المبادئ الأساسية حول استخدام القوة والأسلحة النارية من جانب الموظفين المكلفين بإنفاذ القوانين
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
Whereas the work of law enforcement officials 1 is a social service of great importance and there is,
therefore, a need to maintain and, whenever necessary, to improve the working conditions and status
of these officials,
Whereas a threat to the life and safety of law enforcement officials must be seen as a threat to the
stability of society as a whole,
Whereas law enforcement officials have a vital role in the protection of the right to life, liberty and
security of the person, as guaranteed in the Universal Declaration of Human Rights and reaffirmed in
the International Covenant on Civil and Political Rights,
Whereas the Standard Minimum Rules for the Treatment of Prisoners provide for the circumstances in
which prison officials may use force in the course of their duties,
Whereas article 3 of the Code of Conduct for Law Enforcement Officials provides that law enforcement
officials may use force only when strictly necessary and to the extent required for the performance of
their duty,
Whereas the preparatory meeting for the Seventh United Nations Congress on 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 on restraints on the use of force and firearms by law enforcement officials,
Whereas the Seventh Congress, in its resolution 14, inter alia , emphasizes that the use of force and
firearms by law enforcement officials should be commensurate with due respect for human rights,
Whereas the Economic and Social Council, in its resolution 1986/10, section IX, of 21 May 1986,
invited Member States to pay particular attention in the implementation of the Code to the use of force
and firearms by law enforcement officials, and the General Assembly, in its resolution 41/149 of 4
December 1986, 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 the administration of justice, to the protection of the
right to life, liberty and security of the person, to their responsibility to maintain public safety and
social peace and to the importance of their qualifications, training and conduct,
The basic principles set forth below, which have been formulated to assist Member States in their task
of ensuring and promoting the proper role of law enforcement officials, should be taken into account
and respected by Governments within the framework of their national legislation and practice, and be
brought to the attention of law enforcement officials as well as other persons, such as judges,
prosecutors, lawyers, members of the executive branch and the legislature, and the public.
General provisions
1. Governments and law enforcement agencies shall adopt and implement rules and regulations on the
use of force and firearms against persons by law enforcement officials. In developing such rules and
regulations, Governments and law enforcement agencies shall keep the ethical issues associated with
the use of force and firearms constantly under review.
2. Governments and law enforcement agencies should develop a range of means as broad as possible
and equip law enforcement officials with various types of weapons and ammunition that would allow 2
for a differentiated use of force and firearms. These should include the development of non-lethal
incapacitating weapons for use in appropriate situations, with a view to increasingly restraining the
application of means capable of causing death or injury to persons. For the same purpose, it should
also be possible for law enforcement officials to be equipped with self-defensive equipment such as
shields, helmets, bullet-proof vests and bullet-proof means of transportation, in order to decrease the
need to use weapons of any kind.
3. The development and deployment of non-lethal incapacitating weapons should be carefully
evaluated in order to minimize the risk of endangering uninvolved persons, and the use of such
weapons should be carefully controlled.
4. Law enforcement officials, in carrying out their duty, shall, as far as possible, 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 without any promise of achieving the intended result.
5. Whenever the lawful use of force and firearms is unavoidable, law enforcement officials shall:
( a ) Exercise restraint in such use and act in proportion to the seriousness of 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 or affected persons at the
earliest possible moment;
( d ) Ensure that relatives or close friends of the injured or affected person are notified at the earliest
possible moment.
6. Where injury or death is caused by the use of force and firearms by law enforcement 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 firearms by law enforcement
officials is punished as a criminal offence under their law.
8. Exceptional circumstances such as internal political instability or any other public emergency may
not be invoked to justify any departure from these basic principles.
Special provisions
9. Law enforcement officials shall not use firearms against persons except in self-defence or defence of
others against the imminent threat of death or serious injury, to prevent the perpetration of a
particularly serious crime involving grave threat to life, to arrest a person presenting such a danger
and resisting their authority, or to prevent his or her escape, and only when less extreme means are
insufficient to achieve these objectives. In any event, intentional lethal use 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 officials shall identify
themselves as such and give a clear warning of their intent to use firearms, with sufficient time for the
warning to be observed, unless to do 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 clearly inappropriate or
pointless in the circumstances of the incident.
11. Rules and regulations on the use of firearms by law enforcement officials should include guidelines
that:
( a ) Specify the circumstances under which law enforcement officials are authorized to carry firearms
and prescribe the types of firearms and ammunition permitted;
3
( b ) Ensure that firearms are used only in appropriate circumstances and in a manner likely to
decrease the risk of unnecessary harm;
( c ) Prohibit the use of those firearms and ammunition that cause unwarranted injury or present an
unwarranted risk;
( d ) Regulate the control, storage and issuing of firearms, including procedures for ensuring that law
enforcement officials are accountable for the firearms and ammunition issued to them;
( e ) Provide for warnings to be given, if appropriate, when firearms are to be discharged;
( f ) Provide for a system of reporting whenever law enforcement officials use 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 of Human Rights and the International Covenant on
Civil and Political Rights, Governments and law enforcement agencies and officials shall recognize that
force 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, law enforcement officials shall
avoid the use of force or, where that is not practicable, shall restrict such force to the minimum extent
necessary.
14. In the dispersal of violent assemblies, law enforcement officials may use firearms only when less
dangerous means are not practicable and only to the minimum extent necessary. Law enforcement
officials shall not use firearms in such 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 or detention, shall not use
force, except when strictly necessary for the maintenance of security and order within the institution,
or when personal safety is threatened.
16. Law enforcement officials, in their relations with persons in custody or detention, shall not use
firearms, except in self-defence or in the defence of others against the immediate threat of death or
serious injury, or when strictly necessary to prevent the escape of a person in custody or detention
presenting the danger referred to in principle 9.
17. The preceding principles are without prejudice to the rights, duties and responsibilities of prison
officials, as set out in the Standard Minimum Rules for the Treatment of Prisoners, particularly rules
33, 34 and 54.
Qualifications, training and counselling
18. Governments and law enforcement agencies shall ensure that all law enforcement officials are
selected by proper screening procedures, have appropriate moral, psychological and physical qualities
for the effective exercise of their functions and receive continuous and thorough professional training.
Their continued fitness to perform these functions should be subject to periodic review.
19. Governments and law enforcement agencies shall ensure that all law enforcement officials are
provided with training and are tested in accordance with appropriate proficiency standards in the use
of force. Those law enforcement officials who are required to carry firearms should be authorized to do
so only upon completion of special training in their use.
20. In the training of law enforcement officials, Governments and law enforcement agencies shall give
special attention to issues of police ethics and human rights, especially in the investigative process, to
alternatives to the use of force and firearms, including the peaceful settlement of conflicts, the 4
understanding of 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 and firearms. Law enforcement agencies
should review their training programmes and operational procedures in the light of particular incidents.
21. Governments and law enforcement agencies shall make stress counselling available to law
enforcement officials who are involved in situations where force and firearms are used.
Reporting and review procedures
22. Governments and law enforcement agencies shall establish effective reporting and review
procedures for all incidents referred to in principles 6 and 11 ( f ). For incidents reported pursuant to
these principles, Governments and law enforcement agencies shall ensure that an effective review
process is available and that independent administrative or prosecutorial authorities are in a position to
exercise jurisdiction in appropriate circumstances. In cases of death and serious injury or other grave
consequences, a detailed report shall be sent promptly to the competent authorities responsible for
administrative review and judicial control.
23. Persons affected by the use of force and firearms or their legal representatives 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 their dependants accordingly.
24. Governments and law enforcement agencies shall ensure that superior officers are held responsible
if they know, or should have known, that law enforcement officials under their command are resorting,
or have resorted, to the unlawful use of force and firearms, and they did not take all measures in their
power to prevent, suppress or report such use.
25. Governments and law enforcement agencies shall ensure that no criminal or disciplinary sanction is
imposed on law enforcement officials who, in compliance with the Code of Conduct for Law
Enforcement Officials and these basic principles, refuse to carry out an order to use force and firearms,
or who report such use by other officials.
26. Obedience to superior orders shall be no defence if law enforcement officials knew that an order to
use force and firearms resulting in the death or serious injury of a person was manifestly unlawful and
had a reasonable opportunity to refuse to follow it. In any case, responsibility also rests on the
superiors who gave the unlawful orders.
1/ In accordance with the commentary to article 1 of the Code of Conduct for Law Enforcement Officials, 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. In countries where police 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.
