Collaboration with Justice in the Netherlands, Germany, Italy and Canada

Preface xiii

1 Introduction 1
J.H. Crijns, M.J. Dubelaar & K.M. Pitcher
1.1 Background, Purpose and Research Questions 1
1.2 Scope 4
1.3 Research Methods 5
1.3.1 Desk Research 6
1.3.2 Interviews 6
1.3.3 Focus Group 7
1.4 Selection of the Countries and Partners 7
1.5 Structure of the Report 9

2 Preliminary Observations 11
J.H. Crijns, M.J. Dubelaar & K.M. Pitcher
2.1 Introduction 11
2.2 The Subject of the Research Further Defined 11
2.3 Purposes and Benefits of the Measure 14
2.4 Objections and Risks 15
2.5 Success in the Use of the Instrument 17
2.6 Relationship to Article 6 ECHR 20
2.7 Final Remarks 22

3 Collaboration with Justice in the Netherlands 23
J.H. Crijns, M.J. Dubelaar & K.M. Pitcher
3.1 Introduction 23
3.2 Definition of Terms and Comparison with Other Information Providers 24
3.2.1 Definition of Terms and a First Reading 24
3.2.2 Compared with Other Information Providers 26
3.2.2.1 Compared with ‘Ordinary’ Witnesses 27
3.2.2.2 Compared with the Anonymous Threatened Witness and the Protected Witness 28
3.2.2.3 Compared with the Informant 29
3.2.2.4 Compared with the Criminal Civilian Infiltrator 30
3.2.2.5 Flexibility in the Preliminary Phase 31
3.3 Development of the Legal Framework 32
3.3.1 The 1983 Model Letter for Deals with Criminals 32
3.3.2 The Van Traa Commission and the Guidelines on Agreements with Criminals 33
3.3.3 Developments in the Jurisprudence Prior to the Statutory Provision 38
3.3.4 Legislative Bill and Temporary Instructions on Undertakings to Witnesses in Criminal Cases 40
3.4 Legal Framework 43
3.4.1 Responsibility for Making Agreements 44
3.4.2 With Regard to What Offences? 46
3.4.3 Nature of the Undertakings 49
3.4.3.1 The Term ‘Undertaking’ 49
3.4.3.2 Permissible Undertakings 51
3.4.3.3 Grey Areas 52
3.4.3.4 Impermissible Undertakings 54
3.4.4 The Procedure to Be Followed and (Interim) Scrutiny 58
3.4.4.1 The Orientation Phase 59
3.4.4.2 The Negotiation Phase and the Intended Agreement 60
3.4.4.3 Scrutiny of the Intended Agreement 60
3.4.4.4 Implementation of the Agreement 62
3.4.4.5 The Uncooperative Witness 66
3.4.5 Relationship with Witness Protection 67
3.5 Legal Practice 72
3.5.1 Method 72
3.5.1.1 Respondents 72
3.5.1.2 Questionnaires 74
3.5.1.3 The Course of the Interviews 74
3.5.1.4 Reporting Procedure 75
3.5.1.5 Processing the Results 75
3.5.1.6 Focus Group 76
3.5.1.7 File Search via the Internal Review Committee of the PPS (CTC) 77
3.5.1.8 Results of the Empirical Study 77
3.5.2 Frequency and Results of Using the Instrument of Undertakings to Witnesses 78
3.5.2.1 Motives 78
3.5.2.2 Frequency of Use 79
3.5.2.3 Results 81
3.5.2.4 Scope of the Scheme 86
3.5.3 Procedure for Making the Agreement 88
3.5.3.1 Allocation of Tasks Within the Police and the Public Prosecution Service 89
3.5.3.2 How Witnesses Are Identified 91
3.5.3.3 Internal Working Arrangements and the Procedure to Be Followed 93
3.5.3.4 Selection of Witnesses 95
3.5.3.5 The Negotiations 98
3.5.3.6 When Processes Run Aground 100
3.5.3.7 Views on the Procedure as a Whole 102
3.5.4 Scrutiny and Implementation of the Agreement 103
3.5.4.1 Internal Scrutiny Within the Public Prosecution Service 104
3.5.4.2 External Scrutiny of the Agreement by the Judiciary 106
3.5.4.3 Implementation of the Agreement 110
3.5.5 Relationship with Witness Protection 115
3.5.5.1 Drafting and Content of the Protection Agreement 116
3.5.5.2 How This Affects Willingness to Make a Statement 120
3.5.5.3 Scrutiny and Further Regulation of the Protection Agreement 122
3.5.5.4 Relationship with the Duty of Care 124
3.5.5.5 Whether to Maintain Separate Procedures? 127
3.5.6 Use of Evidence and Sentencing 128
3.5.6.1 Use of Evidence 129
3.5.6.2 Sentencing 132
3.6 Whether to Amend the Present Scheme? 134
3.6.1 Success of the Instrument and Its Associated provisions 134
3.6.1.1 Further Reflection on the Low Frequency 134
3.6.1.2 Success of the Scheme and the Need to Widen It 137
3.6.2 Proposed Changes 140
3.6.2.1 Widening in Terms of the Undertakings on Offer or the Types of Offences in Respect of Which the Instrument is Available 140
3.6.2.2 Scrutiny and Further Regulation of the Protection Agreement 144
3.7 To Conclude 146
Appendix 1 Answers to the Research Questions 153
Appendix 2 List of Respondents of the Interviews 165
Appendix 3 Basic Questionnaire Used for the Interviews 167
Appendix 4 Focus Group Members 171
Appendix 5 List of Topics Used in the Focus Group 173

4 Collaboration with Justice in Germany 175
M. Lindemann & D.A.G. van Toor
4.1 Introduction 175
4.2 Conceptualization, Terminology and Relationship with Other Information Providers 177
4.3 Development of Legal and Other Rules 178
4.4 Legal framework 181
4.4.1 Responsibility for Providing Undertakings 192
4.4.2 Catalogue of Offences Eligible for the Application of Section 46b StGB 193
4.4.3 Nature of the Undertakings 193
4.4.4 Procedure to Be Followed and (Interim) Scrutiny 196
4.4.5 Relationship to Witness Protection 196
4.5 Practice 197
4.5.1 Methodology 197
4.5.2 Application: Frequency and Results 200
4.5.3 The Process of Becoming a Collaborator of Justice 203
4.5.3.1 Timely Recruitment of Collaborators of Justice 203
4.5.3.2 The Information Sought by the Authorities 207
4.5.3.3 Connectivity (Konnexität) 211
4.5.3.4 The ‘Gentlemen’s Agreement’ 212
4.5.3.5 Conclusion 213
4.5.4 Implementation and Scrutiny of the Undertakings 214
4.5.4.1 Undertakings Outside the Legal Framework of Section 46b and 49 StGB 214
4.5.4.2 Scrutiny of the Undertakings 216
4.5.4.3 Scrutiny in General 217
4.5.4.4 Conclusion 219
4.5.5 Relationship to Witness Protection 220
4.5.6 Use of Evidence and Punishment 223
4.5.6.1 Use of the Statements of the Collaborator of Justice 223
4.5.6.2 Punishment of the Collaborator of Justice 227
4.5.6.3 Concurrent Provisions 229
4.5.6.4 Conclusion 230
4.6 Conclusion and Discussion 231
4.6.1 Legal Provisions 231
4.6.2 Practice 233
Appendix 1 Answers to the Research Questions 235
Appendix 2 List of Respondents of the Interviews 245
Appendix 3 Section 100a Code of Criminal Procedure [Conditions Regarding Interception of Telecommunications] 247

5 Collaboration with Justice in Italy 251
M.L. Ferioli & M. Caianiello
5.1 Introduction 251
5.1.1 The Italian Criminal Justice System 251
5.1.2 Structure 253
5.2 Conceptualization, Terminology and Relationship to Other Information Providers 254
5.2.1 Police Informants 254
5.2.2 Witnesses of Justice 255
5.3 Development of (Legal) Rules 256
5.3.1 The Shortcomings of Law N. 82/1991 258
5.3.1.1 The ‘Clogging’ of the System 259
5.3.1.2 Unreliable Collaborators 260
5.3.2 The Amendments of Law N. 45/2001 261
5.3.2.1 A More Rigorous Selection of Collaborators 261
5.3.2.2 Ensuring the Reliability of Collaborators 262
5.4 Legal Framework 263
5.4.1 Regarding Which Offences? 263
5.4.2 The Responsibility for Providing Undertakings 263
5.4.3 Procedure to be Followed and Deadline 265
5.4.4 Failure to Meet the 180-Day Deadline 265
5.4.5 The Use of the Declarations at Trial 267
5.4.6 The Judicial Scrutiny of the Declarations 268
5.4.7 Nature of the Undertakings 270
5.4.7.1 Sentence Discounts 271
5.4.7.2 Penitentiary Benefits 272
5.4.8 Sanctions for False or Reticent Declarations 273
5.5 The Protection of Collaborators 274
5.5.1 The Measures of Protection 275
5.5.2 The Admission to Protection and Its Revocation 276
5.5.3 The Implementation of the Protection 277
5.5.4 The Exit from the Protection 278
5.6 Practice 279
5.6.1 Methodology 279
5.6.2 Application: Frequency and Results 280
5.6.2.1 The Scope of the Law 282
5.6.2.2 The 180-Day Deadline 283
5.6.3 The Process of Becoming a Collaborator of Justice 284
5.6.4 Factors Determining the Success of a Collaboration 286
5.6.5 Reliability of Collaborators 288
5.6.6 The System of Protection 290
5.6.6.1 Psychological Assistance 290
5.6.6.2 Social Reintegration 292
5.7 Conclusion 294
Appendix 1 Answers to the Research Questions 297
Appendix 2 List of Respondents of the Interviews 309

6 Collaboration with Justice in Canada 311
N. Kovalev
6.1 Introduction 311
6.2 Methodology 316
6.3 Conceptualization, Terminology and Relationship to Other Information Providers 316
6.4 Development of the (Legal) Rules 320
6.5 Legal Framework 323
6.5.1 Responsibility for Providing Undertakings 323
6.5.2 Regarding Which Offences? 325
6.5.3 Nature of the Undertakings 326
6.5.4 Procedure to Be Followed and (Interim) Scrutiny 326
6.5.5 Relationship to Witness Protection 328
6.6 Practice 329
6.6.1 Application: Frequency and Results 329
6.6.2 The Process Becoming a Collaborator of Justice 336
6.6.3 Execution and Scrutiny of the Undertakings 339
6.6.4 Relationship to Witness Protection 341
6.6.5 Use of Evidence and Punishment 343
6.7 Final Observations 345
Appendix 1 Answers to the Research Questions 347
Appendix 2 List of Respondents 353

7 Comparative Analysis 355
J.H. Crijns, M.J. Dubelaar, K.M. Pitcher & D.A.G. van Toor
7.1 Introduction 355
7.2 The Instrument of Collaboration with Justice: General Observations 356
7.3 Types of Offences 359
7.4 Nature of the Undertakings 362
7.5 The Process of Becoming a Collaborator of Justice 367
7.5.1 The Initiative to Collaborate and Responsibility for Negotiating the Agreement 367
7.5.2 The Collaborator’s Statement 369
7.5.3 Review of the Decision to Collaborate 370
7.5.4 Safeguards Against False or Otherwise Unreliable Statements 371
7.6 Relationship to Witness Protection 372
7.7 Scrutiny 377
7.7.1 Scrutiny of the Process By Which an Individual Becomes a Collaborator of Justice 377
7.7.2 Scrutiny of the Reliability of the Statements Provided 382
7.8 Frequency and Success 386
7.8.1 Frequency 386
7.8.2 Success 387
7.9 Transparency and Debate 389
7.10 Concluding Remarks 392

8 Concluding Observations 395
J.H. Crijns, M.J. Dubelaar & K.M. Pitcher
8.1 Introduction 395
8.2 General Reflection on the Instrument Based on the Comparative Law Analysis 396
8.3 Scope of the Legal Framework 398
8.3.1 Types of Offences 398
8.3.2 Requirement of a Substantive Connection 402
8.4 Nature of the Undertakings 402
8.4.1 Open or Closed System? 402
8.4.2 Amount of the Sentence Reduction 403
8.4.3 Immunity and Withholding Punishment 405
8.4.4 Financial Compensation 407
8.5 Procedure and Scrutiny 408
8.5.1 Deadline for the Potential Witness 409
8.5.2 Multiple Levels of Judicial Scrutiny 410
8.5.3 Differentiation in the Procedures to Be Followed 412
8.5.4 The Position of the Witness 413
8.5.5 Requirements with Respect to the Evidence 413
8.6 Relationship to Witness Protection 415
8.7 To Conclude 417

Summary 419
References 425