| United Nations | A/RES/45/110 |
General Assembly
Distr. GENERAL
14 December 1990
ORIGINAL:
ENGLISH
A/RES/45/110
68th plenary meeting
14 December 1990
45/110. United Nations Standard Minimum Rules for Non-custodial
Measures (The Tokyo Rules)
The General Assembly,
Bearing in mind the Universal Declaration of Human Rights and the
International Covenant on Civil and Political Rights, as well as other
international human rights instruments pertaining to the rights of persons in
conflict with the law,
Bearing in mind also the Standard Minimum Rules for the Treatment of
Prisoners, adopted by the First United Nations Congress on the Prevention of
Crime and the Treatment of Offenders, and the important contribution of those
Rules to national policies and practices,
Recalling resolution 8 of the Sixth United Nations Congress on the
Prevention of Crime and the Treatment of Offenders on alternatives to
imprisonment,
Recalling also resolution 16 of the Seventh United Nations Congress on
the Prevention of Crime and the Treatment of Offenders on the reduction of the
prison population, alternatives to imprisonment, and social integration of
offenders,
Recalling further section XI of Economic and Social Council resolution
1986/10 of 21 May 1986, on alternatives to imprisonment, in which the
Secretary-General was requested to prepare a report on alternatives to
imprisonment for the Eighth United Nations Congress on the Prevention of Crime
and the Treatment of Offenders and to study that question with a view to the
formulation of basic principles in that area, with the assistance of the
United Nations institutes for the prevention of crime and the treatment of
offenders,
Recognizing the need to develop local, national, regional and
international approaches and strategies in the field of non-institutional
treatment of offenders and the need to formulate standard minimum rules, as
emphasized in the section of the report of the Committee on Crime Prevention
and Control on its fourth session, concerning the methods and measures likely
to be most effective in preventing crime and improving the treatment of
offenders,
Convinced that alternatives to imprisonment can be an effective means of
treating offenders within the community to the best advantage of both the
offenders and society,
Aware that the restriction of liberty is justifiable only from the
viewpoints of public safety, crime prevention, just retribution and deterrence
and that the ultimate goal of the criminal justice system is the reintegration
of the offender into society,
Emphasizing that the increasing prison population and prison overcrowding
in many countries constitute factors that create difficulties for the proper
implementation of the Standard Minimum Rules for the Treatment of Prisoners,
Noting with appreciation the work accomplished by the Committee on Crime
Prevention and Control, as well as by the Interregional Preparatory Meeting
for the Eighth United Nations Congress on the Prevention of Crime and the
Treatment of Offenders on topic II, "Criminal justice policies in relation to
problems of imprisonment, other penal sanctions and alternative measures", and
by the regional preparatory meetings for the Eighth Congress,
Expressing its gratitude to the United Nations Asia and Far East
Institute for the Prevention of Crime and the Treatment of Offenders for the
work accomplished in the development of standard minimum rules for
non-custodial measures, as well as to the various intergovernmental and
non-governmental organizations involved, in particular, the International
Penal and Penitentiary Foundation for its contribution to the preparatory
work,
1. Adopts the United Nations Standard Minimum Rules for Non-custodial
Measures, contained in the annex to the present resolution, and approves the
recommendation of the Committee on Crime Prevention and Control that the Rules
should be known as "the Tokyo Rules";
2. Recommends the Tokyo Rules for implementation at the national,
regional and interregional levels, taking into account the political,
economic, social and cultural circumstances and traditions of countries;
3. Calls upon Member States to apply the Tokyo Rules in their policies
and practice;
4. Invites Member States to bring the Tokyo Rules to the attention of,
in particular, law enforcement officials, prosecutors, judges, probation
officers, lawyers, victims, offenders, social services and non-governmental
organizations involved in the application of non-custodial measures, as well
as members of the executive, the legislature and the general public;
5. Requests Member States to report on the implementation of the Tokyo
Rules every five years, beginning in 1994;
6. Urges the regional commissions, the United Nations institutes for
the prevention of crime and the treatment of offenders, specialized agencies
and other entities within the United Nations system, other intergovernmental
organizations concerned and non-governmental organizations in consultative
status with the Economic and Social Council to be actively involved in the
implementation of the Tokyo Rules;
7. Calls upon the Committee on Crime Prevention and Control to
consider, as a matter of priority, the implementation of the present
resolution;
8. Requests the Secretary-General to take the necessary steps to
prepare a commentary to the Tokyo Rules, which is to be submitted to the
Committee on Crime Prevention and Control at its twelfth session for approval
and further dissemination, paying special attention to the legal safeguards,
the implementation of the Rules and the development of similar guidelines at
the regional level;
9. Invites the United Nations institutes for the prevention of crime
and the treatment of offenders to assist the Secretary-General in that task;
10. Urges intergovernmental and non-governmental organizations and other
entities concerned to remain actively involved in this initiative;
11. Requests the Secretary-General to take steps, as appropriate, to
ensure the widest possible dissemination of the Tokyo Rules, including their
transmission to Governments, interested intergovernmental and non-governmental
organizations and other parties concerned;
12. Also requests the Secretary-General to prepare every five years,
beginning in 1994, a report on the implementation of the Tokyo Rules for
submission to the Committee on Crime Prevention and Control;
13. Further requests the Secretary-General to assist Member States, at
their request, in the implementation of the Tokyo Rules and to report
regularly thereon to the Committee on Crime Prevention and Control;
14. Requests that the present resolution and the text of the annex be
brought to the attention of all United Nations bodies concerned and be
included in the next edition of the United Nations publication entitled Human
Rights: A Compilation of International Instruments.
ANNEX
United Nations Standard Minimum Rules for Non-custodial
Measures (The Tokyo Rules)
I. GENERAL PRINCIPLES
1. Fundamental aims
1.1 The present Standard Minimum Rules provide a set of basic principles to
promote the use of non-custodial measures, as well as minimum safeguards
for persons subject to alternatives to imprisonment.
1.2 The Rules are intended to promote greater community involvement in the
management of criminal justice, specifically in the treatment of
offenders, as well as to promote among offenders a sense of
responsibility towards society.
1.3 The Rules shall be implemented taking into account the political,
economic, social and cultural conditions of each country and the aims and
objectives of its criminal justice system.
1.4 When implementing the Rules, Member States shall endeavour to ensure a
proper balance between the rights of individual offenders, the rights of
victims, and the concern of society for public safety and crime
prevention.
1.5 Member States shall develop non-custodial measures within their legal
systems to provide other options, thus reducing the use of imprisonment,
and to rationalize criminal justice policies, taking into account the
observance of human rights, the requirements of social justice and the
rehabilitation needs of the offender.
2. The scope of non-custodial measures
2.1 The relevant provisions of the present Rules shall be applied to all
persons subject to prosecution, trial or the execution of a sentence, at
all stages of the administration of criminal justice. For the purposes
of the Rules, these persons are referred to as "offenders", irrespective
of whether they are suspected, accused or sentenced.
2.2 The Rules shall be applied without any discrimination on the grounds of
race, colour, sex, age, language, religion, political or other opinion,
national or social origin, property, birth or other status.
2.3 In order to provide greater flexibility consistent with the nature and
gravity of the offence, with the personality and background of the
offender and with the protection of society and to avoid unnecessary use
of imprisonment, the criminal justice system should provide a wide range
of non-custodial measures, from pre-trial to post-sentencing
dispositions. The number and types of non-custodial measures available
should be determined in such a way that consistent sentencing remains
possible.
2.4 The development of new non-custodial measures should be encouraged and
closely monitored and their use systematically evaluated.
2.5 Consideration shall be given to dealing with offenders in the community,
avoiding as far as possible resort to formal proceedings or trial by a
court, in accordance with legal safeguards and the rule of law.
2.6 Non-custodial measures should be used in accordance with the principle of
minimum intervention.
2.7 The use of non-custodial measures should be part of the movement towards
depenalization and decriminalization instead of interfering with or
delaying efforts in that direction.
3. Legal safeguards
3.1 The introduction, definition and application of non-custodial measures
shall be prescribed by law.
3.2 The selection of a non-custodial measure shall be based on an assessment
of established criteria in respect of both the nature and gravity of the
offence and the personality, the background of the offender, the purposes
of sentencing and the rights of victims.
3.3 Discretion by the judicial or other competent independent authority shall
be exercised at all stages of the proceedings by ensuring full
accountability and only in accordance with the rule of law.
3.4 Non-custodial measures imposing an obligation on the offender, applied
before or instead of formal proceedings or trial, shall require the
offender's consent.
3.5 Decisions on the imposition of non-custodial measures shall be subject to
review by a judicial or other competent independent authority, upon
application by the offender.
3.6 The offender shall be entitled to make a request or complaint to a
judicial or other competent independent authority on matters affecting
his or her individual rights in the implementation of non-custodial
measures.
3.7 Appropriate machinery shall be provided for the recourse and, if
possible, redress of any grievance related to non-compliance with
internationally recognized human rights.
3.8 Non-custodial measures shall not involve medical or psychological
experimentation on, or undue risk of physical or mental injury to, the
offender.
3.9 The dignity of the offender subject to non-custodial measures shall be
protected at all times.
3.10 In the implementation of non-custodial measures, the offender's rights
shall not be restricted further than was authorized by the competent
authority that rendered the original decision.
3.11 In the application of non-custodial measures, the offender's right to
privacy shall be respected, as shall be the right to privacy of the
offender's family.
3.12 The offender's personal records shall be kept strictly confidential and
closed to third parties. Access to such records shall be limited to
persons directly concerned with the disposition of the offender's case or
to other duly authorized persons.
4. Saving clause
4.1 Nothing in the present Rules shall be interpreted as precluding the
application of the Standard Minimum Rules for the Treatment of
Prisoners, the United Nations Standard Minimum Rules for the
Administration of Juvenile Justice (The Beijing Rules), the Body of
Principles for the Protection of All Persons under Any Form of Detention
or Imprisonment or any other human rights instruments and standards
recognized by the international community and relating to the treatment
of offenders and the protection of their basic human rights.
II. PRE-TRIAL STAGE
5. Pre-trial dispositions
5.1 Where appropriate and compatible with the legal system, the police, the
prosecution service or other agencies dealing with criminal cases should
be empowered to discharge the offender if they consider that it is not
necessary to proceed with the case for the protection of society, crime
prevention or the promotion of respect for the law and the rights of
victims. For the purpose of deciding upon the appropriateness of
discharge or determination of proceedings, a set of established criteria
shall be developed within each legal system. For minor cases the
prosecutor may impose suitable non-custodial measures, as appropriate.
6. Avoidance of pre-trial detention
6.1 Pre-trial detention shall be used as a means of last resort in criminal
proceedings, with due regard for the investigation of the alleged offence
and for the protection of society and the victim.
6.2 Alternatives to pre-trial detention shall be employed at as early a stage
as possible. Pre-trial detention shall last no longer than necessary to
achieve the objectives stated under rule 5.1 and shall be administered
humanely and with respect for the inherent dignity of human beings.
6.3 The offender shall have the right to appeal to a judicial or other
competent independent authority in cases where pre-trial detention is
employed.
III. TRIAL AND SENTENCING STAGE
7. Social inquiry reports
7.1 If the possibility of social inquiry reports exists, the judicial
authority may avail itself of a report prepared by a competent,
authorized official or agency. The report should contain social
information on the offender that is relevant to the person's pattern of
offending and current offences. It should also contain information and
recommendations that are relevant to the sentencing procedure. The
report shall be factual, objective and unbiased, with any expression of
opinion clearly identified.
8. Sentencing dispositions
8.1 The judicial authority, having at its disposal a range of non-custodial
measures, should take into consideration in making its decision the
rehabilitative needs of the offender, the protection of society and the
interests of the victim, who should be consulted whenever appropriate.
8.2 Sentencing authorities may dispose of cases in the following ways:
(a) Verbal sanctions, such as admonition, reprimand and warning;
(b) Conditional discharge;
(c) Status penalties;
(d) Economic sanctions and monetary penalties, such as fines and
day-fines;
(e) Confiscation or an expropriation order;
(f) Restitution to the victim or a compensation order;
(g) Suspended or deferred sentence;
(h) Probation and judicial supervision;
(i) A community service order;
(j) Referral to an attendance centre;
(k) House arrest;
(l) Any other mode of non-institutional treatment;
(m) Some combination of the measures listed above.
IV. POST-SENTENCING STAGE
9. Post-sentencing dispositions
9.1 The competent authority shall have at its disposal a wide range of
post-sentencing alternatives in order to avoid institutionalization and
to assist offenders in their early reintegration into society.
9.2 Post-sentencing dispositions may include:
(a) Furlough and half-way houses;
(b) Work or education release;
(c) Various forms of parole;
(d) Remission;
(e) Pardon.
9.3 The decision on post-sentencing dispositions, except in the case of
pardon, shall be subject to review by a judicial or other competent
independent authority, upon application of the offender.
9.4 Any form of release from an institution to a non-custodial programme
shall be considered at the earliest possible stage.
V. IMPLEMENTATION OF NON-CUSTODIAL MEASURES
10. Supervision
10.1 The purpose of supervision is to reduce reoffending and to assist the
offender's integration into society in a way which minimizes the
likelihood of a return to crime.
10.2 If a non-custodial measure entails supervision, the latter shall be
carried out by a competent authority under the specific conditions
prescribed by law.
10.3 Within the framework of a given non-custodial measure, the most suitable
type of supervision and treatment should be determined for each
individual case aimed at assisting the offender to work on his or her
offending. Supervision and treatment should be periodically reviewed and
adjusted as necessary.
10.4 Offenders should, when needed, be provided with psychological, social and
material assistance and with opportunities to strengthen links with the
community and facilitate their reintegration into society.
11. Duration
11.1 The duration of a non-custodial measure shall not exceed the period
established by the competent authority in accordance with the law.
11.2 Provision may be made for early termination of the measure if the
offender has responded favourably to it.
12. Conditions
12.1 If the competent authority shall determine the conditions to be observed
by the offender, it should take into account both the needs of society
and the needs and rights of the offender and the victim.
12.2 The conditions to be observed shall be practical, precise and as few as
possible, and shall be aimed at reducing the likelihood of an offender
relapsing into criminal behaviour and at increasing the offender's
chances of social integration, taking into account the needs of the
victim.
12.3 At the beginning of the application of a non-custodial measure, the
offender shall receive an explanation, orally and in writing, of the
conditions governing the application of the measure, including the
offender's obligations and rights.
12.4 The conditions may be modified by the competent authority under the
established statutory provisions, in accordance with the progress made by
the offender.
13. Treatment process
13.1 Within the framework of a given non-custodial measure, in appropriate
cases, various schemes, such as case-work, group therapy, residential
programmes and the specialized treatment of various categories of
offenders, should be developed to meet the needs of offenders more
effectively.
13.2 Treatment should be conducted by professionals who have suitable training
and practical experience.
13.3 When it is decided that treatment is necessary, efforts should be made to
understand the offender's background, personality, aptitude,
intelligence, values and, especially, the circumstances leading to the
commission of the offence.
13.4 The competent authority may involve the community and social support
systems in the application of non-custodial measures.
13.5 Case-load assignments shall be maintained as far as practicable at a
manageable level to ensure the effective implementation of treatment
programmes.
13.6 For each offender, a case record shall be established and maintained by
the competent authority.
14. Discipline and breach of conditions
14.1 A breach of the conditions to be observed by the offender may result in a
modification or revocation of the non-custodial measure.
14.2 The modification or revocation of the non-custodial measure shall be made
by the competent authority; this shall be done only after a careful
examination of the facts adduced by both the supervising officer and the
offender.
14.3 The failure of a non-custodial measure should not automatically lead to
the imposition of a custodial measure.
14.4 In the event of a modification or revocation of the non-custodial
measure, the competent authority shall attempt to establish a suitable
alternative non-custodial measure. A sentence of imprisonment may be
imposed only in the absence of other suitable alternatives.
14.5 The power to arrest and detain the offender under supervision in cases
where there is a breach of the conditions shall be prescribed by law.
14.6 Upon modification or revocation of the non-custodial measure, the
offender shall have the right to appeal to a judicial or other competent
independent authority.
VI. STAFF
15. Recruitment
15.1 There shall be no discrimination in the recruitment of staff on the
grounds of race, colour, sex, age, language, religion, political or other
opinion, national or social origin, property, birth or other status. The
policy regarding staff recruitment should take into consideration
national policies of affirmative action and reflect the diversity of the
offenders to be supervised.
15.2 Persons appointed to apply non-custodial measures should be personally
suitable and, whenever possible, have appropriate professional training
and practical experience. Such qualifications shall be clearly
specified.
15.3 To secure and retain qualified professional staff, appropriate service
status, adequate salary and benefits commensurate with the nature of the
work should be ensured and ample opportunities should be provided for
professional growth and career development.
16. Staff training
16.1 The objective of training shall be to make clear to staff their
responsibilities with regard to rehabilitating the offender, ensuring the
offender's rights and protecting society. Training should also give
staff an understanding of the need to co-operate in and co-ordinate
activities with the agencies concerned.
16.2 Before entering duty, staff shall be given training that includes
instruction on the nature of non-custodial measures, the purposes of
supervision and the various modalities of the application of
non-custodial measures.
16.3 After entering on duty, staff shall maintain and improve their knowledge
and professional capacity by attending in-service training and refresher
courses. Adequate facilities shall be made available for that purpose.
VII. VOLUNTEERS AND OTHER COMMUNITY RESOURCES
17. Public participation
17.1 Public participation should be encouraged as it is a major resource and
one of the most important factors in improving ties between offenders
undergoing non-custodial measures and the family and community. It
should complement the efforts of the criminal justice administration.
17.2 Public participation should be regarded as an opportunity for members of
the community to contribute to the protection of their society.
18. Public understanding and co-operation
18.1 Government agencies, the private sector and the general public should be
encouraged to support voluntary organizations that promote non-custodial
measures.
18.2 Conferences, seminars, symposia and other activities should be regularly
organized to stimulate awareness of the need for public participation in
the application of non-custodial measures.
18.3 All forms of the mass media should be utilized to help to create a
constructive public attitude, leading to activities conducive to a
broader application of non-custodial treatment and the social integration
of offenders.
18.4 Every effort should be made to inform the public of the importance of its
role in the implementation of non-custodial measures.
19. Volunteers
19.1 Volunteers shall be carefully screened and recruited on the basis of
their aptitude for and interest in the work involved. They shall be
properly trained for the specific responsibilities to be discharged by
them and shall have access to support and counselling from, and the
opportunity to consult with, the competent authority.
19.2 Volunteers should encourage offenders and their families to develop
meaningful ties with the community and a broader sphere of contact by
providing counselling and other appropriate forms of assistance according
to their capacity and the offenders' needs.
19.3 Volunteers shall be insured against accident, injury and public liability
when carrying out their duties. They shall be reimbursed for authorized
expenditures incurred in the course of their work. Public recognition
should be extended to them for the services they render for the
well-being of the community.
VIII. RESEARCH, PLANNING, POLICY FORMULATION AND EVALUATION
20. Research and planning
20.1 As an essential aspect of the planning process, efforts should be made to
involve both public and private bodies in the organization and promotion
of research on the non-custodial treatment of offenders.
20.2 Research on the problems that confront clients, practitioners, the
community and policy makers should be carried out on a regular basis.
20.3 Research and information mechanisms should be built into the criminal
justice system for the collection and analysis of data and statistics on
the implementation of non-custodial treatment for offenders.
21. Policy formulation and programme development
21.1 Programmes for non-custodial measures should be systematically planned
and implemented as an integral part of the criminal justice system within
the national development process.
21.2 Regular evaluations should be carried out with a view to implementing
non-custodial measures more effectively.
21.3 Periodic reviews should be conducted to assess the objectives,
functioning and effectiveness of non-custodial measures.
22. Linkages with relevant agencies and activities
22.1 Suitable mechanisms should be evolved at various levels to facilitate the
establishment of linkages between services responsible for non-custodial
measures, other branches of the criminal justice system, social
development and welfare agencies, both governmental and non-governmental,
in such fields as health, housing, education and labour, and the mass
media.
23. International co-operation
23.1 Efforts shall be made to promote scientific co-operation between
countries in the field of non-institutional treatment. Research,
training, technical assistance and the exchange of information among
Member States on non-custodial measures should be strengthened, through
the United Nations institutes for the prevention of crime and the
treatment of offenders, in close collaboration with the Crime Prevention
and Criminal Justice Branch of the Centre for Social Development and
Humanitarian Affairs of the United Nations Secretariat.
23.2 Comparative studies and the harmonization of legislative provisions
should be furthered to expand the range of non-institutional options and
facilitate their application across national frontiers, in accordance
with the Model Treaty on the Transfer of Supervision of Offenders
Conditionally Sentenced or Conditionally Released.