1
1. PRISON
MANAGEMENT
10
1.1. PRISONER FILE
MANAGEMENT
01
The Mandela Rules reflect the crucial importance of good prisoner file systems in protecting
human rights, ensuring good prison management and strategic planning, and ensuring
public trust in the prison system. The revised SMR were changed substantially in relation
to file management and now provide detailed guidance to prison administrations on how
to manage their files and the type of information a prisoner file should contain, including
the information that should be recorded throughout the term of imprisonment. The creation
and management of prisoner files should be regulated by law and accompanied by specific
policies or guidelines.
RELEVANT RULES: PRISONER FILE MANAGEMENT [1.1]
Rule 6: There shall be a standardized prisoner file
Rule 8:
management system in every place where persons
are imprisoned. Such a system may be an electronic
database of records or a registration book with
numbered and signed pages. Procedures shall be
in place to ensure a secure audit trail and to prevent
unauthorized access to or modification of any
information contained in the system.
Rule 7:
No person shall be received in a prison without a valid
commitment order. The following information shall be
entered in the prisoner file management system upon
admission of every prisoner:
(a) Precise information enabling determination
of his or her unique identity, respecting his or her
self-perceived gender;
(b) The reasons for his or her commitment and the
The following information shall be entered in the
prisoner file management system in the course
of imprisonment, where applicable:
(a) Information related to the judicial process, including
dates of court hearings and legal representation;
(b) Initial assessment and classification reports;
(c) Information related to behaviour and discipline;
(d) Requests and complaints, including allegations of
torture or other cruel, inhuman or degrading treatment
or punishment, unless they are of a confidential nature;
(e) Information on the imposition of disciplinary
sanctions;
(f) Information on the circumstances and causes
of any injuries or death and, in the case of the latter,
the destination of the remains.
Rule 9: All records referred to in rules 7 and 8 shall
be kept confidential and made available only to those
(c) The day and hour of his or her admission and release whose professional responsibilities require access to
such records. Every prisoner shall be granted access
as well as of any transfer;
to the records pertaining to him or her, subject to
(d) Any visible injuries and complaints about prior
redactions authorized under domestic legislation, and
ill‑treatment;
shall be entitled to receive an official copy of such
(e) An inventory of his or her personal property;
records upon his or her release.
(f) The names of his or her family members, including,
Rule 10: Prisoner file management systems shall
where applicable, his or her children, the children’s
also be used to generate reliable data about trends
ages, location and custody or guardianship status;
relating to and characteristics of the prison population,
(g) Emergency contact details and information on the
including occupancy rates, in order to create a basis
prisoner’s next of kin.
for evidence-based decision-making.
responsible authority, in addition to the date, time and
place of arrest;
Guidance document on the Nelson Mandela Rules
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