1. PRISON MANAGEMENT 32 Manually entered information should be written in pen rather than pencil to provide basic protection against unauthorized changes to entries in prisoner files. Written information must also be legible and any modifications should be signed, initialled and dated by the person making the changes. Electronic filing systems should be designed so that they cannot be changed or modified by unauthorized persons. 33 Both manual and electronic files must be backed up in case they are lost, damaged or destroyed. 1 CONTEXT: UNDERSTANDING TECHNOLOGICAL DISPARITY ACROSS PRISON SERVICES [1.3] A joint research initiative published in 2016 and conducted by the International Corrections and Prisons Association (ICPA) and the European Organisation of Prison and Correctional Services (EuroPris), on Technological Disparity across Prison Services provides information on the status of offender information management systems in 36 prison services in 33 different countries around the world.16 The aim of the survey was to “establish the different stages of technological innovation across prison services globally, to identify where gaps were present, and ultimately allow the ICT [information and communication technology] experts within ICPA and Europris networks to see where future efforts may be directed to assist those who require help or advice”.17 Most prison services examined use some form of electronic prisoner information management system, sometimes in combination with paper-based systems. Most services have a functionality that enables them to share and aggregate information at the local, regional and national levels. Most prison services involved in the survey also indicated that they share information with third parties, mostly police, courts and probation services. In some systems there were dysfunctionalities that resulted in records appearing twice in the system. In many places, improvements to technology infrastructure needed to be made and the systems extended to automate and centralize information management pertaining to country-wide prisoner statistics. Ageing computer systems were highlighted as a serious concern for many prison administrations worldwide. Security and confidentiality of information 34 Information in prisoner files must not only be protected from access by unauthorized staff but also from other prisoners and prison visitors, including service providers. Prisoners should never be allowed to work in the prison records office as this poses a major risk for the security and confidentiality of prisoner files. Security and confidentiality of files must equally apply when files are transferred with a prisoner to another facility, as discussed further in Chapter 1, paragraphs 166–186 of this guidance document. 35 A secure audit trail involves carefully kept records, which include the identity of the staff member who enters or modifies information in the system, as well as the date and time of any additions and revisions. Audits should be carried out periodically by an identified oversight authority. 36 Prisoner files must be securely locked in a safe area and, if stored electronically, protected. There must be clear systems and procedures in place for how the files are accessed and shared, who can access them and who has the keys or password. UNODC points out that prisoner files should be stored in “lockable, fireproof, waterproof and vermin-proof cabinets”.18 37 The confidentiality of the information in the prisoner file is important for protecting the prisoners’ right to privacy, but can also be crucial for ensuring their personal safety and, in some cases, the safety of their family. This is particularly important given the requirement to record children’s details, including their location, in the prisoner file. 16. For more information, see for example: Toon Molleman and Rianne von Os, Technology Disparity Across Prison Services, International Corrections and Prisons Association (ICPA) and European Organisation of Prison and Correctional Services (EuroPris), October 2016 at www.europris.org/news/ technology-disparity-across-prison-services; See also: Handbook on Prisoner File Management, UNODC, op. cit., note 7, p. 58. 17. Technology Disparity Across Prison Services, ICPA/EuroPris, op. cit., note 16, p. 3. 18. Handbook on Prisoner File Management, UNODC, op. cit., note 7, p. 58. Guidance document on the Nelson Mandela Rules 15