Principles and Concept of Democratic Policing

1. 10th Young Faces Network Event: “Police Reform and Cooperation in the Western Balkans on the Path to EU Integration” Geneva, 15/16 July 2009 Principles and Concept of Democratic Policing Geneva Centre for the Democratic Control of Armed Forces (DCAF) Dr. Markus H.F. Mohler Lecturer on public, especially safety/security and police law at the University of Basel

2. What means “Police”? • Politeia (old Greek: πολιτεία) • Constitution, law • Politics, policy • Application of the law • Law enforcement • Forms of goodlife in a city: virtues, happiness (eudaimonia), knowledge (Aristotle) • ETHICS (ηθος) as fundament of any πολιτεία Principles of Democratic Policing, DCAF, Geneva, 15 July 2009

3. What means “Police”? This original (and etymological) closeness of politics and police does today not mean that the police is the mere instrument of policies and politicians Principles of Democratic Policing, DCAF, Geneva, 15 July 2009

4. Prerequisites for Democratic Policing

5. What means “democratic” ? • Democracy (old Greek: Δημοκρατία) • People (δημος) and to rule / to control / to govern (κρατία) • Democracy is more thanaformal set-up of state structures, such as e.g. • elections every so many years • mere formal separation of powers • formal issuing laws Principles of Democratic Policing, DCAF, Geneva, 15 July 2009

6. What means “democratic” ? • Democracy addresses the substance of governing by the people • What’s all bout? • Knowledge, transparency, comprehension, opinion building • Influencing, decision shaping and making • Election of individual people, not just parties • Freedom of speech, media, right to petition • Referenda on crucial issues Principles of Democratic Policing, DCAF, Geneva, 15 July 2009

7. What means “democratic” ? • Democracy addresses the substance of governing by the people (II) • Full independence of all 3 powers • e.g. ban of voting instructions for parliamentarians • e.g. parliamentary instruments to challenge the government • e.g. real independence of the judiciary (inc. prosecution) Principles of Democratic Policing, DCAF, Geneva, 15 July 2009

8. What means “democratic” ? • Democracy addresses the substance of governing by the people (III) • Rule of law • (Parliamentary) procedure allowing to get informed and to build opinions • Preciseness of wording (transparency) • Open/transparent participative decision shaping/taking • Allowing public debate before passing laws • Public sessions of parliament, competent reporting through media Principles of Democratic Policing, DCAF, Geneva, 15 July 2009

9. Why all that? • Policing: enforcement of these laws • Democratic Policing: To enforce only laws which have been adopted democratically • i.e. understood and accepted by he majority of the people (sovereign?!) • following principles of the rule of law Principles of Democratic Policing, DCAF, Geneva, 15 July 2009

10. What are the Principles of the Rule of Law? • Protection of the human and fundamental rights • Principle of legality • Principle of proportionality • All state actions only if in public interest • All in good faith (bona fide) • Conformity with international law, esp. European Convention on Human Rights • For police only: principle to focus on perpetrator in the first place Principles of Democratic Policing, DCAF, Geneva, 15 July 2009

11. Protection of Human Rights The Bearing of Art. 2 and 3 ECHR Duty of the State to Protect Against Violation of these Fundamental Rights also if perpetration by Third Parties (“Positive – or Protection- – Obligation”) Prohibition for the State to Violate these Fundamental Rights (“Negative Obligation”) In case of Violation: Duty of the State to Investigate and Establish the Cause/the Responsibles Principles of Democratic Policing, DCAF, Geneva, 15 July 2009

12. Principle of legality: the laws are bases and limits of all policing: • active principle: the police has to act if conditions are given • passive principle: actions only based on the law Limits Basis Limits Principles of Democratic Policing, DCAF, Geneva, 15 July 2009

13. Principle of proportionality (protection of rights): 2 sides • Intervention necessary? • Methods and means suitable, effective? > achieving the legitimate goal with the least intrusion into fundamental rights • Intervention reasonable/acceptable as compared to the goal of the intervention? • Public interest • In the interest of the society as a whole • Impartiality, no partisan favours • Efficiency, economic Principles of Democratic Policing, DCAF, Geneva, 15 July 2009

14. Good faith • Credibility, Trustworthiness • Sticking to the legal tasks (e.g. data management, protection) • Transparency • International Law • ECHR, UN Pact II • Implementation of international conventions • Application and enforcement of int’l. conventions • Quality standards re international co-operation Principles of Democratic Policing, DCAF, Geneva, 15 July 2009

15. Principle to focus on perpetrator (or danger) in the first place • Law and public interest require police to focus on perpetrator (or danger) in the first place and not on victim, if at all possible Principles of Democratic Policing, DCAF, Geneva, 15 July 2009

16. Concept of Democratic Policing • Overall objectives: • toserve the people, the society • to behave and perform ethically, always • to adhere to the principles without exceptions • to ensure best quality of performance • to strive for utmost transparency where- and whenever possible • to ensure accountability Principles of Democratic Policing, DCAF, Geneva, 15 July 2009

17. Requirements • All organisational criteria follow objectives • Human resources management (selection, training, leadership, enforcement of rules) • Procedures • Structures • Infrastructure • Equipment • Monitoring • Internal • External Principles of Democratic Policing, DCAF, Geneva, 15 July 2009

18. Human Resources • Selection criteria: • Quality requirements and non-discrimination • Categories of employees/civil servants • Permanent review of accuracy of criteria • Transparent regulations and procedures for all • Negative decisions subject to review Principles of Democratic Policing, DCAF, Geneva, 15 July 2009

19. Human Resources • Training • Sufficient initial/basic training • Secure excellent internal and external trainers • Emphasis on humanities, ethics in policing • Tactics and techniques as basis/support for best possible human approach • Contribution to positive organisational culture (internal and external human relations) • Clarity on consequences for unethical behaviour • Regular in-service/continued training • Set-up scheme (frequency, selection of topics / trainees) Principles of Democratic Policing, DCAF, Geneva, 15 July 2009

20. Human Resources • Training • Promotional training, promotion • Selection for promotional training based on professional merits only banning any discrimination • Avoid any favouritism • Promotion only after passing final exam of promotional training • Emphasis on (human resources) management and participative leadership/decision shaping and taking procedures • Specialists’ training Principles of Democratic Policing, DCAF, Geneva, 15 July 2009

21. Procedures • Establish, introduce, stick to and enforce • Standard operational procedures (SOPs) • Standards of performance (StOPs) > breaking down all combined legal rquirements in feasible manuals to ensure best quality of overall police service • Review standards regularly for optimisation if necessary Principles of Democratic Policing, DCAF, Geneva, 15 July 2009

22. Structures, Infrastructure, Equipment • Structures follow procedures and procedures follow objectives • Avoid “divide and rule”! • Structures as flat, transparent and open as possible supporting co-operation in all directions • Equipment and infrastructure need to allow the service with required quality Principles of Democratic Policing, DCAF, Geneva, 15 July 2009

23. Monitoring • Importance cannot be overemphasised • Watertight system controlling necessary • Internal: • Checks of police reports • Field observation • Checks of quality of training • quality circles • External • Exchange with prosecution, courts, NGOs • Court cases, complaints service • Media review • If installed: ombudsperson Principles of Democratic Policing, DCAF, Geneva, 15 July 2009

24. Monitoring (II) • Watertight systemcontrolling necessary • Establish priority of criteria for controlling • Human rights • Legality in all respects (anti-corruption strategy!) • Other aspects of performance quality (other principles) and strategies, strategic means • Economic organisation and performance (taxpayers’ money!) • Organisational culture • Don’t search for mistakes, find solutions for improvements Principles of Democratic Policing, DCAF, Geneva, 15 July 2009

25. Monitoring (III) • Watertight system controlling necessary • Establish scheme of follow-up /reactions to findings • Identify reasons for shortcomings (procedure!) • Organisational or individual or both? • Resistance against SOPs/StOPs, changes/reasons for? • Establish possible consequences / sanctions for individual shortcomings / mistakes or worse (accountability!) • Check effectiveness and efficiency of monitoring Principles of Democratic Policing, DCAF, Geneva, 15 July 2009

26. Strategy and Strategic Means • Strategy: Community Policing (CP) • Interaction with citizens • Established interagency co-operation locally, nationally, regionally, farther internationally (inc. NGOs) • Strategic means: Intelligence Led Policing (ILP) Principles of Democratic Policing, DCAF, Geneva, 15 July 2009

27. Objectives, Principles Plan, obtain resources Prepare all elements, test Gap analysis Society, community Evaluate performance Implement Service performance Monitor service Prepare monitoring Principles of Democratic Policing, DCAF, Geneva, 15 July 2009