Chapter 1 Introduction

Q.A.M. Eijkman, We Are Here to Serve You! Public Security, Police Reform and Human Rights Implementation in Costa Rica

CHAPTER 1 INTRODUCTION

During this research many people wondered why I studied human rights implementation within the police in Costa Rica; a state with a worldwide reputation for re- specting democratic values, peace and human rights. Common questions included; ‘Why not focus on a country where human rights are really violated,’ or ‘Are not the police the violators’? I have learned that the concept of human rights is associated with human rights violations. Furthermore, I discovered that when it comes to human rights and the police in Latin America both scholars as well as non-scholars tend to have activist, or at the very least engaged, points of view. But do they have a point? Is it necessary to study human rights implementation within the police in, what are considered, democratically ruled states that respect the rule of law and citizens’ rights? In this book I argue that this type of empirical research is valuable. It contributes to academic debates about the dynamics between law and society. Does, for example, the implementation of human rights law lead to social change? What external factors play a role within the context of a non-transitional society1 in Latin America? What is the effect of human rights on law enforcement officials? Latin America is one of the most violent regions in the world (WHO, 2002). It has a recent history of authoritarianism, militarism, unequal distribution of wealth, civil wars and human rights violations. Nowadays many countries are consolidating democratic rule (UNDP, 2004a/b). Governments are being challenged to introduce effective public security and police measures, while simultaneously showing respect for citizens’ rights. To ensure law enforcement officials’ compliance with human rights, reform is being implemented throughout the region’s public security and police systems. Previous research has mostly been conducted either in western societies or in Latin American societies that are in transition towards full-fledged democracy (see sections 2.3 and 2.5). Less is known about how the police in stable democracies in the region respond to human rights reform. Within Latin America, Costa Rica’s lack of militarismo, respect for the rule of law and relative egalitarianism is unique. Simulta- neously, there are many myths about the so-called ‘Switzerland’ of Latin America. Outsiders consider it to be an oasis of peace and stability, whereas inhabitants perceive things differently. Since the late 1990s, Costa Ricans have been experiencing increasing dissatisfaction and insecurity (UNDP, 2005/1997; LB, 2005/1996). Among others

1 Transitional societies are, ‘Those nations in transition from totalitarianism to liberal democracy…, thus they are democratising states with a totalitarian heritage’ (Alemika, 2003: 63). Non-transitional societies are consolidated, established democracies in which change tends to be more gradual (see section 2.5.2).

1 Q.A.M. Eijkman, We Are Here to Serve You! Public Security, Police Reform and Human Rights Implementation in Costa Rica

Chapter 1 this is caused by changing socio-economic conditions, corruption scandals, immigra- tion, the lack of police professionalism and rising crime and violence rates (see section 2.6). Throughout my investigation I explore the implementation of human rights within the preventive police2 of Costa Rica, a non-transitional society in Latin America. By evaluating the effect of police human rights strategies3 that aim to increase compliance with human rights by law enforcement officials, the underlying dynamics of law and its relation to social change become apparent. From a social change perspective my research touches upon the issue of human rights implementation and its consequences for law enforcement. Despite the public security and police reform of the last two decades, many Latin Americans continue to have modest trust in their law enforcement officials and therefore it is important to review human rights related police reform (LB, 2005/1996; Seligson, 2004). Although from a regional perspective the human rights record of Costa Rican police forces is relatively strong, citizens are somewhat sceptical about their law enforcement officials (US State Department 2005/1999; UNDP, 2005; Vargas and Rosero, 2004; Ombudsman’s Office 2004/1996; CAT Report, 2000; see sections 2.5, 3.2 and 4.5).4 Since the 1990s, the Costa Rican police forces, like most of their counterparts in the rest of the region, have to deal with increasing numbers of crime and violence (Chinchilla, 2006; Dammert and Bailey, 2005; Frühling, Tulchin and Golding, 2003). The main preventive police force, the ‘Public Force’, which falls under the responsibility of the Ministry of Governance, the Police and Public Security (‘Ministry of Public Security’), is being reformed into a professional, community orientated and stable police force. Implementing human rights is part of this process. Because of the intensity of the crime and violence in Latin American cities, I predominantly concentrate on the urban police (Weisheit, Falcone and Wells, 2005; Seligson, 2004). As police units of the Public Force in San José were among the first to be subjected to human rights related police reform, I discuss them in great detail.

2 In this study I focus upon the implementation of human rights within a preventive police force. Most Latin American public security systems distinguish between preventive and investigative policing (Ambos, Gómez and Vogler, 2002). Preventive police forces carry a responsibility to protect public security and maintain order within society. Unlike investigative police forces, who are also known as the repressive or the judicial police, they do not perform any task after crime has occurred. From an inhabitants’ perspective, preventive police forces are crucial to understand. Their uniformed officials are the most visible aspect of policing. Due to their sheer number, ordinary citizens are most likely to interact or have contact with them (see section 3.3). 3 As a result of the social change that particular police reform generates, law enforcement officials are directly or indirectly stimulated to increasingly comply with human rights norms, values and/or standards. Therefore in my research they are referred to as ‘police human rights strategies’ (‘PHRS’) (Eijkman, 2007/2006a/b; Husain 2007/2006). Through PHRS the state implements human rights law within the police (see section 2.4.2 and appendix C). 4 Human rights reports issued by non-governmental organisations (‘ngo’s’) such as Amnesty Internatio- nal (‘AI’), Human Rights Watch (‘HRW’) or the Washington Office on Latin America (‘WOLA’) hardly ever mention Costa Rican police forces or its law enforcement officials.

2 Q.A.M. Eijkman, We Are Here to Serve You! Public Security, Police Reform and Human Rights Implementation in Costa Rica

Introduction

1.1 RESEARCH QUESTIONS

As mentioned before my book discusses the effect of implementing human rights within the Costa Rican preventive police. Even though I introduce the historical context of public security and the police, I focus on the period between 1994 and 2006. The central research question is: How do the police of a non-transitional society in Latin America respond to the implementation of human rights? The following supple- mentary research questions, in which I have operationalised the concept of the ‘police’ on three separate levels, the police system, police units and their law enforcement officials, has guided my study:

• Is there a relationship between public security and police reform in transitional societies and non-transitional societies in Central America? • Which socio-political factors relate to the implementation of human rights within the Costa Rican preventive police system and urban police units of the Public Force in San José? • Which institutional factors relate to the implementation of human rights within the Costa Rican preventive police system and urban police units of the Public Force in San José? • From within their own social context, how do law enforcement officials of the Costa Rican preventive police system and urban police units of the Public Force in San José experience the implementation of human rights?

1.2 METHODOLOGY

The overall design of this pre-evaluative research is based upon a naturalistic inquiry. I have focused upon naturally unfolding processes and therefore my style is explorative. By exploring how the implementation of human rights within the police oper- ates, any sort of significant outcome is captured (Barker, 1991; Patton, 1991). I try to discover relationships and patterns. In a sense the research process is data driven. It develops according to its context (Mason, 2002). This implies that I do not make a full-fledged evaluation. My results are a contribution to future evaluative research. Because I did not develop any hypotheses, I am open to any effect of the implementation of human rights with the police, and therefore my approach towards data collection is pragmatic. I focus upon actions, situations and consequences, and adjust my methods to this form of knowledge acquisition (Creswell, 2003). The methods for this research are selected to facilitate a case study approach (Yin, 2003). These case studies are analysed with the assistance of different methods. Although the implementation of human rights within the police is studied in general, I have concentrated on a few key police and human rights themes (see section 2.3 and table 2.1). This enabled me to select several police human rights strategies. Because questions, issues and a search for patterns guide this study, my methodology is adjusted towards this approach.

3 Q.A.M. Eijkman, We Are Here to Serve You! Public Security, Police Reform and Human Rights Implementation in Costa Rica

Chapter 1

The methodology is predominantly, but not exclusively, qualitative orientated. Between June 2003 and September 2006, during four separate fieldwork trips the data for this inductive inquiry were collected through open and semi-structured interviews, two questionnaires and participant observation. Official reports, judicial proceedings, laws, regulations, statistics and media reports supported the qualitative data. The different methods facilitate a broader analysis. By triangulating data sources, I consider the case studies from several angles (Jick, 1979). For example, my interviews have contributed to development of the questionnaires. Mixed data collection methods assisted the explorative nature of this inquiry. Participant observation and interviews were my key methods of data collection. For most of the information, conducting participatory field research as well as doing interviews was crucial (see appendix A). It provided an insight into how human rights are implemented within the police. The data from the participant-observation consists of detailed descriptions of this process. By observing and having informal talks I began to understand different facets and the context of the implementation process. During the fieldwork periods I made detailed field notes of my observations. Because in participant observation the fieldworker is a research instrument, this type of inquiry is open to deviations and unanticipated variations of research strategies (Shaffir and Stebbins, 1991). I am no exception to this. As it was my first research trip abroad, my first professional contact with a police organisation and my first time in Costa Rica, I feel that I was not hindered by any strong preconceptions. With the permission of the Minister of Public Security, the research was conducted within the safe grounds of the ministry and at several police units in Police Region 0, which covers the metropolitan area of San José.5 Various departments of the Ministry of Public Security cooperated. With the assistance of different police chiefs and police officers of Police Region 0, I conducted participant observation and follow-ups at two pre-selected police stations and their respective neighbourhoods as well as at other police locations. During my two main fieldwork trips between September 2003 to March 2004 and September to December 2004, I conducted participant observation at two police stations and at the police academy (see appendix A). Every day I joined police officers in their patrol cars or spoke with the police unit staff. In January 2004, I began with a two-and-a-half month observation period at Policía de Proximidad Hatillo Delta 11, a police station located in Hatillo. Hatillo is a densely populated low class district of the canton, San José. In 2000 it had 55,593 inhabitants, which is about one sixth of the capital’s population (Censo, 2000). Crime is relatively low in comparison to other districts of the metropolitan area of San José. The homicide rate6 in 2002 was 3 per

5 The metropolitan area of San José consists of the following districts; Alajuelita, Aserrí, Coronado, Curridabat, Escazú, Desamparados, Goicoechea, Montes de Oca, Moravia, Santa Ana, San José and Tibás (División Territorial Administrativa de la República de Costa Rica, 2001) 6 The homicide rate is the number of intentional and non-intentional violent deaths per 100,000 inhabitants in a country. It is an indicator of the amount of violence in a society.

4 Q.A.M. Eijkman, We Are Here to Serve You! Public Security, Police Reform and Human Rights Implementation in Costa Rica

Introduction

100,000, while the average for San José was 10.7 per 100,000 inhabitants (Judiciary, 2002). Delta 11 is one of the 22 police units of San José. It is considered to be a model police station. For example, between 1996 and 1997 the pilot project of the national community security programme was conducted in this district (Chinchilla and Rico, 1997). Later between October and December 2004, I spent two months at Charlie Delta, a dependence of the Policía de Proximidad Casco Central Delta 1, which is the police station for the city centre.7 Delta 1 carries responsibility for the four districts of San José centre; Carmen, Merced, Hospital and Catedral. In total it has 59,803 resi- dents (Census, 2000). However, each day approximately one million people commute through this area (Carvajal and Alvaro, 2002). In comparison to other districts of San José the homicide rates are relatively high. The homicide rate in 2002 for the district of Catedral was 25 per 100,000 inhabitants. ‘Charlie Delta’ is located in the district of Merced, which is an area full of markets, shops, hotels and bus stops (Carvajal and Alvaro, 2002; Censo, 2000). Although most of the police research was conducted in Hatillo and Charlie Delta, I regularly visited and interviewed law enforcement officials at other police stations within police region 0. These included different visits to Delta 6 in Curridabat, Delta 8 in Pavas, Delta 15 in Mata Redonda and Delta 18 in Escazú. Furthermore, I accom- panied police chiefs on their night shifts as commander of the city and police lawyers on special operations. These special operations varied between clearing pieces of land to controlling prostitution in the public space. Incidentally I joined elite police units such as the special intervention unit for riot control tasks. I also observed processes in other police regions and spent one month during September and October 2004 at the Central Dependence of the National Police School José Francisco Orlich B; the ‘police academy’. It is located nearby the Ministry of Public Security in San José. I joined Group 5 of the 21st Basic Police Training Course for classes and other activities. It was an exciting experience, because it made me aware of the demands of basic police training upon the police officer students. This was supplemented by observations of training classes for more experienced law enforcement officials. The students, the participants of the basic police co-validation course of October 2004 and police officers gave up their precious time to interact with me. Additionally, I observed other stakeholders in their professional surroundings. This mostly related to the Ministry of Public Security. I spent time with public officials of the Legal Disciplinary Department, the Community Security Department, the Legal Assistance Unit, the Psychology Department and political advisors to the Minister and Vice Ministers of Public Security. It varied between joining them during courses, such as the community security classes, to observing oral hearings at the police inspection. Furthermore, I went to the special protection unit of the Ombudsman’s Office, several non-governmental organisations (‘ngo’s’), embassies, universities, research institu-

7 When I returned in July 2006, Charlie Delta no longer existed as a separate police unit.

5 Q.A.M. Eijkman, We Are Here to Serve You! Public Security, Police Reform and Human Rights Implementation in Costa Rica

Chapter 1 tions, law firms and to the judiciary, where I spoke with staff members and consulted official files. After each interaction or relevant encounter, I recorded what I saw, heard and remembered in field notes. In order to understand police officers’ and other stakeholders’ experiences, opin- ions, feelings and knowledge, I conducted 118 interviews in person (see appendix B). Ninety-three open as well as 25 semi-structured interviews were held with police officers as well as other stakeholders involved in the implementation of police human rights strategies. For interviews, I obtained the consent of the respondent. After I had briefed the interviewee I asked permission to use a tape recorder. To those who had given permission to be taped I tried to return interview transcripts. In several cases, however, I did not succeed in retracing the respondent. Through these interviews I obtained an in-depth knowledge of how police officers and other stakeholders experience the different police human rights strategies. During the second research period I focused on public officials of the Ministry of Public Security, police officers and the Ombudsman’s Office, while in the third and fourth research period I emphasised interviewing politicians, diplomats, scientists, employees of ngo’s, lawyers and high rank police chiefs. Both semi-structured as well as open interviews were a core element to the research. From late September to early December 2004, a police questionnaire that I developed on the basis of my interviews and field notes was conducted among police officers of the Public Force. Police officer students, police officers of the police station Charlie Delta and police officers of the police legislation II exam of a basic police co- validation course and an arms-retraining course participated.8 In total there were 161 participating police officer students and 193 police officers.9 Respondents received the questionnaire after a group activity. After a brief explanation, I invited them to mark down their answers on a handout. On average this whole process lasted about 10 to 30 minutes. The sample was non-stratified and the total non-response 9.38 percent. Between 8 November and 10 December 2004 a public questionnaire on the perception of the Public Force, which I developed on the basis of the police questionnaire, my interviews and field notes, was held among the population of the metropolitan area. During three weekends 516 adults were interviewed in their home by 20 trained interviewers.10 The questions were read out loud to the respondents and the interviewers marked down their answers. The interviews lasted approximately 10 to 20 minutes. As reflected in Table 1.I below the stratified sample consisted of 50 segments

8 Police officer students participated on 27 September 2004, police officers of the police legislation II exam of a basic police co-validation course and an arms-training course on 28 September 2004 and police officers of the police station Charlie Delta in San José Centre on 1, 3 and 4 December 2004. 9 Of the police respondents 259 were male and 56 female (44 respondents did not fill out this question). 10 Eight male and 12 female interviewers received a one and a half hours preparation workshop on 18, 19 and 26 November 2004.

6 Q.A.M. Eijkman, We Are Here to Serve You! Public Security, Police Reform and Human Rights Implementation in Costa Rica

Introduction

(parts of a house block) which had been pre-selected on the basis of their socio- economic level and the total number of envisaged interviews (= one per household).11

Table 1.I Number of Segments, Houses and Respondents per Socio-Economic Level and Gender in the Metropolitan Area

Number of Segments Number of Houses Respondents (row-%) actual visited actual visited male female Lower Class 8,90 11 60,793 115 45.9 54.1 Middle Class 1,968 25 130,210 266 42.6 57.4 Higher Class 1,119 14 71,593 135 48.8 51.3 All 3,977 50 262,596 516 47.1 52.9

Sources: Questionnaire on the Perception of the Public Force in the Metropolitan Area of San José, November and December 2004; INEC, 2000.

Each segment was considered to be lower, middle or higher class and the total number in each separate category reflects the population of the metropolitan area of San José. The sample fault error was 3.6 percent and total non-response 15.3 percent. This entire operation of operationalising as well as conducting the public questionnaire was done with the assistance of the three experienced statisticians.12 In order to facilitate comparison, a section of the police and the public questionnaire was similar. It involved statements to which the respondents were asked to respond on a five point scale whether they agreed or disagreed. When the questionnaires were conducted the category ‘I do not agree, but I do not disagree’, which I refer to in my figures and tables as ‘neutral’, was less of an option to citizen respondents than to police respondents. Because the police respondents participated in a written questionnaire they could opt for this category more easily. When the statements were read out to the citizens they were asked, ‘I would like you to indicate me how much do you agree or disagree with the following statement?’ Subsequently only when a citizen did not give an answer or they did not have an opinion on a particular statement the category ‘I do not agree, but I do not disagree’ was marked by the interviewer.

11 According to the National Statistical and Population Census Institute the population of the metropolitan area of San José consisted in 2000 of 1,014,441 inhabitants (48.4 percent male and 51.6 percent female) of whom 668,990 were 18 years or older (47.1 percent male and 52.9 female) (INEC, 2000). Only respondents of this last group were interviewed. For the definition of the socio-economic level the classification of INEC was used. INEC’s definition is based on an article written by Johnny Madrigal (Madrigal, 2002). 12 Olmer Núnez Sosa, Agustín Gómez Meléndez and Paola Omodeo Cubero.

7 Q.A.M. Eijkman, We Are Here to Serve You! Public Security, Police Reform and Human Rights Implementation in Costa Rica

Chapter 1

Therefore it is possible that the five point scale was not briefed clear enough to the citizen respondents. They might have felt there were four instead of five options. It could explain why citizen respondents were less inclined to opt for the neutral category than police respondents. Consequently, the comparisons that I make between the citizen and police questionnaire should be considered carefully. To understand how police human rights strategies were initiated and implemented I analysed documents. The data varies between quotations, interpretations and excerpts from the individual data. Throughout the fieldwork period, I checked laws, official records, the internet, newspapers and other media sources for reports on public security and the police. I read official records at the Ombudsman’s Office, the judiciary and the Ministry of Public Security. Document analysis gave me the opportunity to context- ualise the implementation of human rights with the police in Costa Rica.

1.3 OUTLINE OF THE BOOK

The structure of the book is as follows. In total there are nine chapters. The introduction is followed by a theoretical chapter, two contextual chapters, four empirical chapters and the final reflective chapter. After the introduction, chapter 2 briefly gives an overview of the literature on human rights implementation, the police and human rights, public security and police reform in Latin America and Costa Rica. With the assistance of the theory of semi- autonomous fields (Moore, 1973), it conceptualises how human rights law is implemented within the police, thereby focusing on the influence of both external as well as internal factors to the social fields to which law enforcement officials belong. This process is reflected in a framework of police human rights strategies. It explains how and why police officers comply and/or resist human rights implementation within their own context of the police system and police units. In chapter 3, public security in Costa Rica is put into a comparative perspective. By reviewing the situation in neighbouring countries, I question whether public security in transitional societies differs significantly from non-transitional societies. Crime and violence as well as citizen perception of security and public security reforms in Costa Rica, El Salvador, Guatemala, Honduras, Nicaragua and Panama are considered.13 This is followed by a discussion on the role of security in Costa Rican society. Highlighted are historical, socio-political and institutional developments. Last but not least, the Costa Rican framework to protect human rights is outlined. From several angles, chapter 4 provides an insight into the Costa Rican public security system. It looks at the historical development, its fragmented organisation, the societal image of the police, the lack of resources and the obstacles to recent change. These factors contribute to the public security system’s implicit and explicit checks

13 In this research Central America is considered to be Costa Rica, El Salvador, Guatemala, Honduras, Nicaragua and Panama.

8 Q.A.M. Eijkman, We Are Here to Serve You! Public Security, Police Reform and Human Rights Implementation in Costa Rica

Introduction and balances. Their main objective is to ensure that the police do not become political actors. Furthermore, the role of international police cooperation and the privatisation of security is considered. The chapter ends by considering structural obstacles that hinder the implementation of public security and police reform in Costa Rica. In chapters 5, 6, 7 and 8 I discuss the effect of implementing police human rights strategies within the police. On the basis of the literature as well as my interviews and field notes, I made a selection of key police human rights themes and of case studies of police human rights strategies (see section 2.3). The themes include police preparation (selection and training), strengthening law enforcement, police accountability and community policing. Each chapter reviews the implementation of human rights related police reforms within the police system and urban police units. Basically the analysis is structured along the lines of the police human rights strategies framework discussed in chapter 2. In all four empirical chapters I commence by introducing the case studies. This is followed by a discussion of socio-political and institutional factors. In the last sections of these four chapters, the effect of the police human rights strategies in terms of law enforcement officials’ compliance or resistance to human rights is considered. In chapter 5 on police professionalisation, the police human rights strategies police selection and training are outlined. The main issues are the socio-political and institutional impediments that obstruct the professionalisation process. Thus, rather then elaborating about the content, the context in which selection and training is implemented is discussed. This is symbolised, among others, by the small percentage of professional14 police officers and the large numbers of traditional15 police officers of whom many were socialised by the pre-1994 police system. Reviewing the effect of police human rights strategies, which focus on improving police legal expertise, is the objective of chapter 6. Police legal training and police legal assistance are identified as key strategies to strengthen police knowledge about Costa Rican law. Resistance to the police human rights strategies: police legal training as well as police legal assistance, is partly explained by focusing on structural socio- political and institutional concerns. The role of the so-called police lawyers and their interaction with law enforcement officials is considered. Chapter 7 discusses a classical human rights and policing theme; police accountability for individual misconduct. It focuses on the police human rights strategies, which implement police accountability. Through police accountability mechanisms police officers are held accountable. Police accountability mechanisms function internal or external to the police organisation and are legally or non-legally oriented. Basically, the implementation of these four categories of the police accountability

14 Professional police officers are law enforcement officials of the Public Force who are graduates of the basic police training course and are part of the police labour statute, which guarantees a higher salary, career opportunities and labour stability (see sections 4.3, 5.2 and 5.3). 15 Traditional police officers are experienced law enforcement officials of the Public Force who are not graduates of the basic police training course and are not part of the police labour statute, which guarantees a higher salary, career opportunities and labour stability (see sections 4.3, 5.2 and 5.3).

9 Q.A.M. Eijkman, We Are Here to Serve You! Public Security, Police Reform and Human Rights Implementation in Costa Rica

Chapter 1 mechanism is discussed from several perspectives, but predominantly as experienced by police officers. Two governmental community policing programmes that relate to improving police officers’ compliance with human rights are reviewed in chapter 8. Through the community security programme and the proximity policing programme, the Ministry of Public Security implement elements of the community policing philosophy within the Public Force. The central actors in the former are the community and the local community affairs police officer, whereas in the latter it is the Public Force. Ministers of succeeding governments supported police human rights strategies, which implemented community policing programmes in Costa Rica. Both citizen and police expectations about community policing are discussed. In chapter 9, I reflect on the preceding discussions and provide a theoretical analysis. Within a region of police involvement in human rights violations, the Costa Rican police appear to be exceptional. In comparison to other countries the paradox seems to be that this is related to the strong civil-political control over the security framework, the lack of socio-political interest and police professionalism. By studying the Costa Rican police system and urban police units of the Public Force in San José, I concentrate on the effect of police human rights strategies on police officers’ compliance and resistance to human rights. From within their own social field law enforcement officials respond to the implementation of police human rights strategies. However, they operate in a context of varying socio-political and institutional developments. Therefore human rights implementation within the police can only be under- stood when considering both internal as well as external factors.