ESSEX PAPER 3: INITIAL GUIDANCE ON THE INTERPRETATION AND IMPLEMENTATION OF THE UN NELSON MANDELA RULES The group emphasised that, while consolidating relevant guidance for prison administrations and staff in one document, the revised SMR will continue to be supplemented by other criminal justice and human standards, such as the UN Bangkok Rules for women prisoners, the UN Beijing Rules with regard to children and the UN Basic Principles on the Use of Force and Firearms by Law Enforcement Officials. The ‘Third Essex Paper’ The document seeks to provide initial guidance on implementation and to serve as a basis for initiatives to develop more comprehensive guidance, training materials, or projects on implementation. Using the minutes of deliberations of each Working Group as a starting point, the authors drew on additional comments provided by experts following the dissemination of draft chapters and on a screening of other relevant sources, including other treaties and soft law, reports and recommendations of UN Treaty Bodies and Special Procedures, as well as other relevant regional and international bodies. They took into consideration the rationale of changes to the Rules and the overarching principle expressed in the course of the review process that none of the changes must lower any of the existing standards.3 In terms of assessing progress in the implementation of the SMR, the authors would like to recall the Procedures for the Effective Implementation of the Standard Minimum Rules for the Treatment of Prisoners, in particular Procedure 5, which calls on states to inform the Secretary-General of the United Nations every five years of the extent of the implementation and the progress made, and of the factors and difficulties, if any, affecting their implementation.4 We would also like to recall the resolution of the Human Rights Council on human rights in the administration of justice, adopted in 2015, which ‘invites States to assess their national legislation and practice in accordance with those standards, including the revised United Nations Standard Minimum Rules for the Treatment of Prisoners (Mandela Rules)’.5 We hope that this paper will provide a useful starting point for policy-makers, prison administrations and staff in the implementation of the revised Standard Minimum Rules for the Treatment of Prisoners, as well as for health-care professionals, monitoring bodies and inspectors, inter-governmental organisations, NGOs and academia. We would like to thank the participants for their helpful insights and for sharing their expertise (see list of participants in Annex 1). The present document reflects the broad majority agreement in discussions at the meeting and consultations subsequently. We would also like to thank Sharon Critoph for her contribution to the drafting process, to Harriet Lowe for the thorough editing and proof-reading, and to Oliver Robertson for his support on footnoting this paper. Andrea Huber Lorna McGregor Policy Director Director Penal Reform International Essex University, Human Rights Centre 3. Report on the meeting of the Expert Group on the Standard Minimum Rules for the Treatment of Prisoners held in Vienna from 31 January to 2 February 2012, UNODC/CCPCJ/EG.6/2012/1, 16 February 2012, Recommendation 4. Economic and Social Council Resolution on Standard Minimum Rules for the Treatment of Prisoners, 20 September 2013, E/RES/2013/35, OP 10; UN General Assembly Resolution on Torture and other cruel, inhuman or degrading treatment or punishment, 22 October 2013, A/C.3/68/L.33, 32 bis; Human Rights Council Resolution on human rights in the administration of justice, 23 September 2013, A/HRC/24/L.28, OP 16; Commission on Crime Prevention and Criminal Justice Resolution on Standard Minimum Rules for the Treatment of Prisoners, 25 April 2013, E/CN.15/2013/L.22/Rev.1, OP 10 (endorsed by ECOSOC, 20 September 2013, E/RES/2013/35 and subsequently endorsed by UN General Assembly); Report and recommendations of the Intergovernmental Expert Group Meeting in Buenos Aires, 13 December 2012, UNODC/CCPCJ/EG.6/2012/4, Para.4; UN General Assembly Resolution, 20 December 2012 A/RES/67/188, OP 5; Economic and Social Council Resolution, 10 August 2012, E/RES/2012/13, OP 5; Commission on Crime Prevention and Criminal Justice Resolution, E/CN.15/2012/L.4/Rev.2, 24 April 2012, OP 5; UN General Assembly Resolution, ‘Standard Minimum Rules for the Treatment of Prisoners’, UN Doc. A/RES/68/190, 11 February 2013, OP 10; UN General Assembly Resolution ‘Standard Minimum Rules for the Treatment of Prisoners’, UN Doc. A/C.3/69/L.3, 26 September 2014, OP 6; UN General Assembly Resolution, United Nations Standard Minimum Rules for the Treatment of Prisoners (the Nelson Mandela Rules), A/RES/70/175, 16 December 2015, preamble. 4. UNODC, Compendium of United Nations standards and norms in crime prevention and criminal justice, 2016, Procedures for the effective implementation of the Standard Minimum Rules for the Treatment of Prisoners (Economic and Social Council resolution 1984/47, annex, of 25 May 1984). 5. Human Rights Council, Resolution on Human rights in the administration of justice, including juvenile justice, 29 September 2015, A/HRC/30/L.16, OP5 Penal Reform International and the Essex Human Rights Centre |6