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i

I N T E R NAT IONA L L AW A N D T R A NS NAT IONA L


ORG A N I SE D C R I M E
ii i
iii

International Law
and Transnational
Organised Crime
Edited by
PI E R R E H AUC K
and
S V E N PE T E R K E

1
iv

1
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Links to third party websites are provided by Oxford in good faith and
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contained in any third party website referenced in this work.
v

Preface

The purpose of this book is to supply the academic need for a thorough account of the
key concepts of international law to transnational organised crime (TOC).
Having been disregarded by international legal doctrine for a long time, TOC has
more and more become an important subject matter in state practice. As a matter of
fact, the United Nations have categorized TOC and international terrorism as a ‘new
threat’ to international peace that has the potential to undermine not only democratic
institutions and the rule of law but also sustainable development and regional stabil-
ity. In this way, TOC and its combat pose enormous challenges to the theory and prac-
tice of international law.
By contrast, however, TOC still plays a marginal role in academic writing and
there are only few systematic publications offering profound insights into the various
international treaties and documents dealing with the suppression of this complex
phenomenon.
The reasons for this unsatisfying state of affairs are multifaceted. With all due cau-
tion, it still appears that the issue of TOC is neither very inviting nor very accessible to
international lawyers. Especially compared to international criminal law stricto sensu,
which is commonly defined as encompassing exclusively those norms that entail in-
dividual responsibility directly under public international law, TOC is widely seen as
part of so-╉called transnational criminal law: an area of law placed at the outer limits of
international criminal law lato sensu, forming part of a new area of interest with novel
empirical and theoretical features. Last but not least it follows a crime control model
to comprehend which requires multidisciplinary knowledge of both international re-
lations and criminological concepts in particular. These concepts have indeed been
incorporated into international law, but their adequacy and universality have been
compromised by academics all the time.
The mere existence of the UN Convention against Transnational Organised Crime
and its Protocols gives yet another reason. It demonstrates the need to approach this
subject in a more comprehensive way than by simply looking only at the content of
the numerous international treaties and initiatives that complement them. Over the
last decades and under the impression of a ‘globalization’ of TOC states have set up
an international framework that affects virtually every corner of our societies, be it in
a negative or in a positive sense. To understand this better, however, requires insights
into the basic concepts and controversies that surround the numerous documents that
define this area of study. This also implies the necessity to analyse the effectiveness of
these instruments.
Furthermore, many international lawyers have a conservative background in public
and administrative law and therefore possess only rudimentary knowledge of the con-
ceptual fundaments of the debate on organised crime and its transnational manifes-
tations. Thanks to the emergence of international criminal law this profile has indeed
begun to change. But there is still growing awareness today of the need to go beyond
these traditional limitations of international legal doctrine and theory. In the special
vi

vi Preface

case of TOC, it seems that many scholars even find it difficult, or simply have too little
time, to build this bridge by noticing appropriate publications.
Our book is meant to provide this necessary, multidisciplinary ‘backpack’. It con-
tains systematic contributions to the pertinent universal conventions and other rele-
vant international regimes and issues, such as money laundering, cybercrime, or cul-
tural property. In addition, it inimitably analyses TOC from the perspective of those
branches of international law in which non-​state actors and their activities deserve
special attention, namely international security law (the use of force and its exemp-
tions), the international law of armed conflict, international human rights law, inter-
national criminal law, and the law of the sea.
This book is based on an innovative approach that takes into account (1) the crim-
inological fundamentals without which a more critical understanding of the topic is
almost impossible, (2) the demand for a systematic compilation of the various inter-
national regimes that set standards for national legislators, and (3) the increasing
fragmentation of international law, which necessitates special reflection on the subject
from the perspective of its relevant sub-areas.
Corresponding to this multidisciplinary approach to content, our team of thirty
authors likewise comes from a public international and/​or criminal law background.
It mostly consists of academics but also contains practitioners, and it spans Africa,
Australia, Europe, North America, and South America in global experience.
It is our hope that this book will prove to be a useful tool for both practitioners and
academics of all disciplines dealing with TOC who are seeking an easy access to this
complex area of law.
We would like to thank OUP, notably Emma Endean, Nicole Leyland, and Louise
Summerling, for their continuous support throughout this project and our team in
Trier, Monique Schmidt for supervising the editing process, Johanna Horsthemke and
Lina Kahlert for preparatory works, and Kim Eifel, Matthew Langford, Maximilian
Metzen, and Julia Schmidt for proofreading services.
Pierre Hauck and Sven Peterke
Trier/​Germany and João Pessoa/​Brazil
May 2016
vii

Table of Contents

Table of Cases and Other Decisions xix


Table of Legislation xxiii
List of Abbreviations xxxv
List of Contributors xlv

I . ╇ G E N E R A L QU E S T ION S
1. The Historical Evolution of the International Cooperation
against Transnational Organised Crime: An Overview 3
Frank G. Madsen
1.1 Introduction 3
1.1.1 Organised crime: theoretical considerations 4
1.2 Early Beginnings 4
1.2.1 Piracy and privateering 4
1.3 Institutionalization in the Early Years of the Twentieth Century 5
1.3.1 Slave trade and human traffic 6
1.3.2 Trafficking in humans 8
1.3.3 Trafficking in organs for transplantation 10
1.3.4 Opium 12
1.3.5 Interpol 13
1.4 Modern Era 14
1.4.1 Transnational organised crime and the financial markets 14
1.4.2 Organised crime control and global crime governance 15
1.5 Regional Arrangements 15
1.6 Harmonization 16
1.6.1 Transnational vs international crimes 16
1.6.2 World Society Theory 17
1.6.3 Rationalization 17
1.6.4 Police and technology 18
1.6.5 Random collection 20
1.6.6 Cryptography 20
1.6.7 Extradition 21
1.7 Fragmentation? 21
1.7.1 Waste: present and future opportunity and risk 22
1.8 Final Observations 22

2. Transnational Organised Crime: Concepts and Critics 24


Arndt Sinn
2.1 Transnational Organised Crime as a Linguistic and Social Construct 24
2.1.1 What does transnational organised crime denote? 24
2.1.2 What does transnational organised crime connote? 27
2.1.3 The exclusion of certain sociological issues 28
2.2 Conceptions of Organised Crime: A Phenomenology 29
2.2.1 Two meanings 29
2.2.2 Recent developments 30
2.2.3 Distinguishing organised crime from other phenomena 31
viii

viii Table of Contents

2.3 Conceptions of Transnational Organised Crime 33


2.3.1 The phenomenology of transnational and international crime 33
2.3.2 Legal aspects of transnational and international crime 34
2.3.3 Significant elements, areas of activity, and manifestations 34
2.3.4 SOCTA 2013 and the current situation in Europe 35
2.4 Looking to the Future 38
2.4.1 Introduction 38
2.4.2 Key factors 38
2.4.3 Changes to types of offending 39
2.5 Conclusion 41

3. Transnational Organised Crime and its Impacts on States and Societies 42


Thomas Feltes and Robin Hofmann
3.1 Introduction 42
3.2 Assessment of Difficulties 43
3.3 Conditions for the Flourishing of TOC 46
3.3.1 Legal conditions 47
3.3.2 Institutional conditions 49
3.3.3 Socio-​economic conditions 51
3.4 TOC and its Impact on Societies 52
3.4.1 Direct vs indirect impacts 53
3.4.2 Moral panics and TOC 54
3.4.3 Organised exploitation 56
3.5 TOC and its Impact on States 57
3.5.1 Economic impacts 58
3.5.2 Political impacts 59
3.5.3 Impacts on the rule of law 60
3.6 Final Observations 62

4. The EU and the Fight against Organised Crime 63


Bernd Hecker
4.1 Origins 63
4.1.1 Transnational organised crime—​appearances and dangers 63
4.1.2 European criminal policy 65
4.2 Legal Bases 68
4.2.1 The Maastricht Treaty 68
4.2.2 Treaty of Amsterdam 69
4.2.3 Treaty of Lisbon 70
4.2.4 Primary EU law 70
4.2.5 Secondary EU law 72
4.3 Institutionalizing Cooperation against TOC 81
4.3.1 Europol 81
4.3.2 Eurojust 82
4.4 Final Observations 82

5. Transnational Organised Crime and Terrorism 84


Bettina Weißer
5.1 Historical Evolution of Terrorism 84
5.1.1 Eighteenth-​and nineteenth-​century precedents 84
5.1.2 Nationalist-​separatist terrorism 85
5.1.3 Social revolutionary terrorism 86
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5.1.4 Religious terrorism 87


5.1.5 Concluding considerations 87
5.2 Concept of Terrorism 88
5.2.1 The international law on terrorism 88
5.2.2 Remaining definitional problems 94
5.3 The Distinction between TOC and Terrorism 97
5.3.1 Links between TOC and terrorism—​t he debate on
the crime-​terror continuum 98
5.3.2 Applicability of the international law on terrorism to TOC 101
5.3.3 Conclusions 103

I I . U N C OR E C ON V E N T ION S ON T R A N S NAT IONA L


ORG A N I SE D C R I M E
6. The Convention against Illicit Traffic in Narcotic Drugs and Psychotropic
Substances 1988 and the Global War on Drugs 107
Richard Vogler and Shahrzad Fouladvand
6.1 Introduction 107
6.2 Organised Crime and International Drug Trafficking 108
6.3 Prohibition and the Global Drug Control Regime 110
6.4 Early Attempts to Establish a Global Drug Control Regime 111
6.5 The Creation of the International Drug Convention
System, 1961–​88 114
6.6 The Convention against Illicit Traffic in Narcotic Drugs
and Psychotropic Substances 1988 117
6.7 Undermining the Conventions 120
6.8 The Road to Reform of the Conventions 122
6.9 Conclusion 124

7. The UN Convention against Transnational Organised Crime 2000 126


Neil Boister
7.1 Introduction 126
7.2 Development of the UNTOC 128
7.3 Criminalizing the Organisation of Serious Crime for Benefit 130
7.3.1 From organised crime to organised criminal group 130
7.3.2 Defining the organised criminal group (OCG) 131
7.3.3 Defining ‘transnational’ 134
7.3.4 From every crime to serious crime 134
7.3.5 The scope of application 136
7.4 Offences in the UNTOC 137
7.4.1 The double strategy—​basic crimes
and organisational/​infrastructural crimes 137
7.4.2 Participation in an OCG 138
7.4.3 Money laundering 141
7.4.4 Corruption 143
7.4.5 Obstruction of justice 144
7.4.6 Corporate liability 144
7.4.7 Penalties 145
7.4.8 Confiscation 145
7.4.9 Legality or over-​criminalization? 146
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7.5 The Provisions for International Cooperation 146


7.6 Implementation 147
7.7 Final Observation 148

8. The UN Protocol to Prevent, Suppress, and Punish Trafficking


in Persons 2000 150
Hans-​Joachim Heintze and Charlotte Lülf
8.1 Introduction 150
8.2 Through a Gendered Lens—​The Development of Trafficking
Instruments until 2000 151
8.3 The United Nations Protocol to Prevent, Suppress and Punish
Trafficking in Persons, especially Women and Children 154
8.3.1 Development and drafting of a new instrument 154
8.3.2 Trafficking in persons as a transnational crime 156
8.3.3 Effective remedy for and protection of victims of trafficking 159
8.3.4 Prevention 161
8.3.5 Cooperation in a common effort: states and NGOs 162
8.3.6 The UN Protocol and public international law 163
8.4 Implementing the Protocol 163
8.5 Conclusions 167

9. The UN Protocol against the Smuggling of Migrants by Land, Sea


and Air 2000 169
Andreas Schloenhardt
9.1 Introduction 169
9.2 Evolution and Background 169
9.2.1 Background and settings 169
9.2.2 Outline of the protocol 173
9.3 Definitions and Terminology 173
9.3.1 ‘Smuggling of migrants’ 173
9.3.2 ‘Financial or other material benefit’ 174
9.3.3 Smuggling of migrants vs trafficking in persons 175
9.4 Criminal Offences, Article 6 177
9.4.1 General requirements for all offences 177
9.4.2 Penalties 178
9.4.3 Offence of smuggling of migrants, Article 6(1)(a) 178
9.4.4 Producing, procuring, providing, or possessing fraudulent
travel or identity documents, Article 6(1)(b) 179
9.4.5 Enabling illegal stay, Article 6(1)(c) 180
9.4.6 Extensions to criminal liability, Article 6(2) 181
9.4.7 Aggravations, Article 6(3) 182
9.5 Exemptions and Limitations of Criminal Liability 186
9.5.1 Humanitarian smuggling 186
9.5.2 Smuggling of family members 187
9.5.3 Non-​criminalization of smuggled migrants, Article 5 188
9.6 Smuggling of Migrants by Sea 189
9.7 Prevention, Cooperation, and Other Measures 190
9.8 Protection of Smuggled Migrants 191
9.8.1 Protection of the rights of smuggled migrants 192
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Table of Contents xi

9.8.2 Assistance to smuggled migrants 192


9.8.3 Refugee and human rights law 193
9.9 Observations and Conclusions 194
9.9.1 Concepts and criminalization 194
9.9.2 Cooperation 195
9.9.3 Protection of smuggled migrants 195
9.9.4 Non-​party states 196
9.9.5 Concluding remarks 196

10. The UN Protocol against the Illicit Manufacturing and Trafficking


in Firearms, Their Parts and Components, and Ammunition 2001 197
Aaron X. Fellmeth
10.1 The Social Problem of Firearms Regulation and the Municipal
Criminal Law Response 197
10.2 The Movement for International Firearms Regulation 199
10.2.1 Negotiations for international illicit firearms
regulation generally 199
10.2.2 Regulation of illicit firearms relating to organised crime 204
10.3 Analysis of the Key Provisions of the Protocol 206
10.3.1 Preamble 206
10.3.2 Part I—​general provisions 206
10.3.3 Part II—​prevention 208
10.3.4 Part III—​final provisions 210
10.4 Negotiating History of the Protocol 210
10.4.1 Preamble 211
10.4.2 Part I—​general provisions 211
10.4.3 Part II—​prevention 212
10.4.4 Deleted provisions 213
10.5 Implementation of the Protocol and Subsequent Developments 214
10.5.1 Impact of the Protocol on international practice 214
10.5.2 Beyond the Protocol 216
10.5.3 Final observation 218

11. The United Nations Convention against Corruption and


its Criminal Law Provisions 219
Michael Kubiciel and Anna Cornelia Rink
11.1 Origins of the UNCAC 219
11.2 Significance and Scope 221
11.3 Mandatory Criminal Law Provisions 223
11.3.1 Bribery of national public officials (Article 15) 223
11.3.2 Bribery of foreign public officials and officials of public
international organisations (Article 16) 226
11.3.3 Embezzlement of property by a public official (Article 17) 229
11.3.4 Laundering of the proceeds of crime (Article 23) 230
11.3.5 Obstruction of justice (Article 25) 231
11.4 Non-​Mandatory Criminal Law Provisions 233
11.4.1 Trading in influence (Article 18) 233
11.4.2 Abuse of functions (Article 19) 234
11.4.3 Article 21: bribery in the private sector 235
11.5 Review Mechanism and Implementation 236
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I I I . O T H E R R E L E VA N T I N T E R NAT IONA L R E G I M E S
AND ISSUES
12. Transnational Organised Crime and
the Anti-​Money Laundering Regime 241
Louis de Koker and Mark Turkington
12.1 Introduction 241
12.2 The Money Laundering Concept 241
12.3 The Global Anti-​Money Laundering Framework 242
12.3.1 The development of international standards 242
12.3.2 The international legal framework 246
12.3.3 The FATF 247
12.4 The AML/​CFT Strategy 249
12.4.1 The money laundering offence 249
12.4.2 National and international cooperation 252
12.4.3 The engagement and role of the private sector 255
12.4.4 Asset forfeiture 258
12.5 The Effectiveness of the AML/​CFT Strategy 259
12.6 Final Observation 263

13. Transnational Organised Crime and the Illegal Trade


in Endangered Species of Wild Fauna and Flora 264
Hennie Strydom
13.1 Introduction 264
13.2 Transnational Organised Crime and the Illegal Trade
in Endangered Species: The Scope of the Problem 265
13.3 Some Key Earlier Examples of Conservation-​minded International
Legal Instruments: A Brief Overview 267
13.4 The 1973 Convention on Illegal Trade in Endangered Species
of Wild Fauna and Flora (CITES) 269
13.4.1 Main objectives 270
13.4.2 Obligations of the states parties 270
13.4.3 Compliance, control, and cooperation 271
13.5 Enforcement Problems 273
13.5.1 Reservations and exemptions 273
13.5.2 The complexity and gravity of the problem 275
13.6 CITES and the Broader International Treaty Framework 276
13.6.1 The Convention on Biological Diversity (CBD) 277
13.6.2 UN Convention against Transnational Organised Crime
(Palermo Convention) 277
13.6.3 UN Convention against Corruption 278
13.6.4 UN Convention Concerning the Protection of the World Cultural
and Natural Heritage 279
13.7 Regional Efforts 279
13.7.1 Africa 280
13.7.2 ASEAN 283
13.7.3 European Union (EU) 284
13.8 Other Initiatives 284
13.9 Final Observations 285
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Table of Contents xiii

14. Transnational Organised Crime and the Sale of Children,


Child Prostitution, and Pornography 287
Thorsten Müller
14.1 Introduction 287
14.2 Terminology and Demarcations 287
14.2.1 Sale of children 288
14.2.2 Child prostitution 288
14.2.3 Child pornography 288
14.3 The Regime of International Law 289
14.3.1 Universal Declaration on Human Rights 289
14.3.2 UN International Covenant on Civil and Political Rights 289
14.3.3 UN International Covenant on Economic, Social,
and Cultural Rights 290
14.3.4 UN Convention on the Rights of the Child 290
14.3.5 World Congress against Commercial Sexual Exploitation 294
14.3.6 Worst Forms of Child Labour Convention 295
14.3.7 International Conference on Combating Child Pornography on
the Internet 295
14.3.8 Convention on Cybercrime 296
14.3.9 Optional Protocol to the Convention on the Rights of
the Child on the Sale of Children, Child Prostitution,
and Child Pornography 299
14.4 Enforcement 301
14.5 Performance 302
14.6 Analysis 304
14.7 Final Observations 305

15. Transnational Organised Crime and Cultural Property 308


Bernhard Kretschmer
15.1 Preliminary Observations 308
15.2 Art and Cultural Objects in Transnational Crime 309
15.2.1 The criminology of offences relating to art and
cultural objects 309
15.2.2 Investigation of crimes relating to art and cultural objects 311
15.2.3 Phenomenology of the theft of art and cultural objects 312
15.2.4 Phenomenology of the illegal handling of archaeological
cultural objects 314
15.2.5 Phenomenology of the forgery of art and cultural objects 315
15.2.6 Phenomenology of crimes involving cultural objects
in armed conflict 317
15.3 International Law on the Protection of Cultural Property 319
15.3.1 Protection of cultural property in armed conflict 319
15.3.2 Protection of cultural objects from illegal sale 324
15.4 Protection of Art and Cultural Objects in Criminal Law 329
15.5 Final Observations 332

16. Transnational Organised Crime and Cybercrime 334


Dominik Brodowski
16.1 On the Phenomenology of Cybercrime 334
16.1.1 Introduction 334
xiv

xiv Table of Contents

16.1.2 Definition and scope 334


16.1.3 Core challenges of cybercrime 335
16.2 The Evolution of Transnational Organised Cybercrime 337
16.2.1 From the lonely hacker to a market of cybercrime services 337
16.2.2 Organised crime meets cybercrime 338
16.3 International Law and Substantive Criminal Law against
Transnational Organised Cybercrime 339
16.3.1 Selected initiatives on a global level on substantive cybercrime law 340
16.3.2 The Council of Europe Convention on Cybercrime 341
16.3.3 Further selected initiatives at a regional level on substantive
cybercrime law 347
16.4 International Law and the Coordinated and Cooperative
Investigation and Prosecution of Transnational Organised Cybercrime 351
16.4.1 Requirements on investigatory powers in international law
on cybercrime 351
16.4.2 International cooperation in the investigation and prosecution
of transnational organised cybercrime 353
16.5 Jurisdiction on Transnational Organised Cybercrime 355
16.5.1 Jurisdiction to prescribe and to adjudicate 355
16.5.2 Jurisdiction to enforce 355
16.6 Final Observations 356

I V. T R A N S NAT IONA L ORG A N I S E D C R I M E A S M AT T E R


OF C E RTA I N BR A NC H E S OF I N T E R NAT IONA L L AW
17. The International Law of the Use of Force and Transnational
Organised Crime 361
Pierre Thielbörger
17.1 Introduction 361
17.2 An Introduction to the Threat and Use of Force in International Law 363
17.3 On the Notion of Transnational Organised Crime 366
17.4 Self-​Defence against Transnational Organised Crime 367
17.4.1 Organised criminal groups as de facto regimes 368
17.4.2 State responsibility for organised criminal groups 369
17.4.3 Organised criminal groups as new subjects of international law 371
17.5 Transnational Organised Crime and the Security Council 375
17.5.1 Limitations of competence when dealing with transnational
organised crime 375
17.5.2 Practice of the Security Council 377
17.6 Conclusion 379

18. International Humanitarian Law and Transnational Organised Crime 381


Sven Peterke and Joachim Wolf
18.1 Introduction 381
18.2 Warfare as Transnational Organised Crime 382
18.3 The Legal Status of Organised Crime Groups and their Members
during Armed Conflicts 383
18.3.1 International armed conflicts 383
18.3.2 Non-​international armed conflict 390
18.3.3 The discussion on transnational armed conflicts: an overview 394
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18.4 Transnational Organised Crime and ‘Failing States’ 402


18.5 ‘War among People’: The Rules of IHL have Come to their Limits 403
18.6 Final Considerations 404

19. Transnational Criminal Organisations and Human Rights 406


Math Noortmann and Dawn Sedman
19.1 Introduction 406
19.2 The State of the Art: Publications, Policies, and Legal Practices 408
19.2.1 Literature review 408
19.2.2 Policy and law 409
19.2.3 Jurisprudence 410
19.3 TCOs’ Crimes and Human Rights 411
19.3.1 Crimes 411
19.3.2 Human rights 412
19.3.3 Moving beyond the dichotomy or not? 415
19.4 Holding TCOs Accountable: International State Responsibility
vs International Criminal Law 416
19.4.1 The concept of state responsibility 416
19.4.2 Attribution and due diligence 417
19.5 The Fight against TCOs as a Threat to Human Rights 418
19.5.1 General human rights restrictions by states 418
19.5.2 Specific human rights violations by states vis-​à-​vis legal
and illegal corporate entities 419
19.6 Final Conclusions: Criminal Offences or Human Rights Violations:
What is the Difference? 420

20. Law of the Sea and Transnational Organised Crime 422


Alexander Proelss and Tobias Hofmann
20.1 Introduction 422
20.2 Maritime Zones and Jurisdiction under the International Law of
the Sea 424
20.3 Exercise of Jurisdiction over Ships involved in Transnational
Organised Crime 426
20.3.1 Exercise of jurisdiction over foreign ships situated in
the internal waters 427
20.3.2 Exercise of jurisdiction over foreign ships situated in the territorial sea 428
20.3.3 Exercise of enforcement jurisdiction over foreign ships situated in
the contiguous zone 432
20.3.4 Exercise of jurisdiction over foreign ships situated on the high seas 434
20.4 Scope of Interdiction Measures 443
20.5 Enforcement Measures and Human Rights 445
20.6 Conclusion 446

21. Transnational Organised Crime and International Criminal Law 448


Pierre Hauck
21.1 Introduction 448
21.2 Narrowing the Scope and Defining Transnational Organised Crime 449
21.3 Transnational Organised Crime and International Criminal Law
de lege lata 451
21.3.1 Transnational organised crimes as core crimes under the Rome Statute 451
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21.3.2 Transnational organised crime as crimes under the jurisdiction


of national courts but triggered by international law 456
21.4 Transnational Organised Crime and International Criminal Law
de lege ferenda—​TOC as Future Core Crimes 460
21.4.1 The method of establishing international crimes 460
21.4.2 International jurisdiction over transnational offences by
codifying customary international law (method 1) 461
21.4.3 International jurisdiction over transnational offences by treaties
(method 2) 466
21.4.4 International jurisdiction over transnational offences by virtue
of plain international consent (method 3) 467
21.5 Conclusion 469

V. PRO C E DU R A L A N D T E C H NOL O G IC A L C H A L L E NG E S
F OR T H E I N V E S T IG AT ION OF T O C—​P OL IC I NG ,
T E C H NOL O G IC A L A S PE C T S , E F F IC I E NC Y, E XC H A NG E
OF I N F OR M AT ION , A BUS E OF P OW E R ,
A N D TAC T IC S F OR C ON DUC T I NG I N V E S T IG AT ION S
22. Policing TOC—​The National Perspective:
Challenges, Strategies, Tactics 473
Sheelagh Brady
22.1 Introduction 473
22.2 Traditional Organised Crime and Transnational
Organised Crime 473
22.2.1 Challenges for policing TOC versus OC 475
22.3 Positive Approaches to Tackling TOC from
the National Perspective 477
22.4 The Law Enforcement Toolkit to Tackle TOC 478
22.4.1 Legislation and statute 478
22.4.2 National strategies 479
22.4.3 Intelligence gathering 480
22.4.4 Electronic surveillance 481
22.4.5 Undercover operations 482
22.4.6 Undercover operations using the web 483
22.4.7 Forfeiture and seizure of assets 484
22.4.8 Use of informants and whistle blowers 485
22.4.9 Witness protection 486
22.4.10 Anti-​corruption measures 487
22.4.11 Financial monitoring 487
22.5 Use and Types of Technology 488
22.6 Policing TOC 489
22.7 Obstacles and Limitations in the Fight against TOC 490
22.8 Conclusion 492

23. Policing Transnational Organised Crime—​The International Perspective 494


Frank G. Madsen
23.1 Introduction 494
xvii

Table of Contents xvii

23.2 Principal International Law-╉Enforcement Authorities 495


23.2.1 Interpol 495
23.2.2 Europol 496
23.2.3 Frontex 497
23.2.4 The Maritime Analysis and Operations Centre 498
23.2.5 United Nations Police 498
23.2.6 The liaison officer network 498
23.2.7 Regional agency 499
23.3 International Investigations 500
23.3.1 An analogy with epidemics 500
23.3.2 Exchange of data, information, and evidence 501
23.3.3 Undercover agents and confidential informants 502
23.3.4 Extradition 503
23.3.5 Use of covert technological investigative techniques 505
23.4 International Law Enforcement Cooperation:
A Critical Appraisal 506
23.4.1 The epistemological rupture 506
23.4.2 Militarization 508
23.4.3 Scope of international investigations 509
23.5 Conclusion 509

Select Bibliography 511


Index 553
xviii
xix

Table of Cases and Other Decisions

I . I N T E R NAT IONA L J U R ISDIC T ION


1. International law
Soering v United Kingdom (European Court of Human Rights)����������������������������������尓������������504, n. 28
Council of League of Nations, Tellini Case (November 1923)����������������������������������尓��������������������������� 417
ECJ (European Court of Justice), Joined Cases C–╉293/╉12 Digital Rights Ireland and
C-╉594/╉12 Kärntner Landesregierung, Michael Seitlinger, Christof Tschohl et al.
[2014], OJ C175/╉6.����������������������������������尓������������������������������������尓������������������������������������尓����������353, n. 94
Council of Europe: Organised Crime Report 2005, 21; EU/╉12247/╉1/╉Rev. 1 ������������������������������ 26, n. 7
Council of Europe, Kaya v Germany, Application 31753/╉02 (2007)����������������������������������尓������ 167, n. 70
Council of the European Union, Framework Decision 2008/╉841/╉JHA of the Council
of the European Union of 24 October 2008 on Combatting
Organized Crime ����������������������������������尓������������������������������������尓������26, 69, 72, 141 n. 101, 145 n. 123
Europol, Council Decision of 6 April 2009 establishing the European Police Office
(Europol) (2009/╉371/╉JHA) <www.eur-╉lex.europa.euLexUriServ/╉LexUriServ.do?uri
=OJ:L:2009:121:0037:0066:DE:PDF> accessed 26 November 2015 . . . . . . . . . . . . . . . . . .å°“ 35, n. 59
ECHR, Loizidou v Turkey, Application No. 15318/╉89 (Preliminary Objections) (1995)
ECHR Series A, No. 310. ����������������������������������尓������������������������������������尓����������������������������������370, n. 58
ECHR, Case of Rigopoulos v Spain, Application No. 37388/╉97, Judgment of
12 January 1999����������������������������������尓������������������������������������尓������������������������������������尓����������� 446, n. 136
ECHR, Öcalan v Turkey, Application No. 46221/╉99, Judgment of 12 May 2005 ����������������4 45, n. 134
ECHR, Tas v Belgium, Application No. 44614/╉06 (2009)����������������������������������尓������������������������ 167, n. 70
ECHR, Rantsev v Cyprus and Russia, Application No. 25965/╉04 (2010)��������������������������������166, n. 69
ECHR, Case of Medvedyev and Others v France, Application No. 3394/╉03,
Judgment of 29 March 2010 ����������������������������������尓������������������������������������尓����������������������������435, n. 85
ECHR, V.F. v France, Application No. 7196/╉10 (2011)����������������������������������尓������������������������������ 167, n. 70
ECHR, Al-╉Skeini and Others v UK, Application No. 55721/╉07, Judgment of
7 July 2011 ����������������������������������尓������������������������������������尓������������������������������������尓��������������������4 45, n. 134
ECHR, Case of Hirsi Jamaa and Others v Italy, Application No. 27765/╉09,
Judgment of 23 February 2012����������������������������������尓������������������������������������尓��������������������� 446, n. 139
ECHR, M. and Others v Italy and Bulgaria, Application No. 40020/╉03 (2012)����������������������166, n. 70
ECHR, C.N. and V. v France, Application No. 67724/╉09 (2012) ����������������������������������尓������������166, n. 70
ECHR, F.A. v UK, Application No. 20658/╉11 (2013)����������������������������������尓��������������������������������166, n. 70
ICJ, The Case of the SS ‘Lotus’, Judgment of 7 September 1927, Ser. A, No. 10, 1.������������������ 425, n. 31
ICJ, Legal Status of Eastern Greenland, Judgment of 5 April 1933,
Ser. A/╉B, No. 53, 22.����������������������������������尓������������������������������������尓������������������������������������尓������425, n. 29
ICJ, Reparation for Injuries Suffered in the Service of the United Nations, Advisory
Opinion [1949] ICJ Reports 174.����������������������������������尓������������������������������������尓����������������������368, n. 44
ICJ, Barcelona Traction, Light and Power Company, Limited (Belgium v Spain),
Judgment [1970] ICJ Reports 3. ����������������������������������尓������������������������������������尓����������������������376, n. 95
ICJ, Case Concerning Military and Paramilitary Activities in and against Nicaragua
(Nicaragua v United States of America), Merits, 27 June 1986, ICJ Reports 14
(1986)����������������������������������尓���364 n. 18, 365 n. 21, 369, 370 n. 58/ 62, 371–4, 387 n. 19, 427 n. 40
ICJ, Legality of the Threat of Nuclear Weapons, Advisory Opinion, ICJ Reports
1996, 226.����������������������������������尓������������������������������������尓������������������������������������尓����������������������280, n. 104
ICJ, Oil Platforms (Islamic Republic of Iran v USA), Judgment [2003]
ICJ Reports 161.����������������������������������尓������������������������������������尓������������������������������������尓�������������� 365, n. 21
xx

xx Table of Cases and Other Decisions

ICJ, Legal Consequences of the Construction of a Wall in the Occupied Palestinian


Territory, Separate Opinion of Judge Pieter Kooijmans [2004] ICJ
Reports 219.������������������������������������������������������������������������������������������������������������������������������ 374, n. 85
ICJ, Armed Activities on the Territory of the Congo, Democratic Republic of
the Congo v Uganda, Judgment [2005] ICJ Reports 168. �������������������������������������������������� 373, n. 81
ICJ, Armed Activities on the Territory of the Congo, Democratic Republic of
the Congo v Uganda, Separate Opinion of Judge Pieter Hendrik Kooijmans
[2005] ICJ Reports 306.���������������������������������������������������������������������������������������������������������� 373, n. 82
ICJ, Armed Activities on the Territory of the Congo, Democratic Republic of
the Congo v Uganda, Separate Opinion of Judge Bruno Simma
[2005] ICJ Reports 334. ���������������������������������������������������������������������������������������������������������� 373, n. 82
ICJ, Pulp Mills on the River Uruguay, Argentina v Uruguay, ICJ Reports
2010, 14. ����������������������������������������������������������������������������������������������������������������������������������280, n. 104
ITLOS, The M/​V ‘Saiga’ (No. 2), St. Vincent and the Grenadines v Guinea,
Judgment of 1 July 1999, ITLOS Reports 1999, 10.������������������������������������������������������������434, n. 82
ITLOS, Seabed Disputes Chamber (ITLOS), Responsibilities and Obligations of States
Sponsoring Persons and Entities with Respect to Activities in the Area, Advisory
Opinion, List of Cases No. 17, 1 February 2011. ��������������������������������������������������������������280, n. 105
Permanent Court of Arbitration (PCA), Guyana v Suriname, Award of
17 September 2007, (2008) 47 International Legal Materials, 166.����������������������������� 444, n. 128
Reports of International Arbitral Awards, The Republic of Panama, on behalf of the
Compañia de Navigatión Nacional v The United States of America, Judgment of
29 June 1933, AJIL 28 (1934), 596 (599)��������������������������������������������������������������������������������429, n. 49

2. International criminal law


ICC, PTC II, Situation in the Republic of Kenya, Decision of 31 March 2010,
ICC-​01/​09-​19����������������������������������������������������������������������������������������������������������������������������455, n. 37
ICC-​01/​09-​02/​11-​100-​AnxB������������������������������������������������������������������������������������������������������������452, n. 20
ICC, The Prosecutor v Callixte Mbarushimana, ICC-​01/​04-​01/​10-​T-​6 -​Red2-​ENG,
Submissions by the defence (open session, 16 September 2011)��������������������������������������452, n. 20
ICC-​01/​09-​02/​11-​T-​4-​ENG ET WT 21-​09-​2011 1-​121 PV PT (21 September 2011)��������������452, n. 20
ICC-​01/​09-​02/​11-​T-​12-​Red-​ENG WT 30-​09-​2011 1-​98 SZ PT (30 September 2011)������������452, n. 20
ICC-​01/​09-​02/​11-​T-​13-​ENG ET WT 03-​10-​2011 1-​190 NB PT (3 October 2011)������������������452, n. 20
ICC, The Prosecutor v Uhuru Muigai Kenyatta and Mohammed Hussein Ali,
ICC-​01/​09-​02/​11����������������������������������������������������������������������������������������������������������������������452, n. 20
ICC-​01/​09-​02/​11-​3����������������������������������������������������������������������������������������������������������������������������452, n. 20
ICC, Situation in Mali, Pretrial, Ref. No. ICC-​01/​12 (2013), online available <http://​
www.icc-​cpi.int/​en_​menus/​icc/​situations%20and%20cases/​situations/​icc0112/​
Pages/​situation%20index.aspx> (26.11.2015)����������������������������������������������������������������������323, n. 54
ICTY, Kupreškić et al., Judgment of 14 January 2000, Case No. IT-​95-​16-​T��������������������������454, n. 36
ICTY, Prosecutor v Kordić and Čerkez, Judgment of 26 February 2001,
Case No. IT-​95-​14/​2-​T (Trial Chamber) and Judgment of 17 December 2004,
Case No. IT-​95-​14/​2-​A (Appeals Chamber) –​ Lašva Valley����������������������������������������������322, n. 49
ICTY, Appeals Chamber, Jelisić, Judgment of 5 July 2001, Case No. IT-​95-​10-​A������������������454, n. 32
ICTY, Trial Chamber, Krstić, Judgment of 2 August 2001, Case No. IT-​98-​33-​T������������������453, n. 29
ICTY, Sikirica et al., Trial Chamber, Judgment of 3 September 2001, IT-​95-​8-​T������������������453, n. 27
ICTY, Prosecutor v Dragoljub Kunarac Radomir Kovac and Zoran Vukovic, Case Nos
IT-​96-​23 & IT-​96-​23/​1-​A (2002)�������������������������������������������������������������������������������������������� 159, n. 36
ICTY, Aeals Chamber, Krstić, Judgment of 19 April 2004, Case No. IT-​98-​33-​A ����������������453, n. 25
ICTY, Prosecutor v Jokić, Judgment of 18 March 2004, Case No. IT-​01-​42/​1-​S
(Trial Chamber) and Judgment of 30 August 2005, Case No. IT-​01-​42/​1-​A
(Appeals Chamber) –​ Dubrovnik������������������������������������������������������������������������������������������322, n. 49
xxi

Table of Cases and Other Decisions xxi

ICTY, Prosecutor v Martić, Judgment of 12 June 2007, Case No. IT-╉95-╉11-╉T


(Trial Chamber) and Judgment of 8 October 2008, Case No. IT-╉95-╉11-╉A
(Appeals Chamber) –╉ RSK����������������������������������尓������������������������������������尓��������������������������������322, n. 49
ICTY, Ramush Haradinaj et al., Case No. IT-╉04-╉84-╉T, Trial Judgment, April 3 2008���������� 391, n. 41
ICTY, Prosecutor v Vladimir Lazarevic et al., Decision on Ojdanic’s Motion Challenging
Jurisdiction: Indirect Co-╉Penetration, Case No. IT-╉05-╉87 ����������������������������������尓������������452, n. 20
ICTY, Prosecutor v Valentin Coric et al., Valentin Coric’s Final Brief, Case No. IT-╉04-╉74����������452, n. 20
ICTY, Prosecutor v Prlić et al., Judgment of 29 May 2013, Case No. IT-╉04-╉74-╉T
(Trial Chamber) ����������������������������������尓������������������������������������尓������������������������������������尓������������322, n. 49
ICTR, Akayesu, Case No. ICTR-╉96-╉4-╉T, Trial Judgment, 2 September 1998 ������������������������388, n. 26
ICTR, Prosecutor v Sylvestre Gacumbitsi, Judgment, Case No. ICTR-╉01-╉64��������������������������452, n. 20
IMT v Martin Borman et al., Final arguments by groups and organisations,
212th day (27 August 1946)����������������������������������尓������������������������������������尓������������������������������452, n. 20
IMT v Martin Borman et al., Final arguments by prosecution, 215th day (30 August
1946)����������������������������������尓������������������������������������尓������������������������������������尓��������������������������������452, n. 20
IMT v Martin Borman et al., Judgment (1 October 1946) ����������������������������������尓����������������������452, n. 20
ILM, Prosecutor v Duško Tadić (Establishment of the International Tribunal) (1996)
35 ILM 32����������������������������������尓������������������������������������尓������������������������������������尓������������������������ 376, n. 93
ILM, Prosecutor v Duško Tadić (Appeals Judgment) (1999) 38 ILM 1518. ����������������������������370, n. 58

II . NAT IONA L J U R ISDIC T ION


1. United States
Ker v Illinois (1886) No. 119 U.S. 436����������������������������������尓������������������������������������尓����������������������504, n. 30
US, Mali v Keeper of the Common Jail (Wildenhus’s Case), 120 U.S. 1, 12 (1887). ����������������428, n. 42
United States v Alvarez-╉Machain, 504 U.S. 655 (1992).����������������������������������尓���������������������������� 213, n. 62
Kyllo v United States, 533 U.S. 27 (2001). Certiorari from Court of
Appeals of Ninth Circuit����������������������������������尓������������������������������������尓������������������������������������尓 18, n. 66
Newman v Sathyavaglswaran, United States Court of Appeals, 9th Circuit, 2002,
with reference to Cruzan, 497 U.S. at 262, 110 S.Ct. 2841����������������������������������尓����������������22, n. 75
Sosa v Alvarez-╉Machin (2004) No. 542 U.S. 692����������������������������������尓������������������������������������尓����504, n. 31
US, Spector v Norwegian Cruise Line Ltd., 545 U.S. 119, 127 (2005)����������������������������������尓������428, n. 42
United States Supreme Court, Hamdan v Rumsfeld, 126 S.Ct. 2479, 29 June 2006��������������394, n. 53
United States v Charles Burt, United States Court of Appeals, 7th Circuit, 2007,
No. 06-╉3415 ����������������������������������尓������������������������������������尓������������������������������������尓��������������������506, n. 38
United States v Jeffrey W. Feldman, United States District Court Eastern District of
Wisconsin, complaint deposited 13 August 2013, Case 13-╉892M.����������������������������������尓506, n. 38
In the Matter of a Warrant to Search a Certain E-╉Mail Account Controlled and
Maintained by Microsoft Corporation United States District Court (SDNY),
Memorandum and Order of 25 April 2014, 13-╉Mag-╉2814. ����������������������������������尓����������356, n. 104
In the Matter of a Warrant to Search a Certain E-╉Mail Account Controlled and
Maintained by Microsoft Corporation United States District Court (SDNY),
Order of 11 August 2014, 13-╉Mag-╉2814����������������������������������尓������������������������������������尓��������356, n. 104
Microsoft Corporation v United States of America, United States Court of Appeals
(2nd Cir) 14-╉2985-╉CV (2014)����������������������������������尓������������������������������������尓��������������������������356, n. 104

2. SBiH
SBiH, No. X-╉K-╉08/╉638-╉1 (14 January 2010)����������������������������������尓������������������������������������尓������������459, n. 63
SBiH, No. X-╉K-╉08/╉645-╉1 (26 January 2010)����������������������������������尓������������������������������������尓������������459, n. 63
SBiH, No. X-╉K-╉08/╉638-╉2 (8 February 2010)����������������������������������尓������������������������������������尓������������ 459, n. 63
SBiH, No. X-╉K-╉08/╉638-╉3 (8 February 2010)����������������������������������尓������������������������������������尓������������459, n. 63
SBiH, No. X-╉K-╉08/╉645-╉2 (9 February 2010)����������������������������������尓������������������������������������尓������������ 459, n. 63
xxii

xxii Table of Cases and Other Decisions

SBiH, No. X-╉KZ-╉08/╉645-╉1 (21 May 2010) ����������������������������������尓������������������������������������尓��������������459, n. 63


SBiH, No. X-╉K-╉10/╉872 (5 August 2010)����������������������������������尓������������������������������������尓��������������������459, n. 63
SBiH, No. X-╉K-╉10/╉889-╉1 (27 August 2010)����������������������������������尓������������������������������������尓��������������459, n. 63
SBiH, No. X-╉K-╉10/╉889 (1 September 2010)����������������������������������尓������������������������������������尓������������� 459, n. 63
SBiH, No. S1 2 K 00 3595 10 K (2 December 2010) ����������������������������������尓����������������������������������459, n. 63
SBiH, No. S 1 2 K 002500 10 Ko (Ref. No. X-╉KRN-╉10/╉1036, 25 February 2011)��������������������458, n. 63
SBiH, No. S1 2 K 005325 11 K (12 April 2011)����������������������������������尓������������������������������������尓��������458, n. 63
SBiH, No. S1 2 K 3356 10 K (11 May 2011)����������������������������������尓������������������������������������尓��������������459, n. 63
SBiH, No. X-╉K/╉07/╉486-╉2 (15 May 2008)����������������������������������尓������������������������������������尓������������������ 459, n. 63
SBiH, No. S1 2 K 002587 11 K (Ref. No. X-╉K-╉09/╉719; 17 June 2011)����������������������������������尓������458, n. 63
SBiH, No. S1 2 K 003350 11 Kz (20 June 2011)����������������������������������尓������������������������������������尓������459, n. 63

3. UK
The Emperor of Austria v Day and Kossuth, 66 ER 263 (1861). British High
Court of Chancery ����������������������������������尓������������������������������������尓������������������������������������尓����������������������� 6
R v Plymouth Justices, ex parte Driver (1986) QB 95.����������������������������������尓��������������������������������505, n. 32
R v Horseferry Road Magistrates’ Court, ex parte Bennett (1994) AC 42.��������������������������������505, n. 33
R v Bow Street Metropolitan Stipendiary Magistrate, ex parte Pinochet Ugarte
(No. 3) [2000] 1 AC 147 HL����������������������������������尓������������������������������������尓����������������������������466, n. 110
Dahabshiil Transfer Services Ltd. v Barclays Bank Plc [2013] EWHC 3379 (Ch) ����������������262, n. 128

4. Germany
OLG Düsseldorf, Judgment of 26 September 1997, IV-╉26/╉96, 2 StE 8/╉96��������������������������������454, n. 31
BVerfG NJW 2001, 1848 (1850)����������������������������������尓������������������������������������尓��������������������������������454, n. 31
BGH-╉Bundesgerichtshof (Federal Court of Justice), 22.03.2001 –╉GSSt 1/╉00,
BGHSt 46, 321����������������������������������尓������������������������������������尓������������������������������������尓������������������32, n. 42
District Court of Halle/╉S., Judgment of 26 September 2005, Case No. 26
Ns 33/╉2004����������������������������������尓������������������������������������尓������������������������������������尓���������������������� 315, n. 23
District Court of Cologne, Judgment of 28 September 2012, Case No. 2 O 457/╉08,
Zeitschrift für Urheber-╉und Medienrecht (ZUM) 2013, 332-╉337 ����������������������������������尓 316, n. 26

5. Australia
Thorn v R [2009] NSWCCA 294����������������������������������尓������������������������������������尓������������������������������ 251, n. 75
Nahlous v R [2010] NSWCCA 58 ����������������������������������尓������������������������������������尓���������������������������� 251, n. 75

6. Schweiz
Schweizerisches Bundesgericht, Judgment of 14 January 2015,
1 B_╉344/╉2014 (2015)����������������������������������尓������������������������������������尓������������������������������������尓����356, n. 103
xxiii

Table of Legislation

I . I N T E R NAT IONA L L EGISL AT ION Res. A/╉R ES/╉54/╉2003 – Optional


Protocol to the Convention on the
1. United Nations
Rights of the Child on the Sale of
The White Slave Traffic Act also Children, Child Prostitution and
called the Mann Act. Ch. 395, Child Pornography ������������������������������9, 299
36 Stat. 826 (1910); codified, Protocol Amending the Single
1998, as amended at 18 U.S.C. §§ Convention on Narcotic Drugs,
2421–2427, Â�chapter 117������������������������������ 10 1961 (Geneva adopted 25
The 1910 International Convention March 1972, entered into force
for the Suppression of the 8 August 1975); 976 UNTS 3���������� 117, 243
“White Slave Traffic”. The Single Convention on Narcotic Drugs
convention was amended in (New York, adopted 30 March
1949, UNTS 23����������������������������������尓���������� 13 1961, entered into force
Convention Relating to the 13 December 1964);
Suppression of the Abuse of 520 UNTS 151�������� 107, 115, 122, 243, 462
Opium and Other Drugs (The UN GA Res. 2200 A (XXI) of 16
Hague, 23 January 1912, 38 Stat December 1966 – International
1912, TS No. 612, 1 Bevans 855, Covenant on Civil and Political
8 LNTS 187)����������������113, n. 40; 243, n. 13 Rights (entered into force
Geneva Declaration of the Rights of 23 March 1976);
the Child, 26 September 1924�������291, n. 30 999 UNTS 171�������� 153, 192, 289, 411, 445
UN Charter (San Francisco, adopted UN GA Res. 2200 A (XXI) of 16
26 June 1945, entered into force December 1966 – International
24 October 1945) Text: UNCIO Covenant on Economic,
XV, 335; 1 UNTS XVI �������������������116, 207, Social and Cultural
266, 285, 361, 373, 384, 443, 461 Rights ������������������������������ 153, 192, 290, 413
UN GA Res. 217 A (III) of 10 Vienna Convention on the Law of
December 1948 – Universal Treaties (adopted 23 May 1969,
Declaration on Human Rights��������������289 entered into force 27 January
UN Convention for the Suppression 1980); 1155 UNTS 331 ���������� 364, 434, 468
of the Traffic in Persons and The US Racketeer Influenced and
of the Exploitation of the Corrupt Organizations Act,
Prostitution of Others of 1970, 18 U.S.C.A. §1961
21 March 1950 (entered into et seq����������������������������������尓�������������������������� 14
force 25 July 1951); UN GA Res. 2626 (XXV) of 24
96 UNTS 271����������������������������������尓����������438 October 1970 – ‘Declaration on
Convention Relating to the Status of Principles of International Law
Refugees of 28 July 1951 (entered concerning Friendly Relations
into force 22 April 1954); and Co-╉operation among States
189 UNTS 137��������������������������������� 188, 446 in accordance with the Charter
Geneva Convention on the Territorial of the United Nations’; UN Doc.
Sea and the Contiguous Zone of A/╉R ES/╉25/╉2625����������������������������������尓������364
29 April 1958 (entered into force UNESCO Convention on the Means
10 September 1964); of Prohibiting and Preventing
516 UNTS 205����������������������������������尓��������430 the Illicit Import, Export
UN GA Res. 1386 (XIV) of 10 and Transfer of Ownership
December 1959 – Declaration of of Cultural Property of
the Rights of the Child; UN GA 14 November 1970����������������������������������尓�� 324
xxiv

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UN Convention on Psychotropic UN GA Res. 44/​25 of 20 November


Substances 1971����������������������������������������462 1989 – Convention on the
Convention on Psychotropic Rights of the Child (entered
Substances (Vienna, adopted into force on 2 September 1990);
21 February 1972, entered into UN Treaty Collection. Human
force 16 August 1976); 1019 Rights, Ch. IV, Section 11 �����������������9, 158,
UNTS 175������������������������������������������116, 243 163, 193, 287, 290, 304, 339, 413
UNESCO Convention Concerning UN Doc. A/​C.6/​4 4/​L .18,
the Protection of the World 20 November 1989 ����������������������������������448
Cultural and Natural Heritage UN Doc. A/​4 4/​770, 24 November 1989��������448
of 16 November 1972 ��������������������� 279, 308 UN Doc. A/​R ES/​44/​39, 4 December
UN GA Res. 3314 (XXIX) of 14 1989��������������������������������������������������������������� 448
December 1974 – ‘Definition of UN Doc. A/​R ES/​44/​49, 8 December
Aggression’; UN Doc. A/​R ES/​ 1989��������������������������������������������������������������� 448
3314 (XXIX)����������������������������������������������365 Treaty Between the Kingdom of
UN Convention against the Taking Spain and the Italian Republic
of Hostages 1979���������������������������������������� 89 to Combat Illicit Drug
UN Convention on the Law of Trafficking at Sea of 23 March
the Sea of 10 December 1982 1990, (entered into force 7 May
(entered into force 16 November 1994); 1776 UNTS 242����������������������������440
1994); 1833 UNTS 3 ������ 190, 327, 424, 444 UN SC Res. 661 (1990) of 6 August 1990��������327
Convention Against Torture and UN GA A/​46/​10, Report ILC (1991)��������������465
Other Cruel, Inhuman or UN SC Res. 827 (1993) of 25
Degrading Treatment or May 1993 – Statute of the
Punishment of 10 December International Criminal Tribunal
1984 (entered into force 26 June for the former Yugoslavia ���������������������� 322
1987); 1465 UNTS 112����������������������������446 UN Doc. A/​R ES/​48/​102 of 20
The 1988 United Nations Convention December 1993 –​UN GA,
against Illicit Traffic in Narcotic Prevention of the smuggling
Drugs and Psychotropic of aliens������������������������������������������������������ 170
Substances �������������������14, 97, 107, 117, 128, UN GA A/​49/​10, Report ILC
242, 432, 440, 463 (1994)������������������������������������������������� 465, 467
UN Convention for the Suppression UN Commission on Crime
of Unlawful Acts against the Prevention and Criminal Justice,
Safety of Maritime Navigation Report of the Commission on
1988������������������������������������������������������93, 441 Crime Prevention and Criminal
Convention for the Suppression Justice on its 3rd session, UN
of Unlawful Acts Against the Doc. E/​CN.15/​1994/​12 (1994)���������������� 171
Safety of Maritime Navigation UN Commission on Crime
of 10 March 1988 (entered into Prevention and Criminal
force 1 March 1992); 1678 UNTS Justice, Criminal justice action
221��������������������������������������������������������93, 441 to combat the organized
UN Convention against Illicit smuggling of illegal migrants
Traffic in Narcotic Drugs and across national boundaries, UN
Psychotropic Substances –​ Doc. E/​CN.15/​1994/​L .8
Vienna Convention (Vienna, (4 May 1994)���������������������������������������������� 171
adopted 20 December 1988, UN Commission on Crime
entered into force 11 November Prevention and Criminal
1990); 1582 UNTS 95����������������� 14, 97, 107, Justice, Criminal justice action
117, 128, 242, 432, 440, 463 to combat the smuggling of
UN GA A/​C.6/​4 4/​SR.38 (1989)����������������������465 illegal migrants across national
UN Doc. A/​4 4/​694, 31 October 1989������������448 boundaries, UN Doc. E/​CN.15/​
UN Doc. A/​4 4/​195, 21 August 1989��������������448 1994/​L .8/​Rev.1 (6 May 1994)������������������ 171
xxv

Table of Legislation xxv

UN Economic and Social Council, Session, UN Doc. E/​CN.15/​1997/​


Criminal justice action 21 (1997)���������������������������������������������������� 171
to combat the organized UN Doc. A/​R ES/​61/​62 of 28 January
smuggling of illegal migrants 1997 – UN GA, Measures for
across national boundaries, UN prevention of the smuggling
Doc. E/​1994/​14 (25 July 1994)���������������� 171 of aliens������������������������������������������������������ 171
UN Doc. A/​49/​350 of 30 August UN Commission on Crime
1994 – UN GA, Crime Prevention Prevention and Criminal Justice,
and Criminal Justice: Measures International Cooperation in
to combat alien smuggling; Combatting Transnational
Report of the Secretary-​General��������������171 Organized Crime: Smuggling
UN SC Res. 955 (1994) – Statute of Illegal Migrants, UN Doc. E/
of the International Criminal CN.15/​1997/​8 (18 February 1997)���������� 171
Tribunal for Rwanda of 8 UN Commission on Crime
November 1994���������������������������������������� 322 Prevention and Criminal
UN GA A/​50/​22, Report AdHoc Com Justice, International
(1995)����������������������������������������������������������465 Cooperation in Combatting
UN GA Res. 50/​70 B (1995)���������������������������� 201 Transnational Organized
ECOSOC Res. 1995/​27, 50th plen. Crime: Smuggling of Illegal
mtg., 24 July 1995 ������������������������������������205 Migrants, UN Doc. E/​CN.15/​
UN Economic and Social Council, 1997/​8/​Add.1 (8 April 1997) ������������������ 171
Criminal justice action to IMO Legal Committee, Proposed
combat the organised smuggling Multilateral Convention to
of illegal migrants across Combat Illegal Migration by
national boundaries, UN Doc. Sea, IMO Doc. LEG 76/​11/​1
E/​1995/​10 (24 July 1995)�������������������������� 171 (1 August 1997)���������������������������������������� 171
Agreement for the Implementation UN Doc. A/​52/​357 of 17 September
of the Provisions of the United 1997 – UN GA, Letter dated 16
Nations Convention on the Law September from the Permanent
of the Sea of 10 December 1982 Representative of Austria to the
relating to the Conservation and United Nations addressed to the
Management of Straddling Fish Secretary-​General������������������������������������ 172
Stocks and Highly Migratory UN GA A/​R ES/​S-​20/​2 (1998) ������������������������463
Fish Stocks of 4 December 1995 UN GA Res. 53/​77 E (1998)���������������������������� 201
(entered into force 11 December UN GA Res. 53/​77 B (1998)����������������������������202
2001); 2167 UNTS 3 ��������������������������������444 UN GA Res. 53/​77 M (1998)���������������������������202
UN GA A/​51/​22, Report PrepCom UN GA Res. 53/​77 T (1998)����������������������������202
Vol. I (1996)����������������������������������������������465 UN SC Res. 1209 (1998)����������������������������������202
ECOSOC Res. 1996/​28������������������������������������205 UN GA Res. 53/​111 (1998)������������������������������206
UN Commission on Crime Rome Statute of the International
Prevention and Criminal Criminal Court, (Rome, A/​
Justice, Measures to combat the CONF.183/​9 of 17 July 1998,
smuggling of migrants, Report of 2187 UNTS 90); corrected by
the Secretary-​General, UN Doc. process-​verbaux of 10 November
E/​CN.15/​1996/​4 (21 March 1996)������������171 1998, 12 July 1999, 30 November
UN GA Res. 51/​210 of 1999, 8 May 2000, 17 January
17 December 1996�������������������������������������� 91 2001 and 16 January 2002. The
UN Convention for the Suppression Statute entered into force on
of Terrorist Bombings 1997���������������������� 93 1 July 2002.��������������159, 163, 390, 448, 460
UN GA Res. 52/​38 J (1997)������������������������������ 201 UN Doc. A/​R ES/​53/​111 of 9
UN Commission on Crime December 1998 – UN GA,
Prevention and Criminal Resolution on Transnational
Justice, Report on the Sixth Organized Crime ����������������������������154, 172
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UN Doc. A/╉AC.254/╉4/╉Add.1 of 15 first to eleventh sessions;


December 1998 – UN Ad Hoc Addendum: Interpretative
Committee on the Elaboration notes for the official record
of a Convention against (travaux préparatoires) of the
Transnational Organised negotiations for the United
Crime, Draft elements for an Nations Convention against
international legal instrument Transnational Organized Crime
against illegal trafficking and and the Protocols thereto
transport of migrants������������������������������ 191 [Interpretative Notes]������������������������������ 172
UN Convention for the Suppression UN GA Res. 55/╉25 of 15 November
of the Financing of Terrorism 2000 –╉‘Palermo Convention’�����������26, 59,
1999����������������������������������尓������������� 89, 90, 246 72, 126, 132 n. 43, 137 n. 71,
UN GA Res. 54/╉54 R (1999)����������������������������203 146 n. 132, 154, 156, 160, 166,
UN GA Res. 54/╉54 V (1999)����������������������������203 246, 249, 258, 277, 367, 412
UN SC Res. 688 of 5 April 1999; UN
Doc. S/╉R ES/╉0688����������������������������������尓���� 376 Annexes
UN Doc. A/╉AC.254/╉16 of 1 June I. UN Convention against
1999 – UN GA, Informal note Transnational Organized Crime
by the United Nations High (entered into force 29 September
Commissioner for Human 2003); 2225 UNTS 209������������������� 126 n. 1,
Rights, 4th sess.����������������������������������尓������ 191 169 n. 2, 277 n. 80, 300 n. 83,
UN SC Res. 1244 of 10 June 1999������������������489 366 n. 31, 382 n. 6, 423 n. 7
UN SC Res. 1272 of 25 October 1999������������489 II. Protocol to Prevent, Suppress
International Convention for the and Punish Trafficking in
Suppression of the Financing of Persons, Especially Women
Terrorism (New York, adopted and Children, supplementing
9 December 1999, entered into the UN Convention against
force 10 April 2002); 2178 UNTS 197����� 246 Transnational Organized Crime
UN Doc. PCNICC/╉2000/╉1/╉Add.1 (entered into force 25 December
(2000) –╉ ICC, Rules of Procedure 2003); 2237 UNTS 319������������������� 126 n. 3,
and Evidence ����������������������������������尓����������502 175 n. 34, 367 n. 35
UN Doc. A/╉AC.254/╉27 of 8 February III. Protocol against the Smuggling
2000 – UN GA, Note by the of Migrants by Land, Sea
Office of the United Nations and Air, supplementing the
High Commissioner for Human UN Convention against
Rights, the United Nations Transnational Organized Crime
Children’s Fund and the (entered into force 28 January
International Organisation for 2004); 2241 UNTS 507��������26, 59, 72, 126,
Migration on the draft protocols 127 n. 4, 137, 154, 159, 166, 169 n. 1,
concerning migrant smuggling 246, 249, 277, 300, 367 n. 36, 368,
and trafficking in persons, 8th sess.������192 376, 382 n. 6, 412, 423, 438 n. 99, 452
UN-╉GA Res. A/╉RES54/╉263 of 25 May UN GA Res. 55/╉255 of 31 May
2000 – Optional Protocol to the 2001 –╉ New York����������������������������206 n. 50
Convention on the Rights of the
Child on the Sale of Children, Child Annex
Prostitution and Child Pornography; Protocol against the Illicit
2171 UNTS 227���������������������������287, 339, 413 Manufacturing of and Trafficking
UN Doc. A/╉55/╉383/╉Add.1 of in Firearms, Their Parts and
3 November 2000 – UN Components and Ammunition,
GA, Report of the Ad Hoc supplementing the UN
Committee on the Elaboration Convention against Transnational
of a Convention against Organized Crime (entered into
Transnational Organized force 3 July 2005); 2326
Crime on the work of its UNTS 208������������������������ 128, 206, 367, 382
xxvii

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UN SC Res. 1368 (2001) of 12 UNODC. Anti-​Human Trafficking


September 2001����������������������������������90, 374 Manual for Criminal Justice
UN SC Res. 1373 (2001) of 28 Practitioners (New York: UN
September 2001����������������������������������90, 374 Publications, 2009)���������������������������������� 158
UN Convention on the Protection UNODC. International Framework
of the Underwater Cultural for Action to Implement the
Heritage of 2 November 2001���������������� 327 Trafficking in Persons Protocol
UN SC Res. 1483 (2003) of 22 May 2003������326 (New York: UNODC 2009)�������������������� 168
UN GA Res. 58/​4 of 31 October UN SC Res. 1876 of 26 June 2009;
2003 –​UN Convention against UN Doc. S/​R ES/​1876������������������������������ 378
Corruption (New York, entered UN Convention against Corruption –
into force 14 December 2005); UN Doc. CAC/​COSP/​2009/​2 of
2349 UNTS 41��������������������������� 97, 144, 246 22 September 2009������������������������������������237
UNODC, Legislative Guides for the Beijing Convention on the
Implementation of the United Suppression of Unlawful Acts
Nations Convention against Relating to International Civil
Transnational Organized Crime Aviation 2010�������������������������������������������� 102
and the Protocols thereto UNODC. A Short Introduction to
(UN, 2004)������������������������������������������������ 174 Smuggling of Migrants, Issue
UN SC Res. 1540 (2004) of 28 April Paper (UN, 2010)�������������������������������������� 176
2004����������������������������������������������������� 90, 442 UNODC. Basic Training Manual on
UN SC Res. 1566 (2004) of 8 Investigating and Prosecuting the
October 2004���������������������������������������������� 97 Smuggling of Migrants
UN SC Res. 1580 of 22 December (UN, 2010)������������������������������������������������ 193
2004; UN Doc. S/​R ES/​1580�������������������� 378 UNODC. Model Law Against
UN Convention for the Suppression Smuggling of Migrants
of Acts of Nuclear Terrorism 2005���������� 89 (UN, 2010)������������������������������������������������ 175
UN GA Res. 60/​88 (2005)�������������������������������� 217 UNODC. Toolkit to Combat
UN SC Res. 1624 (2005) of 14 Smuggling of Migrants
September 2005������������������������������������������ 90 (UN, 2010)������������������������������������������������ 182
UNODC. Travaux Préparatoires of UNODC. The Globalization of
the negotiations of the United Crime. A Transnational
Nations Convention against Organized Crime Threat
Transnational Organized Crime Assessment (2010)�������������������������������������� 58
and the Protocols thereto UNODC. Crime and instability: Case
(UN, 2006)������������������������������������������������ 172 studies of transnational
UNODC. Assistance for the threats (2010)���������������������������������������������� 61
Implementation of the ECOWAS UN SC Statement by the President
Plan of Action against Trafficking of the Security Council of 24
in Persons (New York: UN Press, February 2010; UN Doc. S/​
2006), 3, 33������������������������������������������������ 150 PRST/​2010/​4���������������������������������������������� 378
UN SC Res. 1702 of 15 August 2006; UN GA A/​C.6/​65/​L .10 of 3
UN Doc. S/​R ES/​1702������������������������������ 378 November 2010������������������������������������������ 91
UN GA Res. 60/​288 of 8 UNODC. In-​depth Training
September 2006������������������������������������������ 90 Manual on Investigating and
UNODC. ‘An Introduction Prosecuting Smuggling of
to Human Trafficking: Migrants (UN, 2011)�������������������������������� 180
Vulnarability, Impact and UNODC. Smuggling of
Action’, Background Paper 2008���������� 161 Migrants: A Global Review
UNODC. Current practices in and Annotated Bibliography of
electronic surveillance in the Recent Publications (UN, 2011) ������������ 174
investigation of serious and UN GA Res. 66/​105 of 9
organised crime (UN, 2009)������������������ 481 December 2011 ������������������������������������������ 90
xxviii

xxviii Table of Legislation

UN GA Res. 67/╉234 (2012)������������������������������ 217 UN GA Res. 68/╉178 of 18


UNODC. Global Report on December 2013 ����������������������������������尓�������� 90
Trafficking in Persons 2012 UN SC Res. 2134 (2014) ����������������������������������尓266
(New York: UN Publications, UN SC Res. 2136 (2014) ����������������������������������尓266
2012) ����������������������������������尓������������������������ 155 UN Conference of the Parties to the
UN SC Statement by the President United Nations Convention
of the Security Council of 21 against Transnational
February 2012; UN Doc. S/╉ Organized Crime, Working
PRST/╉2012/╉2����������������������������������尓����������� 378 Group of Government
UN, Conference of States Parties to Experts on Technical
the United Nations Convention Assistance, Criminalization of
against Transnational Participation in an Organized
Organized Crime, Working Criminal Group (article 5
Group on the Smuggling of of the Convention against
Migrants, Challenges and good Transnational Organized
practices in the criminalization, Crime), UN Doc. CTOC/╉COP/╉
investigation and prosecution of WG.2 (23 May 2014)�������������������������������� 184
the smuggling of migrants, UN UN SC Res. 2161 (2014) of 17
Doc. CTOC/╉COP/╉WG.7/╉2012/╉2 June 2014����������������������������������尓������������������� 90
(21 March 2012)����������������������������������尓������ 177 UN SC Res. 2178 (2014) of 24
UN Conference of States Parties to September 2014����������������������������������尓�������� 90
the United Nations Convention UN SC Res. 2185 of 20 November 2014��������489
against Transnational UN SC Res. 2195 of 19 December
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its much greater reliability under all working conditions. The
overhead wire is not one continuous cable, but is divided into
sections of about half a mile in length, each section being supplied
with current from a separate main. At each point where the current is
fed to the trolley wire a sort of metal box may be seen at the side of
the street. These boxes are called “feeder pillars,” and each contains
a switch by means of which the current can be cut off from that
particular section, for repairing or other purposes. Above the car is
fixed an arm provided with a trolley wheel which runs along the wire,
and this wheel takes the current from the wire. From the wheel the
current passes down the trolley arm to the controller, which is
operated by the driver, and from there to the motors beneath the car.
Leaving the motors it passes to the wheels and then to the rails, from
which it is led off at intervals by cables and so returned to the
generating station. The current carried by the rails is at a pressure of
only a few volts, so that there is not the slightest danger of shock
from them. There are generally two electric motors beneath the car,
and the horse-power of each varies from about fifteen to twenty-five.
The controller consists mainly of a number of graduated
resistances. To start the car the driver moves a handle forward notch
by notch, thus gradually cutting out the resistance, and so the motors
receive more and more current until they are running at full speed.
The movement of the controller handle also alters the connexion of
the motors. When the car is started the motors are connected in
series, so that the full current passes through each, while the
pressure is divided between them; but when the car is well on the
move the controller connects the motors in parallel, so that each
receives the full pressure of the current.
The conduit and surface contact systems are much the same as
the trolley system except in the method of supplying the current to
the cars. In the conduit system two conductors conveying the current
are placed in an underground channel or conduit of concrete
strengthened by iron yokes. The top of the conduit is almost closed
in so as to leave only a narrow slot, through which passes the
current collector of the car. This current collector, or “plough” as it is
called, carries two slippers which make contact with the conductors,
and thus take current from them. In this system the current returns
along one of the conductors, so that no current passes along the
track rails. This is the most expensive of the three systems, both in
construction and maintenance.
The surface contact or stud system is like the conduit system in
having conductors placed in a sort of underground trough, but in this
case contact with the conductors is made by means of metal studs
fixed at intervals in the middle of the track. The studs are really the
tops of underground boxes each containing a switch, which, when
drawn up to a certain position, connects the stud to the conductors.
These switches are arranged to be moved by magnets fixed beneath
the car, and thus when the car passes over a stud the magnets work
the switch and connect the stud to the conductors, so that the stud is
then “alive.” The current is taken from the studs by means of sliding
brushes or skates which are carried by the car. The studs are thus
alive only when the car is passing over them, and at all other times
they are dead, and not in any way dangerous.
The weight and speed of electric cars make it important to have
a thoroughly reliable system of brakes. First of all there are ordinary
mechanical brakes, which press against the wheels. Then there are
electro-magnetic slipper brakes which press on the rails instead of
on the wheels of the car. These brakes are operated by electro-
magnets of great power, the current necessary to excite the magnets
being taken from the motors. Finally there is a most interesting and
ingenious method of regenerative control. Before a car can be
stopped after it has attained considerable speed a certain amount of
energy has to be got rid of in some way. With the ordinary
mechanical or electro-magnetic brakes this energy is wasted, but in
the regenerative method it is turned into electric current, which is
sent back into the circuit. If an electric motor is supplied with
mechanical power instead of electric current it becomes a dynamo,
and generates current instead of using it. In the regenerative system,
when a car is “coasting” down a hill it drives the wheels, and the
wheels drive the motors, so that the latter become dynamos and
generate current which is sent back to the power station. In this way
some of the abnormal amount of current taken by a car in climbing a
hill is returned when the car descends the hill. The regenerative
system limits the speed of the car, so that it cannot possibly get
beyond control.

PLATE VII.

By permission of Siemens Brothers Dynamo Works Ltd.

ELECTRIC COLLIERY RAILWAY.

A large tramway system spreads outwards from the centre of a


city to the suburbs, and usually terminates at various points on the
outskirts of these suburbs. It often happens that there are villages
lying some distance beyond these terminal points, and it is very
desirable that there should be some means of transport between
these villages and the city. An extension of the existing tramway is
not practicable in many cases, because the traffic would not be
sufficient to pay for the heavy outlay, and also because the road may
not be of sufficient width to admit of cars running on a fixed track.
The difficulty may be overcome satisfactorily by the use of trackless
trolley cars. With these cars the costly business of laying a rail track
is altogether avoided, only a system of overhead wires being
necessary. As there is no rail to take the return current, a second
overhead wire is required. The car is fitted with two trolley arms, and
the current is taken from one wire by the first arm, sent through the
controller and the motors, and returned by the second arm to the
other wire, and so back to the generating station. The trolley poles
are so arranged that they allow the car to be steered round
obstructions or slow traffic, and the car wheels are usually fitted with
solid rubber tyres. Trackless cars are not capable of dealing with a
large traffic, but they are specially suitable where an infrequent
service, say a half-hourly one, is enough to meet requirements.
We come now to electric railways. These may be divided into
two classes, those with separate locomotives and those without. The
separate locomotive method is largely used for haulage purposes in
collieries and large works of various kinds. In Plate VII. is seen an
electric locomotive hauling a train of coal waggons in a colliery near
the Tyne, and it will be seen that the overhead system is used, the
trolley arm and wheel being replaced by sliding bows. In a colliery
railway it is generally impossible to select the most favourable track
from the railway constructor’s point of view, as the line must be
arranged to serve certain points. This often means taking the line
sometimes through low tunnels or bridges where the overhead wire
must be low, and sometimes over public roads where the wire must
be high; and the sliding bow is better able than the trolley arm and
wheel to adapt itself to these variations. In the colliery where this
locomotive is used the height of the overhead wire ranges from 10
feet 6 inches through tunnels or bridges, to 21 feet where the public
road is crossed. The locomotive weighs 33½ tons, and has four
electric motors each developing 50 horse-power with the current
employed. It will be noticed that the locomotive has two sets of
buffers. This is because it has to deal with both main line waggons
and the smaller colliery waggons, the upper set of buffers being for
the former, and the lower and narrower set for the latter. Plate VIII.
shows a 50-ton locomotive on the British Columbia Electric Railway,
and a powerful locomotive in use in South America. In each case it
will be seen that the trolley wheel is used.
In this country electric railways for passenger traffic are mostly
worked on what is known as the multiple-unit system, in which no
separate locomotives are used, the motors and driving mechanism
being placed on the cars themselves. There are also other cars
without this equipment, so that a train consists of a single motor-car
with or without trailer, or of two motor-cars with trailer between, or in
fact of any other combination. When a train contains two or more
motor-cars all the controllers, which are very similar to those on
electric tramcars, are electrically connected so as to be worked
together from one master controller. This system allows the length of
the train to be adjusted to the number of passengers, so that no
power is wasted in running empty cars during periods of small traffic.
In suburban railways, where the stopping-places are many and close
together, the efficiency of the service depends to a large extent upon
the time occupied in bringing the trains from rest to full speed. In this
respect the electric train has a great advantage over the ordinary
train hauled by a steam locomotive, for it can pick up speed at three
or more times the rate of the latter, thus enabling greater average
speeds and a more frequent service to be maintained.
Electric trains are supplied with current from a central generating
station, just as in the case of electric tramcars, but on passenger
lines the overhead wire is in most cases replaced by a third rail. This
live rail is placed upon insulators just outside the track rail, and the
current is collected from it by sliding metal slippers which are carried
by the cars. The return current may pass along the track rails as in
the case of trolley tramcars, or be conveyed by another insulated
conducting rail running along the middle of the track.
The electric railways already described are run on continuous
current, but there are also railways run on alternating current. A
section of the London, Brighton, and South Coast Railway is
electrically operated by alternating current, the kind of current used
being that known as single-phase. The overhead system is used,
and the current is led to the wire at a pressure of about 6000 volts.
This current is collected by sliding bows and conveyed to
transformers carried on the trains, from which it emerges at a
pressure of about 300 volts, and is then sent through the motors.
The overhead wires are not fixed directly to the supports as in the
case of overhead tramway wires, but instead two steel cables are
carried by the supports, and the live wires are hung from these. The
effect of this arrangement is to make the sliding bows run steadily
and evenly along the wires without jumping or jolting. If ever
electricity takes the place of steam for long distance railway traffic,
this system, or some modification of it, probably will be employed.
Mention must be made also of the Kearney high speed electric
mono-railway. In this system the cars, which are electrically driven,
are fitted above and below with grooved wheels. The lower wheels
run on a single central rail fixed to sleepers resting on the ground,
and the upper wheels run on an overhead guide rail. It is claimed
that speeds of 150 miles an hour are attainable with safety and
economy in working. This system is yet only just out of the
experimental stage, but its working appears to be exceedingly
satisfactory.
A self-contained electric locomotive has been constructed by the
North British Locomotive Company. It is fitted with a steam turbine
which drives a dynamo generating continuous current, and the
current is used to drive four electric motors. This locomotive has
undergone extensive trials, but its practical value as compared with
the ordinary type of electric locomotive supplied with current from an
outside source is not yet definitely established.
At first sight it appears as though the electric storage cell or
accumulator ought to provide an almost perfect means of supplying
power for self-propelled electric vehicles of all kinds. In practice,
however, it has been found that against the advantages of the
accumulator there are to be set certain great drawbacks, which have
not yet been overcome. Many attempts have been made to apply
accumulator traction to electric tramway systems, but they have all
failed, and the idea has been abandoned. There are many reasons
for the failure of these attempts. The weight of a battery of
accumulators large enough to run a car with a load of passengers is
tremendous, and this is of course so much dead weight to be hauled
along, and it becomes a very serious matter when steep hills have to
be negotiated. When a car is started on a steep up-gradient a
sudden and heavy demand for current is made, and this puts upon
the accumulators a strain which they are not able to bear without
injury. Another great drawback is the comparatively short time for
which accumulators can give a heavy current, for this necessitates
the frequent return of the cars to the central station in order to have
the batteries re-charged. Finally, accumulators are sensitive things,
and the continuous heavy vibration of a tramcar is ruinous to them.
The application of accumulators to automobiles is much more
feasible, and within certain limits the electric motor-car may be
considered a practical success. The electric automobile is superior to
the petrol-driven car in its delightfully easy and silent running, and its
freedom from all objectionable smells. On the other hand high
speeds cannot be attained, and there is the trouble of having the
accumulators re-charged, but for city work this is not a serious
matter. Two sets of accumulators are used, so that one can be left at
the garage to be charged while the other is in use, the replacing of
the exhausted set by the freshly charged one being a matter of only
a few minutes. The petrol-driven car is undoubtedly superior in every
way for touring purposes. Petrol can now be obtained practically
anywhere, whereas accumulator charging stations are comparatively
few and far between, especially in country districts; and there is no
comparison as regards convenience between the filling of a petrol
tank and the charging of a set of accumulators, for one process
takes a few minutes and the other a few hours.
Accumulator-driven locomotives are not in general use, but for
certain special purposes they have proved very satisfactory. A large
locomotive of this kind was used for removing excavated material
and for taking in the iron segments, sleepers, rails, and other
materials in the construction of the Great Northern, Piccadilly, and
Brompton Tube Railway. This locomotive is 50 feet 6 inches long,
and it carries a battery of eighty large “chloride” cells, the total weight
of locomotive and battery being about 64 tons. It is capable of
hauling a load of 60 tons at a rate of from 7 to 9 miles an hour on the
level.
Amongst the latest developments of accumulator traction is a
complete train to take the place of a steam locomotive hauling a
single coach on the United Railways of Cuba. According to the
Scientific American the train consists of three cars, each having a
battery of 216 cells, supplying current at 200 volts to the motors.
Each car has accommodation for forty-two passengers, and the
three are arranged to work on the multiple-unit system from one
master controller. The batteries will run from 60 to 100 miles for each
charging of seven hours.
CHAPTER XII
ELECTRIC LIGHTING

In the first year of the nineteenth century one of the greatest of


England’s scientists, Sir Humphry Davy, became lecturer on
chemistry to the Royal Institution, where his brilliant lectures
attracted large and enthusiastic audiences. He was an indefatigable
experimenter, and in order to help on his work the Institution placed
at his disposal a very large voltaic battery consisting of 2000 cells. In
1802 he found that if two rods of carbon, one connected to each
terminal of his great battery, were first made to touch one another
and then gradually separated, a brilliant arch of light was formed
between them. The intense brilliance of this electric arch, or arc as it
came to be called, naturally suggested the possibility of utilizing
Davy’s discovery for lighting purposes, but the maintaining of the
necessary current proved a serious obstacle. The first cost of a
battery of the required size was considerable, but this was a small
matter compared with the expense of keeping the cells in good
working order. Several very ingenious and more or less efficient arc
lamps fed by battery current were produced by various inventors, but
for the above reason they were of little use except for experimental
purposes, and the commercial success of the arc lamp was an
impossibility until the dynamo came to be a really reliable source of
current. Since that time innumerable shapes and forms of arc lamps
have been devised, while the use of such lamps has increased by
leaps and bounds. To-day, wherever artificial illumination on a large
scale is required, there the arc lamp is to be found.
When the carbon rods are brought into contact and then slightly
separated, a spark passes between them. Particles of carbon are
torn off by the spark and volatilized, and these incandescent
particles form a sort of bridge which is a sufficiently good conductor
for the current to pass across it from one rod to the other. When the
carbons are placed horizontally, the glowing mass is carried upwards
by the ascending currents of heated air, and it assumes the arch-like
form from which it gets its name. If the carbons are vertical the curve
is not produced, a more or less straight line being formed instead.
The electric arc may be formed between any conducting substances,
but for practical lighting purposes carbon is found to be most
suitable.
Either continuous or alternating currents may be used to form
the arc. With continuous current, if the carbon rods are fully exposed
to the air, they gradually consume away, and minute particles of
carbon are carried across from the positive rod to the negative rod,
so that the former wastes at about twice the rate of the latter. The
end of the positive rod becomes hollowed out so as to resemble a
little crater, and the end of the negative rod becomes more or less
pointed. The fact that with continuous current the positive rod
consumes away twice as fast as the negative rod, may be taken
advantage of to decrease the cost of new carbons, by replacing the
wasted positive rod with a new one, and using the unconsumed
1
portion of the old positive rod as a new negative rod. If alternating
current is used, each rod in turn becomes the positive rod, so that no
crater is formed, and both the carbons have the same shape and are
consumed at the same rate. A humming noise is liable to be
produced by the alternating current arc, but by careful construction of
the lamp this noise is reduced to the minimum.

1
In actual practice the positive carbon is made
double the thickness of the negative, so that the
two consume at about the same rate.

If the carbons are enclosed in a suitable globe the rate of


wasting is very much less. The oxygen inside the globe becomes
rapidly consumed, and although the globe is not air-tight, the heated
gases produced inside it check the entrance of further supplies of
fresh air as long as the lamp is kept burning. When the light is
extinguished, and the lamp cools down, fresh air enters again freely.
Arc lamp carbons may be either solid or cored. The solid form is
made entirely of very hard carbon, while the cored form consists of a
narrow tube of carbon filled up with soft graphite. Cored carbons
usually burn more steadily than the solid form. In what are known as
flame arc lamps the carbons are impregnated with certain metallic
salts, such as calcium. These lamps give more light for the same
amount of current. The arc is long and flame-like, and usually of a
striking yellow colour, but it is not so steady as the ordinary arc.
As the carbon rods waste away,
the length of the arc increases, and if
this increase goes beyond a certain
limit the arc breaks and the current
ceases. If the arc is to be kept going
for any length of time some
arrangement for pushing the rods
closer together must be provided, in
order to counteract the waste. In arc
lamps this pushing together, or
“feeding” as it is called, is done
automatically, as is also the first
bringing together and separating of
the rods to start or strike the arc. Fig. Fig. 21.—Diagram showing simple
method of carbon regulation for
21 shows a simple arrangement for
Arc Lamps.
this purpose. A is the positive
carbon, and B the negative. C is the
holder for the positive carbon, and this is connected to the rod D,
which is made of soft iron. This rod is wound with two separate coils
of wire as shown, coil E having a low resistance, and coil F a high
one. These two coils are solenoids, and D is the core, (Chapter VII.).
When the lamp is not in use, the weight of the holder keeps the
positive carbon in contact with the negative carbon. When switched
on, the current flows along the cable to the point H. Here it has two
paths open to it, one through coil E to the positive carbon, and the
other through coil F and back to the source of supply. But coil E has
a much lower resistance than coil F, and so most of the current
chooses the easier path through E, only a small amount of current
taking the path through the other coil. Both coils are now
magnetized, and E tends to draw the rod D upwards, while F tends
to pull it downwards. Coil E, however, has much greater power than
coil F, because a much larger amount of current is passing through
it; and so it overcomes the feeble pull of F, and draws up the rod.
The raising of D lifts the positive carbon away from the negative
carbon, and the arc is struck. The carbons now begin to waste away,
and very slowly the distance between them increases. The path of
the current passing through coil E is from carbon A to carbon B by
way of the arc, and as the length of the gap between A and B
increases, the resistance of this path also increases. The way
through coil E thus becomes less easy, and as time goes on more
and more current takes the alternative path through coil F. This
results in a decrease in the magnetism of E, and an increase in that
of F, and at a certain point F becomes the more powerful of the two,
and pulls down the rod. In this way the positive carbon is lowered
and brought nearer to the negative carbon. Directly the diminishing
distance between A and B reaches a certain limit, coil E once more
asserts its superiority, and by overcoming the pull of F it stops the
further approach of the carbons. So, by the opposing forces of the
two coils, the carbons are maintained between safe limits, in spite of
their wasting away.
PLATE IX.
By permission of Union Electric Co. Ltd.

NIGHT PHOTOGRAPHS, TAKEN BY THE LIGHT OF THE


ARC LAMPS.

The arc lamp is largely used for the illumination of wide streets,
public squares, railway stations, and the exteriors of theatres, music-
halls, picture houses, and large shops. The intense brilliancy of the
light produced may be judged from the accompanying photographs
(Plate IX.), which were taken entirely by the light of the arc lamps.
Still more powerful arc lamps are constructed for use in lighthouses.
The illuminating power of some of these lamps is equal to that of
hundreds of thousands of candles, and the light, concentrated by
large reflectors, is visible at distances varying from thirty to one
hundred miles.
Arc lamps are also largely used for lighting interiors, such as
large showrooms, factories or workshops. For this kind of lighting the
dazzling glare of the outdoor lamp would be very objectionable and
harmful to the eyes, so methods of indirect lighting are employed to
give a soft and pleasant light. Most of the light in the arc lamp comes
from the positive carbon, and for ordinary outdoor lighting this carbon
is placed above the negative carbon. In lamps for interior lighting the
arrangement is frequently reversed, so that the positive carbon is
below. Most of the light is thus directed upwards, and if the ceiling is
fairly low and of a white colour the rays are reflected by it, and a soft
and evenly diffused lighting is the result. Some light comes also from
the negative carbon, and those downward rays are reflected to the
ceiling by a reflector placed beneath the lamp. Where the ceiling is
very high or of an unsuitable colour, a sort of artificial ceiling in the
shape of a large white reflector is placed above the lamp to produce
the same effect. Sometimes the lamp is arranged so that part of the
light is reflected to the ceiling, and part transmitted directly through a
semi-transparent reflector below the lamp. The composition of the
light of the arc lamp is very similar to that of sunlight, and by the use
of such lamps the well-known difficulty of judging and matching
colours by artificial light is greatly reduced. This fact is of great value
in drapery establishments, and the arc lamp has proved a great
success for lighting rooms used for night painting classes.
The powerful searchlights used by warships are arc lamps
provided with special arrangements for projecting the light in any
direction. A reflector behind the arc concentrates the light and sends
it out as a bundle of parallel rays, and the illuminating power is such
that a good searchlight has a working range of nearly two miles in
clear weather. According to the size of the projector, the illumination
varies from about 3000 to 30,000 or 40,000 candle-power. For some
purposes, such as the illuminating of narrow stretches of water, a
wider beam is required, and this is obtained by a diverging lens
placed in front of the arc. In passing through this lens the light is
dispersed or spread out to a greater or less extent according to the
nature of the lens. Searchlights are used in navigating the Suez
Canal by night, for lighting up the buoys along the sides of the canal.
The ordinary form of searchlight does this quite well, but at the same
time it illuminates equally an approaching vessel, so that the pilot on
this vessel is dazzled by the blinding glare. To avoid this dangerous
state of things a split reflector is used, which produces two separate
beams with a dark space between them. In this way the sides of the
canal are illuminated, but the light is not thrown upon oncoming
vessels, so that the pilots can see clearly.
Glass reflectors are much more efficient than metallic ones, but
they have the disadvantage of being easily put out of action by
gunfire. This defect is remedied by protecting the glass reflector by a
screen of wire netting. This is secured at the back of the reflector,
and even if the glass is shattered to a considerable extent, as by a
rifle bullet, the netting holds it together, and keeps it quite
serviceable. Reflectors protected in this way are not put out of action
by even two or three shots fired through them. Searchlight arcs and
reflectors are enclosed in metal cylinders, which can be moved in
any direction, vertically or horizontally.
In the arc lamps already described, a large proportion of the light
comes from the incandescent carbon electrodes. About the year
1901 an American electrician, Mr. P. C. Hewitt, brought out an arc
lamp in which the electrodes took no part in producing the light, the
whole of which came from a glowing stream of mercury vapour. This
lamp, under the name of the Cooper-Hewitt mercury vapour lamp,
has certain advantages over other electric illuminants, and it has
come into extensive use.
Fig. 22.—Sketch of Mercury Vapour Lamp.

It consists of a long glass tube, exhausted of air, and containing


a small quantity of mercury. Platinum wires to take the current from
the source of supply are sealed in at each end. The tube is attached
to a light tubular framework of metal suspended from the ceiling, and
this frame is arranged so that it can be tilted slightly downwards by
pulling a chain. As shown in Fig. 22, the normal position of the lamp
is not quite horizontal, but tilted slightly downwards towards the end
of the tube having the bulb containing the mercury. The platinum
wire at this end dips into the mercury, so making a metallic contact
with it. The lamp is lighted by switching on the current and pulling
down the chain. The altered angle makes the mercury flow along the
tube towards the other platinum electrode, and as soon as it touches
this a conducting path for the current is formed from end to end of
the tube. The lamp is now allowed to fall back to its original angle, so
that the mercury returns to its bulb. There is now no metallic
connexion between the electrodes, but the current continues to pass
through the tube as a vacuum discharge. Some of the mercury is
immediately vaporized and rendered brilliantly incandescent, and so
the light is produced. The trouble of pulling down the chain is
avoided in the automatic mercury vapour lamp, which is tilted by an
electro-magnet. This magnet is automatically cut out of circuit as
soon as the tilting is completed and the arc struck.
The average length of the tube in the ordinary form of mercury
vapour lamp is about 30 inches, and a light of from 500 to 3000
candle-power is produced, according to the current used. Another
form, known as the “Silica” lamp, is enclosed in a globe like that of
an ordinary electric arc lamp. The tube is only about 5 or 6 inches in
length, and it is made of quartz instead of glass, the arrangements
for automatically tilting the tube being similar to those in the ordinary
form of lamp.
The light of the mercury vapour lamp is different from that of all
other lamps. Its peculiarity is that it contains practically no red rays,
most of the light being yellow, with a certain proportion of green and
blue. The result is a light of a peacock-blue colour. The absence of
red rays alters colour-values greatly, scarlet objects appearing black;
and on this account it is impossible to match colours by this light. In
many respects, however, the deficiency in red rays is a great positive
advantage. Every one who has worked by mercury vapour light must
have noticed that it enables very fine details to be seen with
remarkable distinctness. This property is due to an interesting fact.
Daylight and ordinary artificial light is a compound or mixture of rays
of different colours. It is a well-known optical fact that a simple lens is
unable to bring all these rays to the same focus; so that if we sharply
focus an image by red light, it is out of focus or blurred by blue light.
This defect of the lens is called “chromatic aberration.” The eye too
suffers from chromatic aberration, so that it cannot focus sharply all
the different rays at the same time. The violet rays are brought to a
focus considerably in front of the red rays, and the green and the
yellow rays come in between the two. The eye therefore
automatically and unconsciously effects a compromise, and focuses
for the greenish-yellow rays. The mercury vapour light consists very
largely of these rays, and consequently it enables the image to be
focused with greater sharpness; or, in other words, it increases the
acuteness of vision. Experiments carried out by Dr. Louis Bell and
Dr. C. H. Williams demonstrated this increase in visual sharpness
very conclusively. Type, all of exactly the same size, was examined
by mercury vapour light, and by the light from an electric
incandescent lamp with tungsten filament. The feeling of sharper
definition produced by the mercury vapour light was so strong that
many observers were certain that the type was larger, and they were
convinced that it was exactly the same only after careful personal
examination.
Mercury vapour light apparently imposes less strain upon the
eyes than ordinary artificial light, and this desirable feature is the
result of the absence of the red rays, which, besides having little
effect in producing vision, are tiring to the eyes on account of their
heating action. The light is very highly actinic, and for this reason it is
largely used for studio and other interior photographic work. In cases
where true daylight colour effects are necessary, a special
fluorescent reflector is used with the lamp. By transforming the
frequency of the light waves, this reflector supplies the missing red
and orange rays, the result being a light giving normal colour effects.
Another interesting vapour lamp may be mentioned briefly. This
has a highly exhausted glass tube containing neon, a rare gas
discovered by Sir William Ramsay. The light of this lamp contains no
blue rays, and it is of a striking red colour. Neon lamps are used
chiefly for advertising purposes, and they are most effective for
illuminated designs and announcements, the peculiar and distinctive
colour of the light attracting the eye at once.
An electric current meets with some resistance in passing
through any substance, and if the substance is a bad conductor the
resistance is very great. As the current forces its way through the
resistance, heat is produced, and a very thin wire, which offers a
high resistance, may be raised to a white heat by an electric current,
and it then glows with a brilliant light. This fact forms the basis of the
electric incandescent or glow lamp.
In the year 1878, Thomas A. Edison set himself the task of
producing a perfect electric incandescent lamp, which should be
capable of superseding gas for household and other interior lighting.
The first and the greatest difficulty was that of finding a substance
which could be formed into a fine filament, and which could be kept
in a state of incandescence without melting or burning away.
Platinum was first chosen, on account of its very high melting-point,
and the fact that it was not acted upon by the gases of the air.
Edison’s earliest lamps consisted of a piece of very thin platinum
wire in the shape of a spiral, and enclosed in a glass bulb from which
the air was exhausted. The ends of the spiral were connected to
outside wires sealed into the bulb. It was found, however, that
keeping platinum continuously at a high temperature caused it to
disintegrate slowly, so that the lamps had only a short life. Fine
threads or filaments of carbon were then tried, and found to be much
more durable, besides being a great deal cheaper. The carbon
filament lamp quickly became a commercial success, and up to quite
recent years it was the only form of electric incandescent lamp in
general use.
In 1903 a German scientist, Dr. Auer von Welsbach, of
incandescent gas mantle fame, produced an electric lamp in which
the filament was made of the metal osmium, and this was followed
by a lamp using the metal tantalum for the filament, the invention of
Siemens and Halske. For a while the tantalum lamp was very
successful, but more recently it has been superseded in popularity
by lamps having a filament of the metal tungsten. The success of
these lamps has caused the carbon lamp to decline in favour. The
metal filaments become incandescent much more easily than the
carbon filament, and for the same candle-power the metal filament
lamp consumes much less current than the carbon lamp.
The construction of tungsten lamps is very interesting. Tungsten
is a very brittle metal, and at first the lamps were fitted with a number
of separate filaments. These were made by mixing tungsten powder
with a sort of paste, and then squirting the mixture through very
small apertures, so that it formed hair-like threads. Early in 1911
lamps having a filament consisting of a single continuous piece of
drawn tungsten wire were produced. It had been known for some
time that although tungsten was so brittle at ordinary temperatures, it
became quite soft and flexible when heated to incandescence in the
lamp, and that it lost this quality again as soon as it cooled down. A
process was discovered by which the metal could be made

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