ANTICIPATIVE CRIMINAL INVESTIGATIONPDF电子书下载

1 Introduction 1

1.1 Terrorism, Prevention and the Criminal Justice System 1

1.2 Conceptualizing the Subject 3

1.2.1 Defining Anticipative Criminal Investigation 3

1.2.2 Selection of Countries 6

1.2.3 The Rule of Law 7

1.2.4 Criminal Procedural Law 11

1.2.5 The Relation Between Criminal Investigation and Criminal Procedural Law 16

1.2.6 The Relation Between Criminal Investigation and Intelligence Investigation 16

1.3 Contextualizing States' Preventive Measures 18

1.3.1 The Influence of International Institutions 19

1.3.2 A Duty to Prevent Terrorism under International Human Rights Law Obligations 22

1.3.3 The Influence of Theories on the Risk Society,the Culture of Control and the Precautionary Principle on Mobilizing Criminal Law for the Purpose of Prevention 25

1.4 Framing the Subject 26

1.5 Research Question 29

1.6 Approach and Methodology 30

Part Ⅰ The Netherlands 37

2 The System of Criminal Investigation in the Netherlands 37

2.1 Introduction 37

2.1.1 Goals of the Chapter 37

2.1.2 The Dutch Criminal Justice System 39

2.1.3 Meaning of Some Principles and Fundamental Rights Relevant to the Criminal Investigation in Dutch Criminal Procedural Law 42

2.1.3.1 The Principle of Legality 43

2.1.3.2 The Right to Respect for Private Life 46

2.1.3.2.1 Article 8 ECHR 47

2.1.3.2.2 Article 10 Constitution 51

2.1.3.3 The Right to a Fair Trial 52

2.1.3.3.1 The Presumption of Innocence 52

2.1.3.3.2 Implications of Article 6 ECHR for Pre-Trial Proceedings 55

2.1.3.4 The Principles of the Due Administration of Justice 58

2.1.3.4.1 Proportionality and Subsidiarity 59

2.1.3.4.2 Prohibition on Détournement de Pouvoir 61

2.2 The Sword Function of the Dutch Criminal Investigation 61

2.2.1 The Actors Responsible for Truth-Finding 61

2.2.1.1 The Police 63

2.2.1.2 The Public Prosecution Service (PPS) 65

2.2.1.3 The Examining Magistrate 67

2.2.1.4 The AIVD (General Intelligence and Security Service) 69

2.2.2 The Powers Available for Truth-Finding in the Criminal Investigation 71

2.2.2.1 Article 2 Police Act 1993 73

2.2.2.2 Investigative Techniques with a Specific Basis in the Law 79

2.2.2.2.1 The Act on Special Investigative Techniques of 1999 79

2.2.2.2.1.1 Classical investigation 80

2.2.2.2.1.2 Organized Crime Investigation 81

2.2.2.2.2 Investigative Methods with a Specific Legal Basis in Special Criminal Acts 83

2.2.2.3 The Preliminary Investigation 86

2.2.2.4 The Investigative Powers of the Intelligence Community in Relation to Criminal Justice 87

2.2.2.4.1 The Investigative Powers of the AIVD 87

2.2.2.4.2 Transfer of Information Obtained by the AIVD to Law Enforcement Services 89

2.2.3 Conclusion 91

2.3 The Shield Function of the Dutch Criminal Investigation 93

2.3.1 The Responsibility of the Actors Towards a Fair Procedure 93

2.3.1.1 The Police 94

2.3.1.2 The Public Prosecutor 96

2.3.1.3 The Examining Magistrate 101

2.3.1.4 The Trial Judge 105

2.3.1.5 The Position of the Suspect 106

2.3.1.6 The Position of Other Subjects of Criminal Investigative Activities 109

2.3.2 The Protective Elements in the System of Criminal Investigation 111

2.3.2.1 Regulation Following the Principle of Legality and the Right to Respect for Private Life 112

2.3.2.1.1 The Requirements of the Restrictive Clause of Article 8 ECHR 113

2.3.2.1.2 The Requirements of the Principle of Legality and the Right to Respect for Private Life in the Regulation of Criminal Investigative Powers 118

2.3.2.2 The Separation of Criminal Investigation from other Forms of Investigation 121

2.3.2.2.1 The Definition of a Criminal Investigation 122

2.3.2.2.2 Separation from Administrative Supervision 125

2.3.2.2.3 Separation from Intelligence Investigation 127

2.3.2.2.4 The Relation Between the Preliminary Investigation and the Criminal Investigation 129

2.3.2.3 The Suspicion Requirement 131

2.3.2.3.1 The Definition of a Suspect:Article 27 CCP 132

2.3.2.3.2 Different Degrees of Suspicion 137

2.3.2.3.2.1 Title IVA: The Classical Investigation 138

2.3.2.3.2.2 Title V: The Organized Crime Investigation 139

2.3.2.3.2.3 Title Ve: The Preliminary Investigation 143

2.3.2.3.2.4 The Threshold of Indications in Special Criminal Acts 145

2.3.2.3.2.5 Other Degrees of Suspicion and Supplementary Conditions 148

2.3.2.3.3 The Protective Function of the Suspicion Threshold 149

2.3.2.4 Other Protective Elements Adopted in the CCP 151

2.3.2.4.1 The Duty to Compile Records 151

2.3.2.4.2 The Remedies of Article 359a CCP 153

2.3.3 Conclusion 156

3 Counterterrorism Measures Affecting Criminal Investigation in the Netherlands 161

3.1 Introduction 161

3.1.1 Counterterrorism Measures Under the Preventive Paradigm 163

3.1.2 The Shift to Anticipative Criminal Investigation 167

3.1.3 Goals of the Chapter 169

3.2 Changes Affecting the Criminal Investigation 170

3.2.1 Legislative Measures 170

3.2.1.1 The Investigative Domain of Terrorism Investigations: Title Vb 172

3.2.1.2 Preliminary Investigation for Preparing Terrorism Investigations 177

3.2.1.3 New Criminal Investigative Powers 181

3.2.2 The Evolvement Towards Intelligence-Led Criminal Law Enforcement 184

3.3 Changes Affecting the Relation Between the AIVD and the PPS 185

3.3.1 AIVD Reports as Starting Information for a Criminal Investigation 187

3.3.2 The Shielded Witnesses Act 190

3.3.3 Parallel Investigations 193

3.3.4 The Counterterrorism Information Box 197

3.3.5 Other Measures Enhancing Cooperation 199

3.4 Changes Affecting the Relation Between Administrative Law and Criminal Procedural Law 200

3.4.1 Administrative Disturbance 202

3.5 Conclusion 205

4 The Implications of Enabling an Anticipative Criminal Investigations to Confront Terrorism for the Objectives of Criminal Procedural Law: The Netherlands 209

4.1 Introduction 209

4.2 Expansion of the Preventive Capacity of the Criminal Investigation 210

4.2.1 Criminal Investigation for the Purpose of Preventing Terrorism 211

4.2.1.1 Expansion of the Scope and Nature of the Criminal Investigation of Terrorism 211

4.2.1.2 The Protective Value of Indications in Comparison to a Reasonable Suspicion 215

4.2.1.3 The Principle of Legality and the Right to Respect for Private Life 221

4.2.1.3.1 Foreseeability 222

4.2.1.3.1.1 Title Vb 222

4.2.1.3.1.2 Preliminary Investigation of Terrorist Crimes 227

4.2.1.3.1.3 Search Powers for the Prevention of Terrorism 228

4.2.1.3.2 Necessary in a Democratic Society 231

4.2.2 Trends in Criminal Investigative Policy 232

4.2.2.1 Balancing Prevention Against Legal Protection 232

4.2.2.2 Choosing Between the Criminal Investigative Domains 235

4.2.3 Shifting Responsibilities Among the Various Actors 239

4.2.3.1 Authorization of Investigative Methods 241

4.2.3.2 Protective function of the Principles of Proportionality and Subsidiarity and Ex Post Judicial Control 243

4.2.3.3 Conclusion 246

4.2.4 Final Remarks 247

4.3 Demarcating the Anticipative Criminal Investigation 248

4.3.1 The Relation Between Anticipative Criminal Investigation and Intelligence Investigation 248

4.3.2 Relation Between Anticipative Criminal Investigation and Administrative Supervisory Authority 253

4.3.3 Defining and Positioning the Anticipative Criminal Investigation 256

4.3.4 Using Intelligence in Criminal Proceedings:An Infected Criminal Process? 259

4.3.4.1 Control over the Use of AIVD or CIE Reports as Starting Information 261

4.3.4.2 Control over Parallel Investigations 263

4.3.4.3 An Infected Criminal Process? 264

4.4 Conclusion 269

4.4.1 Characterizing the Anticipative Criminal Investigation 269

4.4.2 Implications for the Shield Objective of Criminal Procedural Law 270

4.4.2.1 Weakened Protection of the Right to Respect for Private Life and the Presumption of Innocence 271

4.4.2.2 An Infected Criminal Process 273

Part Ⅱ The United States 277

5 The System of Criminal Investigation in the United States 277

5.1 Introduction 277

5.1.1 Goals of the Chapter 277

5.1.2 Framing the Subject 279

5.1.3 The US Criminal Justice System 282

5.1.4 Constitutional Principles 285

5.1.4.1 Unreasonable Searches and Seizures and the Right to Private Life: Fourth Amendment 286

5.1.4.2 Due Process of Law: Fifth and Fourteenth Amendments 290

5.2 The Sword Function of the US Criminal Investigation 295

5.2.1 The Actors Responsible for Truth-Finding 295

5.2.1.1 The Police 296

5.2.1.2 The Prosecutors 298

5.2.1.3 The Grand Jury 300

5.2.1.4 National Security Power and the Intelligence Community 301

5.2.2 The Powers Available for Truth-Finding in the Criminal Investigation 305

5.2.2.1 Conventional Criminal Investigation 306

5.2.2.1.1 Search Powers 307

5.2.2.1.2 The Search Powers of Surveillance and the Use of Undercover Agents and Informants 309

5.2.2.2 The Possibilities for Proactive Criminal Investigations 313

5.2.2.3 The Powers Available in National Security Investigations in Relation to Criminal Justice 314

5.2.2.3.1 The National Security Investigation—FISA 315

5.2.2.3.2 The Transfer of Information Gathered During a National Security Investigation to the Law Enforcement Community 321

5.2.3 Conclusion 324

5.3 The Shield Function of the US Criminal Investigation 326

5.3.1 The Responsibility of the Actors Towards a Fair Procedure 326

5.3.1.1 The Police 326

5.3.1.2 The Public Prosecutor 327

5.3.1.3 The Defense 330

5.3.1.4 Position of Other Subjects of Criminal Investigative Activities 334

5.3.1.5 Magistrate Judge 336

5.3.2 The Protective Elements in the System of Criminal Investigation 337

5.3.2.1 Regulation Following from the Fourth Amendment 337

5.3.2.1.1 Probable Cause 337

5.3.2.1.1.1 What is Probable Cause? 337

5.3.2.1.1.2 The Protective Function of Probable Cause 345

5.3.2.1.2 Warrant 345

5.3.2.1.3 Reasonableness 348

5.3.2.1.4 The Exclusionary Rule 353

5.3.2.2 Restrictive Function of the Statutory Regulation of Surveillance under Title Ⅲ 355

5.3.2.2.1 The Application Procedure 357

5.3.2.2.2 A Review of the Application by the Magistrate Judge 358

5.3.2.2.3 Execution of an Order under Title Ⅲ 360

5.3.2.2.4 Exclusion of Evidence Obtained in Violation of Title Ⅲ 362

5.3.2.3 Regulation of the FBI's Authority to Investigate Through the Issuance of Guidelines by the Attorney General 363

5.3.2.3.1 The Levi Guidelines 364

5.3.2.3.2 The Smith Guidelines 367

5.3.2.4 The Restrictive Function of the Regulation of National Security Investigations under FISA 372

5.3.2.4.1 The Regulation of National Security Investigations 372

5.3.3 Conclusion 377

5.4 Final Remarks 381

6 Counterterrorism Measures Affecting Criminal Investigation in the United States 385

6.1 Introduction 385

6.1.1 Counterterrorism Measures Under the Preventive Paradigm 386

6.1.2 The Shift to Anticipative Criminal Investigation 388

6.1.3 Goals of the Chapter 391

6.2 Changes Affecting Search and Surveillance in the Conventional Law Enforcement Context 392

6.2.1 Legislative Measures 392

6.2.1.1 Broadening the Scope of Title Ⅲ 392

6.2.1.2 Emergency Disclosure 393

6.2.1.3 Delayed Notice Warrant 393

6.2.1.4 Pen Registers and Trap and Trace Devices 395

6.2.1.5 Consensual Monitoring 396

6.2.1.6 Nationwide Applicability of Search Warrants 397

6.2.2 Developments in Case Law 398

6.2.3 Other Developments Enhancing Proactive Capacities of Law Enforcement Agencies 402

6.3 Changes Affecting the Powers in National Security Investigations 403

6.3.1 Increased FISA Surveillance Powers 403

6.3.2 FISA Court Document Production Orders 407

6.4 Changes Affecting the Interaction Between the Intelligence and Law Enforcement Communities 415

6.4.1 Provisions of the USA PATRIOT ACT of 2001 416

6.4.1.1 Enhancing the Sharing of Information 416

6.4.1.2 Changing the Purpose Language 419

6.4.2 The Influence of the Internal Policy of the Department of Justice and the FBI 422

6.4.2.1 The Memorandum of Attorney General Ashcroft of 6 March 2002 and the Interagency Memorandum of 2003 424

6.4.2.2 The AG Ashcroft Guidelines of 2002 and the AG Ashcroft Guidelines on National Security Investigations of 2003 425

6.4.2.3 Mukasey Guidelines on FBI Operations (2008) 429

6.4.2.4 Domestic Investigations and Operations Guide of the FBI (2008) 434

6.4.3 Other Developments Enhancing Cooperation Between Intelligence and Law Enforcement 437

6.5 Other Relevant Investigative Powers 438

6.5.1 The NSA Surveillance Program and its Incorporation in FISA 438

6.5.2 National Security Letters 442

6.6 Conclusion 445

7 The Implications of Enabling Anticipative Criminal Investigations to Confront Terrorism for the Objectives of Criminal Procedural Law in the United States 449

7.1 Introduction 449

7.2 Expansion of the Preventive Capacity of Conventional Criminal Law 451

7.2.1 Expansion of the Scope and Nature of Electronic Surveillance 451

7.2.1.1 In General 451

7.2.1.2 Delayed Notice Warrants 452

7.2.1.3 Pen Registers and Trap/Trace Devices 457

7.2.2 A Trend in the Case Law Towards Diminishing the Protective Meaning of the Fourth Amendment for National Security or Terrorism Prevention Interests 460

7.2.2.1 Applying the Special Needs Doctrine to Searches for the Prevention of Terrorism 461

7.2.2.2 Balancing Liberty Against Security in Fourth Amendment Analysis in Terrorism Cases 466

7.2.2.2.1 Probable Cause 466

7.2.2.2.2 Warrant 469

7.2.2.2.3 Reasonableness 472

7.2.2.2.4 The Exclusionary Rule 474

7.2.3 The Changed Role of the Relevant Actors 474

7.3 The Expansion of the Preventive Capacity of National Security Investigations 477

7.3.1 Expansion of the Scope and Nature of FISA Surveillance and Physical Searches 477

7.3.1.1 General Development 477

7.3.1.2 Roving Surveillance 480

7.3.1.3 Pen Register and Trap and Trace Devices 481

7.3.2 FISA Document Production Orders 482

7.3.2.1 The Regulation of Document Production Orders under FISA 483

7.3.2.2 The Non-Disclosure Requirement 487

7.3.2.3 Conclusion 489

7.4 Interaction Between Law Enforcement and Intelligence Communities for the Purpose of Enabling a Preventive Approach 491

7.4.1 Redefining Institutional Positions and Functions 492

7.4.2 Consequences of the Institutional Position and Functions of the Anticipative Criminal Investigation 498

7.4.3 An Infected Criminal Process? 504

7.4.4 Dismantling the Wall: Some Final Remarks 511

7.5 FISA Surveillance Targeting Non-US Persons Outside the US and National Security Letters 513

7.5.1 FISA Surveillance Targeting Non-US Persons Outside the US 513

7.5.2 National Security Letters 515

7.6 Conclusion 516

7.6.1 Characterizing the Anticipative Criminal Investigation 517

7.6.2 The Implications for the Shield Objective of Criminal Procedural Law 518

7.6.2.1 Weakened Fourth Amendment Protection 518

7.6.2.2 Abandoning Purpose Limitation 522

7.6.2.3 Infected Criminal Process 523

Part Ⅲ Thoery, Evaluation and Conclusions 533

8 Regulating the Anticipative Criminal Investigation Under the Rule of Law 533

8.1 Introduction 533

8.1.1 The Path Towards Formulating the Framework of Examination 535

8.1.1.1 The Shortcomings of the Balancing Approach 536

8.1.1.2 Building the Architecture of the Anticipative Criminal Investigation Under the Rule of Law 539

8.2 Conclusive Characterization and Positioning of the Anticipative Criminal Investigation 541

8.3 The Common Ground of the Regulation of Criminal Investigations 544

8.3.1 Three Constitutive Principles 545

8.3.1.1 The Presumption of Innocence 547

8.3.1.2 Respect for the Fundamental Right to Private Life 550

8.3.1.3 Due Process/Fair Trial 550

8.3.2 Three Parameters 554

8.3.2.1 Accountability 555

8.3.2.2 Proportionality 557

8.3.2.3 Necessity 558

8.4 Seeking Synthesis in the Flexible Area of the Law in the Light of the Circumstances of Modern Society 559

8.4.1 Legitimacy of the Anticipative Criminal Investigation with Regard to the 'Sword Side' 561

8.4.1.1 The Argument of Necessity or Exigency Justifying 'Emergency Powers' Outside the Traditional Legal Framework 561

8.4.1.2 The Argument of Necessity or Exigency Justifying Exceptions to the Shield Elements within the Traditional Legal Framework 564

8.4.1.3 The Argument of the Specific Nature of Terrorist Crimes 565

8.4.1.4 The Argument of the Effectiveness of Preventing Harm 569

8.4.2 The Fundamental Nature of an Institutional Distinction Between Criminal Investigation and Intelligence Investigation 575

8.4.3 Conclusion 577

8.5 Three Pillars of Regulatory Conditions: Legitimization,Integrity and Fairness 580

8.5.1 Legitimization 581

8.5.2 Integrity 588

8.5.2.1 Minimization Mechanisms 589

8.5.2.2 Controlling Mechanisms 590

8.5.2.3 The Availability of a Remedy 595

8.5.2.4 Conditions Concerning Integrity 597

8.5.3 Fairness 598

8.6 Conclusion 602

9 Conclusions 605

9.1 Introduction 605

9.2 General Perspectives 608

9.2.1 Legitimization and Integrity 608

9.2.2 Fairness and Integrity 610

9.3 Regulating Anticipative Criminal Investigations Under the Rule of Law: Conclusions and Recommendations 612

9.3.1 The Netherlands: Legitimization and Integrity 612

9.3.1.1 Relation Between Legitimizing Grounds and the Purpose of the Criminal Investigation 612

9.3.1.2 Relating Legitimization to Integrity:Proportionality and the Legitimized Scope and Purpose 614

9.3.1.2.1 The Legitimized Scope and Purpose 614

9.3.1.2.2 Proportionality as a Minimization Mechanism 617

9.3.1.2.3 Search Methods in Terrorist Crime Investigations 619

9.3.1.2.4 Preliminary Investigation of Terrorist Activities 620

9.3.1.3 Control over the Legitimized Scope and Purpose 622

9.3.1.4 Some Comments on Notification 623

9.3.2 The United States: Legitimization and Integrity 625

9.3.2.1 Regarding the Anticipative Criminal Investigation in Conventional Criminal Law 625

9.3.2.1.1 Attention to Legitimizing Grounds in the Reasonableness Assessment Under the Fourth Amendment 625

9.3.2.1.2 Some Comments on the Special Needs Doctrine 628

9.3.2.1.3 Some Comments on Pen Registers and Trap and Trace Devices 628

9.3.2.1.4 Some Comments on Notification 629

9.3.2.2 Regarding FISA as a Quasi-Law Enforcement Framework 630

9.3.2.2.1 FISA Framework Inadequate for Legitimizing Criminal Investigative Activities 631

9.3.2.2.2 Re-Establishing the Required Legitimization for Anticipative Criminal Investigations 633

9.3.2.3 Minimization and Alternative Controlling Mechanisms Instead of Judicial Control 634

9.3.3 The Netherlands: Fairness and Integrity 637

9.3.3.1 Control over the AIVD and CIE 638

9.3.3.2 Integrity Guarantees Versus Judicial Control: The Fairness of Trial Proceedings 639

9.3.3.3 Comment on the Use of Intelligence as Evidence 642

9.3.4 The United States: Fairness and Integrity 643

9.3.4.1 Insufficient Control over FISA as a Quasi-Law Enforcement Framework 643

9.3.4.2 CIPA as a Counterbalancing Procedure 644

9.3.4.3 The Fairness of the Trial Proceedings 644

9.4 Final Conclusions 646

Epilogue 651

Bibliography 653

Reports 667

List of Cases 669

Index 679