4. RESTRICTIONS, DISCIPLINE AND SANCTIONS
represented through legal assistance or not. They should also have the opportunity to cross
examine any witnesses to the alleged infraction, ask questions, seek clarifications and
examine any evidence relevant to the allegation.
32
The UNCAT has provided guidance on fair trial guarantees for disciplinary proceedings in
prison, including the right “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”.228
33
If legal assistance is not available or if prisoners are unable to defend themselves, they should
be allowed to ask another person to assist them in their defence.
34
Prisoners need to be informed in writing, and in a timely manner, about the outcome of any
disciplinary proceeding and need to have access to a judicial review (Rule 41(4)).
The right to judicial review
35
The opportunity to seek judicial review of a disciplinary decision is particularly important
in cases involving sanctions that will lead to serious consequences for the prisoner and/or
a material change in their conditions of imprisonment.
36
The court must be sufficiently competent to rule on the merits and the severity of the
sanction, and must have the power to overturn decisions taken by the prison management.
37
As a rule, a disciplinary sanction should not be implemented before the expiry of any appeal
deadline and before the completion of the judicial review procedure in cases where an appeal
has been lodged.
Record keeping
Any disciplinary sanctions should be recorded in a prisoner’s file (Rules 8(c) and (e)) and
should include the details of the infringement, the details and outcome of the disciplinary
procedure and the details and date of the sanction imposed. Prison authorities should
also keep a central register of disciplinary sanctions in accordance with Rule 39(2). Such
information can be useful in monitoring the effectiveness of different types of disciplinary
sanctions. Similar records should also be kept in connection with restrictions. Record keeping
is covered in more detail in Chapter 1, paragraphs 01– 63 of this guidance document.
39
The use of disciplinary sanctions should be carefully monitored so that the central prison
administration can identify any unusual or excessive application of certain forms of restrictions
or disciplinary sanctions.
4
38
Staff training
40
All staff need to receive training on preventive and defusing techniques, and on prohibited
and permitted sanctions and restrictions, including the duty to respect the human dignity of
all prisoners and the prohibition of certain conduct, in particular torture and other ill‑treatment,
in accordance with Rule 76(1)(b). Such training needs to be updated to reflect any changes
in law and policy, and any new findings related to the impact of sanctions and restrictions
on human beings, in both medical and correctional terms.
41
Any changes in disciplinary policy need to be fully communicated to all staff, ideally before
being put into practice.
228. UN Committee Against Torture, CAT/C/51/4, op. cit., note 63, para. 41; see also: European Prison Rules, Council of Europe, op. cit., note 74, Rule 59.
Guidance document on the Nelson Mandela Rules
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