74. Where the outcome of an investigation establishes the responsibility of the perpe-
trators of an attack against a human rights defender, the state has a duty to bring
those responsible to justice, regardless of whether those responsible are public officials or non-state actors.102 As the UN Committee against Torture has pointed out
in relation to states’ obligation to take effective measures to prevent torture, it is
essential to investigate and establish the responsibility not only of the direct perpetrators, but also of persons in the chain of command.103
75. The fact that violations have been committed by a subordinate does not exempt the
subordinate’s superior from responsibility, in particular where criminal responsibility is established, if the superior knew or had at the time reason to know that
the subordinate was committing or about to commit such a crime and did not take
all necessary measures to prevent or punish the crime. As regards the responsibility of the subordinate, the fact that the perpetrator acted on orders of his or her
government or of a superior does not exempt him or her from responsibility.104 A
subordinate who refuses to carry out an unlawful order, however, shall not face
criminal or disciplinary sanctions.105
76. Any public officials who have been found by a competent authority to be responsible
for serious human rights violations or for furthering or tolerating impunity must be
removed from office or subjected to other appropriate disciplinary procedures.106
Where relevant, such procedures must be accompanied by criminal prosecution107
and sentencing, which should be effective, proportionate and appropriate to the
offence committed.108 Among other things, this means that the sentences should
show that such acts are not tolerated and should have a sufficient dissuasive effect.
77. Given the important role of human rights work in a democratic society and the
fact that threats and violence against human rights defenders on account of their
human rights work often seeks to instil fear not only in the immediate victim but
102 See, for example, UN Human Rights Committee General Comment No. 31, “The Nature of the General
Legal Obligation Imposed on States Parties to the Covenant”, UN Doc. CCPR/C/21/Rev.1/Add.13, 26 May 2004,
para. 18.
103 See UN Committee against Torture, General Comment No. 2, “Implementation of Article 2 by States Parties”, UN Doc. CAT/C/GC/2, 24 January 2008, para. 9.
104 The following of orders or instructions may, however, have a bearing on the sentencing of the subordinate. See “Updated Set of principles for the protection and promotion of human rights through action to combat
impunity”, UN Doc. E/CN.4/2005/102/Add.1, 8 February 2005, principle 27. See also “Guidelines of the Committee of Ministers of the Council of Europe on eradicating impunity for serious human rights violations, section XIII. Accountability of subordinates. See also “Basic Principles on the Use of Force and Firearms by Law
Enforcement Officials”, Adopted by the Eighth United Nations Congress on the Prevention of Crime and the
Treatment of Offenders, Havana, Cuba, 27 August to 7 September 1990, principles 24 and 26.
105
See “Basic Principles on the Use of Force and Firearms by Law Enforcement Officials”, principle 25.
106 See “Guidelines of the Committee of Ministers of the Council of Europe on eradicating impunity for serious human rights violations”, section III. General measures for the prevention of impunity, para. 7.
107 The requirements for an investigation to be effective also apply at the prosecution stage. Ibid. section
VIII. Prosecutions.
108 Ibid. section X. Sentencing.
48
Guidelines on the Protection of Human Rights Defenders
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