1. Principles and Concept of Democratic Policing Dr. Markus H.F. Mohler Lecturer on public, especially safety/security and 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 the Democratic Control of Armed Forces (DCAF)

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

3. MHFM 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

4. Prerequisites for Democratic Policing

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

6. MHFM 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

7. MHFM 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)

8. MHFM 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

9. MHFM 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

10. MHFM 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

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

12. MHFM 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 Basis Limits

13. MHFM 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

14. MHFM 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

15. MHFM 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

16. MHFM Principles of Democratic Policing, DCAF, Geneva, 15 July 2009 16 Concept of Democratic Policing Overall objectives: –to serve 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

17. MHFM 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 InternalExternal

18. MHFM 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

19. MHFM 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)

20. MHFM 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

21. MHFM 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

22. MHFM 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

23. MHFM 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

24. MHFM Principles of Democratic Policing, DCAF, Geneva, 15 July 2009 24 Monitoring (II) Watertight system controlling 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

25. MHFM 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

26. MHFM 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)

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