Section 2.3: Post-Incident Procedures and Accountability
Mechanisms.
Section 2.3.1: Medical examination and treatment
The Basic Principles (Principle 5) note that, when force is used, officials
shall ‘ensure that assistance and medical aid are rendered to any injured
or affected persons at the earliest possible moment’. Similarly the CPT
(1992) note that ‘a prisoner against whom any means of force have
been used should have the right to be immediately examined and,
if necessary, treated by a medical doctor. This examination should
be conducted out of the hearing and preferably out of the sight of
non-medical staff, and the results of the examination (including any
relevant statements by the prisoner and the doctor’s conclusions)
should be formally recorded and made available to the prisoner’.
The Istanbul Protocol (1999) provides international guidance for
investigating cases of alleged torture and for reporting findings to
the judiciary or any other investigative body, and should be followed
in cases where there are allegations of torture and ill-treatment.
Section 2.3.2: Reporting and Accountability
Use of force recording and internal oversight:
The Basic Principles (Principle 11f) note that there should be a ‘system
of reporting whenever law enforcement officials use firearms in the
performance of their duty’. They also note, moreover, that ‘effective
reporting and review procedures’ should be implemented not only
around the use of firearms but also whenever the use of force has
caused injury or death (Principle 22). The Nelson Mandela Rules
(Rule 8) also stress the importance of reporting, noting that prisoner
files should include ‘requests and complaints, including allegations of
torture or other cruel, inhuman or degrading treatment or punishment,
unless they are of a confidential nature’ and ‘information on the
circumstances and causes of any injuries or death’.
The SPT (2013) notes that ‘a register of the use of any means of
coercion, including non-lethal means, should be kept’, and the
CPT stress that ‘a record should be kept of every instance of the
use of force against prisoners’ (1992: 53). Similarly, the UNODC/
OHCHR Resource book (2017: 153) notes that it is ‘considered
good practice to report any use of force, including incidents that
involve a “show of force”, such as the pointing of a firearm, or taser,
at any person’. This includes the use of restraints, with a provision
that ‘where law enforcement officials apply handcuffs, they have
to report it afterwards, and also account for the period of time
the handcuffs were applied before their eventual removal’ (2017:
83). Article 12 of the Convention Against Torture and other Cruel,
Inhuman or Degrading Treatment and Punishment notes that ‘each
State Party shall ensure that its competent authorities proceed to
a prompt and impartial investigation, wherever there is reasonable
ground to believe that an act of torture has been committed in any
territory under its jurisdiction’.
Furthermore, the CPT (2017: 5) recommend that ‘a specific register
should be established to record all instances of recourse to means
of restraint (including chemical restraint). This should supplement
the records contained within the patient’s personal medical file. The
20
entries in the register should include the time at which the measure
began and ended; the circumstances of the case; the reasons for
resorting to the measure; the name of the doctor who ordered or
approved it; and an account of any injuries sustained by patients or
staff. Patients should be entitled to attach comments to the register,
and should be informed of this entitlement; at their request, they
should receive a copy of the full entry’ .
Supervisory oversight.
The UNODC/OHCHR Resource book (2017: 153) further notes the
importance of having ‘detailed forms to systematize the reporting
process, enabling officers to describe as accurately as possible what
has occurred and why’, and ensuring that each incident report is
‘reviewed by the supervising officer, who should always formulate
an opinion on the use of force: was the force applied justified or
is (disciplinary or other) action required? Are there lessons to be
learned? Are there any needs for training that should be identified?’
Data collection and analysis
As well as analysis of individual incidents, the UNODC/
OHCHR Resource book highlights the importance of data
collection and analysis, and is worth quoting at length. It
notes that:
‘the data of all the individual incidents where force or firearms
have been used, including from complaints about use of
force and firearms, and otherwise, need to be collected
to allow meaningful monitoring of use-of-force practice,
through further analysis and establish trends and patterns.
It is recommended to collect the data regarding use of
force and deaths and serious injuries that are the result of
law enforcement action, and complaints about the same,
at a central level, under the authority of an independent
body, rather than an internal unit, as they may be put under
pressure to give a more favourable representation of the
agency than the facts merit. Central data collection also
facilitates central data analysis. The data should provide
answers to questions such as how many incidents of force
there have been; how many people died as a result of police
action; how many got seriously injured; and how many of
these incidents were unlawful, providing statistical data
that are crucial to developing appropriate interventions
to remedy overreliance on force or otherwise abusive use
of force, where applicable’.
Independent review of individual incidents:
International standards go beyond mere reporting, however, and
also stress the importance of review and accountability mechanisms,
including by independent bodies and processes. The Basic Principles
(Principle 22) note that, in cases of death and serious injury or other
grave consequences, a detailed report shall be sent promptly to
the competent authorities. They also note that ‘persons affected
by the use of force and firearms or their legal representatives shall
have access to an independent process, including a judicial process’
(Principle 23), whilst the UN Rules for the Protection of Juveniles
Deprived of their Liberty (Rule 57) state that, following the death of
juveniles in detention, ‘there should be an independent inquiry into
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