principles and concept of democratic policing

Principles and Concept Principles and Concept of Democratic Policingof Democratic Policing

Dr. Markus H.F. MohlerDr. Markus H.F. MohlerLecturer on public, especially safety/security Lecturer on public, especially safety/security

and police law at the University of Baseland police law at the University of Basel

10th Young Faces Network Event: “Police Reform and Cooperation in the Western Balkans on the Path to EU

Integration” Geneva, 15/16 July 2009

Geneva Centre for theDemocratic Control of Armed Forces (DCAF)

MHFMMHFM Principles of Democratic Policing, DCPrinciples of Democratic Policing, DCAF, Geneva, 15 July 2009AF, Geneva, 15 July 2009

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What means “Police”?What means “Police”?PoliteiaPoliteia (old Greek: (old Greek: πολιτείαπολιτεία))– Constitution, lawConstitution, law– Politics, policyPolitics, policy– Application of the lawApplication of the law– Law enforcementLaw enforcement

Forms of Forms of goodgood lifelife in a city: virtues, in a city: virtues, happiness (eudaimonia), knowledge happiness (eudaimonia), knowledge ((AristotleAristotle))

ETHICSETHICS ( (ηθοςηθος) ) as fundament of any as fundament of any πολιτείαπολιτεία


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What means “Police”?What means “Police”?

This original (and etymological) This original (and etymological) closeness of politics and police closeness of politics and police

does today does today notnot mean that mean that the police is the the police is the mere instrument mere instrument

of policies and politiciansof policies and politicians

Prerequisites for Prerequisites for Democratic PolicingDemocratic Policing


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What means “democratic” ?What means “democratic” ?

Democracy (old Greek: Democracy (old Greek: Δημοκρατία)Δημοκρατία)– PeoplePeople (δημος) (δημος) and to rule / to control / and to rule / to control /

to govern (to govern (κρατία)κρατία)

Democracy is Democracy is more thanmore than aa formalformal set-up set-up of state structures, such as e.g.of state structures, such as e.g.– elections every so many yearselections every so many years– mere formal separation of powersmere formal separation of powers– formal issuing lawsformal issuing laws


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Democracy addresses the Democracy addresses the substancesubstance of of governing by the peoplegoverning by the people– What’s all bout?What’s all bout?

Knowledge, transparency, comprehension, Knowledge, transparency, comprehension, opinion buildingopinion building

– Influencing, decision shaping and makingInfluencing, decision shaping and makingElection of individual people, not just partiesElection of individual people, not just parties

Freedom of speech, media, right to petitionFreedom of speech, media, right to petition

Referenda on crucial issuesReferenda on crucial issues


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Democracy addresses the Democracy addresses the substance of substance of governing by the people (II)governing by the people (II)– Full independence of all 3 powersFull independence of all 3 powers

e.g. ban of voting instructions for e.g. ban of voting instructions for parliamentariansparliamentarianse.g. parliamentary instruments to challenge e.g. parliamentary instruments to challenge the governmentthe governmente.g. e.g. real real independence of the judiciary (inc. independence of the judiciary (inc. prosecution)prosecution)


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Democracy addresses the Democracy addresses the substance of governing by the substance of governing by the people (III)people (III)– Rule of lawRule of law

(Parliamentary) procedure allowing to get informed (Parliamentary) procedure allowing to get informed and to build opinionsand to build opinions

Preciseness of wording (transparency)Preciseness of wording (transparency)

Open/transparent participative decision Open/transparent participative decision shaping/takingshaping/taking

– Allowing public debate before passing lawsAllowing public debate before passing laws– Public sessions of parliament, competent Public sessions of parliament, competent

reporting through mediareporting through media


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Why all that?Why all that?

Policing: Policing: enforcement of these lawsenforcement of these laws

Democratic PolicingDemocratic Policing: To enforce only : To enforce only laws which have been adopted laws which have been adopted democraticallydemocratically– i.e. understood and accepted by he i.e. understood and accepted by he

majority of the people (sovereign?!)majority of the people (sovereign?!)– following principles of the rule of lawfollowing principles of the rule of law


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What are the Principles What are the Principles of the Rule of Law?of the Rule of Law?

Protection of the human and fundamental rightsProtection of the human and fundamental rights

Principle of legalityPrinciple of legality

Principle of proportionalityPrinciple of proportionality

All state actions only if in public interestAll state actions only if in public interest

All in good faith (bona fide)All in good faith (bona fide)

Conformity with international law, esp. European Conformity with international law, esp. European Convention on Human RightsConvention on Human Rights

For police onlyFor police only: principle to focus on perpetrator : principle to focus on perpetrator in the first placein the first place


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Protection of Human RightsProtection of Human Rights

The Bearing of Art. 2 and 3 ECHRThe Bearing of Art. 2 and 3 ECHR

Prohibition for the State Prohibition for the State to Violate these to Violate these Fundamental RightsFundamental Rights

(“Negative Obligation”)(“Negative Obligation”)

Duty of the State to Protect Duty of the State to Protect Against Violation of these Against Violation of these Fundamental Rights also if Fundamental Rights also if perpetration by Third perpetration by Third Parties (“Positive – or Parties (“Positive – or Protection- – Obligation”)Protection- – Obligation”)

In case of Violation: Duty of the State to Investigate and In case of Violation: Duty of the State to Investigate and Establish the Cause/the ResponsiblesEstablish the Cause/the Responsibles


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Principle of legality:Principle of legality:

the laws are the laws are bases and limitsbases and limits of all of all policing:policing:

– active principleactive principle: the police has to act if : the police has to act if conditions are givenconditions are given

– passive principlepassive principle: actions only based on the : actions only based on the lawlaw

BasisL

imits

Lim

its


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Principle of proportionalityPrinciple of proportionality (protection of (protection of rights): rights): 2 sides2 sides– Intervention necessary?Intervention necessary?– Methods and means suitable, effective?Methods and means suitable, effective?

> > achieving the legitimate goal with the least achieving the legitimate goal with the least intrusion into fundamental rightsintrusion into fundamental rights

– Intervention reasonable/acceptable as Intervention reasonable/acceptable as compared to the goal of the intervention?compared to the goal of the intervention?

Public interestPublic interest– In the interest of the In the interest of the society as a wholesociety as a whole– Impartiality, no partisan favoursImpartiality, no partisan favours– Efficiency, economic Efficiency, economic


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Good faithGood faith– Credibility, TrustworthinessCredibility, Trustworthiness– Sticking to the legal tasks (e.g. data Sticking to the legal tasks (e.g. data

management, protection)management, protection)– TransparencyTransparency

International LawInternational Law– ECHR, UN Pact IIECHR, UN Pact II– Implementation of international conventionsImplementation of international conventions

Application and enforcement of int’l. conventionsApplication and enforcement of int’l. conventions

– Quality standards re international co-operationQuality standards re international co-operation


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Principle to focus on perpetrator (or Principle to focus on perpetrator (or danger) in the first placedanger) in the first place– Law and public interest require police to focus Law and public interest require police to focus

on perpetrator (or danger) in the first place on perpetrator (or danger) in the first place and not on victim, if at all possibleand not on victim, if at all possible


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Concept of Democratic PolicingConcept of Democratic Policing

Overall objectives:Overall objectives:– toto serve serve the peoplethe people, the society, the society– to to behave and perform ethicallybehave and perform ethically, always, always– to to adhere to the principlesadhere to the principles without without

exceptionsexceptions– to to ensure best quality of performanceensure best quality of performance– to to strive forstrive for utmost utmost transparencytransparency where- where-

and whenever possibleand whenever possible– to ensure to ensure accountabilityaccountability


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RequirementsRequirementsAll organisational criteria follow objectivesAll organisational criteria follow objectives– Human resources managementHuman resources management (selection, (selection,

training, leadership, enforcement of rules)training, leadership, enforcement of rules)– ProceduresProcedures– StructuresStructures– InfrastructureInfrastructure– EquipmentEquipment– MonitoringMonitoring

InternalInternal

ExternalExternal


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Human ResourcesHuman Resources

Selection criteria:Selection criteria:– Quality requirements and non-discriminationQuality requirements and non-discrimination

Categories of employees/civil servantsCategories of employees/civil servants

Permanent review of accuracy of criteriaPermanent review of accuracy of criteria

– Transparent regulations and procedures for allTransparent regulations and procedures for all– Negative decisions subject to reviewNegative decisions subject to review


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TrainingTraining– Sufficient Sufficient initial/basic traininginitial/basic training

Secure excellent internal and external trainersSecure excellent internal and external trainersEmphasis on humanities, Emphasis on humanities, ethics in policingethics in policingTactics and techniques as basis/support for best Tactics and techniques as basis/support for best possible human approachpossible human approachContribution to positive organisational culture Contribution to positive organisational culture (internal and external human relations)(internal and external human relations)Clarity on consequences for unethical behaviourClarity on consequences for unethical behaviour

– Regular in-service/continued trainingRegular in-service/continued trainingSet-up scheme (frequency, selection of topics / Set-up scheme (frequency, selection of topics / trainees)trainees)


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TrainingTraining– Promotional trainingPromotional training, promotion, promotion

Selection for promotional training based on Selection for promotional training based on professionalprofessional merits only banning any discrimination merits only banning any discrimination

Avoid any favouritismAvoid any favouritism

Promotion only after passing final exam of Promotion only after passing final exam of promotional trainingpromotional training

Emphasis on (human resources) management and Emphasis on (human resources) management and participative leadership/decision shaping and taking participative leadership/decision shaping and taking proceduresprocedures

– Specialists’ trainingSpecialists’ training


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ProceduresProcedures

Establish, introduce, stick to and enforceEstablish, introduce, stick to and enforce– Standard operational procedures (SOPs)Standard operational procedures (SOPs)– Standards of performance (StOPs)Standards of performance (StOPs)> breaking down all combined legal rquirements > breaking down all combined legal rquirements

in feasible manualsin feasible manualsto ensure best quality of overall police service to ensure best quality of overall police service – Review standards regularly for optimisation if Review standards regularly for optimisation if

necessarynecessary


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Structures, Infrastructure, EquipmentStructures, Infrastructure, Equipment

Structures follow procedures and Structures follow procedures and procedures follow objectivesprocedures follow objectives

Avoid “divide and rule”!Avoid “divide and rule”!

Structures as flat, transparent and open Structures as flat, transparent and open as possible supporting co-operation in all as possible supporting co-operation in all directionsdirections

Equipment and infrastructure need to Equipment and infrastructure need to allow the service with required qualityallow the service with required quality


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MonitoringMonitoringImportance cannot be overemphasised Importance cannot be overemphasised Watertight Watertight systemsystem controlling necessary controlling necessary– Internal:Internal:

Checks of police reportsChecks of police reportsField observationField observationChecks of quality of trainingChecks of quality of trainingquality circlesquality circles

– ExternalExternalExchange with prosecution, courts, NGOsExchange with prosecution, courts, NGOsCourt cases, complaints serviceCourt cases, complaints serviceMedia reviewMedia reviewIf installed: ombudspersonIf installed: ombudsperson


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Monitoring (II)Monitoring (II)Watertight Watertight systemsystem controlling necessarycontrolling necessary– Establish Establish priority of criteriapriority of criteria for controlling for controlling

Human rightsHuman rights

Legality in all respects (anti-corruption strategy!)Legality in all respects (anti-corruption strategy!)

Other aspects of performance quality (other Other aspects of performance quality (other principles) and strategies, strategic meansprinciples) and strategies, strategic means

Economic organisation and performance (taxpayers’ Economic organisation and performance (taxpayers’ money!)money!)

Organisational cultureOrganisational culture

– Don’t search for mistakes, find solutions for Don’t search for mistakes, find solutions for improvementsimprovements


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Monitoring (III)Monitoring (III)

Watertight Watertight systemsystem controlling necessary controlling necessary– Establish scheme of follow-up /reactions to Establish scheme of follow-up /reactions to

findingsfindingsIdentify reasons for shortcomings (procedure!)Identify reasons for shortcomings (procedure!)

– Organisational or individual or both?Organisational or individual or both?– Resistance against SOPs/StOPs, changes/reasons for?Resistance against SOPs/StOPs, changes/reasons for?

Establish possible consequences / sanctions for Establish possible consequences / sanctions for individual shortcomings / mistakes or worse individual shortcomings / mistakes or worse ((accountability!)accountability!)

– Check effectiveness and efficiency of Check effectiveness and efficiency of monitoringmonitoring


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Strategy and Strategic MeansStrategy and Strategic Means

Strategy:Strategy:

Community Policing (CP)Community Policing (CP)– Interaction with citizensInteraction with citizens– Established interagency co-operation Established interagency co-operation

locally, nationally, regionally, farther locally, nationally, regionally, farther internationally (inc. NGOs)internationally (inc. NGOs)

Strategic means:Strategic means:

Intelligence Led Policing (ILP)Intelligence Led Policing (ILP)


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Plan, obtain Plan, obtain resourcesresources

Prepare all elements, test

Implement

Prepare monitoring

Service performance

Monitor service

Evaluate performance

Gap analysis

Objectives, PrinciplesObjectives, Principles

Society, Society, communitycommunity

principles and concept of democratic policing

Documents

lawsdemocratic policing

geneva centre

police law

eu integration geneva

police reform

human rightsfor police

substance of governing

people sovereign