Handbook on the Management of High-Risk Prisoners CRIMINAL JUSTICE HANDBOOK SERIES Cover photo: “As long as I am alive, you will surely be in grief.” ©Alessandro Scotti UNITED NATIONS OFFICE ON DRUGS AND CRIME Vienna Handbook on the Management of High-Risk Prisoners CRIMINAL JUSTICE HANDBOOK SERIES UNITED NATIONS New York, 2016 UNITED NATIONS PUBLICATION Sales No. xxx ISBN xxx eISBN xxxxx © United Nations, March 2016. All rights reserved, worldwide. The designations employed and the presentation of material in this publication do not imply the expression of any opinion whatsoever on the part of the Secretariat of the United Nations concerning the legal status of any country, territory, city or area, or of its authorities, or concerning the delimitation of its frontiers or boundaries. This publication has not been formally edited. Publishing production: English, Publishing and Library Section, United Nations Office at Vienna. Acknowledgements This Handbook was written for the United Nations Office on Drugs and Crime (UNODC) by Prof. Dr. Shane Bryans and Tomris Atabay, consultants on penal reform and criminal justice issues. The Handbook was reviewed at an expert group meeting held in Rome on 10 and 11 March 2015. UNODC wishes to acknowledge with appreciation the contributions received from the following experts who participated in that meeting: Carla Ciavarella, Bill Cullen, Camila Dias, José Julio Díaz Moreno, Udom Ekpedeme, Federico Falzone, Alison Hannah, Jörg Jesse, Roberta Palmisano, Fabio Pinzari, Elena Nanni, Barbara Napelli, Nelson Rauda Portillo, María Noel Rodríguez, Guido Scuncio, Sharon Shalev, Laura Von Mandach, Michael Wiener, Veronique Wright and Vitolds Zahars. Contributing throughout the development of the Handbook were Piera Barzanò (UNODC) and Philipp Meissner (UNODC), who also conducted the review of the final draft. Further valuable comments and feedback were provided by Joanne Jousif (UNICRI), Michael van Gelderen (OHCHR), Michael Langelaar (DPKO), Mary Murphy (ICRC) and Joaquin Zuckerberg (UNODC). Some of the material included in the Handbook is based on earlier work produced by Colin Allen, Christine Fisher and Danny McAllister. UNODC also wishes to acknowledge the support provided by the Government of Italy, in particular the Department for Prison Administration of the Ministry of Justice, in hosting the Expert Group Meeting to review the draft Handbook. iii Contents Introduction 1 1. The management of high-risk prisoners: summary of key issues 9 1.1 Humane treatment and dignity of the person 9 1.2 Minimal number of prisoners held in high-security conditions 11 1.3 Individualized assessments 11 1.4 Risk management 12 1.5 Least restrictive measures necessary 13 1.6 Maximum security conditions 14 1.7 Security balance 14 1.8 Staff recruitment and training 15 1.9 Special groups and mental health 15 2. Prison staff 17 2.1 Recruitment and selection of staff 18 2.2 Training and development of staff 20 2.3 Conditions of service and staffing levels 23 2.4 Prison management 24 2.5 Professional standards and ethics 25 2.6 Importance of interpersonal skills and guidance 27 2.7 Manipulation and conditioning of staff 28 2.8 Staff working in prisons holding high-risk prisoners 29 3. Assessment, classification and allocation 33 3.1 Individualized risk assessment 34 3.2 Classification 40 3.3. Sentence planning 46 4. Accommodation and general living conditions 51 4.1 Accommodation 52 4.2 Bedding and clothing 54 4.3 Space, light, ventilation and heating 55 4.4 Food and water 57 4.5 Sanitation, cleanliness and personal hygiene 58 4.6 Special conditions of imprisonment 60 4.7 Prisoners under sentence of death 61 v 5. Ensuring effective security 63 5.1 Physical security 64 5.2 Procedural security 66 5.3 Dynamic security 71 5.4 Concentric circles of protection 72 5.5. Prison security frameworks 73 5.6 Security audits and covert testing 74 5.7 Security trends related to high-risk prisoners 76 6. Operating safe and orderly prisons 79 6.1 Order in prison 80 6.2 Control strategies to achieve order 81 6.3 Use of force 85 6.4 Prisoner disciplinary system 89 6.5 Restrictions and disciplinary sanctions 92 6.6 Complaints, grievances and requests 96 6.7 Prison intelligence 99 6.8 Incident management 100 6.9 Prisoners who go on hunger strike 102 7. Constructive regimes 105 7.1 Work 107 7.2 Education 109 7.3 Sport and exercise 112 7.4 Religion 113 7.5 Programmes to help prevent offending 115 7.6 Responding to mental health-care needs 119 7.7 Preparation for release 121 8. Contact with the outside world 127 8.1 Letters and telephone calls 129 8.2 Access to media 132 8.3 Visits 133 8.4 Contact with legal advisers 138 9. Summary of key principles for the management of high-risk prisoners 141 Annex International Instruments, Standards and Principles (cited in the Handbook) 149 vi Introduction Who the Handbook is for This Handbook is one of a series of tools developed by UNODC to support countries in the implementation of the rule of law and the development of criminal justice reform. It is designed to be used by prison managers and prison staff, in particular, but will also be relevant for other actors involved in the criminal justice system, such as policymakers, leg- islators, and members of non-governmental organizations. It can be used in a variety of contexts, both as a reference document and as a training tool. While some elements of the Handbook may not be achievable immediately in some jurisdictions, particularly in post- conflict situations, the Handbook provides national authorities with guidelines for the development of policies and protocols that meet international standards and good practice. What the Handbook covers The focus of this Handbook is the management of prisoners1 who are assessed as being a high risk to society or other individuals. It does not cover children deprived of their liberty2 or prisoners who present a risk to themselves (for example, through suicide or self-harm).3 For the purpose of this Handbook, high-risk prisoners are defined as those prisoners assessed as posing a significant risk to: • Security (i.e. risk of escape): Prisoners who require comprehensive security measures to keep them in custody. 1 The term “prisoner” is used to refer to all persons detained or imprisoned on the basis of, or allegation of, a criminal offence, including pretrial, under-trial detainees and convicted and sentenced prisoners. 2 According to the Convention on the Rights of the Child (CRC), the institutionalization of children should be avoided to the maximum extent possible. When exceptionally deprived of their liberty, children maintain the right to be treated according to specific safeguards and procedures detailed in the CRC as well as international standards and norms, such as the United Nations Standard Minimum Rules for the Protection of Juveniles Deprived of their Liberty and the United Nations Model Strategies and Practical Measures on the Elimination of Violence against Children in the Field of Crime Prevention and Criminal Justice. 3 There may be instances where high-risk prisoners also present a risk to themselves. In such circumstances, prison authorities should take appropriate action to prevent the high-risk prisoner from committing suicide or self- harm. For guidance on managing prisoners who present a risk to themselves, see World Health Organization (2014): Prisons and Health. 1 2 HANDBOOK ON THE MANAGEMENT OF HIGH-RISK PRISONERS • Safety (i.e. risk to the safety of others): Prisoners who show dangerous behaviour towards prison staff or other prisoners. • Stability (i.e. risk to the order of the prison): Prisoners who require a range of control measures to ensure that their behaviour complies with the rules of the prison. • Society (i.e. risk of conducting criminal activity outside the prison): Prisoners who direct activities related to organized crime, terrorism, drug trafficking, or the intimidation and corruption of witnesses, the judiciary, lawyers or jurors. The restrictive policies and measures addressed in this Handbook are applicable only to those high-risk prisoners who have undergone a proper risk assessment process, and who have been found to require such measures strictly on the grounds of prison security, safety and order or to protect society. They do not apply to prisoners whose classification as high risk has been determined on the basis of their political beliefs (including the non-violent expression of their ideological views), and who may be imprisoned on the basis of their ethnicity or any other status. On the other hand, the safeguards contained in this Handbook apply to all prisoners, whether or not they have been through an appropriate assessment process. The Handbook considers the prison management challenges that high-risk prisoners pose as well as actions that prison administrations should take to ensure prison security, safety and order and to protect society from criminal activity directed from within the prison. Each chapter provides extracts from relevant international standards relevant to high-risk prisoners; prison management guidelines; and case examples. At the end of the Handbook is a set of recommendations, primarily directed to prison authorities, which summarize the key princi- ples and suggestions made in each chapter. These recommendations are also relevant to other actors involved in developing policies and legislation relating to the management of high-risk prisoners, including civil society organizations involved in prison monitoring or the delivery of constructive regime activities. The intention of the Handbook is to complement existing publications of UNODC, the Department for Peacekeeping Operations (DPKO) and the Office of the High Commissioner for Human Rights (OHCHR), which provide detailed consideration of specific themes and prisoner groups.4 The topic of post-release support for high-risk prisoners is outside the scope of this Handbook, but is covered in detail in the UNODC Introductory Handbook on the Prevention of Recidivism and the Social Reintegration of Offenders.