PROMOTING THE NELSON MANDELA RULES Essex paper 3 Initial guidance on the interpretation and implementation of the UN Nelson Mandela Rules Based on deliberations at an expert meeting organised by Penal Reform International and Essex Human Rights Centre at the University of Essex, 7–8 April 2016. Dedicated to the memory of Sir Nigel Rodley, 1941–2017. Essex paper 3: Initial guidance on the interpretation and implementation of the UN Nelson Mandela Rules Based on deliberations at an expert meeting organised by Penal Reform International and the Essex Human Rights Centre at the University of Essex, 7-8 April 2016. This publication may be freely reviewed, abstracted, reproduced and translated, in part or in whole, but not for sale or for use in conjunction with commercial purposes. Any changes to the text of this publication must be approved by Penal Reform International. Due credit must be given to this publication. Enquiries should be addressed to [email protected]. Penal Reform International Head Office 1 Ardleigh Road London N1 4HS United Kingdom Telephone: +44 (0) 207 923 0946 Email: [email protected] Twitter: @PenalReformInt www.penalreform.org Human Rights Centre University of Essex Wivenhoe Park Colchester CO4 3SQ United Kingdom Telephone +44 (0)1206 874736 www.essex.ac.uk/hrc First published February 2017 ISBN: 978-1-909521-57-5 © Penal Reform International 2017 Penal Reform International (PRI) is an independent non‑governmental organisation that develops and promotes fair, effective and proportionate responses to criminal justice problems worldwide. We promote alternatives to prison which support the rehabilitation of offenders, and promote the right of detainees to fair and humane treatment. We campaign for the prevention of torture and the abolition of the death penalty, and we work to ensure just and appropriate responses to children and women who come into contact with the law. 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Penal Reform International and the Essex Human Rights Centre | 2 ESSEX PAPER 3: INITIAL GUIDANCE ON THE INTERPRETATION AND IMPLEMENTATION OF THE UN NELSON MANDELA RULES Contents Introduction 5 Chapter 1: Diginity 7 Overarching Requirement to Respect Human Dignity 7 Minimising the Difference between Life in Prison and at Liberty 9 Safety and Security 10 Prohibition of Torture and Other Ill-Treatment 11 Principle of Non-Discrimination 12 Conduct in Case of Death of a Prisoner 13 Searches of Prisoners, Cells and Visitors 14 Prisoners with Disabilities 18 Chapter 2: Prison management 21 Basic Principles 21 Allocation, Classification, Admission 22 Provision of Information 26 Prison File Management 29 Institutional Personnel 34 Inspections and External Monitoring 38 Chapter 3: Contact with the outside world 43 Introduction 43 Contact with Family and Friends 43 Access to Legal Representation 50 Transfers 55 Foreign National Prisoners 59 Chapter 4: Healthcare 61 General Principles 61 Medical Ethics 66 Health-care Assessment on Admission 70 Medical Assistance in Urgent Cases 72 Isolation and Segregation on Grounds of Public Health 72 Fitness to Work Determinations 73 Daily Access to Prisoners 73 No Role of Medical Staff in Discipline or Punishment 74 Documentation of Signs of Torture 75 Penal Reform International and the Essex Human Rights Centre | 3 ESSEX PAPER 3: INITIAL GUIDANCE ON THE INTERPRETATION AND IMPLEMENTATION OF THE UN NELSON MANDELA RULES Chapter 5: Restrictions, discipline and sanctions 77 Introduction 77 General Principles 78 Procedural Rights in Disciplinary Proceedings 81 Types of Sanctions and Restriction 84 Solitary Confinement 86 Reducing the Negative Impact of Sanctions and Restrictions 92 Record-Keeping 93 Instruments of Restraint 93 Role of Medical Personnel 96 Chapter 6: Incident management 98 Safety and Security 98 Scope/meaning of Safety and Security 99 Use of Force and Arms 107 Complaints 113 Investigations 119 Annex: List of participants 124 Note on terms used in this document: Where the document refers to Rules, it refers to the Nelson Mandela Rules. The term ‘revised Standard Minimum Rules for the Treatment of Prisoners’ and ‘Nelson Mandela Rules’ is used interchangeably on purpose, seeking to emphasise that the Rules are no newly created standard, but an updated version of the 1955 Standard Minimum Rules (SMR). The terms ‘Essex group’ or ‘experts’ refer to the participants of the expert meeting on 7-8 April 2016 at Essex University in Colchester, UK. Penal Reform International and the Essex Human Rights Centre | 4 ESSEX PAPER 3: INITIAL GUIDANCE ON THE INTERPRETATION AND IMPLEMENTATION OF THE UN NELSON MANDELA RULES Introduction The full contribution which our prisons can make towards a permanent reduction in the “ country’s crime rate lies also in the way in which they treat prisoners. We cannot emphasise enough the importance of both professionalism and respect for human rights. Nelson Mandela, Speech to the South African Department of Correctional Services in 1998. ” On 17 December 2015, the UN General Assembly changes, based on a screening of existing human adopted the revised UN Standard Minimum Rules for rights and criminal justice standards and norms. the Treatment of Prisoners (the Nelson Mandela Rules), The deliberations of the group of experts – which have bringing to a conclusion a four-year process of review. become known informally as the ‘Essex papers’ – were submitted to the Inter-governmental Expert Group The review had been completed by the UN Commission Meeting (IEGM) established at the UN level to negotiate on Crime Prevention and Criminal Justice in May 2015 a review of the Rules in November 20121 and in after consensus was reached at the fourth and last March 2014.2 Inter-governmental Expert Group Meeting in South Africa. The revision of the Standard Minimum Rules for Drawing on the positive experience of these the Treatment of Prisoners (SMR) was a historic event consultations, the ‘Essex group’ was reconvened for in that it was the first time that an international standard a third meeting of experts on 7-8 April 2016 in order had been updated. The international community chose to develop guidance on implementing the revised a ‘targeted revision’ approach, identifying the most UN Standard Minimum Rules for the Treatment of outdated areas and rules whilst leaving the structure Prisoners following their adoption as the Nelson and the majority of the Rules unchanged. Mandela Rules. Eight substantive areas have been subject to revision: The consultation was, like the first two meetings, financially supported by the UK Government (UKAID). • Respect for prisoners’ inherent dignity • Medical and health services • Disciplinary measures and sanctions Purpose of this document • Investigations of deaths and torture in custody The purpose of the meeting was to reflect on the revised • Protection of vulnerable groups areas of the Standard Minimum Rules, and specifically to: • Access to legal representation • identify specific Rules, and language, that require • Complaints and independent inspection further guidance as to their interpretation; • Training of staff • offer practical and concrete interpretation of specific Rules, drawing on existing international standards The Resolution adopting the revised Rules encourages and practice; Member States to endeavour to improve conditions in detention, consistent with the Nelson Mandela Rules. • identify challenges in implementation and good It also encourages the application of all other relevant practice examples. and applicable United Nations standards and norms. The deliberations of the meeting took place in plenary and in six working groups, which inform the structure The Essex group of this document. They focused on the areas and Rules revised, but took into account unchanged During the process of the review, provisions where they were relevant in the context Penal Reform International and the University of Essex’s of the revised text. Human Rights Centre organised two expert meetings and provided recommendations on possible wording for revised Rules, as well as a rationale for the suggested 1. Summary of an Expert Meeting at the University of Essex on the Standard Minimum Rules for the Treatment of Prisoners Review, 21 November 2012, UNODC/CCPCJ/EG.6/2012/NGO/1, available in Arabic, English, French, Spanish and Russian; www.unodc.org/unodc/en/justice-and-prison-reform/ expert-group-meetings5.html#_ftn3 2. Summary of an Expert Meeting at the University of Essex on the Standard Minimum Rules for the Treatment of and Second Report of the Essex Expert Group on the Review of the Standard Minimum Rules for the