ENVIRONMENT AND NATURAL RESOURCES GLOBAL PRACTICE DISCUSSION PAPER #04 ELEPHANT CRIME INTELLIGENCE SYSTEM ASSESSMENT Robert C. Fahlman, Consultant, Intelligence Systems, World Bank, Africa Region MARCH 2015 WORLD BANK GROUP REPORT NUMBER 94471-AFR Environment and Natural Resources Global Practice Discussion Paper 04 Elephant Crime Intelligence System Assessment Robert C. Fahlman, Consultant, Intelligence Systems, World Bank, Africa Region © 2015 World Bank Group 1818 H Street NW Washington, DC 20433 Telephone: 202-473-1000 Internet: www.worldbank.org Email: feedback@worldbank.org All rights reserved This volume is a product of the staff of the World Bank Group. The findings, interpretations, and conclusions expressed in this volume do not necessarily reflect the views of the Executive Directors of World Bank Group or the governments they represent. The World Bank Group does not guarantee the accuracy of the data included in this work. The boundaries, colors, denominations, and other information shown on any map in this work do not imply any judgment on the part of World Bank Group concerning the legal status of any territory or the endorsement or acceptance of such boundaries. Rights and Permissions The material in this publication is copyrighted. Copying and/or transmitting portions or all of this work without permission may be a violation of applicable law. World Bank Group encourages dissemination of its work and will normally grant permission to reproduce portions of the work promptly. For permission to photocopy or reprint any part of this work, please send a request with complete information to the Copyright ­ Clearance Center, Inc., 222 Rosewood Drive, Danvers, MA 01923, USA, telephone: 978-750-8400, fax: 978-750-4470, http://www.copyright.com/. All other queries on rights and licenses, including subsidiary rights, should be addressed to the Office of the Publisher, World Bank Group, 1818 H Street NW, Washington, DC 20433, USA, fax: 202-522-2422, e-mail: pubrights@worldbank.org. Cover Photo: Cover photograph courtesy of Robert C. Fahlman, Imire Rhino and Wildlife Conservation Park, Zimbabwe, 2014. Text figures and tables: The source is the author, except where otherwise noted. Contents Prefacev Acknowledgmentsvii Abbreviations and Acronyms ix Executive Summary xi Why Intelligence is Critical xii Chapter One: Introduction 1 Chapter Two: Project Terms of Reference, Scope, and Methodology 3 Chapter Three: Elephant Crime and Law Enforcement Context 5 Trends in Elephant Poaching and Ivory Trafficking: Growing Organized Crime Connections 5 Data Rich but Knowledge Poor 8 Alleged Links to International Terrorist Organizations 8 Key Enablers Fostering Wildlife Crime 8 Capacity to Respond 9 Chapter Four: Intelligence to Enforcement Action: A Networked Elephant Crime Intelligence System 11 Intergovernmental/Transnational Organizations and Networks 11 Regional Systems and Networks 12 National Systems and Networks 13 Chapter Five: Conclusions and Recommendations 17 Recommendations: Phase 1—Immediate Action 17 Recommendations: Phase 2—During a Period of 3 to 5 Years 19 References 23 Appendix A: Intelligence System Building Blocks 25 Appendix B: Assessment of National-Level Intelligence Systems and Intelligence Needs in Select Range States 35 Appendix C: Terms of Reference: Elephant Crime Intelligence System and Governance Model Assessment 41 Appendix D: Interviews and Meetings: Elephant Crime Intelligence System and Governance Model Assessment—January 6 to April 28, 2014 53 Appendix E: The World Bank Assessment Survey Questionnaire: Evaluation of Intelligence Services and Governance Capacity in Response to Elephant Poaching and Ivory Trafficking, V 1.1–January 22, 2014 (Final)—R. Fahlman 59 BOX Box A.1: Strategic and Tactical Intelligence Forms 26 FIGURES Figure 3.1: African Elephant Population 6 Figure 3.2: Trend in Proportion of Illegally Killed Elephants in Africa, 2002–12 6 Elephant Crime Intelligence System Assessment iii Figure 3.3: Percentage of Illegally Killed Elephants in Africa, 2002–11 8 Figure 3.4: Illegal Ivory Trafficking Routes 10 Figure 4.1: Governance Model: Intelligence System Architecture—Transnational, Regional, and National Levels 12 Figure A.1: The Intelligence Process/Cycle 27 Figure A.2: RCMP Sleipnir—Attribute Scores and Values 29 Figure A.3: Intelligence System Governance Process—Tasking & Coordination 31 Figure A.4: The Balanced Scorecard and Strategy Map Performance Management System 34 TABLES Table 3.1: Number and Weight of Large-Scale (>500 kg) Ivory Seizures by Year and Mode of Transport, 2009–13 (ETIS, November 15, 2013) 6 Table A.1: Intelligence Analysis Techniques 28 iv Elephant Crime Intelligence System Assessment PREFACE It is sometimes asked why the World Bank has taken a strong interest and active role in supporting the strengthening of environment and natural resource law e ­ nforcement. Certainly, the World Bank is not a law enforcement agency. However, among the things that we have learned in pursuit of the Bank’s main objectives of poverty ­ reduction and promotion of shared prosperity is that development needs to be understood as more than only increasing the consumption of goods and services. Importantly, we are seeing that vulnerability is an essential part of the crushing reality of poverty. Whether ­ it is violence against women and children, corruption in social services, fraud or abuse of public procurement processes, or the loss of natural resources from ­ poaching, crime exacerbates the suffering of our primary target beneficiaries, and is therefore a ­ pressing issue for the World Bank. The Bank comes to focus attention on environment and natural resource crime in other ways as well. As discussed in this report, the international nature of wildlife crime, in this case the poaching of elephants and the smuggling of contraband ivory, is a truly global phenomenon. The illicit supply chain extends from the African range states through many and diverse trans-shipment points before reaching consumer markets in countries around the world, leaving criminality, corruption, and diverted resources all along the way. No single country suffers the full damage of this ­criminality, and none has the full incentive or resources needed to respond. In this way, natural resource law enforcement has some of the same Global Public Good properties as, for ­ example, agricultural research, the fight against HIV/AIDS, the struggle to contain Ebola, and the challenge of Greenhouse Gas–induced climate change. While not always well matched to the World Bank’s traditional business model of country-based lending and investment, the Bank recognizes a special obligation as a global institution to advocate for global solutions to global problems. In this report, Robert Fahlman, a leading expert and practitioner in the field of criminal intelligence systems and operations, takes on an important part of the ­ ­ puzzle of how the global community can come together to better protect the African ­elephant. We asked Mr. Fahlman to take on this work, not as a crime investigator, or as an advocate for conservation, but as an analyst of the institutional architecture through which ­information, data, suspicion, and sometimes unfounded rumor are or are not translated into effective law enforcement responses to the global problem of ivory smuggling and elephant poaching. His findings and recommendations merit serious consideration, debate, and follow-up by those concerned with the survival of African elephants and the people and ecosystems dependent on them. problems, As the reader will see, Fahlman finds that, as with other global public good ­ the international community is failing to adequately organize and finance the ­ provision Elephant Crime Intelligence System Assessment v of intelligence support to ivory-related law enforcement. As a result, ­ poachers, smugglers, and corrupt officials conspire and thrive as transnational criminal networks. ­ addition to a global problem, Fahlman finds a law enforcement capacity-building In ­ ­ challenge and an institutional coordination problem at the national and regional levels. His ­ ­ proposed response and recommendations build on the roles, mandates, and ­programs of ­existing agencies, but with recognition of the need for urgency and ­ ambition in a rapid scaling up. We initiated this work recognizing that the responsibility for wildlife crime ­intelligence analysis and follow-up at the global level was unlikely to reside with the World Bank. As the report makes clear, there are other international agencies and ­agencies at national and regional levels that are properly mandated to take on this work. A ­ dvocating for proper resourcing and better integration, however, is a responsibility to which we hope the World Bank, in making this report available, is responding and will ­ continue to pursue. vi Elephant Crime Intelligence System Assessment ACKNOWLEDGMENTS The preparation of the Final Report: Elephant Crime Intelligence System Assessment greatly benefited from the generous collective spirit of cooperation and best practice sharing of the international law enforcement community and nongovernmental organizations dedicated to wildlife conservation. Recognition needs to be made of the following organizations and programs: partner organizations of the International Consortium on Combating Wildlife Crime (ICCWC) (Convention on International Trade in Endangered Species of Wild Fauna and Flora [CITES], United Nations Office on Drugs and Crime [UNODC], World Customs Organization [WCO], International Criminal Police Organization [INTERPOL], World Bank), Monitoring the Illegal Killing of Elephants (MIKE), Elephant Trade Information System (ETIS), Wildlife Trade Monitoring Network (TRAFFIC), and World Wildlife Fund (WWF). And, to the more than 125 people interviewed during the project in 12 countries, thank you for your knowledge sharing and insights. Finally, special mention needs to be made of the silent partners in this project—the elephants. This report was prepared as part of the World Bank-executed Global Environment Fund Medium Size Project Fighting Against Wildlife Poaching And Illegal Trade In Africa— The Case Of African Elephants, implemented under overall guidance of Magda Lovei, Environment Practice Manager, Claudia Sobrevilla, Task Team Leader. William B. Magrath, Lead Natural Resource Economist and Sara Thompson, Wildlife Law Carnemark\World Bank Elephant Crime Intelligence System Assessment vii Enforcement Specialist provided oversight and support. Simon Robertson and Valerie Hickey made valuable contributions and advice. The ever-evolving landscape of organized crime, including the poaching of elephants and traffic in ivory, has brought with it many new challenges to law enforcement, government, and civil society in general in all regions of the globe. In my three dec- ades of working within law enforcement, whether on the domestic front or on assign- ment internationally, the lessons learned from two of the most influential forefathers of criminal intelligence, Justin J. Dintino and Frederick T. Martens, in their guidebook Police Intelligence Systems in Crime Control (1983), capture today perhaps more than ever the value of intelligence to effective crime control: “The future of law enforcement in its role against organized crime is dependent upon intelligence. Intelligence will permit an organization to meet future challenges with an awareness that allows for the development and implementation of viable crime control policies. Without intelligence there is no strategy. The intelligence process is central to the development of an effective crime control programme.” viii Elephant Crime Intelligence System Assessment Abbreviations and Acronyms AED African Elephant Database MIKE Monitoring the Illegal Killing of Elephants ASEAN Association of Southeast Asian Nations NCB National Central Bureau BSC Balanced Scorecards NGO Nongovernmental Organization CISC Criminal Intelligence Services Canada NIM National Intelligence Model CITES Convention on International Trade in PIKE Proportion of Illegally Killed Elephants Endangered Species of Wild Fauna and RCMP Royal Canadian Mounted Police Flora RILO Regional Intelligence Liaison Offices ETIS Elephant Trade Information System SOP Standard Operating Procedure GEF Global Environment Facility T&CG Tasking & Coordination Group ICCWC International Consortium on Combating TRAFFIC The Wildlife Trade Monitoring Network Wildlife Crime UNDP United Nations Development Programme IIOC Integrated Intelligence-Operations Council UNEP United Nations Environment Programme INTERPOL International Criminal Police Organization UNODC United Nations Office on Drugs and Crime IUCN International Union for Conservation of Nature WCO World Customs Organization LATF Lusaka Agreement Task Force WWF World Wildlife Fund Elephant Crime Intelligence System Assessment ix Executive Summary This assessment concludes that individual nations as well as regional and transnational organizations now have severely limited to nonexistent capacities to effectively respond to growing threat levels. It proposes a networked intelligence-led strategy at national, regional, and transnational levels to more effectively control, reduce, and, more impor- tantly, prevent the wholesale slaughter into extinction of the African elephant popula- tion within the next decade. It concludes by outlining the requirements for designing and implementing a long-term sustainable elephant crime intelligence system, includ- ing the required governance arrangements, and proposes the roles and functions that key organizations could play at the national, regional, and transnational levels. Escalation in illegal killing of elephants across Africa since 2010 poses a major threat to the survival of a number of elephant populations in the short term (3 to 5 years) and the African elephant population as a whole in the medium term (within a decade). Available data are evidence of the growing severity of the threat—in 2006, an esti- mated 5,000 elephants were illegally killed at CITES Monitoring the Illegal Killing of Elephants monitored sites. In 2011, this figure increased by more than 300 percent to some 17,000 illegally killed elephants, representing 7.4 percent of the total elephant population. The continentwide figure for illegally killed elephants is estimated to be more than 25,000. The annual elephant reproduction rate of approximately 5 percent is unable to compensate for this level of illegal killing. Further, data from the Elephant Trade Information System indicate that the illegal trade in ivory has more than dou- bled since 2007 and is more than three times greater than it was in 1998. Key enablers that foster continued escalation in elephant poaching and ivory ­ trafficking include: »» High levels of corruption across the political, judicial, and law enforcement sectors: »» Weak governance and poverty across elephant range states; »» Limited and poor quality wildlife, habitat, and natural resource management; and »» Growing involvement of organized crime groups and networks attracted by the relatively low risks and high profits driven by the demand for illegal ivory in consuming countries. Elephant Crime Intelligence System Assessment xi Carnemark\World Bank Shutterstock, LLC This assessment responds directly to both the growing organized crime through effective detection, suppression, threat levels posed by organized elephant poaching and and prevention strategies. Success in meeting this mission illicit ivory trafficking crime and related criminal networks, requires a professional criminal intelligence capacity and and the severely limited to nonexistent criminal intelli- an understanding that the primary purpose of intelligence gence capacity of national governments, and regional and is to provide advanced warning on emerging threats and global institutions, to effectively counter these threats. targeting of operations on specific key criminals, organi- zations, and networks. Why Intelligence Is All levels of involved government as well as the nongov- Critical ernmental community are starting to realize the value The mission of intelligence, whether for a national, of reliable, timely, and accessible criminal intelligence regional, or global policing agency or, more specifically, as a foundation for understanding the key drivers of ele- in the context of wildlife conservation and protection, is phant poaching and the ivory trade and its value as an to enable the effective management of threats posed by effective crime control, reduction, and prevention tool. xii Elephant Crime Intelligence System Assessment Although the importance of good data is certainly not as well as along the global supply chain countries. The a new ­ concept, the worldwide trend toward sustainable proposed ­ intelligence-led enforcement model employs a wildlife conservation and support for management prac- network of networks architecture to form effective partner- tices is calling for improvements in monitoring, assess- ships and capacity building based on shared principles. ment, and reporting that are consistent, effective, and transparent and that inspire confidence and cooperation The effective implementation of a networked criminal among law e ­ nforcement, wildlife conservation authorities, intelligence system at the national, regional, and transna- government, nongovernmental organizations, and the ­ tional levels requires committed and visionary leadership general public. at all levels. Intelligence is a specialized program of activity based on Although the lead agencies at national levels would six steps in the intelligence process: planning and direc- reside within national police services, the consultant’s tion; collection; evaluation; collation; analysis; reporting/ assessment that it will take from 3 to 5 years to develop dissemination/application. A robust intelligence system to national-level intelligence system capacities to be in a address elephant poaching and illegal ivory trade is either position to effectively respond to the current, let alone nonexistent or seriously limited across the elephant range future, crises necessitates that a more proactive response states and the illegal supply chain, thus posing major be implemented in the short term. The report thus rec- roadblocks to effectively responding to elephant poaching ommends a two-phase strategy, with INTERPOL Gen- and ivory trafficking. eral Secretariat, based in Lyon, France, taking the lead role in Phase 1 to initiate immediate action, while con- Implementation of a networked intelligence-led approach currently working with prioritized affected African range at the national, regional, and transnational levels is rec- states and partner organizations in Phase 2 to build intel- ommended to: ligence system capacities over a 3- to 5-year time frame. »» Expose opportunities and vulnerabilities—and While INTERPOL is in the best position to lead the take the necessary actions to reduce vulnerabilities global response to this crisis, its current intelligence staff- and maximize opportunities; ing complement will need augmentation as outlined in »» Better inform both internal and external decision this report. making; »» Target crime “hot spots” as well as priority orga- nized crime networks, groups, and individuals for The key aims of the intelligence-led approach are: enforcement action; »» Provide future, more proactive, views for priori- Phase 1: Immediate Action—Recommendations 1 through 4 tized enforcement, conservation, and protection »» Establish and develop requisite skills and proce- action; and dures for evidence-based information and intel- »» Maximize the ability to achieve mission success. ligence collection and exploitation on elephant poaching, ivory trafficking, and interrelated crime The forthcoming UNODC Global Report on Wildlife Crime in and from Africa; will provide a strategic threat level intelligence frame- »» Generate and gather actionable intelligence on work with baseline knowledge on elephant poaching and international criminal networks and individuals ivory trafficking as well as other forms of wildlife crime. involved in ivory poaching and trafficking in and Advancing to the tactical or nominal level, a networked from Africa; criminal intelligence system capacity and governance »» Identify, disrupt, and dismantle the transnational arrangement led by INTERPOL would provide an effec- organized criminal networks involved in elephant tive response to the growing threats posed by elephant poaching, ivory trafficking, and interrelated crime poaching and ivory trafficking across African range states and trafficking in and from Africa; Elephant Crime Intelligence System Assessment xiii »» Enhance global situational awareness of these The 20 recommendations outlined in this report offer a crime types; and road map and action plan for the implementation of a »» Support INTERPOL member country–led opera- global criminal intelligence system to effectively respond tions/investigations that result in the arrests and to the current crisis facing the African elephant, as well as prosecutions of priority targeted offenders. be better prepared for the future. Phase 2: National Level Intelligence System Capac- ity Building (over 3 to 5 years)—Recommendations 1 through 16 xiv Elephant Crime Intelligence System Assessment Chapter One Introduction The United Nations Environment Programme (UNEP)/Convention on International Trade in Endangered Species of Wild Fauna and Flora/International Union for Con- servation of Nature (IUCN)/ The Wildlife Trade Monitoring Network joint Rapid Response Assessment entitled Elephants in the Dust: The African Elephant Crisis (UNEP, CITES, IUCN, TRAFFIC 2013) clearly underlines the serious and growing threats posed by elephant poaching and ivory trafficking in many range states across Africa. Data from the CITES database Monitoring the Illegal Killing of Elephants indicate an alarming increase in the number of African elephants illegally killed since 2006, with 2011 marking the highest poaching levels since the inception of MIKE in 1997. In 2006, an estimated 5,000 elephants were illegally killed at MIKE-monitored sites alone; in 2011, this figure increased by more than 300 percent to some 17,000 illegally killed elephants, representing some 7.4 percent of the total elephant population. The continentwide figure for illegally killed elephants is estimated to be more than 25,000. The annual elephant growth rate of approximately 5 percent is not able to compen- sate for this level of illegal killing. Further, data from the Elephant Trade Information System, which is managed by TRAFFIC on behalf of the CITES parties, indicate that the illegal trade in ivory has more than doubled since 2007 and is more than three times greater than it was in 1998. The sustainability of elephant populations in many African range states is now in jeopardy and is further exacerbated by weak governance, corruption, and the grow- ing involvement of transnational criminal networks involved in the illegal ivory trade chain—from localized poaching through the shipment of multihundred kilograms of illicit ivory to the underground ivory factories and final consumers. Although increased general capacity building across law enforcement and wildlife conservation agencies is necessary to respond to the growing problem, the implementation of a networked community-based intelligence system is particularly essential in moving from present reactive responses to proactive long-term, sustainable prevention strategies. Such a networked intelligence system needs to be accompanied by a governance model that would ensure the system is built on a foundation encompassing key stakeholder agen- cies, while responding to elephant crime at the local, national, regional, and transna- tional levels. Elephant Crime Intelligence System Assessment 1 Magda Lovei \ World Bank The Final Report: Elephant Crime Intelligence System Assess- and accompanying g ­ overnance model for criminal intel- ment, although a key component within the broader ligence collaboration at the national, regional, as well as World Bank–Global Environment Facility (GEF) project transnational levels, including agencies participating in entitled Fighting Against Wildlife Poaching and Illegal Trade in the gathering and analysis of information and intelligence Africa: The Case of African Elephants, underscores the press- related to elephant poaching and ivory trafficking along ing requirement to maximize the knowledge-building the full spectrum of the transnational crime chain. Within capacities that intelligence systems develop and accom- this broader context, this work has sought to provide a panying good governance can provide to more effec- thorough and credible assessment of the key requirements tively respond to elephant crime. The World Bank–GEF to design as well as implement an effective criminal intel- project encompasses a wide range of strategies in the ligence system and accompanying governance model to domains of policy- and lawmaking, demand reduction, effectively respond to the escalating threats, risks, and economics, money flows, forensics, and the focus of this harms associated with elephant poaching and ivory traf- report—criminal ­ intelligence—to effectively respond to ficking at all levels of the poaching and ivory trade chains. the illegal poaching and the trade of elephant ivory, while providing a uniquely collaborative approach to control, Currently, a robust intelligence system addressing ele- reduce, and prevent ­ elephant-related crime specifically, phant poaching and illegal trade of ivory at all phases and wildlife-related crime generally. This element of the within the intelligence process is either nonexistent or seri- project is worth underlining as elephant-related crime is ously limited in capacity (the key phases in the intelligence intricately linked with other forms of organized crime, process are planning and direction; collection; evalua- and therefore needs to be studied in this broader context. tion; collation; analysis; reporting/dissemination/action). Further, e ­lephant-related crime will be assessed within Therefore, the project examines the need for designing its full dimensions: as a crime against wildlife as well as and implementing a long-term sustainable elephant a crime that undermines strong economies, healthy and crime intelligence system and governance model as well resilient communities, and, in a broader context, the as assessing the roles and functions that key organizations good governance of those countries affected by high lev- could play at the national, regional, and international lev- els of such crime. Therefore, the principal components els within such an intelligence system and accompanying of the assessment include the designing of a framework governance model. 2 Elephant Crime Intelligence System Assessment Chapter Two Project Terms of Reference, Scope, and Methodology This report centers on seven key areas: 1.  Assessment of current national, regional, international law enforcement and intelligence capacity levels to respond to the growing threats, risks, and harms posed by elephant poaching and ivory trafficking; 2.  Elaboration of a model networked intelligence system to effectively respond to elephant-related crime; 3.  Specification of the minimum requirements to implement a networked intel- ligence system in all phases of the intelligence process and governance model: (a) Planning, Direction and Priority Setting; (b) Information and Intelligence Collection; (c) Collation—Information Management and Technologies; (d) Intelligence Analysis; (e) Intelligence Reporting and Dissemination; (f) Intelli- gence-Operations Alignment; and (g) Intelligence Evaluation and Quality As- surance; 4.  Description of the key Intelligence Asset Requirements to implement an ele- phant crime intelligence system: (a) People Assets; (b) Source Assets; (c) System Assets; and (d) Knowledge Assets; 5.  Outlining the training and development needed for Intelligence Personnel; 6.  Proposal of the strategic partnerships across local, national, regional, and in- ternational law enforcement, intelligence, governmental, nongovernmental, and other support communities (for example, academic and forensic science institutes); and 7.  Proposal of a governance model at the national, regional, and transnational levels for an effective, sustainable intelligence system. The assessment included a broad-based literature review of reports and documenta- tion on the scope and dimension of elephant poaching and ivory trafficking and intel- ligence system capacities currently in place to respond to this issue—documentation originating from the World Bank, International Criminal Police Organization, United Nations Office on Drugs and Crime, World Customs Organization, CITES, United Nations Environment Programme, government organizations, intelligence services, Elephant Crime Intelligence System Assessment 3 nongovernmental organizations (NGOs), forensic science March 2014. Stakeholder interviews in April 2014 were and academic institutes, and open source information. also conducted with all members of the International Con- Additionally, an intensive 1-week set of planning meetings sortium on Combating Wildlife Crime: United Nations was held at the World Bank, Washington, D.C., in January Office on Drugs and Crime, the Convention on Interna- 2014 to meet with key World Bank sectors, NGOs and tional Trade in Endangered Species of Wild Fauna and U.S. government agencies to explore the multidimensions Flora Secretariat, International Criminal Police Organi- of the elephant poaching and ivory trafficking intelligence zation, World Customs Organization, and the World system and governance model project and review the ini- Bank. Interviews were also conducted with members of tial project Terms of Reference (TORs). Included in the the Elephant Trade Information System, Monitoring the weeklong visit was the delivery of a half-day workshop, Illegal Killing of Elephants, and the African Elephant “The Mission, Roles and Functions of Criminal Intelli- Database. Additionally, members of nongovernmental gence,” by the project consultant to World Bank and part- organizations and wildlife advocacy organizations includ- ner organization staff. ing the World Wildlife Fund and TRAFFIC: The Wild- life Trade Monitoring Network, academic, and forensic A series of missions to African range states (including science institutes were consulted. In total, more than 125 Kenya, Zimbabwe, Uganda, South Africa) to conduct persons were interviewed in 12 countries over the project stakeholder interviews and visit field sites was made in research and analysis phases. 4 Elephant Crime Intelligence System Assessment Chapter Three Elephant Crime and Law Enforcement Context Trends in Elephant Poaching and Ivory Trafficking: Growing Organized Crime Connections The illegal killing of elephants for their ivory has persisted over the centuries—in the 1800s, the African elephant population was estimated at 26 million; today population estimates from data contained in the African Elephant Database (AED), managed by the IUCN/SSC African Elephant Specialist Group (AeSG), range from 400,00 to 600,000, as illustrated in figure 3.1 (CITES, IUCN, TRAFFIC 2013). The wide population range figure is partially attributable to the absence of population data in a number of coun- tries experiencing political conflict and weak governance and placing low priority on conducting regular population survey counts. This situation is further compounded by the migratory nature and patterns of the overall elephant population. Whereas habitat loss, human-elephant conflict, and natural deaths account for a significant percentage of the overall population decline, the recent rise in illegal poaching involving sophisti- cated transnational organized crime groups across many of the African range states has advanced the situation to a crisis point; and if the current trend line continues during the next decade, a number of range states could face extinction of the species. The joint CITES, IUCN, TRAFFIC report “Status of African Elephant Populations and Levels of Illegal Killing and the Illegal Trade in Ivory: A Report to the African Elephant Summit,” Gaborone, Botswana, December 2013, notes that elephant poach- ing and ivory trafficking started to increase again in the mid-2000s, following an easing in the 1990s, with the rate of increase jumping dramatically from 2009. The report goes on to state that the overall trend appeared to level off in 2012 compared with 2011, but at an unsustainably high level. As shown in figure 3.2 and table 3.1, the trend in proportion and the percentage of illegally killed elephants in Africa (PIKE) data from CITES Monitoring the Illegal Killing of Elephants database suggests that 15,000 elephants were illegally killed at the 42 monitored MIKE sites in 2012 (CITES, IUCN, TRAFFIC 2013). Elephant Crime Intelligence System Assessment 5 Figure 3.1. African Elephant Population 420 82 44 108 50 100 150 200 250 300 350 400 450 500 550 600 650 African elephant population estimates, thousands DEFINITE COUNT PROBABLE COUNT POSSIBLE COUNT SPECULATIVE COUNT Source: IUCN/SSC, African Elephant Specialist Group, 2013. Note: Estimates are based on various surveys methods with different levels of reliability and data quality. Values are approximated to the thousand. Figure 3.2. Trend in Proportion The estimated poaching rate of 7.4 percent in 2012 of Illegally Killed remains at an unsustainably high level, as it exceeds natu- ral population growth rates (usually no more than 5 per- Elephants in Africa, cent). Although the MIKE database is viewed as holding 2002–12 the most accurate data on the annual number of illegally Estimated PIKE killed elephants, significantly higher estimates of 35,000 1.0 PIKE is an index that measures the proportion of illegally killed elephants to the total of carcasses found. It ranges from 0.0 (no illegal to as many as 50,000 elephants illegally killed annually killings) to 1.0 (all carcases found are illegally killed elephants). are claimed by a host of organizations involved in wildlife 0.8 conservation. 0.6 The December 2013 CITES, IUCN, TRAFFIC report as well as the interview responses from specialists responsible 0.4 for the MIKE, ETIS, and AED indicate that monitoring of elephant populations, apart from a few well-monitored sites, 0.2 is sporadic and inconsistent. The low precision of most esti- mates makes it difficult to detect any immediate repercus- 0.0 sion on elephant numbers in the short term, but this does not mean that there are no changes. The report goes on to 02 03 04 05 06 07 08 09 10 11 12 20 20 20 20 20 20 20 20 20 20 20 Source: CITES Monitoring the illegal killing of Elephant, 2012. state that although it remains to be seen whether the ele- Note: PIKE values for 2012 are only for the first 6 months of the year. phant poaching and ivory trafficking situation is stabilizing, Table 3.1. Number and Weight of Large-Scale (>500 kg) Ivory Seizures by Year and Mode of Transport, 2009–13 (ETIS, November 15, 2013) Air Sea Land Total Year Number Weight Number Weight Number Weight Number Weight 2009 3 2,364 7 15,915 3 3,898 13 22,177 2010 4 6,390 6 8,035 1 616 11 15,041 2011 3 3,808 16 27,939 2 3,084 21 34,831 2012 1 601 9 17,683 3 6565 13 24,849 2013 1 797 11 31,069 6 9,808 18 41,674 Total 12 13,960 49 100,641 15 23,971 76 138,572 % 0.16 0.10 0.64 0.73 0.20 0.17 6 Elephant Crime Intelligence System Assessment Arne Hoel\World Bank it is clear that international cooperation on law enforcement 21 large-scale ivory seizures have taken place each year and public awareness is vital. Improved monitoring is also according to ETIS data. As illustrated in table 3.1, sum- essential to allow informed, evidence-based decision mak- marizing the 76 large-scale ivory seizures between 2009 ing. There is a need for continued and improved reporting and 2013 (not all data for 2013 were available at the time to the MIKE and ETIS programs, as well as improved and this report was prepared), the 41.67 metric tons of ivory more frequent monitoring of elephant populations, includ- seized in 2013 from a total of 18 seizures yielded a greater ing carcass counts wherever possible (see figure 3.3). The quantity of ivory than any previous year going back to new annual reporting requirement for CITES parties to 1989 when CITES secured an agreement among its mem- provide information on national ivory stockpiles is expected ber states to ban the international trade in ivory. Such siz- to provide much-needed information (CITES, IUCN, able seizures of ivory are clear indicators of a growing TRAFFIC 2013). presence of transnational organized crime groups and networks in the financially lucrative trade in ivory. Data from the Elephant Trade Information System, man- aged by TRAFFIC on behalf of the CITES Conference Law enforcement, wildlife, and conservation officials inter- of Parties, indicates that the illegal trade in ivory has more viewed by the consultant stated that although the poach- than doubled since 2007, and is more than three times ing of elephants across range states was African-based, greater than it was in 1998 (ETIS 2013). The joint 2013 the mid- to high-level transportation and manufacturing CITES, IUCN, TRAFFIC report cited above notes that of the raw ivory and entry into global retail markets are the frequency of large-scale ivory seizures—500 kilo- dominated by Asian-based organized crime groups and grams or more of raw or worked ivory—has increased networks. The project study noted that the vast major- significantly since 2000. ity of cases that come before the courts are at the poach- ing level, with only a small number of cases targeting the Prior to 2009, an average of five and never more than higher-level criminal organizations and networks—the seven such seizures of this magnitude occurred each year critical missing link being the absence of target-rich crimi- but, from 2009 onward, an average of 15 and as many as nal intelligence to guide enforcement action. Elephant Crime Intelligence System Assessment 7 Figure 3.3. Percentage of Illegally an organizational structure and systematic process to make Killed Elephants in sense of the disparate datasets and align the data with law enforcement crime databases to develop actionable crime Africa, 2002–11 12 control and prevention strategies. 10 Alleged Links to 8 International Terrorist Organizations Percentage 6 Offtake sustainability limit Media reports in recent years have made alleged links between the global illicit wildlife trade, in particular the 4 African ivory trade, and terrorist organizations. One study, 2 Africa’s White Gold of Jihad: al-Shabaab and Conflict Ivory, by Nir Kalron, CEO Maisha Consulting, and Andrea C ­ rosta, 0 * at reporting monitoring the illegal killing of elephants (MIKE) sites Executive Director and Co-founder, Elephant Action 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 League, two independent organizations with missions to Source: CITES Monitoring the illegal killing of E ­ lephants, 2012. Shabaab involvement in fight wildlife crime, stated that al-­ trafficking in ivory through Kenya in the period 2011–12 could account for up to 40 percent of the terrorist group’s Data Rich but operating funds (Kalron and Crosta 2012). Since the Knowledge Poor release of this report, the popular media as well as inde- pendent consulting companies and political figures have Although the assessment noted an absence of target-rich quoted the alleged “40% of terrorist operations reportedly nominal criminal information and intelligence on specific obtained through illicit wildlife trade.” The 40 ­ percent criminal networks, groups, or individuals, there is a signifi- figure could not be substantiated by any of the law cant body of information available from diverse sources enforcement agency, academic research, or NGO wild- that, if collected, evaluated, collated, and analyzed as life specialists interviewed in this project—the majority of part of the intelligence process, would assist in gaining a interviewees stated that if there was a link between terror- clearer understanding of the scope and dimension of the ist funding and wildlife crime, it would be marginal at best illicit elephant poaching and ivory trade. As examples, as there are no hard data to support such allegations. This reports from across the nongovernmental organization possible dimension of the illicit wildlife trade requires a community (TRAFFIC, World Wildlife Fund, Interna- focused, in-depth criminal intelligence analysis assessment tional Union for Conservation of Nature, and others) and to arrive at a supportable evidence-based conclusion. related databases including Monitoring the Illegal Killing of Elephants, Elephant Trade Information System and the African Elephant Database, the scientific community Key Enablers Fostering (specifically the forensic analysis of ivory DNA and iso- Wildlife Crime topes for both “hot-spot” identification and evidentiary The key enablers that foster the continued escalation in purposes), Wildlife Enforcement Networks (WENs), inter- elephant poaching and ivory trafficking include: national governmental and law enforcement community »» High levels of corruption, particularly across the reports (including United Nations Office on Drugs and political, judicial, and law enforcement sectors Crime [UNODC], CITES, the World Customs Organiza- (during the interviews, the term “khaki-collar tion, and INTERPOL), as well as media and other open crime” surfaced to describe the complicity of po- sources of information, provide a solid base of information lice, customs, military, wildlife officials, and so on); on elephant poaching and ivory trafficking trends (see for »» Weak governance and high poverty levels across a example figure 3.4). What is currently lacking, however, is number of elephant range states; 8 Elephant Crime Intelligence System Assessment Magda Lovei \ World Bank »» Limited and poor-quality wildlife, habitat, and nat- along the illicit elephant poaching and ivory trafficking ural resource management; supply chain. What is of concern about this trend is that »» Growing involvement of organized crime groups these agencies operate outside official government rules and networks attracted by the relatively low risks of law, thus further necessitating the development of and high profits driven by the demand for illegal effective intelligence systems, governance models, and ivory in consuming countries. operational response capacities within recognized gov- ernmental structures at all levels. Additionally, there are Capacity to Respond numerous nongovernmental organizations working in the area of wildlife conservation (for example, TRAFFIC and The current capacity of governmental agencies and orga- WWF) that possess valuable information and intelligence nizations to respond to the growing threat levels posed that could partner with governmental agencies to more by organized elephant poaching and illicit ivory traffick- effectively respond to the growing threat levels. ing crime and related criminal networks, whether at the national, regional, or transnational level, is severely lim- ited at best. A result of the inadequacy of governmen- As individual nations as well as regional and transna- tal agencies to effectively respond to the growing crisis tional organizations currently possess limited to nonexist- situation (whether from legitimate capacity shortfalls, ent capacities to respond to the growing threat levels, the intelligence gaps, corruption, and so on) has been the pro- author proposes that a networked intelligence-led strategy liferation of private entities that advertise themselves as at all levels (national, regional, and transnational) would “intelligence and investigative” agencies for hire to gather provide a model that could effectively control, reduce, intelligence, run confidential human sources, conduct and, more important, prevent the wholesale slaughter into undercover operations, and follow-through with opera- extinction of the African elephant population within the tions targeting poachers and organized crime members next decade. Elephant Crime Intelligence System Assessment 9 Figure 3.4. Illegal Ivory Trafficking Routes 10 Elephant Crime Intelligence System Assessment Chapter Four Intelligence to Enforcement Action: A Networked Elephant Crime Intelligence System It takes a network to defeat a network. The conclusion reached following the assessment of range state, regional, and trans- national law enforcement abilities and capacities to effectively respond to the growing threats posed by elephant poaching and ivory trafficking, and by extension all forms of serious and organized crime, is that no one agency at any level is able to effectively accomplish this mission. One step above the supply-level poaching of elephants is a complex spider’s-web matrix of criminal networks controlling the warehousing of multihundred kilogram ivory stockpiles through to the supply chain transportation and final routing to the global consumer markets. It is thus crucial that the multiplicity of agencies working at controlling, reducing, and ultimately preventing the escalating slaughter of the African elephant increasingly network to start to level the playing field. The current strategy promoted by the UNODC in “networking the networks” to more effectively respond to interregional drug control has a direct application to build- ing intelligence systems in response to the growing threats posed by elephant poaching and ivory trafficking (UNODC 2013a, 2013b). Intergovernmental/Transnational Organizations and Networks As the intelligence capacity building at both the national and regional levels will require a minimum 3- to 5-year investment and the threat levels for elephant poaching and ivory trafficking are trending upward toward potential species extinction within a decade in some range states, more immediate action is required to respond to the growing threat levels. There is a consensus viewpoint held by all the partner agencies within the International Consortium on Combating Wildlife Crime, and supported by the key law enforcement agencies at both the national and regional levels, that the ICCWC agencies, working with other transnational partner ­ organizations and Elephant Crime Intelligence System Assessment 11 Figure 4.1. Governance Model: Intelligence System Architecture—Transnational, Regional, and National Levels ICCWC Forensic science/ Academic institutes Parks & wildlife NGOs service WENs National INTERPOL customs UNODC authority CITES NCB Other Gov’ t National agencies police Other government service Designated agencies: National / Provincial National defense, prosecutors INTERPOL National security magistrates SRBs Revenue agency- Europol asset forfeiture RILOs World WCO Community groups Bank INTERPOL national and regional networks, could form an opera- reducing poaching and ivory trafficking. To put this tional alliance to effectively target the mid- to top-level intelligence-led enforcement strategy in place, a number criminal organizations and networks that control the capacity-building initiatives are required as outlined in of ­ criminal markets surrounding elephant poaching and Phase 1, Recommendations 1 through 4 below. ivory trafficking. Regional Systems As illustrated in figure 4.1, the ICCWC partner agen- cies would act as the governing body of the operational and Networks ­ alliance, with the INTERPOL General Secretariat, as The regional-level governance was described by the spec- the organization that unites the global law enforcement trum of national, regional, and transnational organiza- community, acting as the lead agency strengthened by the tions as an essential building block and linkage mechanism intelligence and operational support from the WCO and between both national agencies and the transnational com- CITES, and knowledge sharing and capacity building munity. However, the consensus view is that the regional from the UNODC and World Bank as well as the WCO level is at present the “weakest link in the chain.” Although and CITES. a number of regional-level agencies and networks have higher-capacity levels (organizations such as Europol, The INTERPOL-led intelligence system and operational based in The Hague, Netherlands; the Lusaka Agree- response, by focusing on the major criminal organiza- ment Task Force [LATF], based in Nairobi, Kenya; the tions and networks that control elephant poaching and Association of Southeast Asian Nations [ASEAN] Wild- ivory trafficking, would be aimed at disrupting or dis- life Enforcement Network, based in Bangkok, Thailand; mantling the major organized crime groups, effectively and WCO Regional Intelligence Liaison Offices [RILOs] 12 Elephant Crime Intelligence System Assessment were cited), the majority of regional-level entities were seen to elephant poaching and ivory trafficking, in conjunc- as lacking capacity to contribute to either intelligence- or tion with the interrelated organized crime activities, and enforcement-related initiatives. received broad support across national, regional, and transnational law enforcement agencies and partner com- As illustrated in figure 4.1, the network partners at the munities, is illustrated in figure 4.1. The national level regional level would include the community of Wildlife governance model, which has the National Police Service ­ Enforcement Networks, WCO’s Regional Intelligence as the central and lead agency within a network of agen- Liaison Offices, INTERPOL Regional Bureaus, Europol, cies, would include a network of agencies including the other government agencies, forensic and academic National Customs Authority, Parks and Wildlife Service, institutes, nongovernmental organizations, and other Revenue Agency–Asset Forfeiture, dedicated National community groups as required. At the regional level, Prosecutors/Magistrates, INTERPOL National Cen- organizations are, in the aggregate, seen as the “weak link tral Bureaus (NCBs), and other agencies/departments in the chain,” while at the same time being critical to a as required (for example, National Defense, National strong networked, community-based response to elephant Security). The one caveat in this model was the need to poaching, ivory trafficking, and the wider spectrum of strengthen the intelligence capacity across key agencies crime. This is an area that requires a level of investment operating at the national level where capacity levels were in strengthening the capacities of the key regional-level either weak or nonexistent. It is estimated that it would organizations. As with the national-level agency capacity take a minimum of 3 to 5 years to strengthen the intel­ building, strengthening regional-level intelligence capaci- ligence capacity levels of key national-level law enforce- ties should be seen as a multiyear investment. ment agencies following the intelligence system and intelligence asset recommendations contained within this National Systems assessment report. and Networks Although park and wildlife service authorities across range Recommendation No. 1 states have a central mandate to respond to the threats The ICCWC should form an operational alliance to act as posed by elephant poaching and ivory trafficking, they are the governance body to set up an INTERPOL-led intelli- by and large ill-equipped to respond as individual agen- gence system and operational response to control, reduce, cies to the threats. This was reinforced by the range state and prevent elephant poaching and ivory trafficking in park and wildlife authorities that had intelligence systems African range states as well as across the global supply in place, albeit rudimentary, in their consensus view that chain—from poaching to transit to retail ivory markets. national police agencies would be best equipped to lead in Based on the assessment of current ICCWC partner a collective response to this escalating criminal enterprise. agency capacity levels, the following capacity enhance- As the elephant poaching and ivory trade was described ments would build a more effective response capacity: by the spectrum of law enforcement agencies and the wider partner agency community as enmeshed within INTERPOL General Secretariat acts as the lead organi- the broad spectrum of criminal enterprise—including zation within the ICCWC governance model in the the drug trade, weapons trafficking, human smuggling, development of a comprehensive law enforcement strat- and money laundering—the capacities of national police egy aimed at identifying and dismantling the criminal agencies that have broader mandates to respond to a networks controlling the global illicit elephant poach- wider range of serious and organized crime is essential to ing and ivory trade. The strategy, based on the body of achieving any degree of success in future in controlling, recommendations contained in this report, will allow for reducing, and preventing these crimes. evidence-based information and intelligence collection from the kill and seizure sites and subsequent exploitation The governance model architecture at the national level and analysis of it. This will assist law enforcement at the that was seen as being best-equipped to effectively respond transnational, regional, and national levels, in the course Elephant Crime Intelligence System Assessment 13 of INTERPOL-supported operations and investigations, positions, one project manager,1 and two project better understand how the organized crime networks and support positions—for a total of 15 new dedicated key players within networks operate. Importantly, INTER- intelligence positions that would provide a core ca- POL is uniquely mandated to help law enforcement agen- pacity for a dedicated intelligence system to more cies in Africa and other relevant regions fill this critical effectively respond to the growing threats posed by gap. Through its General Secretariat in Lyon (IPSG); its criminal networks involved in elephant poaching regional bureaus (RBs) in Southern Africa (Harare), East and ivory trafficking at the transnational, regional, Africa (Nairobi), Central Africa (Yaoundé), and West and national levels; Africa (Abidjan); its South East Asia liaison office in Bang- »» As the ICCWC does not have core funding for its kok (LOBANG); the INTERPOL Global Complex for five representatives to participate in ICCWC meet- Innovation (IGCI) due to open in Singapore later in 2014; ings and activities, a core funding budget for ICC- as well as its network of National Central Bureaus—in WC representatives is necessary—this will become 190 member countries—INTERPOL is strategically increasingly required should the ICCWC become placed to coordinate and support such a transnational law the governing body of a newly created ICCWC in- enforcement network of networks. The aims would be to: telligence system and operational response to more »» Establish and develop requisite skills and proce- effectively respond to the growing threats posed by dures for evidence-based information and intel- elephant poaching and ivory trafficking. ligence collection and exploitation on elephant poaching, ivory trafficking, and interrelated crime Recommendation No. 2 in and from Africa; With the support and commitment to fund Recommen- »» Generate and gather actionable intelligence on dation No. 1, the INTERPOL General Secretariat, with international criminal networks and individuals assistance from the ICCWC partner organizations, should involved in ivory poaching and trafficking in and develop a multiphase Action Track and Implementation from Africa; Plan based on the four core intelligence system assets (peo- »» Identify, disrupt, and dismantle the transnational ple, sources, systems, and knowledge) to strengthen exist- organized criminal networks involved in elephant ing and implement new intelligence systems and networks poaching, ivory trafficking and interrelated crime to more effectively respond to the growing threats posed and trafficking in and from Africa; by elephant poaching and ivory trafficking at the national, »» Enhance global situational awareness of these regional, and transnational levels as outlined in the body crime types; and of recommendations contained in this assessment report. »» Support member country-led operations/investi- gations that result in the arrests and prosecutions of priority targeted offenders. Recommendation No. 3 Following the development of the multiphase Action To achieve the aims of the strategy, the following intel- Track and Implementation Plan outlined in Recommen- ligence resources and funding support are required: dation No. 2, a select number of national-level “pilot test” »» INTERPOL General Secretariat’s Environmen- sites should be launched to advance the development of tal Security Sub-Directorate’s limited intelligence intelligence-led elephant poaching and ivory trafficking staff (that is, one dedicated intelligence analyst ­ focused on both elephant- and rhino-related issues) 1  The position of Project Manager is critical to the successful implementation of the overall ICCWC INTERPOL-led intelligence systems and operations capac- be augmented by five intelligence analysts, five in- ity enhancement and requires extensive experience and knowledge of criminal telligence officers, two information management- intelligence systems development and implementation within law enforcement information technologies and quality assurance organizations at the national, regional, and transnational levels. 14 Elephant Crime Intelligence System Assessment control strategies. Based on the preconditions that there is national levels (in each of the selected pilot test countries) high-level government support for such an initiative and to implement the multiphase Action Track and Imple- an ability to develop an accord among the core agencies mentation Plan outlined in Recommendation No. 2. required to build a strong “network of networks” across The Recommendations contained in this report provide national, regional as well as transnational boundaries, a logical starting point as well as a road map to achieve following is a list of countries that are recommended as this objective. As the full implementation of the proposed potential pilot test sites to launch networked intelligence organizational structures, governance model, and intel- systems: ligence systems processes forms a multiyear undertaking »» Kenya (minimum of 3 to 5 years), strong and sustainable lead- »» Uganda ership at all levels is essential. Additionally, to ensure »» South Africa ongoing progress is being made on all key project areas »» Gabon within the Action Track and Implementation Plan, an »» Botswana independent evaluation of the status of Action Track and Implementation Plan advancements should be built into the Interpol-led governance model at regular intervals (for Recommendation No. 4 example, annual evaluations would ensure any obstacles Implementation Teams will need to be established at the to successful implementation are addressed in a timely transnational level (INTERPOL General Secretariat), manner and adjustments are made as required to ensure regional levels (INTERPOL Regional Bureaus), and at successful implementation at all levels). Elephant Crime Intelligence System Assessment 15 Chapter Five Conclusions and Recommendations The implementation of a networked criminal intelligence system within the mission of the International Consortium on Combating Wildlife Crime led by INTERPOL, as outlined in this report, would provide an effective response to the growing threats posed by elephant poaching and ivory trafficking across African range states as well as along the global supply chain countries. The proposed intelligence-led enforcement model employs a “network of networks” architecture to form effective partnerships and capacity building based on shared principles. The effective implementation of a networked criminal intelligence system at the national, regional, and transnational levels requires committed and visionary leader- ship at all levels. The recommendations outlined in this report offer a road map and action plan for the implementation of a global criminal intelligence system and gov- ernance model to effectively respond to the current crisis facing the African elephant as well as better preparation for the future. I would like to conclude this report with the words of Dr. Dame Daphne Sheldrick, DBE, of the David Sheldrick Wildlife Trust: “Saving wildlife and wilderness is the responsibility of all thinking people. Greed and personal gain must not be permitted to decimate, despoil and destroy the earth’s irreplaceable treasure for its existence is essential to the human spirit and well-being of the earth as a whole. All life has just one home—the earth—and we as the dominant species must take care of it.” Recommendations: Phase 1—Immediate Action Recommendation No. 1 The ICCWC forms an operational alliance to act as the governance body to set up an INTERPOL-led intelligence system and operational response to control, reduce, and prevent elephant poaching and ivory trafficking in African range states as well as across the global supply chain—from poaching to transit to retail ivory markets. Based on the assessment of current ICCWC partner agency capacity levels, the following capacity enhancements would build a more effective response capacity: Elephant Crime Intelligence System Assessment 17 INTERPOL General Secretariat should act as the lead To achieve the aims of the strategy, the following intel- organization within the ICCWC governance model in ligence resources and funding support is required: the development of a comprehensive law enforcement »» INTERPOL General Secretariat’s Environmen- strategy aimed at identifying and dismantling the crimi- tal Security Sub-Directorate’s limited intelligence nal networks controlling the global illicit elephant poach- staff (that is, one dedicated intelligence analyst fo- ing and ivory trade. The strategy, based on the body of cused on both elephant- and rhino-related issues) recommendations contained in this report, will allow for be augmented by five intelligence analysts, five in- evidence-based information and intelligence collection telligence officers, two information management- from the kill and seizure sites and subsequent exploitation information technologies and quality assurance and analysis of it. This will assist law enforcement at the positions, one project manager,2 and two project transnational, regional, and national levels, in the course support positions—for a total of 15 new dedicated of INTERPOL-supported operations and investigations, intelligence positions which would provide a core better understand how the organized crime networks capacity for a dedicated intelligence system to more and key players within networks operate. Importantly, effectively respond to the growing threats posed by INTERPOL is uniquely mandated to help law enforce- criminal networks involved in elephant poaching ment agencies in Africa and other relevant regions fill and ivory trafficking at the transnational, regional, this critical gap. Through its General Secretariat in Lyon and national levels; (IPSG); its regional bureaus (RBs) in Southern Africa »» As the ICCWC does not have core funding for its (Harare), East Africa (Nairobi), Central Africa (Yaoundé), five representatives to participate in ICCWC meet- and West Africa (Abidjan); its South East Asia liaison ings and activities, a core funding budget for ICC- office in Bangkok (LOBANG); the INTERPOL Global WC representatives is necessary—this will become Complex for Innovation (IGCI) due to open in Singapore increasingly required should the ICCWC become later in 2014; as well as its network of National Cen- the governing body of a newly created ICCWC in- tral Bureaus—in 190 member countries—INTERPOL telligence system and operational response to more is strategically placed to coordinate and support such a effectively respond to the growing threats posed by transnational law enforcement network of networks. The elephant poaching and ivory trafficking. aims would be: »» Establish and develop requisite skills and proce- Recommendation No. 2 dures for evidence-based information and intel- With the support and commitment to fund Recommenda- ligence collection and exploitation on elephant tion No. 1, INTERPOL General Secretariat, with assis- poaching, ivory trafficking, and interrelated crime tance from the ICCWC partner organizations, should in and from Africa; develop a multiphase Action Track and Implementation »» Generate and gather actionable intelligence on Plan based on the four core intelligence system assets (peo- international criminal networks and individuals ple, sources, systems, and knowledge) to strengthen exist- involved in ivory poaching and trafficking in and ing and implement new intelligence systems and networks from Africa; to more effectively respond to the growing threats posed »» Identify, disrupt, and dismantle the transnational by elephant poaching and ivory trafficking at the national, organized criminal networks involved in elephant regional, and transnational levels as outlined in the body poaching, ivory trafficking, and interrelated crime of recommendations contained in this assessment report. and trafficking in and from Africa; »» Enhance global situational awareness of these crime types; and 2  The position of Project Manager is critical to the successful implementation of the overall INTERPOL-led intelligence systems and operations capacity »» Support member country–led operations/investi- enhancement and requires extensive experience and knowledge of criminal gations that result in the arrests and prosecutions intelligence systems development and implementation within law enforcement of priority targeted offenders. organizations at the national, regional, and transnational levels. 18 Elephant Crime Intelligence System Assessment Recommendation No. 3 Recommendations: Following the development of the multiphase Action Track and Implementation Plan outlined in Recommen- Phase 2—During a Period dation No. 2, a select number of national-level “pilot test” of 3 to 5 Years3 sites should be launched to advance the development of Recommendation No. 1 intelligence-led elephant poaching and ivory trafficking An Integrated Intelligence–Operations Council (IIOC) control strategies. Based on the preconditions that there should be established at national levels to ensure that intel- is high-level government support for such an initiative ligence and enforcement are integrated into a single coor- and an ability to develop an accord among the core agen- dinated intelligence-led response, thus ensuring a more cies required to build a strong “network of networks” strategic, proactive approach in responding to the threats, across national, regional, and transnational boundaries, risks, and harms posed by elephant poaching and ivory following is a list of countries that are recommended as trafficking (as well as the wider spectrum of serious and potential pilot test sites to launch networked intelligence organized crime). A Guidance Advice document should be systems: prepared to aid the effective implementation of the IIOCs. »» Kenya »» Uganda »» South Africa Recommendation No. 2 Intelligence Services across range states should be estab- »» Gabon lished (where not already in place), having a dedicated »» Botswana cadre of Intelligence Officers. Recommendation No. 4 Recommendation No. 3 Implementation Teams will need to be established at A national standard Intelligence Collection Plan and the transnational level (INTERPOL General Secre- Information/Intelligence Evaluation Report Form should tariat), regional levels (INTERPOL Regional Bureaus), be developed and implemented for use by all range state and at national levels (in each of the selected pilot test Intelligence Officer staff. Existing reporting models cur- countries) to implement the multiphase Action Track rently exist within the wider intelligence community (that and Implementation Plan outlined in Recommendation is, 5X5X5 system developed for the UK National Intelli- No. 2. The Recommendations contained in this report gence Model) that could be easily modified for range state provide a logical starting point as well as road map to requirements. achieve this objective. As the full implementation of the proposed organizational structures, governance model, Recommendation No. 4 and intelligence systems processes forms a multiyear Develop a comprehensive Information Management undertaking (minimum 3 to 5 years), strong and sustain- Strategy and accompanying Standard Operating Proce- able leadership at all levels is essential. Additionally, to dures (SOPs) to ensure national, regional, and transna- ensure ongoing progress is being made on all key proj- tional consistency in the overall collection, collation, and ect areas within the Action Track and Implementation management of information and intelligence across the Plan, an independent evaluation of the status of Action multiplicity of agencies responding to the threats posed by Track and Implementation Plan advancements should be elephant poaching and ivory trafficking (as well as the full built into the governance model at regular intervals (for spectrum of threats posed by serious and organized crime). example, annual evaluations would ensure any obstacles to successful implementation are addressed in a timely 3  See appendix B, Assessment of National Level Intelligence Systems and manner and adjustments are made as required to ensure Intelligence Needs in Select Range States, for background on the Phase 2 successful implementation at all levels). ­recommendations. Elephant Crime Intelligence System Assessment 19 Recommendation No. 54 regional, and transnational policies, standards, and secu- Develop standards for Information Technologies and rity requirements. Analytical Tools for use by Intelligence Services at the national, regional, and transnational levels. Recommendation No. 10 Establish a national Intelligence Requirements Manage- Recommendation No. 6 5 ment System—a database set up to track all finished intel- Establish Intelligence Services across range states (where ligence assessments with the client base that received the not already in place) having a dedicated cadre of Intel- assessments to measure client satisfaction levels and qual- ligence Analysts. ity assurance in reference to the value-added and utility of the intelligence products and services. Recommendation No. 76 National standards for intelligence assessment formats Recommendation No. 11 should be established for the range of intelligence prod- Develop a national Human Resource Strategy for all three ucts produced by range state, regional and transnational categories of intelligence service specialists (intelligence intelligence services–strategic, tactical, early warning officers, intelligence analysts, and information manage- product lines. ment/information technology/quality assurance special- ists) to ensure recruitment of qualified candidates that meet the core competencies of each category of employee. Recommendation No. 8 The HR Strategy should also focus on employee reten- Develop a national distribution system aligned to key part- tion as well as career training and development. Thus, the ner community organizations at the national, regional, HR Strategy should include Work Descriptions for each and transnational levels. of the three core categories of intelligence staff; Com- petency Profiles for each of the three core categories of Recommendation No. 9 intelligence staff; a Training and Development Strategy Establish an Intelligence Review Board process at the for Intelligence Staff together with Training Templates national, regional, and transnational levels to ensure for each of the three core categories of intelligence staff. all finished intelligence assessments adhere to national, Recommendation No. 12 Develop Human Source Development Policy and Stan- 4 The global criminal intelligence community (including INTERPOL, Europol, dard Operating Procedures together with a Training Pro- and a number of range states visited in the project), although not having for- gram for Intelligence Officer staff to ensure maximum mal standards (that is, ISO standards) in place for Information Technology and exploitation of confidential human source information as Analytical Tools, is employing the IBM i2 suite of products, including Analyst’s a key Source Asset within range state intelligence services. Notebook, iBase, and IntelliShare for criminal network analysis, event chart- ing, pattern recognition, database needs, and intelligence sharing. The critical element is not the requirement for all intelligence services and partner agen- cies to employ the same information technology tools, but that the individual Recommendation No. 13 databases are able to share information assets across platforms, thus enabling Develop an Intelligence Service Orientation Guide to ensure all aggregate datasets and an ability to perform more holistic analyses. staff have the requisite knowledge to effectively carry out 5  A more detailed discussion related to intelligence analyst requirements is con- their duties in an effective and efficient manner from the tained in appendix A under People, Source, System, and Knowledge Assets. 6  This recommendation aligns with Recommendation No. 4 regarding the initial date they sign on. The orientation guide will also development of a comprehensive Information Management Strategy and ensure that all staff have a consistent and comprehensive accompanying Standard Operating Procedures to ensure national, regional, understanding of all required organizational policy, direc- and transnational consistency in the overall collection, evaluation, collation, and tives, SOPs, and infrastructure that affect their position as management of information and intelligence across the multiplicity of agencies responding to the threats posed by elephant poaching and ivory trafficking (as well as their colleagues within the Intelligence Service and well as the full spectrum of threats posed by serious and organized crime). wider partner community organizations. 20 Elephant Crime Intelligence System Assessment Recommendation No. 14 career development program. Professional associations in Develop an Intelligence Service Code of Practice to outline to this domain include the International Association of Law all intelligence staff the basic principles and minimum Enforcement Intelligence Analysts (IALEIA); the Associa- common standards for an effective Intelligence Service; tion of Law Enforcement Intelligence Units (LEIU); the promote compatibility of procedures and terminology International Association of Crime Analysts (IACA); and for the Intelligence Service; clarify the responsibilities of the International Association for Intelligence Education all core intelligence staff; ensure that observance of these (IAFIE). principles and the standards for implementation results in a systematic program of continuous development of intel- Recommendation No. 16 ligence policy, practice, and capability; and identify and Develop a Global Partnership Strategy across national, promulgate good practice across the wider intelligence regional, and transnational law enforcement agencies, and partner community. networks, and partner communities to break down exist- ing barriers to open communications and enhance wild- Recommendation No. 15 life intelligence, enforcement, and prevention. Develop a comprehensive training and career develop- ment program for Intelligence Service staff. As a first step, As the full implementation of the proposed organizational existing training and career development programs across structures, governance model, and intelligence systems the wider intelligence community should be explored processes forms a multiyear undertaking (minimum of 3 and evaluated for applicability within wildlife crime, as to 5 years), strong and sustainable leadership at all lev- well as a broader serious and organized crime, context. els is essential. Additionally, to ensure ongoing progress This could include programs offered by established best- is being made in all key project areas within the Action practice criminal intelligence programs that are currently Track and Implementation Plan, an independent evalu- operating in Europe, Australia–New Zealand, Asia, and ation of the status of Action Track and Implementation North America. Plan ­ advancements should be built into the governance evaluations model at regular intervals (for example, annual ­ Additionally, staff membership in professional intelli- would ensure any obstacles to successful implementation gence associations to enhance knowledge levels, career are addressed in a timely manner and adjustments are development, and professional certification should be an made as required to ensure successful implementation at integral component of any comprehensive training and all levels). Robert C. Fahlman Elephant Crime Intelligence System Assessment 21 References ACPO (Association of Chief Police Officers). 2005. Guidance on the National Intelligence Model. Wyboston, Bedfordshire, UK: National Centre for Policing Excellence. ———. 2007. Practice Advice: Introduction to Intelligence-Led Policing. Wyboston, Bedford- shire, UK: National Centre for Policing Excellence. Andrews, Paul P., Jr., and Peterson, Marilyn B. 1990. Criminal Intelligence Analysis, Loomis, CA: Palmer Enterprises. ­ Aquilla, John, and Ronfeldt, David, eds. 2001. Networks and Netwars. Santa Monica, CA: RAND. Bergenas, Johan. 2013. Killing Animals, Buying Arms: Setting the Stage for Collaborative Solu- tions to Poaching & Wildlife Crime. Washington, DC: Stimson Center. Christy, Brian. 2012. “Ivory Worship: Investigative Report.” National Geographic, October. CITES Website. 2014. http://www.cites.org. CITES, IUCN, TRAFFIC. 2013. “Status of African Elephant Populations and Levels of Illegal Killing and the Illegal Trade in Ivory: A Report to the African Elephant Summit,” December, Gaborone, Botswana. CISC (Criminal Intelligence Service Canada). 2007a. Integrated Threat Assessment Method- ology, Version 1.0. Ottawa, Ontario, Canada: Criminal Intelligence Service Canada. ———. 2007b. Strategic Early Warning for Criminal Intelligence: Theoretical Framework and Sen- tinel Methodology. Ottawa, Ontario, Canada: Criminal Intelligence Service Canada. Dintino, Justin J., and Martens, Frederick T. 1983. Police Intelligence Systems in Crime ­Control. Springfield, IL: Charles C. Thomas. ETIS (Elephant Trade Information System). 2013. “Interpretation and Implementa- tion of the Convention: Species Trade and Conservation: Elephants: Monitoring of Illegal Trade in Ivory and Other Elephant Specimens.” Paper presented at the sixteenth meeting of the Conference of the Parties. Bangkok, Thailand. Fahlman, Robert C. 1998. “Intelligence-Led Policing and the Key Role of Criminal Intelligence Analysis: Preparing for the 21st Century.” In INTERPOL: 75 Years of International Police Co-operation. Lyon, France: IPSG. Home Office, United Kingdom. 2007. Delivering Safer Communities: A Guide to Effective Partnership Working. London: Home Office, Police and Crime Standards Directorate. INTERPOL General Secretariat. 2014. Elephant Poaching and Ivory Trafficking in East Africa: Assessment for an Effective Law Enforcement Response, February 17. Lyon, France: INTERPOL, Environmental Security Sub-Directorate, IPSG. INTERPOL Website. 2014. http://www.interpol.int Jackmann, Hugh. 2013. Status Report: The African Elephant, Conservation Issues and Main Actors, November. Hertfordshire, UK: Evidence on Demand. Kalron, Nir, and Crosta, Andrea. 2012. Africa’s White Gold of Jihad: al-Shabaab and Con- flict Ivory. Los Angeles, CA: Elephant Action League. Kaplan, Robert S., and Norton, David P. 1996. The Balanced Scorecard: Translating Strat- egy into Action. Cambridge, MA: Harvard Business School Press. ———. 2000. The Strategy-Focused Organization: How Balanced Scorecard Companies Thrive in the New Business Environment. Cambridge, MA: Harvard Business School Press. Elephant Crime Intelligence System Assessment 23 McDonald, William F., ed. 1997. Crime and Law Enforcement in the Global Village. Cincinnati, OH: Anderson. ­ McDowell, Don. 1997. Wildlife Crime Policy and the Law. Canberra, Australia: Australian Government Publishing Service. Peterson, Marilyn B., et al. 1996. Successful Law Enforcement Using Analytical Methods. South Florida, FL: IALEIA. Peterson, Marilyn B. 1998. Applications in Criminal Analysis: A Sourcebook. New York: Praeger. Rademeyer, Julian. 2012. Killing for Profit: Exposing the Illegal Rhino Horn Trade. Cape Town, South Africa: Zebra Press. Ratcliffe, Jerry H., ed. 2008. Intelligence-Led Policing. Cullompton, Devon, UK: Willan. ———. 2009. Strategic Thinking in Criminal Intelligence. 2nd ed. Sydney, Australia: The Federation Press. Sparrow, Malcolm. 2008. The Character of Harms: Operational Challenges in Control, Cambridge: Cambridge University Press. ­ Tusikov, Natasha, and Fahlman, Robert C. 2009. “Threat and Risk Assessments.” In Strategic Thinking in Criminal Intelligence, 2nd ed., edited by Jerry H. Ratcliffe. Sydney, Australia: The Federation Press. UNDP. 1977. Governance for Sustainable Human Development. NY. UNED/CITES/IUCN/TRAFFIC. 2013. Elephants in the Dust: The African Elephant ­Crisis. A Rapid Response Assessment. UNODC (United Nations Office on Drugs and Crime). 2009. Transnational Trafficking and the Rule of Law in West Africa: A Threat Assessment, July. Vienna, Austria: UNODC. ———. 2010a. The Globalization of Crime: A Transnational Organized Crime Threat Assess- ment. Vienna, Austria: UNODC. ———. 2010b. The SOCTA Handbook: Guidance on the Preparation and Use of Serious and Organized Crime Threat Assessments. Vienna, Austria: UNODC. ———. 2011. Organized Crime and Instability in Central Africa: A Threat Assessment. ­October. Vienna, Austria: UNODC. ———. 2013a. Transnational Organized Crime in Eastern Africa: A Threat Assessment, September. Vienna, Austria: UNODC. ­ ———. 2013b. Transnational Organized Crime in West Africa: A Threat Assessment, February. Vienna, Austria: UNODC. UNODC Website. 2014. http://www.unodc.org. United Nations Office on Drugs and Crime and International Consortium on Combating Wildlife Crime. 2013. Wildlife and Forest Crime Toolkit. Rev. ed. Vienna, Austria: UNODC. Vira, Varun, and Ewing, Thomas. 2014. Ivory’s Curse: The Militarization & Profession- alization of Poaching in Africa, April. Washington, DC: c4ads and Born Free USA. Walsh, Patrick F. 2011. Intelligence and Intelligence Analysis. Abingdon, UK: Routledge. White House. 2014. National Strategy for Combating Wildlife Trafficking. Washington, DC: The White House. World Bank Website. 2014. http://www.worldbank.org. World Bank. 2014. Enforcing Environmental Laws for Strong Economies and Safe Communities, Agriculture and Environmental Services. Washington, DC: World Bank. World Customs Organization Web Site. 2014. http://www.wcoomd.org. Wright, Richard, ed. 2011. Criminal Intelligence for the 21st Century. Richmond, VA: Asso- ciation of Law Enforcement Intelligence Units (LEIU) and International Associa- tion of Law Enforcement Intelligence Analysts (IALEIA). 24 Elephant Crime Intelligence System Assessment Appendix A Intelligence System Building Blocks The following section highlights the role of intelligence telligence priorities, which are established at the in natural resource law enforcement and the principal transnational, regional, and national levels. requirements necessary to build and implement a criminal 2.  Centralized Management and Coordina- intelligence system and governance model to effectively tion—The intelligence process must be centrally respond to the growing threats posed by elephant poach- managed and coordinated at the transnational, ing and ivory trafficking at all levels of the supply chain. regional, and national levels to avoid unnecessary duplication of effort, foster mutual support, and Intelligence as a Building ensure the most effective and efficient utilization Block for Greater of human, financial, and materiel resources. 3.  Responsiveness/Satisfaction—Intelligence Effectiveness service delivery must at all times be responsive to The advent of intelligence-led policing in the 1990s, and the operational and strategic needs of the user. the more systematic employment of strategic and tactical Support to users must be anticipatory and precise intelligence, has provided the tools with which law enforce- and intelligence staff must be capable of respond- ment can level the playing field and more effectively con- ing both rapidly and flexibly to changing opera- trol and prevent organized crime from gaining a stronger tional needs and redirecting intelligence collection foothold in society. The focus of this section centers on the and analysis efforts accordingly. application of both strategic and tactical intelligence as 4.  Responsibility to Share—All available infor- effective tools with which to control, reduce, and prevent mation and intelligence are both “owned” and organized crime—and more specifically, wildlife-related “used” by the intelligence community and not in- organized crime. dividual units or individuals and therefore must be placed on corporate records management and The effective management of crime is dependent on a intelligence databases. Accordingly, all informa- professional criminal intelligence capacity and under- tion and intelligence must be readily available to standing that the primary purpose of intelligence is to intelligence staff as well as to users. Information ensure effective operations against organized crime with and intelligence are of no value if not dissemi- the aim of controlling, reducing, and ultimately prevent- nated or accessible in a timely manner to those ing the threats and harms posed by crime on society. who need it. 5.  Source Protection/Security of Informa- Intelligence Principles, tion—In the collection of information or the Categories, & dissemination of intelligence, both sources and Benchmarking methods must be properly protected to avoid compromise and subsequent loss of future col- Intelligence Principles lection capability. The security of information An effective criminal intelligence program should be gov- for both storage and dissemination must be in erned by nine basic principles: alignment with respective organizational security 1.  Planning & Direction—Intelligence support protocols. needs to be focused toward achieving clearly de- 6.  Objectivity—Any temptation to distort intelli- fined operational and strategic outcomes. This is gence to fit preconceived ideas must be resisted; accomplished through systematic planning and the integrity and credibility of the intelligence direction to achieve targeted operational and in- program depend on it. Elephant Crime Intelligence System Assessment 25 7.  Lawful—Information and intelligence are col- BOX A.1. Strategic and Tactical lected, stored, used, and shared lawfully. Intelligence Forms 8.  Ethical—Intelligence staff adhere to the highest ethical principles in carrying out their day-to-day Strategic Intelligence Largely a management tool, strategic intelligence attempts duties. to provide an overview of the scope and dimension of 9.  Continual Improvement & Innovation— criminal activity to assist in policy development aimed at Intelligence staff must continually review prac- providing effective crime control and prevention strategies tices, procedures and processes and embrace to deal with the overall costs and effects of crime on soci- innovation to ensure that changes in the oper- ety. Strategic intelligence permits the initiation of plans of ating environment and user requirements are action on a long-term basis against emerging crime rather accommodated. than reacting—after the fact—to individual criminal acts. Strategic intelligence is able to go well beyond what tacti- cal intelligence can provide; it takes a longer, broader view Strategic and Tactical of what is, what has been, and, by so doing, forecasts what Intelligence: Techniques might be. Strategic intelligence does not compete with tac- and Applications tical intelligence; rather, these two forms of intelligence complement each other, but at different levels within the Crime in the 21st century, more than in any previous era, law enforcement organization. can be characterized by two fundamental elements: it has become global and is constantly evolving. Thus, the Tactical Intelligence capacity of law enforcement or government—whether Principally an investigative tool, tactical intelligence is the support given by analysts and intelligence officers to at the national, regional, or transnational level—will, to operational sections or investigators during the course of a large extent, be dependent on its ability to adapt on a an active investigation. Normally directed at short-term continuing basis to a constantly changing environment. objectives, its direct application has a focus on more imme- To deal more effectively with the threats, risks, and harms diate impacts, such as arrest, seizure, and forfeiture. Its posed by organized crime on society, law enforcement direct application to an active operation leads to better pri- will need to employ more sophisticated intelligence sys- oritization of cases for maximum enforcement effectiveness against criminal organizations, networks, and activities as tems and approaches to prioritize its resources aimed at well as the efficient utilization of investigative resources. dismantling criminal networks and neutralizing criminal markets. Strategic and tactical intelligence provides the necessary support for both law enforcement leaders and focus on five distinct areas in relation to organized crime government policy makers to recognize emerging crime or criminal market control and prevention: threats as well as opportunities to respond in a timely, pro- »» Capabilities; active, and effective manner. »» Intentions; »» Limitations; There are two broad, often overlapping, and comple- »» Vulnerabilities; and mentary, forms of intelligence: strategic and tactical (see »» Opportunities. definitions in box A.1). Although having different primary purposes, they should not be viewed as being totally dis- Intelligence therefore clearly has both a strategic and tac- tinct from each other. Tactical intelligence often serves as tical utility that is more often than not complementary; the primary base of information for strategic intelligence, hence, there is the need within the intelligence governance and strategic intelligence in turn serves to position and model to emphasize balance, coherence, and integration. often guide tactical intelligence. This interdependent and The key is to understand user needs and then deliver the complementary relationship serves to strengthen the six- required intelligence in a timely and complete manner. phase intelligence process (as illustrated in figure A.1) and thus better serve the operational (tactical) and manage- The Intelligence Process/Cycle rial (strategic) requirements of law enforcement. However, As illustrated in figure A.1, the Intelligence Process/Cycle, whether strategic or tactical, criminal intelligence has its whether strategic or tactical in focus, is task driven and 26 Elephant Crime Intelligence System Assessment Figure A.1. The Intelligence source operations, database searches, and liaison relation- Process/Cycle ships result in the collection of information and intelli- gence. The Collection Plan includes the information to be collected and its prioritization, its location, mechanisms or processes for its gathering, and time line for obtaining the information. Step 3: Evaluation applies a first-level filter to both the information collected and the source of the information to evaluate the validity of the information and the reliabil- ity of the source of the information. Some of the infor- mation collected may be discarded at this point. Step 4: Collation involves organizing, cross-referencing, and filing the information that has been collected so that it can be compared with existent data to detect contradic- comprises six interrelated steps: (a) Planning and Direc- tions, incongruences, and patterns. Entering information tion; (b) Collection; (c) Evaluation; (d) Collation; (e) Analy- into electronic databases is strongly preferred over filing sis; and (f) Dissemination/Application. of paper documents owing to the ease of sharing and exploitation of this information during the Analysis step The key elements within each of the six steps in the Intel- in the process. ligence Process as illustrated in figure A.1 are discussed in the following section. Step 5: Analysis produces finished intelligence products by logically integrating the collated information; putting it Criminal intelligence is the end product of information in context; establishing its significance, implications, and that has been subjected to the intelligence process/cycle. relevance to requirements; integrating it by combining This process consists of six steps as illustrated below. disparate pieces of information to identify collateral infor- mation and patterns; and finally interpreting the signifi- Step 1: Planning and Direction provide focus for cance of any newly developed knowledge. The product of the remaining steps, and ensure that an organized and this process is a forecast of the continued activity of the systematic approach is taken. Threat, risk, and harm subject(s) and issue(s) being analyzed. analysis is conducted to determine on which specific threats, risks, and harms to focus. Key elements within Step 6: Reporting/Dissemination and Applica- the planning and direction step include establishment tion convey finished intelligence products in a timely of a conceptual framework, definition of the problem/ fashion, in appropriate form, and by secure means issue under study, generation of working hypothesis/ depending on the needs of decision makers and report- hypotheses, and list of indicators. Intelligence staff then ing requirements. The key finished intelligence products develop an Intelligence Collection Plan, applying avail- should include: able sources (human intelligence, electronic intelligence, »» Transnational, Regional, and National Threat/ publicly available or open source intelligence, and so on) Risk/Harm Assessments; and methods, and seeking information and intelligence »» Intelligence Alerts (new trends, Methods of Opera- from other agencies. tion [MOs], and so on); »» Early Warning Assessments; Step 2: Collection is the gathering of raw information »» Annual Reports on Elephant Poaching and Ivory in accordance with the Collection Plan. Activities such as Trafficking with links to other Serious and Orga- interviews, technical and physical surveillances, human nized Crime (Public Reports); Elephant Crime Intelligence System Assessment 27 Table A.1. Intelligence Analysis criminogenic attributes (for example, corruption, vio- Techniques lence, money laundering, scope, diversification) to assess the relative threats posed by organized criminal groups Association Analysis Net Worth Analysis (see figure A.2). Values, color-coded to visualize the threat, Bank Record Analysis Commodity Flow Analysis Activity Flow Analysis Organizational Analysis are assigned to each attribute: high (red), medium (orange), Statistical Analysis Geo-spatial Analysis low (yellow), nil (green), or unknown (blue). The sum total Business Record Analysis Vulnerability Analysis of all the attribute scores provides the Sleipnir score for Telephone Record Analysis Crime Pattern Analysis each crime group. The groups can then be rank-ordered Case Analysis Comparative Case Analysis in a matrix by threat level to provide a group-by-group Time Series Analysis Trend Analysis comparison. Threat Analysis Risk Analysis Criminal Market Analysis Early Warning Analysis Sleipnir is a national analytical technique employed within the Canadian law enforcement intelligence community to assess the relative threat of criminal groups. The Sleipnir »» Intelligence Assessments (issue/topic focus reports); technique provides intelligence analysts working on organ- »» Crime “Hot Spots” and named criminal organiza- ized crime groups with a comprehensive and transparent tions, networks, and principal targets. method to assist in developing and presenting recommen- dations and supporting intelligence in a concise manner. This framework is not intended to produce a matrix that Intelligence Analysis Techniques and Applications stands in isolation, but to be fleshed out in the context of There is a growing number of techniques employed in a strategic analytical assessment that explains the details the tradecraft of criminal intelligence, many of which and significance of the comparisons. The attribute set have both tactical and strategic applications (see table serves as a skeleton of the Collection Plan for the assess- A.1 for a sampling of a number of frequently employed ment and the matrix as a clear illustration of the rankings techniques). Marilyn B. Peterson, in her seminal text, and of the reasons behind the judgments. Applications in Criminal Analysis, highlights some 65 tech- niques in criminal analysis (Peterson 1998). Another The technique has also been employed by numerous law valuable reference is Successful Law Enforcement Using Ana- enforcement and public safety agencies around the globe lytical Methods, published by IALEIA—the International within the context of developing serious and organized Association of Law Enforcement Intelligence Analysts crime threat assessments (SOCTAs). In this regard, the (Peterson et al. 1996). United Nations Office on Drugs and Crime has devel- oped a guidance document and training program on A comprehensive understanding of organized crime and the use and preparation of serious and organized threat concomitant criminal markets can be gained though the assessments—The SOCTA Handbook: Guidance on the Prepara- development of an organized crime threat/risk assessment tion and Use of Serious and Organized Crime Threat Assessments (OCTRA). The principal purpose of a threat and risk (UNODC 2010b). assessment is to provide decision makers with a clear pic- ture of key undesirable events (current and potential), the An additional benefit of an analytical threat measurement probability of those events occurring, their possible reper- technique such as Sleipnir is in the development of Intel- cussions, and recommendations to minimize or address ligence Collection Plans. Through the determination of specific risks and threats (Tusikov and Fahlman 2008). critical knowledge gaps (the category labeled “unknown” in the Sleipnir matrix)—whether in the domain of indi- The Royal Canadian Mounted Police (RCMP) ana- vidual criminals, organized crime groups and networks, lytical threat measurement technique known as Sleipnir or criminal markets—a prioritized Criminal Intelli- was developed in the late 1990s and updated in 2010. gence ­ Collection Plan can be developed. This type of Sleipnir V.2.0, uses a numerical rank-ordered set of 12 knowledge-mapping exercise permits more directed and 28 Elephant Crime Intelligence System Assessment Figure A.2. RCMP Sleipnir*—Attribute Scores and Values Money laundering Intelligence use Diversification Collaboration Corruption Monopoly Infiltration Insulation Discipline Cohesion Violence Scope Group name A B C D E 100 Corruption 29 Monopoly 70 Violence 27 Scope 55 Infiltration 25 Intelligence Use 43 Money Laundering 24 Diversification 32 Collaboration 21 Discipline 29 Insulation 20 Cohesion *In Old Norse mythology, Sleipnir is a horse-like creature that conveys Odin between the realms of spirit and matter and is symbolic of Time. Sleipnir can gallop over land, sea, or through the air. Sleipnir has eight legs, representing eight directions and eight dimensions. ­ ffective collection by intelligence officers and analysts e 5.  Useable—Intelligence products and services based on the critical threats, risks, and harms posed by must be clear and easily understood and have organized crime groups, networks, and markets in any practical application for the user. given geographical jurisdiction, whether local, regional, 6.  Lawful and Ethical—Intelligence staff must, national, or transnational. above all, respect the laws that govern it and up- hold the highest ethical standards throughout all Benchmarks of Effective the steps in the Intelligence Process. Intelligence Effective intelligence is essentially intelligence that meets Key Intelligence System Assets the needs of the user. To achieve this, intelligence pro- The four key components of an intelligence system are gram products and services must have all of the following centered on people, source, system, and knowledge assets characteristics: (ACPO 2005) as outlined below: 1.  Actionable—Intelligence must be relevant to a user’s needs and have value in supporting a deci- sion being made. People Assets 2.  Timely and Available—Intelligence must be The introduction of a fully functioning and effective intel- available in time to enable informed decisions to ligence service relies on a solid foundation of dedicated be made and executed. staff knowing their particular roles and responsibilities in 3.  Objective—Intelligence must be free from bias relation to the mandate of the intelligence service. Key and must not be directed or manipulated in any intelligence staff fall within three core areas of responsi- way to conform to a predetermined result or po- bility: intelligence collection, the domain of intelligence liticized position. officers; analysis, the domain of intelligence analysts; and 4.  Accurate—Intelligence must be factually cor- information management and exchange, the domain of rect and indicate the degree of confidence in in- information management/information technology/qual- telligence assessments and analytical judgments. ity assurance specialists. Elephant Crime Intelligence System Assessment 29 Source Assets Governance Defined For an intelligence service to work effectively, information Governance is not an end in itself, but rather a process is its “lifeblood.” Source assets, therefore, refer to a broad and set of practices that enable organizations to realize spectrum of information sources that can be classified as their goals. The purpose of having a governance frame- both overt and covert. Primary examples include direct work is to ensure that there is a set of principles in place observations of intelligence staff, witnesses, forensic infor- as a guide to roles and responsibilities, clear expectations, mation, open source information, partner agencies, and authorities, decision making, performance monitoring, human intelligence sources. and mechanisms of accountability. These are the essential elements that make up good governance. System Assets Intelligence staff must be aware of all relevant policy, Principles of Good Governance directives, and standard operating procedures associated The following general definition of good governance that with the secure access, recording, storage, and utilization can be applied to any organization is based on the key of information and intelligence as well as the internal principles that define good governance as developed by the infrastructure required to carry out their specific intelli- United Nations Development Programme (UNDP 1977): gence roles and responsibilities. 1.  Maximum participation of program personnel, partners, and stakeholders; Knowledge Assets 2.  Transparent decision making and accessibility of Knowledge assets refer to the professional knowledge program-related information; required by staff to enable them to work effectively and 3.  Responsiveness to concerns and issues raised; efficiently. The timely dissemination and accessibil- 4.  Consensus-oriented in terms of making and im- ity of knowledge assets make this possible. Examples plementing decisions that are in the best interests of knowledge assets (relevant to wildlife-related crime) of the broad group of stakeholders; include CITES regulations, national-level legislation 5.  Producing timely results that meet the needs of that affects wildlife crime, and organizational policies stakeholders, while making the best use of human, and d­ irectives. These types of assets are usually obtained financial, and materiel resources; through training and development, shared knowledge 6.  Strong accountability mechanisms; over organizational intranets, and access to internal and 7.  Ongoing and timely communication; and external reference libraries and other available informa- 8.  Adherence to ethical practices. tion sources. Intent of Criminal Intelligence Intelligence and Good Governance Governance: Maximizing A coherent governance framework is both a starting point the Effectiveness of and one of the essential keys to organizational success. Intelligence System The criminal intelligence system governance framework, in recognizing the ever-adapting nature of organized Assets crime, coupled with the dynamic nature of the operating For intelligence to be effective and meet the needs of environment, renders overly prescriptive, independent, its respective user communities, good governance is and rigid structures less effective. An effective governance an essential component within the overall intelligence framework needs to recognize the benefit of a network- system architecture. The increasing sophistication and based model, with the majority of decision making and transnational nature of the evolving threat posed by program execution made at the partner community level; organized and serious crime demands that our pre- further underscoring the principle that information is a paredness and response be innovative, inclusive, and community asset and not owned by any one organiza- intelligence-based. tion or unit. Although this principle remains a cultural 30 Elephant Crime Intelligence System Assessment Figure A.3. Intelligence System Governance Process—Tasking & Coordination Strategic and tactical groups (9) Intelligence/ Research Information Intelligence Tactical Operational Information and sources products resolution review recording development (5) (8) (10) (11) (6) (7) KNOWLEDGE SYSTEM SOURCE PEOPLE ASSETS (1) (2) (3) (4) Governance Process based on UK National Intelligence Model, ACPO Centrex, 2006 c ­ hallenge, adherence to the principle of information being role to operations in fulfilling the mandate of the ICCWC a community asset is central to overall mission success. as a united front, employing a collaborative partnership approach to respond effectively to the multifaceted chal- Further, the proposed governance model takes into consid- lenges posed by transnational criminal organizations and eration that we have a changing and dynamic workforce in networks involved in wildlife crime.7 a new generation of intelligence professionals who bring different skills and cultural attitudes and who need to be Intelligence System Governance adequately trained to meet current and future challenges. Process Just as important, new and developing technologies for Intelligence has limited value unless it is operationalized. information management, sharing, and knowledge devel- opment must be recognized in how we govern ourselves. The intelligence system governance process effectively oper- The proposed governance model is therefore centered on ationalizes intelligence at whatever level through the employ- a distributed, network-based architecture that embraces ment of a robust tasking and coordination process. It focuses maximum participation and ongoing innovation as core intelligence products and services for the use of the Strategic principles and practices. Tasking and Coordination Group (ST&CG), and Tactical Tasking and Coordination Group (TT&CG) for tactical The governance framework also needs to embody that resolution and operational review, as outlined in figure A.3. the program has a wide and diverse customer, partner, The Intelligence System Process outlines how information and stakeholder base, with different, but not competing, undergoes development to become actionable intelligence. requirements. This is reflected in the provision of the strategic and tactical intelligence products and services provided by intelligence program staff. However, cen- 7 See chapter 4, Intelligence to Enforcement Action: A Networked Elephant   tral to the governance framework is ensuring the intel- Crime Intelligence System, for the specific details regarding the core elements of ligence program remains focused on its critical support the proposed ICCWC INTERPOL-led intelligence system governance model. Elephant Crime Intelligence System Assessment 31 The principles that underlie the tasking and coordina- other governmental clients, whether at the transnational, tion function must be consistently applied at all levels of regional, or national level. Accountability mechanisms operations (transnational, regional, national) to ensure a for planning, direction, and prioritization of intelligence high standard of intelligence throughout the overall intel- will ensure intelligence program staff fully understand the ligence network. requirements of principal users and clarity around issues concerning assessment content, recommendations, and Practice Advice on standard operating procedures is time constraints. required to provide clear guidance to all intelligence and operational personnel involved in the tasking and coor- In the initial planning and direction stages of the Intelli- dination processes, including intelligence managers/ gence Process, intelligence managers should give consid- supervisors, intelligence officers, intelligence analysts, file eration to the following key questions when determining managers, and other specialists. Transnational, Regional, or National Intelligence Priorities: 1.  What benefits are to be derived, or what practi- It is crucial that staff understand one another’s roles and cal significance to the client community does this responsibilities within both intelligence and operational priority have in terms of human, financial, and domains. In particular, T&CG Chairs must understand material resource commitments? the minimum content requirements for the intelligence 2.  What is the assessed level of threat, risk, and harm to products. Their leadership will guide the effective tasking the community that this priority (threat issue) poses? of intelligence officers and intelligence analysts to use the 3.  What are the critical gaps in our knowledge of the most appropriate techniques and, in turn, provide for tac- level of threat/risk/harm posed by the criminal tical review, operational decision making, and the devel- activity, criminal organization or individual and opment of effective intelligence-based outcomes. what is the risk level of the knowledge gap? 4.  What are the political and/or legal implications? Requirement for Effective Tasking 5.  What is the cost versus benefit? and Coordination 6.  Will the focus of the intelligence resource com- Effective tasking and coordination processes are essential mitment have an impact beyond low-level crimi- to successfully meeting organizational mandates, as they: nal operations? »» Ensure that decisions about priorities and resourc- 7.  Are the financial, material, intelligence, informa- es are made on an evidence-based assessment of tion access, and operational resources available? threats/risks/harms; 8.  Will the potential results of resource commit- »» Enable managers to weigh competing demands us- ments have long-range strategic benefit in terms ing timely information and intelligence; of crime prevention/reduction and/or policy and »» Establish a pragmatic, interactive approach for pri- strategy development? ority setting; and »» Engage decision makers at all levels—increasingly, these decisions involve a multiplicity of partners Direction of Criminal Intelligence: across government as well as nongovernmental or- Transnational to National ganizations. Continuum Intelligence and Operational Priorities set by an Inte- grated Intelligence and Operations Council,8 whether at a Planning and Prioritization of Criminal Intelligence national, regional, or transnational level, are guided by the Intelligence is not produced for its own sake or to pro- vide intellectual satisfaction for the intelligence analyst or 8  A structural model for implementing the intelligence system governance pro- intelligence officer. Intelligence is prepared as advice to cess through a formalized Integrated Intelligence and Operations Council its primary user communities, whether operational law model is presented in chapter 4, Intelligence to Enforcement Action: A Net- enforcement officers, senior law enforcement managers, or worked Elephant Crime Intelligence System. 32 Elephant Crime Intelligence System Assessment Intelligence System Governance Process as illustrated in the BSC performance management system to guide its figure A.3 and aided by the employment of an organized organization. crime threat/risk/harm prioritization methodology (such as the RCMP Sleipnir methodology noted in figure A.2). The BSC consists of a Strategy Map together with a structured report, supported by design methods and auto- It should be underlined that although the setting of trans- mation tools, that can be used by managers to keep track national-level intelligence and operational priorities will be of the execution of activities by the staff within their con- guided by those at the regional and national levels, early trol and to monitor the consequences arising from these warning signals affecting serious and organized crime actions. The employment of the suite of BSC tools acts trends (whether political, economic, social, technological, as an accountability mechanism to keep both the overall economic, or legal) also play a role. However, the key fac- intelligence system and its staff focused on meeting their tor in the decision-making process at all levels will center mission in as an effective and efficient manner as possi- on the relationships and dialogue between the members ble by ensuring the validity of the intelligence products of the Integrated Intelligence and Operations Council. and services, utility of the intelligence produced to the consumer(s) of the products and services, compliance with policy and standard operating procedures, intelligence Accountability and Performance security requirements, as well as effective and timely coor- Management System Requirements dination with other partner organizations at the transna- Accountability mechanisms, including the evaluation/ tional, regional and national levels. re-evaluation of the overall operations of the criminal intelligence system, including the operationalization of The employment of the suite of BSC tools acts as an account- intelligence products, are essential. There is no other way ability mechanism to keep both the overall intelligence sys- in which members of the Integrated Intelligence-Oper- tem and its staff focused on meeting their mission in as an ations Council can be assured that the overall operation effective and efficient manner as possible by ensuring: of the intelligence system is both directed toward and »» Overall effectiveness of the reporting/dissemination achieving the specific objectives assigned to it. and application of intelligence products and services; »» Results of the intelligence assessments meet the ob- There are no simple quantitative measurement systems jectives assigned by the Integrated Intelligence and that can be employed to measure the success of the intel- Operations Council; ligence system; however, evaluation systems are necessary. »» Sufficient resource deployment is achieved to meet In this regard, one performance measurement system that assigned objectives; and is well designed for law enforcement agencies is the Bal- »» A systematic qualitative measurement system is anced Scorecard (BSC), a strategy performance manage- in place to evaluate the performance of the intel- ment tool developed by Robert S. Kaplan and David P. ligence system and report back to Integrated In- Norton at Harvard Business School as detailed in The Bal- telligence and Operations Council meetings on an anced Scorecard and The Strategy-Focused Organization (Kaplan ongoing basis. and Norton 1996, 2000). The intelligence process is both labor intensive and costly. The Balanced Scorecard and Strategy Map example pro- Therefore, effective planning, direction, and prioritization vided in figure A.4 illustrates how one intelligence service, are essential elements to overall intelligence system per- Criminal Intelligence Service Canada (CISC), employs formance management and accountability. Elephant Crime Intelligence System Assessment 33 Figure A.4. The Balanced Scorecard and Strategy Map Performance Management System CISC CISC MISSION STRATEGY MAP Championing integrated RCMP Frameworklaw enforcement, CISC provides intelligence-led Strategic 2009/10 knowledge and understanding of the threat and harm of organized and serious crime necessary for the guidance and influence of policy and decision making through application of the intelligence process CLIENTS, PARTNERS AND STAKEHOLDERS National leadership in delivering effective criminal intelligence products and services C.1 EXCELLENCE IN INTEGRATED LAW ENFORCEMENT BRIDGE-BUILDING SERVICE DELIVERY MANAGEMENT Provide innovative, timely and Contribute to and quality strategic products and influence policy and services with criminal legislation I.6 intelligence community I.4 Expand and strengthen Ensure sound business information collection practices and modern and sharing management principles I.3 I.7 Strengthen Enhance the National membership and Criminal Intelligence maximize partnerships I.5 information system I.2 Communicate effectively I.1 BE INTELLIGENCE-LED PEOPLE, LEARNING & INNOVATION Attract, develop, Provide enabling support and retain the infrastructures, equipment, L.1 right employees L.2 technology and support The balanced scorecard sits behind the strategy map Strategy map Balanced scorecard What the How will Level of Investments strategy success be performance & projects Responsibility Perspectives & objectives must achieve measured required Objective Measure Target Initiative Who Purpose & vision Financial Financial Customers Internal Customer Process Learning & growth & growth Learning Values Values 34 Elephant Crime Intelligence System Assessment Appendix B Assessment of National-Level Intelligence Systems and Intelligence Needs in Select Range States This section provides an assessment of the intelligence intelligence and enforcement staff across a spectrum of systems, governance structures, and intelligence needs agencies—parks and wildlife authorities, national police within the agencies visited during the interview phase of services, customs authorities, national defense agencies; the project in the following range states: Uganda, Kenya, field visits to national and private wildlife parks and game Zimbabwe, and South Africa. Although the range states reserves; and survey questionnaire responses. visited are not inclusive of all range states affected by elephant poaching and ivory trafficking, they are believed Planning, Direction, and Priority to represent the existent intelligence system capacity pan- Setting Africa in responding to the increasing threats posed by Although management structures (Management & Plan- elephant poaching and ivory trafficking. The assessment is ning Committees) at the National level across the spectrum focused on the three key, and critical, elements that serve of range state agencies visited are in place, an intelligence as the foundation for an effective intelligence system as component within these mechanisms to ensure an intel- noted below: ligence-led approach to programwide planning, direc- »» Strength of existing mechanisms across the key tion, or priority-setting was absent, with the exception of steps in the Intelligence Process: Planning and Di- South Africa, which had in place management structures rection, Collection, Evaluation, Collation, Analy- to bring intelligence and operations across a spectrum of sis, Reporting, and Dissemination/Application; agencies together at the same planning tables. Interviews »» Capacity of key agencies to respond effectively and discussions across all management levels cited what is to elephant crime at the local, national, regional, best described as an ad hoc and largely reactive approach and international levels in all key intelligence as- in determining priority threats, risks, and crime control set building blocks: People Assets, System Assets, responses across the operating environment. Source Assets, Knowledge Assets; and »» Challenges to good governance models to effec- tively respond to elephant crime while ensuring Recommendation No. 1 long-term sustainability for prevention, detection, An Integrated Intelligence–Operations Council (IIOC) and suppression initiatives. should be established at national levels to ensure that intelligence and enforcement are integrated into a sin- Current Environment gle coordinated intelligence-led response, thus ensuring a more strategic, proactive approach in responding to and Key Findings: The the threats, risks, and harms posed by elephant poach- Intelligence Process ing and ivory trafficking (as well as the wider spectrum The project methodology used the framework of the six of serious and organized crime). A Guidance Advice docu- interdependent steps in the standard Intelligence Process ment should be prepared to aid the effective implemen- to evaluate the current intelligence service capacity within tation of the IIOCs. the range states visited as well as to make recommenda- tions for service-level delivery enhancements. Following Information and Intelligence are the key observations in each step in the Intelligence Collection and Evaluation Process based on the on-site visits in Uganda, Kenya, The findings from the range state site visits and interviews Zimbabwe, and South Africa, including meetings with ­ atasets with the specialists responsible for the three core d Elephant Crime Intelligence System Assessment 35 of information centered on elephant poaching, ivory who have identified critical knowledge gaps through the trafficking and population (Monitoring the Illegal Kill- intelligence assessment process. ing of Elephants, Elephant Trade Information System, African Elephant Database) indicate there is potentially a data-rich environment at the strategic information level Recommendation No. 2 Establish Intelligence Services across range states (where if these datasets are made available for in-depth analysis. not already in place) having a dedicated cadre of Intel- Although strategic-level data are potentially available, a ligence Officers.9 critical shortcoming was observed in the availability of “target-rich” nominal data on the criminals involved at all levels across the supply chain—from the poachers, to Recommendation No. 3 the middlemen directing operations in range states, to A national standard Intelligence Collection Plan and Infor- the heads of the crime organizations and criminal net- mation/Intelligence Evaluation Report Form should be works—whether the operational bases are in Africa or developed and implemented for use by all range state Intelli- overseas in proximity to the primary consumer markets. gence Officer staff. Existing reporting models currently exist Further complicating the dearth of tactical information within the wider intelligence community (that is, 5X5X5 available is the limited availability of the data in elec- system developed for the UK National Intelligence Model) tronic format—several site visits saw the storage of data that could be easily modified for range state requirements. in handwritten ledgers, often stored at regional offices and not aggregated at a national headquarters level, which, Collation—Information although not ideal, would facilitate both data evaluation Management and Technologies and analysis within the intelligence process. Although the situation at the strategic information level can be characterized as being data rich, field staff under- Additionally, the current operating environment is absent lined that “we don’t know what we know.” A key element of a standard national collection planning process, stand- currently missing across range states is an ability to link up ard information validity, or source reliability templates or collate all existing datasets, making it impossible to fully and dedicated Intelligence Officer positions to ensure see or understand the total operating environment. With prioritized and targeted national collection planning. The key information stored in handwritten ledgers or indepen- range state agency staff interviewed largely characterized dent electronic systems across agencies at the national, the present information and intelligence collection efforts regional, and transnational levels, a holistic understand- as “at the side of the desk,” with wildlife, police, and cus- ing of critical threats and risks—whether at a national, toms officers balancing existing compliance-enforcement regional, or transnational level—is not possible. responsibilities with part-time intelligence collection. There is unanimous agreement that the current approach Recommendation No. 4 is not a viable one. The roles and responsibilities of a Develop a comprehensive Information Management Strat- dedicated Intelligence Officer, although highly relevant egy and accompanying Standard Operating Procedures to to enforcement and operations, fall outside of these two ensure national, regional, and transnational consistency in domains. The Intelligence Officer plans, collects, evalu- the overall collection, collation, and management of infor- ates, and collates information and intelligence from a wide mation and intelligence across the multiplicity of agencies variety of sources, both overt and covert, not only to assist responding to the threats posed by elephant poaching and enforcement and operations but also to assist in the pre- ivory trafficking (as well as the full spectrum of threats vention of regulatory and other criminal offenses, as well posed by serious and organized crime). as crime prevention strategy and policy development. A key responsibility of the Intelligence Officer is to collect to fill known gaps in knowledge; this is usually accomplished via a prioritized Intelligence Collection Plan, which is 9  A more detailed discussion related to intelligence officer requirements is con- developed in cooperation with staff Intelligence Analysts tained in appendix A under People, Source, System, and Knowledge Assets. 36 Elephant Crime Intelligence System Assessment Recommendation No. 5 Intelligence Reporting Develop standards for Information Technologies and and Dissemination Analytical Tools for use by Intelligence Services at the Only limited intelligence assessments are currently being national, regional, and transnational levels.10 produced across the range states. The small number of assessments that were reviewed as part of the project evaluation process indicated that the analytical assess- Intelligence Analysis ments produced to date are highly localized and tactical It is at the analysis phase that information is turned into in nature (that is, level of poacher(s) and local area(s) in useable intelligence products, and thus a critical require- scope). There is an absence of standard reporting pro- ment for any effective intelligence service. This was found cedures or national templates for assessments, whether to be the key critical gap in the current intelligence capac- strategic or tactical in focus. Additionally, no national ity across the range states. Although a limited number of dissemination protocols were noted to ensure the timely staff are performing rudimentary intelligence analysis distribution of finished intelligence products to targeted functions at a select number of range state law enforce- clients across national, regional, or transnational partner ment agencies (for example, Kenya Wildlife Service, San- agencies. Parks, South Africa Police Service), the majority of law enforcement agencies do not have in place intelligence services or dedicated intelligence analysis capacities. Recommendation No. 7 National standards for intelligence assessment formats The number of dedicated intelligence analysts across should be established for the range of intelligence prod- range state law enforcement agencies is therefore inad- ucts produced by range state, regional, and transnational equate to meet the broad range of strategic and tactical intelligence services—strategic, tactical, early warning intelligence products required at national, regional, or product lines.12 transnational levels. It is imperative that staff selected to perform this critical function possess the requisite knowl- Recommendation No. 8 edge, skills, and abilities to deliver professional-level fin- Develop a national distribution system aligned to key part- ished intelligence products (that is, national, regional, and ner community organizations at the national, regional, transnational strategic threat-risk assessments; tactical and transnational levels. assessments; early warning assessments; alerts). Intelligence Evaluation Recommendation No. 6 and Quality Assurance Establish Intelligence Services across range states (where There was found to be no established intelligence evalua- not already in place) having a dedicated cadre of Intel- tion and/or quality assurance process in place to formally ligence Analysts.11 evaluate the quality of finished intelligence products or client satisfaction levels. Current evaluation practice can best be described as an ad hoc process largely based on 10  The global criminal intelligence community (including INTERPOL, Europol, general management practices at the national, regional, and a number of range states visited in the project), although not having for- mal standards (that is, ISO standards) in place for Information Technology and and transnational levels. Analytical Tools, is employing the IBM i2 suite of products, including Analyst’s Notebook, iBase, and IntelliShare for criminal network analysis, event chart- ing, pattern recognition, database needs, and intelligence sharing. The critical 12 This recommendation aligns with Recommendation No. 4 regarding the   element is not the requirement for all intelligence services and partner agen- development of a comprehensive Information Management Strategy and cies to employ the same information technology tools, but that the individual accompanying Standard Operating Procedures to ensure national, regional, databases are able to share information assets across platforms, thus enabling and transnational consistency in the overall collection, evaluation, collation, and aggregate datasets and an ability to perform more holistic analyses. management of information and intelligence across the multiplicity of agencies 11  A more detailed discussion related to intelligence analyst requirements is con- responding to the threats posed by elephant poaching and ivory trafficking (as tained in appendix A under People, Source, System, and Knowledge Assets. well as the full spectrum of threats posed by serious and organized crime). Elephant Crime Intelligence System Assessment 37 Recommendation No. 9 in trained dedicated information management/informa- Establish an Intelligence Review Board process at the tion technology/quality assurance specialists. national, regional, and transnational levels to ensure all finished intelligence assessments adhere to national, Recommendation No. 11 regional, and transnational policies, standards, and secu- Develop a national Human Resource Strategy for all three rity requirements. categories of intelligence service specialists (intelligence officers, intelligence analysts, and information manage- Recommendation No. 10 ment/information technology/quality assurance special- Establish a national Intelligence Requirements Manage- ists) to ensure recruitment of qualified candidates that ment System—a database set up to track all finished intel- meet the core competencies of each category of employee. ligence assessments with the client base that received the The HR Strategy should also focus on employee retention assessments to measure client satisfaction levels and qual- as well as career training and development. Thus, the HR ity assurance in reference to the value-added and utility of Strategy should include Work Descriptions for each of the the intelligence products and services. three core categories of intelligence staff; Competency Profiles for each of the three core categories of intelli- gence staff; and a Training and Development Strategy for People, Source, System, Intelligence Staff together with Training Templates for and Knowledge Assets each of the three core categories of intelligence staff. The four key components of an intelligence service are centered on people, source, system, and knowledge assets. Source Assets The findings of the intelligence system capacity evalua- For an intelligence service to work effectively, information tion across the range states underlined both the strengths is its “lifeblood.” Source assets, therefore, refer to a broad and weaknesses of current national-level abilities to spectrum of information sources that can be classified as implement effective intelligence systems to respond to the both overt and covert. Primary examples include direct growing threats posed by elephant poaching and ivory observations of intelligence staff, witnesses, forensic infor- trafficking (and by extension, the interrelated spectrum of mation, open source information, partner agencies, and other serious and organized crime). confidential human intelligence sources. The project evaluation interviews across range states People Assets underlined that there exists an information-rich envi- The introduction of a fully functioning and effective intel- ronment, with a multiplicity of databases and sources in ligence system relies on a solid foundation of dedicated staff place; however, critical shortcomings were noted in the ­ elation knowing their particular roles and responsibilities in r availability of “target-rich” nominal data as well as a to the mandate of the intelligence service. Key intelligence ­ present inability to aggregate or link up datasets to fully staff fall within three core areas of responsibility: intelli- capitalize on the information-rich environment. gence collection, the domain of intelligence officers; analy- sis, the domain of intelligence analysts; and information The other key gap13 surrounds the absence of a com- management and exchange, the domain of information prehensive Information Management Strategy and management/information technology specialists. accompanying Standard Operating Procedures to ensure national, regional, and transnational consistency in the As noted above in the review of the six steps within the Intelligence Process, the domain of criminal intelligence is highly limited across range states; and where there is a 13 This critical gap is addressed under Recommendation No. 4 that centers   service in place, the capacity levels are limited and almost on the development of a national information management strategy (see 1.4, ­ Collation—Information Management and Technologies). A fundamental prin- exclusively centered on local-level intelligence collection. ciple that should be followed is that information is a corporate asset and not a However, there is a critical gap in the number of trained personal or sector asset and its value lies in its sharing and availability to all staff and dedicated intelligence analysts. The other shortfall is who have a “need to know and a right to know” that information. 38 Elephant Crime Intelligence System Assessment collection, evaluation, collation, and management overall ­ Recommendation No. 14 of information and intelligence from all sources across the Develop an Intelligence Service Code of Practice to outline to wider partner community environment. all intelligence staff the basic principles and minimum common standards for an effective Intelligence Service; promote compatibility of procedures and terminology Recommendation No. 12 for the Intelligence Service; clarify the responsibilities of Develop Human Source Development Policy and Stan- all core intelligence staff; ensure that observance of these dard Operating Procedures together with a Training Pro- principles and the standards for implementation results in gram for Intelligence Officer staff to ensure maximum a systematic program of continuous development of intel- exploitation of confidential human source information as ligence policy, practice, and capability; and identify and a key Source Asset within range state intelligence services. promulgate good practice across the wider intelligence and partner community. System Assets Intelligence staff must be aware of all relevant policy, Selection, Training, and directives, and standard operating procedures associated with the secure access, recording, storage, and use of Career Development for information and intelligence as well as the internal infra- Intelligence Personnel structure required to carry out their specific intelligence The introduction of a new, or significantly enhanced, roles and responsibilities. As the Intelligence Service will intelligence service capacity across affected range states add a new dimension to law enforcement agencies across and in countries along the global supply chain will neces- range states, guidance documents will need to be created sitate the development of a national Human Resource to fill this gap. Strategy for all three categories of intelligence service specialists: intelligence officers, intelligence analysts, and information management/information technology/qual- Recommendation No. 13 ity assurance specialists. As noted above in People Assets, Develop an Intelligence Service Orientation Guide to ensure all under Recommendation No. 11, a comprehensive HR staff have the requisite knowledge to effectively carry out Strategy will be necessary to ensure recruitment of quali- their duties in an effective and efficient manner from the fied candidates that meet the core Competency Profiles of initial date they sign on. The orientation guide will also each category of employee. The HR Strategy would also ensure that all staff have a consistent and comprehensive focus on employee retention as well as career training and understanding of all required organizational policy, direc- development. tives, SOPs, and infrastructure that affect their position as well as their colleagues within the Intelligence Service and wider partner community organizations. Recommendation No. 15 Develop a comprehensive training and career development program for Intelligence Service staff. As a first step, existing Knowledge Assets training and career development programs across the wider Knowledge assets refer to the professional knowledge intelligence community should be explored and evaluated required by staff to enable them to work effectively and for applicability within a wildlife crime, as well as a broader efficiently. The timely dissemination and accessibility of serious and organized crime, context. This could include knowledge assets makes this possible. Examples of knowl- programs offered by established best-practice criminal intel- edge assets include current legislation that affects wildlife ligence programs that are currently operating in Europe, crime enforcement and organizational policies and direc- Australia–New Zealand, Asia, and North America. tives. These types of assets are usually obtained through training and development, shared knowledge over organi- Additionally, staff membership in professional intelli- zational intranets, and access to internal and external ref- gence associations to enhance knowledge levels, career erence libraries and other available information sources. development, and professional certification should be an Elephant Crime Intelligence System Assessment 39 integral component of any comprehensive training and ing as an “early warning” system. Another key benefit of career development program. Professional associations developing a strong network is the possibility intelligence in this domain include the International Association of staff exchanges with partner community organizations Law Enforcement Intelligence Analysts; the Association to complement internal staff and gain expert knowledge, of Law Enforcement Intelligence Units; the International skills, and abilities. Association of Crime Analysts; and the International Association for Intelligence Education. The consultant found that a number of partnerships have been established at national, regional, and international lev- els, of which the regional Wildlife Enforcement Networks Information Management are seen as key to more effectively responding to wildlife and Information crime at all levels. As an example, the Lusaka Agreement Technologies Task Force in Eastern and Southern Africa, which began in 1996 and now has seven member states (Congo, Kenya, The range state and literature evaluations verified that Liberia, Tanzania, Uganda, Zambia, Lesotho) and three the information management and information technolo- signatory countries (South Africa, Ethiopia, Swaziland), is gies (IM-IT) available across the majority of range states seen as providing valuable assistance to its members in the do not meet the minimum requirements of an effective areas of capacity building, law enforcement, partnerships, intelligence service. The two recommendations noted in and meetings and conferences for training and develop- Collation—Information Management and Technologies ment. The World Customs Organization Regional Intel- (Recommendations No. 4 and No. 5), focusing on the ligence Liaison Offices, a global Customs intelligence development of a comprehensive Information Manage- network with four offices across Africa, are also seen ment Strategy and accompanying Policy and Standard as valuable networks for information and intelligence Operating Procedures, together with the rollout of a exchange. Additionally, the assistance from INTERPOL suite of analytical software tools, will provide for a solid (National Central Bureaus, Regional Bureaus, and Gen- foundation with which to build new or enhanced intel- eral Secretariat), World Customs Organization, United ligence units. Nations Office on Drugs and Crime, and CITES—in the areas of training and development, capacity building, and Strategic Partnerships knowledge development—was viewed as critical to the across National, development and enhancement of intelligence capacity building across range states and throughout the global Regional, and supply chain nations. Transnational Intelligence Communities The views expressed across all agencies interviewed were unanimous: there needs to be a concerted focus on the A critical success factor in the establishment of an effec- continued expansion and development of a core national, tive intelligence service capacity is the development of a regional, and transnational partnership community that diverse partnership network across the national as well would serve both to build new and enhance existing intel- as regional and transnational intelligence communi- ligence service-level capacities. ties. The development of such networks will enable the broader intelligence community to best leverage limited, single-agency resources by allowing individual national- Recommendation No. 16 level organizations to focus on the key priorities of the Develop a Global Partnership Strategy across national, organization, although using the wider external intelli- regional, and transnational law enforcement agencies, gence networks at both regional and transnational levels networks, and partner communities to break down exist- to act as “sentinels” for environmental changes that may ing barriers to open communications and enhance wild- potentially impact on national-level mandates—thus act- life intelligence, enforcement, and prevention. 40 Elephant Crime Intelligence System Assessment Appendix C Terms of Reference: Elephant Crime Intelligence System and Governance Model Assessment Terms of Reference this broader context, the hiring of a criminal intelligence v. 2 .2-2014-02-03–R. Fahlman systems specialist to lead the project team is to provide a thorough and credible assessment of the key requirements Elephant Crime Intelligence System to design and implement an effective criminal intelligence and system and accompanying governance model to respond Governance Model Assessment to the escalating threats, risks, and harms associated with elephant poaching and ivory trafficking at all levels of the poaching and trade chains. Project Background The “Elephant Crime Intelligence System and Gover- The project consultant will assess and define an effective and nance Model Assessment,” although a key component long-term sustainable elephant criminal intelligence sys- within the broader Global Environment Facility (GEF) tem and network that would operate at the local, national, MSP (medium-sized project) “Fighting Against Wildlife regional, and transnational levels. Currently, a robust intel- Poaching and Illegal Trade in Africa: The Case of African ligence system addressing elephant poaching and illegal Elephants,” underscores the pressing requirement to max- trade of ivory at all phases within the intelligence process imize the knowledge-building capacities that intelligence is either missing or seriously limited in capacity (the key systems development and accompanying good gover- phases in the intelligence process are planning and direc- nance can provide to more effectively respond to elephant tion; collection; evaluation; collation; analysis; reporting/ crime. The MSP encompasses a wide range of strategies dissemination/action). Therefore, the project will examine to prevent the illegal poaching and trade of elephant ivory, the need for designing and implementing a long-term sus- while providing a uniquely collaborative approach to con- tainable elephant criminal intelligence system and govern- trol, reduce, and prevent elephant-related crime specifi- ance model as well as assessing the roles and functions that cally and wildlife-related crime generally. This element of key organizations could play at the local, national, regional, the project is worth underlining, as e ­ lephant-related crime and international levels within such an intelligence system is intricately linked with other forms of organized crime, and accompanying governance model (see annex B, Pre- and therefore needs to be studied in this broader context. liminary Outline for Final Assessment Report). Further, elephant-related crime will be assessed within its full dimensions: as a crime against wildlife as well as The World Bank will discuss the findings of the study a crime that undermines strong economies, healthy and with key stakeholders and propose recommendations for resilient communities, and, in a broader context, the an effective and sustainable criminal intelligence system to good governance of those countries affected by high lev- control, reduce, and prevent elephant poaching and ivory els of such crime. Therefore, the principal components trafficking. of the assessment will include designing a framework and accompanying governance model for criminal intel- Project Objectives ligence collaboration at the local, national, regional, and The principal objectives of the project: transnational levels, including agencies participating in 1.  Assessment of current criminal intelligence capac- the gathering and analysis of information and intelligence ity levels in all phases of the intelligence process related to elephant poaching and ivory trafficking along (planning and direction; collection; evaluation; col- the full spectrum of the transnational crime chain. Within lation; analysis; reporting/dissemination/­ action) Elephant Crime Intelligence System Assessment 41 in key African range states as well as along the criminal supply chain, including central agencies Total Budget for Project (to include ICCWC partner agencies) and non- US$100,000 (initial estimate) governmental organizations, both inside and out- side of Africa, that have a mandate to respond to Task Team Leader elephant poaching and ivory trafficking. ­ Claudia Sobrevila, Senior Biodiversity Specialist, World 2.  Development of recommendations to provide a Bank. sustainable, networked criminal intelligence sys- tem at the local, national, regional, and interna- Project Team tional levels to more effectively respond to the Robert C. Fahlman, Intelligence Systems Specialist, and threats, risks, and harms posed by elephant poach- Sara Thompson, Wildlife Crime Specialist, Agriculture ing and ivory trafficking. and Environment Sector, World Bank. 3.  Design essential elements of a governance model that would enable the successful implementation The Project Team will also be supported by a diversity of and long-term sustainability of a networked com- project World Bank sectoral specialists as well as the other ­ munity-based intelligence system to realize the teams working on complementary GEF MSP activities objectives and goals of the country and agency under the broader project “Fighting Against Wildlife intelligence system partners and, by extension, so- Poaching and Illegal Trade in Africa: The Case of ­ African ciety as a whole. The governance model would be Elephants.” based on the UNDP’s five principles of good gov- ernance: (a) Legitimacy and Voice/Participation; Reviewers (b) Direction/Strategic Vision; (c) Performance The reviewers for the project’s Terms of Reference (TORs) Effectiveness and Efficiency; (d) Accountability/ and Project Assessment (PA) are Claudia Sobrevila, Task Transparency; and (e) Fairness/Rule of Law. Team Leader, Senior Biodiversity Specialist, World Bank; William B. Magrath, Lead Natural Resource Economist, Target Audience Rural Development and Natural Resources, South Asia, The primary audiences for this assessment are the World World Bank; Sara Thompson, Wildlife Crime Specialist, Bank Team Leader (Claudia Sobrevila), World Bank Proj- Agriculture and Environment Sector, World Bank; Valerie ect Team Reviewers, the World Bank, and the Global Hickey, Senior Biodiversity Specialist, Agriculture and Envi- Environment Facility. Secondary audiences include the ronment Services Sustainable Development Network, World member organizations of the International Consortium Bank; Benjamin Garnaud, Environmental Specialist, Africa to Combat Wildlife Crime—CITES, World Customs Region, World Bank; Simon Robertson, Head of Analytics, Organization, International Criminal Police Organiza- Senior Forensic Data Officer, Research and Analysis Unit, tion, and United Nations Office on Drugs and Crime. Integrity Vice Presidency, World Bank; Marilyne Pereira Goncalves, Senior Financial Sector Specialist, Financial Recognizing the global dimensions of crimes involv- Market Integrity Unit, World Bank; and Francisca Fernando, ing elephant poaching and ivory trafficking and wildlife Stolen Asset Recovery Initiative (STAR), World Bank. crime in general, the assessment is anticipated to find a wider scope of interested audiences including those from Scope, Methodology, and international governmental organizations and nonprofit organizations such as the World Wildlife Fund and TRAF- Work Program Sequence FIC: The Wildlife Trade Monitoring Network. 1.  Advance of On-Site Visits (Time Frame: Weeks 3–4, December 2013; Week 2, January 2014) »» A broad-based literature review of reports and Time Frame documentation on the scope and dimension of December 2013 to July 2014 elephant poaching and ivory trafficking and 42 Elephant Crime Intelligence System Assessment ­ntelligence system capacities currently in place to i »» INTERPOL Sub-Regional Bureau respond to this issue—documentation originating »» Monitoring the Illegal Killing of Elephants Julian from the World Bank, INTERPOL, United Na- Blanc, IUCN tions Office on Drugs and Crime, World Customs »» Horn of Africa Wildlife Enforcement Network- Organization, CITES, United Nations Environ- members ment Program, government organizations, intel- »» United Nations Environment Programme ligence services, NGOs, academic institutes, and open source information. Harare, Zimbabwe »» A 1-week intensive set of meetings at the World »» TRAFFIC/CITES Elephant Trade Information Bank, Washington, D.C., to meet with key World System—Tom Milliken Bank sectors, NGOs, and U.S. government agen- »» INTERPOL Sub-Regional Bureau cies to explore the multidimensions of the elephant »» Zimbabwe Parks and Wildlife Management ­ Authority poaching and ivory trafficking intelligence system »» Intelligence database on poaching syndicates (PWMA) project and review of the initial project Terms of »» Other Government Department/Agencies with Reference. Included in the weeklong visit is the de- Wildlife Crime mandates livery of a half-day workshop, “The Mission, Roles and Functions of Criminal Intelligence,” by the Kampala, Uganda project consultant to World Bank and partner or- »» Uganda Wildlife Authority, Intelligence Unit—Dr. ganization staff. Time frame: January 6–10, 2014. Andrew Seguya, Executive Director, UWA »» Preparation of a revised Project Terms of Refer- »» UWA Management Information System and other ence by the project consultant for review and ap- databases proval by the Task Team Leader and Reviewers. »» Spatial Monitoring and Reporting Tool developed Time frame: January 13–27, 2014. by WWF »» Preparation of an Intelligence System and Gover- »» Horn of Africa Wildlife Enforcement Network nance Model Survey Questionnaire by the project members consultant as a tool for systematically measuring »» Wildlife Intelligence and Leadership Development agency capacity levels in responding to elephant for Law Enforcement Officers, Dr. Andrew Lemieux, poaching and ivory trafficking for review/approval Project Director, UGA Queen Elizabeth Conserva- by the Task Team Leader and Reviewers. Time tion Area (associated with Netherlands Institute for frame: January 13–27, 2014. the Study of Crime and Law Enforcement) 2.  Africa Mission 1—Site Visits (Time Frame: Pretoria, South Africa Week 1 and 2, March 2014) »» South Africa Police Service (SAPS) »» INTERPOL National Central Bureau The following countries and agencies are recommended »» Wildlife Enforcement Network—South Africa for site visits as they are significantly impacted by the (WEN-SA) threats, risks, and harms posed by elephant poaching and »» Other Government Departments/Agencies with ivory trafficking and have internal mechanisms already in wildlife crime mandates place to respond to the problem: Nairobi, Kenya 3.  Debriefing at World Bank post Africa Mission »» Kenyan Wildlife Service—Mark Cheruiyot, Dep- 1—Site Visits (Time Frame: Week 4, March 2014) uty Head of Investigations, KWS and Vice-Chair, »» Project consultant debriefing on African site visit INTERPOL Environmental Compliance and En- findings, issues, challenges with World Bank Task forcement Committee Team Leader and Project Reviewers to respond to »» United Nations Office on Drugs and Crime Re- any issues and challenges in advance of the site visits gional Office to the member organizations of the ­ International Elephant Crime Intelligence System Assessment 43 Consortium to Combat Wildlife Crime partner »» Gabon organizations and the International Union for the »» Namibia Conservation of Nature (IUCN) and potential sec- »» Other ond mission to Africa. The Task Team Leader and Project Reviewers will evalu- 4.  Europe Mission 1—Site Visits to ICCWC Part- ate the need for further site visits in Africa following the ner Organizations and IUCN (Time Frame: results of the African Mission 1—Site Visits debriefing at Week 4, April 2014; Week 1, May 2014) the World Bank in Week 4, March 2014. Vienna, Austria 6.  Preparation of Draft Project Report and Pre- »» United Nations Office on Drugs and Crime—Jorge sentation to Task Team Leader and Project Rios, Chief of Sustainable Livelihoods Unit Reviewers (Time Frame: Week 3, May 2014 to »» UNODC Training Program Week 2, June 2014) »» Project consultant to prepare first draft of Project Geneva and Gland, Switzerland Report and deliver to Task Team Leader, Project »» CITES—Ben van Rensberg, Chief, Enforcement Reviewers, and key stakeholders at a Workshop at Support the World Bank. »» IUCN—African Elephant Specialist Group (AfESG) »» IUCN—African Elephant Database 7.  Preparation of Final Project Report and Delivery to World Bank (Time Frame: Week 4, June 2014) Lyon, France »» Project consultant to make revisions to the Draft »» INTERPOL—Ron Noble, Secretary General Project Report, prepare and deliver to Task Team »» INTERPOL—David Higgins, Head, Environ- Leader and Project Reviewers at a Meeting at the mental Crime Sub-Directorate World Bank. »» INTERPOL—Davyth Stewart, Manager, Natural Resources Division »» INTERPOL—Cees van Duijn, Specialized Offi- Key Measurement cer, Environmental Security Unit Indicators »» INTERPOL Analytical Criminal Intelligence Unit Indicator 1: A well-selected sampling of relevant stake- »» INTERPOL Criminal Information/Intelligence holders has been consulted and assessed from public, Databases and I-24/7 Secure Global Police Network private, and academic sectors including intelligence agen- »» INTERPOL Training Program cies, law enforcement, wildlife authorities, NGOs, IGOs, Brussels, Belgium and academic and forensic science institutes. »» World Customs Organization—Daniel Moell, Verification Measure 1: The composition of the agen- Manager, Environmental Program cies and the individuals consulted and assessed, as well »» WCO Customs Enforcement Network as the cases/examples used in the assessment, is well »» WCO ENVIRONET Real-Time Communica- represented in terms of the overall inputs to the final tions System Assessment Report. The project team must ensure that it »» WCO Training Program obtains sufficient feedback from all relevant stakeholders on the specific topics under focus and investigation to gain 5.  Africa Mission 2—Additional Site Visits if Re- a comprehensive understanding of current intelligence quired (Time Frame: Week 2, May 2014) system and governance capacity gaps facing affected The following countries are potential visit sites for the pro- countries and organizations in responding to elephant ject and could be aligned to other World Bank projects poaching and ivory trafficking crime. Due diligence in being undertaken under the wider GEF MSP: this area will serve to ensure the final Assessment Report’s 44 Elephant Crime Intelligence System Assessment recommendations are well informed and comprehensive such highly complex problems are available, and unlim- and possess the potential to be successfully implemented. ited funding to respond to the problem all could damage the ability to implement a sustainable elephant intelligence Indicator 2: The key stakeholders across the broad spec- system and accompanying governance model. Therefore, trum of agencies impacted take ownership of the final the project is likely to experience the following main risks: Assessment Report and its recommendations. »» Obtaining the necessary cooperation, participa- tion, and support when conducting the research Verification Measure 2: The key stakeholders will be and analysis phases for the project; in particular, actively involved in all phases of the study by providing in obtaining reliable and value-added cooperation critical country and agency data, current good practice and input from local, national, regional, and inter- examples, and recommendations for the effective resolu- national stakeholders who have information, intel- tion of existing problems and potential solutions. ligence, or knowledge about current intelligence capacity levels in the prevention, detection, and sup- Indicator 3: The Assessment Report meets World Bank pression of elephant poaching and ivory trafficking. quality standards and is responsive to the requirements of »» The lack of availability and limited quality of the key stakeholders. information and intelligence, given the illicit na- ture of the subject under study. Verification Measure 3: Comments of external »» The limited intelligence as well as enforcement ca- experts, internal peer reviewers, and key stakeholders on pacity and potentially weak governance structures first draft and final Assessment Report are fully assessed in the region as well as internationally to provide and incorporated in the assessment. adequate information and intelligence throughout the entire supply chain for elephant poaching and Indicator 4: The key recommendations made in the ivory trafficking. final Assessment Report are accepted by the stakeholder »» The lack of coordination by key players involved in community as a foundation for the implementation of an the prevention, control, and suppression of elephant- effective elephant crime intelligence system and accompa- related crime (range state governments, police, wild- nying governance model at the local, national, regional, life authorities, and international organizations). and international levels. »» Unrealistic expectations across stakeholder organi- zations regarding the long-term commitment and Verification Measure 4: There is broad acceptance cooperation required to successfully implement a and support across the wider stakeholder community of sustainable elephant criminal intelligence system the key recommendations in the Assessment Report and and governance model. a demonstrated willingness from stakeholders to work together and move forward to the next, and most critical, step—the implementation phase. To mitigate these risks, the project team will conduct the research and analysis phases of the assessment in the Project Risks and Risk broadest manner possible, by collecting information and intelligence from a wide spectrum of sources and agencies Mitigation at all levels across the supply chain, and corroborating the In conducting qualitative research and analysis regarding data with multiple sources wherever possible. Addition- this topic, full cognizance has been taken of the fact that ally, the project team will be sensitive to the cultural values critical data may not be readily available and that even if in affected range states, integrate existing good practices available, it may be difficult to either obtain or establish the already in place, and temper expectations by reinforcing reliability of the sources of the information or the verac- the long-term commitment and cooperation required ity of the information itself. Further, weak national and across stakeholder communities to build a sustainable and international governance models, unrealistic expectations effective networked community-based criminal intelli- across range states and internationally that quick fixes to gence system and accompanying governance model. Elephant Crime Intelligence System Assessment 45 Timetable 46 Elephant Crime Intelligence System & Governance Model Assessment 2014 Milestone Timeframes December January February March April May June July August September Project Elements 2013 2014 2014 2014 2014 2014 2014 2014 2014 2014 Phase 1 Advance of on-site visits Literature review World Bank Meetings Project Terms of Reference Project Survey Questionairre Phase 2 Africa Mission 1—Site Visits Nairobi, Kenya Harare, Zimbabwe Kampala, Uganda Pretoria, South Africa Phase 3 World Bank Debriefing Post-Africa Mission 1—Site Visits Phase 4 Europe Mission 1—Site Visits Vienna, Austria—UNODC Geneva, Switzerland—CITES Gland, Switzerland—IUCN Lyon, France—INTERPOL Brussels, Belgium—WCO Phase 5 Africa Mission 2—Site Visits if required Gabon Namibia Other Phase 6 Preparation of Draft Project Report Presentation of Draft Project Report Phase 7 Preparation of Final Project Report Presentation of Final Project Report Planned If Required Elephant Crime Intelligence System Assessment Annex A: Background, ivory to the underground ivory factories and final con- sumer. Although enhanced capacity building across law Objectives, Scope, enforcement and wildlife conservation agencies is neces- and Methodology for sary to respond to the growing problem, the implementa- the Elephant Crime tion of a networked community-based intelligence system is essential in moving from reactive responses to proactive Intelligence System long-term sustainable prevention strategies. Such a net- and Governance Model worked intelligence system would be accompanied by a Assessment governance model that would ensure the system was built Introduction: A Call to Action on a foundation encompassing key stakeholder agencies, One elephant is killed every 15 minutes. while responding to elephant crime at the local, national, regional, and transnational levels. The United Nations Environment Programme 2013 Rapid Response Assessment “Elephants in the Dust: Project Background The African Elephant Crisis” clearly underlines the seri- The “Elephant Crime Intelligence System and Gover- ous and growing threats posed by elephant poaching and nance Model Assessment,” although a key component ivory trafficking in many range states across Africa. Data within the broader Global Environment Facility (GEF) from the Convention on International Trade in Endan- MSP project entitled “Fighting Against Wildlife Poach- gered Species of Wild Fauna and Flora database Monitor- ing and Illegal Trade in Africa: The Case of African ing the Illegal Killing of Elephants indicates an alarming Elephants,” underscores the pressing requirement to increase in the number of African elephants illegally maximize the knowledge building capacities that intel- killed since 2006, with 2011 marking the highest poaching ligence systems development and accompanying good levels since the inception of MIKE in 1997. In 2006, an governance can provide to more effectively respond to estimated 5,000 elephants were illegally killed at MIKE- elephant crime. The MSP encompasses a wide range of monitored sites alone; in 2011, this figure increased by strategies to prevent the illegal poaching and trade of more than 300 percent to some 17,000 illegally killed elephant ivory, while providing a uniquely collaborative elephants, representing some 7.4 percent of the total ele- approach to control, reduce, and prevent elephant-related phant population. The continentwide figure for illegally crime specifically, and wildlife-related crime generally. killed elephants is estimated to be more than 25,000. The This element of the project is worth underlining as ele- annual elephant growth rates of approximately 5 percent phant-related crime is intricately linked with other forms are not able to compensate for this level of illegal killing. of organized crime, and therefore needs to be studied in Further, data from the Elephant Trade Information Sys- this broader context. Further, elephant-related crime will tem indicates that the illegal trade in ivory has more than be assessed within its full dimensions: as a crime against doubled since 2007, and is over three times greater than wildlife as well as a crime that undermines strong econo- in 1998. The worst year on record for illicit ivory seizures mies, healthy and resilient communities, and, in a broader was 2011, when some 40 tons of ivory were seized, includ- context, the good governance of those countries affected ing a record 17 large-scale seizures, each 800 kilograms or by high levels of such crime. Therefore, the principal more—equaling the tusks of more than 4,000 slaughtered components of the assessment will include designing a elephants. framework and accompanying governance model for criminal intelligence collaboration at the local, national, The sustainability of elephant populations in many Afri- regional, and transnational levels, including agencies par- can range states is now in jeopardy, and is further exacer- ticipating in the gathering and analysis of information bated by weak governance, corruption, and the growing and intelligence related to elephant poaching and ivory involvement of transnational criminal networks involved trafficking along the full spectrum of the transnational in the illegal ivory trade chain—from localized poaching crime chain. Within this broader context, the hiring of a through the shipment of multihundred kilograms of illicit criminal intelligence systems specialist to lead the project Elephant Crime Intelligence System Assessment 47 team is to provide a thorough and credible assessment of levels to more effectively respond to the threats, the key requirements to design and implement an effec- risks, and harms posed by elephant poaching and tive criminal intelligence system and accompanying gov- ivory trafficking. ernance model to respond to the escalating threats, risks, 3.  Design and essential elements of a governance and harms associated with elephant poaching and ivory model that would enable the successful implemen- trafficking at all levels of the poaching and trade chains. tation and long-term sustainability of a networked community-based intelligence system to realize The project consultant will assess and define an effec- the objectives and goals of the country and agen- tive and long-term sustainable elephant criminal intelli- cy intelligence system partners, and by extension, gence system and network that would operate at the local, society as a whole. The governance model would national, regional, and transnational levels. Currently, a be based on the United Nations Development robust intelligence system addressing elephant poaching Programme (UNDP)’s five principles of good gov- and illegal trade of ivory at all phases within the intelli- ernance: (a) Legitimacy and Voice/Participation; gence process is either missing or seriously limited in capac- (b) Direction/Strategic Vision; (c) Performance ity (the key phases in the intelligence process are planning Effectiveness and Efficiency; (d) Accountability/ and direction; collection; evaluation; collation; analysis; Transparency; and (e) Fairness/Rule of Law. reporting/dissemination/action). Therefore, the project will examine the need for designing and implementing a Scope and Methodology long-term sustainable elephant criminal ­ intelligence sys- The assessment will include a broad-based literature tem and governance model as well as assessing the roles review of reports and documentation on the scope and and functions that key organizations could play at the local, dimension of elephant poaching and ivory trafficking and national regional, and international levels within such an intelligence system capacities currently in place to respond intelligence system and accompanying governance model. to this issue—documentation originating from the World Bank, INTERPOL, United Nations Office on Drugs and The World Bank will discuss the findings of the study Crime, World Customs Organization, CITES, United with key stakeholders and propose recommendations for Nations Environment Program, government organiza- an effective and sustainable criminal intelligence system to tions, intelligence services, NGOs, academic institutes, and control, reduce, and prevent elephant poaching and ivory open source information. Additionally, an intensive 1-week trafficking. set of planning meetings will be held at the World Bank, Washington, D.C., to meet with key World Bank sectors, Project Objectives NGOs, and U.S. government agencies to explore the mul- The principal objectives of the project include the tidimensions of the elephant poaching and ivory traffick- ­following: ing intelligence system project and review the initial project 1.  Assessment of current criminal intelligence capac- Terms of Reference. Included in the weeklong visit is the ity levels in all phases of the intelligence process delivery of a half-day workshop, “The Mission, Roles and (planning and direction; collection; evaluation; Functions of Criminal Intelligence,” by the project consul- collation; analysis; reporting/dissemination/ac- tant to World Bank and partner organization staff. tion) in key African range states as well as along the criminal supply chain, including central agen- A series of missions to African range states (including cies (to include ICCWC partner agencies) and Kenya, Zimbabwe, Uganda, South Africa, and other pos- nongovernmental organizations, both inside and sible range states) to conduct stakeholder interviews and outside of Africa, that have a mandate to respond visit field sites will be made. Stakeholder interviews will to elephant poaching and ivory trafficking. also be conducted with all members of the International 2.  Development of recommendations to provide a Consortium to Combat Wildlife Crime: United Nations sustainable, networked criminal intelligence system Office on Drugs and Crime, the Convention on Inter- at the local, national, regional, and i ­nternational national Trade in Endangered Species of Wild Fauna 48 Elephant Crime Intelligence System Assessment and Flora Secretariat, International Criminal Police i)  Assessment of current national, regional, interna- Organization, World Customs Organization, the World tional law enforcement and intelligence capacity Bank. Interviews are also planned with members of the levels to respond to the growing threats, risks, and International Union for Conservation of Nature, and harms posed by elephant poaching and ivory traf- responsible authorities for the Elephant Trade Informa- ficking tion System, Monitoring the Illegal Killing of Elephants, ii)  Development of a model networked community- and the African Elephant Database. Additionally, mem- based intelligence system to effectively respond to bers of nongovernmental organizations and wildlife advo- elephant-related crime cacy organizations including the World Wildlife Fund, the iii)  Minimum requirements to implement a net- Wildlife Trade Monitoring Network, and academic and worked intelligence system in all phases of the forensic science institutes will be consulted. Intelligence Process: (a) Planning, Direction and Priority Setting; (b) Information and Intelligence At the stage of preparation of a Draft Project Report, and Collection; (c) Collation—Information Manage- prior to the final report preparation, all key stakeholder ment and Technologies; (d) Intelligence Analysis; agencies will be invited to participate in a workshop spon- (e) Intelligence Reporting and Dissemination; (f) sored by the World Bank to review, critique, and comment Intelligence-Operations Alignment; and (g) Intel- on the content and recommendations for the way forward ligence Evaluation and Quality Assurance contained in the document. The planned time frame for iv)  Key Intelligence Asset Requirements to imple- the project is from December 2013 to July 2014. ment an elephant crime intelligence system: (a) People Assets; (b) Source Assets; (c) System Assets; Annex B: Preliminary (d) Knowledge Assets Outline for Final v)  Training and Development for Intelligence Per- sonnel Assessment Report vi)  Strategic partnerships across local, national, re- Executive Summary gional and international law enforcement, intelli- Overview of the current situation and trends regarding gence, governmental, nongovernmental, and oth- elephant poaching and ivory trafficking and key challenges er support communities (for example, academic to prevention, detection, and suppression initiatives; assess- and forensic science institutes) ment scope and methodology; current law enforcement, vii)  Governance model for an effective, sustainable in- and criminal intelligence capacity to respond to the prob- telligence system lem; principal strategies to implement an elephant crime intelligence system and governance model to effectively prevent, detect, and suppress elephant-related crime. Elephant Crime and Law Enforcement Context i)  Elephant Poaching Introduction ii)  Ivory Trafficking Brief outline of the conditions that necessitated the iii)  Local/Regional/Global Dimensions undertaking of this assessment; extent and nature of the iv)  Weak Governance—Corruption problem; the role of intelligence and good governance v)  Limited Capacity to Effectively Respond in effectively responding to elephant poaching and ivory trafficking and, by extension, wildlife crime and other forms of transnational organized crime in general. Current Environment and Key Findings: The Intelligence Process Terms of Reference, Scope, i)  Planning, Direction, and Priority Setting and Methodology ii)  Information and Intelligence Collection The focus of the assessment will be centered on seven key iii)  Collation—Information Management and Tech- areas: nologies Elephant Crime Intelligence System Assessment 49 iv)  Intelligence Analysis Evaluation of the Constituents v)  Intelligence Reporting and Dissemination of a Networked Community- Based vi)  Intelligence-Operations Alignment Elephant Intelligence System and vii)  Intelligence Evaluation and Quality Assurance Governance Model A.  Intergovernmental Organizations i)  International Criminal Police Organization Intelligence and Good ii)  World Customs Organization Governance Building Blocks iii)  United Nations Office on Drugs and Crime i)  Intelligence as a Building Block for Greater Effec- iv)  Convention on International Trade in Endangered tiveness Species of Wild Fauna and Flora Secretariat ii)  Definition/Description of Intelligence, its Mis- v)  International Consortium to Combat Wildlife sion, Roles, and Functions: Strategic, Operation- Crime al, Tactical, Integrated Intelligence; Intelligence B.  National Government Systems and Enforcement/Investigations; Intelligence-Led i)  Wildlife Crime Authorities ­Approach ii)  Law Enforcement Agencies iii)  Intelligence Process: Planning and Direction, Col- lection, Evaluation, Collation, Analysis, Report- C. Nongovernmental Organizations and Systems ing, and Dissemination/Action i)  The Wildlife Trade Monitoring Network iv)  Principles of Intelligence ii)  World Wildlife Fund v)  Key Intelligence Asset Building Blocks: People As- iii)  International Union for Conservation of Nature sets, System Assets, Source Assets, Knowledge Assets (IUCN) vi)  Intelligence Systems Governance and Manage- iv)  Elephant Trade Information System ment, including an Intelligence-Led Operations v)  Monitoring the Illegal Killing of Elephants Model vi)  African Elephant Database vii)  Academic and Forensic Science Institutes Observations and Assessment Critical Issues and Challenges of Current Elephant Crime Recognition of critical issues and challenges to the suc- Intelligence Systems and cessful implementation of an elephant crime intelligence Governance Models system and governance model including: capacity levels i)  Strength of existing mechanisms across the key across key range states as well as international support steps in the Intelligence Process: Planning and Di- mechanisms; availability and quality of key elephant rection, Collection, Evaluation, Collation, Analy- crime data; weak governance; corruption or weak support sis, Reporting, and Dissemination/Action for new initiatives (such as an intelligence system); unreal- ii)  Capacity of key agencies to effectively respond istic expectations and/or belief that unlimited funds avail- to elephant crime at the local, national, regional, able to launch an elephant crime intelligence system. and international levels in all key intelligence as- set building blocks: People Assets, System Assets, Conclusions and Source Assets, Knowledge Assets Recommendations iii)  Challenges to good governance models to effec- Synopsis of main assessment findings and rationale for tively respond to elephant crime while ensuring implementing an elephant crime intelligence system and long-term sustainability to prevention, detection, governance model to more effectively prevent, detect, and and suppression initiatives suppress elephant-related crime. 50 Elephant Crime Intelligence System Assessment Recommendations for next steps will be made in the fol- iii)  Key Intelligence Asset Requirements: (a) People lowing areas: Assets; (b) Source Assets; (c) System Assets; (d) i)  Development of a model networked community- Knowledge Assets based intelligence system to effectively respond to iv)  Training and Development for Intelligence elephant-related crime ­ Personnel ii)  Minimum requirements to implement a net- v)  Strategic partnerships across local, national, re- worked intelligence system in all phases of the gional, and international law enforcement, intelli- Intelligence Process: (a) Planning, Direction, and gence governmental, nongovernmental, and other Priority Setting; (b) Information and Intelligence support communities (for example, academic and Collection; (c) Collation—Information Manage- forensic science institutes) ment and Technologies; (d) Intelligence Analysis; vi)  Governance model for an effective, sustainable in- (e) Intelligence Reporting and Dissemination; (f) telligence system Intelligence-Operations Alignment; and (g) Intel- ligence Evaluation and Quality Assurance Elephant Crime Intelligence System Assessment 51 Appendix D Interviews and Meetings: Elephant Crime Intelligence System and Governance Model Assessment— January 6 to April 28, 2014 Date Individual Title Organization 14-01-06 Claudia Sobrevila Senior Environmental Specialist, AFR (TTL) World Bank Group Bill Magrath Lead Natural Resource Economist, SE Asia World Bank Group Benjamin Garnaud Environmental Specialist, AFR World Bank Group Doug J. Graham Senior Environmental Specialist, AFR World Bank Group 14-01-06 Jean-Pesme Manager for Financial Systems and Financial Market World Bank Group Integrity Marilyne Pereira Goncalves GABAC Anti-Money Laundering World Bank Group 14-01-06 Tuukka Castren Senior Forestry Specialist World Bank Group Nalin Kishor Senior Natural Resources Economist World Bank Group 14-01-07 Charles Di Leva Chief Counsel, Legal Dep’t World Bank Group 14-01-07 Richard Ruggiero Chief of International Affairs U.S. Fish & Wildlife 14-01-07 Jessica Graham Senior Adviser, Narcotics and International Law State Department (DOS) Enforcement Rod Schoonover Senior Environmental Security Analyst, Office of the State Department (DOS) Geographer and Global Issues Brandon Neukam Narcotics and Law Enforcement Affairs State Department (DOS) David M. Luna Senior Director, National Security and Diplomacy State Department (DOS) 14-01-08 Matt Lewis Senior Program Officer, African Species Conservation World Wildlife Fund (WWF) 14-01-08 William Woody Chief, Office of Law Enforcement U.S. Fish & Wildlife, Department of Interior 14-01-08 Gerard McLinden Lead Specialist, International Trade Department World Bank Group 14-01-09 ICCWC Members: Christelle Himbert Program Support (ICCWC), Environmental Security INTERPOL Sub-Directorate Clementine Marcq Project Wisdom INTERPOL Cees Van Dujin Coordinator and LEO from Netherlands INTERPOL Will Ng Technical Attache WCO 14-01-09 Changsheng Li Technical Attache WCO Jorge Rios Chief of Sustainable Livelihoods Unit UNODC Sarah Koch Sustainale Livelihoods Unit UNODC 14-01-09 Crawford Allan Director TRAFFIC/WWF 14-01-09 Bill Clark Environmental Crime Program INTERPOL 14-01-09 Victor Mosoti Senior Counsel, Legal Department World Bank Group 14-01-09 Dr. Sam Wasser Forensic Scientist, Elephant DNA University of Washington (Continued ) Elephant Crime Intelligence System Assessment 53 Date Individual Title Organization 14-01-09 Heike Gramckow Lead Counsel Legal Department, Justice for the Poor Christina Biebersheimer Chief Counsel Legal Department, Justice for the Poor 14-01-14 Julian Blanc Acting Coordinator CITES Monitoring the Illegal Killing of Elephants Tom Milliken Director Elephant Trade Information System (ETIS-TRAFFIC/ WWF) 14-01-21 Dr. Andrew Lemieux Project Director Wildlife Intelligence Leadership Law Enforcement Officer (WILD LEO) project Netherlands Institute for the Study of Crime and Law (NSCR) 14-01-28 Toni Matsudaira Senior Trade Facilitation Specialist World Bank Group 14-01-29 AJ Glauber Senior Environmental Specialist, AFR World Bank Group, Nairobi, Kenya Dinesh Aryal Senior Natural Resources Management Specialist World Bank Group 14-02-10 Dr. Jackie Schneider Author of Sold Into Extinction Department Chair, Criminal Justice Sciences Illinois State University 14-03-03 Dr. Andrew Seguya Executive Director Uganda Wildlife Authority Charles Tumwisgye Law Enforcement Officer Uganda Wildlife Authority Charles Tusiime Law Enforcement Officer Uganda Wildlife Authority John Makombo Director Conservation Uganda Wildlife Authority Olinga Moses Law Enforcement & Intelligence Officer Uganda Wildlife Authority 14-03-03 Samuel Besigye Finance Director Uganda Wildlife Authority Peter Ewau Prosecutor Uganda Wildlife Authority 14-03-04 Benon Mugyerwa Community Development Project Uganda Wildlife Authority 14-03-04 Nelson Numa Conservation Area Manager Uganda Wildlife Authority 14-03-05 Flavian Turanz Intelligence Officer Uganda Wildlife Authority Jimmy Law Enforcement Officer Uganda Wildlife Authority 14-03-05 Herbert Bwaruzira Captain Uganda Wildlife Authority Bagenzi Fred Law Enforcement Officer Uganda Police Force Gashoom Liaison Officer Uganda Police Force Customs Officer Uganda Customs Agency 14-03-07 Michael Keigwin Director Uganda Conservation Society 14-03-07 John Makombo Director Conservation Uganda Wildlife Authority Olinga Moses Intelligence Officer Uganda Wildlife Authority John Okot Mitchell LATF Field Officer Lusaka Agreement Taskforce Atimnedi Patrick Veterinary Coordinator Uganda Wildlife Authority Chemonges Mongea Sabilla Deputy Director Legal & Corporate Affairs Uganda Wildlife Authority Peter Ewau Prosecutor Uganda Wildlife Authority Paul Ewotu Environmental Desk Officer INTERPOL, subregional bureau Samuel Besigye Finance Director Uganda Wildlife Authority Generous Assistant Uganda Wildlife Authority 54 Elephant Crime Intelligence System Assessment Date Individual Title Organization 14-03-09 The Sheldrick Elephant The Sheldrick Wildlife Trust Nairobi, Kenya Orphanage 14-03-10 Jack Marubu Enterprise Officer (Community Outreach Program) Kenya Wildlife Service Paul Muya Deputy Spokesperson/Information Officer Kenya Wildlife Service Denis Simon Sr. Intelligence Officer, Intelligence Section Kenya Wildlife Service 14-03-11 Shamini Jayanathan Criminal Justice Adviser British High Commission 14-03-11 Gerhard Van Rooyen TOC Law Enforcement Adviser Security Foal Point (UNODC ROEA) UNODC regional office for East Africa 14-03-12 Julian Blanc Data Analyst, Acting Coordinator MIKE, IUCN 14-03-12 Rob Malpas CEO Conservation Development Centre 14-03-12 David Angell Canadian High Commissioner Kenya and CHC staff 14-03-12 Mamadou Kane Program Officer, Project Manager Coordinator Capacity Building for MEAs in ACP Countries, UNEP Regional Office Arnold Kreilhuber Legal Officer, Division of Environmental Law and African Elephant Fund illegal Conservation trade in wildlife and timber, UNEP Regional Office 14-03-14 Tom Miliken Director of TRAFFIC ETIS, TRAFFIC, and CITES Coordinator for ETIS Elephant and Rhino Expert Louisa Sangalakula Program Officer ETIS, TRAFFIC ETIS Database Manager 14-03-14 Raoul du Toit Director Lowveld Rhino Trust Africa Program Coordinator International Rhino Foundation Natasha Anderson Monitoring Coordinator Lowveld Rhino Trust 14-03-17 Leonard Nhidza Manager, Investigations and Security Zimbabwe Parks and Wildlife Management Authority (PWMA) Mashange Chamu Area Manager, Operations Zimbabwe Parks and Wildlife Management Authority (PWMA) 14-03-19 Kurt Heyenreich President JSC Consulting: The Investigation and Training Specialists Former member of “Scorpions,” National Prosecution Authority, Department of Justice and also South Africa Police Service Flip Vanhuysstwen Law Enforcement Specialist JSC Consulting (former member SAPS) (Continued ) Elephant Crime Intelligence System Assessment 55 Date Individual Title Organization 14-03-19 Colonel Johan Jooste Commander, Endangered Species South African Police Service Hawks, Directorate for Priority Crime Investigation 14-03-20 Jacques Meyer Desk Officer, Environmental Crimes Desk INTERPOL NCB Pretoria Proobalan (Greg) Savari Liaison Officers Desk NCB Pretoria Joseph Baloyi Liaison Officers Desk NCB Pretoria 14-03-21 Ken A R Maggs Chief of Staff, Special Projects South Africa National Parks (SANParks) Sandra Snelling Database Manager/Analyst SANParks 3/22- Dr. Michelle Henley Head Save The Elephants, South 23/2014 Africa Oliphants West Game Reserve Dalene Duvenage President 4Knowledge Analysis Solutions 14-03-22 Dap Maritz President Game Reserve United (GRU) Wildlife and Environment Society of South Africa (WESSA) Ria Maritz Program Administrator GRU, WESSA Craig Spenser Game Warden Oliphants West Game Reserve 14-03-22 Nicholaas Noornhof Member of Parliament, ANC South Africa 14-04-02 Dr. William Moreto Assistant Professor, Department of Criminal Justice and University of Central Florida works with UWA on ranger subculture research 14-04-02 Patrick Byrne EUROPOL Sr. Representative, Head of EUROPOL EUROPOL Delegation Pablo Peleaz EUROPOL Representative USA, Liaison Bureau of EUROPOL Washington 14-04-03 Diane Skinner Program Officer, AfESG IUCN Dr. Holly Dublin Species Survival Specialist, AfESG IUCN 14-04-03 Gerard Doret Assistant Director, Economic Crimes Division INTERPOL-Washington, USDOJ David Whitmire Stolen Antiquities Program, Economic Crimes Division INTERPOL-Washington, USDOJ Karen Ficorilli USFWS representative/liaison INTERPOL-Washington, USDOJ 14-04-03 Andrea Crosta Executive Director & Co-Founder Elephant Action League Project Leader and Founder Wildleaks 14-04-07 Daniel Moell Manager, Environment Program World Customs Organization (WCO), HQ Brussels Agnes Butrym-Bielatko CEN Programme Manager World Customs Organization (WCO), HQ Brussels Erich Kieck Director, Capacity Building World Customs Organization (WCO), HQ Brussels 14-04-11 Davyth Stewart Environmental Crime Programme INTERPOL-NCB Lyon Charles van Nierkerk Environmental Crime Programme INTERPOL-NCB Lyon 56 Elephant Crime Intelligence System Assessment Date Individual Title Organization 14-04-14 Christelle Himbert Program Support (ICCWC), Environmental Security INTERPOL-NCB Lyon Sub-Directorate David Higgins Manager, Environmental Crime Programme INTERPOL-NCB Lyon Ronald K. Noble Secretary General INTERPOL-NCB Lyon Jean-Michel Louboutin Executive Director INTERPOL-NCB Lyon Glyn Lewis Director, Specialized Crime & Analysis Directorate INTERPOL-NCB Lyon Philippe Lejeune Assistant Director, Cabinet INTERPOL-NCB Lyon Hans-Jurgen Pechtl Assistant Director, Criminal Analysis Sub-Directorate INTERPOL-NCB Lyon Cees Van Duijn Manager, Environmental Quality Branch INTERPOL-NCB Lyon Melanie Wieting Criminal Intelligence Analyst INTERPOL-NCB Lyon Deon Burger Environmental Crime Programme INTERPOL-NCB Lyon Florence Scombart Coordinator, Criminal Data Management Branch INTERPOL-NCB Lyon 14-04-16 Ben Van Rensburg Chief of Enforcement Support CITES, Geneva Pia Johnson Enforcement Support Officer CITES, Geneva Lisa Farroway Support Officer, ICCWC CITES, Geneva David Morgan Chief, Scientific Services CITES, Geneva Tom De Meulenaer Scientific Support Officer, Scientific Services CITES, Geneva Marcos Regis Silva Chief, Knowledge Management & Outreach CITES, Geneva 14-04-17 Jorge Rios Coordinator, Global Programme on Wildlife UNODC, Vienna Volha (Olga) Kuzmianok Programme Officer UNODC, Vienna Karen Kramer Senior Expert, Organized Crime Branch UNODC, Vienna Tofik Murshudlu Chief, Implementation Support Section, Organized UNODC, Vienna Crime & Illicit Trafficking Branch Anja Korenblik Programme Management Officer, Studies & Threat UNODC, Vienna Analysis Section, Policy Analysis & Research Branch Jenna Dawson-Faber Research Expert, Statistics & Survey Section, Research UNODC, Vienna & Trend Analysis Branch 14-04-22 Michelle Gadd Program Officer, Africa Programs, Division of US Fish & Wildlife Service International Conservation 14-04-24 Fiachra Kearney CEO Global Eye 14-04-28 Christian Braun Dietrich Team Leader, Project Wisdom INTERPOL, NY Elephant Crime Intelligence System Assessment 57 Appendix E The World Bank Assessment Survey Questionnaire: Evaluation of Intelligence Services and Governance Capacity in Response to Elephant Poaching and Ivory Trafficking, V 1.1–January 22, 2014 (Final)—R. Fahlman Intelligence Process 6.  What evaluation and accountability processes do you have in place to ensure intelligence value for Questions investment (intelligence review boards, intelligence 1.  What are your current practices in respect to in- management steering committee(s), regional and/ telligence planning, direction, and prioritization or national integrated operations council, gover- (planning processes, Standard Operating Pro- nance model)? What key areas are missing or what cedures, intelligence, and enforcement priority- you would like to see in place or enhanced? setting mechanisms)? What key areas are miss- ing or you would like to see enhanced or in place People, Knowledge, (policy, standards, doctrine, and/or a governance model)? System, and Source 2.  What information-intelligence collection, evalu- Assets ation, collation, storage-retrieval, and manage- 1.  Do you have the people in your agency, unit, or re- ment do you have in place (Collection Plans, 4X4 gion with the professional skills and abilities to meet or 5X5 system for information-source evaluation, your needs (analysts, intelligence officers, informa- Records Management System (RMS), and/or tion managers, others)? What key staff is missing or ­ intelligence database)? What key areas are missing what you would like to see in place or enhanced? or what you would like to see enhanced, created, 2.  Do your people have the professional knowledge or in place (policy, standards, SOPs)? needed to enable them to work effectively (train- 3.  What are your current capacity levels of intelli- ing, development, internal intranets, and profes- gence analysis (tactical, operational, and strategic)? sional association membership)? What key areas What key areas are missing or what you would like are missing or what you would like to see in place to see enhanced, created, and/or in place (train- or enhanced? ing, development, and/or a network)? 3.  Do you have the systems in place to ensure staff 4.  What is the current level of your production of in- is fully aware of organizational policies, SOPs, telligence assessments and dissemination protocols security standards and technical equipment (gov- (alerts, national and regional assessments, strategic ernance model, doctrine guidebook, information early warning, and tactical-operational support)? management-information technology)? What key What key areas are missing or what you would like areas are missing or what you would like to see in to see in place or enhanced? place or enhanced? 5.  How is intelligence (finished assessments) applied 4.  Do you have the source assets in place to enable staff in a tactical, operational, or strategic manner in to work effectively (overt-covert capacity, source your agency, unit, and region (driver for targeting, development-management, Human Intelligence, priority setting, policy and/or strategy develop- Imagery Intelligence, Signals Intelligence, Open ment)? What key areas are missing or what you Source Intelligence)? What key areas are missing or would like to see in place or enhanced? what you would like to see in place or enhanced? Elephant Crime Intelligence System Assessment 59 Selection, Training, and Strategic Partnerships Career Development for across the Domestic Intelligence Personnel and International 1.  What training and development programs/op- Intelligence Communities portunities do you currently have in place for staff 1.  What strategic partnerships are currently in place (entry level, intermediate, senior, management)? to enhance overall agency, unit, or regional capac- What key areas are missing or what you would like ity both on the domestic and international fronts to see in place or enhanced? (for example, other LE agencies, INTERPOL, 2.  What selection processes are currently in place World Customs Organization, CITES, United to ensure the best candidates with the requisite Nations Office on Drugs and Crime)? What part- knowledge, skills, and abilities are entering the nership opportunities are missing or what you organization (testing methods, internships, sec- would like to see in place or enhanced? ondments cross-organizational selection boards)? 2.  What outside agencies do you partner with to en- What key areas are missing or what you would like hance staff capacity (secondments, internships, to see in place or enhanced? exchanges)? What partnership opportunities are 3.  Do you have any professional certification programs missing or what you would like to see in place or in place to ensure requisite KSAs as well as ongoing enhanced? organizational requirements (internal understudy 3.  What professional associations do your staff have programs, training courses, professional association membership in for ongoing professional train- certification)? What key areas are missing or what ing and development (for example, International you would like to see in place or enhanced? Association of Law Enforcement Intelligence Analysts, Association of Law Enforcement Intel- Information Management ligence Units)? What professional association op- and Information portunities are missing or what you would like to Technologies see in place or enhanced? 1.  What structures, processes, and technologies do Note: If you would like to further discuss any of the you use to process information in your agency, questions or have additional input, suggestions, or rec- unit, or region (policies/directives, information ommendations you’d like to contribute, please feel free to technologies)? What key areas are missing or what contact me directly via telephone or e-mail as per contact you would like to see in place or enhanced? ­information: 2.  What information technologies are available to in- Robert C. Fahlman telligence and/or enforcement staff to enable their Consultant, Intelligence Systems day-to-day analytical, collection, and information The World Bank, Africa Region management requirements (RMS, intelligence e-mail: robert.fahlman@rogers.blackberry.net database(s), major case management, collaborative Cell: 289-968-4541 tools—for example, Microsoft SharePoint Work- space, analytical tools—for example, i2-­ Analyst’s Notebook)? What key areas are missing or what you would like to see in place or enhanced? 60 Elephant Crime Intelligence System Assessment E N V I R O N M E N T A N D N AT U R A L R E S O U R C E S G LO B A L P R A C T I C E D I S C U S S I O N PA P E R 0 4 W O R L D B A N K G R O U P R E P O R T N U M B E R 94471-AFR 1818 H Street, NW Washington, D.C. 20433 USA Telephone: 202-473-1000 Internet: www.worldbank.org/environment