principles and concept of democratic policing dr. markus h.f. mohler lecturer on public, especially...
TRANSCRIPT
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
22
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
MHFMMHFM Principles of Democratic Policing, DCPrinciples of Democratic Policing, DCAF, Geneva, 15 July 2009AF, Geneva, 15 July 2009
33
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
MHFMMHFM Principles of Democratic Policing, DCPrinciples of Democratic Policing, DCAF, Geneva, 15 July 2009AF, Geneva, 15 July 2009
55
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
MHFMMHFM Principles of Democratic Policing, DCPrinciples of Democratic Policing, DCAF, Geneva, 15 July 2009AF, Geneva, 15 July 2009
66
What means “democratic” ?What means “democratic” ?
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
MHFMMHFM Principles of Democratic Policing, DCPrinciples of Democratic Policing, DCAF, Geneva, 15 July 2009AF, Geneva, 15 July 2009
77
What means “democratic” ?What means “democratic” ?
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)
MHFMMHFM Principles of Democratic Policing, DCPrinciples of Democratic Policing, DCAF, Geneva, 15 July 2009AF, Geneva, 15 July 2009
88
What means “democratic” ?What means “democratic” ?
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
MHFMMHFM Principles of Democratic Policing, DCPrinciples of Democratic Policing, DCAF, Geneva, 15 July 2009AF, Geneva, 15 July 2009
99
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
MHFMMHFM Principles of Democratic Policing, DCPrinciples of Democratic Policing, DCAF, Geneva, 15 July 2009AF, Geneva, 15 July 2009
1010
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
MHFMMHFM Principles of Democratic Policing, DCPrinciples of Democratic Policing, DCAF, Geneva, 15 July 2009AF, Geneva, 15 July 2009
1111
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
MHFMMHFM Principles of Democratic Policing, DCPrinciples of Democratic Policing, DCAF, Geneva, 15 July 2009AF, Geneva, 15 July 2009
1212
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
MHFMMHFM Principles of Democratic Policing, DCPrinciples of Democratic Policing, DCAF, Geneva, 15 July 2009AF, Geneva, 15 July 2009
1313
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
MHFMMHFM Principles of Democratic Policing, DCPrinciples of Democratic Policing, DCAF, Geneva, 15 July 2009AF, Geneva, 15 July 2009
1414
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
MHFMMHFM Principles of Democratic Policing, DCPrinciples of Democratic Policing, DCAF, Geneva, 15 July 2009AF, Geneva, 15 July 2009
1515
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
MHFMMHFM Principles of Democratic Policing, DCPrinciples of Democratic Policing, DCAF, Geneva, 15 July 2009AF, Geneva, 15 July 2009
1616
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
MHFMMHFM Principles of Democratic Policing, DCPrinciples of Democratic Policing, DCAF, Geneva, 15 July 2009AF, Geneva, 15 July 2009
1717
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
MHFMMHFM Principles of Democratic Policing, DCPrinciples of Democratic Policing, DCAF, Geneva, 15 July 2009AF, Geneva, 15 July 2009
1818
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
MHFMMHFM Principles of Democratic Policing, DCPrinciples of Democratic Policing, DCAF, Geneva, 15 July 2009AF, Geneva, 15 July 2009
1919
Human ResourcesHuman Resources
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)
MHFMMHFM Principles of Democratic Policing, DCPrinciples of Democratic Policing, DCAF, Geneva, 15 July 2009AF, Geneva, 15 July 2009
2020
Human ResourcesHuman Resources
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
MHFMMHFM Principles of Democratic Policing, DCPrinciples of Democratic Policing, DCAF, Geneva, 15 July 2009AF, Geneva, 15 July 2009
2121
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
MHFMMHFM Principles of Democratic Policing, DCPrinciples of Democratic Policing, DCAF, Geneva, 15 July 2009AF, Geneva, 15 July 2009
2222
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
MHFMMHFM Principles of Democratic Policing, DCPrinciples of Democratic Policing, DCAF, Geneva, 15 July 2009AF, Geneva, 15 July 2009
2323
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
MHFMMHFM Principles of Democratic Policing, DCPrinciples of Democratic Policing, DCAF, Geneva, 15 July 2009AF, Geneva, 15 July 2009
2424
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
MHFMMHFM Principles of Democratic Policing, DCPrinciples of Democratic Policing, DCAF, Geneva, 15 July 2009AF, Geneva, 15 July 2009
2525
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
MHFMMHFM Principles of Democratic Policing, DCPrinciples of Democratic Policing, DCAF, Geneva, 15 July 2009AF, Geneva, 15 July 2009
2626
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)
MHFMMHFM Principles of Democratic Policing, DCPrinciples of Democratic Policing, DCAF, Geneva, 15 July 2009AF, Geneva, 15 July 2009
2727
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