ASEAN Handbook on International Legal Cooperation in Trafficking

290 Pages·2010·3.57 MB·English

ASSOCIATION OF SOUTHEAST ASIAN NATIONS
ASEAN Handbook
on International Legal Cooperation
in Trafficking in Persons Cases
ASEAN Handbook on International Legal Cooperation in Trafficking in Persons Cases
Published August 2010.
The Associaton of Southeast Asian Natons (ASEAN) was established on 8 August 1967.
The Member States of the Associaton are Brunei Darussalam, Cambodia, Indonesia, Lao PDR, Malaysia,
Myanmar, the Philippines, Singapore, Thailand and Viet Nam.
For inquiries, contact:
Public Afairs Ofce
The ASEAN Secretariat
70A Jalan Sisingamangaraja
Jakarta 12110, Indonesia
Phone: [phone]
Fax: [phone]
Email:
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Acknowledgements
This Handbook was writen by Pauline David, Fiona David and Anne Gallagher. Andrea Zakarias and
Claire Metam provided valuable editorial and research assistance. The authors wish to acknowledge the
contributon of the members of the peer-review group convened to review an earlier draf drawn from
the United Natons Ofce on Drugs and Crime (UNODC), the Organisaton for Economic Co-operaton
and Development (OECD), and the Australian Atorney-General’s Department. Thanks are also due
to the partcipants of a regional Workshop, convened by the Associaton of Southeast Asian Natons
(ASEAN), with the support of UNODC, in November 2009. That Workshop brought together practtoners
from all ten ASEAN Member States and generated important informaton and insights that have been
incorporated into the present document.
The development of this Handbook was supported by the Australian Agency for Internatonal
Development, AusAID, through the Asia Regional Trafcking in Persons Project (ARTIP). The views
expressed should not, however, be taken to refect those of the Australian Government or of AusAID.
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ASEAN Handbook on International Legal Cooperation in Traffcking in Persons Cases
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Foreword
Foreword by the Secretary-General of ASEAN
Over the past several years, there has been increasing awareness and recogniton amongst ASEAN
Member States, of the need for an efectve and coordinated response to trafcking in persons (TIP).
The crime of trafcking in this region, as in all others, is ofen transnatonal in both commission and
efect. Suspects, victms and evidence can be located in two or more countries, further complicatng the
investgaton and prosecuton of an already complex crime. Internatonal and ASEAN standards are clear
on the point that laws, policies and processes should ensure there are no safe havens for trafckers or
their assets.
However, there are, at present, very few instances of legal cooperaton requests being made or met in
relaton to TIP cases. Obstacles that have been identfed by ASEAN practtoners include: unfamiliarity
with the use and applicaton of legal cooperaton tools; unsuitability of some tools for TIP-related
ofences; lack of awareness of trafcking within relevant units / authorites; and diferences in laws,
standards and priorites between countries. It is generally acknowledged that more work needs to be
done to address entrenched obstacles to efectve legal cooperaton and to identfy ways of maximizing
the practcal utlity and efectveness of the major tools of cooperaton. There is also growing recogniton
of the importance of well-developed bilateral and regional networks for prosecutors and central
authority lawyers that are reinforced through regular meetngs and exchanges of informaton, best
practce and case-based discussions.
Here, I would like to pay a well deserved tribute to the ASEAN’s Senior Ofcials Meetng on Transnatonal
Crime (SOMTC) that has been actve on the issue of TIP for some years, focusing partcularly on the
development of common standards and approaches within and between ASEAN Member States.
In 2008 SOMTC endorsed the development of a Handbook on Internatonal Legal Cooperaton on
Trafcking in Persons Cases.
I am proud to introduce this unique Handbook, aimed at judicial ofcials, prosecutors and other criminal
justce ofcials at natonal level, who are likely to be involved in informal or formal requests for regional
internatonal cooperaton. The Handbook is based on internatonal legal and criminal justce standards
as they relate to trafcking in persons. It provides criminal justce ofcials with basic informaton on
cooperaton tools including mutual legal assistance and extraditon as well as guidance on how these
tools can be used most efectvely in the specifc context of regional and internatonal cooperaton in
TIP cases. I am also mindful that this Handbook will set the high standards of achievement in ASEAN’s
response to transnatonal organized crime.
This Handbook forms part of a collecton of tools and resources developed by and for the Member
States of ASEAN, through the Asia Regional Project on Trafcking in Persons (ARTIP), aimed at
strengthening natonal and regional responses to TIP. I take this opportunity to urge relevant ofcials
of ASEAN Member States to familiarize themselves with these tools and resources, which now include
a comprehensive series of training materials for criminal justce professionals including judges and
prosecutors, investgators and front line law enforcement ofcials.
ASEAN is now recognized as a global leader in relaton to criminal justce responses to trafcking. While
we can be proud of our many achievements, it is essental to acknowledge that much remains to be
done. In every part of the world, including our own, trafckers are rarely identfed, prosecuted and
convicted. This is a partcular problem for countries of destnaton, where the most serious forms of
exploitaton usually take place. In additon, victms of trafcking rarely receive any form of justce or
redress for the harms commited against them. These challenges should not give us cause for despair.
For, we, in ASEAN, have shown a capacity to change, and an ability for innovaton. I have no doubt that
we can contnue to work steadily towards our avowed goal of ending impunity for trafckers and securing
justce for those who have been wronged.
On behalf of ASEAN, I take this opportunity to express our profound grattude to the Australian
Government for their commitment to ASEAN through the technical assistance rendered under the
auspices of the Asia Regional Cooperaton to Prevent People Trafcking (ARCPPT) and Asia Regional
Trafcking in Persons (ARTIP) Projects, spanning the period of nearly a decade, and for providing the
technical expertse required to bring this Handbook to fruiton. My sincere appreciaton also goes to
the Expert Team of ARTIP for its dedicaton and commitment to ASEAN, and last but not least to the
practtoners who contributed to ensuring the relevance of the Handbook for every ASEAN Member
State.
Dr. Surin Pitsuwan
Secretary-General of ASEAN
Jakarta, August 2010
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ASEAN Handbook on International Legal Cooperation in Traffcking in Persons Cases
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Contents
Acknowledgements ............................................................................................................................ i
Foreword .......................................................................................................................................... iii
Contents ............................................................................................................................................ v
Treaty and Non-Treaty Instruments referred to in the Handbook ...................................................... ix
Acronyms ........................................................................................................................................xiii
INTRODUCTION TO THE HANDBOOK ................................................................................................. 1
CHAPTER 1: INTRODUCTION TO TRAFFICKING IN PERSONS AND THE APPLICABLE
INTERNATIONAL LEGAL FRAMEWORK ................................................................................... 5
1.1 Introducton: trafcking in persons .............................................................................................. 6
1.1.1 Legal defniton of trafcking in persons ................................................................................... 6
1.1.2 Defniton of trafcking in children ............................................................................................ 6
1.1.3 Key aspects of the internatonal legal defniton of trafcking in persons ................................ 7
1.1.4 Distnguishing trafcking from migrant smuggling .................................................................... 7
1.1.5 Related crimes ........................................................................................................................... 8
1.1.6 Summary of trafcking paterns and trends ............................................................................. 8
1.2 Overview of the relevant internatonal legal framework around trafcking .................................. 9
1.2.1 Internatonal treates ................................................................................................................ 9
1.2.2 Non-treaty instruments ........................................................................................................... 16
1.3 How diferent sources of law and authority are used in this Handbook ...................................... 17
CHAPTER 2: INTRODUCTION TO INTERNATIONAL COOPERATION IN THE INVESTIGATION
AND PROSECUTION OF TRAFFICKING IN PERSONS .............................................................. 19
2.1 Introducton: the importance of internatonal cooperaton ........................................................ 20
2.2 The issue of jurisdicton in trafcking in persons cases ............................................................... 20
2.3 Forms of internatonal cooperaton relevant to trafcking in persons cases ................................ 22
2.3.1 Informal cooperaton including police-to-police cooperaton ................................................. 22
2.3.2 Formal cooperaton: mutual legal assistance .......................................................................... 22
2.3.3 Formal cooperaton: extraditon ............................................................................................. 22
2.3.4 The interdependence of cooperaton tools ............................................................................. 23
2.4 The legal basis for internatonal cooperaton ............................................................................. 23
2.4.1 Treaty-based cooperaton ....................................................................................................... 23
2.4.2 Non-treaty-based arrangements ............................................................................................. 27
2.5 Sovereignty, safeguards and human rights ................................................................................. 28
CHAPTER 3: MUTUAL LEGAL ASSISTANCE ............................................................................ 31
Key Internatonal and Regional Principles ........................................................................................ 32
3.1 Introducton............................................................................................................................... 33
3.2 The relatonship between formal and informal cooperaton mechanisms ................................... 33
3.3 Legal bases for mutual legal assistance ...................................................................................... 34
3.3.1 Treates .................................................................................................................................... 35
3.3.2 Domestc law ........................................................................................................................... 42
3.3.3 The customary principle of reciprocity .................................................................................... 43
3.4 Mutual legal assistance principles and conditons ...................................................................... 44
3.4.1 Sufciency of evidence ............................................................................................................ 44
3.4.2 Dual / double criminality ......................................................................................................... 44
3.4.3 Double jeopardy ...................................................................................................................... 45
3.4.4 Reciprocity ............................................................................................................................... 46
3.4.5 Speciality or use limitaton ...................................................................................................... 46
3.4.6 General human rights consideratons ..................................................................................... 47
3.4.7 The rights of suspects and persons charged with criminal ofences ....................................... 47
3.4.8 Consideraton of the likely severity of punishment ................................................................. 48
3.4.9 Politcal ofences ..................................................................................................................... 49
3.4.10 Natonal or public interest ..................................................................................................... 49
3.4.11 Bank secrecy and fscal ofences ........................................................................................... 50
3.5 Preparing mutual legal assistance requests ................................................................................ 51
3.5.1 Efectve drafing of requests .................................................................................................. 54
3.6 Transmitng mutual legal assistance requests ............................................................................ 58
3.7 Handling of incoming requests .................................................................................................. 59
Chapter 3: Atachments ................................................................................................................... 65
CHAPTER 4: MUTUAL LEGAL ASSISTANCE TO RECOVER PROCEEDS OF TRAFFICKING CRIMES ... 89
Key Internatonal and Regional Principles ........................................................................................ 90
4.1 The importance of pursuing proceeds of trafcking crimes ........................................................ 91
4.1.1 What are ‘proceeds’ of trafcking related crimes? ................................................................. 91
4.2 Recovering proceeds of crime at the natonal level .................................................................... 92
4.2.1 Tracing and identfcaton of proceeds of crime ...................................................................... 92
4.2.2 Freezing and seizure ................................................................................................................ 95
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4.2.3 Confscaton of assets .............................................................................................................. 96
4.3 Internatonal cooperaton to recover proceeds of crime ............................................................. 97
4.3.1 Internatonal cooperaton to recover proceeds of crime: ASEAN MLAT.................................. 97
4.3.2 Internatonal cooperaton to recover proceeds of crime: UNTOC ........................................... 98
4.3.3 Internatonal cooperaton to recover proceeds of crime: UNCAC ......................................... 100
4.4 Issues arising in internatonal cooperaton to recover proceeds of crime .................................. 103
4.4.1 Identfcaton, tracing, freezing and seizing proceeds ........................................................... 104
4.4.2 Confscaton of assets to the Requested State ...................................................................... 104
4.4.3 Repatriaton of proceeds to the Requestng State ................................................................ 104
4.4.4 Use of proceeds to support or compensate victms of trafcking......................................... 105
CHAPTER 5: EXTRADITION ............................................................................................... 107
Key Internatonal and Regional Principles ...................................................................................... 109
5.1 Introducton............................................................................................................................. 110
5.2 Legal basis for extraditon ........................................................................................................ 110
5.2.1 Treates .................................................................................................................................. 110
5.2.2 Domestc law ......................................................................................................................... 116
5.2.3 The customary principle of reciprocity .................................................................................. 118
5.3 Extraditon principles and pre-conditons ................................................................................. 119
5.3.1 Extraditable ofence .............................................................................................................. 119
5.3.2 Evidentary tests .................................................................................................................... 119
5.3.3 Dual criminality ..................................................................................................................... 121
5.3.4 Double jeopardy .................................................................................................................... 122
5.3.5 Speciality ............................................................................................................................... 122
5.3.6 Non-extraditon of natonals ................................................................................................. 123
5.3.7 Politcal ofence excepton .................................................................................................... 124
5.3.8 Military ofences ................................................................................................................... 125
5.3.9 Human rights consideratons: unfair trial .............................................................................. 125
5.3.10 Human rights consideratons: persecuton and non-refoulement ....................................... 126
5.3.11 Human rights consideratons: death penalty cases ............................................................. 126
5.3.12 Human rights consideratons: torture, etc. ......................................................................... 127
5.3.13 Natonal and public interest ................................................................................................ 128
5.3.14 Fiscal ofences ..................................................................................................................... 128
5.4 Multple jurisdicton and competng requests .......................................................................... 129
5.5 ‘Informal’ alternatves to extraditon ....................................................................................... 129
5.6 Preparing extraditon requests ................................................................................................. 130
5.6.1 Locatng and identfying the person sought .......................................................................... 130
5.6.2 Provisional arrest ................................................................................................................... 131
5.6.3 Key issues in the preparaton of requests ............................................................................. 132
5.6.4 Efectve drafing of requests ................................................................................................ 132
Contents
5.6.5 Transmitng extraditon requests ......................................................................................... 135
5.7 The extraditon process ............................................................................................................ 136
5.7.1 Extraditon hearings .............................................................................................................. 136
5.7.2 Simplifed extraditon ............................................................................................................ 137
5.7.3 Atending extraditon hearings .............................................................................................. 138
5.7.4 Understanding and meetng tme requirements ................................................................... 138
5.8 Surrender and transit ............................................................................................................... 138
Summary: Key Questons for Criminal Justce Ofcials Considering Extraditon .............................. 140
Chapter 5: Atachments ................................................................................................................. 141
Bibliography .................................................................................................................................. 145
ANNEXES:
Annex 1 Country Summaries .......................................................................................................... 155
Annex 2 Treaty on Mutual Legal Assistance in Criminal Maters Among Like-Minded
ASEAN Member Countries ................................................................................................ 193
Annex 3 United Natons Conventon against Transnatonal Organized Crime
(Extracts: Artcles 12-21 and 27) ....................................................................................... 227
Annex 4 Protocol to Prevent, Suppress and Punish Trafcking in Persons,
Especially Women and Children, supplementng the United Natons
Conventon against Transnatonal Organized Crime ......................................................... 239
Annex 5 United Natons Conventon against Corrupton
(Extracts: Chapters IV, V and VI)........................................................................................ 251
Annex 6 Council of Europe Conventon on Acton against Trafcking in Human Beings
and Explanatory Report
(Extracts: Chapters I and VI (Conventon) and Chapter VI (Explanatory Report)) ............. 267
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ASEAN Handbook on International Legal Cooperation in Traffcking in Persons Cases