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1 Introduction1

1.1 Terrorism, Prevention and the Criminal Justice System1

1.2 Conceptualizing the Subject3

1.2.1 Defining Anticipative Criminal Investigation3

1.2.2 Selection of Countries6

1.2.3 The Rule of Law7

1.2.4 Criminal Procedural Law11

1.2.5 The Relation Between Criminal Investigation and Criminal Procedural Law16

1.2.6 The Relation Between Criminal Investigation and Intelligence Investigation16

1.3 Contextualizing States' Preventive Measures18

1.3.1 The Influence of International Institutions19

1.3.2 A Duty to Prevent Terrorism under International Human Rights Law Obligations22

1.3.3 The Influence of Theories on the Risk Society,the Culture of Control and the Precautionary Principle on Mobilizing Criminal Law for the Purpose of Prevention25

1.4 Framing the Subject26

1.5 Research Question29

1.6 Approach and Methodology30

Part Ⅰ The Netherlands37

2 The System of Criminal Investigation in the Netherlands37

2.1 Introduction37

2.1.1 Goals of the Chapter37

2.1.2 The Dutch Criminal Justice System39

2.1.3 Meaning of Some Principles and Fundamental Rights Relevant to the Criminal Investigation in Dutch Criminal Procedural Law42

2.1.3.1 The Principle of Legality43

2.1.3.2 The Right to Respect for Private Life46

2.1.3.2.1 Article 8 ECHR47

2.1.3.2.2 Article 10 Constitution51

2.1.3.3 The Right to a Fair Trial52

2.1.3.3.1 The Presumption of Innocence52

2.1.3.3.2 Implications of Article 6 ECHR for Pre-Trial Proceedings55

2.1.3.4 The Principles of the Due Administration of Justice58

2.1.3.4.1 Proportionality and Subsidiarity59

2.1.3.4.2 Prohibition on Détournement de Pouvoir61

2.2 The Sword Function of the Dutch Criminal Investigation61

2.2.1 The Actors Responsible for Truth-Finding61

2.2.1.1 The Police63

2.2.1.2 The Public Prosecution Service (PPS)65

2.2.1.3 The Examining Magistrate67

2.2.1.4 The AIVD (General Intelligence and Security Service)69

2.2.2 The Powers Available for Truth-Finding in the Criminal Investigation71

2.2.2.1 Article 2 Police Act 199373

2.2.2.2 Investigative Techniques with a Specific Basis in the Law79

2.2.2.2.1 The Act on Special Investigative Techniques of 199979

2.2.2.2.1.1 Classical investigation80

2.2.2.2.1.2 Organized Crime Investigation81

2.2.2.2.2 Investigative Methods with a Specific Legal Basis in Special Criminal Acts83

2.2.2.3 The Preliminary Investigation86

2.2.2.4 The Investigative Powers of the Intelligence Community in Relation to Criminal Justice87

2.2.2.4.1 The Investigative Powers of the AIVD87

2.2.2.4.2 Transfer of Information Obtained by the AIVD to Law Enforcement Services89

2.2.3 Conclusion91

2.3 The Shield Function of the Dutch Criminal Investigation93

2.3.1 The Responsibility of the Actors Towards a Fair Procedure93

2.3.1.1 The Police94

2.3.1.2 The Public Prosecutor96

2.3.1.3 The Examining Magistrate101

2.3.1.4 The Trial Judge105

2.3.1.5 The Position of the Suspect106

2.3.1.6 The Position of Other Subjects of Criminal Investigative Activities109

2.3.2 The Protective Elements in the System of Criminal Investigation111

2.3.2.1 Regulation Following the Principle of Legality and the Right to Respect for Private Life112

2.3.2.1.1 The Requirements of the Restrictive Clause of Article 8 ECHR113

2.3.2.1.2 The Requirements of the Principle of Legality and the Right to Respect for Private Life in the Regulation of Criminal Investigative Powers118

2.3.2.2 The Separation of Criminal Investigation from other Forms of Investigation121

2.3.2.2.1 The Definition of a Criminal Investigation122

2.3.2.2.2 Separation from Administrative Supervision125

2.3.2.2.3 Separation from Intelligence Investigation127

2.3.2.2.4 The Relation Between the Preliminary Investigation and the Criminal Investigation129

2.3.2.3 The Suspicion Requirement131

2.3.2.3.1 The Definition of a Suspect:Article 27 CCP132

2.3.2.3.2 Different Degrees of Suspicion137

2.3.2.3.2.1 Title IVA: The Classical Investigation138

2.3.2.3.2.2 Title V: The Organized Crime Investigation139

2.3.2.3.2.3 Title Ve: The Preliminary Investigation143

2.3.2.3.2.4 The Threshold of Indications in Special Criminal Acts145

2.3.2.3.2.5 Other Degrees of Suspicion and Supplementary Conditions148

2.3.2.3.3 The Protective Function of the Suspicion Threshold149

2.3.2.4 Other Protective Elements Adopted in the CCP151

2.3.2.4.1 The Duty to Compile Records151

2.3.2.4.2 The Remedies of Article 359a CCP153

2.3.3 Conclusion156

3 Counterterrorism Measures Affecting Criminal Investigation in the Netherlands161

3.1 Introduction161

3.1.1 Counterterrorism Measures Under the Preventive Paradigm163

3.1.2 The Shift to Anticipative Criminal Investigation167

3.1.3 Goals of the Chapter169

3.2 Changes Affecting the Criminal Investigation170

3.2.1 Legislative Measures170

3.2.1.1 The Investigative Domain of Terrorism Investigations: Title Vb172

3.2.1.2 Preliminary Investigation for Preparing Terrorism Investigations177

3.2.1.3 New Criminal Investigative Powers181

3.2.2 The Evolvement Towards Intelligence-Led Criminal Law Enforcement184

3.3 Changes Affecting the Relation Between the AIVD and the PPS185

3.3.1 AIVD Reports as Starting Information for a Criminal Investigation187

3.3.2 The Shielded Witnesses Act190

3.3.3 Parallel Investigations193

3.3.4 The Counterterrorism Information Box197

3.3.5 Other Measures Enhancing Cooperation199

3.4 Changes Affecting the Relation Between Administrative Law and Criminal Procedural Law200

3.4.1 Administrative Disturbance202

3.5 Conclusion205

4 The Implications of Enabling an Anticipative Criminal Investigations to Confront Terrorism for the Objectives of Criminal Procedural Law: The Netherlands209

4.1 Introduction209

4.2 Expansion of the Preventive Capacity of the Criminal Investigation210

4.2.1 Criminal Investigation for the Purpose of Preventing Terrorism211

4.2.1.1 Expansion of the Scope and Nature of the Criminal Investigation of Terrorism211

4.2.1.2 The Protective Value of Indications in Comparison to a Reasonable Suspicion215

4.2.1.3 The Principle of Legality and the Right to Respect for Private Life221

4.2.1.3.1 Foreseeability222

4.2.1.3.1.1 Title Vb222

4.2.1.3.1.2 Preliminary Investigation of Terrorist Crimes227

4.2.1.3.1.3 Search Powers for the Prevention of Terrorism228

4.2.1.3.2 Necessary in a Democratic Society231

4.2.2 Trends in Criminal Investigative Policy232

4.2.2.1 Balancing Prevention Against Legal Protection232

4.2.2.2 Choosing Between the Criminal Investigative Domains235

4.2.3 Shifting Responsibilities Among the Various Actors239

4.2.3.1 Authorization of Investigative Methods241

4.2.3.2 Protective function of the Principles of Proportionality and Subsidiarity and Ex Post Judicial Control243

4.2.3.3 Conclusion246

4.2.4 Final Remarks247

4.3 Demarcating the Anticipative Criminal Investigation248

4.3.1 The Relation Between Anticipative Criminal Investigation and Intelligence Investigation248

4.3.2 Relation Between Anticipative Criminal Investigation and Administrative Supervisory Authority253

4.3.3 Defining and Positioning the Anticipative Criminal Investigation256

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

4.3.4.1 Control over the Use of AIVD or CIE Reports as Starting Information261

4.3.4.2 Control over Parallel Investigations263

4.3.4.3 An Infected Criminal Process?264

4.4 Conclusion269

4.4.1 Characterizing the Anticipative Criminal Investigation269

4.4.2 Implications for the Shield Objective of Criminal Procedural Law270

4.4.2.1 Weakened Protection of the Right to Respect for Private Life and the Presumption of Innocence271

4.4.2.2 An Infected Criminal Process273

Part Ⅱ The United States277

5 The System of Criminal Investigation in the United States277

5.1 Introduction277

5.1.1 Goals of the Chapter277

5.1.2 Framing the Subject279

5.1.3 The US Criminal Justice System282

5.1.4 Constitutional Principles285

5.1.4.1 Unreasonable Searches and Seizures and the Right to Private Life: Fourth Amendment286

5.1.4.2 Due Process of Law: Fifth and Fourteenth Amendments290

5.2 The Sword Function of the US Criminal Investigation295

5.2.1 The Actors Responsible for Truth-Finding295

5.2.1.1 The Police296

5.2.1.2 The Prosecutors298

5.2.1.3 The Grand Jury300

5.2.1.4 National Security Power and the Intelligence Community301

5.2.2 The Powers Available for Truth-Finding in the Criminal Investigation305

5.2.2.1 Conventional Criminal Investigation306

5.2.2.1.1 Search Powers307

5.2.2.1.2 The Search Powers of Surveillance and the Use of Undercover Agents and Informants309

5.2.2.2 The Possibilities for Proactive Criminal Investigations313

5.2.2.3 The Powers Available in National Security Investigations in Relation to Criminal Justice314

5.2.2.3.1 The National Security Investigation—FISA315

5.2.2.3.2 The Transfer of Information Gathered During a National Security Investigation to the Law Enforcement Community321

5.2.3 Conclusion324

5.3 The Shield Function of the US Criminal Investigation326

5.3.1 The Responsibility of the Actors Towards a Fair Procedure326

5.3.1.1 The Police326

5.3.1.2 The Public Prosecutor327

5.3.1.3 The Defense330

5.3.1.4 Position of Other Subjects of Criminal Investigative Activities334

5.3.1.5 Magistrate Judge336

5.3.2 The Protective Elements in the System of Criminal Investigation337

5.3.2.1 Regulation Following from the Fourth Amendment337

5.3.2.1.1 Probable Cause337

5.3.2.1.1.1 What is Probable Cause?337

5.3.2.1.1.2 The Protective Function of Probable Cause345

5.3.2.1.2 Warrant345

5.3.2.1.3 Reasonableness348

5.3.2.1.4 The Exclusionary Rule353

5.3.2.2 Restrictive Function of the Statutory Regulation of Surveillance under Title Ⅲ355

5.3.2.2.1 The Application Procedure357

5.3.2.2.2 A Review of the Application by the Magistrate Judge358

5.3.2.2.3 Execution of an Order under Title Ⅲ360

5.3.2.2.4 Exclusion of Evidence Obtained in Violation of Title Ⅲ362

5.3.2.3 Regulation of the FBI's Authority to Investigate Through the Issuance of Guidelines by the Attorney General363

5.3.2.3.1 The Levi Guidelines364

5.3.2.3.2 The Smith Guidelines367

5.3.2.4 The Restrictive Function of the Regulation of National Security Investigations under FISA372

5.3.2.4.1 The Regulation of National Security Investigations372

5.3.3 Conclusion377

5.4 Final Remarks381

6 Counterterrorism Measures Affecting Criminal Investigation in the United States385

6.1 Introduction385

6.1.1 Counterterrorism Measures Under the Preventive Paradigm386

6.1.2 The Shift to Anticipative Criminal Investigation388

6.1.3 Goals of the Chapter391

6.2 Changes Affecting Search and Surveillance in the Conventional Law Enforcement Context392

6.2.1 Legislative Measures392

6.2.1.1 Broadening the Scope of Title Ⅲ392

6.2.1.2 Emergency Disclosure393

6.2.1.3 Delayed Notice Warrant393

6.2.1.4 Pen Registers and Trap and Trace Devices395

6.2.1.5 Consensual Monitoring396

6.2.1.6 Nationwide Applicability of Search Warrants397

6.2.2 Developments in Case Law398

6.2.3 Other Developments Enhancing Proactive Capacities of Law Enforcement Agencies402

6.3 Changes Affecting the Powers in National Security Investigations403

6.3.1 Increased FISA Surveillance Powers403

6.3.2 FISA Court Document Production Orders407

6.4 Changes Affecting the Interaction Between the Intelligence and Law Enforcement Communities415

6.4.1 Provisions of the USA PATRIOT ACT of 2001416

6.4.1.1 Enhancing the Sharing of Information416

6.4.1.2 Changing the Purpose Language419

6.4.2 The Influence of the Internal Policy of the Department of Justice and the FBI422

6.4.2.1 The Memorandum of Attorney General Ashcroft of 6 March 2002 and the Interagency Memorandum of 2003424

6.4.2.2 The AG Ashcroft Guidelines of 2002 and the AG Ashcroft Guidelines on National Security Investigations of 2003425

6.4.2.3 Mukasey Guidelines on FBI Operations (2008)429

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

6.4.3 Other Developments Enhancing Cooperation Between Intelligence and Law Enforcement437

6.5 Other Relevant Investigative Powers438

6.5.1 The NSA Surveillance Program and its Incorporation in FISA438

6.5.2 National Security Letters442

6.6 Conclusion445

7 The Implications of Enabling Anticipative Criminal Investigations to Confront Terrorism for the Objectives of Criminal Procedural Law in the United States449

7.1 Introduction449

7.2 Expansion of the Preventive Capacity of Conventional Criminal Law451

7.2.1 Expansion of the Scope and Nature of Electronic Surveillance451

7.2.1.1 In General451

7.2.1.2 Delayed Notice Warrants452

7.2.1.3 Pen Registers and Trap/Trace Devices457

7.2.2 A Trend in the Case Law Towards Diminishing the Protective Meaning of the Fourth Amendment for National Security or Terrorism Prevention Interests460

7.2.2.1 Applying the Special Needs Doctrine to Searches for the Prevention of Terrorism461

7.2.2.2 Balancing Liberty Against Security in Fourth Amendment Analysis in Terrorism Cases466

7.2.2.2.1 Probable Cause466

7.2.2.2.2 Warrant469

7.2.2.2.3 Reasonableness472

7.2.2.2.4 The Exclusionary Rule474

7.2.3 The Changed Role of the Relevant Actors474

7.3 The Expansion of the Preventive Capacity of National Security Investigations477

7.3.1 Expansion of the Scope and Nature of FISA Surveillance and Physical Searches477

7.3.1.1 General Development477

7.3.1.2 Roving Surveillance480

7.3.1.3 Pen Register and Trap and Trace Devices481

7.3.2 FISA Document Production Orders482

7.3.2.1 The Regulation of Document Production Orders under FISA483

7.3.2.2 The Non-Disclosure Requirement487

7.3.2.3 Conclusion489

7.4 Interaction Between Law Enforcement and Intelligence Communities for the Purpose of Enabling a Preventive Approach491

7.4.1 Redefining Institutional Positions and Functions492

7.4.2 Consequences of the Institutional Position and Functions of the Anticipative Criminal Investigation498

7.4.3 An Infected Criminal Process?504

7.4.4 Dismantling the Wall: Some Final Remarks511

7.5 FISA Surveillance Targeting Non-US Persons Outside the US and National Security Letters513

7.5.1 FISA Surveillance Targeting Non-US Persons Outside the US513

7.5.2 National Security Letters515

7.6 Conclusion516

7.6.1 Characterizing the Anticipative Criminal Investigation517

7.6.2 The Implications for the Shield Objective of Criminal Procedural Law518

7.6.2.1 Weakened Fourth Amendment Protection518

7.6.2.2 Abandoning Purpose Limitation522

7.6.2.3 Infected Criminal Process523

Part Ⅲ Thoery, Evaluation and Conclusions533

8 Regulating the Anticipative Criminal Investigation Under the Rule of Law533

8.1 Introduction533

8.1.1 The Path Towards Formulating the Framework of Examination535

8.1.1.1 The Shortcomings of the Balancing Approach536

8.1.1.2 Building the Architecture of the Anticipative Criminal Investigation Under the Rule of Law539

8.2 Conclusive Characterization and Positioning of the Anticipative Criminal Investigation541

8.3 The Common Ground of the Regulation of Criminal Investigations544

8.3.1 Three Constitutive Principles545

8.3.1.1 The Presumption of Innocence547

8.3.1.2 Respect for the Fundamental Right to Private Life550

8.3.1.3 Due Process/Fair Trial550

8.3.2 Three Parameters554

8.3.2.1 Accountability555

8.3.2.2 Proportionality557

8.3.2.3 Necessity558

8.4 Seeking Synthesis in the Flexible Area of the Law in the Light of the Circumstances of Modern Society559

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

8.4.1.1 The Argument of Necessity or Exigency Justifying 'Emergency Powers' Outside the Traditional Legal Framework561

8.4.1.2 The Argument of Necessity or Exigency Justifying Exceptions to the Shield Elements within the Traditional Legal Framework564

8.4.1.3 The Argument of the Specific Nature of Terrorist Crimes565

8.4.1.4 The Argument of the Effectiveness of Preventing Harm569

8.4.2 The Fundamental Nature of an Institutional Distinction Between Criminal Investigation and Intelligence Investigation575

8.4.3 Conclusion577

8.5 Three Pillars of Regulatory Conditions: Legitimization,Integrity and Fairness580

8.5.1 Legitimization581

8.5.2 Integrity588

8.5.2.1 Minimization Mechanisms589

8.5.2.2 Controlling Mechanisms590

8.5.2.3 The Availability of a Remedy595

8.5.2.4 Conditions Concerning Integrity597

8.5.3 Fairness598

8.6 Conclusion602

9 Conclusions605

9.1 Introduction605

9.2 General Perspectives608

9.2.1 Legitimization and Integrity608

9.2.2 Fairness and Integrity610

9.3 Regulating Anticipative Criminal Investigations Under the Rule of Law: Conclusions and Recommendations612

9.3.1 The Netherlands: Legitimization and Integrity612

9.3.1.1 Relation Between Legitimizing Grounds and the Purpose of the Criminal Investigation612

9.3.1.2 Relating Legitimization to Integrity:Proportionality and the Legitimized Scope and Purpose614

9.3.1.2.1 The Legitimized Scope and Purpose614

9.3.1.2.2 Proportionality as a Minimization Mechanism617

9.3.1.2.3 Search Methods in Terrorist Crime Investigations619

9.3.1.2.4 Preliminary Investigation of Terrorist Activities620

9.3.1.3 Control over the Legitimized Scope and Purpose622

9.3.1.4 Some Comments on Notification623

9.3.2 The United States: Legitimization and Integrity625

9.3.2.1 Regarding the Anticipative Criminal Investigation in Conventional Criminal Law625

9.3.2.1.1 Attention to Legitimizing Grounds in the Reasonableness Assessment Under the Fourth Amendment625

9.3.2.1.2 Some Comments on the Special Needs Doctrine628

9.3.2.1.3 Some Comments on Pen Registers and Trap and Trace Devices628

9.3.2.1.4 Some Comments on Notification629

9.3.2.2 Regarding FISA as a Quasi-Law Enforcement Framework630

9.3.2.2.1 FISA Framework Inadequate for Legitimizing Criminal Investigative Activities631

9.3.2.2.2 Re-Establishing the Required Legitimization for Anticipative Criminal Investigations633

9.3.2.3 Minimization and Alternative Controlling Mechanisms Instead of Judicial Control634

9.3.3 The Netherlands: Fairness and Integrity637

9.3.3.1 Control over the AIVD and CIE638

9.3.3.2 Integrity Guarantees Versus Judicial Control: The Fairness of Trial Proceedings639

9.3.3.3 Comment on the Use of Intelligence as Evidence642

9.3.4 The United States: Fairness and Integrity643

9.3.4.1 Insufficient Control over FISA as a Quasi-Law Enforcement Framework643

9.3.4.2 CIPA as a Counterbalancing Procedure644

9.3.4.3 The Fairness of the Trial Proceedings644

9.4 Final Conclusions646

Epilogue651

Bibliography653

Reports667

List of Cases669

Index679