Handbook on THE CLASSIFICATION OF PRISONERS CRIMINAL JUSTICE HANDBOOK SERIES Cover photo: ©UNODC UNITED NATIONS OFFICE ON DRUGS AND CRIME Vienna Handbook on THE CLASSIFICATION OF PRISONERS CRIMINAL JUSTICE HANDBOOK SERIES UNITED NATIONS Vienna, 2020 © United Nations, May 2020. 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. Publishing production: English, Publishing and Library Section, United Nations Office at Vienna. Acknowledgements The present handbook was written for the United Nations Office on Drugs and Crime (UNODC) by Dr. Andrea Moser, consultant on penal reform and criminal justice issues. The following UNODC staff also contributed to its development: Valérie Lebaux, Alejandro Matta, Muriel Jourdan-Ethvignot, Philipp Meissner and Vera Tkachenko, who also conducted the review of the final draft. The handbook was reviewed at an expert group meeting held in Vienna on 1 and 2 October 2019. UNODC wishes to acknowledge with appreciation the contributions received from the following national experts who participated in that meeting: Mohammed Ouamar Djaoui (Algeria), Facundo Bargallo Benegas (Argentina), Pinga Zongo (Burkina Faso), Muriel Esquivel Carvajal (Chile), Lauréline Guillot (France), Barbara Wittman (Germany), Isaac Kofi Egyir (Ghana), Riazuddin Ahmed Mohammed (India), Dai Tanaka (Japan), Shinji Todoriki (Japan), Bekbolat Shakirov (Kazakhstan), Dancan Ogore (Kenya), Mohamed Ben Driss (Morocco), Mariana Martin (Namibia), Baby Noel Pimentel Montalvo (Philippines), Mohammad Saoud Nasser al-Otaibi (Qatar), Abdulrahman Nasser Al Thani (Qatar), Karam Singh (Singapore), Abduljabbar A.M. Tafesh (State of Palestine), Eva Åhs (Sweden), Hichem Rhimi (Tunisia), Wilson Francis Magomu (Uganda) and Claudia Sturt (United Kingdom of Great Britain and Northern Ireland). UNODC also wishes to acknowledge the valuable input provided by the following expert group participants from other United Nations entities, international organizations and non- governmental organizations: Martin Gilla (United Nations Development Programme), Ingrid Jeunhomme ( United Nations Multidimensional Integrated Stabilization Mission in the Central African Republic), Stephen Johnston (International Committee of the Red Cross), Olivia Rope (Prison Reform International), Hans Meurisse (European Organization of Prison and Correctional Services) and Chontit Chuenurah (Thailand Institute of Justice). The following UNODC staff also contributed to the discussions during the expert group meeting: Ousmane Diallo and Bogatyr Saparbaev. Finally, UNODC wishes to express its gratitude for the support provided by the Government of Qatar towards the development of the handbook under the UNODC Global Programme for the Implementation of the Doha Declaration. iii Contents Acknowledgements iii Summary of key principles and recommendations vii Introduction 1 1. Who is the handbook for? 1 2. What does the handbook cover? 1 I. Importance of prisoner classification 3 1. Safety and security of prisoners, prison staff and the public 5 2. Humane custody of prisoners 6 3. Individualized case and sentence planning 7 4. Cost-effectiveness of operating prisons 8 II. Key issues for the classification of prisoners 9 1. Prisoner separation versus prisoner classification 9 2. Legislative frameworks 10 3. Infrastructure requirements 14 4. Centralized versus decentralized assessment and classification 22 5. External versus internal prisoner classification 23 6. Regular classification reviews 24 7. Gender, age and culturally informed approaches 25 8. Prisoners with special needs 28 9. Other placement considerations 33 III.­ Research on approaches to the assessment of prisoners 35 1. Four generations of assessment tools 35 2. Risk-needs-responsivity model 38 3. Good lives model 39 IV. Overall principles and components of prisoner classification systems 41 1. Prisoner classification upon admission to the prison service 42 2. Reclassification during a custodial sentence 60 3. Release planning and community supervision 61 V. Development and implementation of a prisoner classification system 65 1. Project planning phases 65 2. Importance of ongoing monitoring and evaluation 68 Glossary of key terms 73 v Annexes: Additional resources 75 I. Example of basic prisoner intake assessment template: admission and immediate needs 75 II. Other resources: prisoner classification and assessment approaches, instruments and policies and guidelines 81 III. Examples of factors to assess for classification purposes at intake to a correctional system 82 IV. Example outline of case and sentence management plan (convicted prisoners) 84 V. Example outline of assessment for reclassification purposes 86 VI. Example outline of standard operating procedures for prisoner assessment and classification activities 89 vi Summary of key principles and recommendations Chapter I. Importance of prisoner classification “Classification” refers to the placement or allocation of prisoners to one of several custody or supervision levels in order to match the prisoners’ individual risks and needs to correctional resources and the appropriate supervision regime. A well-designed and managed classification process is a cornerstone of an effective prison system, fundamental to the protection of human rights, the ability to individualize case and sentence planning and the efficient use of limited correctional resources. Classification has a direct impact on many aspects of prison management, including the safety and security of prisoners, prison staff and the general public, the humane custody of prisoners and the ability to individualize case and sentence planning. It also increases the cost- effectiveness of operating a prison system by minimizing overclassification and therefore preventing resources from being expended on high-security prisons, restrictive conditions and other measures that may not be warranted. Chapter II. Key issues for the classification of prisoners “Classification” is distinct from the “separation” of prisoners based on the core factors of age, gender and the legal reason for their detention. Specifically, separation according to such defined groupings does not in itself constitute a classification process. Classification entails a structured and individualized assessment of the risks and needs of each prisoner to assist in decision-making regarding the most appropriate placement and interventions. The legislative framework of a country plays a determining role in decision-making regarding the security classification of prisoners. In some jurisdictions, it is the responsibility of judges to decide on the security regime for a prisoner on the basis of the crime that they have committed; in others, it is the responsibility of the prison service. The recommended practice is for prison authorities to determine the security level of a prisoner after an individualized assessment of risks and needs.1 Classification is required for both pretrial detainees and sentenced prisoners. For those remanded into custody, the presence of a transparent assessment and classification system with regular periods of review is a critical element to assist decision makers in determining the mini- mum security requirements necessary to manage individuals awaiting trial. Similarly, for those who have been convicted and sentenced, such a system ensures that prisoners are managed in in the lowest security category or level consistent with ensuring the protection of prisoners, prison officers and the public, as well as with the promotion of social reintegration efforts. The successful development, implementation and management of a prisoner classification sys- tem are dependent on several infrastructural requirements, in particular those related to the physical infrastructure of prisons, policies and guidelines, staff resources and an established system of documentation and record-keeping. In addition, the approach adopted will be influ- enced by whether assessment and classification activities are centralized at one location or decentralized across multiple sites. 1 United Nations Office on Drugs and Crime (UNODC), Custodial and Non-Custodial Measures: The Prison System – Criminal Justice Assessment Toolkit (Vienna, 2006). vii The process of initially classifying prisoners upon admission is separate from the process of reassessing their classification at regular intervals during a sentence for the purposes of deter- mining whether a reclassification of security level or facility is required. By focusing on the prisoner’s conduct and progress in need areas while incarcerated, the reclassification process acknowledges that prisoners’ risks and needs are not static and may change over time. Typically, the goal of a reassessment is to allow for a progression through the prison system towards a less restrictive regime in order to foster the rehabilitation of prisoners. The absence of a reclassifica- tion process or of one that does not allow prisoners to work their way to lower-custody levels typically results in the overclassification of many prisoners and seriously hinders social reinte- gration efforts. Classification tools and approaches need to consider such factors as gender and cultural back- ground for the assessment of