                                  
                                  
                                  
          FIFTH UNITED NATIONS SURVEY OF CRIME TRENDS
             AND OPERATIONS OF CRIMINAL JUSTICE SYSTEMS
                                  
                                  
                                  
                                  
                                                 CODEBOOK
                                  
                               FOR THE FIFTH U.N. SURVEY DATA
                                  
                                                  (1990-1994)
                                  
                                  
                                  
                                  
                                  
                      Crime Prevention and Criminal Justice Division
                                   United Nations Office at Vienna
                                                P.O. Box 500
                                              A-1400 Vienna
                                                    Austria
                                  
                                  
                                  
                                  
                                  
                                  
                                  
                                  
                                  
                                  
                                  
                                  
                                  
                                  
                                  
                                  
                                  
                                  
                                  
                                  
                                  
                                  
                                  
                                  
                                  
                                  
                                  
                                  
                                  
                                  
                                                  TABLE OF CONTENTS
                                  

I.  ABOUT THE FIFTH SURVEY .................................................................................. 3

II.  DATA DISKETTES ................................................................................................... 6

III.  DEFINITION OF TERMS ......................................................................................... 7

IV.  CODEBOOKS FOR FIFTH SURVEY DATA ......................................................... 10

V.  FOOTNOTES ............................................................................................................. 11
I.  ABOUT THE FIFTH SURVEY
                                  
                                                            INTRODUCTION
                                  
                     A. Legislative background
                                  
1. The Economic and Social Council, in its resolution 1984/48 of 25 May 1984, requested the
Secretary-General to maintain and develop the United Nations crime-related database by
continuing to conduct the surveys of crime trends, operations of criminal justice systems and
crime prevention strategies. In its resolution 1990/18 of 24 May 1990, the Council
recommended, inter alia, that the survey should be simplified, and called upon Member States to
endeavour to provide more complete responses to it. The subsequent questionnaire for the Fourth
Survey and the present questionnaire for the Fifth Survey draw on the above recommendation.
The questionnaire for the Fifth Survey contains some further modifications in the introductory
section and in some of the tables. 

         B. Publications on the results of previous surveys

2. The results of the four previous surveys were made available in documents A132/199,
A/CONF.121/18 and Corr.l, A/CONF.144/6 and A/CONF.169/15 and in various
publications.* Regional analyses of the survey data were published by the European Institute for
Crime Prevention and Control, affiliated with the United Nations, the Australian Institute of
Criminology (AIC), the Asia and Far East Institute for the Prevention of Crime and the
Treatment of Offenders (UNAFEI) and the Latin American Institute for the Prevention of Crime
and the Treatment of Offenders.** The data collected in the first, second, third, and fourth
surveys are available on 3 « inch SPSSPC+ format floppy discs free of charge from the Crime
Prevention and Criminal Justice Branch, United Nations Office at Vienna, P.O. Box 500, A-1400
Vienna, Austria (fax numbers: 43-1-232156 and 43-1-213455898), as per attached order form in
section E below. These are also available as World Wide Web files on the computerized United
Nations Crime and Justice Information Network (UNCJIN) at
http://www.ifs.univie.ac.at/~unciin/uncjin.html Selected analyses of the data
have been published by the Statistical Office of the Secretariat*** and in the UNCJIN Crime and
Justice Letter under the title "Trends: The Global View of Crime and Justice" (special issue,
1991).  Further details about accessing these information sources may be obtained from the
UNCJIN Systems Operator at the address noted above.

     C. Objectives of the Fifth Survey and questionnaire design

3. The major goal of the Fifth United Nations Survey is to collect data on the incidence of
reported crime and the operations of criminal justice systems with a view to improving the
dissemination of that information globally. To that end, the Survey should facilitate an overview
of trends and interrelationships between various parts of the criminal justice system so as to
promote informed decision making in its administration, nationally and cross-nationally.

4. This Survey questionnaire consists of a series of questions which ask for data, primarily
statistical, on the main components of the criminal justice system, for the years 1990 to 1994.
The instructions given in the following paragraphs should be carefully studied in order to
complete the questionnaire effectively.

     D. Completion of replies

5. Some countries may not be in a position to provide complete answers. This problem has
been considered by the Secretariat at all stages of preparation of the questionnaire. In order to
facilitate preparations of the reply, the attention of offices responsible for the submission of the
data is drawn to the Manual for the Development o/Criminal Justice Statistics, which is based on
the information provided by Member States in the course of the Second Survey.* The Manual
may be helpful in preparing the returns to the present survey.

6. The most important sources of data necessary to complete the questionnaire are expected to
be official national criminal statistics, including criminal justice statistics maintained in
administrative records. The questionnaire follows the sequence of the different agencies that are
encountered by an offender passing through the system. Whether the statistics required are most
easily accessible from the records of the individual agencies or from one central data bank will
vary from country to country. The questionnaire is compiled in such a way that it can be broken
down and sent to separate  agencies, and reassembled in a central office before it is returned.
Consequently, it would be important for this central office to review partial replies to ascertain
that the data collected in the official return cover clearly defined jurisdictions (such as national or
federal) and are statistically valid. In this connection, it is important to review all parts of the
survey for consistency. The experience of the Fourth Survey showed that in some replies there
were: (a) the same figures given in two parts of the questionnaire; (b) figures representing
criminal justice operations of agencies further down the system that were higher than
corresponding figures of preceding agencies; and (c) no explanations given in cases of significant
statistical changes. In these cases, the Secretariat sent requests for validation of data. This process
was very time-consuming for all those involved in the provision and analysis of the data and
considerably delayed completion of the project. In order to promptly complete the Fifth Survey
and to initiate preparation for the Sixth Survey, respondents are requested to take those factors
into account.

7. For each agency, the questions are divided into: (a) those that are relevant to the statistical
questions but are in part administrative or policy questions, that is, questions on what data are
kept and in what form; and (b) the straightforward statistical questions themselves. It will be a
matter for the coordinating officer in each country to establish whether all the questions can be
answered by the same office or whether the sections of the questionnaire will have to be
subdivided. It will assist greatly in the recording of the results if the parts are returned together,
even if they were separated at the time of being completed.

8. If figures provided in one table differ significantly from one year to the next, please explain
the discrepancy in notes to the table. If it is not possible to supply the figures as classified or
defined in the tables, please try to adjust data as far as possible and describe the steps involved in
notes to the table or on the facing pages. Where figures are not yet available, provisional data or
estimates, if possible, should be inserted and noted accordingly. If a table can be completed only
in part, please note in the appropriate section that the rest of the data are "not available". If no
figures at all are available, please indicate by writing across the space for reply "not yet
available", "not tabulated" or "not collected", as the case may be. Respondents should make
every effort possible to collect the requested information from various sources and registers,
however widespread.

9. Statistics on such matters as criminal justice personnel, court actions and prison population
should extend to all levels of government, that is, central government as well as national, state
and local authorities. Where data or estimates for some or all state and local authorities are not
available, the available data should be provided and the limitation in coverage noted.

10. In most cases, the data requested use the calendar year as the recording period. Where
some other annual period, such as a fiscal year not corresponding to the calendar year, is used,
this should be noted. In general, any event recorded in the period covered by this survey should
be included in the data for that period, even though the event may actually have occurred in an
earlier period.  Some other data, for example on personnel, are requested as of 31 December of
each year. If some alternative reference date has to be used, however, this should be shown in
each applicable table. Should the data for the year 1990 provided in the present survey differ
from the data for 1990 previously included in the Fourth Survey, please explain the discrepancy.

11. Partial, and even limited, responses are very important, and the return of such responses
will be of great benefit in this exercise. Returning offices are also invited to provide types of data
that are not requested in the questionnaire, but that are considered essential for understanding the
extent of crime and the structure of criminal justice in their country. In particular, any
fundamental changes in the criminal justice legislation or administration since 1990 should be
reported briefly in a separate note. Please include any major political, social or economic events
that may have had an effect (positive or negative) on the criminal justice system.

12. The identification of contact persons who have provided data for the complete
questionnaire and its component parts, would be most helpful. Please provide such an
identification where requested.

13. Requests for any clarification or further information in respect of this questionnaire
should be addressed to the Chief, Crime Prevention and Criminal Justice Branch, United Nations
Office at Vienna, P.O. Box 500, A-1400 Vienna, Austria. Requests can also be made through the
following fax numbers: 43-1-232156 and 43-1-21345-5898; and Internet e-mail:
sredo@cpcjb.un.or.at .
II.  DATA DISKETTES

     The data diskettes contain all of the data received (by 31 January 1997) in response to the
Fifth United Nations Survey of Crime Trends and Operations of Criminal Justice Systems. 
Each data file is an SPSS/PC for Windows (6.1) system file.  The codebooks are saved as ASCII
(DOS) text.
     
     Altogether, there are 16 separate data files included on the diskettes.  Those wishing to
analyze data from multiple data files at the same time will have to merge the files using the
"MERGE DATA" command in SPSS/PC for Windows (6.1).  Each country has an
identification number (IDNUMBER) that is used on every data file that should be used as the key
matching variable when merging data files from the Fifth Survey.  Each country also has a
country code (COUNTRY) that is used on every data file that should be used as the key matching
variable when merging data files from the Fourth Survey with data files from the Fifth Survey.  

     Below is a brief description of the data contained in each data file.  More elaborate
descriptions of the data can be found in the codebooks for each data file.

          5ARESOUR.SAV   Criminal Justice Resources (Question 27)
          5BPOLICE.SAV        Police Personnel (Question 1)
          5CCRIMES.SAV       Number of Reported Crimes (Question 2)
          5DCITY.SAV            Crime in the Largest Cities (Question 3)
          5EFORMAL.SAV     Number of People with Formal Contact with the Criminal
                                               Justice System (Question 4)
          5FAGESUS.SAV      Age/Gender of Suspects (Question 5)
          5GPROSEC.SAV   Prosecutors and Prosecutions (Questions 6 and 7)
          5HPROSEC.SAV   Prosecutions by Age/Gender (Question 8)
          5ICOURTS.SAV       Judges and the Criminal Courts (Questions 9, 10, 11, and 13)
          5JCONVIC.SAV     Number of People Convicted of Crimes (Question 14 and 15)
          5KPRISON.SAV       Prisoners and Prison Sentences (Questions 16 and 17) 
          5LPRISON.SAV       Average Sentence Lengths (Questions 18, 19, 20, and 21)
          5MPRISON.SAV      Prison Personnel (Questions 22 and 23)
          5NPRISON.SAV       Prison Admissions for All Crimes (Question 24)
          5OPRISON.SAV       Prison Admissions by Age/Gender (Questions 25 and 26)
          5PPOP.SAV               Population and UNDP Development Level Data 


III.  DEFINITION OF TERMS
 
The following definitions are suggested as being applicable to many legal codes.

*Intentional homicide* refers to death deliberately inflicted on a person by another person,
including infanticide. Please indicate whether certain categories of attempted homicide are
charged for prosecuted as "aggravated assault".

*Non-intentional homicide* refers to death not deliberately inflicted on a person by another
person. This includes the crime of manslaughter, but excludes traffic accidents that result in
the death of persons.

*Assault* refers to physical attack against the body of another person, including battery but
excluding indecent assault. Some criminal or penal codes distinguish between aggravated and
simple assault depending on the degree of resulting injury. Please provide the major criterion for
this distinction if it applies in your country.

*Rape* refers to sexual intercourse without valid consent. Please indicate whether statutory rape
is included in the figures provided. If your country distinguishes between sexual assault and
actual penetration, please provide relevant information.

*Theft* refers to the removal of property without the property owner's consent. Theft excludes
burglary and housebreaking. It includes the theft of a motor vehicle. Shoplifting and other minor
offences, e.g. pilfering and petty theft, may or may not be included as thefts. Please provide
relevant information if a distinction is made in your country.

*Robbery* refers to the theft of property from a person, overcoming resistance by force or threat
of force.

*Burglary* refers to unlawful entry into someone else's premises with an intention to commit
crime.
                                                                   
*Fraud* refers to the acquisition of the property of another by deception. Please indicate
whether the fraudulent obtaining of financial property is included in the figures provided.

*Embezzlement* refers to the wrongful appropriation of property of another which is already in
one's possession.

*Drug-related crimes* refer to intentional acts that may involve the cultivation, production,
manufacture, extraction, preparation, offering for sale, distribution, purchase, sale, delivery on
any terms whatsoever, brokerage, dispatch, dispatch in transit, transport, importation and
exportation of drugs and psychotropic substances. Where applicable, countries may wish to refer
to the provisions of the Single Convention on Narcotic Drugs of 1961 and other regulations
adopted in pursuance of the provisions of the Convention on Psychotropic Substances of 19712
and/or the United Nations Convention against Illicit Traffic in Narcotic Drugs and Psychotropic
Substances of 1988.3 As simple possession and illicit traffic are treated differently in different
legal codes, separate statistics on possession and traffic are requested.

*Bribery and corruption* refers to requesting and/or acceptance of a material or personal
benefit, or promise thereof, in connection with the performance of a public function for an action
that may or may not be a violation of law and/or promising as well as giving material or personal
benefit to a public officer in exchange for a requested favour.

*Other* refers to serious types of cr~me that are completely different from those listed above,
and that are regarded as serious and frequent enough to require a separate category in the criminal
statistics of your country (e.g. arson, kidnaping, conspiracy or membership of a criminal
association). Please insert such crimes under question 11 and provide a definition, with an
explanation or description in the space immediately below on this page or on an additional page.
Should there be different types of crimes included under this item throughout all parts of the
questionnaire, please provide an explanation.

*Crimes recorded by the police* refer to the number of penal code offences or their equivalent,
i.e. various special law offences, but excluding minor road traffic and other petty offences,
brought to the attention of the police or other law enforcement agencies and recorded by one of
those agencies.

*Police or law enforcement* sector refers to public agencies whose principal functions are the
prevention, detection and investigation of crime and the apprehension of alleged offenders. If the
police are part of the national security force in your country, please try to limit as far as possible
replies to the civil police proper as distinct from national guards or local militia. If there are many
local forces, please provide data on them if possible. If some personnel of this sector fulfil
prosecution functions, please note accordingly in the space below table 27a.

*Prosecutor* refers to a government official whose duty is to initiate and maintain criminal
proceedings on behalf of the state against persons accused of committing a criminal offence.
Countries differ in whether a prosecutor is a member of a separate agency, or a member of the
police or judiciary. Please indicate the title of the agency in your country under which the
prosecutor functions. If more than one criminal justice system operates in your country, for
example federal/provincial systems or civilian/martial systems, please provide separate
information about prosecutorial functions in each system.

*Persons prosecuted* refers to alleged offenders prosecuted against by means of an official
charge, initiated by the public prosecutor or the law enforcement agency responsible for
prosecution.

*Persons convicted* refers to persons found guilty by any legal body duly authorized to do so
under national law, whether the conviction was later upheld or not. If persons are convicted by
any agency other than the courts, please state which agency, and provide statistical details in the
space following tables 14 and 15. In those tables "Grand total" number of convicted includes
serious special law offences but excludes minor road traffic and other petty offences.

*Judges and magistrates* refers to both full and part-time officials authorized to hear civil,
criminal and other cases, including appeal courts, and make dispositions in a court of law. Please
include also associate judges and magistrates, who may be authorized as above, within this
category. Lay judges and magistrates refer to persons performing the same functions as the
professional officials but who do not consider themselves, and are not normally considered by
others, as career members of the judiciary.

*Prisons* refer to all public and privately-financed institutions where persons are deprived of
their liberty. These institutions could include, but are not limited to, penal, correctional, or
psychiatric facilities.

*Admissions to prisons* refer to the number of such events throughout the year and not the
number of people admitted on a particular day of the year.

If the categories given in the paragraphs above are not fully compatible with your national
legal code, please try to adjust data as far as possible. Alternatively, indicate what kinds of crime
your statistics include which might be comparable to the categories suggested, or how the
parallel crime is defined in your country and describe this below the table or on the facing page.

 


IV.  CODEBOOKS FOR FIFTH SURVEY DATA

     Codebooks containing variable labels and a dictionary for each data file are contained in
16 separate ASCII (DOS) text files.  A listing of these codebook files and the data files to which
they refer is provided below.

          5ACODEBO.TXT  -- 5ARESOUR.SAV
          5BCODEBO.TXT  -- 5BPOLICE.SAV
          5CCODEBO.TXT  -- 5CCRIMES.SAV
          5DCODEBO.TXT  -- 5DCITY.SAV
          5ECODEBO.TXT  -- 5EFORMAL.SAV
          5FCODEBO.TXT  -- 5FAGESUS.SAV
          5GCODEBO.TXT  -- 5GPROSEC.SAV
          5HCODEBO.TXT  -- 5HPROSEC.SAV
          5ICODEBO.TXT  -- 5ICOURTS.SAV
          5JCODEBO.TXT  -- 5JCONVICT.SAV
          5KCODEBO.TXT  -- 5KPRISON.SAV
          5LCODEBO.TXT  -- 5LPRISON.SAV
          5MCODEBO.TXT  -- 5MPRISON.SAV
          NCODEBOK.TXT  -- NPRISON.SAV
          OCODEBOK.TXT  -- OPRISON.SAV
          PCODEBOK.TXT  -- PPOP.SAV 

V.  FOOTNOTES

  *See Trends in Crime and Criminal Justice, 1970-1985, in the Context of Socio-economic
Change. Results of the Second United Nations Survey of Crime Trends, Operations of
Criminal Justice Systems and Crime Prevention Strategies (United Nations publication, Sales
No. E.92.IV.3) and Crime Trends and Criminal Justice Operations at the Regional and
Interregional Levels. Results of the Third United Nations Survey of Crime Trends, Operations of
Criminal Justice Systems and Crime Prevention Strategies (United Nations publication, Sales
No. E.94.IV.2). For a full list ofpublications, see "United Nations surveys of crime trends and 
operations of criminal justice systems (1970-1995)" (A/CONF.169/CRP.2), available from the
Crime Prevention and Criminal Justice Branch.

    **See European Institute for Crime Prevention and Control, affiliated with the United Nations,
Criminal Justice Systems in Europe, Publication Series No. 5 (Helsinki, 1985), Criminal
Justice Systems in Europe and North America, Publication Series No. 17 (Helsinki, 1990), Crime
and Criminal Justice Systems in Europe and North America 1986-1990, Publication Series No.
25 (Helsinki, I 995) and Profiles of Criminal Justice Systems in Europe and North America,
Publication Series No. 26 (Helsinki, 1995); "Delineation of crucial issues of criminal justice in
Asia,' (A/CONF. 12 1/UNAFEI), document prepared by the Asia and Far East Institute for the
Prevention of Crime and the Treatment of Offenders for the Seventh United Nations Congress on
the Prevention of Crime and the Treatment of Offenders; Crime and Justice in Asia and the
Pacific (Canberra and Tokyo, 1990); and "Crime prevention in the context of development",
document prepared by the Latin American Institute for the Prevention of Crime and the
Treatment of Offenders for the Eighth United Nations Congress on the Prevention of Crime and
the Treatment of Offenders (Spanish version: "Tercer estudio de las Naciones Unidas sobre
tendencies delictivas, funcionamiento de sistemas de justicia penal y estrategias de prevencion
del delito").

    ***See Compendium of Social Statistics and Indicators 1988 (United Nations publication,
Sales No. E/F.91.XVII.6).

    ****See Manual for the Development of Criminal Justice Statistics (United Nations
publication, Sales No. E.86.XVII.16).
