ESSEX PAPER 3: INITIAL GUIDANCE ON THE INTERPRETATION AND IMPLEMENTATION OF THE UN NELSON MANDELA RULES
of women from men and of juveniles from adults makes it easier to meet the distinctive groups’
needs, and is also a key measure to prevent violence and exploitation, including sexual violence.
Separation, in different facilities or different sections of the same facility, has been recommended
by the Inter-American Commission on Human Rights, suggesting separation also for elderly
prisoners, and of civil prisoners from those convicted of criminal offences.64
In managing the separation of different prisoner categories, authorities must respect the principle
of non-discrimination which requires that each category of prisoner receives equal access to all
available resources and services (Rule 2).
The Inter-American Commission on Human Rights underscored that:
Under no circumstances shall the separation of persons deprived of liberty based on
categories be used to justify discrimination, the use of torture, cruel, inhuman, or degrading
treatment or punishment, or the imposition of harsher or less adequate conditions on a
particular group.65
Classification and risk assessments
Classification and risk assessments of prisoners are key tools of prison management, required to
differentiate and apply various levels of security for different prisoners. The concept is captured
in Rules 94 and 89, both unchanged by the review, and is based on an individual assessment
and treatment of each prisoner.66 The Essex group underlined that the references to the ‘varying
degrees of security’ and ‘individualized treatment’ should be understood in the context of: the
principle of rehabilitation and reintegration (Rules 4, 87, 88, 91, 92 94); the provision for the
specific needs of individual prisoners (Rules 2(2)); and the protection of prisoners and prison staff
from violence (Rule 1).
Risk assessments help identify which prisoners present a threat to themselves or others or a
flight risk. While the nature of the offence for which the prisoner was convicted and the length
of sentence are an indicator, the Essex group noted that risk assessments should not be based
solely on the type of offence or sentence. In particular, prisoners under a death sentence or life
sentenced prisoners must not be subjected to higher security measures merely on the basis of
their sentence.
Concern was raised, in general, about the frequent practice of keeping prisoners locked in their
cells for most of the day as a matter of routine rather than based on individual security concerns.
Risk assessments should include the nature, severity and motivation of the current and previous
offences, any history of involvement in inter-prisoner violence or escape attempts, personal
history including victimisation (e.g. whether the prisoner has experienced domestic abuse or child
abuse), attitude towards the victim and towards fellow prisoners, ‘emotional maturity’ etc.67 Risk
assessments should cover the identification of any risks of abuse or violence from/to prison staff or
Principles and Best Practices on the Protection of Persons Deprived of Liberty in the Americas, principle XIX.
64
Principles and Best Practices on the Protection of Persons Deprived of Liberty in the Americas, principle XIX.
65
Rule 94 calls for ‘a study of the personality of each prisoner’ and a programme of treatment ‘in light of the knowledge
obtained about his or her individual needs, capacities and dispositions’. Rule 89 emphasises the need for ‘individualization of treatment’ and a ‘flexible system of classifying prisoners in groups’ for this purpose. Rule 93 also refers to the
classification of prisoners under sentence based on individual risk and needs assessments (see also Rule 89).
66
For guidance on risk assessments see United Nations Office on Drugs and Crime (UNODC), Handbook on Dynamic
Security and Prison Intelligence, New York, 2015, pp. 14-15 (Handbook on Dynamic Security).
67
Penal Reform International and the Essex Human Rights Centre
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