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6°Ê£Ó]Ê °Ê£ÊÊUÊÊ >ÀV ÊÓä£Ó Law Enforcement Executive Forum Illinois Law Enforcement Training and Standards Board Executive Institute Western Illinois University 1 University Circle Macomb, IL 61455-1390 www.ILETSBEI.com

Senior Editor Thomas J. Jurkanin, PhD

Editors Vladimir A. Sergevnin, PhD, and Susan C. Nichols, MS Ed.

Associate Editors Jennifer M. Allen, PhD Department of Political Science and Criminal Justice, North Georgia College and State University Barry Anderson, JD Professor, School of Law Enforcement and Justice Administration, Western Illinois University Tony A. Barringer, EdD Division of Justice Studies, Florida Gulf Coast University Michael J. Bolton, PhD Chair, Department of Criminal Justice and Sociology, Marymount University Becky K. da Cruz Criminal Justice and Law and Society, Armstrong Atlantic State University Jose de Arimateia da Cruz Political Science and Comparative Politics, Armstrong Atlantic State University Larry Hoover, PhD Director, Police Research Center, Sam Houston State University William Lewinski, PhD Director, Force Science Research Center, Minnesota State University Hyeyoung Lim, PhD Assistant Professor, School of Law Enforcement and Justice Administration, Western Illinois University William McCamey, PhD Professor, School of Law Enforcement and Justice Administration, Western Illinois University Stephen A. Morreale, DPA School of Public Policy and Administration/Criminal Justice, Walden University Gregory Boyce Morrison Department of Criminal Justice and Criminology, Ball State University Deborah W. Newman, JD, EdD Professor and Chair, Department of Criminal Justice, Middle Tennessee State University Michael J. Palmiotto Professor, Criminal Justice, Wichita State University Gene L. Scaramella, PhD Dean of Graduate Studies, Ellis College of New York Institute of Technology Wayne Schmidt, LL.M., JD Director, Americans for Effective Law Enforcement Aaron Thompson, PhD Department of Sociology, Eastern Kentucky University Brian N. Williams, PhD School of Public and International Affairs, University of Georgia

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The Law Enforcement Executive Forum is published online four times per year by the Illinois Law Enforcement Training and Standards Board Executive Institute located at Western Illinois University in Macomb, Illinois.

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,AW %NFORCEMENT %XECUTIVE &ORUM s s Table of Contents

Editorial ...... i Thomas J. Jurkanin

Human Trafficking Toward Constructive Engagement Between Local Law Enforcement and Mobilization and Advocacy of Nongovernmental Organizations About Human Trafficking: Recommendations for Law Enforcement Executives ...... 1 Kirsten Foot John Vanek

Human Trafficking: An Overview for Law Enforcement ...... 12 Mary C. Burke

Best Practices in Domestic Human Trafficking Policy ...... 22 Charles Anthony Smith Tyler H. Hunt

NGOs’ Role in Ending Human Trafficking ...... 36 Julie Slagter

How the Internet Is Used to Facilitate the Trafficking of Humans as Sex Slaves ...... 40 Cheryl (Shelly) George

The Third Wave: Human Trafficking in the Western Balkans...... 51 Bojan Dobovšek

The Child Labor Situation: An Analysis Focusing on Iasi and Vaslui, Romania ...... 64 Rebecca Smokowicz

Gang Injunctions: A Tool to Control Gang Activity ...... 86 Matthew D. O’Deane Stephen A. Morreale

Do as I Say! Or, Do as I Say, Not as I Have Done! County Sheriffs’ Self-Reported Accountability Priorities for Themselves and Their Subordinates ...... 97 T. Casey LaFrance Jonathan Day Chad Ewing David Rohall

Police Training A Multimodal Approach to the Management Training of Police Lieutenants ...... 106 Thomas E. Engells

,AW %NFORCEMENT %XECUTIVE &ORUM s s Does Training Impact Cognitive Processing? Preliminary Evidence of Multitasking in Police Pursuit Drivers ...... 110 Jonathan W. Page

The Impact of Situational and Contextual Factors on Police Arrest Decisions: An Analysis from the New York Police Department ...... 122 Seksan Khruakham Larry T. Hoover

Educated to Serve: Improving Agency Strategies to Recruit the Growing Backlog of Criminal Justice Graduates ...... 136 Todd A. Lough

Police Use-of-Force Policy and Force Training Model: Best Practice ...... 140 Vladimir Sergevnin Darrell L. Ross

Enhancing the Leadership Capabilities of First-Line Supervisors ...... 148 Paul A. Cappitelli Charles Evans

Policing Thoughts—Deep Brain Stimulation: A Future Crime Prevention Model ...... 153 Martin J. Sissac

Defending Enforcement Action: Technological Documentation of Street Officers Activity Defending Officer Action ...... 159 Aaron J. Westrick

Influence of Stress on Decisionmaking During a Crisis ...... 162 Alan Steinberg

Crime Russian Organized Crime and the Existing Measures to Combat It ...... 166 Alexander Sukharenko

Materials/publications are available through the Illinois Law Enforcement Training and Standards Board Executive Institute.

,AW %NFORCEMENT %XECUTIVE &ORUM s s Editorial

A Sad Case Study of Public Blagojevich leaves behind two young daugh- Corruption: Governor of Illinois ters and a loving but compliant wife. He will Reports to Prison spend a minimum of 12 years in prison, according to federal sentencing guidelines. Now 55, On March 15, 2012, the indicted, impeached, Blagojevich will not see freedom until the age and disgraced two-term elected Governor of of 67. What went wrong? Why did he throw Illinois, Rod Blagojevich, reported to a federal away everything in the search for something prison in Littleton, Colorado, to serve a 14-year more? Why do personal egos get in the way? prison term. This single date marks the end of Why would a person who won the public a manipulated public spectacle that “played trust throw it all away? These are intriguing out” for nearly a decade since Blagojevich first questions. ran for governor. Over the intervening years, his corruptive antics and incessant/delusional Should we feel sorry for Governor Blagojevich? denials of wrong-doing were broadcasted in Personally, I feel sorry for the people of Illinois the national media as his sociopathic person- who were deprived of effective leadership ality became ever more evident. and subjected to his corruptive actions, and I feel sorry for his children, but not for him or Rod Blagojevich truly had talent as a politi- for his wife. When you accept the high honor cian. His most prominent skill was campaign- of public office, much is expected. In Illinois, ing and convincing others that he was the Governor Blagojevich was given the oppor- “real deal,” that he represented change, and tunity to improve state government and to that he offered reform and a new direction. significantly impact the lives of 11 million citi- As a Democrat, Blagojevich followed Illinois zens. He failed in the worst possible way. He Republican Governor George Ryan, who is disgraced himself, but more significantly, he presently serving a six-year federal prison disgraced the office. He did not have a com- term for public corruption. Behind the façade pelling desire to act in an ethical manner. of Blagojevich was a deliberate and intentional drive to mislead the citizenry of Illinois On May 21, 1974, Jeb Stuart Magruder, who and to take advantage of his public office for served as a young and brilliant top advisor in personal gain. This is the classical definition the Nixon Administration, was sentenced to of public corruption. serve seven months in federal prison for his role in Watergate and its cover-up. At sen- Federal prosecutors understood Rod tencing, Magruder made the following state- Blagojevich’s misdirected intentions long ment to the court: “Somewhere between my before the citizens of Illinois. Within the first ambition and my ideals, I lost my moral com- several years of the Blagojevich administra- pass.” The difference between Magruder and tion, federal prosecutors were investigating Blagojevich is that Blagojevich did not have a the Governor and his administration. The FBI moral compass. secured approvals for wiretaps and listened in as Blagojevich orchestrated his reign of I knew Governor Blagojevich and worked for public corruption. Federal investigations do him as an agency director. I met with him and not move fast; time is on their side. The feds found him to be engaging. However, there are meticulous and deliberate as investiga- was an underlying impression that I came tions progress. In the case of Blagojevich, his away with—that he was a flawed character; sociopathic tendencies, narcissism, and greed that the “glad-hander,” “do-gooder,” and eventually led to his decline. “bigger-than-life” character he presented was

,AW %NFORCEMENT %XECUTIVE &ORUM s s I disingenuous, self-absorbed, and, in many obvious respects, a fictional character; and that my boss and our governor had sociopathic tendencies.

In electing public officials, we seek out those who above all else have an embedded desire to honor the public trust, offer effective leadership skills, and have an overriding conviction and commitment to always doing what is right. These are the cornerstones associated with effective public service.

As the prison door slams shut on the second consecutive governor from the great state of Illinois, we must remain hopeful that we can once again reestablish our faith in the governmental process by electing good and decent people as our leaders—those who honor the public trust and place the best interests of the citizenry as their top priority.

Thomas J. Jurkanin, PhD Senior Editor

ii ,AW %NFORCEMENT %XECUTIVE &ORUM s s Toward Constructive Engagement Between Local Law Enforcement and Mobilization and Advocacy of Nongovernmental Organizations About Human Trafficking: Recommendations for Law Enforcement Executives

Kirsten Foot, Associate Professor of Communication, University of Washington John Vanek, Anti-Human Trafficking Consultant

Introduction Trafficking Victims Protection Act in 2000, the U.S. government has launched multifaceted It is not every day that Centro Legal de la Raza, efforts to combat all forms of human traffick- the nongovernmental advocacy and legal-aid ing—within the U.S. as well as internationally. In organization serving Spanish-speaking immi- many cities and states, state-level and municipal grants in the San Francisco Bay Area, can attest to agencies, including law enforcement, have been successfully collaborating with Immigration and striving for better legislation, investigations, and Customs Enforcement (ICE), but in the spring prosecutions of crimes related to trafficking in of 2008, La Raza contacted ICE to report one of persons. They do not work alone. Nongovern- their clients was a victim of human trafficking— mental organizations (NGOs) work alongside held as a domestic slave for nearly two years in government agencies at municipal, state, and Walnut Creek, California, by Mabelle de la Rosa federal levels—sometimes separately, sometimes Dann. The victim’s daily routine included pre- collaboratively—to combat human trafficking. paring meals for Dann and her children; cleaning Until recently, the trafficking-oriented NGOs the small apartment, including the floor where with which law enforcement bodies at any level the victim slept; washing laundry; collecting have had the most interaction have typically been the children from school; preparing dinner; and providers of direct services to trafficking victims. entertaining the children and preparing them for In many locations, some of these types of service bed. Working from 6:00 AM to 10:00 PM every day, provider NGOs receive state or federal funding the victim was never paid by Dann, was afraid to for at least some of the services they provide leave, and could not have returned home to Peru and/or they are part of referral networks for law since Dann had hidden her passport. This seem- enforcement and other government agencies.1 ingly unlikely collaboration between La Raza and ICE was the first step in what would become the However, increasing societal awareness of first human trafficking trial in the Northern Dis- human trafficking over the last few years is both trict of California, with Dann convicted on forced due to and resulting in the growth of a different labor and other charges, and then sentenced to type of NGO: those focused on mobilizing citi- five years in federal prison (Russoniello, 2009). zens against human trafficking and on (mostly) local and state-level advocacy for stronger Labor and sex trafficking cases have been docu- anti-trafficking laws and better services for mented in increasing numbers all across the U.S. trafficking victims. These mobilization/advo- These forms of criminal exploitation take place cacy NGOs (MANGOs) rarely if ever provide in and through many sectors of legitimate busi- direct services for victims and, thus, may not nesses as well as in illegitimate businesses. Over have any direct contact with law enforcement the last decade, since the passage of the original or other government entities.

,AW %NFORCEMENT %XECUTIVE &ORUM s s In our respective experiences as a social sci- encouraged by an array of government bodies ence researcher of anti-trafficking efforts (Foot) and NGOs to do so. As participant observers in and an investigator of trafficking incidents and interactions between MANGOs and law enforce- manager of a federally-funded anti-trafficking ment in, collectively, five metropolitan regions in task force (Vanek), we have observed firsthand three states over the last several years, we have the growth in both size and number of anti-traf- witnessed significant differences in the perspec- ficking MANGOs in the U.S. Relatively well- tives, aims, and operational modes of MANGOs established, large MANGOs continue to extend and law enforcement, the tensions that can arise their reach (e.g., by creating local chapters or between them, and the positive outcomes that enrolling smaller community-based groups can result from substantive dialogue between in their networks). And new, small MANGOs these sectors. Our aim in this article is to describe seeking to combat human trafficking “seem three kinds of overtures that we have observed to be popping up like mushrooms in a forest” MANGOs make toward law enforcement, and to rather than joining existing, nationally orga- suggest ways that law enforcement can engage nized MANGOs, observed a leader of one such constructively with MANGOs. The three kinds well-established MANGO we interviewed in of interactions we consider are (1) reporting of 2009. The growth of anti-trafficking MANGOs concerns about specific instances of potential across the U.S. is attributable to several factors, human trafficking by citizens (whether explicitly including successful mobilization efforts by the affiliated with a MANGO or not), (2) requests for MANGOs themselves, increasing news media participation by law enforcement in MANGO- coverage of human trafficking, the growth of organized community events and coalitions on cause-promoting social media platforms such as combating human trafficking, and (3) requests for Change.org, and issue-oriented uses of general support of MANGOs’ anti-trafficking activities. social networking sites such as Facebook. Some citizens become aware of human trafficking Suspicious Activity Reporting directly through outreach efforts spearheaded by MANGOs. Other citizens are exposed to With the advent of Suspicious Activity Report- human trafficking through the news media or ing (SAR) programs, new formats for relaying other sources, and then they seek out others potential crime information to police (via social who share their concerns about the issue and media tools), and—specifically related to human thus find their way into MANGO networks. It trafficking—the ever-increasing number of faith- behooves law enforcement to be aware that indi- and community-based organizations looking to viduals who contact them about human traffick- identify slavery in their communities and report ing concerns are likely to be affiliated with—and their suspicions to police, law enforcement lead- thus influenced by and potentially influencing ers must be aware of this changing landscape and of—one or more MANGOs, whether or not they the breadth of new potential reporters of crime. identify themselves as representing a MANGO. In fact, this confluence of two new phenomena (law enforcement encouraging the public to Tensions and opportunities for fruitful collabo- report potential crime or threats in new ways ration between service provider NGOs and law and the growing mobilization within communi- enforcement are well-documented (Clawson, ties to proactively look for human trafficking and Dutch, & Cummings, 2006; Farrell, McDevitt, & expect law enforcement to respond) brings chal- Fahy, 2008a, 2008b; Konrad, 2008; Laczko, 2005), lenges to leadership and line officers alike. While but the growth of MANGOs is precipitating leadership will want to engage and support new challenges and opportunities for local law responsible community activists, line officers enforcement agencies in combating human traf- and investigators will be left to navigate through ficking—and these have not yet been studied. Law leads of varying quality, delivered by persons enforcement agencies that have not yet been con- and organizations with disparate levels of train- tacted by MANGOs about human trafficking con- ing on human trafficking and how to properly cerns are likely to be soon since citizens are being identify it, and, perhaps most importantly, be

,AW %NFORCEMENT %XECUTIVE &ORUM s s responsible for creating and maintaining positive law enforcement investigation. Although there relationships with community mobilization and is no way for the NFSC to guarantee compli- advocacy groups. Examining these new report- ance by attendees of their Abolitionist Academy, ers of potential human trafficking cases, they can the NFSC leadership stresses the importance of be broadly categorized into two groups: (1) the attendees taking time to initiate and establish MANGO and (2) the as-yet-unaffiliated reporter. positive relationships with local law enforcement, as well as gaining a realistic understand- The Not For Sale Campaign (NFSC), an anti-slav- ing of their local agency’s own understanding of ery organization based in San Francisco which trafficking and their willingness and ability to supports a variety of projects worldwide, drew respond. The NFSC has drawn on the expertise attention from some in law enforcement circles in of the FBI and the San Jose Police Department 2009 when they launched their Investigator Acad- Human Trafficking Task Force in the Investi- emy to train citizen investigators to recognize traf- gation Course, having representatives paint a ficking within their communities, with the hope to real-world picture for the students. Some NFSC then engage local law enforcement by providing graduates have taken their 40 hours of train- this open-sourced intelligence. The NFSC “Acad- ing home and implemented successful investi- emy” illustrates a programmatic strategy increas- gations leading to the identification of victims ingly employed by some MANGOs to recruit and and the arrest of traffickers. For instance, in train concerned citizens in reporting potential 2009, a graduate of the initial NFSC Investigator trafficking cases. Recently, NFSC subsumed its Academy returned to her home in Canada and Investigator Academy within a broader Abolition- located a brothel using open-source investiga- ist Academy program that now also includes a tive techniques. After sending the information Supply-Chain Academy, an Educators Academy, to local law enforcement, several women were and an Entrepreneurs Academy, among others. identified as trafficking victims. In this case, The NFSC “Academy” programs have been local law enforcement was already aware of the expanded, exported to other cities, and emulated brothel but gave credit to the academy graduate by other MANGOs. The San Francisco Abolition- for providing additional information helpful to ist Academy now offers a variety of courses, such the investigation. The NFSC had a similar suc- as “Supply-Chain: Understanding and Confront- cess in South Africa where another 2009 Acad- ing Consumer Connections” and “Innovative emy graduate helped identify women trafficked Aftercare: Models of Treatment that Work,” as into South Africa for commercial sexual exploi- well as “Investigation: Understanding and Eradi- tation during the 2010 FIFA Soccer World Cup cating Human Trafficking in Your Community” and successfully reported the information to law (Not For Sale Campaign [NSFC], 2011). A typical enforcement in Cape Town, where their collabo- course often includes attendees from across North ration continues (Bacino, 2011). America, as well as from Latin America, Europe, Asia, and Africa. Prospective students submit a The NFSC model, and others like it, will become written application, applications are vetted prior more visible to law enforcement as the number to acceptance into the courses, and acceptance is of graduates grows, graduates’ attempts to pro- competitive. Most of those accepted are either uni- vide useful information to law enforcement versity students or graduates, and the students’ increase in frequency, and their efforts—when average age is over 30 (personal communication successful—are recognized. Individual report- with a NFSC leader, 2010). ers of potential human trafficking cases have included some highly experienced individu- The NFSC promotes “smart and open-source als such as retired law enforcement officers or activism,” urging academy students to locate current officers who are working on their own potential trafficking victims in ways that will not or are loosely affiliated with an anti-trafficking endanger themselves or victims, while at the same organization. At the other end of the experience time striving to help them avoid any tactics that spectrum are individual reporters who may be could compromise (unknowingly) an ongoing passionate abolitionists but have little if any

,AW %NFORCEMENT %XECUTIVE &ORUM s s training on how to properly identify potential The Hotline originally leveraged the connections trafficking situations, and who have little under- among various federally funded task forces and standing of their local law enforcement agen- now filters relevant information and intelligence cy’s ability to respond to their information. to any law enforcement agency willing to accept information. In light of the proven successes of Among the most successful national initiatives the Hotline, we encourage all law enforcement to channel suspicious activity reports concern- executives to participate in the anti-trafficking net- ing human trafficking are the National Human work it facilitates by registering their units with Trafficking Resource Center and the National the Hotline. The registration process is simple: Human Trafficking Hotline, operated by the NGO Call the Hotline at 1-888-3737-888 (this is how the Polaris Project in Washington, DC. Operated, phone number is officially presented on the web- in part, through funding from the U.S. Depart- site and in promotional materials) and provide the ment of Health and Human Services, the Hotline Hotline with the contact information for your unit helps connect local and federal law enforcement tasked with addressing human trafficking. agencies, and victim service NGOs. The Hotline operates 24/7 and supports over 150 languages. As an example of the mutual frustration that Callers often are looking for additional informa- can develop between law enforcement and tion on trafficking or how to get involved locally, less-experienced but passionate anti-trafficking but the core purpose of the Hotline is connecting activists, consider the case of “James,” a col- reporters of trafficking with knowledgeable and lege student and dedicated proponent of citi- responsive law enforcement agencies, and con- zen investigations. In 2009, James and some of necting victims with local service providers. In his similarly concerned friends were routinely 2010, the Hotline received 11,874 calls of which spending 10 to 20 hours performing surveillance 15%, over 1,700, were tips or intelligence on of massage parlors in the hopes of developing potential trafficking situations (Polaris Project, intelligence deemed valuable by his local police 2011). As of December 1, 2011, the Hotline had department in southern California. On Christ- received over 18,000 calls for the year with 18% mas Eve, James was visiting relatives in north- classified as tips, intelligence, or crisis calls—that ern California. Making use of some free time, he is, victims in immediate need of assistance.2 scanned Craigslist.com’s Adult Services section looking for signs of potential trafficking. The following case exemplifies how timely and coherent information provided by a citizen via James maintained a list of names and related the Hotline can be beneficial to law enforce- phone numbers from his routine scanning ment and, therefore, why it is in local law of Craigslist ads, and he was surprised and enforcement’s interest to promote the Hotline excited to find an ad placed by “Yvonne” stat- to MANGOs in their community. In July 2011, ing that she was available for out-call service in police in Albuquerque, New Mexico, arrested a the San Francisco Bay Area. James was familiar 32-year-old male for pimping a 17-year-old girl with Yvonne’s postings and had tracked her ads for $180 an hour. Police initiated an undercover from Los Angeles to Las Vegas and the Midwest. investigation after receiving information from Yvonne had placed similar ads in three different the Hotline, which had received a call from a con- cities with the same photographs, using the same cerned citizen. The citizen had observed the duo cellular phone number as her contact number. in an Albuquerque business and witnessed what To James, this movement between cities was a the citizen believed were signs of potential traf- clear sign of Yvonne being trafficked (or at least ficking. The citizen was able to provide enough controlled) by another person or pimp. information via the Hotline that police were able to locate the woman in a prostitution ad on the James immediately phoned the office of the San Jose website Backpage.com (Schwartz, 2011). Police Department’s Human Trafficking Task Force believing they could quickly launch an operation to make a “date” with Yvonne and, hopefully, rescue

,AW %NFORCEMENT %XECUTIVE &ORUM s s her from her traffickers. The office was closed for trafficking that might be evident locally. Other Christmas Eve and Day. Not knowing where else to MANGOs organize fundraising events such as turn, James phoned the San Francisco office of the a pledge walk/run, golf tournament, or screen- FBI. The Duty Agent politely explained to James the ing of a trafficking documentary to be followed realities of trying to respond to this type of infor- by a question-and-answer session with a panel mation on a holiday with minimum staffing. James of local trafficking experts—and they invite law eventually made contact with San Jose’s Task Force enforcement to participate on the panel. To the the day after Christmas at which point his informa- extent possible, it behooves law enforcement tion was analyzed. The ad was no longer posted, units to accept such invitations from credible and the phone number provided by James was not MANGOs for two reasons: (1) participation fos- being answered. ters goodwill toward and accessibility on the part of law enforcement for the MANGO members It is apparent to us that James’ lack of training and event attendees and (2) participation enables on the tactics used by those involved in the com- law enforcement to help educate their local commercial sex trade (whether voluntarily or not) munity about both the problem of human traf- and his lack of understanding of the roles played ficking and appropriate ways for citizens to be by both local and federal law enforcement agen- involved in combating it. However, these types cies (including how special units are not always of invitations raise questions on the part of law staffed during holidays) gave him an unrealis- enforcement about how to screen and whether to tic expectation for response under the circum- endorse MANGOs as organizations and/or the stances. We suggest that a constructive response projects or campaigns they develop or in which by law enforcement to unaffiliated activists like they participate—we will address these in the James would be to point them to an established next section. First, though, we discuss the merits MANGO in the community and to encourage of law enforcement moving beyond occasional them to get involved with its efforts. However, participation in MANGO-initiated community our advice assumes law enforcement officers events to regular participation via ongoing inter- are acquainted with MANGOs and know which action in multisector collaboratives. one(s) could help channel the enthusiasm of individuals like James in beneficial ways. In the Across the United States, many organized anti- next section, we discuss briefly some ways for trafficking efforts are taking shape via a task law enforcement to develop that capacity. force or coalition which typically includes representatives from law enforcement (local and/or MANGO Requests for Participation federal), victim services provider NGOs, immi- by Law Enforcement in Local gration assistance agencies, trafficking-focused Events and Multisector Community MANGOs, and often faith- and community- Networks based organizations looking to support anti-trafficking efforts. Participation in such collabora- In addition to attempting to bring suspicious tives provides law enforcement with excellent activity reports to law enforcement, it is increas- and increasingly important opportunities to ingly common for MANGOs to invite law engage with the public and other service agencies enforcement officers to participate in aware- in a positive manner, to develop mutual under- ness-raising events in local communities. For standing and trust with anti-trafficking actors instance, some local MANGOs extend invita- from other sectors, and to help shape the efforts tions to law enforcement to speak to community of MANGOs as they develop. For these reasons, groups or religious congregations, or simply to we urge law enforcement executives to examine groups of concerned citizens gathered together anti-trafficking efforts in their community and by the MANGO, about the kinds of human traf- deputize members of their agencies who have an ficking that have been investigated in the com- interest in anti-trafficking efforts and can repre- munity. Some MANGOs ask law enforcement to sent the agency well to participate regularly in lead training classes on the indicators of labor the gatherings of local coalitions/task forces.

,AW %NFORCEMENT %XECUTIVE &ORUM s s MANGO Requests for Endorsement brief, simple summary of state and federal law, by Law Enforcement and the national hotline number. The MANGO sought and received endorsement from the city’s We return now to the questions that have arisen police department, which gave the poster greater for some law enforcement units about how to legitimacy than it may have had otherwise. In screen MANGOs that want to involve them an interview about the poster, law enforcement in community events, and whether to endorse officers said they felt comfortable endorsing the MANGOs as organizations and/or their projects poster because it was a basic summary of law. or campaigns. Several law enforcement officers have expressed concerns to one or the other of us In contrast, a few months later another MANGO over the last couple of years about how to assess in the same city requested approval and endorse- the MANGOs that are emerging and/or operat- ment of a draft code of conduct intended to ing in their region. The main reasons for their encourage businesses to eradicate forced labor concern are that some NGOs, including but not and sexual exploitation in their business prac- just MANGOs, have claimed on their websites tices, worksites, and supply chains. The draft and elsewhere to be raising funds to engage in code invited businesses in the city to commit to particular anti-trafficking efforts, such as under- “comply with relevant laws and regulations” as cover investigative operations, rescuing traf- well as to six other good practices for eradicat- ficking victims, and sheltering trafficking survi- ing forced labor and sexual exploitation in and vors, but have not provided any substantiation through business activity such as monitoring of these activities. Due diligence is called for in supply chains and training employees to report checking out the legal status, financial transpar- suspected exploitation. Although each of the ele- ency, and activity reports of all NGOs, includ- ments of the draft code were defensible as useful ing MANGOs, before accepting invitations from means for combating business-based trafficking, them. An online resource that can be helpful in law enforcement’s initial response—articulated the screening process is the U.S. Freedom Registry during an open forum in a meeting attended (http://freedomregistry.org), an online directory by law enforcement and MANGOs along with of organizations with anti-trafficking programs other types of organizations—was hesitation with which any organization can register, devel- about making any explicit statement of approval oped by NGOs but with input from law enforce- or endorsement of the draft code. One reason ment.3 The web form for the registry requests provided was that the code asks businesses to not only contact and program information about state their willingness to obey laws, but legal each organization, but it also requests disclosures compliance is mandatory without a voluntary about a range of good practices, including legal code. Another reason stated was that the prac- status, financial transparency, coalition member- tices listed in the code went beyond compliance ship, and whether they have any official relation- with the law. The volunteers from the MANGO ship with a law enforcement unit. It also requires who were requesting approval and/or endorse- documentation for every claim. Going forward, ment from law enforcement were puzzled and law enforcement agencies could require that any taken aback by what they perceived as a lack MANGO which seeks interaction with them first of support for an initiative they had expected register with the Freedom Registry. would be welcomed by law enforcement.

In addition to requests for participation in Another notable case involves the MANGO community events, law enforcement units are Stop Child Trafficking Now (SCTNow), which increasingly receiving requests from MANGOs is organized around a three-part strategy of for endorsement of MANGOs’ anti-traffick- awareness, advocacy, and action (Stop Child ing projects and campaigns. For instance, a Trafficking Now, 2011). One area of action that it MANGO in a metropolitan area recently devel- promotes is assisting law enforcement through oped a multilanguage poster addressed to traf- two functions: (1) conducting on-the-ground ficking victims and witnesses, which provides a assessments of potential trafficking operations

,AW %NFORCEMENT %XECUTIVE &ORUM s s (primarily brothels) and (2) offering law enforce- Of course, law enforcement is not the only entity ment access to its database of potential trafficking which can benefit by practicing the values of locations, and of individuals who have engaged patience and empathy; we have also counseled in sexually focused “chat” with its investigators MANGOs to take the time and make the effort who are posing online as minors—essentially needed to learn the dynamics of their local law conducting online investigations akin to those enforcement representatives before proceeding conducted by the U.S. Internet Crimes Against with significant anti-trafficking initiatives. We Children task forces. These particular func- routinely encourage MANGOs to commit to tions are performed by Global Trident (http:// establishing strong professional ties with law global-trident.com/partners.htm), a recipient enforcement, to demonstrate their credibility, of SCTNow funding. A novel example of a pub- and, perhaps most importantly, to realize that lic-private partnership, accessing the services most law enforcement agencies are only now offered by Global Trident can be a force multi- beginning to understand the intricacies of the plier for local law enforcement agencies. The multidisciplinary anti-trafficking response— San Jose Police Department entered into a memo and doing so while they continue to perform of understanding with Global Trident in May all of their other responsibilities. As MANGOs’ 2011; Global Trident also works with other local understanding of how law enforcement operates agencies within the U.S. SCTNow and Global in combating human trafficking grows, they will Trident have drawn criticism from some who cite be better able to develop creative and effective a lack of results commensurate to the amount of ways to assist law enforcement (Foot, 2011). money SCTNow has raised. Our intent here is not to endorse or condemn the mission or per- Discussion formance of SCTNow or Global Trident but to raise the law enforcement executives’ awareness The range of interactions between law enforce- that well-funded MANGOs with new strategies ment and MANGOs that we have presented for combating human trafficking are emerging above evidence some of the differing objectives with increasing frequency in the anti-trafficking that are typical of each of these sectors, and movement, and each of these must be examined some of the tensions that underlie interactions carefully for potential benefits as well as risks. between these sectors. People in each sector hold distinct perspectives and concerns about people We recommend that law enforcement leader- in the other sector. In order to move toward more ship, when approached by MANGOs offering constructive interaction, we urge people in each new ideas or capabilities, make an effort to not sector to consider the other’s viewpoints. reject these opportunities out of hand. In our observations, many MANGOs are approaching For law enforcement officers, awareness of law enforcement with good intentions, creative trafficking-oriented MANGOs in general may strategies, and potentially valuable human and be slim, and detailed information about any material resources that can be useful within the particular MANGO may be hard to find. From complex fight against slavery. Over the last few their perspective, MANGOs’ invitations to years, we have both seen MANGOs enter the anti- participate in community events on human trafficking space with a seemingly problematic trafficking may seem like unproductive time strategy or project initially, and then witnessed sinks. Requests for endorsements or approval these organizations make a real contribution statements on MANGO-initiated projects may after that strategy was tweaked through honest evoke concerns about overreaching the legal feedback by law enforcement and other NGOs. bounds on law enforcement units and incurring Clearly, any law enforcement agency, before they liability. Reports of suspicious activity related to engage in any formal agreement or endorse- potential human trafficking, especially reports ment of a MANGO’s activity or product, should that are more impressionistic than factual, or consult with their City Attorney, State Attorney not fully coherent, may be received by law General’s office, or other legal counsel. enforcement as useless, at best, and annoying

,AW %NFORCEMENT %XECUTIVE &ORUM s s or resource-draining. Law enforcement may law enforcement, and some offer trainings on be concerned about the potential for MANGO- how to do that clearly and systematically. initiated, citizen-conducted “investigations” of potential trafficking situations disrupting law Some MANGOs perceive law enforcement as enforcement’s own investigations, potentially largely reactive—unwilling or unable to engage endangering trafficking victims or the citizen in or even support proactive efforts to prevent investigators themselves. human trafficking. In the words of a MANGO- affiliated citizen who expressed a strong com- It is also frustrating to some law enforcement mitment to trying to work in partnership with officers, particularly those who have invested law enforcement but relayed some difficulties in significant amounts of time in investigating doing so, “While I hope that [law enforcement] human trafficking cases, that some MANGO- would see a good reason to help with preven- involved citizens are unaware of (or unimpressed tion, I feel like I get blank stares when I talk by) law enforcement investigative efforts and about efforts related to systemic prevention. I successful arrests of traffickers. For instance, in wonder if this is because [law enforcement per- talking about a national MANGO’s online slav- sonnel] are not trained to think about preven- ery incident report platform, which includes tion or because they are not incentivized to help data fields for citizens to report whether law prevention efforts. As horrible as this sounds, at enforcement was involved and to what effect, a subconscious level they are paid to catch crim- a law enforcement investigator confided to one inals, so it’s in their interest to catch crime rather of us the angst he felt over the fact that because than prevent it from happening” (personal cor- much of what he and his colleagues do cannot respondence with an anonymous MANGO be disclosed to the public until charges are filed, volunteer). We suggest that the fact that law and because local news media do not always enforcement units are indeed structured around (nor accurately) report trafficking charges, law responding to legal violations does not have to enforcement’s response to trafficking cases is preclude individual officers or units from sup- often overlooked or misrepresented. He was porting MANGOs and other types of organi- frustrated that citizens documenting incident zations in implementing prevention strategies. reports on MANGO platforms too often base Prevention has been one of the U.S. govern- their reports on partial and sometimes inaccu- ment’s core principles for combating human rate information, making law enforcement seem trafficking since federal efforts commenced in passive or, worse, ineffective. 1999. Although the State Department’s 2010 Trafficking in Persons report acknowledged that On the other hand, from the perspective of the U.S. Trafficking Victim Protection Act does trafficking-oriented MANGOs, some indi- not “give much guidance in setting forth pre- vidual law enforcement officers and units vention activities,” it reiterated its commit- seem to be less informed and/or concerned ment to a broad and robust view of prevention, about human trafficking than the MANGOs observing that around the world, “governments think they should be. Furthermore, most are expanding their understanding of preven- citizens involved in MANGOs are aware tion to include policies and practices that cut off that in the current economic situation in the modern slavery at the source” and that “govern- U.S., all public services are hard-pressed, ments, corporations, and consumers can come and law enforcement agencies are under- together” to implement prevention strategies funded and overstretched. For both of these (U.S. Department of State, 2010). reasons, and potentially other reasons, many trafficking-concerned citizens want to assist Finally, some MANGOs view law enforcement law enforcement in identifying potential cases as slow or unwilling to act on potential human of human trafficking. As we have described trafficking cases. Sometimes this perception is above, MANGOs explicitly encourage citizens based on a lack of understanding of what it takes to provide reports on suspicious activities to to conduct an investigation and why that process

,AW %NFORCEMENT %XECUTIVE &ORUM s s can require a significant amount of time. However, multisector response networks as well. The over- some MANGO-involved citizens have developed view of the U.S. Bureau of Justice Assistance’s that perception after initiating overtures to local (2011) multisector task force initiative is a good law enforcement and not receiving what they place to start developing knowledge and find- feel are timely and substantive responses. Both ing contacts. Since 2010, partnership within and of these (mis)perceptions can be largely rem- across sectors has become one of the U.S. gov- edied by more frequent and robust interactions ernment’s explicitly stated core principles for between law enforcement and MANGOs; how- combating human trafficking. However, the ever, that will require greater responsiveness and State Department (2010) itself acknowledges time investments on the part of law enforcement. that “While there is broad agreement on the purpose and benefits of a partnership approach to Conclusion human trafficking, there is less agreement on and documentation of proven, successful strat- In summary, we have presented evidence herein egies—something all should endeavor to create that there are significant potential benefits to and share in the years ahead.” An e-guide on be reaped in the fight against human traffick- multisector task force strategy and operations ing from more robust collaboration between produced in 2010 by the U.S. Office for Victims law enforcement and MANGOs. We have also of Crime and the Bureau of Justice Assistance demonstrated that there are potential risks from provides excellent recommendations for initi- a lack of collaboration, or antagonism, between ating and sustaining collaborations to combat these sectors. If law enforcement units perceive human trafficking (U.S. Bureau of Justice Assis- overtures from citizens as increasingly fre- tance, 2011). quent, annoying interruptions or distractions by individuals, they may miss the underlying Under the mandate of the Trafficking Victims Pro- organizing dynamics of MANGOs in the grow- tection Act, every credible report of suspicious ing social movement against human trafficking activity pertaining to human trafficking received as well as the opportunity to achieve greater by a law enforcement unit should be investigated success in identifying victims of trafficking or or referred. Ideally, every local law enforcement preventing trafficking in the first place. body will ensure their staff is trained and net- worked via state and federal training and response In a nutshell, we have argued that because networks and that they have a designated liaison MANGOs focused on human trafficking are for MANGOs and as-yet-unaffiliated citizens who growing in number, geographical distribution, want to report suspicious activities. Law enforce- and size, local law enforcement units need to ment agencies that have built capacity around get acquainted with the leading MANGOs in human trafficking can serve as referral nodes for their area and develop avenues for constructive geographically proximate agencies. At minimum, dialogue. We have suggested encouraging high- every local law enforcement body should desig- quality reports of suspicious activity by MANGO- nate a staffperson to contact the National Human affiliated citizens and helping them learn how Trafficking Hotline with any human trafficking- best to communicate their tips, responding posi- related tips or potential cases brought to them by tively when feasible to MANGOs’ invitations MANGOs or others. to participate in community awareness-raising events and being as supportive as possible to In conclusion, the presence of human trafficking MANGO-initiated strategies for not only halting in every region of the U.S. is undeniable in light of human trafficking but preventing it. the cases prosecuted over the last decade. In light of this unfortunate reality, local law enforcement Some law enforcement executives may not be units must engage with this complex crime as aware that a federally organized multisector mandated by the Trafficking Victims Protection response to human trafficking has been devel- Act and laws in most states. As public awareness oping since 2000, and that many states have of human trafficking increases, MANGOs will

,AW %NFORCEMENT %XECUTIVE &ORUM s s continue to increase in number, and in the scope Clawson, H. J., Dutch, N., & Cummings, M. and level of their activities. Moving forward, law (2006). Law enforcement response to human enforcement executives have an opportunity that trafficking and the implications for victims: Cur- should be considered carefully. Actively engage rent practices and lessons learned. Retrieved with, assist, and thereby influence the MANGOs December 1, 2011, from https://www.ncjrs. in their communities, working together to foster gov/pdffiles1/nij/grants/216547.pdf. positive relations with citizens who want to prevent this crime and report suspicious activity Farrell, A., McDevitt, J., & Fahy, S. (2008a). they observe, or dismiss these citizens as “just Understanding and improving law enforce- activists” who do not understand law enforcement responses to human trafficking: Execu- ment and are focused on a crime that some law tive summary. Retrieved December 1, 2011, enforcement officers view as “not occurring in from https://www.ncjrs.gov/pdffiles1/nij/ our city.” We hope the information provided grants/225202.pdf. herein inclines law enforcement executives toward active engagement with MANGOs for Farrell, A., McDevitt, J., & Fahy, S. (2008b). the benefit of both sectors and especially for the Understanding and improving law enforcement victims of human trafficking. responses to human trafficking: Final report. Retrieved December 1, 2011, from www.dcjs. Endnotes virginia.gov/victims/humantrafficking/le/ documents/Improving_LE_Response_HT.pdf. 1 Examples include the service provider NGOs that constitute the Colorado Net- Foot, K. (2011). Actors and activities in the anti- work to End Human Trafficking (see www. human trafficking movement. In R. Thakur coloradocrimevictims.org/human_trafficking. & J. Heine (Eds.), The dark side of globalization html), which coordinates with the Colorado Law (pp. 249-265). New York: United Nations Enforcement Anti-Trafficking Task Force, and Press. the member organizations of the Washington Anti-Trafficking Response Network (see http:// Konrad, H. (2008). The fight against traffick- warn-trafficking.org), which coordinates with ing in human beings from the European law enforcement via the Washington Advisory perspective. In S. Cameron & E. Newman Committee on Trafficking. (Eds.), Trafficking in humans: Social, cultural, 2 Year-to-date data for 2011 was provided by and political dimensions (pp. 161-180). Tokyo, Nicole Moler, Hotline Operations Coordinator, Japan: United Nations University Press. Polaris Project, via personal communication on December 2, 2011. Laczko, F. (2005). Data and research on human 3 At the time of this writing, we both are mem- trafficking. International Migration, 43, 5-16. bers of the national steering committee for the U.S. Freedom Registry because we think it is Not For Sale Campaign (NFSC). (2011). The a necessary and potentially valuable resource San Francisco academy. Retrieved December 2, across sectors. 2011, from www.nfsacademy.org/the-san- francisco-academy. References Polaris Project. (2011). Hotline statistics. Bacino, C. (2011, November 2). From South Retrieved December 2, 2011, from www. Africa—Smart activism: Christina Bacino polarisproject.org/resources/hotline- shares her story. Retrieved December 3, statistics. 2011, from www.notforsalecampaign.org/ news/2011/11/02/from-south-africa-smart- Russoniello, J. P. (2009). Press release: activism-christina-bacino-shares-her-story. Washington, DC: U.S. Department of Justice.

,AW %NFORCEMENT %XECUTIVE &ORUM s s Schwartz, I. (2011, July 14). Tip leads to human advisory board of the Laboratory to trafficking arrest. Retrieved December 1, 2011, Combat Human Trafficking’s Colorado from www.kasa.com/dpps/news/tip-leads- Project, providing counsel on research to-human-trafficking-arrest-_3881233. in the “Partnership” area of that project. Contact her at [email protected]. Stop Child Trafficking Now. (2011) Retrieved December 2, 2011, from http://sctnow.org/ John Vanek managed the San Jose Police contentpages.aspx?parentnavigationid=58 Department Human Trafficking Task 21&viewcontentpageguid=503caffe-d8d0- Force from 2006 to 2011. His knowledge 498b-996a-9a01134b898c. on trafficking and task force operations has been utilized by the U.S. Attorney’s U.S. Bureau of Justice Assistance. (2011). Anti- Office, California’s Office of the Attorney human trafficking task force initiative. Retrieved General, California POST, the National December 1, 2011, from www.ojp.usdoj.gov/ Law Enforcement Training Network, the BJA/grant/httf.html. Not For Sale Campaign, and other governmental and nongovernmental orga- U.S. Department of State. (2010). Trafficking in per- nizations. In 2009, Mr. Vanek was invited sons. Retrieved December 3, 2011, from www. to be an inaugural member of the U.S. state.gov/g/tip/rls/tiprpt/2010/142748.htm. Department of Justice, OVC/BJA Anti- Trafficking Task Force Planning Com- mittee. He is also on the National Advi- Kirsten Foot, PhD, is an Associate Profes- sory Board for the Laboratory to Combat sor of Communication at the University Human Trafficking’s Colorado Project of Washington. In her current research, which seeks to identify promising prac- she brings her expertise on organizing tices used within the anti-trafficking processes and digital technologies to bear community and then promote these in studying worldwide efforts to combat practices at the regional and national human trafficking, and multi-sector col- levels. He speaks regularly on traffick- laboration in the anti-human trafficking ing, task force leadership, and multi- movement in the U.S. Dr. Foot is the lead agency collaboration. In addition, he is author of the award-winning book Web an adjunct instructor at the Monterey Campaigning (MIT Press, 2006), and coed- Institute of International Studies, teach- itor of The Internet and National Elections ing tomorrow’s leaders and policymak- (Routledge, 2007). Her work has been ers the complexities of human traffick- published in a wide array of journals ing and the need for a multidisciplinary, within the field of communication and collaborative response. Over the course beyond. She teaches courses on topics of his 25-year San Jose Police career, Mr. such as theories of technology and society, Vanek’s assignments included Special ICTs and politics, digital media concepts, Operations, Training, Sexual Assault Internet research methods, and human Investigations, Vice, Systems Develop- trafficking. Because of her commitment ment, and the Bomb Squad. Contact him to practice-informed, publicly oriented, at [email protected], and view his collaborative scholarship, Dr. Foot serves Anti-Human Trafficking Blog at www. as an advisor to Seattle Against Slavery jvanek.wordpress.com. and Washington Engage. She is a member of the national steering committee for the U.S. Freedom Registry, a self-registering, online database of organizations combating trafficking and exploitation across the U.S. Lastly, Dr. Foot serves on the national

,AW %NFORCEMENT %XECUTIVE &ORUM s s Human Trafficking: An Overview for Law Enforcement

Mary C. Burke, PhD, Psychology Department, Carlow University

Human Trafficking Defined Convention on Transnational Organized Crime (also known as the Palermo or Trafficking Proto- Human trafficking has received increased col) (United Nations [UN], 2000), the following attention over the past 10 to 15 years both in definition of human trafficking is provided: political and public arenas. Human trafficking or trafficking in persons are terms used to refer “Trafficking in persons” shall mean the to a variety of crimes associated with modern recruitment, transportation, transfer, har- slavery. Technically, people are trafficked into boring or receipt of persons, by means of a slavery situation; however, that distinction the threat or use of force or deception to is not often made in reference to these terms. achieve the consent of a person having Despite the common use of the word modern, control over another person, for the pur- slavery today is not dissimilar from slavery as pose of exploitation. Exploitation shall it has existed throughout history. The primary include, at a minimum, forms of sexual characteristics have remained the same over exploitation, forced labor or services, time and include one person exercising fear slavery or practices similar to slavery or and sometimes violence-based control over the removal of organs. another for economic gain. What is typically different with slavery in the 21st century is This statement is now seen as the definitive that it is far less expensive to purchase a person legal framework for dealing with human traf- today than it has been previously. Costs as low ficking issues and has been the foundation for as 10 U.S. dollars (USD) have been reported in laws developed by many countries around the places like Southeast Asia, with the average world. The definition comprises three essen- cost for a slave being 90 USD (Free the Slaves, tial parts: (1) recruitment, (2) movement, and 2010). A second difference is that today the rela- (3) exploitation. It is important to note that it is tionship between the enslaved and the slave not necessary for movement to include crossing holder is shorter in duration. This is primarily from one country into another; an individual a consequence of the large number of individ- can be trafficked within the borders of her or his uals vulnerable to trafficking and the care and own country. For example, it is not uncommon healthcare costs associated with a lifelong or for a girl or woman to be trafficked from the longer-term relationship (i.e., it’s easy to find rural areas of Costa Rica to the coastal regions a healthy replacement). A slaver would rather where the commercial sex industry is thriving. purchase another person for 90 USD, than invest hundreds or thousands of dollars into Misconceptions and Myths About maintaining the health and profitability of a Human Trafficking slave. Globalization has also had an enormous impact on the slave trade, widening the gap s 4HE VICTIM KNEW WHAT SHE OR HE WAS GET- between rich and poor and making it easier for ting into. traffickers to recruit and move victims. s 4HE VICTIM HAS BROKEN THE LAW s 4HE VICTIM HAD FREEDOM OF MOVEMENT In the United Nations’ Protocol to Prevent, Sup- s 4HE VICTIM MISSED OPPORTUNITIES TO ESCAPE press, and Punish Trafficking in Persons, Espe- s The crossing of an international border must cially Women and Children, Supplementing the take place in order for trafficking to occur.

,AW %NFORCEMENT %XECUTIVE &ORUM s s s !LL VICTIMS ARE ILLEGAL IMMIGRANTS to work against her or his will, without com- s 53 CITIZENS ARE NOT VICTIMS OF HUMAN pensation, with restrictions on freedom and trafficking. under violence or its threat. This term is also used in reference to all forms of slavery. Forms of Human Trafficking Involuntary domestic servitude is a form of forced Individuals are primarily trafficked into situ- labor in which an individual performs work ations in which they are exploited for labor or within a residence such as cooking, clean- commercial sex acts. While the type of labor ing, childcare, and other household tasks. performed is varied (both with regard to labor This becomes trafficking when the employer and sex trafficking), the most common forms uses force, fraud, and/or coercion to maintain of slavery are noted below. control over the individual and to cause the worker to believe that she or he has no other Bonded labor or debt bondage is a form of slav- options but to continue in the position. This ery in which a person takes or is tricked into type of environment puts the individual at taking a loan. The person must then work to increased risk because she or he is isolated and repay the loan; however, the nature of the work authorities are not able to easily gain access to and the amount of time necessary to repay inspect the workplace. the loan are undefined and often remain that way. Individuals in debt bondage may receive Sex trafficking is an extremely traumatic form food and shelter as “payment” for work; and of slavery in which a commercial sex act is in some cases, victims will not be paid mon- induced by force, fraud, or coercion; or a sex etarily at all and their debt may increase to act in which the person induced to perform account for costs associated with food and is under 18 years of age. Victims of sex traf- shelter. A debt can be passed down for genera- ficking can be girls, boys, women, or men— tions, which means that the child or grandchild although the majority are girls and women. of the person originally taking the loan is left It is not uncommon for traffickers to employ to pay off the debt. It is important to note that debt bondage as an attempt to legitimize their not all instances of work-based debt are human confiscation of the victims’ earnings. Sex traf- trafficking as someone may willingly enter into fickers use a variety of methods to control and this type of arrangement and actually be fairly “break in” victims, including confinement, compensated for her or his labor. physical abuse, rape, threats of violence to the victim’s family, forced drug use, and more. Chattel slavery is characterized by ownership Victims of this form of trafficking face numer- of one person by another, and individuals in ous psychological and physical health risks this form of slavery are bought and sold as which are covered in depth in later chapters. commodities. This is the form of slavery that was most prevalent in the United States until Slavery by descent occurs when individuals are the passage of the Thirteenth Amendment to born into a socially constructed class or ethnic the U.S. Constitution in 1865; it is the least group that is relegated to slave status. prevalent form of slavery today. Child trafficking is slavery that involves dis- Early and forced marriage primarily affects girls placing a child for the purpose of economic and women who are married to men without exploitation. In the case of children, force, any choice. They then live as servants to the fraud, and coercion do not need to be demon- men and often experience physical and/or strated. It is estimated that 1.2 million children sexual violence in the home environment. are trafficked each year (UNICEF, 2011). Like adults, children are trafficked for the purpose Forced labor is yet another form of slavery and of labor and sexual exploitation. is characterized by an individual being forced

,AW %NFORCEMENT %XECUTIVE &ORUM s s Worst forms of child labor is a term that refers undetected. Victims are difficult to identify to child work that is seen as harmful to the since they often work in businesses or homes, physical and psychological health and welfare or behind the locked doors of a factory. They of the child. The International Labour Confer- are closely monitored by the traffickers and ence in 1999 adopted Convention No. 182 con- often not permitted in close proximity to those cerning the Prohibition and Immediate Action who may be of assistance. These and other for the Elimination of the Worst Forms of Child similar factors make human trafficking par- Labour. The sale and trafficking of children is ticularly difficult to accurately quantify and noted in this Convention as one of the “uncon- describe. What follows are popular estimates ditional” worst forms of child labor. in the field today:

Other unconditional worst forms noted in the s !CCORDING TO THE )NTERNATIONAL ,ABOR /RGA- Convention include “the use, procuring or nization (ILO) (2005, 2009), there are at least offering of a child for prostitution, for the pro- 12.3 million people in forced labor (includ- duction of pornography or for pornographic ing sexual exploitation) worldwide. performances” and “the use, procuring or s $ATA SUGGEST THAT WOMEN AND GIRLS COM- offering of a child for illicit activities.” prise 80% of the individuals trafficked across international borders (U.S. Depart- Child soldiering is a form of human trafficking ment of State, 2010). that involves the use of children as combat- s !PPROXIMATELY OF VICTIMS ARE TRAF- ants; it may also involve children forced into ficked for commercial sexual exploitation labor or sexual exploitation by armed forces. (U.S. Department of State, 2010). In this case, traffickers may be government s 5.)#%& ESTIMATES THAT MILLION military forces, paramilitary organizations, children between the ages of 5 and 14 are or rebel groups. In addition to being used engaged in child labor. This is equal to one directly in armed conflict, children may be in six children worldwide. used for sexual purposes or forced to work as s )N COUNTRIES WITH THE FEWEST RESOURCES servants, cooks, guards, messengers, or spies. of all children are engaged in child labor that often interferes with their education, Prevalence and Profits robs them of childhood pleasures, and has a negative impact on their physical and According to the United Nations Office on psychological health (UNICEF, 2011). Drugs and Crime (2006, 2008) and the U.S. s ),/ ESTIMATES THAT MILLION CHIL- Department of State (2010), human trafficking dren and youth between the ages of 5 and is the fastest growing criminal industry in the 17 are presently involved in some type of world and is second only to drug trafficking debt bondage or forced labor. as the most profitable (Haken, 2011; Interpol, s 2ESEARCH BY $R +EVIN "ALES INDI- 2002). However, despite its magnitude, there cates that 27 million people are enslaved are a variety of reasons why this crime and its worldwide at any given time. included human rights violations is so difficult s Dr. Kathryn Farr’s (2005) research shows that to quantify. Some reasons include variation in four million people are enslaved worldwide. the operational definitions used by researchers, methodological flaws such as those related It is as difficult to assess profits as it is to assess to sampling techniques, and the difficulty and forced labor and human trafficking. Globally, potential risks involved for researchers wish- it is estimated that annual profits from forced ing to engage in primary versus secondary labor are equal to 31.6 billion USD of which research. Also, and perhaps most challenging 15.5 and 9% are generated in industrialized in the quest to obtain accurate statistics on the countries and countries in economic transi- prevalence and geography of human traffick- tion, respectively. It is further estimated that ing, is that traffickers work to keep their crime of the 31.6 billion USD, 30.6% is generated in

,AW %NFORCEMENT %XECUTIVE &ORUM s s Asia and the Pacific, 4.1% is generated in Latin individual and small group transactions, the America and the Caribbean, 5% is generated characteristics of which are situation-depen- in sub-Saharan Africa, and 4.7% is generated dent. Common roles traffickers assume in the in the Middle East and North Africa (Besler, process are described below. 2005). Trafficker Roles The Trafficking Process Recruiter – The recruiter identifies, makes The business of human trafficking is carried out contact with, and brings the victim into the by individuals, small loosely organized criminal first phase of the trafficking process. Depend- networks, or by traditionally organized crime ing on the situation, the recruiter sells the groups. It includes both small “mom-and-pop” victim either directly to the employer (e.g., type operations as well as larger well-organized brothel owner) or to the broker. The recruiter businesses that operate in a competitive inter- does not always know that the person she or national arena. Some involved in trafficking he recruited is going to be enslaved. Some may assist with a single border crossing, while common recruitment methods include the others may work in an ongoing manner with following: a larger trafficking organization. These larger trafficking organizations often function on a s !DVERTISEMENTS FOR EMPLOYMENT OPPORTU- more permanent basis and are involved in the nities, study abroad, or marriage entire trafficking enterprise from the recruit- s )N PERSON RECRUITMENT IN PUBLIC PLACES SUCH ment of victims to the selling and reselling of as bars, restaurants, and clubs victims to employers. Organized crime groups or s )N PERSON RECRUITMENT THROUGH COMMUNITY criminal organizations are local, national, or trans- and neighborhood contacts, including fam- national groupings of centralized enterprises ilies and friends with the purpose of engaging in illegal activity s 0URCHASE OF CHILDREN FROM THEIR PARENTS OR for financial gain. Transnational organized crime legal guardians refers to the planning and execution of unlawful business ventures by groups or networks of Broker (Agent) – The broker is the middle individuals working in more than one country person between the recruiter and the (Reuter & Petrie, 1995). Those involved in both employer. national and transnational organized crime systematically use violence and corruption to Contractor – The contractor oversees all of the achieve their goals (Albanese, 2004). Transna- exchanges involved in the trafficking of the tional organized crime undermines democracy victim. and impedes the social, political, economic, and cultural development of societies around the Employment Agent – The employment agent world (Voronin, 2000). It is multifaceted and takes care of securing “employment” for can involve a variety of different illegal activi- the victim; this sometimes includes making ties, including drug trafficking, trafficking in arrangements for identification paperwork firearms, migrant smuggling, and human traf- such as visas and passports. ficking. In addition to human trafficking being carried out by organized crime groups, it is also Travel Agent – The travel agent arranges for carried out by more loosely organized criminal the transport of the victim from her or his networks. These criminal networks are decen- point of origin to the destination. This can tralized and less hierarchical, and, according mean arranging for travel within one country to international securities expert Phil Williams or across country borders. (2001), they can be as effective as and more difficult to detect than traditional organized Document Forger/Thief – The document crime groups. Traffickers engage in numerous forger/thief secures identification documents

,AW %NFORCEMENT %XECUTIVE &ORUM s s for cross-border travel. In some instances, this or somehow convince victims to leave their may include creating false documents and in homes and to accompany the trafficker to the others it may mean illegally modifying actual destination point. Common means of ensuring government documents. victim compliance with departing from her or his point of origin include the following: Transporter (“Jockey,” “Coyote,” or Escort) – The transporter actually accompanies the s !BDUCTION OR KIDNAPPING victim on the journey from point of origin to s 0URCHASING OF A CHILD FROM HER OR HIS PAR- destination. Transportation may be via boat, ents or legal guardians bus, car, taxi, train, plane, or on foot. Delivery s $ECEPTION THROUGH THE PROMISE OF LEGITI- of the victim is made either to the broker or mate employment and/or entry into a directly to the employer. country s $ECEPTION ABOUT WORKING CONDITIONS Employer (Procurer) – The employer pur- s Deception about compensation and other chases and then sells or otherwise exploits the benefits (e.g., school attendance for children) human trafficking victim. Traffickers will use a combination of methods Enforcer (“Roof” or Guard) – The enforcer is to control victims both en route to a destina- responsible for ensuring victim compliance, tion and once the person is enslaved. Methods protecting the business, and, at times, for used depend on a variety of factors, including ensuring that outstanding debt is paid by the the personality of the trafficker, the culture of customer (e.g., payment by a john in a sex traf- the group in which they are working, and on ficking situation). the behaviors of the victim. Examples of control methods follow: Traffickers who actively recruit victims and whose intent is to cross the border of a coun- s 6IOLENCE INCLUDING RAPE AND MURDER AND try sometimes use traditional immigration the threat of violence against the victim and as a way to conceal their criminal intentions. her or his family With the false promise of compensated work s $EPRAVATION OF AGENCY OR THE SENSE OF CON- in another country, traffickers are more easily trol over self able to get people to cooperate with illegal s )SOLATION border crossings. For example, a woman may s #ONFISCATION OF IDENTIFICATION ANDOR TRAVEL knowingly agree to be smuggled into a coun- documents try to work as a nanny or in the restaurant s 2ELIGIOUS BELIEFS AND PRACTICES EG THREAT industry. Her expectation is that her relation- to use voodoo to harm the family member ship with the smuggler (or “coyote”) will end of a victim whose religious beliefs include once the border is crossed. She becomes a traf- voodoo) ficking victim when she reaches the country of destination and her identification docu- The Trafficking Victim ments are taken, her movement is restricted, and she is forced to work for extremely low The disproportionate availability of resources or no compensation. In other instances, an worldwide puts large segments of the population individual may migrate on her or his own, at risk for labor exploitation and slavery. Those legally or illegally, identify a work opportu- most at risk often come from vulnerable popula- nity upon arriving in the destination country, tions, including undocumented migrants, mem- and become a victim of trafficking due to the bers of oppressed or marginalized groups, run- illegal practices of an employer. aways and at-risk youth, and the poor. Traffickers target individuals in these populations because In order for human trafficking and slavery they have few resources and work options. This to work, the traffickers either have to force makes them easier to recruit through deception

,AW %NFORCEMENT %XECUTIVE &ORUM s s or force, and they tend to be easier to control. trafficking, in particular certain forms of human A combination of factors make undocumented trafficking, can be categorized as traumatic. immigrants extremely vulnerable to being trafficked; some of these factors include lack of Post Traumatic Stress Disorder (PTSD) is the legal status and related protections, poverty, few name given by the American Psychiatric Asso- employment options, immigration-related debt, ciation (APA) (2000) to the symptom clusters limited language skills, and social isolation. It is that sometimes develops in those who have not uncommon for undocumented immigrants experienced a trauma. The three symptom to be trafficked and enslaved by those from a clusters are characterized by a reliving of the similar ethnic or national background. At-risk event in ways that are disruptive to daily youth and runaways are targeted by traffickers functioning. The symptom clusters include and by pimps for labor exploitation, begging, intrusive recollections (e.g., flashbacks, recur- and very often for commercial sex. Pimps and rent distressing memories), avoidant/numb- sex traffickers manipulate child victims and are ing symptoms (e.g., feelings of numbing or known to make use of a combination of vio- detachment; avoidance of places, people, etc. lence and affection in an effort to cultivate loy- that remind the victim about the event), and alty in the victim, which can result in Stockholm hyperarousal symptoms (e.g., difficulty concen- syndrome. Stockholm syndrome, a psychological trating, hypervigilance, exaggerated startle phenomenon wherein hostages experience and response). Responses to trauma may be acute express empathy and positive feelings for their and/or chronic, and it is important to keep in captors, is more likely to develop with children mind that different people respond to trauma than with adults. This psychological manipula- in different ways, and not all develop PTSD. tion reduces the victim’s likelihood of acting out, There are some indicators, however, as to who thereby making it easier for the trafficker to exer- may be more likely to develop PTSD following cise control. a traumatic event (Halligan & Yehuda, 2000). When working with survivors of trafficking, it is important to be aware that the experience of The Victim and Trauma PTSD is a distinct possible outcome of victim- Trauma is defined as an experience that threatens ization, and professional help, such as from a an individual’s sense of safety and security and psychologist or counselor, is advisable. may or may not involve physical harm. Gener- ally, trauma is experienced as either a single or The United States: Law a repeating event that overwhelms an individu- Enforcement and Investigation al’s coping mechanisms and interferes with an individual’s ability to integrate and make sense Like most countries with well-developed of emotions and thoughts related to the experi- market economies, the United States plays a ence. According to the Diagnostic and Statistical role in fueling the international slave trade. Manual of Mental Disorders DSM-IV-TR (Ameri- Also, as is the case with most, if not all, coun- can Psychiatric Association [APA], 2000), a tries affected by human trafficking, the United traumatic event is one that involves “actual or States is faced with the trafficking of its own threatened death or serious injury, or a threat citizens within country borders. Sex traffick- to the physical integrity of self or others” and ing of children, in particular of girls, is the one in which “the person’s response involved most significant form of domestic traffick- intense fear, helplessness, or horror” (pp. 218- ing. Traffickers in these situations, commonly 219). A wide variety of events can be charac- referred to as pimps, focus on recruiting young terized as traumatic—for example, naturally children, most of whom are runaways or occurring or human-made catastrophic events, homeless youth. such as dangerous storms and war, or interper- sonal violence such as intimate partner violence, At the federal level, the U.S. Congress passed rape, and emotional or physical abuse. Human the Victims of Trafficking and Violence

,AW %NFORCEMENT %XECUTIVE &ORUM s s Protection Act (TVPA) of 2000 (PL 106-386), Recently, efforts have been made to address the Trafficking Victims Protection Reauthori- these concerns, the most visible of which is zation Act of 2003 (HR 2620), the Trafficking the inclusion of an analysis of U.S. efforts in Victims Protection Reauthorization Act of 2005 the 2010 publication of the report. (HR 972), and the Trafficking Victims Protec- tion Reauthorization Act of 2008 (HR 7311). Under the TVPA, the U.S. Department of The 2008 Reauthorization expanded the def- Health and Human Services can “certify” inition of human trafficking in the U.S. to international human trafficking victims as include those under the age of 18 involved trafficked persons. After being certified, vic- in commercial sex acts. Prior to the passing tims are then qualified for physical and psy- of the TVPA in 2000, no comprehensive fed- chological health services, housing, food eral law existed to address slavery in the U.S. stamps, educational and vocational programs, Much like the United Nations Protocol, the as well as support for legal services. Victims of TVPA focuses on the “three Ps” of traffick- international trafficking may also be granted a ing to guide anti-slavery efforts: prevention T-visa, which allows them to live and work in of the crime, prosecution of the trafficker, the U.S. for up to three years after which appli- and protection for victims. Recently, a fourth cation for permanent resident status may be “P” standing for “Partnership” was added made. Criticisms of the TVPA have included to the framework. Partnership is intended to that eligibility requirements are too rigid and take place across all levels of society—local, that enforcement is deficient, leaving many regional, national, and international—and is deserving victims unprotected. Others have to involve both government and civil society noted that there are unnecessary barriers to organizations. obtaining the benefits afforded through the TVPA. These include victim identification, In addition to providing a comprehensive def- difficulty qualifying as a “severe trafficking” inition of human trafficking, this legislation victim, the time it takes to certify a victim, and also gave law enforcement tools to enhance the the requirement of cooperating with the pros- extent to which traffickers are prosecuted and ecution for victims of sex trafficking. Victims punished. The TVPA also called for the estab- are often left for long periods of time waiting lishment of the Global Trafficking in Persons for assistance to meet the most basic of needs (TIP) Report (U.S. Department of State, 2010) such as shelter, food, and clothing. Communi- and the President’s Interagency Task Force to ties in which grassroots anti-trafficking coali- Monitor and Combat Trafficking in Persons. tions are established often step in to provide support at this critical time. It is important to The TIP Report (U.S. Department of State, 2010) note that at this point, the majority of states documents and evaluates the anti-trafficking have laws that address this crime. efforts of foreign governments. Countries are ranked in tiers depending on the extent Indicators of Human Trafficking to which they are compliant with minimum standards established by the TVPA. Countries Common Work and Living Conditions on the lowest tier may be subject to economic sanctions enacted by the U.S. While the TIP The individual(s) in question Report is thought to be a useful tool, it has been s LIVES ON OR NEAR WORK PREMISES criticized for presenting incomplete informa- s IS FREQUENTLY MOVED BY THE TRAFFICKERS tion, for not including evaluation of the U.S., s is not free to leave work or living space or and for being biased and “politicized.” Of pri- to come and go as she or he wishes. mary concern seems to be how the minimum s is under 18 years of age and is engaged in standards are applied, what methods are used commercial sex acts. to justify tier placements, and how informa- s IS IN THE COMMERCIAL SEX INDUSTRY AND HAS A tion for the report is collected and analyzed. pimp/manager.

,AW %NFORCEMENT %XECUTIVE &ORUM s s s IS UNPAID PAID VERY LITTLE OR PAID ONLY Indicators Specific to Sex Trafficking through tips. s WORKS EXCESSIVELY LONG ANDOR UNUSUAL s ,ARGE AMOUNTS OF CASH AND CONDOMS AT THE hours. location s IS NOT ALLOWED BREAKS OR SUFFERS UNDER s #USTOMER LOGBOOK OR RECEIPT BOOK ALSO unusual restrictions at work. known as a “trick book”) s WAS RECRUITED TO WORK THROUGH FALSE PROM- s 2OOMS SPARSELY FURNISHED ises regarding the nature and conditions of s -ATTRESSES IN THE ROOMS RATHER THAN MAS- the work. sage tables) s owes a large debt and is unable to pay it off. s (IDDEN PASSAGESAREAS AND TRAP DOORS s 6IDEO SECURITY SYSTEMS Also, high security measures exist in the work s -EN COME AND GO FREQUENTLY and/or living locations (e.g., boarded-up windows, bars on windows, opaque windows, Law Enforcement Response to barbed wire, security cameras, etc.). Human Trafficking Collaboration among law enforcement agen- Mental and Physical Health and/or Odd cies (e.g., local, state, federal) is critical in Behavior any effective responses to human trafficking. The individual(s) in question Collaboration allows for the sharing of intel- s IS DEPRESSED FEARFUL ANXIOUS TENSE SUB- ligence as well as the sharing of more prac- missive, or nervous/paranoid. tical resources. In addition, as mentioned s exhibits unusually fearful or anxious previously, social service agencies and com- behavior after bringing up the subject of munity-based anti-trafficking coalitions can law enforcement. enhance law enforcement efforts both with s avoids eye contact. regard to victim identification and victim sup- s appears malnourished or otherwise unhealthy. port following identification and during the s shows signs of physical and/or sexual investigation and prosecutorial processes. abuse, physical restraint, confinement, or torture. Human trafficking victims may present s MAY HAVE BRANDS SCARS OR TATTOOS INDICAT- unique challenges to law enforcement such as ing someone else’s ownership. the following: s lacks access to health care. s 4HEY MAY HAVE LANGUAGE BARRIERS Note: Always secure translators who are impar- Other tial third parties. Avoid the use of on-site The individual(s) in question translators as they may be tied in some way s HAS LIMITED OR NO PERSONAL POSSESSIONS to the trafficker.) s IS NOT IN CONTROL OF HER OR HIS IDENTIFICATION s 6ICTIMS MAY BE EXPERIENCING 3TOCKHOLM documents (ID or passport). syndrome or feelings of sympathy or loy- s IS NOT IN CONTROL OF HER OR HIS MONEY AND HAS alty toward the trafficker. no financial records or bank account. s 6ICTIMS MAY FEAR THE TRAFFICKER s IS NOT ALLOWED OR ABLE TO SPEAK FOR HER OR s 6ICTIMS MAY FEAR FOR THEIR FAMILIES BASED ON himself (a third party may insist on being threats made by the trafficker. present and/or translating). s 4HEY MAY DISTRUST STRANGERS IN PARTICULAR s CLAIMS SHE OR HE IS JUST VISITING AND HAS law enforcement. This can be based on mis- an inability to clarify where she or he is information intentionally given to them by staying/address. the trafficker or based on experiences with s has a lack of knowledge of whereabouts and/ law enforcement outside of the U.S. or do not know what city she or he is in.

,AW %NFORCEMENT %XECUTIVE &ORUM s s s 6ICTIMS MAY FEAR DEPORTATION FOR A VARIETY Besler, P. (2005). Forced labour and human traf- of reasons, including safety issues in their ficking: Estimating the profits (Working Paper). country of origin. Geneva, Switzerland: International Labour s -ANY VICTIMS ARE UNAWARE OF THEIR RIGHTS Office. and may not consider themselves victims. s ,IFE NOW MAY BE BETTER THAN IT WAS Farr, K. (2005). Sex trafficking: The global market previously. in women and children. New York: Worth s 4HEY ARE NOT IN POSSESSION OF THEIR LEGAL Publishers. documents. s 4HEY ARE FINANCIALLY INDEBTED TO THE Free the Slaves. (2010). Retrieved February 14, traffickers. 2012, from www.freetheslaves.net.

Haken, J. (2011). Transnational crime in the Suggestions for Law Enforcement developing world. Washington, DC: Global Readiness Financial Integrity. Retrieved February 14, s !RRANGE FOR TRAINING OF ALL PERSONNEL ON THE 2012, from www.gfip.org/storage/gfip/ crime of human trafficking. documents/reports/transcrime/gfi_trans- s %NSURE THAT OFFICERS INVOLVED IN RESPONDING national_crime_web.pdf. to the issue of prostitution are well-trained in identifying sex trafficking victims. Halligan, S. L., & Yehuda, R. (2000). Risk fac- s )DENTIFY NEIGHBORHOODS IN WHICH tors for PTSD. PTSD Research Quarterly, 11(3), s THE SEX INDUSTRY IS THRIVING 1-8. s DOMESTIC SERVANTS MAY BE ENGAGED s LOW PAYING INDUSTRIALSERVICEAGRICUL- International Labor Organization (ILO). tural work is being done. (2005). A global alliance against forced labour: s $EVELOP COLLABORATIVE RELATIONSHIPS AMONG Global report under the follow-up to the ILO dec- key players in the community (U.S. Attor- laration on fundamental principles and rights at ney’s Office, local FBI, social service agen- work. Geneva, Switzerland: ILO. cies, and NGOs) in support of increasing victim identification and providing for ILO. (2009). The cost of coercion. Geneva, victim needs following identification. Switzerland: ILO. s %DUCATE THE COMMUNITY ABOUT THE CRIME OF human trafficking. Interpol (2002). The effective administration of s "E AWARE OF WELL TRAINED FOREIGN LANGUAGE criminal justice to tackle trafficking in human interpreters in the community. beings and smuggling of migrants.

References Reuter, P., & Petrie, C. (Eds.). (1995). Trans- national organized crime: Summary of a work- Albanese, J. S. (2004). Organized crime in our shop exit notice. Washington, DC: National times. Cincinnati, OH: LexisNexis Anderson Academy Press. Publishing. UNICEF. (2011). Child protection from violence, American Psychiatric Association (APA). exploitation and abuse. New York: UNICEF. (2000). Diagnostic and statistical manual of mental disorders (DSM-IV-TR). Washington, United Nations (UN). (2000). Protocol to pre- DC: APA. vent, suppress, and punish trafficking in persons, especially women and children, supplementing the Bales, K. (1999). Disposable people: New slavery United Nations convention against transnational in the global economy. Berkeley: University of organized crime. New York: UN. California Press.

,AW %NFORCEMENT %XECUTIVE &ORUM s s United Nations Office on Drugs and Crime she has spoken to various regional and (UNODC). (2006). Trafficking in persons: state-elected officials in Pennsylvania Global patterns. Vienna: UNODC. Retrieved and Virginia regarding this issue and has March 22, 2012, from www.unodc.org/ worked on legislation in these states in documents/human-trafficking/HT-global- support of strengthening human traf- patterns-en.pdf. ficking laws. Dr. Burke is a member of the American Psychological Association UNODC, United Nations Global Initiative to Task Force on the Trafficking of Women Fight Human Trafficking (UN.GIFT). Human and Girls. trafficking: An overview. Vienna: UNODC.

U.S. Department of State. (2010). Trafficking in persons report. Washington, DC: U.S. Depart- ment of State.

Voronin, Y. (2000). Measures to control transnational organized crime. Victims of Traffick- ing and Violence Protection Act (HR 3244). Washington, DC: U.S. Congress.

Williams, P. (2001). Organizing transnational crime: Networks, markets and hierarchies. In P. Williams & D. Vlassis (Eds.), Combat- ing transnational crime: Concepts, activities and responses (pp. 57-87). London: Frank Cass.

Mary C. Burke, PhD, is a faculty member in the Psychology Department at Carlow University in Pittsburgh, Pennsylvania, where she is the Program Director for the Doctoral Program in Counseling Psychology. Currently, she represents the Association for Women in Psychol- ogy on the United Nations Conference of Non-Governmental Organizations Committee on Mental Health.

Dr. Burke founded and directs the Proj- ect to End Human Trafficking (www. endhumantrafficking.org). This U.S.- based nonprofit group works regionally, nationally, and internationally to raise awareness about the enslavement and economic exploitation of human beings. In this role, Dr. Burke has given over 150 talks about human trafficking both in the United States and abroad and has begun anti-trafficking coalitions in Pennsylva- nia, Virginia, and Maryland. In addition,

,AW %NFORCEMENT %XECUTIVE &ORUM s s Best Practices in Domestic Human Trafficking Policy

Charles Anthony Smith, Assistant Professor, University of California–Irvine Tyler H. Hunt, Research Assistant, University of California–Irvine

The emerging literature on human traffick- federal levels. In 2000, Congress passed the ing has developed along two paths, which Victims of Trafficking and Violence Protection emphasize either the inherent abuses of Act (colloquially, TVPA), the first federal law human rights that occur in the human traffick- aimed at preventing modern-day human traf- ing trade (Brysk, 2011; Goodey, 2004; Obokata, ficking and at prosecuting traffickers. Addition- 2006a, 2006b; Pearson, 2002; Quirk, 2007) or ally, the TVPA laid the foundation for provid- the relative efficacy of governmental attempts ing victims of human trafficking with benefits to combat human trafficking (Davidson, 2006; and assistance. In 2003, Texas and Washington Dinan, 2008; Scarpa, 2008; Smith, 2011; Smith became the first states to criminalize human & Miller-de la Cuesta, 2011; Smith & Smith, trafficking, the act of trading in human beings 2011; Smith & Smith-Cannoy, 2012). By human for the provision of labor, including in the sex trafficking, we mean the entirety of processes worker field, and are the leaders in a wide- that includes recruiting, transporting, control- spread process of nationwide criminalization ling, and exploiting a victim for the purposes that continues today. The 2005 disappearance of of profiting from that person’s labor in a des- Alabama teenager Natalee Holloway in Aruba tination country. Although human trafficking caused a spike in public interest in human traf- leads to a wide variety of labor exploitation, ficking, driven perhaps by misplaced specula- including the exploitation of people as sex tion that she was a human trafficking victim workers, domestic or bonded laborers or ser- (Fox News, 2008; Grace, 2008; Smith & Smith- vants, and a host of manual labor workers, Cannoy, 2012) as measured by Google search here we are particularly interested in those results.1 In 2005 and 2006, substantial progress trafficked to work in the sex trade. The vic- was made in the U.S. in terms of human traf- tims, often not even yet adults, are taken from ficking laws and the provision of assistance their home countries and illegally moved to the victims of human trafficking. Eight across borders and forced into life as a sex states—Arizona, Arkansas, California, Illi- worker. When caught, the victim of trafficking nois, Kansas, Louisiana, Minnesota, and New has often been subjected to criminal prosecu- Jersey—passed human trafficking laws in 2005. tion for prostitution or deported to their home Thirteen more states, from every region of the country, where they often return as outcasts country, passed similar laws in 2006, bringing due to the stigma affiliated with the sex trade the total number of states with anti-trafficking (Tverdova, 2011). In the United States, traf- statutes to 25. By 2010, with the passage of ficked persons were formerly treated worse anti-trafficking laws in Alabama and Ohio, 43 than the traffickers were in the eyes of the law. states had introduced similar clauses into their While their victims went through prosecution criminal statutes. After Massachusetts passed and deportation, the traffickers simply went their first human trafficking bill in November back to business, bringing in more people to 2011, the number of states with criminalization make up for those who were arrested. statutes was up to 48, with just West Virginia and Wyoming standing silent on the issue. In the past decade, the U.S. developed a legal Because this remarkable diffusion of policy regime that provides for the criminalization has been rapid, concern by policymakers for of human trafficking at both the state and the a conversion over a best practices model has

,AW %NFORCEMENT %XECUTIVE &ORUM s s only recently come into focus. In the past ten by the state of the trafficked person’s status as years, the policy structure of the human traf- a victim instead of a noncriminal is realized ficking legal regime in the U.S. has changed when the state provides access to social ser- dramatically, from no state having such laws vices reserved for victims of crime. to a complex state and federal structure. This expansion of the legal regime has improved By a consideration of federal policy and the the lot of the victims of trafficking by provid- policy of two states that utilize different ing them with affirmative defenses to crimi- approaches—New York and Alabama—we nal prosecution as well as, in some instances, demonstrate the wide range of alternative resources for assistance to help them escape regimes available. Through this consider- from the criminal enterprise. ation, we develop a roster of best practices that, if adopted, would maximize the benefits The movement to a regime of criminaliza- of the policy goals at stake. Specifically, the tion of human trafficking has been a decen- best approach to address societal concerns tralized phenomenon which has led to great for the reduction of criminal conduct may not diversity in how states approach trafficking be obvious when the approaches to different and trafficking victims. Here we outline the facets of criminality conflict. A reduction in spectrum of policy options by analyzing how prostitution may be possible through a more two states on each end of that spectrum crimi- strict punitive regime, while long-term and nalize human trafficking and provide relief systemic reduction of prostitution may be tied to trafficked persons. Historically, states did to a reconsideration of the sex workers as vic- not grant “victim” status to trafficking victims tims instead of criminals. but, instead, prosecuted them as prostitutes; and often, when the arrested individual was The TVPA and Federal Anti- not a citizen, simply deported those detained Trafficking Laws to their home countries. In short, only recently have law enforcement stakeholders embraced In 2000, Congress passed HR 3244, the Victims a more nuanced view of the policy issues sur- of Trafficking and Violence Protection Act of rounding sex workers ensnared in human 2000, which addressed issues of human traf- trafficking. The recent changes in federal ficking and also included the Violence Against policy and in the states trend away from Women Act. This was the first major law, state this approach of assuming all prostitution or federal, in the U.S. aimed at combating mod- presents the same rosters of problems and, ern-day human trafficking. Congress deter- instead, recognized that trafficked persons mined that existing laws “fail to protect vic- are victims even if they engage in criminal tims of trafficking” and systematically punish conduct. Among these emerging policies, the victims more harshly than the traffickers new spectrum is between states that provide (TVPA, 2000, at 1468). The harsh treatment of much aid for victims of trafficking and those the sex worker primarily comes about because that simply avoid treating the victims as mere the victims of trafficking are usually brought criminals. By providing an affirmative defense into the U.S. illegally and are then forced into for people who are coerced into prostitution, prostitution. When caught, these sex workers states can acknowledge that trafficked persons are subject to criminal charges and deporta- are not criminally culpable without the provi- tion. The TVPA attempts to reverse these sion of affirmative assistance to them. Provid- circumstances by making human trafficking ing trafficking victims with the affirmative a federal crime while providing protection, legal defense against prostitution charges is a assistance, and temporary residency to vic- substantial step toward recognizing the coer- tims. This represents an attempted change in cion that underpins human trafficking and the outcome for victims of human trafficking. embracing the status of those caught up in By moving to criminalize trafficking in 2000, human trafficking as victims. Full recognition the federal government was well ahead of the

,AW %NFORCEMENT %XECUTIVE &ORUM s s states, the first of which would not criminalize forced labor), sex trafficking of children, and it until 2003. The federal TVPA paved the way unlawful conduct with respect to documents in for state laws that followed, many of which the furthering of trafficking activities (at 1486- would borrow from its language and seek to 1488). The sixth section regards the payment of promote its policy approach. mandatory restitution to victims. The first of the new sections created by the TVPA, 18 USC The TVPA amended the extant federal crimi- §1589, criminalizes forced labor, articulated nal statutes against various forms of slavery as knowingly providing or obtaining labor and added six new sections explicitly about through three avenues: first, the use of threats human trafficking. The extant criminal stat- of harm; second, causing someone to believe utes governing peonage, enticement into slav- that serious harm would result from the non- ery, and sale into involuntary servitude were performance of labor or services; and third, the all amended to increase the maximum pun- use of abuse or threatened abuse of the legal ishment from 10 years to 20 years (at 1486). process (at 1486-1487). Similar to the punish- Further, it added a new clause to each of the ments for the aforementioned crimes of peon- extant statutes: age and sale into involuntary servitude, the punishment for this is a fine or imprisonment If death results from the violation . . . or for no more than 20 years, with the maximum if the violation includes kidnapping or punishment escalating to life imprisonment an attempt to kidnap, aggravated sexual if death results or if it included kidnapping, abuse or the attempt to commit aggra- sexual abuse, or the attempt to kill. vated sexual abuse, or an attempt to kill, the defendant shall be fined under this The first section added by the TVPA which title or imprisoned for any term of years explicitly mentions trafficking is 18 U.S.C. or life, or both. (at 1486) §1590. It states that whoever “knowingly recruits, harbors, transports, provides, or The serious punishments introduced by the obtains” any person for labor or services in TVPA, especially in cases where death, kid- violation of laws regarding peonage, slavery, napping, and sexual abuse are part of the and trafficking in persons shall be fined or crime, are designed to ensure that victims do imprisoned for up to 20 years, or both. Simi- not receive worse treatment under the law lar to the above statutes and those that will than the traffickers while imposing harsher follow, the maximum punishment increases punishments on methods usually used by to life imprisonment if the violation involves traffickers to keep victims in submission. death, kidnapping, aggravated sexual abuse, Since the crimes of peonage, slavery, or sale or the attempt to kill. Section 1591 regards the into involuntary servitude frequently include sex trafficking of children and divides them threats of some sort (often even death), the into two groups on the basis of age. If the traf- new federal statute sought to criminalize the ficked child is under the age of 14, then the means through which traffickers and modern- maximum punishment for the offense is life day slaveholders would entrap victims. This imprisonment.2 However, if the child is over attempt to restrict and criminalize the actions 14 but not yet 18, then the maximum punish- taken by traffickers to maintain the servitude ment is 20 years.3 Similar to federal policy on of the trafficked persons is something that drug trafficking, the federal laws regarding most states also have implemented in their human trafficking tend toward severe pun- human trafficking laws. ishments on the supply side, seeking serious punishment for those involved directly in the These six new sections that the TVPA added to trafficking of persons. The argument is that Title 18 of the U.S. Code include statutes against severe punishments, especially that of life forced labor, trafficking (for the purposes of imprisonment for the trafficking of children, peonage, slavery, involuntary servitude, or are necessary deterrents that discourage

,AW %NFORCEMENT %XECUTIVE &ORUM s s people from engaging in such behavior. By across borders. The TVPA’s criminalization of decreasing the willingness of people to get behavior intended to restrict the movement of involved in the trafficking part of the sex traf- the victims of human trafficking has appro- ficking business, these laws seek to reduce priately been borrowed across the states’ legal the supply. However, the demand side of the regimes. federal legal framework for sex trafficking is inadequate; a more comprehensive criminal- Many of the victims of human trafficking are ization of all aspects of human sex traffick- not legally in the country in which they are ing, one that accounts for both the supply and utilized as sex workers. Although the U.S. is demand sides, would aim to increase punish- only one of many destination countries, our ments for sex tourism and patronizing pros- analysis here is limited to the U.S. Rather than titutes as was done in New York and is dis- coming through legal border checkpoints and cussed below. channels, trafficked victims are often brought into the country through illegal means, includ- One dimension of the TVPA frequently boring undocumented border crossings, entry rowed by the states has to do with the improper with counterfeit documents, and entry using holding, tampering with, or destruction of gov- tourist or student visas. Before the TVPA, traf- ernment-issued identification documents by ficked persons faced more substantial crimi- traffickers. This is a prime example of govern- nal penalties than the traffickers who were ment policy aimed at criminalizing the means responsible for the criminal enterprise. The through which traffickers keep their victims victims of human trafficking were subject to in servitude, here through control of the doc- deportation, often to countries where they uments necessary for legal travel across bor- were treated as outcasts and disgraces because ders. Traffickers are well-aware of the fact that of the prostitution stigma (Tverdova, 2011). A documentation and papers are vital for immi- critical and transformative aspect of the TVPA grants and visitors; thus, threats to destroy or is the protection of victims. This includes withhold those documents are credible and resources provided by the government to help can coerce the victims of human trafficking to exit the sex worker industry as well as the comply with the behavioral demands of the extension of temporary U.S. residency to vic- traffickers in order to secure a return of these tims of trafficking. Under the TVPA, victims critical documents. Legal immigrants need of human trafficking are treated as refugees their papers to stay or to move freely across by state and federal aid guidelines (at 1475). borders; illegal immigrants are motivated to Whereas the pre-TVPA regime treated vic- comply in response to promises of the delivery tims as criminals and illegal immigrants, the of these critical papers. The TVPA criminalizes system now introduces avenues for victims of the destruction, concealment, removal, con- trafficking to receive assistance and benefits fiscation, or possession of any actual or pur- comparable to almost any other category of ported passport or immigration documents refugee. Included among the specific benefits if said destruction was done in the course or is the T-Visas process, through which victims furtherance of a violation of human trafficking of trafficking can become temporary residents laws or with the intent to violate those laws.4 of the U.S., and through which they can apply The removal or threat of removal of papers, for permanent residence after three years. This including the destruction of vital documents, approach provides victims of human traffick- is a strong motivation to continue working ing with a second chance at life in America, for someone who has possession of an indi- regardless of how they initially arrived here. vidual’s papers, especially if that individual is in the U.S. illegally. By destroying or with- With the revisions to the TVPA that came in holding these types of documents, traffickers the Trafficking Victims’ Protection Reauthori- can restrict or prevent a victim’s capacity to zation Act (TVPRA) in 2003, 2005, and 2008, move freely domestically as well as to travel the federal government has moved to provide

,AW %NFORCEMENT %XECUTIVE &ORUM s s even more services and protections to vic- a detailed examination of the progression of tims of human trafficking. The 2003 TVPRA human trafficking laws in New York as illus- provided victims with standing for a private trative of the types of anti-trafficking crimi- federal civil cause of action, enabling them to nal laws that operate in nearly every state sue their traffickers in federal court (Polaris today. Following that is an examination of the Project, 2008). Providing individual access actions that New York is taking to better the to civil damages as recourse for being traf- lives of trafficking victims, whether through ficked is among the more popular and most legal defenses or the provision of resources imported victim-relief practices at the state and benefits. level. According to the Polaris Project (2011a), 15 states had provided access to civil dam- The New York State Legislature enacted its first ages. Additionally, the 2003 TVPRA extended anti-trafficking bill, Senate Bill (SB) 5902, in the benefits previously enjoyed only by the 2007, joining 32 other states in the fight against victims of trafficking to their families as well. human trafficking. SB 5902 was comprehen- The 2005 TVPRA began a program to help sive and ambitious, adding the crimes of labor shelter minors who are the victims of human trafficking and sex trafficking to the New York trafficking. Many states adopted similar poli- Penal Code and expanding the extant Social cies to this one. The TVPRAs of 2003, 2005, Services Law to provide services to victims and 2008 were refinements to the major policy of human trafficking. In this way, New York contained in the TVPA of 2000 rather than mirrored the developments of the federal some wholesale reconfiguration in the federal policy in the 2000 TVPA. In 2009, New York policy. took another step in treating victims of human trafficking by passing House Bill (HB) 7670, The 2000 TVPA represented a first attempt which provided victims of human trafficking by the U.S. to comprehensively address with the ability to vacate convictions of prosti- modern-day human trafficking and its exter- tution or obtain an order for a new trial. These nalities. These new policies led the way for two bills, SB 5902 and HB 7670, make up the drastic changes across the states over the legislative actions taken by New York both to next decade, and they altered the prospects curtail the problem of human trafficking and for trafficked persons who are brought to the to deal with the effects of its continuation. U.S. against their will and forced into labor or After discussing the specifics of their punitive sexual servitude. Many aspects of the federal laws on human trafficking, which are similar policy were adopted by numerous states. The throughout the states and modeled on the federal TVPA was the first major step in the federal criminalization statutes, we shift focus fight against human trafficking in the U.S., and consider how New York deals with vic- and it shaped the way in which the protective tims of human trafficking. We present this as regimes developed in states across the nation. the New York Model for providing relief to traf- We begin with a consideration of the approach ficking victims. adopted by the State of New York. The criminalization of human trafficking is the Criminalization of Human first step in a state’s attempt to combat human Trafficking in New York trafficking and mitigate its negative externali- ties. SB 5902, written in June 2007, added new As a massive metropolis and tourist destina- sections to the New York Penal Code which dealt tion for millions each year, New York City is with different aspects of human trafficking. also a prime destination for human traffick- The crime of labor trafficking is explicated as ing victims. The increase of human traffick- compelling, inducing, recruiting, or enticing ing to meet demands for prostitution and another to engage in labor.5 Further, there are labor caught the attention of the New York four individually sufficient requirements of State Legislature in 2007. Below, we provide intentionality behind this engagement, any

,AW %NFORCEMENT %XECUTIVE &ORUM s s one of which would be sufficient to meet the purported government documents is unlaw- criterion of the code. The first is using con- ful.11 The verbiage here is taken directly out trolled substances on the victim, such as nar- of the labor trafficking code, which is derived cotics, with the intention of impairing his or from the federal statute. Also included are her judgment.6 This would cover illegitimate requirements that prostitution be performed tactics used to convince or coerce victims into to retire, repay, or service a debt and the use agreeing to work. Second is mandating labor or threat of force to compel the victim to in exchange for retirement, repayment, or continue engaging in prostitution.12 SB 5902 servicing some sort of debt, whether real or makes sex trafficking a Class B felony, subject purported.7 This would cover forced labor as to a maximum sentence of 25 years’ imprison- a repayment for a debt, incurred perhaps by ment in addition to a fine of $5,000 or double safe illegal passage to the U.S. The third is the the defendant’s gain from the commission of actual or threatened withholding or destruc- the crime (New York Anti-Trafficking Net- tion of government identification documents work, 2007; New York Penal Code §80.00). The with the intention to “impair said person’s punishment for sex trafficking as outlined in freedom of movement.”8 The destruction of SB 5902 is relatively strict compared to other documents is borrowed directly from the fed- states and especially compared to ten years eral TVPA, which contains a nearly identical ago; currently in California, for instance, traf- clause. This criminalizes the trafficker’s prac- ficking is punishable by imprisonment in state tice of holding onto government documents prison for between three and five years; for and threatening to destroy them if services or trafficking of minors in California, the pun- labor are not performed. Fourth is the use of ishment is between four and eight years.13 The force or threat to compel the victim to continue federal government, on the other hand, has a engaging in labor activities.9 This includes the maximum sentence of 20 years for trafficking threat of physical injury, damage to prop- adults but a maximum of life imprisonment erty, blackmail, and forms of extortion which for trafficking children under age 14. would be used to compel the victim to continue working. In New York, labor trafficking A vital part of SB 5902, which should be emu- is a Class D felony, with a maximum of seven lated elsewhere and incorporated into state years’ imprisonment and/or a fine of $5,000 penal codes across the nation, is the non- or double the defendant’s gain from the crime accomplice clause. In the New York Penal Code, (New York Anti-Trafficking Network, 2007; this clause is attached, nearly verbatim, to the New York Penal Code §80.00). sections on labor trafficking and sex trafficking. These sections unequivocally state that SB 5902 also added Section 230.34 to the the victim of trafficking is not to be deemed as New York Penal Code, which dealt with the an accomplice to the charges of sex trafficking crime of sex trafficking. This crime involves or labor trafficking.14 This sort of protection the intentional advancement or profiting from prosecution, whether from prostitution through prostitution by a number of unlaw- charges or charges of being an accomplice to ful mechanisms. Similar to the labor traffick- trafficking, is offered in different ways across ing code, this code includes providing illegal the states. For instance, in Texas, being a narcotics, drugs, or other illicit substances for victim of sex trafficking provides an affirma- the purposes of impairing the victim’s judg- tive defense to charges of prostitution.15 Such ment.10 However, here the code is explicit in laws are important because they mitigate its inclusion of concentrated cannabis, metha- worries of trafficking victims that might make done, gamma-hydroxybutyrate (GHB), and them avoid authorities out of a fear of pros- flunitrazepan (also known as Rohypnol) in the ecution. If victims are not willing to seek out list of substances which could be used in the authorities, the crime of human trafficking commission of sex trafficking. Additionally, will continue, and the traffickers will be less the withholding or destruction of actual or likely to be caught. By shielding victims from

,AW %NFORCEMENT %XECUTIVE &ORUM s s prosecution, as New York and a number of for treatment of victims of human traffick- other states have done, victims are more likely ing. The first is the expansion of essential to come forward with information about their government services, such as health care, traffickers. welfare assistance, and temporary housing. SB 5902 added Article 10-D to the New York In SB 5902, the State of New York also increased State Social Services Law, outlining the extent the penalties for patronizing prostitutes and to which the State of New York will provide expanded laws on sex tourism in an attempt services to victims of human trafficking. The to provide disincentives for patrons and second service that New York provides is “safe reduce the demand side of the human traffick- harbor” for underage victims of sex trafficking problem. SB 5902 repealed Section 230.03 ing, providing them with protective services of the New York Penal Code, which limited the and excluding them from prosecution. The punishment of “Patronizing a Prostitute in third and most novel aspect of the New York the 4th Degree” to a Class B misdemeanor. Model is the vacating of prostitution convic- After the repeal of §230.03, the punishment tions for victims of human trafficking. These for patronizing a prostitute became a Class A three, explained at length below, make up the misdemeanor, which formerly was reserved New York Model for providing relief to the for patronizing a prostitute under the age of victims of human trafficking. 17.16 This increase in punishment essentially doubles the maximum fine for patronizing a Article 10-D, entitled “Services for Victims prostitute, from $500 to $1,000.17 The New York of Human Trafficking,” was added to the bill further tightened prostitution laws by New York Social Services Law in 2007. So long amending the prostitution code to include as the person at issue meets certain criterion behavior qualifying as promoting prostitu- and is confirmed19 to be a victim of human tion, selling travel services that are intended trafficking, a trafficked person can be pro- to include or facilitate access to prostitution, vided with services. In New York, these ser- or sex tourism.18 This attempt to curb sex vices include temporary housing, health care, tourism and decrease the demand for prosti- mental health counseling, drug addiction tutes in New York is designed to decrease the screening, job training and placement assis- number of people being trafficked in and out tance, and services to assist with the estab- of the state to service that type of tourism. lishment of permanent residence in New York State or the U.S.20 In this way, New York is very The New York Model close to the federal model established by the TVPA, which treats trafficked persons in the The criminalization of human trafficking and same way as refugees. By providing programs the attempts to tighten prostitution laws are by to help victims of human trafficking, New York no means isolated to New York. In fact, today, met the minimum threshold of providing 48 of the 50 states have laws criminalizing “victim assistance” according to the Polaris human trafficking. The specifics of the laws Project (2011b), a leading NGO that focuses in New York were provided as an example of on ending modern-day slavery and human the foundation of anti-trafficking laws which trafficking. The provision of health services, are quite similar throughout the states, most especially health care, mental health counsel- based closely on the federal model. Where ing, and drug screening, is important in the the states significantly differ is the treatment rehabilitation and normalization of the lives of trafficked persons, the victims of human of human trafficking victims. Also, by pro- trafficking. In this regard, we will be looking viding job training and avenues for the estab- at New York as a model for how to provide lishment of permanent residence, New York services and care to the victims of human traf- avoids deporting or displacing people who ficking. There are three policy dimensions in were brought to the U.S. through avenues particular that make New York a good model perhaps out of their own control. According

,AW %NFORCEMENT %XECUTIVE &ORUM s s to the Polaris Project report (2011a), 20 states services to victims. With HB 7670, New York had laws providing victim assistance, making provided a defense for victims of human traf- it among the most common ameliorative ficking and removed prostitution convictions action that states take in regard to human traf- for people who had engaged in prostitution or ficking. States that provide victim assistance loitering for the purpose of prostitution which are found across regions, sizes, and political resulted from having been a victim of sex traf- orientations, including California, Oklahoma, ficking. Under this new law, victims of human Texas, Vermont, and Washington. trafficking are safer from prosecution for prostitution, something that formerly threatened The second aspect of the New York Model their future lawful employment and, in some is the “safe harbor” provided to victims of cases, would inhibit emigration options. Fur- human trafficking, especially minors. Aspects ther, by freeing current victims of human traf- of safe harbor include protection from pros- ficking of the worry that they will be charged ecution and diversion to social services or as prostitutes, this law may also encourage victim assistance programs (Polaris Project, current victims of human trafficking to come 2011b). In the case of New York, safe harbor forward with information about their traffick- is provided as part of the services included in ers. It also reduces the power of threats made Article 10-D of the New York State Social Ser- by traffickers to their victims that they will vices Law. This includes the provision of tem- simply turn the victims over to authorities as porary and disability assistance to victims of prostitutes and illegal immigrants. New York human trafficking and the notification of local and three other states—Illinois, Maryland, and departments of social services for victims who Nevada—are the only four states in the nation are minors.21 By turning victims of human as of August 2011 which provide victims of trafficking over to assistance programs rather human trafficking with a way to remove pros- than delivering them to state custody as crimi- titution charges from their record (Polaris Proj- nals, these states are not only saving money by ect, 2011a). This is a central innovation of the avoiding the costs of incarceration, they also New York Model and something that would provide victims of human trafficking with a benefit victims of human trafficking even chance to rebuild and start over. Further, to after they go off of social services programs. make sure that victims of human trafficking States should revisit whether the provision of are not prosecuted as accomplices to human a mechanism to expunge the criminal records trafficking, protection is extended to the vic- of those ensnared in human trafficking would tims under Sections 135.36 and 230.36 of the help undermine the existing human traffick- New York Penal Code. According to the Polaris ing rings. Project report (2011a), safe harbor is provided in seven states. Although safe harbor is much Through the expansion of government ser- less common than the provision of general vices, the provision of safe harbor for under- victim assistance, states that do not currently age victims, and the vacating of prostitution provide a safe harbor dimension should con- convictions, New York is a prime example of sider the policy as perhaps a beneficial and a state that is not just punishing the traffick- cost-efficient approach to limiting the societal ers, but is also cognizant of the emotional and cost of human trafficking. personal cost of human trafficking on the victims. By providing opportunities for perma- A novelty of the New York Model is vacat- nent residency, people who were displaced ing prostitution convictions from the criminal from their home countries are given a second records of trafficking victims. The vacating chance at life in the U.S., free from the yoke of of prostitution convictions was introduced modern-day enslavement by the traffickers. By in New York by the 2009 bill HB 7670, two vacating prostitution convictions, New York years after the state passed landmark laws is not just acting as a leader in the expansion criminalizing human trafficking and extending of victim protection and rehabilitation; it is

,AW %NFORCEMENT %XECUTIVE &ORUM s s also providing people who were forced into defined by a number of factors. These include prostitution with the opportunity to have the cause or threat of harm, physical restraint, that stigmatizing mark removed from their destruction of real or purported government record, increasing the likelihood of lawful documents or personal property, the threat employment. or actual exposure of information that would subject the victim to criminal prosecution or Criminalization of Trafficking in social stigma, threatening to report victims to immigration officials, controlling access to ille- Alabama 24 gal substances, or the threat of or actual rape. In 2010, Alabama became the 44th state This definition is vast and expansive and to criminalize human trafficking. The bill, builds off of definitions that were articulated HB 432, established human trafficking as a in other statutes, notably the federal TVPA. It Class A felony and made modest steps toward also contains a clause about the destruction of providing victims of trafficking with resources government identification documents and the and benefits. The bill set up the framework in threat of reporting to immigration authorities, Alabama for dealing with human traffickers both of which would be used to keep a victim as well as victims. Unlike states such as Alaska of human trafficking working and also inhibit or Montana, which have criminalized traf- them from going to the authorities. The second ficking but provide no remedies for victims, definition is that of deception. This includes Alabama makes some effort toward providing making the victim believe that labor or sexual victims with avenues for relief. These include servitude is required to pay off some debt, asset forfeiture for the purposes of funding receive some promised benefit, or to make the restitution as well as providing victims with victim believe that if acts of servitude were not access to civil damages. Neither of these are carried out, that the person or another would part of the extant law in New York, making suffer physical or mental injury.25 New York and Alabama prime candidates for comparison. After a brief discussion of the Alabama classifies human trafficking as either criminalization process in Alabama, the par- a Class A or a Class B felony, depending on the ticularities of the low-cost Alabama method of extent to which the person was involved in the providing relief for trafficked persons will be criminal behavior. Human trafficking in the addressed. first degree involves the knowing subjection to labor or sexual servitude through the use of The bill in Alabama that criminalizes human coercion or deception.26 Thus, people who are trafficking is built upon two important defini- trafficking as well as those acting as “pimps” tions that it shares with both the federal TVPA of trafficked victims would often be guilty of and the New York criminal code. In Alabama, first degree sex trafficking under Alabama labor servitude is defined as “Work or service law, given that there is the use of coercion or of economic or financial value which is per- deception in keeping the victims working. The formed or provided by another person and definition further includes knowingly obtain- is induced or obtained by coercion or decep- ing, recruiting, harboring, or transporting any tion.”22 Similarly, sexual servitude is defined as minor for the purpose of engaging in sexual “any sexual conduct . . . for which anything of servitude.27 For this purpose, the state seeks to value is directly or indirectly given, promised severely punish those involved in the traffick- to, or received by any person, which conduct is ing of minors for sexual exploitation. To this induced or obtained by coercion or deception end, reasonable mistake of age is not a defense or which conduct is induced or obtained from to liability; nor is it required that the defendant a person.”23 Both of these definitions hinge have knowledge of the victims’ age or minor- upon the concepts of coercion and decep- status to be subject to trafficking in the first tion, standard terms in the legal framework degree.28 Human trafficking in the first degree of human trafficking statutes. Coercion is is classified as a Class A felony, warranting

,AW %NFORCEMENT %XECUTIVE &ORUM s s either life imprisonment or imprisonment for them as victims by providing them with the between 10 and 99 years.29 same benefits enjoyed by refugees and even extending temporary residence. Such has Human trafficking in the second degree is been done in New York as well. Elsewhere, defined as knowingly benefiting from par- trafficked persons are still charged as prosti- ticipation in a venture or engagement for the tutes and are subject to deportation. Though purpose of sexual or labor servitude.30 This Alabama still has a long way to go by some includes partners who share in the benefits standards, it has moved toward recognizing without actually engaging in the crime. Sim- trafficked persons as victims. In Alabama, this ilar to the way trafficking in the first degree includes providing victims of trafficking with deals with minors, trafficking in the second an affirmative defense in prostitution cases, degree covers direct involvement in the traf- the forfeiture of traffickers’ assets to fund ficking of adults, without the use of coercion programs for victims of trafficking, and pro- or deception. The definition of trafficking in viding victims with access to civil damages. the second degree includes knowingly obtain- These three make up the current low-cost ing, recruiting, enticing, inducing, threatening, system in Alabama to provide relief to victims isolating, harboring, restraining, transporting, of trafficking. providing, or maintaining any person for the purpose of engaging in sexual servitude.31 The first remedy is the provision of an affir- Trafficking in the second degree is a Class B mative defense to victims of human traffick- felony, warranting between two and 20 years ing. Similar actions have been taken in other of imprisonment.32 The differentiation of treat- states like Texas. In Alabama, this provides ment between the trafficking of minors and victims of human trafficking with an affirma- the trafficking of adults as witnessed in the tive defense in cases of prostitution or sexually Alabama case is relatively common through- explicit performances so long as those were out the U.S. performed as a result of labor or sexual servitude.33 This approach simply acknowledges The Alabama Model the fact that victims of human trafficking are coerced or compelled, often by threat of force Most of the states are very similar in their crim- or death, into involvement in these criminal inalization of human trafficking. The variation behaviors. Even worse, harsh punishments and the topic of greatest comparative interest and the threat of prosecution may keep victims is the manner in which states respond to the of human trafficking away from the authori- notion of those who are engaged in sex work as ties, reducing the likelihood that the traffickers victims of human trafficking. That is, the legal will be caught. This is especially problematic regimes are not uniform in how they respond because the traffickers are the source of the to people who have been taken by force or supply of sex workers and are thus a bigger deception out of their homeland and brought contributor to the problem than the individ- illegally across borders to be subjected to the ual prostitute. The Alabama approach, like the terrible conditions of the modern-day slavery federal and New York approaches, operates of human trafficking. Before this upswing in under an understanding that a higher priority criminalization statutes—and still in some should be placed on stopping the traffickers states today—trafficked persons were treated than inhibiting the activities of any given sex not as victims but merely as criminals. They worker. Any action which further reduces the were prosecuted as prostitutes and deported chances that the traffickers would be caught as illegal immigrants. There is a continuum should be reconsidered. A further consider- on which all states lie that ranges from defin- ation, one which is an issue across the U.S. ing trafficked persons as criminals to defining as states deal with overcrowded prison sys- them as victims. Since 2000, the U.S. has made tems and massive budget pressures, is that of great progress in moving toward recognizing incarcerating people who have been victims

,AW %NFORCEMENT %XECUTIVE &ORUM s s of criminal behavior. State resources would be derived from the seized assets go toward better spent combating traffickers than on the paying the cost of the investigation and pros- imprisonment of the victims of trafficking. ecution, with what remains after that remit- ted to funding the general Alabama Crime While New York has an expansive program Victims Compensation Fund.37 In this way, for victims of trafficking, it does not pro- Alabama is making efforts to make their anti- vide any visible means for funding that pro- trafficking program more cost-effective while gram other than through the state’s coffers. also providing trafficked victims with some Alabama’s approach is more cost-effective in form of monetary relief. that it makes an attempt to pay for a portion of the program with funds raised by liquidating Conclusion: Best Practices the seized assets of traffickers. Alabama does not provide the same level of state-provided New York and Alabama provide examples benefits as New York, making it more likely of most of the things that are being done to that their program could be revenue-neutral. counter trafficking in persons and to deal Unlike New York, Alabama provides victims with the human costs associated with traffick- of trafficking with explicit access to civil dam- ing. These two states go about providing rem- ages. Alabama and 14 other states provide edies and resources to the victims in entirely such access (Polaris Project, 2011a), in addition different ways. Following the federal model, to the federal cause of civil action provided by New York provides victims of human traffick- the TVPA. Victims of human trafficking may ing with expansive government services that bring a civil action against traffickers, and the include health care, temporary housing, and court may award actual, compensatory, and cash assistance. Alabama, on the other hand, punitive damages, as well as other forms of provides much less in terms of resources and relief and attorney’s fees.34 By providing vic- derives the funding for the resources it does tims with a means for civil relief, victims have provide from the traffickers. States should an avenue to start over, provided that they are consider adopting the best of both of these able to secure representation. This approach models. Specifically, some aspects from each comes at a relatively small cost for the State of of these regimes should be incorporated by Alabama when compared with the extensive, all states seeking to address the issue of traf- state-funded services of New York. ficking in persons. The best practices include an enhancement of the punishment for sex A second aspect of the Alabama Model which tourists and patrons of prostitutes, vacating is not used in New York is the forfeiture of prostitution convictions for victims of human profits, proceeds, and property of those who trafficking, expansion of the state’s power to are found guilty of human trafficking. Under seize assets belonging to traffickers, and pro- this law, profits, proceeds, and interest in prop- viding victims with access to civil damages. erty that have been acquired through human These four are vital to fighting human traf- trafficking can be seized by the State of Ala- ficking and providing justice to the victims of bama.35 This is a possible deterrent for those trafficking. who consider getting into trafficking for the purposes of making a quick profit. Whether By increasing the punishment for sex tourists this deterrence actually manifests is another and patrons of prostitutes, states can try to question entirely. The assets seized under this change behavior and discourage people from section would be used to pay restitution to traf- visiting prostitutes. This seeks to change the ficking victims, including damages awarded demand side of the trafficking and prostitution via civil actions.36 Thus, the cost of providing problem rather than the supply side. If increas- a transitional services regime for the victims ing the punishment for consorting with pros- is born largely by the traffickers themselves titutes is successful in reducing the number of rather than the state coffers. Remaining funds patrons, then the demand for prostitutes will

,AW %NFORCEMENT %XECUTIVE &ORUM s s lessen, and the profitability of trafficking will those who are not so deterred, assets would be reduced. In contrast, a policy that focuses be able to pay restitution to victims as well as solely on reducing the number of sex workers fund victim aid programs and offset the larger may actually increase the demand for those societal and systemic costs of the enforcement who remain, thereby providing strong incen- regime. This could help to ameliorate the bud- tives for traffickers to bring in prostitutes from getary burden created by the incarceration elsewhere. Thus, efforts to reduce prostitution of traffickers and the provision of extensive may actually increase trafficking. Further, this resources and aid to victims of trafficking. increase in trafficking to compensate for the The second aspect from Alabama that should lack of supply relative to extant demand may be integrated elsewhere is providing victims result in the formation of criminal traffick- with standing to pursue civil damages. Simi- ing networks, which could then be used for lar to asset forfeiture, this could help to ease the trafficking of narcotics or firearms (Smith the budgetary burden while providing vic- & Miller-de la Cuesta, 2011; Smith & Smith, tims with a monetary compensation for the 2011). These considerations make a demand- wrongs that they suffered. side approach to the human trafficking and prostitution problem more viable than a policy In this paper, we sought to explain some of simply oriented toward issues of supply. the approaches that are being taken to limit human trafficking and to better the lives of Secondly, as discussed above, New York and victims. Additional research should be con- three other states provide an avenue for vacat- ducted to assess the efficacy of these differing prostitution convictions for those who were ent approaches in reducing prostitution and forced into prostitution as a result of their cir- trafficking. A problem with human traffick- cumstances as a victim of human trafficking. ing research is the difficulty of estimating the This has a number of benefits, both moral and numbers of trafficked persons since they are economic. On the moral side, it is simply the part of the underground economy and not right thing to do. Victims of human trafficking subject to direct and visible government scru- are forced into sexual servitude by traffickers tiny. Further research should also be directed who have little regard for their life or liberty; toward investigating the probable disparity in the crimes that the victims perform are done prosecution rates between the 48 states that out of fear for their safety and often their lives, have now criminalized human trafficking. We not out of criminal intent or disregard for the have offered at least a first step toward real- law. To treat these victims as criminals is to izing a best practices legal regime for combat- disregard their circumstances and victimize ing human trafficking. As the states continue them anew. Moreover, harsh punishments for to address this problem, the most efficacious prostitution and an absence of remedies and approaches should be adopted as widely as resources for the victims of trafficking may possible. deter victims from seeking out authorities or turning in their traffickers. By providing a Endnotes means for vacating convictions, the states can help to get former trafficking victims lawful 1 See www.google.com/trends?q=%22human+ employment rather than forcing them back trafficking%22&ctab=0&geo=us&date=all& into the underground economy. sort=0. 2 18 USC §1591(b)(1). Two aspects of the Alabama Model should 3 18 USC §1591(b)(2). be adopted across the states to deal with the 4 18 USC 1592(a). problem of human trafficking. The first is that 5 New York Penal Code §135.35. of asset seizure. The threat of losing assets as 6 New York Penal Code §135.35(1). a result of involvement in trafficking would 7 New York Penal Code §135.35(2). perhaps deter some from partaking in it. For 8 New York Penal Code §135.35(3).

,AW %NFORCEMENT %XECUTIVE &ORUM s s 9 New York Penal Code §135.35(4). Trafficking in humans: Social, cultural and 10 New York Penal Code §230.34(1). political dimensions (pp. 58-79). Tokyo, Japan: 11 New York Penal Code §230.34(3). United Nations Press. 12 New York Penal Code §230.34(4), §230.34(5). 13 California Penal Code §236.1(a-c). Fox News. (2008, November 10). Report: 14 New York Penal Code §135.36, §230.36. Natalee Holloway suspect involved in Thai traf- 15 Texas Penal Code §43.02(d). ficking ring. Retrieved February 15, 2012, from 16 New York Penal Code §230.04. www.foxnews.com/story/0,2933,449294,00. 17 New York Penal Code §80.00. html. 18 New York Penal Code §230.25(1). 19 See New York Social Services Law, Article 10-D Goodey, J. (2004). Sex trafficking in women §483-AA and §483-CC for the process called “con- from Central and East European countries: firmation” through which the state determines if Promoting a “victim-centred” and “woman- a person was the victim of human trafficking. centred” approach to criminal justice inter- 20 New York Social Services Law, Article 10-D, vention. Feminist Review, 76, 26-45. §483-BB. 21 New York Social Services Law, Article 10-D, Grace, N. (2008). Nancy Grace on Natalee Holloway §483-CC. [CNN video]. Available on Youtube: www. 22 Alabama HB 432 (1)(4). youtube.com/watch?v=kCN9296ImkY. 23 Alabama HB 432 (1)(5). 24 Alabama Code §13A-6-151(1). New York Anti-Trafficking Network. (2007). 25 Alabama Code §13A-6-151(2). New York state anti-trafficking law. Retrieved 26 Alabama Code §13A-6-152(a)(1). February 15, 2012, from www.svfreenyc.org/ 27 Alabama Code §13A-6-152(a)(2). media/survivors/antitraffickingnetwork/ 28 Alabama Code §13A-6-152(a)(3). 2007_12_12_nylaws.pdf. 29 Alabama Code §13A-5-6(a)(1). 30 Alabama Code §13A-6-153(a)(1). Obokata, T. (2006a). A human rights frame- 31 Alabama Code §13A-6-153(a)(2). work to address trafficking of human beings. 32 Alabama Code §13A-5-6(a)(2). Netherlands Quarterly Journal of Human Rights, 33 Alabama Code §13A-6-159. 24(3), 379-404. 34 Alabama Code §13A-6-157. 35 Alabama Code §13A-6-156. Obokata, T. (2006b). Trafficking of human beings 36 Alabama Code §13A-6-156. from a human rights perspective: Towards a 37 Alabama Code §13A-6-156. holistic approach. Leiden, the Netherlands: Martinus Nijhoff Publishers. References Pearson, E. (2002). Human traffic, human rights: Brysk, A. (2011). Rethinking trafficking: Redefining victim protection. London: Anti- Human rights and private wrongs. In Slavery International. A. Brysk & A. Choi-Fitzpatrick (Eds.), Human trafficking to human rights: Reframing contem- Polaris Project. (2008). Trafficking Victims’ Pro- porary slavery (Chapter 1). Philadelphia: The tection Act fact sheet. Retrieved February 15, University of Pennsylvania Press. 2012, from www.polarisproject.org.

Davidson, J. O. (2006). Will the real sex slave Polaris Project. (2011a). 2011 state ratings chart: please stand up? Feminist Review, 83(1), 4-22. Key human trafficking provisions. Retrieved February 15, 2012, from www.polarisproject. Dinan, K. A. (2008). Globalization and org. national sovereignty: From migration to trafficking. In S. Cameron & E. Newman (Eds.),

,AW %NFORCEMENT %XECUTIVE &ORUM s s Polaris Project. (2011b). State ratings 2011 meth- New York Penal Code §230.04, §230.25(1), odology. Retrieved February 15, 2012, from §230.34(1), and §230.36. www.polarisproject.org. New York Social Services Law, Article 10-D, §483-BB. Quirk, J. (2007). Trafficked into slavery. Journal Texas Penal Code §43.02. of Human Rights, 6(2), 181-207. Victims of Trafficking and Violence Preven- tion Act of 2000, PL No. 106-386, 114 Stat. Scarpa, S. (2008). Trafficking in human beings: 1468 (2000). Modern slavery. New York: Oxford University Press. Charles Anthony Smith received his Smith, C. A. (2011). Peacekeepers and human PhD from the University of California– trafficking: The new security dilemma. In San Diego and his JD from the University A. Brysk & A. Choi-Fitzpatrick (Eds.), From of Florida. He is an Assistant Professor at human trafficking to human rights: Reframing the University of California–Irvine. His contemporary slavery (Chapter 7). Philadelphia: research is grounded in the American The University of Pennsylvania Press. judiciary but encompasses work in both comparative and international frame- Smith, C. A., & Miller-de la Cuesta, B. (2011). works using a variety of methodologies. Human trafficking in conflict zones: The He has published articles on human traf- role of peacekeepers in the formation of net- ficking in the International Political Science works. Human Rights Review, 12(3), 287-299. Review, Human Rights Review, and the Journal of Human Rights, among others, Smith, C. A., & Smith, H. (2011). Human traf- and is the author of The Rise and Fall of ficking: The unintended effects of United War Crimes Trials: From Charles I to Bush II Nations intervention. International Political (Cambridge University Press, 2012). Science Review, 32(2), 125-145. Tyler H. Hunt is a research assistant Smith, C. A., & Smith-Cannoy, H. (2012). at the University of California–Irvine. Human trafficking and international cheap His research interests encompass law talk: The Dutch government and the island and legal processes. He will pursue a territories. Journal of Human Rights, 11(2), Juris Doctorate upon completion of his 51-65. Bachelor of Arts.

Tverdova, Y. V. (2011). Human trafficking in Russia and other post-Soviet states. Human Rights Review, 12(3), 329-344.

Statutes and Reports Cited 18 U.S. Code §1589, §1590, §1591, and §1592. Alabama Code §13A-6-151, §13A-6-152, §13A- 6-156, and §13A-6-159. Alabama HB 432 (2011). California Penal Code §236.1 (a-c). New York HB 7670 (N.Y. 2010). New York SB 5902 (N.Y. 2007). New York Penal Code §80.00. New York Penal Code §135.35, §135.36.

,AW %NFORCEMENT %XECUTIVE &ORUM s s NGOs’ Role in Ending Human Trafficking

Julie Slagter, Grand Rapids, Michigan

Iasonos Street in the lively city of Athens, north of Greece in the country of Albania. One Greece, hints at an intriguing past with its day she met a man and quickly fell in love. beautiful, ornate facades on the old, crumbling The man claimed to feel the same for her, and buildings. While it is true Iasonos Street holds he promised their life together would be pros- a place in Greek architectural history, the pres- perous. Believing him, Mary moved with him ent state of Iasonos Street is far less beautiful to Athens and settled into a home, anxious than the original architects envisioned. to begin their life together. Instead, her boyfriend forced her into the world of prostitu- Today, Iasonos is in a state of disarray, confu- tion where her body was sold repeatedly each sion, and darkness. Approximately 50 broth- night. She was raped more times than she can els line either side of the street. It bustles with remember, and she gave all her earnings to men, of all ages, roaming from door to door the man she once thought loved her. checking out the “merchandise” on display. The customers walk the streets with a casual Mary was trapped in a prison that consisted attitude after they have finished shopping or of a relationship built on a lie and threats on purchasing their item; others race away on her life if she did not do as this man instructed their motorcycles going home to loved ones her. After one year of continuous fear and without a trace of guilt. torment, Mary met New Life team members one evening while working in a brothel on I spent a year not far from Iasonos Street, Iasonos Street. They developed a relation- working with New Life (Nea Zoi), a nongov- ship over several months. Eighteen months ernmental organization (NGO) seeking the after their first meeting, Mary felt she could restoration of women and men in prostitu- trust New Life and began meeting with them tion. Most of the women New Life comes in regularly. Her boyfriend recently moved back contact with are trafficked into the sex indus- to Albania to be with his wife and children. try from Eastern European countries and You see her “boyfriend” had been using the Nigeria. New Life also meets male transves- money Mary earned selling her body to sup- tites working in prostitution. The NGO does port his family. three outreaches per week to the brothels and streets. Outreach teams bring coffee or Mary is on her own in Athens now. New Life tea to the women and men. This act of ser- continues to mentor her, and she is looking vice opens doors for conversation. The goal into the possibility of furthering her educa- of outreach is to build a relationship of trust tion. It is normal to have relapses throughout that may ultimately help the women and men the healing process, and Mary is no differ- leave prostitution. In addition, literature, legal ent. However, she is progressing and seeking referrals, health service referrals, and counsel- counsel. Hope is now outweighing the fear in ing services are offered to people working in Mary’s eyes. prostitution. The women, children, and men around the The Human Side of Human world who suffer from the horror of human Trafficking trafficking need to have organizations like New Life intervene and show them light in “Mary” is a woman looking for hope and free- the midst of darkness. They need long-term dom. She’s in her mid-20s and grew up just counseling and people guiding them through

,AW %NFORCEMENT %XECUTIVE &ORUM s s aftercare. A friendly voice and a gentle advo- are average people seeking to help women cate is a valuable tool in starting over. and men who are abused daily and are disposable to their captors. On top of their mis- Realities of Human Trafficking sion, they have a deep respect for local and Today governmental agencies that also play a role in ending this atrocity in their city. Without Human trafficking is a global phenomenon mutual respect, little would be accomplished. with estimates ranging from 12.3 to 27 mil- Likewise, in the United States, NGOs seek to lion victims being forced into labor or sexual come alongside law enforcement in order to servitude at any given time (U.S. Department fill in the gaps. NGOs can provide aftercare of State, 2008). The total market value of illicit facilities and services. Often, they are able to human trafficking is estimated to be in excess offer something as simple as transportation or of $32 billion (United Nations Office on Drugs providing toiletries when victims are rescued. and Crime [UNODC], 2012). Wasn’t slav- In order to end this $32 billion industry, all ery abolished in the 1800s? Yes, but making parties need to be working together. something illegal does not mean it no longer exists. Prevention The fact of the matter is that slavery has not Slavery is not autonomous. There are root gone away; it has simply vanished from view causes that need to be addressed concurrently. (Bales, 2007, p. 2). It is our responsibility, as Poverty, greed, violence, and corruption are citizens and human beings, to bring it into intertwined with selling people as a commod- focus and help bring trafficking to an end. ity. Reaching out to victims through outreach According to the U.S. Department of State and advocacy is important; people are being (2009), human trafficking is defined as freed because of these efforts. However, if we dismiss the root causes and only push back on Sex trafficking in which a commercial the problem, those who are freed will simply be sex act is induced by force, fraud, or replaced by someone else. We need to look at coercion, or in which the person induced the whole picture: Why does a person become to perform such an act has not attained a slave in the first place? What will stop some- 18 years of age; or the recruitment, har- one from purchasing a fellow human being boring, transportation, provision, or and abusing her or him? To get these answers, obtaining of a person for labor or ser- we need to look at the root causes. vices, through the use of force, fraud, or coercion for the purpose of subjection Citizens have a responsibility to bring aware- to involuntary servitude, peonage, debt ness to our communities; to advocate for the bondage, or slavery. A victim need not voiceless; and to talk about these realities in be physically transported from one loca- our local businesses, agencies, and churches. tion to another in order for the crime to Look around and you will see the extent of fall within these definitions. what perpetuates slavery in our world today— pornography, greed, abuse, addictions. These NGOs can play a role in this fight against hidden secrets must be brought into the light. human trafficking that is unlike the roles of law enforcement or government officials. NGOs can be, and have been, the force behind NGOs can be the eyes and ears on the ground grassroots initiatives focused on prevention. while maintaining a low profile. They are Community prevention and outreach to those equipped to come alongside law enforcement, already oppressed go hand in hand. As impor- not as a hindrance, but as a tool and resource. tant as outreach and aftercare are, the true vic- Take, for example, New Life in Athens. They tory would be never having needed them at are not informants or detectives. Instead, they all. Digging out root causes is key. Poverty,

,AW %NFORCEMENT %XECUTIVE &ORUM s s sexual abuse, domestic violence, and addic- are very organized. We need to be even more tions are all root causes. We need to educate organized to stop them. NGOs have the ability people at all points of life. Prevention starts to do this by organizing concerned citizens: at a young age—teachers can develop an awareness campaign in order to educate chil- Modern slavery—be it bonded labor, dren on human trafficking. Parents should be involuntary servitude, or sexual talking openly with their children about issues slavery—is a crime and cannot be toler- in the world. Church communities need to ated in any culture, community, or coun- ensure their church offers help to those strug- try. . . . [It] is an affront to our values gling with sexual addictions, pornography, and our commitment to human rights. abuse, or broken relationships. NGOs can (Hillary Rodham Clinton, Secretary of also educate our communities to show law State, as cited in U.S. Department of enforcement this issue needs to be one of their State, 2011) priorities. Ending slavery means digging out the root causes and planting new, life giving Restoring human rights to all individuals trees in our communities (Michigan Aboli- is something worth fighting for. NGOs are tionist Project [MAP], 2011-2012). positioned well to play a significant role in ending this atrocity in the U.S. and around the Many community members want to have world. a role, and NGOs are able to assist them in discovering their place. An organization I References founded, the Michigan Abolitionist Project (MAP), is a good example of this. MAP helps Bales, K. (2007). Ending slavery: How we free everyday citizens use their gifts and talents to today’s slaves. Los Angeles: University of prevent and end human trafficking in Michi- California Press. gan. We focus on prevention and education, as well as partner with other like-minded Michigan Abolitionist Project (MAP). (2011- NGOs in an effort to not reinvent the wheel 2012). Prevention. Retrieved February 15, but instead fill in the gaps. In addition, MAP 2012, from www.michiganabolitionistproject. seeks to partner with law enforcement and org/prevention. government entities in the same way. United Nations Office on Drugs and Crime MAP began with a communitywide event (UNODC). (2012). UNODC launches global that focused on raising awareness of human initiative to fight human trafficking. Retrieved trafficking and provided action steps for February 9, 2012, from www.unodc. participants to respond that day. Over eight org/newsletter/en/perspectives/no03/ months, MAP’s volunteer base grew from page009.html. ten individuals to over 50 and growing. Once people hear about the injustices happening in U.S. Department of State, Office to Moni- their own communities, they are more often tor and Combat Trafficking in Persons. than not driven to respond. We help people (2008). U.S. Department of State: Traffick- respond no matter their career, availability, ing in persons report. Retrieved February 15, age, or gender. We’re multiplying educators 2012, from www.state.gov/g/tip/rls/ to teach the community how to be the eyes tiprpt/2008/105376.htm. and ears on the ground—to respond, report, and prevent. U.S. Department of State, Office to Monitor and Combat Trafficking in Persons. (2009). It is really quite simple, NGOs and law enforce- Introduction: Trafficking in persons report 2009. ment working together means more power in Retrieved February 15, 2012, from www.state. the fight. Criminals who traffic human beings gov/g/tip/rls/tiprpt/2009/123123.htm.

,AW %NFORCEMENT %XECUTIVE &ORUM s s U.S. Department of State, Office to Monitor and Combat Trafficking in Persons. (2011). Introduction: Trafficking in persons report 2011. Retrieved February 15, 2011, from www. state.gov/g/tip/rls/tiprpt/2011.

Julie Slagter is the Founder/Director of the Michigan Abolitionist Project. She previously served as the Global Coor- dinator of End Slavery with Interna- tional Teams and with a team in Athens, Greece, seeking the restoration of women and men trapped in sex slavery. She is also a member of the Michigan Human Trafficking Task Force and the Michigan Rescue and Restore Coalition.

Julie obtained her Master of Arts in Intercultural Studies from Grand Rapids Theological Seminary. She speaks regularly to diverse groups about modern- day slavery, justice, and global issues. She briefs humanitarian aid teams on global anti-slavery efforts and trains practitioners.

Contact Information www.MichiganAbolitionistProject.org [email protected]

,AW %NFORCEMENT %XECUTIVE &ORUM s s How the Internet Is Used to Facilitate the Trafficking of Humans as Sex Slaves

#HERYL 3HELLY 'EORGE !SSOCIATE 0ROFESSOR OF ,AW ,INCOLN -EMORIAL 5NIVERSITYn Duncan School of Law, Knoxville, Tennessee

Sex trafficking is so widespread, that “no giving the traffickers an “out” in being able to country, no race, no religion, no class and argue that the victim somehow cooperated or no child is immune. (Nathan Wilson, agreed to be trafficked.2 Founder, Project Meridian Foundation, as cited in Neubauer, 2011)1 When one contemplates the sheer volume of victims—from rural areas of Asia to bustling Introduction cities such as Brazil—it is astounding to realize we are considering the devastation of the Human trafficking is, sadly, a part of the fabric lives of millions of innocent women and chil- of the 21st century global community, but it dren (Corrigan, 2001; Parker, 2007).3 One must has different goals than those of sex traffick- recognize that America is a major importer of ing. One expert defines human trafficking as sex slaves, with conservative estimates fluc- “‘an opportunistic response’ to the tension tuating between 18,000 and 20,000 (Oppos- between the economic necessity to migrate . . . ing and Preventing, 2012). Of those, nearly and the politically motivated restrictions on 80% are women and half are minors (Parker, migration” (Chuang, 2006, pp. 137, 140). 2007). Cases of human trafficking have been reported in all 50 states in the United States To give an idea of how widespread sex traf- (Polaris Project, 2012). ficking is, understand that it is now more profitable for criminals to sell women for sex In the document Opposing and Preventing than it is to sell drugs. Drugs are disposable Global Sexual Trafficking (2012), posted by the and finite. Women can be resold over and over Salvation Army, and over again. These “commodities” are not as expendable as drugs. Over the last 10 years, the numbers of women and children [who] have been Sex trafficking is multifaceted but can be trafficked have multiplied so that they viewed from the basics of how the crime is are now on par with estimates of the defined. The definition of the severe form of numbers of Africans who were enslaved sex trafficking is defined as being “severe” if in the 16th and 17th centuries.4 force, fraud, or coercion is involved. The other definition is noted as not being “severe” if no Given the expansive growth of this industry such force, fraud, or coercion is present or if and how it is a fluid, ever-changing business, the victims cannot prove such (“Protocol to the ways in which this is able to occur must be Prevent,” 2000). This paper uses the two-tiered examined. definition’s portion that does not require a showing of force, fraud, or coercion because Analysis: The Use of the Internet that definition examines the exploitive nature and How It Facilitates Sex of this entire criminal activity. By distinguish- Trafficking ing between victims of this heinous industry who are able to show force, fraud, or coer- There are multiple ways in which “sexual cion and those who are not, we are essentially exploitation, such as prostitution, sex tours,

,AW %NFORCEMENT %XECUTIVE &ORUM s s bride trafficking, pornography, live sex shows There can be no discounting the power of and rape videos for sexual entertainment” are pornography online as the estimates are that encouraged and advertised (Hughes & Coali- Internet pornography is now believed to net tion Against Trafficking in Women [CATW], more than $12 billion a year (The Third Way 1988). There once was a time in the not too Culture Project, 2006). This is approximately distant past when individuals who wanted the equivalent of ABC, NBC, and CBS’s com- to have illegal sexual relations with a minor bined yearly revenue. or with a stranger had to get up, get dressed, leave their home, and travel to a specific loca- Individuals can stay seated in the comfort of tion. These predators would have to travel their home and “bid” on potential victims for domestically or internationally to fulfill their sex and even pay for them via the Internet perverted desires of molesting these victims. (“Teen Sold as Sex Slave,” 2010). This kind of Those days are long gone. Men who desire to transaction done in obscurity and anonymity have sexual relationships with children and has created an underworld that is fueling the unconsenting women can do so at the push sex trafficking industry. Men are able to hide of a button. Finding victims is as easy as turn- behind screen names and firewalls and make ing on a computer and searching online for identification much more difficult that when an unwilling individuals who are being used as officer could apprehend them on the streets. sex slaves. The Internet has created a boom- ing industry for sex slaves. Even though the Craigslist, which is used all over the country majority of sex slaves are women, boys are to sell anything from clothes to cars and every- targeted by predators as well. thing in between, has also been used in offering for sale the sexual services of women and One of the many avenues in which victims are children. It has been estimated that Craigslist’s taken advantage of and exploited is through profits in 2010 were $122 million with $436.3 the use of electronic media. Hughes and million from adult ads alone (Stone, 2010). the Coalition Against Trafficking in Women (CATW) (1988) have called the Internet “the Craigslist has been referred to as an “online most unregulated communications network in pimp” due to the extensive volume of sexual the world.” The Internet has increased in com- services offered on their site. The site officials mercial activity exponentially with the onset have responded to negative media attention of the commercial sex industry. Historically, on this issue by saying that they are policing pornography was available predominantly in their website and “looking for signs of exploi- “photographs, magazines and videos” (U.S. tation”; however, as of February 2010, there General Accounting Office [GAO], 2003). had been more than 3.5 million adult services Today, pornographic websites, online classi- ads posted by Craigslist the previous calendar fied services, and the Internet are large facilita- year (Kloer, 2010). tors of sex trafficking (Kloer, 2009). The profits made from offline pornography is estimated Craigslist insists they are changing their process to be approximately $8 billion in the United of screening ads, but it must be noted that even if States alone (Regan, 2002). Other estimates Craigslist had 100 employees whose sole job was show that figure to be even higher at $10 to to screen these ads, each of these 100 employees $14 billion a year (Geisler, 2009). An indica- would have to review approximately 1,000 ads tion of the vast amounts of money to be made a day (Kloer, 2010). That is the sheer volume of in the porn industry is a court case that pitted the quantity of ads posted on this site. a battle over the domain name www.sex.com. The ruling in this case found the domain name On May 19, 2010, an ad was printed in the to be valued at $65 million (Samson, 2003).5 San Francisco Chronicle as well as listed on the popular website Huffington Post. The ad was authored by two young girls who were “sold”

,AW %NFORCEMENT %XECUTIVE &ORUM s s repeatedly on Craigslist by the men who This technology has revolutionalized the way exploited them. The girls, one as young as 11, traffickers and pimps exploit their victims, were forced to have sex with strangers for “10 remain “hidden” from the public eye, avoid hours with 10 different men.” The pimp, of detection by authorities, and maximize profit- course, pocketed the money and forced these ability (Kloer, 2009). girls to do this over and over and over again. The ad is basically imploring Craigslist to take One such case of how pornography has moved down and discontinue the “Adult Services” from printed material to the World Wide Web section of Craigslist. The young ladies were arose in New Brunswick, Canada. Douglas being forced to post their own ads on Craigs- Stewart, 51, was apprehended for being in pos- list and respond personally to the calls gen- session of “millions of images of child sexual erated from their ad. They were transported abuse” (CBC News, 2011). The judge in the case from city to city and were in fear of beatings admitted that he needed time to access a proper or ice water baths.6 sentence in the case because there had never been such a large amount of child pornography Cook County Sheriff Thomas J. Dart took a in a single case with a single defendant. This stand against Craigslist and filed a federal defendant possessed almost six million images lawsuit against the online service for creating of children being abused or in sexual positions.8 a public nuisance via the “erotic services” sec- His stash of pornography “’completely over- tion of their page. The Sheriff called Craigslist whelmed’” law enforcement (The Royal Cana- “the single largest source of prostitution” in dian Mounted Police) who had to employ addi- the U.S. Sheriff Dart’s claim was based upon tional servers to accommodate the evidence.9 the volume of “human trafficking and juvenile prostitution arrests his vice officers” had In a similar case in Vancouver, the authorities made (Sheriff Thomas J. Dart, 2012).7 arrested Warren Allen for being in possession of pornographic images of children (Fraser, The Internet, as a conduit for sex trafficking, 2011). This man was a part of a global com- allows for cites like the Yellow Pages Online, munity of sexual predators who participate in mail-order bride sites, fraudulent employ- online trading of images involving children ment opportunities, as well as numerous being sexually abused. This global sharing of e-mail solicitations to be used as ways to trick, graphic images of children being abused and coerce, and entice unsuspecting victims into abased included children as young as 4 years the web that is sex trafficking (“The Internet old. To indicate the global reach of this prac- and Human Trafficking,” 2009). tice, law enforcement arrested 12 individuals in Canada, ten in the U.S., and three in Europe. Another form of exploitation via technology is Thankfully, 25 children were rescued. online photo sharing. This process allows for large-scale production and dissemination of There are numerous cases where men employ pornographic images of children, without the discretionary tactics in order to go undetected intrusive photo developer or postal worker while sharing these illegal images. One such uncovering the images (Kloer, 2009). Online way is peer-to-peer file sharing programs photo galleries allow for the sexual deviant (Man Arrested, 2011). These programs allow to choose victims to be sexually exploited users to upload and/or download files to from the comfort and privacy of his home. and from other users or groups of users. This This also allows for the traffickers to have is done in order to be surreptitious and to go an even greater amount of flexibility to be undetected as they work directly with each mobile, all while sharing their pornographic other’s files. These programs do not allow the images to their “clients.” These men are now content to be viewable to the general public, able to choose escorts, companions, or even and the content is not shared on a global, open wives, after viewing this online photo album. network (P2P & File-Sharing Software, 2012).

,AW %NFORCEMENT %XECUTIVE &ORUM s s The U.S. General Accounting Office (2003) ways that create a genuine fear for their lives. (hereinafter referred to as GAO) has done Traffickers take control of their victims by iso- research on how readily accessible porno- lation, confinement, and holding them cap- graphic images of children are on peer-to-peer tive. These perpetrators use and threaten to networks. GAO was able to determine when use violence against the victims and/or their using specific terms associated with child porn families. Many victims have been traumatized online that 42% of the results netted child porn to the point that they believe that the abuse is images, 34% was adult porn, and 24% was non- their fault and that they deserved it. Another pornographic.10 This same group also noted tactic by pimps is to make victims become that juveniles are at greater risk of being unin- dependent upon them. Some force drugs on tentionally exposed to pornographic images these woman and children thereby creating an if they use peer-to-peer networks. Predators addiction. Some victims in this process actu- have realized that if they embed these por- ally “bond” with the trafficker. These victims nographic images in links that include search are taught to distrust law enforcement and terms used by juveniles, these young people have been told that they will be deported if will “stumble” upon the images and land on they attempt to contact the authorities. Many these pornographic sites.11 Figure 1 contains a are not even aware that they have a right to classification of downloaded images as gath- go to the police and are duped into believing ered through the Customs CyberSmuggling that they owe exorbitant amounts for fabri- Center.12 cated debts (“Ways Traffickers Control Their Victims,” 2011).

&IGURE #LASSIFICATION OF )MAGES There are countless stories of victims being Downloaded Through Peer-to-Peer exploited for sexual purposes via the Internet. File-Sharing Programs One such story is of Katya,13 a foreign exchange student, who came to America with a friend to work as a waitress in Virginia Beach, Virginia. Once she and the friend arrived at Dulles Airport, they were greeted by two men (Alex Maksimenko and Michael Aronov) holding signs with their names on them. These men told the young ladies that they had been re- assigned to jobs in Detroit where they would work but also would have time to work on their English skills. They then were given bus tickets to Detroit and had no reason to suspect any illicit motives. When they arrived in With the advent of social media sites such as Detroit, their identification was confiscated, MySpace and Facebook, young people are and they were given “stripping” clothes and bombarded with “friend” requests from indi- told that they would have to dance for men in viduals who could potentially be hundreds of a nightclub for 12-hour days. As is employed thousands of miles away. These people, who in many trafficking cases, the victims are told are strangers, could have nefarious motives. that they owe the traffickers an exorbitant amount of money for varying fees. These Real Stories of Sex Trafficking Victims fees are often five to six times more than the actual travel expenses. These women were The general public may wonder how and severely beaten and sexually abused by their why these victims are able to be sold and traf- captors. They, and other women and children ficked. These women and children are vic- caught up in this sex trafficking industry, timized, brutalized, and treated in inhumane are intimidated through the use of physical

,AW %NFORCEMENT %XECUTIVE &ORUM s s violence, mental torture, as well as food and are “essentially host sites for sex traffickers.” sleep deprivation. Katya and her friend were When an NGO brought this website’s actions fortunate enough to confide in a trustworthy and activities to the government’s attention, customer who, after months of planning, was no action was taken against the site, and able to help the ladies escape from captivity. it still is in operation up to the date of this Maksimenko and Aronov were charged, con- publication.19 victed, and sentenced to time in federal prison for these offenses (Kahng, 2007). An obvious example of this Internet site being used as a means for sex trafficking was As disturbing as this may seem, there is a web- a posting that was shown last year in which site, www.slavefarm.com, that openly adver- there was an offer to sell women who were tises for sale women who appear to have been from Thailand and Ghana to men in Sweden, beaten, abused, and tortured who are photo- Norway, Denmark, Italy, France, Germany, graphed bound, chained, and tied.14 This site the Netherlands, and the U.S.20 These poor openly claims to be “the world’s largest ama- and desperate women were being sold at a set teur BDSM site since 1998.” Beneath a photo- rate and were described as “willing to become graph of a woman, hands tied behind her back, a ‘perverted man’s slave, toy and house- lying on her stomach, with her anus appearing keeper.’”21 After the preference particulars to be bruised and bleeding, is a caption that were worked out, the buyer would be sent says, “securely cuffed, hogtied and waiting pictures of the slave and she would then be for her punishment. This new slave is learning signed to a contractual slave agreement. The fast.” The photos are horrendous and brutal. seller agreed to ensure that all entry docu- They do not appear to be fabricated or staged. ments for the slave would be provided as to Another caption beneath a photograph of a her entry to the destination country. naked lady with her nipples pierced by a chain that is attached, has a whip draped around her One member, in response to an ad that stated, neck and has tape on her mouth as well as “I am very much interested in being auctioned her eyes covered reads, “Can’t see, can’t talk off and am open to location,” gave a warning . . . just waiting for pain and lust.”15 Other cap- to all those viewing the post: tions read, “our favorite slave Cathy tied hard and tormented,” “beautiful slave babe tied in Bear in mind that slavery is illegal in the pillory,” “pet girl with rubber hood forced North America, and most parts of the to drink like a dog,” and “blonde bitch gagged world, so a slave auction would not and hanging by her feet” (Franzblau, 2007). result in any legally enforceable owner- One photograph shows a naked woman lying ship. While this is a relatively common on a table on her stomach, her arms are tied fantasy, the reality differs a great deal. to the legs at one side of the table and her legs In my limited experience actual slave are tied right below the knees to the other two auctions can be split into two drasti- legs on the table.16 A member on the site leaves cally different categories. First there a post that reads, “Man does that look like fun. are auctions held within a community I would whip that ass til is (sic) was red and where the buyers and “merchandise” then fuck that right in the ass. Love her tied are all well known. These tend to be of down like that.”17 relatively short duration and clearly defined terms for how the slave can be In addition to having access to graphic, vio- used. Since communities engaging in lent, and brutal pornography, membership this form of “play,” because it is play, has its “privileges.” Members have the abil- tend to police themselves these seem to ity to use the site to participate in auctions be generally positive experiences for all and rentals of victims, mainly women.18 The involved. People who are not suitable author notes that these sections of the website and trusted are not likely to be invited

44 ,AW %NFORCEMENT %XECUTIVE &ORUM s s to participate in an event like this. The The World Wide Web is just that: WORLD other sort of slave auction is associated WIDE. A person could be in Tokyo, Japan, with human trafficking. Nobody in their writing another individual in Houston, Texas, right mind would want to be subjected and their communications are instantaneous. to this sort of sale. To these buyers kink No delay in call and response. This ability or fetish is irrelevant; the return on to communicate to individuals all over the investment is the only thing that mat- world at such a fast pace and with virtual ease ters. The property might be put to work has allowed websites like www.Dexterhorn. in a brothel but just as likely put to work com to flourish and grow.25 This is a website making counterfeit Nikes or harvesting that, in no uncertain terms, promotes sex in crops. If you disobey these people you’re Asia with underage individuals and has the not going to be spanked or caned, but banner of “Where to Find Sex and Adventure rather beaten within an inch of your life WORLDWIDE.”26 or killed. There is nothing wrong with having this fantasy but you should be In order to access the information regarding EXTREMELY careful about making it the “naked photo galleries,” reading books real. Think really hard about what you online and video clips of “Hot Latina” and are trying to accomplish and make sure “Hot Asian” chicks, one would have to sign you have considered all of potential con- up to become a member and pay $7.95 per sequences, not just the fun ones.22 month.27 The site sells pornographic videos as well as offers some pornographic videos for The person who posted this is well aware of free in an effort to promote the sex tourism the fact that trafficking in humans is illegal and business. is not advising potential buyers to not pursue the course of action but, rather, to “consider Some of the videos that are for sale on the site all potential consequences.” Many of these include Thai Teens in Heat, Vol. 1, Thai Teens in members appear to see this all as a “fantasy” Heat, Vol. 2, Thai Teens in Heat, Vol. 3, Thai Teens life and as a sort of parallel universe. But this in Heat, Vol. 4, as well as Thai Teens in Heat, is very real to these women who are being Vol. 5. The store also sells How to Get Laid in dehumanized, humiliated, and tortured for Thailand, Oriental Baby Dolls, and Sex Odyssey anyone with a computer to see. in Thailand (Franzblau, 2007).

This website is in violation of numerous laws, The site sells books and includes titles such including the federal mandate known as the as A Gentleman’s Guide: The Erotic Women of Mann Act, the Trafficking Victims Protection Southeast Asia. The book encourages men with Act, as well as “most states’ laws concern- low self-esteem to not be discouraged by their ing conspiracy, facilitation, promoting pros- looks by saying, titution, rape, assault, battery, and unlawful imprisonment.”23 This website is clearly Southeast Asia: there’s more pussy being used as a vehicle for those intending out there than you ever dreamed pos- to traffick in humans and promote the crime sible. Best of all, it’s readily available of prostitution. This information proliferated to anyone. If you don’t believe me ask on this website should no more be considered my old friend, “Wheelchair Tom,” as free speech than a man walking down the we called him. He was the ugliest 55 street offering his sister up for sale to be used year old son-of-a-bitch I’ve ever known. in pornography or as a prostitute.24 The gov- If that guy could score three underage ernment’s response to this website has been girls a day, without even blinking, I have abysmal. a feeling you’ll do just fine. (as quoted in Franzblau, 2007, pp. 2-3)

,AW %NFORCEMENT %XECUTIVE &ORUM s s This website not only promotes sex tour- used to facilitate harmful and devastating ism but encourages travelers to videotape pain in the lives of many. The Internet has their sexual encounters with the children allowed our world to become a global village and women with whom they will be having where borders are no longer limiting where sex (Franzblau, 2007).28 The books note that individuals may travel. This can be a positive; the traveler is free to have any photographs but in the context of sex trafficking, this is a developed in Thailand and mailed back to the negative. U.S. but ONLY if the victim is over 18 years of age. The site offers materials that speak of not The Internet is currently being used to facili- only renting the victims but of buying them tate sex trafficking via websites that advertise as well. One of the many factors that contrib- women and children for sex, websites that ute to the proliferation of sex trafficking is the host auctions for people for rental and sale, lack of financial and educational opportuni- and websites that advertise and promote sex ties offered to so many poor people in this tourism as well as pornography. The Internet world. Traffickers take advantage of that fact is an avenue that traffickers, pimps, and johns and capitalize on their victims’ vulnerabili- have figured out can promote their business to ties. The books speak of that fact by signifying levels never seen prior to the Internet’s wide to the traveler that they are free to negotiate expansion and use. with the families of these young people as their desperation may get the traveler a good Traffickers have created a fantasy world for the deal. The Internet is currently being used to demand that is evident for these victims. They promote and facilitate “johns” travelling to feed into the basest desires of johns, supply- foreign countries to have sex with children ing these predators with women and children and being offered opportunities to buy them who are helpless to defend themselves. This from parents. Many times, these families are fantasy world is all too real for these victims in desperate straits, impoverished, or have as the laws and the governing authorities have been tricked or coerced into selling their chil- yet to adequately respond to this situation. dren. The Internet is being used to allow this to happen seamlessly and with little to no Trafficking includes a link in the chain of effort on the part of the buyer. components that allow the industry to operate. The hidden link in the chain that must Conclusion be addressed is the demand link (George, in press). We must tackle the demand issue in Likewise, for those of us who are in posi- order to make a dent in the problem. tion to do something to combat human slavery, however small our contribu- The CATW offered some laudable goals in tion, neutrality is a sin. (Inspector Gen- its recommendation to the United Nations eral Joseph E. Schmitz, Department of Working Group on Contemporary Forms of Defense, 2011) Slavery:

The Internet has the power to allow people [It is recommended] that governments, to communicate in ways once never imag- as a matter of priority, review, amend, ined. The amount of information accessible to and enforce existing laws, to prevent people just by way of their fingers is amazing. the misuse of the internet for trafficking, We can talk to one another, see one another, prostitution, and the sexual exploitation and exchange ideas with one another from of women and children; that govern- hundreds of thousands of miles apart. This ments and nongovernmental organiza- incredible way of communicating with one tions undertake further investigation of another has the potential for good and the the misuse of the internet for the pur- potential for evil. This same Internet can be pose of promoting and/or carrying out

46 ,AW %NFORCEMENT %XECUTIVE &ORUM s s trafficking, prostitution, and the sexual fraud, or coercion but nevertheless that is how exploitation of women and children; she was tricked into this industry. urges governments to act more force- 3 Parker (2007) references the movies Sold and fully to eliminate the trafficking in per- Trade, which both chronicle the stories of vic- sons, the exploitation of the prostitution tims of the sex trade and how their lives have of others, and sexual exploitation on the been impacted. internet; urges governments, in coopera- 4 Quoting Dr. Laura Lederer, a senior state depart- tion with interested nongovernmental ment advisor on trafficking. She has studied organizations, to develop educational sexual trafficking for 20 years at Harvard programs and policies and laws address- University. ing the use of the internet by prostitution 5 The District Court further awarded plaintiffs customers for the purpose of engaging $40 million compensatory and $25 million in in sexual exploitation; recommends that punitive damages against Defendant Cohen. governments investigate and use as evi- 6 See www.stopenslavement.org/archives/stop- dence of crimes and acts of discrimina- traff806.pdf (as quoted from Saada Saar [2010]). tion advertising, correspondence, and 7 Quoting from the article: “Sheriff Dart demanded other communications over the internet [Craigslist] either better monitor [the] postings to promote sex trafficking, prostitution, or remove the category altogether. Just two and sex tourism . . . calls for new levels months later, amid growing national pressure, of cooperation among governments and Craigslist’s administrators relented and made national and regional law enforcement the very changes Dart demanded. Continu- bodies in order to combat the escalating ing that fight, Dart established a first-of-its- trafficking and prostitution of women kind prostitution intervention team, which has and children, the globalization of this drawn nationwide interest. Made up of former industry, and the misuse of the internet prostitutes and licensed supervisors, sheriff’s to promote and carry out acts of sex traf- staffers accompany vice officers on prostitution ficking, sex tourism, sexual violence, and stings and perform on-site intervention after sexual exploitation. (Hughes & CATW, an arrest, encouraging women to immediately 1998) go to a recovery house and proceed with life- changing choices. The World Wide Web is being used in such a 8 Stewart had been collecting pornographic way that many victims are being caught in its images since the 1980s and had in his possession web of violence, sexual deviation, and fetishes. 4.7 million pornographic images and 1.2 million We, as a global community, must rise to the depictions of children nude or in bathtubs. challenge and seek to find ways to punish the 9 It took approximately 700 hours to categorize perpetrators and free the victims from this life the images. of slavery. 10 Of the 1,286 titles, 543 were child porn, which equaled 42%. In another search (using three Endnotes specific words), the analyst downloaded 341 images, 44% of which were pornographic 1 Nathan Wilson is the founder of the Project images of children. Meridian Foundation in Arlington, Virginia, 11 These “search terms” included names of car- which helps police identify traffickers and their toon characters and celebrities. victims. 12 The GAO noted that because pornographic 2 We are in essence providing a ready-made images of children cannot be accessed legally defense for these perpetrators who will argue by people or institutions outside of law enforce- that a victim was not forced or induced via ment for legal purposes, GAO worked with the fraud or coercion and as such she understood Customs CyberSmuggling Center to perform and/or agreed to be trafficked. There are cases the requisite searches. Customs “downloaded where a victim may not be able to prove force,

,AW %NFORCEMENT %XECUTIVE &ORUM s s and analyzed the files; GAO performed analy- photos and XXX rated home videos. When you ses based on keywords and file names only.” see yourself on TV doing it with 2 or 3 young 13 Katya is not her actual name. Her identity is girls at the same time, well-hey! You’re a star! being concealed for her protection and privacy. Yeah you’re fat, toothless and stupid, but sure, 14 See www.slavefarm.com. Please note that this you’re a star.’” site is very graphic and disturbing (last visited November 9, 2011). 15 References Id. 16 See www.slavefarm.com. Please note that this CBC News. (2011, August 19). Sentenc- site is very graphic and disturbing (last visited ing adjourned in record child porn case. November 9, 2011). Retrieved February 14, 2012, from www. 17 Id. Member’s identity is not revealed. cbc.ca/news/canada/new-brunswick/ 18 Id. The site is being used as a vehicle to sell, pur- story/2011/08/19/nb-moncton-child-porn- chase, and rent human beings. sentencing.html. 19 Id. Equality Now went to the FBI and to the Department of Justice with “auctions” that Chuang, J. (2006). Beyond a snapshot: Prevent- were being held on www.slavefarm.com, and ing human trafficking in the global economy. the governmental agencies indicated that if the Indiana Journal of Global Legal Studies, 13(1), women were not participating against their 137-163. will, then they would not launch an investigation into the matter. I last visited the site on Corrigan, K. (2001). Putting the brakes on the November 11, 2011. global trafficking of women for the sex trade: 20 Id. An analysis of existing regulatory schemes 21 Id. The seller was required to give an e-mail to stop the flow of traffic. Fordham Interna- address, state whether he wanted a woman tional Law Journal, 25, 151-214. from Ghana or Thailand, her age, and what kind of sex she would be performing for him. Franzblau, K. (2007). Slavefarm, sex tours 22 Id. and the pimp John T: Using pornography to 23 Id. advance trafficking, sex tourism, and pros- 24 There really is no difference in these. titution. In D. E. Guinn & J. DiCaro (Eds.), 25 This site is based out of California; http:// Pornography: Driving the demand in interna- dexterhorn.com (last visited November 11, tional sex trafficking. Los Angeles: Captive 2011). Daughters Media. 26 Id. The opening page of the website shows approximately 11 Asian girls all naked, some Fraser, K. (2011, July 21). Vancouver man in sexually suggestive poses with one another. caught in global child porn ring released on The females appear to be very young, but the bail. The Province. Retrieved November 9, website has a disclaimer at the bottom of the 2011, from www.theprovince.com/news/Va web page that reads, “All images contained on ncouver+caught+global+child+porn+ring+r the website of a sexual nature are of persons 18 eleased+bail/5140888/story.html. years of age or older.” 27 Id. The site offers differing plans at differing Geisler, E. (2009). Pornography: A mirror of prices. The basic “Silver Plan” costs $7.95 per American culture? ShelfLife@Texas website. month with some limited access to certain fea- Retrieved March 19, 2012, from www.utexas. tures. It costs $35.69 for 180 days for the “Gold edu/opa/blogs/shelflife/2009/02/11/ Plan,” which allows greater access, or $59.69 for pornography-a-mirror-of-american-culture. a year with full access to the site’s features. 28 Id. At p. 268. The book encourages the traveler George, C. (in press). Jailing the johns: The by saying, “’there’s nothing more exciting than issue of demand in human sex trafficking, making your own private collection of nudity

48 ,AW %NFORCEMENT %XECUTIVE &ORUM s s Florida Coastal Law Review. (Forthcoming washingtontimes.com/news/2011apr/23/ Spring 2012). sex-trafficking-us-called-epidemic/?page=all.

Hughes, D. M., & Coalition Against Traffick- Opposing and preventing global sexual trafficking in Women (CATW). (1988, May). Misuse of ing. (2012). The Salvation Army website. the Internet for the purpose of sexual exploitation Retrieved February 9, 2012, from www1. (Resolution drafted by Hughes submitted by salvationarmy.org/ihq/www_sa.nsf/vw- CATW to the United Nations Working Group dynamic arrays/B5DD72A243A1150B80256 on Contemporary Forms of Slavery, Geneva E49006C621E?openDocument. Switzerland). Retrieved February 9, 2012, from www.uri.edu/artsci/wms/hughes/ppr. P2P & file-sharing software. (2012). Retrieved htm. February 14, 2012, from http://download. cnet.com/windows/p2p-file-sharing- The Internet and human trafficking. (2009, software. January). Anti-Human Trafficking Newsletter, 7(1). Retrieved February 9, 2012, from http:// Parker, K. (2007, September 28). Slavery by homepage.mac.com/srjeanschafersds/stop- any other name. Real Clear Politics website. traffic/archives/stoptraff701.pdf. Retrieved February 9, 2012, from www. realclearpolitics.com/articles/2007/09/ Kahng, G. (2007, December 3). Sex slaves, slavery_by_another_name.html. human trafficking . . . in America? Today People website. Retrieved February 14, Polaris Project. (2012). Human trafficking cheat 2012, from http://today.msnbc.msn.com/ sheet. Retrieved February 9, 2012, from www. id/22083762/ns/today-today_people/t/ polarisproject.org/resources/resources-by- sex-slaves-human-trafficking-america. topic/human-trafficking.

Kloer, A. (2009). The internet’s role in human traf- Protocol to prevent, suppress and punish trafficking. Abolish-Liberate-Emancipate NOW ficking in persons, especially women and website. Retrieved February 9, 2012, from children, supplementing the United Nations http://mgjack.wordpress.com/2009/09/23/ Convention Against Transnational Organized the-internets-role-in-human-trafficking. Crime, Annex II. (2000, December 12). General Assembly Resolution 55/25, UN Doc A/55/383. Kloer, A. (2010, February 27). Boycott online pimp Craigslist; use Kijiji instead. Change.org Regan, K. (2002, January 31). Online porn website. Retrieved February 9, 2012, from profits still lurk in shadows. E-Commerce http://humantrafficking.change.org/blog/ Times. Retrieved February 9, 2012, from view/boycott_online_pimp_craigslist_use_ www.ecommercetimes.com/story/16088. kijiji_instead. html?wlc=1288315323.

Man arrested for sharing child porn. (2011, Saada Saar, M. (2010, May 19). Craig, please November 2). WTHITV.com website. Retrieved listen to us. The Huffington Press. Retrieved February 14, 2012, from www.wthitv.com/ February 9, 2012, from www.huffingtonpost. dpp/news/crime/man-arrested-for-sharing- com/malika-saasa-saar/craig-please-listen- child-porn. to-us_b_582237.html.

Neubauer, C. (2011, April 23). Sex trafficking Samson, M. (2003). Gary Kremen, et al. v. Stephen in the U.S. called “epidemic”: No class and Michael Cohen, et al. Internet Library of Law and no child is immune. The Washington Times. Court Decisions website. Retrieved March 19, Retrieved February 9, 2012, from www. 2012, from www.internetlibrary.com/cases/ lib_case326.cfm.

,AW %NFORCEMENT %XECUTIVE &ORUM s s Schmitz, J. E. (2011). Initiative against sexual trafficking. Notable Quotes website. Retrieved February 14, 2012, from www.iast.net/Notable Quotes.htm.

Sheriff Thomas J. Dart. (2012). Cook Country Sheriff Thomas J. Dart website. Retrieved February 9, 2012, from http://news.change. org/stories/the-internets-role-in-human- trafficking.

Stone, B. (2010, April 29). More on Craigslist and its adult ads. New York Times (Bits section). Retrieved March 19, 2012, from http:// bits.blogs.nytimes.com/2010/04/29/more- on-craigslist-and-its-adult-services-ads.

Teen sold as sex slave on Craigslist: Experts say 100,000 in the U.S. are sold for sex every day. (2010, May 11). KTLA News. Retrieved March 19, 2012, from www.ktla.com/news/ extras/ktla-sex-slaves-sweeps,0,3561067.story.

The Third Way Culture Project. (2006, January). Taking on the Internet porn industry: Fighting on the side of families with children. Retrieved February 9, 2012, from http://content.thirdway.org/publications/19/Third_ Way_Memo_-_Taking_On_The_Internet_ Porn_Industry_Fighting_On_The_Side_of_ Families_With_Children.pdf.

U.S. General Accounting Office (GAO), Com- mittee on Government Reform, House of Representatives. (2003, March 13). Child pornography is readily accessible over peer-to-peer networks. Retrieved February 9, 2012, from www.gao.gov/new.items/d03537t.pdf.

Ways traffickers control their victims. (2011, January). Anti-Human Trafficking Newslet- ter, 9(1). Retrieved February 14, 2012, from www.stopenslavement.org/archives/ stoptraff901.pdf.

,AW %NFORCEMENT %XECUTIVE &ORUM s s The Third Wave: Human Trafficking in the Western Balkans

Bojan Dobovšek, PhD, Associate Professor and Vice-Dean of the Faculty of Criminal Justice and Security Studies, University of Maribor, Slovenia

Introduction which are changing the foundations of the modern world as we are entering an era alter- In “new democracies,” we have been facing nately referred to as the “information,” “digi- a so-called “Third Wave” (Huntington, 1991) tal,” “postindustrial,” “post-modern,” “hyper- of democratization since 1974, encompassing modern,” “hyper-technological,” and “cyber” the states of Southern Europe, Southeast Asia, age; (5) a critical and skeptical approach in the Latin America, and Eastern Europe, and it field of social studies, which has undermined brings movements of people to the European the authority of (social) studies and puts the Union (EU), most of them through human traf- emphasis on the relativity and limits of its (cog- ficking. Post-modern society is characterized nitive) potentials in search of the truth about by unpredictable and explicitly contradictory man; (6) the appearance of critical post-mod- economic, political, and social developments ern approaches in philosophy which stress the (Dobovšek, Sotlar, & Flander, 2009). Capitalist position that ratio should not be defined only society today is characterized by the following: as the central progressive force of historical (1) economic and political globalization, which development but also as the means and a tool is becoming increasingly similar to economic that has been used throughout history in differ- and cultural imperialism. Among other things, ent, more or less subtle ways, by protagonists of it aggravates the polarization between the so- different ideological and political backgrounds called developed and undeveloped world; to dominate and to preserve the achieved social widens the gap between different cultures and position (such trends have undermined the civilizations; encourages religious fundamen- foundations of modern enlightenment’s “big talism and (consequently) terrorism; increases story” about the exclusive role of science and poverty (in the developed and undeveloped rationalism in the emancipation of mankind); world), neglect, and exclusion of vulnerable (7) transformation of social values and life- social groups (such as minorities, youth, the styles, which has led to experimenting with life elderly, etc.); and diminishes the possibility of practices and their increasingly flexible, plural, individual countries working out a strategy of and atomistic nature. It has also strengthened their own economic and general development ideological, religious, and moral traditional- and, thus, facing their own problems; (2) a neo- ism; (8) a number of dramatic discoveries in liberal capitalist economy, which is forcing its astronomy, physics, genetics, and medicine, functional, market, and profit logic upon dif- which have sharpened the contrast between ferent areas of social relations (including those largely liberal ideas about the world and man where it has nothing to offer); (3) political and on the one hand, and more or less dogmatic economic integration efforts, in particular in (conservative) ideas on the other; and, last but European regions, which appeal to common not least, (9) the appearance of new, complex goals and values, multi-ethnic cooperation, forms of extremely intensive and far-reach- coexistence, tolerance, etc., yet at the same time ing threats to individual and collective secu- bring about a worrying increase in isolation- rity. These all lead to a massive movement of ism, xenophobia, populism, and ideological migrants, some of them in the form of human and political (neo)conservatism; (4) digitali- trafficking, where organized crime uses oppor- zation and informatisation of social processes tunity to earn money.

,AW %NFORCEMENT %XECUTIVE &ORUM s s In the fundamental view, human trafficking basic data and comparative review of the state refers to the recruitment, sale, or transfer of of human trafficking in the Balkan region). vulnerable individuals or groups between countries with the purpose of exploiting indi- However, there is a worldwide shortage of proper viduals through prostitution, forced labour, information on trafficking, usually due to slavery, or the transfer of organs for profit. Victims may be constrained through pay- s THE UNDERGROUND AND ILLEGAL NATURE OF ment, physical force, deception, and/or fraud trafficking. (Čurin, 2006, p. 11). Here, some caution must s THE LACK OF ANTI TRAFFICKING LEGISLATION IN be advised as trafficking with people as a many countries. form of transnational crime is often confused s THE RELUCTANCE OF VICTIMS TO REPORT THEIR with people smuggling. Even though there experiences to the authorities. can be clear connections (both done by the s the lack of government priority given to data same organised group per se), to distinguish collection and research. (International Orga- them is also important as trafficking can be nization for Migration [IOM], 2011, p. 1) done within the same countries1 (Nikolič- Ristanovič, 2011b, p. 72). However, we can still Yet lately, there were some noteworthy excep- say that human trafficking is a highly com- tions in regard of empirical studies. Works of plex phenomenon that in the majority of cases Englund et al. (2008) or Jokinen, Ollus, and is going on in multiple countries (as seen in Aromaa (2011) for the Baltic region and Nikolić- Figure 1 below) and that is why cooperation Ristanović (2011a) for the Balkan region empir- between different countries is needed. Inter- ically corroborate presumptions that accom- national cooperation must include investiga- pany human trafficking and also investigate tors (Dobovšek & Kranjc, 2006, p. 53), NGOs, the means and methods of traffickers (e.g., the and all institutions that deal with this subject. usage of travel agencies, role of violence, other means of tying the victims to themselves, etc.).

&IGURE 4HE 4RAFFICKING 0ROCESS IN 6IEWS The impact of human trafficking acts upon of IOM the dynamics of supply and demand which are manifested in different combinations of push (e.g., economic problems, political insta- bility, conflicts, violence against women) and pull (e.g., employment opportunities, including sex industry, myths about Western countries, presence of military and international organisation and businesses) factors (Nikolič- Ristanović, 2011b, p. 80)

Source: International Organization for Migration (2009) Discovering the criminal act of human trafficking is very hard because the perpetrators Because of its specifics and extent, a more are extraordinarily well-organized interna- detailed view on human trafficking can only tionally. They all have very precise roles, from be done through a specific prism (either law— those who recruit victims, those who transport researching the legal foundation for prosecution them, and in the end, to those who execute of human trafficking; victimisation—research- restraint. It is a closed circle of people, which ing the psycho-social effects on victims, NGO makes the work harder for the investigators. networks, etc.; criminological; penological; psychological; and so on). The following uses Capacity-building projects within the judicial primarily criminological notations (providing system are as much a part of the process of dealing with organised crime as legislation (Dobovšek,

,AW %NFORCEMENT %XECUTIVE &ORUM s s Žibert, & Pirnat, 2008). Participating informants and the presence of a good deal of peacekeeping and undercover policing operations remain foreigners, meaning high demand) (Friman & a critical component in combating organised Reich, 2007; Maljević, 2011; Nikolič-Ristanović, crime. International assistance and conditional- 2011b). There is a severe gap between numbers ity must be coordinated to avoid overburdening of international agencies or NGO numbers (here local administrations. “Required” standards for numbers go in hundreds of thousands) (Friman the police and judiciary in cases of human traf- & Reich, 2007), however, and the number of ficking, at least for Europe, are now more clearly official statistics as we shall see in the following demanded as of January 7, 2010, because of the subchapters. On the other hand, several stud- European Court of Human Rights’ judgment in ies confirmed the usual beliefs that accompany the case of Rantsev v. Cyprus and Russia (2010, human trafficking and those characteristics are Application No. 25965/04), in which Cyprus seen as distinctive worldwide. For instance, and Russia were found guilty of improper man- low-level Western Balkan traffickers are often aging of proceedings and investigation of a case not well-educated and are unemployed without of human trade. a criminal record, reflecting the attractiveness of “organised crime” as a labour market (Nikolić- What matters most in combating human traf- Ristanović, 2011a). ficking is accurate, precise, and punctual information and cooperation. But, can we say that Regarding human trafficking in the Western human trafficking is increasing and that there Balkans, we can freely say that there are two are differences between the East and West? We main modus operandi systems (Dobovšek, can answer that question with comparisons of 2006), which track the length of the journey accessible and reliable data, but even so, we (geographical distance from the country of cannot give reliable answers. Here, countries destination), conditions for entry into tar- of the Western Balkans are no different as they geted countries (i.e., transit country), money often have problems such as the lack of ade- invested, and law violations. The first modus quately protected property rights, the lack of operandi typically consists of one or more indi- local employment opportunities, and the fra- viduals (groups of three to five persons).2 In gility of states. many cases, the operandi are not organized in advance and decisions can be made ad hoc. Human Trafficking in the Western The level of sophistication necessary for an Balkans operation may depend on the distance from the targeted country; therefore, it is possible Human trafficking is a form and activity of to successfully finish the journey without organized crime, which accumulates big earn- any special help and/or high levels of orga- ings for the traffickers. Western Balkan states nization. Most often, nationals of Serbia and are not in any way different. Slovenia and Montenegro, Macedonia, Romania, Moldavia, other countries in the region are countries of and Albania decide on the type of migration. origin, transport countries, and countries of Breaking the law on these occasions is rare final destination. or may lead to a misdemeanour, and human trafficking is typically arranged using public The Western Balkans, with its chaotic past, has transport, with the help of local inhabitants. all of the previously mentioned push factors and even some pull factors (Maljević, 2011; Nikolič- The second modus operandi involves advanced Ristanović, 2011b). All this has caused a severe planning and organized efforts, involving a flow of persons in search of a better life out of the large group (10 or more persons), a complex region. Balkan countries are also a destination journey that may include local assistance and because of the chaotic conditions (i.e., lack of funds allocated for transportation. The second rule of law and nonworking repressive insti- modus operandi will typically be organized tutions, meaning less chance of apprehension, through the centre and operated by specialized

,AW %NFORCEMENT %XECUTIVE &ORUM s s criminal organizations. It is especially a prob- In 2003, a governmental Interdepartmental lem in distant countries such as Iran, Iraq, Working Group for Curbing Human Traffick- Pakistan, Bangladesh, China, Turkey, and the ing was established (Government of Repub- African nations. New forms of modus operandi lic of Slovenia, 2010), yet the majority of the have become an issue in tourist countries which problems remained as the government is still are open to foreign investments (Dobovšek, reluctant to cooperate with nongovernment 2006). Englund et al. (2008) in their empirical and international organisations. The police study of human trafficking in Sweden, Finland, are also not educated enough in the field of and Estonia have confirmed the involvement human trafficking. This phenomenon is often of travel agencies. It is safe to assume that this mixed with illegal migration and prostitu- involvement of travel agencies in human traf- tion, through which phases of human trafficking extends far beyond the Baltic region. ficking are actually hidden. For the abolition of these shortcomings, a qualifying program For more corroboration on the state of human for criminal investigators and regular police trafficking, we gathered some official data officers was formed (Peršolja, 2006, p. 51). regarding the extent and basic forms of human Another issues is that the general population trafficking in four selected countries. The data has a high tolerance for violence that pre- were mainly from police statistics and NGOs sumes the stereotypical image of “morally and were acquired from web pages of either the disputable women from the East” that enter National Coordinator for Curbing Human Traf- this kind of trade willingly. This kind of ste- ficking or web pages of the Ministries of Inter- reotypical understanding prevents them from nal Affairs. Commendation goes to the fact that seeing the real situation, which is that citizens data for several years can be accessed through of Slovenia are also involved in this trade. The one website for the whole country. However, it is result of this is weaker networks of help. only available in the native language (except for Slovenia’s) and so makes international research In 2007, there was an increase in a new form more difficult for those who are not fluent in the of exploitation—a so-called forced begging regional language. These basic data were chosen (Report on the Work of Slovenian Intergovern- for easier and more valid comparison as, for mental Working Group on the Fight Against Traf- example, when examining court statistics and ficking in Human Beings for 2007, 2007)—where such, more distinctions must be considered. minorities or women and children are forced to beg on the street, giving all money received to organised groups. Slovenia and Human Trafficking Because of its geostrategic position, in most Although we do have a proper legislative human trafficking cases, Slovenia is a tran- foundation,3 we lack preventive programs sitional European country; however, it does and activities to combat organised crime or appear as a country of origin and a country of human trafficking; thus, preventive activity final destination as seen from annual reports against human trafficking is left to individual of the Slovenian Interdepartmental Working efforts of state or nongovernment and inter- Group for the Fight Against Trafficking in government organisations (Peršolja, 2006, Persons (Government of Republic of Slovenia, p. 51). On top of that, there is a lack of coop- 2010) (see Table 1). As a final destination, eration between NGOs4 and government ser- Slovenia is especially connected to the sexual vices that are obliged to take measures in these exploitation of women. In Slovenia, reports cases (Leskošek, 2006, p. 135). The absence of on criminal acts linked with prostitution are research in this area is also one of the prob- very rare and require police initiative to bring lems in Slovenia. There are no real experts in offenders to justice. Because this kind of activ- this field (Dobovšek et al., 2008, p. 653). The ity is normally linked with organised crime, it same goes for the work of the NGOs. is even harder to uncover it.

,AW %NFORCEMENT %XECUTIVE &ORUM s s 4ABLE 0OLICE AND .'/ 3TATISTICS ON (UMAN 4RAFFICKING IN 3LOVENIA Year No. of 2002 2003 2004** 2005 2006*** 2007 2008 2009 2010 Intervention in offences 21 14 2 prostitution suspects 25 25 3 victims 13 13 6 Procurement offences 3 3 suspects 1 1 victims 5(-5) Bringing into slavery offences 10 4 2 4 2 7 3 1 relationship suspects 30 8 1 6 6 5 victims 15 15 5 2 5 6 Exploitation through offences 6 14 22 (8) 4 5 29 18 prostitution5 ***** suspects 6 13 65 7 7 12 16 victims 13(-6) 8 28 3 40 25 17 Human trafficking***** offences 1 5 6 (1) 5 10 2 3 suspects 1 6 11 2 24 1 5 victims 1 8 16 1 22 3 10 Offered help**** 87 14 16 40 93* 68* 27* * Includes safe houses + PATS counselling6 plus other form of help. **There were a total of 25 injured parties, but only 19 of those were identified as victims of trafficking. There were also six citizens of Slovenia, victims of abuse of prostitution, and there weren’t any characteristics of trafficking. Among the foreigners, there were the same people—five victims under two different articles—which means that there were only five actual persons victimised. *** Number in brackets represent the number of cases in connection with organised crime. **** Help offered by NGO “Key” and Karitas. Numbers vary as the Karitas wasn’t active the whole period. Numbers also include those victims who were cited in police statistics, and sometimes both NGOs handled the same case. This is not reflected in this table! ***** Modified articles under new Criminal Code. Data gathered from annual reports of Interdepartmental Working Group for Curbing Human Trafficking of Government of Republic of Slovenia. All data are accessible on web pages of the Government of Republic of Slovenia (2010).

agricultural farms (Republic of Croatia Ministry Human Trafficking in Croatia of the Interior, 2011). (For some statistics regard- Croatia is a destination, source, and tran- ing human trafficking in Croatia, see Table 2.) sit country for men, women, and children subjected to conditions of sex trafficking Croatia has ratified and published the UN and forced labour. Croatian women and Protocol to Prevent, Suppress, and Punish girls fall victim to sex trafficking within the Trafficking in Persons, Especially Women and country, and women and girls from Serbia, Children and the Protocol Against Transpor- Bosnia and Herzegovina, and other parts of tation of Migrants Through Land, Sea, and Eastern Europe are subjected to sex traffick- Air (Kregar & Turković, 2006, p. 52). If one ing in Croatia. Some Croatian women and commits the act of human trafficking, the girls are subjected to sex trafficking in West- sentence is from one to 10 years in prison. If ern European countries. Children, includ- human trafficking is committed by a group or ing Roma, are subjected to forced begging, criminal organisation, if it is committed by a theft, labour, and sexual exploitation. (U.S. larger number of people, or if it is the cause Department of State, 2011a, p. 136) for death of one or more persons, the perpetrator will be punished with the minimum of In 2008 and 2009, there was an increase of labour five years in prison or a long-lasting prison exploitation of young men who worked on sentence (20 to 40 years). Even if the victim

,AW %NFORCEMENT %XECUTIVE &ORUM s s 4ABLE (UMAN 4RAFFICKING IN #ROATIA No. of Suspects or No. of Year cases defendants victims 2002 51 8 Includes the following criminal offences: establishment of slavery and transport of slaves, international prostitution, and procurement. 2003 51 8 Includes the following criminal offences: establishment of slavery and transport of slaves, international prostitution, and procurement. 2004 19 2005 9 6 Trafficking and slavery (Article 175 of Croatian Criminal Code [CC]) 2006 10 17 13 Trafficking and slavery (Article 175 of CCJ) 2007 9 20 15 Trafficking and slavery (Article 175 of CCJ) 2008 9 15 *7 (+2) Trafficking and slavery (Article 175 of CCJ) 2009 5 11 8 Trafficking and slavery (Article 175 of CCJ) 2010 5 10 7 Trafficking and slavery (Article 175 of CCJ) * Same people were exploited in several different criminal acts. Data were gathered from Web pages of Government of the Republic of Croatia (2011) and Republic of Croatia Ministry of the Interior (2011). willingly did this, it has no effect on the ver- One of the most noticeable things is the shift of dict (Kregar & Turković, 2006, p. 52). There is a nationalities of victims of trafficking. Until 2004, lack of research on the whole organised crime the predominant percentage of victims originated phenomenon. The cooperation in the interna- from the Eastern Bloc (Russia, Ukraine, Rumania, tional area is still not intense enough as there and Moldova), but since 2004, there has been a is limited cooperation with EURPOL, EURO- severe increase of victims of human trafficking of JUST, and EJN. Institutions for discovering Serbian nationalities. Men of Serbian nationali- organised crime and human trafficking are ties are more and more frequently exploited for not efficient enough (p. 52). The majority of forced labour (Ministry of Internal Affairs of the victims are of Croatian, Serbian, Bosnian, and Republic of Serbia, 2011b). According to the U.S. Ukrainian nationalities (Republic of Croatia Department of State (2011b), “Authorities also Ministry of the Interior, 2011). reported an increase in the number of Serbian victims identified in the southwestern region of the country and an increase in the number of male Human Trafficking in Serbia children identified for forced begging” (p. 315). Serbia is a source, transit, and destination country for men, women, and chil- For years, there has been minimal research dren subjected to sex trafficking and on the existence of organised crime. For a forced labour. Foreign victims found in long time, it was not desirable to talk about Serbia originate primarily from neigh- the existence of organised crime, which gave bouring countries and elsewhere in it time and power to develop even more. Eastern Europe. Children, including This was also the cause for poor results from ethnic Roma,7 continue to be exploited investigations. There is also a lack of coopera- in the commercial sex trade, subjected tion between different subjects. Measures that to involuntary servitude while in forced were already taken against human trafficking marriage, or forced to engage in street were not enough, and some additional mea- begging. Based on recent anecdotal evi- sures should have been taken (Bošković, 2006). dence, Serbian citizens remain vulner- Human trafficking was introduced as a crimi- able to forced labour in third countries, nal offence in 2003 and has been amended and foreign victims also may be sub- through time (Nikolić-Ristanović, 2011a). jected to forced labour in Serbia. (U.S. Department of State, 2011b, p. 315) According to Serbian statistics obtained by Nikolić-Ristanović (2011a), from 2004 until

,AW %NFORCEMENT %XECUTIVE &ORUM s s 2009, there were 367 people reported for the most centralised data can be gathered from the offence of human trafficking. Three of them Court of Bosnia and Herzegovina, which was were minors and 96 were accused. Of those, formed in 2003. Reasons for optimism are pres- only 84 were convicted. Among them were ent, however, because some official institutions males, females, and minors. (See Table 3 for for data collection are being formed. This global statistics on human trafficking in Serbia.) approach through criminological studies is opening a new era of exploration and research (Petrović & Muratbegović, 2006a, pp. 107-109). Human Trafficking in Bosnia and Herzegovina Bosnia has signed the UN Convention for the In 2003, once a national coordinator for the fight Fight Against Transnational Organised Crime; against human trafficking was establish (Min- the Protocol Against Transportation of Migrants istry of Security of Bosnia and Herzegovina, Across Land, Sea, and Air; and the Protocol 2003), there were noticeable improvements. to Prevent, Suppress, and Punish Trafficking Unfortunately, the progress—remarkable at in Persons, Especially Women and Children it is—was limited as Bosnia and Herzegovina (Petrović & Muratbegović, 2006a, p. 89). Some is still trying to set up functional institutions implementation problems for these agreements of government and to establish a rule of law remain as there are 180 ministries responsible for (Maljević, 2011, p. 135). governing Bosnia and Herzegovina, thus providing fertile ground for all types of corruption, One of the problems was a nonexistent unified including corruption of the police and judiciary police force.8 With the signing of the Dayton (Maljević, 2011, p. 136). In various services, there Peace Agreement in 1995, it was determined are incompetent individuals who are far from that the police force should be formed in the being experts (Petrović & Muratbegović, 2006a, framework from entities of Bosnia and Serbia p. 120). One of the problems is therefore also the (Petrović & Muratbegović, 2006b, p. 154). Due absence of a legal framework for coordinated to the fact that Bosnia and Herzegovina is activity of the representatives of all state orga- divided into two equally strong entities, the nizations that are working together in the battle state has weak control (Maljević, 2011). Also, against human trafficking and illegal migration. proper centralised data are lacking, and the Because of this, the Council of the Minister of

4ABLE 3TATISTICS ON (UMAN 4RAFFICKING IN 3ERBIA Year Filed criminal charges Number of suspects Number of victims Number of criminal offences 2000 41 57 -- 52 2001 72 49 -- 75 2002 31 47 -- 62 2003 14 46 30 18 2004 24 51 35 24 2005 20 43 26 20 2006 37 84 56 37 2007 34 74 96 34 2008 32 81 55 35 2009 51* 54 127** -- 2010 47 99 76 (+89)*** -- * Criminal charges under Article 388 of Criminal Code of Republic of Serbia (RS). ** The number that was identified by Workers of Coordinating Body for Victims of Human Trafficking. Meanwhile, the Ministry of Internal Affairs of the Republic of Serbia identified 85 victims in the 51 cases (there exists the possibility that several victims are included in both data sets). *** Number in parentheses represent the number of victims of trafficking recognised by Workers of Coordinating Body for Victims of Human Trafficking. Of this, the number of confirmed victims of trafficking was 61, and the number of potential victims was 28. Data were gathered from official statistics of the Ministry of Internal Affairs of the Republic of Serbia (2011a).

,AW %NFORCEMENT %XECUTIVE &ORUM s s Bosnia has formed a Fight Group against human In the Ministry of Security of Bosnia and trafficking, which consists of the Bosnian pros- Herzegovina (2010b), there was noted that the ecutor’s office, the Bosnian federal prosecutor’s majority of cases did relate only to small-scale office, the Serbian Republic public prosecutor’s organised groups (without strong interper- office, the Bosnian public prosecutor’s office, the sonal connections, broad organisation, or a Bosnian state border service, the State Agency vertical hierarchy). for Investigation and Protection, Brčko Police Interpol, the Finance Police, the Bosnian Tax Regarding the victims of human trafficking, Administration, the Serbian Tax Administration, Figure 2 shows an enormous decline of the num- and the Attorney General (p. 90). bers of identified victims of human trafficking.

In Bosnia and Herzegovina, migrations pres- International cooperation has become more ent a phenomenon which is linked with for- efficient in the past few years. In the complex eigners visiting Bosnia (Dobovšek et al., 2008; of European integration processes, Bosnia Maljević, 2011): is developing projects from the domain of international cooperation with every relevant Bosnia and Herzegovina is a source, desti- authority which touches the country’s interest nation and transit country for men, women and leads Bosnia toward the EU (Petrović & and children who are subjected to sex traf- Muratbegović, 2006a, p. 115). (See Table 4 for ficking and forced labour. Bosnian victims some statistical oversight.) are subjected to sex trafficking and forced labour in Azerbaijan, Slovenia, Croatia If we look at all of the countries discussed here, and other countries in Europe. Women we can see that they have some similarities from Albania, Serbia, Kosovo, and Bosnian regarding data collection and its problems. It women and young girls were subjected to is very hard to measure the whole concept of sex trafficking within the country. Local organised crime, not just human trafficking. girls, particularly Roma, were trafficked, Institutions that have this job of gathering statis- using forced marriage, for the purpose tical data are too often not in contact with each of domestic servitude. Roma boys and other and do not cooperate among themselves. girls, some as young as 4 years old, were There is still a large grey area regarding inves- subjected to forced begging by organized tigated and discovered criminal acts connected crime groups. (U.S. Department of State, to organised crime. Also, in all these countries, 2011a, p. 49) reporting such crimes is a big problem. People often do not report such crimes because they

&IGURE .UMBERS OF )DENTIFIED 6ICTIMS OF (UMAN 4RAFFICKING

Source: Ministry of Security of Bosnia and Herzegovina (2010b)

,AW %NFORCEMENT %XECUTIVE &ORUM s s Table 4. Number of Criminal Offences Regarding Trafficking in Bosnia and Herzegovina Year Reported Investigations Reports Offences No. of suspects 2001 95 158 2002 70 90 2003 38 39 66 2003 38 39 66 *2004 40 48 91 **2005 68 (31 from p.y.10) 36 36 59 2006 90 (48 from p.y.) 63 34 77 2007 ~ 34 (from graph 23) 34 65 2008 53 2009 23 44 (24 from p.y.) 2010 22 (29 from p.y.) * Includes Article 189 Criminal Code of Bosnia and Herzegovina (CC of BiH) (smuggling migrants), Article 188 CC of BiH (unlawful deprivation of identity documents), Article 187 CC of BiH (for prostitution), Article 186 CC of BiH (human trafficking), Article 210 CC of Federation BiH (mediation in prostitution), Article 203 CC of FBiH (rape), Article 251 CC of RS (mediation in prostitution), Article 373 CC of FBiH (illegal transfer of persons across the state border), Article 380 CC of RS, and Article 249 CC of FBiH (Ministry of Security of Bosnia and Herzegovina, 2004). ** Include similar articles as for 2005. For more, see the Ministry of Security of Bosnia and Herzegovina (2005). Source: Annual reports of State Coordinator for Combating Trafficking in Human Beings and Illegal Immigration in Bosnia and Herzegovina available from the Ministry of Security of Bosnia and Herzegovina. are too afraid. Things are moving in the right States have found out that for finding at least direction, and a great deal has already been the approximate extent of human trafficking done to ensure that data are more accurate and in their states, it is necessary to consider some also on the investigation and prosecution fronts. other indirect indicators. For instance, we usu- However, there is still a long road ahead. Some ally have statistical records of foreign citizens of these countries still feel the consequences of who are working within the state, but no other transition and the consequences of war, and it reliable data are available. It is necessary to give is only logical that improvements cannot be special attention when issuing work permits for accomplished overnight. the so-called “hazardous professions,” which could potentially lead to human trafficking. Discussion Under these professions, we consider bar danc- ers, entertainers, construction workers, and work Through various statistical and other reports, permits given to citizens of other countries. we have established that illegal human trade is very much present in the area of the The countries of the region need to take a more Western Balkans. There are similar problems balanced approach to gathering and collating in all of these countries, but in some more criminal intelligence. Operations should be than in others. Human trafficking is one of the based on accurate threat assessments, not on “branches” of organised crime and, just like political or media priorities. There is still no the whole phenomenon of organised crime, right approach to this problem. There is no human trafficking is very hard to investigate. incorporation of human trafficking in broader For various reasons, people are unwilling to programmes of development nor strategies for report such activity, and it is on the criminal reduction of poverty. The problem of human investigators and police to find traces of such trafficking is mostly treated as an isolated trade. Media, if willing, can also be a good phenomenon, outside of its tight connection source for investigating such acts. For dealing to structural problems like poverty, a deeper with this activity, there needs to be coopera- and deeper gap between rich and poor, unem- tion between a large number of government ployment, social exclusion, discrimination, and nongovernment organizations and that is and other forms of violence against women still lacking in the countries discussed herein. and children. There is also limited efficiency

,AW %NFORCEMENT %XECUTIVE &ORUM s s in existent programmes. A big problem is also 3 Our criminal code defines human trafficking the non-existence of formal global mecha- in Article 387: “Whoever purchases another nisms for the reduction of human trafficking. person, takes possession of them, accommo- dates them, transports them, sells them, delivers Future arrangements regarding human traf- them or disposes with them in any other way, ficking will also be based on the security or acts as a broker in such operations, for the policy adopted by the parliaments, taking purpose of prostitution or other forms of sexual into consideration national security aims and exploitation, forced labour, enslavement, servi- ambitions, objective-driven circumstances, tude or trafficking in organs, human tissues, or threat sources, and the level of security cul- blood, shall be sentenced to imprisonment of ture. One of the main tasks of every security between one and ten years.” policy is to prevent and successfully confront 4 Financing of NGOs must be directed to various different sources and types of threats, which organisations and must stimulate the formation makes the role of the state all the more impor- of new ones in the fields (Dobovšek et al., 2008, tant and responsible. It has to be pointed p. 653). out that some old, pre-modern paradigms of 5 Previously “Abuse of prostitution.” security provision can introduce new secu- 6 The PATS programme is a prevention project tai- rity challenges, risks, and threats. Security lored specifically to raise awareness of trafficking policy at the national and global level is too among applicants requesting international pro- often linked only to collective entities (“inter- tection in the Republic of Slovenia. The project national,” “national,” “state,” and “public” targets newly arrived applicants for international security) and not to the provision of interna- protection, notably unaccompanied minors and tional and constitutional fundamental human single women. The operator provides informa- rights and the ideas implied in their thorough tion consultations which are carried out through implementation. A repressive war on human an interpreter in a language the applicant under- trafficking in its present form increases trust stands (Report on the Work of Slovenian Interdepart- in the intimidating and preventive side of the mental Working Group for Combating Trafficking in criminal justice process, which, to a large part Human Beings 2010, 2010, p. 14). of the population (with the exception of the 7 Roma people are especially problematic as they economic and political elite), brings not more seem to make a significant contribution in traf- but less security, together with less democracy, ficking of children of both sexes, including sale of less rule of law, and less respect for human their own children (Nikolić-Ristanović, 2011a). rights and freedoms. 8 Except the statewide Border Agency.

Endnotes References 1 When examining the situation in the Western Bošković, M. (2006). Serbia and responses to Balkans, the within-country trafficking is most organised crime. In Security and cooperation evident for Serbia, where the majority of vic- in responses to organised crime in Central and tims treated were of Serbian nationalities. For Southeast Europe (pp. 123-149). Ljubljana, references, see the section “Human Trafficking Slovenia: Law Faculty Institute for Criminol- in Serbia.” ogy, University of Ljubljana. 2 This was empirically confirmed for Serbia by Nikolić-Ristanović (2011a) in her study in which Case of Rantsev v. Cyprus and Russia (Appli- data she gathered show that in 40% of the anal- cation No. 25965/04). (2010). Retrieved ysed cases the trafficker was part of group of February 23, 2012, from the European Court three to five accomplices, 22.2% were part of a of Human Rights: www.unhcr.org/cgi-bin/ group of 10 or more, and 15.2% had only one texis/vtx/refworld/rwmain?page=publish accomplice. There are some other different er&docid=4b4f0b5a2&skip=0&am forms of groups, but in smaller percentages. p;publisher=ECHR&querysi=rantsev&

,AW %NFORCEMENT %XECUTIVE &ORUM s s amp;searchin=title&display=10& Friman, R., & Reich, S. (2007). Human traffick- sort=date. ing and the Balkans. In R. Friman & S. Reich (Eds.), Human trafficking, human security, and Čurin, S. (2006). Trgovina z ljudmi – Med- the Balkans (pp. 1-19). Pittsburgh, PA: Uni- narodne aktivnosti in umeščenost problema- versity of Pittsburgh Press. tike v slovenskem prostoru [Enforcement of international legal acts to combat human Government of the Republic of Croatia, trafficking]. In S. Čurin (Ed.), Uveljavljanje Office for Human Rights. (2011). Retrieved mednarodnopravnih dokumentov s področja boja February 23, 2012, from www.ljudskaprava- proti trgovini z ljudmi [Enforcement of inter- vladarh.hr/Default.aspx?sec=18. national law documents from the field of battle against human trafficking]. Ljubljana, Government of Republic of Slovenia. (2010). Slovenia: Ministry of Interior Slovenia. Fight against trafficking in persons. Retrieved February 23, 2012, from www.vlada.si/en/ Dobovšek, B. (2006). Slovenia and responses projects/fight_against_trafficking_in_persons. to organised crime. In Security and cooperation in responses to organised crime in Central Huntington, S. P. (1991). The third wave: Democ- and Southeast Europe (pp. 17-50). Ljubljana, ratization in the late twentieth century. Norman: Slovenia: Law Faculty Institute for Criminol- University of Oklahoma Press. ogy, University of Ljubljana. International Organization for Migration (IOM). Dobovšek, B., & Krajnc, M. (2006). Problem- (2009). Counter-trafficking activities. Retrieved atika preiskovanja trgovine z ljudmi [The February 23, 2012, from IOM: http:// problems of investigating human traffick- publications.iom.int/bookstore/index.php? ing]. In S. Čurin (Ed.), Uveljavljanje medn- main_page=redirect&action=url&goto= arodnopravnih dokumentov s področja boja publications.iom.int%2Fbookstore%2Ffree% proti trgovini z ljudmi [Enforcement of inter- 2FCounter_Trafficking_Activities.pdf&zenid national law documents from the field of =40e5052b207d9dd931060a562b27c1df. battle against human trafficking]. Ljubljana, Slovenia: Ministry of Interior Slovenia. IOM. (2011). Global human trafficking database counter trafficking division. Retrieved Dobovšek, B., Sotlar, A., Flander, B. (2009). March 12, 2012, from IOM: www.iom.int/ Parlament v post moderni družbi med svo- jahia/webdav/shared/shared/mainsite/ bodo in varnostjo [Post modern parliament activities/ct/iom_ctm_database.pdf. between freedom and security]. Varstvoslovje ;Journal of Criminal Justice and Security], 11(1), Jokinen, A., Ollus, N., & Aromaa, K. (2011). 98-129. Trafficking for forced labour and labour exploitation in Finland, Poland and Estonia. Helsinki: Dobovšek, B., Žibert, F., & Pirnat, A. J. (2008). HEUNI. Economy related issues of human trafﬁcking in Western Balkan. Varstvoslovje ;Journal of Kregar, J., & Turković, K. (2006). Croatia and Criminal Justice and Security], 10(4), 650-665. responses to organised crime. In Security and cooperation in responses to organised crime Englund, C., Viuhko, M., Jokinen, A., in Central and Southeast Europe (pp. 51-86). Aromaa, K., Resetnikova, A., Markina, A., . . . Ljubljana, Slovenia: Law Faculty Institute for Nilsen, M. (2008). The organisation of human Criminology, University of Ljubljana. trafficking: A study of criminal involvement in sexual exploitation in Sweden, Finland and Esto- Leskošek, V. (2006). Mreže pomoči žrtvam nia. Stockholm: Swedish National Council trgovine z ljudmi – Pomen medinstituciona- for Crime Prevention. lnega sodelovanja [Network of assistance to

,AW %NFORCEMENT %XECUTIVE &ORUM s s victims of human trafficking – The impor- in Human Beings. February 23, 2012, from tance of institutional cooperation]. In S. Čurin www.msb.gov.ba/anti_trafficking/Default. (Ed.), Uveljavljanje mednarodnopravnih doku- aspx?pageIndex=1. mentov s področja boja proti trgovini z ljudmi [Enforcement of international law docu- Ministry of Security of Bosnia and Herzegovina. ments from the field of battle against human (2010b). Department for Combating Trafficking in trafficking]. Ljubljana, Slovenia: Ministry of Human Beings – Annual report 2010. Retrieved Interior Slovenia. February 23, 2012, from www.msb.gov.ba/ docs/Izvjestaj_THB_2010__bosanski_final%20 Maljević, A. (2011). Trafficking women in usvojenVM.doc. Bosnia and Herzogevina. In P. Duyne & J. Spencer (Eds.), Flesh and money: Trafficking Nikolić-Ristanović, V. (2006). Human trade in in human beings (pp. 135-152). Nijmegen, The Serbia: Between moral panic and social strat- Netherlands: Wolf Legal Publishers. egy. In Security and cooperation in responses to organised crime in Central and Southeast Europe Ministry of Internal Affairs of the Republic (pp. 162-174). Ljubljana, Slovenia: Law Fac- of Serbia. (2011a). Stop modern slavery – End ulty Institute for Criminology, University of human trafficking. Retrieved February 23, Ljubljana. 2012, from www.mup.gov.rs/cms_lat/ sadrzaj.nsf/trgovina-ljudima.h. Nikolić-Ristanović, V. (2011a). Human traffickers in Serbia. In G. Antonopoulos, Ministry of Internal Affairs of the Republic of M. Groenhuijsen, J. Harvey, T. Kooijmans, Serbia. (2011b). Victims and victim protection. A. Maljevic, & V. K. Lampe (Eds.), Usual Retrieved February 23, 2012, from www. and unusual organising criminals in Europe mup.gov.rs/cms_lat/sadrzaj.nsf/zrtve-i- and beyond: Profitable crimes, from underworld zastita-zrtava.h. to upper world (pp. 173-187). Apeldoorn, Belgium: Maklu Publishers. Ministry of Security of Bosnia and Herzegovina. (2003). Department for Combating Traffick- Nikolič-Ristanović, V. (2011b). Illegal markets, ing in Human Beings – Annual report 2003. human trade and transnational organised Retrieved February 23, 2012, from www. crime. In P. Duyne & J. Spencer (Eds.), Flesh msb.gov.ba/anti_trafficking/dokumenti/ and money: Trafficking in human beings (pp. godisnji_izvjestaj/?id=3894. 69-90). Nijmegen, The Netherlands: Wolf Legal Publishers. Ministry of Security of Bosnia and Herzegovina. (2004). Department for Combating Traffick- Peršolja, T. (2006). Boj proti trgovini z ljudmi ing in Human Beings – Annual report 2004. [The fight against human trafficking]. In Retrieved February 23, 2012, from www. S. Čurin (Ed.), Uveljavljanje mednarodnopravnih msb.gov.ba/anti_trafficking/dokumenti/ dokumentov s področja boja proti trgovini z ljudmi godisnji_izvjestaj/?id=3893. [Enforcement of international law documents from the field of battle against human traffick- Ministry of Security of Bosnia and Herzegovina. ing]. Ljubljana, Slovenia: Ministry of Interior (2005). Department for Combating Traffick- Slovenia. ing in Human Beings – Annual report 2005. Retrieved February 23, 2012, from www. Petrović, B., & Muratbegović, E. (2006a). msb.gov.ba/anti_trafficking/dokumenti/ Bosnia and Herzegovina and responses to godisnji_izvjestaj/?id=3892. organised crime. In Security and cooperation in responses to organised crime in Central Ministry of Security of Bosnia and Herzegovina. and Southeast Europe (pp. 87-122). Ljubljana, (2010a). Department for Combating Trafficking

,AW %NFORCEMENT %XECUTIVE &ORUM s s Slovenia: Law Faculty Institute for Criminol- U.S. Department of State. (2011a). Trafficking in ogy, University of Ljubljana. persons report 2011—Country narratives: A-C. Retrieved February 23, 2012, from www. Petrović, B., & Muratbegović, E. (2006b). state.gov/documents/organization/164453. Criminological and juridical aspects of drug pdf. related crime. In Security and cooperation in responses to organised crime in Central and U.S. Department of State. (2011b). Trafficking Southeast Europe (pp. 150-161). Ljubljana, in persons report 2011—Country narratives: Slovenia: Law Faculty Institute for Criminol- N-S. Retrieved February 23, 2012, from www. ogy, University of Ljubljana. state.gov/documents/organization/164457. pdf. Report on the work of Slovenian Interdepart- mental Working Group for Combating Traffick- ing in Human Beings 2010. (2010). Retrieved Bojan Dobovšek, PhD, is Associate Pro- February 23, 2012, from www.vlada.si/ fessor of Criminal Investigation and fileadmin/dokumenti/Slikce/2011/ Vice-Dean at the Faculty of Criminal THB_2011/THB_poroilo_2010_ang.pdf. Justice, University of Maribor, Slovenia. He received his PhD from the Faculty of Report on the work of Slovenian Intergovern- Social Science, University of Ljubljana, mental Working Group on the Fight Against Slovakia. He was a member of the Com- Trafficking in Human Beings for 2007. (2007). mission for the Prevention of Corruption Retrieved February 23, 2012, from www. as a representative of the judiciary branch vlada.si/fileadmin/dokumenti/si/projekti/ of power. He is on the Board of Trustees MDS_POROCILO_07_EN.pdf. of ARCA (Association for Research into Crimes against Art). He is the author of Republic of Croatia Ministry of the Inte- a book on organised crime and editor of rior. (2011). Human trafficking. Retrieved several publications on corruption and February 23, 2012, from www.mup.hr/main. organised crime. He has been researching aspx?id=31#5. organised crime for several years and has published many books and articles. Ongo- Šalamon, S. (2006). Trgovci z ljudmi in oblike ing research interests include corruption novačenja žensk [Traffickers and forms of and rule of law, informal networks and recruitment of women]. In S. Čurin (Ed.), state capture, organised crime and terror- Uveljavljanje mednarodnopravnih dokumentov s ism, crime and tourism, and investigat- področja boja proti trgovini z ljudmi [Enforce- ing ecological crime. He is a partner of ment of international law documents from the Institute fur Politikwissenschaft und the field of battle against human traffick- Socialforschunf, University of Wurzburg, ing]. Ljubljana, Slovenia: Ministry of Interior Germany, and a visiting professor on Fac- Slovenia. ulties in Sarajevo, Belgrade, and Zagreb.

Slovenian Criminal Code. (2004). Published in Official Gazette RS, No. 95/2004.

United Nations (UN). (2000). Protocol to prevent, suppress and punish trafficking in persons, especially women and children, supplementing the United Nations Convention Against Trans- national Organized Crime. New York: UN.

,AW %NFORCEMENT %XECUTIVE &ORUM s s The Child Labor Situation: An Analysis Focusing on Iasi and Vaslui, Romania

Rebecca Smokowicz, Washington, DC

International Context and North Africa (ILO, 2009). In terms of children per population, Sub-Saharan Africa has According to the International Labour Orga- the highest incidence in employment, while nization (ILO), more than 200 million children Asia shows lower participation rates but hosts worldwide are involved in labor (UNICEF, the largest number of children in employment 2011). Child labor not only is damaging to (ILO, 2010c). Progress to reduce the number children’s mental, physical, and emotional of children working remains slowest in Sub- development, it also prevents children from Saharan Africa. acquiring education for the future, thereby perpetuating poverty through a loss of com- Data collected in Romania in 2001 of a sample petitiveness. Children work for several rea- of 150 street children working more than eight sons, ranging from family survival to inad- hours per day showed that 44% begged, most equate family income or a lack of educational had contracted a disease, 93% dropped out of opportunities. school, 34% were illiterate, and 49% had been beaten by family members (ILO, 2010c). This UNICEF (1999) defines child labor as work translates to significant vulnerability to being that exceeds a minimum number of hours, exploited and/or trafficked. Trafficking in per- depending on the age of the child and on the sons is defined as the recruitment, transpor- type of work. According to this definition, tation, transfer, harboring, or receiving with domestic work, such as household chores and the intention to exploit. The typical trafficked taking care of siblings, becomes child labor child is between 14 and 17 years of age from when a child between the ages of 10 to 14 a family with socioeconomic problems, low spends more than 28 hours per week working levels of education, and who harbors a false domestically. In addition, the UN Minimum perception of life abroad (ILO, 2010c). Efforts Age Convention states that the minimum age to reduce the numbers of child laborers and to work shall not be less than the age of com- child trafficking victims are directly related to pulsory education and shall not be less than successfully placing them in schools. 14. Further, Article 3 of UN Convention 182 partly defines the worst forms of child labor Official data on child trafficking in Romania as “forced or compulsory labor, and work, (the only information available to document which, by its nature or the circumstances in child labor) shows that in the first quarter which it is carried out, is likely to harm the of 2010 there were 126 minors identified as health, safety, or morals of children” (ILO and victims of trafficking, of whom 99 were girls Understanding Children’s Work, 2010). and 27 were boys (World Vision, 2011). Child trafficking increased by 50% compared to the Of those involved in child labor, 2.5 million same period in 2009.11 Internal child trafficking children are in developed economies, while involved over 75% of these victims, with 94 of 2.4 million are in transition economies (ILO, them being trafficked for sexual exploitation 2005). Further, 127.3 million are in Asia and the and 32 trafficked for labor or forced begging. Pacific, 17.4 million are in Latin America and Further, national statistics show an increase the Caribbean, 48 million are in Sub-Saharan in the percentage of children dropping out of Africa, and 13.4 million are in the Middle East school after the 5th grade. Boys are dropping

64 ,AW %NFORCEMENT %XECUTIVE &ORUM s s out of school at a higher rate than girls. In the Child Labor in Romania 2008-2009 school year, the dropout rate of children in rural areas increased from 2.3 to 2.5% Situated at the crossroads of central and south- (World Vision, 2011). eastern Europe, Romania is a source, origin, and transit country for trafficking in persons, Child labor creates numerous problems. Chil- including child trafficking. Street children dren involved in labor have greater difficulty (i.e., runaway children from child protection attending school. A research sample of 60 residential institutions or from dispersed, developing countries indicates that children in poor families who spend most of their time employment face an attendance gap of at least on the street) and children leaving residential 10% in 30 of the countries surveyed, includ- care facilities are the most vulnerable to traf- ing Romania (McKenzie & Rapoport, 2006). ficking (ILO, 2010b). In 1989, the communist Further, children engaged in labor are more regime collapsed and was replaced by democ- socially vulnerable. As a result of their com- racy and a market economy. The rapid change promised education, they are more suscepti- caused significant economic, political, and ble to economic fluctuations because of their social upheaval. As a result, unemployment work in the informal economy. Additionally, increased and living standards were forced child laborers are more likely to suffer from ever lower, often below the poverty line. To health hazards, specifically ergonomic factors survive, many Romanians began to migrate associated with heavy lifting as well as lung to other countries within Europe, sometimes problems resulting from working in mines leaving their children in the custody of govern- and construction. Statistics show that for ment institutions, but mostly with extended every 100 working children in the develop- family or friends. An estimated 1.87% of all ing world, between 12 and 25% suffer work- Romanian children were living in residential related injuries (ILO, 2005). institutions or foster care in 2004 (ILO, 2010b). Until recently, the Romanian government did On a positive note, the incidence of child labor not consistently collect data on the number of declined between 2004 and 2008, falling world- working children or the conditions in which wide from 14.2 to 13.6%. While labor by chil- they labored. dren between 5 and 14 years of age declined by 17 million (a 10% change), labor by chil- Romania has a population of approximately dren between 15 and 17 years of age increased 21.67 million people. Children comprise 18% from 52 to 62 million (a 20% change). Boys of the total population, of which 65% live in remained the most active group of child labor- urban areas. Poverty accounts for 44% of the ers at 54%, while girls worked at a rate of 46%. population and is most likely to affect ethnic Overall, 60% were engaged in agriculture, minorities such as the Roma (ILO, 2010b). For 26% in services, and 7% in industry, respect- example, 80% of Roma children live in poverty fully. Unpaid child family workers accounted and 43% live in severe poverty (ILO, 2009). for 68%, while paid employment for children While the national employment rate is 62%, it accounted for 21%, and 5% of children were is 47% for the Roma (ILO, 2003). Overall, the found to be self-employed (ILO, 2005). percentage of children engaged in economic activities is between 2.1 and 3.7% of the child Recognizing the global problem of child labor, population with 90% of these working chil- the International Programme on the Elimi- dren living in rural areas (Children’s Rights nation of Child Labour (IPEC) was created Protection, 2010). in 1992 (ILO and Understanding Children’s Work, 2010). IPEC currently operates in 88 Since 2001, Romania has enacted numerous countries, including Romania. legal reforms and legislative measures to combat child labor. Chief among these legislative measures is Romania Law No. 272/2004,

,AW %NFORCEMENT %XECUTIVE &ORUM s s which states that “The child has the right to activities designed to bring legislation and be protected against exploitation and cannot procedures in Romania in line with interna- be forced to perform any work with a poten- tional commitments, to promote young adult tial risk and which is likely to compromise employment, to facilitate long-term reintegra- the child’s education, or to be harmful to the tion of child victims of trafficking into main- child’s health or physical, mental, spiritual, stream society, and to establish a subregional moral or social development” (The Parliament information exchange network. As a direct of Romania, 2004). result of this project, legislative measures for preventing and combating child labor and Further, Romania has ratified various interna- trafficking were put in place, a national plan tional conventions related to child labor such of action for the elimination of child labor was as the ILO Minimum Age Convention No. 138 approved by the government in 2004, and a in 1975, the United Nations (UN) Convention law on the promotion and protection of child on the Rights of the Child in 1990, and the ILO rights was adopted by Parliament in 2005. Worst Forms of Child Labor Convention No. 182 in 2000 (ILO, 2007). The Trafficking Phase II program ran from 2006 to 2009. Its aim was to promote greater Romanian Programs to Combat involvement of employers in the prevention, Child Labor identification, rehabilitation, and tracking of child labor (ILO, 2009). Further, the program In 2000, the IPEC launched the National Pro- sought to increase efforts toward mainstream- gram for the Prevention and Elimination of ing the elimination of the worst forms of child the Worst Forms of Child Labor to help the labor into national policies and legislation. As Romanian government develop a national a direct result, significant knowledge sharing policy and plan of action on child labor, reha- and mainstreaming of child labor issues into bilitate a select number of street children, and the agendas of local governments and other improve the quality of educational and pro- agencies was accomplished. Lastly, 400 chil- tective services for street children and their dren were withdrawn from child labor, and families (ILO, 2003). Unfortunately, child labor 600 were prevented from entering child labor laws kept changing, so the necessary financial through this program. resources were not properly allocated to this program. Further, there was a lack of support The Worst Forms of Child Labor Project ran and involvement from the national media. from 2003 to 2008 and was funded by the Despite these impediments, the program was German government. Its aim was to assist the able to build alliances among concerned gov- Romanian government, NGOs, and work- ernment and civil society institutions, paving ers’ and employers’ organizations to gain the way for the development of a subregional the necessary skills required to implement trafficking program. policies and programs to prevent the worst forms of child labor, to protect and withdraw The Trafficking Phase I program ran from 2003 children from child labor or from becoming to 2007 and was funded by the U.S. Depart- children at risk, and to rehabilitate and rein- ment of Labor. This project was initiated to tegrate children into society (ILO, 2009). Since ameliorate some of the factors that lead to this program’s inception, over 1,250 children child labor and child trafficking such as a were withdrawn from work or prevented paucity of job opportunities for adults, living from working through education or training below the poverty line, a weak-to-nonexistent opportunities. Further, the capacity of key social safety net, and an alarming trend of par- institutions to deal with child labor issues was ents sending their children to other cities to enhanced through training. Finally, national work in an effort to increase the family income authorities, the media, and NGOs were mobi- (ILO, 2009). Program goals included advocacy lized to address child labor, and the amount

66 ,AW %NFORCEMENT %XECUTIVE &ORUM s s of local and national resources allocated to the in instances of hardship in order for them to prevention of child labor were increased. avoid sending their children to work. Offering access to social services and combating dis- Finally, the National Committee on the crimination that leads to child labor will fur- Prevention of Child Labor was established in ther help society as well as assisting victims 2002 under the coordination of the National of child labor to prevent their return to child Authority for the Protection of Child Rights to labor. Finally, improved labor market policies, oversee all activities related to children and to such as the creation of employment programs provide strategic direction to both international designed to promote decent and productive and local initiatives on children’s well being. In work, are necessary to better facilitate the 2008, they recorded 925 child labor cases (ILO, school-to-work transition. 2009). Of these 925 cases, 627 children were successfully withdrawn from child labor. Romanian Child Labor Analysis: Goals and Objectives National Policy Options WV Romania commissioned a study on The ILO (2010a) states, child labor in Romania and its implications on children’s access to education and the There is no single policy that by itself will human trafficking phenomenon. The pri-pri- end the worst forms of child labour. How- mary purpose of the research was to docu- ever, evidence has shown that targeted ment WV Romania’s intervention in the action that simultaneously addresses the education sector, its community development implementation and enforcement of leg- programs, and the advocacy efforts that are islation and the provision and accessibil- still needed to promote children’s right to ity of public services, such as education, education. Finally, the research addressed yields high returns in the fight against the risks and implications of child labor in child labour, including its worst forms. Romanian communities, helping to identify whether there is a cause and effect relationship In order for a change to occur with regard to between child labor and the predisposition child labor, countries need to work on improv- to human trafficking. This research will lead ing their national child labor policy frame- WV Romania to further draft a local strategy works, and policy coordination should be that includes more prevention and advocacy strengthened. The following policy priorities initiatives at the community level. should guide government actions: National legislation and enforcement, education and Methodology training, social protection, and labor market policy (ILO, 2010a). The research was conducted over a period of two months from May 23 to July 29, 2011, in the National legislation and enforcement entails following Romanian counties: Iasi and Vaslui. developing and implementing national action Iasi County was selected because it is the plans to eliminate the worst forms of child Area Development Program (ADP) that WV labor. Further, appropriate sanctions against Romania had been active in the longest, and it perpetrators must be enforced. The education is planning to transition this fall. WV wanted system needs strengthening and should be to contrast Iasi County with Vaslui County, highlighted as an example of a viable alterna- their newest ADP and the poorest county in tive to working. Therefore, it is necessary to the European Union (EU). Communities were lower barriers to entry such as reducing costs, chosen over others because WV had contacts extending access, and improving the overall in those communities and, as such, it was quality of education. Countries need to imple- easier to gain interview access. ment a social safety net to protect families

,AW %NFORCEMENT %XECUTIVE &ORUM s s The following methodology to collect data was were intended to make the children comfort- implemented: formal and informal interviews able while segmenting the population sample and focus groups with children, stakeholders according to those predisposed to different (this group includes community leaders, types of child labor. In addition, the focus teachers, leaders of relevant NGOs, etc.), duty- groups had an even gender composition. Fur- bearers (including those raising children who ther, in each community, the researchers con- are not their own, i.e., foster children), and ducted six individual interviews with chil- parents; observations of children at school; dren between the ages of 15 and 17. Finally, to and background research of current reports on gain each community’s perspective on child child labor. TTwowo communities with WV prpro-o- labor, the researchers conducted interviews gramming were identified for each study in with four parents/duty-bearers; two teachers; Iasi County and Vaslui County. In Iasi County, and one doctor, mayor, social assistant, priest, the identified communities were Ceplenita and police officer. In total, the researchers and Vladeni. In Vaslui, the identified commu- interviewed 145 students in 15 focus groups nities were Osesti and Dumesti. Additionally, between the ages of 10 and 14. Further, 37 one community without a WV presence was individual interviews with students between identified for each study in Iasi County and the ages of 15 and 17 were conducted as well Vaslui County. In Iasi County, the identified as interviews with 17 teachers, 25 parents/ community was Scanteia, and Rebricea was duty-bearers, five mayors, six social assistants, chosen for Vaslui. In addition, two schools five nurses/doctors, four police officials, and in Iasi City were selected for observation/ seven priests. inclusion to compare the situation in rural Iasi from urban Iasi because it is widely thought Lastly, the researchers interviewed repre- that children are subject to different types of sentatives from Save the Children, the Social labor in urban settings versus rural settings. Alternatives Association, the National Agency The object was to see if the research supported Against Trafficking in Persons (ANITP), and this hypothesis. the General Directorate of Social Assistance and Child Protection (DGASPC) in Iasi and Vaslui. These experts were interviewed to lend Hypothesis credence to the community’s view on child The research was guided by the hypothesis labor as well as the national phenomenon. that there are local-level mechanisms that can be used to monitor and prevent child labor/child Interviews and focus groups lasted for less trafficking if there is appropriate knowledge and than an hour each and were recorded and understanding of the phenomenon in all contexts transcribed by two WV Romania-appointed where WV is operational (World Vision, 2011). translators, allowing for the researchers to concentrate on the interviewees’ answers, thereby facilitating the free flow of honest Interviews answers and insightful data. The researchers Interviews focused on the qualitative mea- and the translators followed WV Romania sures of child labor and the mechanisms in guidelines in order to ensure the interviewees’ place to prevent child labor. In order to obtain privacy and safety. Prior to asking the ques- a significant sample size, the researchers con- tions, the WV Romania-appointed researcher ducted individual interviews and focus groups introduced himself and explained the reason in eight communities in Iasi and Vaslui. for the interview, the confidentiality policy, and ensured that the interviews and focus In each community, two focus groups of eight groups would remain anonymous throughout to 10 students each were conducted for two the research project. age groups of children 10 to 12 years and 13 to 14 years old, respectively. These focus groups

68 ,AW %NFORCEMENT %XECUTIVE &ORUM s s Group-specific interview guides were devel- the doctor was not available in Scanteia, and oped and translated into Romanian prior to the priest was too new to the community in starting the interviews. Questions for the chil- Rebricea to give a representative interview. dren’s interviews and focus groups related to Lastly, all of the parent interviewees were schooling, outside activities, home life, work, women, except for two men in Scanteia. perception of the future, thoughts on child labor, and community leaders. Questions for The researchers conducted three focus groups the parents/duty bearers’ interviews related in Dumesti, Vaslui, one with 14- to 15-year- to schooling, their children’s schooling, their olds, instead of individual student interviews children’s work situation, perception of child because the 15- to 17-year-old students were labor, and community leaders. Questions for studying in Iasi at the time and were unavail- stakeholders and NGOs dealt with how their able. In addition, there were not enough stu- organization plays a part in combating child dents available in Rebricea, Vaslui, for two labor, their view of the education system, focus groups. Thus, a mixed focus group household chores, child labor, and child pro- with students between the ages of 10 and 14 tection laws and reporting. The background was conducted. The researchers could not of the interviewee determined which ques- interview parents/duty-bearers in Iasi City tions were asked as not all pertained to their because they were unavailable. Finally, the situation or experience. The researchers used researchers did not interview a doctor, mayor, the questions as guidelines but added addi- social assistant, or police officer in Iasi City tional questions as necessary throughout the because it was deemed that they do not deal interview. with the same problems as in the countryside and would not provide significant data. Limitations and Considerations Lastly, some interviewees were not as open Several limitations were apparent to the as the researchers would have liked, provid- researchers. The first limitation was the lan- ing only minimal answers or no answers at all guage barrier for the lead researcher. The because of their fear of repercussions or shy- lead researcher did not speak Romanian and ness. Additionally, some interviewees did not was not able to experience the interviewees’ fully understand the reason for the interview answers firsthand. As such, interviews were or misinterpreted the questions and gave comprehensively, quickly, and professionally inappropriate answers. translated post discussion. The last limitation includes the biases of the The second limitation was the relevance of researchers. The researchers strove to be a the sample size. Vaslui is not only the poor- neutral third-party representative, gathering est county in Romania, but it is the poorest perspectives of the children relating to child county in the EU. Further, the vast majority of labor. The researchers sought to gain the trust interviewees came from rural areas. Although of the interviewees in order to get truthful and two schools in Iasi City were included in the insightful answers. sample, WV has still not reached the most vulnerable children in urban settings. These Results children include those who might not attend school, child beggars, etc. Additionally, due to The Meanings and Understanding of the availability of the interviewees and time Child Labor constraints, the researchers were only able to perform interviews in eight communities. Social Alternatives asserts that child labor is Further, due to the country police reorganiza- a real phenomenon. It is all about mentality tion, they were not able to interview police and is very well-known in the NGO circles, officers in Scanteia and Ceplenita. In addition, but people associate it with one of childhood’s

,AW %NFORCEMENT %XECUTIVE &ORUM s s normal stages in which the child must learn work yet.” A teacher and priest interviewee how to work and deal with life: agreed and felt that work develops the thinking and is a type of training because it is the There are three categories of people: only thing that separates people from other those who don’t notice the phenom- creatures: enon, those who notice and react, and those who notice and don’t care. The last I wouldn’t call it child labor. . . . [W]e category is the most popular. have cases, it is true; people exploit children. But poverty affects many people Unfortunately, the definition of child labor here. (Mayor, Vaslui County-rural area) has many interpretations and is often debated, leading to confusion and lax regulations. A police officer in Vaslui noted that 14 years One official definition of child labor by the old is the age of criminal liability in Romania. DGASPC-Vaslui states, Thus, those over 14 are no longer considered victims for the purposes of child labor. Fur- Child labor represents the submission of ther, according to the police officer, there is a child to physical labor, which surpasses no legal stipulation regarding child labor as a the level of physical endurance, limiting criminal offense. the bio-psycho-socio-educational development of the child, including the alter- The Signs and Effects of Child Labor ing of his/her health, the deprivation of education, and the inclusion in groups All interviewees stated that when a child that do not have a positive educational is too tired to work, their education is inter- purpose. rupted, or they lack spare time, the limit has been reached between normal chores and In general, the interviewee consensus fur- child labor. They further state that most com- ther defined child labor as familial exploita- munity members are not aware of this limit. tion, using children to do hard work with- Several parents/duty-bearers agree that when out proper payment and often by force or children spend too much time on fieldwork, violence. A teacher in Vaslui said that, for they are exploited. him, the difference between child labor and “accepted” child labor is when the children do A parent in Scanteia, Iasi, summed up the work only for their parents’ benefit and do not situation by saying, “They are absent; they see the fruits of their labor. He feels it is a det- have walked out from the category of chil- riment to use children for farming activities dren and entered into another one, the ones when they should spend their time acquiring who work.” The representative from ANITP knowledge. The DGASPC-Iasi further elabo- stated that “If parents don’t let their children rated, commenting that begging children are go to school, but ask them to work instead, also included in the definition of exploitation child labor could be considered human traf- through labor and that when children are ficking.” The DGASPC-Iasi commented that exploited through labor, they exhibit certain in rural areas, exploited children initially are mental and physical disabilities because they absent from school before fully abandoning it. cannot develop normally. Teachers paying attention to school abandonment can easily identify these children by the In Vaslui, where WV works, 43% of the parents/ way they look and act: duty-bearers interviewed did not know how to define child labor. Lastly, a parent, express- The symptomatic pattern is clear. There ing the majority opinion of the Ceplenita com- is a delay in their mental development or munity adult interviewees said that “we have in their language, poor communication always worked and no one died of too much abilities, and [poor] relationship skills.

,AW %NFORCEMENT %XECUTIVE &ORUM s s These would be the first symptoms we a child to go to school they are ruining their see in children who are being exploited child’s future and that it is a big long-term loss through labor. (Doctor, Vaslui County- for the children involved. It means denying rural area) the child a part of their lives.

ANITP argues that from a legal point of view, The Community’s View on Child Labor this phenomenon is well-perceived by the In rural Iasi, interviewees stated that most com- people. According to the representative, par- munity members are against child labor and ents often sell their children because of lack of would not engage in it. Despite this feeling, funds. There are cases in which children from the general consensus among all interview ees Moldavia were forced by their parents to go to is that it is normal for children to work. This the south of the country to work. The conse- calls into question the community’s definition quences for the parents were the termination of child labor. of their parental rights.

However, the doctors commented that com- Child Labor Visibility munity members are not aware they are exploiting their children. For example, two All interviewees agree that there are indica- families went to the doctors to try to get a tions of child labor when there is poverty in medical exemption so that their children the community and problems at home. Chil- could do fieldwork. Both were denied such an dren who are sent to work outside the home exemption. do so because the family lacks proper food and clothing. For children interviewees, chil- The police officer in rural Iasi summed child dren working too hard for their age defined labor up best by saying, the consensus of the meaning of child labor.

Maybe they don’t accept this phenom- Further, it is evident that there are mixed enon, but everyone accepts it silently. opinions on the visibility of child labor, even They say that the child is able to work among members of the same community. hard but none of them thinks of the fact Some named examples of exploited children that they no longer have a childhood. within their community, while others felt it did not exist because it was normal for chil- Despite the community’s perception, the dren to help their parents. The vast majority mayor in Ceplenita, Iasi, stated that the of interviewees recalled the sensational media Department of Social Services started to have story of the boy who was sold to work on a an impact in 1996-1997 through laws protect- pig farm and was electrocuted while climbing ing the family, the children, and elderly people. an electricity pole. The social assistant says that more cases have been reported to her because of this. Student Perspective Taking into consideration the place where In all communities, children interviewees interviewees live, it is considered normal for knew children working inside and outside of children to work, especially since their par- their communities. In rural Iasi, where WV ents had done the same. One must support works, 67% of children in the 10- to 12-year- and care for their families. Yet, sometimes the old focus group knew children working in line is blurred. Not all parents are aware of the their community compared with 30% in rural limit between normal household chores and Iasi, where WV does not work; 45% in Vaslui, child labor, and they do not consider it exploi- where WV works; and 60% in Vaslui, where tation. It is usually harder for low-functioning WV does not work. By contrast, 100% of the families to understand that by not allowing students in the 13- to 14-year-old focus group

,AW %NFORCEMENT %XECUTIVE &ORUM s s in Vaslui, where WV works, know children community. Cases that do occur are generally within their community who were work- isolated and not overly severe as opposed to ing. In other areas, only one to two students incidents that happen in outside communities. in this group knew children working in their The work children do in their communities community. Regarding the 15- to 17-year-old was considered normal childhood work. interviewees, one to two students interviewed in rural Iasi knew students who were work- Among parents interviewed in Vaslui, the ing. By contrast, 80% of students interviewed majority recognized that many children in in Vaslui knew children working in their com- Vaslui work very hard, especially within the munity. As anticipated, children in Iasi City Roma community. did not know any children in their community who were working too hard for their age. Scanteia, Iasi, is the exception to the opinion However, they all agreed that they had seen that child labor occurs but elsewhere. Three such cases in the countryside, as well as with of the four parents/duty-bearers interviewed the Roma children begging on city streets. said there were cases of child labor in their community. Parents were aware of such cases Some of the students the children intervie- because their children told them about con- wees talked about were enrolled in school, versations with peers. while others were not. Those who are enrolled in school frequently miss classes to work. Fur- Stakeholder Perspective ther, a handful of these cases involve children living with extended family members. Occa- Community members feel the work children sionally, the cases described involve payment, do is age appropriate and a service to their fam- all involved poverty, and many involved ilies. To illustrate, all interviewees in Rebricea, familial alcoholism and abuse. Typically, these Vaslui, with the exception of the mayor, com- children needed to tend the land, do house- mented that they did not know any cases of hold chores, watch siblings, work in the vil- child labor in their community but knew that lage, and take care of animals. When asked there were communities where children work about child labor, one 15- to 17-year-old inter- too hard for their age and miss school. Profes- viewee in Iasi County gave a telling answer: sionals from all backgrounds commented that students may miss some classes to help their It sometimes happens with children who parents but they had not abandoned school are poorer. . . . I don’t know. . . . I’m not altogether. sure, I can’t say. They are not put to work very often here. No . . . there aren’t such Teachers noted that children wake up early to cases. do their chores and arrive at school tired and without the energy to participate. When asked Another 15- to 17-year-old interviewee in Iasi why children decided to work, the teacher County stated that responded,

There are cases of child labor in the The family environment, the fact that he village, but maybe the children do it is forced to do it by his parents, although voluntarily. I don’t know whether “forced” is the right word. Maybe they have to appeal to their children to work in order to Parent/Duty-Bearer Perspective be able to support themselves. (Vaslui Regarding the question of mentality, the overall County-rural area) opinion within all communities among those interviewed was the belief and knowledge Teachers in all areas stated they notice signs that child labor occurs but not in their own of working children when they have large

,AW %NFORCEMENT %XECUTIVE &ORUM s s numbers of absences. Despite parental/duty- ANITP stated that they have not received bearer accounts of child labor in Scanteia, Iasi, reports of child labor cases for either Iasi or the social assistant and the vice mayor said Vaslui County. However, if they did see such there were no cases of child labor or exploited cases, they would report it to the Director- children in their community. If there were no ate for Investigating Organized Crime which isolated cases, it would be difficult to identify would investigate the case and then possibly them. report it to the Child Protection Service.

The priest in Iasi City, representing the entire Children Going to Other diocese, noted that the most common form of Communities to Work child labor in Iasi City consists of child beggars, often making hundreds of Lei per day Most of the parents/duty-bearers interviewed depending on the time of year. Through his in all areas were not aware of children going to work, he had seen and visited these children. other communities for work. Every year, there The representative stated that they chose this were a few isolated cases of children leaving “independent” life because they were beaten their community to work as shepherds or in and exploited at home. agriculture as noted by parents/duty-bearers and community leaders. Usually, these children were between the ages of 13 and 17 and NGOs and Government Programs had abandoned school. Perspective Social Alternatives says that, for them, child There have been instances of children from labor is visible because they look for it. When neighboring villages, who were day labor- they first investigate a community, they have ers in other communities. However, this is a the image of the child that spends more hours rarity because rural areas are more isolated on the field than in school in mind. They go to and work is harder to find. One teacher out schools and see very few children in classes. of four responded that he or she knew six or Then they see them in the woods or out in the seven children who were sent to other com- fields, especially in autumn. The representa- munities to work. Generally, they were from tive further elaborated to say that human traf- disorganized or single parent families. The ficking cases are very rare. interviewee estimated that the children made 30 Lei per day. These children were registered Save the Children says that child labor is vis- for school but no longer attended. ible because they work with children that beg on the streets and sell flowers. It is difficult to According to the vast majority of interviewees determine if they do this work on their own in all areas, a nonlocal child coming into their or if their parents send them. The children are community to work or beg would raise sus- aware of their family’s financial situation and picions because people gossip and everyone know they need money. would know. However, a priest in Vaslui dis- agreed, stating that a nonlocal child coming to DGASPC-Iasi noted that children are occa- work as a day laborer would not raise suspi- sionally injured while working in inappropri- cions because people are grateful for the help. ate activities for their age. Most of the cases are in agriculture. There have been cases of Save the Children representatives stated that children falling from trees and getting struck they had a handful of cases in which children by lightning, as well as hoeing, shoveling, were left in neighboring villages to beg. How- and mowing accidents. The most serious ever, they have not had reports of this situa- and prevalent injury is the risk of permanent tion in the last two years. DGASPC-Vaslui and mental and physical delays. Iasi occasionally have cases of national internal trafficking with the intention to exploit

,AW %NFORCEMENT %XECUTIVE &ORUM s s through labor in which the employers come to local authorities before or after talking to to the north of the country from the south to the respective families. A priest, representing recruit workers. Parents sign contracts with the Iasi diocese, informed WV that he and his employers for their children in exchange for colleagues went to the local police to report animals or money. Usually, the contract does incidents of child begging but were told that not have any legal power but is a way to show it was better for them not to get involved for the parents’ consent. DGASPC is made aware their own safety. The priest in Vaslui summed of this type of contract borrowing when a up the situation perfectly: tragic incident occurs. The children receive very small sums of money for their work. In As long as the parents have a difficult addition, older siblings who have abandoned financial condition, as long as there are school often take their younger siblings with the so-called owners who look for day them to the south to work in agriculture. Fur- laborers and offer money, these cases ther, according to DGASPC, neighbors in the will not be reported. south do not report these incidents because they are complicit. The reasoning behind the lack of reporting in Scanteia, Iasi, resonates with all interviewed communities. Three of the four parents/ Reporting of Child Labor Cases duty-bearers interviewed said they would not Overall, interviewees agreed that child labor report it because it is not their concern and cases were very rarely reported, but they they cannot meddle in another’s family. One knew children who were miserable. How- parent said she reported a case once, but most ever, the vast majority of the parents/duty- cases were not reported because the children bearers interviewed stated that they had were educated to work. Further, teachers have never reported it. However, most stated that never heard of reported cases but estimate the they had witnessed it. One parent/duty- reporting rate was less than 1%. The social bearer reported a case in which she took in an assistant and the vice mayor confirmed that impoverished family who were not provid- such cases were not reported. ing for their children and reported it to the social assistant. Unfortunately, she would not Contrary to the opinions of their colleagues, intervene because she was concerned that the the social assistant and the mayor in Osesti, family would harm her. One parent/duty- Vaslui, believed that when cases were ascer- bearer in Vaslui commented that she wanted tained, they were reported. The social assis- to report her neighbors who drank, smoked, tant knew two concrete cases of child exploi- and made their children do their work, yet she tation and had spoken to the parents and did a had never reported this case. Another parent visit report. The mayor stated that there were in Vaslui admitted that she would not report families with problems, and they intervened the situation because at one point she was in every time it was necessary. The doctors the same situation. stated that they did not have any knowledge of reported cases. However, there were one or Further, teachers stated that child labor was two isolated cases, and the doctors went to the not reported because they only have iso- respective family to make them aware of the lated cases. To illustrate, in Iasi City, teach- problem. The police officer had not had any ers have never reported cases of their Roma cases of child labor reported to him but said children’s seasonal absences. Almost all pro- that they would take legal action if they were fessionals and community leaders stated that reported. From his experience, less than 10% if they observed a case of child labor, they of cases were reported to local authorities: would talk to the parents or family members involved to try to invoke a change. They fur- People don’t really take measures here. ther stated that they would not report the case . . . Although people see them working

,AW %NFORCEMENT %XECUTIVE &ORUM s s hard, they don’t think too much about it. exhibit mental delays. When investigations (Teacher, Vaslui County-rural area) ensue, they discover that these children are also exploited through work. Thus, about 70% Social Alternatives estimates that approxi- of neglect complaints also imply child labor. mately 10% of child labor cases are reported They have received 103 complaints of child to them. Only the very severe cases, cases in neglect through March. which the child was injured, are reported. Social Alternatives further estimated that 50% Local Initiatives for Raising of cases could be solved if they were reported. Awareness and Prevention They have come across abuse cases in which children were beaten, and when they inves- Social Alternatives has very good relations tigated the case, they realized that the child with the police, building activities that involve was also working and missing from school. them and sponsoring activities initiated by Further, Social Alternatives does not have a them to discuss child labor. The mayoralty database of child labor cases. Thus, they only often wants to help but lacks resources. The know about cases when they are in a commu- financial situation of the community is rel- nity exercising a campaign. evant in terms of whether the social assistants are successful. They believe that further part- When cases are reported to Save the Children, nership is possible. Unfortunately, because of they call the authorities if they are severe. If budgetary reasons, there are very few social they are not severe, they try to talk with the assistants working in the communities. children’s parents. Further, they said that citizens do not report such cases, but that it is left Social Alternatives launched initiatives that up to the NGOs to report cases when they are include a series of projects and partnerships discovered. with the ILO concerning child labor. These included projects designed for children who DGASPC-Vaslui said that child labor was not a were exploited and centers in which these phenomenon that people disapproved of until children were helped to keep up their school a few years ago. They organized informative performances. Further, these campaigns must campaigns, which clearly laid out the legisla- be continued in order to change mentalities tive framework that punishes child labor and and for parents to realize the importance of what it actually represents. As a result, report- education. ing has increased over the last few years. However, only some reports are confirmed. In 2003, Save the Children gathered local DGASPC elaborated to say that many times NGOs and institutions together in order to the local authority sees these cases but does launch media campaigns, targeting rural not report them. Thus, the reporting percent- and urban communities. Through these cam- age remains low. To illustrate, through the first paigns, citizens became more cognizant of the half of 2011, they have had six complaints of problem. Unfortunately, activities that existed child labor. By the end of the year, they usually are no longer put into practice because they have no more than 15 to 20 reported cases. do not have the financial resources. Thus, they need help from the state. DGASPC-Iasi noted that most cases are reported as neglect, not child labor. Accord- The DGASPC-Vaslui had a workshop on the ing to DGASPC, this is because pure exploi- topic of child labor to discuss the problem tation through labor does not exist within and find solutions. Local authorities and other the legislative framework. Often, when they institutions from the county were invited. Fur- receive complaints of neglect, they discover ther, they launched informative campaigns that the children are deprived of educa- in schools and certain communities and cre- tion, cleanliness, food, medication, and they ated leaflets to inform the populous about

,AW %NFORCEMENT %XECUTIVE &ORUM s s child labor. DGASPC-Vaslui collaborates with local authorities. Further, they do not feel com- the Territorial Labor Inspectorate, the Public fortable going to other parents and explaining Health Directorate, and other organizations to them how they should raise their children. in the position to offer support to exploited A priest in Vaslui felt the solution is not to children. The Territorial Labor Inspectorate report the cases. Instead, the solution is helps DGASPC obtain a restraint against the employer. The Public Health Directorate [f]or parents to face the risks and change helps DGASPC in cases that deal with chil- their conception in order to support their dren’s health. Further, this team of profession- children without asking them to work. als meets regularly to discuss cases and find alternatives to help exploited children. To propel the community to increase their reporting of child labor cases, each commu- The DGASPC-Iasi said they have held numer- nity needs a strongly enforced confidential ous programs in collaboration with Save the policy among community leaders. Further, Children, Social Alternatives, and WV. Further, community members need to feel as though the county is among the first in Romania to they will be listened to and educated to have the local intersectorial team for preven- understand how the consequences of child tion and combating child labor. In this team, labor will affect the children. DGASPC-Iasi there are representatives from the Territorial suggested that increased authority vigilance Labor Inspectorate and the School Inspection would boost reporting and decrease child Service, among others. labor. Moreover, for children to feel safe self- reporting their child labor case or that of their Lastly, ANITP initiated antitrafficking cam- peers, they need to feel that they can trust paigns with other NGOs from Romania and their community leaders: abroad. These campaigns were designed to reach children and other frequent victims of In many cases, the abuse is so intense abuse. that the child does not see or conceive a way out of it. They think it is their des- Increasing the Likelihood of tiny. (Priest, Iasi City-urban area) Reporting Furthermore, Save the Children suggested The likelihood of increasing the reporting creating a reporting campaign through which of child labor cases within communities is community members can call a hotline to very low. Community members from all anonymously report cases of child labor/beg- backgrounds do not want to get involved in ging. In addition, they further recommended the lives of their neighbors because of reper- following up on the hotline campaign with cussions for the family. Further, most com- another campaign designed to publicize suc- munity members do not feel as though they cessfully solved cases to convince community have enough information to act. Finally, the members that authorities are taking action. consensus is that no matter how bad the children’s life is at home, they will be worse off if Knowledge of Child Protection taken away from their families, a likely result Laws and Programs of reporting. Most children seem to be informed about In the rural areas, interviewees noted that child protection laws through school, and the community should get more involved. some even participated in programs to pro- However, they typically see things and never mote them. Though they have a good work- say anything. Fear of repercussions from the ing knowledge of such laws, many children respective family is enough to maintain com- feel there should be more activities dealing munity silence because they do not trust the with child protection and that the laws should

,AW %NFORCEMENT %XECUTIVE &ORUM s s be better known to the public. Overall, com- Who Is Responsible for Stopping munity leaders are divided on whether or Child Labor? not the laws are helpful for their community. For example, the laws are helpful in combat- Parent/duty-bearer interviewees agreed that ing child labor. However, they do not come to they were the ones responsible for stopping finality because prosecuting such cases takes child labor because they were the ones who substantial effort and time. Moreover, several chose whether or not to use their children for stakeholders feel that their community does inappropriate work. Secondly, they agreed not have sufficient resources and financial that the social assistants were responsible support to implement such laws. Since the because they check on the living situation of UN adopted the convention on the rights of every child. children, more attention has been given to the subject both in schools and elsewhere and to Community leaders are responsible for stop- the process of informing the children about ping child labor as well. This is achievable by their rights. As a direct result of these proj- paying more attention to changes in the child’s ects, teachers have seen the parents’ attitudes behavior. In addition, officials need to inform toward children change, as well as their view parents that they can be held criminally liable on the importance of education: for their actions toward their children. Priests mentioned that in their sermons, they talk to In my opinion, the laws are not entirely parishioners about what labor actually means respected. Despite programs focusing and how they should teach their children on children’s rights, the laws have been to work. They explain that parents cannot broken many times. (15- to 17-year-old, exhaust their children by asking them to work Iasi County-rural area) too hard for their age and that they should ask the young to do easy chores. The majority of parents/duty-bearers interviewed in rural Iasi where WV works stated Moreover, the priest in Iasi City suggested that they participated in parent education that the police are responsible for stopping activities run by WV and Save the Children. child begging because they choose whether or They felt the activities were helpful for those not to act violently toward the offender. When who attend and respect the law. Outside of they are violent against the children, commu- television and newspapers, the vast major- nity members take notice and are encouraged ity of interviewed parents/duty-bearers in to support the children through financial con- Vaslui have not heard about child protection tributions without realizing the consequences laws or programs about them in their commu- of supporting the beggar lifestyle. These con- nity. Most parents said there were no activities sequences include addictive behaviors and about child protection in their community. perpetuating exploitation. Instead, community members feel they are taking a stance A priest in Vaslui County also does not feel against an inappropriate acting police force. like the laws are well-known in the community; however, he feels that the situation Possible Actions to Stop Child Labor is more about the parent’s conscience than the country’s legislation. The general feeling Many interviewees were in agreement that among those who know the laws is that they the root causes of child labor—poverty and are respected in the community. According to symptomatic alcoholism—must be addressed the mayor, they impact the society in which prior to tackling child labor. Combating the we live: “What we raise today is what we will root causes will pave the way to addressing find tomorrow.” A society develops depend- the core issue of child labor. Possible actions to ing on its education and security. deal with child labor include informative campaigns and meetings with parents, children,

,AW %NFORCEMENT %XECUTIVE &ORUM s s and community leaders/authorities; contin- and rigid legislative framework is necessary. ued and strengthened NGO collaboration; Further, local governments need to strive increasing the child allotment; strengthening to make sure that the legislation is properly and improving child labor legislation; periodic enacted with appropriate repercussions for home visits to troubled families; paying atten- violators. In addition, whenever possible, tion to unjustified school absences; and ensur- the social assistants should conduct periodic ing continuity within the education system. home visits with troubled families. The school system can help track and report these fami- Interviewees voiced their opinions that there lies by paying close attention to unjustified should be informative campaigns and meet- absences. ings with the parents/duty-bearers to change people’s mentality about treatment of chil- DGASPC-Vaslui says that what is needed is dren and to make the issue public. DGASPC- an education system that could ensure conti- Iasi feels that informative campaigns need to nuity. In rural areas, children finish a certain reach beyond traditional movies and leaflets educational program and then they cannot to properly discuss the core issue. However, go on because the parents cannot afford to all interviewees recognize that changing a per- send them to another locality to study or they son’s mentality is very difficult. Other meet- cannot afford to send all their children to con- ings should be held with the children in their tinue school. Thus, they only send one child, schools to educate them on their rights and while the others stay at home and work. how to recognize a child labor situation. Con- quering taboo topics such as these allow chil- How Community Stakeholders/ dren and parents to talk frankly about them. Leaders Play a Part Lastly, informative campaigns should be held with community leaders and local authori- According to the legislative framework, “The ties to teach recognition of a child labor situa- staff of the public or private institutions who tion, remove its taboo, and hopefully increase come into contact with the child through the reporting. nature of their profession and have suspicions concerning a potential case of child abuse, According to Social Alternatives, there are no neglect, or maltreatment, must urgently notify long-term activities initiated by NGOs that the general department for social security and are continued by the local authorities. What child protection” (The Parliament of Romania, NGOs could do is to show the authorities their 2004). Usually, this condition is not met. In results, give them examples of successfully practice, professionals talk to the families of solved child labor cases, identify the issue’s the children and hope that a discussion will key points, and let them ask for services as change their ways. This is evident in conver- needed. sations with healthcare professionals. They talk with the parents/duty-bearers to try to Parents/duty-bearers in Vaslui suggested that bring about change but without reporting the increasing the child allotment could keep chil- cases. One police officer in Dumesti, Vaslui, dren in school. This goes toward addressing summed up the situation perfectly, explaining the main root cause of child labor: poverty. how they conduct informal sanctions while The financial support they receive from the reasoning with the families: mayoralty had recently been reduced. There- fore, for some families, it makes more eco- On one side, we sanction the family but nomic sense for their children to work than to on the other side, we communicate with attend school. them.

It is evident that solutions to child labor start The social assistant is a professional and also at the top with the government. Thus, a clear a community leader. The role of the social

,AW %NFORCEMENT %XECUTIVE &ORUM s s assistant is to stop these cases from happening machines have replaced some land work, the and to investigate them when they do. Fur- work amount remains the same because the ther, the social assistants in Vaslui where WV land size has increased. Further, many chil- works, discuss school abandonment and child dren now go abroad with their parents to labor at the Consultative Community Coun- work. cil because the headmasters, teachers, police chief, doctors, and all of the local authority According to teachers in Vaslui, where WV officials are part of this council. At these meet- works, the community knows that there are ings, they discuss community problems. Fur- anti-child labor laws, but family members ther, their role is to find a way to make the do not react to them. Lastly, the social assis- family sensible as far as the children’s basic tant said that once the police officer talks to needs are concerned and to take appropriate them, the children are not absent as often from measures in extreme cases when the situation school. does not change in the respective family if they are not receptive. Teachers in Rebricea, Vaslui, said that they have not seen a change in child labor because The mayor’s duty is to bring the law into there have always been poor families. In these operation, to provide the other community families, children work as much as their par- leaders with the necessary information, and ents. The general feeling in rural areas is that to take necessary legal action. However, the mayors stated that they do not have an appro- [t]hese kinds of things [real child labor] priate law to apply to child labor situations. have always existed, and they will still According to one mayor in Iasi County, they exist as long as parents need their help have been struggling since 1997 to combat because we don’t have the methods to child labor. However, they have been dealing improve the situation. (Teacher, Vaslui with the same things: they go and face these County-rural area) families, yet the families threaten them and reproach them for taking their children away. Teachers in Iasi City said that though they have not noticed a change in labor, they feel As part of their job, the priests are supposed the legislation is more severe, and there are to visit each parishioner’s house five times more projects initiated by NGOs to address per year. They go to every house, no matter this issue. how good or bad they are. Thus, they can come into contact with these problems ear- DGASPC-Iasi said that cases of child labor in lier. They try to explain the negative effects agriculture are more numerous than in the that this phenomenon has upon families and past. However, they are not reported because children to the parents/duty-bearers, though the degree of poverty has worsened and the they acknowledge that they cannot force the more poverty grows, the more the number families to do what they say because in the of exploited and neglected children grows as end, it is their choice. well. Further, before joining the EU, Romania had many reported cases of external human Changes in Child Labor trafficking, which is always done with the purpose of exploitation. Since joining the EU, Overall, community members have not the number of cases has most definitely risen noticed a change in child labor through the because one can go abroad much more easily. years. Further, many do not feel a change is However, these cases are not reported because possible. It was noted that since the 1989 revo- they are no longer seen as foreigners and, thus, lution, in the rural areas, families have been it is not considered external trafficking. given bigger parcels of land. Therefore, everyone in the family must work the land. Though

,AW %NFORCEMENT %XECUTIVE &ORUM s s Is There More Work Needed to perpetuates the poverty problem because chil- Combat Child Labor? dren cannot improve their future since they are no longer in school, leading to a future of The general opinion, both in rural Iasi, where few employment opportunities and a lifetime WV works, and in Vaslui, where WV does not of poverty. On the other hand, children who work, is that it is obvious that more work is have trouble learning prefer to work rather needed to alleviate child labor. From all of the than to study. Lastly, poverty perpetuates places considered, only a couple of people alcoholism, which increases the likelihood of expressed a different opinion: the priest in child labor, according to several interviewees. Ceplenita, Iasi, and the vice mayor in Scanteia, These impoverished parents do not have any Iasi. other source of income, so it is difficult to stop them from using their children to work. The priest felt that more work is not needed because he does two sermons on the topic Moreover, the lack of education perpetu- of child labor and feels it is enough because ates the cycle of child labor and child beg- his parishioners are very receptive. The vice ging when people do not know the difference mayor in Scanteia, Iasi, did not give a reason between helping and hurting those in need. for why he felt that no additional work was For example, when cases are not reported needed. to the authorities and community members give money and assistance to the families of Further, the social assistant in Scanteia thinks the child laborers, they are helping to keep more work is needed, but it should be to combat the families in their dire situations because the poverty in the community because that they are not encouraged to change. Concur- will help alleviate the root cause of the child rently, their actions are seen as not having a labor problem. The social assistant in Rebricea, consequence. Vaslui, suggests making a supervision center where impoverished children can go to do Perhaps the most important obstacle to over- their homework, play, and get a meal. come is the lack of reporting surrounding child labor cases. Those who witness child labor do Obstacles to Reducing Child Labor not inform the authorities because parents, professionals, and community leaders alike According to the vast majority of interviewees, do not feel comfortable discussing this topic poverty and lack of education are the main openly. Community leaders perpetuate the obstacles to reducing child labor. There is a problem by discussing the case with the fami- close connection between poverty and educa- lies involved yet failing to act. tion: when there is a lack of education, there is poverty, and where there is poverty, there Communication with families is also an impor- is a lack of education. Poverty stops parents/ tant barrier to overcome. It is hard to convince duty-bearers from sending children to school parents to come to school to talk with the so that they can help their family by working teachers, especially those with alcohol addic- and because they cannot afford to purchase tions. Community leaders and professionals, the items necessary for their children to attend such as priests and social assistants, also have school. These parents/duty-bearers think that trouble discussing child labor and missed the best solution for their families is for their schooling with the families involved. children to work. Thus, they ask their children to start working at an early age, with some The level of awareness and education repre- children starting to work at approximately 10 sents another challenge. Families need better years old. Further, if parents had good jobs and education on what is appropriate work for were paid properly, their children would no their children because they do not fully under- longer be asked to work. This repetitive cycle stand the scope and breadth of using their

,AW %NFORCEMENT %XECUTIVE &ORUM s s children for labor. They do not consider that forms of child labor as “forced or compul- what they ask their children to do is a form sory labor, and work, which, by its nature or of exploitation. NGOs with roots in the local the circumstances in which it is carried out, communities, such as WV and Save the Chil- is likely to harm the health, safety, or morals dren, are in the best position to provide this of children” (UNICEF, 1999). In practice, this education. definition is vague, and it is hard to determine what constitutes forced labor that is likely to Lack of interest and involvement on behalf harm children. Lastly, in keeping with the of the local authorities is also an important Parliament of Romania Law No. 272/2004 barrier. ANITP representatives expressed the (2004), “The child has the right to be protected opinion that the local authorities are not suffi- against exploitation and cannot be forced to ciently interested in solving this matter. They perform any work with a potential risk and further believe that the laws are poor and which is likely to compromise the child’s edu- inadequate to deal with the situation. How- cation, or to be harmful to the child’s health ever, the laws are just one part of the problem. or physical, mental, spiritual, moral or social Another issue in their opinion is that the laws development.” are not properly applied. As such, ANITP believes such cases of child abuse are rarely Due to vague child labor definitions, those punished. who are in the best position to report child labor, such as community members, authori- The workload of the local police officers is ties, and professionals, cannot properly rec- large and concurrently represents an impedi- ognize or define an exploited child because ment to investigating and solving child labor the practical limits are not clearly established. cases. Further, due to recent police force reor- Though child labor as an offense is clearly ganization, there are two employees for sev- stipulated in the Romanian legislation, com- eral communities, and it is difficult to attain munity members such as police officers and awareness of all child labor incidents. mayors, whose job it is to enforce such laws, are often unaware of their existence. Conclusions In practice, the terms difficult, forced, harmful, compulsory, usual household chores, depri- Lack of Awareness and Concrete Child vation of the educational program, inappropriate Labor Definitions Restrict Identification climatic conditions, and child labor are all open In order to be properly identified, child labor to interpretation. It quickly becomes obvious needs a clear, workable definition. Currently, that drawing a clear line is not possible. Of the the definitions that exist are vague and open to students interviewed in rural Iasi where WV interpretations, which is part of the problem. works, one out of 20 10- to 12-year-old children work over 28 hours per week complet- UNICEF (2011) defines child labor as work ing domestic chores. In rural Iasi where WV that exceeds a minimum number of hours, does not work, one out of ten 10- to 12-year- depending on the age of the child and on the olds work over 28 hours per week complet- type of work. According to this definition, ing domestic work and one out of eight 13- to domestic work, such as household chores and 14-year-old children work exactly 28 hours taking care of siblings, becomes child labor per week. In Vaslui, where WV works, one out when a child between the ages of 10 and 14 of 20 13- to 14-year-olds work over 28 hours spends more than 28 hours per week work- per week completing domestic work and two ing domestically. Working over 28 hours per 13- to 14-year-olds work exactly 28 hours per week is considered harmful to the child and week. In Vaslui and in Iasi City, no children should be eliminated. Further, Article 3 of work over 28 hours per week. UN Convention 182 partly defines the worst

,AW %NFORCEMENT %XECUTIVE &ORUM s s The above findings, signifying child labor as a parents or other community members. Part of result of domestic work alone, are not statisti- the reason reverts back to how the community cally significant to constitute a child labor phe- views child labor and what their definition is nomenon. This can partially be attributed to a of work that is inappropriate for their chil- sampling bias in which those most likely to be dren’s age. engaged in child labor were not interviewed. However, the work the children interviewees Another noticeable difference is seen in the are engaged in must also be taken into account. education that the children and parents have Students, parents, and community leaders received regarding child labor laws and pro- state that the children are engaging in their grams. In rural Iasi, Iasi City, and Vaslui, where usual household chores. As can be seen from WV works, students and parents are aware of the above analysis, for countryside children, child protection laws and rights. In rural Iasi these chores often blur the fine line between and Vaslui, most students and parents have acceptable and unacceptable chores. None of participated in activities run by Save the Chil- the students or parents who were interviewed dren and/or WV. Where WV does not work stated that they or their children were engag- and in Iasi City, a few students have partici- ing in what they had defined as unacceptable pated in activities. chores. However, the vast majority of students, parents, and community leaders know Further, the vast majority of students and par- at least one child is engaging in unacceptable ents where WV does not work are not aware chores for their families. In almost all of these of child protection laws and rights and the known cases, the children are missing school activities to promote them. This is especially to engage in such chores or to watch their sib- true in Vaslui. One parent commented that lings while their parents engage in work. For she is grateful for WV because they help chil- these children, it is considered normal to help dren and have given them a chance to see the with any household chores that their families world outside the boundaries of their village ask of them despite the hours or activities that they would not be able to experience on involved. Though by definition and general their own. Many of the children in communi- consensus these chores may be considered ties where WV works are aware of this help. work, very few children, parents, or community leaders perceive them as such. Fur- Cultural Mores and Attitudes Prevent and/ ther, they do not think that child labor exists or Restrict Reporting of Child Labor because their children and neighboring children are engaging in household chores, which In short, a phenomenon exists in the coun- they do not consider to be labor. tryside, though it may be difficult to extract. Clearly, children are working too hard for their age, but by definition, it is usually not consid- Rural Communities Tend to Experience ered child labor. Instead, it is often reported as Higher Rates of Child Labor child neglect. The lack of reporting and the fail- The situation is not noticeably different in ure to properly report these cases helps to per- communities where WV works as compared petuate this phenomenon. Students, parents/ to where WV does not work. However, it is duty-bearers, and teachers are usually aware noticeably different when comparing rural that these cases exist in their community. Chil- Iasi and Vaslui. Children, parents, and com- dren are typically the first to know of such cases munity leaders appear to know far more because they go to school with the exploited. children in Vaslui who they consider to be These children inform their parents/duty- working too hard for their age than in rural bearers and teachers, who also recognize the Iasi. Additionally, children appear to know problem because of seasonal absences. How- far more cases of children who they deem to ever, most community leaders are not aware be working too hard for their age than their that these cases exist in their community.

,AW %NFORCEMENT %XECUTIVE &ORUM s s It is evident that there is a disconnect between were being taken care of by relatives. Accord- those who witness such cases and the commu- ing to Social Alternatives, “the reward for nity leaders. As stated above, most intervie- this relative was the work the child did.” This wees do not consider what they deem as usual work has often taken them from school. household chores to be child labor or a form of exploitation. Thus, when they see children The DGASPC-Vaslui concluded their inter- working too hard, they consider them to be view with WV by stating engaging in usual household chores and do not report the incidents. They all recognize We are convinced that there are more who they should report the incidents to, but such cases, but if the economic factor in few actually report them. these families does not change and if we do not have an ideology more appro- Additionally, most interviewees prefer not to priate to the year in which we live, we interfere in the private family matters of their cannot talk about eradication methods friends and neighbors for fear of reprisals. or about more successfully solved cases. Those who would like to report such incidents opt instead for speaking one on one with the Recommendations families involved. Often, this solution does not solve the problem because there is no In an effort to curb child labor or over- higher intervention within the community, worked children, action needs to take place and the families continue with their business within Romania. First of all, Romania needs as usual. Finally, if no one reports these cases, to ensure access to free basic education for all community leaders will have no direct knowl- children. According to the law, this condition edge that this problem exists and will not ask is met. The country is doing well by offering for help in combating it from local NGOs. free basic education, free school supplies for low-income families, and a free school snack program. They are also doing well by offering Poverty Is Seen as the Primary Root parents a child allowance incentive to send Cause of Forced Child Labor their kids to school. However, they need to The repeated theme from all interviewees improve where access is concerned. Accord- within the analysis is one of poverty. Interview- ing to parent/duty-bearer interviewees, child ees feel that if poverty were not so heightened attendance declines in the winter when the and prevalent in rural communities, families roads get bad because the bus cannot get to would not need to require their children to the children. School continues to remain an work. Thus, the issue of child labor might not important foundation in a child’s life because exist at all. it provides children with prospects for a brighter future and a possible escape from Parents working abroad further exacerbate problems at home. In cases where the families the phenomenon. WV has noted a few such are very poor, a mayor in Vaslui wants to make children in every community that was visited a social house, an after-school program where for this research. Social Alternatives stated the children can study and receive a meal. that they have taken part in a partnership with They are now analyzing the situation in more UNICEF concerning children whose parents detail and hope to implement this project. are working abroad. The European Parlia- ment, which recommended that the European NGOs and the Romanian government need to countries be aware of the child labor phenom- work harder at providing information to the enon, analyzed the study. In 2008, there were local communities about child rights, child 350,000 children in this situation in Romania, labor, and exploitation. Further, they should with more than 100,000 of them having both promote anonymous reporting among com- parents living and working abroad, and who munity members and especially children.

,AW %NFORCEMENT %XECUTIVE &ORUM s s Anonymous reporting will include listening capacity, tools, and willingness to implement to children and community members who the laws. need to self-report their own circumstances of child labor or that of their peers. Community Lastly, as stressed by all interviewees, poverty members need to feel that their reports will is the underlying cause of child labor. Further, remain confidential and that suitable officials it is also partly the underlying cause of alco- will look into their reports in a timely manner holism. In addition, alcoholism is partly the and take appropriate action. underlying cause of poverty. Therefore, communities need services and activities geared Moreover, the government should work with toward curbing poverty. It may be a long way local NGOs to organize information and forward, but the best way for the government counseling campaigns with parents, students, to start would be with the social services agen- and community leaders concerning children’s cies to initiate programs to help financially rights and what exploitation through work struggling families, to enhance already exist- means. The more informed the community is, ing programs, and to increase access to these the more likely that a change will happen as existing programs. Moreover, counseling is in is evidenced from Ceplenita, Iasi, where WV order to help these families overcome their sit- has worked for the past 14 years. In addition, uations. The children are reliant on their par- there should be enhanced prevention mecha- ents/duty-bearers for support. When families nisms. There are a few NGOs who deal with steal their children’s childhood by making child protection, but they cannot prevent, them grow up before their time, society as a intervene, and monitor all child labor cases. whole suffers, and it prolongs a turnaround.

Further, Romania needs better child protec- References tion legislation, implementation, and infra- structure to ensure proper execution that Children’s Rights Protection. (2010). Retrieved encourages community members to report February 16, 2012, from www.mmuncii.ro/ infractions and has legal ramifications for pub/imagemanager/images/file/Statistica/ offending families. DGASPC-Iasi stated that Buletin%20statistic/2010/2010%20copil.pdf. Law No. 272/2004 stipulates begging as a criminal offence, and every criminal offence International Labour Organization (ILO). (2005). must be outlined in the Penal Code. However, Child labour in Europe. Ithaca, NY: Cornell according to the representative, begging is not University. specifically mentioned and neither is child labor. It does not specify how the employer is ILO. (2007). Steps to the elimination of child held responsible from the legislative point of labour in Central and Eastern Europe: Emerg- view. The laws need to be clear, concrete, and ing good practices and lessons learned. Geneva, coercive. Employers are normally given a fine. Switzerland: ILO. However, ramifications for complicit families cannot be financial because the majority of ILO, International Programme on the Elimina- these families are already struggling to make tion of Child Labour. (2003). Rapid assessment ends meet and an added fine would make of trafficking in children for labour and sexual the situation harder and further perpetuate exploitation in Romania. Bucharest, Romania: the problem. In order to create better legisla- ILO. tion, then, the government needs to clearly define what child labor means and what is ILO, International Programme on the Elimi- acceptable and unacceptable. Furthermore, nation of Child Labour. (2009). The govern- these laws should be made visible through ment of Romania and the International Labour various promotion activities that engage the Organization: A decade of cooperation on the community. Finally, local authorities need the

84 ,AW %NFORCEMENT %XECUTIVE &ORUM s s elimination of child labour 2000-2009. Geneva, Rebecca Smokowicz graduated from Switzerland: ILO. American University in 2006 with a Bachelor of Arts in International Studies ILO, International Programme on the Elimi- and a Minor in Spanish. In May of 2011, nation of Child Labour. (2010a). 2010 global she graduated from George Mason Uni- action plan and technical cooperation priorities. versity with a Master of Arts in Public Geneva, Switzerland: ILO. Policy and a certificate in National Secu- rity. After taking a course in human traf- ILO, International Programme on the Elimi- ficking, she realized that she wanted to nation of Child Labour. (2010b). Global child study it further. As an elective to ful- labour developments: Measuring trends from fill her graduation requirements, she 2004 to 2008. Geneva, Switzerland: ILO. sought an internship with World Vision, Romania, for the summer. This intern- ILO, International Programme on the Elimina- ship allowed her to pursue her interest tion of Child Labour. (2010c). Migration and in child labor and human trafficking. child labour: Exploring child migrant vulnerabil- Her goal is to combat human trafficking ities and those of children left-behind. Geneva, in the future. Switzerland: ILO.

ILO and Understanding Children’s Work. (2010). Joining forces against child labour: Inter- agency report for the Hague Global Child Labour Conference of 2010. Geneva, Switzerland: ILO.

McKenzie, D., & Rapoport, H. (2006). Migra- tion and education inequality in rural Mexico (Working Paper 23). Buenos Aires: Institute for the Integration of Latin America and the Caribbean.

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UNICEF. (2011, July 25). Child protection: Child protection from violence, exploitation and abuse. UNICEF website. Retrieved February 14, 2012, from www.unicef.org/protection/ index_childlabour.html.

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,AW %NFORCEMENT %XECUTIVE &ORUM s s Gang Injunctions: A Tool to Control Gang Activity

Matthew D. O’Deane, PhD, Professor, University of Phoenix Stephen A. Morreale, DPA, Worcester State University, Walden University

As major cities in America struggle to respond defines a nuisance as “anything which is injuri- to the growth of gangs and attendant crime ous to health, including, but not limited to, the and violence, gang injunctions have been used illegal sale of controlled substances, or is inde- in California with some success for the past 25 cent or offensive to the senses, an obstruction to years. There are eight states with legislative the free use of property, so as to interfere with authority to obtain gang injunctions to enjoin the comfortable enjoyment of life or property, or gangs from illegal activity. unlawfully obstructs the free passage or use, in the customary manner public area.” Common A study and review was conducted of 25 south- suppression strategies against gangs, such as ern California gang injunctions to understand gang sweeps and zero tolerance patrols, are often if civil gang injunctions reduce crime. The believed ineffective because of their reliance on research measured and analyzed police calls criminal law which applies equally to all citizens for service, including serious (Part 1) and less and at all locations. Usually, this necessitates a serious (Part 2) crime calls within the injunction showing of individual participation or involve- area. It was found that Part 1 calls decreased ment by each individual (Bureau of Justice Assis- by 11.6% in the injunction areas, Part 2 calls tance, 1993; Capizzi, Cook, & Schumacher, 1995). decreased by 15.9%, and total calls for service While there may be variations in the prosecution decreased by 14.1% in injunction areas. of criminal laws from one jurisdiction to another, the individual culpability requirement allows Police officers assigned to California gang fewer opportunities to attack the group charac- units impacted by gang injunctions were sur- teristics applicable to street gang activity. In par- veyed to determine their perception of the ticular, there is a tendency of gangs to act as a efficacy of the injunction. It is hoped that the group rather than as individuals (Miller, 1982; insights gathered from police officers tasked San Diego District Attorney, 2000). with enforcing the injunctions can help lead to a greater understanding of which dimen- In contrast, because injunctions rely on civil sions predict gang injunction effectiveness to laws that tend to focus more on protecting optimize future injunctions. the community and less on criminal violations, gang injunctions may be better suited This study was initiated to better understand the to addressing gang group dynamics and practice and efficacy of using gang injunctions may have a better chance of disrupting the to reduce the occurrence of crime in neighbor- entire gang’s activity in the designated areas hoods and other areas in cities and counties. (Rosenfeld & Messner, 1995; Short, 1963).

What Is a Gang Injunction? This study surveyed police officers from gang units in southern California based on 25 gang A gang injunction is an order of a court directing a injunction areas included in previous research party to perform a certain act or to refrain from an (O’Deane, 2007a). This was done to learn what act or acts (Columbia Encyclopedia, 2006). They police practitioners believe helps or does not are civil lawsuits which allege the gang and its help in making a gang injunction more or less members have occupied and used the specified effective. The goal of this research was to iden- target area in a manner that constitutes a public tify the variables that impact gang injunction nuisance. The California Civil Code, Section 3479, effectiveness.

86 ,AW %NFORCEMENT %XECUTIVE &ORUM s s Review of the Literature Other Enforcement Operations Since police officers have broad discretion Gang injunctions can be part of an overall in making arrests and selecting which laws strategy against the local gang and may have and codes they feel are more worthy of police more of an impact in the target area (Goldstein, attention, they can choose a number of pos- 1990). The theory holds that the more opera- sible courses of action in any given situation tions that are simultaneously conducted against (Davis, 1969; Manning, 1977). In essence, the the gang, the more effective the injunction may police dictate the success, or lack of success, be. Expectations should be reasonable because of any gang injunction. The injunction can no single remedy will cure the problem; a only be as effective as the police want it to be, mix of approaches is required. (American assuming they selected the correct gang, the Civil Liberties Union [ACLU] Foundation of correct gang members, served the orders, and Southern California, 1997). Some experts feel aggressively enforce the injunction. A willing that injunctions coupled with other tools for police force can make the injunction a useful controlling gang activity, such as situational tool for reducing gang activity by identifying, crime prevention, crime prevention through locating, and serving problem gang members. environmental design, crime-free multi-hous- In reality, even if the police have the time to ing programs, anti-loitering statutes, traffic respond to a gang injunction violation, have checkpoints, aggressive truancy, and curfew proper staffing, and know of the injunction’s enforcement, and a crackdown on weapons existence, if they do not feel it was a worth- violations may be more effective (Goldstein, while effort, they will not be prone to take any 1990; Hemmens & Bennett, 1999; Stark, 1987). enforcement action (Kadish & Kadish, 1973). If other operations were conducted in connec- Police Response Times tion with the injunction, what were they? For those officers who were aware of the presence A quick response to a call or police observa- of other enforcement or redevelopment proj- tion of a potential gang injunction violation ects, they were asked to identify what the other may mean less crime when compared to a enforcement operations were and what other slow or no response (Spergel, 1966). Due to projects may have been ongoing at the same the number of calls to most agencies, police time. Without a survey to gauge this issue, it typically operate with a prioritized response may not be possible to identify other categories policy wherein police officers respond to that may or may not impact gang injunction the most urgent calls as quickly as possible. effectiveness. By failing to respond to areas that Response time may be an indicator of how are under a heavy burden of gang violence, the high a priority the gang injunction is to the positive impact of social programs in the area police department. The second topic on the may be reduced. People may be less likely to uti- police officer survey sought to evaluate police lize the programs and services if they do not feel agency response to injunctions. Is a gang safe doing so (Decker & Curry, 2003). By remov- injunction violation seen as an important call ing gang members from public view, the police for service or as a self-initiated activity that theorize lawless residents will be deterred from has an aggressive response? Is it a low prior- committing future crimes and make neighbor- ity call that may not get dispatched for hours, hoods safer for law abiding residents (Agnew & or is the injunction not enforced at all? Com- White, 1992; Vold, Bernard, & Snipes, 1998). bating gangs requires allocation of sufficient time, money, staffing, and other resources to Type and Size of the Target Gang address the problem (Bureau of Justice Assis- tance, 1998). Clearly, police resources are not The size of the gang selected for an injunction unlimited (Fritsh, 2003). can impact its effectiveness. Cloward and Ohlin (1960) developed the differential opportunity

,AW %NFORCEMENT %XECUTIVE &ORUM s s theory which identified several types of gangs impact on the other members of the gang. Tar- (Kenney & Finckenauer, 1995). Some gangs share geting leaders alerts the entire gang to the pres- similar characteristics but also differ in some ence of the injunction as the communication in ways such as in their size and territoriality (Fagan, gangs often starts at the top and filters down. It 1989; Klein & Crawford, 1967). Not every gang is acknowledged that injunctions cannot address makes a good candidate for a gang injunction. the problems that an entire gang poses. They are To identify the relevant characteristics of a gang by design an attempt to stifle the gang by focus- that may be subjected to an injunction, the police ing on a select few members (Alonso, 2003). officers will be asked a series of questions about the gang they have selected to be enjoined. The The more territorial the gang targeted with an structure of gangs in California varies depending injunction, the more effective the injunction may primarily on size (Valdez, 2005). be. This may result in reduced crime in the area. In many cases, gang injuction effectiveness can Percentage of the Overall Gang be attributed to the different degrees of terri- Targeted with Injunction toriality of each ethnic gang. A territorial gang may be impacted more significantly by a gang It is believed that the greater the percentage of the injunction than a gang that is not beholden to gang’s total membership served with the injunc- a geographic area, making territoriality a key tion, the greater the impact on effectiveness. It is prerequisite of an effective gang injunction. In logical to assume that serving 50 members of a southern California, the most territorial gangs gang with 75 total members may be more effec- tend to be Hispanic and African American (Vigil, tive than serving 50 members of a gang with 500 1988). Asian and Caucasian gangs also exist and total members because a greater percentage of the pose tremendous problems for law enforcement. gang’s membership is restricted by the injunc- In some jurisdictions, they contribute to the bulk tion; this makes it more difficult for the gang to of the gang problem. However, they tend to be adapt and respond to the order. The more mem- more mobile and do not have easily defined ter- bers of the gang subjected to the order, the more ritorial boundaries, which makes targeting them difficult it may be for the gang to ignore the order with an injunction more difficult (Valdez, 2005). by using members who have been excluded to enter the area and resume the criminal activity. The more serious the gang crime, the greater the The reason injunctions cause concern for gang possibility that an injunction will be effective members is because they can go to jail simply for when compared to an area without serious gang- being with a fellow gang member; the police do related crime (Yablonsky, 1962). In areas where not need to catch them in the act of committing gangs engage in public acts of violence; gang a crime. Research suggests gang members are intimidation; and public congregation leads to criminals who tend to commit crimes together shootings, stabbings, assaults, and rapes, the and feel more powerful as a group as they injunction may be more effective (Valdez, 2005). know that they are more intimidating (Thrasher, The type of activity the target gang engages in 1927/1963). By reducing the potential size of the is widely accepted as being a category when total group available to commit crimes in public evaluating gang injunction effectiveness. For view within the target area, a corresponding example, if a gang is involved in identity theft, drop in crime in the target area may occur (Klein an injunction would have little impact because & Crawford, 1967; Short, 1963). the gang does not need to congregate in public view to conduct that crime; it can be committed Gang Leaders in any jurisdiction and is not tied to a geographical area. Two types of activity were addressed The injunction will be more effective if gang lead- in the police survey: (1) is the crime committed ers are targeted. Targeting leaders makes it more by the gang primarily Part 1 crimes and (2) is difficult for them to maintain control of gang the crime primarily committed by the gang as a activity in the target area, having a corresponding group or more as individuals.

88 ,AW %NFORCEMENT %XECUTIVE &ORUM s s Gangs with members who primarily commit for evaluating that effectiveness. Some contend crimes as individuals may be less effective when that gang injunctions are ineffective and simply compared to gangs who commit crimes primar- displace crime from the injunction target area to ily as groups. Common suppression strategies neighboring communities where restrictions do against gangs are often believed ineffective not apply (Reza, 2006). Sometimes displacement because of their primary reliance on criminal is the desired effect; law enforcement wants law. Criminal law applies equally to all citizens the gang members to cease operation on their and in all locations, and it usually necessitates claimed turf. Gang injunctions target neighbor- a showing of participation or involvement by hoods that typically have a well-entrenched gang each individual (Bureau of Justice Assistance, presence. By placing pressure on local gangs, 1993). While there may be variations in the pros- law enforcement hopes members feel commit- ecution of criminal laws between jurisdictions, ting their crimes elsewhere offers a better chance the individual culpability requirement allows of success. This may increase the chance of arrest fewer opportunities to attack the group charac- as the gang member is out of his or her comfort teristics applicable to street gang activity. zone, and the new area may have a history of reporting crimes or suspicious activity. These Keeping the target areas manageable in size allows new areas may not offer the gang member the for a greater level of effectiveness. The impact of same support base that has helped him or her smaller target areas in most cases makes evidence evade justice and cover up criminal activity in collection a more manageable task (Delgadillo, the past (Meares, 2005; Sherman, 1990). 2006). Police should use major streets, freeways, and rail lines as injunction boundaries to make Gang injunctions can be more effective in pov- the identification of the target area easily under- erty stricken areas as compared to middle class standable to gang members. Some gang injunc- or affluent areas. Strain theorists believe the tion target areas are selected based upon exist- strain of living in dilapidated poverty stricken ing crime reporting districts to better analyze areas contributes to youths joining gangs and the impact of the injunction at a later time. This committing crimes (Cook, 1986; Miller, 1958). may make gathering crime statistics a bit easier, but gang territories do not always fall neatly in Zoning in the Area line with police reporting or other jurisdictional borders. Injunctions can work only for specific The more residential housing in the target area, territorial gangs, whose members won’t or are the better the injunction effectiveness may be less likely to carry on their activities outside their when compared to an area with a heavy con- own neighborhoods out of fear of other gangs centration of industrial and business establish- that control those areas (Levy, 1997). ments (Goldstein, 1990). This is important to gang injunction effectiveness because, according The largest gang injunction area to date is approx- to Wilson and Kelling’s (1982) Broken Windows imately nine square miles (People v. Avenues, Theory, if a window is broken and is left unre- 2002). The bigger area may make it more difficult paired, all other windows will soon be broken. for gangs to simply shift their activities within This is because leaving windows broken indi- their recognized gang turf. If the gang is not cates the community is not interested in how restricted in all areas of their identified turf, they the neighborhood looks and lacks community may adapt to the increased enforcement without pride (see also Buerger, 1994; Dubin, 1959). having to move from the comfort zone that their home turf affords them (Skogan, 1988). Community Involvement Gang injunctions that include every square inch The gang injunction’s success is bolstered by of the targeted gang’s territory may increase strong community support (Flynn, 1998). Com- injunction effectiveness. The percentage of the munities commonly respond to gang pres- overall enjoined territory may be a critical issue ence by not using public spaces for recreation

,AW %NFORCEMENT %XECUTIVE &ORUM s s or leisure. This disrupts social balance and The complaint may name the gang as the sole community attachment to the target area and defendant, it may name individual defendants decreases the community’s ability to regulate in addition to the gang, or it may name only criminal behavior (Bureau of Justice Assis- individual defendants. Naming only the gang tance, 1998). It also allows the gangs to gain seems to offer law enforcement flexibility and control of the area as they take over public may lower the costs of bringing the injunction spaces, adding to the community’s level of fear (Aos, Phipps, Barnoski, & Lieb, 1999). Rather and intimidation (Wilson & Kelling, 1982). than build a case against each gang member the prosecution intends to bind, the prosecu- Police-Initiated Injunctions tion would only have to build a case against the gang as a whole. Notwithstanding these pos- When compared to injunctions initiated by sible advantages, naming only the gang may another group, police-initiated injunctions are present problems if a gang member claims that more effective. Injunctions sought by police are he or she did not have notice of the injunction. considered more advantageous and impactful than injunctions sought in reaction to an event. The presence of a local gang coupled with an It is important to properly analyze and take into unhindered ability to congregate increases the account the involved gang or target area. Addi- likelihood major crimes will occur and minor tionally, the police are more likely to be diligent nuisance activity will continue making enforce- about their work on a project that interests them, ment a key category to any injunction’s effective- rather than one taken on for political purposes. ness (Beccaria, 1764; Crowe, 2000). Any violation should be addressed by way of arrest and pros- Injunctions initiated by groups outside law ecution to send the message to the individual enforcement appear to have a reduced level of member, and the group, that the order is a seri- effectiveness. The police are typically tasked ous matter (Los Angeles Civil Grand Jury, 1995). with identifying specific problems: who is the Swiftness, certainty, and severity depend heavily source of the problem, which gang is the prob- on the individual jurisdiction taking the neces- lem, what type of gang are they, which specific sary steps to educate officers on the presence of gang members are the problem, and what types the injunction, who it impacts, and how to enforce of crimes are they committing. In addition, the it. It must encourage enforcement of the orders following issues must be considered by police: to send the appropriate message to the gang. The how long will it take to get the injunction, what order is a serious issue that demands their atten- resources are available to address the prob- tion, whether they like it or not (Bratton, 1995). If lem, and who will be tasked with doing what? police are not aware an injunction exists, it stands Injunctions initiated by these outside groups to reason the gang injunction is completely inef- may not take all relevant factors into account. fective and irrelevant. It is a critical function of the lead detectives and prosecution to ensure that Individual Defendants the officers who work in the gang injunction areas are made aware of the presence of the injunction, Typical complaints about gang injunctions are how to enforce it, and how to file the cases. usually constructed in one of three ways. The types of order varies significantly from one Injunctions that simply require gang members jurisdiction to the next. Does the naming of indi- be cited and released are not as effective as vidual defendants have a greater psychological those which require gang members be booked impact on the gang member as opposed to an in jail. Aggressive enforcement of an injunction order in which the gang member’s name is not enables law enforcement to effectively prevent listed? Does the process of serving large num- imminent criminal activity by arresting per- bers of gang members have a more beneficial sons for prohibited patterns of conduct that are impact when compared to serving just one or known to precede and facilitate gang crimes two members of the gang? (Hanh, 1992). Used properly, a gang injunction

,AW %NFORCEMENT %XECUTIVE &ORUM s s can help a community take back its streets. How- a gang member’s level of self-control, his or her ever, wielded as a hammer rather than a scalpel, ability to intimidate and control turf, and his or an injunction can do more harm than good by her ability to carry out crimes for the benefit of the alienating innocent citizens from the officers gang—all of these have implications in regards to who are sworn to protect them and eviscerating the psychological aspects of gang crime. citizens’ civil rights (Ricciardulli, 2006). Summary and Recommendations Updating Orders The review and analysis of existing and previ- Because gangs are ever evolving, keeping gang ous gang injunctions have helped to provide injunctions updated is necessary. The phenome- recommended steps for future gang injunc- non is sometimes referred to as a shelf life or expi- tions when considering their potential effec- ration date. Over time, as older members drop tiveness. This research has revealed that police out of the gang, go to prison, or die, “order” has willingness to enforce the order is a critical less impact on the active membership. Through element of an effective gang injunction. new recruitment, the cycle of gang activity continues generation to generation (Spergel, 1966). The majority of the survey participants In Los Angeles, some injunctions give the gang reported a fast response to a gang injunction detectives the opportunity to add new members violation. This is supported by the fact that of as they are identified as a problem over time the 25 injunctions evaluated in this study, 21 (Alonso, 2003). Failure to update injunction orders of them resulted in a reduction in crime, indi- will slowly diminish the power of the injunction. cating that police response is a contributing This will result in injunctions being put on the factor to injunction success. This research sup- back shelf and not enforced as they become less ports deterrence theory in that police agencies relevant to the current gang problem. that allocate sufficient resources to enforce the gang injunction have a more positive impact. This research indicated that gang injunctions that limit the ability of gang members to associate in The majority of surveyed officers felt that an public view will result in a reduction in crime in injunction arrest was a beneficial use of time, the target areas. Criminological association theo- and the majority of officers supported arrests ries suggest that addressing group processes and over no action being taken. If the police feel it negative peer influence decreases gang-related is worthwhile to make an arrest for violating crime, which has been supported by this research. an injunction, the injunction will be more effec- According to the research, by removing the most tive. The majority of officers described them- visible presence of the most problematic members selves as being very involved in the process. of the targeted gang in the target areas, there will be a significant reduction in crime when com- A majority of officers identified the police as the pared to the baseline and to the controls. initiators of gang injunctions and that they felt their department did keep them informed of the Gang dynamics are addressed in connection with injunction’s status. The majority of officers said deterrence, association, environmental, and eco- injunction violators were booked in the local jail nomic theories. The psychological impact of a gang subsequent to a gang injunction violation arrest. injunction on the dynamics of the targeted gang is Slightly less than half of the officers felt their juris- related to every category of theory in this research. diction adequately updated their injunctions. Each of these theoretical models make specific predictions on what factors may decrease gang- 2ECOMMENDATION FOR 3TEP 'ANG related crime. This study sought to explore the Injunction Process relationship between predictions made from these theories and which variables are empirically asso- Based upon the literature review, and a review ciated with successful gang injunctions. Impacting of recent gang injunctions, we have formulated

,AW %NFORCEMENT %XECUTIVE &ORUM s s 10 recommended steps for those seeking future and defined clearly. Whenever possible, use gang injunctions to take into account prior to major streets, freeways, rail lines, and other implementing a gang injunction to potentially significant borders to make the identification increase gang injunction effectiveness. of the target area by both the police and the gang members easily understood. Many cur- 1. Start with a motivated prosecutor, and allocate rent gang injunction target areas are selected sufficient investigative resources. based upon existing police reporting districts This research supports the deterrence theory to better analyze the impact of the injunction holding that police agencies that allocate at a later time. This makes future assessment sufficient resources to enforce the gang easier, but a more important factor should be injunction have a more positive impact. adequately defining and enjoining the correct turf of the target gang. 2. Accurately identify the nuisance activity and the problem. 5. Collect evidence. Police officers, in collaboration with the Most of the evidence presented to the court prosecution, are responsible for identifying in gang injunction cases is in the form of writ- the problem posed by the particular street ten declarations from numerous potential gang that is creating the nuisance in the sources to prove the existence of the need for target area in violation of existing state laws. the court order. Virtually every gang injunc- The police are the ones typically tasked with tion also includes photographic evidence of identifying the specific problem, the source gang members posing together; displaying of the problem, which gang, what type of hand signs, tattoos, and weapons; and, more gang, which specific gang members, and importantly, showing their affiliation and what types of crimes are they committing? association with one another. Gang injunctions require having all of the contacts for 3. Identify the defendants to be named or targeted each gang member included in the primary by the injunction. officer’s declaration that combines all of the When starting a gang injunction, it is very evidence into one easy-to-read document. important to select the proper defendants When collecting evidence in the form of to be subjected to the order. This research declarations, they should all be prepared in recommends that the gang expert and pros- the same style and format to make the order ecutor start by analyzing every known easily interpreted by the court. member of the gang they are tasked with investigating and evaluating all of them 6. Decide which type to obtain—prepare the order. for potential inclusion in an injunction. It The complaint may name the gang as the is critical that the primary investigator on sole defendant, it may name individual the case has a comprehensive understand- defendants in addition to the gang, or it may ing of the entire gang and that he or she is name only individual defendants. Naming able to explain why the members who were only the gang seems to offer law enforcement included in or subsequently served with the flexibility and may lower the costs of bring- injunction were selected. ing the injunction. Rather than build a case against each gang member the prosecution 4. Identify and describe the target area. intends to bind, the prosecution would Some of the gang injunctions obtained con- only have to build a case against the gang sisted of target areas whose borders are con- as a whole. Notwithstanding these possible fusing, which may cause the police to be advantages, naming only the gang may pres- apprehensive to take action if they are unsure ent problems if a gang member claims that if they are actually in the target area. This he or she is not a gang member and they are research recommends picking an area that not part of the public nuisance. is easily understood and can be mapped out

,AW %NFORCEMENT %XECUTIVE &ORUM s s Even so, naming the gang as a whole seems to This is where gang evidence, each named offer law enforcement the most flexibility and member’s history, the size of and activity lowers the cost of bringing the injunction. in the target area, and the activity of the target gang as a whole become very impor- 7. Decide what activity will be restricted before tant. Some injunctions go through the legal obtaining the order. process with virtually no opposition; others A gang injunction should be tailored to are fought in lengthy trials. The police and address the specific nuisance activity asso- prosecution must assume that a trial will ciated with the target gang. After setting be required and that each and every gang forth the proper standard for what consti- member will appear and contest their inclu- tutes a public nuisance, a typical complaint sion in the order. Proceedings based upon will then paint a portrait of how the gang’s that assumption will increase the likelihood activities meet this standard. The points and that the case is successful. authorities in support of the injunctive relief may cite specific instances of conduct that 10. Enforce, maintain, and update the order; edu- form the nuisance. These instances are pro- cate the police and community. vided in the declarations accompanying the Once the prosecution makes a successful complaint, often attested to by law enforce- showing that the gang’s activity constitutes ment officers. The prohibited activities vary a public nuisance, proper enforcement of the from injunction to injunction based upon the order is the last and perhaps one of the most evidence that illustrates the need to enjoin a significant steps of the 10 steps discussed specific activity by the target gang. herein. The enforcement and maintenance of the order can occur over many years. If 8. Notify defendants. implemented correctly, the injunction can be Once the order is obtained, it is important a long-lasting tool that disrupts the gang’s to make notification to each of the defen- ability to conduct business in the neighbor- dants who will be impacted and subjected hoods they once felt they controlled. to the terms and rules outlined in the order. Due process requires that in order to hold a The successful implementation of a gang injunc- person amenable to an injunction, he or she tion requires constant vigilance in the target must have notice of it. area where no violation should be ignored. To enforce and maintain the order, police must Each gang member who will be subjected to first be aware of the presence and conditions the conditions of the order must be served of the order. In San Diego County, the District a copy of all court documents related to Attorney routinely attends the police line-up the case, which includes all of the evi- trainings to discuss pending and ongoing gang dence against them, with the exception of injunctions with officers, how the injunctions anything placed under seal by the court. This are obtained, what these mean for the police, research sought to evaluate how defendants how to make an arrest for an injunction vio- are served, the manner in which they are lation, what an injunction violation is, how to served, and the criteria used to determine write the report, where to file it, and what out- who is served with the gang injunction. come prosecutors will be seeking.

9. Final disposition: Trial/Hearings Conclusion Every gang injunction has to be presented to a court of law for a determination to be made The research identified several essential compo- if the injunction should be granted. This is nents of effective gang injunctions. The findings the stage that emphasizes the importance of of the study support their efficacy. Police agencies having a well-prepared case and enhances must continue to maintain vigilance to enforce the chance of a successful outcome in court. and update the injunctions that are in place.

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Hanh, J. K. (1992). Civil gang abatement: A com- Reza, H. G. (2006, July 15). O.C. Gang’s move- munity based policing tool of the Office of the ments are limited by injunction. Los Angeles Los Angeles City Attorney. Los Angeles, CA: Times Saturday Home Edition. Los Angeles City Attorney’s Office. Ricciardulli, A. (2006). The nitty gritty of gang Kadish, M. R., & Kadish, S. K. (1973). Discre- injunctions (Minimum Continuing Legal Edu- tion to disobey: A study of lawful departures from cation [MCLE] Study). Retrieved March 12, legal rules. Palo Alto, CA: Stanford University 2012, from www.dailyjournal.com/cle.cfm? Press. show=CLEDisplayArticle&qVersionID=125 &eid=645560&evid=1. Kenney, D. J., & Finckenauer, J. O. (1995). Organized crime in America. Belmont, CA: Rosenfeld, R., & Messner, S. (1995). Crime and Wadsworth Publishing. the American dream. Criminological Theory, 141-150. Klein, M. W., & Crawford, L. Y. (1967). Groups, gangs and cohesiveness. Journal of Research in San Diego District Attorney. (2000). Gang Crime and Delinquency, 4, 63-75. enforcement training for law enforcement. San Diego: Gang Prosecution Unit. Levy, D. (1997, November 12). Injunction quashes L.A. Gang. USA Today, 11D. Sherman, L. W. (1990). Police crackdowns: Ini- tial and residual deterrence. Crime and Justice: A Review of Research, 12, 1-48.

,AW %NFORCEMENT %XECUTIVE &ORUM s s Short, J. F. (1963). Street corner groups and the National City, California, Police patterns of delinquency: A progress report. Department and worked in the Patrol American Catholic Sociological Review, 24(1), Division, Narcotics, Gangs, and as a 13-32. police sergeant. He is a court-recog nized gang expert and is also a subject-matter Skogan, W. G. (1988). Community organiza- expert for the California POST Institute tions and crime. In M. Tonry & N. Morris of Criminal Justice’s Advanced Gang (Eds.), Crime and justice: A review of research, Investigations Course and Wit ness Pro- Vol. 10 (pp. 39-78). Chicago: The University tection Course. He is the author of sev- of Chicago Press. eral books and teaches Criminal Justice courses for the University of Phoenix, Spergel, I. A. (1966). Street gang work: Theory Kaplan University, and National Univer- and practice. Reading, MA: Addison-Wesley. sity. Dr. O’Deane earned his doctorate in Public Policy and Administration from Stark, R. (1987). Deviant places: A theory of the Walden University. His e-mail address is ecology of crime. Criminology, 25, 893-909. [email protected].

Thrasher, F. M. (1963). The gang: A study of Stephen A. Morreale, DPA, is an assis- 1,313 gangs in Chicago. Chicago: University of tant professor at Worcester State Univer- Chicago Press. (Originally published in 1927) sity and also teaches at Walden Univer- sity. Dr. Morreale serves as lead instructor Valdez, A. (2005). Gangs: A guide to understand- in the Executive Development Course, ing street gangs (4th ed.). San Clemente, CA: and instructs in the First-Line Supervi- Law Tech Publishing. sors Course and Mid-Manager Course at Roger Williams University’s Justice Vigil, J. D. (1988). Barrio gangs: Street life and Systems Research and Training Institute. identity in southern California. Austin: Univer- Morreale served in law enforcement for sity of Texas Press. 30 years, retiring as Assistant Special Agent in Charge for the U.S. Department Vold, G. B., Bernard, T. J., & Snipes, J. B. (1998). of Health and Human Services, Office of Theoretical criminology (4th ed.). Oxford, UK: Investigations, Inspector General. He Oxford University Press. also served as a manager with the U.S. Drug Enforcement Administration, the Wilson, J. Q., & Kelling, G. L. (1982, March). Dover, New Hampshire, Police, and Broken windows: The police and neighbor- the U.S. Army Military Police Corps. hood safety. The Atlantic Monthly, 29-38. His areas of research interest focus on leadership and management, strategic Yablonsky, L. (1962). The violent gang. planning, healthcare fraud, drug crimes, New York: Macmillan. white collar crime, and organizational ethics. His e-mail address is smorreale@ worcester.edu. Matthew D. O’Deane, PhD, has been a law enforcement officer for 20 years. For the past ten years, he has been an investigator for the San Diego County District Attorney’s Office assigned to the Gang Prosecution Unit, South Bay Divi- sion, Cold Case Homicide, and Superior Court Units. Prior to the Dis trict Attor- ney’s office, he was a police officer for

,AW %NFORCEMENT %XECUTIVE &ORUM s s Do as I Say! Or, Do as I Say, Not as I Have Done! County Sheriffs’ Self-Reported Accountability Priorities for Themselves and Their Subordinates

T. Casey LaFrance, Assistant Professor, Department of Political Science, Western Illinois University Jonathan Day, Assistant Professor, Department of Political Science, Western Illinois University Chad Ewing, MA Candidate, Department of Political Science, Western Illinois University David Rohall, Associate Professor, Department of Sociology; Director, Western Survey Research Center, Western Illinois University

Introduction The Peculiar Management Role of the County Sheriff Organization theory is bulging with literature that examines motivation as the crucial vari- Holding the office of county sheriff brings able that managers must manipulate in order about a series of distinct roles, responsibilities, to receive acceptable levels of productivity and accountability considerations (Falcone & from subordinates (McKnight, Cummings, & Wells, 1995; LaFrance & Placide, 2010a). The Chervany, 1998; Organ, 1988; Veiga, 1988). Typi- sheriff serves as the head of an organization cally, management literature emphasizes the (the sheriff’s office) that engages in a range need for supervisors to communicate their pri- of activities that include, but certainly are not orities to their workers (Suchman, 1995, p. 586). limited to, (1) running the county jail, (2) pro- An added complexity within this relationship viding law enforcement services for county is the fact that some managers have different residents, (3) staffing courts with bailiffs and expectations for themselves than they do for security officials, and (4) serving warrants and those under their supervision (Whetten, 1978, civil papers (Falcone & Wells, 1995). Further- p. 255). This paper examines this phenomenon more, the sheriff is most often elected into his through the eyes of county sheriffs in three U.S. or her position. Thus, the sheriff not only has states. We will begin by explaining why the to juggle effective service provision in several county sheriff, as an important public manager, realms, he or she also has to be mindful of the is an excellent subject for this type of inquiry. electorate and the decisions and opinions of We will then review pertinent management lit- his or her peer-elected officials (LaFrance & erature from which we draw our hypotheses. Placide, 2010a). Here, a complication arises. Next, we will present two competing hypoth- Namely, the democratically elected sheriff is eses regarding the relationship between a man- charged with commanding sworn and non- ager’s self-reported priorities and those which sworn personnel who, for the most part, were the manager reports for his or her subordi- selected based on merit criteria (LaFrance & nates. Afterward, we will empirically test these Placide, 2010b). Thus, it might be reasonable hypotheses using a series of linear regression to suspect that political pressures would not models. Finally, we will discuss our findings resonate as loudly for the sheriff’s subordi- and suggest how future research can build upon nates as may be the case for the sheriff him- or our study. herself. Additionally, the nature of the sheriff’s office forces the sheriff to span the boundaries of several organizations and systems of service provision (e.g., public, private, and nonprofit) and governance (in terms of local-

,AW %NFORCEMENT %XECUTIVE &ORUM s s state-federal relationships and functional to think alike. If taken to an extreme, this type dimensions). Thus, the sheriff might be more of interaction could actually be dangerous in apt to consider the opinions of managers out- that it foregoes contextual considerations that side of his organization when he or she makes are tied to each rank level and role within the decisions. Does this mean that the sheriff organization. Furthermore, too much consen- would expect his or her officers to mimic his sus can lead to the problem of groupthink, or her decision calculus or, instead, to limit wherein no team member wishes to point out themselves to intra-agency rules and consid- flaws in decisions made by the leaders of an erations? We simply cannot say with any cer- organization for fear of ostracism from his or tainty. These dynamics led us to construct two her work group (Janis, 1982). broad, oppositional hypotheses. Hypothesis II: The Manager Expects Hypothesis I: The Manager Expects Subordinates to Have Different Subordinates to Mirror His or Her Priorities than His or Her Own Priorities The second hypothesis is premised on the The first hypothesis asserts that sheriffs will notion that contextual considerations of each expect subordinates to mirror their respective rank level are ultimately more important to priorities. This hypothesis makes intuitive the top manager of an agency than uniformity sense as sheriffs would be able to foster coher- of values and standardization of priorities. ent and consistent communication throughout Here, Thompson’s (1967) description of the the organization if they insist that their subor- manager’s role in buffering the technical core dinates think as they do. An additional benefit is closely linked. This buffering role prevents of this logic is that sheriffs might be more apt to the core workers of an agency from experienc- manage fairly if their performance evaluation ing distress or confusion that could result from criteria for the officers whom they oversee are environmental shocks, enabling the core work- congruent with the evaluation criteria they set ers instead to focus on the technical precision for themselves. Finally, this arrangement has that is expected in their specialized organiza- the potential to offer a built-in accountability tional subunits. This, too, could be considered mechanism (and pave the way for a relation- a good management practice as it would be ship premised on trust) in the often-studied likely to minimize the stress to which a sher- manager-subordinate relationship. iff’s officers are exposed. This is an especially important consideration given the general One relevant piece of literature points to the high-risk nature of law enforcement careers. results of managers and subordinates seeing However, as foreshadowed in the presenta- eye to eye. According to Kemelgor (1982), tion of Hypothesis I, this approach to manage- supervisors ought to prize employees who ment could have drawbacks in terms of the assist them in meeting their goals. Further- consistency of expectations and the fairness of more, Kemelgor argues, supervisors “will be performance evaluations. more attracted to those who share a similarity in basic attitudes and values” (p. 157). In addi- Having presented each hypothesis, it was now tion, Kemelgor claims that his study “suggests time to test them in order to determine which that value similarities could function to lessen is a more accurate description of the sheriff’s conflict, improve communication, and coop- approach to management decisionmaking. eration. There is also possibly an increase in conformity, and morale” (p. 158). Method and Procedures However, despite the aforementioned merits The Target Model of Discretion was developed to of this approach, it may be quite naïve to expect understand the priority level that officers place workers occupying completely different roles on nine different categories (LaFrance, 2010):

,AW %NFORCEMENT %XECUTIVE &ORUM s s (1) Legal Liabilities, (2) Community Norms, Findings (3) SOPs, (4) Political Pressures, (5) Personal Values, (6) Other Managers, (7) Professional The results for the first nine models are shown Associations, (8) Accreditation Bodies, and below in Table 1. According to these results, a (9) Informal Organizations. We then used this manager’s own priority level on each discretion model to formulate a survey to send to sheriffs category explains between 44 and 80% of the to test the above hypotheses. One question on variance in the priority level the manager wants the survey asked, “As a MANAGER (please his or her employees to place on each category. prioritize 1-10) (Category).” Another question It is incredible that on seven of the nine catego- on the survey asked, “When thinking about ries of priorities, the priority that the manager how YOUR OFFICERS make discretionary places on each category alone explains over half choices, in what order [would] you prefer they of the variation in the priority he or she wants prioritize the following? (prioritize the items his or her employees to place on that category. 1-10) (Category).” We then constructed graphs to show how We then sent this survey to all the sheriffs the priority level that managers place on the in Missouri, Nebraska, and North Carolina. category affects the priority level they want From the 308 sheriffs in these three states, we their employees to place on that category. The received 107 responses (response rate = 34.7%). matching line provides a reference point. This For each sheriff, we sent three mailings: (1) an shows how the line would look if the managers introduction, (2) the survey, and (3) a reminder. consistently wanted their employees to place There is no reason to expect any systematic the same priority level on a category that they response bias since the response rate was placed on that category. When the regression not extremely low and the lack of responses line is below the matching line, it means the have no reason to be correlated with the vari- managers wanted their employees to place a ables in our model. After receiving the survey higher priority level on the category than they responses, we began to analyze the results. did. When the regression line is above the matching line, then the managers wanted their employees to place a lower priority on that

4ABLE .INE /,3 2EGRESSION -ODELS 0RIORITY ,EVEL OF -ANAGER VS 0RIORITY ,EVEL Expected of Employee Models Constant Coefficient R Square Legal Liability 0.469 0.79 0.565 (0.157) (0.068) Community Norms 1.129 0.743 0.554 (0.309) (0.067) SOPs 0.325 0.75 0.657 (0.162) (0.054) Political Pressures 1.736 0.782 0.617 (0.493) (0.063) Personal Values 1.247 0.693 0.564 (0.218) (0.061) Other Managers 1.215 0.785 0.447 (0.56) (0.089) Professional Associations 1.744 0.765 0.656 (0.387) (0.057) Accreditation Bodies 0.547 0.915 0.794 (0.375) (0.048) Informal Organizations 1.86 0.722 0.484 (0.468) (0.076)

,AW %NFORCEMENT %XECUTIVE &ORUM s s category than they did. On Legal Liabilities essence, the veracity of either hypothesis is con- and SOPs, managers almost always wanted tingent on the discretionary influence category their employees to place a higher priority than under investigation and, it might be surmised, they did. However, on Political Pressures, Pro- is contingent on the role expectations inherent fessional Associations, and Informal Organiza- in the managers’ and subordinates’ roles. We tions, managers almost always wanted their have also encountered categories wherein the employees to place a lower priority than they relationships were not sufficiently straightfor- did. There was mixed evidence about Commu- ward to allow us to draw conclusions. Taken as nity Norms, Personal Values, and Other Man- a whole, our results are more provocative than agers. Sheriffs who placed a higher priority conclusive. From a scientific standpoint, this is on these values wanted their officers to place a bit disappointing. However, from a practical a lower value and vice versa. Finally, manag- standpoint, our findings serve to illuminate the ers on average almost always wanted their awesome complexity inherent in managing a employees to match their priority level on public enterprise. Future research should aim to Accreditation Bodies. provide more definitive answers to the puzzles we have presented while also remaining mind- These results provide support for both hypoth- ful of the daunting and varied expectations to eses and show that the managers’ expectations which public managers are exposed. of their employees’ priorities depends on the particular category of influence. For example, it Acknowledgments makes sense that managers want their employees to have a higher priority on the rules (Legal The authors thank the Office of Sponsored Proj- Liabilities and SOPs) and may see themselves ects at WIU for a grant that funded the larger as having more discretion from the rules. It research project detailed in the study. The also is reasonable to see that Political Pressures, authors would also like to thank student asso- Professional Associations, and Informal Orga- ciates at the Western Survey Research Center nizations, which are outside the realm of the who helped in designing, implementing, and managers’ control, are categories for which the collecting the survey. Finally, the authors thank managers want their officers to place a lower Sandy Larimer and the production team of the priority. There was mixed evidence on Com- Law Enforcement Executive Forum for construc- munity Norms, Personal Values, and Other tive comments and questions that helped to Managers, which means they do not lend sup- improve the article. port for either hypothesis. More research would need to be done to see what influences manag- References ers’ views of these categories. Finally, managers have about the same expectation for the priority Falcone, D. N., & Wells, L. E. (1995). The county levels placed on Accreditation Bodies by both sheriff as a distinctive policing modality. themselves and their employees. This is prob- American Journal of Police, 14(3), 123-149. ably because Accreditation Bodies affect the whole organization relatively equally. Janis, I. (1982). Groupthink. New York: Houghton Mifflin Company. Conclusion Kemelgor, B. H. (1982). Job satisfaction as In this paper, we have evaluated two rival mediated by the value congruity of supervi- hypotheses regarding the degree of emulation sors and their subordinates. Journal of Occupa- sheriffs wish to see from their subordinate offi- tional Behaviour, 3(2). Retrieved February 27, cers when it comes to the ranking of discretion- 2012, from www.jstor.org/stable/3000081. ary priorities. Interestingly, we have found support for each rival hypothesis when looking at LaFrance, T. C. (2010). Professional vs. bureau- specific categories of discretionary influence. In cratic accountability in local law enforcement

,AW %NFORCEMENT %XECUTIVE &ORUM s s management decisionmaking. Law Enforce- T. Casey LaFrance is an assistant pro- ment Executive Forum, 10(1), 145-165. fessor of Political Science at Western Illinois University and a former deputy LaFrance, T. C., & Placide, M. (2010a). Sheriffs’ sheriff. His work has appeared in Law and police chiefs’ leadership and manage- Enforcement Executive Forum, Judicature, ment decisions in the local law enforcement American Politics Research, Politics & budgetary process: An exploration. Inter- Policy, the Ralph Bunche Journal of Public national Journal of Police Science and Manage- Affairs, and the International Journal of ment, 12(2), 238-255. Police Science & Management. His current research focuses on county sheriffs’ deci- LaFrance, T. C., & Placide, M. (2010b). A quan- sionmaking processes and organization titative analysis of accountability indicators development in local law enforcement in sheriffs’ offices and municipal police agencies. departments. Law Enforcement Executive Forum, 10(2), 107-120. Jonathan Day is an assistant professor of Political Science at Western Illinois Uni- McKnight, D. H., Cummings, L. L., & Chervany, versity. His areas of interest are Ameri- N. L. (1998). Initial trust formation in new orga- can politics, game theory, formal model- nizational relationships. The Academy of Man- ing, and quantitative methods. agement Review, 23(3). Retrieved February 27, 2012, from www.jstor.org/stable/259290. Chad Ewing is a graduate student in the Political Science department at Western Organ, D. W. (1988). Organizational citizenship Illinois University. He studies public behavior: The good soldier syndrome. Lexington, management. MA: Lexington Books. David Rohall is an associate professor Suchman, M. C. (1995). Managing legitimacy: of Sociology and Director of the Western Strategic and institutional approaches. Survey Research Center at Western Illi- The Academy of Management Review, 20(3). nois University. He studies Social Psy- Retrieved February 27, 2012, from www. chology, Social Attitudes, and Military jstor.org/stable/258788. Sociology, and he has published his work in several journals and edited volumes. Thompson, J. (1967). Organizations in action: Social science bases of administrative theory. Contact Information New Brunswick, NJ: Transaction Publishers. Department of Political Science 424 Morgan Hall Veiga, J. F. (1988). Face your problem subordi- Western Illinois University nates now! The Academy of Management Exec- 1 University Circle utive, 2(2). Retrieved February 27, 2012, from Macomb, IL 61455 www.jstor.org/stable/4164816. (309) 298-1465 [email protected] Whetten, D. A. (1978). Coping with incompatible expectations: An integrated view of role conflict. Administrative Science Quarterly, 23(2). Retrieved February 27, 2012, from www.jstor.org/stable/2392564.

,AW %NFORCEMENT %XECUTIVE &ORUM s s Organ, D. W. (1988). Organizational Citizenship Behavior :The Good Soldier Syndrome. Lexington, Mass.: Lexington Books.

Suchman, M.C. (1995). Managing Legitimacy: Strategic and Institutional Approaches. The Academy of Management Review, 20 (3). Retrieved from http://www.jstor.org/stable/258788

Veiga, J.F. (1988). Face Your Problem Subordinates Now!. The Academy of Management Executive, 2 (2). Retrieved from http://www.jstor.org/stable/4164816

Whetten, D.A. (1978). Coping With Incompatible Expectations: An Integrated View of Role Conflict. Administrative Science Quarterly, 23 (2). Retrieved from http://www.jstor.org/stable/2392564 .

,AW %NFORCEMENT %XECUTIVE &ORUM s s

,AW %NFORCEMENT %XECUTIVE &ORUM s s Other Managers Matching

Professional Associations Matching

Accreditation Bodies Matching

,AW %NFORCEMENT %XECUTIVE &ORUM s s

,AW %NFORCEMENT %XECUTIVE &ORUM s s A Multimodal Approach to the Management Training of Police Lieutenants

Thomas E. Engells, Chief of Police, The University of Texas Medical Branch at Galveston

Introduction Yet, before exploring the multimodal training program concept, the senior leadership Today, law enforcement executives face tur- of a law enforcement organization must be bulent budgetary environments at all levels confident that they have a current and accu- of government. Lay-offs, reductions in force, rate understanding of the role performed by cancelled academy classes, and delayed hiring a Lieutenant within their organization. Such are common considerations in these environ- understanding can be anchored in a current ments, and agency training budgets are often Position Description that includes roles and questioned. Some have argued that training is responsibilities. Absent that, necessary pre- funded by “soft dollars,” prompting careful paratory work should begin in partnership scrutiny of training expenditures, especially with Human Resources specialists so that a training and education beyond that required foundation for training and development can by law or regulation. Quite simply, some be laid. The Position Description should be believe training and education funds could reviewed annually by incumbents to mini- be better spent elsewhere within the agency, mize the gap between actual work performed especially during these times of budget crisis. and that detailed in the Position Description as well as to ensure the continuing relevance Yet our officers are the public face of our of the multimodal program. respective law enforcement agencies and are the most valuable of all our resources. Con- The senior leadership of the law enforce- tinuous professional training and development agency must establish and publish ment are basic prerequisites of any progres- performance expectations in regards to this sive organization. The current budget reality multimodal training approach before program and training demands are not necessarily con- implementation. The performance expecta- tradictory, but, rather, just another challenge tions should be realistic, for this will be a among the several facing any modern law multi-year project requiring serious effort by enforcement executive. both the organization and the participants. At minimum, program performance expectations The effective and progressive management should specify participant time commitments of our officers should be the primary con- and identify program administration require- cern of responsible law enforcement execu- ments. Each of the three modes will require tives. To address an aspect of that concern, different protocols due to the stark difference the multimodal approach to the management in techniques and methods, but each protocol training of Lieutenants is offered. This term, should be transparent. multimodal, is defined as more than one mode, method, manner, or way. In the context of Program Context this article, the modes include a structured individual professional reading program, a The focus on the Lieutenant for this training defined distance education curriculum, and and development is a conscious choice. In a selective advanced management education. hierarchical paramilitary organization, still the most common law enforcement organizational structure, the Lieutenant is commonly

,AW %NFORCEMENT %XECUTIVE &ORUM s s the first management position but a middle performance measurement and budgeting. manager. This salaried middle manager’s role The Professional Reading Series can be used significantly reflects the organization in which to expose Lieutenants to these theories and he or she serves, but police middle managers disciplines as well as to current topics. also share common roles across the multitude of law enforcement organizations. Commenta- With the advent of low-cost information tech- tors have noted that government middle man- nology and the widespread accessibility of the agers are “singled out as enemies of change. Internet, an excellent library is but a key stroke They typically resist efforts to decentralize away. Yet information accessibility is not the authority and establish participatory manage- challenge of this mode; rather, the challenge ment. The assumption is that if such changes is found in identifying appropriate materials are implemented, middle managers fear loss of to assign and constructing thoughtful ques- their power position within the organization” tions to be posed to the readers. While lifelong (Vito & Kunselmen, 2000, p. 316). Police Lieu- learning is a common attribute of a modern tenants’ roles were also described as “auditors executive, allocating the time in an already who monitor conformity to rules rather than as busy day to engage in such professional read- problem solvers who use resources to accom- ing is both an individual and unit challenge. plish organizational goals (Bayley, 1994, p. 9), while their roles as Lieutenants were defined Resources available for a professional reading as “focused on control and evaluations in program include professional journals, news- organizations. The leadership role, seen as letters, and articles from academic journals more important and as a visible position, is as well as management and leadership books left to the chief executive officers or frontline and textbooks. While the readings assigned supervision. Middle managers traditionally will change during the course of the program, do not inspire, act creatively or lead change. the program should consistently demand that They simply manage the system” (Geller & the readers, in response to questions, take a Swanger, 1995, p. 127). position on a difficult issue and then articulate that position (Engells, 2006, p. 122). Lieutenants are a rich resource within any police organization, for these individuals are While the cost of this program in materials the future formal senior leaders of law enforce- will be minimal, the investment in labor may ment. A significant education and training be notable. A program coordinator should be investment at this rank will potentially yield appointed and tasked with selecting the read- a disproportionate return for many years to ings and constructing questions. That coordi- come. The multimodal program is such an nator may be assigned to respond in writing investment. to each participant’s written response to the questions posed. A viable alternative to the Program Elements written question method may be small discussion groups. In the discussion group method, the coordinator will act as the facilitator of the -ODE n 0ROFESSIONAL 2EADING 3ERIES discussion with key points highlighted. There The first mode in this program is professional may be an opportunity to engage an academi- reading. While Lieutenants and would-be cian from a local college or university to assist Lieutenants come from a variety of educa- in the compilation of a reading list and ques- tional backgrounds and professional expe- tions to be posed. riences, current and future organizational success depends upon a shared understand- A successful professional reading program ing of the theories of public administration, requires executive commitment, for absent management, and leadership as well as tech- such commitment it will falter and fail. nical competency in disciplines as varied as Simply put, a successful program requires

,AW %NFORCEMENT %XECUTIVE &ORUM s s both a competent and enthusiastic coordina- a labor-intensive alternative to the traditional tor as well as an executive champion who is classroom-based educational experience, and an advocate of the program. Over time and it requires organization, planning, and good with careful nurturing by the coordinator time management skills. Good intentions and champion, the professional reading series alone will not produce results in this mode. The can overcome the resistance of some less than coordinator must periodically monitor goal enthusiastic participants. achievement, and the Lieutenant’s responsibility for progress cannot be delegated. However, program momentum can occur and should be -ODE n $ISTANCE %DUCATION nurtured through successful completion of a The sheer variety of distance education series of small courses. opportunities available today is startling. The choices available in the distance learning -ODE n !DVANCED -ANAGEMENT %DUCATION mode range from government-sponsored free technical training to university-level studies As with the other modes of this program, the at well-known public and private universi- options available to implement this mode are ties. As with the professional reading, time numerous. Often, the individual experience allocation will be a challenge. That challenge of the Chief Executive Officer will signifi- is further compounded by the cost of tuition cantly color the range of options considered if university work is incorporated into this for advanced management education. How- aspect of the program. ever, basic research into any credible management education program may satisfy ques- The key to a successful distance education tions on the applicability of the coursework mode is a thoughtful curriculum, which is to the needs of the agency. A basic planning directly linked to knowledge bases identified requirement is a roster of appropriate pro- in the Position Description. The coordinator, grams, admission criteria, program duration, in consultation with the Lieutenants during program costs, and convening dates. one-on-one meetings, should review individual training and education achievements to The advanced management education should date, specify some Distance Education goals, be considered as the last stage of this pro- and then assist the Lieutenant in identify- gram and as an incentive for participation in ing appropriate Distance Education provid- the program. The Lieutenants’ demonstrated ers and establishing reasonable achievement achievements in Modes 1 and 2 should influ- timelines. A core curriculum in this mode ence their selection for advanced manage- may include some foundational courses— ment education. Most, but not all, advanced for example, Incident Command System and management education programs are resi- the National Response Framework courses— dential programs and will require multi-week and then build on that base to include FBI absences from home. This may influence par- National Academy courses, and then migrate ticipant readiness for becoming involved in to university work on finance, budgeting, this mode of the program. public administration, and ethics. The curriculum should reflect the current and forecasted While the organizational need for middle needs of Lieutenants and commanders at your managers with advanced management edu- specific agency. cation is apparent, the sequencing of individual managers’ absences will present a true Partnership is an elemental aspect of the dis- operational challenge to both the small- and tance education mode, for success will require medium-sized law enforcement agencies. Our an authentic partnership between an actively enduring responsibility is to provide progres- involved and motivated Lieutenant and a sive law enforcement services to the com- concerned coordinator. Distance education is munities we serve, so we must balance those

,AW %NFORCEMENT %XECUTIVE &ORUM s s competing demands. A multi-year plan with Engells, T. E. (2006). The professional read- a scope of three to five years can contribute to ing series: An effective means of leadership resolving the challenge of Lieutenants’ educa- development. Law Enforcement Executive tion absences and will contribute to accurate Forum, 6(6), 119-126. training budget forecasts. Geller, W. A., & Swanger, G. (1995). Managing The regional and the independent Command innovation in policing: The untapped potential of Colleges, the various public and private the middle manager. Washington, DC: Police university-based Executive Master Degree Executive Research Forum. programs, and other advanced management programs often share in common a capstone Vito, G. F., & Kunselman, J. (2000). Reinvent- project and in-depth problem appraisal ing government: The views of police middle requirement. This end-of-course assignment managers. Police Quarterly, 3(3), 315-330. presents a wonderful planning and research opportunity for the sponsoring agency in that the Lieutenant-student can carefully research Thomas E. Engells is the Chief of Police and assess a chronic problem or issue of con- for the University of Texas Medical Branch cern for the agency and directly contribute to at Galveston. the resolution of the same. In that sense, there is an immediate payback on the advanced management education program.

Summary While initial training of first-time police supervisors (Sergeants) is now a fairly common requirement across the nation, the management training of Lieutenants is not. Yet these same Lieutenants are assuming roles as managers that require new skill sets and knowledge bases for success in our organizations. The multimodal approach to management training of Lieutenants involves three elements: (1) professional reading, (2) distance education, and (3) advanced management education. Successful implementation of this approach requires careful planning and sequencing of activities, but the resulting cadre of Lieutenants who are fluent in the tools of modern management will more than offset the costs incurred. Simply stated, it is the right thing to do for our people, our agencies, and our communities.

References Bayley, D. H. (1994). Police for the future. New York: Oxford University Press.

,AW %NFORCEMENT %XECUTIVE &ORUM s s Does Training Impact Cognitive Processing? Preliminary Evidence of Multitasking in Police Pursuit Drivers

Jonathan W. Page, Professor of Psychology and Neuroscience, Dickinson College

Mentally juggling several different tasks all are visually scanning the environment and at the same time is something we as humans driving the car. But these additional cognitive do on a daily basis. This ability, commonly tasks do require neural resources and must referred to as multitasking, is a cognitive skill effect our driving on some level. that helps us deal with complex situations. It is accomplished by shifting our focus of atten- Carrying on a conversation while driving a tion back and forth between various tasks. car is not a task with which we are initially Under normal circumstances, we can attend adept. We do not start out with this ability; we to more than one thing at a time. On the other develop it over time and with practice. The end of this spectrum is attentional tunneling process of transforming an initially demand- in which we can process only one piece of ing task into a common routine is known as information at a time. Sometimes the mental automatization. When learning to drive a car, load of multitasking can increase to a point our focus of attention is on everything that is where it becomes difficult to maintain our necessary to safely operate the vehicle. With focus on more than one task at any given time, practice, our driving skills increase to the and the system begins to break down. As our point that we no longer have to pay special mental load increases, or when other factors attention to the task of driving. Those tasks like stress impact the system, neural resources have become automatized, which frees up are allocated to other more important tasks cognitive resources so that we can engage in and our ability to multitask diminishes. other tasks, like holding a conversation with another person in the car. A common example of multitasking that most of us engage in almost daily is driving a car. Understanding how cognitive processes unre- When driving, we are required to perform the lated to driving actually impact the skill of motor movements necessary to operate the driving is something in which cognitive sci- vehicle while also paying visual attention to entists are interested. A fairly recent focus of environmental information (such as the road, research attention has been on cell phone usage stop lights, pedestrians, and other cars). Often while driving. Numerous studies have shown added to these tasks is engaging in conversa- that while conversing on a cell phone, drivers tion with another person. This requires us to tend to drift more from the center of their lane, listen to what a person is saying and recog- decrease the gap between themselves and the nize the words being spoken, remember what vehicle in front of them, and increase their over- has already been said, and understand how all speed (for a recent review of research in this this new information fits into the context of area, see Collet, Guillot, & Petit, 2010). Interest- the conversation. Next, we think about the ingly, research has also shown that the more new information and plan our response. Our emotional the conversation is on the cell phone, thoughts need to be formulated so that they the more distracting it is to driving performance can be communicated with the other person (Briggs, Hole, & Land, 2011). So emotionality through speech production. All of this takes seems to also impact our ability to multitask. place seemingly without effort, and while we And with the onset of texting as a new and

,AW %NFORCEMENT %XECUTIVE &ORUM s s oftentimes preferred means of communication, under normal circumstances, and works while roads are becoming even more and more dan- having conversations over a cell phone while gerous. Researchers estimate that between the driving, but pursuing another vehicle at high years 2001 and 2008, texting was responsible for speeds is not a behavior in which people nor- 16,000 deaths on roadways in the United States mally engage. Besides shifting attention between alone (Wilson & Stimpson, 2010). the various tasks that must be performed during a pursuit, the driver must also drive the vehicle. Multitasking is a cognitive skill that is also Driving is a learned skill and may play a deter- important for police pursuit drivers. It allows mining role in how well an officer is able to mul- the pursuit driver to juggle several different titask. Said another way, if a driver is very skilled tasks at the same time such as visually track- at handling the vehicle, fewer neural resources ing the vehicle being pursued, staying vigi- are needed to drive the car, leaving more cog- lant for dangers in the environment like other nitive resources available for multitasking. If, pedestrian and vehicle traffic not engaged in on the other hand, a driver is not as skilled at the chase, and attending to the performance of driving, more neural resources will be needed the pursuit vehicle by getting a feel for the road to drive the vehicle, leaving fewer available for surface and stability of the car through haptic multitasking. In the latter case, resources must sensations from the seat and steering wheel. All be spread around, which is a disadvantage to of this (and this list of actions is not exhaustive) either driving or multitasking, or both. is done while monitoring updated information and instructions from the dispatcher over the Another variable that may influence multitask- police radio or from a partner in the car. ing is stress. Stress robs attentional resources, which leaves fewer resources available for Under normal conditions, our attentional processing cognitive tasks. Research has system can focus our concentration on any shown that many different types of stressors one of these tasks, such as tracking the pur- can act to narrow attentional focus (Garavan, sued vehicle, in order to increase our perfor- 1998; McElree, 2001; Sliwinski, Smyth, Hofer, mance of that task. Our system gives us this & Stawski, 2006; Verhaeghen & Basak, 2005). advantage in part by actively suppressing Fewer available cognitive resources leading information that is secondary to the focused to a tunneling of attentional focus may limit task at the time (Shomstein & Yantis, 2004). In a pursuit driver’s range of behavioral output addition, we can cognitively shift our focus of options. This could put police drivers, and attention between different types of informa- anyone else who happens to be in close prox- tion and back, and from one sensory modal- imity to a high-speed pursuit, at greater risk. ity to another, as required to keep concentration focused and performance high (Driver & The study reported herein was a first attempt Spence, 1998; Eimer, 2001; Spence, Ranson, & to objectively measure multitasking while Driver, 2000). Shifting attention between sev- driving in a police training situation. A sec- eral of these tasks at a time is necessary for pur- ondary goal was to see if the ability to mul- suit drivers to be safe and successful at their titask while driving differed between officers jobs. based on the amount of self-reported stress the officers experienced during the drive. To meet Since multitasking is a key skill used in a pur- these two goals, brain activity was recorded suit (imagine the ramifications if a police driver while police officers engaged in a multitask- could not perform one or more of the tasks listed ing activity in a controlled driving environ- above), an interesting and important research ment. Multitasking skills were considered in topic is to see if there are factors that influence relation to the amount of performance-related an officer’s ability to multitask in such situa- stress each participant said he or she was tions. Research as referenced above has shown experiencing. The following is a brief explana- how attention and the shifting of attention works tion of the electrophysiological measure used

,AW %NFORCEMENT %XECUTIVE &ORUM s s to test multitasking ability and a brief descrip- the number of high tones sounded in a trial. tion of how stress was defined in this study. But regardless of whether it is covert or overt, attention must be given to the task in order Measure of Multitasking for the positive deflection to be evident in the target response waveform. Because of the well- The recognition response was used to assess established parameters of this technique, the multitasking while driving. The recognition recognition response is a powerful assessment response is an electrophysiological tool that tool for objectively measuring multitasking. objectively measures attention. It is objective in the sense that it records the electrical activity of Stress in the Present Study neural circuits in the brain and is not reliant on a behavioral response. It is present in an elec- Just over half of the participants in this study troencephalographic (EEG) recording when a were students in an advanced driving course novel stimulus—embedded in a train of stan- at the London Metropolitan Police Service’s dard stimuli—is detected, and absent when it (MPS) Hendon campus. All had successfully is not (Cote, 2002; Duncan-Johnson & Donchin, passed a two-week course in which they 1977; Verleger, 1997). Although it can be elicited were taught to drive safely at high speeds in in multiple sensory modalities (visual: Sannita response to an emergency and had then been et al., 2001; auditory: Basar-Eroglu, Basar, employed as a response driver at the police Demiralp, & Schurmann, 1992; and tactile: station in their given borough. The advanced Tomberg, 1999, as examples; also see Chiappa, training course they were undergoing at the 1990, for an in-depth description of the record- time of this study is demanding, and not all ing process), audition was used in the present participants successfully complete the train- study by sounding a series of high and low ing program. Those who do not pass train- tones. A determination of whether the recogni- ing return to their borough without obtain- tion response is present in a set of brain EEG ing the elite status of pursuit driver. Besides recordings can be made by inspecting response being refused this elite driver status with its waveforms generated by averaging together a associated chances of promotion and pay series of voltage amplitudes across time that raises, the officers not passing the training were related to the presentation of auditory course must face their peers with the knowl- tones. The graphed responses are known as edge that they simply were not good enough event-related potential (ERP) waveforms. to pass the course. According to personnel at the driving school, this causes many officers If a police driver is paying attention to the who do not pass the course to experience feel- auditory stimuli and recognizes the difference ings of inadequacy and failure. This can be a between the target high tones that are mixed highly motivating factor for officers to work in with the standard low tones, the ERP wave- hard during training, but it can also be a real form for the target high tones will have a posi- source of stress and anxiety. The type of stress tive deflection, peaking somewhere between brought about by potentially failing the train- one-third and one-half of a second after stimu- ing course relates to anxiety that is based on lus onset. If, on the other hand, there is not a performance. Some of the officers referred to positive deflection in the target waveform— this as ego stress in informal conversations. meaning there is basically no difference in brainwave characteristics for responses to That the fear of failure may have been height- target and standard tones—it is assumed the ened in this study is likely since an instructor police driver was not paying close attention to from the driving school accompanied each of the task and did not recognize the difference the officers in the car during data collection, and between the two tones. This assumption can be the officers were in an unfamiliar situation (they confirmed if behavioral responses are also col- were wearing a cap wired up to a computer lected, like requiring the police driver to count measuring their brain activity by a scientist in

,AW %NFORCEMENT %XECUTIVE &ORUM s s the back seat). While the instructor informed El Paso, TX, USA) in four successive trials. All each officer that no formal evaluation of perfor- tests were performed in a moving vehicle. Tones mance would be conducted during the experi- were sounded via a laptop computer (Dell Lati- mental drive, the officers later reported feeling tude D600) positioned on the lap of the experi- “nervous” and “anxious” with the instructor in menter sitting directly behind the driver’s seat the car and said they were concerned that if they at a volume level approximately 90% of the lap- did not perform well during the test drive, the top’s maximum. Each trial consisted of 50 tones. instructor would remember this at a later time The target tone was presented only 15% of the during formal evaluations. In other words, they time overall for a total of 30 presentations over felt that their performance on the test did affect the four trials. Presentation order was pseudo- how they would be evaluated on the training randomized with the caveats that each trial course as a whole. Wearing the electrode cap started with a standard tone, there were never with a scientist in the back seat only added more than two target tones presented succes- to their fear of not performing well. Besides sively, and no two trials included the same verbal admission of stress, most of the officers number of target tones. also displayed behavioral signs as well such as trembling voices, shaking hands, gritting teeth, Electrophysiology tightly gripping the steering wheel, etc. Each officer was fitted with a stretchy nylon The other participants in this study were instruc- cap containing a montage of 40 electrodes, tors at the driving school who had already 34 of them permanently attached to the cap obtained elite-driver status and were qualified (Compumedics Quik-Cap with Ag/AgCl elec- further to train students on the advanced driv- trodes, El Paso, TX, USA). The electrode cap ing course. By definition, they could not have was connected to a portable EEG machine experienced the same type of fear of failure (NuAmps Express model 7181 from Neuro- as the officers since they were the instructors Scan). Impedances were kept below 10 K7. All for the course. In fact, the instructors did not recording channels were continuously sampled exhibit any outward behavioral signs of stress at 1,000 Hz, digitized, and stored on the hard while driving and self-reported this; therefore, drive of a laptop computer (Dell Latitude D810) they served as a non-stressed control group for for later offline analyses. The EEG and laptop comparison purposes. were both powered by the laptop’s battery. Of the 40 electrodes, one was placed above the left Methods eye and one below the left eye in vertical alignment with the pupil, one was placed lateral to the left eye, and one was placed lateral to Participants the right eye. These four electrodes were used Eight police officers gave written informed post-recording to remove eye-blinks and other consent to participate in this study. Five partic- artifacts from the data. Reference was linked- ipants were students in the advanced pursuit ear electrodes. The ground electrode was sewn driving course at the London MPS Hendon into the cap along the centerline of the head Driving School; three were instructors at the anterior to recording site Fz. The remaining school. All tests were conducted on site at the recording electrodes were also sewn into the Hendon campus. cap, and they recorded brain responses at specific scalp locations arranged according to the International 10-20 System montage. Stimuli During testing conditions, participants were Analyses presented a series of beeps (standard tones = 1,000 Hz; target tones = 2,000 Hz; tones were Multitasking performance (shifting attention created using Stim2 software from NeuroScan, between the driving course and the audio

,AW %NFORCEMENT %XECUTIVE &ORUM s s tones) was measured behaviorally and elec- questions like, “Were you nervous during the trophysiologically. The behavioral measure drive?” and “Did this test stress you out?”). was participants’ responses to the question, Accordingly, the five officers were all included “How many high tones did you hear?” A in the stress group since they all experienced Chi-Square analysis was used to compare some degree of stress. The three instructors responses. The electrophysiological measure were included in a non-stressed control group was the presence or absence of the recogni- because they self-reported not experiencing tion response in the ERP waveforms. There any stress related to the task and showed no were no formal assessments of driving per- noticeable behavioral signs of stress. formance. However, all participants negoti- ated the skid pan course at roughly the same Individual differences in amplitude measures speed with roughly the same amount of skill. (due to things such as gender, age, or the amount In other words, no individual driver refused of sodium in one’s diet, to name a few) and dif- to drive the course, drove too slow to affect ferences in signal noise between individual vehicle traction, or drove too fast to maintain recordings and recording sessions can make it overall control of the vehicle. difficult to objectively compare the responses of one participant to another, or one group of par- To create ERP waveforms for analyzing the ticipants to another group. One objective way recognition response, markers for the onset of assessing differences between responses to of standard and target tones were time- target and standard tones is to compare a ratio stamped into the continuous EEG recordings of the difference between the overall ampli- via an input signal from the computer sound- tudes of the response waveforms within sub- ing the tones to the portable EEG recording jects (Page, Thibeault, Page, & Lewinski, 2008). unit. During offline analyses, participants’ 30 By using the following formula, responses to the target tone were averaged together to create target response waveforms. POD = (TA – SA) / TA Responses to the first 30 presentations of the standard tone were also averaged to create where TA is the target response amplitude and standard response waveforms. Together, these SA is the standard response amplitude, a per- waveforms make up the recognition response. centage of the difference (POD) between stan- Both standard and target responses were dard and target responses for each individual epoched at 1,100 ms (100 ms pre-stimulus; can be determined. A small difference means 1,000 ms post-stimulus) and aligned for aver- the participant was not paying much attention aging. Software determined the minimum and to the audio tones; a large difference means a maximum amplitudes within a time window great amount of attention was being given to the set between 200 and 600 ms; amplitudes are tones. A response somewhere in between means voltage values differenced from peak and the participant was giving some attention to the trough values within this window: task but was probably distracted in some way or was shifting his or her attention between tasks. Response amplitude = maximum voltage – The POD method was used in this study to deter- minimum voltage (time window: 200-600 ms) mine the size of the recognition response.

For statistical analyses, participants were Procedure grouped according to whether or not they experienced some level of stress during their After consenting to participate, two to four drive. This assessment was based on behav- officers at a time were fitted with electrode ioral observations of stress (like trembling caps in an experimental room and then voice and shaky hands) and posttest inter- walked as a group to the training area. Only views wherein participants self-reported one officer was tested at a time; officers not stress during the drive (officers responded to being tested remained in a group to the side of

,AW %NFORCEMENT %XECUTIVE &ORUM s s the training area until all had been tested. The were instructed to covertly count only the high group then returned to the experimental room tones during the test and to ignore the low where the caps were removed and the officers tones. The instructor gave verbal instructions were debriefed. to the officer concerning the route to be driven, and the drive began. After each of the four test- All recordings were taken in a car while offi- ing trials, participants were required to respond cers drove a predetermined route of opposing to the question, “How many high tones did half-circles on the driving school’s skid pan. you hear?” Their responses were recorded by The skid pan is a training area with a large, the experimenter. For the first two trials, the circular paved surface area that gently slopes officers drove in clockwise circles on one half to a drain in the middle. The surface area is of the pan; after the first two trials were com- covered with oil each weekday morning, and pleted, the officers reversed their driving direc- several small spigots around the edges of the tion and drove on the other half of the pan in pan trickle water over the surface continuously counter-clockwise circles. throughout the day. At the edges, the skid pan is sloped more abruptly, creating a type of curb- Results ing to keep vehicles on the pan. Top speeds rarely exceed 10 to 12 miles per hour (control The instructors were significantly more accu- at higher speeds is difficult to maintain, and a rate at counting high tones than the officers vehicle will generally slide to the outside of the (Yates’ Χ2 = 17.08, p = 0.000). Two instructors pan), so it is practically impossible to wreck (if correctly reported three out of four trials; one a vehicle does slide to the outside, the curbing was correct on all four trials (Table 1). This returns it to the training area). means that the instructors correctly counted the high tones in 10 out of 12 trials. Only one After entering the vehicle and having the elec- officer accurately reported the number of high trode cap connected to the EEG unit, officers tones in one of the four trials; four officers were were tested to see if they could discriminate not correct on any trial (Table 1). This means the two tones. Tones were sounded at 90% that out of a total of 20 trials, only one was maximum computer volume during this initial correctly reported. One officer’s performance discrimination task and the experimental test. was particularly poor: there were eight, six, The brief discrimination task was conducted as nine, and seven high tones presented in the a screening to be sure participants could both four trials, respectively; this officer’s responses hear and discriminate the tones. Participants were 36, 48, 47, and 41. An additional analysis

4ABLE . Behavioral Responses During Multitasking Trial 1 Trial 2 Trial 3 Trial 4 Number Correct Number of targets per trial 8 6 9 7 -- Participants’ responses to the question, “How many high tones did you hear?” Student 1 15 5 11 8 0 Student 2 6 7 6 5 0 Student 3 8 8 5 9 1 Student 4 36 48 47 41 0 Student 5 7 5 6 6 0 Instructor 1 7 6 9 7 3 Instructor 2 8 7 9 7 3 Instructor 3 (skid pan instructor) 8 6 9 7 4

Note: Each participant’s verbal responses to counting the high tones are shown for Trials 1 through 4. The numbers of correctly counted trials are shown in the far right column.

,AW %NFORCEMENT %XECUTIVE &ORUM s s was performed on this participant and is the tones. Specifically, there is a 60.14% ampli- described below. tude difference between standard and target responses, with the largest amplitude dif- Electrophysiological responses also show ference between responses occurring about large differences between the officers and the 430 ms after stimulus onset. instructors. The grand average responses of the officers are shown in Figure 1. As can be To show performance at the extremes, brain seen, the responses contain a large amount of activity for the highly stressed officer men- physiological noise (most likely from tensing tioned above (the participant who performed muscles in the neck and shoulders, gritting the worst on the behavioral measure) and teeth, etc.). Using the POD method to com- responses for the instructor who performed the pare cortical responses to standard and target best (the only participant to correctly count all tones, the officers were found to be giving high tones) are graphed in Figure 3. The per- little of their attention to counting the high cent difference between standard and target tones; the grand average amplitude difference responses for the stressed officer is actually between standard and target responses for the negative, meaning response amplitudes to the officers is 2.07%. standard tone are slightly larger than response amplitudes to the target tone. The difference Instructor grand average responses are shown in standard and target response amplitudes in Figure 2. Here, the recognition response is for the instructor was 56.13%. Also included much more apparent; that is, there is a rela- in this figure is a graph of brain activity across tively large difference in brain responses to the scalp at the recording point in time with

&IGURE . Officers’ Recognition Response

Note: The gray line represents the average brain response of all officers to the standard low tone; the black line represents responses to the target high tone. The responses are plotted as amplitudes (in MV) across time (in ms). Onset of the tone is marked with a vertical line. Since the difference between target and standard responses is basically nonexistent (POD = 2.07%; see text), and behavioral response accuracy was poor (5% accuracy), it is shown that the officers were not very efficient at multitasking.

,AW %NFORCEMENT %XECUTIVE &ORUM s s &IGURE . Instructors’ Recognition Response

Note: The grand average recognition response of all three instructors is graphed above (figure details are as in Figure 1). There is evidence of a recognition response to the target tone ~ 420 ms. Behaviorally, the instructors correctly counted the target tone in 10 of the 12 trials. This, along with the recognition response, shows that instructors were able to multitask. the largest difference between standard and of stress experienced by the officers—what target responses. Brain activity levels are they referred to as ego stress—caused a nar- noticeable as darker grays in the head graphs rowing of attention while driving. Evidence (darker grays equal more excitatory positive for this interpretation can be seen when com- voltages and inhibitory negative voltages), paring behavioral and electrophysiological with lighter grays representing baseline levels responses of the officers who experienced this (in essence, the absence of activity related to stress with the instructors who did not. Behav- the task). For the instructor, the largest differ- ioral responses (accuracy of counting the ence is at 400 ms. For the officer, 499 ms was tones) confirmed the physiological measures selected as the point of the largest difference. (ERP waveforms) showing that those partici- This time was determined using the grand pants who self-reported being under stress average of responses from all officers (see were not able to multitask as well as those who Figure 1) since the point of largest difference self-reported being under little to no stress. was indeterminable for this particular officer. The displayed brain waveforms are all from Perhaps even more compelling is the com- recording site Pz, which is circled on the head parison of the highly stressed participant graph with an arrow pointing to the point in and the participant who correctly counted time of the displayed recording. all of the high tones. Comparing these two participants demonstrates the large differ- Discussion ences in their concentration levels. While their responses may be at the extremes, these par- The most interesting outcome of this study is ticipants are indeed representative of their the straightforward implication that the type respective groups. Their responses not only

,AW %NFORCEMENT %XECUTIVE &ORUM s s &IGURE . Responses from Participants at the Behavioral Extremes

Note: The above graph is of the officer who performed the worst at multitasking (top) and the instructor who performed the best overall (bottom). Brain activity for standard and target responses is graphed as in Figures 1 and 2 and is also represented topographically. Recording site Pz is circled on the scalp maps with an arrow pointing to the time in the recording that corresponds to the mapped responses. Darker grays represent higher levels of brain activity. This figure demonstrates the large differences in brain responses to hearing the tones and shows how well the measures of brain activity reflect behavioral performance. show the vastness between their multitask- shoulder, neck, and face muscles. The officer ing abilities, they also demonstrate how well also grossly overestimated the number of target the recognition response correlates with the tones sounded on all trials. The lack of a recog- behavioral response. In Figure 3, target and nition response in this case was expected since standard waveforms from the highly stressed the behavioral response shows the officer was officer have a large amount of physiological not paying attention to the target tones. On the noise with no apparent response deflections. other hand, there is relatively little noise in the The physiological noise in the signal is at least brain activity of the instructor. This participant partially a byproduct of the stress being expe- did not exhibit stressful behaviors and self- rienced by the officer: the noise under these reported being relatively relaxed during the experimental conditions is basically a result testing phase. The recognition response is also of such behaviors as gritting teeth and tensing large, which is expected since the behavioral

,AW %NFORCEMENT %XECUTIVE &ORUM s s responses were all reported accurately show- car, future training programs for police drivers ing the instructor was indeed attending to the may want to include curriculum for reducing/ target tones while driving. coping with different types of stressors.

Given the preliminary nature of this study, it Even though it was not tested statistically and is would not be appropriate to extrapolate the therefore anecdotal evidence, it was interesting findings to comment on road safety in general that the instructor with the best performance or on pursuit policy. However, this study does behaviorally was the instructor who trains offi- touch on some interesting ideas that should cers to drive on the skid pan. The other two be explored further. Using simple measures of instructors train officers to drive on the road, multitasking while driving at very low speeds, are not normally on the skid pan, and did not it was shown that stressed participants experi- perform quite as well at the task (see Table 1 enced a tunneling of attention that kept them and Figure 4). This observation is in line with from discriminating two tones. A possible the idea that more practice for a specific task implication is that when experiencing such equals better skills at performing the task. As tunnel vision, police drivers may miss impor- a skill is enhanced, it becomes automated. The tant safety information from the visual driv- automation of a skill reduces the attentional ing environment, from auditory instructions or demands of performing the skill, which frees updates given by partners or the police radio, up attentional resources to be used for other and from critical tactile sensations relating to things, like discriminating two tones. the stability and state of the vehicle and the condition of the road. Just to note, these find- That training may be an important predictor of ings were obtained using highly trained police multitasking abilities when under stress con- drivers. If it is found that stress causes tunnel versely suggests that the driver who is fleeing vision in these drivers, how much larger is the from the police during a high-speed pursuit effect for the civilian driver who has not been may experience even greater levels of tunnel so highly trained? And it could be argued vision or attentional narrowing, and addition- that adding speed and task complexity would ally that tunnel vision may increase as speeds increase the amount of stress experienced by increase (from the added stress and danger of participants. In other words, in an actual pur- greater speeds). If this is the case, pursuit poli- suit in which speeds are generally in excess of cies may need to be revisited to account for the the posted limits and the driver must attend to possibility of such hazards adding additional more than a couple of simple beeps, stress levels stress to the fleeing driver. Currently, the MPS may be even higher than what was observed in Hendon Driving School instructs officers to the pursuit officers in this study. “control the environment” around the pursuit by being aware of the fleeing driver’s behav- Since it is suggested—based on the results of this ior and his or her control of the vehicle. One initial study and highlighted by comparing the method taught is to allow greater distances two participants at the performance extremes— between the fleeing vehicle and the police car that stress causes a tunneling of attention while when in areas of greater road and pedestrian driving, a logical assumption is that reduc- traffic, which should encourage the fleeing ing stress may enhance the ability to multitask driver to slow down in these situations since while driving. If this is the case, stress-reduc- he or she is not being “pushed” by the pursuit ing or stress-coping strategies may actually vehicle. London MPS, as well as many other free up attentional resources thereby reducing police agencies around the world, have also tunnel vision and increasing driver safety. This adopted a policy in which—under certain cir- assumption was not tested in the present study; cumstances and if certain conditions have been however, future studies should be designed to met—the pursuit is terminated in an effort to test this hypothesis. If it turns out that reducing lower risks to safety. Additional studies need stress also reduces attentional tunneling in the to be undertaken to better determine how

,AW %NFORCEMENT %XECUTIVE &ORUM s s termination policies such as this may or may difficulty counting audio tones while driving not increase safety. Additional studies also on the training course (only 5% of the trials need to be undertaken to better understand were correctly counted). The participants who how stress interferes with attention while were not experiencing stress had little difficulty driving and how this can be overcome, or at with this task (they were correct on 83.3% of the least limited, for police drivers through policy trials). Corroborating the behavioral responses, and training. the electrophysiological measures also showed a large difference in brain response activity It should be noted that the levels of stress and between these two groups. These results give tunnel vision found in this particular study do objective evidence that stress has a negative not reflect on the MPS driver training program effect on multitasking performance. Especially itself. The officers tested in this study were all poignant is the comparison between the highly in their first week of a four-week advanced stressed officer and the skid pan instructor. The training course at the Hendon Driving School. officer’s responses to standard and target tones As officers just beginning their training course, show that this officer was experiencing tunnel they were undoubtedly dealing with the anxi- vision while driving. The skid pan instructor, on ety of failing the course along with the real- the other hand, showed a high level of multi- ization that there was a limited amount of tasking skill. These extremes are evident in the training time for acquiring skills related to this response brainwaves (as seen in Figure 3) as well advanced course. It may be that the direct evi- as in the behavioral responses (the officer incor- dence of stress and tunnel vision found here rectly counted all trials, while the instructor cor- disappeared by the end of training. This possi- rectly counted all trials; see Table 1). Overall, bility was not tested. It would be interesting in it was concluded that stress may indeed affect the future to test the officers at the beginning multitasking, and it was further suggested that of training and immediately after they have training and/or practice in turn facilitates this successfully completed the training program ability. to see if there is a difference in multitasking abilities. References Since this study was a first attempt to measure Basar-Eroglu, C., Basar, E., Demiralp, T., & brain activity related to multitasking while Schurmann, M. (1992). P300-response: Pos- driving, there are limitations in how it was sible psychophysiological correlates in delta designed. To strengthen the findings presented and theta frequency channels. A review. here, future studies should include more drivers International Journal of Psychophysiology, 13(2), and should provide a more objective measure 161-179. of stress. It would also be interesting to look at participant performance based on how much Briggs, G. F., Hole, G. J., & Land, M. F. (2011). stress they were experiencing, and then to see Emotionally involving telephone conver- if early, objective measures of stress were cor- sations lead to driver error and visual tun- related with overall performance in the training nelling. Transportation Research Part F: Traffic program (based on their pass/fail assessment). Psychology and Behaviour, 14(4), 313-323.

Conclusion Chiappa, K. (1990). Evoked potentials in clinical medicine. New York: Raven Press. In this initial study of assessing attention while driving a car, multitasking was measured in Collet, C., Guillot, A., & Petit, C. (2010). Phon- stressed participants and compared with results ing while driving I: A review of epidemiolog- from participants who were not under any ical, psychological, behavioural and physi- noticeable amount of stress. The results clearly ological studies. Ergonomics, 53(5), 589-601. show that the stressed participants had greater

,AW %NFORCEMENT %XECUTIVE &ORUM s s Cote, K. A. (2002). Probing awareness during Spence, C., Ranson, J., & Driver, J. (2000). sleep with the auditory odd-ball paradigm. Cross-modal selective attention: On the dif- International Journal of Psychophysiology, 46(3), ficulty of ignoring sounds at the locus of 227-241. visual attention. Perception & Psychophysics, 62(2), 410-424. Driver, J., & Spence, C. (1998). Crossmodal attention. Current Opinion in Neurobiology, Tomberg, C. (1999). Finger kinaesthesia: Cog- 8(2), 245-253. nitive electrogeneses to attended joint input. Neuroreport, 10(12), 2547-2550. Duncan-Johnson, C. C., & Donchin, E. (1977). On quantifying surprise: The variation of Verhaeghen, P., & Basak, C. (2005). Ageing event-related potentials with subjective and switching of the focus of attention in probability. Psychophysiology, 14(5), 456-467. working memory: Results from a modified N-back task. Quarterly Journal of Experimental Eimer, M. (2001). Crossmodal links in spa- Psychology A–Human Experimental Psychol- tial attention between vision, audition, and ogy, 58(1), 134-154. touch: Evidence from event-related brain potentials. Neuropsychologia, 39(12), 1292- Verleger, R. (1997). On the utility of P3 latency 1303. as an index of mental chronometry. Psy- chophysiology, 34(2), 131-156. Garavan, H. (1998). Serial attention within working memory. Memory & Cognition, 26(2), Wilson, F. A., & Stimpson, J. P. (2010). Trends 263-276. in fatalities from distracted driving in the United States, 1999 to 2008. American Journal McElree, B. (2001). Working memory and of Public Health, 100(11), 2213-2219. focal attention. Journal of Experimental Psy- chology Learning Memory and Cognition, 27(3), 817-835. Jonathan W. Page is a Psychology and Neuroscience professor at Dickinson Page, J. W., Thibeault, C. M., Page, K. F., & College in Carlisle, Pennsylvania. His Lewinski, W. (2008). Pursuit driver training research attempts to link specific brain improves memory for skill-based informa- functioning to higher-order cognitive tion. Police Quarterly, 11(3), 353-365. tasks such as visual discrimination, multitasking, and imagination. Recently, his Sannita, W. G., Bandini, F., Beelke, M., focus has been on finding out how these De Carli, F., Carozzo, S., Gesino, D., . . . processes may change under stressful Narici, L. (2001). TTimeime dynamics of stimustimu-- situations, and he has dedicated more lus- and event-related gamma band activity: of his research efforts to the area of law Contrast-VEPs and the visual P300 in man. enforcement. Clinical Neurophysiology, 112(12), 2241-2249.

Shomstein, S., & Yantis, S. (2004). Control of attention shifts between vision and audition in human cortex. Journal of Neuroscience, 24(47), 10702-10706.

Sliwinski, M. J., Smyth, J. M., Hofer, S. M., & Stawski, R. S. (2006). Intraindividual cou- pling of daily stress and cognition. Psychol- ogy and Aging, 21(3), 545-557.

,AW %NFORCEMENT %XECUTIVE &ORUM s s The Impact of Situational and Contextual Factors on Police Arrest Decisions: An Analysis from the New York Police Department

Seksan Khruakham, PhD, College of Criminal Justice, Sam Houston State University Larry T. Hoover, PhD, College of Criminal Justice, Sam Houston State University

Introduction police decisionmaking process as to whether to stop, search, and arrest (Klinger, 1994, 1996; Police discretionary decisionmaking, particu- Novak, Frank, Smith, & Engel, 2002; Robinson larly whether to arrest for minor or nuisance & Chandek, 2000; Worden & Shepard, 1996). offenses, is influenced by numerous factors, including officer characteristics (e.g., race, This is important because racial profiling has gender, education, and attitudes), situational been one of the most controversial policing factors (e.g., citizen characteristics), organi- issues for several decades. Police organizations zational factors (e.g., the police subculture, have created numerous measures to address department size, policy, and style), and com- the problem of racial discrimination. Although munity factors (e.g., neighborhood wealth disparate treatment in policing has been closely and poverty, unemployment, racial heteroge- controlled and has seemingly diminished, the neity, and cultural diversity). Much research issue remains controversial, especially in large has also been conducted to establish how cities. Moreover, there has been an increase police mobilize their power through stop and in minority officers in recent years who have search as well as through arrest procedures. indeed become the majority in some police Stop and search influential contextual vari- departments (Hickman & Reaves, 2003). These ables include organizational factors (Alpert officers are believed to be less likely to dis- & MacDonald, 2001; Crank, 1990; Finn, Black- criminate against minority residents. However, well, Stalans, Studdard, & Dugan, 2004) and according to Sun, Payne, and Wu (2008), previ- neighborhood characteristics (Crank, 1990; ous research found little or no support regard- Kane, 2002; Smith, 1986; Sung, 2002; Warner, ing the impact that an individual officer’s char- 1997). Moreover, certain individual police acteristics have on police behavior. Although officer characteristics have been found to be the relationship between an officer’s race and additional predictors (Brooks, Piquero, & arrest behavior is complex, there is evidence Cronin, 1993; Brown & Frank, 2006; Crank, showing support for the argument that it has 1993; Sun & Payne, 2004; Worden, 1989). minimal influence (Brooks, 2001; Brown & However, little or no impact on police arrest Frank, 2006; Fyfe, 1988; Geller & Scott, 1992). decisionmaking appears to exist due to officer race (Riksheim & Chermak, 1993; Robinson Given that information related to police stops, & Chandek, 2000; Smith & Klein, 1983; Sun & searches, and arrests has been scarcely recorded Payne, 2004; Walker, Spohn, & DeLone, 1996; and most police records are restricted, research- Worden, 1989), gender (Worden, 1984), age ers have rarely examined the concurrent influ- and experience (Smith & Klein, 1983; Worden, ences of both citizen characteristics and neigh- 1989), or educational background (Sherman, borhood factors. Using multilevel modeling, 1978; Worden, 1990). On the other hand, situ- the relationship between police arrest decision- ational factors (e.g., a suspect’s race, gender, making and citizen attributes and neighbor- age, demeanor, presence of evidence, witness, hood characteristics in New York City (NYC) location, and time) play a significant role in the are examined in this study. Two main research

,AW %NFORCEMENT %XECUTIVE &ORUM s s questions were developed. The first is whether their dominance. Therefore, criminal law and community context has a significant impact on its enforcement as a form of social control are police arrest decisions. The second is whether conceived as a tool to protect the interests of citizen attributes interact with community con- the dominant group (Quinney, 1977). text in influencing arrest decisions. Thus, the racial threat perspective suggests Literature Review that Blacks and other racial minorities are more likely to be subjected to biased police practices in order to ensure that they are “brought Theoretical Perspectives under control” (Greenberg, Kessler, & Loftin, In order to study the determinants of police 1985, p. 690). However, previous researchers behavior, most researchers have employed the (e.g., D’Alessio & Stolzenberg, 2003; Liska & frameworks of either the racial threat perspec- Chamlin, 1984; Smith, 1987; Smith, Visher, & tive, Black’s (1976) theory of law, or Klinger’s Davidson, 1984; Stolzenberg, D’Alessio, & (1997) ecological theory of police behavior. All Eitle, 2004; Worden, 1995) found inconsistent three theoretical perspectives posit explanations patterns when the racial threat hypothesis was of police behavior based on citizen and situational examined. Some research found support for factors as well as contextual factors (e.g., organi- the racial threat hypothesis (e.g., Liska, 1992; zational and neighborhood characteristics). Liska & Chamlin, 1984), while others found an inverse impact—that is, lower minority discretionary arrest rates—which is contrary Racial Threat Theory to the racial threat perspective (e.g., D’Alessio The racial threat theory is a conflict perspective & Stolzenberg, 2003; Stolzenberg et al., 2004). suggesting that as the size of a minority group increases, members of the majority group Black’s Theory of Law may perceive this to be a threat to their positions and will thus attempt to reduce the threat The theory of law proposed by Black (1976) has (Blalock, 1967). Similarly, Turk (1969) sug- generally been used to predict and explain legal gested that racial and cultural dissimilarity of variation between location and direction in social subordinate groups are perceived to be threat- space. Although the theory primarily addresses ening to the political and social order and will the behavior of law, it may also be applied to thereby be disproportionately subject to police police work (Black, 1980). Black argued that as interventions such as stop and arrest. Whether an instance of law, policing varies within its real or imaginary, it is suggested that the threat location as well as its direction in social space. of racial competition may result in conflict As a segment of law, police work thus differs in between racial groups. Blalock (1967) argued style and quantity from one setting to another. that racial threat can be perceived as either economic or power threats. In regard to economic The police may handle a case according to the threat, when minorities compete for jobs and interactional structure, cultural space (e.g., economic resources, they are hypothesized as ethical enclaves or lifestyles), organizational becoming a threat to the economic well-being degrees, and types of social control (e.g., family, of the majority. To reduce competition between school, church, or other institutions). By exten- racial groups, social control efforts are thus sion, social neighborhood characteristics may employed to exclude minorities from partici- predict and explain police behavior or how pating in economic competition. In terms of stop, search, and arrest decisions are made. the power threat, Blalock hypothesized that as the minority population increases, members In addition, Black’s theory of law can explain of the majority will progressively perceive of the impact of incident-level factors. At the minorities as a threat to their political power police encounter level, for example, Black (1976) and will increase social control to maintain argued that law directly varies with social rank

,AW %NFORCEMENT %XECUTIVE &ORUM s s that includes gender, age, and race. Similar to the Race. Some researchers found that the police racial threat theory, Black’s theory of law sug- tend to arrest at a higher rate when Black sus- gests that African-American citizens are more pects or other racial minorities are encountered likely to be arrested than those who are consid- (Lundman, 1998; Smith & Klein, 1983; Smith & ered to be higher ranking in the community. Visher, 1981; Smith et al., 1984; Worden, 1995), whereas others found no link between a suspect’s race and the decision to arrest (Friedrich, Klinger’s Ecological Theory 1980, Mastrofski, Worden, & Snipes, 1995; Terrill Klinger (1997) proposed an ecological theory & Paoline, 2007). Considered to be one of the to explain police work at the precinct level. most significant studies involving the effect of Although scholars have argued that police race on aggregate arrest rates, Hindelang (1978) behaviors can be influenced by environmen- used the National Crime Victimization Survey tal factors such as neighborhood crime rates, (NCVS) and Uniform Crime Report (UCR) arrest Klinger suggested that vigorous police response data to determine whether Blacks were over- to deviance is also affected by crime serious- represented when compared to victim reports. ness, how police perceive normal deviance, the Although Hindelang found some divergence victim’s perceived deserved vengeance, police between the percentage of Blacks arrested for cynicism, and workload. More specifically, personal crimes versus the percentage reported Klinger argued that officers tend to respond less by victims, the difference was not attributed to vigorously to deviant behavior when patrolling racial discrimination but, rather, to differential high crime districts where they exhibit cyni- involvement theory, suggesting that Blacks have cism toward the criminal justice system, have a higher rate of offending than Whites and are heavy workloads, and perceive deviance as thus more likely to be stopped and arrested. normal and the victim as being the one who “deserves” the crime. Essentially, officers in Gender and Age such settings respond to only the most serious crimes. Klinger’s ecological theory of police In terms of gender, results have been incon- behavior suggests that police officers who work clusive. For example, whereas male suspects in high crime districts, generally characterized were found more likely to be arrested in some by a disproportionate number of Black or other studies (Sealock & Simpson, 1998; Visher, 1983; minorities, are less likely to make an arrest. Worden & Shepard, 1996), in other studies, results revealed gender as having no impact Previous Research on Police Arrest on the police decision to arrest (Klinger, 1996; Decisions Smith & Visher, 1981; Terrill & Paoline, 2007). Similarly, a few researchers found that younger suspects were more likely to be arrested (Black, Situational Factors 1976; Mastrofski et al., 1995), while others con- Situational factors that include citizens’ charac- cluded that age had no effect on the decision to teristics and attitudes have been found to be more arrest (Sun et al., 2008; Terrill & Paoline, 2007). important predictors of police arrest decisions than officers’ characteristics (Black, 1971; Smith Citizens’ Attitudes & Klein, 1983; Stalans & Finn, 1995; Worden, 1989). Although previous research on the effect More importantly, Sun et al. (2008) found that a of citizen characteristics of race, gender, age, citizen’s demeanor during police-citizen contacts and attitudes have resulted in inconsistencies, was more consistent with arrest outcome than Sun et al. (2008) proposed that police behavior demographic characteristics. In the majority of is influenced by situational features involving studies, police officers tended to arrest suspects interactions between the police and citizens. who were disrespectful and irrational (Engel, Sobol, & Worden, 2000; Lundman, 1994, 1996, 1998; Smith, 1987; Sun et al., 2008; Worden, 1989;

,AW %NFORCEMENT %XECUTIVE &ORUM s s Worden & Shepard, 1996). However, Klinger Data and Methods (1994, 1996) found no connection between citizen demeanor and the decision to arrest. Data The New York Police Department’s Stop, Neighborhood Characteristics Question, and Frisk (NYPD SQF) database and Earlier research generated mixed findings regard- census data were utilized in our study. The ing the impact of neighborhood context on police database provided micro-level variables con- behavior. For example, researchers found sup- sisting of arrest status, the dependent variable, port for the effects of a neighborhood’s racial and independent variables consisting of the composition wherein officers tended to make suspects’ characteristics. Originally, these data more stops, searches, and arrests and issue cita- from 485,094 cases were gathered during 2006 tions in minority and racially mixed communities as a result of stop, search, and frisk encoun- (Alpert & Dunham, 1988; Smith, 1986; Sun et al., ters between police officers and NYC citizens. 2008). In addition, disadvantaged or lower-class After data screening, there were missing cases neighborhoods were found to be more likely to (5%) that were excluded from the analysis. be subjected to vigorous law enforcement (Bayley & Mendelsohn, 1969; Smith & Klein, 1983; Sun Every ten years, data obtained from the census & Payne, 2004). Bayley and Mendelsohn (1969) provides macro-level variables at the commu- argued that in these types of neighborhoods, nity district level (i.e., population and the per- there tends to be a greater social distance between centages of Blacks, persons receiving public officers and residents. In addition, suspects assistance, residents under 18, and single female- encountered in concentrated disadvantaged headed households). The final data included 56 neighborhoods were found to be more likely to out of 59 NYC community districts; thus, the show disrespect toward officers (McCluskey, total sample size was 56.1 However, because of Reisig, Mastrofski, & Terrill, 1999). Although the limited range of macro-level data, only a few scholars have argued that police officers are less variables were included in the analysis. likely to make arrests in private residential areas as opposed to public places (Black, 1976; Wilson, Methods 1968), Smith and Visher (1981) suggest there has been no support for this argument. Although logistic regression has convention- ally been used to analyze a dichotomous In contrast, Slovak (1986) concluded that there dependent variable, it has problems with mul- was no connection between environmen- tilevel independent variables given that tradi- tal neighborhood characteristics and police tional logistic regression models do not account behavior. Indeed, as noted, Klinger (1997) for level-2 error variance differences (Bryk & argued that police efforts were less vigorous Raudenbush, 2002; Kreft & de Leeuw, 1998). in high crime or disorderly areas by explain- Because we examined the effects of both micro- ing that excessive levels of deviance increased and macro-level factors on police arrest deci- police workload and resource allocations. sions, multilevel modeling was found to be the most appropriate statistical technique to use in In sum, the influence of situational factors that it provided accurate parameter estimates, on police arrest behavior when controlling standard errors, and significance tests that for neighborhood context remains unclear. yielded a more complicated error term (Bryk & Furthermore, the contextual impact of police Raudenbush, 2002; Hofmann, Griffin, & Gavin, arrest decisions has scarcely been examined. 2000; Snijders & Bosker, 1999). In addition, gen- Therefore, the impact of both situational fac- eralized hierarchical linear modeling (GHLM) tors at the micro level and community charac- can provide benefits of multilevel analysis with teristics at the macro level were examined in a dichotomous dependent variable. As a result, this study using multilevel data and analysis. use of GHLM multilevel analyses to examine

,AW %NFORCEMENT %XECUTIVE &ORUM s s the micro- and macro-level factors influencing during the nighttime hours would be more police arrest decisions provided a better speci- likely to result in an arrest. fied model and more detailed understandings as opposed to a single-level technique. Further, the presence of evidence was included in the analysis as a control variable since pre- Dependent Variable vious researchers found this legal factor to be strongly related to an officer’s decision to The dependent variable consisted of a police arrest (Black, 1971; Novak et al., 2002; Smith officer’s arrest decision and was operational- & Klein, 1983; Smith & Visher, 1981; Worden, ized as a dichotomous variable, with “arrest” 1989). The presence of evidence was created coded as 1 and “no arrest” coded as 0. Descrip- as a binary variable, which indicated whether tive statistics revealed that out of 462,502 or not a weapon or contraband was found or police encounters, 19,230 incidents resulted in a witness was present. If one of the three items arrests. was presented, a code of 1 was assigned; otherwise, the item was coded as 0. Independent Variables ,EVEL 6ARIABLES ,EVEL 6ARIABLES Building on the theoretical frameworks and The effects of police officers’ characteristics per- previously discussed research, four macro-level taining to arrest decisions have previously been community variables were included in the ana- examined; thus, they were excluded from our lytical model: (1) social disadvantage, (2) per- study. Only suspects’ characteristics (i.e., race, centage of Hispanic population, (3) crime rate, gender, and age) and incidents were examined. and (4) area population. Social disadvantage was a composite scale consisting of four items: The suspect’s race consisted of four cat- (1) percentage of Black population, (2) percent- egories—(1) White, (2) Hispanic, (3) African age of residents under 18, (3) percentage of American, and (4) Other—that were opera- single female-headed household, and (4) per- tionalized as dummy variables in which centage of persons receiving public assistance.2 White was coded as a reference category. The four items loaded on a single factor with an Gender was operationalized as a dichoto- initial Eigenvalue = 3.084, Kaiser-Meyer-Olkin mous variable that included male = 1 and (KMO) = 0.631, and significant Bartlett’s Test of female = 0, whereas the actual age of suspects Sphericity (χ2 = 205.390, p < 0.0001). Further, the was recorded in years. A suspect’s demeanor reliability test showed that the composite scale consisting of verbal threats and noncompli- was acceptable at Cronbach’s alpha = 0.759. ance was operationalized as a dichotomous variable. Incidents in which the suspect did The Hispanic population percentage was a not comply and/or verbally threatened the continuous variable (M = 28.91) with a mini- officer during the encounter were coded as mum of 5.60 and maximum of 75.80, whereas disrespectful or having a bad demeanor = 1 or crime rate was converted into crime per thou- without noncompliance and/or verbal threat sand. The average crime rate was 1.287 per were coded as good demeanor = 0. 1,000 population with a standard deviation of 0.229. For analytic parsimony, area population Regarding other incidental dichotomous vari- was expressed in thousands. The mean of area ables, location was recoded as incidents occur- population was 136.386 with a standard devia- ring in residential areas = 1 or other areas = 0, tion of 47.814. Although these variables are not and time of incident was operationalized as normally distributed, they were not extremely occurring during the daytime hours (6:00 AM skewed; thus, no transformation was needed. to 5:59 PM) = 0 or nighttime (6:00 PM to 5:59 AM) = 1. We hypothesized that incidents occurring

,AW %NFORCEMENT %XECUTIVE &ORUM s s Findings Multilevel Analysis Preliminary multilevel analysis revealed that Descriptive Statistics all incident-level variables were significant. Descriptive statistics shown in Table 1 revealed However, the significant findings were doubtful that 250,754 (54%) citizens stopped were African due to the large sample size (N = 462,502). There- American, 138,862 (30%) were Hispanic, and fore, the original data were randomly sampled 49,597 (11%) were White, an indication that based on the proportion of incidents per com- almost 90% of the citizens stopped were from munity district. As a result, 10,000 incidents were minority groups in which more than half selected to represent the original data. Descrip- were Black. A similar pattern was also found tive statistics of the sampled data were quite in police arrests wherein 10,024 (52%) African similar to the original data (see Appendix). Americans, 6,013 (31%) Hispanics, and only 2,323 (12%) White suspects were arrested.

4ABLE $ESCRIPTIVE 3TATISTICS FOR $EPENDENT AND )NDEPENDENT 6ARIABLES Stop Cases Arrest Cases Case (%) M SD Case (%) M SD Dependent Variable Arrest status 462,502 0.04 0.20 Arrest 19,230 (4.2) No arrest 443,272 (95.8) Independent Variables Level-1 Suspect’s race 462,502 19,230 African Americans 250,754 (54.2) 10,024 (52.1) Hispanics 138,862 (30) 6,013 (31.3) Whites 49,597 (10.7) 2,323 (12.1) Other 23,289 (5) 870 (4.5) Suspect’s gender 462,502 0.93 0.26 19,230 0.92 0.28 Male 428,965 (92.7) 17,599 (91.5) Female 33,537 (7.3) 1,631 (8.5) Suspect’s age 462,502 27.74 11.33 19,230 28.97 11.69 Suspect’s demeanor 462,502 0.08 0.27 19,230 0.15 0.36 Bad demeanor 37,376 (8.1) 10,008 (52.0) Good demeanor 425,126 (91.9) 9,222 (48.0) Incident time 462,502 0.34 0.47 19,230 0.35 0.48 6:00 AM-5:59 PM 156,972 (33.9) 6,788 (35.3) 6:00 PM-5:59 AM 305,530 (66.1) 12,442 (64.7) Incident location 462,502 0.25 0.43 19,230 0.30 0.46 Residence 115,985 (25.1) 5,672 (29.5) Other 346,517 (74.9) 13,557 (70.5) Control Variable Presence of evidence 462,502 0.13 0.34 19,230 0.52 0.50 Have evidence 61,299 (13.3) 10,008 (52.8) No evidence 401,203 (86.7) 9,222 (48.0) Level-2 (n = 56) M SD Min. Max. Social disadvantage 93.82 47.20 19.60 195.90 Percent Hispanics 28.91 21.01 5.60 75.80 Crime rate 1.29 0.23 0.53 2.26 Area population 136.39 47.81 11.72 242.95

,AW %NFORCEMENT %XECUTIVE &ORUM s s Generalized hierarchical linear modeling In addition, the random intercept model was (GHLM) was the primary modeling procedure also used to examine the effects of commu- employed in our analysis due to the dichoto- nity-level variables on arrest decisions while mous dependent variable, police officer’s controlling for all incident-level variables. arrest decision (see Luke, 2004; Raudenbush Where the level-1 random intercept model & Bryk, 2002).3 In order to examine the odds of was the outcome variable of the regression “arrest” versus “no arrest,” the GHLM created model, all community-level variables and the a series of logit models. A three-step model- suspect’s age (level-1 variable) were centered ing strategy was used to estimate the models. around the group means; however, the other First, an unconditional model or one-way incident-level variables were not centered but analysis of variance (ANOVA) with random remained in their dummy variable metric. The effects was conducted. The unconditional random intercept models were expressed as model was expressed as Level-1 Model: ηij = β0j + β1j *(BLACK) ij Level-1 Model: ηij = log (φij / 1 - φij) = β0j + β2j *(HISPANIC)ij + β3j *(OTHER) ij + β4j *(GENDER) ij + β5j *(AGE)ij + β6j *(DEMEANOR) Level-2 Model: β0j = γ00 + u0j ij+ β7j*(RESIDENCE) ij + β8j*(NIGHT)ij + β9j*(EVIDENCE) ij The level-1 unconditional model represented the variation in log-odds of arrest within each Level-2 Model: community district where ηij signified the log- odds arrests in community j, and β0j indicated β0j = γ00 + u0j the intercept that represented the average β1j = γ10 log-odds of arrest in community j. The level-2 β2j = γ20 unconditional model represented the varia- β3j = γ30 tion in log-odds of arrest between community β4j = γ40 districts where γ00 signified the intercept as β5j = γ50 the grand mean of log-odds of arrest across all β6j = γ60 community districts, u0j indicated the random β7j = γ70 effect assumed to be normally distributed β8j = γ80 around a mean of zero, and τ00 represented β9j = γ90 the variance between community districts in district-average log-odds of arrest. Finally, an intercept as outcome model was conducted to simultaneously examine the effects of Next, a random intercept or one-way ANCOVA both incident- and community-level variables model was used to estimate all incident-level on the dependent variable. Four level-2 vari- variables. In this model, the multivariate rela- ables were added to the model (i.e., percentage tionship between nine incident-level variables of African-American population, social disad- and the police decision to arrest was investi- vantage, crime rate, and area population) since gated by allowing random variation of the inter- it was hypothesized that all four variables cept. The suspect’s race (e.g., Black, Hispanic, would have some effect on police arrest deci- or Other), gender, and demeanor; incident loca- sions based on the theoretical frameworks that tion; incident time; and presence of evidence were discussed earlier. The intercept as out- were not centered because they were dichoto- come model consisted of the following form: mous variables; however, the suspect’s age, a continuous variable, was centered around the Level-1 Model: ηij = β0j + β1j *(BLACK) ij group mean. In addition, all within-community + β2j *(HISPANIC)ij + β3j *(OTHER) ij + β4j slopes were set as “fixed” due to the lack of evi- *(GENDER) ij + β5j *(AGE)ij + β6j *(DEMEANOR) dence showing that the effects of incident-level ij+ β7j*(RESIDENCE) ij + β8j*(NIGHT)ij + variables varied across communities. β9j*(EVIDENCE) ij

,AW %NFORCEMENT %XECUTIVE &ORUM s s Level-2 Model: β0j = γ00 + γ01*(SOCIAL DIS- df = 55, p < 0.001). Thus, multilevel analysis is rec- ADVANTAGE)j + γ02*(PERCENT HISPANIC) ommended for more complicated model specifi- j + γ03*(CRIME RATE)j + γ04*(POPULATION)j cations according to the results. + u0j Table 2 also presents the results of GHLM for β1j = γ10 one-way ANCOVA with the random effects β2j = γ20 model (Model 2). When the impact of incident- β3j = γ30 level variables on the police arrest decision was β4j = γ40 investigated, the results showed that the inter- β5j = γ50 cept (log-odds) remained significant (B = -3.780, B β6j = γ60 e = 0.023, p < 0.001). Among the incident-level β7j = γ70 independent variables, other racial groups, β8j = γ80 the suspect’s age, demeanor, and presence of β9j = γ90 evidence were found to be significant. Results revealed that police officers tend to arrest more As presented in Table 2, the results of GHLM for Asian minority suspects relative to White sus- the unconditional model (Model 1) show a sig- pects (B = 0.555, eB = 1.742, p < 0.05) and were nificant difference in the log-odds (coefficient B) more likely to arrest older suspects as opposed between the two categories of arrest and no arrest. to younger ones (B = 0.011, eB = 1.011, p < 0.05). On average, police officers were 95.3% less likely Further, suspects who exhibited disrespectful to make an arrest relative to no arrest (B = -3.054, manners were more likely to be arrested (B = eB = 0.047, p < 0.001). Moreover, the random effect 0.815, eB = 2.260, p < 0.001) than those who showed statistically significant variation across showed compliance during police encoun- 2 the community districts (τ00 = 0.334, χ = 168.479, ters. Most importantly, when evidence was

4ABLE 5NCONDITIONAL 2ANDOM )NTERCEPT AND )NTERCEPT AS /UTCOME -ODELS ON !RREST $ECISION . Model 1 Model 2 Model 3 (Unconditional model) (Random intercept model) (Intercept as outcome model) Fixed Effect B eB B eB B eB Level 1 Intercept, γ00 -3.054 .047*** -3.780 0.023*** -3.829 0.022*** Suspect’s race Black, γ10 0.229 1.258 0.313 1.368 Hispanic, γ20 0.120 1.127 0.148 1.160 Other, γ30 0.555 1.742* 0.596 1.815* Suspect’s gender, γ40 -0.256 0.774 -0.265 0.767 Suspect’s age, γ50 0.011 1.011* 0.011 1.011* Demeanor, γ60 0.815 2.260*** 0.826 2.284*** Evidence, γ70 2.153 8.614*** 2.162 8.695*** Residence γ80 0.167 1.183 0.181 1.199 Night, γ90 0.142 1.153 0.151 1.163

Level 2 Social disadvantage, γ01 -0.004 0.996* Percent Hispanic, γ02 0.006 1.006 Crime rate, γ03 -0.947 0.388* Area population, γ04 -0.004 0.996

Random Effect Variance χ2 Variance χ2 Variance χ2 u0j , τ00 0.334 168.479*** 0.359 188.038*** 0.312 159.890*** *p < 0.05; ** p < 0.01; *** p < 0.001

,AW %NFORCEMENT %XECUTIVE &ORUM s s presented during the encounters, police offi- and situational factors (i.e., suspect’s race/other cers were likely to make an arrest (B = 2.153, eB racial groups, age, and demeanor) were found = 8.614, p < 0.001). to significantly impact the arrest decision. The strongest factor was evidence followed by sus- Finally, the results from the intercept as outcome pect’s demeanor, other racial groups, and age. model (Model 3) are also presented in Table 2. As shown, the effects of both incident- and com- The findings were consistent with previous munity-level variables related to police arrest research conducted wherein the presence of evi- decisions were examined. Similar to the previous dence, a legal variable, was reported as a signif- model, the intercept (log-odds) remained significant predictor of police arrest (see Novak et al., icant (B = -3.829, eB = 0.022, p < 0.001). Among 2002). In addition, researchers generally found the four community-level variables, social disad- that suspects who exhibited disrespect or were vantage and crime rate were significant, whereas uncooperative with the police were more likely percent of Hispanic population and area popu- to be arrested (Engel et al., 2000; Lundman, lation were nonsignificant. Thus, police officers 1994, 1996, 1998; Smith, 1987; Sun et al., 2008; working in more disadvantaged community dis- Worden, 1989; Worden & Shepard, 1996). tricts were less likely to make an arrest than those working in more privileged areas (B = -0.004, eB = In addition to presence of evidence and suspect 0.996, p < 0.05). Similarly, police officers were less demeanor, we found that police officers tend likely to make an arrest in high crime-rate neigh- to arrest minority Asian suspects and others borhoods relative to low crime-rate neighbor- (excluding Hispanics and African Americans) hoods (B = -0.947, eB = 0.388, p < 0.05). during encounters relative to White suspects. This finding was consistent with Black’s (1976) Regarding the impact of incident-level vari- theory of law claiming that persons of lower ables on police arrest decisions after controlling ranking class, namely minority citizens, are for contextual impacts, the results presented in more likely to be subjected to police arrest as Model 3 (intercept as outcome model) were opposed to higher ranking citizens, namely quite similar to the findings in Model 2 (random Whites. However, the racial categories of African intercept model). All variables that were found American and Hispanic were not found to have to be significant remained so at the same level any significant impact on police arrest deci- (i.e., other racial groups, age, demeanor, and sions. In other words, there was no significant evidence). However, inclusion of the commu- difference between police arrests made among nity-level variables improved the overall model African-American and White suspects or among 2 with less variance (τ00 = 0.312, χ = 159.890, df = Hispanic and White suspects. This finding was 51, p < 0.001). This variance and χ2 value were inconsistent with previous research that found lower than those shown in the unconditional African-American suspects to be more likely 2 model (τ00 = 0.334, χ =168.479, df = 55, p < 0.001) to be arrested than their White counterparts and the random intercept model (τ00 = 0.359, (Lundman, 1998; Smith & Klein, 1983; Smith & χ2 =188.038, df = 51, p < 0.001). Visher, 1981; Smith et al., 1984; Worden, 1995).

Discussion and Conclusions In our study, a suspect’s age also had a significant impact on the police arrest decision. We Multilevel analysis reported significant find- found that older suspects who were stopped ings regarding the impact of both incident- were more likely than younger suspects to be level (level-1) and neighborhood-level (level-2) arrested. This finding was contrary to Black’s factors on the decision for police to arrest. In theory of law (1976) and previous research Model 2 (random intercept model) and Model 3 (Black, 1976; Mastrofski et al., 1995), suggesting (intercept as outcome model), the impact of that young suspects tend to be arrested more incident-level factors on police arrest decisions often than older adult suspects. However, was also examined. The presence of evidence descriptive statistics revealed that the average

,AW %NFORCEMENT %XECUTIVE &ORUM s s age (28.53) of arrested persons was only slightly also consider using a more comprehensive set higher than the average age (27.85) of stopped of situational variables. Because our study was persons (i.e., the age effect was very weak). quantitative in nature, a further analysis of qualitative data may lead to a greater understanding of Regarding the contextual impact, we found that police behavior. Better measures may be derived police officers were less likely to make an arrest from a mixed qualitative and quantitative meth- in disadvantaged and high crime neighbor- odology that will improve the analytical model hoods relative to affluent and low crime areas. used to examine police arrest decisions. While contrary to the argument suggested by the racial threat theory, our finding is consis- Endnotes tent with Black’s (1976) theory of law, suggesting that police are less likely to make arrests in 1 Out of the 59 community districts in NYC, three disadvantaged areas normally characterized were excluded from the analysis due to the by larger Black populations and higher crime conflict between level-1 and level-2 data. The rates. Finally, our finding was also consistent NYPD SQF database was originally collected with Klinger’s (1997) ecological theory of police based on precincts rather than community dis- response to deviance. For example, Klinger tricts. Therefore, some overlaps existed between argued that police officers are inclined to work community districts and police precincts. less vigorously in disadvantaged and high crime 2 Only four items were included in the scale due to districts in comparison to less disadvantaged data availability and statistical limitation. Theo- and low crime areas because they are busy with retically, the concept of concentrated disadvan- heavy workload schedules and perceive devi- tage can be measured by adding a few more items ant street behavior as normal. As a result, they than presented (i.e., poverty, residential mobility, are less likely to take any further action, namely or unemployment). However, numerous stud- an arrest after a stop. Black’s theory of law and ies consisted of a wide variety of combinations Klinger’s ecological theory of police behavior used to measure social disadvantage depending were useful in explaining the findings regard- on available data. Also, some of these items were ing contextual factors in our study. missing in the data, and principal components of factor analysis revealed that the four items were an appropriate measure of social disadvantage. Limitations 3 The variance inflation factors (VIF) of all inde- Two limitations should be addressed. First, our pendent variables were < 10, and they were study was limited to only the impact of level-1 > 0.3 of all tolerance values, indicating that situational factors. Therefore, other level-1 vari- multicollinearity was not a problem (Mertler & ables that were excluded (e.g., individual police Vannatta, 2005). officer characteristics) may have possibly had an impact on police arrest decisions. Second, the References level-1 measures we used may have included some errors given that most were operational- Alpert, G., & Dunham, R. G. (1988). Policing ized as dichotomous variables. Therefore, they multi-ethnic neighborhoods: The Miami study may be less than perfect in measuring the con- and findings for law enforcement in the United cepts we identified due to a limitation of data. States. Westport, CT: Greenwood.

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,AW %NFORCEMENT %XECUTIVE &ORUM s s Appendix. Descriptive Statistics for the Sampled Data

Stop Cases Arrest Cases Case (%) M SD Case (%) M SD Dependent Variable Arrest status 10,000 0.04 0.20 Arrest 420 (4.2) No arrest 9,580 (95.8) Level-1 Independent Variables Suspect’s race 10,000 420 African Americans 5,461 (54.6) 224 (53.3) Hispanics 2,989 (29.9) 124 (29.5) Whites 968 (9.7) 35 (10.8) Other 492 (4.9) 27 (6.4) Suspect’s gender 10,000 0.93 0.26 420 0.91 0.28 Male 9,284 (92.8) 383 (91.2) Female 716 (7.2) 27 (8.8) Suspect’s age 10,000 27.85 11.28 19,230 28.53 11.13 Suspect’s demeanor 10,000 0.08 0.28 420 0.17 0.38 Bad demeanor 8.22 (8.2) 72 (17.1) Good demeanor 9,178 (91.8) 348 (82.9) Incident time 10,000 0.66 0.48 19,230 0.67 0.47 6:00 AM-5:59 PM 3,444 (34.4) 139 (33.1) 6:00 PM-5:59 AM 6,556 (65.6) 281 (66.9) Incident location 10,000 0.25 0.44 19,230 0.29 0.45 Residence 2,538 (25.4) 120 (28.6) Other 7,462 (74.6) 300 (71.4) Control Variable Presence of evidence 10,000 0.13 0.34 19,230 0.54 0.50 Have evidence 1,344 (13.4) 226 (53.8) No evidence 8,656 (86.6) 194 (46.2)

,AW %NFORCEMENT %XECUTIVE &ORUM s s Educated to Serve: Improving Agency Strategies to Recruit the Growing Backlog of Criminal Justice Graduates

Todd A. Lough, Assistant Professor, School of Law Enforcement and Justice Administration, Western Illinois University, and Retired Chicago Police Officer

The debate over the utility of a college educa- a variety of circles for postsecondary education as a requirement for police work is both tion to become a requirement for those pur- old and well-worn. For close to a century now, suing a career in law enforcement. From the there has been a near constant discussion over early 1900s to the present, both individual the importance of a university education chiefs and national commissions have called as preparation for a career in law enforce- for the hiring of better educated officers. In ment. Though few in policing today would national studies such as the National Com- argue that college experience has no merit as mission on Law Observance and Enforcement a requirement for new police hires, the old (aka the Wickersham Commission, 1931), the fear still exists among many police execu- President’s Commission on Law Enforcement tives that raising educational requirements and the Administration of Justice (1967), the inevitably produces substantially smaller and National Advisory Commission on Criminal less diverse applicant pools. Though this may Justice Standards and Goals (1973), and the have been a problem in the past, the recent National Advisory Commission on Higher years of staff cuts and hiring freezes have Education for Police Officers (1978), they all produced a nationwide oversupply of college called for college coursework, or even college graduates with a growing impatience to begin degrees, to be phased in as eventual prerequi- their careers in law enforcement. A major sites for aspiring police officers. These recom- challenge, at least in the near term, for police mendations, as well as more recent ones, were departments seeking to attract more educated predicated in part on the belief that a college recruits is not an undersupply of qualified col- education would promote police professional- lege graduates but, rather, a failure to market ism and improve the critical thinking and com- open departmental positions to the right audi- munication skills of officers, and consequently, ence. This article examines some strategies would improve their performance on the job. police executives and their departments can use to attract an applicant pool that is both A considerable amount of scholarly attention more educated and more diverse. Perhaps has been paid in recent decades to the effect of the time has come for police departments to higher education on the attitude and perfor- take advantage of the current oversupply of mance of the individual police officer. Among criminal justice graduates and raise the edu- other findings, this research has found evi- cational level of their officers through changes dence that more educated officers may have in recruiting practice, if not through formal more flexible and open attitudes and are less hiring policy. prone to being overly authoritarian, are more accepting of minorities, are more aware of Before specifically addressing recruiting social and cultural/ethnic problems in their strategies, it is worthwhile to briefly revisit community, are more ethical in their behavior the arguments in favor of employing a more and more professional in their attitudes, and highly educated police force. Numerous rec- often receive higher evaluations from their ommendations over the years have come from supervisors.1 Likewise, some studies have

,AW %NFORCEMENT %XECUTIVE &ORUM s s found that college-educated officers are more have continued to produce new criminal jus- likely to succeed in the academy, elicit fewer tice graduates. This has led to the current situ- citizen complaints, receive fewer injuries on ation in which many thousands of young men the job, and are involved in fewer traffic acci- and women of various backgrounds seeking dents (Roberg & Bonn, 2004, pp. 474-476). to work in law enforcement have been frus- There is also evidence to suggest that having trated in their efforts to secure positions. What actually completed the bachelor’s degree is undoubtedly a difficult situation for these may afford significant behavioral benefits in new graduates has created a real opportu- a crucial area of policing. In one recent study, nity for law enforcement agencies around the officers with a four-year degree were found country. Where once there was a real shortage to be significantly less likely to rely on physi- of diverse degree-bearing police applicants, it cal forms of force in their interactions with appears that that time period may have now the public than either officers with no college passed. or just some college (Paoline & Terrill, 2007). What much of the research has also found is The challenge, then, for those agencies that are that the most powerful predictor of good offi- currently hiring or may be in the near future is cer performance is still everyday experience determining how best to tap into this reservoir doing police work; however, the performance of potential college graduates and encourage benefits of experienced officers are enhanced their interest in open positions. To be fair, significantly when coupled with the presence no matter what the economic conditions or of a college education. supply of college-educated applicants, some departments will face more of a challenge in If the evidence indicates that officers with a recruiting than others. Whether it is due to college education most likely perform better location, size, or salary range, some positions overall, why then haven’t more departments will admittedly be more attractive to a larger turned in policy, or at least in practice, to rais- number of applicants than others. What many ing the minimum educational standards of agencies regardless of size or fiscal limitations new hires to the four-year degree? As men- have failed to recognize is that the current tioned earlier, many departments have found pool of college graduates eagerly seeking jobs such a requirement to be prohibitive to the also in law enforcement is now large and diverse important goal of fostering diversity in their enough for nearly all agencies to find highly agencies. Though this certainly was a reason- educated individuals interested in applying able fear in years past, it may be time to reas- for the positions they advertise. Again, the sess the nature of the pool of law enforcement problem now is not so much one of a lack of recruits available nationwide. The economic highly educated applicants, but, rather, one of downturn that began in 2008 clearly hit the a lack of focus and creativity on the part of budgets of local and state governments very agencies in making applicants from across the hard. Hiring freezes and even cuts ensued in country aware of the opportunities that exist many police and sheriff’s departments, which in their departments. made it very difficult for all those seeking new employment in law enforcement to find posi- It is understandable given how understaffed tions, including those with college degrees. and budgetarily constrained many depart- As many police executives are aware, the dire ments are that recommendations for more and staffing situation in many departments even better recruiting to a wider audience would led the federal government to create the Hiring be met with some skepticism. What is being Recovery Program in 2009 in part to provide suggested here is that limited recruiting and funds for law enforcement agencies to avoid advertising dollars can and should be targeted cutting officer and deputy positions. During more effectively. If an agency’s primary goal these past few years of economic uncertainty, is to simply and quickly fill open positions colleges and universities across the country with a qualified candidate, then advertising in

,AW %NFORCEMENT %XECUTIVE &ORUM s s local publications and on departmental web- enforcement agencies as to the qualifications sites will probably suffice. However, if a law of individual students. enforcement executive’s goal is to attract more college-educated applicants, then he or she Once a department has identified the col- would be well-advised to specifically target leges and universities that are producing the quality colleges and universities that are pro- kinds of college graduates they would like to ducing significant numbers of the right kinds attract to positions in their agency, there are a of criminal justice graduates. In this case, the number of ways to get the attention of poten- right kind of college graduate is one who sees tial applicants. First, colleges and universities working as a municipal, county, or state law of this type will almost always have large and enforcement officer as a noble and worthwhile well-attended job fairs, usually with dozens profession. Not all criminal justice programs of other agencies present who have also iden- attract significant numbers of such students. tified the merits of recruiting at that school. Have department representatives attend these Fortunately, there are many colleges and uni- job fairs and send the highest-ranking execu- versities around the country that specialize tives the agency can spare. College students in producing future law enforcement practi- notice when departments send higher-rank- tioners, and there are a number of relatively ing officers to these functions and are inclined simple ways to identify them. First, talk to to apply to agencies where they believe their other law enforcement executives and find out chances of being noticed during the competi- where they or their college-educated officers tive hiring process are increased by having earned their degrees. The natural tendency made face-to-face contact with a supervisor. for cops to trust each other in most matters is Even in leaner years when a department is not often evident in their choice of colleges as well. planning on making new hires, attendance at At many of the institutions with a reputation job fairs keeps the agency’s name in the minds for producing local and state law enforcement of underclassmen, which may bear fruit upon officers, one will find recent graduates who their graduation. are the second or third generation from their own family to attend that institution in prepa- Another successful strategy for improving ration for their future law enforcement work. college graduate recruitment is through initi- Over the years, reputations are built, and col- ating a new, or bolstering an old, internship leges and universities emerge through word program. Practitioner-oriented criminal jus- of mouth as places where both the faculty and tice programs will almost always have exten- students value the institution as a place where sive internship requirements and programs future local law enforcement officers are pro- for their students. Such programs recognize duced. Second, those seeking to one day work the essential need for students to “experi- in law enforcement are often drawn to institu- ence” law enforcement as a part of their tions with significant numbers of faculty who undergraduate training. This hands-on expe- were themselves practitioners at one time. rience helps students to gauge for themselves Police executives looking to target specific whether police work is actually for them, and colleges or universities for inclusion in their it allows an agency a free evaluation period recruitment efforts can read the biographies to see whether that individual might be some- of the faculty in those departments on the one they would like to offer a sworn position school websites. An added benefit of draw- to in the future. Those agencies that have ing recruits from such colleges and universi- already partnered with colleges and universities is the likelihood that the faculty will have ties in creating internship programs can attest a more inherent understanding of the quali- to their utility in creating relationships with ties and abilities necessary to succeed in law future graduates that lead to new hires. There enforcement and, thus, may be able to give are few more frustrating experiences for police a more accurate appraisal to interested law executives than hiring new officers and, after

,AW %NFORCEMENT %XECUTIVE &ORUM s s paying for their recruitment and training, dis- References covering they are not a good fit for the position and/or the department. Internships allow for National Advisory Commission on Criminal both sides to “try each other out” before the Justice Standards and Goals. (1973). Police. agency expends precious resources on a new Washington, DC: U.S. Government Printing hire. The departmental start-up costs for an Office. internship program are normally minimal, requiring more than anything the develop- National Advisory Commission on Higher ment of a good working relationship with the Education for Police Officers. (1978). The internship coordinator(s) from the colleges or quality of police education. San Francisco: universities with which the agency has chosen Jossey-Bass. to partner. National Commission on Law Observance Law enforcement agencies currently have an and Enforcement. (1931). Report 14: Police. opportunity to reap significant benefit from Washington, DC: U.S. Government Printing the recent economic challenges faced by local Office. and state governments in the United States. The downturn in hiring in recent years has Paoline III, E. A., & Terrill, W. (2007). Police created a glut in available college-educated education, experience, and the use of force. young people eager to serve. The numbers Criminal Justice and Behavior, 34(2), 179-196. of college graduates now available to fill local and state law enforcement vacancies is President’s Commission on Law Enforcement enormous. Young college graduates with few and Administration of Justice. (1967). Task family responsibilities and a frustration with force report: The police. Washington, DC: U.S. the job market are often willing to relocate Government Printing Office. and work for lower salaries if that is what is required to work in law enforcement. These Roberg, R., & Bonn, S. (2004). Higher educa- graduates, both male and female, are diverse tion and policing: Where are we now? Polic- in background and wide-ranging in their ing: An International Journal of Police Strategies personal career goals. Small, medium-sized, & Management, 27(4), 469-486. and large law enforcement agencies can now all find college graduates to fill their sworn vacancies if they employ the proper recruiting Dr. Todd A. Lough is an assistant pro- techniques and target institutions of higher fessor in the School of Law Enforcement learning that cater to those students seeking a and Justice Administration at Western career in policing. All that is needed is the will Illinois University. Prior to beginning his to make good use of a promising situation. teaching career, Dr. Lough worked for nine years as a Chicago Police officer in Endnote various capacities, including patrol officer, gang and tactical officer, neighbor- 1 A good summary of recent scholarship study- hood relations officer, and gang violence ing the effect of higher education on police per- analyst. formance and attitude can be found in Roberg and Bonn (2004).

,AW %NFORCEMENT %XECUTIVE &ORUM s s Police Use-of-Force Policy and Force Training Model: Best Practice

Vladimir Sergevnin, PhD, Assistant Professor, Director of the Center for Applied Criminal Justice, Western Illinois University, Editor of the Law Enforcement Executive Forum, Editor of the Western Journal of Criminal Justice Darrell L. Ross, PhD, Professor and Department Head, Department of Sociology, Anthropology, and Criminal Justice with Marriage and Family Therapy, Valdosta State University

One of the most critical dimensions of modern- of Illinois assembled together for a two-day day police actions is the use of force. Although in summit to address police use-of-force issues. a historical perspective, law enforcement officers The Illinois Law Enforcement Training and are utilizing less and less force and instead using Standards Board (ILETSB) Executive Institute more and more traditional and advanced tools, and the Center for Applied Criminal Justice people’s attention have never been so focused on of the School of Law Enforcement and Justice almost each and every incident of force applica- Administration at Western Illinois Univer- tion. When force is applied, not only is the offi- sity held this Executive Summit in Rockford, cer responsible, the police department itself and Illinois. Rather than provide lectures for two its executives are accountable as well. When a days on the subject, the summit was designed musician in an orchestra plays a wrong note, the to be interactive. In the morning of the first conductor has to take most of the criticism. day, an overview of the current research on the use of force in policing was presented, and ten Frequently, in incidents in which force was myths on the topic were dispelled. In the after- used, claims of excessive force arise and numer- noon, participants broke out and attended two ous questions emerge such as What constitutes discussion sessions for 1½ hours each which excessive force? What is reasonable force? Was included discussions on force training, force the amount or type of force used by the officer policy, liability issues, responding to citizen appropriate and necessary? What is the appro- complaints, and responding to the media. To priate standard with which to evaluate the use of lead the discussions, five outside consultants force? Did the officer violate the agency’s use-of- joined the participants. During the break- force policy? Did the officer violate the constitu- out sessions, recommendations were solic- tional rights of the plaintiff? How was the officer ited from each participant on each topic and trained to use force measures in a given situa- recorded. On the second day, session leaders tion? These and a multitude of other questions of each topic group provided a detailed over- will emerge. This topic is of critical importance view of the recommendations to the full group. to officers and administrators because they must The summit brought together around 80 law be aware of how the courts have established enforcement executives from all over the state. standards with which to evaluate such claims. Through detailed analysis, enthusiastic discus- Moreover, supervisory personnel must under- sions, and networking, participants were able stand their role in training officers in proper use- to dissect the most crucial dimensions regard- of-force decisionmaking and procedures, devel- ing the use of force by police. On the final day oping policy guidelines for agency personnel, of the summit, the panel discussion provided and investigating claims of excessive force. an opportunity for participants to further clarify and evaluate their positions regarding Based on these concerns, police administra- specific issues or topics being discussed and tors and force instructors from across the State enhance their understanding of the positions

,AW %NFORCEMENT %XECUTIVE &ORUM s s of others. This article provides a brief over- administrative funding issues, liability and court view of the recommended training model and testimony training, and a use-of-force tracking policy issues addressed in the summit. system. A database should be developed and maintained recording all officers and supervi- Use-of-Force Training Model sors’ completion of training and testing. In City of Canton v. Harris (1989), the U.S. Supreme Mark Dunston, director of the North Mississippi Court ruled that a local government can be held Law Enforcement Training Center, Tupelo, Mis- liable under §1983 if an officer injures a person sissippi, and a Captain with the Tupelo (MS) due to a deficiency in training. Inadequate Police Department indicated that the lack of an training may serve as a basis for §1983 liability effective use-of-force policy in a law enforce- through which the failure to train amounts to ment agency is extremely counterproductive “deliberate indifference” to the rights of persons to the mission of that law enforcement agency with whom the police may come into contact. and creates a void in litigation defense for that The degree of fault is fundamentally related to agency. Also, the use-of-force training is usu- the policy requirement noted in Monell v. New ally limited by the Police Officer Standards York Department of Social Services (1978). More- and Training Boards (POSTs), agency adminis- over, Monell will not be satisfied by a mere allega- trators, the financial troubles of a department, tion that a training program represents a policy and various state statutes. In a time when law for which the city is responsible. The Supreme enforcement agencies are receiving more and Court stated that “in light of the duties assigned more use-of-force tools and technologies, the to specific officers or employees, the need for amount of training does not match the need, more or different training is so obvious, and the and too often the minimum required by train- inadequacy so likely to result in the violation of ing boards standards ends up being the maxi- constitutional rights, the policy makers of the mum training that the officers receive. city can reasonably be said to have been deliber- ately indifferent to the need.” Dunston outlined that the sound use-of-force policy accounts for three areas of concern: (1) con- Using the Canton decision as the basis for the stitutional restrictions and statutory requirements discussion and as a foundation for a concern for affecting the agency’s jurisdiction, (2) agency officer safety when deploying force measures in philosophy concerning the training and imple- the field, conference participants were given an mentation on use-of-force policy and protocol, opportunity to discuss current training issues and (3) the follow-up measures undertaken for facing their departments. Participants also pro- the continuity and consistency of practice within vided workable recommendations for admin- the agency after a use-of-force incident. istrators with which to address these concerns. Common themes emerged from the sessions, As a fundamental core to use-of-force train- and the following training model made up of ing, attendees all agreed that officers need to seven recommendations was presented. receive training on the agency’s use-of-force policy and procedures on a regular basis. The recommended training model and its com- Addressing this issue on a frequent basis places ponents provides for a proactive system which an agency in compliance with the Canton deci- directs training on the force policy, frequency and sion. In conjunction with reviewing the force intensity of training, type of training, document- policy, it is recommended that the Supreme ing training, skill competency and proficiency Court’s decision in Graham v. Connor (1989) issues, officer safety issues, firearms proficiency, also be reviewed with officers and supervisors empty-hand control techniques, force equip- in order for agency personnel to understand ment and weaponry, human factors and stres- what criteria the courts apply when examining sors, reality-based scenarios, communication a claim of excessive force and how the decision skills, report writing, instructor considerations, integrates into the agency’s force policy.

,AW %NFORCEMENT %XECUTIVE &ORUM s s Successful implementation of a policy begins defend the agency’s use-of-force training system, with knowledge of the directive and continues and to increase officer safety and survival in the with how to transfer procedures into the work field, a pattern of providing documented train- situation. Actual training on the policy should ing needs to be developed. Annually, a total of be conducted on a regular basis. Therefore, to 32 to 40 hours of training is suggested, which ensure effective policy implementation, training can be presented in eight to ten hour blocks each must address force decisionmaking; properly quarter, or a 16- to 18-hour block semi-annually. using physical control techniques; competency This assists in maintaining officer certification, in using force equipment and devices, including competency, and proficiency. all restraints, impact weapons, aerosols, Con- ducted Energy Devices (CEDs), and all firearms; The training needs to be performed in such a thoroughly knowledgeable of medical assess- way that it demonstrates the officer’s comment requirements and summoning emergency prehension and confidence level in the skill medical personnel; summoning back-up; sum- required, using the authorized techniques and moning supervisory personnel; transportation the equipment reasonably, appropriately, and in protocols; and report writing requirements. conjunction with agency policy. Next, the state standard for qualifying in firearms and other Providing training on agency policy can occur force equipment must be considered in the fre- on many levels. Policy training should continue quency formula, and agency policy and practice past the FTO program and can be covered at roll must be integrated with this issue in mind when call, during firearms training, during scheduled addressing the frequency concern. Meeting state subject control training, and during any use-of- standards on training in use of force should be force equipment training (i.e., handcuffs and a matter of policy that is operationalized into other restraints, aerosols, CEDs, impact weap- agency practice and carefully documented. ons, and other authorized equipment). It is highly recommended that instructors or super- The type and intensity of training are as visors providing the training develop a written important as the frequency of training. quiz so that all personnel’s comprehension is Applying use-of-force measures in the field assessed pertaining to the agency’s policy and is impacted by numerous variables which that this should be fully documented. can include varying circumstances and environments, encountering one to multiple sub- Although the Supreme Court did not quan- jects, working with multiple officers or with tify the frequency of training, use of force is a only one officer with no available back-up, high liability area involving competency in the and experiencing low-level lighting envi- use of a variety of police equipment, subject ronments, to mention only a few. Generally, control techniques, and human performance making a decision to use a degree of force has issues and decisionmaking, implying the need to be made with little deliberation, with little to keep officers’ skill proficiency at a high level. reaction time, and under stressful conditions. It is therefore recommended that training on all Use-of-force decisionmaking and human fac- empty-hand control techniques, firearms, and tors must therefore be considered and inte- use-of-force equipment be provided on a regu- grated into realistic training. A careful review lar basis. Any authorized use-of-force technique of the Canton decision stipulates that “officers and authorized force device on the officer’s belt receive ongoing ‘realistic training’ commen- should have mandatory training on a regular surate to their job tasks.” Hence, training that basis. Special response teams and officers on is designed to replicate field stressor variables special assignments where force is more likely and environmental conditions underscore the to occur through the implementation of special Supreme Court’s admonition to provide real- weaponry and tactics must also receive ongoing istic training. Such realistic training that is training commensurate with their job tasks. To provided on a frequent basis places the agency defeat potential claims of a failure to train, to in compliance with the Canton decision and,

,AW %NFORCEMENT %XECUTIVE &ORUM s s concomitantly, it provides the best method of and perceptions. Integrating stimulus response practicing skills that enhance officer safety. training and building dynamic scenario-based training around the four components of reaction time—(1) perception, (2) analysis, (3) formula- Firearms Training tion of a strategy, and (4) motor response—is Participants all agreed that firearms qualifica- recommended. tions must be provided at least on an annual basis consistent with Illinois law, but they rec- Subject Control Techniques and Force ommended that actual training be offered at Equipment Training least semiannually which goes beyond mere range qualification. This is consistent with at Moreover, training endeavors should also be least one previous legal decision. In Zuchel directed at physical force alterations, and offi- v. City and County of Denver, Colorado (1993), cers and supervisors alike should undergo reg- the court ruled that simply watching a film ular training. Like lethal force, physical alterca- regarding lethal force decisionmaking did not tions frequently occur with no warning or with meet realistic training objectives and held the only a few seconds with which to respond to agency liable for failing to train. Static firearms the threat. Because of the critical nature of using training is useful for acquiring firearm compe- lethal force in an arrest situation, firearms quali- tencies, but in order to respond to spontane- fication and training in the past have received ous, realistic life-threatening attacks, the use more attention than physical force training. Less- of virtual simulators, simmunitions, and real- than-lethal force techniques, however, are used istic scenario-based training is recommended. more frequently by officers, and dynamic training structured as previously mentioned should Scenario-based firearms training that activates the be performed on a regular basis. The training Sympathetic Nervous System (SNS) of trainees is should be designed to address the following recommended. Police officers confronting a lethal issues: application of all authorized restraints, force situation is not only a dangerous proposi- all authorized empty-hand control techniques, tion, but the stress of the encounter can impact firearms retention/disarming, edged weapon decisionmaking, human performance, and per- defense, ground control grappling techniques, ceptual distortions. Therefore, stress inoculation impact weapons, aerosols, CEDs, and other use- and dynamic scenario-based training is highly of-force equipment. useful in exposing officers to recognize a level of threat, exposing them to the effects of perceptual The focus of training should be geared toward narrowing problems at combat distance, and the fusion of motor skills with cognitive skills. enhancing force decisionmaking. Such “inten- These are not two separate issues but two sides sity” factors complement the “frequency” factor of the same coin. For example, competency in necessary in use-of-force training. This type of using a CED must be manifested by knowing training enhances the ability to build expertise the justification for its application—not only in field performance and maximizes proper deci- by knowing the changing variables of the force sionmaking. It keeps the brain in the training encounter. Officers should be exposed to not mode which is essential for officer field perfor- only the physical repetition of a motor skill, mance. Realistic scenario-based training should but this skill also must be aligned with criti- be structured around dynamic encounters in cal thinking skills and decisionmaking, which which the instructor has previously trained the underscore use-of-force justification. The officer to recognize a threat level with response training should be designed so that the offi- options consistent with the threat cue. Exposing cer comprehends a level of subject resistance officers to anticipated/unaccepted threat cues and forms a perception to use a reasonable in spontaneous lethal force encounters through level of force, underscoring the decisionmak- which the officer can experience the effects of ing to match the appropriate degree of force SNS activation is important in managing stress to the resistance level. This level of training

,AW %NFORCEMENT %XECUTIVE &ORUM s s should also include discussions on use-of- Communication Skills force options available to the officer and the decisionmaking process that is involved. The No matter the training scenario, officer train- one plus one theory of using force should be ing should address communication skills. Com- combined with the principles of escalation and munication skills training should incorporate de-escalation, along with a discussion of the linguistics (how to talk), the meaning of voice implications of the department’s force policy. inflection, the importance of proxemics, and officer approach and stance. A portion of the Like firearms training, physical skills training training should address the importance of keep- should be designed around reality-based sce- ing officers’ emotions in check throughout the nario training principles. The training should confrontation. Training should emphasize the address how officers recognize and respond to importance of attempting to “talk” suspects into varying levels of resistance, threat levels, and cooperation. Further, the communication skills assault cues under varying contextual situations. training should emphasize providing suspects Of equal importance, the training should be with repeated instructions when using a level designed to address the “unanticipated” or “out of force, not giving contravening instructions of the ordinary” type of resistance or assaults in when multiple officers are on scene, and warn- order to maintain the realism of the training. ings (when feasible) when an officer is preparing to use less-lethal equipment and lethal force. Training scenarios should be designed which include single and multiple officer response, Use-of-Force Report Writing utilizing varying physical control techniques and authorized force equipment. Facilitating a An essential training component to the officer’s takedown technique and applying handcuffs in use of force is report writing. For many offi- a stressful situation or practicing multiple officers, composing a written report is problem- cer takedowns with violent types of subjects atic. Failing to submit a complete and detailed and practicing the application of various types written account of the incident can result in of authorized restraints are more difficult than several problems. To shore up deficiencies in practicing these skills in a static mode in the gym. report writing, it is recommended that ongoing Placing officers in realistic scenario circumstances training be provided for officers and supervi- enhances their proficiency levels and builds their sors which provides detailed information on confidence in their techniques and equipment. how to structure a report as well as presenting the contents of the report. The contents of the Training in all authorized use-of-force equip- report should minimally address the follow- ment should be provided to officers and super- ing eight components: (1) officer approach (own visors on a regular basis. Not only do officers initiative, dispatched, back-up), (2) nature of need to hone their shooting skills and empty- the circumstances (type of call, call location, hand control technique skills, they also must number of subjects, actions of all subjects, wit- keep proficient in all of the equipment that is nesses), (3) officer observation/assessments and provided. Manufacturer specifications for using perception(s) (behaviors of the subject, state- the various devices should be part of the train- ments of the subject, subject appearance, sub- ing. Realistic scenario-based training which ject impairment, threat level, assault cues, types integrates the use of approved equipment into of resistance, possession/access to weapons, the scenario should be offered. Officers, com- duration of resistance, subject variables, prox- mand staff, and investigators who investigate emics, and reaction time), (4) environment of the use-of-force incidents should successfully confrontation (conditions of the location, high complete all of the training. In order to mea- crime area, lighting, location hazards, inside/ sure proficiencies and levels of officer compre- outside), (5) officer actions (verbal, all measures hension, all training should incorporate testing of force attempted/used, equipment used, mechanisms and be documented. summoned back-up, summoned supervisor,

,AW %NFORCEMENT %XECUTIVE &ORUM s s summoned emergency medical, time of strug- recommended that first-line supervisors be gle, provide first aid, role in incident, officer certified as instructors so that they may not injuries), (6) justification for using force (arrest, only provide training to their officers, but also, defend self, defend others, subject protection, since they are the first to respond to calls, they prevent crime, take into custody), (7) monitor- may promptly address any issues in the field. ing subject after control (subject injuries, subject behaviors, subject statements, subject position, Fourth, administrators must remain commit- medical care provided, functional conscious- ted to ensuring that instructor certifications ness, condition of subject, decontamination are kept current. Failing to maintain instruc- procedures, officer actions), and (8) transporta- tor certification and allowing instructors to tion of the subject (method, type of vehicle, sub- continue to train without current certifica- ject restrained, subject behaviors/comments tion opens the department to litigation expo- during transport, radioed in advance, monitor sure. Punitive damages can be awarded for subject during transport, location). this deliberate failure. Administrators should also send instructors to additional train- The concern for training is to emphasize and to ing programs which address varying issues ensure that all officers and supervisors submit beyond motor skill and equipment train- accurate and detailed reports. Supervisors ing. For example, instructors should be sent should be trained to thoroughly review each to workshops on liability and legal updates, report and return the report to the officer for cor- use-of-force training conferences, training rections and resubmission as warranted. More- methodologies, policy revision, communica- over, realistic scenario-based training design tions, writing reports, stress, human factors should include writing a report after the inci- and decisionmaking, and designing realistic dent followed by feedback from the instructor scenario-based training, to mention a few. by viewing the scenario videotape and report. Fifth, administrators should be proactive in Administrative Implications and planning their training budget. As budgets Costs for Training for training costs become more problematic, administrators must become more creative in Conference participants all agreed that agency securing funding. Grant funding is available command personnel can show true leadership at the state and federal levels for an agency by maintaining an ongoing commitment to pro- to consider, which can assist in securing fund- viding use-of-force training on a regular basis, ing for providing training, purchasing equip- by providing the necessary funding to ensure ment, and maintaining instructor certification. training continues, and by providing the nec- Administrators should seek funding opportu- essary equipment with which to perform the nities with their risk management entity. Most training regardless of budget constraints. First, of these entities provide free training and/ administrators should send several officers to or offer funding through a grant process to obtain certification as in-house use-of-force obtain additional training funding. instructors. These instructors could be cross- certified as firearm instructors and in defensive Sixth, administrators should also consider tactics. Second, instructor certification should working with respective community colleges also include all equipment that the agency or universities in their region. Frequently, these authorizes officers to use, underscoring the institutions can host training, assist in providing philosophy of approaching force from a holistic training in key areas, and assist in writing train- manner. As an agency incorporates new force ing grants for an agency. Seventh, administrators equipment and devices, in-house instructors should create training approaches within the should be certified in order to provide ongo- region or within the state in which instructors ing training for officers. Training must follow can be shared in a reciprocal process with other the manufacturers’ specifications. Third, it is agencies. For example, one agency may share an

,AW %NFORCEMENT %XECUTIVE &ORUM s s instructor who is certified to instruct officers in the types of injuries incurred by officer and the application of CEDs with other agencies for subject, and the trends of individual officers exchange of an instructor who has certifications in their use of various force measures. Statis- in other areas. This can help ensure that all offi- tics yielded from such an assessment can be cers are kept current in their use-of-force skills. used to enhance the specific training needs of the agency. They may also be used to address Liability Update and Court officers’ field deficiencies which can be reme- Testimony Training diated early to avoid developing patterns of policy abuse. The statistics and assessment also Combined with the motor skills, human factors provides a valuable component in evaluating and stress, and decisionmaking training, it is rec- proper policy implementation in the field. ommended that legal force standards and liability issues should be provided. A review of the Conclusion Constitutional standard of “objective reasonable- ness” in accordance with the Fourth Amendment, Providing training to officers on a regular basis consistent with the Supreme Court’s decision in not only demonstrates compliance with the Graham v. Connor (1989), should be performed at Canton mandate, it shows a commitment to least annually. Updates in federal court decisions ensuring superior field performance by officers. along with changes in state legislation, state stan- Providing use-of-force training on an ongoing dards, and state court laws impacting the use basis keeps officers’ use of force constitutional. of force should also be addressed with officers. Frequency of and intensity of the type and Liability training which addresses supervisory methods of training increases officer compe- liability concerns should also be available annu- tency and confidence in their abilities by honing ally for command personnel. their skills and, thus, enhancing their street survivability. The methodology and frequency of Officers and supervisors should receive train- training facilitates appropriate decisionmaking ing in how to testify in a civil action. Police and responses by the officer, making their reac- officers routinely testify in criminal court and tions instinctive. Administrative leadership can are more experienced in the criminal pro- be exercised in many ways in a police depart- cedure process. However, civil court is pro- ment. Making a commitment to incorporating cessed with different standards and officers these recommendations elevates the philoso- are the defendants. Training which addresses phy of administrative leadership by address- the following should be provided: civil court ing a high profile topic area, illustrating to the standards, using the officer’s report, affidavit community that agency officers are properly preparation, answering interrogatories, depo- prepared to perform the duties of their job. Con- sition preparation, mechanics of courtroom comitantly, administrative leadership is also testimony, and working with attorneys. conveyed to agency officers by committing to providing training which increases their safety Developing and Maintaining a and survivability when confronted with a vio- Use-of-Force Tracking System lent encounter. It is highly recommended that administrators The use-of-force summit model provided an develop a computerized tracking mechanism innovative and participatory forum for partici- which annually analyzes all use-of-force inci- pants. It allowed conference participants to gain dents. Such an analysis is useful in determin- new knowledge, provided an avenue of networking the various patterns of using force, under ing, allowed them to discuss issues and concerns what types of circumstances and environment with other administrators, and provided them force measures are employed, the varying with a workable model to implement upon force measures and equipment used, location return to their individual agencies. Such a con- and time of the incident or calls for service, ference model could be replicated on a regional

,AW %NFORCEMENT %XECUTIVE &ORUM s s or state level and provides an effective means to Academy at WIU. Dr. Sergevnin has pub- address a high liability area. Implementing rec- lished over 60 articles, chapters, and bro- ommendations at the agency level enhances the chures, and has authored or co-authored agency’s field operations and places the agency 11 books pertaining to law enforcement in the best position to defend against a legal training, leadership, recruitment, history, claim of failure to train and a failure to direct. and education.

It is crucial for law enforcement executives to Darrell L. Ross, PhD, is serving as the provide the officer with policy, protocol, and Department Head in the Department of effective training to react properly to the pos- Sociology, Anthropology, Criminal Jus- sible threat and to respond with the appropri- tice, and Marriage and Family Therapy ate and legitimate tactics to address the situ- at Valdosta State University in Valdosta, ation, including, if necessary, the use of some Georgia. Dr. Ross received his PhD from level of force in given circumstances. Michigan State University in 1992. He completed the Executive Management Cases Cited and Leadership Institute at the Kennedy School of Government at Harvard Uni- City of Canton, Ohio v. Harris, 489 U.S. 378, 109 versity in 1999. He has published over S. Ct. 1197 (1989). 70 articles, four books, and four book Graham v. Connor, 490 U.S. 386, 109 S. Ct. 1865 chapters, and he regularly writes arti- (1989). cles for Police.One and Corrections.One. Monoll v. New York Department of Social Services, com. He is a member of 10 professional 436 U.S. 658 (1978). educational and training associations. Zuchel v. City and County of Denver, Colorado, Dr. Ross has made over 500 national and 997 F. 2d 730 (7th Cir. 1993). international conference/training presentations on a variety of use-of-force, custodial death, administrative, liability, Vladimir Sergevnin, PhD, is the Direc- and personnel issues. He has presented tor of the Center for Applied Criminal his research in Canada and at the Oxford Justice, assistant professor in the School University Round Table Seminar in of Law Enforcement and Justice Adminis- Oxford, England. Dr. Ross also has been tration at Western Illinois University, and retained by 27 states in over 700 cases the Editor of the Law Enforcement Executive as an expert witness for criminal justice Forum journal published by the Illinois personnel since 1988. Law Enforcement Training and Standards Board Executive Institute at Western Dr. Ross has trained instructors from Illinois University. Dr. Sergevnin has held police and correctional agencies, fed- several leadership and instructional posi- eral agencies, private security, and all tions over his career. He is the former Pro- branches of the military in criminal jus- fessor and Chairperson of the Department tice control tactics since 1985 throughout of Humanitarian Sciences at the Vladimir the United States, Canada, Australia, Juridical Institute and a Professor at the Hong Kong, and Saudi Arabia. He also Saint-Petersburg University of the Ministry provides consulting services. of Internal Affairs. He retired as a Colonel from the Ministry of Internal Affairs (federal police) of the Russian Federation. He is a former Senior Research Scholar at the Police Training Institute at the University of Illinois–Urbana-Champaign and the former Director of the Illinois Police Corps

,AW %NFORCEMENT %XECUTIVE &ORUM s s Enhancing the Leadership Capabilities of First-Line Supervisors

Paul A. Cappitelli, Executive Director, California Commission on Peace Officer Standards and Training Charles Evans, Senior Consultant, California Commission on Peace Officer Standards and Training, and Program Manager, Sherman Block Supervisory Leadership Institute

Leadership training continues to be identi- that the leader must first possess appropriate fied consistently as a priority need in law values, motives, and commitment before acting enforcement (Brand, 2010, p. 18). This need is to influence others (within the framework of the especially acute for first-line supervisors who employing law enforcement agency). A broad- play a central role in efficient service delivery based steering committee of law enforcement (Moriarty, 2009, p. 20). The California Commis- officials identified essential aspects of leadership sion on Peace Officer Standards and Training to be integrated into the Institute’s curriculum. (POST) (2008) has been responsive to this need for more than two decades through the Sher- Framework and Curriculum man Block Supervisory Leadership Institute (SBSLI). In June 2011, the Institute launched its The SBSLI curriculum as currently constituted 300th session. includes a wide range of learning and leadership theories and practices. The mission of SBSLI Development the SBSLI is to provide leadership research and theoretical contributions that enable In 1988, with the intention of developing the law enforcement supervisors to bridge the leadership abilities of first-line supervisors, gap between scholarship and practice and to POST introduced the “Supervisory Leader- perform critical inquiry into contemporary ship Institute,” a 192-hour, eight-month lead- organizational issues. The 24 students (all of ership program (later renamed after the late whom are required to have completed two Los Angeles County Sheriff and POST Com- years of full-time supervisory experience) missioner Sherman Block). Genesis of the comprising each class cohort are expected to Institute was recognition by the POST Com- become a close-knit community of learners. mission of the necessity for maximizing the The Socratic Dialogue method of inquiry and quality of leadership within the rank oversee- debate is employed extensively to stimulate ing the actions of the largest number of law critical thinking and clarify concepts. enforcement employees and responsible for the greatest breadth of organizational activi- The SBSLI curriculum, which uses Bloom’s ties—to include service in many agencies as Taxonomy (2012/1956) as its underpinning, second in command. At the same time, field is designed to actively engage students in research identified factors that could bolster activities that promote experiential learning. the leadership skills addressed in the two- The content of the curriculum is responsive to week Supervisory Course mandated for com- the dynamic environment within which law pletion by all newly appointed supervisors. enforcement supervisors perform. As such, it is constantly evolving. The most current curricu- The approach to forming the Institute’s curriculum has been designed to enable students to lum was from an “inside out” perspective as the intent was to concentrate initially on the inner s discover leadership philosophy, theory, and strength of the individual under the premise practice as a source for leadership wisdom.

,AW %NFORCEMENT %XECUTIVE &ORUM s s s IDENTIFY THE MANY AND VARIED CHARACTERISTICS and fact (versus assumption) are analyzed. The and skills manifested in effective leaders. qualities of leadership and management and s COMMUNICATE LEADERSHIP ASSUMPTIONS the supervisor’s role are examined. The ses- and philosophy through enhanced self- sion also introduces the adaptive leadership awareness. project. This project requires students to assess s EXPAND THEIR PERCEPTION OF LEADERSHIP TO their organizational environments for unre- include adaptive leadership. solved challenges and to apply the adaptive s DIALOGUE THE COMPLEXITIES INHERENT IN PRIN- leadership model to the challenges. ciple-based leadership. s ARTICULATE THEIR PERSONAL LEADERSHIP PRIN- Session Two is designed to encourage partici- ciples, values, and ethics. pants to gain clarity and alignment between s DEMONSTRATE EFFECTIVE TECHNIQUES AND STRAT- their personal values and leadership actions. egies for articulating a vision. Students discover and examine their personal s UNDERSTAND EFFECTIVE GOAL SETTING core values and value conflicts and recognize s EMPLOY THE PROCESSES INVOLVED IN EFFECTIVE how dysfunctional ego conflicts can impact decisionmaking. personal and professional life experiences. s RECOGNIZE THE DIFFERENT TYPES OF CONFLICT The concepts of virtues, self-deception, the and appreciate the role a leader can play in moral imperative, “Golden Mean” (desirable leading through conflict. middle place), influence, and authority are s EXPRESS THE METHODS LEADERS CAN USE TO analyzed. initiate change and help others adjust to change. Session Three correlates personal core values s COMPREHEND THE CONCEPT OF EMPOWERMENT to ethical decisionmaking. Given ethical and the techniques effective leaders use to dilemmas, participants are asked to apply empower others. appropriate, ethical decisions and to recognize s ACQUIRE EFFECTIVE COMMUNICATIONS SKILLS FOR and understand the risks/rewards of living a building an adaptive culture and support- principle-centered life. The session examines ing challenging conversations within the how ethics, value conflicts, “code of silence,” organization. obedience to the unenforceable, self-identity, s DEVELOP A FUNDAMENTAL UNDERSTANDING OF integrity, trust, and a leader’s responsibility the changing conceptions and prevailing relate to the challenges of law enforcement. views of leadership through time. Session Four explores the basic nuances of The curriculum is delivered over eight con- leadership styles and how each might impact secutive months through highly skilled facili- organizational success. The importance of tators. Each month, SBSLI students reside at communicating a vision and understand- a designated host hotel for three consecutive ing how effective goal setting translates into days while attending their respective class specific concrete actions and outcomes is dis- session. All classes are scheduled to occur on cussed. Students examine how empowerment Monday-Wednesday or Thursday-Saturday. of constituents and selfish intent can impact Each session is protocol-based and focuses organizational functioning and loyalty. Gen- on key core learning concepts. The following erational differences and their impact on lead- is an overview of SBSLI’s eight sessions and ership style are assessed. core concepts. Session Five focuses on organizational cul- Session One introduces the SBSLI philosophy ture and how it influences behaviors such as of lifelong learning and critical thinking. The skepticism, cynicism, and undermining. The curriculum’s foundation in Bloom’s Taxonomy concept of “group think” is analyzed as well is also explained. The concepts of choice, prin- as the dynamics of organizational change, dis- ciples, values, accountability (versus blame), sent, and team dysfunction. Leadership skills

,AW %NFORCEMENT %XECUTIVE &ORUM s s such as discipline, attention to duty, and del- a number of active learning techniques are egation are dialogued, along with methods of used (e.g., case studies, scenarios, role play- conflict resolution that are needed to operate ing, and group discussion). The SBSLI learn- in a diverse environment. ing environment is analogous to a “learning laboratory,” through which experimentation, Session Six is conducted at the Simon synthesis, and analysis of ideas are fostered Wiesenthal Museum of Tolerance in Los Ange- with the end result being improved supervi- les. The session examines the unique chal- sory leadership and organizational outcomes. lenges facing law enforcement in an increasingly diverse society. The nexus between Since the inception of SBSLI, quality of class- diversity and leadership is identified, ana- room instruction has been a priority concern, lyzed, and dialogued with museum staff. The and it was determined early on that partici- concept of tolerance is evaluated relative to pant-centered facilitation would best fit the the dynamics of racism, bigotry, prejudice, nature of the curriculum. It was also deter- and discrimination in both historical and mined that each class should have two facili- contemporary contexts. Also, organizational tators. Each facilitator complements the oth- fear and accountability, guilt, and personal er’s style as well as balances the focus during ego and their relationship to the formation of classroom discussions. Too, while one facilita- power and wider perspectives are examined. tor is introducing a concept, the other one can offer additional observations and intervene as Session Seven examines personal and orga- the need for clarification may arise. Addition- nizational health. Each student’s own well ally, having a second facilitator in the room being, as well as that of their respective orga- allows one of the facilitators to focus on group nizations, is evaluated. Politics of policing dynamics while the other one addresses indi- and “moral imperative” are dialogued. The viduals in the group. importance of emotional intelligence in the workplace is covered as well as how super- Facilitators undergo an intensive appointment visors can successfully use the knowledge process. Those chosen to perform in a facilita- acquired for successful leadership. tor role within an environment intended to stimulate personal growth, leadership, and Session Eight is dedicated primarily to stu- ethical decisionmaking must exemplify those dents’ presentations of their adaptive leader- same qualities. All candidates for facilitator ship projects. positions must have been a member of an SBSLI graduating class and have performed Facilitation of Learning exceptionally as a student. Upon referral by a seasoned facilitator, the SBSLI Program Man- The SBSLI uses a unique presentation model ager arranges for attendance at class sessions which is based on adult experiential learning as an auditor. As an auditor, the candidate theory. Participants are required to continu- observes the dynamics of curriculum delivery ously review previous concepts, values, and and intermittently is given the facilitator reins. principles in various combinations of increas- Following extended service as an auditor and ing complexity. Developing concepts such as demonstrating exceptional competence, the responsibility, courage, maturity, perception, auditor may be enrolled in a Facilitator Assess- and supportiveness, the program enhances ment Workshop. The workshop, designed by the leader’s strengths, first at the personal an internationally recognized academician, level, gradually moving into the interper- consists of two three-day sessions and is the sonal level, and then through organizational basic training course for facilitators. Instruc- relationships. Because many leadership attri- tion is provided collaboratively by educators butes are best “discovered” by participants with expertise in curriculum design, presenta- rather than imparted by traditional lecture, tional techniques, and coaching. The training is

,AW %NFORCEMENT %XECUTIVE &ORUM s s grounded in nonverbal communicative intel- Interest in gaining acceptance into the SBSLI ligence (e.g., paralanguage and proxemics). remains very strong regardless of strained Following completion of the workshop, the training budgets and reductions in staff- facilitator candidate joins other candidates on ing resulting from the economic downturn a waiting list for service as a facilitator. These in California. Graduates of the SBSLI return prospective facilitators are expected to con- investments to parent agencies that far exceed tinue to participate in curriculum develop- the costs of their attendance. It has become ment meetings and other scheduled meetings commonplace at SBSLI class graduations to of active facilitators. see large numbers—if not the majority—of the hands of audience dignitaries (agency heads Emphasis is accorded cognitive coaching tech- and managers) raised upward when asked by niques (Costa & Garmston, 2002) and non- the graduating class facilitators for a “show of verbal communications. Cognitive coaching hands” of past graduates. Perhaps the impact enables individuals to become self-directed. of the SBSLI is best assessed by the sponta- Self-directed individuals are self-managing, neous comments of program graduates such self-monitoring, and self-modifying. The as those recently conveyed to the Program SBSLI curriculum is designed to help supervi- Manager via e-mail (July 15, 2011) by a gradu- sors maintain a sustained focus and generate ate of Class 286: increased momentum toward achieving their goals. An ingrained coaching skill set can equip Having entered into the SLI program students to address a variety of needs (e.g., fresh out of graduate school, I was a little from helping sort through career and life issues “done” when it came to reading and to working with an organization to integrate writing. Something strange happened, coaching into its internal development pro- however. I was thrust into an area of law cess). The nonverbal strategies provide facili- enforcement I thought I knew a great deal tators with a skill set that accelerates learning about and was quick to find I knew little and builds positive group dynamics to create a about—leadership. Yes. I knew what it learning environment low in emotional threat was like to be a good leader. Heck, I was and high in cognitive challenge. one! In fact, there were few who measured up to my leadership and mentoring abili- Leadership Training for Supervisors ties. In peeling back that onion, I found Remains in High Demand it was just the skin. I was a great leader because I was well-liked and came with The desire for quality training on leadership credibility based upon my work experi- beyond basic instruction appears to remain as ence and ethic, but that was it! . . . Need- strong today as when SBSLI was conceived. In less to say, I had a great deal of learning spring 2011, POST surveyed 247 individuals to do about how to be a leader. who had completed the basic 80-hour Supervi- sory Course within the past two years. One of The well-orchestrated blend of movies, the questions was “Identify the topic that you texts, small group discussions, journal- found most valuable.” Among 18 topics coming, reflection, case studies, etc., was prising the Supervisory Course curriculum, mind boggling. Mind boggling in that it “Leadership Styles and Behavior” emerged as was all put together for a purpose. It was the most valuable instructional topic, receiving composed with a great deal of thought almost double the votes of the runner-up topic for that individual with promise, an (“Recognizing and Documenting Employee open heart, and mind to absorb. For the Performance”). Morerover, it was the lone topic willing participant, there was oppor- receiving an “extremely valuable” rating when tunity, after opportunity, after oppor- survey respondents were asked to describe the tunity to be the sponge—to soak up all value of topics for new supervisors. that existed in the room. I could go on

,AW %NFORCEMENT %XECUTIVE &ORUM s s and on but suffice it to say that experi- Paul A. Cappitelli is the Executive Direc- ence was far more rewarding than all of tor of the California Commission on my formal education. . . . I became that Peace Officer Standards and Training. leader I always wanted to be yet had no idea existed. . . . Thank you so very much Charles Evans is a senior consultant for for allowing me that walk; I shall forever the California Commission on Peace be changed. I shall forever be grateful. Officer Standards and Training. He also is the Program Manager of the Sherman References Block Supervisory Leadership Institute. Bloom’s taxonomy chart. (2012). Retrieved February 29, 2012, from www.casdk12.net/ ghs04/SRB/5-Curriculum/Blooms%20Tax- onomy%20chart.pdf. (Original work published 1956)

Brand, D. (2010, November). The Florida Criminal Justice Executive Institute: A bell- wether for leadership training in Florida. The Police Chief, 77(11), 18-22.

California Commission on Peace Officer Standards and Training (POST). (1988, January 21). Commission agenda item report: Proposed concept for the POST Supervisory Leadership Institute. Sacramento: California POST.

Costa, A. L., & Garmston, R. J. (2002). Cog- nitive coaching: A foundation for renaissance schools. Norwood, MA: Christopher-Gordon Publishers.

Moriarty, S. E. (2009, May). The leadership in police organizations program in the Delaware State Police: Recommendations for law enforcement leadership development. The Police Chief, 76(5), 20. Retrieved February 28, 2012, from www.policechiefmagazine.org/ magazine/index.cfm?fuseaction=display_ arch&article_id=1792&issue_id=52009.

,AW %NFORCEMENT %XECUTIVE &ORUM s s Policing Thoughts—Deep Brain Stimulation: A Future Crime Prevention Model

Martin J. Sissac, Inglewood Police Department

Imagine one way or another, all our Policing, in most instances, is a collection of pro- experiences are chemically conditioned, tocols used to control people’s behavior. A gang and if we imagine that some of them are member killing a rival gang member is an exam- purely “spiritual,” purely “intellectual,” ple of behaviors police attempt to control. Strat- purely “aesthetic,” it is merely because egies employed to control this behavior range we have never troubled to investigate from prevention to incarceration. No matter the internal chemical environment at the the strategies’ efficacy, policing cannot monitor moment of their occurrence. individuals constantly. Limited resources cause gaps in policing systems allowing for the con- –Aldous Huxley tinuation of violent criminal acts.

#OMMAND #OLLEGE #LASS Technological solutions are perfect gap fillers because they can provide constant, portable, The Command College Futures Study Project and reliable monitoring. Extending on Hux- is a FUTURES study of a particular emerging ley’s imagination, think of a world where a issue of relevance to law enforcement. Its pur- device the size of a pacemaker can change a pose is NOT to predict the future; rather, it is to person’s violent tendencies. Brain augmen- project a variety of possible scenarios useful for tation accomplished by surgical procedures strategic planning in anticipation of the emerg- or pharmaceuticals is not new. Future medi- ing landscape facing policing organizations. cal applications, though, may allow portable microprocessors to sense specific brain func- This journal article was created using the futures tions and respond to violent behaviors. forecasting process of Command College and its outcomes. Defining the future differs from ana- If neurologists identify specific brain regions lyzing the past because it has not yet happened. causing violent behaviors, then brain scan In this article, methodologies have been used to devices could detect activity in these areas discern useful alternatives to enhance the suc- and trigger a counteracting stimulus to inter- cess of planners and leaders in their response to rupt a violent behavior. This device becomes a range of possible future environments. a highly desirable crime prevention tool if it targets violent brain functions and ameliorates Managing the future means influencing it— violent tendencies from parolees. In the future, creating, constraining, and adapting to emerg- scientists may develop a system using this ing trends and events in a way that optimizes technology to send a pulse to the specific brain the opportunities and minimizes the threats regions that control violent behaviors. If they of relevance to the profession. do, the question becomes “Will we use it?”

The views and conclusions expressed in the Hula Hoops and Violent Thoughts Command College Futures Project and this journal article are those of the author and Envision a scenario of two kids playing inde- are not necessarily those of the California pendently. A boy playing catch with a ball and Commission on Peace Officer Standards and glove runs to retrieve a missed catch. As he Training (POST). enters the area occupied by a girl hula-hooping,

,AW %NFORCEMENT %XECUTIVE &ORUM s s his attention is diverted to the girl. He is 2008). The cerebrum comprises the majority of astonished by her ability to maintain the hula- the brain’s mass. It controls higher functions hoop. Instantly, he becomes jealous and uses such as recall, problem-solving, cognitive func- his glove to touch the hula-hoop, knocking it tions, and emotions. It also controls movement. out of its orbit around the girl and down to the The cerebellum, at the lower rear of the brain, ground. Startled, the girl stands there without controls balance and coordination. Finally, the acting or saying a word. Her friend, also hula- brain stem connects the brain to the spinal cord, hooping, stops and tracks the boy as he con- controlling our autonomic functions such as tinues running after the ball. Being a good and breathing, heart rate, and blood pressure. Lan- dedicated friend, she runs to catch him. With- guage is a function of the integration between out hesitation or fear, she demands he apolo- all three main components of the brain (Kandel gize to her friend and threatens to punch him & Jessell, 2009). If injury or illness disables one if he does not comply. In this example, two component of the language system, then the acts of violence were conceived in the brains complex function of language is disrupted. of two individual kids. How did both chil- More concisely, the girl who demanded an dren transfer sensory input into violent action apology for the hula-hoop incident could not or threat of a violent action? Accepting that use language to interact with her adversary. both children’s brains functioned normally, The understanding of the language process was what areas of their brains allowed them to a result of over a century’s worth of scientific process different stimuli and develop a course research, which has also worked to uncover of action based on an emotion? Science may much more about the mysterious organ resting provide answers to these questions as we start roughly between your ears. to learn more about the brain. One of the remaining significant challenges The human brain is the primary organ separat- to determining how the brain works is to be ing humans from other biological organisms able to target a specific brain region that con- and allows humans to master and overcome trols behaviors—in our case, violent behaviors. their geospatial environment. Motor neurons, Watching a group of 9-year-old children playing sensory neurons, and interneuron integra- in a group makes one believe violent tendencies tion allows a person to walk across a room are innate to all humans. To discuss this phe- (Kandel & Jessell, 2009). In the case of the girl nomenon, defining violence is a necessary first chasing the boy to demand an apology, the step. A simplistic definition of violence is an act perceptual gyrus located in the frontal lobe causing harm. Schoolyard aggression is an anal- sent a signal via a neural network to her leg ogy not meant to lead the reader to believe par- muscles (Britannica, 2008). In her spinal cord, ents should implant a behavior control device interneuron connections alternated the inhi- on a child, no matter how tempting. Aggression bition of motor and sensory neurons causing is a human characteristic that the normal matu- the girl’s leg muscles to expand and contract ration of healthy people controls without the in a speedy gait allowing her to catch the boy aid of medical intervention. Environmental and (Kandel & Jessell, 2009). Science provides the biological factors prevent normal development identification of various brain regions neces- of some people (i.e., psychopaths) for whom sary for human movement. Therefore, future a surgically implanted behavior modification scientific discoveries may map brain regions device may provide relief to unwanted emo- responsible for committing a violent act. tions or behaviors.

Your Brain—A Short Primer Implants and Imaging The human brain is divided into three compo- Brain implants to modify behaviors or feelings nents, and it controls all aspects of voluntary are in use today. One such use is in the treatment and involuntary human behavior (Britannica, of depression. For some, traditional therapies

,AW %NFORCEMENT %XECUTIVE &ORUM s s offer little to no relief. In 2003, though, doctors The MRI uses a powerful magnetic field to began experimenting with deep brain stimula- resonate atoms in the brain. A second magnetic tion. Neurologists implanted electrodes deep field produces binary pulses causing certain into the subgenual cingulated region, an area atoms to resonate differently (Britannica, 2008). of the brain resting beneath the cerebrum that The result is an image of the brain that provides serves, in part, as an emotional region of the minute-to-minute variations in brain activity. brain (Trudeau, 2005). Surgeons connected the A functional MRI (fMRI) provides the same electrodes to a wire threaded through the skull three-dimensional picture of the brain with an and under the skin to the front of the chest where additional feature to detect oxygenated blood the leads connect to a tiny power pack implanted in the brain (Johnson, 2004). beneath the skin. The power pack emits a constant mild electrical pulse directly to the brain As brain activity in various brain regions ebbs region where emotions are developed (Trudeau, and flows, a fMRI captures real-time video of 2005). After device activation, the patients expe- the brain activity. This allows a researcher to rienced a change in their depressive mood as observe how integrated brain regions function was seen in earlier implant studies with Parkin- under test conditions, allowing the researcher to son’s patients (Bejjani et al., 1999). The device pinpoint a brain region responsible for a specific improved the behavior and mood of the patient behavior (Johnson, 2004). Dr. Kent Keihl of the more effectively than traditional pharmaceuti- University of New Mexico has used a fMRI to cal therapies (Trudeau, 2005). The use of neural study prison inmates at the New Mexico State implants has been immediately effective in alter- Prison and produced groundbreaking results ing mood and perception; advances in the elec- (Vagg, 2008). Dr. Keihl’s study found approxi- tronic scanning of the brain are also showing mately one in twenty inmates had a psycho- promise in actually controlling behaviors. pathic personality disorder in which some brain systems identified as a region affecting moral- New advances in brain imaging may produce ity had not developed normally. Additionally, discoveries about how the brain processes vio- Dr. Keihl found some psychopathic inmates’ lent thoughts and actions. Imaging technolo- brains displayed a disconnection between the gies have been used to capture brain functions frontal cortex, the region used for reasoning, for over 100 years (Vagg, 2008). The earliest and the amygadala, a small area of the brain forms of brain imaging used radioactive dyes responsible for fear, learning, and memory injected into the brain intravenously and X-rays (Vagg, 2008). to capture images of brain areas showing blood flow deformities or displacements (Britannica, On average, psychopaths have a 17% smaller 2008). Computed tomography still uses X-rays amygdala than a person with a normal brain with assistance from a computer to capture (Vagg, 2008). Dr. Keihl’s study found a high intracranial images of the brain. These types correlation between serial killers and people of brain scans allow scientists to detect brain who have a poorly developed communica- abnormalities caused by illness or injuries that tion system between the frontal cortex and affect brain functions (Britannica, 2008). The smaller amygdalas. When the frontal cortex risk to the test subject is obviously great due to developed a normal communication system, the amount of radiation present in both tech- the person with a smaller amygdala tended to niques. Other forms of brain scans are numer- function normally in society (Vagg, 2008). If ous and offer limited surface level evaluation only violent criminals could be monitored by of the brain or use radiation, which is harmful an fMRI constantly. Unfortunately, an fMRI to subjects on a prolonged basis. is a five-ton $2 million machine making this concept impossible (Johnson, 2004). Magnetic resonance imaging (MRI) and near infrared spectroscopy (NIRS) offer safer tech- An NIRS may offer a solution. This device is niques to map brain regions (Britannica, 2008). portable and relatively inexpensive (Britannica,

,AW %NFORCEMENT %XECUTIVE &ORUM s s 2008). It uses lasers to monitor blood flow, To Implant or Not to Implant observing how much light is refracted back from the brain. Optical tomography is then Device implantation is an option that must used to draw maps of the brain and can assess be weighed against the status quo and other cellular changes arising from neurons firing. medical alternatives. Surgically implanted car- This process is quick and can provide changes diac defibrillators and implants for deep brain in neural activity in well under a second (Bri- stimulation are viable options that are seeing a tannica, 2008). A scaled-down version of an growing acceptance by society. This acceptance NRIS is a perfect complement to the concept of will further promote the use of such devices deep stimulation device previously discussed. and create a demand for continued application. It should also stimulate research and Combining an NRIS and deep brain stimu- development, and possibly link their use to lation device creates a biofeedback loop to other illnesses or social issues such as a violent control a violent criminal’s behavior. A wear- behavior control device. Recently, scientists able NRIS could detect this change in neural have made improvements in the type of elec- activity, registering its findings on a central trodes used in brain implants. This new tech- processing unit (CPU) contained within a nology will improve the use of brain implant small power pack surgically implanted in the devices that monitor brain illnesses and brain person. The CPU identifies this brain func- injuries. Partly made of ultrathin polyimide- tion as a potential violent behavior. Electrodes silk arrays, the new electrodes are about five extending from the power pack deliver a low times the thickness of a human hair. As the voltage stimulus to the Reticular Activating device becomes more convenient for patients, System (RAS) located in the brainstem and the volume of applications and the diversity of the frontal cortex. The stimulus produces a use are likely to follow. sense of fatigue, slowing down the person and simultaneously stimulating the frontal As technological advances are juxtaposed cortex producing elevated levels of reasoning against the criminal justice system, the impact to dissuade the perpetrator from the act prior on society, and the political environment, many to execution. questions have been raised pertaining to the issue of using a surgically implanted device to Timing is an essential consideration to control- control a person’s behavior. The questions range ling the thoughts of a violent offender. Since from how to legislate the use of such a device metrics are available to assess the process speed to issues of public acceptance of its use. Will a of perceiving a stimuli and neural reactions, it convicted person voluntarily use the device or becomes theoretically possible to build a device will a court force a medical doctor to implant a fast enough to intercept the stimuli and neural device into a person, an invasive procedure that reaction. The question then becomes how long may be cruel and unusual? Will society accept will it take computers to become fast enough to the government using “mind control”? What are intervene between thoughts and actions. The other technological trends that may make this answer is now. Personal computers can already concept obsolete? To answer these questions, a process information faster than the human brain. nontraditional research method was employed. Therefore, the theory of surgically implanted behavior modification devices has a platform A panel of experts convened to discuss trends from which to launch. That leaves us with the and events impacting these questions. The social, political, and moral choices of balancing panel consisted of a pharmacist, a technologist, the rights of the individual versus the safety of a computer scientist, a forensic psychologist, a society. procurement specialist, an attorney experienced in civil rights matters, a supervising parole agent, and a police lieutenant. The panelists were subject-matter experts and well-respected

,AW %NFORCEMENT %XECUTIVE &ORUM s s within their respective disciplines with a col- Currently, local policing agencies are only indi- lective 200 years of experience. rectly involved in managing released prisoners. Parolees are allowed to reenter their commu- As expected, there was much debate concerning nities of residence upon agreement to certain the efficacy of a surgically implanted behavior conditions. If a parolee violates a condition of modification device. How quickly this technol- his or her parole, then the parolee will return ogy could be assimilated into the criminal jus- to prison after a CDCR due process hearing. tice arena was a top issue of the panelists. As A local policing agency can arrest a parolee if they pointed out, prisoner rights groups may it becomes aware of a violation of parole con- find the intrusiveness of the surgical implant ditions either passively or proactively. Police into a prisoner’s brain outside the limits of departments do not monitor parolees or partic- a reasonable punishment. Legal injunctions ipate in other aspects of assimilating a parolee against this method of controlling a convicted into the community. The overwhelming intent persons’ behavior would likely arise to chal- of a police officer and parolee contact is to send lenge its application. Another insight brought that person back to prison. On the contrary, forward was the complexity of the human CDCR parole agents incorporate rehabilitative brain in a sexual offender’s mental processing protocols into their assessment of parolees. of stimuli that trigger violent sexual encounters. For a sexual offender, the stimuli may be New housing tolerances forced by court deci- anger as opposed to sexual arousal. Scientists sions may also force a new approach to how would have to develop a brain implant robust local, county, and state policing agencies enough to control both sexual arousal and manage released prisoners. Low-level non- anger within the human thought processes. violent offenders are being released back to Though theoretically conceivable, much more their communities of origin without previously research is necessary to employ a device that accepted parole conditions, many with only the could achieve the full range of desired results equivalent of summary probation. County pro- without creating any adverse outcomes. bation offices will assume the managing role of these released prisoners. Due to their summary Of course, there are emerging issues that may probation status, many parolees will enjoy a enhance interest in implants to control adverse nonrevocable parole status. Revocable parole behaviors. The current prison overcrowding status has been a significant tool in local law issue facing the California Department of Correc- enforcement’s repertoire to solve gang member tions and Rehabilitation (CDCR) is fertile ground issues that sometimes plague a community. The for policing agencies to begin assessing the pos- new system of releasing prisoners will substan- sibility of local or county policing agencies using tially affect many Los Angeles County commu- devices to monitor released prisoners. Los Angeles nities that have high concentrations of parolees. County Sheriff Leroy Baca’s controversial idea for deputy sheriffs to supervise released prisoners This impact will be exacerbated when a supports the premise that released prisoners will released prisoner who was serving a sentence influence operational aspects of all government on a nonviolent commitment offense reenters policing and corrections agencies. As Sheriff Baca the community where his or her arrest charge said, “It’s kind of a cultural clash for probation was a violent offense. More concisely, defen- officers to think law enforcement can do the same dants who plead to lesser, nonviolent offenses work they do” (Faturechi, 2011). Though Sheriff will meet the release criteria when, in fact, a Baca’s statement provokes reactions on both violent offense had been committed. In theory, sides of the argument, what is gleaned from his perpetrators of batteries, robberies, and some statement is that the future is approaching and sex offenses will be released back into the changing how policing agencies view released community because their commitment offense prisoner management may be a valid contempo- was a nonviolent drug charge. Without proper rary consideration. monitoring, the released prisoner must commit

,AW %NFORCEMENT %XECUTIVE &ORUM s s and be convicted of another offense in order to The increased population of released prison- be placed back into prison. ers will significantly influence local policing agencies. Developing new methods to mitigate Lastly, the county probation system may be the behavior and actions of persons posing a overextended with the new workload. One violent threat to society is a call to duty for all may assume that the rehabilitative services policing experts. If a biomedical device alters formerly provided by the State may not the mood and motor functions of patients, follow the transition of prisoner management then can the same device alter their level of (or from the State to counties. The social service absence of) aggression? The concept of using system may become overwhelmed with pris- brain-altering devices to control behavior may oner reentry. Gaps within an overwhelmed be one future solution for society, and it contin- criminal justice and social service system may ues Huxley’s investigation to its logical end. be correlated with increased residential bur- glaries and strong-arm street robberies. Due to References limited social service resource capacities for a released prisoner population which has poor Bejjani, B-P., Damier, P., Amulf, I., Thivard, job skills, a typical released prisoner may find L., Bonnet, A-M., Domont, D., . . . Agid, Y. fencing stolen property more economical. This (1999). Transient acute depression induced generalization may not apply to the majority by high-frequency deep-brain stimulation. of released prisoners. However, even a small The New England Journal of Medicine, 340, uptick in certain crimes will be dramatic in 1476-1480. communities that live with a perception of fear. These and other factors will be motivat- Britannica. (2008). The Britannica guide to ing forces in society’s desire to find ways to the brain: A guided tour of the brain—Mind, limit the impact of violent crime and to con- memory, and intelligence. London: Constable trol offenders effectively. While it is too early & Robinson Ltd. to tell how the privacy issues, effectiveness of implant technologies, and social acceptance Faturechi, R. (2011). Baca wants his depu- might impact the concept, the ability to end ties to supervise state parolees. Los Angeles violent crime as we know it is a compelling Times. Retrieved February 29, 2012, from vision. Actualizing that vision, although con- latimes.com/news/local/la-me-baca- tentious, is a goal worth pursuing. parolees-20110711,0,1918907.story.

Conclusion Johnson, S. (2004). Mind wide open: Your brain and the neuroscience of everyday life. Certainly, there are a myriad of other issues New York: Scribner. to be addressed as science opens the doors of possibility. A surgically implanted behav- Kandel, E. R., & Jessell, T. M. (Performers). ior modification device could fill the gaps in (2009). Making your mind: Molecules, motion, and the current model of public safety and could memory (Directed by Wally Ashby; produced exploit emerging technology to enhance tradi- by Ann Destefano Suther). Chevy Chase, MD: tional behavior changing methods. Howard Hughes Medical Institute.

Prison populations have increased to a maxi- Trudeau, M. (2005). Brain implant offers hope mum point in some states, and the violent for severely depressed. NPR website. Retrieved behaviors of some of the released prisoners February 29, 2012, from www.npr.org/ have not improved while in prison. In fact, templates/story/story.php?storyId=4627438. some behaviors have worsened, causing significant concern for the general public and Vagg, R. (Director). (2008). The brain. A&E government agencies sworn to protect society. Home Video.

,AW %NFORCEMENT %XECUTIVE &ORUM s s Defending Enforcement Action: Technological Documentation of Officer Activity

Aaron J. Westrick, PhD, Professor of Criminal Justice, Lake Superior State University

Recently, a university student who has been undoubtedly lead to the (political) demise of a police officer for five years was voicing his good officers’ careers. concern about new department regulations that require issued video and audio recording Police force incidents are very polarizing to the devices activated during “any citizen contact.” public and government public servants. The My response as his professor and a senior offi- recording of these events is important to the cer was met with, “I wish I could be a street cop pursuit of justice. However, without agreement like you back in the ‘80s.” After stunned consid- between the officers and administration on the eration, I realized he had a point. Law enforce- review and reporting of incidents, discontent, ment officers and agents in my “era” fronted biased enforcement, and increased liability can the concept of painting the honest picture result. Omnipresent in these incidents with through reasonable officer perception, consid- the threat to record or face termination are the ering the totality of the circumstances known rights of officers as noted in the 5th Amend- at the time of the incident through articulating ment (Garrity v. New Jersey, 1967; Guido, 2005). in our police reports (Graham v. Conner, 1989; Recording of police action by departments is Tennessee v. Garner, 1985; Terry v. Ohio, 1968; a valuable tool, but it should not be yielded Westrick, 1995). The story was ours to tell. as a hammer over well-meaning officers. Con- sideration must be given by administrators to Well-meaning, rights protecting officers are officer concerns when there is a policy man- concerned about how they are “captured” on dating recordings of “all citizen” interactions. departmental recording devices. These recordings are then released to the public who only Experience and research has shown there are view the “snap-shot” of the (usually) violent three basic ways to combat extraordinary police encounter. There is little doubt the public often action during extremely violent incidents. With misinterprets the officers’ actions and that the the recording of these incidents, the “third party” politics inherent in policing can lead to officers perception of the police action becomes the pri- facing discipline, termination, civil action, and mary interpretation of the event in the “eyes of criminal charges. Not to mention that imag- the public.” To protect officers, the steadfast ways ining what their actions look like through to curtail extraordinary police force are still the the “third eye and ear” can cause hesitation same: training, officer partnerships, and articula- that can result in further violence, injury, and tion of action (particularly preventive strike). An death. Officer recording technology is here to understanding of policy and reinforcement of stay and can be beneficial to all. The concept proper police action (in the eye of the “camera”) of officers recognizing their proper role is not are a must to instill officer confidence and ensure new to social science or police action and nei- optimal officer safety. The best way to instill ther is the conditioning that must take place officer confidence and competence is providing during training (Grossman, 2008; Klugewicz, clear, concise, and reinforcing training. 2002; Westrick, 1998). With the increased utili- zation of citizen police review boards (working Training and an understanding of the police role with Internal Affairs) and subsequent inter- and actions are important on at least three levels. rogation of “suspect” officers by supervision, Officers should be educated on the depart- the departmental use of recording devices can ment’s overall philosophy of citizen and police

,AW %NFORCEMENT %XECUTIVE &ORUM s s contacts in the context of the recording devices. Officers can be trained and brought to under- The practical wisdom of recording police action stand the capabilities and vantage points of the is evident for the department. The overall rea- recording equipment to help alleviate injury soning that it is for the good of the individual through preventative action. A thorough under- officer and the role(s) he or she plays needs to standing of the recording hardware and software be articulated by the department and under- can assist officers in analyzing and targeting sus- stood by the officers. How do the recordings of picious suspect behavior. If the officer can artic- citizen encounters enhance the mission of the ulate the reasoning to detain or arrest a suspect, organization? The strategy of recording deploy- he or she must be able to access and analyze the ment needs to be clearly explained to the law actions recorded coupled with the understand- enforcement team. What is the plan for using ing of those actions. The author (Westrick, 2004) the recordings? Under what circumstances are has stated that a good law enforcement use-of- the recordings to be utilized? Strategy is the plan force event has the officer taking action last. Law of the department that is written in policy for enforcement officers rarely start the problem, all members. The tactics (actions) that officers but if all goes well, they end it. With the above actually utilize with citizens must be examined in mind, it is important to record the end of the and rehearsed, understanding the “third eye” force action and the subsequent “in-custody” perspective of the recording is in one stress free law enforcement action. It must be the policy zone of time and space. It is an undeniable truth of the department to let officers work with the that officers must be conditioned to be cogni- records to help (them) interpret evidence, keep zant of the recording device presence and its the peace, and pursue justice. (nonhuman) objectivity and the subjectivity of the humans that will eventually view it. Adverse understanding and use of officer/ citizen street-recorded encounters can greatly jeop- Giving fellow officers “permission” to intercede ardize officers. If departmental policy dictates in officer actions that are viewed to be excessive that all citizen encounters must be recorded, is even more important with modern recording then all these incidents should be preserved and technology. Other officers have differing per- accessible to the officers for review (just as with spectives than the officer who is immediately traditional police reports). Officers should build engaged. Recognizing the different perspectives a technological portfolio of work that they and of officers, recordings, suspects, and others is their team see as positive for review for their difficult, but it is the height of the vocational personal, official record. Positive reinforcement law enforcement standard. Allowing other offi- of this recording technology is not possible if cers to intercede to de-escalate situations is as officers only witness negative administrative important as escalation of force. Since officers action toward them as a result. Dedication to should be held accountable when they stand an objective mandatory recording policy that is by and overlook adverse action, positive action seen as assisting officers builds confidence and by team members must be recognized without competence in the law enforcement team. discipline to the engaged officer if possible. Recordings should assist reasonable officers All police (force) action has a before, during, and who are cast into split-second decisions that are after. The before begins with the training the urgent, in that they are not invited, and very department offers and mandates. Intelligence, open to the public, especially with recording approach, communications, and other key fac- devices (Fyfe, 1989). When other officers engage tors can all be monitored and recorded. The in de-escalating an in-custody (safe) situation, department must not allow the recording of the department should view the action as a a few seconds of a force event to overshadow team effort. This type of administrative action the before, accurate reasonable officer interpre- breeds a police culture of safety and violence tation of the during, and the actions of the in- prevention, showing officers that the depart- custody event including aid given to suspects ment understands street officer mindsets. after. Officers should be trained to utilize the

,AW %NFORCEMENT %XECUTIVE &ORUM s s recording technologies to condition them- Westrick, A. (1998). Surviving “fatal” encounters: selves to act more professionally and to build An analysis of violence involving police officers their cases. The perspective of the totality of wearing body armor, their situation definitions, circumstance can be captured if the department interactional experience and symptoms of post cooperates with officers and works in concert traumatic stress disorder (PhD dissertation). to show reasonable officer action and not cite Wayne State University, Detroit, Michigan. officers’ reasonably excusable actions that take place in street encounters. Police admin- Westrick, A. (2003). Contemporary police shoot- istrators should implement sound policy that ing investigations. Presentation at a Law reinforces proper police action (no matter Enforcement Seminar, International Associa- how forceful) and recognizes the officer’s role tion of Chiefs of Police, Philadelphia, PA. in the “eye” of the recording. The consensus among most officers is that their departments Westrick, A. (2004). Interacting with emotion- will use recordings to only discipline what ally disturbed persons. Presentation at a Law they perceive as “bad” conduct. Policy must Enforcement Seminar, Lake Superior State be implemented to train, allow access to (for University, Sault Ste. Marie, MI. documentation and evidentiary purposes), and document positive officer/citizen encoun- Cases Cited ters by the administrators who oversee the officers and the recordings. The recording of Garrity v. New Jersey, 385 U.S. 493 S. Ct. (1967). police action can build officer confidence and Graham v. Conner, 490 U.S. 386, 109 S. Ct. 1865 competence with proper department action. (1989). Tennessee v. Garner, 471 U.S. 1, 105 S. Ct. 1694 References (1985). Terry v. Ohio, 392 U.S. 1, 88 S. Ct. 1868 (1968). Fyfe, J. (1989). The split-second syndrome and other determinants of police violence. In G. Alpert & R. Dunham (Eds.), Critical issues Aaron J. Westrick, PhD, is a professor of in policing (pp. 465-479). Prospect Heights, Criminal Justice at Lake Superior State IL: Waveland. University. He has been a Michigan Deputy Sheriff for 31 years. Dr. Westrick Grossman, D. (2008). On combat: The psychol- is a noted expert in use-of-force and ogy and physiology of deadly conflict in war armor ballistics. He has taught many law and in peace (2nd ed.). Belleville, IL: PPCT enforcement seminars for many orga- Research. nizations, including the International Association of Chiefs of Police. Guido, F. A. (2005). Garrity right: Protection and prohibition triggered by compulsion. Police Contact Information Officers Association of Michigan Law Enforce- (906) 635-6203 ment Journal. Retrieved March 1, 2012, from www.westrickphd.com www.poam.net/legal/2008/garrity-right- protection-and-prohibition-triggered-by- compulsion.

Klugewicz, G. (2002, February). Personal note of the Law Enforcement Seminar of the American Society of Law Enforcement Train- ers, Anchorage, AK.

,AW %NFORCEMENT %XECUTIVE &ORUM s s Influence of Stress on Decisionmaking During a Crisis

Alan Steinberg, PhD Candidate, Department of Political Science, University of Houston

Author’s Note: The initial draft of this paper was unable to make choices” (Gouran, 1982, as cited written while the author worked for the Depart- in Seeger & Gouran, 2002). Consider this: A ment of Defense. No classified or sensitive material naval officer who served in Vietnam defined appears in this version. his experience with stress by saying, “Stress can override your faculties. You see what you want Introduction to see and hear what you want to hear” (Trainor, 1988, p. A1). If this is how stress can influence After the terrorism events in 2001 and Hurricane a well-trained military professional, just imag- Katrina in 2005, preparedness for crisis events ine the potential damage that it could do to the has been a paramount issue. Since this time, decisionmaking abilities of a civil servant or there has been an increased focus by practitio- government official. ners and academics on resources, contingency planning, and response efforts relating to crisis Group Dynamics management. However, there has been almost no examination of the psychological impact on Typically, in government, task forces are decisionmaking due to the crisis at hand. brought to life in order to deal with a crisis that is occurring. Such groups are more effective at Before decisionmaking can be examined, it is decisionmaking in situations in which there imperative to understand when a situation is exist complex issues involving vast amounts of perceived as a crisis and not just an emergency.1 information to be processed (Seeger & Gouran, Perception plays a key role in identifying a sit- 2002). With these task forces come similar group uation as a crisis. Generally, a crisis involves dynamics that exist with more constant deci- three factors: (1) threatening aspects of high sionmaking bodies that act at times of crisis such value, (2) restrictions in the amount of time in as the National Security Council (NSC). Major which decisions can be made, and (3) the situa- Kenneth L. Robinson (1997), U.S. Army Retired, tion presenting itself in an unexpected manner. argues that the group dynamics of the NSC, Whether or not such a situation is viewed as a which during peacetime are useful, provide a crisis is influenced by perception-based factors negative effect during a time of crisis.2 However, such as personal experience, framing, culture, Robinson is unable to support this claim other and individual tolerance (Seeger & Gouran, than with personal experience. Overall, the 2002; also see Billings, Thomas, & Schaalman, task force environment has both pros and cons 1980; Hermann, 1963). to its implementation, but that will not be discussed here as it is not within the scope of this 3 Influence of Stress report. What is important to note is that task force members are often overworked and do not It is not the crisis itself that has an effect on deci- get enough sleep, which leads to a buildup of sionmaking, but, rather, the stress that comes stress. In order to prevent this stress buildup, it with it. The threat aspect of a crisis enhances is important to have the task force work in shifts. stress levels so much that at times it leads to neg- This discipline does not work with senior-level ative behavior. In fact, “when faced with severe officials as they “rarely adhere to the discipline time pressures, some individuals respond with of shifts” and at times even refuse to delegate to a kind of decisional paralysis and are simply other officials (Post, 2004, p. 119).

,AW %NFORCEMENT %XECUTIVE &ORUM s s Direct Effects of Stress agencies, offers a class on how to “shift gears from normal office to crisis environments for Interestingly enough, “the early stress response making decisions”; it even covers “identifying has been demonstrated to improve performance; impediments to good decision-making during but as stress mounts [and reaches a threshold], emergencies”4 (Table 1). The course also pro- performance degrades” (Post, 2004, p. 119). In vides an analysis of the differences between addition, Dr. Post writes, “although moderate decisionmaking during times of normal or day- levels of stress usually improve the performance to-day policy analysis as compared to making of most individuals, at least initially, human frail- decisions and policy during a time of crisis ties are magnified at the individual, group and orga- (Table 2). nizational levels when acute, prolonged stress and fatigue are experienced (emphasis added) (p. 121). 4ABLE )MPEDIMENTS TO 'OOD The day-to-day functions of a senior official Decisionmaking likely cause just enough stress to ensure proper s 4IME PRESSURE performance, meaning stress levels stay below s 0OLITICAL PRESSURES the threshold. A true crisis could easily lead to s (IGH OR LOW BLOOD SUGAR a quick buildup of stress, however, eventually s #AFFEINE surmounting the threshold (Hermann, 1979). s &ATIGUE s ,ACK OF INFORMATION In addition, situations in which stress acts to s #ONFLICTING INFORMATION increase performance only occur when there s 5NCERTAINTY exists no emotional attachment to the situation (Hermann & Hermann, 1998, p. 215). Seeger and Gouran (2002) present a set of guidelines to be followed in order to improve deci- Physiologically, stress elicits the discharge of sionmaking during a time of crisis in their paper adrenal hormones causing a natural high. This Functional Decision-Making Under Crisis Condi- release of hormones will “convey a feeling of tions that has been summarized as follows: being at the height of one’s powers, even when objective performance measures demonstrate Planning for would be crisis situations, the contrary” (Post, 2004, p. 118). Therefore, a including presetting decision criteria, decisionmaker under extreme stress is unlikely prioritizing those criteria, and then deter- to realize or believe that their decisionmaking mining basic contingent responses, allows abilities have been affected by the crisis. decision making during a time of crisis to flow more smoothly. In addition the use Dealing with Crisis Decisionmaking of the incident command structure (ICS) and defining authority relationships can Some might think that decisionmaking is not ensure the right people are in the right affected during a time of crisis, but they would position to make important decisions. be wrong. The ability to make decisions is This type of pre-crisis coordination affected so much so that the Federal Emergency leads to a reduction in uncertainty. Com- Management Agency (FEMA) (1999), through bined with the ability to maintain flex- state emergency management offices and other ibility, allowing for the accommodation

4ABLE #HARACTERISTICS OF $ECISIONMAKING Normal Policy Analysis Crisis Policy Analysis s 4IME TO THINK s (IGHLY COMPRESSED TIME FRAME s /PPORTUNITY TO TEST ALTERNATIVES s (IGH STAKESLIFE SAFETY ISSUES s /BJECTIVE AND CANDID EXCHANGE OF OPINIONS s 5NPREDICTED EVENTS s /PTION TO GATHER A WIDE RANGE OF FACTS AND INFORMATION s )NTENSE IMAGERY DISTORTED VIEW OF REALITY s 4OUGH CHOICES MORALLY POLITICALLY PSYCHOLOGICALLY s 5NFOLDING DYNAMICS hSHROUDED IN FOGv

,AW %NFORCEMENT %XECUTIVE &ORUM s s of change among plans, this will help References reduce stress and make the situation easier to manage. Increased situational Benne, K. D., & Sheats, P. (1948). Functional awareness is also important. Informa- roles of group members. Journal of Social tion must be available for evaluation as a Issues, 4, 41-49. decision-maker must be able to monitor and adjust to dynamic situations. Billings, R. S., Thomas, W. M., & Schaalman, M. L. (1980). A model of crisis perception: A While these guidelines are not the only theoretical and empirical analysis. Adminis- authority on the subject, they do provide a trative Science Quarterly, 25, 300-316. comprehensive set of ideas that can be implemented to allow for decisionmaking during a Cartwright, D., & Zander, A. (Eds.). (1968). crisis situation more in line with day-to-day Group dynamics: Theory and research (3rd ed.). decisionmaking. New York: Harper & Row.

Conclusion Federal Emergency Management Agency (FEMA), Emergency Management Institute Henry Kissinger once said, “In a crisis only the (EMI). (1999). G247 – Decisionmaking in a strongest strive for responsibility; many hide crisis. Retrieved March 13, 2012, from www. behind a line of consensus that they will be au.af.mil/au/awc/awcgate/fema/247/ reluctant to shape; others concentrate on reg- index.htm. istering objections that will provide alibis after the event” (Shrum, 1979, as cited in Robinson, Gouran, D. S. (1982). Making decisions in groups: 1997, p. 44). While this may be true, under- Choices and consequences. Glenview, IL: Scott, standing how a crisis, with all of its stress, can Foresman. affect decisions will allow leaders to be prepared for the consequences. This knowledge Hermann, C. F. (1963). Some consequences of can be combined with effective preparation to crisis which limit the viability of organizations. provide strength for leaders in decisionmak- Administrative Science Quarterly, 8, 61-82. ing capacities during a time of crisis. Hermann, M. G. (1979). Indicators of stress in Endnotes policy makers during foreign policy crises. Political Psychology, 1, 27-46. 1 Emergencies are generally considered day-today problems or situations that are unintended Hermann, M. G., & Hermann, C. F. (1998). but not out of the ordinary for the person per- Hostage taking, the presidency, and stress. In ceiving the situation. For example, a heart attack W. Reich (Ed.), Origins of terrorism: Psycholo- is a medical emergency for an EMS responder, gies, ideologies, theologies, states of mind (pp. while the same event would be perceived as a 211-229). Washington DC: Woodrow Wilson crisis for the person having the heart attack. Center Press. 2 Major Robinson’s experience and membership in the Military Intelligence Hall of Fame allows Janis, I. L. (1982). Groupthink: Psychological for his opinion to be considered credible. studies of policy decisions and fiascoes (2nd ed.). 3 For more issues regarding the pros and cons of Boston: Houghton Mifflin. group decisionmaking, see Benne and Sheats (1948), Billings et al. (1980), Cartwright and Post, J. M. (2004). Leaders and their followers Zander (1968), Gouran (1982), and Janis (1982). in a dangerous world: The psychology of politi- 4 The complete class is available from www.au.af. cal behavior. Ithaca, NY: Cornell University mil/au/awc/awcgate/fema/247, courtesy of Press. the Air War College and Maxwell-Gunter AFB.

,AW %NFORCEMENT %XECUTIVE &ORUM s s Robinson, K. L. (1997, April). Mayaquez and national security decision making in crisis. Quantico, VA: U.S. Marine Corps Command and Staff Col- lege. Retrieved March 1, 2012, from www.global security.org/military/library/report/1997/ Robinson.htm.

Seeger, M. W., & Gouran, D. S. (2002, July). Functional decision-making under crisis conditions. Paper presented at the Division of Emergency and Environmental Health Ser- vices of the National Center for Environmen- tal Health: Risk Communication Workshop on Effectively Communicating Protective Actions and Exposure Information During an Incident Involving a Releases of Radioactive Material. Available online at www.comm. wayne.edu/files/seeger_gouran_crisis.doc.

Shrum, T. (1979, October). The most hated man. Time, p. 44.

Trainor, B. E. (1988, August 3). Errors by a tense U.S. crew led to downing of Iran jet, Navy inquiry is said to find. New York Times, A1.

Alan Steinberg is a PhD candidate in the Department of Political Science at the University of Houston. He holds a Master of Science in Defense and Strate- gic Studies from Missouri State Univer- sity and a Bachelor of Science in Psychol- ogy from Texas A&M University. Alan formerly served as a Reserve Deputy with the Fairfax County Sheriff’s Office.

,AW %NFORCEMENT %XECUTIVE &ORUM s s Russian Organized Crime and the Existing Measures to Combat It

Alexander Sukharenko, Director, New Challenges and Threats Study Center, Vladivostok, Russia

Introduction facing the police: fighting terrorism, extremism, corruption, and organized crime. According Along with the positive opportunities created to him, in some regions, criminal gangs have by the collapse of the USSR, a vacuum of the become a growth on the structures of govern- legitimate authority developed that has led ment and business. “It is almost impossible to to a rapid growth in criminality in the former distinguish between criminal groups and busi- Soviet Republics as well as new types of crimi- ness or local power structures,” stated the Presi- nal activity. As new governments began grap- dent. He urged regional governments to cooper- pling with the awesome problems of develop- ate more actively with the police in combating ing laws, regulations, and business practices crime (Transcript, 2011). to govern emerging private businesses and economic activities, organized criminal Criminal Situation in Russia groups have exploited both new economic and political opportunities and the absence of Russian organized crime represents a qualita- comprehensive legal structures. In particular, tively new level of professional group crime. Russia’s efforts to privatize the economy have This is reflected not only in its high level of been fertile ground for criminal exploitation. criminal sophistication and the well-developed network of corruption links, but also by Widespread corruption at many levels has facil- the broad scale of its activities and influence itated the growth of organized crime as well. exerted on a considerable portion of the econ- Corruption enables the reinforcement of crim- omy and the organs of power. inal organizations, expanding their spheres of influence. Russia has been engrossed in an Russian organized crime is assumed to be one unusual debate about the links between state of the most powerful organized crime organiza- structures and organized crime. The debate tions in the world; and on the scope of activities, was prompted by a November 5, 2010, mas- it surpasses even the legendary Italian Mafia sacre of 12 people, including four children, in (Abadinsky, 2009; Galeotti, 2007; Grennan, 2006; the Krasnodar region village of Kushchyovs- Liddick, 2004; Lyman, 2003). However, given kaya. Prosecutors investigating the murders such estimates, foreign authors rely on subjec- have concluded that local officials have been tive assessment of Russian politicians, NGOs, aiding a criminal group headed by a local and media publications, rather than on reliable businessman. This criminal group has been statistical data and materials of criminal cases. terrorizing the village for 15 years. In January 2011, the special commission of the General Given the lack of reliable methods of assessing Prosecutor’s Office canceled 1,500 regulations the level of organized crime in a country, we on refusal to initiate criminal proceedings and will analyze existing approaches to the study restored 242 crimes, which had been hidden of this problem. Professor Jan Van Dijk (2007) by Kushchyovskaya’s police (Chayka, 2011). has developed a Composite Organized Crime Index (COCI) that is constructed combining In February 2011, Russian President Dmitry data on the perceived prevalence of organized Medvedev defined a list of the major challenges crime, unsolved homicides, grand corruption,

,AW %NFORCEMENT %XECUTIVE &ORUM s s money laundering, and the extent of the shadow to organized crime. In 2004, these respondents economy. The COCI, based on data for 1997 were 13%. According to most respondents, through 2003, covered 156 countries. The explor- sources of power in the country are the bureau- ative analysis shows that among the 15 countries crats and the oligarchs. with the worst scores, Russia took 7th place. Likewise, according to the Strategy of National The annual reports of the World Economic Forum Security of Russia, before 2020, already (WEF) on global competiveness should be ana- approved by Presidential Decree on May 12, lyzed to assess the current state of organized 2009, organized crime will be one of the major crime. Based on various official statistics and sur- threats to internal security. In addition, in veys among CEOs of larger companies, WEF ana- accordance with the concept of Russian foreign lysts assess the condition of the economies of 140 policy, approved by Presidential Decree on July countries on various criteria, including the level of 12 2008, foreign policy efforts should be focused harm caused by the business of organized crime. in particular on combating organized crime. The study showed that the level of organized crime in Russia was one of the highest, not only in The discrepancy in the estimates of risk of Europe, but also in the whole world. Among the organized crime may be explained by the fact 133 countries included in this criteria, Russia took that it infringes on the State’s interests in the 96th place with an index score of 4.4 (WEF, 2010). economic sphere. But now Russia ranks 119th out of 142 countries with an index score of 4.0 (WEF, 2011). There are a number of causes posited for the development and continued presence of orga- Along with this, we cannot forget to mention nized crime in Russia. The reasons include the the 2010 Failed States Index, compiled by ana- following: lysts of the influential journal Foreign Policy and the Fund for Peace. This rating reflects the abil- s 4HE LACK OF SUCCESS OF ECONOMIC REFORMS ity of key public institutions (i.e., political lead- and the unevenness and corruption of the ership, army, police, judiciary, and civil service) privatization process—both of which have to monitor the integrity of the territory as well contributed to dividing the population into as the demographic, economic, and political sit- widely disparate “haves and have nots” uation. One of the 12 monitored indicators for s &AILURES OF LEGISLATIVE REFORM AND ECONOMIC viability of the state is the level of lawlessness regulation and criminalization. It refers to widespread cor- s #ORRUPTION AND WEAK GOVERNMENTAL CON- ruption, opacity of decisionmaking, distrust of trols in vulnerable areas state authorities, and the increasing number of s 4HE ABSENCE OF SPECIAL LEGISLATIVE TOOLS TO criminal organizations. According to the 2010 combat organized crime and corruption Failed States Index, among the 177 countries on s 4HE PEOPLES LACK OF TRUST IN LAW ENFORCE- this indicator, Russia took 80th place with an ment and consequent unwillingness to index score of 8.1. In 2009, Russia had taken report crimes and participate in the crimi- 52nd place with an index score of 8.0. nal justice process s ,ACK OF COORDINATION AND COOPERATION Despite this pessimistic assessment of the level of among law enforcement authorities and organized crime in Russia, the most unfavorable their general ineffectiveness situation in this respect has developed in South America, Africa, and Central Asia. The popula- Present criminal developments in Russia tion of Russia is weakly preoccupied with this include the following: issue. Our conclusion is confirmed by the results of recent sociological research. In a survey of s 4HE INTENSIVE CONSOLIDATION OF ORGANIZED 1,500 people by Romir Monitoring (2012), only crime groups at both the regional and fed- 7% of Russians believe that real power belongs eral levels

,AW %NFORCEMENT %XECUTIVE &ORUM s s s The active penetration and capture of key posi- the presence of controlled media and cor- tions in different industries in the economy rupt ties s 4HE PENETRATION OF REPRESENTATIVES OF ORGA- s 4HE WIDE PUBLICITY OF COMMITTED CRIMES nized crime into the organs of power (i.e., the legislature) as a means of lobbying for During the period from 2006 to 2011, the number their interests of criminal organizations and their total mem- s 4HE GROWTH OF TRANSNATIONAL CRIMINAL ACTIV- bership decreased from 450 to 124 and 12,000 ity, especially involving smuggling goods/ to 2,467, respectively.1 These figures should be aliens and money laundering treated as only a broad approximation. The creation of new organizations, the merging of orga- The statistics of the Ministry of Internal Affair nizations, or the collapse of some may not always (MIA) for 1997 to 2004 show that the number be promptly recorded by law enforcement. of criminal associations and their size are constantly changing; however, the number of crim- Most of the criminal organizations have interre- inal associations remain under 100. This fact gional and wide corruption ties. Some of them indicates the presence of favorable conditions are created on an ethnic basis. The most danger- for their continued reproduction. One reason ous of these are Georgian, Azerbaijani, Uzbeks, for this is the lack of legislation to combat the and Tajiks. The greatest concentration of crimi- leaders of organized crime. During previous nal organizations is said to be in the Central, years, not more than 2,500 organizers of crimi- Southern, Privolzhsky, and northwestern fed- nal associations were involved in criminal pro- eral districts of Russia (see Figure 1). ceedings or 20% of the total number of identified members of criminal associations. For some types of crimes, this figure is even lower. &IGURE 'EOGRAPHY OF /RGANIZED #RIME in Russia According to the Concept of Improving the Police in Combating Organized Crime, from 2005 to 2010, the traditional division of criminal structures in organized groups and criminal associations was eliminated. Thus, a new term was introduced—criminal organizations—the characteristics of which are as follow: s 0RESENCE OF AT LEAST MEMBERS s 4HE DURATION OF CRIMINAL ACTIVITY NOT LESS Source: The Ministry of Internal Affairs than two years) s 4HE EXISTING SYSTEM OF CRIMINAL ACTIVITY HAS The organizational structure of criminal organi- a negative impact on the criminal situation zations ranges from those with defined leader- s !CCUMULATION OF MONEY AND OTHER PRO- ship and subordinate roles to those that are small ceeds of crime activities and loosely structured with no set hierarchy. The s !VAILABILITY OF CONTROLLED OBJECTS OF ECON- size also varies from one to another. Their crimes omy and the desire to expand its financial are said to be mostly in the economic sphere, base with others involved in extortion, robbery, car s #OMMON CRIMINAL PURPOSE INTENTIONS theft, drugs trafficking, and prostitution. well-established communications, financial basis, conspiracy, common rules of relation- The most established criminal organizations are ships, and hardware headed by so-called “thieves-in-law.” Usually, s 3TRIVING TO PENETRATE THE GOVERNMENT AND they don’t commit crimes; rather, they provide the formation of positive public opinion; social support for their membership, maintain

,AW %NFORCEMENT %XECUTIVE &ORUM s s criminal traditions, and arbitrate disputes. An In addition, do not ignore the “natural” important responsibility of the “thief” is main- latency when victims of crime do not go to taining an illegal fund or obshchak, which is used the police. According to the Levada Center’s to carry out new crimes, to support imprisoned survey, 34% of citizens were satisfied with members, and to bribe public officials. There the service provided by law enforcement; are some 150 “thieves-in-law” in Russia. The whereas a majority (56%) claimed to be dis- majority of them are natives of the Caucasus, satisfied with how the police work. Moreover, mostly Georgians. the public view of the ability of the police to protect them and their relatives from criminals Annually, about 20,000 crimes committed by orga- with considerable pessimism. Over half (58%) nized crime groups are registered in Russia.2 The of those surveyed do not regard the police as majority of these are economic/violent crimes capable of protecting their lives and property. and narcotics. Compared to 1991, the number of such crime increased sevenfold (see Table 1). The vector of public opinion is largely dependent on the state of law and the discipline of In evaluating the statistics, the high degree of the police, low levels of which becomes evi- latency of organized crime should not be for- dent. So, during the period from 2005 to 2010, gotten, which is expressed in the incomplete- the total number of acts of misconduct com- ness of its official registration. In this regard, mitted by policemen has tripled (from 44,753 special attention should be paid to “artificial” to 125,000).3 Police leadership involved in var- latency caused by serious deficiencies of the ious types of liability has increased tenfold. existing system of registration and recording of crime and poor law enforcement efforts. In response to growing criticism, President The latter of which is to some extent due to Medvedev launched a large-scale reform of the the increased volume and complexity of the police in December 2009, including cutting the job, the decline of discipline and profession- number of policemen and increasing salaries. alism of personnel, and serious institutional In February 2011, Medvedev signed into law a failures. The consequence of all this has been bill introducing reforms intended to improve the growth in the number of crimes hidden the image of the country’s law enforcement by police. For the period from 2004 to 2010, system. The law, which changes the name of the number of unregistered crimes identified Russian law enforcers from the militsiya to police, by prosecutors has increased 1.3 times (from came into force on March 1, 2011. According to 104,343 up to 136,420). the law, the number of Russian policemen will be lowered by 20% by January 1, 2012. Also,

4ABLE .UMBER OF 2EGISTERED #RIMES #OMMITTED BY -EMBERS OF #RIMINAL Organizations in Russia Years 2003 2004 2005 2006 2007 2008 2009 2010 2011 Total number 24,096 29,431 28,604 27,715 31,005 30,763 24,202 15,789 11,473 of crimes Murder, including 267 240 216 148 136 73 67 41 30 murder for hire 16 21 8 7 7 3 1 6 2 Health harm 134 93 116 111 68 49 42 14 16 Kidnapping 80 96 81 63 84 53 34 40 7 Extortion 623 752 822 613 513 535 302 277 202 Armed robbery 1,424 1,510 1,266 962 656 475 387 236 175 Theft 4,475 4,286 3,098 3,097 2,964 2,751 2,166 1,250 1,000 Economic crimes 8,812 12,774 12,797 12,954 16,518 18,363 12,899 7,703 5,336 Narcotics 4,175 5,186 5,817 5,073 6,247 5,495 5,464 3,462 2,497 Fire arms 1,226 1,292 1,048 947 783 479 411 277 209 Source: Ministry of Internal Affairs (2011)

,AW %NFORCEMENT %XECUTIVE &ORUM s s recruits will undergo more intensive screening, offshore. According to the Russian Central Bank, police will be freed of bureaucratic functions, for the period from 1991 to 2009, the pure out- and the force’s new emphasis will be on crime flow of private capital has generated $2.5 tril- prevention. About 217 billion rubles ($7 billion) lion, half of which has been illegally wire trans- will be allocated from the Russian budget for ferred. Some of this money is returned to Russia police reform in 2012-2013. at a very favorable exchange rate, where it is invested in other criminal schemes or used to Organized crime has gained control over a sig- purchase real estate, privatized enterprises, and nificant share of the nation’s economy. The lack banks. As a result, many criminal leaders make of laws, lax regulation, corruption, and extreme up a significant proportion of the new wealthy forms of violence have enabled criminal organi- class. Their economic activities are intertwined zations to make substantial inroads into several with those of legitimate businessmen. lucrative economic sectors, including gas and energy, metallurgy, construction, banking, fisher- Widespread corruption at many levels of govern- ies, retail trade, and liquor production/sales. The ment in Russia feeds the rapid growth of orga- MIA (2012) estimated that there were 982 legiti- nized crime. Corruption facilitates the reinforce- mate companies engaged in different activities ment of criminal organizations, the expansion of that were controlled by criminal organizations. their sphere of influence, and the establishment of their inter-regional and international connections. Criminal organizations are also earning consid- In the opinion of some experts, they spend up to erable profits from a myriad of criminal activi- 50% of their profits on bribes and other forms of ties, primarily fraud schemes.4 A significant corruption as a normal business expense. portion of these proceeds are transferred and laundered through overseas bank accounts or Many members of the elite who influence shell companies, including many incorporated economic and political decisions are directly

&IGURE -ONEY ,AUNDERING 3CHEME

Source: Europol (2008)

,AW %NFORCEMENT %XECUTIVE &ORUM s s involved in illicit activities, which brings them First, the number of criminal figures running into contact with criminal organizations. Corrupt for deputies or elective posts has been reduced officials provide criminal front companies with considerably. Now, they either offer promising licenses and quotas, customs exemptions, bud- candidates their financial assistance in election getary funds, and municipal and state property, campaigns, or they prepare their own “clean” and they help eliminate their competitors. Law protégé who does not have a criminal record enforcement and security services officials pro- or has not been compromised by links to the vide criminals with protection from prosecution. underworld. Second, given the increasing role of political parties in the electoral process, the Two recent criminal cases against senior officials most important task of organized crime is con- reflect the current corruption situation. In January trol of the existing political parties (the regional 2011, Lieutenant General Alexander Bokov, direc- branches) and the promotion of their representa- tor of the CIS (Commonwealth of Independent tives in municipal or state bodies. States) Bureau on Organized Crime and Other Dangerous Crimes, was arrested in a $46 mil- During the election process, criminal organiza- lion fraud case. Promising assistance in buying tions usually use the following methods: bribery a majority stake in a transportation company, he or blackmail of the leadership of political parties allegedly received 265 million rubles ($9.8 million) or their regional offices, members of electoral from a businessman. An investigation revealed commissions, judges, and/or law enforcement that Bokov, whose 2009 registered annual income officials; dissemination of compromising infor- was 1 million rubles (about $33,000), lived in a mation on opponents; bribery of voters or forc- four-story mansion near Moscow filled with col- ing their delivery at polling stations; destruction lections of guns, jewelry, antiques, and art. He of property (e.g., arson of premises, transport, also owned at least five apartments in downtown public receptions, and campaign headquarters Moscow as well as real estate in Cyprus and of candidates); and violence against political London (RIA Novosti, 2011b). opponents and their families.

In February, federal authorities reported break- During the elections in March and October ing up an illegal gambling ring5 in the Moscow 2009, police conducted a set of measures to region that was protected by at least three top- prevent infiltration of representatives of orga- ranking officers of the regional police and influ- nized crime in state bodies or regions: 197 can- ential regional prosecutors. The 18 illegal gam- didates were excluded from the lists, includ- bling halls were located in 15 cities in the Moscow ing 20 members of criminal organizations. Region, where 1,200 slot machines were seized during the search. The investigators claimed that Having already established a strong foot- the corrupt regional prosecutors received at least hold in Russia, the most powerful criminal 15 million rubles (over $535,000) in bribes for the organizations have expanded their activities period from 2009 through 2011. This investiga- overseas. According to the National Bureau of tion resulted in open confrontation between the Interpol, there are 500 Russian criminals active General Prosecutor’s office and the Investigative abroad (ITAR-TASS, 2011). Their main activi- Committee (RIA Novosti, 2011a). ties are fraud, trafficking in women for sexual exploitation, illegal immigration, smuggling, One of the main threats to the internal security of and money laundering (see Figure 2).6 They Russia is the merging of criminal organizations have shown particular flexibility in working with government authorities, the impact on the with other established criminal organiza- political and legal processes, and access to the tions such as La Cosa Nostra (fraud schemes), management of the state and the regions. The sta- Colombian and Mexican drug cartels (cocaine tistics of municipal and regional elections, which and arms trafficking), Yakuza, and Triads took place in 2006 through 2008, indicate new (smuggling of marine resources, timber, and trends for the involvement of organized crime. stolen vehicles, and counterfeiting goods).

,AW %NFORCEMENT %XECUTIVE &ORUM s s Speaking of the transnational aspects of Russian these organizations, political influence on all organized crime, three important facts should levels has been identified, corroborated, and be considered. First, a relatively small number documented. of the existing criminal groups has access to the international arena. Second, the presence Ukranian-born businessman Semen Mogilevich of a Russian organized crime group (OCG) in (alias Sergey Schneider) is charged with swin- a foreign country does not indicate the distri- dling Canadian and U.S. investors out of bution of its influence nor the presence of cer- $150 million in a complex international finan- tain interests. Third, their activity is mediated. cial scheme. It centered on a firm called YBM This is explained by the fact that all of the most Magnex International Inc., which purport- profitable areas, as a rule, are divided between edly made magnets in Hungary. This scheme local gangs and are tightly controlled by them. involved preparing bogus financial books and records, lying to Securities and Exchange Com- Geopolitical, economic, social, and technologi- mission officials, offering bribes to accountants, cal changes within the last two decades have and inflating the stock values of YBM. In 2003, allowed some Russian/Eurasian criminal enter- he and his associates were indicted on 45 counts prises to become increasingly active worldwide. of racketeering, securities fraud, wire fraud, In response to this growing threat, the FBI’s (2012) mail fraud, and money laundering. The FBI Organized Crime Program established a Eurasian believes Mogilevich moved on after YBM and Threat Focus Unit (ETFU) to develop a compre- began manipulating international energy mar- hensive understanding of existing and emerging kets: he had control or influence over compa- Eurasian organized crime threats both domesti- nies involved in natural gas disputes between cally and internationally. The ETFU is staffed by Russia and Ukraine (see Figure 3). Mogilevich’s tactical and strategic intelligence analysts, foren- alleged brutality, financial savvy, and interna- sic accountants, and supervisory special agents tional influence have earned him a slot on the who are focused exclusively on obtaining and FBI’s Ten Most Wanted Fugitives list, though he synthesizing intelligence from various sources. has lived and operated from Moscow for years. These sources include, but are not limited to, FBI Mogilevich’s Russian citizenship is the chief field offices, legal attachés (LEGATS), interna- obstacle for extradition. Article 61 of the Con- tional law enforcement and intelligence partners, stitution prohibits Russia from extraditing its and the U.S. Intelligence Community (USIC). citizens for criminal prosecution abroad. In an effort to further promote and leverage the ETFU’s efforts, the FBI recently forward-deployed In February 2012, the U.S. Department of the several supervisory special agents internation- Treasury announced its first designations pursu- ally to work hand-in-hand with international law ant to Executive Order 13581, a key component enforcement agencies and intelligence services of the President’s Strategy to Combat Transna- that are committed to addressing and combating tional Organized Crime, which is a broad-based Eurasian organized crime. initiative announced last July to tackle this increasingly serious threat to American economic The ETFU targets Eurasian criminal orga- and security interests worldwide. EO 13581, the nizations to include the Semion Mogilevich Transnational Organized Crime (TCO) EO, takes Organization, the Brothers’ Circle Organiza- aim at transnational criminal organizations by tion,7 and the Izmailovskaya and Solntsevs- imposing economic sanctions against four key kaya criminal enterprises. All of these organi- transnational criminal organizations, includ- zations/groups are very powerful, and with ing the Brothers’ Circle. These designations are varying degrees of success, have compromised intended to protect the U.S. and international and/or manipulated the domestic and inter- financial systems from the activities of these national banking industry, energy industry, groups and to disrupt their criminal infrastruc- and strategic resources. In addition, due to the ture. Drawing on this authority, the Treasury is immense wealth of some of the members of identifying seven key members and associates

,AW %NFORCEMENT %XECUTIVE &ORUM s s &IGURE -OGILEVICHS #ONNECTIONS

Source: The Tip of the Mogilevich Iceberg (2008) of Brothers’ Circle, freezing any assets the des- or serving sentences overseas, 112 of them in ignated persons may have within the jurisdic- America. tion of the U.S. and prohibiting any transactions with them by American citizens. Among them Serious concern for law enforcement in the U.S., were two Russian “thieves in law” Vladislav Western Europe, and Australia is caused by Leontyev and Vasilly Khristoforov from Nizhni the activities of the Russian cyber-gangs. They Novgorod. Both have been involved in crimi- pilfer online bank accounts, swipe Social Secu- nal activities, including fraud and narcotics rity numbers, steal credit card data, and peek at trafficking. e-mail log-ins and passwords. Via viruses, criminals create “botnets” to infect massive numbers Despite the circumstances discussed above, of computers in foreign lands to spread spam, the Russian OCG did not exert any significant distribute denial-of-service (DDOS) attacks, or effect on the crime situation in other countries, send other malicious programs. A DDOS attack including the U.S. This conclusion is confirmed floods a website with inquiries, forcing its shut- by the data of the Consular Department of the down. Using a large network of contacts in the Russian Foreign Ministry. As of December 2010, cyber underground, they steal millions of dol- 5,902 Russian citizens were under investigation lars. According to experts of the international

,AW %NFORCEMENT %XECUTIVE &ORUM s s company Group-IB, in 2010, Russian-speaking has been created for the commission of serious hackers earned about $2.5 billion. This is almost or especially serious crimes.” In other words, the a third of the global turnover of cybercrime, esti- Russian Criminal Code’s definition of “criminal mated at $7 billion (Vovchenko, 2011). association” is entirely circular. It is no wonder that the statute is difficult to use. Legislative Measures to Combat Organized Crime The note to Article 210 provides that “an individual who voluntarily terminates his partici- Combating organized crime is a complex, diffi- pation in a criminal association . . . is freed from cult, and lengthy task. This is because of its sur- criminal liability if his actions do not contain the reptitious nature, because of the fact that major elements of another crime.” But it is difficult to figures such as criminal bosses are often hidden imagine that a member of such an association is and buffered from any connections with specific not involved in the commission of any crime. criminal acts, and because criminal organizations use corruption and violence both to carry Thus, Russian law enforcement focused on out their crimes and to protect themselves from solving individual crimes and prosecuting investigation and prosecution. In general, the individual defendants rather than pursuing characteristics of organized crime that make it a broader, long-term approach focused on the difficult to combat domestically are compounded entire criminal organization. when it moves to the transnational level. As the criminals move across national borders, But in November 2009, President Medvedev the opportunities for criminal involvement are signed a law strengthening criminal liability for multiplied as are the entities and mechanisms a connection to organized crime (see Table 2). involved in enforcement and control. According to amendments to Article 35 of the Criminal Code, a crime is considered a criminal The first set of legal tools for confronting orga- association (criminal organization) if committed nized crime are those at the national level. In 1996, by an organized group or structured association Russia added Article 210 to its Criminal Code. This of organized groups operating under a unified article criminalizes the creation of or participa- leadership whose members are united to jointly tion in “a criminal association (‘criminal organi- commit one or more serious or especially serious zation’) [established] for the commission of seri- crimes to receive direct or indirect financial ous or especially serious crimes.” However, only or other material benefits. This law covers the a couple dozen cases have actually been pros- organization of a criminal association (criminal ecuted under this statute. The ineffectiveness of organization) or the leadership of such an asso- this article appears to be the result of several fac- ciation (organization) or within its structural tors. Article 210 provides no workable definition units, as well as the coordination of criminal of “criminal association.” A commentary to this activity, the creation of sustainable relationships article refers to Article 35, which provides little between the various organized groups that are help and states only that “a crime is considered operating independently, development plans, to have been committed by a criminal associa- and the creation of the conditions for commit- tion (‘criminal organization’) if it’s committed by ting crimes by such groups, or the division of a unified criminal group (organization), which spheres of influence and the criminal proceeds

4ABLE .UMBER OF 0ERSONS !RRESTED AND #ONVICTED FOR THE Creation of or Participation in a Criminal Association #RIMINAL /RGANIZATION Years 2003 2004 2005 2006 2007 2008 2009 2010 Arrested 188 412 392 509 787 733 934 613 Convicted 17 20 44 52 54 98 164 190 Source: The Ministry of Internal Affair and Supreme Court for 2003 through 2010

,AW %NFORCEMENT %XECUTIVE &ORUM s s of crime between them, committed by a person with the mandatory assistance of a defense attor- using his influence on members of organized ney, agree that the defendant will enter a guilty groups, as well as participation by the meet- plea in exchange for a recommendation of a spe- ing organizers, the managers (leaders), or other cific lesser sentence. Article 316, paragraph 2, representatives of organized groups (see also provides that the sentence imposed after a guilty Article 210). plea cannot exceed two thirds of the maximum penalty prescribed for the committed offense. For The law increased the minimal term for a member the crimes whose penalty is life imprisonment or of a criminal organization who committed a the death penalty, those provisions do not apply. serious crime from seven to 12 years, and the However, there is one other major incentive to a maximum from 15 to 20 years. The leaders and criminal defendant to enter a guilty plea under coordinators of criminal organizations can be the new Criminal Code: no procedural costs can sent to prison for life. The criminal liability of be assessed against a defendant who enters a corrupted officials, who are members of crimi- guilty plea (Article 316, paragraph 4). nal organizations, has also been toughened. The minimal prison term for them has been raised In order to improve the prosecution of mem- from 10 to 15 years. Membership in a criminal bers of criminal groups, an office for the organization is punishable by up to 10 years in security of persons subject to state MIA pro- prison. It should be noted that under Article 210 tection was formed. Its mandate is to protect of the Criminal Code rules out the possibility of witnesses in criminal cases as well as law persons convicted under this act applying for enforcement and judicial officials. This office probation. Federal law also provides that per- is mainly guided by two federal laws: Federal sons convicted of such crimes must serve no Law No. 119-FZ, “On state protection of vic- less than three quarters of their sentences before tims, witnesses and other participants in the they have the right to apply for parole or to sub- criminal justice [system]” (August 20, 2004) stitute the unserved part of their punishment and Federal Law No. 45-FZ, “On state protec- with a milder punishment. tion of judges, law enforcement officials and regulatory authorities” (April 20, 1995). The According to the Federal Penitentiary Service MIA has received 700 million rubles ($22 mil- (FSIN) (2012), as of January 1, 2012, there were 85 lion) or about half of the State program’s five- so-called “thieves in law,” 523 “criminal authori- year budget of 1.6 billion rubles to protect ties,” and 1,743 leaders and active participants of witnesses around Russia. On average, one wit- groups in the prisons. As a result of the FSIN’s ness’s protection costs the state about 100,000 work, 146 criminal leaders have been debunked rubles ($3,000) a month. However, it is still too (abandoned their status), including three “thieves early to evaluate its effectiveness. According to in law,” and 239 groups that were unwilling to the MIA, currently, there are more than 2,200 rectify or obey the rules were eliminated. witnesses and victims in criminal cases, over 500 judges, and about a thousand investiga- Plea bargaining has been a useful tool for com- tors and detectives under the state protection bating organized crime. With the Federal Law program. This process requires popular trust No. 141-FZ, which came into effect on July 14, in law enforcement—something that is still 2009, an agreement between the prosecutor lacking in Russia. and the defendant has been implemented into Russian criminal law. The system of pre-trial At the international level, there are a number arrangements is a fundamental change. The new of legal agreements between Russia and 67 for- Criminal Code provides for a process of taking eign countries with respect to criminal proce- guilty pleas in lieu of trial in less serious kinds dures. These include a memorandum of under- of offenses (Chapter 40, Articles 314-317). This standing (MOU) between law enforcement and procedure allows for the development of plea Mutual Legal Assistance Treaties (MLAT) for bargains in which the prosecutor and defendant, cooperation in criminal law matters between

,AW %NFORCEMENT %XECUTIVE &ORUM s s governments. Law enforcement agencies can current membership of the La Cosa Nostra obtain international cooperation through their (LCN) families operating in the U.S. attachés posted in their embassies overseas 2 In the opinion of some criminologists, the actual and through liaison officers posted to foreign levels of organized crime may be three or four embassies or consulates in their own countries. times higher than this figure. They can also use Interpol, which facilitates 3 The number of corruption-related crimes is 5% cross-border police cooperation and currently of the total number of offenses. has 188 member countries. 4 Trade-related fraud is facilitated by the exploitation of transport and logistics companies, the Given the high degree of public danger due to vulnerabilities of the application of the current organized crime, it seems necessary to pursue VAT (value added tax) system in the European the following: Union, disparities in the various national legisla- tions and tax regimes, and differences in trade- s !CCELERATE THE ADOPTION OF THE LAW AND related jurisdictions. the federal program to combat organized 5 In 2009, Russia ordered the closure of all gaming crime. establishments except in four specially desig- s !DOPT THE FEDERAL LAW h/N REGULATION OF nated areas: in the Baltic exclave of Kaliningrad, lobbying activities in the organs of power.” south Siberia’s Altai Territory, Primorye in the s Restore the confiscation of property as a form Far East, and the Azov Sea coast in southern of punishment for crimes with the introduc- Russia. According to official reports, the gam- tion of sanctions in the relevant articles of the bling industry was thriving, with turnover esti- special part of the Criminal Code. mated at $6 billion in 2008. Casinos paid almost s &IX THE CORRUPTION RULES CONTAINED IN THE $1 billion in taxes that year. federal laws “On placing orders for deliv- 6 At least two trillion rubles ($66.2 billion) or 4% of ery of goods, works and services for state the country’s GDP left Russia in 2011 in apparent and municipal needs” and “On privatiza- money laundering schemes, First Deputy Prime tion of state and municipal property.” Minister Viktor Zubkov told an inter-depart- s 3TRENGTHEN CONTROL OVER TARGETED AND EFFEC- mental working group that had started to work tive spending of budgetary funds and the under his guidance to combat illegal financial use of public (municipal) property. operations. About one trillion rubles ($32 bil- s 3IMPLIFY THE PROCEDURE FOR PROSECUTION OF lion) was siphoned off from the country through persons with special legal status, who often shell companies registered in such countries as support criminal organizations. Cyprus, St. Lucia, and the Federation of St. Kitts s )NTENSIFY THE FIGHT AGAINST CORRUPT SENIOR and Nevis. The sum included doubtful opera- officials in law enforcement. tions reported by banks to Russia’s Federal s %NSURE APPROPRIATE CONTROL OF THE PROCEEDS Financial Monitoring Service. of state (municipal) employees, other offi- 7 The Brothers’ Circle (f.k.a. Family of Eleven and cials, and members of their families. The Twenty) is a multi-ethnic criminal organi- s )MPROVE MECHANISMS FOR COOPERATION zation composed of leaders and senior mem- and coordination of regulatory and law bers of several Eurasian criminal groups largely enforcement. based in countries of the former Soviet Union s )MPROVE THE INTERNATIONAL LEGAL FRAMEWORK but operating in Europe, the Middle East, Africa, for cooperation (including the timing of and Latin America. Many Brothers’ Circle mem- execution of requests, extradition, and con- bers share a common ideology based on the fiscation of criminal proceeds). “thief-in-law” tradition, which seeks to spread their brand of criminal influence globally. This Endnotes organization serves as a coordinating body for several criminal networks, mediating disputes 1 It is important to note that Russian organized between the individual criminal networks and crime is roughly two times larger than the directing member criminal activity globally.

,AW %NFORCEMENT %XECUTIVE &ORUM s s References Ministry of Internal Affairs (MIA). (2011). Form 1-OC (Organized crime), 2003-2011. Moscow: 2010 failed states index. (2010). Retrieved Ministry of Internal Affairs. March 7, 2012, from www.foreignpolicy. com/failedstates. MIA. (2012). Annual report of the Department of Economic Security and Countering Corruption Abadinsky, G. (2009). Organized crime. Florence, of the MIA. Moscow: MIA. KY: Wadsworth Publishing. RIA Novosti. (2011a, February 14). Moscow Chayka, Y. (2011, January 12). General Region prosecutor’s office, police involved Prosecutor: Organized crime covers in illegal casino business. Retrieved up corrupt officials. Rossiyskaya Gazeta. March 7, 2012, from http://en.rian.ru/ Retrieved March 7, 2012, from www.rg.ru/ russia/20110214/162598005-print.html. printable/2011/01/11/chaika-site.html. RIA Novosti. (2011b, January 21). Top Russian Europol. (2008). Capital & crime, transnational police official arrested on $46 million fraud charges. organized crime groups and money laundering Retrieved March 7, 2012, from http://en.rian. activities: Evolution and trends within the EU. ru/russia/20110121/162237576-print.html. The Hague, The Netherlands: Europol. Romir Monitoring. (2012). Who in Russia Federal Bureau of Investigation (FBI). (2012). belongs to the real power? Retrieved March 20, Authorization and budget request to Congress 2012, from http://gtmarket.ru/news/2012/ FY 2013. Washington, DC: FBI. 02/20/4074. [In Russian]

Federal Penitentiary Service (FSIN). (2012). Supreme Court of Russia. (2010). Annual reports Annual report on the results of the criminal- on the state conviction, 2003-2010. Moscow: executive system of Russia. Moscow: FSIN. Supreme Court of Russia.

Galeotti, M. (Ed.). (2002). Russian and post- The tip of the Mogilevich iceberg. (2008, soviet organized crime. Surrey, UK: Ashgate January 30). IntelliBriefs website. Retrieved Dartmouth. March 21, 2012, from http://intellibriefs. blogspot.com/2008/01/tip-of-mogilevich- Galeotti, M. (Ed.). (2007). Global crime today: iceberg.html. The changing face of organized crime. Oxford, UK: Routledge. Transcript of meeting on the major issues of the Russian Interior Ministry. (2011, February 7). Grennan, S., & Britz, M. (2006). Organized Retrieved March 7, 2012, from http://news. crime: A worldwide perspective. Englewood kremlin.ru/transcripts/10261/print. Cliffs, NJ: Prentice Hall. U.S. Department of the Treasury. (2012). ITAR-TASS. (2011, January 24). Interview with Combating transnational organized crime. Aleksey Abramov, the deputy head of the Washington, DC: U.S. Department of the National Bureau of Interpol. Treasury.

Liddick, D. R., Jr. (2004). The global underworld: Van Dijk, J. (2007). Mafia markers: Assessing Transnational crime and the United States. organized crime and its impact upon societ- Westport, CT: Praeger. ies. Trends in Organized Crime, 10, 39-56.

Lyman, M. D., & Potter, G. W. (2003). Organized Vovchenko, B. (2011). “Russian” hackers earned crime. Englewood Cliffs, NJ: Prentice Hall. about 2.5 billion dollars in 2010. Retrieved

,AW %NFORCEMENT %XECUTIVE &ORUM s s March 7, 2012, from http://group-ib.com/ news_2011_04_26.html.

World Economic Forum (WEF). (2010). The global competitiveness report (2009-2010). Geneva: WEF.

WEF. (2011). The global competitiveness report (2011-2012). Geneva: WEF.

Alexander Sukharenko, Vladivostok, Russia, is Director of the New Challenges & Threats Study Center as well as a member of the Scientific Advisory Com- mittee at the Ministry of Internal Affairs in the Primorskiy region. Prior to this, he worked as a criminal investigator in the Vladivostok City Police Department and as a researcher in the Organized Crime Study Center of the Law Institute of the Far East State University. He received his law degree from the Law Institute of the Far East State University in 2001. He is the author of numerous publications on transnational organized crime and corruption.

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