Handbook on police accountability, oversight and integrity

1 Handbook on police accountability , oversight and integrityCRIMINAL JUSTICE Handbook SERIESV ienna International Centre, PO Box 500, 1400 Vienna, Austria Tel: (+43-1) 26060-0, Fax: (+43-1) 26060-5866, *1057991*United Nations publicationPrinted in AustriaSales No. 28 ISBN July 2011 1,070 Cover images: Left and right: , Centre: NATIONS OFFICE ON DRUGS AND CRIME ViennaHandbook on police accountability , oversight and integrityCRIMINAL JUSTICE Handbook SERIESUNITED NATIONSNew York, 2011iiUNITED NATIONS PUBLICATIONS ales No. 978-92-1-130307-0eISBN 978-92-1-055037-6 United Nations, July 2011. All rights designations employed and the presentation of material in this publication do not imply the expression of any opinion whatsoever on the part of the Secretariat of the United Nations concerning the legal status of any country, territory, city or area, or of its authorities, or concerning the delimitation of its frontiers or for permission to reproduce this work are welcomed and should be sent to the Secretary of the Publications Board, United Nations Headquarters, New York, 10017, or also see the website of the Board: Governments and their institutions may reproduce this work without prior authorization but are requested to mention the source and inform the United Nations of such production.

2 English, Publishing and Library Section, United Nations Office at United Nations Office on Drugs and Crime (UNODC) would like to express its gratitude to Anneke Osse, a consultant based in the Netherlands, who prepared the final text of this Handbook on police accountability , oversight and integrity , and to Graham Dossett, a consultant based in the United Kingdom, who provided the initial draft for the Handbook . UNODC also wishes to acknowledge the valuable contributions received from experts from a range of backgrounds, including police officers, members of independent oversight bodies, international consultants, human rights activists and academics, in particular:Pierre Aepli, Etannibi Alemika, Josef Roy Benedict, Mick Beyers, Tom Davies, Quirine Eijkman, Hugo Fr hling, Emma Gardner, Roger Gaspar, Cecil Griffiths, Martin Hardy, Kees Hindriks, Lilian Mahiri, Walter McKay, Swati Mehta, Edgar Mohar, Rachel Neild, Gillian Nevins, Sergei Nikitin, Vivienne O Connor, Tim Parritt, Sanjay Patil, Kathrin Quesada, John Ralston, Lauri Sivonen, Everett Summerfield, Sean Tait, Daniel De Torres, Lars van Troost and Tommy following UNODC staff also contributed to the Handbook throughout its development.

3 Estela Maris Deon, Anna Giudice Saget, Ajit Joy, Erik Larson, Pierre Lapaque, Val rie Lebaux, Danielle Murdoch, Nivio Nascimento, Emanuele Pitto, Venkata Rama Sastry, Mark Shaw, Mia Spolander, Oliver Stolpe, Arnaud Tasciyan, Sandra Valle and Dimitri Vlassis. ivSummaryFor the purposes of the present Handbook , accountability is defined as a system of internal and external checks and balances aimed at ensuring that police carry out their duties properly and are held responsible if they fail to do so. Such a system is meant to uphold police integrity and deter misconduct and to restore or enhance public confidence in policing. police integrity refers to normative and other safeguards that keep police from misusing their powers and abusing their rights and privileges. For the police to be able to take responsibility for actions and wrongdoings, they need to receive proper direction. They also need to be well-prepared and equipped to carry out their functions in a professional way, and need to be assured of proper working conditions.

4 Line managers must supervise their staff, and police actions and operations need to be reviewed and evaluated. Moreover, effective accountability requires a proper complaints system that is easily accessible to the public and that can effectively investigate allegations and recommend disciplinary sanctions or refer cases for criminal prosecution. It should also be able to make recommendations that target the underlying causes of police accountability involves many different actors representing the different layers of modern-day democracies, including government representatives, the parlia-ment, the judiciary, civil society actors and independent oversight bodies such as national human rights institutions. Primarily, it involves the police elements of an effective police accountability system include: "Legislation (in line with international human rights law) specifying the func-tions and powers of the police "Practical instructions based on the legislation that reflect both the spirit and the letter of the law "Opportunities for the public to voice their concerns "Policies that set priorities on how to deploy police capacity "Adequate police training, both basic and ongoing "Equipment that is adequate for prescribed police functions "Proper reporting procedures and facilities "Adequate supervision that supports officers in carrying out their duties professionally and reporting these correctly "A working culture that promotes transparency and evaluation "Monitoring of police actions and operations by both police leadership and external organs "Complaints procedures, both for making complaints to the police directly and to independent bodies "Fair and effective procedures and policies on how to deal with misconduct, including both disciplinary and criminal codes.

5 Adequate investigative capacity, procedures for punishment and appeal proceduresv "An independent body to oversee such procedures "Scrutiny and oversight involving feedback to the police in order to improve future activities and prevent future wrongdoings "Evaluation and complaints procedures that contribute to the development of new policies, procedures and instructions "Reliable statistics on police performance, related both to effectiveness in deal-ing with crime and public order, as well as to their integrity and public confidence "Procedures for overseeing the feedback, evaluation and complaints procedures and statisticsviiContentsPageAcknowledgement s ..iiiSummary ..ivIntroduction ..1 Chapter .1 ..A .comprehensive .structure .for .effective . police .. accountability ..5 Chapter .2 ..Obligations .and .responsibilities .under .international .legal .standards ..21 Chapter .3 ..Dealing .with .complaints .against .the . police .

6 33 Chapter .4 ..Before .and .after . police .actions .and .operations: ..establishing .independent . police . oversight .and ..complaints .bodies ..49 Chapter .5 ..Before, .during .and .after . police .actions .and .operations: .strengthening .internal . accountability .and .promoting .. police . integrity ..75 Chapter .6 ..Before .and .after . police .operations .and .actions: ..strengthening . accountability .to .the .State ..93 Chapter .7 ..Before . police .operations .and .actions: ..engaging .the .public the .role .of .civil .society ..101 Chapter .8 ..Road .map .for .effective . accountability .and ..promotion .of . integrity ..111 Annexes ..I ..An .overview .of .international .instruments .relevant .to .policing ..117 .II ..International .Code .of .Conduct .for .Public .Officials ..119 .III ..International .Criminal . police .Organization .(INTERPOL) ..standards ..121 Bibliography ..1311 IntroductionLaw enforcement institutions are entrusted with a diverse set of tasks requiring a high degree of integrity within police agencies and their oversight .

7 Where this does not func-tion well, law enforcement officers may become vulnerable to acting unlawfully and outside their remit. In post-conflict societies in particular, but also in many non-conflict situations, police reform interventions are much needed, often in the form of retraining for police officers with a particular focus on human rights principles. In addition, a longer-term effort is required to establish a framework for police oversight and account-ability in order to strengthen integrity within systems of to enhance police oversight and accountability must focus on three key, related priorities. Firstly, where policing has been militarized2 and may be undemocratic and authoritarian, efforts must be made to enhance civilian control over the police . Sec-ondly, it is necessary to increase public confidence in the police by upgrading levels of police service delivery as well as by investigating and acting in cases of police miscon-duct.

8 Finally, reducing corruption within the police is crucial. The present Handbook is one of the practical tools developed by UNODC to support countries in the implementation of the rule of law and the development of criminal justice reform. It aims to assist countries in their efforts to develop effective systems of oversight and accountability within their law enforcement authorities and enhance police integrity , and it addresses issues including: "Enhancement of police integrity and the integrity of policing1 William G. O Neill, police Reform and Human Rights: A HURIST Document (New York, Joint Human Rights Strengthening Programme of the United Nations Development Programme and the Office of the High Commis-sioner for Human Rights (HURIST), 2004). In the past decade, a number of publications have been released col-lating the main lessons learned in relation to police reform in post-conflict situations but also as a component of conflict prevention strategies.

9 See for example David H. Bayley, Democratizing the police Abroad: What to Do and How to Do It, Issues in International Crime (Washington, , United States of America, Department of Justice, National Institute of Justice, June 2001), available from ; Otwin Marenin, Restoring Policing Systems in Conflict Torn Nations: Process, Problems, Prospects, Occasional Paper, No. 7 (Geneva, Geneva Centre for the Democratic Control of Armed Forces, June 2005), available from and Wil-liam G. O Neill, police reform in post-conflict societies: what we know and what we still need to know , Policy paper (New York, International Peace Academy, 2005). Available from That is, military in style, culture and operations and sometimes in fact, when the police have been part of the ON police accountability , oversight AND INTEgRITy2 INTRODUCTION "Dealing with complaints about policing (receipt, investigation and follow-up) "Setting policing priorities and encouraging policy input, including from outside the police " Inviting external review, including from independent actorsThe key players in enhancing police accountability are police officers themselves, as the prime bearers of responsibility for the integrity of the police force.

10 The next most impor-tant players are independent police oversight bodies. Other State institutions, most notably the Ministry of the Interior,3 and civil society, are also of crucial importance. The present Handbook aims to describe an integrated approach to installing an effective police accountability system, including both preventive and corrective measures, and to explain the role and functions of the different actors in this audience of the Handbook The intended users of the present Handbook are policymakers and those working at the strategic or management level in police agencies. Parliamentarians and civil society organizations engaged in activities related to improving police accountability , integrity and civilian police oversight may also find it useful. Overview of chaptersChapter I gives an overview of the principles relevant to democratic policing. The key to restoring or enhancing public confidence in the police is openness to external review and oversight .