4. RESTRICTIONS, DISCIPLINE AND SANCTIONS WHY IS IT IMPORTANT? It is a basic requirement of the rule of law to have a legal basis and due process in place for disciplinary sanctions. Such sanctions are in place to ensure compliance with prison rules and a secure, safe and well-ordered prison environment. They are not intended to impose additional punishment on prisoners. Many problems in prisons can be resolved without resorting to disciplinary measures. 03 Disciplinary sanctions can be harmful not only to the individual concerned, but also to the overall prison environment. Harsh sanctions can create distrust between prisoners and staff, particularly if they are not well managed, and can lead to further problems within the facility. As the SPT has pointed out, where disciplinary measures appeared to be applied “arbitrarily or inconsistently”, and where prisoners “were never provided with information on the procedure and the modalities of appeal against disciplinary measures and none of them considered doing so”, the overall attitude was “one of resignation and fear of reprisals”.220 04 Clear definition, regulation and consistent application of disciplinary sanctions increases the acceptance of prison rules among prisoners and can act as a deterrent against infractions. According to ICPS, “the vast majority of prisoners will welcome firm and fair management by staff because if the staff are not in control of a prison the resulting vacuum will be filled by strong willed prisoners”.221 05 Clear and transparent regulations of restrictions and disciplinary sanctions and procedures protect against the unnecessary, disproportionate, arbitrary or discriminatory use of such measures. If disciplinary actions are not properly regulated and observed, there is a risk that disciplinary sanctions are applied inconsistently and that particular prisoners or groups of prisoners are targeted under the guise of “discipline”. 06 The regulation of disciplinary procedures is also important to prevent informal systems of punishment being administered by staff or other prisoners. 07 It is important to keep a record of restrictions and disciplinary sanctions imposed on prisoners. Such a process can safeguard against the unfair imposition of sanctions and the use of informal punishments. 4 02 100 PUTTING IT INTO PRACTICE Regulating the use of restrictions and disciplinary sanctions 08 The use of disciplinary sanctions by prison administrations needs to be based on and bound by clear and transparent laws and regulations, which ensure the rule of law is upheld and provide procedural safeguards for those on whom they are imposed. This ensures that only restrictions and disciplinary sanctions enshrined in law can be imposed, and only in particular cases that are set out in the law and regulations. 09 Rule 37(d) requires that any form of involuntary separation from the general prison population must be subject to authorization by the law, regardless of whether it reaches the threshold of “solitary confinement”, as defined in Rule 44. The Rule makes clear that it applies irrespective of the term used (“solitary confinement, isolation, segregation, special care units or restricted housing”), and irrespective of whether such a measure is imposed as a disciplinary sanction or for other reasons, such as the maintenance of order and security. 10 Regulations need to clearly state that prisoners must not be subject to disciplinary sanctions twice for the same infraction, in accordance with Rule 39(1). 220. UN Subcommittee for the Prevention of Torture, CAT/OP/UKR/1, op. cit., note 6, paras. 123 and 124. 221. A Human Rights Approach to Prison Management, ICPS, op. cit., note 29, p. 69. Guidance document on the Nelson Mandela Rules