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IssuePaperSmugglingofMigrantsbySeaIssuePaper:SmugglingofMigrantsbySeaPage2of71UnitedNations,2011.Allrightsreserved.Thispublicationhasnotbeenformallyedited.IssuePaper:SmugglingofMigrantsbySeaPage3of71IssuePaper:SmugglingofMigrantsbySeaContentsAcknowledgements................................................................................................................6 ExecutiveSummary................................................................................................................7 1. OVERVIEWOFMIGRANTSMUGGLINGBYSEA .......................................................................9 1.1. Definitionofsmugglingofmigrants.......................................................................10 1.2. Extent,patterns,routesandtrends.......................................................................10 1.2.1. Aglobalsnapshot:smugglingbysearelativetosmugglingbylandandair......11 1.2.2. Europe ................................................................................................................12 1.2.3. MiddleEast.........................................................................................................16 1.2.4. Americas.............................................................................................................16 1.2.5. EastAsiaandthePacific.....................................................................................18 2. MODUSOPERANDI ..............................................................................................................19 2.1. Actorsandrolesinmigrantsmugglingbysea .......................................................19 2.1.1.Profileofmigrantsmugglers .................................................................................19 2.1.2.Profileofsmuggledmigrants ................................................................................22 2.2. Journeytothecoast...............................................................................................23 2.2.1. Landandairtravel .............................................................................................23 2.2.2. Recruitment .......................................................................................................24 2.2.3. Safehouses ........................................................................................................25 2.3. Theseajourney......................................................................................................26 2.3.1. Embarkationanddeparture...............................................................................26 2.3.2. TransportandEquipment ..................................................................................27 2.3.3. Pilotingtheboat.................................................................................................30 2.3.4. Conditionsatsea................................................................................................30 2.3.5. Arrivalorinterception........................................................................................31 2.3.6. Deathsatsea......................................................................................................32 2.4. Fees,paymentsandprofits....................................................................................34 2.4.1. Fees ....................................................................................................................34 2.4.2. Payments............................................................................................................35 2.4.3. Profits .................................................................................................................35 3. RESPONSEandCHALLENGES ................................................................................................36 IssuePaper:SmugglingofMigrantsbySeaPage4of713.1.Encounteringmigrantsmugglingatsea .......................................................................36 3.1.1.Detection...............................................................................................................36 3.1.2.Interception...........................................................................................................38 3.1.3.Rescue ...................................................................................................................40 3.1.4.Assistanceandprotection.....................................................................................42 3.2.Investigationandprosecution ......................................................................................45 3.2.1.LegislativeFramework ..........................................................................................45 3.2.2.Identificationofsmugglersonboardboats ..........................................................46 3.2.3.Investigatinglandbasedorganisers .....................................................................46 3.3.Prevention.....................................................................................................................47 3.3.1.AddressingRootCauses ........................................................................................47 3.3.2.AwarenessRaising.................................................................................................48 3.3.3.Interceptsmugglingvesselsbeforedeparture .....................................................49 3.3.4.Increasedresearch,datacollectionandinformationsharing ..............................50 3.4.Cooperation ..................................................................................................................51 3.4.1.Internationalcooperation .....................................................................................51 3.4.2.Bilateralandregionalcooperation .......................................................................53 3.4.3.Interagencycooperation.......................................................................................54 4. SUGGESTIONSFORCONSIDERATIONANDDISCUSSION .......................................................55 4.1Encounteringmigrantsmugglingatsea ........................................................................55 4.1.1.Detection...............................................................................................................55 4.1.2.Interception...........................................................................................................55 4.1.3.Rescue ...................................................................................................................56 4.1.4.Assistanceandprotection.....................................................................................57 4.2Investigationandprosecution .......................................................................................57 4.2.1.LegislativeFramework ..........................................................................................57 4.2.2.Identificationofsmugglersonboardboats ..........................................................58 4.2.3.Investigatinglandbasedsmugglers......................................................................58 4.3Prevention......................................................................................................................59 4.3.1.Addressingrootcauses .........................................................................................59 4.3.2.Awarenessraising..................................................................................................59 4.3.3.Interceptsmugglingvesselsbeforedeparture .....................................................60 4.3.4.Increasedresearch,datacollectionandinformationsharing ..............................60 IssuePaper:SmugglingofMigrantsbySeaPage5of714.4Cooperation ...................................................................................................................61 4.4.1.Internationalcooperation .....................................................................................61 4.4.2.Bilateralandregionalcooperation .......................................................................61 4.4.3.Interagencycooperation.......................................................................................62 ANNEXMigrantSmugglingProtocolExtracts ...........................................................................64 ANNEXRelevantUNODCResources.........................................................................................66 IssuePaper:SmugglingofMigrantsbySeaPage6of71AcknowledgementsThisIssuePaperwasdraftedbyMsMarikaMcAdamunderthesupervisionofMsMorganeNicot(UNODC). Special thanks are also extended toMs Alexia Taveau andMr Fabrizio Sarrica ofUNODC for their inputs.This IssuePaperwouldnothavebeenpossiblewithout thegeneroussupportoftheFrenchgovernment.This IssuePaperwasdrafted largelyon thebasisof answers received toquestionnaires anddiscussionsthattookplaceinthecontextofanexpertgroupmeetingheldinVienna,Austriaonthe13thtothe15thofSeptember2011.UNODCwouldliketoextenditssincerethankstothoseexpertswhogavetheirtimeandenthusiasmtothisprocess.TheircontributionstoandsupportoftheworkofUNODCaredeeplyappreciated.MrSurangaAlgewatteMrScottBjerregaardMrGoranBorovnikCommandantAlainBouedoMrEnriqueCamargoMrDarjoCizelMrAlexanderDalliMrAlessandroDiTollaMrLarsHammarstedtLic.AnglicaHerreraRiveroMrTamerKstekliMrPierreLapaqueLieutenantCommanderJeanLouisLebegueJonesCaptaineAlexandraLefebvreDr.PatriciaMalliaMajorClintonONeillMsPlyumanthiPeirisMrJulianPerezAssistantSuperintendantAlfisSuhailiMrLanceThomasCommissaireMamadouThiandoumIssuePaper:SmugglingofMigrantsbySeaPage7of71ExecutiveSummarySmugglingofmigrantsisdefinedbyArticle3oftheMigrantSmugglingProtocolsupplementingtheUnitedNationsTransnationalOrganizedCrimeConvention(UNTOC),as...theprocurement,inordertoobtain,directlyorindirectly,afinancialorothermaterialbenefit,oftheillegalentryofapersonintoastatepartyofwhichthepersonisnotanational.Thespecificnatureoftheseabasedcomponentofthesmuggling journeyresulted inadedicatedsectiononthe issue intheMigrantSmugglingProtocol.While smugglingby seaaccountsonly fora smallportionofoverallmigrant smuggling around theworld, theparticulardangersof irregular travel at seamake it a priority for response; thoughmoremigrant smuggling occurs by air,more deathsoccurbysea.The journeyof themigrantsmuggledbyseaoftenstartsasignificantdistanceaway from thecoastofdeparture.Somejourneystothecoastmaytakemeredays,butotherscantakeplaceover years during which themigrantmust work en route to raisemoney for his passage.Arduousdesertcrossingsandvictimizationbysmugglersandothercriminalsenroutemeanthatsome do not survive overland journeys to the coast. Contrasted with these extremeexperiences,economicallyempoweredmigrantscanaffordahigher levelofsmugglingserviceand may experience no particular hardship, simply travelling through various internationalairporthubstowardthecoastalcountryfromwheretheirseajourneycommences.The typeandsizeofvesselused tosmugglemigrantsbyseadependson the time,placeandfinancialcapacityofmigrantsundertaking thesmuggling journey. In somecountries,boatsofonlyahandfulofpassengersarecommonlyinterceptedbyauthorities,whileinothersvesselsofseveralhundredpeoplehavebeenused. Whilevoyagesmaybecomfortablewhenconditionsatseaaremildandthevesselisequippedwithadequatefood,waterandsanitation,thejourneyisaharrowingoneforthemajorityofmigrantswhoreportroughconditions,terriblecoldandscarcefoodandwater.Thenatureofthecrimeanditsrelationshipwithsmugglingofmigrantsbylandandbyairmeansthat it isasuccessfulcrime type thatyieldshighprofits forsmugglerswithall the risksbeingbornebymigrants.Indeed,migrantsmugglingbyseacanbeunderstoodasacriminalbusiness,whichiscompetitivelyrunassuch.Smugglingbyseaisgenerallycarriedoutbyflexiblecriminalgroupsorindividualsoperatingonthebasisofrepeatedcontractualarrangements,ratherthanbyhierarchicalorganizations.Therearetwomethodsusedwhenvesselsapproachcoastsofdestination.Oneaimstoreachlandbyevadingdetectionbyauthorities,theothersetsouttobedetectedand interceptedorrescuedbyauthorities interritorialwatersofdestinationcoastalcountries. Inbothsituations,detectingsmugglingvesselsatsea isakeychallengeforcoastalstateswhichmayhave limitedresourcesandlargesearchandrescueareasofresponsibility.Upon detecting vessels, the key challenge is to balance objectives with obligations atinternational law, including the Migrant Smuggling Protocol. Smugglers are generally wellinformedaboutstatesprotectionobligationsandacttoexploitthem,instructingmigrantswhatto do upon interception to increase their chances of gaining entry into and remaining incountriesofdestination.For instance,officialsresponsiblefor interceptingvesselsatseahavebeenfacedwithsituationsofpeoplesabotagingtheirownvesselstoforceauthoritiestocarryout rescues. Suggestionsmade in respect of encounteringmigrant smuggling at sea includeIssuePaper:SmugglingofMigrantsbySeaPage8of71increased support of coastal states through joint patrols and provision of resources, andincreased compliance with international legal standards and obligations in carrying outinterceptionsofsmugglingvesselsatsea.Whilerespondingtothesituationathandandensuringthatpersonsonboardareappropriatelyassisted,akeychallenge is toseizeevidentiaryopportunities to investigatesmugglingrelatedcrimes.Thecomplexnatureofmigrant smugglingnetworksand theirmodusoperandimeansthatsmugglerscannotbeidentifiedpurelybylookingtosmugglerswhomaybeonboardboats;the transnationalcriminalnetwork itselfmustbe traced fromasmugglingvessel,back to thecoastofembarkation,andfromtherebacktocountriesoftransitandorigin.Suggestionsmadefor improved investigationandprosecutionofmigrant smugglingby sea includeharmonizingdomestic legislation with the UNTOC and the Migrant Smuggling Protocol. Further it issuggestedthatsentencesimposedforsmugglingoffencesbepublicizedasameansofdeterringwouldbe smugglers. Capacity building measures are also suggested so as to increaseidentification of smugglers on vessels, and to better link seabased crimeswith landbasedsmugglers.Preventingmigrantsmugglingbysearequiresstatestobalancetheirobligationsininternationallawwith their legitimate interests inprotecting state sovereignty fromviolationbyorganizedcrime groups. But law enforcement efforts alone are not adequate to prevent migrantsmugglingbysea;theMigrantSmugglingProtocolstressesthatpreventioneffortsmustaddressrootcausesthatleadapersonintothehandsofsmugglersinthefirstplace.Suggestionsmadefor preventingmigrant smuggling at sea include raising awareness about the dangers of seasmuggling journeys and the criminality of smuggling. Suggestions are also made to raiseawarenessofthosewhoinfluencepoliticalandpolicydecisions,sopoliciesputinplaceprotectstate sovereignty,uphold internationalobligations, and arenot vulnerable toexploitationbysmugglers. Also emphasised is the responsibility of coastal states of departure to interceptsmuggling vessels before they embark on sea journeys. Beyond this, comprehensive datacollection,analysisandresearcharesuggestedtostrengthenevidencebasedresponses.Experts from countries of origin, transit and destination unanimously agree that the mostessential ingredient foreffectiveandcomprehensive response tomigrant smugglingby sea isstrengthened international cooperation to remove areas of impunity for smugglers alongsmuggling routes.Suggestionsmade forcooperating in response tomigrant smugglingat seaincludealigningactivitieswiththeMigrantSmugglingProtocolandincreasingtheroleofUNODCin facilitating cooperative response. The value of bilateral and regional cooperationarrangements is stressed,with emphasis on flexible cooperative networks for effective andefficient ontheground response. Regular coordination meetings and joint operations aresuggested to improve strategic and operational interagency coordination, as is theempowermentofcentraldesignatedauthoritiestoaddressmigrantsmugglingbysea.Inshort,while it isdifficult tomakegeneralizationsaboutmigrantsmugglingbysea, twokeypointsholdtruearoundtheworld.Firstly,migrantsmugglingbyseaisthemostdangeroustypeof smuggling for the migrants concerned, making it a priority concern for State response.Secondly,efforts to combat smugglingofmigrantswillbeunsuccessfulunless cooperation isstrengthened not only between countries of sea departure and arrival, but also among thecountriesoforigin,transitanddestinationalongtheentiresmugglingroute.*****IssuePaper:SmugglingofMigrantsbySea1. OVERVIEWOFMIGRANTSMUGGLINGBYSEAAttempting to isolate the issue of migrant smuggling by sea from other forms of migrantsmugglingisinsomewaysanartificialandpotentiallymisleadingexercise.Migrantsmugglingbysea generally occurs as part of a wider smuggling process often involving land and/or airmovements.Furthermore,thecomplexnatureofcriminalmigrantsmugglingnetworksandtheirmodus operandimeans that smugglers who use sea routes cannot be identified purely bylooking to thesea; the transnationalcriminalnetwork itselfmustbe traced fromasmugglingvessel,backtothecoastofembarkation,andfromtherebacktocountriesoftransitandorigin.However,thespecificnatureoftheseabasedcomponentofthesmugglingjourneyresultedinadedicated sectionon the issue in theMigrant SmugglingProtocol, supplementing theUnitedNationsTransnationalOrganizedCrimeConvention(UNTOC).Theuniquechallengesinvolvedinaddressing the crimealso inspiredResolution5/3of the5thConferenceofParties to theUNConventionagainstTransnationalOrganizedCrime, inwhichStatesParties requestUNODC toprepareanIssuePaperonthetopic.ThisIssuePaper isoffered inresponsetothatrequest, inthehopethatreaderswillconsidertheissuesaddressedhereininthewidercontextofmigrantsmuggling,whichisatransnationalcrimethattranscendsland,airandseaborders,andrequiresaresponsethatdoeslikewise.This Issue Paper is the product of discussions held in Vienna at an expert group meetingdedicated tosmugglingofmigrantsbysea.The IssuePaper isalsobasedonadeskreviewofPage9of71IssuePaper:SmugglingofMigrantsbySeaPage10of71researchcarriedoutontheissue,withparticularemphasisonexistingUNODCmaterialsaboutsmugglingofmigrantsmoregenerally,and theProtocolagainst theSmugglingofMigrantsbyLand, Sea and Air, supplementing the United Nations Convention against TransnationalOrganizedCrime(theMigrantSmugglingProtocol).1.1. DefinitionofsmugglingofmigrantsArticle3oftheMigrantSmugglingProtocoldefinesmigrantsmugglingas:...theprocurement,inordertoobtain,directlyorindirectly,afinancialorothermaterialbenefit,of the illegalentryofaperson intoastatepartyofwhich theperson isnotanational.Article 6 of theMigrant Smuggling Protocol requires the criminalization of this conduct. Inaddition,Article6requiresStatestocriminalizethefollowingconduct:enablingaperson to remain inacountrywhere theperson isnota legal residentorcitizenwithoutcomplyingwith requirements for legally remainingby illegalmeans inordertoobtainafinancialorothermaterialbenefit.Inshort,thecombinationofthefollowingelementsconstitutesmigrantsmugglingandrelatedconduct:1. Eithertheprocurementofanillegalentryorillegalresidenceofaperson;2. Intoorinacountryofwhichthatpersonisnotanationalorpermanentresident;3. Forthepurposeoffinancialorothermaterialbenefit.ItisclearthatthefocusoftheMigrantSmugglingProtocolisoncriminalizationofsmugglingofmigrants while protecting the rights ofmigrants. This fact is clarified by the statement ofpurposecontainedinArticle2oftheProtocol.Further,Article5statesthatmigrantsshallnotbeliableforprosecutionundertheProtocolforhavingbeensmuggled.Inthisrespect,Article6(4)mustalsobenoted,whichexplains that nothing in thisProtocol shallpreventa StatePartyfromtakingmeasuresagainstapersonwhoseconductconstitutesanoffenceunderitsdomesticlaw.11.2. Extent,patterns,routesandtrendsIt is important to acknowledge the shortcomings of the information available on migrantsmugglingbysea, limitedbydatacollectionmethodologiesusedand inconsistenciesbetweenthem. Often detailed information is collected about the extent of irregular migration, itspatterns, routesand trends,but it isnotdisaggregatedaccording to land, seaandair routes.Beyond this, where it has been disaggregated according to land, sea and air routes andmethods,oftentheextenttowhichsegmentsofroutesarefacilitatedbymigrantsmugglers is1ThefactthatmeremigrantsarenotthetargetoftheProtocol,andtheneutralityoftheProtocolwithrespecttowhethermeremigrantsshouldbethesubjectofanyotheroffenceisfurtherexplainedintheUNODCModelLawagainstSmugglingofMigrants,atpp.67.SeeANNEXRelevantUNODCResources.IssuePaper:SmugglingofMigrantsbySeaPage11of71not considered.Moreover, inmany countries and regions of the world, information aboutirregularmigrationandmigrantsmugglingissimplynotcollectedandanalysed.Inlightoftheseconsiderations, this section aims only to provide an overview ofmigrant smuggling by seaaroundtheworld,anddoesnotpretendtoofferacomprehensivepicture.1.2.1. Aglobalsnapshot:smugglingbysearelativetosmugglingbylandandairAccording to the2009UNDPHumanDevelopmentReport, thereareanestimated50millionirregular internationalmigrants in theworld today, a significant number ofwhom paid forassistance to illegally crossborders.2 Thisnumber isbelieved tohave increased since.Whileprecisenumbersofpeoplewhoaresmuggledinthecourseofirregularmigrationisnotknown,itisincreasinglyassumedthatanoverwhelmingnumberofirregularmigrantsusetheservicesofsmugglingnetworksatsomestageintheirjourney.3Theproportionof irregularmigrationthatoccursbyuseofsmugglingbyseamustbeput intoperspective,relativetoothermodusoperandi.For instance, intheEuropeanUniondespiteanincreaseinirregularmigrationbyseainthefirsthalfof2011,thehighestnumbersofirregularentriesoverallcomeby landandair.4 Inotherregionsoftheworld,migrantsmugglingbyseaalsoaccountsforsignificantlylesssmugglingthanairorlandroutes.Insomecountries,amorepopularmethodofachievingmigratoryobjectivesthanenteringacountrybyirregularmeans,istoenterregularlyandthenoverstayvisas.In2010,therewere6555irregularmaritimearrivalsinAustraliawithmostmigrantsbyseaarrivingatorbroughttooffshoreterritories,withonlyaminimalnumberreachingtheAustralianmainland.ThesameistruewithrespecttoFranceforinstance,wheremaritimesmugglingdoesnotaffectmetropolitanFrancebutoccurs from theComorosislandstotheFrenchterritoryofMayotteofftheeastcoastofAfrica.In theUnitedStatesofAmerica,while thereare irregulararrivalsby sea from theDominicanRepublic, Bahamas, Cuba and Haiti, significantlymore peoplemigrate irregularly byway ofsouthern landborders.Ofthosewhodo irregularlycrossmaritimeborders,mostarefoundtodosowithoutusingtheservicesofsmugglers.LikewiseinCanada,thenumbersofunfacilitatedentries were higher than migrant smuggling interdictions, with most irregular migrantsarranging theirown journey andborder crossings via land.5Contrasted to theUnited Statessituationhowever, inrecentyearsCanadahasexperienced incidentsof largenoncommercialvesselsofseveralhundredpassengersarrangedbysmugglers.6Meanwhile, sea smuggling can be considered the predominant means of smuggling whenconsideredfromtheperspectiveofparticularcategoriesofsmuggledmigrants.JourneysacrosstheGulfofAdenforinstancemaybeundertakenforlackofalternativechoice.Inotherwords,whileseasmugglingisonlyonesegmentoftheoverallsmugglingprocess,insomepartsofthe2UNDP,HumanDevelopmentReport2009,http://www.undp.org/hdr2009.shtml.3Seeforinstance,ICMPDImap,https://www.imapmigration.org/index2.hmlandhttps://www.imapmigration.org/pages/en/migrationroutes.htmlaccessedon19July2011.4EuropeanCouncilonRefugeesandExiles,DefendingRefugeesAccesstoProtectioninEurope,December2007,availableathttp://www.unhcr.org/refworld/docid/4766464e2.html,p.41.5CanadaUnited States IBET ThreatAssessment2010 (ReportingonYear2009),http://www.rcmpgrc.gc.ca/ibeteipf/reportsrapports/2010threatmenaceeng.htm#ii.6Seeforinstance,Policeinvestigatingrefugeeboattoseeifhumansmugglinglawsviolated:VicToews,TheStar,13 August 2010, http://www.thestar.com/news/canada/article/847883policeinvestigatingrefugeeboattoseeifhumansmugglinglawsviolatedtoews?bn=1,accessedon25October2011.https://www.imap-migration.org/index2.hmlhttps://www.imap-migration.org/pages/en/migrationroutes.htmlhttps://www.imap-migration.org/pages/en/migrationroutes.htmlhttp://www.unhcr.org/refworld/docid/4766464e2.htmlhttp://www.rcmp-grc.gc.ca/ibet-eipf/reports-rapports/2010-threat-menace-eng.htm#iihttp://www.rcmp-grc.gc.ca/ibet-eipf/reports-rapports/2010-threat-menace-eng.htm#iihttp://www.thestar.com/news/canada/article/847883--police-investigating-refugee-boat-to-see-if-human-smuggling-laws-violated-toews?bn=1http://www.thestar.com/news/canada/article/847883--police-investigating-refugee-boat-to-see-if-human-smuggling-laws-violated-toews?bn=1IssuePaper:SmugglingofMigrantsbySeaPage12of71world, for some people it may be the only means of travel available. Economicallydisempoweredpersonsatthelowcostsectorofthesmugglingmarketmayundertakeriskyseajourneysbecauseofthelacktheresourcestoaffordsafermethodsoftravel.Thepointtoemergeisthatwhilesmugglingbyseaaccountsonlyforasmallportionofoverallmigrantsmugglingaroundtheworld,someStatesaredisproportionatelyaffected.Addedtothisis the fact that theparticulardangersof irregular travelat seamake itapriorityconcern forresponse; thoughmoremigrant smugglingoccursbyair it isclear thatmoredeathsoccurbysea.1.2.2. EuropeThe International Centre onMigration Policy Development (ICMPD) estimates that between100,000and120,000migrantsandpersons inneedofprotectioncrosstheMediterraneanSeaeveryyearwithoutnecessarydocuments.7In2010,EuropeanUnionMemberStatesandSchengenAssociatedCountriesreportedatotalof104,049detectionsof illegalbordercrossingatseaand landbordersoftheEuropeanUnion.8Thenumberofthosecrossingsthatwere facilitated isdifficulttoascertaingiventhedifferentdefinitions applied by Member States; however, in 2010 there were 8629 detections offacilitators.9Thedetectionratesofariscomparablein2011.Thisfigurecanimplythattherearefewsmugglersinvolvedinorchestratingirregularmigration,orthatfacilitatorsofsmugglingarenotoriouslydifficulttoapprehend.ThetotalnumberofAfricanmigrantsapprehendedatseaborderswithintheEuropeanUnionin2008waslikelybetween52,000and54,000;numbersthatareclosetothenumberofmigrantsthat paid to be smuggled.10 Not all smuggledmigrants are intercepted at sea borders; anestimated 1000 migrants died or disappeared in 2008; the same year that the crime ofsmugglingmigrants from Africa to Europewas calculated to have grossed around USD$150million.11In its2010TransnationalOrganizedCrimeThreatAssessmentUNODCestimatesthatthetrendofsmugglingofmigrants fromAfricatoEurope isdeclining.12FRONTEX (theEuropeanagencyresponsible for integrated border management) also reported that migrant flows by seasignificantly decreased from a peak in 2008 to a low in 2009 and 2010. Therewere 11,766arrivalsof irregularmigrantsby seabetween JanuaryandSeptemberof2010 representinga70%decreasefromthesameperiodfortheyearbefore.13However,most recent information shows an increase in sea trends in the first half of 2011following the political changes resulting from the Arab Spring and particularly the Libyan7ICMPD,IrregularTransitMigrationintheMediterranean,citedinA.FischerLescanoetal.,BorderControlsatSea:RequirementsunderInternationalHumanRightsandRefugeeLaw,21InternationalJournalofRefugeeLaw(2009)256,at257.8FRONTEXAnnualRiskAnalysis2011,WarsawApril2011,p.13.9FRONTEXAnnualRiskAnalysis2011,WarsawApril2011,p.13.10UNODC,TransnationalOrganisedCrimeThreatAssessment,2010,Chapter3,SmugglingofMigrants,p.75.11UNODC,TransnationalOrganisedCrimeThreatAssessment,2010,Chapter3,SmugglingofMigrants,p.76.12UNODC,TransnationalOrganizedCrimeThreatAssessment,2010,Chapter3,SmugglingofMigrants,p.67.13UNODC,IssuePaper:TransnationalOrganizedCrimeintheFishingIndustry2011,p.6061.IssuePaper:SmugglingofMigrantsbySeaPage13of71conflict.Indeed, in itsmostrecentreport,FRONTEXnotesthatwithoutdoubttherehasbeenincreasedpressureonEuropesexternalbordersowingtotwokeyroutes;oneacrossthe landborder from Turkey to Greece, and the second from Libya to Italian islands across theMediterranean Sea.14 In the second quarter of 2011,while trends at the land borderwererelativelystable,incontrastdetectionsincreasedatseaborders.Therewere27,500detectionsinthisperiod,aninefold increasefromtheyearbefore.Ofthosedetections,95%were intheCentralMediterraneanregion.15CentralMediterraneanGenerally, there has found to be an increase in smuggling of migrants in the number ofinterceptions of unauthorizedmigrants along the Italian, Spanish andMaltese coasts since2000.16Almostall irregularmigrantsarriving in thesecountriesareAfricans.17Around65,000irregularmigrantslandedinthesethreecountriesin2006and40,000in2007representing23%ofall illegalborder crossingsdetected in theEU in that year.18Afternegligibledetections in2010,therewerearound50,000detectionsforthefirsthalfof2011alone.19TheArab Spring of 2011 has andwill continue to have an impact on smuggling routes. TheItalian islandofLampedusa isstillapreferreddestination,butportsofdeparturehaveshifted.STATTConsultingcorrectlypredictedanincreaseinthenumberofboatsleavingfromTunisia.20While former routes suchas theuseofGibraltarandTunisiahadalmostdisappeared, recentstatistics show that there was a surge of Tunisian nationals travelling on the CentralMediterranean route in the first quarter of 2011 fleeing unrest in their home country.Accelerated readmissionagreementsbetween ItalyandTunisia reduced this figureby75% inthesecondquarteroftheyear,buttheoverallnumberofdetectionsonthisroute increased.Manymigrantstravellingthisroutedoso independently,withouttheassistanceofsmugglers.However, there is also intelligence showing that Tunisian smugglers aremoving operationsclosertoLibyasoastocollaboratewiththeLibyanarmyloyaltothelateGaddafi,andthattheirmodusoperandiissimilartoLibyansmugglers,collectingmigrants,moneyandorganisingthosewhoprepareboats.21Inthe lastdecade,LibyawasthemainhubforMediterraneancrossingsfromAfricatoEurope,particularlytoMaltaandItaly.ThesmallislandStateofMaltafacessignificantchallenges.MaltaisatransitpointformigrationroutesfromtheSouthto intendedfinaldestinations inEurope.Despite its small size (around 300 square kilometres) and population (around 400,000), itssearch and rescue area spans260,000 square kilometres.Malta alsohasproportionately thegreatest number ofmigrants per capita of the population; in 2008 the number ofmigrant14FRANQuarterly,Issue2,AprilJune2011,Frontex,September2011,p.11.15FRANQuarterly,Issue2,AprilJune2011,Frontex,September2011,p.11.16UNODC,SmugglingofMigrants,GlobalReviewandAnnotatedBibliographyofRecentPublications,p.26.17UNODC,TransnationalOrganizedCrimeThreatAssessment,2010,Chapter3,SmugglingofMigrants,p.75.18UNODC,TransnationaltraffickingandtheruleoflawinWestAfricaathreatassessment,July2009,p.64.19FRANQuarterly,Issue2,AprilJune2011,Frontex,September2011,p.17.20STATTConsulting,Synapse,May2011,Issue4:ThenextphaseofmigrationtoEuropefromTunisiaandLibya,p.4.21FRAN,Quarterly,Issue2,AprilJune2011,Frontex,September2011,p.23IssuePaper:SmugglingofMigrantsbySeaPage14of71arrivalsexceeded the localbirth rate.22 In the first6monthsof2011alone, therewere1531arrivalsbysea.Since1998,new laws in Italyandagreementsbetween ItalyandTunisiaacted to reduce thenumber of arrivals from Tunisia, pushing smuggling networks to Libya. There were 31,300detectionsinLampedusaduringthewholeof2008.23AnagreemententeredintobetweenItalyand Libya appears to have resulted in an abrupt decline of detections along the Italian seabordersof74%between2008and2009,withno landings recorded inLampedusa in the lastquarterof2009.24This sharpdecline seemed tohavedisplaced someof the flow toeasterncoasts of Italy and possibly Greece.25 Furthermore,while the number of arrivals in Europedropped significantly following bilateral agreements between Italy and Libya, the increasednumberofinterceptedboatsdidnotcorrelatewithadecreasednumberofdepartures,implyingthattheroutesleadingtocoastaldeparturepointswerenotinterrupted.One direct impact of the vacuum of power in thewake of the Arab Spring is the bilateralagreementsbetweenLibyaandcountriesofdestination in theMediterraneanbeingrenderednullandvoid.Addedtothis,areallegationsthattheGaddafiregimecoercedmigrantstotraveltowards theEU, resulting in several smallvesselsdetected.26Therehavebeen reportsof theinvolvementoftheLibyanarmyandmilitarygatheringmigrantsfromSubSaharanandCentralAfricaaswelltheHornofAfricatoarrangetheirembarkationontoboatsboundforEurope.27Large numbers of Central African, Nigerian and Ghanaian nationals resident in Libya weredetectedtravellingbyboattoLampedusa,SicilyandMalta,manyofwhoclaimedtohavebeenforcibly expelled from Libya. However, overall, the fall of Gaddafi is reported to havedramaticallyreducedirregularmigrationfromLibya.28ThesituationinLibyaremainsunclear.STATTConsultingpredictsthatitwillcontinuetodevelopasahubforsmugglingofalltypes,asittakestimeforanewgovernmenttoassertcontrolovermigrant smuggling and other criminal networks.29 It is also anticipated that LibyanmigrantsmugglerswillbroadentheircustomerbasefromawiderrangeofsourcecountriesresultingingreatermarketpowerofSubSaharansmugglers.30Apossibilityisthatnewrouteswilldevelopfrom eastern Libya to Greece and Italy, given that smugglers easily adapt their methods,sometimesusinglongerdistanceswithworsetravelconditionsformigrants.WesternMediterraneanTherearedifferentdatafindingsforarrivalsbysea inthekeyEuropeancountriesthatreceivemigrantsfromAfrica.ArrivalsinSpainbyseaaremainlyconcentratedontheCanaryIslands,the22StatementbyEmigrantsCommission(Malta),October,2008,ProvidedbyProfessorPatriciaMallia,UniversityofMalta.23FRONTEXAnnualRiskAnalysis2011,WarsawApril2011,p.14.24UNODC,TransnationalOrganizedCrimeThreatAssessment,2010,Chapter3,SmugglingofMigrants,p.76.25UNODC,TransnationalOrganizedCrimeThreatAssessment,2010,Chapter3,SmugglingofMigrants,p.76.26FRAN,Quarterly,Issue2,AprilJune2011,Frontex,September2011,p.14.27FRAN,Quarterly,Issue2,AprilJune2011,Frontex,September2011,p.19.28FRAN,Quarterly,Issue2,AprilJune2011,Frontex,September2011,p.13.29STATTConsulting,Synapse,May2011,Issue4:ThenextphaseofmigrationtoEuropefromTunisiaandLibya,p.4.30STATTConsulting,Synapse,May2011,Issue4:ThenextphaseofmigrationtoEuropefromTunisiaandLibya,p.25.IssuePaper:SmugglingofMigrantsbySeaPage15of71StraitofGibraltarandtheAlboranSea.31AnotherpeculiarsituationforSpain isthesignificantnumberofirregularmigrantentriesintoSpanishenclavesofCeutaandMelillainMorocco;suchentries result in entering Spanish territory without crossing the sea. The number ofinterceptionson the Spanish coast rose in themid1990s,more thandoubling from1999 to2000 with estimates for arrivals since then putting the annual number between 15,000 to19,000.32IllegalbordercrossingintotheCanaryIslandsrosesteadilyandpeakedduring2006ataround30,000.33Asharpdecrease in2007and2008followed.Theextenttowhichsmugglersfacilitatedthesecrossingsisunclear.Almostall irregularmigrants toSpanishoffshore territoriesareapprehendedand relyon thelack of repatriationmechanisms in place to result in their release on the Spanishmainland.ThosewhoarrivedirectlyontheSpanishmainlandprefertofleeratherthanfaceprocessing.34In2011,a50% increase in irregulararrivalshasbeennotedcomparedtotheyearbefore.Thisincrease has been partially attributed to betterweather conditions for the sea crossing, butoverall irregularmigration to southern Spain has been steadily decreasing since its peak in2006.35Indeed,detectionsalongtheroutefromWestAfricahavemarkedlyreduced,owingtoincreased cooperationbetweenSpainandWestAfrican countriesofMauritania,SenegalandMali.EasternMediterraneanThelandborderbetweenTurkeyandGreeceisakeychallengefortheEuropeanregion.Turkeyis a key transit route for smuggling from Asia into several countries of Europe. The closeproximityofGreecetoTurkey,coupledwithpushfactorssuchaspolitical instability,violence,war andunrest in Iraq,between Israel andPalestine and in Sudan and Somaliahaveplacedincreased pressure on Greece. Greece is primarily a transit country for smuggling to otherdestinations in Europe; clandestine travelon ferriesbetweenGreece and Italy is ameansofonwardtraveltoothercountriesintheEuropeanUnion.36LandroutesareprimarilyusedtoreachTurkey,fromwhereonwardtravelintoItalythentakesplaceinsailingboatsorothersmallvesselsfromthewesterncoastofTurkeyorfromIstanbul.Crossingsatthe landborderoften involvecrossingtheEvrosRiverinsmallgroupsin inflatableboats.Thisisoftendoneatnight,withfacilitatorswaitingontheothersidetoarrangeonwardtravelbylandandboattoItaly.Alternatively,seasmugglingjourneysusingfastboatsareusedto evade detection across the Aegean Sea. This routewas largely reduced following severepenaltiesimposedondriversofboats,resultinginadiversionofsmugglingroutesdirectlyfromTurkeytoItaly.While28,848arrivalsby seawere recorded in theEasternMediterranean in2009,2010 sawonly6175arrivals;79%lessthantheyearbefore.37Similarly,theWesternMediterraneanroutesaw5003arrivalsbyseain2009,with3436in2010;31%lessthantheyearbefore.38Giventhat31UNODC,TransnationalOrganizedCrimeThreatAssessment,2010,Chapter3,SmugglingofMigrants,p.75.32UNODC,GlobalReviewandAnnotatedBibliographyofRecentPublications,January2011,pp.2627.33FRONTEXAnnualRiskAnalysis2011,WarsawApril2011,p.14.34UNODC,TransnationalOrganizedCrimeThreatAssessment,2010,Chapter3,SmugglingofMigrants,p.75.35FRAN,Quarterly,Issue2,AprilJune2011,Frontex,September2011,p.19.36FRONTEXAnnualRiskAnalysis2011,WarsawApril2011,p.15.37FRONTEXAnnualRiskAnalysis2011,WarsawApril2011,p.15.38FRONTEXAnnualRiskAnalysis2011,WarsawApril2011,p.15.IssuePaper:SmugglingofMigrantsbySeaPage16of71whensmugglingisrepressedinonearea,itrisesinanother,itisnotablethatwhiledetectionsofillegalbordercrossingsviatheEasternMediterraneansearoutedroppedby79%between2009and 2010, use of the Eastern Mediterranean land route increased by 345%, from 11,127detections in 2009 to 49,513 in 2010.39 Taking into consideration the first sevenmonths of2011,showsthattherehasbeena24%increasefromtheyearbefore,with22,096interceptionsof migrants between January and July.40 The number of those who used the services ofsmugglersisnotknown.EuropeanoffshoreterritoryThereisalsosignificantsmugglingofmigrantsfromAfricatothenearbyarchipelagoofMayotte;a French overseas territory in the northern Mozambique Channel, less than 70km fromComoros.Generally, small fibreglassvesselsareused to reachMayotte, taking less than fourhoursfromtheComorosarchipelago,thoughsometimeslargervesselsabletocarrymorethana hundred people are used. In 2010, 342 vesselswere intercepted carrying a total of 7089migrants, forwhich523smugglerswerearrested.41 Irregularmigrants toMayottecome fromComoros,butalsofromMadagascar,TanzaniaandevenIraq.1.2.3. MiddleEastThere has been an increase in irregularmigration from Somalia andDjibouti in theHorn ofAfricaacrosstheGulfofAdentoreachYemen;in2009morethan32,500peoplearrivedbyseacompared to22,500 in2008.42 It is clear that theescalating food crisis inSomaliaandotherpartsoftheHornofAfricawillgivemorepeopleincentivetofleetheircountriesoforigin.Itisalso likelythatgiventhe lackofsafealternativesto leavetheircountry,refugeesandmigrantswillturntotheservicesofsmugglerstocrosstheGulfofAden.43ConditionsoftravelacrosstheGulf of Aden from Djibouti and Somalia to Yemen are so severe that the journey isconservatively estimated to have a mortality rate of 5%, with several more bodies neverfound.44Thesignificantlackofavailableliteratureaboutthissmugglingbysearoutehighlightstheneedforfurtherresearch,includingontheimpactofrecentunrestinYemen.1.2.4. AmericasIn the 1990s, ships loadedwithmigrants from China on the coast of the United States ofAmericadominatedmediaattention.Sincethen,regularentryfollowedbyoverstayingfollowingvisa expiration has become the preferredmodus operandi. Despite a significant increase ininterdictionsby theUSCoastGuard in2004 to2005 (10,899and9,455 respectively) the flow39FRONTEXAnnualRiskAnalysis2011,WarsawApril2011,p.15.40FRAN,Quarterly,Issue2,AprilJune2011,Frontex,September2011,p.15.41Frenchpolice.42MixedMigrationTaskForce(cochairedbyUNHCRandIOM),Updaten8,August2009.43MdecinssansFrontires(MSF),NoChoice:SomaliandEthiopianrefugees,asylumseekersandmigrantscrossingtheGulfofAden,June2008;MixedMigrationTaskForceSomalia(cochairedbyUNHCRIOM),MixedmigrationthroughSomaliaandacrosstheGulfofAden,report,April2008.44MedicinssansFrontieres,NoChoice:SomaliandEthiopianRefugees,(MSFReport,June2008),p.4.IssuePaper:SmugglingofMigrantsbySeaPage17of71hasdecreasedwithonly2,088reportedinterdictionsin2010and2,474in2011.45Overalltherehasbeen adecline in smugglingofmigrantsby sea to theUnited States, asmost smugglingpredominantly takes place over the MexicoUnited States land border. Indeed, 97% ofsmuggling to the United States takes place over the Mexican border while coastalapprehensionscomprisedlessthan1%in2005.46However,notwithstandingtheoveralldeclineofseasmugglingtotheUnitedStates,tighterlandbordercontrolshaveencouragedsmugglersto be more creative with an increase in the use of small fishing vessels from Mexico toCalifornia.47Therehavebeen isolatedcasesofsmugglingbyseafromMexicototheUSasfarnorthasthecoastofMalibu,California,some230kilometresfromtheborder.48MexicoisakeytransitcountryforsmuggledmigrantsbyseaontheirwaytotheUnitedStatesof America. Cuban migrants may travel by stolen boats to reach Mexico. The boats areabandoned on beaches,where facilitatorswaitwith trucks to assist the remainder of theirjourney overland fromMexico to theUS.Alternatively,migrantsmay pose as tourists to betransportedtosafehouseswheretheyarekeptuntilpaymentsaremadefortheironwardtraveltothefinaldestination.In the early 1990s, tens of thousands of Haitians attempted to enter the United States ofAmericabyboat.49TheUnitedStatesresponsetosuspendentry forundocumentedmigrantsdisplaced the route towards Caribbean islands, particularly Bahamas and the DominicanRepublic.50Fromthe latter,themost logicalroutetotheUnitedStates iseasttoPuertoRico.Caribbean countriesareoften intendedby smugglersas transit stopson route to theUnitedStates, but end up being final destinations. Statistics are scarce, but in 2002 theMinistry ofForeignAffairsofBahamas and the authorities in theTurks andCaicos Islands reported thataround6,000Haitianmigrantswere intercepted intheirterritorialwaters,usuallysmuggled inboatsoperatedbysmugglingrings.51TheUnitedStatesCoastGuardintercepted1,377Haitiansaswellas140Dominicansand422Cubansin2010,and1137Haitians,222Dominicansand985Cubansin2011.52ForHaitians,themostdirectroutetotheUnitedStatesistotransitthroughtheBahamas.FromCuba,thequickestwaytoreachtheUnitedStates istotravelbyseatoSouthFloridawhichattheshortestdistance isonlyapproximately150kilometresaway.However,despite this therearemoreCubans travelling to theUnitedStates through theSouthwest landborder than theshortersearoutetoFlorida.45AlienMigrationInterdiction,availableathttp://www.uscg.mil/hq/cg5/cg531/AMIO/FlowStats/FY.asp.46UNODC,TransnationalOrganizedCrimeThreatAssessment,2010,Chapter3,SmugglingofMigrants,p.62.47UNODC,IssuePaper:TransnationalOrganizedCrimeintheFishingIndustry,2011,p.67.48FourChargedinSuspectedIllegalImmigrantSmugglingbySea,3May2011,http://sanclemente.patch.com/articles/fourchargedinsuspectedillegalimmigrantsmugglingbysea,PressRelease.49DavidKyleandMarcScarcelli,Migrantsmugglingandtheviolencequestion:evolvingillicitmigrationmarketsforCubanandHaitianrefugees,JournalofCrime,Law,andSocialChange,March2009.50IOM2008WorldMigrationReport,p.213.51ElizabethThomasHope,IrregularMigrationandAsylumSeekersinCaribbean,DiscussionPapern2003/48,WorldInstituteforDevelopmentEconomicResearch(WIDER),June2003,p.8.52UnitedStatesCoastGuard,DepartmentofHomelandSecurity,http://www.uscg.mil/hq/cg5/cg531/AMIO/FlowStats/FY.asp,accessedon9December2011.http://sanclemente.patch.com/articles/four-charged-in-suspected-illegal-immigrant-smuggling-by-seahttp://www.uscg.mil/hq/cg5/cg531/AMIO/FlowStats/FY.aspIssuePaper:SmugglingofMigrantsbySeaPage18of71Withacoastlineof243,000kilometres,Canadahasalsobeentargetedbysmugglersofmigrantsbysea.On thewesternCoast, journeys takeplaceacross theNorthPacificOcean fromSouthEastAsia,primarilyofSriLankannationals.The2010Canadianthreatassessmentreportof2010(reportingontheyear2009)notesthatthePacificregionhad76irregulararrivalsofSriLankannationalsoffthecoastofVancouverIslandinoneincidentinOctober2009.53AmodusoperandiusedinrecentyearsisforsmuggledmigrantstowaitinsafehousesinBangkok,Thailand,beforetravellingbybustothesoutherntownofSongkla,wheresmallwoodenboatstakethemtoseawhere they are transferred onto larger fishing vessels, often transporting several hundredpeopleacrossthePacificIsland.541.2.5. EastAsiaandthePacificInformationaboutmigrantsmugglingintheEastAsiaregionisscarcegiventhatmanycountrieshave no data collection systems in place, and/or have different understandings ofmigrantsmuggling and human trafficking.55 Although several countries host significant numbers ofundocumentedmigrants includingHong Kong (in China), South Korea,Malaysia, Taiwan andThailand),therearenoconsolidatedfiguresavailableontheextenttowhichmigrantsmugglingisinvolved,andofthosesmuggledhowmanyweresmuggledbysea.56Accordingtothe2008IOMWorldMigrantReport,Japaneseauthoritiesreportedapproximately207,000irregularmigrantsin2005,mostofwhomhadarrivedlegallyandoverstayed,whileanestimated30,000hadbeensmuggledbyboat.57AustraliaistheprimarydestinationintheAsiaPacificregion.MigrationbyboattoAustraliafirstoccurredinthe1970sintheaftermathoftheVietnamWar.Thefollowingdecade,personsfromfurther afield in South EastAsia began arriving onAustralian shores.However, from around1999onwardsthethirdwaveofarrivalsbyboathaspredominantlybeenfromtheMiddleEast,often in larger numbers than previous arrivals and mostly with the assistance of migrantsmugglers.58MigrantsfromAfghanistan, Iraq, IranandSriLankaaresmuggledbyseatoAustralia.Malaysiaand Indonesia are used as transit countries fromwhere smugglers dispatchmigrants on seajourneystoAustralia.IndonesiaisthekeytransitcountrytoAustralia.GenerallymigrantswilltravelviaoverlandandbyairtoIndonesia,fromdestinationcountriesmostlyintheMiddleEast.GenerallytheywillbegivenavisaonarrivalinIndonesiawhichtheyoverstayastheywaitforanopportunitytotravel53CanadaUnitedStates IBETThreatAssessment2010 (ReportingonYear2009),http://www.rcmpgrc.gc.ca/ibeteipf/reportsrapports/2010threatmenaceeng.htm#ii.54 Stewart Bell, On the smugglers trail: Sun Seas Canadian connection,http://news.nationalpost.com/2011/03/28/onthesmugglers,accessedon30September2011.55UNICRIandAIC,Rapidassessment:humansmugglingandtraffickingfromthePhilippines,November1999,doc.A/CONF.187/CRP.1,April2000.56UNODC,GlobalReviewandAnnotatedBibliographyofRecentPublications,January2011,pp.3738.57InternationalOrganizationforMigration,WorldMigration2008:ManagingLabourMobilityintheEvolvingGlobalEconomy,IOMWorldmigrationReportSeries(UnitedNationspublication,SalesNo.e.07.III.S.8),p.21658JanetPhillipsandHarrietSpinks,BackgroundNote:BoatarrivalsinAustraliasince1976(2011)ParliamentofAustralia:ParliamentaryLibrary,www.aph.gov.au/library/pubs/bn/sp/boatarrivals.htm,accessedon9May2011.http://www.rcmp-grc.gc.ca/ibet-eipf/reports-rapports/2010-threat-menace-eng.htm#iihttp://www.rcmp-grc.gc.ca/ibet-eipf/reports-rapports/2010-threat-menace-eng.htm#iihttp://news.nationalpost.com/2011/03/28/on-the-smugglershttp://www.aph.gov.au/library/pubs/bn/sp/boatarrivals.htmIssuePaper:SmugglingofMigrantsbySeaPage19of71byseatoAustralia.Alternatively,smugglersmayfacilitatetheirentirejourneyincludingtraveltoIndonesiausing visa anddocument fraud. Indonesia is an archipelagoofmany islandswhichsmugglersuseaspointsofdeparture for sea smuggling journeys. Smuggling vessels (mostofwhichare fishingboats)will leavealong thecoastpredominantly towardsChristmas IslandorAshmore Reef, both of which are offshore Australian territories geographically closer toIndonesiathantheyaretomainlandAustralia.TherehavealsobeencasesofmigrantsmugglingbyseadirectlyfromSriLankaandChennaionthe eastern coast of India toAustralia.59 In the period ofNovember 2008 toApril 2011, 12suspectedillegalentryvesselsoriginatedfromSriLankaand2fromChennai/Pondicherry.2. MODUSOPERANDIThemodusoperandiemployedbysmugglersdepends largelyontheregion inwhich itoccurs,andthemigrantcustomerwhoispayingfortheservice.Insomeregions,migrantsmugglingbyseaisacrimebornofcircumstanceandopportunity.Inotherareas,thecrimehasevolvedfromsmugglingofgoodsinpreviousdecadestonowsmugglingofpeoplewherethereisprofittobemade. Migrant smuggling by sea can also be understood as a criminal business, which iscompetitively run as such. Smugglingpackagesoffered tomigrants vary from simpleoneoffserviceswhich compriseonly the sea journey, tomore completepackagesof services,whichcoverthe landorairbased legsofthejourneytothecoastandmayeven includefalsifiedandfraudulentdocumentstoenablethemigrantsentryand/orstayinthecountryofdestination.It is possible that the same smuggling organizations arrange both sophisticated smugglingenterprisesandcheaperandmoredangerousservices.Amigrantwithmeansmaybeprovidedwithaboator ferry ticket, fraudulent traveldocumentationandaworkpermit for theiruseupon arrival in the destination country.Meanwhile, cheaper servicesmay be sold to poorerclients,whoarehidden incontainersor truckson the same ferryathigherpersonal riskandwithalowerchanceofsuccess.Somefullpackageservicesevenprovideassistancetomigrantsupon leaving detention centres, while others simply use smuggling services in a piecemealfashionarrangedathubsonroute.60Othermigrantsmayusehighendtravelwithbusinessclassplane journeys and fraudulent documents on route to the point of embarkation for the seacomponentoftheirjourney.Thefactthatsomesmugglersmaybeinvolvedinthefullvarietyofservices is furtherborneoutbythe factthatsmuggling, likeotherbusinesses,may involveadhoc service providers and referrals to other operators as the need arises. Even in cheapersmugglingsituations,migrantsmaybegiventheopportunitytobesmuggledagainatnooratlowcostoncetheinitialattempthasfailedandtheyhavebeenreleasedbackintocirculation.2.1. Actorsandrolesinmigrantsmugglingbysea2.1.1.Profileofmigrantsmugglers59UNODC,TransnationalOrganizedCrimeThreatAssessment,2010,Chapter3,SmugglingofMigrants,p.68.60UNODC,TransnationalOrganizedCrimeThreatAssessment,2010,Chapter3,SmugglingofMigrants,p.71.IssuePaper:SmugglingofMigrantsbySeaPage20of71At a global level, the vastmajorityof smugglersofmigrantsby sea aremale. Smugglers arealmostalwaysnationalsofthecountriesfromortowherethesmugglingtakesplace.Though the investmentand resources required tocarryoutseasmugglingventuresseems toimply the involvementofcentralizedorganisations, researchhas shown that sea smuggling ismore often carried out by flexible criminal groups or individuals, operating on the basis ofrepeatedcontractualarrangementsratherthan inhierarchicalorganisations.61Liketheir landbased counterparts, smugglers who operate across seas are highly flexible and capable ofadapting in response to changed circumstances and law enforcement measures. Obviouslysmuggling ventures involving a combination of land, air and sea methods involve greateroperationalcomplexity.Thereareseveralcriminalsinvolvedinaseasmugglingoperationfromthesmuggleratthetopof the enterprisewhomay bewell connected to other criminal or state actors, andwhommigrants are unlikely ever tomeet. Information on those operating at the highest levels islacking.Insomeplaces,thetopleveloftheenterpriseisoccupiedbyentrepreneurswhomaybeactive both in legitimate and illegitimate business, such as travel agencies or transportcompanieswhichperformbothlicitandillicitactivities.Inthisrespectitmustbenotedthatinsomeregionsthere isnosocialstigmaofcriminalityassociatedwithbeingasmuggler.Rather,smugglingmaybe seen as anordinarybusinessproviding a valuable service, conducted as aregularpartoftheeconomy.62Some research has also shown that corrupt officials even at the highest levels of statemayparticipateinsmugglingbyseabusinesses,takingsignificantpercentagesofsmugglingrevenue.In all regions of the world, corrupt public officials include border officials, police, soldiers,immigrationofficials,embassyorconsulateemployeesandportauthoritieswhomaypositivelyfacilitatesmugglingor turnablindeye to it inexchange forabribepayment.63Alternatively,suchpublicofficialsmaybeinvolvedinamoredirectwayasorganisersofsmugglingventures.Immigration agents in some countries have also been implicated in facilitating irregularmigrationandenablingstay.64Organizers or coordinators oversee the entire process and havemany contacts to arrangepersonnel,routes,modesoftransportationandaccommodation.Asmugglingventuremaybeorganizedbyonesuchpersonorbyseveralworkingincooperationwitheachother.65Intermediariesorbrokersmaybetheonlycontactthatmigrantshavewithsmugglers,makingmigrantsextremelyvulnerable to themandwith littlechoicebut to trust them.Brokers,whoare located in hubs along common migrant routes, are often of the same ethnolinguisticbackground as the people they recruit andmaywork formore than one organizer. Brokersthemselves may be migrants who have become stranded and therefore must work forsmugglerspossibly following anunsuccessful seacrossingwhich theyarenow trying to raise61UNODC,GlobalReviewandAnnotatedBibliographyofRecentPublications,January2011,pp.7880andpp.9598.62UNODC,GlobalReviewandAnnotatedBibliographyofRecentPublications,January2011,pp.7477.63UNODC,GlobalReviewandAnnotatedBibliographyofRecentPublications,January2011,p.82.64See for instance, Canadian threat assessment report, 2010, http://www.rcmpgrc.gc.ca/ibeteipf/reportsrapports/2010threatmenaceeng.htm#ii.65UNODC,GlobalReviewandAnnotatedBibliographyofRecentPublications,January2011,p.81.http://www.rcmp-grc.gc.ca/ibet-eipf/reports-rapports/2010-threat-menace-eng.htm#iihttp://www.rcmp-grc.gc.ca/ibet-eipf/reports-rapports/2010-threat-menace-eng.htm#iiIssuePaper:SmugglingofMigrantsbySeaPage21of71money to reattempt.Alternatively theymaybenationalsof countriesoforiginwhoarewellestablished inaprofitablebusinessand thereforehaveno intentionofmigrating themselves.Bothintermediariesandbrokersmayliaisewithmiddlemenwhocreatedirectcontactsbetweensmugglers andmigrants, andmay act as guarantors by holding payment until journeys havebeensuccessful.Suchmiddlemenmaybeincontactwithmorethanonesmuggler.66Recruitersadvertisesmugglingservicesandestablishcontactsbetweensmugglersandmigrantsand may collect the initial fee for the sea journey. Recruiters may not be affiliated withparticular smugglers but work independently to provide migrants with information aboutsmugglersandsmugglingoptionsavailabletothem.Recruitersoftenliveincountriesoforiginortransit, have working knowledge of the language of migrants and may even know thempersonally.67Transporters or guides accompanymigrants on different stages of the journey. Often suchpersonsaremenfromborderregionswhohavelocalknowledgethattheyprovidetosmugglersonanadhocbasis.Insomepartsoftheworld,thosewhotransportmigrantsmaybenationalsofcoastalcountriesoforiginordestination,oftenofadifferentnationalitytothemigrantstheytransport.Inmanycountries,thosewhopilotboatsmaybefishermenwhohavenoknowledgeaboutmigrationorsmugglingissues,butonanadhocbasistheymayberecruitedbysmugglersonthebasisoftheirspecificskillstotransportmigrantsindistinctmigrantsmugglingventures.68Additionally, thereare thosepersonswhomaybe involved inaccommodatingmigrantswhentheyarewaitingfortheiropportunitytoattemptaseacrossing.Enforcersmayguardmigrantsinthisphase,possiblythreateningorusingviolencetokeepthemundercontrolormakethempayoutstandingdebts.69Spottersmayberesponsibleforprovidingspecificinformationaboutpolice,borderguards,navyoperationsandthe like,andcommunicatetosmugglerswhenapossiblecheck istobecarriedout.Insomepartsoftheworldsailorsofcommercialshipshaveactedasspottersforsmugglingoperations,informingsmugglersofwheresurveillanceisbeingcarriedout.Adhocserviceprovidersandsuppliersarealso involved,fromownersormakersofboatswhoare complicit in the use of vessels formigrant smuggling, and thosewho harbourmigrantsthroughouttheprocess.Hotel,houseorapartmentownersorresidentsareparticularlyusefulwhenmigrantsneedtobegatheredtogetherpriortoembarkingonanotherlegofajourney.Inparticularly organised hubs, theremay be several hundred people involved in a smugglingnetwork including boat owners, boat crews, restaurant and cafe owners, telephone centreowners,policemen,businessmen,truckowners,landlordsandlocalgovernmentofficials.Additionalcriminalactorsinvolvedinthesmugglingprocessincludethosewhoprovidefalsifiedorfraudulentdocumentstofacilitatetravelthroughtransitcountriestothecoast,ortoenablestayoncethedestinationcountryhasbeenreached.Allof theseactorsmaybeconsidered smugglers for thepurposesof theMigrantSmugglingProtocol.66UNODC,SmugglingofMigrantsinto,throughandfromNorthAfrica:athematicreviewandannotatedbibliographyofrecentpublications,2010.67UNODC,GlobalReviewandAnnotatedBibliographyofRecentPublications,January2011,p.81.68UNODC,Issuepaper:TransnationalOrganisedCrimeintheFishingIndustry,2011,p.74.69UNODC,GlobalReviewandAnnotatedBibliographyofRecentPublications,January2011,p.81.IssuePaper:SmugglingofMigrantsbySeaPage22of712.1.2.ProfileofsmuggledmigrantsIn short, generalisations aboutmigrantsusing sea smuggling services cannotbemade.Whatmaybemostlytrueinoneregionoralongoneroute,maynotbetrueinanotherregionoralonganotherroute.Similarly,whatistrueataparticulartimeandplacemaynotbetrueatanothertime as push and pull factors change. The key point to emerge therefore is that profiles ofmigrants, theirmotivationsand the situations that led them into thehandsof smugglerscanonlybeaccuratelyassessedonacasebycasebasis.Men,womenandchildrenGenderplaysaroleinirregularmigrationtrends.Moretraditionalsocietiesmayemphasizetheeconomic responsibilityofmen, thuspressuring them toseekoutamoresuccessful life thanthattheycanachieveintheircountriesoforigin.Meninsomeculturesfaceextremepressuretosupportthefamilieswhohavepooledresourcestofundtheirmigration.Suchexpectationsmayalsobeplacedonchildren, for instance incultureswhereboysare treatedasmenwithadultresponsibilitiesfromanearlyage.Though the vast majority of migrants smuggled by sea are unaccompanied men, in somemigrantgroups,thereisanoticeableincreaseinthenumberofwomensmuggledbysea.Moreoftenthannot,womenareaccompaniedbymalerelatives,thoughincontrasttothesegeneraltrends, 30% of those crossing the notoriousGulf of Aden arewomen, 27% ofwhom travelalone.70Therearealsooccasionalcasesofwomen in latestagesofpregnancybeingsmuggledbysea;somemayhavebecomepregnantduringthesmugglingprocessandthisfactistakenadvantageof by smugglers who know that authorities will be distracted from investigative objectivesbecauseoftheneedtodivertattentionandresourcesintoassistingher.Smugglingofpregnantwomenmayalsobepartofthemodusoperandiofsmugglerstoenableamigrantsstayinthedestinationcountry,throughherchildbeingborninthecountryofdestination.Despite these occurrences, itmust be stressed that although there are some family groupsamongmigrantssmuggledbysea,andsometimeswomenorchildrentravellingalone,thevastmajorityofmigrantssmuggledbyseaaremen.EducationandsocioeconomicsSome research has analysed migrant profiles in respect of the means by which they aresmuggled.Moreprivilegedpeopleareabletoaffordallinclusiveservices including falsifiedorfraudulent travel or identity documents, which lessen the risk to safety or of detection.Meanwhilepoorerpeoplemustrelyon lowcostoptions,whichhaveahighrateoffailureandpose a higher risk to lives and safety.71 Themeans of transport usedmay also reflect on a70MdecinssansFrontires(MSF),NoChoice:SomaliandEthiopianrefugees,asylumseekersandmigrantscrossingtheGulfofAden,June2008;MixedMigrationTaskForceSomalia(cochairedbyUNHCRIOM),MixedmigrationthroughSomaliaandacrosstheGulfofAden,report,April2008.71PaolaMonzoni,Migration:HumanRightsofIrregularMigrantsinItaly,inInternationalCouncilonHumanRightsPolicy,Migration:HumanRightsProtectionofSmuggledPersons,Geneva2526July2006;FerrucioPastoreetal.,IssuePaper:SmugglingofMigrantsbySeaPage23of71personsincentivetoleavetheircountryoforigin,sometimeslittlechoiceisavailableforthosefleeingsituationsofconflictorpersecutionregardlessoftheirfinancialresources.Migrantssmuggledbyseaaregeneralizedasyounguneducatedmenofworkingagefromrurallocationswhoaremoreoften thannotpoororunskilled.Thoughmaleprevalence is true,asdiscussed above, other research has challenged stereotypes, finding that people of diversesocioeconomic backgrounds are being smuggled, some ofwhom are even highly educatedand/orskilledprofessionalswithexperienceoflivinginurbanareaswhohavefewopportunitiesintheirhomecountries.72Inotherwords,migrantssmuggledbyseamaybesodesperatethattheyhavelittlechoicebuttoleavetheirhomes,ortheymaybeinnoparticularperilbutsimplyprefertomakealifeforthemselveselsewhere.RefugeesandasylumseekersItisdifficulttogeneralisetheextenttowhichmigrantssmuggledbyseaarerefugeesorasylumseekers.Insomeregions,thevastmajorityofthosewhoaresmuggledbyseaarenotinanyfearof persecution, though will oftenmake spurious asylum claims in order to avoid or delayrepatriation.Meanwhile, in other regions, themajority of personswho use the services ofmigrantsmugglersareultimatelyfoundtoberefugees.However,ofthosewhohavelegitimateprotectionclaims, it isnotnecessarily thecase thatundertakingaseasmuggling journeywastheironlyoptiontoclaimasylum;asylumseekersmayhavetravelledorbeensmuggledthroughseveral countrieswhere they could have claimed asylum but use the services of smugglersbecausetheyprefertochoosethedestinationinwhichtheyseekprotection.Wherepeopleare forcedto fleeconflict,violence,droughtandpovertyandhavenosafeandlegal alternatives to do so other than to turn to the services of smugglers to escape theircountry, the migratory push factors are often the same regardless of the socioeconomicpositionandeducationofmigrants.Thosewhoarewelleducatedandeconomicallycapablearesometimesmistakenly assumed to be economicmigrantswho are therefore not in need ofprotection; however, it is not the case that wealthier persons are any less likely to facepersecutionthanpoorerones.Inthecontextofmigrantsmuggling,therelativeeconomicstatusofapersonbeing smuggledmayhave implicationsonhisorhercapacity toaccessparticularsmugglingservices,butdoesnotspeaktohisorherprotectionneeds.2.2. Journeytothecoast2.2.1. LandandairtravelThenatureofthejourneytoreachthecoastdifferswidelydependingontherelativeeconomicstatusofthemigrantconcerned,theirmotivationsforfleeing,thesmugglerswhofacilitatetheirjourneyandtheregionconcerned.Togeneralisetherangeofexperiencesinthisrespect;somedonot survive journeys thatpredominantly takeplaceacross longdistancesover land,whilejourneysthattakeplaceusingairroutesposeminimalrisktomigrantssafety,simplyinvolvingtravelbetweenvariousinternationalairporthubstowardthecoastalcountryofdeparture.Schengenssoftunderbelly?IrregularMigrationandhumansmugglingacrosslandandseaborderstoItaly,InternationalMigrationJournal,vol.44n42006.72AhmedIcduygu,IrregularMigrationinTurkey,IOMWorkingPaperNo.12,February2003.IssuePaper:SmugglingofMigrantsbySeaPage24of71To illustratethe formersituation,amigrants journey fromsubSaharanAfricatothecoastofNorthAfricamayrequirethatmigrantstravelby landforseveralweeks,monthsorevenyearsbefore they embark on the sea travel component of their journey. Migrants have oftenundertakenaninitiallandjourneytoagivenhub(whetheritisacity,harbourorrefugeecampfor instance)wheretheymaybeableto findnecessary infrastructureandservicestosupportirregularmigrationprocesses, such as accommodation, forgeddocuments, jobopportunities,informationexchangeandcontactwithsmugglers.Amigrantsjourneytothecoastmayinvolveaperilousdesertcrossing,wheremanysuccumbtoextremeelements.Thevulnerabilityofmigrantsduring this legof their journey is significant;carryingalongthemoneythattheyneedforeachstageofthejourneymakesthemthepreyofseveral predators including smugglers, bandits and corrupt border officials. Some migrantsreport that thereareorganised relationshipsexistingbetween smugglersandother criminalswhomayexploitmigrantsenrouteacrossdeserts.Becausesmugglingservicesareillegal,thosewho provide them often have tremendous power over those who enlist them; abuses arecommonplacewithmanypeopledyingonthejourneyorbeingabandonedwithoutresourcesenroute.73The treatment by smugglers ofmigrants throughout the different stages of the journey canreachecriminalassault,withviolenceandintimidationboththreatenedandusedincludingactsofrape,tortureandmurder.74Womenareparticularlyvulnerabletosystematicrapeorassaultbysmugglersorotherstheymeetenroute.Whiletherearesmugglerswhoare lessdraconianthan others, these are generally the exception to the rule of smugglers who deceive andmistreatmigrants.Trust relationshipsaregenerallybuilton language tiesbetween smugglersand migrants, but notwithstanding this, the irregular status of migrants, their lack ofinformationandalternativeoptions,meansthattheyareparticularlyvulnerabletothewhimsofsmugglersandhaveverylittlepowertonegotiateordeterminetheconditionsofthejourney,orinsistuponthetermsinitiallyagreedto.Theirirregularstatusalsomakesthemunlikelytoseekassistanceoflawenforcementauthoritiesintheeventthatcrimesarecommittedagainstthem.Contrastedwith theseextremeexperiencesof reaching the coast, inother regions,migrantswho aremore economically empowered to afford a higher level of smuggling services willexperiencenoparticularhardship.Forinstance,adeparturefromanIndonesianIslandtowardsAustralian territory may follow land and air travel from origin countries such as Iraq andAfghanistan, through various international air hubs to arrive in the departure country ofIndonesia.Theroutetakenwilldependonvariousfactors,andmayforinstancebedeterminedbywhethervisasareneededforparticularroutes.ThesamemaybetrueoftraveltoTurkeyasatransit country for being smuggled into the European Union. In all cases, there is no oneparticularroutetaken,butseveraldifferentjourneyswhichareoftencircuitousandfrequentlychangetoavoiddetection.2.2.2. RecruitmentMigrantsandsmugglersbyseausuallycome intocontactwitheachother inmajorhubsalongmigration routes. This is particularly true inAfrican hubs,where recruitment ofmigrants by73UNODC,TransnationalOrganizedCrimeThreatAssessment,2010,Chapter2,SmugglingofMigrants,p.55.74UNODC,GlobalReviewandAnnotatedBibliographyofRecentPublications,January2011,pp.7477.IssuePaper:SmugglingofMigrantsbySeaPage25of71smugglersmay take place in the open places like railway stations, bazaars, beaches, bars,markets or coffee shops, or even in proximity of national embassies.75 Smugglersmay alsopromote their services in the same way that legitimate businesses do through newspaperadvertisements, internet and social networking media, travel agents and through word ofmouth.76In some instances, smugglersmay actively recruitmigrantsbyproviding themwith incorrectinformationaboutemploymentprospectsinthedestinationcountry,theeaseofregularizationandtheconditionsoftheseajourney.77Migrantsmayforinstancebeshownaphotoofalargeboatingoodconditionpresentedasthatwhichtheywilltravelwith,onlytobethenforcedontoasmall,dilapidatedboat.Recruitersmayalsotemptpersonsintomigratingtoplacesfaraway,thoughtheyotherwisehadno intentionofdoingso.Suchrecruitmentmayoccur inmigrantscountriesoforigin.Insomesituations,asmugglerwillbebasedinacountryoftransit.Whenheprocuresaboathethen recruits the appropriate number ofmigrants to smuggle; such personsmay already bewaiting in the countryof transitbut the smugglermayneed toadditionally recruitpeople incountriesoforigintofillthevessel.Alternatively,hemayhaverecruitedanumberofmigrantswantingtoundertakeaseajourneyandthenneedtoprocuretheappropriatevessel.Migrants must place significant trust in smugglers before they embark on their journey,meaning that smugglers reputationsmaybedecisive factors in choosing them.78 Judgementaboutsmugglersmaybebasedonwhatawouldbemigranthearsaboutthemthroughsocialnetworksoffriends,familyandacquaintances.79Giventherelativelydisempoweredpositionofmigrants tonegotiatewithsmugglersand thevulnerability theywillexperienceen route, thesmugglersreputation isofkey importanceparticularly inrespectof fullservicepackagesthatalsoencompasslandandsometimesairjourneystowardsthecoastofdeparture.2.2.3. SafehousesMigrantswanting tocrossaseabyboatmaybecrowded into safehouseswhere theymustwaitforaperiodofhours,days,weeksorevenmonthsbeforetheyareabletoembarkontheirsea voyage. The time between arriving in the coastal country and departing on a smugglingvesselcanvarysignificantlydependingonwhoisbeingsmuggledandwhoissmugglingthem.Insomeregions (suchastheCaribbean islands),migrantsmayalreadybeclosetothecoastandindependently travel to coastal departure pointswhen smugglers instruct them to do so. Inothersmugglingprocesses,smugglersmaycontactmigrantswhoarestill incountriesoforiginortransit, instructingthemtomaketheirownway(oftenviaair)tothecoastalcountrywithin75Seeforinstance,UNODC,GlobalReviewandAnnotatedBibliographyofRecentPublications,January2011,p.102.76AndreasSchloendhardt,OrganisedCrimeandMigrantSmuggling:AustraliaandtheAsiaPacific,AustralianInstituteofCriminology,ResearchandPublicPolicySeries,No.44,p.39.77Seeforinstance,AndreasSchloenhardt,OrganizedCrimeandMigrantSmuggling:AustraliaandtheAsiaPacific,AustralianInstituteofCriminology,ResearchandPublicPolicySeries,No.44,p.39.78VeronikaBilgeretal.,Humansmugglingasatransnationalserviceindustry,InternationalMigrationvol.44n42006.79KhalilKoserandCPinkerton.,Thesocialnetworksofasylumseekersandthedisseminationofinformationaboutcountriesofasylum,HomeOffice,London,quotedinIlseVanLiempt,Thesocialorganizationofassistedmigration,IMES,InstituteforMigrationandEthnicStudies,Amsterdam,paperpresentedatthe8thMetropolisConferenceinVienna,September2003,p.6.IssuePaper:SmugglingofMigrantsbySeaPage26of71thenextdaysasthevesselwillbereadyforthemwithinaweek.Thishasbeenfoundtobethecase for financially empowered migrants from Iraq smuggled to Australia via Indonesia.Meanwhile, less financiallyempoweredmigrants fromAfghanistan for instance,mayhave towaitinIndonesiaforsometimebeforesmugglersmanagetoprocureavesselfortheirvoyage.In other regions, thewaiting timemay be significantly longer.Migrants travelling from SubSaharanAfrica toNorthAfrica oftenmustwait in coastal countries of departure for severalmonthstoraiseenoughmoneyfortheirpassagetoEuropeandtowait insafehousesfortherightconditions todepart.Suchplacesofaccommodationmaybe locatedon theoutskirtsoftownsnear toseafrontdeparturepoints, though this isnotalways thecase; therehavebeenreportsofsafehousesmanyhoursawayfrompointsofdepartureforboats.Poorermigrants are particularly vulnerablewhen theymust remain in safe houses for longperiodsoftime.Migrantsmaybereliantonmiddlementoliaisewiththeorganizationarrangingthenextlegofthejourney.Insomeplaces,migrantsmaybefreetocomeandgofromthesafehousewhile in others theymay be entirely confined andmistreated, sometimes evenwitharmedguardstomaintainorderandprotectsecrecy.Generallyorderiskeptinsidesafehousesbynationalsofthecountryinwhichthesafehouseislocated,butmigrantsmightthemselvesdothis job foraperiodof time toearnmoney for their journey.Thisexploitative relationship isexacerbated when migrants must pay back debts to smugglers for their food and board(sometimesatinflatedprices),whichmayleavelittlechoicebuttoworkforsmugglersinordertorepay theirdebtandcontinue their journey.Suchworkmayentaildrugsmugglingorevenperforming roles in the migrant smuggling business itself, for instance by recruiting othermigrants.2.3. Theseajourney2.3.1. EmbarkationanddepartureWhen smugglersdetermine that the time is right,migrantsmaybe takendown todeparturepoints in cars, closed vans, buses or trucks, generally during the night to avoid detection.Dependingonthe location,migrantsmayevenbeabletowalktothedeparturepoint insmallgroupssoastonotattractattention.Dependingontheregion,routeandvesselused,thevesselmaybebroughtdowntothecoastinacontainerthatthemigrantsthemselvescarrytothesea.Atthispoint,brokerswhohavecollectedmoneyfrommigrantsmaypassthemoneyontotheboatowners,minustheircommission.Usuallyat thepointofembarkation,mobilephones,belts,cigarettesandother itemssuchaspassportsandotheridentitydocumentsaretakenawayfrommigrants,generallysotheycannotbelinkedtosmugglersuponinterception.Therehavebeensomeincidentsinwhichfraudulentdocumentshavebeenfoundonmigrantssmuggledatsea,intendedforuseinonwardtravelortofacilitatetheirirregularstayincountriesofdestination.Dependingonwhatisconvenientforsmugglers,familygroupsmaybeputonthesameboatorseparatedtodiscouragethemfromcooperatingwithauthoritiesupon interception,whichcouldcompromise the journeyof theirfamilymembers.Smugglersoften carefully choosemigrants they sendonboats according to theirnationality.Someboatsmaytransportpassengersofonlyonenationality,whileonotherboatstheremaybe asmany nationalities as there are passengers. For instance, people from countrieswithIssuePaper:SmugglingofMigrantsbySeaPage27of71bilateralagreementswiththedestinationcountryhaveahigherchanceofbeingrepatriatedassoonasthey land.Migrantswhohaveahigherchanceofbeingacceptedasasylumseekers inthedestinationcountryorwhohavecomefromfarawayorigincountriestowhichrepatriationwouldbeextremelyexpensive,mayalsobe selected toundertake the sea journey.80Alsoasmentionedabove,aspartoftheirmodusoperanditoenablethestayofmigrantsinthecountryof destination smugglersmay opt for certain profiles such as unaccompanied children andpregnantwomen.Becausesmugglingfeesfortheseacrossingareoftenpaidtobrokersinadvanceoftimespentwaiting insafehouses,migrantswillhavenocontrolovertheirtimeofdeparture.Ifamigrantchoosesnot to travel (for instance,because theyare concerned that the journeywillbe toodangerousbecauseoftheconditionsatseaand/orthestateofthevessel)theywilleitherbeforcedtocontinuewiththeplannedjourneyorbeallowedtostaybehindbutforfeitthemoneytheyhavepaid.2.3.2. TransportandEquipmentThereareseveralmethodsofsmugglingmigrantsbysea,withboatsofalltypesandsizesbeingused to commit the crime. In some countries, boats of only a handful of passengers arecommonly intercepted,while inothercountries,vesselsofseveralhundredpeoplehavebeenused.Generallythechoiceofvesselwilldependontheresourcesavailabletomigrantstofundtheir passage, aswell as the types of vessels provided by smugglers and the length of thejourney.Thechoiceofvesselusedalsochangesaccording to theiravailabilityatagiven timeandplace.Atypicalmethodofsmugglingmigrantsatseaistousetwovessels.Thelargervessel,suchasafishingtrawlerorcargoship,willcarrythemigrantsonopenoceanvoyagestoapredeterminedlocationon thehighseaswhere theywill transfer toasmallboat for the transit toa landingsite.Atthatpoint,theboatcrewandsmugglersabandonthemigrantsandreturntothepointofembarkationinthesecondvessel.81Anothersysteminvolvesusingsmallvesselstotransportmigrantstoalargerwaitingvessel,suchasafishingtrawlerorcargoship,whichwillundertaketheoceanvoyage.82Migrantsmayalternativelybedisembarkedonanoffshore islandwheretheywait for thearrivalofanothervesselonwhich tocontinue their journey.83A less typicalmethodofsmugglingmigrantsbysea istheadhocrecruitmentofprofessionalfishermenwhousetheirownboatstotransportmigrantsouttoseawheretheyarethentransferredtosmallervesselsandleftadrifttobeintercepted,whilethefishermenreturnstothecoastofdeparture.84Finally, amethod used in largescale smuggling ventures is for several vessels to depart the80PaulaMonzoni,Migration:HumanRightsofIrregularMigrantsinItaly,inInternationalCouncilonHumanRightsPolicy,Migration:HumanRightsProtectionofSmuggledPersons,Geneva2526July2006,p.15.81Seeforinstance,AndreasSchloenhardt,OrganizedCrimeandMigrantSmuggling:AustraliaandtheAsiaPacific,AustralianInstituteofCriminology,ResearchandPublicPolicySeries,No.44,p.51.82SeeforinstanceUNODCIssuePaper:TransnationalOrganizedCrimeintheFishingindustry,2011,pp.6768.83Seeforinstance,AndreasSchloenhardt,OrganizedCrimeandMigrantSmuggling:AustraliaandtheAsiaPacific,AustralianInstituteofCriminology,ResearchandPublicPolicySeries,No.44,p.51.84UNODCIssuePaper:TransnationalOrganizedCrimeintheFishingindustry,2011,p.62,referringtoMonziniIltrafficodimigrantipermareversolItalia.Sviluppirecenti(20042008)43WorkingPapersCentroStudidiPoliticaInternazionale(2008)33.IssuePaper:SmugglingofMigrantsbySeaPage28of71coast of origin simultaneouslywith the intention of saturating operational resources of therecipientcoastalstate.In some instances,migrants can be concealed on commercial boatsor ferries or even cargoships.Speedboats,sailingboats,motoryachtsandsmall inflatablerubberboatsmaybeused.Fibreglassboatshavealsobeenused, though in some regionshave largelybeen replacedbyrubberdinghies. Somesmugglingorganisationsevenhavethemeanstobuildtheirownboatsforonetimeuse.Theuseofsailingyachtsorspeedboatsislesscommongiventhehighercostofthesmugglingoperationbothforthesmuggledmigrantandthesmuggler; ifsuchboatsaredamagedor intercepted and seized the cost to the smugglingnetwork is significant. For thisreason,oftensmugglerswithskills indrivingaboat inhighseaswillbeonboardtosailmoreexpensivevessel,whichmayhavebeenboughtwithmoneymadefromotherillegalbusinessessuchasdrug traffickingand registered to lowerlevelcriminalswhohavenocriminal records.However,insomecountries(suchastheUnitedStatesofAmerica)boatsmayhavebeenstolenand therefore do not cost smugglers anything in the event that they are intercepted ordamaged. Use of stolen boats is often an effective strategy in smuggling at sea; wherespeedboatsoryachtsarestolenfromcoastalports incountriesofdestination, it isdifficultforauthorities todetect themwhen theymergewith legitimatesea trafficafterhavingcollectedmigrantsfrompointsoforiginortransit.Generallyvesselsaresimplyownedbysmugglerswhocontinuetoreusethemforsmugglingpurposessolongastheyarenotforcedtoabandonthemduetolawenforcementpresenceorthedeterioratingconditionofthevessel.Inotherregions,suchasNorthAfrica,organisersbuyboatsfromfishermenforuseinsmugglingventures,sometimespayinguptotwicethevalueoftheboat.Therehavealsobeenincidentsofboats being stolen from fishermenwho refuse to sell. Fishing boats are often passed downthrough generations as the source of income for a family; in townswhere boats are lost tosmugglingventures, fishermenthemselvesbecomevulnerable tosmugglersaseithercaptainsof smuggling vessels or as migrants given smugglers have deprived their family of itslivelihood.85On the easternMediterranean Sea route authorities have reported a shift from the use ofmakeshiftvesselsforshortcrossingstotheuseoflargervesselssuchassailboatsormerchantshipsofferedbycriminalorganisations.86Incontrast,onthewesternMediterraneanSearoutefromNorthern Africa to Spain, irregularmigrants have been detected using less seaworthyvesselssuchasjetskisandinflatabledinghies,atrisktotheirlives.Suchmethodsaregenerallyusedforshortercrossings,suchasbetweenMoroccoandthesoutherncoastofSpain,betweenTunisia and the Italian islandsofPantelleria and Lampedusa, aswell asbetween the Turkishcoastand theGreek Islandsof theAegeanSea,wheredistancesbetween shores canbe lessthan one kilometre.87More commonly,migrantsmay be smuggled on old and deterioratedwoodenfishingvessels,whichhavebeenprocuredbysmugglersforthepurpose.Vesselsmaybe largely rottenandnot seaworthy.Suchvesselshavebeenparticularlynoted in smuggling85See for instance, Marine Olivesi, Fishermen lose boats to migrants, The World, 18 April 2011,http://www.theworld.org/2011/04/tunisianfishermenloseboatstomigrant/,accessedon5October2011.86FRONTEXAnnualRiskAnalysis2011,WarsawApril2011,p.29.87FRONTEXAnnualRiskAnalysis2011,WarsawApril2011,p.30.http://www.theworld.org/2011/04/tunisian-fishermen-lose-boats-to-migrant/IssuePaper:SmugglingofMigrantsbySeaPage29of71fromWestAfricaandMoroccotoSpainandfromLibyatoItaly.SimilarvesselsarealsousedtosmugglemigrantstoAustralianoffshoreterritories.88While inflatableboatsarealsoapopularmeansof transportation, theadvantageofwoodenfishingvesselsisthattheycancarryseveralhundredpeoplewhereasinflatableboatscancarryonlyaroundtwenty.89Insomepartsoftheworldhighdemandforsmugglingservicesandhighprofits for thesmugglerswhoprovide themhascreatedan increasedmarketdemand foroldboatsandotherkeyequipment. Insomeregions,smugglersarereportedtopayalmosttwicethemarketrateforafishingboatgiventheprofittheywillmakefromcramminglargenumbersofmigrantsonboard.90Additionalreasonsfortheuseoffishingvesselsinsmugglingoperationsisthatdepletionoffishstockshasleadtoanoversupplyoffishingvesselswhicharethereforeavailableforsmugglerstoprocurefortheiroperations.Beyondtheireasyavailability,fishingvesselsarelesslikelytoraisesuspiciongiventhatthereisalegitimatereasonforthistypeofvesseltobeoutatsea.91Finally,fishing vessels often do not require registration domestically or internationally, and are notrequiredtohavesatelliteorothertrackingsystemsonboard,meaningthatsmugglerscanusethemwithverylittleriskofbeingconnectedtothem.92Wherevesselsareunseaworthyandnotintended for reuse, there isno risk to the smuggler inassigninganunskilledperson,possiblyevenamigrant, tocaptainandnavigate theboats.Fishingvesselsused to transportmigrantsgenerallyendupatthebottomoftheseaandwerenever intendedforuse inmorethanonejourney.EquipmentonboardmayincludenavigationalitemssuchasaGPSorcompassthoughthesearegenerallydiscarded intotheoceanupon interception.Mobilephonesandsatellitephonesaregenerallythrownoverboard.Dependingonthecostofthesmuggling journeytothemigrants,the leveloforganisationofthesmugglers involved,andthevesselused,migrantsmayormaynotbeprovidedwith life vests, and/orother safety items. For instance,where stolen luxuryboats areused to smuggleonlya fewpeople, life vestsmayalreadybeonboard the stolenvessel.Conversely,insituationsofovercrowdedsubstandardboats,theremaybenolifejacketsonboard.The levelofsafetyequipmentprovidedalongagivenroutesometimesdependsontheorigincountryandeconomiccapacityofthemigrantandthejourneytheyareundertaking.For instance, Somali migrants who have financial systems in place en route to protectthemselves against exploitation from smugglers,will also often be providedwith life jacketsduring the sea crossing,whileWest Africans for instancewill not. There is also evidence tosuggest thatwhere smugglersare smugglingpeopleof theirownnationality, they takemorecareofthesafetyofthosepeoplethantheydoforpeopleofothernationalities.Generallytheextent to whichmigrants safety is a consideration depends on the decency or not of theindividualsmugglersinvolved.88UNODC,TransnationalOrganizedCrimeThreatAssessment,2010,Chapter3,SmugglingofMigrants,p.70.89UNODCIssuePaper:TransnationalOrganizedCrimeintheFishingindustry,2011,p.62.90STATTConsulting,SynapseMay2011,Issue4,TheNextphaseofmigrationtoEuropefromTunisiaandLibya,p.22.91DiscussionsatUNODCExpertGroupMeetingonSmugglingofMigrantsbySea,1315September2011,Vienna,Austria.92UNODCIssuePaper:TransnationalOrganizedCrimeintheFishingindustry,2011,p.72.IssuePaper:SmugglingofMigrantsbySeaPage30of712.3.3. PilotingtheboatThere are different opinions and understandings as towhethermigrants or smugglers pilotvessels.Somepractitionersbelievethatpilotsonboardboatsarealmostalwayssmugglersgiventhatitwouldbeimpossibleforanonseafarertopilotavesselandnavigateittowardsaprecisedestination inanopensea.Otherspointtothefactthatapersonhavingseafaringskills,doesnotnecessarilymeanthatheisnotalsomigrant.Indeedinsomeregions,boatsareconsideredtoalmostalwaysbepilotedand/orcrewedbymigrantsthemselves.Therefore,itisonlypossibleto generalise as towho captains smuggling vessels to the extent of noting that sometimessmugglerswillpilotandcrewboats,whileinothersituationsmigrantsmaypilotvesselsandyetbeprosecutedforsmugglingrelatedcrimes.Itisalsoimportanttostressinthisregardthatevenwherethereisnosmuggleronboard,thesituationcanstillbeoneofmigrantsmugglingbyseaowingtothefactthatthejourneyhasbeenfacilitatedbysmugglers.Some researchhas found thatwheresmallervesselsor rubberboatsareused,amigrantwilloften be tasked to drive. Sometimes the captain is chosen from among migrants by thesmugglers,andtheninstructedhowtodrivetheboat.Suchinstructionmayonlylastacoupleofhoursnot far inadvanceof theactual journey. Sometimesapersonmaybe selectedon thebasisofhisskills,whileinothersituationsthemigrantmayhavenoboatskillsbutonlyclaimtosoastobeabletotravelforfreeorforareducedprice.Hisincentiveforundertakingtherolemay be financial, in that his smuggling fee is waived or he is given additional money forassuming the task,orhemaybeentitled tobringanotheroneor twopeopleon the journeywithoutafeetoassisthiminhisrole.Sometimesthecaptainisanexperiencedfishermanorseafarerwhohasbeenrecruitedbythesmugglerspecifically forhisskills; thesmugglersmayevenhave testedhiscapabilitiesbeforethe journey is undertaken. In regions where fishermen are recruited by smugglers for theseafaring skills and their knowledge of particularwaters and landmasses, the smugglerwillsometimesoffer the fishermanmoremoney to transport a groupofmigrants thanhe couldpossiblymakeotherwise.Personswhoaretemptedintoacceptingsuchanoffermayormaynotknowoftherisktheyincurandtheillegalityofwhattheyarebeingaskedtodo,but it isclearthatthesmugglerspasstheriskofprosecutionontothosetheyrecruit.Inmanyregions,therehavebeensituationsofminorsbeingusedtocaptaintheboatssoastoavoidprosecutionuponinterception,thoughthisisnotalwaystheresult.Oftentheboatwillbepilotedbyanadultanda childonlyplacedat thehelmwhen rescue servicesare spottedorwherethevesselisapproachingitsdestination.2.3.4. ConditionsatseaDependingontheplacesofembarkationanddestination,theboat journeycan lastanywherebetween 2 hours or 30 days. There are smuggling sea journeys that are relatively safe andcomfortableforpassengers,for instancewherethesea iscalm,wherethedistancesareshortandwhere thevessel isequippedwithenough foodandwater supplies tomake the journeycomfortable. Insome limitedsmugglingbysea journeys,migrantsareprovidedwith lifevestsandhaveadequate space inwhich tobecomfortable for thedurationof the journey.Wheresmugglers use luxury yachts to commit their crimes, passengers are generally comfortable.Whereconditionsatseaandonboardarereasonable,migrantsmayhaveapleasant journeyfrom coastal countriesoforigin to the coastal countryofdestination. Indeed, in some casesIssuePaper:SmugglingofMigrantsbySeaPage31of71investigatorshaveuncoveredevidenceofmigrantscapturingtheir journeywithvideoandstillcamerasastheywoulddocumentrecreationaltravel.However,forthemajorityofmigrants,thejourneycanbeharrowing.Manysurvivorstalkaboutrough conditions, cold, the overpowering smell of fuel, the scarcity of food and water.Conditionsmaybesocrowdedandseasso rough thatpeople fall into thewater.The lackofhygieneonboardcanresultinthespreadofdiseaseviafaeces,urineandvomit.Whileviolentmeansofcontrolofpassengersisnotusedinalljourneys,therehavebeenreportsofsmugglersonboardbeingviolent towardspassengers.Physicalandsexualassaulthasbeen reportedonsome journeys, as have acts of homicidewith instances of people, including children, beingthrown overboard.93 Survivors of sea crossings can be left traumatised by their experience;some come close todying in the courseof their journey and areexposed to conditions andtreatmentthatdemonstratesthatsmugglersvalueprofitoverhumanlife.2.3.5. ArrivalorinterceptionTherearetwomodusoperandiusedwhenapproachingcoastofdestination.Oneaimstoreachlandbyevadingdetectionbyauthoritiesbyusing fastboatsand/or travellingatnightwheredetectionismoredifficult.SuchamethodistypicalfromTurkeytowardsItalyandGreece,fromComoros toMayotte, from Somalia andDjibouti toYemen and fromBahamas to theUnitedStates.The secondmethodaims tobedetectedand interceptedor rescuedbyauthorities interritorialwatersofdestinationcoastalcountries.ThismethodisthenormfromNorthAfricatoEurope,fromSouthandSouthEastAsiatoAustralia.EvadingdetectionWheretheobjectiveistoevadedetection,theseajourneymayceaseduringtheday,andbluetarpbeputup tocover thevessel soair surveillancecannotdetect it in thevastblueof theocean. At night the journey will continue towards coasts where there is little surveillance.Alternatively for shorter journeys, small, fast boats may be used to reach the coast ofdestination,withsmugglerssimplyblendingintoseatrafficatcoastalports,droppingmigrantsoffandreturningtotheorigincoast. Insituationswhereboatshavebeenstolen fromcoastaltownsofdestination,itmaybedifficultthentodetectthem.Suchvesselsmaybeabletoevadedetection through speed and the ease with which they can be manoeuvred to avoid anysurveillancethatisspotted.Insomeregions,migrantswillbeinstructedtodisembarkthevesseltensorhundredsofmetresfromtheshoresothevesselcandepartwithoutbeingdetected.Somemigrantsareunabletoswim,and indeedmanyhaveneverseenanoceanbefore,meaningthatthismodusoperandicanresultindeath.Intheeventthatvesselsaredetectedandintercepted,migrantswilloftenhavebeeninstructedbysmugglerstosaynothingtoauthorities.Theywillsimplywaittobereturnedtotheircountryoforiginwheretheywillreenterthesmugglingcycleandembarkonanotherattempt.Insome93MdecinssansFrontires(MSF),NoChoice:SomaliandEthiopianrefugees,asylumseekersandmigrantscrossingtheGulfofAden,June2008;MixedMigrationTaskForceSomalia(cochairedbyUNHCRIOM),MixedmigrationthroughSomaliaandacrosstheGulfofAden,report,April2008,p.4.IssuePaper:SmugglingofMigrantsbySeaPage32of71smugglingventures,acostfreereattemptispromisedinexchangeformigrantssayingnothingtoauthorities.SeekingdetectionUpon interception by authorities,mobile phones,GPS and any other equipment allowed onboard to navigate the sea journeywill be thrown overboard. Before doing so, smugglers orothers on board or on landmay call the coast guardwith a satellitemobile phone, tellingauthorities torescuepersonsonboardboats.94A frequentlyreportedmodusoperandiput inplaceupon interception is for smugglersormigrants to forcea rescueby sinkingor scuttlingboats. Rubber dinghies for instancemay be punctured so authorities are forced to assumeresponsibility for persons in the water. Wooden vessels may be set alight to ensure thatauthoritiesassistpersonsonboard, sometimesmotivatedby theperception that interceptedvesselswill be turned back otherwise. In other situationswhere passengers on vessels areattempting to evade detection, there have been a few instances of persons on boardthreatening to throw babies or small children overboard, or threatening or committing selfharmifauthoritiesboardthevessel.Smugglersaregenerallywellinformedaboutastatesprotectionobligationsandacttoexploitthem.Forinstance,sometimessmugglerswillcoachmigrantstoclaimasylumuponinterceptionandinstructthemofwhichnationalitytheyshouldclaimindoingso.Alternatively,migrantswillbe toldnot to claim asylumupon interception,because after theyhave reached the coastalstate, they intend to continue their journey to anotherpreferreddestination country (eitherindependently or facilitated by smugglers)where theywill seek asylum or otherwise try toremaininthecountry.2.3.6. DeathsatseaTheUnitedNationsHighCommissionerforHumanRightsstressedthat[t]hereisnodoubtthatruthlesspeoplesmugglersbearmuchoftheblameforthethousandsofdeathsthatoccureachyearintheMediterranean,theGulfofAden,theCaribbean,theIndianOceanandelsewhere.95WhilethetotalnumberofdeathsthatoccuramongmigrantstryingtocrosstheseasfromAfricatoEuropeisunknown,anestimated1000peoplelosetheirliveseachyear.96TheInternationalCatholicMigrationCommissionputs thenumberhigher, reporting that2000people lost theirlivesinthefirstmonthsof2011.97InMay2011forinstance,61peoplediedofdehydrationandstarvationonboardaboat in theMediterraneanSea.98 InAsia,while thenumbersofpeopletrying to reach Australia are lower than those trying to reach Europe, there have been a94CouncilofEurope:ParliamentaryAssembly,EuropesboatpeoplemixedmigrationflowsbyseaintosouthernEurope,11July2008,Doc.11688availableathttp://www.unhcr.org/refworld/docid/487c61f616.html.95NaviPillay,UnitedNationsHighCommissionerforHumanRights,Migrantsatseaarenottoxiccargo,9/5/2009,http://www.abscbsnnews.com/viewsandanalysis/09/04/09/migrantsseaarenottoxiccargonavipillay.96SeeforinstanceICMPDandFortressEuropeandUnited.97ICMC,Mayday!StrengtheningresponsesofassistanceandprotectiontoboatpeopleandothermigrantsarrivinginSouthernEurope,September2011,p.4.ThisICMCreportalsonotesFortressEuropefigureswhichsuggestthat1931immigrantslosttheirlivesintheMediterraneanSeainthefirstsevenmonthsof2011.(Seep.43).98See for instance Jack Shenker, Aircraft carrier left us to die, say migrants, The Guardian, 8 May 2011,http://www.guardian.co.uk/world/2011/may/08/natoshiplibyanmigrants,accessed21October2011.http://www.abs-cbsnnews.com/views-and-analysis/09/04/09/migrants-sea-are-not-toxic-cargo-navi-pillayhttp://www.guardian.co.uk/world/2011/may/08/nato-ship-libyan-migrantsIssuePaper:SmugglingofMigrantsbySeaPage33of71significantnumberofdeaths; in2001more than350 liveswere lost inone incidentwhenanunseaworthyvesselsankoff thecoastof Java, Indonesiaheaded forAustralia.99 InDecember2010,50 liveswere lostwhen vessel crashedon rocksat theoffshoreAustralian territoryofChristmas Island. Ingeneral, it isnot in the interestsof smugglersby sea to treatpassengersbadly given that theirbusinesses relyonwordofmouth from satisfied customers.However,those smugglers facilitating passage across the Gulf of Aden are exceptions. Asmentionedabove, the conditions of travel across the Gulf of Aden are so severe that the journey isestimatedtohaveamortalityrateof5%.Thecausesofdeathinthissituationarereportedtobelackoffoodandwater,aswellasdrowningandseverebeatingsormurderbysmugglerswhohavethrownpeopleoverboard.Suicidesalongthisroutehavealsobeenreported.100Causesofdeathcannotalwaysbeestablishedgiventhatsomebodiesareneverfound.While the totalnumberofdeathsof smuggledmigrants at sea isnot known, thenumber isbelievedtobeincreasing.101Akeyreasonforthisiswidelyconsideredtobetheresultofalowcostsegmentofthemigrantsmugglingmarketexpandingaspushfactorsgivepeopleincentiveto leave their homes, and border controls are strengthened in countries of destination. Asimmigrationchannelsbecomemorelimited,morepeopleturntosmugglersforassistance,whoendanger lives and safetyofmigrants in their increasingly riskyefforts to circumventbordercontrols.102Addedtothisarereportsofbothstateandprivatevesselsfailingtorescuemigrantsindistressatseadespitebeinginapositiontodoso.Inshort, it isthemodusoperandiofsmugglersthat isdirectlytoblamefordeathsofmigrantssmuggledatsea.Smugglersmayuseboatsandenginesthatareunseaworthy,sinkingwithoutthemeansforpassengerstosignalforhelp.Boatsareoftenovercrowdedandtheirpassengersmaynotbeprovidedwith lifevests.Alternatively,accidentscanhappenwhensmugglerssendmigrantsonsea journeys inbadweatherconditions;boatshavebeentornapartonrocksandpassengersthrown intoroughwaters.Anothercontributingfactortothe lossof livesatsea isthe lack of Emergency Position Indicating Radio Beacons (EPIRBs); a lifesaving piece ofequipment rarely carried on smuggling vessels. Methods to force authorities to act canendanger lives, for instance, where boats are sabotaged so as to force rescue. Some suchattemptscangowrong,for instance,whenpeopledrownasan inflatablevessel ispunctuatedorwhenanattempt toset fire toawoodenvesselgoeswrong,resulting inanexplosion that99See for instance Hundreds drown off Java, http://news.bbc.co.uk/2/hi/asiapacific/1614352.stm 22 October2001,accessed25October2011.100Mdecins sans Frontires (MSF), No Choice: Somali and Ethiopian refugees, asylum seekers and migrantscrossingtheGulfofAden,June2008;MixedMigrationTaskForceSomalia(cochairedbyUNHCR IOM),MixedmigrationthroughSomaliaandacrosstheGulfofAden,report,April2008,p.4.101Seeforinstance,UNODCAGlobalReviewandAnnotatedBibliographyofRecentPublications,January2011,p.27andCouncilofEurope:ParliamentaryAssembly,EuropesboatpeoplemixedmigrationflowsbyseaintosouthernEurope,11July2008,Doc.11688,availableathttp:/www.unhcr.org/refworld/docid/487c61f616.html.102Seeforinstance,NicholasAnHear,Iwentasfarasmymoneycouldtakeme:conflict,forcedmigrationandclass,WorkingPapern6,COMPAS,UniversityofOxford2004andCouncilofEurope:ParliamentaryAssembly,EuropesboatpeoplemixedmigrationflowsbyseaintoSouthernEurope,11July2008,Doc.11688,availableathttp://www.unhcr.org/refworld/docid/487c61f616.html,accessedon7September2011.http://news.bbc.co.uk/2/hi/asia-pacific/1614352.stmhttp://www.unhcr.org/refworld/docid/487c61f616.htmlIssuePaper:SmugglingofMigrantsbySeaPage34of71costs people their lives. Indeed, in 2009 in Australia, an explosion on board a vessel in anattempttosetitalightresultedinlossof5livesandinjuriesto40people.103Itisimportanttonotethatmanymigrantswhoaresmuggledatseacannotswimandmayneverevenhave seenanoceanbefore theyembarkon their journey.Thereareexamples fromallregionsoftheworldinvolvingmigrantsdrowningatsea.Inoneinstance,amigranthadsurvivedanarduous smuggling journey through several transit countriesover severalmonths,only todrowninshallowwatersafewmetresoffthecoastofthedestinationcountry.2.4. Fees,paymentsandprofits2.4.1. FeesAswithalltypesofsmuggling,costsvaryconsiderablydependingonthetypeofvesselused,theguarantees and other services included as part of the smuggling package, the safety of thejourney,andwhetherthejourneyistobecarriedoutatonceorinstages.104Whereapersonispayingforafullpackagefromoutsidethedestinationregion, includingairand landaswellassea travel, costs canbe significantparticularlywhere fraudulentor falsifieddocumentsareprovided. Fees paid for distinct smuggling segments vary enormously, even along the sameroute,generallycomingdowntowhatagivenmigrantcanaffordtopay.Smugglingfeesmaybemanytimesmorethanamigrantsannualincome.105Wheresmugglersdemandpaymentupfront,migrantsmayneedtocallextensivelyupon familyresourceswhichcan decrease the economic health families and communities and in turn increase thedesperationofmigrantstoreachtheirdestinationandnottoreturnhome.106Itiscommonformigrantstohavetoselltheirpropertyorotherassets inordertoaffordthesmugglingfee.107Whilenotnecessarilypoor,migrantsmayhave toborrowheavily against the expectationoffuture earnings; debtorsmay be friends or familywho are equally poor and invest all theirresources in the hope of receiving remittances.108Alternatively,moneymay be provided byfriendsor relativeswhoarealreadyestablished in thedestination country.The result is thatmoney isdiverted from families into thehandsoforganised criminals, resulting ineconomicdisempowerment of communities, and fuelling of crime. At amore individual level, all themoneyborrowedrepresentsmoneythatmigrantswillhavetopayback.Theirdesperationtodoso and their disappointment as to the nature and length of the journey and the limitedemploymentoptionsavailabletothemthroughoutitcanexposemigrantstothetemptationofillegalactivities(oftenofferedbysmugglers)inordertopayofftheirdebts.Thesituationofdebtmayalsocoercemigrantstoundertakedangerousjourneysatsea,becausetheyfeelthattheironlyoptionistocontinueforwards;goingbackwardsmaynolongerbeanoption.103 See for instance, Larine Stratham, Salute before fatal boatexplosion,http://www.theage.com.au/national/salutebeforefatalboatexplosion20100128n1pm.html, 29January2010,accessedon21September2011.104UNODC,GlobalReviewandAnnotatedBibliographyofRecentPublications,January2011,p.104.105UNODC,TransnationalOrganizedCrimeThreatAssessment,2010,Chapter3,SmugglingofMigrants,p.56.106STATTConsulting,SynapseMay2011,Issue4,ThenextphaseofmigrationtoEuropefromTunisiaandLibya,p.3.107KOSERKhalil,WhyMigrantsmugglingpays,pp.326inInternationalMigrationvol.46n2,2008,p.13.108UNODC,TransnationalOrganizedCrimeThreatAssessment,2010,Chapter3,SmugglingofMigrants,p.56.http://www.theage.com.au/national/salute-before-fatal-boat-explosion-20100128-n1pm.htmlIssuePaper:SmugglingofMigrantsbySeaPage35of71It is interestingtonotethatwhilesmugglingfeesareoftenstandardized, insomeregionstheydiffer depending on the nationality of the migrant concerned, with some nationals beingchargedsignificantlymore thanothers for thesamesea journey.109 Ithasalsobeen reportedthatsomewomenpaymorethan theirmalecounterparts;reasons forthisareyettobe fullyunderstoodbutsomespeculatethattheirparticularvulnerabilityputstheminarelativelyweakbargainingposition.110Theremayalsobecostimplicationswithrespecttotheseajourneyitself;alifejacketforinstancemaybeprovidedtothosewhocanaffordtopayextra.2.4.2. PaymentsTherearesituationsinwhichagentsincountriesoftransitordestinationactasfinancialbrokersforsmugglingoperations.Anagentmayreceivemoneythroughaninternationalmoneytransferagent,chargingapercentageforhisorherservices.Thismoneywillthenbetransferredbacktothesmugglersbyanotheragentwhophysicallytravelstothecountryoforiginandconveysthemoneytothemigrantstopaytheirsmugglingfees.Somemigrantsprotectthemselvesagainstrisksduring their journeybyhavingmoneysent tothematvariouspointsorby relyingon informalbanking systems (knownashawala inmanycountries),whereby a trustedperson acts as a guarantorwhowill authorizepaymentof themoneyonceheorsheisinformedthatthemigranthassafelyarrivedatagivenpointalongthejourneyorsurvivedaseacrossing.111Inthiswaymigrantshavealevelofprotectionduringtheirsmuggling journeyand smugglersareable tomoreeasilyhide the financialelementsof theircrimes.Such systems runparallel to legitimate systemsandareoftenorganisedalongethniclines. The complexity of these systems highlights the need for international cooperation tofollowmoney to smugglers,andpotentially confiscate theirassets todisrupt their continuedcommissionofcrimes.Inothersituations,arelationshipoftrustexistsbetweenthemigrantandthesmuggler,inwhichthelatterhasbusinessincentivetorespecttermsoftheagreementevenwherepaymentismadeinadvance,soastoattractfuturecustomers.Anotherconsiderationisthatsomemigrantsmaypayfortheirjourneyinkind.Whereamigrantis recruited to work for the smuggler by recruiting others to undertake the journey orperformingsomeothergenerally illegalactivity,hemaybeabletotravelforfreeand/orbringanotherpersononthejourney.Thisissuehasbeentoucheduponaboveinrespectofmigrantscaptainingsmugglingvessels.Therearealsoincidentsofsmugglersreceivingmaterialsbenefitsin lieuofpayment.For instance,malemigrantsmaycarrydrugson their journeyand femalemigrantsmayprovidesexualfavourstosmugglersinlieuofpayingfortheirjourney.Thoughnomoneyhaschangedhandsinsuchsituations,thecrimewouldstillbeoneofsmugglingforthepurposesoftheMigrantsSmugglingProtocol,whichrequiresfinancialormaterialgain.2.4.3. ProfitsThe nature of the crime and its relationshipwith smuggling ofmigrants by land and by air,meansthat it isasuccessfulcrimetypethatyieldshighprofitsforsmugglerswithalltherisks109HeindeHaas,IrregularMigrationfromWestAfricatotheMaghrebandtheEU:Anoverviewofrecenttrends,IOMResearchSeriesn32,2008,p.18.110UNODC,AGlobalReviewandAnnotatedBibliographyofRecentPublications,January2011,p.111.111For more information about hawala, see Module 4, UNODC Basic training manual on investigating andprosecutingthesmugglingofmigrants,2010.IssuePaper:SmugglingofMigrantsbySeaPage36of71being borne by migrants. The logistical simplicity of migrant smuggling by sea can meansignificantprofitsforsmugglersinvolved.Evenatthelowcostendofseasmugglingmarket,lowriskofdetectionforsmugglers,combinedwithahighnumberofpeoplewhocanbesmuggledatonce, and the lack of need for falsified or fraudulent documents, means that profits arerelativelyhigh.112Dependingonapersonsroleinthesmugglingbusiness,heorshewillreceiveasetamountpermigrantsmuggled,oracommissiononthemoneypaid.In otherwords, smugglersminimise their risks andmaximise their profits, sometimes at theexpenseofthesuccessoftheundertakingandthesafetyofmigrants.Forinstance,evenatthelowcostendoftheseasmugglingmarket,profitscanbemaximisedby increasingthenumberofpersonssmuggledonaparticularboat.Oneboatcontaininghundredsofpeopleallpayingminimalamountscanadduptoasignificantprofitforsmugglerswhosecostsareminimal.Asmentioned in2008alone,smugglingmigrants fromAfricatoEuropegrossedaroundUSD$150millionforperpetratorsofthecrime.113Therefore,whilemigrantsmaybeeconomicallyruinedasaresultofsmugglingattempts,theprofitmarginsforsmugglerscanbesignificant.3. RESPONSEandCHALLENGES3.1.EncounteringmigrantsmugglingatseaArticles7to9oftheMigrantSmugglingProtocolarespecificallyconcernedwithsmugglingofmigrantsbysea.114Theseprovisionsshouldberead inthecontextofthe international lawofthe sea, in particular the 1982 United Nations Convention on the Law of the Sea (UNCLOSConvention).TheUNCLOSConventioncontains thegeneralprincipleof international law thatshipshave thenationalityof theStatewhose flag theyareentitled to fly (Article91(1)).ThisprincipleisreflectedintheUNTOCprovisionthatestablishesjurisdictioninrespectofoffencescommittedonboardavesselflyingtheflagoftheState(UNTOC,Article15).Shipsaresubjecttothe exclusive jurisdiction of the flag State on the high seas, other than in exceptional casesprovidedfor intreatiesandundertheUNCLOSConvention(Article92(1)).TheflagStatehasadutytoexercise its jurisdictionandcontrol inadministrative,technicalandsocialmattersovershipsflyingitsflag(UNCLOSConvention,Article94).3.1.1.DetectionDetectingmigrantsmugglingsituations ischallengingevenon land. Inrespectofsmugglingofmigrantsbysea, itmustbeborne inmindthatsome70%oftheearthssurface iscoveredbyocean,makingdetectionofasmugglingvesselextremelydifficult.Whereauthoritiesofacoastalcountry of departure inform authorities in the destination country that a vessel has left itsshores,inavastoceanitisstillnotalwayspossibletolocatethevesselinquestion.112Seeforinstance,AndreasSchloenhardt,OrganizedCrimeandMigrantSmuggling:AustraliaandtheAsiaPacific,AustralianInstituteofCriminology,ResearchandPublicPolicySeries,No.44,p.39.113UNODC,TransnationalOrganisedCrimeThreatAssessment,2010,Chapter3,SmugglingofMigrants,p.76.114SeeAnnexMigrantSmugglingProtocolExtracts.IssuePaper:SmugglingofMigrantsbySeaPage37of71Sometimesboatscarryingmigrantsarespottedbyprivatevessels, thecaptainsofwhichmayinform coastal states. The location of smuggling vesselsmay also be reported by smugglersthemselvesasapartoftheirmodusoperandi.Alternativelysmugglingvesselsmaybedetectedbyseaand/orairpatrols. Inmostcountries,thispatrolling function isperformedbythenavy,coastguard,policeandsurveillanceteamsinwhosejurisdictiontheparticularareafalls.Limitedmaritime patrol assets can present a significant challenge for small coastal or islandstates.Somesuchcountriesfinditdifficulttocarryouteffectivemaritimepatrolsinwhatmaybe a vast search and rescue area. In some regions, this burden has been eased throughincreasedcooperationfromothercountriesintheregion.Suchcooperationcanmanifestintheprovision of both human andmaterial resources, such as patrol vessels and helicopters andevenpersonnel forthepurposesofcarryingout jointpatrols. AEuropebasedexample istheEuropean Agency for theManagement of Operational Cooperation at the External Borders(FRONTEX),whichwasestablished in2004 to enhanceborder security through strengthenedcoordination of EUMember States activities and pooling of their resources. FRONTEX hasindependent legal personality and operational and financial autonomy.115 A key part of theoperational goals of FRONTEX is the detection (and interception) ofmigrants attempting tocross seaborders irregularly,but italso targets thecriminalorganizations that facilitate theirirregularmovement.116Aparticular challenge in addressing smuggling at sea is linking a vesseldetected at seawithsmugglingrelatedcrimes.Instancesofmigrantsmugglingatseaarefrequentlytreatedsimplyasinstances of irregularmigration, with little or no consideration for the criminal facilitatorsinvolved.Theresultisthatthemodusoperandiofsmugglersissupportedratherthancurtailedasinvestigativeopportunitiesarelost.Whenresponsestosmugglingatseaaremerelyreactiveratherthanproactive,smugglersareabletocontinuetheircrimeswithimpunity.Another result of disregarding the involvement of criminal smugglers in facilitating irregularmigration at sea is that prevention opportunities aremissed. At the point wheremigrantsembarkonseajourneys,severalsmugglingcrimesmayalreadyhavebeencommitted.Theroleplayedbycoastalstatesfromwheresmugglingvesselsdepartmustbestressedandsupported.Criminaljusticeactorsinthosecountrieshaveaninvaluablepreventativeroletoplay;detectionofsmugglingofmigrantsatseaideallytakesplaceatcoastsofdeparturebeforejourneysbyseaareembarkeduponandbeforelivesareputatriskatsea.117115Article15,paragraph1oftheFRONTEXRegulation.116FRONTEX,http://www.frontex.europa.eu/origin_and_tasks/tasks/117Theroleofcoastalstatesinpreventingdepartureofboatsisdiscussedbelowin3.4.3.IssuePaper:SmugglingofMigrantsbySeaUNHCRthanksItaliannavyforrescuingboatindistresspackedwithrefugeesfromLibya11November2011AftertwodaysofsendingoutdistresscallsfromasatellitephoneintheMediterraneanSea,44people,mostlysubSaharans,wererescuedbyanItalianmilitaryvessellastnight.UNHCRisgratefulthattheItaliannavytookthisinitiativedespitethefactthattheboatwasinMaltesesearchandrescuewaters.UNHCRwasalertedthatrelativesofsomeofthepassengersonboardtheboatcalledfromasatellitephoneonTuesdayevening.Afull48hourslater,theboatwasrescuedinthemiddleofthenight.Thedelayinrescuingtheboat led to huge risks to the lives of the people on board the boat in distress. Risks included drowning,dehydrationandexposure.AwomanwithasmallbabywasevacuatedbyhelicoptertoSicilyfromLampedusa.ThisisthefirstboatoriginatingfromLibyathathasarrivedinEuropesinceAugust17th.Source:UNHCRhttp://www.unhcr.org/4ebd29809.html3.1.2.InterceptionUnderthe international lawofthesea,acoastalStatecantakeactionagainstaforeignvesselengaged insmugglingofmigrantswithin itsterritorialsea.ActionmayalsobetakenagainstaforeignvesselbyacoastalState in itscontiguouszone,orthroughtheexerciseoftherightofhotpursuit (UNCLOSConvention,Articles33and111).The consentof the flag State to suchactions is not required under the applicable provisions of the UNCLOS Convention. In itscontiguouszone,thecoastalstatecanproportionatelyenforceinterceptiontopreventbreachesofitsimmigrationlawsandregulationswithinitsterritoryorterritorialsea(UNCLOSConventionArticle33).TherightofhotpursuitariseswhereacoastalStatehasgoodreasontobelievethata foreign shiphasviolated the lawsand regulationsof thatState.Article111of theUNCLOSConventionsetsoutthescopeoftherightofhotpursuitandtheprocessofexcisingtheright.Figure1:Seaareasininternationallaw Baseline 12nauticalmiles 24nauticalmiles200nauticalmilesPage38of71CountryXTerritorialseaInternalContiguouszonewatersExclusiveEconomicZoneInternalwatersHighSeas InternationalWatersAdditionally,allStateshavetherightofvisitunderArticle110ofUNCLOS.Therightofvisitisanexceptiontothegeneralprincipleofexclusive jurisdictionofa flagStateover itsshipsonthehighseas(UNCLOSConventionArticle92).PursuanttoArticle110,awarshipthatencountersaforeignship(otherthanashipentitledto immunity)onthehighseasmayvisitandboardthehttp://www.unhcr.org/4ebd29809.htmlIssuePaper:SmugglingofMigrantsbySeaPage39of71shipiftherearereasonablegroundsforsuspectingthattheshipisengagedincertainactivities,includingcaseswheretheshipiswithoutnationality,oralthoughflyingaforeignflagorrefusingtoshowitsflag,theshipis,inreality,thesamenationalityasthewarship.Itmustbenotedherethatsmugglingofmigrantsperse isnot listedbyUNCLOSasan instance inwhichtherightofvisit can be exercised.However, the right of visit is sometimes exercised in respect of shipsengagedinsmugglingofmigrants,onthebasisthatsuchshipslacknationality.Article110alsoappliestotheexclusiveeconomiczone.Article 8 of the Migrant Smuggling Protocol allow States parties that encounter vesselssuspectedofinvolvementinsmugglingmigrants,toboardandsearchsuchvesselsundercertaincircumstances.TheMigrantSmugglingProtocolsetsout the rightofStatesparties to requestauthorisation from the flag State to board the vessel, search it, and/or take appropriatemeasureswheretherearereasonablegroundstosuspectthatthevesselisinvolvedinmigrantsmuggling.118ThemainfocusofArticle8oftheMigrantSmugglingProtocol istofacilitate lawenforcement action in relation to vessels engaged in the smuggling ofmigrants by sea. Themeaning of engaged in the smuggling ofmigrants by sea includes both direct and indirectengagement, includingcaseswhereamothershiphasalreadytransferredmigrantstosmallervesselsfor landingandno longerhasanyonboardorhaspickedupmigrantswhileatseaforthe purposes of smuggling them. This would not include a vessel that has simply rescuedmigrantswhowerebeingsmuggledbyanothervessel.Article8(2)provides amechanism for a Stateparty to authorize another Stateparty to takemeasures.AStateParty, inrespectofavesselthat isflyingitsflagorclaiming itsregistry,oravesselwithoutnationalityorassimilatedtoavesselwithoutnationality,istorequestassistanceof another State party in suppressing the use of the vessel for the purpose of smuggling ofmigrants (Article8(1)). Inaddition, the framework includesamechanism foraStateparty, inrespectofa vessel flying its flag, toauthorizeanother Stateparty toboard, searchand takeotherappropriatemeasures in respectof thevessel tosuppress theuseof thevessel for thepurposeofsmugglingofmigrantsbysea(Article8(2)).Thedilapidatedconditionofvesselsusedbymany smugglersand the fact thatboardingmaytakeplaceatsea, far fromsafeharbourconditionsraisesconcernsaboutthebasicsafetyandsecurityofmigrantsandothersonboardsuchvessels.Stoppingandboardingvesselsalsoraisesconcernsabout the sovereigntyofStates towhich suchvesselsare flaggedor registeredandaboutthecommerciallossesofshipownersthatmightresult.Forthesereasons,Article9oftheMigrantSmugglingProtocolincorporatesbasicsafeguardrequirementstoprotectsuchinterestsbeforeandduringboardingandtomakesomeprovisionforaccesstoremedies later, incaseswherethesearchprovestobeunfounded.TheProtocoldoesnot limit the classor statusofofficialswho can exercisemaritime searchpowerstowarshipsandmilitaryaircraft;suchpowersmaybeextendedtoanyofficialoragencywithappropriatelawenforcementauthorities.However,anyboats,shipsoraircraftusedmustbeclearlymarkedandidentifiableasbeingongovernmentserviceandauthorizedtothateffect(Migrant Smuggling Protocol, Article 9(4)). Given the risks and difficulty associated withboarding and searching vessels at sea, authority to exercisepowers createdpursuant to the118MigrantSmugglingProtocol,Article8(7).IssuePaper:SmugglingofMigrantsbySeaPage40of71Protocol is ideally limited toofficialsorofficerswhohave thenecessary training,competenceandequipment.3.1.3.RescueVesselsusedforsmugglingmaybeconfiscated ifapprehendedandforthatreason,smugglersoftenusedilapidatedvessels.Insomecases,whensuchvesselsareencounteredatsea,theyareoverloadedwithmigrantsand in imminentdangerofsinking.Rescueofpersons indistressatsea isan internationalobligationunder the international lawof the sea,andahumanitariannecessity,regardlessofwhothepeopleareandtheirreasonsformoving.119As has been discussed, it is also part of the modus operandi of many smugglers to takeadvantageofStatesrescueobligationsbysabotagingvesselsor instructingmigrantsonboardtodo so.Theduty to rescue isparamount, takingpriorityoverother concerns including lawenforcement objectives, regardless of the fact that smugglers objectivesmay be advancedwhen rescuingauthoritiesassume responsibility formigrantsatsea.The focusofArticle8onsuppressionofacriminalactivitydoesnotunderminethisdutyundermaritimelawandcustomtorescuethose inperilatsea.Rather,theobligationtopreserve lifeatsea isreflected inthelanguage used in Article 8(5) of theMigrant Smuggling Protocol,which provides that Stateparties shall takenoadditionalmeasureswithout theexpressauthorisationof the flagState,"except those necessary to relieve imminent danger to the lives of persons or thosewhichderive from relevant bilateral ormultilateral agreements." Safeguards are further set out inArticle 9 and theArticle 19 savings clause.Authorities inwhose search and rescue area thevesselindistressisfoundareresponsibleforcoordinatingrescueoperations.Article 98 ofUNCLOS, and ChapterV, Regulation 33 of the International Convention for theSafetyofLifeatSea(SOLASConvention)makeclearthatthereisanobligationonshipsmastersto render assistance to those in distress at sea. States have a corresponding obligation tocooperate inrescuesituationstorelievethemasterofresponsibilitytocare forsurvivorsandallow those rescued tobedelivered toaplaceofsafety.Thegovernment responsible for thesearchandrescueoperationinwhichsurvivorsarepickedupisresponsibleforprovidingaplaceofsafetyorforensuringthatsuchaplaceofsafety isprovided.120AmendmentstotheSOLASConventionandtheSearchandRescueConvention(SARConvention)aimtoensurethatpeopleindistressatseaareassisted,withminimal inconveniencetotheassistingship.StatesPartiesarerequiredtoassistshipsbyembarkingpersons indistresssoastoreleasetherescuingshipfrom its obligations with minimum deviation from its intended voyage, and to arrangedisembarkationofrescuedpersonsassoonaspossible.121Despitetheseclearprinciplesofinternationallaw,shipsmastersmaybehesitanttofulfiltheirobligationstorenderassistancetomigrantsatsea.Thereareseveralreasonsforthisreluctance.119UNHighCommissionerforRefugees,Thetreatmentofpersonsrescuedatsea:conclusionsandrecommendationsfromrecentmeetingsandexpertroundtablesconvenedbytheOfficeoftheUnitedNationsHighCommissionerforRefugees:ReportoftheOfficeoftheUnitedNationsHighCommissionerforRefugees,11April2008,A/AC.259/17,availableat:http://www.unhcr.org/refworld/docid/49997aeb27.html,p.2.120Seeforinstance,CouncilofEurope,ParliamentaryAssembly,EuropesBoatpeoplemixedmigrationflowsbyseaintoSouthernEurope,11July2008,Doc.11688,p.11,availableathttp://www.unhcr.org/refworld/docid/487c61f616.html.121AmendingSOLASRegulation33andAmendingSARChapter3.1.9.http://www.unhcr.org/refworld/docid/49997aeb27.htmlIssuePaper:SmugglingofMigrantsbySeaPage41of71Therescueofpersonsatseawilllikelyrequireadiversionfromtheintendedroute,whichmayhave significant cost implications for the ship concerned. Beyond the inconvenience andfinancialconsequencesofpickinguppersons indistressanddetouring todisembark themonland,theremayalsobeconcernthatauthoritiesmaynotacceptpersonsfordisembarkationandships captainsmay be caught in themiddleof states arguments as towhose responsibilityrescuedpersonsare.122Dependingonwheretherescue iscarriedout, issuescanarisesuchaswhichcountryrescuedpersonsshouldbedisembarkedin,howlongtheywillstayonboardtheshipthatrescuedthem,howtoensurethattheyareprovidedwithfood,waterandnecessarymedicalattention,whobearsthecostfortherescueatseaandhowtoensurethattheprincipleofnonrefoulementisupheld.123Addedtothesechallenges,considerationsspecifictomigrantsmugglingatseaalsomaydetershipsmasters fromcarryingout rescue.Ononehand,shipsmastersmaybeconcerned thatprolongedsearcheswillbecarriedoutontheirvessels,orthattheirvesselwillbedetainedforinvestigativepurposes.124Anotherkeyconcernisthatshipsmastersmaybehesitanttorescuemigrantsindistressatseaforfearofbeingprosecutedformigrantsmuggling.125Unfortunatelyinsome jurisdictions,thisfear isnotabaselessone. Therehavebeensituationswhereshipsmasterswhohaverescuedpersonsatsea,havebeenprosecutedformigrantsmugglingcrimesasa result.126Flowingon from this, therehavebeen tragic incidentsofdeathsat sea,whereships masters have failed to fulfil their obligations to render assistance in fear of beingprosecuted. The United Nations High Commissioner for Human Rights cautions thatgovernmentsfailuretosupportshipmastersandfishermenwhorescuepersonsatsea,actsasadisincentiveforfurthersuchrescuestobecarriedout.A failure to protectmigrants human rights encourages boat captains and shippingcompanies to put calculations of the financial cost of salvaging poor and unwantedseafarersindistressaboveboththeirdutytorescueandhumancompassion.Everytimea government refuses to allow those who have been rescued to disembark at thenearestportorthefinalportofdestination,theyincreasethepressureoncaptainsandshippingcompaniestoaverttheirgazewhentheyseeamigrantboat introuble. Itcancostcompaniesmillionsofdollars ifstatesrefuseto lettheirvesselsenterportsoroffload cargoes because there aremigrants on board. The disincentives for responsiblebehaviourbecameparadoxicallyclearwhenfishermenwhohelpedseafarers indistress122Seeforinstance,CouncilofEurope,ParliamentaryAssembly,EuropesBoatpeoplemixedmigrationflowsbyseaintoSouthernEurope,11July2008,Doc.11688,p.11,availableathttp://www.unhcr.org/refworld/docid/487c61f616.html.123ChristineAdam,MigrationatSea,RescueatSea,inIOMInternationalMigrationLawandPolicies:RespondingtoMigrationChallengesinWestandNorthAfrica,RoundTable89December2009,Dakar,Senegal,p.73.124SeeUNODCToolkittoCombatSmugglingofMigrants,Tool8.4,RescueatSea.125UNODC,IssuePaper:TransnationalOrganizedCrimeintheFishingIndustry,2011,p.64.126Seeforinstance,CouncilofEurope,ParliamentaryAssembly,EuropesBoatpeoplemixedmigrationflowsbyseaintoSouthernEurope,11July2008,Doc.11688,p.11,availableathttp://www.unhcr.org/refworld/docid/487c61f616.html.Alsoseehttp://www.migreurop.org/article1496.html?lang=fr.http://www.unhcr.org/refworld/docid/487c61f616.htmlhttp://www.migreurop.org/article1496.html?lang=frIssuePaper:SmugglingofMigrantsbySeaPage42of71weremade to face criminal charges, rather thanpraise for saving livesand fulfillingadutyclearlyspelledoutininternationallawandcommonhumanity.127ItisclearthattheMigrantSmugglingProtocoldoesnottargetpersonswhocarryoutrescuesofmigrantsindistress.TheMigrantSmugglingProtocolemphasisestheneedtocarryoutrescuesin accordancewith internationalobligations to do so. In this context,both States and shipsmasters should be made aware of their rescue obligations. The key challenge for theinternationalcommunity ishowtosupportthemto fulfilthoseobligations,whileatthesametimecombatingthesmugglingwhichleadtotheneedforrescueinthefirstplace.3.1.4.AssistanceandprotectionThereareseveralprotectionandassistancemeasurestotakewithrespecttomigrantswhoaresmuggledatsea; indeedArticle2oftheMigrantSmugglingProtocolclarifiesthatprotection isoneofthekeypurposesoftheProtocol.Article16oftheMigrantSmugglingProtocolsetsoutmandatoryprotectionandassistanceprovisions.MigrantSmugglingProtocol,Article16,ProtectionandAssistance1. ...eachStatePartyshalltake,consistentwithitsobligationsunderinternationallaw,allappropriatemeasures, including legislation ifnecessary,topreserveandprotectthe rights of persons who have [been smuggled] as accorded under applicableinternational law, inparticulartherightto lifeandtherightnottobesubjectedtotortureorothercruel,inhumanordegradingtreatmentorpunishment.2. Each State Party shall take appropriatemeasures to affordmigrants appropriateprotectionagainstviolencethatmaybeinflicteduponthem,whetherbyindividualsorgroups,byreasonofbeing[smuggled].3. EachStatePartyshallaffordappropriateassistancetomigrantswhoselivesorsafetyareendangeredbyreasonofbeing[smuggled].4. Inapplying theprovisionsof thisarticle,StatesParties shall take intoaccount thespecialneedsofwomenandchildren.Article16 clarifies thatallpersons interceptedor rescuedat sea should receiveassistance inaccordance with their needs. Article 16(3) requires that basic assistance be provided tosmuggledmigrantswhoselivesorsafetyareendangeredbyvirtueofhavingbeentheobjectofsmuggling.Thenatureofassistancerequiredbyamigrantsmuggledbyseawilldependonthenatureof their smugglingexperience.Migrants interceptedat seamay require firstaid, if forinstancetheyaresufferingfromhypothermia,dehydrationand/orare inastateofshockasaresult of their journey at sea. Article 16(4) of the Protocol clarifies that special needs ofvulnerable groups includingwomen and childrenmustbe taken into consideration in rescueoperationsandthereafter.127NaviPillay,UnitedNationsHighCommissionerforHumanRights,Migrantsatseaarenottoxiccargo,9/5/2009,http://www.abscbsnnews.com/viewsandanalysis/09/04/09/migrantsseaarenottoxiccargonavipillay.http://www.abs-cbsnnews.com/views-and-analysis/09/04/09/migrants-sea-are-not-toxic-cargo-navi-pillayIssuePaper:SmugglingofMigrantsbySeaPage43of71Expertpractitionershavestressedthatactivecooperationwithinternationalorganisations,nongovernmental organisations and/or other service providers can be useful to ensure thatassistance obligations are appropriately understood and adequate resources are acquired tomeet them. Beyond the humanitarian impetus, experts also stress that longterm lawenforcementobjectivesofcombatingsmugglingareservedbyprovidingadequateassistancetomigrants.Migrantswhosebasicneedsaremetaremore likely tocooperatewith thecriminaljusticesystemandpotentiallyprovidevaluable informationto investigatorsaboutthecriminalactorsandmethodsbehindtheirjourney.In respect of protection there are two key considerations; protection from organized crimegroups and humanitarian protection.UnderArticle 16(2) of theMigrant Smuggling Protocol,Statespartieshave agreed to take appropriatemeasures toprotectmigrants from violenceinflictedonthemforreasonofbeingsmuggled.Inthecontextofsmugglingbysea,theremaybeparticularimplicationsofthisobligation.Forinstance,simplyrepellingasmugglingvesselorleaving smuggled migrants on it may effectively leave migrants in the hands of organisedcriminals and undermine law enforcement efforts against them, and therefore be incontravention of theMigrant Smuggling Protocol. Such a responsemay also simply result inreattempts. In this situation, investigative goalswould be better served by taking smuggledmigrants to places of safety to provide necessary facilities for debriefing and interviews byexpertinvestigators.As discussed above, the extent towhich violence is used by smugglers in smuggling by seasituationsvaries indifferentregionsoftheworld.Whileviolence issometimesusedtocontrolpassengersonboardvessels,othertimessmugglersseenosuchneedorarenotonboard. Inmorecomplexsmugglingprocesses,threatsofviolencemaybedirectedatthirdpersonsbasedon land.Migrantsmayfor instancebetoldthattheirfamilymembers incountriesoforiginordestinationwill be harmed in the event that themigrant cooperateswith law enforcementauthorities upon interception. Contrasted to this, inmany cases at the pointwhere the seajourney takes place, migrants do not need protection from smugglers. Rather, they mayconsider smugglers to be their protectors and allies for supporting them to achieve theirmigrationgoalsandthoseoftheirfamily.Thisbeingthecase,thechallengeforlawenforcersisto find incentive formigrants toassist criminal justicepractitioners to investigate thepeoplewhommigrantsarepayingtoassistthem.The second key protection priority arises by virtue of Article 19 of theMigrant SmugglingProtocol,highlightingthefactthatanyresponsestomigrantsmugglingsituationsshouldbe inaccordance with protection obligations set out in the 1951 Refugees Convention andinternational human rights law. Such obligations have specific implications for operationsagainstmigrantsmugglingatsea.Article33,ConventionRelatingtotheStatusofRefugees(1951)1. No Contracting State shall expel or return (refouler) a refugee in anymannerwhatsoever to the frontiers of territories where his life or freedom would bethreatenedonaccountofhisrace,religion,nationality,membershipofaparticularsocialgrouporpoliticalopinion.2. The benefit of the present provisionma not, however, be claimed by a refugeewhomtherearereasonablegroundsforregardingasadangertothesecurityoftheIssuePaper:SmugglingofMigrantsbySeaPage44of71country inwhich he is, orwho, having been convicted by a final judgement of aparticularlyseriouscrime,constitutesadangertothecommunityofthatcountry.TheOfficeoftheUnitedNationsHighCommissionerforRefugees(UNHCR)hasnotedthatthetermentrysystemsincludesbothbordersystemsandalsointerceptionoperationsintendingtoprevent, interrupt or stop individuals from reaching or entering territory. Entryofficialswhoworkinsuchsystemsincludelawenforcersauthorisedtotakeactionagainstmigrantsmugglingatsea.Accordingly,theiractionsneedtotakeaccountofhumanrightsobligations(includingtherightofallpersons to leaveanycountry, including theirown),and the rightofallpersons toseekasylumandothermeasuresofinternationalprotection.128Persons foundnot tobe inneedof internationalprotection shouldbepromptly returned totheircountriesoforiginor residence.Where interceptionoccurs in the territorialwatersofathird country in which jurisdiction is not exercised, the intercepting country and the thirdcountrymaybe jointly responsible for the rightsof interceptedpersons. Internationalhumanrightslawandthe1951RefugeesConventionshouldbefullycompliedwithinsuchsituations.129Statesarenotexempt fromobligations in international refugeeandhuman rights lawon thehighseas.130Itisclearthatinterceptionmeasuresshouldthereforenotresultinpersonsinneedofprotectionbeingdirectlyorindirectlyrefouled,andthoseinneedofinternationalprotectionshouldhaveaccesstosolutions.Ifpersons rescuedat seaclaimasylum, theclosest rescueandcoordinationcentre shouldbealerted,UNHCR shouldbealertedand shipmasters shouldnot requestdisembarkation in thecountryoforigin fromwhich the individualhas fled. Further,personal information regardingasylumseekersshouldnotbesharedwithauthoritiesofthatcountryorotherswhomayconveysuchinformationtoauthorities.131Identificationofpersonsinneedofprotectionshouldnotbedoneonanadhocbasiswithexpeditiousmechanismsinthecourseofinterceptionoperationsat sea.132 Processing of asylum seekers should take place on dry land to minimisetraumatisation,topreventpossibleproceduralinjustices.Additionally,lawenforcementofficialsatseaarenotrequiredtomakedecisionsoutsidethescopeoftheirroleandtraining;thosewhoaretrainedtopatrolseabordersonvesselscannotbeexpectedtohaveindepthunderstandingof the Refugees Convention but rather require appropriate training and guidelines to directinterceptedpersonsexpressingprotectionneedstoappropriateauthorities.133Asanexample,whereavesselcontaininghundredsofsmuggledmigrants is intercepted,andsmugglershaveinstructedallofthosemigrantstoclaimasylum,realisticexpectationsshouldbeplacedontheroleof the fiveor so interceptingofficerswhomayhaveanaval rather thanan investigativebackground.128UNODC,ModelLawagainsttheSmugglingofMigrants,pp.9394.129EuropeanCouncilonRefugeesandExiles,DefendingRefugeesAccesstoProtectioninEurope,December2007,availableat:http://www.unhcr.org/refworld/docid/4766464e2.html,p.40.130Seetheinterceptionandrescueatseaofasylumseekers,refugeesandirregularmigrants,Resolution1821(2011),ParliamentaryAssembly,CouncilofEurope,paragraph8.131SeeUNHCRRescueatSeaAguidetoprinciplesandpracticeasappliedtomigrantsandrefugees.132EuropeanCouncilonRefugeesandExiles,DefendingRefugeesAccesstoProtectioninEurope,December2007,availableat:http://www.unhcr.org/refworld/docid/4766464e2.html,p.42.133UNHCR,ConclusiononProtectionSafeguards in InterceptionMeasures,10October2003,No.97 (LIV)2003,availableat:http://www.unhcr.org/refworld/docid/3f93b2894.html.http://www.unhcr.org/refworld/docid/4766464e2.htmlhttp://www.unhcr.org/refworld/docid/4766464e2.htmlhttp://www.unhcr.org/refworld/docid/3f93b2894.htmlIssuePaper:SmugglingofMigrantsbySeaPage45of71Whiletheobligationstoprotectandassistpersonsrescuedatseaareclear,howtoupholdtheminpracticewhilealsoaddressingmigrantsmugglingatseaisnot.Thechallengeistomeettheseobligations,withoutat thesame timeservingtheobjectivesofmigrantsmugglers. Individualswhoprotectbordersareplacedinthedifficultpositionofdefendingthevaluesandintegrityofthat state from smugglerswho deliberately set out to exploit those qualities for their owncriminalends.3.2.Investigationandprosecution3.2.1.LegislativeFrameworkOne of the key challenges in fightingmigrant smuggling by sea is the lack of harmonisedunderstandingofthephenomenonand legaldefinitionsamongthecountries involved.NotallStates areparties to theMigrant SmugglingProtocol. Some countries are yet to incorporatespecificantimigrantsmuggling legislation intotheirdomestic legal frameworks. Insuchcases,smugglersmay simply be charged under immigration or searelated crimes rather thanwithserious transnational offences set out in the Migrant Smuggling Protocol. Alternatively,particular acts that they have committed may provide the basis for investigation andprosecution,forinstancewhereviolenceorendangermentoflifeatseaisinvolved.Wherethecrimeofmigrantsmugglingexistsindomesticlegislation,theelementsthatitentailsmaydiffer fromonecountry toanother,meaning thatsomesmugglersmaybeable toevadesevere penalties. Different definitions ofmigrant smuggling across jurisdictions can have aprofoundeffecton the abilityof states tobring smugglers to justice. Irregularmigrantsmayarriveby sea inone countrywith the intentionof then travellingonby landor air toothercountries in the same region.Where definitions are not harmonised across those countries,differentapproachesmaybetakeninresponse.Similarly,wheresmugglerstransportmigrantsacrossseveralcountriestotheirdestination,lackofharmonisationbetweencountriesoforigin,transitanddestinationmaymeanthattheresponsecannotbeeasilycoordinated.Where smugglers do not receive sentences in proportion to the severity of their smugglingcrimes, they may soon be released back into the community and continue their criminalactivities. Conversely, where sentences are severe and take into account aggravatingcircumstances such as endangering lives at sea, key smugglers may be removed from thenetwork sendinga strongmessage toothers thatmayhaveadeterrenteffect. Indeed, somestateshavenoticedareduction inuseofparticularsearoutesor increasedsafetyofmigrantssmuggledatsea,directlyowingtochanges in laworprosecutionswhichpenaliseactssuchassabotageofvesselstoinducerescuesandfailuretoprovidelifejacketstopassengers.Anotherchallengeparticulartosituationsofmigrantsmugglingbyseaconcernsthenatureofterritorialjurisdiction.It isnotalwayseasytodeterminewhereaseaborderhasbeencrossedand thereforewhere a crime has been committed.Different laws are applicable in differentseas;someallow travelon internalwaterswithoutspecificauthorizations, inothers, irregularmigration can not have occurred at law until irregular migrants set foot on land. ThesechallengesstresstheneedforuniversalharmonizationofunderstandinginaccordancewiththeMigrantSmugglingProtocolsoastoaddresslacunaincurrentlegalframeworks.IssuePaper:SmugglingofMigrantsbySeaPage46of713.2.2.IdentificationofsmugglersonboardboatsAs discussed above, depending on the region and themodus operandi used by smugglingnetworks, the smuggler or smugglersmay ormay not be on board the vessel.Where firstcontact ismadewith a boat piloted by the smuggler, authoritieswill need to be astute inidentifyingthesmugglerassoonas interception ismade.Thegatheringofevidenceinrelationtothesmuggleratthispoint isvitaltoseparatehimfrommigrantsandto investigatehimandthe network behind him accordingly.Where there is no smuggler on board, authorities arerequiredtolaunchaninvestigationintothesmugglersbehindtheparticularvesselbasedontheevidencebeforethem.Inbothsituations,theprocessofinvestigatingasmugglingnetworkmayoperateoverseveralcountriesandcontinents isextremelycomplex,and requires thatstrongevidencebecollectedimmediatelyatthepointoffirstdetection.Insomecases,thesmuggleronboardaboatmaybeeasytoidentify.Forinstance,hemayhaveadifferentnationalitytoallotherpersonsonboard,beclearlyatthehelmandequippedwiththeonlyphoneand life jacketonboard.Inothersituations,thepilotoftheboatmaydisguisehimselfamongtheotherpassengersuponinterception.Passengersmayallclaimtohavepilotedtheboatsoastoprotecttheidentityofthetruecaptainortellinterceptingauthoritiesthatthepilotdiedenroute.Thesituationonavesselmaybechaoticatthepointofinterception,makingitdifficultforauthoritiesto identifythecaptainand/orcrewonboard. Inthiscontext,expertsunderline the importanceof taskingofficials togatherasmuch intelligenceaspossibleat thepointoffirstcontact.This stage of investigation is also crucial for collecting evidence necessary to establishaggravatingcircumstances.Forinstance,investigationsofdeathsthatoccuratseaasaresultofmigrantsmugglingcrimesmustbeprioritized,asmustidentificationofmigrantswhohavediedasaresultofbeingsmuggledorwhoaremissing.Informationaboutdeadandmissingpeopleisnotonlyessentialforestablishingaggravatingcircumstancesthatcanstrengthenthesentencebestowedonconvictedsmugglers,butalsomayprovetobeessentialevidenceforauthoritiesincountriesoforiginwhoareinvestigatingthewhereaboutsofmissingnationals,orwhowouldberesponsible to instigate an investigation into organised crime groups who are culpable fordeathsoftheirnationals.3.2.3.InvestigatinglandbasedorganisersThe key challenge in combatingmigrant smugglingwhether it occurs by land, air or sea, iscapturing highlevel smugglers. Small actors who are prosecuted can be quickly replaced.Sustainableandeffective response requires thathighlevel smugglersbe targeted,and in thecontextofsmugglingbysea,underlinestheessentialityof linking investigationswhichaddressmovements at seawith thosemovements that take place on land and in air. The nature oforganisedcrime isthatthoseatthetopofthecriminalhierarchyareoftenextremelywealthyandwellconnected,andmayevenplayvaluedandlegitimaterolesintheircommunities.Thesefacts can make them extremely difficult to access and target in criminal investigations.Nevertheless, it is suchpersonswhoseactionsundermine state sovereigntyand lead to theircustomersdyingatsea,whoneedtobedisruptedintheiractivities.Thereisaleveloforganisationrequiredtoarrangesmugglingbysea,whichoffersinvestigatorsseveralavenuesforinvestigation.Incoastalcountriesofdeparture,themeansofrecruitingandgatheringmigrantsinseahubsbeforedeparturecanpresentopportunitiesforinterventionandIssuePaper:SmugglingofMigrantsbySeaPage47of71preventionof sea smuggling.Themeansbywhich smugglers steal,buyorotherwiseprocurevesselstobeused insmugglingventuresshouldalsobe investigated.Ontheothersideofthesea journey, the systems in place to facilitate migrants onward journey from the coastalcountryof arrival to the final countryofdestination should alsobe investigated.Also key tounderstandingmigrantsmuggling,arethefinancialsystems inwhichtheyusetocommittheircrimesandlaundertheirprofits.Inotherwords,severalelementsofthecrimeofsmugglingatseaareperpetratedonland.For authorities who encounter smuggling at sea, the boat and its occupants should beconsideredasthestartingpointinaninvestigationthatuncoversthesmugglingnetworkbehindit,backtothecoastoforiginaswellasthecountriesoftransitandorigin.Insomeregions,thereisahighlevelofunderstandingaboutthenumberofboatsthatleaveacoastalcountryoforiginandembarkonseajourneys,butlittleunderstandingoftheroutesandmethodsthatculminatein thosedepartures.Mountinganevidencebased response tosmugglingbysea requires thatthephenomenabeaddressedupstream,where landandairmovementsoccur incountriesoforiginandtransit,andwheresmugglersorganiseseasmuggling. Inpracticalterms,thismeansthatinformationgathereduponinterceptionorviadebriefingofamigrantsmuggledatsea,mayleadtoamiddlemaninthecoastalcountryofdeparture.Themiddlemaninturnmayleadtoamidlevelorganiserinacountryofairtransit,whomayultimatelyleadtoahighlevelsmugglerliving in the countryof originwith associates in the countryof finaldestination. Landbasedinvestigationofmigrantsmugglers isbeyondthescopeofthis IssuePaper,yet its inextricableconnectiontosmugglingventuresatseamustbestressed.3.3.PreventionPreventingmigrantsmugglingbysearequiresStatestobalancetheirobligationsatinternationallawwiththeir legitimate interests inprotectingstatesovereigntyfromviolationsbyorganisedcrimegroups.Increasedbordercontrolscanrapidlyandsignificantlyimpactirregularmigrationflowsandsmugglingroutes.Ontheotherhand,stronglegislationandinternationalcooperationtend to havemore progressive andmore efficient impact, albeit in the longer rather thanshorter term.134 Indeed, as has been stressed throughout this Issue Paper, if smugglingnetworksareawareofeffectivelegislationandcooperativeagreementsinplace,theywilloftenredirect their routes elsewhere. However, law enforcement alone is inadequate to addressmigrant smuggling. Sustainable development, conflict prevention, protectionsensitive entryprocedures for asylum seekers and refugees, and opportunities for regularmigration are allnecessarytomeaningfullyandsustainablyreducethedemandforsmugglingservices.3.3.1.AddressingRootCausesMigrantsSmugglingProtocol,Article15,Prevention3. Each State Party shall promote or strengthen, as appropriate, developmentprogrammesand cooperationat thenational, regionaland international levels, takingintoaccount the socioeconomic realitiesofmigrationandpaying specialattention to134ICMPDImap,https://www.imapmigration.org/index2.hmlandhttps://www.imapmigration.org/pages/en/migrationroutes.htmlaccessedon19July2011.https://www.imap-migration.org/index2.hmlhttps://www.imap-migration.org/pages/en/migrationroutes.htmlhttps://www.imap-migration.org/pages/en/migrationroutes.htmlIssuePaper:SmugglingofMigrantsbySeaPage48of71economicallyandsociallydepressedareas, inordertocombattherootsocioeconomiccausesofthesmugglingofmigrants,suchaspovertyandunderdevelopment.It is clear that until the push factors that give people reason to leave their country areaddressed,therewillalwaysbeamarketforopportunisticsmugglers.Akeylongtermsolutiontomigrant smuggling is therefore the improvement in living standards around theworld, sopeoplearenotforcedtofleetheirhomesinsearchofprotectionorsimplyinsearchofabetterlife.Inthemeantimeitisessentialthatcooperativeeffortsbemadebycountriestoaddressthecrimeofmigrantsmuggling inacoordinatedandsustainablefashionacrosstheglobesoastoremoveopportunitiesforillegalactivitiesthattakeadvantageofpeoplesmobility.Akeychallengewithrespecttopreventingmigrantsmuggling isensuringthatpolicies inplacedonot result inpull factors towardsparticulardestination countries.ThemodusoperandiofmigrantsmugglersofteninvolvesabusingtheinternationalobligationsofStates.Smugglersareaware of policies, their weaknesses and their loopholes to enable the stay of smuggledmigrants.Theresultofsuchlongtermstrategizingonbehalfofsmugglersisthatoneboatloadofarrivalsbyseacouldresultinasignificantnumberofsecondaryclaimsbeingmade,whichcanflood immigration processing systems. These considerations underscore the fact that agovernments particular policies and perceptions of those policies can have a significantimpactonthemodusoperandiusedbysmugglers.Fromtheperspectiveofcombatingthecrimeof smugglingofmigrantsby sea thekey challenge isensuring thatprotectionobligationsareupheld,withoutcreatingavenuesthatsmugglerscanexploitintargetingagivendestination.As increasedmeasures are taken by countries of origin, transit and destination to interceptmigrant smuggling by sea, several sea routes have shown a noticeable reduction. Increasedcontrols of sea borders, more restrictive immigration laws and cooperation agreementsbetween countries of origin and destinationmay simply relocate the sea smuggling routeselsewhere. Indeed, smugglers are adept at modifying their routes, sometimes resulting injourneysoverlongerdistancesandundermoredangerousconditionsformigrantsconcerned.3.3.2.AwarenessRaisingMigrantSmugglingProtocol,Article15,Prevention1. EachStateParty shall takemeasures toensure that itprovidesor strengthensinformation programmes to increase public awareness of the fact that[smugglingofmigrants]isacriminalactivityfrequentlyperpetratedbyorganizedcriminalgroupsforprofitandthatitposesseriousriskstomigrantsconcerned.2. ...Statespartiesshallcooperateinthefieldofpublicinformationforthepurposeof preventing potential migrants from falling [into the hands of] organizedcriminalgroups.Article15oftheMigrantSmugglingProtocolsetsoutmandatoryawarenessraisingobligationsof States Parties. Prima facie, thosewhowould put their lives into the hands of smugglersshouldbemadeawareof the fact that smugglersare criminalswhomayendanger livesandsafety.SmugglersorthosewhoarevulnerabletocommittingsmugglingrelatedcrimesshouldalsobeIssuePaper:SmugglingofMigrantsbySeaPage49of71madeawareofthefactthatmigrantsmugglingisillegalandhascriminaljusticeconsequences.Akeyconsiderationinthisrespectisthatsmugglersadjusttheirroutesandmethodsaccordingtochanges inpoliciesand lawenforcementresponse,meaningthatsmugglersperceptionsofthose policies and responses are paramount. Policies and responses and awareness of themshouldactasadeterrenttosmugglers.Ananalogycanperhapsbemadeheretonocashkeptonpremisessignsplacedonshopfrontstodeterwouldbethieves;policiesandresponsesandawarenessofthemshouldacttodetersmugglersfromputtingpeopleslivesatriskatsea.Publicperceptionsofmigrant smugglingby sea issuesalsohave impacton thephenomenon.Migrantsmugglingoverlapswithotherareasofpublicinterest,includingstatesovereigntyandimmigration issues.The resultof this is thatefforts toaddress thecrimecanbecomeheavilypoliticised.Thoughmoremigrant smugglingoccursby land and air, sea smugglingmakes forcaptivating headlines and sensational stories. The picture that is conveyed to the public isthereforeoftenskewedandincomplete.Theresultcanbethattheactionsoflawenforcementauthorities are heavily scrutinized while the crimes of smugglers are overlooked. Similarly,migrants themselvesmaybe inaccurately implicated in crimeswhere their situationsarenotproperly understood. Inaccurate reporting of policies and responses can also have negativeresults; including incidents of private vessels refusing to rescue migrants at sea due toinaccurate perceptions that theywould be prosecuted for smuggling offences for doing so.Wherethepublicisnotgivenaccurateinformationaboutmigrantsmugglingandrelatedissues,theresultcanbepublicpressureongovernmentstochangepoliciesinwaysthatmayfacilitatecrimeandendangermigrants,orlackofpublicsupportforapproachesthatwouldacttocurtailitandprotectpeoplefromharmatthehandsofsmugglers.The above considerations highlight the need for increased efforts to raise awareness of thepeoplemostdirectly involvedand insodoing,tounderlinethe importantresponsibilityofthemedia toensure that its reportingon smugglingby sea issues iswellinformed,accurateandbalancedinthecontextofwiderissuesatplay.3.3.3.InterceptsmugglingvesselsbeforedepartureInsupportofpreventingseasmugglingvoyagesfromtakingplace,NaviPillay,theUnitedNationHighcommissioner forHumanRights,stated that[i]t is literallyvital that flagStatesexerciseeffective jurisdiction and control over their vessels by ensuring strict compliancewith safetystandards setout in relevant international instruments so thatunseaworthy ships andboatsremainashore.Theymustalsopreventandprohibitsmugglingandtraffickingofmigrants.135Areport of informal consultations by theOffice of theUnitedNationsHigh Commissioner forRefugeesalsonotes that [e]ffectivemeasuresare required toprevent small shipsandotherships that are not subject to international regulation from being used for smuggling ortraffickingpurposes.SomeStatesmayrequireassistanceandsupport in that regard.136Suchrecommendationsunderscoretheimportancenotonlyofinterceptingmigrantsmugglingatsea,135NaviPillay,UnitedNationsHighCommissionerforHumanRights,Migrantsatseaarenottoxiccargo,9/5/2009,http://www.abscbsnnews.com/viewsandanalysis/09/04/09/migrantsseaarenottoxiccargonavipillay.136UnitedNationsOpenendedInformalConsultativeProcessonOceansandtheLawoftheSea,Ninthmeeting,2327June2008,Thetreatmentofpersonsrescuedatsea:conclusionsandrecommendationsfromrecentmeetingsandexpertroundtablesconvenedbytheOfficeoftheUnitedNationsHighCommissionerforRefugees,ReportoftheOfficeoftheHighCommissionerforRefugees,A/AC.259/17,paragraph11and12.http://www.abs-cbsnnews.com/views-and-analysis/09/04/09/migrants-sea-are-not-toxic-cargo-navi-pillayIssuePaper:SmugglingofMigrantsbySeaPage50of71butalsoofactingtopreventmigrantsmugglingbyseafromoccurringinthefirstplace.Asmentionedabove,theelementsofthecrimethatareperpetratedonlandofferavenuesforcriminaljusticeintervention.Particularresponsibilityinthisrespectlieswithcoastalcountriesofdeparturewhere smugglersprocureboatsandgathermigrantsat safehouses.Proactive lawenforcementactionspriortoaboatsdeparturecanavoidtheneedforreactiveresponseslaterintheprocessandcansavelives.Strongintelligencecollectionandinvestigationsofsmugglingventuresfromthepointoforiginthroughtodestinationsacrossseascanresultinvesselsbeingconfiscatedbeforesmugglersareabletousethemforsmugglingpurposes.Inshort,flagStatesmustexerciseeffectivecontrolover theirvessels,particularlybyprohibiting them frombeingusedforsmugglingofmigrantsandunseaworthyvesselsshouldnotbepermittedtosail.1373.3.4.Increasedresearch,datacollectionandinformationsharingIncreasedand improveddata collectionandanalysisarenecessary toensureevidencebasedresponse to the issueofmigrantsmugglingatsea.To facilitateamoreaccurate regionalandglobalpicture,countriesunderstandingofmigrantsmugglingshouldbemorecloselyalignedsothat emerging criminal trends can bemore fully understood and information exchanged tofacilitate improved response.138 The lackofharmonizationof researchmethodologiesmeansthat statistical data cannot be accurately assessed or effectively compared. This failure toaccuratelyunderstandphenomenanotonlymeansthateffectiveresponseishamperedbutalsothatstatisticsaresusceptibletoexaggerationormisinterpretation.Furthermore,mostresearchonmigrant smugglinghas focusedon that towardsWesternEuropeandNorthAmerica,withlittleknownofthephenomenonelsewhere,resultinginareactiveWesterncentricviewofthephenomenonwithacriticallackofinformationavailableaboutotherregions.139Thereisalsoalackofresearchavailableonthecharacteristicsofmigrantsandtheirreasonsforturningtosmugglers,profilesofsmugglers,theirrelationshipstomigrantsandtheorganisationofsmugglingnetworks.140Moreneedstobeknownparticularlyaboutthesocialprofilesofhighlevelsmugglersofmigrantsbysea,andaboutfinancialtransactionsinvolvedincommittingtheircrimes. International, regional and/or bilateral cooperation is essential to strengthenintelligence in this respectgiven thatacquiringandanalysing informationabout transnationalsmuggling networks requires transnational expertise from those personsmost equipped tounderstandthespecificitiesofthepersonsandprocessesinvolved.137UNHighCommissionerforRefugees,Thetreatmentofpersonsrescuedatsea:conclusionsandrecommendationsfromrecentmeetingsandexpertroundtablesconvenedbytheOfficeoftheUnitedNationsHighCommissionerforRefugees:ReportoftheOfficeoftheUnitedNationsHighCommissionerforRefugees,11April2008,A/AC.259/17,availableat:http://www.unhcr.org/refworld/docid/49997aeb27.html,pp.23.138Seeforinstance,UNHighCommissionerforRefugees,Thetreatmentofpersonsrescueatsea:conclusionsandrecommendationsfromrecentmeetingsandexpertroundtablesconvenedbytheOfficeoftheUnitedNationsHighCommissionerforRefugees:ReportoftheOfficeoftheHighCommissionerforRefugees,11April2008,A/AC.259/17,availableat:http://www.unhcr.org/refworld/docid/49997aeb27.html,p.6paragraphs5152.139UNODCAGlobalReviewandAnnotatedBibliographyofRecentPublications,January2011,p.22.140UNODCAGlobalReviewandAnnotatedBibliographyofRecentPublications,January2011,p.64,p.73,p.77,p.94.http://www.unhcr.org/refworld/docid/49997aeb27.htmlhttp://www.unhcr.org/refworld/docid/49997aeb27.htmlIssuePaper:SmugglingofMigrantsbySeaPage51of713.4.CooperationThe key point to emerge in considering the issue of migrant smuggling by sea, is thatinternationalcooperationdoesnotmerelystrengthenresponse,butisabsolutelyessentialtoit.An ideallypitchedcriminal justiceresponsetomigrantsmuggling inoneStatewillfailwithoutthe cooperation of other States.Without strengthened cooperation, criminal smugglerswillcontinuetocommittheircrimeswith impunity,evading justice,underminingstatesovereigntyand security, and compromising lives and safety at sea. In short, smuggling ofmigrants is atransnationalcrimerequiringatransnationalresponse.Smugglershavesuccessfullymanagedtotranscendbordersaswellaslanguageandculturaldifferencesinthecommissionoftheircrime;thosewhowouldstopthemmustdolikewise.3.4.1.InternationalcooperationSummaryofinternationalcooperationrequirementsinMigrantSmugglingProtocolEachStatepartyisrequired: Tocooperatetothefullestextentpossibletopreventsmugglingofmigrantsbysea(Article7) To renderassistance toaStateparty thathas the right toboardavessel flying itsstateflag(Article8(1)) ToinformtheflagStateifithasboardeditsvessel(Article8(3)) To respond expeditiously to a request for determination if a vessel is entitled toclaimthatStateastheStateofitsregistry(Article8(4)) To respondexpeditiously toa request forauthorization toboard, secureand takeothermeasureswithrespecttoavesselflyingitsflag(Article8(4)) Todesignateanauthoritytoassistorrespondtorequestsforassistanceconcerningsuchvessels(Article8(6)) To exchange information with other relevant States regarding the smuggling ofmigrants,consistentwithdomesticlegalsystems(Article10(1)) To comply with conditions imposed upon it by States sending such information(Article10(2)) To provide or strengthen specialized training to combat smuggling of migrants(Article14(1)) Tocooperatewitheachotherandcompetent internationalorganizationsandnongovernmental organizations to ensure adequate training to prevent smuggling ofmigrants(Article14(2).By ratifying theMigrant Smuggling Protocol, States Parties have agreed to cooperate to thefullestextentpossibletopreventandsuppresssmugglingofmigrantsbysea.Articles7to9ofIssuePaper:SmugglingofMigrantsbySeaPage52of71theMigrantSmugglingProtocolestablishaframeworkforcooperationbetweenStatesPartiesto act in relation to smuggling ofmigrants by sea specifically. According to Article 8 of theMigrantSmugglingProtocol,aStatePartymayseekcooperationwithotherStatespartieswithrespecttoitsownflaggedvessels;vesselsflyingtheflagofotherStatesParties;vesselswithoutnationalityoravesselassimilatedtoavesselwithoutnationality.Allcooperationmeasures inresponsetomigrantsmugglingatseamustbetakenwithconsiderationforArticle9safeguardmeasures.Beyond this, apprehending organised criminals behind sea smuggling requires internationalcommunicationbeyondoperations that takeplace at sea. Investigations along the smugglingroutefromcountriesoforigintocountriesoffinaldestinationrequireexchangeofinformationand communication, as prescribed by Article 10. Efforts to exchange information andcommunicatewith partners in other countries are hampered by challenges including lack oftrust, diversity of legal systems and law enforcement structures, absence of channels ofcommunication,differentapproachesandpriorities,anddifferencesinlanguageandculture.Expertsstressthatthemostimportantcomponentofinformationexchangeandcommunicationis the role played by individuals in cooperating proactively while protecting security ofinformation.Expertshavehadpositiveexperienceswhenspecificrequestsaremadeforspecificinformationwhichcanbeprovidedasrequestedwithoutcompromisingotherinformation.The role that internationalorganizations,nongovernmentalorganizationsandother relevantorganizationscanplayininternationalcooperationinaddressingsmugglingofmigrantsbyseaisstressed.Article14(2)notesthatsuchcooperation isparticularlyuseful inensuringprotectionprovisions of the Migrant Smuggling Protocol are upheld visvis processing migrants. Anumberofinternationalandnongovernmentalorganizationsareactiveinrelationtomigrationandassuchmaybevaluableincontributingtrainingexpertiseinthisrespect.Suchentitiescanoffer invaluable expertise with respect to international standards in regard to humanetreatment of migrants and protection of their rights as required by Article 14(2)(e). Nongovernmentalorganisations and civil serviceprovidersmaybe involved in at the communitylevelinworkingwithpeoplewhoarevulnerabletobeingsmuggled,orhavebeensmuggledandneedaccesstohealthcare,legaland/orotherservices.Aparticularchallengeinaddressingsmugglingofmigrantsatseaistoensurethatinternationalcooperationarrangementsbetweencountriesoforigin, transitanddestinationdonot reducethe rightsofpeople to seek asylumorhumanitarian assistance in accordancewith the1951RefugeesConvention.Readmissionagreementsparticularlyruntheriskofdenyingprotectiontopeople who need it, and if not implemented carefully, can place persons in even moredangeroussituationsthanthosethey initially fled.CooperativeagreementsandarrangementswithUNHCR andOHCHR (theUNOfficeof theHighCommissionerofHumanRights) canbeinvaluable in ensuring that such responses are compliant with international standards.141UNODCalsohasa role toplay in facilitating internationalcooperation,mostnotably throughtechnicalassistance to implement theMigrantSmugglingProtocol, capacitybuildingof thosewho investigate and prosecute smugglers, and in facilitating criminal justice cooperationbetweencountriesoforigin,transitanddestination.141Seeforinstance,UNHCRAgreementwithFRONTEX,http://www.unhcr.org/4857939e2.html,17June2008,accessedon9September2011.http://www.unhcr.org/4857939e2.htmlIssuePaper:SmugglingofMigrantsbySeaPage53of713.4.2.BilateralandregionalcooperationMigrantSmugglingProtocol,Article17,AgreementsandarrangementsStates Parties shall consider the conclusion of bilateral or regional agreements oroperationalarrangementsorunderstandingsaimedat:(a) Establishingthemostappropriateandeffectivemeasurestopreventandcombattheconductsetforthinarticle6ofthisProtocol;or(b) EnhancingtheprovisionsofthisProtocolamongthemselves.Akeypullfactorformigrantsmugglingbyseaisgeography;thelocationofaparticularcoastalcountrycanmakeitatargetforsmugglers.Transnationalcriminalorganizationstakeadvantageof vulnerabilities of States to smugglemigrants via seas, particular coastal and small islandStatesintransitareas.142BilateralcooperationBilateral cooperation agreements between coastal countries of embarkation and intendeddisembarkation significantly reduce the numbers ofmigrants landing on destination countrycoasts.Cooperationatseacanbestrengthened, for instance,byentering intoagreementssothatsmugglerscannotavoid interceptionbycrossing intoterritorialwaters.Attheoperationallevel,someStateshaveusedshiprideragreementsasameansofstrengtheningcooperationatseaagainstsmugglingofmigrants.Undersucharrangements,jointmarinepatrolandactioncanbecarriedoutbyexchangingmaritimelawenforcementofficersbetweenbothcountries.Alawenforcementofficer fromonestatecanbedesignatedtoworkonapatrolboat fromanotherstate.Theofficer is therebyable toenter the territorialwatersof that state, for instance, inpursuitof a vessel suspectedofmigrant smuggling. Such an approachmeans that smugglingvesselscannotevade lawenforcement interception simplybycrossingmaritimeborders.Thetermsofagreementwouldgenerallylimitthepowersofpersonsservinginjurisdictionsthatarenottheirown.For instance,suchpersonsmaybepermittedtoplayanactiverole in languagetranslationuponinterception,butnottocarryoutarrestsofsuspectedsmugglers.RegionalcooperationThe limits of bilateral cooperation agreementsmust be acknowledged. Bilateral cooperativepoliciesmaysimplyresult indiversionofmigrantsmugglingroutes,whichmaybecome longerandmoredangerousformigrantsconcernedtoevadedetection.Inotherwords,wherecriminaljustice response along one route strengthens, the route and the modus operandi will bedivertedtowherenosuchcooperationhasbeenachieved.Thisadaptabilityofsmugglerstothecooperativeresponsesofthosewhowouldstopthem,underscorestheneedforauthoritiestocooperatequicklyandwidely,sothatareasof impunityforsmugglersarequicklyremoved. Inthissense,thevalueofregionalcooperationagreementshasbeenemphasised.Indeed,coastalstatesarenottheonlyStatesaffectedbysmugglingofmigrantsbysea.Manycoastal countries of disembarkation are only transit countries in thewider smuggling route.Despite this, themere fact of a countrys locationmaymean it is abandoned to face the142GeneralAssemblyresolutionA/Res/64/71,paragraph89.IssuePaper:SmugglingofMigrantsbySeaPage54of71challengeof smugglingby sea alone.Responses to smugglingby sea are strengthenedwhenStatesalongthesmugglingrouteoneithersideofseajourneycooperatetoeasetheburdenoncoastal authorities at embarkation and disembarkation countries at the frontiers of a givenregion.Therefore,toreinforcethebilateralcooperationagreementsbetweencoastalcountries,regionalcooperationagreementsshouldideallybeenteredintotoensurethatthereiseffectivecooperationalongtheentiresmugglingroute.FormalvsinformalcooperationagreementsFormalbilateraland/or regionalagreementscanbeaneffectivemeansofcombatingmigrantsmuggling at sea. However,where one party to the agreement upholds their commitmentsmorethanothers,theresultcanbethatthebilateralagreementwillbeshortlivedorcountforlittle in practice. Some experts have reported that where cooperation attempts are overlyformalised,Statescanbereticenttocommitthemselvestothem.Additionally,onceStateshavecommitted to such arrangements, formalised working processes prescribed therein can beprohibitive toefficient cooperation.Toovercome these stickingpoints, informal,nonbindingagreementshavebeen suggestedasuseful in the fightagainst smugglingofmigrantsby sea.Wheregovernmentsat thehigh levelsenter into informal cooperativeagreements topursuemutual interests, the result is that theoperational layersof theiradministrationareprovidedwithaframeworkforcooperatingwitheachother.3.4.3.InteragencycooperationGiven the complexityofmigrant smugglingby seaand its interrelationshipwithother issues,strong interagency cooperation is essential.Dependingon the situation, competent agenciesmay be customs agencies, police, gendarmerie, border,military and navy. Prosecutorial andjudicialpersonnelmaybe involved.Ministriesofjustice,security, interior,health, immigration,developmentandforeignaffairsallhavearoletoplayatthestrategicandpolicylevels.At the operational level, front line border officials can addressmigrant smuggling in coastalcountriesbeforeboatsdepartandcriminal investigatorscan identifysmugglers incountriesoforigin, transit and destination.Where those actors do not succeed in disrupting smugglingoperations,maritimeactorswillencountermigrant smugglingby sea situations, including thecoast guard,naval and air forces. In assisting andprocessing interceptedmigrants in coastalcountriesofarrival, immigration serviceswillbecome involved,and investigatorswillneed toconduct investigations through debriefing and interviewing. Depending on the migrantsinvolved,protection and child servicesmaybe relevant. In addition to coordinatingbetweentheseagencies,administrativesystemsinsomeStateswillalsohavetoensurethatlocal,districtand federal or national responses are coordinated. This can be logistically challengingparticularlywherelocalauthoritiesareremotelylocatedorotherwisedifficulttocommunicatewith.At the strategic level, coordination meetings between representatives of relevant agenciesensureeffectiveinformationsharingtoensurethatvariousagenciesinvolvedareclearontheirownroleandtherolesofothers,soeffortsarenotduplicatedandresourcesarenotwasted.Insomestates,agencyrepresentativescometogetherafewtimeseachyear,inotherstheymeetonamonthlybasisandinothercountriesagaintheywillmeetdaily.Somemeetingsmaybeinperson,andothersvia teleconference.The frequencyof suchmeetingsdependson logisticalIssuePaper:SmugglingofMigrantsbySeaPage55of71considerationssuchas locationsofagencies,thecostofarrangingmeetingsandofcoursetheextenttowhichmigrantsmugglingbyseaisprioritized.To overcome the logistical challenges of coordinating response, the competent nationalauthority designated under Article 8(6) of the Migrant Smuggling Protocol should leadcoordinationofagenciesat thedomestic level,and connectdomestic responsewith regionalandinternationalcooperativeactivitiesinresponsetomigrantsmugglingbysea.Thedesignatedauthority should be responsible for receiving requests from domestic authorities customs,police and other law enforcement agencies and be in a position to assist in receiving andtransmittingrequeststoforeignStates.Accordingly,thecentralauthoritydesignatedshouldbeimbuedwith necessary powers to addressmigrant smuggling by sea, particularly power toauthorizeanotherStatepartytotakeactionagainstvesselsflyingitsflagandtomakeoutgoingrequestsforassistance.4. SUGGESTIONSFORCONSIDERATIONANDDISCUSSION4.1Encounteringmigrantsmugglingatsea4.1.1.DetectionSoastoincreasedetectionofsmugglingofmigrantsatsea: Provide sustainedandongoing support to coastal states indetectionof smugglingofmigrants at sea, through joint patrols or patrols carried out by specialised agencies,and/orthroughtheprovisionoftechnicalandhumanresources. ParticularlysupportsmallislandStatessoastoeasetheirburdeninpatrollingsearchandrescueareas.4.1.2.InterceptionSoastoensurethatinterceptionsatseacomplywiththeMigrantSmugglingProtocol: Implement internationalstandards intodomestic legislationwherenecessarytoreflecttheMigrantSmugglingProtocolaswellas internationalandregionalhumanrights law,internationalrefugeelawandotherrelevantregionalorinternationalinstruments. Wherethere issuspicionofaseriouscrimetakingplace,suchassmugglingofmigrantsbysea,takestepstoinstigateinvestigationofsuchcrimesasefficientlyaspossibleinthecourseofinterceptionandexercisepowertosearchanddetainvesselsorcrewmembersasefficientlyandwithasmuchrestraintaspossible. Appropriatelyequipallpersonsinvolvedininterceptiontoassessandrespondtospecialneeds and/or vulnerabilities of persons on board intercepted boats, including byprovidingassessmenttools,byputting inplaceresponsemechanismsandbyprovidingtraining in appropriate responses when persons intercepted express internationalprotectionneeds.IssuePaper:SmugglingofMigrantsbySeaPage56of71 Incasesof interception in internationalwaters followedbydiversion toacooperativethirdcountry,ensurethesafetyofpeople intercepted,rescuedand/ordisembarkedonland,andthecapacityofreceptionfacilitiestomeetanymedicalneedsofsuchpersons. Makeassistanceavailableuponreceptionofinterceptedpersons,includingmedicalcareandappropriatereferraltocompetentauthorities. Supportcoastaland islandstatestoestablish,maintainand improvereceptionfacilitiesfortheprovisionofshelterandsecurity, includingbyseekingappropriate internationalorganisationsandNGOsaskeypartnersineffortsinthisrespectwhereappropriate.4.1.3.RescueSoastoensurethatmigrantssmuggledbyseaarerescuedinaccordancewiththeglobalsearchandrescueregime:143 Emphasisethatthedutytorescuetakespriorityoverotherobjectivesbydisseminatingrelevant provisions of maritime law and accompanying guidelines and any newamendments to shipmasters and government officials involved in rescue at seaoperations. Urgentlyand comprehensivelyexamineanyallegationsof failure to rescuepersonsatsea, includingallegationsofboatsbeingrefusedassistanceand/orbeingpushedback.Usedatarecording instruments invesselssoallegationsof intentionalfailuretorescuecanbeinvestigated. Putinplacesanctionsagainstvesselsthatignoredistresscallsanddonotrescuepersonsindistressat sea soas tohold toaccount thosewhodonot fulfilobligations tohelppersonsindistressatsea. Publicise sanctions imposedagainstpersons for failure to rescueat sea soas todeterothersfromignoringtheirobligationstodoso.Soastoensureappropriatedisembarkationofsmuggledmigrants: Donotcategorizeinterceptionoperationsassearchandrescueoperations,oruserescueasapretexttoundertakeinterceptionwithoutgrounds. Put inplaceplansandarrangementsfordisembarkationofpersonsrescuedatseaandtheir delivery to a place of safety, ensuring that such disembarkation procedures aregovernedbythemaritimeregime,notbyimmigrationcontrolobjectives. Putinplaceinternationalcooperationagreementstoprocessmigrantssmuggledbyseawho claim asylum, particularly in times of crisis, so that States that receive personsrescued at sea do not have to bear the entire burden alone. Such cooperationagreements should operate to ensure that countries in the same destination regioneffectively streamline resources and capacities to support countries on the outer seabordersofthatregion.143Theglobalsearchandrescueregimeisgovernedbythe1974InternationalConventionfortheSafetyofLifeatSeaandthe1979InternationalConventiononMaritimeSearchandRescueIssuePaper:SmugglingofMigrantsbySeaPage57of71 EncourageshipmasterstopromptlyinformIMO,UNHCRandotherrelevantactorswhendisembarkationprovesproblematicorwhenrescuedpersonsclaimasylum.Soasnottodetershipmastersfromfulfillingtheirdutiestorescuepersonsatsea: Donotprosecute shipmasters formigrant smuggling crimeswhere theyhave rescuedpersonsatsea,butrathersupportandacknowledgetheirrole. Relieveshipmastersofresponsibilitytocareforsurvivorsassoonaspracticable. Put in place compensationmechanisms for ships that suffer financial losses due torescue.4.1.4.AssistanceandprotectionSoastoensurethatmigrantssmuggledatseaareappropriatelyassistedandprotected: Where appropriate, involve qualified assistance and protection experts in providingtrainingtocriminaljusticepractitioners,aswellasinmonitoringandevaluatingcriminaljusticeresponsestosmugglingofmigrantsatsea. Particularly,ensure thatprotection and assistance isprovided in accordancewith thespecialneedsofwomenandchildrenasrequiredbytheMigrantSmugglingProtocol. Empower those responsible for processing asylum claims to do sowith awareness ofsmugglers attempts to abuse such systems as amodus operandi of enabling stay ofmigrantssmuggledatsea.Soastomaximizetheinvestigativeandprosecutorialadvantagesofassistanceandprotectionofmigrantssmuggledatsea: Provide criminal justicepractitionerswith adequate training and resources toprovideappropriateassistancetomigrantsinterceptedatsea. In any policies and practices concerning the removal of smuggled migrants fromcountriesof transitordestination, includemechanisms toallow smuggledmigrants toassistcriminal justicepractitioners in investigationsandprosecutionsofsmugglers, forinstance through temporary residency permits allowing persons to remain for thesepurposes, or measures to allow them to testify from countries to which they arereturned.4.2Investigationandprosecution4.2.1.LegislativeFrameworkSoastoensurethatsmugglersofmigrantsbyseaarenotabletoevadeprosecution inStateswithinadequatelegislativeframeworks: SignandratifytheUNTOCandtheMigrantSmugglingProtocolsupplementingit. Harmonize legislation in accordance with the Migrant Smuggling Protocol, so thatsmugglers ofmigrants by sea cannot escape harsh penalties in States that have notimplementedadequatelegislationtoaddresstheseverityofcrimesrelatingtosmugglingIssuePaper:SmugglingofMigrantsbySeaPage58of71ofmigrantsbysea.144 Publicise sentencesof smugglersofmigrantsby sea todeterothers from committingcrimesthatputlivesandsafetyatrisk.4.2.2.IdentificationofsmugglersonboardboatsSoastostrengthenidentificationofsmugglersofmigrantswhoareonboardvesselsatsea: Take all opportunities to investigate smuggling ofmigrants at sea, including throughidentificationofperpetratorsof smuggling crimes andother crimes committed in thecourseofmigrantsmugglingatsea.Inthisrespect,prioritizeinvestigationofaggravatingcircumstances includingdeathsresulting frommigrantsmugglingatsea.Effortsshouldbemadeto identifymigrantswhoaredeadormissingandto informtheircountriesofnationality so investigations of criminals behind smuggling ofmigrants by sea can beinstigatedorsupportedincountriesoforigin. Train first respondents togatherasmuch informationandevidenceaspossibleat thepointof firstcontactwithsmugglingvesselsand inparticular tobealert for indicatorsthatwillhelpidentifythesmugglers. Supportfirstrespondentstopassrelevantinformationandevidenceontoinvestigatingauthorities.4.2.3.InvestigatinglandbasedsmugglersSoas tostrengthen investigationof landbasedsmugglerswhoorganisemigrantsmugglingatsea: Fillgapsinintelligencebymakinguseofexistingdatabasesatthenational,regionalandinternational levels and by raising awareness and understanding among personscollectinginformation,thatwhatmaybeirrelevantinformationtothemcouldbevitaltoinvestigatorsorprosecutorsof smugglers inotheragencies in the countryor inothercountriesalongthesmugglingroute. Empowerofficialstobuildconfidenceandtrustwithmigrantsrescuedorinterceptedatsea inorder to gather information about landbased smugglers in countriesoforigin,transitanddestination. Traininvestigatorsandprosecutorsonthespecificitiesofmigrantsmugglingbysea,themodusoperandiofsmugglerswhousesearoutes,theuseofhawalaorother informalbanking systems, and international obligations prescribed by theMigrant SmugglingProtocolandotherinternationalinstruments.145144TheUNODCModelLawagainstSmugglingofMigrantsprovidesguidance indrafting legislation incompliancewiththeMigrantSmugglingProtocol.Formoreinformation,seeANNEXRelevantUNODCResources.145UNODC trainingmaterialson investigatingandprosecuting smugglingofmigrants canbeusedasabasis fortraining.Formoreinformation,seeANNEXRelevantUNODCResources.IssuePaper:SmugglingofMigrantsbySeaPage59of71 Ensure training is conducted regularly to keep practitioners uptodatewith changinglaws,trendsandevolvingmodusoperandiofsmugglers.4.3Prevention4.3.1.AddressingrootcausesSoas toeffectivelyandcomprehensivelypreventsmugglingofmigrantsbysea inaccordancewithmandatoryobligationsunderArticle15oftheMigrantSmugglingProtocol: Inaddition toaddressingmigrantsmugglingasacrime,address thephenomenonasabusinessmodel,byreducingbothdemandforsmugglingservicesbymigrantcustomersandtheprofitmarginsofsmugglingservicesuppliers. Incountriesoforigin,providepeoplewhoarespecificallyvulnerabletobeingsmuggledwitheconomicopportunitiesandincentivestoremainintheirhomecountries. Incountriesofdestination,adoptpoliciesthatundermineeffortsofsmugglerstoabuseprotectionobligationsofStates,whileensuringthatrefugeeshaveaccesstoprotection. Encouragethedevelopmentofbilateralandregionalagreementsbetweencountriesoforigin,transitand/ordestinationthatnotonlyaddresssmugglingofmigrantsasacrimebutalsoincorporatedevelopmentcomponentstoaddressitsrootcauses.4.3.2.AwarenessraisingSoastoraiseawarenessofpersonsvulnerabletobeingsmuggledbysea: Raiseawarenessofpotentialsmuggledmigrants,ofthefollowingkeypoints:o thatthereareregularavenuesformigration;o thatsmugglersarecriminalso thatsmugglingofmigrantsbyseaputslivesandsafetyinjeopardy;ando thateven ifsmuggling issuccessful itmaynotresult in improvedconditionsforthesmuggledperson.Soastoraiseawarenessofsmugglerstodeterthemfromsmugglingmigrantsatsea: Raiseawarenessof smugglersandpotential smugglers that smugglingofmigrants isacrimewithcriminaljusticeconsequences. Publicisepoliciesandresponsestosmugglingofmigrantsbyseasoastodetersmugglersfromsmugglingmigrantsandsea. Publiciseprosecutionsandsanctionsimposedonsmugglerswhohaveputlivesindangeratseatodeterothersfromdoingso.Soastoraiseawarenessofthepublicwhoseviewsmayinfluencepoliticalandpolicydecisionswithrespecttomigrantsmugglingatsea: Encourageandempowerthemediatoreportaboutmigrantsmugglingatsea inawayIssuePaper:SmugglingofMigrantsbySeaPage60of71thatisinformed,fair,accurateandbalanced.4.3.3.InterceptsmugglingvesselsbeforedepartureSoastopreventsmugglingofmigrantsbyseafromoccurring: Emphasiseandsupportthecrucialroleplayedbycoastalstatesofdepartureindetectingsmuggling vessels before they embark on sea journeys, through capacity building ininvestigatingandprosecutingsmugglingofmigrants. Disruptsmugglersintheprocurementofvesselsforuseinsmugglingofmigrantsbysea,by requiring vessels to be registered and vessel sales to be reported to appropriateauthorities. Disrupt smugglers in the commission of their crimes by implementing and/orstrengthening asset seizure laws along smuggling routes, particularly in countries oforiginandtransit. Exploremethodsbywhichmigrantsmugglingbyseacouldbemademoreexpensiveforsmugglerstocommit,therebyreducingtheirprofitincentives.4.3.4.Increasedresearch,datacollectionandinformationsharingSoastomountevidencebasedresponsestomigrantsmugglingbysea: Carryoutresearch intopushandpullfactorsofmigrantsmugglingbysea, inthewidercontextof routes,processesandactors involved insmugglingofmigrantsby landandair. Particularly support countriesoforigin and transit to conduct research into causesofirregularmigration,aswellas routes,modesandmethodsusedbymigrant smugglerswhoprovideservicestoirregularmigrants. Increaseresearchintostructuresandworkingmethodsofsmugglersofmigrantsbysea,including the formal and informal financial systems used by smugglers, as well asresearchintofinancialflowsandsumsaswellastheirlinkswithothertypesofcrime. Increase research into the role of corrupt government officials in facilitatingmigrantsmuggling. Collectanddisaggregatedataaboutmigrantsmugglingbyseainaconsistentwayacrosscountriestoachieveaharmonizedglobalunderstandingofsmugglingphenomena. Increaseresearchonresponsestomigrantsmugglingbyseaandweaknessesinresponseincountriesoforigin,transitanddestination, includingpolicyand legislativeresponses,operational responsesonseaborders, lawenforcementandprosecutorial responseaswellasproactivepreventionefforts. Sharebestpractices and lessons learnt from research findingswith States in relevantregionsandalongrelevantsmugglingroutes,aswellaswithinternationalorganizationssuchasUNODCforthepurposesofanalysisanddissemination.IssuePaper:SmugglingofMigrantsbySeaPage61of714.4Cooperation4.4.1.InternationalcooperationSoastoremoveareasofimpunityalongmigrantsmugglingroutes: IncreasecapacitytousetheMigrantSmugglingProtocolasaframeworkforcooperationagainstmigrantsmugglingbyseabyseekingand/orprovidingtechnicalassistanceinthisrespect. EstablishandmaintaincooperativerelationshipsalongexistingandpotentialsmugglingroutesbyproactivelycreatingrelationshipswithcounterpartsinpartnerStates.Soastoremovebarrierstocooperationagainstmigrantsmuggling: Signor ratify theUNTOC, theMigrant SmugglingProtocol, internationalhuman rightsconventions, and the 1951RefugeesConvention and the 1967Protocol and establishproceduresinaccordancewithinternationalstandards. ConsiderhowUNODCcouldstrengthenitsroleinsupportingand/orfacilitatinginformalcooperation against migrant smuggling at sea and inform and empower UNODCaccordingly.146 Support origin, transit and destination partner States by sharing information andexchanginghumanandtangibleresources includingtrainingandequipment,aswellascultural, linguistic and other expertise thatmay be relevant to the investigation andprosecutionofmigrantsmugglingbysea.Soastoincreaseproactiveresponsetomigrantsmugglingbysea: Prioritize intelligence gathering and information sharing about criminal smugglingnetworksbehindirregularmigrationatseaalongsmugglingroutes. Consider means by which specific and relevant information can be shared withoutcompromisingothersensitiveinformation. KeepUNODC informed of activities to implement theMigrant Smuggling Protocol sobest practices and lessons learnt from such activities can be effectively analysed anddisseminated.4.4.2.BilateralandregionalcooperationSoastostrengthenbilateralandregionalcooperationagainstmigrantsmugglingbysea: Encourageand support coastal statesofembarkationanddisembarkation to regularlyexchangeinformationandexpertise.146Forinstance,UNODCcouldsupporttheworkofStatesbyconductingfurtherresearchintomigrantsmugglingbysea and responses to it and/or by convening regular or ad hoc expertmeetings to exchange information andexperiences,andtofacilitatefurthercooperativerelationshipsbetweenpractitioners.IssuePaper:SmugglingofMigrantsbySeaPage62of71 Consider allowing admission of other States into territorial waters in pursuit ofsuspectedsmugglingbyseavessels. Consider use of shiprider agreements for joint patrols of sea and joint responses tomigrantsmugglingbysea. Respondexpeditiously to requests for verification fornationality and authorization toboardsuspectedsmugglingvessels. Clarifyrolesandresponsibilities incooperativeagreementsentered into,particularly inrelationtowhoisresponsibletoadmitinterceptedsmuggledmigrants.Soastoprovideaframeworkfor informal,flexibleandeffectivecooperativenetworksagainstsmugglingofmigrantsbysea: Consider entering into nonbinding, informal cooperative agreements with relevantcountries. Encourage and facilitate direct communication between individual police and otherrelevantactorsinpartnercountriesalongsmugglingroutes. Promptly respond toall requests forcooperation,whether toprovide thecooperationrequested, to requestclarificationabout the typeofcooperationsought,or toexplainwhysuchcooperationcannotbeprovided. KeeprelevantpartnersinotherStatesuptodateandinformedastowhoisperformingwhatrolesinrelationtomigrantsmugglingbyseaandtheircontactdetails.4.4.3.InteragencycooperationSoastoensurethatstrategicandoperationalresponsestomigrantsmugglingbyseaadapttorapidlychangingtrendsandmodusoperandiofsmugglers: Holdregularcoordinationmeetingsofrelevantagencyrepresentativesandputsystemsinplacetofacilitateadhocmeetingsofrelevantactorsinresponsetospecificsituations. Conductjointoperationsalongmajormigrantsmugglingroutesusingshipriderstotakeadvantageofeachagency'sauthorities,capabilitiesandcompetencies.Soastoensurethatthedesignatedcentralauthority iseffectiveagainstmigrantsmugglingbysea: Locatethecentralauthoritysoastograntitaccesstothenationalshippingregistry,andtoeasilycoordinatewithotherdomesticagencies includingmaritime lawenforcementagencies. Put in place arrangements and allocate necessary resources to enable the centralauthoritytooperateona24hourbasis. Notify the Secretary General of the United Nations of the designation of a centralauthority,inaccordancewithArticle8(6)oftheMigrantSmugglingProtocol.IssuePaper:SmugglingofMigrantsbySeaPage63of71 Provide UNODC with updated contact details of central authorities on smuggling ofmigrantsbysea,includingcontactdetailsforrelevantindividuals,hoursofoperationandlanguagesinwhichrequestscanbeprocessed.147*****147InformationprovidedwillbeincludedonUNODCsonlinedirectoryofcompetentnationalauthoritiestofacilitatecontactbetweenallStatesparties.http://www.unodc.org/compauth/en/index.html.IssuePaper:SmugglingofMigrantsbySeaPage64of71ANNEXMigrantSmugglingProtocolExtractsPartIISmugglingofmigrantsbyseaArticle7.CooperationStatesPartiesshallcooperatetothefullestextentpossibletopreventandsuppressthesmugglingofmigrantsbysea,inaccordancewiththeinternationallawofthesea.Article8.Measuresagainstthesmugglingofmigrantsbysea1. AStatePartythathasreasonablegroundstosuspectthatavesselthatisflyingitsflagorclaiming its registry, that iswithoutnationalityor that, though flyinga foreign flagorrefusing to showa flag, is in realityof thenationalityof the StateParty concerned isengagedinthesmugglingofmigrantsbyseamayrequesttheassistanceofotherStatesParties in suppressing the use of the vessel for that purpose. The States Parties sorequestedshallrendersuchassistancetotheextentpossiblewithintheirmeans.2. AStatePartythathasreasonablegroundstosuspectthatavesselexercisingfreedomofnavigation in accordancewith international law and flying the flag or displaying themarksofregistryofanotherStateParty isengaged inthesmugglingofmigrantsbyseamaysonotifytheflagState,requestconfirmationofregistryand, ifconfirmed,requestauthorization from the flag State to take appropriatemeasures with regard to thatvessel.TheflagStatemayauthorizetherequestingState,interalia:(a)Toboardthevessel;(b)Tosearchthevessel;and(c)Ifevidenceisfoundthatthevesselisengagedinthesmugglingofmigrantsbysea,totakeappropriatemeasureswithrespecttothevesselandpersonsandcargoonboard,asauthorizedbytheflagState.3. AStatePartythathastakenanymeasureinaccordancewithparagraph2ofthisarticleshallpromptlyinformtheflagStateconcernedoftheresultsofthatmeasure.4. A State Party shall respond expeditiously to a request from another State Party todeterminewhetheravesselthatisclaimingitsregistryorflyingitsflagisentitledtodoso and to a request for authorizationmade in accordancewith paragraph 2 of thisarticle.5. A flagStatemay,consistentwitharticle7of thisProtocol, subject itsauthorization toconditionstobeagreedby itandtherequestingState, includingconditionsrelatingtoresponsibilityandtheextentofeffectivemeasurestobetaken.AStatePartyshalltakenoadditionalmeasureswithouttheexpressauthorizationoftheflagState,exceptthosenecessarytorelieveimminentdangertothelivesofpersonsorthosewhichderivefromrelevantbilateralormultilateralagreements.6. EachStatePartyshalldesignateanauthorityor,wherenecessary,authoritiestoreceiveandrespondtorequests forassistance, forconfirmationofregistryoroftherightofaIssuePaper:SmugglingofMigrantsbySeaPage65of71vesseltoflyitsflagandforauthorizationtotakeappropriatemeasures.Suchdesignationshall be notified through the SecretaryGeneral to all other States Partieswithin onemonthofthedesignation.7. A State Party that has reasonable grounds to suspect that a vessel is engaged in thesmugglingofmigrantsbyseaandiswithoutnationalityormaybeassimilatedtoavesselwithout nationality may board and search the vessel. If evidence confirming thesuspicion isfound,thatStatePartyshalltakeappropriatemeasures inaccordancewithrelevantdomesticandinternationallaw.Article9.Safeguardclauses1. WhereaStatePartytakesmeasuresagainstavesselinaccordancewitharticle8ofthisProtocol,itshall:(a) Ensurethesafetyandhumanetreatmentofthepersonsonboard;(b) Takedueaccountof theneednot toendanger thesecurityof thevesselor itscargo;(c) TakedueaccountoftheneednottoprejudicethecommercialorlegalinterestsoftheflagStateoranyotherinterestedState;(d) Ensure,withinavailablemeans,thatanymeasuretakenwithregardtothevesselisenvironmentallysound.2. Wherethegroundsformeasurestakenpursuanttoarticle8ofthisProtocolprovetobeunfounded,thevesselshallbecompensatedforanylossordamagethatmayhavebeensustained,provided that thevesselhasnotcommittedanyact justifying themeasurestaken.3. Anymeasuretaken,adoptedorimplementedinaccordancewiththischaptershalltakedueaccountoftheneednottointerferewithortoaffect:(a) The rights and obligations and the exercise of jurisdiction of coastal States inaccordancewiththeinternationallawofthesea;or (b)TheauthorityoftheflagStatetoexercise jurisdictionandcontrol inadministrative,technicalandsocialmattersinvolvingthevessel.4. Anymeasuretakenatseapursuanttothischaptershallbecarriedoutonlybywarshipsormilitaryaircraft,orbyothershipsoraircraftclearlymarkedandidentifiableasbeingongovernmentserviceandauthorizedtothateffect.IssuePaper:SmugglingofMigrantsbySeaPage66of71ANNEXRelevantUNODCResourcesTOOLSUNODCCompetentNationalAuthoritiesOnlineDatabaseThe competent national authorities online database provides contact information for thecompetent authorities of more than 150 States or dependent territories that have beenprovidedtoUNODC,includinginformationonspecificprocedurestofollowinurgentcases.Theonline directory currently contains the contact information for over 600 competent nationalauthorities organised according to thematic categories, one of which being smuggling ofmigrantsbysea.148http://www.unodc.org/compauth/en/index.htmlUNODCInternationalFrameworkforActiontoImplementtheMigrantSmugglingProtocolThe International Framework for Action seeks to assist Member States in the effectiveimplementationoftheMigrantSmugglingProtocol.TheToolcomprisesanarrativesectionanda table containing practical measures to be taken in implementing theMigrant SmugglingProtocol,intendingtoassistStatestoidentifygapsintheirresponsestomigrantsmugglingandtoputinplacemeasuresinaccordancewithinternationalstandards.Fourpillarsareaddressedby theFramework forAction,alignedwith theMigrantSmugglingProtocol; investigationandprosecution,protectionandassistance,preventionandcooperation.Forthcoming:http://www.unodc.org/unodc/en/humantrafficking/publications.htmlUNODCModelLawagainstSmugglingofMigrantsThe Model Law against Smuggling of Migrants has been developed to assist States inlegislatively implementing the provisions contained in the Protocol against the Smuggling ofMigrants. Itaims to facilitate thereviewandamendmentofexisting legislationaswellas theadoptionofnew legislation.TheModelLawspecificallyaddressescriminalizationofsmugglingofmigrants, protection and assistance of smuggledmigrants, coordination and cooperationamongandbetweenagencies,cooperationonsmugglingofmigrantsatsea,andtheprocessesrelated to the returnofsmuggledmigrants.TheModelLaw isdesigned tobeadapted to theneedsofeachState,whateveritslegaltraditionandsocialeconomic,culturalandgeographicalconditions.TheModelLawisavailableinArabic,English,French,SpanishandRussian.http://www.unodc.org/unodc/en/humantrafficking/publications.html#Model_Law_SOMUNODCMutualLegalAssistanceRequestWriterToolTheMutualLegalAssistanceRequestWriterTool(MLATool)hasbeendevelopedbyUNODCtoassist States to draft requests with a view to facilitating and strengthening internationalcooperation. TheMLA Tool guides casework practitioners stepbystep through the request148www.unodc.org/compauth/en/index.htmlhttp://www.unodc.org/compauth/en/index.htmlhttp://www.unodc.org/unodc/en/human-trafficking/publications.htmlhttp://www.unodc.org/unodc/en/human-trafficking/publications.html#Model_Law_SOMhttp://www.unodc.org/compauth/en/index.htmlIssuePaper:SmugglingofMigrantsbySeaPage67of71processforeachtypeofmutualassistanceusingaseriesoftemplatesthatpromptthedrafterfor information. The Tool then automatically consolidates all data entered and generates acorrect,completeandeffectiverequest for finaleditingandsignature.TheMLAToolrequiresvirtuallynopriorknowledgeorexperiencewithdraftingMLA requests, iseasilyadjustable toanycountryssubstantiveandprocedurallaw,andenablesuserstoretrievekeyinformationontreaties and national legislation. TheMLA Tool also integrates a casemanagement trackingsystemforincomingandoutgoingrequests.TheMLATool iscurrentlyavailable inEnglish,French,Spanish,Russian,Portuguese,Bosnian,CroatianMontenegrinandSerbian.http://www.unodc.org/mla/index.htmlUNODCToolkittoCombatSmugglingofMigrantsThe Toolkit to Combat Smuggling of Migrants is offered to provide guidance, showcasepromising practices and recommend resources across thematic areas. The purpose of theToolkit is twofold. In itsentirely theToolkitprovidesanoverviewof the immenseandmultifacetedtaskofcombatingmigrantsmuggling.ThroughstandaloneTools,theToolkitprovidesguidanceonspecificaspectsofresponsetomigrantsmuggling.TheToolkitiscomprisedoftentools which address; understanding smuggling of migrants, actors and their processes,international legal framework, problem assessment and strategy development, legislativeframeworks, international criminal justice cooperation, law enforcement and prosecution,protectionandassistance,preventionandcapacitybuildingandtraining.http://www.unodc.org/unodc/en/humantrafficking/publications.htmlTRAININGMATERIALSUNODCBasicTrainingManualoninvestigatingandprosecutionsmugglingofmigrantsTheBasicTrainingManualoninvestigatingandprosecutingsmugglingofmigrantsisapracticalguideandtrainingtoolforpractitionersincountriesoforigin,transitanddestination.TheBasicTrainingManual isdesigned in suchaway that individualmodulescanbe readilyadapted todifferent country and regional contexts, and can serve as the basis for strengthening orsupplementingtrainingprogramsofnationaltraininginstitutes.ModulesintheManualaddressconceptsandcategoriesofmigrantsmuggling;theroleofsmuggledmigrantsandsmugglersininvestigations;investigativeapproaches;financialinvestigation;covertinvestigativetechniques;intelligence;internationalcooperationandhumanrights.The Basic Training Manual is available in Arabic, English, French, Russian and Spanish.http://www.unodc.org/unodc/en/humantrafficking/electronicbasictrainingmanualoninvestigatingandprosecutingsmugglingofmigrants.htmlUNODCIndepthTrainingManualoninvestigationandprosecutingmigrantsmugglingThe IndepthTrainingManual is intended foruse inthedeliveryoftrainingtocriminal justicepractitioners,includinglawenforcementagentsandprosecutors.Itbuildsonandcomplementsthe fundamentals covered in the Basic Training Manual for Investigating and ProsecutingSmuggling of Migrants. The Indepth Training Manual contains modules on understandingmigrant smuggling and related conduct; comparative analysis of smuggling ofmigrants andtrafficking in persons; detectingmigrant smuggling; investigative approaches and the role ofcriminal justice practitioners; risk assessment; protection and assistance issues; internationalcooperation in criminal matters; law enforcement cooperation and information sharing;http://www.unodc.org/mla/index.htmlhttp://www.unodc.org/unodc/en/human-trafficking/publications.htmlhttp://www.unodc.org/unodc/en/human-trafficking/electronic-basic-training-manual-on-investigating-and-prosecuting-smuggling-of-migrants.htmlhttp://www.unodc.org/unodc/en/human-trafficking/electronic-basic-training-manual-on-investigating-and-prosecuting-smuggling-of-migrants.htmlIssuePaper:SmugglingofMigrantsbySeaPage68of71intelligence; covert investigativeplanning, techniques and tactics; financial investigations andprosecutions; crime scene and physical evidence examinations; debriefing, interviews andtestimony;commonlegalissuesininvestigationsandprosecutions;andsentencing.Forthcoming:http://www.unodc.org/unodc/en/humantrafficking/publications.htmlREPORTSUNODC Smuggling of Migrants: A Global Review and Annotated Bibliography of RecentPublicationsThe purpose of this thematic review is to survey existing sources and research papers onsmuggling of migrants and to provide a gap analysis of existing knowledge from a globalperspective.TheoverallgoaloftheGlobalReviewistoenhanceconcreteunderstandingofthephenomenon.Chaptersofthepublicationaddressconceptualchallenges;methodologyappliedforresearchingsmugglingofmigrants;thescopeofsmugglingofmigrants;profilesofsmuggledmigrantsandmigrantsmugglers;relationshipsbetweensmugglersandmigrants;organizationalstructuresofmigrantsmugglingnetworks;modusoperandiandsmugglingfees;andthehumanandsocialcostsofsmugglingofmigrants.http://www.unodc.org/documents/humantrafficking/MigrantSmuggling/Smuggling_of_Migrants_A_Global_Review.pdfUNODCSmugglingofMigrantsfromIndiatoEuropeandinparticulartotheUnitedKingdom:astudyonTamilNaduTheaimofthisstudy,commissionedbyUNODCRegionalOfficeforSouthAsia incollaborationwith the Instituteof Social Sciences,NewDelhi is to assess the current extent and scopeofirregularmigrationfromTamilNaduwiththeobjectiveofimprovingevidencebasedknowledgeon the profile of irregularmigrants, themodus operandi of agents, the countries towhichmigrationisdestined,andthegovernmentresponsetocurbingirregularmigration.http://www.unodc.org/documents/humantrafficking/Smuggling_of_Migrants_from_India.pdfUNODCSmugglingofMigrantsfromIndiatoEuropeandinparticulartotheUnitedKingdom:astudyonPunjabandHaryanaThis report concludes a study into the scope andmagnitude of irregularmigration from thenorthern states of Punjab and Haryana in India. The studywas based on law enforcementauthority records, discussion with officials, public representatives, extensive field visits indistrictsofJalandhar,Kapurthala,NawanshahrandHoshiarpurofPunjabandinterviewswithalarge number of respondents, including irregular migrants and their family members, covillagers of irregularmigrants, agents involved inmigrant smuggling and police officerswhoinvestigatedcasesagainstagents.http://www.unodc.org/documents/humantrafficking/Smuggling_of_Migrants_from_India_to_Europe__Punjab_Haryana.pdfUNODCSmugglingofmigrants into, throughand fromNorthAfrica:A thematic reviewandannotatedbibliographyofrecentpublicationsThis publication describesmajor findings on smuggling ofmigrants; into, through and fromhttp://www.unodc.org/unodc/en/human-trafficking/publications.htmlhttp://www.unodc.org/documents/human-trafficking/Migrant-Smuggling/Smuggling_of_Migrants_A_Global_Review.pdfhttp://www.unodc.org/documents/human-trafficking/Migrant-Smuggling/Smuggling_of_Migrants_A_Global_Review.pdfhttp://www.unodc.org/documents/human-trafficking/Smuggling_of_Migrants_from_India.pdfhttp://www.unodc.org/documents/human-trafficking/Smuggling_of_Migrants_from_India_to_Europe_-_Punjab_Haryana.pdfhttp://www.unodc.org/documents/human-trafficking/Smuggling_of_Migrants_from_India_to_Europe_-_Punjab_Haryana.pdfIssuePaper:SmugglingofMigrantsbySeaPage69of71NorthAfrica,andhighlights theneed for furtherresearchonspecific issues thathavenotyetbeen studied. The thematic review identifies several key areas requisite to understanding,addressingandcriminalizingmigrantsmuggling.Theliteraturereviewedisdividedintothematicchapters including: quantifying irregular migration and smuggling of migrants, migrantsmuggling routes, profiles and characteristics of smuggled migrants, smugglermigrantrelationships,organizationalstructuresofmigrantsmugglingroutes,modusoperandiofmigrantsmugglers, smugglers feesand thehumanand socialcostsof smuggling.Thepublicationalsoentailsanannotatedbibliographyofthereviewedliterature.http://www.unodc.org/documents/humantrafficking/Migrant_smuggling_in_North_Africa_June_2010_ebook_E_0987293.pdfUNODC The Role of organized crime in smuggling of migrants from West Africa to theEuropeanUnionThis report investigates the involvement of organized criminal groups in the smuggling ofmigrants fromWest Africa towards the EuropeanUnion (EU).The publication contributes tobetterunderstandtheunderlyingmechanismsandactors involved inthiscriminalprocessasabasisforpolicyreformsincountriesaffected.InformationinthereportwascompiledbyateamofresearchersfromWestAfricaandEuropeusingbothdocumentarystudiesandfieldresearchconductedinMali,theNiger,NigeriaandSpain.http://www.unodc.org/documents/humantrafficking/MigrantSmuggling/Report_SOM_West_Africa_EU.pdfISSUEPAPERSUNODCIssuePaper:AShortIntroductiontoMigrantSmugglingThisissuepaperoffersabriefoverviewofthecrimeofmigrantsmuggling.Itexplainsaspectsofthecrimeasdefined in theProtocolagainst theSmugglingofMigrantsbyLand,SeaandAir,supplementing the United Nations Convention against Transnational Organized Crime. Thepaper also explores how the crime ofmigrant smuggling is committed, the roles played byindividualcriminalactorsintheprocess,andthedifferencebetweenmigrantsmugglingandthedistinctbutrelatedcrimeofhumantrafficking.http://www.unodc.org/documents/humantrafficking/MigrantSmuggling/IssuePapers/Issue_Paper__A_short_introduction_to_migrant_smuggling.pdfUNODCIssuePaper:MigrantSmugglingbyAirThis IssuePaper is the resultof anexpert groupmeetingheld inVienna inDecember2009,whichbroughttogetherexpertpractitionersfromallovertheworld.This IssuePaperexploresthe particularmodus operandi of smugglingmigrants by air and touches upon the variouschallenges involved in addressing this issue. The paper also offers some recommendationsaboutstrengtheningandcoordinatingresponsetothisissue.http://www.unodc.org/documents/humantrafficking/MigrantSmuggling/IssuePapers/Issue_Paper__Migrant_Smuggling_by_Air.pdfUNODC IssuePaper:OrganizedCrime involvement intrafficking inpersonsandsmugglingofmigrantshttp://www.unodc.org/documents/human-trafficking/Migrant_smuggling_in_North_Africa_June_2010_ebook_E_09-87293.pdfhttp://www.unodc.org/documents/human-trafficking/Migrant_smuggling_in_North_Africa_June_2010_ebook_E_09-87293.pdfhttp://www.unodc.org/documents/human-trafficking/Migrant-Smuggling/Report_SOM_West_Africa_EU.pdfhttp://www.unodc.org/documents/human-trafficking/Migrant-Smuggling/Report_SOM_West_Africa_EU.pdfhttp://www.unodc.org/documents/human-trafficking/Migrant-Smuggling/Issue-Papers/Issue_Paper_-_A_short_introduction_to_migrant_smuggling.pdfhttp://www.unodc.org/documents/human-trafficking/Migrant-Smuggling/Issue-Papers/Issue_Paper_-_A_short_introduction_to_migrant_smuggling.pdfhttp://www.unodc.org/documents/human-trafficking/Migrant-Smuggling/Issue-Papers/Issue_Paper_-_Migrant_Smuggling_by_Air.pdfhttp://www.unodc.org/documents/human-trafficking/Migrant-Smuggling/Issue-Papers/Issue_Paper_-_Migrant_Smuggling_by_Air.pdfIssuePaper:SmugglingofMigrantsbySeaPage70of71UNODC,throughtheInstituteforInternationalResearchonCriminalPolicy(IRCP)oftheGhentUniversity inBelgium,carriedoutastudyon the linksbetweenorganizedcrime,trafficking inpersonsand smugglingofmigrants.Theobjectiveof thisexercisewas toprovide insight intowhatisknownontheinvolvementoforganizedcrimeintraffickinginpersonsandsmugglingofmigrants cases. Developing appropriate criminal justice responses to combat trafficking inpersons and smugglingofmigrants as forms oforganized crime requires a knowledgebasedresponse.http://www.unodc.org/documents/humantrafficking/FINAL_REPORT_06052010_1.pdfUNODCIssuePaper:TransnationalOrganizedCrimeintheFishingIndustryThisIssuePaperconsiderstheextenttowhichtransnationalorganizedcrimestakeplacewithinthe fishing industry, and the extent towhich the legitimate fishing industry is vulnerable totransnational organized crime. The report focuses on trafficking in persons, smuggling ofmigrants and drug trafficking. The study has a global reach and considers a range of actorswithin the fishing industry aswell asmany different forms of criminal activities.Within thisbroad context, the objective of the study is to identify and highlight main trends andvulnerabilitiestoencouragefurtherstudiesofthesephenomena.http://www.unodc.org/documents/humantrafficking/Issue_Paper__TOC_in_the_Fishing_Industry.pdfhttp://www.unodc.org/documents/human-trafficking/FINAL_REPORT_06052010_1.pdfhttp://www.unodc.org/documents/human-trafficking/Issue_Paper_-_TOC_in_the_Fishing_Industry.pdfhttp://www.unodc.org/documents/human-trafficking/Issue_Paper_-_TOC_in_the_Fishing_Industry.pdfIssuePaper:SmugglingofMigrantsbySeaFor more information about UNODCs work against human trafficking and migrant smuggling contact: Anti- Human Trafficking and Migrant Smuggling Unit UNODC P.O. Box 500, 1400 Vienna, Austria Tel. (+43-1) 26060-5687 Email: ahtmsu@unodc.org Online: www.unodc.org/unodc/en/human-trafficking/ Page71of71mailto:ahtmsu@unodc.orghttp://www.unodc.org/unodc/en/human-trafficking/AcknowledgementsExecutive Summary 1. OVERVIEW OF MIGRANT SMUGGLING BY SEA1.1. Definition of smuggling of migrants1.2. Extent, patterns, routes and trends1.2.1. A global snapshot: smuggling by sea relative to smuggling by land and air1.2.2. Europe1.2.3. Middle East1.2.4. Americas1.2.5. East Asia and the Pacific 2. MODUS OPERANDI2.1. Actors and roles in migrant smuggling by sea2.1.1. Profile of migrant smugglers2.1.2. Profile of smuggled migrants2.2. Journey to the coast2.2.1. Land and air travel2.2.2. Recruitment2.2.3. Safe houses2.3. The sea journey2.3.1. Embarkation and departure2.3.2. Transport and Equipment2.3.3. Piloting the boat2.3.4. Conditions at sea2.3.5. Arrival or interception2.3.6. Deaths at sea2.4. Fees, payments and profits2.4.1. Fees2.4.2. Payments2.4.3. Profits3. RESPONSE and CHALLENGES3.1. Encountering migrant smuggling at sea3.2. Investigation and prosecution3.2.3. Investigating land-based organisers3.3. Prevention3.4. Cooperation3.4.1. International cooperation3.4.2. Bilateral and regional cooperation3.4.3. Interagency cooperation4. SUGGESTIONS FOR CONSIDERATION AND DISCUSSION4.1 Encountering migrant smuggling at sea4.1.1. Detection4.1.2. Interception4.1.3. Rescue4.1.4. Assistance and protection4.2 Investigation and prosecution4.2.1. Legislative Framework4.2.2. Identification of smugglers on board boats4.2.3. Investigating land-based smugglers4.3 Prevention4.3.1. Addressing root causes4.3.2. Awareness raising4.3.3. Intercept smuggling vessels before departure4.3.4. Increased research, data collection and information sharing4.4 Cooperation4.4.1. International cooperation4.4.2. Bilateral and regional cooperation4.4.3. Interagency cooperationANNEX Migrant Smuggling Protocol ExtractsANNEX Relevant UNODC Resources

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