I. Good governance, the independence of the judiciary and

I. Good governance, the independence ofthe judiciary and the integrityof criminal justice personnel

47. Code of Conduct for Law Enforcement Officials*

Article 1

Law enforcement officials shall at all times fulfil the duty imposed uponthem by law, by serving the community and by protecting all persons againstillegal acts, consistent with the high degree of responsibility required by theirprofession.

Commentary:1

(a) The term “law enforcement officials”, includes all officers of the law,whether appointed or elected, who exercise police powers, especially the powers of arrest or detention.

(b) In countries where police powers are exercised by military authori-ties, whether uniformed or not, or by state security forces, the definition of law enforcement officials shall be regarded as including officers of suchservices.

(c) Service to the community is intended to include particularly the ren-dition of services of assistance to those members of the community who byreason of personal, economic, social or other emergencies are in need ofimmediate aid.

(d) This provision is intended to cover not only all violent, predatory andharmful acts, but extends to the full range of prohibitions under penal statutes.It extends to conduct by persons not capable of incurring criminal liability.

343

*General Assembly resolution 34/169, annex.1The commentaries provide information to facilitate the use of the Code within the framework of

national legislation or practice. In addition, national or regional commentaries could identify specificfeatures of the legal systems and practices of different States or regional intergovernmental organiza-tions which would promote the application of the Code.

Article 2

In the performance of their duty, law enforcement officials shall respectand protect human dignity and maintain and uphold the human rights of allpersons.

Commentary:

(a) The human rights in question are identified and protected by nationaland international law. Among the relevant international instruments are theUniversal Declaration of Human Rights, the International Covenant on Civiland Political Rights, the Declaration on the Protection of All Persons from BeingSubjected to Torture and Other Cruel, Inhuman or Degrading Treatment orPunishment, the United Nations Declaration on the Elimination of All Formsof Racial Discrimination, the International Convention on the Elimination of AllForms of Racial Discrimination, the International Convention on the Suppressionand Punishment of the Crime of Apartheid, the Convention on the Preventionand Punishment of the Crime of Genocide, the Standard Minimum Rules forthe Treatment of Prisoners and the Vienna Convention on Consular Relations.

(b) National commentaries to this provision should indicate regional ornational provisions identifying and protecting these rights.

Article 3

Law enforcement officials may use force only when strictly necessary andto the extent required for the performance of their duty.

Commentary:

(a) This provision emphasizes that the use of force by law enforcementofficials should be exceptional; while it implies that law enforcement officialsmay be authorized to use force as is reasonably necessary under the circum-stances for the prevention of crime or in effecting or assisting in the lawfularrest of offenders or suspected offenders, no force going beyond that may beused.

(b) National law ordinarily restricts the use of force by law enforcementofficials in accordance with a principle of proportionality. It is to be understoodthat such national principles of proportionality are to be respected in the inter-pretation of this provision. In no case should this provision be interpreted toauthorize the use of force which is disproportionate to the legitimate objectiveto be achieved.

344 Compendium of United Nations standards and norms in crime prevention and criminal justice

(c) The use of firearms is considered an extreme measure. Every effortshould be made to exclude the use of firearms, especially against children. Ingeneral, firearms should not be used except when a suspected offender offersarmed resistance or otherwise jeopardizes the lives of others and less extrememeasures are not sufficient to restrain or apprehend the suspected offender. Inevery instance in which a firearm is discharged, a report should be madepromptly to the competent authorities.

Article 4

Matters of a confidential nature in the possession of law enforcement offi-cials shall be kept confidential, unless the performance of duty or the needs ofjustice strictly require otherwise.

Commentary:

By the nature of their duties, law enforcement officials obtain informationwhich may relate to private lives or be potentially harmful to the interests, andespecially the reputation, of others. Great care should be exercised in safeguard-ing and using such information, which should be disclosed only in the perform-ance of duty or to serve the needs of justice. Any disclosure of such informationfor other purposes is wholly improper.

Article 5

No law enforcement official may inflict, instigate or tolerate any act oftorture or other cruel, inhuman or degrading treatment or punishment, nor mayany law enforcement official invoke superior orders or exceptional circum-stances such as a state of war or a threat of war, a threat to national security,internal political instability or any other public emergency as a justification oftorture or other cruel, inhuman or degrading treatment or punishment.

Commentary:

(a) This prohibition derives from the Declaration on the Protection of AllPersons from Being Subjected to Torture and Other Cruel, Inhuman orDegrading Treatment or Punishment, adopted by the General Assembly, accord-ing to which: “[Such an act is] an offence to human dignity and shall be con-demned as a denial of the purposes of the Charter of the United Nations andas a violation of the human rights and fundamental freedoms proclaimed in theUniversal Declaration of Human Rights [and other international human rightsinstruments].”

Part four, chapter I. Good governance 345

(b) The Declaration defines torture as follows:

“. . . torture means any act by which severe pain or suffering, whetherphysical or mental, is intentionally inflicted by or at the instigation of apublic official on a person for such purposes as obtaining from him or athird person information or confession, punishing him for an act he hascommitted or is suspected of having committed, or intimidating him orother persons. It does not include pain or suffering arising only from, inher-ent in or incidental to, lawful sanctions to the extent consistent with theStandard Minimum Rules for the Treatment of Prisoners.”2

(c) The term “cruel, inhuman or degrading treatment or punishment” hasnot been defined by the General Assembly but should be interpreted so as toextend the widest possible protection against abuses, whether physical or mental.

Article 6

Law enforcement officials shall ensure the full protection of the health ofpersons in their custody and, in particular, shall take immediate action to securemedical attention whenever required.

Commentary:

(a) “Medical attention”, which refers to services rendered by any medicalpersonnel, including certified medical practitioners and paramedics, shall besecured when needed or requested.

(b) While the medical personnel are likely to be attached to the lawenforcement operation, law enforcement officials must take into account thejudgement of such personnel when they recommend providing the person incustody with appropriate treatment through, or in consultation with, medicalpersonnel from outside the law enforcement operation.

(c) It is understood that law enforcement officials shall also secure med-ical attention for victims of violations of law or of accidents occurring in thecourse of violations of law.

Article 7

Law enforcement officials shall not commit any act of corruption. Theyshall also rigorously oppose and combat all such acts.


2First United Nations Congress on the Prevention of Crime and the Treatment of Offenders: reportprepared by the Secretariat (United Nations publication, Sales No. 1956.IV.4), annex I.A.

Commentary:

(a) Any act of corruption, in the same way as any other abuse of authority, is incompatible with the profession of law enforcement officials. Thelaw must be enforced fully with respect to any law enforcement official whocommits an act of corruption, as Governments cannot expect to enforce the lawamong their citizens if they cannot, or will not, enforce the law against theirown agents and within their own agencies.

(b) While the definition of corruption must be subject to national law, itshould be understood to encompass the commission or omission of an act inthe performance of or in connection with one’s duties, in response to gifts,promises or incentives demanded or accepted, or the wrongful receipt of theseonce the act has been committed or omitted.

(c) The expression “act of corruption” referred to above should be under-stood to encompass attempted corruption.

Article 8

Law enforcement officials shall respect the law and the present Code. Theyshall also, to the best of their capability, prevent and rigorously oppose anyviolations of them.

Law enforcement officials who have reason to believe that a violation ofthe present Code has occurred or is about to occur shall report the matter totheir superior authorities and, where necessary, to other appropriate authoritiesor organs vested with reviewing or remedial power.

Commentary:

(a) This Code shall be observed whenever it has been incorporated intonational legislation or practice. If legislation or practice contains stricter provi-sions than those of the present Code, those stricter provisions shall be observed.

(b) The article seeks to preserve the balance between the need for inter-nal discipline of the agency on which public safety is largely dependent, on theone hand, and the need for dealing with violations of basic human rights, onthe other. Law enforcement officials shall report violations within the chain ofcommand and take other lawful action outside the chain of command only whenno other remedies are available or effective. It is understood that law enforce-ment officials shall not suffer administrative or other penalties because theyhave reported that a violation of this Code has occurred or is about to occur.


(c) The term “appropriate authorities or organs vested with reviewing orremedial power” refers to any authority or organ existing under national law,whether internal to the law enforcement agency or independent thereof, withstatutory, customary or other power to review grievances and complaints arising out of violations within the purview of this Code.

(d) In some countries, the mass media may be regarded as performingcomplaint review functions similar to those described in subparagraph (c) above.Law enforcement officials may, therefore, be justified if, as a last resort and inaccordance with the laws and customs of their own countries and with the pro-visions of article 4 of the present Code, they bring violations to the attentionof public opinion through the mass media.

(e) Law enforcement officials who comply with the provisions of thisCode deserve the respect, the full support and the cooperation of the commu-nity and of the law enforcement agency in which they serve, as well as the lawenforcement profession.

48. Guidelines for the effective implementation of the Code ofConduct for Law Enforcement Officials*

I. APPLICATION OF THE CODE

A. General principles

l. The principles embodied in the Code shall be reflected in national legis-lation and practice.

2. In order to achieve the aims and objectives set out in article 1 of the Codeand its Commentary, the definition of “law enforcement officials” shall be giventhe widest possible interpretation.

3. The Code shall be made applicable to all law enforcement officials, regard-less of their jurisdiction.

4. Governments shall adopt the necessary measures to instruct, in basic train-ing and all subsequent training and refresher courses, law enforcement officialsin the provisions of national legislation connected with the Code as well asother basic texts on the issue of human rights.


*Economic and Social Council resolution 1989/61, annex.

B. Specific issues

l. Selection, education and training. The selection, education and training oflaw enforcement officials shall be given prime importance. Governments shallalso promote education and training through a fruitful exchange of ideas at theregional and interregional levels.

2. Salary and working conditions. All law enforcement officials shall be ade-quately remunerated and shall be provided with appropriate working conditions.

3. Discipline and supervision. Effective mechanisms shall be established toensure the internal discipline and external control as well as the supervision oflaw enforcement officials.

4. Complaints by members of the public. Particular provisions shall be made,within the mechanisms mentioned under paragraph 3 above, for the receipt andprocessing of complaints against law enforcement officials made by membersof the public, and the existence of these provisions shall be made known to thepublic.

II. IMPLEMENTATION OF THE CODE

A. At the national level

1. The Code shall be made available to all law enforcement officials andcompetent authorities in their own language.

2. Governments shall disseminate the Code and all domestic laws giving effectto it so as to ensure that the principles and rights contained therein becomeknown to the public in general.

3. In considering measures to promote the application of the Code, Govern-ments shall organize symposiums on the role and functions of law enforcementofficials in the protection of human rights and the prevention of crime.

B. At the international level

l. Governments shall inform the Secretary-General at appropriate intervals ofat least five years on the extent of the implementation of the Code.

2. The Secretary-General shall prepare periodic reports on progress made withrespect to the implementation of the Code, drawing also on observations andon the cooperation of specialized agencies and relevant intergovernmentalorganizations and non-governmental organizations in consultative status withthe Economic and Social Council.


3. As part of the reports mentioned above, Governments shall provide to theSecretary-General copies of abstracts of laws, regulations and administrativemeasures concerning the application of the Code, any other relevant informa-tion on its implementation, as well as information on possible difficulties in itsapplication.

4. The Secretary-General shall submit the above-mentioned reports to theCommittee on Crime Prevention and Control for consideration and furtheraction, as appropriate.

5. The Secretary-General shall make available the Code and the present guide-lines to all States and intergovernmental and non-governmental organizationsconcerned, in all official languages of the United Nations.

6. The United Nations, as part of its advisory services and technical cooper-ation and development programmes, shall:

(a) Make available to Governments requesting them the services ofexperts and regional and interregional advisers to assist in implementing theprovisions of the Code;

(b) Promote national and regional training seminars and other meetingson the Code and on the role and functions of law enforcement officials in theprotection of human rights and the prevention of crime.

7. The United Nations regional institutes shall be encouraged to organize semi-nars and training courses on the Code and to carry out research on the extentto which the Code is implemented in the countries of the region as well as thedifficulties encountered.

49. Basic Principles on the Use of Force and Firearms by Law Enforcement Officials*

Whereas the work of law enforcement officials1 is a social service of greatimportance and there is, therefore, a need to maintain and, whenever necessary,to improve the working conditions and status of these officials,


*Eighth United Nations Congress on the Prevention of Crime and the Treatment of Offenders,Havana, 27 August-7 September 1990: report prepared by the Secretariat (United Nations publication,Sales No. E.91.IV.2), chap. I, sect. B.2, annex.

1In accordance with the commentary to article 1 of the Code of Conduct for Law EnforcementOfficials, the term “law enforcement officials” includes all officers of the law, whether appointed orelected, who exercise police powers, especially the powers of arrest or detention. In countries wherepolice powers are exercised by military authorities, whether uniformed or not, or by State security forces,the definition of law enforcement officials shall be regarded as including officers of such services.

Whereas a threat to the life and safety of law enforcement officials mustbe seen as a threat to the stability of society as a whole,

Whereas law enforcement officials have a vital role in the protection ofthe right to life, liberty and security of the person, as guaranteed in the UniversalDeclaration of Human Rights2 and reaffirmed in the International Covenant onCivil and Political Rights,3

Whereas the Standard Minimum Rules for the Treatment ofPrisonersprovide for the circumstances in which prison officials may use forcein the course of their duties,

Whereas article 3 of the Code of Conduct for Law EnforcementOfficialsprovides that law enforcement officials may use force only when strict-ly necessary and to the extent required for the performance of their duty,

Whereas the preparatory meeting for the Seventh United Nations Congresson the Prevention of Crime and the Treatment of Offenders, held at Varenna,Italy, agreed on elements to be considered in the course of further work onrestraints on the use of force and firearms by law enforcement officials,4

Whereas the Seventh Congress, in its resolution 14,5 inter alia, emphasizesthat the use of force and firearms by law enforcement officials should be com-mensurate with due respect for human rights,

Whereas the Economic and Social Council, in its resolution 1986/10, sec-tion IX, of 21 May 1986, invited Member States to pay particular attention inthe implementation of the Code to the use of force and firearms by law enforce-ment officials, and the General Assembly, in its resolution 41/149 of 4 December1986, inter alia, welcomed this recommendation made by the Council,

Whereas it is appropriate that, with due regard to their personal safety,consideration be given to the role of law enforcement officials in relation to theadministration of justice, to the protection of the right to life, liberty and secu-rity of the person, to their responsibility to maintain public safety and socialpeace and to the importance of their qualifications, training and conduct,


2General Assembly resolution 217 A (III).3General Assembly resolution 2200 A (XXI), annex.4A/CONF.121/IPM.3, para. 34.5See Seventh United Nations Congress . . . , chap. I, sect. E.

The basic principles set forth below, which have been formulated to assistMember States in their task of ensuring and promoting the proper role of lawenforcement officials, should be taken into account and respected byGovernments within the framework of their national legislation and practice,and be brought to the attention of law enforcement officials as well as otherpersons, such as judges, prosecutors, lawyers, members of the executive branchand the legislature, and the public.

General provisions

1. Governments and law enforcement agencies shall adopt and implement rulesand regulations on the use of force and firearms against persons by law enforce-ment officials. In developing such rules and regulations, Governments and lawenforcement agencies shall keep the ethical issues associated with the use offorce and firearms constantly under review.

2. Governments and law enforcement agencies should develop a range ofmeans as broad as possible and equip law enforcement officials with various types of weapons and ammunition that would allow for a differentiateduse of force and firearms. These should include the development of non-lethalincapacitating weapons for use in appropriate situations, with a view to increas-ingly restraining the application of means capable of causing death or injury topersons. For the same purpose, it should also be possible for law enforcementofficials to be equipped with self-defensive equipment such as shields, helmets,bullet-proof vests and bullet-proof means of transportation, in order to decreasethe need to use weapons of any kind.

3. The development and deployment of non-lethal incapacitating weaponsshould be carefully evaluated in order to minimize the risk of endangeringuninvolved persons, and the use of such weapons should be carefully controlled.

4. Law enforcement officials, in carrying out their duty, shall, as far as pos-sible, apply non-violent means before resorting to the use of force and firearms.They may use force and firearms only if other means remain ineffective or with-out any promise of achieving the intended result.

5. Whenever the lawful use of force and firearms is unavoidable, law enforce-ment officials shall:

(a) Exercise restraint in such use and act in proportion to the seriousnessof the offence and the legitimate objective to be achieved;

(b) Minimize damage and injury, and respect and preserve human life;


(c) Ensure that assistance and medical aid are rendered to any injured oraffected persons at the earliest possible moment;

(d) Ensure that relatives or close friends of the injured or affected personare notified at the earliest possible moment.

6. Where injury or death is caused by the use of force and firearms by lawenforcement officials, they shall report the incident promptly to their superiors,in accordance with principle 22.

7. Governments shall ensure that arbitrary or abusive use of force and firearmsby law enforcement officials is punished as a criminal offence under their law.

8. Exceptional circumstances such as internal political instability or any otherpublic emergency may not be invoked to justify any departure from these basicprinciples.

Special provisions

9. Law enforcement officials shall not use firearms against persons except inself-defence or defence of others against the imminent threat of death or serious injury, to prevent the perpetration of a particularly serious crime involv-ing grave threat to life, to arrest a person presenting such a danger and resist-ing their authority, or to prevent his or her escape, and only when less extrememeans are insufficient to achieve these objectives. In any event, intentional lethaluse of firearms may only be made when strictly unavoidable in order to protect life.

10. In the circumstances provided for under principle 9, law enforcement offi-cials shall identify themselves as such and give a clear warning of their intentto use firearms, with sufficient time for the warning to be observed, unless todo so would unduly place the law enforcement officials at risk or would create a risk of death or serious harm to other persons, or would be clearlyinappropriate or pointless in the circumstances of the incident.

11. Rules and regulations on the use of firearms by law enforcement officialsshould include guidelines that:

(a) Specify the circumstances under which law enforcement officials areauthorized to carry firearms and prescribe the types of firearms and ammuni-tion permitted;

(b) Ensure that firearms are used only in appropriate circumstances andin a manner likely to decrease the risk of unnecessary harm;


(c) Prohibit the use of those firearms and ammunition that causeunwarranted injury or present an unwarranted risk;

(d) Regulate the control, storage and issuing of firearms, including pro-cedures for ensuring that law enforcement officials are accountable for thefirearms and ammunition issued to them;

(e) Provide for warnings to be given, if appropriate, when firearms are tobe discharged;

(f) Provide for a system of reporting whenever law enforcement officialsuse firearms in the performance of their duty.

Policing unlawful assemblies

12. As everyone is allowed to participate in lawful and peaceful assemblies,in accordance with the principles embodied in the Universal Declaration ofHuman Rights and the International Covenant on Civil and Political Rights,Governments and law enforcement agencies and officials shall recognize thatforce and firearms may be used only in accordance with principles 13 and 14.

13. In the dispersal of assemblies that are unlawful but non-violent, lawenforcement officials shall avoid the use of force or, where that is not practi-cable, shall restrict such force to the minimum extent necessary.

14. In the dispersal of violent assemblies, law enforcement officials may usefirearms only when less dangerous means are not practicable and only to theminimum extent necessary. Law enforcement officials shall not use firearms insuch cases, except under the conditions stipulated in principle 9.

Policing persons in custody or detention

15. Law enforcement officials, in their relations with persons in custody ordetention, shall not use force, except when strictly necessary for the mainte-nance of security and order within the institution, or when personal safety isthreatened.

16. Law enforcement officials, in their relations with persons in custody ordetention, shall not use firearms, except in self-defence or in the defence ofothers against the immediate threat of death or serious injury, or when strictlynecessary to prevent the escape of a person in custody or detention presentingthe danger referred to in principle 9.


17. The preceding principles are without prejudice to the rights, duties andresponsibilities of prison officials, as set out in the Standard Minimum Rulesfor the Treatment of Prisoners, particularly rules 33, 34 and 54.

Qualifications, training and counselling

18. Governments and law enforcement agencies shall ensure that all lawenforcement officials are selected by proper screening procedures, have appro-priate moral, psychological and physical qualities for the effective exercise oftheir functions and receive continuous and thorough professional training. Theircontinued fitness to perform these functions should be subject to periodic review.

19. Governments and law enforcement agencies shall ensure that all lawenforcement officials are provided with training and are tested in accordancewith appropriate proficiency standards in the use of force. Those law enforce-ment officials who are required to carry firearms should be authorized to do soonly upon completion of special training in their use.

20. In the training of law enforcement officials, Governments and law enforce-ment agencies shall give special attention to issues of police ethics and humanrights, especially in the investigative process, to alternatives to the use of forceand firearms, including the peaceful settlement of conflicts, the understandingof crowd behaviour, and the methods of persuasion, negotiation and mediation,as well as to technical means, with a view to limiting the use of force andfirearms. Law enforcement agencies should review their training programmesand operational procedures in the light of particular incidents.

21. Governments and law enforcement agencies shall make stress counsellingavailable to law enforcement officials who are involved in situations where forceand firearms are used.

Reporting and review procedures

22. Governments and law enforcement agencies shall establish effective report-ing and review procedures for all incidents referred to in principles 6 and 11 (f).For incidents reported pursuant to these principles, Governments and lawenforcement agencies shall ensure that an effective review process is availableand that independent administrative or prosecutorial authorities are in a posi-tion to exercise jurisdiction in appropriate circumstances. In cases of death andserious injury or other grave consequences, a detailed report shall be sentpromptly to the competent authorities responsible for administrative review andjudicial control.


23. Persons affected by the use of force and firearms or their legal represen-tatives shall have access to an independent process, including a judicial process.In the event of the death of such persons, this provision shall apply to theirdependants accordingly.

24. Governments and law enforcement agencies shall ensure that superior offi-cers are held responsible if they know, or should have known, that law enforce-ment officials under their command are resorting, or have resorted, to theunlawful use of force and firearms, and they did not take all measures in theirpower to prevent, suppress or report such use.

25. Governments and law enforcement agencies shall ensure that no criminalor disciplinary sanction is imposed on law enforcement officials who, in com-pliance with the Code of Conduct for Law Enforcement Officials and thesebasic principles, refuse to carry out an order to use force and firearms, or whoreport such use by other officials.

26. Obedience to superior orders shall be no defence if law enforcementofficials knew that an order to use force and firearms resulting in the death orserious injury of a person was manifestly unlawful and had a reasonableopportunity to refuse to follow it. In any case, responsibility also rests on thesuperiors who gave the unlawful orders.

50. Basic Principles on the Independence of the Judiciary*

Whereas in the Charter of the United Nations the peoples of the worldaffirm, inter alia, their determination to establish conditions under which justice can be maintained to achieve international cooperation in promoting and encouraging respect for human rights and fundamental freedoms withoutany discrimination,

Whereas the Universal Declaration of Human Rights enshrines in particu-lar the principles of equality before the law, of the presumption of innocenceand of the right to a fair and public hearing by a competent, independent andimpartial tribunal established by law,


*Seventh United Nations Congress on the Prevention of Crime and the Treatment of Offenders,Milan, 26 August-6 September 1985: report prepared by the Secretariat (United Nations publication,Sales No. E.86.IV.1), chap. I, sect. D.2, annex.

Whereas the International Covenants on Economic, Social and CulturalRights and on Civil and Political Rights both guarantee the exercise of thoserights, and in addition, the Covenant on Civil and Political Rights furtherguarantees the right to be tried without undue delay,

Whereas frequently there still exists a gap between the vision underlyingthose principles and the actual situation,

Whereas the organization and administration of justice in every countryshould be inspired by those principles, and efforts should be undertaken totranslate them fully into reality,

Whereas rules concerning the exercise of judicial office should aim atenabling judges to act in accordance with those principles,

Whereas judges are charged with the ultimate decision over life, freedoms,rights, duties and property of citizens,

Whereas the Sixth United Nations Congress on the Prevention of Crimeand the Treatment of Offenders, by its resolution 16, called upon the Committeeon Crime Prevention and Control to include among its priorities the elaborationof guidelines relating to the independence of judges and the selection, profes-sional training and status of judges and prosecutors,

Whereas it is, therefore, appropriate that consideration be first given to therole of judges in relation to the system of justice and to the importance of theirselection, training and conduct,

The following basic principles, formulated to assist Member States in theirtask of securing and promoting the independence of the judiciary should betaken into account and respected by Governments within the framework of theirnational legislation and practice and be brought to the attention of judges,lawyers, members of the executive and the legislature and the public in general.The principles have been formulated principally with professional judges inmind, but they apply equally, as appropriate, to lay judges, where they exist.

Independence of the judiciary

1. The independence of the judiciary shall be guaranteed by the State andenshrined in the Constitution or the law of the country. It is the duty of allgovernmental and other institutions to respect and observe the independence ofthe judiciary.


2. The judiciary shall decide matters before them impartially, on the basis offacts and in accordance with the law, without any restrictions, improper influ-ences, inducements, pressures, threats or interferences, direct or indirect, fromany quarter or for any reason.

3. The judiciary shall have jurisdiction over all issues of a judicial nature andshall have exclusive authority to decide whether an issue submitted for itsdecision is within its competence as defined by law.

4. There shall not be any inappropriate or unwarranted interference with thejudicial process, nor shall judicial decisions by the courts be subject to revi-sion. This principle is without prejudice to judicial review or to mitigation orcommutation by competent authorities of sentences imposed by the judiciary,in accordance with the law.

5. Everyone shall have the right to be tried by ordinary courts or tribunalsusing established legal procedures. Tribunals that do not use the duly estab-lished procedures of the legal process shall not be created to displace thejurisdiction belonging to the ordinary courts or judicial tribunals.

6. The principle of the independence of the judiciary entitles and requires thejudiciary to ensure that judicial proceedings are conducted fairly and that therights of the parties are respected.

7. It is the duty of each Member State to provide adequate resources to enablethe judiciary to properly perform its functions.

Freedom of expression and association

8. In accordance with the Universal Declaration of Human Rights, membersof the judiciary are like other citizens entitled to freedom of expression, belief,association and assembly; provided, however, that in exercising such rights,judges shall always conduct themselves in such a manner as to preserve thedignity of their office and the impartiality and independence of the judiciary.

9. Judges shall be free to form and join associations of judges or other organi-zations to represent their interests, to promote their professional training and toprotect their judicial independence.

Qualifications, selection and training

10. Persons selected for judicial office shall be individuals of integrity andability with appropriate training or qualifications in law. Any method of


judicial selection shall safeguard against judicial appointments for impropermotives. In the selection of judges, there shall be no discrimination against aperson on the grounds of race, colour, sex, religion, political or other opinion,national or social origin, property, birth or status, except that a requirement, thata candidate for judicial office must be a national of the country concerned, shallnot be considered discriminatory.

Conditions of service and tenure

11. The term of office of judges, their independence, security, adequate remu-neration, conditions of service, pensions and the age of retirement shall beadequately secured by law.

12. Judges, whether appointed or elected, shall have guaranteed tenure until amandatory retirement age or the expiry of their term of office, where such exists.

13. Promotion of judges, wherever such a system exists, should be based onobjective factors, in particular ability, integrity and experience.

14. The assignment of cases to judges within the court to which they belongis an internal matter of judicial administration.

Professional secrecy and immunity

15. The judiciary shall be bound by professional secrecy with regard to theirdeliberations and to confidential information acquired in the course of theirduties other than in public proceedings, and shall not be compelled to testifyon such matters.

16. Without prejudice to any disciplinary procedure or to any right of appealor to compensation from the State, in accordance with national law, judgesshould enjoy personal immunity from civil suits for monetary damages forimproper acts or omissions in the exercise of their judicial functions.

Discipline, suspension and removal

17. A charge or complaint made against a judge in his/her judicial and pro-fessional capacity shall be processed expeditiously and fairly under an appro-priate procedure. The judge shall have the right to a fair hearing. Theexamination of the matter at its initial stage shall be kept confidential, unlessotherwise requested by the judge.


18. Judges shall be subject to suspension or removal only for reasons ofincapacity or behaviour that renders them unfit to discharge their duties.

19. All disciplinary, suspension or removal proceedings shall be determined inaccordance with established standards of judicial conduct.

20. Decisions in disciplinary, suspension or removal proceedings should besubject to an independent review. This principle may not apply to the decisionsof the highest court and those of the legislature in impeachment or similarproceedings.

51. Procedures for the effective implementation of theBasic Principles on the Independence of the Judiciary*

Procedure 1

1. All States shall adopt and implement in their justice systems the BasicPrinciples on the Independence of the Judiciary in accordance with theirconstitutional process and domestic practice.

Procedure 2

No judge shall be appointed or elected for purposes, or be required to per-form services, that are inconsistent with the Basic Principles. No judge shallaccept judicial office on the basis of an appointment or election, or performservices, that are inconsistent with the Basic Principles.

Procedure 3

The Basic Principles shall apply to all judges, including, as appropriate,lay judges, where they exist.

Procedure 4

States shall ensure that the Basic Principles are widely publicized in atleast the main or official language or languages of the respective State. Judges,lawyers, members of the executive, the legislature, and the public in general,


*Economic and Social Council resolution 1989/60, annex.

shall be informed in the most appropriate manner of the content and theimportance of the Basic Principles so that they may promote their applicationwithin the framework of the justice system. In particular, States shall make thetext of the Basic Principles available to all members of the judiciary.

Procedure 5

In implementing principles 8 and 12 of the Basic Principles, States shallpay particular attention to the need for adequate resources for the functioningof the judicial system, including appointing a sufficient number of judges inrelation to caseloads, providing the courts with necessary support staff andequipment, and offering judges appropriate personal security, remuneration andemoluments.

Procedure 6

States shall promote or encourage seminars and courses at the national andregional levels on the role of the judiciary in society and the necessity for itsindependence.

Procedure 7

In accordance with Economic and Social Council resolution 1986/10,section V, Member States shall inform the Secretary-General every five years,beginning in 1988, of the progress achieved in the implementation of the BasicPrinciples, including their dissemination, their incorporation into national legis-lation, the problems faced and difficulties a obstacles encountered in their imple-mentation at the national level and the assistance that might be needed fromthe international community.

Procedure 8

The Secretary-General shall prepare independent quinquennial reports tothe Committee on Crime Prevention and Control on progress made with respectto the implementation of the Basic Principles, on the basis of the informationreceived from Governments under procedure 7, as well as other informationavailable within the United Nations system, including information on the tech-nical cooperation and training provided by institutes, experts and regional andinterregional advisers. In the preparation of those reports the Secretary-General


shall also enlist the cooperation of specialized agencies and the relevant inter-governmental organizations and non-governmental organizations, in particularprofessional associations of judges and lawyers, in consultative status with theEconomic and Social Council, and take into account the information providedby such agencies and organizations.

Procedure 9

The Secretary-General shall disseminate the Basic Principles, the presentimplementing procedures and the periodic reports on their implementationreferred to in procedures 7 and 8, in as many languages as possible, and makethem available to all States and intergovernmental and non-governmental organi-zations concerned, in order to ensure the widest circulation of those documents.

Procedure 10

The Secretary-General shall ensure the widest possible reference to and useof the text of the Basic Principles and the present implementing procedures bythe United Nations in all its relevant programmes and the inclusion of the BasicPrinciples as soon as possible in the United Nations publication entitled HumanRights: a Compilation of International Instruments, in accordance withEconomic and Social Council resolution 1986/10, section V.

Procedure 11

As a part of its technical cooperation programme, the United Nations, inparticular the Department of Technical Cooperation for Development of theSecretariat and the United Nations Development Programme, shall:

(a) Assist Governments, at their request, in setting up and strengtheningindependent and effective judicial systems;

(b) Make available to Governments requesting them, the service of expertsand regional and interregional advisers on judicial matters to assist in imple-menting the Basic Principles;

(c) Enhance research concerning effective measures for implementing theBasic Principles, with emphasis on new developments in that area;

(d) Promote national and regional seminars, as well as other meetings atthe professional and non-professional levels, on the role of the judiciary insociety, the necessity for its independence, and the importance of implement-ing the Basic Principles to further those goals;


(e) Strengthen substantive support for the United Nations regional andinterregional research and training institutes for crime prevention and criminaljustice, as well as other entities within the United Nations system concernedwith implementing the Basic Principles.

Procedure 12

The United Nations regional and interregional research and training insti-tutes for crime prevention and criminal justice as well as other concerned enti-ties within the United Nations system shall assist in the implementation process.They shall pay special attention to ways and means of enhancing the applica-tion of the Basic Principles in their research and training programmes, and toproviding technical assistance upon the request of Member States. For this pur-pose, the United Nations institutes, in cooperation with national institutions andintergovernmental and non-governmental organizations concerned, shell developcurricula and training materials based on the Basic Principles and the presentimplementing procedures, which are suitable for use in legal education pro-grammes at all levels as well as in specialized courses on human rights andrelated subjects.

Procedure 13

The regional commissions, the specialized agencies and other entities with-in the United Nations system as well as other concerned intergovernmentalorganizations shall become actively involved in the implementation process.They shall inform the Secretary-General of the efforts made to disseminate theBasic Principles, the measures taken to give effect to them and any obstaclesand shortcomings encountered. The Secretary-General shall also take steps toensure that non-governmental organizations in consultative status with theEconomic and Social Council become actively involved in the implementationprocess and the related reporting procedures.

Procedure 14

The Committee on Crime Prevention and Control shall assist the GeneralAssembly and the Economic and Social Council in following up the presentimplementing procedures, including periodic reporting under procedures 7 and8 above. To this end, the Committee shall identify existing obstacles to, or short-comings in, the implementation of the Basic Principles and the reasons for them.


The Committee shall make specific recommendations, as appropriate, to theAssembly and the Council and any other relevant United Nations human rightsbodies on further action required for the effective implementation of the BasicPrinciples.

Procedure 15

The Committee on Crime Prevention and Control shall assist the GeneralAssembly, the Economic ad Social Council and any other relevant UnitedNations human rights bodies, as appropriate, with recommendations relating toreports of ad hoc inquiry commissions or bodies, with respect to matterspertaining to the application and implementation of the Basic Principles.

52. Basic Principles on the Role of Lawyers*

Whereas in the Charter of the United Nations the peoples of the worldaffirm, inter alia, their determination to establish conditions under which jus-tice can be maintained, and proclaim as one of their purposes the achievementof international cooperation in promoting and encouraging respect for humanrights and fundamental freedoms without distinction as to race, sex, language,or religion,

Whereas the Universal Declaration of Human Rights1 enshrines the prin-ciples of equality before the law, the presumption of innocence, the right to afair and public hearing by an independent and impartial tribunal, and all theguarantees necessary for the defence of everyone charged with a penal offence,

Whereas the International Covenant on Civil and Political Rights2 pro-claims, in addition, the right to be tried without undue delay and the right to afair and public hearing by a competent, independent and impartial tribunal estab-lished by law,

Whereas the International Covenant on Economic, Social and CulturalRights2 recalls the obligation of States under the Charter to promote universalrespect for, and observance of, human rights and freedoms,


*Eighth United Nations Congress on the Prevention of Crime and the Treatment of Offenders,Havana, 27 August-7 September 1990: report prepared by the Secretariat (United Nations publication,Sales No. E.91.IV.2), chap. I, sect. B.3, annex.

1General Assembly resolution 217 A (III).2General Assembly resolution 2200 A (XXI), annex.

Whereas the Body of Principles for the Protection of All Persons underAny Form of Detention or Imprisonment3 provides that a detained person shallbe entitled to have the assistance of, and to communicate and consult with, legalcounsel,

Whereas the Standard Minimum Rules for the Treatment of Prisonersrecommend, in particular, that legal assistance and confidential communicationwith counsel should be ensured to untried prisoners,

Whereas the Safeguards guaranteeing protection of those facing the deathpenalty reaffirm the right of everyone suspected or charged with a crime forwhich capital punishment may be imposed to adequate legal assistance at allstages of the proceedings, in accordance with article 14 of the InternationalCovenant on Civil and Political Rights,

Whereas the Declaration of Basic Principles of Justice for Victims of Crimeand Abuse of Power4 recommends measures to be taken at the international andnational levels to improve access to justice and fair treatment, restitution,compensation and assistance for victims of crime,

Whereas adequate protection of the human rights and fundamental free-doms to which all persons are entitled, be they economic, social and cultural,or civil and political, requires that all persons have effective access to legalservices provided by an independent legal profession,

Whereas professional associations of lawyers have a vital role to play inupholding professional standards and ethics, protecting their members frompersecution and improper restrictions and infringements, providing legal ser-vices to all in need of them, and cooperating with governmental and otherinstitutions in furthering the ends of justice and public interest.

The Basic Principles on the Role of Lawyers, set forth below, which havebeen formulated to assist Member States in their task of promoting and ensuringthe proper role of lawyers, should be respected and taken into account byGovernments within the framework of their national legislation and practice andshould be brought to the attention of lawyers as well as other persons, such asjudges, prosecutors, members of the executive and the legislature, and the public in general. These principles shall also apply, as appropriate, to personswho exercise the functions of lawyers without having the formal status oflawyers.


3General Assembly resolution 43/173, annex.4General Assembly resolution 40/34, annex.

Access to lawyers and legal services

1. All persons are entitled to call upon the assistance of a lawyer of theirchoice to protect and establish their rights and to defend them in all stages ofcriminal proceedings.

2. Governments shall ensure that efficient procedures and responsive mecha-nisms for effective and equal access to lawyers are provided for all personswithin their territory and subject to their jurisdiction, without distinction of anykind, such as discrimination based on race, colour, ethnic origin, sex, language,religion, political or other opinion, national or social origin, property, birth,economic or other status.

3. Governments shall ensure the provision of sufficient funding and otherresources for legal services to the poor and, as necessary, to other disadvan-taged persons. Professional associations of lawyers shall cooperate in theorganization and provision of services, facilities and other resources.

4. Governments and professional associations of lawyers shall promote pro-grammes to inform the public about their rights and duties under the law andthe important role of lawyers in protecting their fundamental freedoms. Specialattention should be given to assisting the poor and other disadvantaged personsso as to enable them to assert their rights and where necessary call upon theassistance of lawyers.

Special safeguards in criminal justice matters

5. Governments shall ensure that all persons are immediately informed by thecompetent authority of their right to be assisted by a lawyer of their own choiceupon arrest or detention or when charged with a criminal offence.

6. Any such persons who do not have a lawyer shall, in all cases in whichthe interests of justice so require, be entitled to have a lawyer of experienceand competence commensurate with the nature of the offence assigned to themin order to provide effective legal assistance, without payment by them if theylack sufficient means to pay for such services.

7. Governments shall further ensure that all persons arrested or detained, withor without criminal charge, shall have prompt access to a lawyer, and in anycase not later than forty-eight hours from the time of arrest or detention.


8. All arrested, detained or imprisoned persons shall be provided with ade-quate opportunities, time and facilities to be visited by and to communicate andconsult with a lawyer, without delay, interception or censorship and in full con-fidentiality. Such consultations may be within sight, but not within the hearing,of law enforcement officials.

Qualifications and training

9. Governments, professional associations of lawyers and educational institu-tions shall ensure that lawyers have appropriate education and training and bemade aware of the ideals and ethical duties of the lawyer and of human rightsand fundamental freedoms recognized by national and international law.

10. Governments, professional associations of lawyers and educational institu-tions shall ensure that there is no discrimination against a person with respectto entry into or continued practice within the legal profession on the groundsof race, colour, sex, ethnic origin, religion, political or other opinion, nationalor social origin, property, birth, economic or other status, except that a require-ment, that a lawyer must be a national of the country concerned, shall not beconsidered discriminatory.

11. In countries where there exist groups, communities or regions whose needsfor legal services are not met, particularly where such groups have distinctcultures, traditions or languages or have been the victims of past discrimina-tion, Governments, professional associations of lawyers and educational insti-tutions should take special measures to provide opportunities for candidates fromthese groups to enter the legal profession and should ensure that they receivetraining appropriate to the needs of their groups.

Duties and responsibilities

12. Lawyers shall at all times maintain the honour and dignity of their profes-sion as essential agents of the administration of justice.

13. The duties of lawyers towards their clients shall include:

(a) Advising clients as to their legal rights and obligations, and as to theworking of the legal system in so far as it is relevant to the legal rights andobligations of the clients;

(b) Assisting clients in every appropriate way, and taking legal action toprotect their interests;


(c) Assisting clients before courts, tribunals or administrative authorities,where appropriate.

14. Lawyers, in protecting the rights of their clients and in promoting the causeof justice, shall seek to uphold human rights and fundamental freedoms recog-nized by national and international law and shall at all times act freely and dili-gently in accordance with the law and recognized standards and ethics of thelegal profession.

15. Lawyers shall always loyally respect the interests of their clients.

Guarantees for the functioning of lawyers

16. Governments shall ensure that lawyers (a) are able to perform all of theirprofessional functions without intimidation, hindrance, harassment or improperinterference; (b) are able to travel and to consult with their clients freely bothwithin their own country and abroad; and (c) shall not suffer, or be threatenedwith, prosecution or administrative, economic or other sanctions for any actiontaken in accordance with recognized professional duties, standards and ethics.

17. Where the security of lawyers is threatened as a result of discharging theirfunctions, they shall be adequately safeguarded by the authorities.

18. Lawyers shall not be identified with their clients or their clients’ causes asa result of discharging their functions.

19. No court or administrative authority before whom the right to counsel isrecognized shall refuse to recognize the right of a lawyer to appear before itfor his or her client unless that lawyer has been disqualified in accordance withnational law and practice and in conformity with these principles.

20. Lawyers shall enjoy civil and penal immunity for relevant statements madein good faith in written or oral pleadings or in their professional appearancesbefore a court, tribunal or other legal or administrative authority.

21. It is the duty of the competent authorities to ensure lawyers access to appro-priate information, files and documents in their possession or control in suffi-cient time to enable lawyers to provide effective legal assistance to their clients.Such access should be provided at the earliest appropriate time.

22. Governments shall recognize and respect that all communications andconsultations between lawyers and their clients within their professionalrelationship are confidential.



23. Lawyers like other citizens are entitled to freedom of expression, belief,association and assembly. In particular, they shall have the right to take part inpublic discussion of matters concerning the law, the administration of justiceand the promotion and protection of human rights and to join or form local,national or international organizations and attend their meetings, without suf-fering professional restrictions by reason of their lawful action or their member-ship in a lawful organization. In exercising these rights, lawyers shall alwaysconduct themselves in accordance with the law and the recognized standardsand ethics of the legal profession.

Professional associations of lawyers

24. Lawyers shall be entitled to form and join self-governing professional asso-ciations to represent their interests, promote their continuing education and train-ing and protect their professional integrity. The executive body of theprofessional associations shall be elected by its members and shall exercise itsfunctions without external interference.

25. Professional associations of lawyers shall cooperate with Governments toensure that everyone has effective and equal access to legal services and thatlawyers are able, without improper interference, to counsel and assist theirclients in accordance with the law and recognized professional standards andethics.

Disciplinary proceedings

26. Codes of professional conduct for lawyers shall be established by the legalprofession through its appropriate organs, or by legislation, in accordance withnational law and custom and recognized international standards and norms.

27. Charges or complaints made against lawyers in their professional capacityshall be processed expeditiously and fairly under appropriate procedures.Lawyers shall have the right to a fair hearing, including the right to be assistedby a lawyer of their choice.

28. Disciplinary proceedings against lawyers shall be brought before an impar-tial disciplinary committee established by the legal profession, before an inde-pendent statutory authority, or before a court, and shall be subject to anindependent judicial review.


29. All disciplinary proceedings shall be determined in accordance with thecode of professional conduct and other recognized standards and ethics of thelegal profession and in the light of these principles.

53. Guidelines on the Role of Prosecutors*

Whereas in the Charter of the United Nations the peoples of the worldaffirm, inter alia, their determination to establish conditions under which justicecan be maintained, and proclaim as one of their purposes the achievement ofinternational cooperation in promoting and encouraging respect for human rightsand fundamental freedoms without distinction as to race, sex, language orreligion,

Whereas the Universal Declaration of Human Rights1 enshrines the prin-ciples of equality before the law, the presumption of innocence and the right toa fair and public hearing by an independent and impartial tribunal,

Whereas frequently there still exists a gap between the vision underlyingthose principles and the actual situation,

Whereas the organization and administration of justice in every countryshould be inspired by those principles, and efforts undertaken to translate themfully into reality,

Whereas prosecutors play a crucial role in the administration of justice,and rules concerning the performance of their important responsibilities shouldpromote their respect for and compliance with the above-mentioned principles,thus contributing to fair and equitable criminal justice and the effectiveprotection of citizens against crime,

Whereas it is essential to ensure that prosecutors possess the professionalqualifications required for the accomplishment of their functions, throughimproved methods of recruitment and legal and professional training, andthrough the provision of all necessary means for the proper performance of theirrole in combating criminality, particularly in its new forms and dimensions,


*Eighth United Nations Congress on the Prevention of Crime and the Treatment of Offenders,Havana, 27 August-7 September 1990: report prepared by the Secretariat (United Nations publication,Sales No. E.91.IV.2), chap. I, sect. C.26, annex.

1General Assembly resolution 217 A (III).

Whereas the General Assembly, by its resolution 34/169 of 17 December1979, adopted the Code of Conduct for Law Enforcement Officials, on therecommendation of the Fifth United Nations Congress on the Prevention ofCrime and the Treatment of Offenders,

Whereas in resolution 16 of the Sixth United Nations Congress on thePrevention of Crime and the Treatment of Offenders,2 the Committee on CrimePrevention and Control was called upon to include among its priorities theelaboration of guidelines relating to the independence of judges and theselection, professional training and status of judges and prosecutors,

Whereas the Seventh United Nations Congress on the Prevention of Crimeand the Treatment of Offenders adopted the Basic Principles on the Indepen-dence of the Judiciary,3 subsequently endorsed by the General Assembly in itsresolutions 40/32 of 29 November 1985 and 40/146 of 13 December 1985,

Whereas the Declaration of Basic Principles of Justice for Victims of Crimeand Abuse of Power,4 recommends measures to be taken at the internationaland national levels to improve access to justice and fair treatment, restitution,compensation and assistance for victims of crime,

Whereas, in resolution 7 of the Seventh Congress,5 the Committee wascalled upon to consider the need for guidelines relating, inter alia, to the selec-tion, professional training and status of prosecutors, their expected tasks andconduct, means to enhance their contribution to the smooth functioning of thecriminal justice system and their cooperation with the police, the scope of theirdiscretionary powers, and their role in criminal proceedings, and to reportthereon to future United Nations congresses,

The Guidelines set forth below, which have been formulated to assistMember States in their tasks of securing and promoting the effectiveness, impar-tiality and fairness of prosecutors in criminal proceedings, should be respectedand taken into account by Governments within the framework of their nationallegislation and practice, and should be brought to the attention of prosecutors,as well as other persons, such as judges, lawyers, members of the executive and


2Sixth United Nations Congress on the Prevention of Crime and the Treatment of Offenders,Caracas, 25 August-5 September 1980: report prepared by the Secretariat (United Nations publication,Sales No. E.81.IV.4), chap. I, sect. B.

3Seventh United Nations Congress on the Prevention of Crime and the Treatment of Offenders,Milan, 26 August-6 September 1985: report prepared by the Secretariat (United Nations publication,Sales No. E.86.IV.1), chap. I, sect. D.

4General Assembly resolution 40/34, annex.5Seventh United Nations Congress . . . , sect. E.

the legislature and the public in general. The present Guidelines have beenformulated principally with public prosecutors in mind, but they apply equally,as appropriate, to prosecutors appointed on an ad hoc basis.

Qualifications, selection and training

1. Persons selected as prosecutors shall be individuals of integrity and ability,with appropriate training and qualifications.

2. States shall ensure that:

(a) Selection criteria for prosecutors embody safeguards against appoint-ments based on partiality or prejudice, excluding any discrimination against aperson on the grounds of race, colour, sex, language, religion, political or otheropinion, national, social or ethnic origin, property, birth, economic or other status,except that it shall not be considered discriminatory to require a candidate forprosecutorial office to be a national of the country concerned;

(b) Prosecutors have appropriate education and training and should bemade aware of the ideals and ethical duties of their office, of the constitu-tional and statutory protections for the rights of the suspect and the victim, andof human rights and fundamental freedoms recognized by national andinternational law.

Status and conditions of service

3. Prosecutors, as essential agents of the administration of justice, shall at alltimes maintain the honour and dignity of their profession.

4. States shall ensure that prosecutors are able to perform their professionalfunctions without intimidation, hindrance, harassment, improper interference orunjustified exposure to civil, penal or other liability.

5. Prosecutors and their families shall be physically protected by the authori-ties when their personal safety is threatened as a result of the discharge ofprosecutorial functions.

6. Reasonable conditions of service of prosecutors, adequate remuneration and,where applicable, tenure, pension and age of retirement shall be set out by lawor published rules or regulations.


7. Promotion of prosecutors, wherever such a system exists, shall be based onobjective factors, in particular professional qualifications, ability, integrity andexperience, and decided upon in accordance with fair and impartial procedures.


8. Prosecutors like other citizens are entitled to freedom of expression, belief,association and assembly. In particular, they shall have the right to take part inpublic discussion of matters concerning the law, the administration of justiceand the promotion and protection of human rights and to join or form local,national or international organizations and attend their meetings, without suf-fering professional disadvantage by reason of their lawful action or theirmembership in a lawful organization. In exercising these rights, prosecutors shallalways conduct themselves in accordance with the law and the recognizedstandards and ethics of their profession.

9. Prosecutors shall be free to form and join professional associations or otherorganizations to represent their interests, to promote their professional trainingand to protect their status.

Role in criminal proceedings

10. The office of prosecutors shall be strictly separated from judicial functions.

11. Prosecutors shall perform an active role in criminal proceedings, includinginstitution of prosecution and, where authorized by law or consistent with localpractice, in the investigation of crime, supervision over the legality of theseinvestigations, supervision of the execution of court decisions and the exerciseof other functions as representatives of the public interest.

12. Prosecutors shall, in accordance with the law, perform their duties fairly,consistently and expeditiously, and respect and protect human dignity anduphold human rights, thus contributing to ensuring due process and the smoothfunctioning of the criminal justice system.

13. In the performance of their duties, prosecutors shall:

(a) Carry out their functions impartially and avoid all political, social,religious, racial, cultural, sexual or any other kind of discrimination;

(b) Protect the public interest, act with objectivity, take proper account ofthe position of the suspect and the victim, and pay attention to all relevant


circumstances, irrespective of whether they are to the advantage or disadvan-tage of the suspect;

(c) Keep matters in the possession confidential, unless the performanceof duty or the needs of justice require otherwise;

(d) Consider the views and concerns of victims when their personal inter-ests are affected and ensure that victims are informed of their rights in accor-dance with the Declaration of Basic Principles of Justice for Victims of Crimeand Abuse of Power.

14. Prosecutors shall not initiate or continue prosecution, or shall make everyeffort to stay proceedings, when an impartial investigation shows the charge tobe unfounded.

15. Prosecutors shall give due attention to the prosecution of crimes commit-ted by public officials, particularly corruption, abuse of power, grave violationsof human rights and other crimes recognized by international law and, whereauthorized by law or consistent with local practice, the investigation of suchoffences.

16. When prosecutors come into possession of evidence against suspects thatthey know or believe on reasonable grounds was obtained through recourse tounlawful methods, which constitute a grave violation of the suspect’s humanrights, especially involving torture or cruel, inhuman or degrading treatment orpunishment, or other abuses of human rights, they shall refuse to use suchevidence against anyone other than those who used such methods, or informthe Court accordingly, and shall take all necessary steps to ensure that thoseresponsible for using such methods are brought to justice.

Discretionary functions

17. In countries where prosecutors are vested with discretionary functions, thelaw or published rules or regulations shall provide guidelines to enhance fair-ness and consistency of approach in taking decisions in the prosecution process,including institution or waiver of prosecution.

Alternatives to prosecution

18. In accordance with national law, prosecutors shall give due considerationto waiving prosecution, discontinuing proceedings conditionally or uncondition-ally, or diverting criminal cases from the formal justice system, with full respectfor the rights of the suspect(s) and the victim(s). For this purpose, States shouldfully explore the possibility of adopting diversion schemes not only to


alleviate excessive court loads, but also to avoid the stigmatization of pre-trialdetention, indictment and conviction, as well as the possible adverse effects ofimprisonment.

19. In countries where prosecutors are vested with discretionary functions asto the decision whether or not to prosecute a juvenile, special considerationsshall be given to the nature and gravity of the offence, protection of societyand the personality and background of the juvenile. In making that decision,prosecutors shall particularly consider available alternatives to prosecution underthe relevant juvenile justice laws and procedures. Prosecutors shall use theirbest efforts to take prosecutory action against juveniles only to the extent strictly necessary.

Relations with other government agencies or institutions

20. In order to ensure the fairness and effectiveness of prosecution, prosecu-tors shall strive to cooperate with the police, the courts, the legal profession,public defenders and other government agencies or institutions.

Disciplinary proceedings

21. Disciplinary offences of prosecutors shall be based on law or lawful regu-lations. Complaints against prosecutors which allege that they acted in a mannerclearly out of the range of professional standards shall be processed expedi-tiously and fairly under appropriate procedures. Prosecutors shall have the rightto a fair hearing. The decision shall be subject to independent review.

22. Disciplinary proceedings against prosecutors shall guarantee an objectiveevaluation and decision. They shall be determined in accordance with the law,the code of professional conduct and other established standards and ethics andin the light of the present Guidelines.

Observance of the Guidelines

23. Prosecutors shall respect the present Guidelines. They shall also, to thebest of their capability, prevent and actively oppose any violations thereof.

24. Prosecutors who have reason to believe that a violation of the presentGuidelines has occurred or is about to occur shall report the matter to theirsuperior authorities and, where necessary, to other appropriate authorities ororgans vested with reviewing or remedial power.


54. International Code of Conduct for Public Officials*

I. GENERAL PRINCIPLES

1. A public office, as defined by national law, is a position of trust, implyinga duty to act in the public interest. Therefore, the ultimate loyalty of public offi-cials shall be to the public interests of their country as expressed through thedemocratic institutions of government.

2. Public officials shall ensure that they perform their duties and functions effi-ciently, effectively and with integrity, in accordance with laws or administrativepolicies. They shall at all times seek to ensure that public resources for whichthey are responsible are administered in the most effective and efficient manner.

3. Public officials shall be attentive, fair and impartial in the performance oftheir functions and, in particular, in their relations with the public. They shallat no time afford any undue preferential treatment to any group or individualor improperly discriminate against any group or individual, or otherwise abusethe power and authority vested in them.

II. CONFLICT OF INTEREST AND DISQUALIFICATION

4. Public officials shall not use their official authority for the improperadvancement of their own or their family’s personal or financial interest. Theyshall not engage in any transaction, acquire any position or function or haveany financial, commercial or other comparable interest that is incompatible withtheir office, functions and duties or the discharge thereof.

5. Public officials, to the extent required by their position, shall, in accordancewith laws or administrative policies, declare business, commercial and financialinterests or activities undertaken for financial gain that may raise a possibleconflict of interest. In situations of possible or perceived conflict of interestbetween the duties and private interests of public officials, they shall complywith the measures established to reduce or eliminate such conflict of interest.

6. Public officials shall at no time improperly use public moneys, property,services or information that is acquired in the performance of, or as a result of,their official duties for activities not related to their official work.

7. Public officials shall comply with measures established by law or by admin-istrative policies in order that after leaving their official positions they will nottake improper advantage of their previous office.


*General Assembly resolution 51/59, annex.

III. DISCLOSURE OF ASSETS

8. Public officials shall, in accord with their position and as permitted orrequired by law and administrative policies, comply with requirements to declareor to disclose personal assets and liabilities, as well as, if possible, those oftheir spouses and/or dependants.

IV. ACCEPTANCE OF GIFTS OR OTHER FAVOURS

9. Public officials shall not solicit or receive directly or indirectly any gift orother favour that may influence the exercise of their functions, the performanceof their duties or their judgement.

V. CONFIDENTIAL INFORMATION

10. Matters of a confidential nature in the possession of public officials shallbe kept confidential unless national legislation, the performance of duty or theneeds of justice strictly require otherwise. Such restrictions shall also apply afterseparation from service.

VI. POLITICAL ACTIVITY

11. The political or other activity of public officials outside the scope of theiroffice shall, in accordance with laws and administrative policies, not be suchas to impair public confidence in the impartial performance of their functionsand duties.

55. United Nations Declaration against Corruption and Bribery inInternational Commercial Transactions*

The General Assembly,

Convinced that a stable and transparent environment for internationalcommercial transactions in all countries is essential for the mobilization of


*General Assembly resolution 51/191, annex.

investment, finance, technology, skills and other important resources acrossnational borders, in order, inter alia, to promote economic and social develop-ment and environmental protection,

Recognizing the need to promote social responsibility and appropriatestandards of ethics on the part of private and public corporations, includingtransnational corporations, and individuals engaged in international commercialtransactions, inter alia, through observance of the laws and regulations of thecountries in which they conduct business, and taking into account the impactof their activities on economic and social development and environmentalprotection,

Recognizing also that effective efforts at all levels to combat and avoidcorruption and bribery in all countries are essential elements of an improvedinternational business environment, that they enhance fairness and competitive-ness in international commercial transactions and form a critical part of pro-moting transparent and accountable governance, economic and socialdevelopment and environmental protection in all countries, and that such effortsare especially pressing in the increasingly competitive globalized internationaleconomy,

Solemnly proclaims the United Nations Declaration against Corruption andBribery in International Commercial Transactions as set out below.

Member States, individually and through international and regional organi-zations, taking actions subject to each State’s own constitution and fundamen-tal legal principles and adopted pursuant to national laws and procedures,commit themselves:

1. To take effective and concrete action to combat all forms of corrup-tion, bribery and related illicit practices in international commercial transactions,in particular to pursue effective enforcement of existing laws prohibiting briberyin international commercial transactions, to encourage the adoption of laws forthose purposes where they do not exist, and to call upon private and public cor-porations, including transnational corporations, and individuals within their juris-diction engaged in international commercial transactions to promote theobjectives of the present Declaration;

2. To criminalize such bribery of foreign public officials in an effectiveand coordinated manner, but without in any way precluding, impeding or delay-ing international, regional or national actions to further the implementation ofthe present Declaration;


3. Bribery may include, inter alia, the following elements:

(a) The offer, promise or giving of any payment, gift or other advantage,directly or indirectly, by any private or public corporation, including a transna-tional corporation, or individual from a State to any public official or electedrepresentative of another country as undue consideration for performing orrefraining from the performance of that official’s or representative’s duties inconnection with an international commercial transaction;

(b) The soliciting, demanding, accepting or receiving, directly or indirect-ly, by any public official or elected representative of a State from any privateor public corporation, including a transnational corporation, or individual fromanother country of any payment, gift or other advantage, as undue considera-tion for performing or refraining from the performance of that official’s or rep-resentative’s duties in connection with an international commercial transaction;

4. To deny, in countries that do not already do so, the tax deductibilityof bribes paid by any private or public corporation or individual of a State toany public official or elected representative of another country and, to that end,to examine their respective modalities for doing so;

5. To develop or maintain accounting standards and practices thatimprove the transparency of international commercial transactions, and thatencourage private and public corporations, including transnational corporations,and individuals engaged in international commercial transactions to avoid andcombat corruption, bribery and related illicit practices;

6. To develop or to encourage the development, as appropriate, of busi-ness codes, standards or best practices that prohibit corruption, bribery and relat-ed illicit practices in international commercial transactions;

7. To examine establishing illicit enrichment by public officials or elect-ed representatives as an offence;

8. To cooperate and afford one another the greatest possible assistancein connection with criminal investigations and other legal proceedings broughtin respect of corruption and bribery in international commercial transactions.Mutual assistance shall include, as far as permitted under national laws or asprovided for in bilateral treaties or other applicable arrangements of the affectedcountries, and taking into account the need for confidentiality as appropriate:

(a) Production of documents and other information, taking of evidenceand service of documents relevant to criminal investigations and other legal pro-ceedings;


(b) Notice of the initiation and outcome of criminal proceedings concern-ing bribery in international commercial transactions to other States that mayhave jurisdiction over the same offence;

(c) Extradition proceedings where and as appropriate;

9. To take appropriate action to enhance cooperation to facilitate accessto documents and records about transactions and about identities of personsengaged in bribery in international commercial transactions;

10. To ensure that bank secrecy provisions do not impede or hindercriminal investigations or other legal proceedings relating to corruption, briberyor related illicit practices in international commercial transactions, and that full cooperation is extended to Governments that seek information on suchtransactions;

11. Actions taken in furtherance of the present Declaration shall respectfully the national sovereignty and territorial jurisdiction of Member States, aswell as the rights and obligations of Member States under existing treaties andinternational law, and shall be consistent with human rights and fundamentalfreedoms;

12. Member States agree that actions taken by them to establish juris-diction over acts of bribery of foreign public officials in international commer-cial transactions shall be consistent with the principles of international lawregarding the extraterritorial application of a State’s laws.


Documents

I. Good governance, the independence of the judiciary and