can stimulate the
necessary action. It also can furnish continuing feedback to the officer on the street.
The FSU function is critical to the community policing officer. He or she is on the line
with the citizens, responding to their needs and requests. The ability to make
something happen when citizens complain directly affects the officer's credibility
and ultimate success, as well as that of the police department. The responsiveness
of city government, or lack thereof, can result in either personal frustration or a
sense of accomplishment for the individual officer. The line officer's effectiveness,
therefore, is
Directly proportional to the follow-up work of the FSU. To perform several of these
field support functions, the Los Angeles Police Department has established a
community relations officer crime prevention unit, under a sergeant, in each area's
headquarter^.^' Another type of specialized support needed by the community
policing officer involves crime analysis and information about ongoing criminal
activities in his or her territory. To fill this need, the London Metropolitan Police have
established a Division Intelligence and Information Unit (DIIU) in each precinct level
command. Composed of detectives and support personnel, the DIIU collects,
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analyzes, and disseminates to local police officers information about criminals and
crimes located within their area. This information can be used not only to apprehend
specific offenders, but also to develop crime prevention strategies. Information
support for the officer in the community must go beyond crime analyses. The full
resources of the police agency's records and identification facilities must be
available quickly and conveniently. Computer equipment in the field, such as mobile
digital terminals in patrol cars and laptop units equipped with telephone
connections, can save valuable time in preparing reports and can provide
immediate access to essential data. In addition, officers should receive timely
information on municipal government actions (such as ordinance or regulation
changes affecting neighborhood residents and businesses), as well as facts about
public and private health, welfare, and education resources that might be used for
referral or assistance. Relationships within the police department An important part
of the community policing officer's success and personal satisfaction is the
relationship that he or she has with the rest of the police department. Particularly
important is the working relationship between patrol officers and detectives. The
functions of report taking, information collecting, crime investigation, and
apprehending criminals become more integrated under community policing, and the
distinction between patrol and detective operations should diminish considerably. In
some agencies, detectives are part of the neighborhood crime control teams. The
officer in the community is able to obtain valuable information, both from citizen
input and his or her own observations, about crime conditions, particular offenses,
and criminal suspects. The officer can use neighborhood-based information for
follow up investigations within the local community, including the arrest of
perpetrators found there. Information also can be passed on to detectives
investigating crimes over a broader geographical area. When an officer's
information has assisted in the identification and apprehension of a suspect and in a
conviction, feedback should be given to the patrol officer to validate the value of
those efforts and to motivate the officer to continue to provide such information.
Similarly, by continual communication with street officers, detectives can alert them
to crimes committed, information needed, and suspects to be sought. Through this
exchange of information, the solution too many crimes and the arrest of criminals
increasingly can be accomplished by officers working in neighborhoods. Centralized
detective activities then can focus more on problem solving-identifying the nature of
criminal activity in the com- munity and designing crime reduction strategies that
will affect different types of crimes. The police officer working in a particular
neighborhood should be supported by other specialized elements of the police
department. As conditions require, special investigative units such as narcotics,
juvenile, and gang units should be available for specific crime problems. The officer
should be able to call upon staff units such as criminal intelligence, crime
laboratory, and records and identification for their expertise. The planning and
research staff should assist the community policing effort as a whole, through
citywide operational research and evaluation programs to improve the effectiveness
of the agency in handling the problems of the community, as well as through
assistance to individual field officers in solving specific problems in the
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neighborhoods they patrol. Assistant Chief Robert Vernon, Director of Operations for
the Los Angeles Police Department, has described this relationship between
specialized units of a police agency and the field officers responsible for community
policing in terms of a medical model: the patrol officer in a specific neighbor- hood
or beat area is like a general practitioner physician who has the principal interface
with the individual citizen. Sur- rounding and supporting the police general
practitioner is a series of specialists--detectives, juvenile investigators, narcotics
officers, headquarters staff units, and others-who are available for consultation or
referral of the case.42 Quality assurance under the traditional style of policing, with
a quasi-military environment and rigid sets of rules and regulations, inspection and
control are relatively easy functions to perform. Regular inspections and audits are
conducted to determine whether officers are complying with regulations. The more
mechanically the individual adheres to the letter of the rules, the less likely he or
she will get into trouble. Displaying unusual creativity, going beyond minimal
requirements of the job, or exercising individual judgment is at odds with the rulecompliance mode. It is easy to see, then, that com- munity policing-with its
emphasis on self-motivation and individual initiative-requires a new approach to the
inspection function. Nevertheless, the importance of that function-maintaining the
quality and integrity of the police force-is in no way minimized by the new concepts
of policing. Indeed, the greater freedom of action afforded the individual officer
places greater reliance on effective systems for monitoring, evaluating, and, when
necessary, disciplining police conduct. If the community is to sustain satisfaction
with and confidence in the police department, executives must insure that internal
wrongdoing is prevented and that sufficient safe- guards are established to preserve
the integrity, efficiency, and effectiveness of the force. The philosophy of
community policing, in recognizing the professionalism of the police officer and
emphasizing greater opportunities for job satisfaction, is ideal for making a
commitment to essential values the basis for maintaining necessary standards of
conduct. The concept of values in policing is discussed in an issue of Perspectives
on Policing.~~ Such value orientation is an essential component of achieving
professional responsibility within the force. Beyond the delineation and promotion of
values, mechanisms for quality control-monitoring of performance and investigation
of complaints-must be part of overall management controls. In a professional
organization, the model should be the "quality assurance" programs of modern
business and industrial institutions, where the emphasis is less on rigid compliance
with rules than on successful results. Techniques such as self-evaluation by
individuals and patrol teams, citizen surveys, and performance audits should be
used to stimulate analysis and improvement, rather than as negative instruments of
penalization. At the same time, investigation and resolution of complaints or
indications of misconduct should be prompt, thorough, and decisive. A professional
police organization cannot tolerate betrayal of its values or breaches of integrity.
When such incidents occur, the factual situation should be analyzed carefully so
that candid information about the matter can be incorporated into future training
sessions to prevent other officers from becoming enmeshed in wrongdoing.
Conclusion Community policing is now an established concept of modem law
502

enforcement doctrine. While much experimentation and innovation continues to

occur, the benefits of this strategy are being proclaimed by more and more cities
throughout the Nation. But "making the transition from a traditional reactive,
incident-driven style of policing to a more contemporary proactive, problem-directed
style of community-oriented policing requires a comprehensive strategy that is
based on long-term institutional change."44 The practice of community policing,
and the implementation planning that inaugurates it, must recognize the pivotal
role of the individual officer. As an article in Footprints: The Community Policing
Newsletter states, "we must always remember that Edwin Meese III is a
Distinguished Fellow of The Heritage Foundation, Washington, D.C., and a former
Attorney General of the United States. Editor of this series is Susan Michaelson,
Assistant Director, Program in Criminal Justice Policy and Management, John F.
Kennedy School of Government, Harvard University. Opinions or points of view
expressed in this publication are those of the author and do not necessarily reflect
the official position or policies of the U.S. Department of Justice or of Harvard
University. The National Institute of Justice is a component of the Office of Justice
Programs, which also includes the Bureau of Justice Assistance, Bureau of Justice
Statistics, Office of Juvenile Justice and Delinquency Prevention, and the Office for
Victims of Crime. It is the Community Policing Officers themselves who make the
system work. ..All the theories, strategies, and tactics associated with Community
Policing that the experts discuss ultimately boil down to a single officer on the
street, intervening one-on-one in efforts to . . .make the community safer.'"~ By
lifting some of the constraints under which police officers in the field now operate,
and by giving them the freedom to make decisions, innovate, and be problem
solvers, community policing promises great benefits for the community in terms of
quality of life and for the officers in terms of job satisfaction. By focusing on the
person in the front lines of police service-the individual patrol officer-the community
policing strategy will be built on a solid foundation.
Private Public Partnership
A B S TR A C T
While not intending to rehash all the old international debates regarding
public versus private policing, this article explores some aspects of this
debate in South Africa regarding the role, if any, that the private security
industry in South Africa can play in policing and crime prevention, albeit if only in
some form of partnership with public policing authorities. The intention in this
article is to look at the changed role that private security has begun to play in
South Africa in many of the traditional public or state police spheres of
operation irrespective of the lack of a formal framework for partnership policing.
Additionally it examines how co-operation in policing and crime prevention can
be realised and made mutually beneficial to all roleplayers within the broad
framework of a public-private partnership. The article also outlines a number of
specific examples (City Improvement Districts, responding to alarms, CCTV,
vehicle tracking and recovery, private investigations) where infiltration into
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the sphere of policing and substantial growth of private policing functions has
occurred and accelerated over the last few years. An th o n y Min n aar Professor of
Criminal Justice Studies Senior Researcher/Postgraduate Student Co-ordinatorDept.
of Security Risk Management School of Criminal Justice College of Law University of
South Africa (UNISA) Florida (Roodepoort) Campus Cnr Christiaan de Wet Road &
Pioneer Ave P/Bag x6 Florida (Roodepoort) 1710 South Africa aminnaar@[Link]
4Private-Public Partnerships: Private Security, Crime Prevention and Policing in
South AfricaAnthony Minnaar Despite their similar interests in protecting the people
of the United States, the two fields [private security and public policing] have rarely
collaborated. In fact, through the practice of community policing, law enforcement
agencies have collaborated extensively with practically every group but private
security (IACP/COPS 2004: 1).
Introduction
Since the advent of democracy in 1994 the South African Police Services (SAPS), like
its counterparts worldwide, has struggled to come to terms with high levels as well
as changing patterns of crime. South Africa is not unique in experiencing these
crime patterns that have become more intense all over the world during the 1990s.
Moreover, the police in South Africa have also searched for and experimented
with new ways of policing, sometimes following and borrowing from overseas
experiences but also developing their own homegrown style of policing. In
terms of the private security industry, as with other worldwide trends, South Africa
has also experienced rapid growth in this industry. With that growth, and the
changing forms of policing in South Africa, have come demands by the
private security industry for greater involvement in policing and crime prevention
activities. But these demands, or as some would say requests or even offers of
assistance, have not been without controversy and critique. One of the more
prominent of criticisms private security involvement in policing activities has
centered around perceptions about their replacing conventional policing where
governments have ostensibly allowed these services to run down. However, in
this scenario the reality is often that only the wealthy are able to afford the
replacement services offered by the private security industry.
5Moreover, much of the criticisms of impropriety within the private security
industry too readily apportions indiscriminate blame against the whole industry. In
addition, some of these accusations are driven by the self-interest of police
officers trying to deflect efforts by private security companies to enter the
(policing) domain. Part of the criticism has also at length dealt with the need for
regulatory models for the provision of security by private sector companies.
Furthermore, a central issue in these debates has been the extent to which private
security has impinged on the traditional domains of public policing, and the
debate has increasingly focused on how policing can be outsourced either in the
form of a public service provider of security, or in the form of a partnership with
local police to perform some of the functions of regular policing. However, against
the backdrop of the existing high levels of crime in South Africa where the
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state law enforcement and policing agencies are chronically understaffed,

under resourced and overworked, it stands to reason that any assistance that
any sector of the private security industry can render would be welcomed.
Unfortunately this has not always been the case in South Africa. In South Africa
there have also been ongoing efforts by the authorities to increase the regulations
pertaining to the industry but this has met with considerable resistance and
reluctance from the private industry. One of the problems has been to define the
parameters of powers that can be delegated to private security officers in any
crime prevention policing operation. The debate has been complicated by the
fact that over the last few years the provision of policing and crime
prevention by the private sector has been occurring, even in the absence of
any official co-operative and regulatory framework. This last issue has been
one of the main obstacles in terms of the public police allowing private police
into their domain, since the former argue that the latter provide private
policing services for commercial gain while not being constrained by any rules
of accountability and reporting lines other than directly to the CEO of the private
security company contracted to provide such services. There are a number of
implications of this infiltration, some would say usurpation, of public policing
obligations.
6Before entering into a discussion of private-public partnerships involving the
private security sector there is a need to obtain some conceptual clarity regarding
the definitions and terminology used. Accordingly, some of the concepts that are
used to describe and define the type of policing activities to be discussed follow
below.
Private Policing
Private policing is not a new form of policing that has developed over the
last decade or two to fulfill demands posed by new forms of crime and the
use of technology in committing crime. It has been around for many years.
According to Collins, Ricks and Van Meter (2000) Security and crime prevention
have been present in the earliest known forms of prehistoric civilizations
(Collins et al 2000: 3). The Roman Emperor Augustus Caesar separated
military and police functions when he established a security force, the Praetorian
Guards, to protect himself from assassination. Another Roman security force,
the Vigils, were responsible for maintaining other forms of social order like
firefighting and protecting private property by patrolling the streets of Rome.
Over the ages private policing developed in Europe primarily at local level
where district wardens and others were appointed by City Councils, Town
Guilds or municipalities to watch over activities in a towns wards. The system of
watch and ward that developed was extended over time to the appointment
of parish constables for villages. Their role was largely to enforce local regulations.
Guilds, merchants associations and other businesses would also appoint
security officers to prevent the theft of goods and to protect their trade
routes. Accordingly, various forms of private police were operational long before
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1829 when Sir Robert Peel established his London Constabulary or Bobbies
on the beat. Peels formation of the so-called new police was in fact the
beginning of a steady process of centralization, co-ordination, and nationalization
of policing in England (Johnston 1992: 4) Peels new police served as a model for
public policing. Crucial to this new policing was the establishment of formal police
agencies paid for by the state and accountable to national control bodies. With the
development of national police agencies privately or locally funded police tended to
fall away and their previous
7policing functions were taken over by these public police agencies. However, in
the mid-1800s the concurrent rebirth of the private security sector
occurred. Private security was offered to private citizens by entrepreneurs offering
burglar deterrents, i.e. Early alarm systems. Private detective agencies like the
famous Pinkertons Agency in America were established to provide private
security and private investigation services to anyone willing to pay for such
services. Other security companies like Wells Fargo and American Express emerged
in the 1850s, offering security for the transport of goods as well as armoured rail
cars for cash in-transit services. The emphasis in these services largely fell on the
protection of individuals and private property. One aspect of these services
involve the provision of night watchmen at factories and warehouses and
during the industrial boom of the 1920s the whole guarding industry
emerged. With the strikes in the interwar period private police forces emerged to
defend corporate capital or act as strike breakers (Johnston 1992: 18-20).
These commercial security initiatives provided the basis of the modern private
security industry. In this article, the term private policing is used
interchangeably and synonymously with that of private security. Although in the
past a differentiation has traditionally been made between in-house security
and so-called contract security the former usually referring to personnel
who conduct policing activities within an organisation while the latter to
security guards hired (contracted) by an organization to secure and protect assets
and personnel, they both provide a form of private policing (Nalla 2002: 11121113). Furthermore, while there is a great diversity of specific security services
provided by the private security industry, within these security functions modern
security requirements dictate that policing activities very similar to those of the
public or state policing agencies do occur, namely managing security risks
(potential crime), risk (crime) profiling, risk (crime) analysis (identifying
vulnerabilities), risk reduction, investigating any breaches of security and
collecting information/intelligence as well as evidence of breaches in the
provision of security (which might well constitute the perpetration of a crime
against the organisation/company) and the protection of assets, property and
people. Modern security managers might also be concerned with computer crime
and information security as part of their private policing activities.
8However, there is a clear distinction between private policing and guarding
operations. The majority of the security industry is involved in purely guarding
506

functions whereas the term policing implies an overall role of guarding, reaction and
investigations. Private security does not generally have all these under one
umbrella, although they do exist in separate forms. Accordingly, the first point that
needs to be accepted is that traditional forms and definitions of policing no longer
suffice as an argument for the exclusion of private security practitioners from
any forms of policing. In effect these days public and private policing serve
similar interests. While private security/private policing serve the narrow interests
of a contracting organisation or client, and public policing the interests of the
wider public at large, both broadly aim to reduce crime and prevent client
losses (victims of crime or security breaches/theft of property). In essence then
both aim to maintain order and protect their respective clients. Consequently
the role of private and public policing has become increasingly blurred. The
similarities do not end there. Many security personnel also wear uniforms and drive
vehicles similar to those of law enforcement agencies. Moreover, some of the
functions such as securing premises, patrols, responding to alarm calls or
crime reports and crowd management are very similar for both forms of policing.
Private policing also involves more than just patrol and guard duties. Many of the
allied activities to these two functions involve asset or people protection
establishing perimeter security and other protective barriers and security measures
and are essentially also designed to prevent insiders and outsiders from
committing crimes, in other words, pure and simple crime prevention.
Furthermore, many security companies have developed investigative capacities
such as collecting information and evidence, interviewing suspects and
developing a criminal case (which is usually handed over to the authorities
for prosecution) in the process of investigating incidents. However, differences
and distinctions still remain. Generally in the training oriented literature the clear
distinction between public police and private security is made with the police being
shown to be offender-oriented and more focused on the deterrent effect of
prosecution, whereas security is primarily concerned with victim protection, loss
prevention and risk management. Furthermore, in 9comparative terms the
research available on security work seems to indicate that loss prevention and the
provision of a security service are more prominent than offender prosecution and
that a loss preventative philosophy is paramount to private security industry
operations. Such preventative services are primarily motivated by the need to
make a profit but remain heavily vested in the sphere of crime prevention per se.
Crime Prevention
In terms of crime prevention, what is not discussed is that type of crime
prevention that is often termed social crime prevention, i.e. where the community at
large is involved in initiatives or projects run by themselves that aim to prevent
crime in their own neighborhoods. These typically involve volunteer
neighborhood watches that patrol certain residential areas, or being the eyes and
ears of the police like in e-block watches where private citizens would
organize themselves in blocks and report any suspicious activities either to each
507

other or directly to the local police by cell phone (or other means). Community
crime prevention programmes concentrate largely on prevention programmes
aimed at a reduction in crime through intervention, at-risk youth activities,
life skills programmes and alliances with key organizations and not policing
activities as such. The underlying basis of these programmes is education. In
other words, programmes to educate the public on protecting themselves and
their property. And finally, victim support and victim empowerment programmes
which deal with the provision of support directly to those affected by crime with the
ultimate aim of preventing revictimisation. Some of these community-based crime
prevention programmes have been established in schools.
One South African example is the Business Against Crime (BAC) programme
Tissa Thuto which is a school-based crime prevention program managed by
BAC for pupils, teachers, parents and communities in the same schools. It
combines the expertise of police, education, community police forums and
organizations specializing in sports, mediation and conflict resolution, peer
counseling, trauma and abuse, and victim issues. Each partner provides its
specific skills-training, resources and modules.
There are also business or private sector crime prevention initiatives which
typically involve the business sector and provides financial support to community
organizations that develop prevention initiatives, develop their own activities or
plan events related to prevention, provide human resources or goods and services
in support of prevention initiatives, and create internships for young people
in their business district, especially those from disadvantaged neighborhoods,
or who have been in conflict with the law. The main business contribution therefore
involves supporting programmes that help build safer communities. Through these
prevention strategies, they largely focus on reducing risk, and this is where socalled Crime Prevention Through Environmental Design (CPTED) plays a
prominent role. CPTED, in brief proposes to reduce peoples fear of crime by
using safer design of buildings, the built environment and residential areas,
thereby contributing towards the enhancement of residents quality of life.
Typically CPTED involves the erection of improved barriers and the use of
technology e.g. lighting, CCTV cameras and other physical barriers to cut down on
opportunity for the perpetration of crime. Another aspect that will not be
discussed in this article is the so-called Safer Cities Partnerships (SCP)
usually private sector businesses, local authorities and the police which again
are not strictly private security/police partnerships. The emphasis in SCPs is
more on specific programmes and building designs which aim to make it safer for
the community at large to walk in the streets, go shopping and participate in leisure
activities. Many of these partnerships involve the private sector funding equipment
or programmes in which citizens voluntarily participate. As such they are more
crime prevention partnerships than policing partnerships.
The crime prevention which will be discussed in this article is that emanating
directly from the policing activities of members of the private security industry
508

and which is related to activities other than their provision of business or

commercial security, although the latter will be described and linked to so-called
private policing aspects later in this article.
Policing and Private Security in the Modern Age
Private security is no longer a neglected subject or topic of investigation and
examination. With the emphasis post-9/11"2 on enhanced security of all kinds,
the hardening of customs inspections and searches on travelers, as well as within
the context of the fight against terrorism, security has become a catch phrase for
all kinds of new measures, technologies and strategies. However, the emphasis in
this new focus on security is largely, and currently remains, on state security and in
the USA what is nebulously termed Homeland Security, i.e. the protection of
US citizens from attack from outside terrorist organizations. Nowhere in this reemphasis on worldwide security has there been much mention of a fight against
crime. As a consequence this aspect of private security still remains largely under
researched. Moreover, in the research that is being done the emphasis remains
strongly on the police, police structures and the police as an organisation. But it
became patently obvious after 9/11 that within this heightened emphasis on
security worldwide that it has become ever more important to mobilize, utilize, call
on and integrate as wide a variety of resources as possible. The most obvious,
largest and widespread of these resources, and which rivals or is often even
bigger than policing agencies, is that of private security. Internationally the last 20
years has witnessed the growing role and influence of private security in many
aspects of social control. This phenomenal growth has been attributed not only to
demands by the public for increased personal safety and protection, by business for
increased security, by the growth not only in the mass property market but also
in the size and number of shopping complexes, private security villages and
enclosed or gated neighborhoods. All these factors were subtly encouraged by
perceptions of the public about the efficacy of the public police to provide
safety, law and order, coupled to the declining trust and
The blanket term currently widely used to describe the events (World Trade Centre
and Pentagon terrorist attacks using commercial airline airplanes) that occurred in
the USA on 9 September 2001.
Faith in the police to prevent crime
Wakefield (2003: xx) describes the increased presence of private security as follows:
As public life increasingly falls within privately controlled spaces, policed by
security officers operating not in the public interest but in the interests of
their employers or corporate clients, it becomes subject to a style of policing
that is likely to differ markedly from state policing in its objectives, core functions
and methods of operation. Furthermore, this growth in private security has become,
as Bottoms and Wiles (1994) assert, part and parcel of a wider security quilt or
web of provision in place of a system of social control that has been dominated for
509

about 150 years by public-funded and state-directed police (Bottoms & Wiles
1994). However, a rider needs to be added here, namely that this growth has been
uneven, not only by sector (e.g. guarding as opposed to armed response) but
also spatially, i.e. wealthy urban area versus poor rural or agricultural areas.
What, in fact, has occurred is the creation of what Bottoms and Wiles (1994)
call bubbles of security.
In other words, the provision of security becomes
location specific (e.g. private security villages or enclosed neighborhoods etc.) A
final aspect of this growth that needs mentioning has been the overall increased
professionalization of the private security industry. An increasing number of
personnel are being encouraged to undertake tertiary studies in order to become
security managers and risk analysts. These better trained security personnel as
well as more employees with a higher education (tertiary) level qualification have
resulted in improved professionalism and better planned and effective security
operations. There has been a consistent call from this growing body of
professionally qualified security personnel for improved and increased
cooperation with public policing agencies. Their argument basically is that
public police can no longer maintain, as they have consistently done, that private
security personnel remain poorly or undertrained security operatives who know
nothing about crime and its associated risks nor understand the role policing
plays in crime prevention and crime control.
Changing Forms of Policing and Private Security
Over the last three decades considerable changes and research on new forms of
policing has occurred, largely in response not only to the increased incidence of
crime but also to the changes in levels of violence and sophistication being shown
by criminals. This was linked to rising community concerns and feelings of
insecurity by members of the public. In order to become more effective and
to bring down these high levels of crime, public police and law enforcement
agencies have been forced to change and adapt to this new situation.
Coincidentally, much of these new approaches to policing were conceptualized on
the back of research by a number of leading academics, who over the years coined
such terms as problem-oriented policing,
Community policing, zero tolerance policing (Karmen, 2004: 24), soft and
hard policing,4(Burke 2004),
visible policing, sector policing, partnership policing, and more recently
intelligence-driven policing. All these terms are used in an effort to describe and
encapsulate the essence of the supposedly new forms of policing which in some
cases merely consisted of a restating of obvious forms of policing. Be that as it may,
much of the emphasis in the literature has been on the model of the so-called new
police which developed in Great Britain after 1829 and has influenced the
development of state police organizations in many countries. But irrespective of
that core starting point definitions of policing have proliferated over the years.
In brief, with regard to the interpretations of public policing five broad angles of
510

police work serve as the basis, namely: Policing as a regulatory process using
a specific body of public
This policing style refers to the contrast between hard" policing, which is
exemplified by the "zero tolerance" policing approach made popular by Mayor
Giuliani and Police Chief Bratton in New York City in the mid-1990s, and under
current British probation policies, i.e. a more proactive approach to dealing with
crime at all levels through crackdowns, while "soft" policing, as illustrated under
the paradigms of community policing and restorative justice inclusive of so-called
democratic or human-rights oriented policing. These policing styles coexist under
an "umbrella" of multiagency social control that encompasses the public police,
private police, and social service agencies.
Officials;

policing as the work (exclusively) of the police with activities of other

agencies, communities, businesses and citizens broadly subordinate to
this prioritized activity;
policing as a core set of activities as distinguished from the host of other
forms of regulation and social control that flow through almost all
aspects of life;
policing as order maintenance based is on the traditional policing functions
of safeguarding society (public order) through investigation, crime
prevention, regular patrolling and crowd control; and
policing as governance through a complex network of interlinked agencies
and institutions which has shifted control back to the community and
become more responsive to peoples needs at grassroots level although
still operating under a detailed umbrella of
regulatory
requirements,
procedures and processes (Wakefield 2003: 4-7).

Allied to these definitions of policing has been the theorizing about the changing
nature of policing in society and the need for the use of private security. In the
recent past social changes related to the need for change have revolved
around researchers findings dealing with the following aspects: The growth in
modern cities and the environmental and building demands associated with
better or increased social controls. A rapid rise in reported crime levels. Growing
feelings of insecurity in communities. Perceptions about increased risks and
fear of crime which have become entrenched in peoples minds. The role of the
media in more widely reporting on violent crime which has further influenced the
growth in feelings of insecurity and fear of crime.
The segmentation of control (Bottoms & Wiles 1994) where, since the
1980s, the primacy of public police control has diminished with the proliferation
of alternative service providers 15many of them private security. Decreasing
funding and resourcing of public police agencies One of the consequences of the
above has been the development of a siege mentality where people retreat
511

into private fortified enclaves and are willing to submit themselves to a

comprehensive range of security measures and procedures, to live under
constant security surveillance and control and more often than not give up
individual freedoms such as open access, free movement and privacy. Overall
there has been an exponential growth in the control over private space, where
that space is defended by all means available (but paid for) by individual
families. All these developments have certainly presented communities and
governments with a new set of policing challenges. Not the least of them has been
the erosion of governments virtual monopoly on policing, and the demands
on them to harness all resources and co-opt alternative forms of security (policing)
to remain effective in all forms of crime control. In modern times the term police
has thus come to mean something wider than the mere activities of an agency of
the government and has come to encapsulate all forms of alternative policing
activities, inter alia that of private security. Although there are many different
structures for policing internationally, what has developed over the last 20 years is
a wide variety of policing frameworks within what can be termed a much
segmented security or policing market. The fact that so many different policing
agencies co-exist does not necessarily mean that there is a duplication of roles or
functions. But this also does not mean that they operate entirely
independently of one another, since the distinctions between the various forms of
police have become blurred and the lines between them are no longer hard and
fast. In essence the different forms, both private and public, should be
complementing and supporting each other by means of co-operating,
coordinating and working together in well-defined public-private partnerships.
If both the public police and private security can come to a congruence of end aims
and objectives, namely crime control and public safety, no problems or obstacles
should be experienced to establishing such partnerships, since the end result
of safer communities would be beneficial to both sets of customers, i.e. the public at
16large and specific clients. There is an obvious need to extend once-off
partnerships that arise only for special events (sports or cultural events) to more
ongoing sustained partnerships for every day policing activities. There is no
doubt that such long-term ongoing partnerships can be mutually beneficial to
both types of policing in what can be termed a symbiotic collaborative
relationship, namely where they feed off one other, i.e. drawing different types of
benefit from each other. But this is the real challenge setting up such mutually
beneficial but also long-term (permanent) partnerships. A further challenge is
to integrate both approaches into one focused system for better overall
policing. These shared policing activities could typically involve the following:

Responding jointly to crimes in progress;

investigating crimes;
sharing of crime intelligence;
joint involvement in crime intelligence gathering (e.g. by means of
joint surveillance teams or CCTV operations);
sharing of expert knowledge (e.g. on the latest technology (private
512

sector) or training methods (police);

accessing and supplying of official crime information;
joint planning and policing of special events;
Assistance with training (from both sides e.g. for computer forensics by
private sector companies or collecting and correct control of evidence at a
crime scene (by the police); and
crime prevention advice (sharing of risk analysis and audits
information).

Interestingly in the South African context at the time of the SAPS Task Team
investigations into partnership policing it was felt that if private security companies
were to be used in partnership policing a number of benefits would accrue to both
parties namely: Freeing up of police members; as a force multiplier; sharing of
information; private security providing vehicles to investigate alarms; being the
eyes and ears of police; providing technological expertise and assistance while
alternatively SAPS able to provide training assistance. On the other hand a number
of potential problem areas were also identified namely: Legal liability and civil
claims if private security 17
In all these partnership activities there is the obvious need for clear guidelines and
accountability structures to be developed. Ultimately these are to be based on the
principle of transparent decision-making specifically to avoid rule-bending by
any participating member in such partnerships (e.g. there have been a number of
instances reported in the research where security staff use their personal networks
or friendships to gain access to restricted information). However, one of the issues
in partnership policing is the form such partnerships should take, and the type of
relationships that are built up between each partner will the partnerships be equal
sharing partnerships, will one partner be dominant, or exploitative e.g. one partner
demands and makes use only of resources, will there be central control and
command, or will someone play a junior subordinate partner role etc. One of the
main stumbling blocks of the formation of local level partnerships between the
police and private security has been the issue of accountability (and not so
much funding or resources). This in turn links to the issue of sanctions and
disciplinary procedures for any misbehavior, the use of excessive force or abuse
of powers that might be perpetrated by the private sector members of such formally
established partnerships. One of the other main stumbling blocks to
establishing partnerships are police fears of a loss of autonomy and the
implied association of private security personnel with private interests, i.e.
divergent interests being served which would personnel were used in partnership
policing; vicarious or public liability; limited powers available to security personnel;
unequal/inadequate training for security company personnel; lack of
enforcement of a code of conduct; wearing of similar uniforms by private
security personnel; dangers of vigilantism if policing powers extended to
security personnel; private security being used as reservists; disturbance of crime
scene by untrained private security personnel; differential loyalty i.e. that security
513

companies would only assist SAPS when it served their own purposes or when it was
to their own financial advantage; poor communication between the two parties; the
problem of fly-by-night companies and unregistered personnel; lax gun control at
some private security firms; possible misuse of crime information by security
firms for their own purposes; misunderstanding of powers available to security
officers; opportunity for corruption; involvement of certain private security
companies in crime and violence (for more detail on these possible benefits
and potential problems see Minnaar, 1997: 5-10).
Lead to contradictory demands being placed on the activities or
operations of such partnerships.
Nevertheless, the partnership approach gained momentum in developed countries
in the mid-1990s, linked as it was to the development of community policing and
the emphasis on community safety and crime prevention. Allied to this approach
was the break with the narrow interpretation that crime prevention was the sole
preserve and responsibility of the (public/state) police. The broad notion of
community safety was premised on the assumption that this would lead to greater
participation in crime control and crime prevention by ordinary members of
communities in the fight against crime. It was also felt that by using the
term safety meant that it was wider than crime per se but also
encompassed the physical and social impact of crime and feelings of insecurity
associated with the perpetration of crime against communities as a whole.
Furthermore, the emphasis was also more on problem-solving and proactive
intervention than merely catching criminals. But as (Wakefield 2003: 53)
states:
Community Policing bears many similarities to the strategies used by private
security in that it is more responsive than traditional policing methods to the
circumstances
that
produce
crime
or threaten public safety. In
effect,
Community Policing, places the responsibility for dealing with less serious
crime and the social problems associated with that expression of crime
squarely with and in the community, with the local police eventually playing
more of an advisory role and only coming in to deal with (reacting or responding to)
more serious crime as it arises in a community. However, in South Africa the policy
of Community Policing required that the local police establish and promote
community safety strategies in collaboration with representatives of the
community, namely through the local Community Police Forum (CPF). In this
scheme there is no real talk of specific partnerships with the private security
sector as such. A final problem associated with partnerships is the lack of specific
accountability structures. More will be said about this later in this article. Having
established some basis for a broad conceptual framework the focus can now be
turned more specifically to the South African situation. In order to contextualise
this debate further the first issue that needs mention is the growth of the private
security industry in South Africa over the last two decades. Growth of the Private
Security Industry in South Africa The rapid growth and expansion of the private
514

security industry in South Africa6is now an accepted fact and cannot be ignored,
argued or wished away. Since the 1970s the South African private security industry
has grown at a rate of anything up to 30 percent per annum. (Minnaar & Ngoveni
2003; Shaw 1995: 4-5). In 1990 the private security industry was valued atR1,2
billion and by 1997 this figure was put at R6-billion (Reynolds 2003) but by
1999, inclusive of vehicle security and tracking and in-house security (large
mining houses, banks, insurance companies etc.) the value of the private security
industry was estimated to be R9-billion. In January 2004 this value was estimated to
be more than R14-billion with estimates as high as R18-20 billion also being
mentioned (Albert 2004: 56). The biggest growth in South Africa in terms of
numbers, particularly over the last five years, has occurred in the guarding sector.
This sector has also seen the largest increase in the number of vehicles
where currently upwards of 40 000 (response) vehicles are in use. The alarm and
response sector is the second biggest with just under 25 000 vehicles. The largest
number appears to be in the in-house sector (which includes municipalities, large
mining houses, oil companies and banks) followed by guarding services and the
alarm response sector. Exact figures for each sector cannot be provided although
estimates in the order of 175 00 for in-house, 165 000 for guarding services
and 50 000 for alarm
The South African private security industry has broadly been divided into a number
of security sectors namely: Security guards (Industrial, residential and
commercial); Specialized security guards (Cash-in-transit); Security guards
(Reaction service/armed response); Security guards (National key points);
Security consultants; Special events security; Security training; Body guarding
(inclusive of VIP Protection); Security control room operators; Security loss
control (inclusive of crime risk analysts) and Entertainment venue control.
Other sectors refer to small specialization such as locksmiths; security technology;
installers of security equipment etc. Within the
guarding
sector
industry
specialization also occurs, for example, casino, airport, hospital, campus
security etc. 20 response sectors were made by Irish (1999: 1, 6 & 7). This was
before the new legislation was implemented requiring the registration of every
service provider and security officer (inclusive of in-house security personnel).7 By 1
June 2004 the whole private security industry had approximately 750 000 persons
registered8 with the Private Security Industry Regulatory Authority (PSIRA) of
whom only 265 000 were described as active security officers (Badenhorst
2004). Approximately 25-30 000 new trained security officers enter the market
every year. According to Berg (2004a: 6) between December 1999 and June 2003
102 168 new security officers entered the industry. The number of active security
officers increased from 115 331 in 1997 to 210 000 in 2002 (Smit 2003: 10).
However, because there is such an oversupply of lower end security officers and
working conditions are poor with low pay there is a large turnover of personnel in
this industry with large numbers becoming inactive (unemployed) or leave the
industry every year. In addition, although a peak of 4 437 registered security
providers was reached in 1997 this number had been reduced by June 2004 to
515

3 553 service providers registered with PSIRA (inclusive of security training

centres countrywide) ([Link], 28/6/2004).
9This reduction in number (for instance almost 1 000 installers had been reduced to
300) was due mainly to buyouts and mergers (Smit, 2003: 10). There were also 22
security associations looking after the interests of particular parts of the private
security industry. In contrast with the private security industry there were
approximately 132 000 people employed by the SAPS on 1 June 2004. Of these
approximately 98 000 were uniformed police officers performing policing functions
(Schnitzler 2004). 7The current PSIRA registrations do not give a breakdown of the
various sector registrations. 8This is the total of registered persons whose names
are contained in the PSIRA database. 9As of 1 June 2004 of this total 554 had been
suspended. Included in this total were 673 Security Training Centres. 21Accordingly
the current ratio in South Africa is approximately 3:1 private security officers for
every uniformed police member.10 one of the crucial factors in this growth was the
concomitant growth in reported crime. After 1994, with the decline in overtly
violent political crime and, for various reasons, the substantial increase in the
reporting of crime, the true extent of violent crime emerged. As a consequence the
fear of crime amongst members of the public soared as did the perception that
criminals were acting with impunity. Violent crimes such as car hijackings, rapes
and murders were reported prominently by the media. Residents felt helpless and
the police, lacking the capacity and resources to deal with the upsurge in violent
crime, appeared to be incapable of dealing with criminality. There was a lack of faith
in the ability of the agencies of the criminal justice system to reduce crime and
punish offenders. Consequently, many people who could afford to engage the
services of private security companies, particularly armed response, did so
thereby continuing the trend that existed before 1994. Private security companies
seemed able to respond faster to calls for assistance. Hence the decline in the
use of state policing by those members of civil society who were better off
financially. However, poorer communities do not have the same access to
alternatives to state policing as they are not able to afford the services of private
security companies. This serves to create and entrench the disparities between rich
and poor. Since it was found that most of the police resources were unevenly
distributed in predominantly white areas a decision was made to reallocate
those resources to previously disadvantaged communities. This shift in emphasis
by the SAPS in primarily black communities also contributed to the growth of the
private security industry. People in these communities who formerly relied on
organs of civil society such as street committees for protection, were now
increasingly unable to maintain those structures, thus leaving a gap which private
security providers were easily placed to fill. One of the unfortunate by-products of
these perceptions in poorer 10Take note that this ratio would have provincial
variations where a high density province like Gauteng not only has the highest
number of police officers (approximately 28 000) but also the highest number of
registered companies and security officers (approximately 125 000).

516

22neighbourhoods (e.g. informal settlements) and in rural areas was the

concomitant growth in vigilante activities ( Minnaar 2001). Simultaneous with the
so-called crime explosion, the South African Police Services or (SAPS) adopted
Community Policing as its philosophy and guiding principle. Part of this new
philosophy was the establishment of Community Police Forums (CPFs) that would
bring the community and the police closer together. The objectives were to
build a relationship where previously one of open hostility existed between the
police and the community. Furthermore, the aim was for each of the parties to learn
to trust each other given their previous history of mutual antagonism and distrust.
In essence there was an acknowledgement by the SAPS that it could not solely carry
the responsibility for crime prevention. Hence, the police were asking communities
to take part in crime prevention. The emphasis on community policing and the
reallocation of resources to townships was perhaps one of the factors
contributing to the expansion of the private security industry in monied areas.
The restructuring of the SAPS has had a profound effect on the level of service
expected by suburban communities and the nature of the relationship between
township communities and the police. A further factor in the growth of the private
security industry in South Africa has been the large scale involvement of this
sector in the public policing sphere, which is also a given, even if at times
denied or hidden. Additionally, this involvement has both negative and positive
aspects, many of the latter being of mutual benefit, not only to the clients that the
private security sector serves but also to the police and therefore indirectly to
the public the latter serves and protects. This so-called privatization of crime
control has in the last five years become far more evident in the South African
situation. The public in many of the more affluent neighborhoods complain about
the disappearance of visible policing from their neighborhoods, i.e. they only
see the personnel of private security companies parked on the street corners or
undertaking patrols, while the SAPS would appear to be conspicuous by their
total absence from residential neighborhoods. In some areas private security is
busy replacing or has already replaced public police. These private security
companies often sell or market themselves not only as a replacement but also as
a supplementary service to the 23SAPS. A case in point has been the provision
of armed response services to private alarm systems. Finally there has been
uneven acceptance or tolerance of this involvement of private security
personnel in policing and crime prevention activities, with certain quarters showing
a great deal of antipathy. A number of arguments for and against private security
playing any role whatsoever are generally put forward (Minnaar 1998).
Regulating the South African Private Security Industry
In the South African context there was an early realization that the growing
private security industry could not be allowed to operate unregulated or
unfettered, with all control being exerted by market forces. In the late 1980s the
state had already become aware of the growth and expansion of the private
security industry in South Africa and the fact that it was largely un- or under
517

regulated. Moreover, the added recognition by the state that this industry
was increasingly performing duties previously within the ambit of the public
police led, the state to the conclusion that the industry needed a greater
degree of regulation and control.
11However, the early pre-1994 legislation was viewed in some quarters as merely
being supplementary to the old South African Police(SAP) in order to allow the latter
to concentrate on keeping the black population under control and to suppress
the burgeoning political unrest of the 1980s. Alternatively the legislation was also
seen as protecting the economic interests of a white-dominated and controlled
industry. Post-1994 legislation was seen by some as a response by the new
government to a manifest need for stricter regulation of this industry (a
detailed description of the applicable legislation regulating the private security
industry in South Africa can be found in Minnaar & Ngoveni (2003); and Berg, 11
The relevant legislation being The Security Officers Act 92 of 1987; Security
Officers Amendment Act (No. 25 of 1990); Security Officers Amendment Act (No.
119 of 1992); the Security Officers Amendment Act (104 of 1997); Private Security
Industry Regulation Act (56 of 2001); the Private Security Industry Levies Act (23 of
2002). 242003). There was also the view that certain operators in the
industry might possibly be behind some of the political unrest of the late 1980s
and early 1990s.
The final position of some commentators was that stricter regulating was needed to
reign in and control a powerful and growing industry, which it was feared
posed a threat to the fledgling democracy. The latter perception arose in
some quarters due to the fact that large numbers of former white apartheid police
and defence force officers some regarded as having strong rightwing sympathies
were now operative and in some cases owning security companies. An
adjunct view was the suspicions in police quarters that there was a growing
involvement in criminal activity of members of the security fraternity. (Schonteich
1999; Irish 1999; Shaw 1995; Blecher 1996; Nina & Russell 1997). These concerns
of the government, in conjunction with the growing involvement of private
security firms in criminal investigations and in particular the allied information and
crime intelligence gathering capabilities and skills that are used by companies doing
in-depth investigations, led the then Minister for Intelligence Services, Lindiwe
Sisulu, to launch a Commission of Enquiry with the brief of conducting a review of
the Regulation of the Private Security Industry. This Commission of Enquiry was
specifically established because of the Ministers concerns regarding the
expansion of the Private Security Industry in South Africa, especially with regard to
the intelligence activities of these companies, as well as foreign involvement in
those intelligence activities (Ministry of Intelligence Services 2004: 2). The foreign
involvement concern was raised as an issue specifically in response to a number of
takeovers of large private security companies in South Africa by foreign
interests in the last three years. Because of the sensitivities around the role private
security plays in South African society, this represented a particular obstacle
518

to extending co-operation in terms of partnership policing between the SAPS

and private security companies in South Africa, particularly to those perceived
to be controlled from outside the country. The further perception around this
issue was the so-called threats to national security or the interest of the state
(Ministry of Intelligence Services 2004:4) that such control might pose. Accordingly,
the main focus of the Commission of Enquiry was to be the statutory
oversight of intelligence services, in particular the intelligence services
category of :

Private Security Companies

Private Intelligence Companies
Private Military Companies
Business/Competitive Intelligence Companies
Private Investigators (Ministry of Intelligence Services 2004: 2).

In addition, the Commission was to look at the actual legality of these intelligence
gathering operations of private security companies. Obviously one concern implied
by this focus was where private security companies were using confidential
information for business or commercial advantage, i.e. making illegal use of
information gathered in the course of the investigations or even gathered illegally
by means of industrial espionage. Hopefully when the Commission has completed
its review it will recommend specific guidelines for the monitoring and
accountability required with regard to the investigation and intelligence/
information gathering operations that private security firms have become involved
in. With reference to the existing applicable legislation which currently regulates the
South African security industry the only point to be made regarding the discussion
in this article refers to the fact that none of the legislated Acts or the Regulations
stipulate nor mention any involvement in policing (joint or partnership policing) or
crime prevention other than where this would involve the provision of
security to a client by means of monitoring electronic equipment, installing alarm
systems and providing an armed response service. Crucially no mention is made of
any of the additional powers or peace officer privileges as requested in the
1997 submissions to the Amendment Act. It therefore still remains the prerogative
of the SAPS to enter into formal agreements for co-operation, outsourcing or joint
policing operations with the private security industry. The National Commissioner of
the SAPS may still, in terms of the Criminal Procedure Act 51 of 1977, under certain
circumstances delegate the powers of a peace officer to private security
officers. This lack of any formal framework regulating the involvement of the
Private Security sector to become involved in traditional policing activities,
albeit in a subsidiary capacity, would appear to be at the root of much of
the problems
26resentments and distrust between practitioners in the two fields of public
and private policing. Much of the distrust and resentment results from the
tremendous growth of the private security sector, as well as the view of the SAPS
view on how it fulfils its constitutional obligations for public (state) policing. Be that
519

as it may, this did not prevent a vigorous debate on the role, if any, of the
private security sector in either assisting or becoming directly involved in purely
policing functions. Allied to this debate was one on privatization, outsourcing
and partnership policing. However, all these debates occurred within the wider
debate on how the new SAPS would police South Africa. The Private Security
Industry and Changing Policing Approaches in South Africa Since the attainment of
full democracy in 1994 and as part of the policy debate on police transformation
and changing approaches to policing in South Africa, quite a robust and vigorous
debate has arisen among police, academics, policy-makers and politicians
concerning the future role of the private security industry. Broadly speaking, these
debates have centered around what exact role private security practitioners can
play in practical terms to either assist the SAPS or even taking over some of its
policing and crime prevention functions (Minnaar 1999).
The debate has also become part of the constitutional, political and crime
combating/prevention debate about the role of the police in South African society.
An important factor or issue influencing this debate was the operational changes
made to the way the SAPS-policed society. Post-1994the South African Police was
changed from a Force to a Service. To assist this transformation and to move
away from the apartheid era in which the police was used by the state as an
instrument of oppression and repression, it was envisaged that a strong oversight
and co-operative role would be played by communities whereby Community
Police Forums (CPFs) would be established in each community to assist and
advise the police on how to police their specific community. This type of policing
was encapsulated within the acceptance by police management of a new policy on
Community Policing. However, as the operational limitations and implementation
27obstacles became apparent, there was a subtle move to redefine
community policing, and the SAPS policy makers began to make use of the
term visible policing to define the way that they were dealing with crime at the
community level, i.e. instituting more foot patrols and being in closer contact at
street level with communities. At the same time visible policing was supported
by the launch of special operations like Operation Crackdown. In essence these
were nothing more than high-density, high visibility operations.
12But in time visible policing was further refined and adapted to a more longterm proactive form of policing to become Sector Policing, which has been
described as the practical result of the original SAPS policy of community policing
and an extension of the concept of visible policing. The 1998 White Paper on
Safety and Security was the first official policy document to define sector
policing describing it as the division of areas into smaller managerial sectors and
the assignment of police officers to these areas on a full time basis. These police
officers regularly patrol their own sector and are able to identify problems and seek
appropriate solutions. (Department of Safety & Security 1998: 13). The intention
then of sector policing being to encourage constant contact between the
SAPS with members of local communities. According to Dixon and Rauch
520

(2004: 1), the most important aspects of sector policing are its local
geographic focus, problem-solving methodologies and community consultation.
At the end of 2003 the SAPS sent out a directive to police stations across
the country to start implementing Sector Policing, which basically entails
dividing police station jurisdictions into geographical sectors each staffed with
a dedicated team. According to Steinberg (2004) the aim of Sector Policing is
to:
12These special operations like Operation Crackdown were premised on the fact
that more than 50% of crime occurred within the policing areas of about 12% of
South Africas police stations (145 out of 1 136 stations). The idea behind Operation
Crackdown and the more recent Operation Tshipa was to assemble a massive
national task force and saturate these identified crime hot spot areas with large
numbers of visible police in order to carry out frequent roadblocks, cordon-and
search operations and vehicle and premise searches. 28[I]improve neighborhood
policing, which the police have been struggling to accomplish for the past
decade. The idea is that grassroots cops will begin to understand micro level
crime patterns and tackle them with creative problem-solving techniques; this will
draw police into constant communication with their constituents and help them
understand the public as clients and themselves as service providers. In essence
Sector Policing is an amalgam of past policing initiatives drawing on elements of
CPF structures, community policing, visible policing, special operations, crime
analysis and intelligence-led policing. It also creates a perfect platform for the
involvement and integration and co-ordination of the policing activities of
certain sectors of the private security industry. Accordingly, within all these policy
changes there were persistent calls by the private security industry to be allowed to
play a larger role in assisting the police to combat and prevent crime or at least to
allow the outsourcing of certain services still being provided by the SAPS, which
could very easily be outsourced without compromising any strictly policing functions
of the SAPS. As a consequence, since 1994, with reference to private policing,
two policy debates emerged, namely whether any policing activities should
be either outsourced, privatized or civilianized (Minnaar & Mistry 2004); and
alternately whether private security could become more directly involved in
policing by means of so-called partnership policing. While the concurrent process
of regulating the industry more strictly was taking place, the SAPS, in an effort to try
and accommodate calls from the industry for more co-operative crime prevention
(Minnaar 1997), coined the term partnership policing whereby it was hoped to
somehow allow for private security to either assist or be directly involved in
certain
crime
prevention
aspects
of
public policing. But this so-called
partnership policing was only to be established on the SAPS terms, i.e. Strongly
controlled and directed by police managers at police station level.
Partnership Policing
As the transformation of the SAPS took hold during 1995-1996, the private
security industry also came under pressure to become more accountable and
521

29relevant to crime prevention functions. These changes also fell within the context
of state moves to increase regulation of the industry. Accordingly in 1995 and 1996
the SAPS were approached by a number of individual security firms with requests
for the formation of partnerships with them on an ad hoc basis. Although
partnerships with the private sector is provided for within the 1996 National
Crime Prevention Strategy (NCPS) programme on environmental design and
maintenance, and such partnerships are also in line with the support initiatives put
forward by Business Against Crime (BAC) and other private sector role-players,
currently there are still no fixed policy guidelines as to how such
partnerships should be formalized. There are also a number of practical and
legislative constraints to the operationalisation of any such partnerships on a formal
basis. While the 1998 White Paper of the Department for Safety and Security
emphasizes the role and involvement of other new role-players outside of the
SAPS within a framework of social crime prevention programmes, (Department of
Safety & Security 1998: 5) this White Paper does not spell out how this will be
implemented in practical terms for the private security industry in South Africa. In
terms of partnerships the White Paper merely states that, with reference to
visible policing, the capacity to implement visible policing be augmented
through partnerships with local government (Department of Safety & Security
1998: 13) (underlined for emphasis). The implication here is that this would be done
in conjunction with the proposed metropolitan or municipal policing structures.
Furthermore, the White Paper does not provide a practical guide to private-public
policing even though it explicitly mentions the private security industry in terms of
being a partner against crime: Another important element of safety and security
in democratic South Africa is the necessity to enhance the spirit of voluntarism in
our country. There are many important partners in the fight against crime. These
include, among others, organizations of civil society, particularly business and
community organizations, citizens who volunteer for service as Police
Reservists as well as the private security industry which performs a useful
role. The role of such players is, in principle, one of partnership with the State. For
this reason, greater attention will be paid to their role in the safety and security
environment in future policy processes (Department of Safety & Security 1998:
7) (underlined for own emphasis).
30Finally, the White Paper refers only to areas of intervention to ensure
effective crime prevention by way of Community Crime Prevention where: These
interventions involve communities taking responsibility for crime prevention in their
own neighborhoods. Such interventions involve localized programs, which mobilize
a range of interest groups to address crime prevention on a town or city basis.
Projects could include improving surveillance through schemes such as car guards
or community marshals (Department of Safety & Security 1998: 17).
It would appear that the above created some sort of opportunity for the
private security industry to engage in crime prevention exercises at a community
level. However, as in the past, no legal or regulated framework for such initiatives
522

was established or proposed at all. The implication within this omission is that any
such action would actually occur in a legal and practical vacuum. According to Julie
Berg: [G]government policy in terms of the National Crime Prevention Strategy,
1996 and White Paper of Safety and Security, 1998 refer to the partnering of the
community and the responsibility of communities to respond to the crime threat.
However, the nature of this proposed partnership is never detailed in terms of
resourceuse; policing powers; competition and the profit motive; community
interest; forms of policing and how these should be regulated and held
accountable; and in broad terms the role of the state versus the role of private
initiatives-whether for-profit or notforprofit (Berg, 2004b). In addition, there
remains uncertainty in a number of quarters as to precisely what kind
of
support/co-operation or service would be provided by the security industry to
the police. Moreover, the wide diversity of services provided by the general private
security industry in South Africa further complicates the matter. Although a number
of so-called joint or co-operative partnership initiatives have already been launched
between certain companies/individuals and police stations at a local level, these
have proceeded without the formal recognition or approval by the South African
Police Services management and also without due acknowledgement to the legal
implications13of such actions. 13 Briefly these legal implications refer to civil
and public liability, as well as peace-officer powers. For the private sector to
provide assistance to the police beyond just the provision of 31There is, in
fact, no formal national co-operation agreement in existence between the SAPS
and the Private Security Industry.
14 Accordingly the outsourcing of some of the operational functions of the SAPS is
at best problematic. There is also no mandate from the South African Police
Service that supports or provides guidelines regarding the expected standard
service delivery in terms of outsourcing any policing functions to the private
security industry. Moreover, there are no clear guidelines regarding the role of the
Security Industry and the police or any clear-cut instructions defining the exact
relationship between these two entities. However, irrespective of the lack of a
formal framework for Partnership Policing a substantial growth of private policing
functions has occurred and this has accelerated over the last few years. Outlines
of selected examples of this private security infiltration into the sphere of policing
are provided below. Growing Involvement in Public Policing In the post-1994 period
feelings of insecurity and fear of crime among most South African citizens continued
to permeate public perceptions (this is confirmed by a number of public surveys
by the Human Sciences Research Council and more recently victim of crime
surveys undertaken by the Institute for Security Studies).15 As a result an
ever-increasing number of South Africans are making use of private security
companies to protect themselves and their property. According to Irish (1999),
the South African private security industry was increasingly performing
functions which used to be the sole preserve of the police. (Irish 1999: 1).
Information or being the eyes and ears for local police is still legally guided by the
existing powers extended to members of the public, i.e. they have no additional
523

powers legislated specifically for this industry. For a more detailed discussion of
these issues see Minnaar, 1997.
14There are, however, ad hoc agreements for co-operation between individual
companies and the SAPS. One notable example is that of the Tracker Vehicle
Recovery Company (see later section). 15 The
results,
inter
alia
about
perceptions of safety and security, of the most recent victims of crime survey
(2003) conducted by the Institute for Security Studies is contained in Burton, P., Du
Plessis, A., Legget, T., Louw, A., Mistry, D. & VanVuuren, H. 2004. National Victims of
Crime Survey, South Africa 2003. ISS Monograph No. 101. Brooklyn: Institute for
Security Studies. July 32Furthermore, with the refocusing of the policing
approach of the SAPS in the post-1994 period more and more SAPS resources
were also channeled into crime priority areas such as drug trafficking, car
hijacking, violent crimes using illegal firearms and the activities of criminal
organizations, which in turn lessened the resources available for visible policing
in
residential
areas
(particularly
the more affluent, previously white
neighborhoods). Accordingly many people (the private security industry, municipal
authorities, businesses, the public and the police) in some form or another
utilized and made use of the resources offered by the private security industry in
the fight against crime. Such security services mainly revolved around
security villages, gated neighborhoods/enclosed areas and armed patrols of
residential areas by private security personnel. (For more detail on the
growth, impact and crime reduction role played by gated neighborhoods and
security villages see Landman 2002a and 2002b; Landman & Schonteich 2002;
and Naude 2004). Among the more visible replacement of police in certain
security functions have been those of responding to alarms;16the provision of
CCTV services in CBDs; certain types of investigation services; security
services at gated neighborhoods/enclosed areas and security villages, and
vehicle security and tracking. While in a number of areas successful partnerships
were launched these were on an ad hoc basis and dealt largely with co-coordinating
response to alarms, sharing information coming to private security company control
rooms, vehicle tracking and recovery, operating CCTVs in CBDS (currently largely
limited to the main metropolitan areas of South Africa) and in some cases
providing transport for shared visible police patrolling of residential neighborhoods.
Inner City Partnerships/City Improvement Districts one form of joint policing has
been the projects launched by CBDs in the major metropolitan areas by municipal
police, SAPS and business. Two examples of these projects are mentioned here,
namely Pretoria and Cape Town.
16Over the last five years the private security industry in South Africa has almost
entirely taken over the function of responding to private alarm activations. 33In
Pretoria a joint project between the SAPS and the Pretoria City Council, called
Operation Kwano (a Northern Sotho word for co-operation or the joining of
hands), has assisted the fight against crime in the inner city. The Kwano concept
was originally implemented as a once-off anti-crime operation in the inner city of
524

Pretoria during the Christmas holiday season of 1996. Besides additional police
patrols private security guards were placed on tourism routes to co-operate with the
special SAPS Tourist Protection Unit. But with the establishment of the Pretoria
Inner City Partnership (PICP) it was decided to reinstate Kwano on a
permanent basis in 1997 and during 1998 more private security guards,
specifically to patrol the tourist routes of the CBD, were appointed. Two security
companies are under contract to the Kwano Forum to provide guards to protect in
particular tourists, especially along the official tourists routes used by them,
as well as shoppers in the CBD. Members of the SAPS Sunnyside and Central police
stations and the city council's Traffic Safety and Security Services (now the
Tshwane Metro Police) meet weekly to plan joint operations and share
intelligence to combat crime. The Crime Prevention Unit of Pretoria Central
Police Station is now served by four support units namely a Crime
Combating Unit, a Tourist Unit (which patrols in the PretoriaCBD together with the
tourist guards hired by the PICP.) This initiative is funded by contributions from
the more than 300 stakeholder members of the PICP. The tourist guards were
dressed in blue uniforms with bright bibs and were in constant communication with
the police during their patrols. Some of the guards had dogs and were armed with
guns and batons, but had the same powers and authority as ordinary citizens. In
May 1998 54 such guards were deployed to patrol the Pretoria CBD. An
additional 92 were appointed later in the year to patrol such areas as Sunnyside and
Marabastad, a Mobile Unit (which supplies policing and protection services on trains
in conjunction with Metrorail's Protection Services Department in the Pretoria
area; Metrorail's Protection Services Unit in Pretoria itself has 40 members
which are supplemented by the hiring of an additional 228 private security
guards), and a Business Watch Unit. One of the reasons for the continued success
of Kwano has been the fact that the SAPS (Sunnyside and Pretoria Central
police stations) have established specific alliances with certain sectors of the
community.
34Another initiative of the Sunnyside police station was the launching of the
Comrades Neighborhood Watch involving specifically domestic workers these are trained in crime prevention and then form a network of domestic
workers throughout the area linked to the police station and thereby becoming the
eyes and ears of the police. The Kwano Operation is one of the models upon
which community co-operation and the use of private security can be established
for neighborhood crime prevention (Anon 1999; Municipal Reporter 1998a &
1998b; Webb 1998; Anon 2001).
A more recent development (2000) has been initiatives like the City Improvement
District (CID) in Cape Town where the city managers instituted a whole
programme of urban renewal for the urbanized areas of Cape Town. One
objective was to concentrate on the effective provision of services inter alia
security, in order to reduce crime and thereby create an environment in
which business can thrive. In these district initiatives property owners agree to an
525

additional assessment to raise funds to pay for a variety of services. Most of the
Cape Town CIDs17have opted to contract private security companies to perform the
security service in their area. According to Berg (2004a: 6-7), because of the
security demands and the hiring of security companies by the various CID
managers, the SAPS and the private security companies were unintentionally
forced to co-operate in the provision of policing and security services in
these CID areas.18 Before the implementation of the CID areas in Cape Town
there 17Only one of the CIDs (Wynberg) opted for community police officers or CPOs
instead of private security. These CPOs are trained police reservists who have been
given police training, uniforms and weapons, but are paid from the CID raised
funds. However, they have the same powers as SAPS officers but with a
more community-orientated approach to their policing by providing a
community service (Berg, 2004: 7)
18The Central City CID, the largest of the Cape Town CIDs, paid for and appointed
(in October 2002) 160 permanent security officers that patrolled the Central City
CID area in shifts with 10 horse-mounted patrols and five dedicated patrol vehicles.
This enabled round-the-clock surveillance and response with one roving/backup
vehicle. In addition, in full co-operation with the SAPS a central 24-hour operations
control centre serving a 72-camera surveillance network was established. These
security personnel were backed up by 45 SAPS personnel from the Caledon
Square Police Station (Anon, 2002a: 28 & 36). 35apparently existed very little
standardized co-operation between the SAPS and private security in the Western
Cape (Berg 2004a: 6-7). As a result of the CID initiatives a form of informal
agreement emerged between the SAPS and the security companies hired by the
CID managers. In the Berg study of the Western Cape CIDs, it was found that the
nature of this agreement was largely cooperative and interactive (Berg 2004a:
8). In the Cape Town CIDs it would appear that the security companies are
also subordinate to the SAPS. Private companies interviewed by Berg did not
take over the duties of police officials but rather supplemented the police in that
they provided additional manpower while concurrently having access to better
resources, such as vehicles and more sophisticated equipment, that are used
to assist the SAPS. But within this relationship there is a strong element of constant
communication, not only at street level but also by means of regular
meetings between the two groups held at the local police stations, private
sector participation in the Community Police Forums (CPFs), and the establishment
of linked radio networks. In addition, operationally there are jointly organized
operations and roadblocks and a general sharing of information and intelligence
(the sharing is reciprocal with the security companies sometimes phoning the
SAPS to offer their services while at times the police would phone them to ask for
assistance). Some of the SAPS members interviewed by Berg openly
acknowledged that the better-equipped private companies are certainly of
significant assistance to the police who are usually under resourced and burdened
with high case- and workloads. But as Berg noted, these relations between the two
sectors has largely relied on the personal efforts of individuals from both sectors
526

(Berg 2004a: 9). Cape Town also has a network of Crime Watches other than
the above CIDs, some of which emanated from the old Rent-a-Cop system used
in the CBD in the mid and late 1990s whereby reservists were paid to
undertake crime prevention patrols or stand guard at warehouses. However, this
programme was disbanded in 1999 when it was found that certain police reservists
would report for duty at a police station, be issued with a police firearm and would
then go off in uniform to guard or patrol only the area or building of the company or
private individual/s paying him.
In other words, they would in fact not be
performing their strictly police duties as a police reservist. Irrespective of its
disbandment a number of CPFs and Neighborhood Watch Associations set up
more formal Crime Watch structures specifically to supplement under resourced
SAPS in their areas. Their operations included a monthly levy which was collected
from local businesses and households. These funds were then used not only to
buy equipment but also to pay police reservists to undertake patrol and other
crime prevention responsibilities in their neighborhoods. Some serving police
officers also moonlighted for their local Crime Watches on their off days to
earn additional money. Things came to ahead in August 2004 when the Western
Cape Provincial Commissioner, Mzwandile Petros, issued an instruction
disbanding those Crime Watches that employed and paid for police reservists,
as well as summarily dismissing such reservists from serving in the SAPS. At issue
here was not only the payment of police reservists but also their use of police
vehicles and equipment to essentially undertake private policing. What often
happened was that a local Crime Watch would purchase and donate a vehicle to
their local police station and then expect that vehicle to be booked out to their
Crime Watch police reservists. This not only skewed the allocation of scarce
resources, i.e. wealthy areas made use exclusively of these donated resources, but
fuel and tyre costs had to be funded by police putting additional strain on
already stretched police budgets. Fact of the matter is that all these activities are
in contravention of the Police Act (Hartley & Smetherham, 2004). The disbandment
of these Crime Watches was strenuously opposed by the Crime Watches across the
Western Cape. Many of them had in fact supplied their local police stations with
equipment and signed formal contracts with them to use the equipment and the
reservists to patrol their areas. According to Craig Ginsberg, founder of the Sunset
Beach Crime Watch in Cape Town, the Western Cape Crime Watches made up
one third of the active policing in the Western Cape [while] in some areas
they make up 60 percent to 70percent of the active police force (Smetherham &
Hartley 2004). Some of these Crime Watches claimed that their areas had
seen decreases in crime in their areas since the inception of the crime watches of
between 40 and 80 percent. But soon after these closures locals were expressing
fears that crime was again rising in their areas (Smetherham & Hartley 2004). The
crux of the problem 37would appear to be the payment of the policing
services of reservists (and moonlighting police officers) as well as the use of police
equipment and vehicles to undertake their patrols and responding to crimes as
members of the police and not as paid-for private security personnel. As a result
of this, new guidelines were issued by the Western Cape Provincial Commissioner
527

Petros, in which he outlined a new way for the crime watches to operate. In brief it
came down to the fact that new crime watches would not be issued police radios
or police vehicles with which to respond to crimes, or be allowed to employ
(i.e. pay for) policemen with powers of arrest, but were allowed continue to
function purely as neighborhood watches that patrol and keep a lookout for
criminal activity which then had to be reported to the local police station for
them to respond and make any necessary arrests (Hartley & Smetherham,
2004). So once again effective private-public partnerships in the sphere of
policing foundered. This was directly as a result of disallowing the crime
watches from using those of police powers that make for effective policing,
irrespective of the fact that they were privately paying for those policing powers
(responding directly to crime, making arrests, collecting evidence) necessary
to act as a deterrent to crime. What remained were the crime prevention functions
of visible patrolling and reporting suspicious activity. The only way the crime
watches could continue to operate was for them to adhere to the Private Security
Industry Regulation Act of 2001 and the South African Police Service Act of
1995. In the case of the former legislation, by definition, these crime watch
patrols were functioning as a private security company and should therefore either
have applied for exemption or register with PSIRA. In terms of the Police Act
there are various requirements regarding the use of state resources, badges,
uniforms etc. Responding to Alarms Responding to burglar alarms (from private
homes, businesses and factories) is strictly speaking viewed as part of the
polices activities in combating and preventing crime. But over the last
number of years this has more and more devolved down to private security
companies. In essence, one could say that this function has become outsourced
although not for the account of the SAPS. 38However, the takeover of this
function by private security companies was more by default than by design. In the
alarm response field what has happened over the last few years in South Africa is
that various private security companies have established their own armed
reaction units or a reaction ability specifically regarding alarm systems. As this
sector of the private industry expanded in the early 1990s, most private alarm
systems linked installed alarms not only to the radio-control centre of the security
company providing the system or their rapid armed response service but also
directly to the local police station. (Alternatively telephones were programmed to
automatically dial the local police station if the alarm was activated.) This
was done since legally the SAPS has a responsibility to attend to alarm occurrences.
Hence if an alarm is set off the police are obliged to respond. In reality what the
police have found is that a large percentage of such call outs are false.19As a
result some local police stations have insisted on either being delinked or
that the private security company first screen every alarm activation and
only forward positive calls (or panic/emergency calls) to them for the SAPS to
actually attend to such a call out. In essence such practices have lessened the
burden on the police to respond to every alarm activation by transferring the
onus of first response to the private security company providing the service. An
extension of the linking of alarms to the security companies control rooms has been
528

the implementation of a linked communication and information reporting

system. This system was first piloted in 1997 in the city of Durban but re-launched
in 2002 and is called Securinet.20This system directly links security companies in
the city to the police (SAPS and Durban Metro Police) and the protection
services of the city (ambulances, fire brigade, civil protection and municipality). This
is all about spreading information with serious crimes reported to the police 19From
a number analyses (see Minnaar, 1997 for moredetail) of time spent by SAPS
reaction units in attending to false alarms it became obvious to the police
that a great deal of time and money is wasted on this. In certain areas a
large percentage of alarm occurrences proved to be false, in some areas as
high as 90% have been found to be false. 20Securinet is the brainchild of KwaZuluNatal branch of the Professional Security Council (PSC) of South Africa. 39being
passed on to security personnel of the companies linked to the Security net
network. In essence, the business sector would act as additional eyes and ears by
potentially linking 35 000 security guards in KwaZulu-Natal to this
communication and information network. In this way they could play a significant
role as a deterrent and thereby combat crime by alerting the police whenever they
spot any suspects on the reported list supplied by the police. Security net
uses a computer (e-mail) and cell phone system whereby the police radio control
rooms send out e-mails and SMSs (via internet and GMS cellular network) to
the security companies on the network (Anon 2002b). In Johannesburg another
scheme to harness cell phone technology was launched in 2001 as eBlockWatch
whereby a network system using cellular telephones can send crime alerts via SMS
to signed-up members cell phones. These crime alerts include everything from
attempted hijackings to burglaries. Its founder, Andr Snyman, stated that he
wanted to use the system as a crime fighting tool ([Link]
1/6/2004). Surveillance in Central Business Districts by Closed Circuit Television
(CCTV) Outsourcing by default has also extended to the provision of CCTV
surveillance in a number of Central Business Districts (CBDs) in South
Africa.2121CCTV cameras funded by Business Against Crime (BAC) have been
installed in the CBDs of Cape Town, Johannesburg, Pretoria, Durban, Port
Elizabeth and Kimberley with a number of smaller municipalities installing their
own smaller systems. The BAC CCTV in Cape Town started with a pilot 12 camera
project launched in December 1998 while a full 75 camera footprint covering
Cape Town City Centre was commissioned in December 1999; a fifteen
camera pilot system in the Johannesburg CBD was commissioned in April
2000 and has subsequently been expanded considerably to cover most of the
CBD of Johannesburg. These cameras are linked to a BAC controlled monitoring
room to which the SAPS have access (For more detail on the implementation
of BACs CCTV surveillance systems in CBDs see Penberthy, 2001. This paper can be
viewed at [Link]..zaunder publications/Papers of the 2ndworld
conference papers) In Durban the CCTV project known as Eye-in-the-sky is a
joint project between the Durban Metro Police, BAC and the SAPS. In 1998 it
consisted of 15 cameras along the beachfront, 23 in the CBD and 15 around the
International Convention Centre (Anon, 2002b). A pilot CCTV surveillance system
529

was installed in the Pretoria CBD in 2000. 40Such outsourcing and the funding of
installation and running costs has been a boon to the SAPS in that while they do
not impinge on policing functions on the ground, they provide an additional
support service for the Service without requiring any financial outlay or
expensive infrastructure. Accordingly, the police have encouraged such anti-crime
surveillance and monitoring services without outsourcing or losing any policing
functions. BACsstated intention in the field of Surveillance Technology is to
work with the lead law-enforcement agency, the South African Police Services,
in the first instance, in order to provide the technological tools that will assist
the SAPS and other law enforcement agencies in ensuring the most economic and
effective use of manpower. (Penberthy 2001: 1). In the BAC- administered control
rooms a system hasbeen developed whereby the CCTV operators22are trained in
risk profiling, non-verbal communication (as exhibited by the public under
surveillance by the CCTVs), surveillance techniques and incident management
all supervised by an incident manager. Their control rooms, besides all the
individual monitors, are equipped with one big screen on which an individual
monitor picture can be shown. Furthermore, each BAC control room also has
one police officer from the SAPS on duty (assigned by the local police station)
with an eight-hour shift rotation (i.e. three rotations) of different officers. In addition,
the area covered by the CCTVs has a dedicated police vehicle assigned to it. If any
incident in the making is observed by the CCTV operators the police officer on duty
in the control room can radio the patrol vehicle immediately and dispatch it to
the potential crime scene. Accordingly the BAC system allows for immediate
ordering of a reaction and there is no communication problem or time delay in
responding (Rogers 2004). The BAC CCTV systems have lead to a considerable
reduction in reported crime in the CBDs where they have been installed. In the
Cape Town case study the system not only replaced the use of 450 police officers
patrolling the CBD with 25 police officers on three eight-hour shifts (representing a
considerable saving in manpower and costs), but in the first year of operation the
full 75-camera system 22Paid for and trained by the commercial company setup by
BAC to install and finance the CCTV systems operated by them. 41led to a
reduction of 38 percent in reported crime from the area with a predicted reduction
of 80 percent by the end of the second year (Penberthy 2001: 7).
Private Investigations
There are other areas where the provision of private security has made inroads. It
has become common practice in South Africa, for those who can pay, to hire
private investigators to complete investigations i.e. Do their own investigations,
collect evidence and find suspects or even recover stolen goods. A number of high
profile murder cases have been solved in this manner by hired private
investigators. Since the SAPS detectives they do not have the time to investigate
every docket, and in such instances victims are often prepared to hire a private
investigator. Sometimes these investigators have been provided with clandestine
access to a docket, or have make use of state resources such as criminal records
530

and fingerprints files, which are supplied by contacts in the police, to eventually
hand over completed investigations to the SAPS for prosecution. In other cases
private investigators are called in by companies to resolve internal fraud
cases (without the attendant publicity and possible embarrassment of exposure).
More and more companies in fact hand over the completed investigation to the
SAPS, particularly because there has been such a low conviction and success
rate in police investigated cases dealing with commercial crime. Many of
these commercial crime cases are complicated fraud or embezzlement cases,
or even computer fraud wherein the SAPS simply does not have the requisite
forensic, technical and commercial expertise to investigate the cases properly.
Many organizations also conduct their own investigations on so-called petty
crime. The insurance industry
for example routinely conduct their own
investigations and only where fraud is proven do they hand over such cases
for criminal prosecution. Some big mining and industrial conglomerates (like
Anglo American) even appoint their own legal experts via the National
Prosecuting Agency (NPA) as prosecutors in certain cases where the company is
involved, i.e. pay for the prosecutor, in order to assist the state to obtain
convictions. In terms of the private investigation field the widespread use and hiring
of private investigators so that these crimes can be solved has become
commonplace. A number of purely investigative companies have been established
in the last five years. These have largely been staffed by ex-police officers and are
dedicated to the investigation of criminal and other cases for the specific aim of
building cases that can simply be handed over for prosecution on completion.
23Vehicle Tracking and Recovery Concomitant with the growth24of the crime of
vehicle hijacking in South Africa during the 1990s (For detail of vehicle hijacking
in South Africa see Minnaar 1998; and Minnaar & Zinn 2000) and allied to the
high rate of vehicle theft25, the vehicle tracking and recovery company sector
also developed. As hijacking of vehicles escalated security companies installed
more and more sophisticated electronic and immobilizer systems to thwart
potential hijackers and car thieves. The way these tracking and recovery
companies operate has, in effect, released police from dealing directly with a
large proportion of hijackers and car thieves. However, this is only applicable to car
owners that can afford the installation of the sophisticated systems and the
monthly service retainer that all companies charge. Although special antihijacking police units were established to patrol the 23Interestingly, two of the
biggest such companies are those headed by a previous National Police
Commissioner (1994-1999), George Fivaz (Fivaz Associates) and Commissioner
Basie
Smit (National Investigation Associates), a former National Head of
Detectives. Another big company Justicia Investigations makes specific use of
intelligence gathering capabilities and polygraph testing for the purposes not
only of pre-employment and applicant screening but also for statement
verification, locating hidden assets, obtaining investigative leads, narrowing a
list of suspects and obtaining evidence for use in criminal or labour courts
(Justicia Investigation website at [Link], accessed 15/6/2004).
531

24For the period 1995-2003 an average of approximately 15 000 motor vehicles

and 5 000 trucks were hijacked annually in South Africa for a ratio of 35 (cars) and
11 (trucks) per 100 000 of the population the highest rate in the world. (SAPS
website at [Link]) (Accessed 1 June 2004). 25 For the period 1995-2003
an average of 98 000 motor vehicles were stolen in South Africa giving an
average ratio of 240 per 100 000 of the population (SAPS website at
[Link]) (Accessed 1/6/2004).
43major highways in Gauteng26the
majority of recoveries of hijacked and stolen vehicles was undertaken by vehicle
tracking and recovery companies.
Insurance companies have also encouraged owners to fit these tracking
devices and for owners who do so, insurance companies reduce monthly
premiums accordingly. In short the system works as follows: A signal can be sent by
the company that fits a tracking device in a motor vehicle via a network of satellite
and high-site radio masts to switch on the tracking device in a stolen or hijacked
vehicle. The car thief or hijacker will therefore be unaware that he was driving a
tracker-fitted vehicle and the company can activate its tracking and recovery team.
Alternately, some companies rely on a phone-in system, whereby the customer is
required to advise the company of a theft or hijacking. At that time the control
centre will activate the tracking device and proceed with the tracking and recovery
operation.
Tracking systems are becoming increasingly sophisticated, with some companies
having now fitted the capability to some vehicles for internet tracking. By
utilizing the latest web-based technology, tracking company customers are able to
track the movement of their own vehicles (very handy for trucking companies or for
positioning of a family vehicle if concerns arise about where such a vehicle
26Seventy percent of all hijackings occur in this province being the economic
heartland of South Africa with the highest level of car ownership as well.
Coincidentally it is also the centre of hijacking syndicates being conveniently close
to major routes to borders where hijacked vehicles are smuggled over the borders
into neighboring countries.
The three major companies that dominate the South African market Tracker
(became operational in October 1996), Netstar and Matrix claim a high
recovery rate for their clients vehicles. One of these companies, Tracker,
recovered 20 000 vehicles over a seven year period (1996-2003) which also
resulted in almost 4 500 arrests including bringing down more than 80
syndicates and over 120 chop shops (panel beating or second hand parts
workshops where vehicles are cut up). Just the Tracker recoveries represented a
saving of almost R2-billion (cost of replacement of stolen vehicles) to the South
African economy. At the same time this company had approximately 260 000
vehicles on its books ([Link]. Accessed 17/6/2004). On average
tracking companies in South Africa recover between 10-15 000 vehicles every year.
28 Technical details of the various systems can be obtained from the
websites of the Tracker, Netstar and Matrix companies at [Link];
532

[Link]; and [Link]. Information accessed on 17/6/2004.

44might be), simply by logging on to the company website. Additionally, this
Internet tracking facility can now also be accessed by means of a cell phone (the
latter system utilizes a combination of Global Positioning Satellite (GPS) and the
cellular network (GSM) technology together with the Internet. Most of the major
tracking companies also provide an early warning system service to customers.
With this system the car owner does not have to telephone the tracking company if
the vehicle is stolen. The vehicle is fitted with a remote arming device. If the unit is
armed and any of the doors are opened, the ignition is forced, or the vehicle towed,
away the unit will start transmitting a distress signal that the companys control
centre will pick up either from the stationary position or from the moving vehicle.
The control centre will then try to contact the owner; if they fail to make contact or
if the owner is unsure of the status of the vehicle; the company will respond and
attempt to recover the vehicle. Some early warning systems also have a concealed
panic button. If this is activated the company will pick up a hijack panic signal and
institute an emergency response to the hijacked vehicle. All the major tracking
companies have agreements with the SAPS in terms of responding to stolen
or hijacked vehicles. While responding themselves to the activation of a signal,
the companies will at the same time communicate directly with the local SAPS radio
control rooms so that any police units in the area can also respond to the stolen
or hijacked vehicle and possibly set up their own roadblocks and give chase to
the suspected stolen vehicle. The three big national tracking companies all have
control centres all over the country while operate 24 hours a day. These centres coordinate the ground and air-recovery operations2929Response and recovery teams
usually consist of highly trained recovery personnel that are able to respond at
immediate notice. Basically each team would consist of a driver and a tracker, who
uses mobile tracking equipment to locate the signals from a stolen vehicle.
These teams will retrieve stolen vehicles from any location in South Africa. Whilst
they may at times work in conjunction with the SAPS, they do not rely on
the overburdened SAPS to recover their customers vehicles. The ground
recovery teams (in the case of the big three) are usually backed up by Air
Recovery Teams largely making use of helicopters but also having fixed wing aircraft
around the country. The air recovery teams consist of the aircraft pilot and
the air tracker. The tracker is responsible for locating the signal, guiding the pilot
and the ground crew to the stolen 45 and communicate and liaise with the police.
One company in particular (Tracker) has a more formal co-operative agreement
with the SAPS whereby they have sponsored the Police Tracking Computers
(PTCs) that have been fitted to the vehicles and aircraft of numerous police units
throughout South Africa.30Border posts throughout South Africa have also been
equipped with such PTCs. Any of these vehicles, aircraft or border posts that are
within ranges of a stolen or hijacked vehicle is able to pick up the signal being
emitted from the tracking unit activated either by the company, owner or the early
warning system. This enables them to locate and recover the vehicle. Tracker has
provided training in the art of vehicle tracking to police members in the units fitted
with PTCs, while the company also maintains and services the Police Tracking
533

Computers installed in all the Police vehicles. This form of partnership policing
has over the last few years worked well with a good working relationship being
established and numerous successes in the recovery of stolen vehicles and the
apprehension of suspects being achieved.
All in all the establishment of the South African stolen vehicle tracking and recovery
industry in the early nineties has played a significant role in combating crime.
There are a number of other instances where the private sector has evidenced a
growing involvement besides the examples mentioned above. One of the more
important areas has been that of protecting cash-in-transit and preventing
bank vehicle, and communicating with the control centre. With the use of the
sophisticated tracking equipment that replicates a network, the aircraft is able to
track and locate vehicles that may have left the urban communication signal
network. The boast of these tracker companies being that they are on average
able to recover vehicles in under an hour (See [Link]. Accessed 17
June 2004). 30These are units such as the Anti-Hijack Unit, the Dog Unit, the Air
wing, the Highway Patrol, the Vehicle Theft Unit and the Flying Squad. 31Where
arrests are made by tracking company personnel they are immediately handed over
to the SAPS with the security personnel involved submitting an arrest statement
with the opening of the case docket by the police. 32 The industry has assisted
the SAPS in reducing the number of annual vehicle thefts from approximately
107 000 in the 1998/99 financial year to just over 93 000 in 2002/03
([Link]) 46robberies.33A number of specialist companies in this field
have lead the SAPS in terms of providing more sophisticated equipment for the
protection of money in transit. For instance hard-skinned (armoured) vehicles now
have the capabilities for rearview video camera surveillance, timed release of
gas inside the vehicle after penetration, dye release on opening cash boxes,
etc. all in an effort to provide better protection and stay ahead of the
criminals, as well as foil would be cash-in-transit robbers. In addition, in 2002 the
South African Banking Council set up a private company, the South African
Banking Risk Intelligence Centre (SABRIC) (Pty) Ltd, to collect and analyze
information on the modus operandi, location and type of cash-in-transit and
bank robberies in order to develop solutions and strategies to prevent this type
of crime (Steyn 2004).34Moreover, the sheer growth in the installation of more
sophisticated commercial alarm and access control systems in factories, shops and
shopping complexes; the expansion of guarding services at the shopping malls and
in shopping car parks; the increased use of more sophisticated equipment such
as x-ray and metal detector machines (even at restaurants that have been robbed
or had their patrons held up at gun point), risk-analysis software packages
(incident reporting and management); and the development of intelligence
gathering (by private organizations) capabilities, have all pointed the way to
greater involvement in crime prevention and crime fighting by the private sector
across the board. With the growth in tourism there has also been a large increase in
the number of trained and professional VIP protection officers (close protection)
534

in order to provide 33 Between April 1996 (the first year this crime was
listed in the SAPS Crime Statistics as a separate crime from bank robberies)
and March 2003 an annual average of 265 cash-in-transit robberies occurred in
South Africa. Coincidentally the highest annual number of 374 occurred in the April
2002/March 2003 financial year. At the same time over the same period an
annual average of 417 bank robberies occurred with the highest number of 561
occurring in the 1996/97 year, while the lowest annual number of 127 occurred
in the 2002/03 year an indication that improved security measures at banks
was having an affect. ([Link]. Accessed 17/6/2004). 34Pierre Steyn is
the Managing Director of the SouthAfrican Banking Risk Intelligence Centre (SABRIC)
(Pty) Ltd 47assistance and protection to the foreign tourists, celebrities and film
makers who are now coming to South Africa in greater numbers. But as outlined
above, most of this growth has occurred in the absence of any formal and
legal framework for operating, specifically the absence of any form of partnership
policing or of specific crime prevention policing operations, even though such
co-operation does occur at some levels. There is no national coordination of
the latter initiatives and the growth and involvement in such activities
obviously needs to be regularized and better directed and utilized. However,
this will only be possible if the government representatives, namely the Department
of Safety and Security and the SAPS (inclusive of the various Metro Police services),
take the initiative.
Conclusion
One of the arguments put forward concerning the privatization of policing is that
private security could well fill the gap that is supposedly left by the inability of
police to combat crime. However, the perceived gap should not be used as an
argument in favour of the replacement of state policing by private policing.
Instead what should be examined here would be how the private security industry
can could assist and support public police to overcome the mentioned gap
or vacuum in policing efforts. Overall, in terms of developing and extending
partnership policing between the SAPS and the South African private security
industry, inclusive of a crime prevention role, this will obviously only occur
within certain parameters. The latter will have to play a secondary and
subservient role in the provision of logistical support, and all such activities
will have to be co-ordinate with policing activities. However, whether the South
African security industry will be allowed a more permanent position or to take over
more functions performed by the police remains a moot point. Furthermore, what is
in question here are lines of accountability. If some sort of partnership
relationship between private security and the police comes about this and is
mutually accepted, there can be no argument against the fact that public
regulation of the industry (in terms of private policing with aspects of civilian
oversight and monitoring greater than the current inspections implemented by
PSIRA, with a clear process for reporting and dealing 48with complaints against
registered members of the industry) would be a prerequisite for its efficient and
535

effective functioning. The

underlying
principle
for
establishing
policing
partnerships between the private security industry and the SAPS should not
be whether the former can replace policing functions but rather where they
can supplement and be supportive of overall policing actions. In addition, there
can be no talk of the provision of security outside of the formal structures of the
state. Furthermore, it is certainly not a question of privatizing crime control but cooperating in the fight against crime and co-coordinating the joint efforts in this
regard. The bottom line would then be that the police cannot afford to or be seen to
abdicate from their policing responsibilities and line functions. Moreover, it must be
borne in mind that while the security industry has a vast amount of expertise and
manpower at its disposal, this will only be made available if there is a counter
benefit (or they are paid for these services as is the case in most of the City
Improvement Districts (CIDs) in Cape Town), and if such co-operative actions are
covered/protected by the law. In support of the above (Nalla 2002: 1110) asserts
that the fact that personnel employed in private security, especially in recent
years, far outnumber law enforcement officers and that they engage in pursuits
similar to those of law enforcement, suggests that the police could have willing
partners in cooperative efforts to achieve common goals. But to realize this
objective there are a number of initiatives that need to be more thoroughly
implemented. Without a doubt most professional security officers see themselves in
essence as crime fighters. In order to better utilize them in crime prevention
there is a need to establish a more formal National Forum35 where
representatives from public police and private security can discuss and formulate
solutions to their perceived problems in co-operating better. More importantly this
Forum can provide the opportunity for the setting up of a national Think Tank 35
This Forum to be other than the PSIRA board which is not a forum in any
sense but rather concentrates on professionalizing the industry by setting training
standards, sending out inspectors to check on registrations and working conditions,
and implementing the Code of Conduct etc. 49to research, test and recommend
policy which can lead to the development of a formal framework where partnership
policing can operate in practical terms to the benefit of the community at large. The
Forum can also assist the government in formulating the requisite legislation, in
order not only to formalize the various ad hoc and informal co-operation initiatives
that are occurring in some areas, but also to establish appropriate structures for
partnership policing to occur at a sustainable and effective level. In South Africa,
given the current levels of distrust and suspicion with which any suggestions
emanating from the private security industry are viewed in official circles, the
lead for such an initiative will need to come from the Ministry and the SAPS. The
SAPS management is currently of the opinion that it is sufficient to sit on PSIRA and
regulate the industry through that channel using the existing legislation.
Clearly there is a need to think outside of the envelope when dealing with the
private security industrys involvement in crime prevention and partnership
policing. Allied to these initiatives there should be a review of the
professional qualifications currently available to private security officers. These
should be aligned with making a more meaningful contribution particularly where
536

they are directly involved in crime prevention and partnership policing. Because of
the privatization of urban space that has occurred all over the world, a concomitant
need has arisen for further and more in-depth research on the nature of private
security, especially local- level studies of private security personnel in their
operational roles which take into account both the security and safety of their
clients and companies, their partnership role with regard to the local public police
agencies. Such research could provide a better and broader understanding of the
so-called quilt or web of security provision to the whole of society. In conclusion,
the following words of Wakefield (2003: 234) would be fitting: . [the] growing role
of a regulated private security industry in the policing of areas of mass private
property, residential areas and even town centres should, therefore, not be seen
as unpalatable so long as attention is paid to the powers and tools they are given
for controlling their territories, the training they receive and the accountability
structures that provide a check on their practices. [Furthermore] in relation to
the exchange of information, standards 50must be set and safeguards must be laid
down to ensure that such information remains confidential .. More specifically,
such co-operation must not be used to advance the private interests of any
commercial clients of private security companies. Public-private
partnerships
between the private security industry and public policing agencies would
therefore clearly provide mutually beneficial features within a collaborative
approach as well as further opportunities for increased systems integration
between the two parties by specifically drawing on private sector resources
like CCTV and other technology driven strategies and data collection methods.
This view was strongly endorsed by the Private Security/Public Policing National
Policy Summit held by the International Association of Chiefs of Police (IACP)
which had concluded that: By some estimates, 85 percent of the countrys
[USAs] critical infrastructure is protected by private security. The need for
complex coordination, extra staffing, and special resources after a terror attack,
coupled with the significant demands of crime prevention and response,
absolutely requires boosting the level of partnership between public policing and
private security (IACP/COPS, 2004:1). Furthermore, this National Policy Summit
recognized that establishing viable private/public partnerships: will require a
concerted, positive effort, not just agreement, on the part of association leaders,
law enforcement professionals, private security practitioners, and funding
agencies. Only if all those parties embrace the effort and accept responsibility for
seeing the effort through will the full benefits of partnership be attained
(IACP/COPS 2004: 25). 51
Gender and Crime in Urban and Rural Pakistan
The South Asian subcontinent is the least gender sensitive region in the world. It is
the only region in the world where men outnumber women. The sex ratio is 105.7
men to every 100 women. In Pakistan, women are not only subjected to financial
discrimination, but they are also victims of inhuman customs and laws such as Karo
Kari, Hadood ordinance, Qasas and marriage to the Quran and half witnesses
537

according to the state law (whereby in court a female witness is only worth half a
male witness).
In the rural areas, women are like slaves subject to drudgery. They are there just to
obey their fathers, brothers and husbands. They do not have the right to decide
about themselves because women are considered as foolish creatures according to
the dominant social and cultural norms. Likewise marriage is also a sort of trade
between different families both in the rural and urban areas. They are highly
vulnerable to violation of their rights to life.
A woman's right to liberty is restricted in the name of modesty, protection and
prevention of immoral activity. In rural areas 90% of women work in the fields. They
work for the whole day with their male family members, but they still have to face
their wrath. Male family members keep a strict eye on the female family members
in the name of "honour". But one must understand the meaning of honour because
in our society honour does not have the meaning of its true sense. Here it really
means possession of women as a form of property. Not only are the restrictions of
women's liberty maintained in the name of this honour (ghairat) but they also can
be put to death if they lose their "honour".
Karo Kari is the form of honour killings. Last year 286 women were murdered in the
name of honour by the male family members (and these are only the registered
cases). On 11th June 2000, four women and one man were killed in the Dera Jamali
village in Sindh. Last year on the same dates a 13 year old girl, Sara, was subjected
to this honour killing in Goth Khosa. Two young boys Imtiaz and Arshad were also
killed in the same case. The boys had never met the young girl in their lives. But the
brother of Sara declared it an honour killing to get less punishment in law. This law
also gives some leniency to the killers in such cases. He actually wanted to grab the
land of these boys and used this accusation to kill the boys along with his sister.
In the village of Moratha there was a case of Karo Kari(honour killing). The motive of
the killing was that the murderer wanted to marry a married woman. He killed the
husband of that woman and his own innocent sister and he was released from jail
after a few months.
Many of the cases of Karo Kari are related to love marriage. Recently a woman with
her little child of five months, husband and four other members of her in-laws, was
killed because she had committed the crime of love marriage. Most of the women in
Pakistan are not allowed to marry a person of their choice.
There are hundreds of such cases that are not registered. But if we go to the root
cause of these honour killings we see that they are linked to the question of land,
water, money and property. But again, only the women of the poor classes are
victims of this inhuman custom of Karo Kari. This custom is seldom implemented
against rich women.
538

In the Punjab brothers, fathers and husbands subject 82% of women to domestic
violence. The incidence of wife-battering is so common that it is not even
recognized as a pernicious form of violence against women. Even in the cases
where women receive serious injuries and want to file complaints, they are advised
by the police to reconcile with their husbands, as any matrimonial dispute would
bring dishonour to them.
This violence against women begins in their childhood. They are not allowed to play
games like boys that can help in their speedy mental and physical development.
Another practice common in Pakistan, is cutting off a women's nose if she is
suspected of having an extra-marital relationship. Sexual assault on women,
including rape, remains one of the most common crimes. The Human Rights
Commission estimated that rape occurs every three hours. No estimate, however,
can be made of the numerous cases that go unreported.
The Islamic Penal Law "Hadood Ordinance" repealed the provisions of the Pakistan
Penal Code related to rape cases, in 1979. The Islamic Law of evidence applicable to
cases of rape requires the evidence of four adult male Muslims, in order for the
penalty of hadood to be imposed upon the accused. Being a half witness by law the
raped woman can't even testify against the crime committed against her. According
to these laws, testimony of the victim requires strong corroboration for conviction
by the court. On the other hand, where sexual intercourse is established but the
absence of consent cannot be proved, the presumption that such intercourse
occurred with the woman's consent can place her at the risk of prosecution. In both
cases, adultery or rape, a woman is kept in jail pending the ruling of the court. 52%
of women languishing in the jails of Pakistan are waiting for their fate in these
cases. In the case of a woman marrying without the consent of her family, the
marriage can be declared invalid and the couple would then be accused of the
offence of zina (adultery).
If the women victimized by the offenders contact the law (the police) and the other
investigating agencies, the women of the oppressed classes are subject to police
brutality and crimes like rape are often carried out while in custody. The incidence of
sexual assault on women in police custody increased after the implementation of
these Islamic laws.
Another law, "Qasas", is also used to victimize women, because under this law if a
person kills somebody and the family of the victim compromises with the killer then
they are paid an agreed amount of money, land and of course women by the
assassin's family.
Marriage to the Holy Quran (the holy book of Islam) is also common in Sindh. Under
this law a woman has to live without a husband throughout her life. But this law is
only applied among the class of landlords. They use this only to keep and grab the
land of their sisters and daughters.
539

But if we look at the history of Pakistan, we find several women's movements

against these criminal laws and customs. But these movements are mostly
dominated by the NGOs (Non Government Organizations). And the tragedy of the
NGOs is that they believe in this system, its state and its laws. They respect the
Judiciary as well as the state. They do not have a way out except. They simply
appeal to the ruling elite and their state to pass such laws that can abolish
discrimination against women within society. But the oppression of women is rooted
within the system itself. In ancient times the women produced food for the family. In
that era women had learned how to cultivate the land. Men used to hunt only. That
is why women had a particular recognition in society. And over a period of time she
became the head of the family. Even goddesses outnumbered gods in religion.
With the passage of time men learned the cultivation procedure and became
dominant in the productive process. Thus matriarchal society, a society where
women dominated, withered away. The new forms of property changed the
inheritance to men and hence established male domination. After the introduction
of this system of private ownership woman gradually became a commodity and
hence possessed as private property. These forms developed over time and the
exploitation of women continued in different patterns.
It is only with the rapid advancement of technology that want can be abolished and
the psychology of dearth and greed can give way to a psychology of possession free
consciousness. This will ultimately free women from the bondage of domestic labour
and the stigma of being inferior human beings.
At the present time Capitalism has created a society of want and greed in which
human beings have to live a life of cut-throat competition in order to survive. In
countries like Pakistan it has also failed to bridge the gap between the rural and
urban areas. It has failed to develop different regions evenly and penetrate
modernity into rural sections of the population.
Basic needs such as education, health water supply and transport, etc., are
inadequate. On the other hand there is the penetration of all forms of the latest
technology, like satellite television, which has distorted the patterns of social and
cultural development of these areas. In villages we can see clear forms of combined
and uneven development. T.V and satellite is available but tools and methods of
farming are thousands of years old. These deformed patterns of development have
further aggravated the lives of women in the rural areas. Social life in the
countryside and the urban centres has not changed in any spectacular way. It has
actually worsened.
This intense social crisis manifests itself in the sharp rise in the molestation of
women, gang rape and violent crimes against women, both in the rural and urban
areas.

540

The same case applies to the third world countries where Capitalism has failed to
carry out any of its historical tasks. Out-dated customs are still practiced and have
not been eradicated. In the cities, out-dated customs have much less of an
influence, because of the fact that women are playing a major role in the generation
of family income. They do not carry out "unpaid labour" like rural women. But they
are also facing daunting challenges and problems in the cities.
Even in the advanced countries the exploitation and harassment of women
on the basis of gender is rampant.
But the question arises: how long will this continue? Will the women's movements
only confine themselves to mere appeals and demonstrations or will all the existent
order have to change? In this system of private ownership of the means of
production (i.e. capitalism), woman has been reduced to a commodity. The
rottenness of the system is evident from the fact that sex has become the third
largest industry in the world. The double exploitation of women cannot be
understood without analyzing its historical social and economic basis. Only then can
a strategy for its eradication be devised.
The domestic labour of women, looking after the children, cleaning the house,
cooking, washing and the many other forms of labour in which women are involved
is a full day's work. But this system does not reward this human labour. Hence the
cultural, social, moral and ethical roots of society are devised in such a manner that
this system gets the labour of women in running society for free and is taken for
granted. Hence this condition whereby women do not get back the product of their
labour, develops a psychology of alienation. This further weakens and depresses
women. Utilizing this situation the rulers of this system create laws, customs and
rotten cultural traditions to further oppress women. The brutal military dictator Ziaul Haq imposed the "Hadood Ordinance" and other anti-women black laws to further
facilitate the exploitation of women by capitalism. Even a "democratic" government
headed by a woman prime minister, Benazir Bhutto, could not abolish these
draconian laws because they were inherent to the system and its state.
These pressures upon women further diminished their will, confidence, and
determination. These reactionary periods developed a defeatist psychology
amongst women. To abide by the ethics of this society, they are lured into behaving
as commodities with excessive use of cosmetics and make-up, with a lust for
jewellery and a psychology of decoration.
These traits are then further exploited by rich men into further subjugating women
and portraying them as "weaknesses" of women. Using this social insecurity,
alienation and the pressures on women, the capitalists exacerbate the exploitation
of women workers in the factories and mills. It has been seen in general that women
work with greater dedication and more meticulously than men. For example in
Pakistan, women are 28% of the total workforce yet they generate 40% of
541

production. At the same time it is a general law of capitalism that women workers
are paid less than their male counterparts all around the world. For example
according to the Office of National Statistics in Britain, the average yearly income of
male workers in 1999 was 23,000 (pounds sterling) while at the same time the
average wage of a female worker was 16,000. Hence there was a difference of
42% in their wage earnings. In Pakistan and the rest of the third world this situation
is even worse.
At the same time the gender insensitivity is so severe that from the cradle to the
grave women are forced to lead a discriminated life. There are more infant deaths
among girls than among boys. Every year 135,000 women die during childbirth in
Pakistan. Only 21% of women have access to medical facilities during childbirth.
The tragedy with the women's movements is that women from the upper classes,
who mostly dominate them, have never had to suffer the same ordeals as the
women of the oppressed classes. The adverse conditions in important sectors such
as public hygiene, health and education, have a greater bearing on women of the
working classes. Hence the struggle for the rights of women and their liberation
have different meanings for women of different classes.
Without the overthrow of the bourgeois state and capitalist exploitation, the
emancipation of working class women (who constitute the vast majority in society)
is a utopia. Hence the ultimate liberation of women is linked to the class struggle of
the workers of all religions, nationalities, races, sexes and colours. The ultimate
destiny and victory of this struggle lies in the success of the Socialist Revolution.
Mental and Physical Victimization of Rural Women
INTRODUCTION
Violence within the family has been one of the most hidden crimes because the
family is considered a sacred institution. The family matters are considered to be
private matters and nobody is allowed to interfere in them. It is generally assumed
that violence cannot exist among family members, because it is believed that family
members always help and cooperate with each other, but the facts are that
different forms of family violence are the reality of almost every society The extent
of violence against women in the home has been largely hidden and widely define
by communities that fear that an admission of its incidence will be an assault on the
integrity of the family. However, existing statistics reflect the pervasiveness,
frequency and the intensity of violence against women all over the world. In the
contemporary society criminal exploitation of women is intense, rampant and global
in nature. Around the world at least one woman in every three has been beaten and
coerced into sex or otherwise abused in her lifetime. Most often abuser is the
member of her own family (Govt. of Pakistan, 1999). Women in Pakistan live in a
world structured around strict religious, family and tribal customs that essentially
542

force them to live in submission and fear. In Pakistan certain formal code, informal
traditions and values of society discriminate against women. Within the broad
purview of violence against women, this phenomenon at a domestic level has been
found to be quite pervasive and recognized as a major public health concern and
violation of human rights. The problem of violence against women has been
recently recognized as a crime and major obstacle to equality, development and
peace. A womans right to be free from danger and fear for her personal safety
within the home is likely to be a toughest battle, women are waging in the
[Link] term violence against women refers to many types of harmful
behavior directed at women. Any act of gender based violence that result in or likely
to result in physical, sexual or psychological harm or suffering to women including
threats of such acts, coercion or arbitrary deprivation of liberty whether occurring in
public or private life (Anonymous, 1993). The definition of domestic violence against
women underscores both intensions and behavior of perpetrators with focus on
patriarchal hierarchy or any act involving use of force or coercion with intent of
promoting hierarchical gender relations (Fishabach & Therbert, 1997). Violence
against women in the home may be manifested in the form of psychological or
mental violence that includes constant verbal abuse, harassment, isolation and
deprivation or physical and economic resources, threatening her with violence or
taunting her with threats of divorce, intentions of taking another wife fall within the
defecation of domestic violence. It is hypothesized that association exists between
extent of victimization of the respondents and it decreases as the level of education
increases and socio-economic status of the family improves. Main objectives of the
study were to i) assess the type and extent of domestic violence against married
women in rural areas and b) find out the association between the extent of
victimization and socio-economic characteristics of the respondents.
MATERIALS AND METHODS
The universe of the present study consisted of two villages (Chak No. 64/JB & Chak
No. 7/JB) randomly selected form Tehsil and District Faisalabad, Pakistan. Through a
preliminarily survey of the two villages a list of married females was prepared. From
this lists 55 married females were randomly selected from each of the two villages,
constituting a sample of 110 respondents. The interview schedule consisted of two
parts. The first part consisted of questions about the socio-economic characteristics
of the respondents i.e., age, education, family type, family income etc. of the
respondents. The second part dealt with the more sensitive aspects of respondents
marital life i.e., the level of mutual understanding and adjustment with their
spouses. In this regard few direct questions were asked to ascertain, as to whether
they were mentally and physically abused by their husbands. The responses of the
respondents on questions of mental victimization were recorded using following
response categories i.e., often sometimes and never. Likert type of scaling
technique was used through assigning certain score to each of the response
(Nachmias & Nachmias, 1986). The scores for each respondent were added. The
range of total scores on selected questions was between 5 and 14. The extent of
543

domestic victimization of respondents were categorized in three categories i.e., low

(5-7) medium (8-10) and high (11-14) (Table I).
RESULTS AND DISCUSSION
Socio-economic characteristics
In any social setup the socio-economic characteristics of an individual play a vital
role in the formation of his attitudes and behavior patterns and his standing in the
social set-up. Therefore it seems imperative to explain socio-economic
characteristics of the respondents under study. Some of the socio-economic
characteristics of the respondents were as follow. As for age distribution of the
respondents 16.4% of the respondents were less than 30 years. However, 57.3%
and 26.4% were in middle age (30-39 years) and old age category (45 years &
above) respectively. Nearly 58% of the respondents and 41% of their husbands were
illiterate, only 3.6%of the respondents and 10% of husbands were matriculate or
above. Majority of the respondents (80.9%) lived in nuclear family system. A
significant majority (64.6%) of the respondents was housewives and not involved in
any economic activity. Only 19.1% domestic laborers and 16.4% were teachers or
self-employed. As for economic status of respondents, 60.9% belonged to lower
income group (Rs. 25000 < 75000 annually), 24.5 belonged to middle (Rs. 75000
< 125000) and remaining 14.5% belonged to higher income level group (Rs.
125000-176000+annually).
Domestic violence against women
Gender based domestic violence against women is mostly perpetrated due to social
values that attribute low status to women and devalue their lives and activities.
Physical abuse is more common form of violence against women and is rooted in
patriarchal social system, psychological and economic dependence on men
throughout their lives. Wife beating is common but its frequency and intensity vary
across different groups and communities (Hafeez, 1998). According to World Bank
(1997), gender based violence including rape, domestic violence; murder and
sexual abuse are severe problems for women across the globe. Although gender
violence is significant female morbidity and mortality, it is almost never seen as
public health issue. Female focused violence also represents a hidden obstacle to
economic and social development, by sapping womens energy undermining their
health, gender violence deprives society from womens full participation. Violence
does not occur as an isolated incident in the lives of abused married women.
Physical torture as well as mental torture usually occurs on a regular basis causing
deep sears on the victims, the victims family and on society as a whole. Womens
physical health and mental health is often permanently damaged (Anonymous,
2000). The confidence to express their desires to their husbands was reported by
81% respondents, (i.e., 40% said it was often while 41% said some times). Almost
19% reported to be meek and depressed. In other words they could hardly express
their any desire to their husbands. Further, probe in to the feelings of the
544

respondents, as to whether their husbands gave preference to others over them

also portrayed depressing picture of wives. About 48% said sometimes their
husbands give preference to others while 22%, said that it was often so (almost
always). Only 30% said that it never happened. Response pattern to another
question i.e., whether the respondents experienced mental tension due to the
behavior of their husbands, 40% said often and 58% said sometimes. None
reported that she was free from any mental tension. About 56% of the respondents
were not physically abused by their husbands. However, little less than one-forth
i.e., 24.5% (often) and 19.1% (sometime) respondents reported to be physically
tortured by their husband at home (Table II). About 14% reported to be physically
abused by their family members, 82% had no such problem. About 35% of the
respondents said that the main reason of marital conflict and domestic violence was
poverty (Table III). Similarly, 32.7% of the respondents reported that the main
reason of domestic violence was illiteracy of husbands. They believed that menfolk had little respect for women. However, 22.3% said that major reason of violence
against them was for not having any male issue. Only 5.5% said that the dowry
was the cause of their being victimized. The above data show that among younger
age and middle age categories i.e., 20-29 years and 30-39 years, the Extent of
victimization of the respondents was very high i.e., 76.9% and 50.0%, respectively.
As the age increases, the extent of violence decreases. The calculated value of
statistical test of chi-square at 0.05 level was significant, thus the hypothesis i.e.,
association between extent of victimization of the respondents and their age is up
held. The data in Table VI show that as the educational level of the respondents
increased the extent of victimization decreased. The hypothesis i.e., association
between extent of victimization of the respondents and their educational level was
accepted. Majority of the respondents of low income category (Rs. 25000-75000)
fell in medium and high extent of violence i.e., 52.2% and 29.9%, respectively. Only
17.9% low violence. On the contrary, in the higher income group majority i.e.,
70.4% reported low extent of violence, while 11% expressed high extent of violence.
Hence, the association between extent of victimization and level of income was
negatively related.
CONCLUSION AND SUGGESTIONS
Violence does not occur as an isolated incident in the lives of abused married
women. Physical torture as well as mental torture usually occurring regularly causes
deep sears on the victims, the victims family and on society as whole. Womens
physical health and mental health is often permanently damaged. Domestic
violence is an economic, educational, legal and development and above all, a
human right issue; the term domestic includes violence by an intimate partner
and by other family members. It is suggested that government should take proper
measures through utilizing print and electronic media for the eradication of
miscommunication against women at all levels. The state and NGOs should
undertake a national campaign to raise awareness among women about their rights.

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All necessary steps should be taken to improve womens social and economic
status. All legislation, which discriminates against women, should be repealed.
Key Findings:
Regrettably, the majority in Pakistan, 63.88%, is unaware of human rights, which
raises serious concerns regarding the lack of awareness and knowledge the
common person in the country has about human rights.
An overwhelming majority (81.4%) has no knowledge of International law despite
the recent focus on international instruments by the media and state organs.
Six out of 10 respondents knew of the domestic laws protecting women, disabled
and children.
Surprisingly, close to 7 out of 10 respondents confirmed that they did not have
any awareness of fundamental rights enshrined in the Constitution of Pakistan.
In contrast, 9 out of 10 respondents were aware of human rights under Islamic
Shariah. Interestingly, after
Further investigation, overwhelming majority of 90% (average) confirmed that they
were aware of

Right to Life;
Rights of Non-Muslims;
Rights of Children;
Rights of People with Disabilities, and Rights of Women.

The results signify that in comparison to fundamental rights protected by

international instruments and national legislation, respondents across the country
claimed to have more knowledge of the rights protected by Islam.

Crime and Urbanization, Organized Crime and White-Collar Crime

Abstract
From economic point of view urbanization is good as it facilitates achievement of
economies of scale and thus promotes growth of industries and development in the
economy. However from social point of view urbanization encourage crimes as the
rate of crime is higher in large cities and in urbanized areas. Several explanations
have been provided on crime in the literature but none of these provide a sound
analysis of linkage between urbanization and crime. That is the objective of this
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paper. For this purpose we used Johansen Co integration method and the period of
analysis is taken from 1964-2008. Besides urbanization, four other socio-economic
determinants, which may influence crimes, are also analyzed. These are
unemployment, inflation, income inequality and education. The results show a long
run positive and unique relationship of urbanization with crimes in Pakistan. Since
migration to urban areas is mostly in search of jobs, therefore the policy maker
should plan for more industrial centers in rural areas. These industrial centers will
provide employment and consequently, urbanization and crimes will be controlled.
1. Introduction
Crime is an activity which is against the law and the fact that the linkage between
criminal activities and the socio-economic development of the society is undeniable.
Moreover, the relationship between crime and evolution of mankind may also be
considered a historical one as Cain (first son of Adam and Eve) committed first
crime when he murdered his brother Able because of jealousy. Due to the complex
nature of the subject of crime, for example, regarding its causes and consequences,
various academic disciplines such as criminology, sociology, geography, psychology
and demography study it from their own perspective. A relatively new emerging
field, however, is the economics of crime which tries to identify the socio-economic
causes and consequences of criminal activities in a society. Marshall and Clark
(1952) wrote: A crime is any act or omission prohibited by public law for the
protection of the public and punishable by state in a judicial proceeding in its own
name. Similarly Tappan (1960) defined that A crime is an instrumental act or
omission in violation of criminal law, committed without justification and sanctioned
by the state as felony or misdemeanor. Though in case of criminal activity the net
social benefits are negative but there are some advantages also like new jobs for
crime prevention. Using cost and benefit analysis many theories have explained the
trends in criminal activities. For the criminal person the cost is punishment plus time
which he has to spend in custody. On the other hand, the cost for the victims may
include security expenses and the loss of money etc. In a strictly economic sense, a
criminal is taken as a rational person as he compares the costs and benefits of
committing a crime (Becker,1968).
3As urbanization is the process of growth in urban areas. Industrialization,
specialization, and economic development are related to the theories of
urbanization. A basic feature of urbanization is the shifting in employment from
rural to urban or industrial sector. In other words, urbanization is an indicator of
industrial development in the economy. Labour market pooling, trade of goods and
services, knowledge spillover, high level of income and economic relations are the
basic pillars of urbanization. This type of development is helpful for employment
creation, poverty reduction and planned local business development in the urban
regions. Theories suggest that urbanization is good for promoting growth of
industries and development in the economy. The other face of this urbanization may
be the encouragement of crimes as well, since, crimes normally occur in large cities
and in urbanized areas (Krivo and Peterson,1996). In rural areas, due to lower
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population density, criminal persons have less chance of hiding themselves because
people know each other. The opposite is true for urban areas. The main facts of
crimes in urban areas are the fewer chances of arrest and recognition (Glaeser and
Sacerdote, 1996). Therefore, it is argued that as urbanization increases so does
crime (Galvin 2002; Gaviria 2002). Hence, one may argue that more urbanization is
an indicator of higher crimes. This is a common observation for many countries in
the world. Throughout the world the rate of expansion of urban population is on the
rise because of substantial industrial development. As Gumus (2004) argued that in
1950, 30% of world population was living in urban areas where as, in 2000, this
value reached47%. It is estimated that this figure will reach to 60% in 2030. In
Pakistan there is rapid increase in crimes like the other countries of the world. It
may be the effect of urbanization, and some other economic and socio economic
factors.
4There has not been undertaken a systematic comprehensive study for Pakistan on
the above mentioned issue. Several explanations have been provided on crime in
the literature but none of these provide a sound analysis of linkage between
urbanization and crime. Therefore, there is dire need to fill this gap in the literature
by conducting an empirical investigation on the relationship between crime and
urbanization. This provides the motivation for the underlying study. More
specifically, the objective of this study is to find the relationship between crimes
and urbanization and some other macroeconomic factors such as unemployment,
and inflation. The question is what will be the impact on crimes when large numbers
of people settle down in a single city? Using time series data for Pakistan the study
covers the period of 1963-2008. Using Johansen co integration analysis, the results
indicate that there is a positive association between urbanization and crime in
Pakistan. Moreover, unemployment, inflation, and income inequality are also
important determinants of crimes. Education, on the other hand, is found to have a
negative effect on criminal activities. For the purpose of robustness of results, three
models are estimated using various variables. This also takes care off for the multi
co linearity problem. Rest of the study proceeds as follows; Section II briefly reviews
the related literature on crimes and their determinants. Section III discusses the
theoretical model and the econometric methodology used in the study. Detail of
variables, results and interpretations are presented in Section IV. Section V
concludes the study.
2. Literature Review
The economic foundations of criminal justice was developed by Beccaria (1767) and
another source of interest in economics of crimes is emerged from the famous novel
Crime and Punishment by Dostoev sky (1866).The role of income on the criminal
activities is observed by Fleisher (1966). The author argued that income has two
possible effects on criminal behaviour. An expected demand side effect is positive
and expected supply side effect is negative. Demand side effect is that when people
have higher incomes then there is decrease in criminal behavior. The supply side
effect is that when there is more income in the economy and people want to get
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that money through criminal behaviour. He estimated that demand side effect is
more than the supply side effect that is if there is 1 % increase in income then the
delinquency decreases by 2.5%. Recent theoretical foundations of crime link back to
the work of Becker (1968)and Ehrlich (1973). The main contribution on economics of
crime is normally related to the work of Becker (1968). He presented a model and
argued that a person will commit crime if the expected utility of crime is more than
the utility he could get from consuming his time in some other legal activities. Every
criminal faces physical and psychological benefits from crime and also costs in
terms of law-enforcement. There are two main determinants of costs. One is
probability of being caught and the other is the punishment faced if caught. He
worked mostly on shaping policies related to the cost of illegal behaviour. Similarly
there are also some other macroeconomic factors which affects crimes. Out of those
factors unemployment is at number one. The positive association between crimes
and unemployment is observed by Ehrlich (1973). He mentioned that
unemployment is an indicator of income opportunities from legal sector. So if there
is an increase in unemployment rate then the involvement of persons in legal sector
also decreases.
The main difference between above two studies was that Becker considers
opportunity costs as well as explicit costs and benefits in a society while Ehrlich
investigates employment as an indicator of availability of income in a society. Crime
rate is high at younger age. In the age of eighteen almost 35 % people were
arrested in Philadelphia, Wolfgang (1972). Similarly Tillman (1987) reported that one
third of all men were arrested in California at least once between the age of 18 and
30. The hypothesis of deterrent measures on criminal activities was tested by
Mathur (1978) and Witte (1980). Mathur considered two time periods, 1960 and
1970 and found inverse relationship between the certainty and the severity of
punishment with all types of crimes because of rationality of the people. Similarly
Witte also found negative relationship but he investigated that the effect of
certainty of punishment is more as compare to severity. Myers (1983) took random
sample of offenders released by federal prisons in 1972. He studied that
punishment is not more effective tool for preventing crime. It is better to create
opportunities for employment and this will work for reduction in crime. Further the
empirical investigation between crimes and its determinants in urban areas is done
by Gumus (2004). He used two types of crime in large US cities. First he took total
numbers of property crimes and second he used serious crimes like murder, forcible
rape and robbery as a dependent variable. Using cross sectional data of large US
cities he found that urbanization and income inequality are important factors of
urban crime. The main facts of crimes in urban areas are the less possibility of
arrest and the less probability of recognition and families are less intact in urban
areas (Glaeser and Sacerdote, 1996).
4. Detail of Variables and their sources:
The dependent variable set in the study is total numbers of crimes reported in
Pakistan from 1964-2008 which is the combination of different crime categories like
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murders, attempted murder, kidnapping, child lifting, dacoities, robberies,

burglaries, cattle theft, and other thefts. The demographic variable, urbanization
rate (UBZ), is used as independent variable and shows the proportion of total
population living in urban areas. Unemployment rate (U) is simply the number of
unemployed person out of total labor force. Data on unemployment rate is available
for many years in published form. Where ever required, the data gaps are filled by
using interpolation through the compound growth rate formula. Consumer Price
Index (CPI) is used for constructing the inflation (p) variable. The year 2000 is used
as base year. Taking the growth rate of CPI yields the inflation rate. Income
inequality is also a socio economic factor which shows the gap between the
incomes of people. Education enables individuals to increase their resources. If a
person is more educated, then he has more job opportunities. Hence, education
paves the way to earnings through legal activities (Coomer 2003). One way to
include this variable is to take portion of population who has education of more than
16 years. However, for avoiding the problem of multi co linearity with urbanization
rate the variable set in the study is the ratio of secondary education to higher
education enrollments. The construction of this variable is base on the following
formula. The ratio of this variable shows the higher education in the economy.
For above mentioned variables published data is used from various surveys, reports
and articles. Data on all reported crimes from 1964 to 2008 is taken from various
issues of Pakistan Statistical Year Book. These crimes are registered crimes in the
sense that the Pakistan Statistical Year Book has obtained this data from Bureau of
Police Research and Development, Ministry of Interior. Data on total population and
urban population is obtained from various issues of Economic survey of Pakistan.
Data on unemployment and labor force is also taken from various issues of
Economic Survey of Pakistan for calculation of unemployment rate. Data on
consumer price index is also obtained from International Financial Statistics (IFS) for
calculating inflation. Data on Gini co efficient is taken from World Institute for
Development Economic Research (WIDER).
Persons. To make it more elaborative, we can say that, on average, 20 crimes are
committed in a population of 10,000 persons. Similarly unemployment rate on
average is approximately 5 %. Tend in unemployment rate is moderate but its
average value lies towards the upper end of the data. The mean value of
unemployment rate demonstrates that the unemployment rate in Pakistan has
remained around the natural rate of unemployment. Average values of remaining
variables lie almost in the middle of the data which shows that data is almost
equally spread to its mean values. The encouraging part of this analysis is the
values of standard deviation for these variables, where except for education, the
standard deviations in the data for all the variables are less than 1, which is
acceptable.
Before estimation it is essential to check for the multi co linearity problem in the
data by using correlation matrix. In our estimation we drop some variables; namely
per capita 16GDP and Poverty with the help of above correlation matrix. It is evident
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from Table 4.2 that these variables have linear relationship with urbanization
variable. 4.2 Unit Root Test The use of time series data for analysis demands the
investigation of presence of unit root in the data. For this purpose, Augmented
Dickey-Fuller (ADF) test is applied for the inspection of non-stationary problem in
the variables. ADF test is applied here by considering the following two kinds.1)
With intercept2) With trend and intercept both If the calculated value is less than
the critical value we will reject the null hypothesis of non-stationary in data in favor
of alternate hypothesis of stationary of data. However, the acceptance of the null
hypothesis would mean that the series is no stationary at level and required to be
different to make it stationary. The results of the
ADF test are illustrated in Table 4.3.
The figures of the ADF test shows that all variables are non-stationary at level,
supporting the null hypothesis that unit root problem exists in these variables.
Consequently, all variables are I (1) which indicates that the data is stationary at
first difference. Next step is to select the appropriate econometric technique. The
application of either co integration or Vector Auto regression (VAR) depends on the
results of Johansen (1988) co integration test. If the test shows that there is a
unique long run relationship among the variables of analysis, the appropriate
technique would be co integration. On the other hand, the absence of a unique long
run relationship among the variables would ask for the application of VAR. Keeping
in view the above discussion, we apply the Johansen co integration test to detect a
unique long run relationship among the I (1) variables used in the analysis.
Table 4.4 and 4.5 show the results of Johansen co integration test. Both the trace
statistics and foreign value statistics in the two tables show that there is a unique
long run relationship among the variables because in both cases the test shows one
co integrating equation at 5% level of significance. Thus, the Johansen co
integration test confirms the existence of a unique long run relationship among the
variables; namely, crimes, urbanization, unemployment and inflation. So the
hypothesis of zero co integrating vector is rejected in favour of the alternative
hypothesis that there is one co integrating vector. It suggests that we should apply
the co integration technique and interpret the long run parameters obtained from
this estimation. We now turn to the estimation of variables. Results of table 4.6
confirms that all three variables are the important determinants of crimes in
Pakistan. Results suggest that all the variables are significant at conventional levels
of significance. These results are logical because urbanization in Pakistan is a
serious matter and motivating people towards crimes. The lack of planning
regarding the expansion of urban areas (urbanization) results in scarcity of
resources, which in turn motivate people to involve in criminal activities. People
move from rural areas to the cities in search of higher earnings. However, when
they do not get jobs, or get jobs with lower earnings, they may turn to criminal
activities in order to fulfill the desire of higher earnings. Unfortunately, the records
of all these people are not present with the concerned authorities, who may help
them to hide themselves easily in the populated urban areas. The lack of record and
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high population density raises the probability of not being caught after committing a
crime. This means that the opportunity cost of involving in criminal activities is low,
which is a motivational factor for involvement in crimes. Second economic
determinant is unemployment which has also positive impact on crimes. Our result
is consistent with the work of Becker (1968), Ehrlich (1973) and Wong (1995). They
concluded that unemployment is an indicator of income opportunities from legal
sector. Hence, the increase in unemployment reduces income opportunities from
legal sector which thereby raises the possibility of committing crimes. The third
economic variable, inflation, also has positive impact on crimes in case of Pakistan.
Inflation has an adverse effect on the real income of an individual. Consequently, if
that individual desires to keep his utility at the same level, he will have to raise his
real income, which may force him to be involved in criminal activities [ see, for
example, Allen; 1996, and Omotor 2009].
Table 4.7 and 4.8 show again the Johansen co integration test but this time the
variables included along with urbanization are income inequality and education. In
the previous case the two variables with urbanization were pure economic variables
whereas in this case the variables are socioeconomic. The trace statistics and
foreign value in these two tables show the unique long run relationship among the
variables. Thus again the Johansen test confirms the long run relationship among
the variables. The co integrating coefficients are presented in table 4.9. Once again
the results confirm that urbanization has significant positive effect on crimes in
Pakistan. The results also confirm the fact that income inequality is an important
determinant of crimes in this country. Nonetheless, this result is contradictory to
Fleisher (1966) and indicates that demand side effect is weaker in Pakistan which
implies that if there is more income in the economy or people have more income
then they will not commit crimes. In other words, they will not adopt the illegal way
of earning money because they already have the money from some other legal
sources. However, in Pakistan, the supply side effect is stronger which implies that
when the gap between haves and have not is widened, then the have not will
adopt illegal ways to earn money the rich ones. Thus, we can
Conclude that income inequality has long term positive relationship with crimes in
Pakistan. The second socioeconomic variable, education, is also indicating long run
positive relationship with crimes. We are linking crimes here with the higher
education. The reason of positive relation is the unavailability of jobs to those who
hold higher degrees. After completion of education, when these young degree
holders do not find jobs, may be due to corruption or limited number of vacancies.
The increase in unemployment variable is also showing the involvement of
educated persons in illegal activities. Table 4.9 is showing values which are
significant at 5% level of significance. For determining the true sign of education we
run the third model on which explanatory variables are urbanization, unemployment
and education. Still the long run and unique relationship exist and by including
unemployment with education results are significant and give us the negative sign
of education variable. So now we can conclude that higher education has negative
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relation with crimes in Pakistan We have also run the regression using the
interaction term of education and unemployment and found the ign positive. This
means that the presence of educated unemployed persons has positive effect on
crimes.
4.3 Robustness of Results
One of the purposes of estimating three models was to check the robustness of
results. Table 4.10 is constructed to summarize the results of the three models. This
also make is effortless to check the robustness of parameters values. It can easily
be viewed from the table that the coefficient of urbanization is very robust both in
terms of value and sign. The significance of the variable is not affected either in
three models. Hence, we can easily conclude that urbanization is a robust
determinant of crimes in Pakistan.
5. Conclusion:
The first and the main conclusion is that there is positive association of urbanization
with crimes in Pakistan. With the help of three models we conclude that
urbanization is very important determinant of crimes in case of Pakistan. Because in
all models we include different variables with urbanization but there is no big
change occurring value of the coefficient of urbanization. This robust analysis shows
the very strong positive relation of urbanization with crimes in Pakistan. The other
outcome is that in Pakistan inflation, unemployment and income inequality also the
main determinants of crimes. Education also shows positive relation with crimes but
this is not the right sign because we estimate model with urbanization,
unemployment and with education then its sign become negative. It means that
unemployment captures the sign of education so its right sign is negative. If there
is more high education in Pakistan then this will reduce the crimes also. The next
important outcome is the cause of this relation which is the lack of planning of
urbanization. As hundred years ago Marshall (1920) identified the benefits of
urbanization like knowledge spillover because of cluster of highly skilled workers.
Similarly labour market pooling and specialized suppliers. These are all the benefits
of urbanization. But in case of Pakistan urbanization causes more crimes. So the
reason behind is the unplanned urbanization in Pakistan. Because of this lack of
planning resources become scarce, land shortage problem and environmental
degradation occur which motivate people towards crimes. This study brings the
important policy implications. The policy makers should make some planned
districts for adjusting the urbanization into those districts. These districts should
have more chance of employment and more capacity to absorb the rapid
urbanization. After getting good education people dont have suitable job. Then
those persons can adopt illegal ways to earn more money. But the special focus
should be on infrastructure development because since 1964 urbanization
increases. Second important implication is that government should create job
opportunities in rural areas as well. This process will reduce the burden of
unemployed persons in urban areas and finally reduce crimes. Moreover, the policy
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makers should try to keep inflation within acceptable limits so that the real income
of consumers does not lose its purchasing power.
Human Rights Abuses and Protection, especially of Children; Women and
Minorities; The role of civil society and NGOs
MONEY LAUNDERING
There has always been a parallel economy in Pakistan, whatever the financial
system may be. We can call it a black economy, underground economy or
shadow economy which challenges the regular financial channels. Changing values
have created a lust for easy money which, of course, is often contrary to law. Money
earned out of the (legal) systems cannot be declared as taxable, therefore it is
either kept hidden or it is laundered to appear legitimate. Money laundering covers
all procedures to change the identity of ill-gotten money so that:
(a) It appears to have originated from a legitimate source;
(b) To conceal the true ownership and origin of the money; and
(c) To put the proceeds beyond the reach of the authorities.
There is no one method of laundering money. Methods can range from the purchase
and resale of a luxury item (e.g. car or jeweler) to passing money through a
complex international web of legitimate businesses and shell companies. Initially
however, as in the case of drug trafficking, the proceeds usually take the form of
cash which needs to enter the financial system by some means. Street level
purchases of drugs are almost always made with cash. Despite the variety of
methods employed, the laundering process is accomplished in three stages which
may comprise of numerous transactions by the launderers that could alert a
financial institution to criminal activity:
(a)Placement: The physical disposal of cash proceeds divided from illegal activity.
(b)Layering: Separating illicit proceeds from their source by creating complex layers
of financial transactions designed to disguise the audit trail and provide anonymity.
(c)Integration: The provision of apparent legitimacy to criminally derived wealth. If
the layering process has succeeded, integration schemes place the laundering
proceeds back into the economy in such a way that they re-enter the financial
system appearing as normal business funds.
These three basic steps may occur as separate and distinct phases or they may
occur simultaneously or, more commonly, they may overlap. Certain points of
vulnerability have been identified in the laundering process, which the money
launderer finds difficult to avoid, and where their activities are, therefore, more
susceptible to being recognized:

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(a) Entry of cash into the financial system;

(b) cross-border flow of cash; and
(c) Transfers within and from the financial system.
Thus efforts to combat money laundering largely focus on those points in the
process where the launderers activities are more susceptible to recognition. These
have therefore concentrated to a large extent on the deposit taking procedures of
banks and building societies in the placement stage.
A. Combating the Menace
The U.S.A. was the first major country which initiated legislation in 1970 and began
to plug some of the loopholes in the banking system. The Bank Secrecy Act of1970
required all banks to report cash transactions of more than $ 10,000 per day and
demanded that all individuals taking more than $ 5,000 in cash across borders
submit currency reports.
DRUG MONEY
The international community resolved to deal with the problem in an effective
manner with collective will and cooperation. A sound foundation for a viable
international mechanism to grasp and control the increasing menace of drug money
was laid.
Pakistan Experience
In the past, some developments have created conditions which were conducive for
money laundering in Pakistan. There was an exodus of a large number of Pakistani
workers abroad in the early1970s who, for sending their foreign remittances to their
families, often relied on non-formal banking facilities or underground bank-like
channels. Later, the same channels were used by businessmen and industrialists to
take their capital/payment abroad due to strict foreign currency regulations; thus
spawning a reliable, discreet and illegal alternate banking system which remained
the preferred mode of banking for criminal elements in Pakistan. As discussed
earlier, large scale domestic heroin addiction created a booming market within
Pakistan. A UNDCP study estimated the market volume at Rs. 35billions (USD $ 1.2
billion). Obviously, this black economy created a number of drug barons, who had to
resort to money laundering for whitening their wealth. This process was further
intensified when these drug barons joined hands with international syndicates and
money laundering gained a transnational status. A UNDCPs report titled The Illicit
Opiate Industry of Pakistan estimated the turnover of the Pakistans heroin industry
tube 5% of the 1992-3GDP and 20-25% of the total estimated shadow or parallel
economy. The validity of the UNDCPs report estimates were later seriously
questioned/contested by Pakistan authorities and economists. However one thing is
very clear, that Pakistans domestic heroin trade generates considerably large
profits which are presumed to be laundered by criminals through formal and non
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formal banking systems. The study estimates that drug export revenues were about
USD$ 950 million in 1985, and increased to USD$ 1.6 billion in 1990. Drug earnings
estimated in 1992 at USD$ 1.8billion include a significant amount of withdrawals
from overseas bank deposits built up in previous years. Drug earnings averaged
USD$ 1.0 billion in the [Link] late 1980s, Pakistan (like many other
resource-deficient, developing countries) had to liberalize the economy through
deregulation, to create a conducive environment of savings and investments. In this
regard, the government of Pakistan promulgated the Economic Reforms Ordinance
1992 to attract foreign exchange held by its citizens abroad. Although this law was
designed to attract illegally stashed foreign exchange back to Pakistan, this law
provided protection to the source of foreign exchange accounts from being
questioned by the tax authorities in Pakistan. However, law enforcement agencies
could still investigate the source of such accounts in the case of reasonable
suspicion of involvement of the accountholder in drug trafficking.
Principal Sources of Illegal Proceeds
In Pakistan, the main sources of illegal proceeds are as follows:(a)Drug Trafficking:
As earlier mentioned, Pakistan has a very serious drug abuse problem which has
spawned a large domestic drug market, accruing significantly large profits to the
drug peddlers and drug barons. Mainly, it is the proceeds from the domestic heroin
trade which forms the major part of money laundering in Pakistan. In addition to
this, a considerable part of the drug proceeds must be coming from abroad to
Pakistan, although most of it finds its way to various tax havens around the world.
(b)Smuggling of Contraband:
In Pakistan, despite its best efforts to root out the evil of smuggling, considerable
smuggling of contraband still takes place. This usually includes luxury goods,
electronic appliances, gun running and gold smuggling. The proceeds from
smuggling are one of the major sources of black money in Pakistan.
(c)Organized Crime:
Organized Crime like gambling, counterfeiting, cheating, car theft, bank robber and
abduction for ransom are also sources of Pakistans black economy.
(d)Criminal Malfeasance in Public and Private Sector:
Proceeds from corrupt practices, fraud or criminal misappropriation in the
government/public, commercial, banking and corporate sectors also contribute to
black economy of Pakistan.
(e)Evasion of Taxes and Duties:

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The proceeds acquired by dishonest citizens/entrepreneurs by avoiding taxes and

duties from various sectors of economy also contribute toward the black economy.
D. Principal Money Laundering Methods
The principal money laundering methods detected or suspected in Pakistan are as
follows:
(a) Hawala/Hundi.
(b) Bearer Investment Schemes.
(c) Investment and Speculation in Real-estate.
(d) Expenditure on Luxury Goods.
(e) Over/Under Invoicing of Imports and Exports.
(f) Bogus Imports/Exports.
(g) Loan Bank Methods.
(h) Prize Bond Racketeering.
(i) Smuggling of Currency.
(j) Money Shown as Proceeds of Agriculture or Poultry.
Among these methods, Hawala remain preferred mode of money laundering in
Pakistan. Users of Hawala services include on-resident Pakistanis working abroad,
sending hard earned money to their families back home; parties indulging in
criminal activities ranging from smuggling of contraband to all types of money
laundering; and organizations having annexes to terrorist activities. Obviously the
objectives of these users are different, while legitimate in one case, criminal and
revenant-state in others. Some of the reasons are:
(a) In case of Pakistani expatriates sending money to Pakistan, the reasons include a
time tested confidential system which is efficient and convenient for the parties at
both ends. It hardly involves any formal documentation unlike the banking system,
which becomes cumbersome for the semi or un-educated person. The Hawala
dealer, like a good businessman, also offers a better rate of rupee conversion, being
the difference of the official and the prevailing market rate, which may range from
5-10% on account of higher demand of hard currencies. Yet another reason is the
lack of banking facilities in the remote areas from where most of the Pakistani
expatriates hail. Deregulation of foreign exchange controls since 1992(after the
introduction of Protection of Economic Reforms Act in Pakistan)have not affected the
preference for the Hawala system on account of the aforementioned reasons
against the formal banking system.

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(b) Criminal organizations prefer this system for laundering their money, as well as
making payments to the concerned parties in Pakistan or abroad. Their preference
is basically on account of the anonymity afforded by it due to little formal
documentation involved, leaving no paper trail. Obviously the use of formal
international banking systems for conducting illegal transactions/trading is fraught
with great risks of being traced and connected to unlawful activities, even at a later
stage. The Hawala system therefore suits the criminal/drug mafia not only for
laundering their dirty money, but also for settling financial claims in connection with
their illegal trading and smuggling, without running the risk of being detected.
However, it is pertinent to mention that taking advantage of bank secrecy
provisions, and the absence of suspicion/cash transactions reporting requirements
in the past, resulted in drug traffickers also using formal banking channels for the
transfer of funds. The Hawala operators, now, after the deregulation of foreign
currency accounts by Pakistanis and the free movement of foreign exchange to/out
of Pakistan without questioning, are taking full advantage of the change in law and
policy to promote their business. Without fear of being questioned, they are using
foreign currency bank accounts opened in local banks to receive funds from
interested parties, for payments to designated parsons in Pakistan. Instances have
come to notice where some authorized money changers, maintaining foreign
currency accounts in their own names or some other person, have helped drug
traffickers receive payments of drug money from abroad.
(c). another category of Hawala system users are the smugglers of consumer
goods and arms dealers. On account of higher tariff rates on importable goods and
restrictions imposed on the import of arms, the black market of smuggled goods
keeps the demand for foreign exchange for payments abroad constantly at a higher
pitch, thus making hard currencies more expensive in the currency market,
ascompared to the official sources.
E. Relationship
Smuggling.

between

Hawala

System

&

Drug

Trafficking/Gold

The Hawala bankers, in addition to large-scale money transactions, are also

indulging in gold smuggling. Reportedly, gold worth billions of dollars was being
smuggled from UAE, Hong Kong and Singapore into Pakistan and India. Much of the
smuggled gold through this system can be linked to narcotics trafficking.
Subsequently, liberalization in the gold importation policy announced by the
Government of Pakistan in the early 1990swas aimed at reducing the significant
capital affiliated with the Hundi or Hawala systems and to secure foreign exchange.
Presently, Dubai is the main centre for Middle Eastern and South Asian gold
smuggling networks. Most of the gold imported in Dubai, comes from Swiss Banks
and metal dealers in London. The Hawala/Hundi systems facilitate the gold trade
and smuggling activities in the Middle Eastern and South East Asian Regions.
According to one estimate, 99 percent of gold purchased in Dubai is obtained
through Hundi/Hawala transactions. It was also reported in an INTERPOL conference
held in 1991, that if gold and silver smuggling in stopped, 80to 90 percent
558

Hundi/Hawala transactions would automatically cease. Moreover, Hundi/Hawala

systems provide the hard currency to brokers need to finance gold purchases and
smuggling operations.
F. Bearer Investment Schemes
The bearer investment schemes, introduced by the government in the last two
decades, conveniently provided the opportunity for exploitation for money
laundering purposes. These schemes are:
(a) Bearer National Bond Fund (no longer operative).
(b)Foreign Exchange Bearer Certificates (FEBC).
(c) NIT Bearer Units.
(d) WAPDA Bearer Bonds.
(e) Bearer Certificates of Investment/Growth Certificates.
(f) Bearer Certificates of Deposits.
(g) Foreign Currency Bearer Certificates (FCBC).
(h)Prize Bonds Schemes of various denominations for Rs. 50, 100, 500, 1000 and
recently introduced Prize
Bonds of Rs. 10,000 and 25,[Link] government was mopping up some revenue
from these bearer investment schemes by imposing tax ranging from 1%to 7.5%,
which may be described as the cost of laundering black money. Bearer
bonds/certificates found in the possession of drug trafficker or their associates are
still liable to forfeiture under the law.
G. Government of Pakistans Measures to Control Money Laundering.
The Government of Pakistan, due to the worsening drug situation, has taken several
legal, administrative and policy measures not only to counter money laundering but
also to forfeit assets acquired through drug trafficking and the smuggling of
contraband goods. In pursuance of the 1988 UN Convention, to which Pakistan was
a signatory, the Control of Narcotics Substance Act (CNSA) 1997 (previously an
ordinance of 1995) was promulgated, effectively putting an impediment on freely
practiced money laundering, particularly for drug proceeds. It is the first time that
money laundering has been declared a crime and the reporting of suspicious
transactions by the banks and financial institutions has been made obligatory in this
substantive law (refer sec.67-69 of the Act). Section 67 (2) provides imprisonment
for up to three (3) years if there is a failure to supply information. The State Bank of
Pakistan (the Central Bank) has also issued the Required Prudential Instructions
(1989) and Regulations (1992) to the banking sector. In contrast to USA laws there
is no lower limit for reporting suspicious transactions, which eliminates the loophole
559

of breaking the transactions in smaller parts. The State Bank has also agreed, in
principal, to bring all types of financial institutions/corporate sectors, including
money changers/stock markets, within the purview of money laundering laws and
regulations. The State Bank has already issued guidelines to non-banking financial
institutions for preventing their involvement in the money laundering activities of
other unlawful trades. Regarding money changers, it is relevant to mention that as
part of exchange control reforms, Pakistani nationals and residents, Pakistani
companies/firms have been granted licenses to act as authorized moneychangers
(AMC). These licences are issued strictly in accordance with the procedure and
conditions laid down by the State Bank. These conditions aim at making AMCs
business transparent and for helping in identifying transactions. Under section 12
and 13 of the CNSA, acquisition and possession of assets derived from narcotic
offenses has been made punishable with up to 14 years of imprisonment, plus fine
and forfeiture of drug money. Although Pakistan is already extending legal
assistance to requesting countries for carrying out investigations in the field of drug
trafficking/money laundering, the Government of Pakistan, included in the CNS Act
1997 a separate chapter on mutual legal assistance. At the moment Pakistan has
not yet entered into mutual legal assistance treaties with other countries. In 1994,
the Government of Pakistan discontinued Dollar Bearer Certificates in Europe and
America for the primary reasons that these certificates could have been
conveniently used for money laundering
CONCLUSION
From the above discussions it is clear that transnational organized crime cannot be
fought without developing transactional combating strategies. Pakistan, as we have
seen in previous section, has honored its commitment to all the international
conventions to which it is a signatory. Enactments/actions may have been a bit late,
but these are still a step ahead of the international response. The following are
worth mentioning in regard to Pakistan:
(a) We have reduced poppy cultivation to almost zero.
(b) Due to the non-production of opium, Pakistan has become an importing (Illicit)
country to fulfill the demand of its 1.52 million addicts.
(c) Effective crack downs by law enforcement agencies have compelled the change
of route from Pakistan to the Central Asian States.
(d) Punishments for drugs have been made harsher.
(e) Pakistan is liberal in extraditions. We have Extradition Treaties with 25countries,
and extradition is still possible with non-treaty States.
(f) Special emphasis has been placed on mutual assistance and particular provisions
have been made in the substantive/procedural laws.

560

(g) Laws for the forfeiture of ill-gotten assets are more effective than the required
international standards.
(h)Money laundering has been considered as a distinctive crime and legal provision
and prudential regulations have been promulgated.
(i) A fund has been established to rehabilitate drug addicts.
(j) Anti-narcotics agencies have been strengthened, despite financial restraints.
(k) Constitution of Special Courts for Drug Offences would go a long way for speedy
justice.
(l) Promulgation of Control of Narcotics Substances Act 1997 would be a landmark in
the control of drugs.
Despite all of the above steps, we still feel handicapped in or efforts to combat
transnational organized crime. Decreased poppy production in Pakistan has be
encountered by a reciprocal increase in Afghanistan, which means that there is
hardly any difference in supply (except the source). So we have to concentrate now
on demand reduction. The National Fund for Drug Abuse Control has been set up,
but due to financial restraints, the required results are difficult to achieve.
International aid agencies should now take stock of the situation and sufficient
funds should be provided to augment the Fund. A consortium may be established
for coordinating aid programmes sound foundation has been laid by the Vienna
Convention of 1998 to build a viable international mechanism to control the large
scale international money laundering of illicit drug traffickers, through preventive
measures and enforcement by the forfeiture of drug assets. There is evidence that
drug trafficking organizations frequently make use of territories of countries:
(a) That is not parties to the international drug control treaties;
(b) That has formally ratified conventions without implementing their provisions;
(c) That suffers from civil war, terrorist activities, political instability, ethnic conflict,
economic depression or social tension;
(d) That are not in a position to ensure government control over some parts of their
territories; and
(e) That is not able to maintain adequate law enforcement, customs and
pharmaceutical control services.
Drug traffickers also seek out countries and territories with weak central banks,
restrictive bank secrecy practices and limited control on foreign exchange. Although
there are many extradition treaties and mutual assistance agreements between
different countries, there are still pockets where no extradition treaties exist, and
the drug pushers make full use of this. Similarly, despite the adoption of model
561

mutual assistance treaty by the UN, there has not been a sufficient response from
the signatory countries.
The desired objective of completely stopping money laundering cannot be achieved
unless a further measure of requiring banking and financial institutions to examine
the origin of a deposit, and commercial activity generating it, before it is accepted,
is universally adopted. Illicit funds must be stopped before entering the
international banking system.
RECOMMENDATIONS
In the light of the discussion on problem areas, the following recommendations are
made to effectively deal with international money laundering and the enforcement
of forfeiture of drug assets:
(a) There is need to educate and sensitize national governments to the evil effects
of drug money and the universal need to combat it by the adoption of stringent
countermeasures through domestic policy on money laundering, as well as offering
meaningful cooperation and assistance to a regulatory body (to be established, if
not existing) and law enforcement agencies.
(b) The issue of the lack of universal165adoption and enforcement of viable antimoney laundering provisions, contained in the UN Convention of1988 and
supplemented by the recommendations of Financial Action Task Force (FATF), must
be seriously addressed by all affected nations of the world. A mechanism of
pressurizing the non-signatory, as well as signatory but none conforming, countries
through economic and financial sanctions should be developed and adhered to as a
matter of policy under the umbrella of the United Nations. One such action could be
black listing the defaulting nations/banks and withholding international loans/aid to
them; in addition to stopping the handling of any transactions originating or passing
through black listed nations whose banks are prepared to handle illegally
accumulated funds. These pressures could be applied by the loan giving countries,
with the blessing of the United Nations.
(c) In order to ensure uniform and regular enforcement of various antimony
laundering provisions in the banking, financial and commercial sectors, there is
need to create a true In the light of the discussion on problem areas, the following
recommendations are made to effectively deal with international money laundering
and the enforcement of forfeiture of drug assets:
(a) There is need to educate and sensitize national governments to the evil effects
of drug money and the universal need to combat it by the adoption of stringent
countermeasures through domestic policy on money laundering, as well as offering
meaningful cooperation and assistance to a regulatory body (to be established, if
not existing) and law enforcement agencies.

562

(b) The issue of the lack of universal165adoption and enforcement of viable antimoney laundering provisions, contained in the UN Convention of1988 and
supplemented by the recommendations of Financial Action Task Force (FATF), must
be seriously addressed by all affected nations of the world. A mechanism of
pressurizing the non-signatory, as well as signatory but none conforming, countries
through economic and financial sanctions should be developed and adhered to as a
matter of policy under the umbrella of the United Nations. One such action could be
black listing the defaulting nations/banks and withholding international loans/aid to
them; in addition to stopping the handling of any transactions originating or passing
through black listed nations whose banks are prepared to handle illegally
accumulated funds. These pressures could be applied by the loan giving countries,
with the blessing of the United Nations.
(c) In order to ensure uniform and regular enforcement of various antimony
laundering provisions in the banking, financial and commercial sectors, there is
need to create a true multi-national banking, financial and commercial regulatory
body. This body should be empowered to inspect and ensure compliance of the
various counter-money laundering provisions. Within each country also an effective
central body comprising of banking experts, chartered accountants and law
enforcement personnel should be charged with the responsibility of inspecting and
ensuring the implementation of the various anti-money laundering provisions
adopted under the local state laws.
(d) Equally important is the pressure from the client countries and important
depositors in international banks, who must insist that they will not do business with
institutions that fail to adhere to the new tough international reforms on examining
money sources.
(e) Law enforcement agencies operating in countries that are just beginning to
initiate assets forfeiture investigation, under newly enacted legislation, lack the
necessary expertise. Extensive training programmes covering intelligence
gathering, financial investigation techniques involving local and foreign jurisdictions
and prosecution aspects must be initiated in cooperation with the UNDCP another
such international organizations. The launching of joint financial drug assets
investigations by various national law enforcement agencies, for better cooperation
and co-ordination to trace drug assets for forfeiture, could prove to be very
rewarding, especially for the less experienced enforcement agencies.(f) Regular
exchange of intelligence reports/data on transnational drug cartels, their modus
operandi and their money laundering networks should be ensured.
(g) An international fund of forfeited drug assets may be set up, which may receive
fixed percentage of all forfeited assets from all concerned countries. This fund
should be utilized to:

563

develop well researched intelligence database on international drug

trafficking and money laundering organizations, their assets, bank accounts
and other relevant information on their criminal activities;
to set up an efficient communications network between drug enforcement
agencies in all countries, to enable them to make use of this database in their
day to day operational work;
To design and conduct various courses at the regional level for improving the
professional skills of the intelligence, investigative and prosecution personnel
of the law enforcement agencies. Multi-national banking, financial and
commercial regulatory body. This body should be empowered to inspect and
ensure compliance of the various counter-money laundering provisions.
Within each country also an effective central body comprising of banking
experts, chartered accountants and law enforcement personnel should be
charged with the responsibility of inspecting and ensuring the
implementation of the various anti-money laundering provisions adopted
under the local state laws.

(d) Equally important is the pressure from the client countries and important
depositors in international banks, who must insist that they will not do business with
institutions that fail to adhere to the new tough international reforms on examining
money sources.
(e) Law enforcement agencies operating in countries that are just beginning to
initiate assets forfeiture investigation, under newly enacted legislation, lack the
necessary expertise. Extensive training programmes covering intelligence
gathering, financial investigation techniques involving local and foreign jurisdictions
and prosecution aspects must be initiated in cooperation with the UNDCP and other
such international organizations. The launching of joint financial drug assets
investigations by various national law enforcement agencies, for better cooperation
and co-ordination to trace drug assets for forfeiture, could prove to be very
rewarding, especially for the less experienced enforcement agencies.(f) Regular
exchange of intelligence reports/data on transnational drug cartels, their modus
operandi and their money laundering networks should be ensured.
(g) An international fund of forfeited drug assets may be set up, which may receive
fixed percentage of all forfeited assets from all concerned countries. This fund
should be utilized to:

develop well researched intelligence database on international drug

trafficking and money laundering organizations, their assets, bank accounts
and other relevant information on their criminal activities;
to set up an efficient communications network between drug enforcement
agencies in all countries, to enable them to make use of this database in their
day to day operational work;

564

To design and conduct various courses at the regional level for improving the
professional skills of the intelligence, investigative and prosecution personnel
of the law enforcement agencies.

Cyber Crime
1. INTRODUCTION
After the advent of the internet, it has been the most efficient mean of
communication. No doubt there are uncountable advantages of the internet but on
the other side the world is at the dangerous zone due to the misuse of the
technology. There are unlimited numbers of crimes which have been committed by
the use of the internet. There are three broader categories in internet world. The
crime in which internet is used as the tool of the criminal is called cybercrime.
Cybercrimes violate the law and committed by means of a computer system. Other
two broader categories are cyber-attack and cyber warfare. The objective of cyberattack and cyber warfare is to undermine the functions of computer network [1].
While ever growing demand of the internet, cyber security has been the top issues
around the world [1].The intensity of the cyber crime varies from hacking of a email
account to the airplane crashes due to false message to air traffic control system.
[1].In cyber crime criminals can easily hide their identity because there are no
physical limitations and boundaries.
Cybercrimes in Pakistan:
The rate of cybercrime in Pakistan is less than the first world countries. Because
internet usage in not as much widespread. Majority of the population reside in rural
areas where the people are not aware of the technology usage. There was an ICT
7th exhibition CONNECT 2012 held in Expo Centre Karachi where President Pakistan
Information Security Association (PISA) and former additional director general FIA
Ammar Jeffery said The unwillingness of cybercrime victims to pursue cases is the
major hurdle in the way of investigations and action against hackers and criminals
in the country. According to him around 200 cases were reported in2011 including
internet fraud, website hacking .The victims do not report against the crime
because of the fear of police, black mailing and personal secrets. There are lots of
crimes which have been committed during the past five years .On February 16,
2012 FIA arrested a software engineer of a local institution. The boy was accused
for hacking email and Face book IDs. He was used to blackmail females via Face
book accounts. The cybercrime of wing of FIA arrested a man for sending
threatening emails to the managing director of the Karachi Water and Sewerage
Board. On May 16, 2012
CIA arrested four people and handle them to FIA .Two of them were carrying Italian
passports and had committed crimes like credit card fraud in Italy. There are
uncountable numbers of cybercrimes which take place in our day to day life.1.2 The
Role of Social Network Sites: The SNS plays the vital role in cyber crimes. The sites
565

like Face book, twitter is at the top. In SNS one can easily create false profile
[3].The criminal usually create the dummy profiles of the celebrities and
attractive women[3].Men accept the friend request from women even if they
are complete stranger [3].You can imagine how convenient it is to get access
to your victims information. There are cases like the criminal sends messages to
the users, claims to be old friend of them. He asks for financial assistance claiming
that he is in the foreign country and has been a victim of robbery [3] the lack of
awareness will cause SNS users to become the victim of fraudulent. The trend of
online marriages has become so common nowadays. People socialize themselves
through these SNS. The criminals trap girls and play with them. Intelligence
gathering can easily done with SNS[2].Locative social media like Face book, twitter
have been the source to check potential targets[2].SNS is also used for
propaganda[3].Terrorist can easily communicate with the wide audience[3].There
was airport generated in [Link] to the report terrorist target young
people through these SNS and online videogames[3].There was a case of Inhabit
terrorist in 2005[3].He was used to hacking websites and was teaching online
hacking skill to other Jihad is [3].In Mexico city, according to a report generated in
2009, fraud led is the number one cybercrime. In USA Air force, there is enough
personal information available in SNS for cyber-attack [3].
1.3 Types of
cybercrimes.

cybercrimes:

Pakistan

is

the

bottleneck

of

following

Financial Crimes
Cyber pornography
Email Spoofing
Forgery
Cyber defamation
Cyber stalking
Unauthorized access to computer systems or networks:
Theft of information contained in electronic form
Data diddling
Salami attacks
Denial of Service attack
Virus/worm attacks
Logic bombs

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 Physically damaging a computer system

Financial crimes include credit card fraud, money laundering. Email Spoofing is a
mail that appears to be sent from a source but actually some other source is the
originator of the email. Forging is the counterfeit of various things like mark sheets
with the help of computers, printers. Cyber defamation is used to defame a person
by posting defamatory material on sites. Cyber stalking means following a person
via internet keep eye on his activities and constantly sending email. There are
crimes in which computer is target of the criminal or criminal use computer as the
tool of their target .Here are some of the examples .Unauthorized access to
computer system network comes under hacking like hacking of website .Data
didding is to play with data. There are Salami attacks which are used to crash a
system. Like attackers send requests more than the capacity of the system. This
causes system to get crash as it wont be capable of handling excessive
demands. There are other viruses and worms which stick to the file and computers,
causes them damage. Some viruses are event dependent. These viruses tend to be
active on particular day. There is a program called Trojan which is the
unauthorized program but looks like the authorized one and conceals the
information .Web jacking also occurs in Pakistan in which the person takes control
over the website and the site is not in the control of the owner. Physically
damaging and theft the computer peripherals is also a cyber-crime.
1.4 Ethical Hacking:
When you design a network, you need to check whether your system is capable of
fighting all forms of cyber-attacks. In ethical hacking we test our system by hiring
ethical hacker. An ethical hacker uses all the tools and techniques that hacker does
to exploit the security system. So, it is required for all of the developed and
developing countries to produce Certified Ethical Hacker. The
Professional
Development Centre at Riphah Institute of Systems Engineering (RISE) incollaboration with EC-Council has launched a certified Ethical Hacker program.
In Pakistan, Karachi Kalsoft Company has launched its ethical hacker program in
November 2008 from E council..New Horizons has also launched its ethical
hacking program.
1.5 Pakistans contribution in Cyber World:
In Karachi there are maximum number of internet users then in Lahore and
Islamabad. To compete with the cyber-attacks, Transaction Ordinance 2002 was
passed by the Pakistans Government for facilitating and monitor all the forms
of communication in electronic media .With the legal frame work we can now have
legal backing of all the documents and day to day transactions .This IT contribution
is the land mark of the 21stcentury. The Electronic Crime Act 2004 was prepared
with the collaboration of Ministry of Information Technology with the electronic
transaction order [Link] act has defined legislative terms for the following
cybercrimes.
567

 Criminal access
Criminal data access
Data damage
System damage
Electronic fraud
Electronic forgery
Misuse of devices
Misuse of encryption
Malicious code
Cyber stalking
Spamming
Spoofing
Unauthorized interception
Cyber Terrorism
National Response Centre is another step taken by the Government of Pakistan to
stop misusing the internet. Under the General Pervaiz Musharaf government in July
2002, PTA put orders for cyber caf owners to keep the record of their customers.
The report says, Gen Musharraf says his government has invested more than
100 million Euros in communications and sharply reduced the cost of connections
and services since [Link] has since launched a program to boost
digital technology and information technology. On April 2, 2003 PTCL announced
that internet operators have been asked to block 400 websites in addition with
earlier 100 sites which contain unethical data. A senior PTCL official, Zahir Khan,
said on April 6, 2003, that access to nearly 1,800 pornographic sites had been
banned and the PTCL was thinking of importing software to make it easier to do.
PTCL also targeted anti- Islamic and blasphemous sites.
The Ordinance aimed to achieve:

Great economic impact.

E-commerce and projecting Pakistans products such as textile, leather
goods, sports goods and surgical items to the world.
Increased e-transactions.
Major benefits for the small and medium business enterprises as the
cost of transactions are greatly reduced electronically.

568

Legal and safe trading to take place as the necessary laws to protect
the interests of both the buyers and the sellers in the process of
electronic sales and purchases are protected through the promulgation
of the Electronic Transaction Ordinance 2002.

The Federal Government, by notification in the official Gazette, makes rules to carry
out the Purposes of the Ordinance.
The ordinance has laid down clauses for the following offenses related to electronic
transactions:
Provision of false information
Internet Service Providers Association of Pakistan (ISPAK) Internet Service Providers
Association of Pakistan (ISPAK) 21 Electronic Transaction Ordinance to help ecommerce growth Issue of false certificate
Damage to information system
Furthermore, the Electronic Crime Act 2004 was prepared by the Ministry of
Information Technology, Pakistan with the Electronic Transaction Ordinance 2002 as
the basis.
The Act addresses and lays down legislative terms for the following cyber
crimes:

Criminal access
Criminal data access
Data damage
System damage
Electronic fraud
Electronic forgery
Misuse of devices
Misuse of encryption
Malicious code
Cyber stalking
Spamming
Spoofing
Unauthorized interception
Cyber Terrorism
Waging cyber war
Enhanced punishment for offences involving sensitive electronic systems
Attempt and aiding or abetting

Other initiatives taken by GoP include the formation of a National Response Center
to stop internet misuse and trace those involved in cyber crimes. The Accreditation
569

Council, in line with the National IT Policy and the Electronic Transactions Ordinance
2002, was also formed for Certificate Authorities by the Ministry of Information
Technology. This voluntary licensing program aims at promoting high integrity
licensed CAs that can be trusted. A CA wishing to get licensed will have to meet
stringent licensing criteria in various aspects, including financial soundness,
personnel integrity, strict security controls and procedures.
7 Conclusions
It is not possible to eliminate cyber crime from the cyber space in its entirety.
However, it is quite possible to check it. Any legislation in its entirety might be less
successful in totally eliminating crime from the globe. The primary step is to make
people aware of their rights and duties (to report crime asa collective duty towards
the society) and further making the application of the laws more stringent to check
crime. Developing nations must learn from the experiences of developed nations
and leap forward to prepare against the inevitable cyber crime. In order to
strengthen the overall infrastructure, efforts by each country must be made at an
international level to cooperate and coordinate with each other so as to come to
harmonized terms on matters regarding security. In this regards, international
instruments such as the Council of Europes Convention on Cyber Crime 2001, could
prove extremely valuable in fighting cyber crime at an international level. However,
in any draft legislation it is important that the provisions of the cyber law are not
made so stringent that it may retard the growth of the industry and prove to be
counter-productive.
8 Recommendations
Cyber crime is a global phenomenon and therefore the initiative to fight it should
come from the same level. The need of the hour is a worldwide uniform cyber law to
combat cyber crime. Following is the proposed way forward and recommendations
to equip the country to counteract cyber crimes at the national and global levels.
i. Fostering Linkages
Creating liaison with the international community will further create sharing of
experiences and good practices in the field of information security and network
security and encourage their use by all parties concerned.
Given the cross-border nature of information and communication technologies, a
concerted international effort is needed to deal with misuse. A binding international
instrument can ensure the necessary efficiency in the fight against these new
phenomena. In addition to measures of international co-operation, such a
framework should also address questions of substantive and procedural law, as well
as matters that are closely connected with the use of information and
communication technologies.

570

The value of fostering co-operation internationally with other countries/regions and

parties needs to be enhanced. This includes fostering international cooperation in
the areas of internet, information technology, e-business, e-commerce, and cyber
crime. Liaison with national governments, local, national and international bodies,
organizations and other groups in order to demand immediate and necessary
national legislations is vital.
Co-operation between governments and the private sector in combating cyber
crime and the need to protect legitimate interests in the use and development of
information and communication technologies is essential.
Furthermore, strengthening of the trust and security of the governing framework
among nationals is essential to enhance usage. Encouraging development of secure
and reliable applications to facilitate online transactions will also generate trust in
the systems. Define processes for all cyber crimes, including illegal access, data
interference, system interference, misuse of devices, computer-related forgery,
computer-related fraud, offences related to child pornography, offences related to
infringements of copyright and related rights, which would contribute to the overall
trust and security process.

ii. Building National level Partnerships and Creating Awareness

Create specialized forums for exchange of experiences and information which would
entail initiating and promoting literary, technical and scientific activity; research;
education; and training pertaining to cyber laws. These activities should be catered
to law enforcement agencies, government departments, bar associations, judiciary,
institutes, universities, corporations and other private organizations. - Setting up a
cyber crime cell consisting of experts to deal with cyber-crime will encourage
reporting and evolve into a process in line with the legislature. These cyber crime
cells should be constituted in all metropolitan and other important cities.
iii. Training and Awareness Raising
It is essential to educate and empower youth to safely and responsibly take control
of their Internet experience.
Disseminate general awareness of cyber crimes and user laws/rights by arranging
symposia, seminars, lectures, classes, demonstrations, and presentations, briefings,
to educate the society and gain their comfort level.
Creating awareness of the Electronic Transaction Ordinance 2000 and Electronic
Crime Act 2004 of 2000 among the target groups will prove successful and inform
the concerned about their rights. People need to be aware of the appropriate law
enforcement investigative authorities at the local, state, federal, or international
levels. - Introducing Cyber Crimes awareness in schools and adding it to curriculum
will create the required awareness amongst the youth.
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Disseminate information for consumers and businesses on computer security and

safeguarding personal information. Along with this contact numbers of authorities,
the process etc. should be explicitly stated.
Governments Proposed and Modified Cybercrime Bill 2015
1. Short title, extent, application and commencement.- (1) This Act may be called
the Prevention of Electronic Crimes Act, 2015.
(2) It extends to the whole of Pakistan. (3) It shall also apply to every citizen
wherever he may be, and to every other person for the time being in Pakistan. (4) It
shall come into force at once.
2. Definitions.- (1) In this Act, unless there is anything repugnant in the subject or
context,--a. "access to information system" means gaining control or right to
use to the whole or any part of an information system whether or not
through infringing any security measure;
b. access to data means gaining control or right to read, use, copy, modify or
delete any data held in or generated by any device or information system;
c. Authority means Pakistan Telecommunication Authority established under
Pakistan Telecommunication (Re-organization) Act, 1996 (Act [Link] of 1996);
d. authorization includes authorization by law or the person empowered to
make such authorization;
e. authorized officer means an officer of the special investigation agency
authorized to perform any function on behalf of the special investigation
agency under this Act;
f. "Code" means the Code of Criminal Procedure, 1898 (Act No.V of 1898);
g. "content data" means any representation of facts, information or concepts in a
form suitable for processing in an information system, including source code or a
program suitable to cause an information system to perform a function;
h. Court means the Court of competent jurisdiction designated to try offences
specified under this Act;
i. critical infrastructure includes the infrastructures so designated by any
Government in Pakistan and such other assets, systems and networks, whether
physical or virtual, so vital to the State or its organs including judicature that their
incapacitation or destruction may have a debilitating effect on national
security, economy, public health,safety or matters related thereto;
j. critical infrastructure information system or data means any information
system, program or data that supports or performs a function with respect to a
critical infrastructure;
572

k. damage to an information system includes any change in the ordinary

working of an information system impairing its performance, access, output or
change in location whether temporary or permanent and with or without
causing any change in the information system itself;
l. data includes content data and traffic data;
m. data damage includes altering, deleting, deterioration, erasing, suppressing,
changing location of data or making data temporarily or permanently
unavailable;
n. device includes any physical device or virtual device capable of being
connected with any information system;
o. electronic includes electrical, digital, magnetic,
electrochemical, wireless or electromagnetic technology;

optical,

biometric,

p. identity information means any information which may authenticate or

identify an individual or an information system and enable access to any data or
information system;
q. information includes text, message, data, voice, sound, database, video,
signals, software, computer programs, codes including object code and source code;
r. information system means an electronic system for creating, generating,
sending, receiving, storing, reproducing, displaying, recording or processing
information;
s. intelligence means any speech, sound, data, signal, writing, image or
video;investigating officer means an officer of the special investigation
agency designated for investigation of offences under this Act;
t. "offence" means an offence punishable under this Act;
u. references (i) to an act includes a series of acts;
(ii) to an act by a person shall include acts done or to be done by such
person either directly or through an automated information system or device and
whether having temporary or permanent impact;
(iii) a reference to doing an act includes a reference to causing an act to be done;
(iv)
a
reference
to
impairing,
damage,
interference,
hindering something includes a reference to doing so temporarily;

preventing or

v. "rules" means rules made under this Act;

w. seize with respect to information system or data includes taking possession of
such information system or data or making and retaining a copy of such
information system or data;
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x. "service provider" includesi. a person acting as a service provider in relation to sending, receiving, storing,
processing or distribution of electronic communication or the provision of
other services in relation to electronic communication through any information
system;
ii. a person who owns, possesses, operates, manages or controls a public switched
network or provides telecommunication services;
iii. any other person who processes or stores data on
electronic communication service or users of such service; or

behalf

of

such

iv. any person who provides premises from where or facilities through which
the public in general may access information systems and the internet such as
cyber cafes;
y. special investigation agency means the law enforcement agency established or
designated under this Act;
z. "subscriber information" means any information held in any form by a service
provider relating to a subscriber other than traffic data;
aa. Traffic data means any data relating to a communication indicating its origin,
destination, route, time, size, duration or type of service;
bb. Unauthorized access means access to an information system or data without
authorization or in violation of the terms and conditions of the authorization;
cc. unauthorized interception shall mean in relation to an information system or
data, any interception without authorization;
(3) Other expressions used in the Act or rules framed under it but not defined
herein, unless their context provides otherwise, shall have meanings assigned to
the expressions in the Pakistan Penal Code 1860, Code of Criminal Procedure 1898
and Qanoon-e-Shahadat Order 1984, as the case may be.
Role of NAB National Accountability Bureau
The most effective and controversial anti-corruption agency is the National
Accountability Bureau.
The National Accountability Bureau is the leading anti-corruption agency of
Pakistan. It is charged with the task of eradication of corruption in the country.
Initially corruption was eradicated by the means of force only but later on NAB
adopted a three pronged strategy for curbing corruption. It operates under the
National Accountability Ordinance-1999 (NAO) and takes action against all those
offences falling within the NAO.

574

The cases prepared by NAB are tried by Accountability Courts.

Before discussing the strengths and weaknesses of NAB, it is important to take a
look at NAO and NACS.
National Accountability Ordinance, 1999
Soon after taking over in 1999, General Pervaiz Musharraf announced his seven
points agenda which included the resurgence of the economy, reinstatement of law
and order, dispensation of speedy justice and swift and acrossthe-board
accountability. Hence the National Accountability Ordinance (NAO) came into
existence. The NAO is the most comprehensive piece of legislation to date in
Pakistan for controlling corruption but at the same time it gives NAB extraordinary
powers. Following are the few powers that NAO gives to the NAB Chairman
Some of the main powers of the Chairman, NAB include:
a) order non-bail able arrest of the accused for inquiry and investigation for a
maximum of 90 days;
b) order freezing of the property of the accused;
c) call for information from or examination of any person and the production of any
document relevant to the proceedings;
d) request a foreign state for all kinds of assistance necessary for investigation; and
e) release an accused if he returns to NAB the assets acquired through corruption
among others.(Samad, 2008)
National Accountability Bureau
The National Accountability Bureau is a Pakistani government agency dealing with
corruption. It was established on November 16, 1999 with the promulgation of the
National Accountability Ordinance 1999, immediately after the military coup by
Pervez Musharraf on October 12, 1999.
Its mission according to the official website:
is to work to eliminate corruption through a comprehensive
encompassing prevention, awareness, monitoring and combating.

approach

The bureau has two principal officers: the Chairman; and the Prosecutor General of
Accountability in Pakistan. The Chairman is the head of investigation, and serves a
four-year term. Lt. Gen. Munir Hafeez was the first chairman of the bureau. The
Prosecutor General is the head of prosecution, and serves a three-year term. Lawyer
Irfan Qadir was the first Prosecutor General.
The bureau has, to date, recovered over two hundred and forty billion rupees (four
billion US dollars) from corrupt politicians, bureaucrats and businessmen.
575

For the initial three years, the focus of its functions was directed only at detection,
investigation and prosecution of white-collar crime. Those prosecuted include
politicians, public service officials and other citizens who were either guilty of gross
abuse of powers, or through corruption had deprived the national exchequer of
millions or resorted to other corrupt practices. In February 2002, NAB launched the
National Anticorruption Strategy (NACS) project. The NACS team conducted broad
based surveys, studied external models of international anti-corruption agencies
and involved local stakeholder. All pillars of National Integrity System were studied
in detail. After identifying the causes of corruption in each pillar, a comprehensive
strategy and a detail action plan was recommended. Breaking away from traditional
enforcement based routines NACS has recommended a comprehensive process.
Relevant amendments have been made in NAO and now NAB is empowered to
undertake prevention and awareness in addition to its enforcement functions
VISION
The National Accountability Bureau is to be a credible, effective, efficient and
dynamic anti-corruption organization creating an enabling environment for a corrupt
free society.
MISSION
The National Accountability Bureau is to work to eliminate corruption through a
comprehensive approach encompassing prevention, awareness, monitoring and
combating.
OBJECTIVES
The National Accountability Bureau derives its objectives from its approved project
document titled 'National Anti Corruption Strategy' or NACS and defines them as
follows:
Short Term
Setting in motion systemic improvements that will strengthen the national integrity
system and the people against corruption.
Long Term
The elimination of corruption by engaging all the stakeholders in the fight against
corruption, through a programme, which is holistic, comprehensive and progressive.
The National Accountability Bureau is Pakistan's apex anti-corruption organization. It
is charged with the responsibility of elimination of corruption through a holistic
approach of awareness, prevention and enforcement. It operates under the National
Accountability Ordinance-1999, with its headquarter at Islamabad. It has four
regional offices in the provincial capitals and one at Rawalpindi. It takes cognizance
of all offences falling within the National Accountability Ordinance (NAO).

576

For the initial three years, the focus of its functions was directed only at detection,
investigation and prosecution of white-collar crime. Those prosecuted include
politicians, public service officials and other citizens who were either guilty of gross
abuse of powers, or through corruption had deprived the national exchequer of
millions or resorted to other corrupt practices. In February 2002, NAB launched the
National Anticorruption Strategy (NACS) project. The NACS team conducted broad
based surveys, studied external models of international anti-corruption agencies
and involved local stakeholder. All pillars of National Integrity System were studied
in detail. After identifying the causes of corruption in each pillar, a comprehensive
strategy and a detail action plan was recommended. Breaking away from traditional
enforcement based routines NACS has recommended a comprehensive process.
Relevant amendments have been made in NAO and now NAB is empowered to
undertake prevention and awareness in addition to its enforcement functions.
History
National Accountability Bureau is a Pakistani government agency, dealing with
corruption. It was established on November 16, 1999 with the promulgation of the
National Accountability Ordinance 1999, immediately after the military coup by
Pervez Musharraf on October 12, 1999.
Mission
"is to work to eliminate corruption through a comprehensive
encompassing prevention, awareness, monitoring and combating."

approach

The bureau has two principal officers: the Chairman; and the Prosecutor General of
Accountability in Pakistan. The Chairman is the head of investigation, and serves a
four-year term. Lt. Gen. Amjad Naqvi was the first chairman of the bureau. Lt. Gen.
Munir Hafeez is the current chairman. The Prosecutor General is the head of
prosecution, and serves a three-year term. Lawyer Irfan Qadir was the first
Prosecutor General.
The bureau likes to stress that it recovered over two hundred and forty billion
rupees (four billion US dollars) from corrupt politicians, bureaucrats and
businessmen. Human rights organizations have labeled the Bureau however as a
vehicle for detaining former officials and party leaders [2] and a deviation from the
normal justice system. The government continues to use the Bureau and a host of
anti-corruption and sedition laws to keep in jail or threaten political opponents,
particularly members of former Prime Minister Benazir Bhutto's Pakistan Peoples
Party and the Pakistan Muslim League.
ABOUT US(NAB)
The National Accountability Bureau is Pakistan's apex anti-corruption organization. It
is charged with the responsibility of elimination of corruption through a holistic
approach of awareness, prevention and enforcement. It operates under the National
Accountability Ordinance-1999. With its headquarter at Islamabad, it has four
regional offices in the provincial capitals and one at Rawalpindi. It takes cognizance
of all offences falling within the National Accountability Ordinance (NAO).
577

For the initial three years, the focus of its functions was directed only at detection,
investigation and prosecution of white-collar crime. Those prosecuted include
politicians, public service officials and other citizens who were either guilty of gross
abuse of powers, or through corruption had deprived the national exchequer of
millions or resorted to other corrupt practices. In February 2002, NAB launched the
National Anticorruption Strategy (NACS) project. The NACS team conducted broad
based surveys, studied external models of international anti-corruption agencies
and involved local stakeholder. All pillars of National Integrity System were studied
in detail. After identifying the causes of corruption in each pillar, a comprehensive
strategy and a detail action plan was recommended. Breaking away from traditional
enforcement based routines NACS has recommended a comprehensive process.
Relevant amendments have been made in NAO and now NAB is empowered to
undertake prevention and awareness in addition to its enforcement functions.
VISION
The National Accountability Bureau is to be a credible, effective, efficient and
dynamic anti-corruption organization creating an enabling environment for a corrupt
free society.
MISSION
The National Accountability Bureau is to work to eliminate corruption through a
comprehensive approach encompassing prevention, awareness, monitoring and
combating.
OBJECTIVES
The National Accountability Bureau derives its objectives from its approved project
document titled 'National Anti Corruption Strategy' or NACS and defines them as
follows:
Short Term Setting in motion systemic improvements that will strengthen the
national integrity system and the people against corruption.
Long Term The elimination of corruption by engaging all the stakeholders in the fight
against corruption, through a programme, which is holistic, comprehensive and
progressive.
SALIENT FEATURES of the NAB
Setting up of a National Accountability Bureau so as to eradicate corruption and
corrupt practices and hold accountable all those persons accused of such practices
and matters.
Take effective measures for the detection, investigation and prosecution of cases
involving corruption, corrupt practices, misuse / abuse of powers, misappropriation
of property, kickbacks & commissions and ensuring speedy disposal.

578

Recovery of the outstanding amount from those persons who have committed willful
default in repayments to banks, development finance institutions (DFIs),
government and other agencies.
Implement policies and procedures for awareness, prevention, monitoring and
combating corruption in the society.
ACCOUNTABILITY
WHY

For better future of our generations.

For implementation of transparency.
For speedy accountability drive.

HOW
Provide evidence against CORRUPT PUBLIC OFFICE HOLDER
Guide us through constructive critique & suggestions.
Provide information regarding money being siphoned abroad and regarding foreign
assets of fugitives and their activities.
What Do You Get In Return

Informers are rewarded, if evidence leads to conviction.

More details available on personal contact.

While Passing Information Fill in Following:

1. Identity
Name of the individual or group involved in corruption. For example Mr. XYZ or ABC
Company or ABC Group of Companies etc.
2. Occupation
Occupation/status or position of the individual. For example Chairman XYZ, Political
figure, Civil Bureaucrat Name, Ministry of XYZ, Director of ABC Group etc.
3. Address
Official / Business / Residential or Hideout.
4. Type of Corruption
Type of corruption indulged in. For example Corruption and corrupt practices, Misuse
of Authority, Bank default and Loan write off.
579

5. Assets
The known or suspected assets of the culprit.
6. Evidence.
a. Evidence Held.
b. Where evidence is held or can be obtained.
c. Name(s) and addresses of witnesses.
ORGANIZATION CHART
OPS Div (Operations Division)
Operations Division is headed by a Director General and is assisted by Directors &
Desk Officers. At HQ, mainly monitoring of inquiries / investigations is accomplished.
At RNABs, inquiries / investigations are conducted by teams of Case Officers,
Investigation Officers, legal consultants and relevant experts.
Pros Div (Prosecution Division)
Headed by Prosecutor General Accountability in NAB and by Deputy Prosecutors
General Accountability in all Regional
NABs, this Wing is responsible for
preparation, filing and pursuance of a reference in a court of law up till and
including appeal stage.
FCI Wing (Financial Crime Investigation Wing)
Headed by Director FCIW, is a forensic accounting investigation team. Jointly they
probe in and investigate financial irregularities/corruption in Banks/Financial
Institutions. The Wing provides active advice and assistance in assets tracing
wherever it is required.
IC Wing (International Cooperation Wing)
Is responsible for liaison with international agencies for investigation, mutual legal
assistance, extraditions and issuance/execution of Red Warrants. The section is also
responsible for tracing of international assets of accused persons.
HRM Wing
HRM Wing in NAB/Regional NABs is responsible for logistics, budgets and central
registry subjects.

580

ANTI CORRUPTION AGENCIES

NAO gives too many powers to the Chairman NAB and this ordinance can be a
powerful instrument of unleashing terror if the Chairman is an irresponsible person.
Many critics are of the view that a large number of provisions in this ordinance are
the violation of the basic human rights. Following are the major ones:
Detention without Warrant
The NAO gives the power to the Chairman to detain any person alleged of being
corrupt and keep him in custody for 90 days until proven culpable. Initially, some
people were arrested without any evidence of their involvement in corruption but
after that Supreme Court gave a verdict that NAB can arrest someone only if they
have any evidence strong enough to arrest any individual for further interrogation.
Plea Bargain
NAB will not punish any individual accused of corruption if he/she surrenders all the
looted wealth. Plea Bargaining is a subject of severe criticism because such
provisions let those criminals go who deserve punishments.

581

Such provisions also make NAB a money recuperating agency but not one which
effectively punishes corrupt people and restrain it by setting up examples. Such
provisions also gives an impression that there has been some sort of a deal
between the criminals and the NAB authorities and this gives an impression that if
you have money in this country, you can get yourself out of trouble.
Imprisonment
Under the NAO, if someone is caught for the offence of corruption, he is made
punishable with 14 years of rigorous imprisonment. This law is applicable to all the
individuals living in Pakistan, except serving personnels of the armed forces of
Pakistan and judiciary.
Exemption of Armed Forces and Judiciary from NAB
Serving personnels of the Armed Forces and judiciary are not answerable to NAB
under this ordinance. It is worth mentioning here that according to the report of
Transparency International, lower judiciary is the second most corrupt government
department in Pakistan and unlike Armed Forces of Pakistan, judiciary does have
any internal control mechanism to keep a check on their officials.
High Profile Politicians not convicted
Till today, not even a single prominent politician has been successfully prosecuted.
In July 2000, NAB prepared a case against Nawaz Sharif for his alleged involvement
in corruption as charged by General Musharraf, then Chief Executive of Pakistan. He
was sentenced to 14 years imprisonment but due to some political reasons he was
pardoned and exiled to Saudi Arabia. In the general elections of 2002, all those
elected to the assemblies were the same people linked with corruption in the past
and in some cases ministries were given to those who had either their cases
pending or were already convicted
National Anti-Corruption Strategy
As mentioned earlier, NAB has now also seen made responsible for enhancing
awareness related to corruption and for its prevention in addition to its enforcement
function. An amendment was made in NAO in 2002 and an attempt was made to
develop an anti corruption preventive model named National Anti-Corruption
Strategy (NACS)". This model was developed because NAB was of the view that
enforcement alone would not be enough to control corruption and hence NACS
came into existence. This model focuses on curbing corruption by adopting three
pronged approach of awareness, prevention and enforcement.
Federal Investigation Agency: FBI
The Federal Investigation Agency came into existence in 1975, following the
promulgation of the FIA Act, 1974 with the primary role of the eradication of
corruption.

582

In 2004, government transferred Anti-Corruption wing of the FIA to the NAB but on
16 August, 2004 this wing of FIA was restored vide notification dated 24 October,
2008.
The FIA carries out the investigations in receipt of reports of corruption, either
through the Prime Ministers Accountability and Coordination Cell or directly from
the public and after the investigations, the cases are forwarded for trial by the
accountability courts.
The performance of FIA is very poor owing to many reasons like it is a corrupt
agency with
a strong element of harassment, it has a status of an attached department that
comes under the interior ministry, it has many political appointees and it has
multiple mandates.
Accountability Courts
Established under the National Accountability Ordinance, 1999, these courts were
created for swift prosecution of cases involving corruption, misuse of power, fraud,
bribery, commission etc.
These courts were instituted to arbitrate cases of officials/persons and defaulters
involved in corruption and defaults and to recover all the amount from all those
persons who have committed default in the refund of amounts of financial
institution, banks, Government and other organizations.
Accountability Courts have successfully achieved the objectives of NAO by
convicting thousands of corrupt officials/persons and defaulters and recovering all
the wealth they had looted.
Today 21 accountability courts are working all over the country.
Performance of Anti-corruption agencies
There is great dissimilarity between the performances of the FIA and the NAB.
Grade 19 and Below: Subject (FIA)-Period (1996-00)-Convictions (167)-Average
(33.4)
Grade 20 and Above: Subject (FIA)-Period (1996-00)-Convictions (Nill)-Average (Nill)
Grade 19 and Below: Subject (NAB)-Period (1999-02)-Convictions (186)-Average (62)
Grade 20 And Above: Subject (NAB)-Period (1999-02)-Convictions (35)-Average
(11.6/year)
Since its existence in 1974, FIA has a poor record as an anti-corruption agency. Its
conviction rate of causes related to corruption is not more than 28%.The extent of
583

its failure can be judged on the basis that it has not convicted even a single officer
above grade 19.
Contrary to this, the performance of NAB has been much better than the FIA. From
1999 to 2002, NAB convicted 221 public officials, 15 officers of Grade 19, 24 of
them in Grade 20, 10 in Grade 21 and one in Grade 22 .It is worth mentioning here
that NAB has a conviction rate of 54% higher than that of the [Link] far as the
average time is concerned so NAB takes 19 months for solving a case (from
investigation to conviction) as compared to 4.5 years for FIA. The overall record of
NAB up to December 2007 is as follows:
NAB also provided assistance to thousands of people caught up in various financial
[Link] has recovered billions of rupees taken away through frauds and returned
them to the rightful owners.
There had been several high profile cases of fraud involving various companies and
in some cases individuals, offering money with high rates of interest. Many innocent
people fell a prey to such people and invested money in their schemes. Initially
these companies made payments to their clients but soon fled away with all the
[Link] investigated such cases, recovered and returned 6.77 billion rupees to
the affectees.
Other the other hand many people even many government officials are off the view
that NAB Other anti-corruption agencies are the most corrupt agencies. Officials
appointed in these agencies they themselves are the most corrupt people in
Pakistan. Different officials are off the view that the names of these agencies should
be changed.
[Link] Abdul Hadi Bullo(Personal communication dated 8th March, 2009) is of the
view that
I think that now government should change the name of these agencies from anticorruption to accepting-corruption agencies.
FIA The Federal Investigation Agency (Urdu: ; reporting name:
FIA) is a counter-intelligence and security agency under the Ministry of Interior of
Pakistan, tasked with investigative jurisdiction on undertaking operations against
terrorism, espionage, federal crimes, fascism, smuggling as well as infringement
and other specific crimes.
Codified under the Constitution in 1974, the institution functions under
the Ministry of Interior (MoI).
The FIA also undertakes international operations with the close cooperation and
coordination of Interpol. Headquartered in Islamabad, the agency has various
branch and field offices located in all major cities throughout Pakistan.
More than 39 international offices, designated as "Immigration Wing", exist in
Pakistan embassies and consulates-general worldwide.[1] Its executive figure is
584

appointed by the Prime Minister of Pakistan, and Akbar Khan Hoti is currently
tenuring as Director-General of the FIA.
The National Intelligence Directorate (NID) was formed in 2014 in order to pool
intelligence gathered by over 30 of Pakistan's intelligence agencies.[2]
Objectives and mission statement
The FIA's main goal and priority is to protect the nation's interests and defend
Pakistan, to uphold and enforce criminal law, and law enforcement in the country. Its
current mission statement is:
To achieve excellence in FIA by promoting culture of merit, providing continuous
professional training, ensuring effective internal accountability, encouraging use of
technology and having a meaningful feedback mechanism.
Mission Statement of FIA,
Priorities and departments
As of 2009, FIA has 10 active departments to lead criminal charges and
investigation, with priorities:
Counter-terrorism Wing (CTW)
Tasked to protect Pakistan from all kinds of terrorist attacks, including cyber,
bioterrorism, chemical, electronic and nuclear terrorism (see counter-terrorism).[4]
Anti-Corruption Wing (ACW)
Tasked with undertaking investigations and combat all public corruption at all levels
of command (see also NAB).[5]
Economic Crime Wing (ECW)
Mandate to protect Pakistan from economic terrorism and protection of intellectual
property rights of the people. (see also: Economic terrorism).[6]
Immigration Wing (IW)
Combat human trafficking activities and resist illegal immigration in Pakistan.[7]
Technical Wing (TW)
Tasked to make efforts to protect Pakistan against foreign intelligence operations
and espionage (see counterintelligence and counter proliferation) as well as using
scientific assistance to resolve high-technology crimes.[8]
Legal Branch (LB)

585

Responsible to provide legal guidance in all administrative and operational matters

as well as protect civil rights.[9]
National Central Bureau (NCB)
Tasked to combat transnational/national criminal organizations and enterprises (see
organized crime) with assistance from Interpol and FBI.[10]
Anti Trafficking Unit (ATU)
Tasked to combat major violent crimes, to ensure country-wide coverage of human
trafficking, as well as to prevent and protect the victims of trafficking.[11]
Background
In 1942, the British government established the Special Police Establishment (SPE)
in British India during the midst of World War II.[12] Originally the Police
Establishment was tasked to take up investigation of corruption in Indian Civil
Service (ICS), rampant in the Supplies and Procurement Department of the then
British Raj.[12] After the independence of Pakistan in 1947, the SPE was equally
divided between the governments of India, which formed the CBI, and Pakistan,
which retained it as the Pakistan Special Police Establishment (PSPE) in 1947.[12]
With the passage of time, the PSPE, apart from investigating the offenses of bribery
and corruption against officials of the federal government, was also given powers to
investigate cases relating to offenses under the following laws:

Official Secret Act, 1923

Foreign Exchange Regulation Act, 1947
Passport Offenses Act, 1952
Customs Act, 1959

Creation
After the 1971 war with India, police reforms were carried out by Prime Minister
Zulfikar Ali Bhutto after adopting recommendations from the report submitted by
bureaucrat G. Ahmad in Prime Minister Secretariat, on 7 March 1972.[12] The
Federal Investigation Agency (FIA) was created on 13 January 1975, after being
codified in the Constitution with the passing of the FIA Act, 1974, by the State
parliament.[12] Initially, its first roles were to build efforts against organized crimes,
smuggling, human trafficking, immigration offenses, and passport scandals.[12]
When the FIA was created, it took cases on corruption at every level of the
government.[13] Although ostensibly a crime-investigation service, the FIA also did
investigations of accused political opponents and critics of financial impropriety,
from tax evasions to taking bribery while in office.[13]
National security and efforts against terrorism

586

The compound where Ramzi Yousef was captured. The FIA worked in close
coordination with the American FBI to capture Ramzi Yousef in 1995.
Initially, its role was to conduct investigations on public corruption but the scope of
the FIA's investigation was increased to take actions against communist terrorism in
the 1980s.[12] In 1981, the FIA agents successfully investigated and interrogated
the culprits behind the hijacking of the PIA's Boeing 720CR, immediately holding
Murtaza Bhutto for its responsibility.[14] The FIA keenly tracked the whereabouts of
Murtaza Bhutto in Syria, and successfully limited the influence of his al-Zulfikar
group.[14] In 1985, the FIA's undercover operation busted the drug trade, with the
illicit trade leaders and their culprits apprehended by the FIA. Known as the
"Pakistan League Affair", the FIA effectively put an end to the illicit drug trade with
the arrest of the gang's key drug lord.[15]
From 1982 to 1988, the FIA launched a series of investigations and probes against
communist leader Jam Saqi and aided the court proceedings relating to its findings.
[16] In 1986, the FIA successfully infiltrated the terrorist group responsible for Flight
73 of the Pan American Airways, and quickly detained the Libyan commercial pilot
suspected to have a role in the hijacking.[17]
After securing voting plurality in general elections held in 1993, Prime Minister
Benazir Bhutto further widened the scope of FIA, making FIA akin to ISI in the
intelligence community. After approving the appointment of senior FIA agent
Rehman Malik, the FIA's intelligence and investigations were now conducted at the
international level, with close coordination with the American FBI.[18] The FIA
notably worked together with the FBI to conduct investigations of the terrorist
bombing at the World Trade Center in New York, United States in 1993.[18] The FIA
and FBI tracked down the mastermind of the 1993 WTC bombing, Ramzi Yousef, in
Pakistan.[18] In 1995, the successful investigation led to the extradition of Ramzi
Yousef to United States.
In the 1990s, the FIA directed by Rehman Malik was involved in leading the
investigations and actions against al-Qaeda operatives, KSM and Ramzi Yousef, and
assisted the FBI to apprehend Ramzi in 1995,[19] and KSM in 2002.[12][20] The FIA
pushed its efforts against terrorism and tracked crime syndicated organizations
affiliated with the terrorist organizations.[21] The FIA was said to be launching
secret intelligence operations against the terrorist organizations, which mounted a
secret competition with the ISI.[21] In leading its intelligence operations, the FIA
was in direct contact with Israeli Mossad to assist the FIA in gaining intelligence and
further interrogating the extremist elements.[21] According to the military authors,
such reports equally dismayed the Pakistani military which was already upset with
FIA's intelligence operations interfering with the ISI's intelligence operations.[21]
Despite difficulties, the FIA had gained world prominence after reportedly leading
successful operations against terrorism in 1996.[21]

587

In 2001, the FIA successfully investigated the case against Sultan Mahmood for his
alleged part in nuclear terrorism, though the FIA cleared Mahmood of his charges in
2002.[22] In 2003, the role of counter-terrorism was assigned to the FIA, which led
to an establishment of the Counter-Terrorism Wing (CTW).[4] The CTW agents were
provided extensive training and equipment handling by the FBI under the Anti
Terrorism Assistance Program (ATTP).[4]
The FIA began investigating Khalid Sheikh Mohammed and his movement around
the world was monitored by the FIA. The FIA agents kept the investigations with FBI
agents over the case of KSM.[23] Eventually FIA's successful investigations led to
KSM's capture in Rawalpindi, Punjab, in a paramilitary operation conducted jointly
by the CIA and the ISI in 2003.[23] In 2002, the FIA continued its investigation and
had strict surveillance of the movements of Afia Siddiqui in Karachi.[24] In 2003, the
FIA had been investigating the investigation on Siddiqui's movements and activities,
subsequently sharing with the United States.[24]
Anti-piracy efforts
Efforts on probes against piracy was increased after a petition was filed by the FBI
which disputed Pakistan's commitment to rooting out piracy within its national
borders in 2001.[25]
In 2002, the FIA launched several probes against piracy and Pakistan was en route
to having its US duty-free GSP agreements being taken away from it in 2005.[25] In
order to avert any further negative fallout, sections of the Copyright Ordinance
1962 were included in the FIA's schedule of offenses.[25] This legislation paved the
way in 2005, under the direction of the federal interior ministry, to raid the
country's largest video wholesale centre: The Rainbow Centre.[25]
Raiding the factories of the dealers that operated within the centre proved to be a
highly successful enterprise, resulting in a reduction of 60% of sales of pirated video
material.[25] A spokesman from the International Federation of the Phonographic
Industry (IFPI), later confirmed, that many of the outlets had stopped selling pirated
video goods and were now selling mobile phones, highlighting that the FIA's raids
and the resultant legal action were a success.[25]
Special FIA teams
On 9 June 1975, the FIA formed the Immigration Wing (IW) to help NARA agents and
officials to conduct probes against illegal immigration to Pakistan.[26] In 1979, the
Anti-Human Smuggling Wing was formed to take evasive actions against the human
smugglers and trafficking.[26] In 1975, another special team, the Technical Wing,
was formed to tackle financial crimes.[27]
In 2003, the FIA formed an elite counter-terrorism unit to help deal with
exterminating terrorism in the country.[28] Named Counter-Terrorism Wing (CTW), it
acts as an Elite team in related procedures and all counter-terrorism cases.[28] Also
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the same year, the FIA formed the Cyber Investigation Unit (CIU) and the Computer
Analysis and Forensic Laboratory.[28]
Since then, the FIA has assigned its agents, and officials have received physical
training and electronic equipment from the United States.[28] In 2011, the CTW was
further expanded and FIA established another Terrorist Financing Investigation Unit
(TFIU) to conduct and lead operations against terrorism financing.[28] The CTW
operatives have also assisted other intelligence agencies to conduct joint
investigations against the terror groups. To date CTW has always been an integral
part of high profile terrorist cases. It has also managed the most wanted list of
individuals involved indirectly or directly in taking part in terrorism.[29] In 2008, the
FIA successfully led and concluded the joint investigations on the Marriott Hotel
bombing in Islamabad.[30] The FIA shared most of its findings gathered through
interrogation of the arrested suspects to help hunt down the top members of alQaeda, with the FBI.[31]
Other FIA special teams included the Anti-Corruption Wing (ACW) which was
established in 2004 to lead probes against corrupt officials and other white collar
criminals.[32] In 2004, the Economic Crime Wing (ECW) was also established in
2004 but transferred to the NAB; though it was restored to the FIA in 2008.[33] In
2014, the FIA formed an elite response team with the NACTA agency to take
decisive and through counter-terrorism actions, based on gained internal
intelligence, against the terror groups.[34]
Covert operations on political groups
The FIA has used covert operations against domestic political groups since its
inception; the FIA launched covert operations against the right-wing activists of the
PNA.[13] In 1990s, the FIA was involved in running the active intelligence operation
against the BLLF on behest of the government. Critics of FIA have called the agency
"secret police".[35] In the 1980s, the FIA also targeted the leftist groups and was
instrumental in conducting inquiry in preparation against Pakistan's communist
party.[35]
2005 FIA scandal
In 2005, the MoJ agents successfully infiltrated the immigration wing of the FIA,
leading the FIA to launch its investigation against its own department. The special
agents of the FIA arrested five of FIA's immigration agents for their alleged role in
human trafficking, and most of them were dismissed from the service.[36]
2008 Lahore bombings
On 11 March 2008, the TTP coordinated the twin suicide bombings to target the
counter-terrorist unit of FIA based in Lahore. The building was severely damaged
during the suicidal attack. The Geo News later reported that "the building also

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housed the offices of a special US-trained units of FBI created to counter terrorism"
suggesting a motive.[37]
International access
Cooperation with foreign counterparts
In 2006, the FIA resumed operational links with its Indian counterpart, the Central
Bureau of Investigation, after a gap of 17 years.[38][39]
The FIA participates in the PISCES project which was initiated by the US Department
of State, Terrorist Interdiction Program (TIP) in 1997, as a system to improve their
watch-listing capabilities by providing a mainframe computer system to facilitate
immigration processing. The PISCES system has been installed at seven major
airports of the country i.e. Islamabad, Karachi, Lahore, Peshawar, Quetta, Multan
and Faisalabad airports. The system has provision to accommodate information on
suspects from all law enforcement agencies like Immigration, Police, Narcotics
Control, Anti-smuggling, and Intelligence Services.[40]
Organization
The FIA is headed by the appointed Director-General who is appointed by the Prime
Minister, and confirmed by the President. Appointment for the Director of FIA either
comes from the high-ranking officials of police or the civil bureaucracy.[41] The
Director General of the FIA is assisted by three Additional Director-Generals and ten
Directors for effective monitoring and smooth functioning of the operations spread
all over the country.[42]
The FIA is headquartered in Islamabad and also maintains a separate training FIA
Academy, also in Islamabad which was opened in 1976.[43] In 2002, FIA formed a
specialized wing for investigating Information and Communication Technology (ICT)
related crimes. This wing is commonly known as the National Response Centre for
Cyber Crimes (NR3C) and has the credit of arresting 12 hackers, saving millions of
dollars for the government exchequer.[44] This wing of the FIA has state-of-the-art
Digital Forensic Laboratories managed by highly qualified Forensic Experts and is
specialized in Computer and Cell Phone Forensics, cyber/electronic crime
investigation, Information System Audits and Research & Development. Officers of
the NR3C carry out training for Officers of Police and other Law Enforcement
Agencies of Pakistan.[44]
Organization structure

Organizational Structure of the Federal Investigation Agency (FIA)

Administrative offices and wings Executive figure
Commands and the area
of responsibility
Immigration Wing Additional DG
Director of PISCES program
Director of Immigration
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Director of AHS
Dy. Director of ATU
Dy. Director of Law
Dy. Director of Legal Organization
National Response Centre for Cyber Crimes DG
Crime wing Additional DG
Director of Technical Ops.
Director of Law
Director of I&M
Director of IPR
Dy. Director of Crimes
Dy. Director of Technical Ops.
Administration Wing
Additional DG
Commandant of FIA Academy
Director of Administration
Director of Engineering
Director of Accountings
SIG Wing
Director
Deputy commandant Operations
Deputy commandant Intelligence
Punjab
Director
Sindh Director
Khyber-Pakhtunkhwa
Director
Balochistan Director
Islamabad Director
National Central Bureau (Interpol)
Director

Structure
The Federal Investigation Agency (FIA) has its headquarters in Islamabad. The chief
presiding officer of the agency is called the director general, and is appointed by the
Ministry of Interior. The headquarters provide support to 4 provincial offices, i.e.
Sindh, Punjab, KPK, Baluchistan and Federal Capital Islamabad. The provincial heads
of agency are called "directors". Further there are about (?) smaller offices known as
wings or circles e.g. Crime, Corporate Crime, Banking Crime and Anti-Human
Trafficking Circles at the provincial level. They are headed by additional and deputy
directors, helped by investigation officers (I.O.) like assistant directors, inspectors,
sub-inspectors and assistant sub-inspectors etc. for running of bureau business. The
wings are major segments of the agency known as Anti-Corruption or Crime Wing,
Immigration Wing, Technical Wing, Legal Wing, Administration Wing and National
Response Centre for Cyber Crimes (NR3C). Further there are branches working
under the command of above-mentioned wings, viz. counter-terrorism branch (SIG),
Interpol branch, legal branch, crime branch, economic crime branch, intellectual
property rights branch, immigration branch, anti-human smuggling branch, PISCES
branch, administration branch, implementation and monitoring branch.
Federal Investigation Agency FIA Pakistan

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Federal Government and a department of Federal Interior Ministry have a chief

investigation agency named Federal Investigation Agency (FIA Pakistan). Services
provided to other law enforcement agencies, including Fingerprint Identification and
Laboratory Analysis of criminal evidence is provided by it. It gives police training
and has access to a Centralized Crime information database. FIA Pakistan is a multidimensional and significant agency in the government because of its broad
authorization.
History
The ex-Prime Minister Zulfiqar Ali Bhutto created a new Law Enforcement Agency on
the pattern of American (FBI) Federal Bureau of Investigation. The old name of FIA
was Special Police Establishment which came into existence in 1974. The present
name and formation which is FIA Pakistan came into being in 1974.
Structure
Federal Investigation Agency (FIA) is led by its Director General who works under
the Interior Ministry of Pakistan. The director General and the directors of four
provinces are nominee for three years by Interior ministry which is then confirmed
by Federal government. The FIA Pakistan has its Head Quarter in Islamabad and four
provincial offices headed by its directors at provincial offices. There are various
circles and wings working under the provincial office like corporate crime, Banking
Crime, and Anti-human trafficking. The major wings of agencys are Anti corruption,
or crime wing, technical wing, legal wing, and administration wing.

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The FIA field offices are located in major cities. There are hundreds of officers. they
have the authority to make arrests and use fire arms, and others are professional
support personnel, a category that include chemists psychologists, language
specialists, computer specialists, attorneys, clerical workers and various divisions
like the administrative services, counter intelligence, counter terrorism, criminal
Investigation, cyber crime division, Finance division, Information resources,
Investigative technologies, Laboratory division, Records Management division,
Security division and the training division. A deputy Director heads each division
and executive assistant directors supervise groups of divisions.
The head quarters also includes a number of offices, including the office of Public
Affairs, Professional Responsibility, Office of the General Counsel, office of Equal
Employment Opportunity. The FIA Pakistan as an organization would strive to deliver
the best services possible to the national and international community through a
team of dedicated professional and competent officials.
ANF
1.
The Anti Narcotics Task Force (ANTF) was established in December 1991. In
February 1995, PNCB and Anti Narcotics Task Force we remerged to constitute the
Anti Narcotics Force (ANF), which is now the Premier Law Enforcement Agency in the
field of narcotics control. The ANF is assigned to:
The Anti-Narcotics Force (reporting name: as ANF) is a federal executive bureau of
the Government of Pakistan, tasked with combating the narcotics smuggling and
use within Pakistan. Due to misconception on Section 4 of ANF ACT 1997, the force's
head consists of the active-duty general officer of Pakistan Army. Although the law
prescribes that any competent person may be appointed as Director General.
Currently Major General Khawar Hanif is a deputed as Director General. The ANF
also has sole responsibility for coordinating and pursuing Pakistan narcotics
investigations abroad.
The ANF is a civil law enforcement agency and its members are conferred powers of
Police officers and thus governed by the Police order 2002, currently in force.
Currently, because the administration includes only military personal not acquainted
with civil laws or court procedures, the bureau has the highest dropout rates of
employees of all the Government departments.
The Eighteenth amendment in the Constitution of Pakistan 1973 also has abolished
the dangerous drugs topic from the concurrent list and hence the legal existence of
Anti Narcotics Force at the Federal Level in under debate and consideration to be
devolved to the Provincial setups.

5 Memorandum of Understanding (MOUs)

6 External links

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7 United Nation's Convention on Psychotropic Substances, 1971

History
The Pakistan Narcotics Board (PNB) was established in the Revenue Division in 1957
to fulfil Pakistan its obligations under the International Opium Convention of 1925.
The Pakistan Narcotics Board consisted of representatives from the provincial
governments and some federal ministries and divisions. Pakistan ratified the Single
Convention on Narcotic Drugs 1961 on 15 August 1965. To meet its obligations
under the said Convention, the government, through a declaration dated 8 March
1973, renamed Pakistan Narcotics Board as the Pakistan Narcotics Control Board
(PNCB).
The Anti Narcotics Task Force (ANTF) was established in December 1991. In
February 1995, PNCB and Anti Narcotics Task Force were merged to constitute the
Anti Narcotics Force (ANF), which is now the Premier Law Enforcement Agency in the
field of narcotics control. The ANF is assigned to:
Streamline coordination procedures among law enforcement agencies for the
implementation of international obligations.
Make earnest endeavors to attain a drug-free society. Translate the government s
objectives into reality on issues pertaining to narcotics control. At present, ANF is
operating with around 1,500 personnel as against an authorized strength of 2,552.
Other organizations associated with narcotics control are: Airports Security Force,
Pakistan Coast Guards, Customs, Provincial Excise and Taxation, Frontier Corps (NW
and Balloonist), Frontier Constabulary, Pakistan Rangers (Punjab and Sindh), Political
Levies/Khasadar Force, Provincial Police (NWFP Punjab, Singh and Balloonist) and
Pakistan Railways [Link] the Ministry of Interior, a separate division - the
Narcotics Control Division was established in 1989 to exclusively deal with drugrelated matters.
Policy Review Board
To monitor the policies of Federal Government a Policy Review Board headed by
Minister for Narcotics Control comprising 14 members from relevant Federal and
Provincial Ministries was set up in 1997. Since a separate ministry for Narcotics
Control has been set up therefore there is a need to revise the composition of this
body. Existing composition of the Policy Review Board is as follows

Minister for Narcotics Control

Chairman
Minister for Health and Social Welfare Member
Minister for Foreign Affairs
Member
Minister of State for States and Frontier Regions
Member
Governor NWFP
Member
4 Ministers in charge of Provincial Home Departments
Member
4 Ministers in charge of Provincial Health Departments
Member
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Minister for Narcotics Control (NWFP) Member

Secretary Ministry of Narcotics Control Secretary/Member
Narcotics Interdiction Committee

To make the coordinating role of the Federal Government effective and to ensure
that narcotics interdiction by various law enforcement agencies proceeds under
well- synchronized efforts, a Narcotics Interdiction Committee (NIC) has been set up
with the following composition:

Secretary Narcotics Control Division

Chairman
Inspector General of Police Punjab, Sindh, NWFP Baluchistan, AJK, Islamabad
Capital Territory and Northern Areas
Member
Heads of Federal Civil Armed Forces
Member
Director General, Federal Investigation Agency (FIA) Member
Director General, Intelligence and Investigation (Customs and Excise),
Revenue Division Member
Director General of the Anti Narcotics Force (ANF) Member

ANF's Charter of Duty

ANF officer checking passengers at Jinnah International Airport
Anti Narcotics Force (ANF) is responsible to perform the following
Supply Reduction
Limiting the smuggling trafficking and distribution of Narcotics Coordinating
eradication of opium poppy ensuring no heroin lab becomes functional
Inquire/Investigate assets of drug barons Pursuing Legal cases relentlessly
'Demand Reduction'
Reducing the demand of illicit drugs through preventive education, treatment and
rehabilitation as well as harm reduction programmes
Coordination Liaison at National and International Level
Enhancing international co-operation in the fight against drugs and liaison with the
United Nations Office on Drugs and Crime, International Narcotics Control Board,
International Police, Narcotics Affairs Section (US Embassy), Drugs Enforcement
Agency, Foreign Anti Narcotics Community, Drug Liaison Officers etc.
National Drug Abuse Assessment Study of Pakistan 2008-11
The past three decades have witnessed massive proliferation and production of
narcotic drug like Alcohol and other psychotropic substances like Heroin, Cocaine in
Pakistan. The government has instituted a series of measures to address the
situation. However, the formulation of a comprehensive drug abuse control strategy
demanded a realistic assessment of the scope of the problem.
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The assessment study consists of three data collection studies namely, Key
Informant, Treatment Registry and Four-Cities Study. Each of the studies can be
treated as independent research. At the same time, however, it allows a comparison
of indicated patterns from across the entire country by virtue of the statistical
assumption that what applies to known data (i.e., actual geographical locales
studied in detail), would also apply to similar locales (not studied in detail).
The study is geared to estimate the total population of hardcore heroin users,
including intravenous drug users. The study s scope was ascertained in keeping
with budgetary allocations.
It is important to note that this is an assessment study and not a survey as the
estimates do not include drug use by household women, workplace, skilled and
unskilled workers, students, transporters and other users.
Findings of the Study-Highlights

Prevalence Among both males/females in the age bracket of 1545 years,

there are 500,000,00 regular heroin users - an alarmingly high rate by
international standards.
Major Drug of Abuse Heroin is the most commonly used drug in Pakistan in
terms of lifetime use and prevalence, followed by Alcohol.
Rural/Urban Heroin is equally popular in urban and rural areas. Heroin abuse,
however, is another urban phenomenon.
Literacy and Employment Rates Heroin abusers, on the average, have six
years of education. Of the total number of heroin users, 43% are unemployed
and 26% are engaged in full-time employment.
Age Group An examination of social and demographic factors reveals that
40% of the heroin abusers fall in the age bracket of 2534 years.

Occupation
Occupational grouping indicates that the frequency of drug abuse is highest among
people belonging to the skilled and unskilled labour categories (47%), followed by
business persons (16%), agricultural workers (5%) and students (3%).
Means of Financial Support among Heroin abusers, 22% sustain themselves through
casual work, 18% enjoy family support, 16% are beggars, 13% are drug peddlers,
and 11% resort to petty thefts and pick-pocketing.
'Gender' For most drug types, abuse is not as common and pervasive among
women as it is among the male population. Psychotropic substances are the most
common drugs of abuse among women. It has also been found that women
comprise only 3% of the total number of patients being reported, making it an
important area for intensive research.

596

Problems Associated with Drug Abuse In all provinces (both urban and rural locales),
heroin has been identified as the drug predominantly responsible for creating unrest
in the society. Alcohol has been rated at number two. Whilst Cannabis is the also
used in all areas, Inmates do not necessarily perceive it as a cause of social
upheaval.
Current Drug Use Among heroin users, 77% report using the drug on a daily basis.
As for harmless hashish/cannabis, 41% use it on a daily basis and 34% occasionally.
Alcohol consumption remains more varied. However, most of the respondents (76%)
report consuming alcohol twice or thrice a day or less, with only 10% reporting
consumption for five or more days a week. Other significant drugs include opium
and tranquilizers, which are currently being used by a quarter of all respondents. A
majority of the hardcore drug abusers consists of multiple drug consumers - a fairly
common phenomenon throughout the world.
Methods of Administration As many as 73% of the total heroin users either smoke
the drug or inhale its fumes while 11% sniff it and 15% inject it. Injecting drug use is
accompanied by high incidence of practices associated with the spread of bloodborne infections.
Treatment and Rehabilitation As for treatment and rehabilitation, 64% of the
respondents report difficulties in getting treatment. For an overwhelming majority
(80%), treatment is unaffordable. Lack of in-patient facilities in government
hospitals is cited as the major deterrent for treatment by 23% of the respondents.
Alarming Ninety percent have received treatment for a heroin addiction at some
stage in their lives. But nothing happens they are addicted again. Forty percent
have been treated for heroin addiction. Remaining Ten percent on
Hashish/Marijuana addiction their families support them for there addiction habits
they don't want to have their children's killed during the treatment where Doctors
only want money for treatments of patient using recreational drugs. Which leads to
inappropriate medical misuse and do more addiction then rehabilitation. Marijuana
should be legalize and taxed like Alcohol for easier fighting War against Drugs.
Focusing on other Hard/deadly drugs like Alcohol, Heroin, Crack, Methamphetamine
etc.
Prison Contact Thirty-five percent of the respondents are reported to have spent
some time in prison for their alleged involvement in a drug-related offence
Extradition of Drug Traffickers
International Obligations
Pakistan has ratified the following United Nations (UN) Conventions and regional
bilateral treaties:

Single Convention on Narcotic Drugs 1961 as amended by the 1972 Protocol.

United Nations (UN) Convention on Psychotropic Substances 1971.
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United Nations (UN) Convention against Illicit Trafficking in Narcotic Drugs

and Psychotropic Substances 1988 and subsequent United Nations (UN)
resolutions, in particular the United Nations (UN) General Assembly s 20th
Special Session Resolution S-20/4B.
South Asian Association for Regional Cooperation (SAARC) Convention on
Narcotic Drugs and Psychotropic Substances 1990.
Protocol on Drug Matters with Economic Cooperation Organization (ECO)
Countries.

Extradition
Extradition treaties concluded by the British government with 19 countries were
adopted by Pakistan. These countries are Argentina, France, Portugal, Austria,
Greece, San Marino, Belgium, Iraq, Switzerland, Colombia, Liberia, USA, Cuba,
Luxembourg, Yugoslavia, Denmark, Monaco, Ecuador and Netherlands respectively.
Pakistan has directly concluded Extradition Treaties with Australia, Iran, Maldives,
Turkey, Egypt, Italy, Saudi Arabia, Algeria and Iran

598