3. INCIDENT PREVENTION
AND RESPONSE
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The Mandela Rules were updated to include methods to prevent disciplinary offences
or to resolve conflict in prisons by applying “conflict prevention, mediation or any other
alternative dispute resolution mechanisms” (see Rule 38(1)) and acknowledging the approach
of dynamic security (see Rule 76(c)) to prevent and resolve conflicts before they escalate.
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In case such methods do not suffice, guidance has also been included on the use of
instruments of restraint. Provisions on the use of force and of arms have not been updated
in the revised SMR. The scope of the Rules in this regard therefore remains limited as part
of a provision in the section related to institutional personnel. However, guidance included in
the UN Code of Conduct for Law Enforcement Officials157 and the UN Basic Principles on the
Use of Force and Firearms by Law Enforcement Officials (BPUFF)158 continue to supplement
the Mandela Rules on the use of force and arms.
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Furthermore, provisions have been incorporated into the Rules on the course of action in
cases of any death, disappearance or serious injury, including obligations on reporting and
investigations. The revised Rules also outline procedures to be followed whenever an act
of torture or other ill‑treatment may have been committed, irrespective of whether a formal
complaint has been received.
CONTEXT: DYNAMIC SECURITY APPROACHES [3.1]
It is now generally acknowledged that creating a positive climate that encourages co-operation among
prisoners can help to improve safety and security in prisons: “engaging with prisoners and getting
to know them can enable staff to anticipate and better prepare themselves to respond effectively
to any incident that may threaten the security of the prison and the safety of staff and inmates”.159
This method of directly engaging with prisoners is usually referred to as dynamic security. The
Mandela Rules acknowledge the concept of dynamic security in Rule 76(c).
UNODC has noted that, while physical and procedural security arrangements are “essential features
of any prison (…) they are not sufficient in themselves to ensure that prisoners do not escape.
Security also depends on an alert group of staff who interact with, and who know, their prisoners;
staff developing positive staff-prisoner relationships; staff who have an awareness of what is going
on in the prison; fair treatment and a sense of wellbeing among prisoners; and staff who make sure
that prisoners are kept busy doing constructive and purposeful activities that contribute to their future
reintegration into society”.160
Dynamic security approaches involve proactive and frequent interaction between prison staff and
prisoners. This allows staff to observe prisoners and gather information. Such regular interaction
provides warning signs about possible incidents and allows prison staff to anticipate and prevent
problems before they arise.
157. Code of Conduct for Law Enforcement Officials, General Assembly resolution 34/169, 17 December 1979.
158. Basic Principles on the Use of Force and Firearms by Law Enforcement Officials, 8th UN Congress on Prevention of Crime and Treatment
of Offenders, 7 September 1990.
159. Handbook for Prison Leaders, UNODC, op. cit., note 73, p. 106.
160. Handbook on Dynamic Security and Prison Intelligence, United Nations Office on Drugs and Crime (UNODC), 2015, p. 29.
Guidance document on the Nelson Mandela Rules
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