ESSEX PAPER 3: INITIAL GUIDANCE ON THE INTERPRETATION AND IMPLEMENTATION OF THE UN NELSON MANDELA RULES
•
adequate time and facilities to prepare
•
opportunity to cross-examine witnesses
•
opportunity to examine evidence
•
hearing in person
•
receipt of a copy of any disciplinary decision
•
possibility of review by independent authority against a sanction imposed (appeal).
Guidance on this issue has been provided by the UN Committee against Torture (CAT), for
example, listing fair trial guarantees for disciplinary proceedings in prison, including ‘to be heard in
person; to call witnesses and examine evidence given against them; to be provided with a copy of
any disciplinary decision concerning them and an oral explanation of the reasons for the decision
and the modalities for lodging an appeal, and to appeal to an independent authority against any
sanctions imposed’.292
The CAT has emphasised that detainees need ‘to be informed in writing of the charges against
them’.293 For juveniles this is supported also by Rule 70 of the Beijing Rules,294 which states that
‘No juvenile should be sanctioned unless he or she has been informed of the alleged infraction in a
manner appropriate to the full understanding of the juvenile’.
The CPT has also detailed procedural safeguards that should apply in the case of disciplinary
proceedings, including that the ‘prisoner should be informed in writing of the reasons for the
measure taken against him (it being understood that the reasons given might not include details
which security requirements justify withholding from the prisoner)’ and ‘be given an opportunity to
present his views on the matter’.295
The requirement for the prisoner to be provided ‘with a copy of any disciplinary decision concerning
them and an oral explanation of the reasons for the decision and the modalities for lodging an
appeal’ has been enunciated by the CAT, for example.296
The Essex group discussed what would constitute ‘adequate time and facilities’ for the preparation
of a defence (Rule 41(2)), and suggested that such facilities include, at a minimum, copies of or
electronic access to the prison rules and regulations,297 access to assistance from designated
prison staff/other prisoners/civil society representatives and basic materials such as pen and paper
or access to a computer.
Participants flagged that family members may be accused of prison rule violations, resulting in
restrictions against the prisoner. They stressed that such allegations need to be documented and
that there needs to be a possibility to dispute not only violations by the prisoner him/herself, but
also those allegedly committed by family members if they impact on the prisoner’s rights. It was
also pointed out that denial of visits infringes on the right to a private and family life not only of the
prisoner, but also their relative(s).
CAT SMR revision observations, CAT/C/51/4, para. 41.
292
CAT SMR revision observations, CAT/C/51/4, para. 41.
293
UN Rules for the Protection of Juveniles Deprived of their Liberty.
294
CPT 2nd General Report, [CPT/Inf (92) 3], para. 55 including footnote 1.
295
CAT SMR revision observations, CAT/C/51/4, para. 41.
296
Rule 54 required the provision of written information ‘promptly’ upon admission, including information about prison law
and regulations.
297
Penal Reform International and the Essex Human Rights Centre
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