Resource book on the use of force and firearms in law enforcement CRIMINAL JUSTICE HANDBOOK SERIES OFFICE OF THE UNITED NATIONS HIGH COMMISSIONER FOR HUMAN RIGHTS UNITED NATIONS OFFICE ON DRUGS AND CRIME Resource book on the use of force and firearms in law enforcement UNITED NATIONS New York, 2017 © 2017 United Nations This work is available open access by complying with the Creative Commons licence created for inter-governmental organizations, available at http://creativecommons.org/licenses/by/3.0/igo/ Publishers must remove the original emblems from their edition and create a new cover design. Translations must bear the following disclaimer: “The present work is an unofficial translation for which the publisher accepts full responsibility.” Publishers should e-mail the file of their edition to [email protected]. Photocopies and reproductions of excerpts are allowed with proper credits. United Nations publication issued by the United Nations Office on Drugs and Crime (UNODC) and the Office of the United Nations High Commissioner for Human Rights (OHCHR). HR/PUB/17/6 (OHCHR) Cover photograph: © iStock/kelvinjay Publishing production: English, Publishing and Library Section, United Nations Office at Vienna. This publication has not been formally edited. The description and classification of countries and territories in this publication and the arrangement of the material 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 boundaries, or regarding its economic system or degree of development. Acknowledgements The resource book is the result of a joint effort by the United Nations Office on Drugs and Crime (UNODC) and the Office of the United Nations High Commissioner for Human Rights (OHCHR), with the financial and substantive support of the Swiss Ministry of Foreign Affairs and the financial support of the Ministry of Foreign Affairs of Norway. The publication benefited from information gathered at an expert meeting held in Vienna in May 2015, as well as through two regional expert meetings organized by the Geneva Academy of International Humanitarian Law and Human Rights and UNODC, respectively in Buenos Aires, from 8 to 9 May 2014 and Tunis, from 26 to 28 January 2015. The contributions received from the following experts are hereby acknowledged with appreciation: Otto Adang, Netherlands Police Academy; Stuart Casey-Maslen, Consultant to Professor Christof Heyns, University of Pretoria and former United Nations Special Rapporteur on extra- judicial, summary or arbitrary executions; Neil Corney, Omega Research Foundation; Milena Costas Trascasas, Consultant; Omer Fisher, OSCE Office for Democratic Institutions and Human Rights (ODHIR); Chris Graveson, Consultant; Robert Grinstead, Consultant; Hilarius (Lars) Huybrechts, International Committee of the Red Cross (ICRC); Neil Jarman, Institute for the Study of Conflict Transformation and Social Justice, Queen’s University Belfast; Chair, OSCE Panel of Experts on Freedom of Peaceful Assembly; Tim Mairs, Police Service of Northern Island (PSNI); Simon Martin, Consultant, former police officer (United Kingdom); Miriam Minder, Swiss Government; Ruth Montgomery, Consultant; Jacob Punnoose, India National Police; David Rosset, Office of the Police Commissioner, United Nations Mission in South Sudan; Matthew Sands, Legal adviser, Association for the Prevention of Torture; Olafimihan Adeoye, Deputy Commissioner of Police (DCP) Operations, Nigerian Police Force, Awka-Anambra State HQ; Ignacio Cano, Coordinator Laboratory for the Analysis of Violence, State University Rio de Janeiro; Maja Daruwala, Commonwealth Human Rights Initiative (CHRI), New Delhi; Uladzimir Dzenisevich, Commonwealth Human Rights Initiative (CHRI), New Delhi; Hugo Frühling, University of Chile; Roger Gaspar, Consultant, former police officer (United Kingdom); Rachel Neild, Open Society Justice Initiative (OSJI); Vivienne O’Connor, United States Institute of Peace (USIP); Ralph Price, Chicago Police Department; Darius Rejali, Reeds University; Colin Roberts, Universities Police Science Institute, former police officer (United Kingdom); Ralph Roche, Human Rights Advisor, Police Service of Northern Island (PSNI); Josiane Somdata Tapsoba, Legal Officer, African Commission on Human and Peoples’ Rights (ACHPR) Secretariat, African Union Commission (AUC), and the International Network to Promote the Rule of Law (INPROL). iii Special thanks and acknowledgement to Christof Heyns, former United Nations Special Rapporteur on extrajudicial, summary or arbitrary executions; Maina Kiai, former Special Rapporteur on the freedoms of peaceful assembly and of association; Manfred Nowak, former Special Rapporteur on torture and other cruel, inhuman or degrading treatment or punishment, and Eleanor Jenkins and Kathleen Hardy, consultants to the Special Rapporteurs. UNODC wishes to acknowledge the substantive contribution of Anneke Osse, as consultant. Contributing throughout the development of the resource book were UNODC staff Anna Giudice, Claudia Baroni, Johannes (Joop) de Haan, Mohamed Hassani, Philip Meissner, Piera Barzano, Simon Charters, Simone Heri, Ulrich Garms and Valerie Lebaux, with the support of UNODC interns Viviane Damoiseaux, Rouzbeh Mouradi and Rohan Sinha. Further contributions came from Julien Chable, Hilarius (Lars) Huybrechts, Neil Davison (ICRC) and Mehdi Benchelah (UNESCO). On behalf of OHCHR, colleagues from the Rule of Law and Democracy Section were the main contributors.* * The policy of OHCHR is not to attribute authorship of publications to individuals. Contents Acknowledgements iii List of standards cited and acronyms used vii Introduction 1 Key concepts and actors 1 PART I. SETTING THE BOUNDARIES FOR THE USE OF FORCE IN LAW ENFORCEMENT 5 1. The international legal framework for use of force in law enforcement 6 1.1. International human rights law, United Nations Standards and Norms on Crime Prevention and Criminal Justice and the use of force 6 1.2. From international law to day-to-day instructions 8 1.3. Key human rights standards related to use of force 11 1.4. Rights and obligations: respect, protect, fulfil 15 1.5. The obligations in practice: guiding principles for use of force in law enforcement 16 1.6. Use of firearms 20 2. Human rights-based approach to law enforcement: legitimacy, non-discrimination and accountability 24 2.1. Legitimacy: law enforcement by consent rather than force 24 2.2. Non-discrimination: providing fair law enforcement for all 28 2.3. Scrutiny 36 PART II. THE RESPONSIBILITY OF LAW ENFORCEMENT AUTHORITIES 41 3. Command and control 42 3.1. The role of governments and law enforcement agencies in creating the conditions necessary for professional law enforcement 42 3.2. An effective line of command 43 3.3. Orders and obedience 45 3.4. Planning for operations 47 3.5. Creating a culture of professionalism and respect for human rights 50 4. Human resources management 53 4.1. Recruitment, selection and promotion 53 4.2. Training 54 4.3. Performance management 58 4.4. Early intervention systems 60 PART III. INSTRUMENTS OF FORCE 63 5. A “range of means” to allow for a differentiated response 64 5.1. Introduction: apply non-violent means first 64 5.2. A range of means 64 5.3. Instruments of “less-lethal” force 66 5.4. How to decide when to use what type of force? 68 5.5. Use-of-force models and matrices 71 5.6. Protective gear, communication equipment and self-defence 73 5.7. Procuring instruments of force 74 v 6. Guidance for the most commonly used instruments of force in law enforcement 78 6.1. General principles for all instruments 78 6.2. Instruments of force 80 6.3. Control, storage, registration and issuance of instruments of force 100 PART IV. POLICING SITUATIONS 105 7. Public assemblies and protests 106 7.1. Introduction 106 7.2. Taking precaution: preventing the use of force 109 7.3. Use of force during assemblies 116 7.4. Allowing monitors and journalists 124 7.5. Accountability after the event 125 8. Criminal investigation 128 8.1. Introduction 128 8.2. Criminal investigation methods 128 8.3. The suspect interview 130 8.4. Measures to prevent coercion, ill-treatment and torture during a suspect interview 132 9. Stop and search, arrest and detention 135 9.1. Stop and search 135 9.2. Arrest 136 9.3. Use of force in detention 143 PART V. ACCOUNTABILITY FOR THE USE OF FORCE AND FIREARMS IN LAW ENFORCEMENT 151 10. Reporting, monitoring and review 152 10.1. Introduction 152 10.2. Collecting information: reporting afterwards and recording in “real time” 153 10.3. Collecting and analysing the data 157 11. Complaints and investigations 159 11.1. Introduction 159 11.2. Receiving and handling complaints 160 11.3. Investigations into (alleged) arbitrary or excessive use of force 162 11.4. Remedy 170 12. Independent oversight bodies 172 12.1. Introduction 172 12.2. Setting up an independent external body 173 12.3. Oversight over detention facilities 177 12.4. Report findings 179 References 180 vi List of standards cited and acronyms used ACPO Association of Chief Police Officers AEP Attenuating Energy Projectiles APP Authorized Professional Practice Basic Principles Basic Principles on the Use of Force and Firearms by Law Enforcement Officials (BPUFF) Body of Principles Body of Principles for the Protection of All Persons Under Any Form of Detention or Imprisonment BPUFF Basic Principles