Background paper on the Workshop on Strategies and Best Practices
against Overcrowding in Correctional Facilities (A/CONF. 213/16)
Summary
The reduction of prison overcrowding, although complex, should be a high priority. This paper
reviews factors contributing to that problem, such as criminal justice policies that give excessive
weight to punishment or may not have been adequately assessed for impact; lack of alternatives toimprisonment and of sentencing policies and guidelines encouraging the use of non-custodial measures;
inefficiency and delays within the justice process; challenges faced by the poor and vulnerable inaccessing justice; lack of social reintegration programmes and postrelease support to prisoners; andinsuﬃcient prison infrastructure and capacity.

I. Introduction
1. The rapid growth of the prison population constitutes one of the most challenging problems facedby criminal justice systems worldwide. According to the International Centre for Prison Studies,more than 9.8 million people, including sentenced prisoners and pretrial detainees, are held in penal
institutions throughout the world.1 The World Prison Brief2 prepared by the Centre, indicates thatthe prison population has risen in 71 per cent of the countries surveyed (in 64 per cent of countries
in Africa, 83 per cent in the Americas, 76 per cent in Asia, 68 per cent in Europe and 60 per cent in
Oceania). Prison population rates, measured as the number of prisoners per 100,000 of the general
population, vary considerably among diﬀerent regions of the world, within regions and among prison
facilities within countries.
2. According to the World Prison Brief, 114 of the 191 countries for which data had been collected
had a rate of prison occupancy above 100 per cent (indicating overcrowding). Of those, 16 countries
had rates of prison overcrowding3 above 200 per cent, while 25 countries reported rates of between
150 and 200 per cent. According to Penal Reform International, the size of prison populations in
Europe on average exceeds official capacity by 30 per cent, while the average prison occupancy
rate in the United States of America is 107 per cent. In Bangladesh, the prison population stands at
288 per cent of oﬃcial capacity, the highest rate in South Asia. Kenya has the highest rate of prison
overcrowding in the world, with prison occupancy at 337 per cent of capacity.
3. Participants at the Tenth United Nations Congress on the Prevention of Crime and the Treatmentof Oﬀenders, held in Vienna in 2000, and the Eleventh United Nations Congress on Crime Prevention
and Criminal Justice, held in Bangkok in 2005, recognized the importance of containing the growth andovercrowding of prison populations by promoting safe and eﬀective alternatives to incarceration anddeveloping restorative justice policies.
4. Participants at the four regional preparatory meetings for the Twelfth United Nations Congress on
Crime Prevention and Criminal Justice4 recognized that occupancy of prison facilities was exceeding
capacity and that overcrowding was an acute and widespread problem worldwide and recommended
that the Workshop on Strategies and Best Practices against Overcrowding in Correctional Facilities
1
2
3

4

Roy Walmsley, World prison population list , 8th ed. (London, King s College, International Centre for Prison
Studies, December 2008). Available from www.kcl.ac.uk/depsta/law/research/icps/downloads/wppl-8th̲41.pdf.
Available from www.kcl.ac.uk/depsta/law/research/icps/worldbrief/ (last accessed on 8 February 2010).
The term prison overcrowding generally refers to situations in which the rate of prison occupancy is
above 100 per cent of prison capacity. However, the way in which prison capacity is measured varies fromcountry to country, depending on the space allocated for each prisoner in accordance with national legislation
and administrative rules. Comparisons of overcrowding levels can therefore be misleading. The impact ofovercrowding depends not only on the amount of space allocated to each prisoner, but also on the amount of timeeach prisoner can spend engaged in activities outside his or her cell. The scope of the present paper does notextend to measures that can be taken within prisons to mitigate the eﬀects of overcrowding.
Reports of the Latin American, Western Asian, Asian and Paciﬁc and African regional preparatory meetings for
the Twelfth Congress (A/CONF.213/RPM.1/1, A/CONF.213/RPM.2/1, A/CONF.213/RPM.3/1 and A/CONF.213/
RPM.4/1, respectively).

9pay particular attention to the development of comprehensive, coordinated, multisectoral andsustained strategies and policies involving all stakeholders in the criminal justice system.
5. For over 50 years, the United Nations has developed standards and norms to encourage thedevelopment of criminal justice systems that meet basic human rights standards. Prison overcrowding
may hinder compliance with such standards, with a resulting negative impact on prisoners, theirfamilies, prison systems and the community as a whole. In addition, failure to respect the right to a fairtrial may contribute to an increase in the number of pretrial detainees and convicted persons and thus
in the size of the prison population.
6. The earliest of the United Nations standards and norms, the Standard Minimum Rules for
the Treatment of Prisoners5 contains provisions relating to the rights of prisoners and minimum
requirements regarding conditions of detention, which may be compromised by overcrowding
in prison facilities. The Body of Principles for the Protection of All Persons under Any Form ofDetention or Imprisonment (General Assembly resolution 43/173, annex) and the Basic Principles for
the Treatment of Prisoners (Assembly resolution 45/111, annex) expand on those standards. Other
United Nations instruments highlight the importance of non-custodial measures and of the use of
imprisonment and pretrial detention as last-resort options that could assist in reducing the numbersof persons sent to prison (United Nations Standard Minimum Rules for Non-custodial Measures (theTokyo Rules) (Assembly resolution 45/110, annex)). The United Nations instruments that speciﬁcallyaddress unnecessary or unnecessarily prolonged pretrial detention, which often contributes toprison overcrowding, include the Universal Declaration of Human Rights (Assembly resolution 217
A (III)) and the International Covenant on Civil and Political Rights (Assembly resolution 2200 A(XXI), annex). Instruments such as the basic principles on the use of restorative justice programmes
in criminal matters (Economic and Social Council resolution 2002/12, annex) encourage the use ofrestorative justice, which facilitates the use of alternatives to pretrial detention (pretrial diversion) and
imprisonment. The United Nations Standard Minimum Rules for the Administration of Juvenile Justice(the Beijing Rules) (Assembly resolution 40/33, annex) and the United Nations Rules for the Protectionof Juveniles Deprived of their Liberty (Assembly resolution 45/113, annex) provide exclusively forchildren and juveniles in conﬂict with the law and set out guidelines for the administration of juvenile
justice and for institutions in which juveniles are conﬁned.
7. Regional instruments also highlight the serious problems posed by prison overcrowding,including its potential to undermine the rights of prisoners, and provide for effective alternatives
to imprisonment in policy and practice as a viable long-term solution to prison overcrowding (theKampala Declaration on Prison Conditions in Africa (Council resolution 1997/36, annex); the Kadoma
Declaration on Community Service (Council resolution 1998/23, annex I) and related recommendations
on prison overcrowding; the Arusha Declaration on Good Prison Practice (Council resolution 1999/27,
annex); and the Lilongwe Declaration on Accessing Legal Aid in the Criminal Justice System) in
Africa.
8. Overcrowded prison conditions violate prisoners basic rights, undermine the safety of prison
staff and that of the general public and weaken the ability of the prison system to meet prisoners
basic healthcare, food and accommodation needs and to provide rehabilitation programmes, education,
training and recreational activities. Overcrowding hinders the ability of prison authorities to manage
prisons eﬀectively, address prisoners social reintegration needs and ensure that their treatment meetsthe requirements set out in United Nations standards and norms, and may create an unsafe working
environment for prison staff. It may also preclude an accurate census and effective classification ofprisoners. Prisoners who do not have access to treatment programmes are more likely to reoffend
following their release. The cost to society of failure of prisoners to reintegrate into the community issigniﬁcant, both ﬁnancially and in terms of public safety.
510, Volume I (First Part):
Nations publication, Sales No. E.02.XIV.4 (Vol. I, Part 1)), sect. J, No. 34.

(United9. Many countries have adopted measures to address the multiple problems created by overcrowding
in correctional facilities 6 and to mitigate the effects of overcrowding. The Workshop offers an
opportunity for government representatives, experts and practitioners to exchange information on
strategies and best practices for reducing overcrowding in correctional facilities. Specifically, theWorkshop provides a forum for:(a) The consideration of strategies to improve the fairness and efficiency of the criminal justiceprocess;(b) The review of good practices and strategies in improving access to justice for the poor andvulnerable;(c) The review of good practices with respect to decriminalization, pretrial diversion, restorative
justice at all stages of proceedings and alternatives to imprisonment, and assessment of the impact ofsuch practices on prison overcrowding;(d) The consideration of possible strategies for expanding the use of early release measures;(e) The identification of effective programmes for the prevention of recidivism as a means of
reducing prison overcrowding.

II. Factors contributing to prison overcrowding
10. The reasons for the growth of prison populations worldwide are numerous and vary from region toregion and from country to country. A range of social and economic factors and policies, the existenceor lack of social support networks and health-care services in the community, crime prevention
measures, the development of the criminal justice system, societal perceptions of crime and the roleof imprisonment in countering crime all have an impact on the size of those populations. Other factors,
such as excessive use of imprisonment, corruption, harsh social policies and growing income inequality
can also have a considerable impact on the size of prison populations. In most countries, these factors
have a cumulative eﬀect. A multidisciplinary and comprehensive strategy is therefore needed in orderto address them eﬀectively.
11. For the purposes of the present paper, the key causes of overcrowding may be summarized asfollows: (a) the ineﬃciency of the criminal justice process; (b) punitive criminal justice policies and theoveruse of detention and imprisonment, particularly at the pretrial stage; (c) inadequate legislative
provision for non-custodial measures and sanctions and lack of clear sentencing policies and guidelines
encouraging the application of such measures and sanctions; (d) challenges faced by large sectors ofsociety, especially the poor and vulnerable, in accessing justice; (e) ineﬃcient measures to prevent
recidivism; (f) lack or underuse of release programmes; and (g) inadequacy or lack of prison facilities
and resources.

A. Inefficiency of the criminal justice process

12. Prison overcrowding is often the result of problems and ineﬃciencies in the criminal justice system
including ineﬀective or delayed investigation, the limited use of pretrial release provisions, ineﬃcient
case management practices, limited resources within the prosecution service and the judiciary andthe lack of provision for or limited use of summary proceedings.7 These problems contribute to casebacklogs in courts, unacceptably long delays in completing investigations and committing cases totrial, multiple and often unnecessary court adjournments and excessive delays in trial proceedings
and case dispositions, all of which have been identified as factors contributing to lengthy pretrial
6
7

In the present paper the term correctional facilities is used to include all prisons and pretrial detention facilities,
although the latter do not have a correctional function.
For the purposes of the present paper the term summary proceedings refers to simpliﬁed procedures which
accelerate the trial process with the objective of ensuring greater efficiency in the criminal justice system
and minimizing costs. Generally, summary proceedings are used in the lower courts, usually for lesser
criminal offences, and constitute fast-track proceedings whereby certain formal procedures are dispensed
with or streamlined. In Canada, for example, the amendment of relevant national legislation has involved the
hybridization of oﬀences under the Criminal Code that had previously been strictly indictable. Such hybridization
allows prosecutors to choose summary proceedings in appropriate cases, thus avoiding the more complicated11detention periods.8 There are instances in which the period of pretrial detention exceeds the lengthof the sentence likely to be imposed. In many jurisdictions, pretrial detainees account for a signiﬁcant
proportion of the prison population.9
13. Lack of cooperation among criminal justice agencies such as the police, prosecutors and courts,
compounded in some cases by poor information exchange, is also a key concern. One of the underlying
causes of such challenges is the lack of accurate and up-to-date information on individuals held in penal
establishments.
Without accurate records, prison authorities have insuﬃcient information concerning the identities ofprisoners and are unable to track the case ﬁles of those prisoners. In the case of pretrial detainees,
the lack of accurate records, including records of the dates of court hearings, can lead to considerable
delays. The presence of a complete, accurate and accessible prisoner ﬁle system is a prerequisite foreﬀective policymaking and prison management.

B. Punitive criminal justice policies and the overuse of detention and imprisonment

14. Punitive criminal justice policies have had an impact on the growth of the prison population andprison overcrowding in many countries. Research in some countries indicates that the increase in thesize of prison populations is attributable to causes often unrelated to crime rates.10 In many cases theincrease in the use of imprisonment appears to be a consequence of punitive penal policies that may
be ad hoc and driven by short-term political exigencies. Courts in many countries are more likely
now than a decade ago to sentence oﬀenders to imprisonment and impose longer sentences.11 In somecountries, the increased use of life sentences with or without parole for a wider range of crimes isa growing trend. In many countries, non-violent offenders who have committed minor crimes are
imprisoned rather than dealt with at the ﬁrst stage of the criminal justice process by way of a caution,ﬁne, suspended sentence or restorative justice measure.
15. Certain criminal justice policies have been identiﬁed as major factors contributing to increases inprison populations and to prison overcrowding, including extension of the range of oﬀences to which
the penalty of imprisonment applies and the introduction of longer terms of imprisonment for certain
offences.12 Policies that require convicted offenders to serve more time in prison, such as the shift
from indeterminate to determinate sentencing, the increase in the number of mandatory minimum
sentences13 and the elimination of the practice of awarding good time to prisoners, can contribute toovercrowding. Community pressure also plays a contributory role; within communities concerned withsafety and security, there may be de facto support for legislation and policies that contribute to prison
overcrowding, including the extensive use of pretrial detention. The pressure that citizens exert on
Governments, often through the media, to penalize oﬀenders is one of the reasons why prisons remain

8
9
10
11
12

13

12

procedures for indictable oﬀences (such as a preliminary hearing (committal hearing) or trial before judge andjury). Hybridization oﬀers a way to simplify and accelerate the trial process in cases relating to lesser oﬀences andwarrant summary proceedings. For a review of a number of reforms implemented in inquisitorial criminal justicesystems with the aim of accelerating criminal proceedings, inter alia, by reducing the formality of criminal trials
and streamlining the investigatory process, see Albin Eser, The acceleration of criminal proceedings and therights of the accused: comparative observations as to the reform of criminal procedure in Europe , Maastricht, vol. 3, No.4 (1996).
Human Rights Watch,(New York, 2006), available from www.hrw.org/reports/2006/guinea0806/.
United States Department of State, Country reports on human rights practices: Senegal (2007), available fromwww.state.gov/g/drl/rls/hrrpt/2007/100501.htm.
Over-use of imprisonment: causes, consequences and responses ,, vol. 55,
July 2006, p. 5.
Ibid.
David Beck-Brown, The high cost of prison overcrowding ,, 27 April 2006 (available
from www.davidbeck-brown.com/literaryarts̲cost̲of̲prison̲ overcrowding.shtm); see also Patrick Kinkade,Matthew Leone and Scott Semond, The consequences of jail crowding ,, vol. 41, No. 1(1995), pp. 150-161.
Julia Sloth-Nielsen and Louise Ehlers, Assessing the impact: mandatory and minimum sentences in South
Africa ,, vol. 14, December 2005, pp. 15-22.

the primary instruments of punishment.14 Community pressure may also make parole boards reluctant
to grant oﬀenders early release or may hinder the establishment of programmes and services to assist
oﬀenders in successfully reintegrating into the community.
16. Policies relating to criminal procedures during the investigation and trial process and provision
for bail or pretrial release can have a signiﬁcant impact on prison populations. The lack of legislation
or failure to enforce existing legislation relating to the criteria for placing persons in pretrial detention
can limit access to bail and other pretrial release options. Remand prisoners may be imprisoned forlengthy periods as a result of policies and practices that cause unnecessary delays and ineﬃciency inthe justice process. In some jurisdictions, suspects are expected to be brought before the court withina speciﬁc period. However, there may be no limit as to the number of times the police may obtain an
extension on that period while completing investigations. As a result, persons may be detained forlengthy periods without charge.

C. Inadequate provision for non-custodial measures and sanctions

17. In many countries, national legislation provides only for limited alternatives to imprisonment;
where such alternatives exist, courts are often reluctant to use them, generally preferring
imprisonment. Limited use of non-custodial measures may be part of a criminal justice policy that ispunitive as a whole, or could be related to failure to reform legislation owing to lack of resources,
lack of training for judges and the absence of clear sentencing guidelines encouraging the use of noncustodial measures.
18. Sentencing policies that encourage the use of community-based programmes but do not establish
any obligation to develop and sustain such programmes are ineffectual and do nothing to alleviate
prison overcrowding. Where such alternatives to imprisonment exist, sufficient resources arenecessary to support non-custodial measures and to supervise oﬀenders in the community.

D. Issues concerning access to justice

19. The absence of a proper and eﬀective legal representation system can contribute to the size ofprison populations. Accused persons without representation may face a higher risk of being detained
until the date of the hearing or trial or until being incarcerated upon conviction, even in cases involving
minor offences. Lack of representation is also one of the causes of delays in the criminal justiceprocess. The number of legal counsels or paralegals available to represent or assist accused persons
at police stations, in court or in prison may be low, particularly in remote areas. In many jurisdictions,poor and vulnerable persons have inadequate access to legal assistance that could help them to remainin the community until the hearing or trial date or to appeal for an alternative to imprisonment uponconviction.

E. Inefficient measures to prevent recidivism

20. Absent, limited or ineffective rehabilitation measures for offenders, both in the community andin prison, can have an impact on recidivism rates. The lack of reintegration programmes withincorrectional facilities can impede the successful reintegration of offenders into the community,
thus increasing the likelihood of recidivism, which may in turn have a significant impact on prison
populations. In some jurisdictions, the fastest growing segment of the prison population comprises
oﬀenders who have violated the terms of their parole or probation.15 However, consideration should
also be given to the possibility that conditions attached to probation or parole may be too strict andtherefore diﬃcult for oﬀenders to comply with, and that in some jurisdictions, the only option available
to the authorities in the event of a breach of those conditions is to order that the oﬀender return toprison, in some cases to serve the remainder of his or her sentence, however minor those breaches
14 Jeremy Sarkin, ed.,, Ohio University Research in International Studies, Africa
Series (Athens, Ohio, Ohio University Press, 2008), p. 2.
15 Yvon Dandurand and others.
(Vancouver, International Centre for Criminal Law Reform and Criminal Justice Policy, November 2008), p. 3.
Available from www.icclr.law.ubc.ca/ﬁles/books/Conditional Release Violations Final̲English.pdf.

13

may be (such as breach of curfew).

F. Lack or underuse of release programmes

21. In many jurisdictions, there is little provision for early release from prison, and where suchprovision exists, that mechanism is often underused due to resource limitations and other factors.
Ineﬀective or ineﬃcient parole systems or rigid parole rules that limit the number of cases in whichparole is granted contribute to large prison populations. The number of parole suspensions andrevocations depends not only on the behaviour of oﬀenders but also on the manner in which they aresupervised in the community and the legislative framework within which that supervision is carriedout.

G. Inadequate prison infrastructure and capacity

22. In many countries, prison facilities are in need of replacement or renovation. They do notadequately accommodate existing prison populations or increases in the number of prisoners. In many
post-conﬂict and transitional societies, the prison system has been destroyed or severely damaged.
Lack of investment in prison construction and renovation and delays in building new facilities
contribute to prison overcrowding and aggravate its eﬀects. Prison construction, where undertaken,
must be part of a comprehensive strategic plan to address overcrowding in prisons, inter alia, throughmeasures to decrease the number of persons incarcerated.

H. Other factors

23. Some regions have experienced a rapid increase in the size of their prison populations as a resultof a rise in crime rates that has a positive correlation with inequality, inadequate responses to poverty
and social marginalization.16 In many countries, the problem of prison overcrowding is exacerbatedby the fact that illegal migrants are often detained before being repatriated (even if, as in many cases
they have been living illegally in the country for a long time). In others, prisons have become the only
facilities available for persons with mental health problems.

III. Strategies to reduce prison overcrowding
24. Strategies developed to reduce prison overcrowding will vary according to the specific needsof individual jurisdictions. Best practices call for concerted and comprehensive eﬀorts on the part ofthe entire criminal justice system, involving the cooperation and coordination of all criminal justice
stakeholders. States should analyse their national criminal justice systems in the context of their
historical, legal, economic and cultural background. Speciﬁc strategies are: (a) to ensure a systemwide, integrated and sustained approach to the criminal justice process and related programmes; (b) to
improve the eﬃciency of the criminal justice process; (c) to ensure comprehensive sentencing policies;(d) to increase the use of alternatives to detention and imprisonment, on the basis of the principle ofimprisonment as a last resort and the principle of proportionality; (e) to strengthen access to justiceand public defence mechanisms; (f) to develop or strengthen, as appropriate, provisions for early
release; (g) to strengthen measures to prevent recidivism, such as rehabilitation and reintegration
programmes; (h) to increase prison capacity if absolutely necessary; and (i) to conduct researchand development activities relating to information systems for the justice and corrections sectors.
Strategies to reduce overcrowding should be gender-sensitive and should respond eﬀectively to theneeds of vulnerable groups.
25. The United Nations Office on Drugs and Crime (UNODC) has developed a number of tools andhandbooks that can serve Member States as practical guides in developing strategies, such as the
Criminal Justice Assessment Toolkit on custodial and non-custodial measures. It has also designed
speciﬁc tools to assist in the development of strategies to reduce overcrowding among female prisoners
16 See Pablo Fajnzylber, Daniel Lederman and Norma Loayza, Inequality and violent crime ,, vol. 45, No. 1 (April 2002); see also Elias Carranza and others,
Siglo XXI, 2009).

14(Mexico City,

and vulnerable groups in prisons, such as the Handbook for Prison Managers and Policymakers on Womenand Imprisonment17 and the Handbook on Prisoners with Special Needs.18 Furthermore, the Commission
on Crime Prevention and Criminal Justice, in its resolution 18/1, requested the Executive Director of
UNODC to convene an open-ended intergovernmental expert group meeting to develop, consistent
with the Standard Minimum Rules for the Treatment of Prisoners and the United Nations Standard
Minimum Rules for Non-custodial Measures (the Tokyo Rules), supplementary rules speciﬁc to thetreatment of women in detention and in custodial and non-custodial settings. The meeting, which washeld in Bangkok from 23 to 26 November 2009, endorsed a series of supplementary rules providing,inter alia, for greater use of alternatives to prison in the case of certain categories of female oﬀenders.
The draft rules will be before the Congress (A/CONF.213/17) for appropriate consideration and action.

A. Comprehensive criminal justice policies and programmes

26. Successful strategies to reduce prison overcrowding are based on an integrated and sustained
approach to enhancing the criminal justice process and are strengthened by in-depth understanding of
the nature of the crime problem, the eﬀective functioning of the criminal justice system and general
strategies for crime prevention. Comprehensive policies may include both crime prevention measuresand strategies that limit the reach of the criminal justice system, such as the use of decriminalizationor pretrial diversion, thus reducing the number of persons convicted and imprisoned. Informal andrestorative justice mechanisms have the potential to reduce court costs and case processing times andto provide communitybased forums for the resolution of cases. Policies should also discourage the useof criminal justice systems to deal with social issues such as mental health problems.
27. Strategies should cover the three stages of the criminal justice process: pretrial, trial andconviction. Measures to decrease the use and duration of pretrial detention include legislative andpolicy frameworks ensuring that police and pretrial detention are used only when absolutely necessary;
encouragement of the use of pretrial release options; the requirement that pretrial detention be
decided by a competent authority and for a determinate period of time; and the requirement that trials
be held within a reasonable period of time beyond which detention is not permitted. Strategies such asplea bargaining or mechanisms for entering early guilty pleas or for fast-track case management canencourage the early disposition of cases. Governments could consider creating small claims courts or
courts to hear cases involving minor oﬀences. A number of jurisdictions have developed specialized
courts designed to address the specific needs of certain groups of offenders and to provide analternative to the use of imprisonment. Oﬀenders who are mentally ill or dependent on drugs are oftencaught in an inescapable cycle of incarceration and release. Strategies that have used the authority of
the court to compel therapeutic intervention (such as drug treatment courts and courts that try cases
relating to violence in the family) have proved successful in this area.19

B. Improving the efficiency of the criminal justice process

28. One of the key challenges that must be addressed by strategies to reduce the prison population
is inefficiencies in the criminal justice process that have a direct impact on the size of the prison
population. Practices that contribute to prison overcrowding by creating backlogs of court cases andincreasing the number of pretrial detainees could be identiﬁed through a system-wide review.
29. Strategies must also seek to reduce the time between commencement of proceedings and theirconclusion with a final judgement; impose time limits (e.g. under statutory or constitutional law)for the conclusion of investigations and trials; review rules of procedure and court rules; improvejoint investigations by and communication between the police and prosecution services; improvecourt administration, including automation, scheduling, case-tracking and casemonitoring schemes;
enhance case management; and streamline pretrial processes such as disclosure, admissions and

17 United Nations publication, Sales No. E.08.IV.4.
18 United Nations publication, Sales No. E.09.IV.4.
19 John Weekes and others,2007). Available from www.ccsa.ca.

Canadian Centre on Substance Abuse (Ottawa, March15

case conferences. Strategies that might be explored include the creation of new courts, particularly
in rural areas; the allocation of resources to increase the capacity of the criminal justice system; theintroduction of summary proceedings;20 the creation of opportunities for oﬀenders to enter early guilty
pleas; greater legal representation for oﬀenders; more eﬃcient case management; improved schedulingand notiﬁcation processes; and strengthening of the role of paralegal professionals in facilitating theprocessing of cases.
30. Initiatives to improve the eﬃciency of the criminal justice process require a concerted eﬀort on thepart of the entire criminal justice system, which may require training for police, prosecutors, judges,
staff of correctional facilities, communitybased non-governmental organizations and other agencies
and organizations. The Chain Linked Initiative, which is being implemented in a number of African
States, involves cooperation between courts, prosecutors, prisons, social services, local community
leaders and non-governmental organizations. Participants in the initiative hold regular meetings,
conduct joint prison visits and have developed and distributed agreed performance standards, whichhave been successful in expediting the processing of cases and the release of detainees found to havebeen imprisoned unlawfully.21 Regional and national conferences involving all justice stakeholders
serve as useful forums for the examination of ways to improve the administration of justice and for thedevelopment of interagency cooperation. For example, UNODC, the International Centre for Criminal
Law Reform and Criminal Justice Policy and the United Nations Mission in the Sudan (UNMIS) are
jointly supporting the capacity-building and reform eﬀorts of the Southern Sudan prison service. While
those activities are focused on supporting the prison service, they also include the strengthening ofcooperation among relevant stakeholders in the justice system in identifying key issues and drawing up
strategies for developing alternatives to imprisonment.
31. Justice systems should be supported by good information management systems providing
up-to-date and easily accessible information on cases, accused persons and convicted offenders.
The Handbook on Prisoner File Management ,22 published by UNODC, highlights the importance of
maintaining accurate prisoner ﬁles as a means of ensuring compliance with international treaties andstandards. Effective caseflow management can help to expedite the hearings of pretrial detainees,
facilitate the identification of convicted persons eligible for early release and ensure that adequate
supervision and services are provided to persons released. Participants in the four regional preparatory
meetings for the Twelfth Congress considered the special challenges posed by the fact that, in recent
years, foreign nationals have tended to account for a large proportion of the prison population in
many countries. Some of the practices suggested as a means of alleviating this problem include split
sentences, programmes for the exchange of foreign prisoners and regional schemes for the transfer ofsuch prisoners.23 The transfer of foreign prisoners to their countries of origin should be conducted inaccordance with international standards and, to the extent possible, in line with the Model Agreementon the Transfer of Foreign Prisoners.24

C. Comprehensive sentencing policies

32. Comprehensive sentencing policies, based on enabling legislation can provide guidance to courtsand encourage the use of alternatives to imprisonment. The cost to society of imprisonment inrelation to the costs of other options should be taken into account when designing sentencing policies.
Legislation and policies based on the principle of imprisonment as a last resort and the principle ofproportionality can limit the overuse of imprisonment and contribute to a reduction in the size of prison
20 See footnote 7 above.
21 Personal Reform International,, version 7, October 2005.
Available from www.penalreform.org.
22 United Nations publication, Sales No. E.08.IV.3.
23 The requirement that prisoners must consent to the transfer ensures that transfers are not used as a method of
expelling prisoners or as a means of disguised extradition (A/CONF.121/10, para. 14).
24
(United Nations publication, Sales No. E.86.IV.1), chap. I, sect.
D.1, annex I.

16populations. Policies might include the provision of non-binding guidance to the courts on judicial
discretion, the establishment of ﬁxed upper limits and ﬂexible lower limits for penalties or the adoptionof legally binding sentencing guidelines that establish priorities with regard to the use of imprisonmentand require courts to determine penalties in accordance with the limits of available prison capacity.
33. Such policies can help to minimize the use of mandatory sentences so that mitigating factors canbe given greater consideration at the time of sentencing. The incarceration of oﬀenders who do notpose a substantial threat to society, in conditions that undermine their human rights and endanger
their mental and physical health and overall well-being, is not conducive to successful rehabilitation orreintegration. Sentencing policies should set out clear provisions relating to the social rehabilitation of
oﬀenders. Some countries have introduced sentencing processes that provide for the introduction ofpre-sentence reports, which allow judges to consider a variety of options. Various restorative justiceapproaches can also be designed to provide for non-custodial alternatives. Sentencing policies should
also address the impact of recidivism on prison populations.

D. Increasing the use of alternatives to detention and imprisonment

34. Relevant international instruments recommend that criminal legislation provide for a wide range
of non-custodial sanctions applicable to diﬀerent types of oﬀence and to the individual circumstancesof the offender (e.g. rule 8.1 of the Tokyo Rules). The availability of a range of alternatives toimprisonment is clearly necessary as a ﬁrst step towards increasing the use of non-custodial sanctionsin practice. In the UNODC Handbook of Basic Principles and Promising Practices on Alternatives to
Imprisonment,25 the basic principles central to understanding alternatives to imprisonment at every
stage of the criminal justice process are introduced and promising practices implemented throughout
the world are described (see boxes 1 and 2).
Box 1
Good practices in India and South Africa
A pilot bail information scheme designed to reduce the use of detention in South Africa for persons
unable to pay bail has reduced the number of persons in pretrial detention and improved thefunctioning of the courts in several pilot locations. The general view among those involved in thescheme is that it has produced positive outcomes.a
In India, a pilot project to implement a prison visitors programme and a rights monitoring campaign
designed to discourage the use of detention and to expedite trials, has reduced the number of
persons detained while awaiting trial.b
a Louise Ehlers, Frustrated potential: the short and long term impact of pretrial services in South Africa , in(New York, Open Society Justice Initiative, 2008), pp. 121-140.
b R. K. Saxena, Catalyst for change: the eﬀect of prison visits on pretrial detention in India ,(New York, Open Society Justice Initiative, 2008), pp. 57-69.

35. Alternatives to imprisonment that might be considered when reviewing sentencing legislationand policies include suspended sentences, probation, community service, fines, compensation,
conditional sentences, home detention with or without electronic monitoring, verbal sanctions
and restriction of certain rights. In some jurisdictions, probation is a widely used alternative to
imprisonment. The popularity of probation is due in large measure to its versatility. The durationand conditions of probation can be tailored to the oﬀender s needs and circumstances and, similarly,
the level of supervision can be adapted to the danger posed by the oﬀender. Probation oﬃcers may,in addition to providing supervision, help persons under community supervision gain access totreatment programmes, such as programmes on violence prevention and substance abuse management
and programmes targeting sex offenders through a cognitive skills approach. In many European
jurisdictions and in North America, the expansion of electronic surveillance programmes, including
25 United Nations publication, Sales No. E.07.XI.2.

17

electronic monitoring and tagging , has increased the number of offenders who can be supervisedin the community. Probation services have also been expanded to include specialized units providing
community-based supervision for higher-risk oﬀenders, including sex oﬀenders.26
Box 2
Good practice in Kyrgyzstan: criminal justice reform in 2007
On 25 June 2007, Kyrgyzstan adopted a number of amendments to its Criminal Code, Code of
Criminal Procedure, Penal Enforcement Code and to seven other laws. The changes introduced
new alternatives to imprisonment, expanded the use of existing alternatives and reduced the lengthof sentences applicable to certain oﬀences. The right to decide to arrest a person was transferredfrom the prosecutor to the courts. As a direct result of those changes, the prison population of
Kyrgyzstan decreased dramatically from 15,249 in July 2006 to 9,797 in July 2009. That decrease
was attributable largely to the reduction of prison sentences and the easing of conditions for early
conditional release.
36. However, in low-income countries where alternatives such as probation and electronic
surveillance programmes would entail an unmanageable ﬁnancial burden, simpler alternatives, suchas suspended sentences, home detention, compensation and fines (calculated on an equitable basis)
may be preferred options. Unpaid work (community service) is also a possible alternative to shortprison sentences. Many jurisdictions provide for a range of penalties applicable in cases in which
enforcement of a sentence has failed, and explicitly provide for imprisonment only as a last resort.
UNODC is working in Afghanistan to increase the use of alternatives to imprisonment by encouraging
the use of those alternatives which are already provided for under relevant legislation but which are
not being used. The initiative is based on a comprehensive needs assessment outlined in Afghanistan:
Implementing Alternatives to Imprisonment, in Line with International Standards and National Legislation,
published by UNODC in 2008. As part of that process, UNODC has led the review of the Code of
Criminal Procedure of Afghanistan and has also recommended that national legislation provide for agreater number of alternatives to pretrial detention.
37. Capacity-building and awareness-raising are needed in order to increase the use of alternative
measures by police, prosecution services and the judiciary. However, one of the key concerns
regarding the development of alternatives to imprisonment is that a greater number of persons will
require supervision by the justice system.
38. The availability of adequate resources to implement non-custodial measures is essential to any
strategy to reduce overcrowding in correctional facilities. Civil society, including non-governmentalorganizations, can play a pivotal role in the use of community-based alternatives to imprisonment. Oneof the key challenges is to devise strategies to engage the community, sustain community involvement
and promote public acceptance of schemes that allow offenders to remain in the community.
Involvement of the community in schemes to reduce prison overcrowding through alternatives toimprisonment is not only cost-eﬀective but also serves to strengthen reform eﬀorts. Activities to raise
public awareness of the eﬀectiveness of community sentences can increase public acceptance of suchalternatives. The design of alternative measures for specific groups of offenders, such as pregnant
women, mothers of young children, elderly persons and prisoners with disabilities, should also be
considered.

E. Strengthening access to justice and access to public defencemechanisms

39. Good defence lawyers, an effective public defence system, access to legal representation andinformation on available legal aid signiﬁcantly improve the administration of justice and may reduce
the number of persons in prison. Legal counsel or paralegals27 can help to ensure that cases are heard
within the legally mandated time frame or, failing that, that the accused person is released; in addition,
26 Curt T. Griﬃths,

18, 3rd ed. (Toronto, Nelson Education, 2010).

they can counsel prisoners on the benefits of pleading guilty early and provide them with accurate
and up-to-date information. They play an important role in reducing prisoner anxiety and stress byincreasing the legal literacy of prisoners and detainees. The provision of free legal aid can help toensure that all individuals have access to legal advice. A further strategy to ensure that prisoners insituations of overcrowding have access to justice is to strengthen access to civil law procedures, classactions or compensation schemes.

F. Developing or strengthening provisions for early release

40. Early release mechanisms can reduce prison overcrowding and facilitate social rehabilitation andreintegration. The Tokyo Rules encourage the use of postsentencing alternatives in order to avoid
institutionalization and to assist oﬀenders in their early reintegration into society including, furloughand halfway houses, work or education release, various forms of parole, remission and pardon. Openprisons should also be considered. Parole or conditional release provides the State with the possibilityof imposing conditions specifically tailored to the needs of the individual offender and to assist theoffender in the transition from imprisonment to a law-abiding life in the community. Amnesties,
pardons and prerogatives of mercy have also been used to reduce prison populations, particularly incases in which persons convicted of a petty oﬀence have been imprisoned or remanded for long periods
or the oﬀender is chronically or terminally ill.
41. Legislation and policies should provide clearly for the possibilities of parole and early releaseand the conditions for such release. The scope of early release programmes could be extended insuch a way as to make early release part of the normal process of sentence enforcement. It is also
necessary to ensure adequate supervisory resources, programmes and facilities within the community
and to develop and adopt appropriate risk assessment instruments, which can be of use in identifying
oﬀenders who may be eligible for early release. In jurisdictions where prisoners must apply for parole
in order to be considered for such release, they should be encouraged to do so. Such procedures
may allay public concerns about community safety and provide a mechanism whereby oﬀenders are
informed at an early stage as to what they must do to qualify for early release and how they must
behave in order not to forfeit their eligibility. Criteria used as the basis for early release decisions,such as good behaviour in prison, should be clear and fair. Parole revocation procedures might deﬁne
speciﬁc criteria for revocation, such as the commission by the oﬀender of a new or repeat oﬀence whileon parole, and could grant the appropriate authorities discretion to decide on partial revocation.
42. Administrative infrastructure is likely to be required in order to facilitate and monitor compliancewith conditions for early release. Those conditions might include the payment of compensation or
reparation to victims; treatment for drug or alcohol problems that played a part in the commissionof the offence; participation in work, education or vocational training; participation in personal
development programmes; or compliance with an order to refrain from contact with a certain personor to stay away from a certain place. The use of early release programmes and services to provide
support to those released can facilitate successful reintegration into the community and help to reduce
recidivism.

G. Effective measures to prevent recidivism

43. Comprehensive measures to prevent recidivism are important in reducing the number of persons
in prison. Offenders may face social, financial and personal challenges, such as mental illness or
substance abuse or addiction, that make it difficult for them to avoid returning to criminal activity.
Essential features of a broader crime prevention effort include providing skills training, education,
treatment programmes and psychological support for oﬀenders in the community and for prisoners,
and establishing programmes to assist oﬀenders released from prison in becoming law-abiding citizens.
Research shows that rehabilitation programmes yield better results when implemented in community
settings. Strategies should include increasing the effectiveness of education, vocational training,social reintegration assistance and rehabilitation programmes oﬀered to prisoners and of community
27 See footnote 7 above.

19

reintegration and supervised release programmes. Vocational training, education and rehabilitation
programmes comprise a key component of the majority of the prison reform programmes implemented
by UNODC in developing and post-conflict countries and areas such as Afghanistan, the occupied
Palestinian territories and Southern Sudan.
44. Reintegration programmes emphasizing the importance of preparing prisoners for release andof the continuity of treatment interventions before and after release have been introduced in a
number of jurisdictions.28 The aims of such programmes are to integrate the various elements ofthe criminal justice response, develop partnerships with communities and integrate institutional andcommunity-based interventions to form an unbroken continuum. Case management plays a key role inindividualizing treatment in prison and facilitating social reintegration.
45. Rehabilitation and reintegration programmes may involve the participation of justice personnel,social workers, educators, non-governmental organizations and community volunteers. Suchprogrammes must prepare not only the prisoners themselves but also their families and the wider
community for their return to the community. Public education is a key component of any strategy
designed to increase community involvement in community-based programmes for oﬀenders and exoffenders. The Tokyo Rules encourage the organization of conferences, seminars, symposiums andother activities and the utilization of the mass media to stimulate awareness of the need for public
participation.

H. Increasing prison capacity

46. While it is sometimes necessary to increase prison capacity, experience has shown that theconstruction of new prisons alone is unlikely to provide a sustainable solution to prison overcrowding.
In addition, the construction and maintenance of new prisons is expensive and therefore places a strain
on possibly limited resources.
47. Where new prisons are essential, their construction should be accompanied by a comprehensive
strategy to reduce the number of persons sent to prison in order to achieve a sustainable solution
to the continuing growth of the prison population. The creation or strengthening of essential prison
infrastructure can provide an opportunity to improve prison conditions, prison security and observanceof the human rights of prisoners. However, it also requires expansion of the capacity of the prison
service. Prison services should be available in remote areas so as to ease high congestion in prisonsin urban centres, make prisoner transfers more secure and less costly and reduce delays in the justiceprocess. Prisons should ideally be built in the vicinity of police buildings and courts so as to mitigate
the challenge of transferring prisoners between police custody, the courts and prisons.
48. The mobilization of resources for construction and renovation programmes can be challenging
for Member States. There is a need to strengthen cooperation between the prison service and thosestakeholders who are able to advocate for support and bring more visibility to the challenges facing
the prison system. Prison services should consider partnerships with other government agencies, suchas ministries of health or education. The establishment or support for the commercialization of prison
industries are possible ways of generating funds for the prison service and supporting rehabilitationeﬀorts through skills training, and they might be promoted through private investment, cooperation
with the private sector or the adoption of government policies that support such industries (e.g. in thearea of procurement). Institutions that monitor detention conditions, safeguard prisoners rights andprevent exploitation of prison labour could also play a role in mobilizing resources for prisons.

I. Conducting research and developing information systems

49. Successful initiatives tend to be those founded on empirical understanding validated by key

28 Curt T. Griffiths, Yvon Dandurand and Danielle, Canada, Public Safety Canada, Research Report No. 2007-2 (Ottawa, National Crime Prevention
Centre, 2007). Available from www.publicsafety.gc.ca/res/cp/res/̲ﬂ/soc-reint-eng.pdf.

20

stakeholders. It is therefore important to set up mechanisms for collecting information on how thecorrectional system operates and how resources are used. Jurisdictions should develop information
systems to document caseﬂow and procedures for gathering information on persons held in prisons.
That information can serve as the basis for evaluating the effectiveness of initiatives designed toreduce prison overcrowding; such evaluations in turn can be used in the development and applicationof relevant best practices. All available information should be readily comprehensible to all major
stakeholders. In addition, networks to facilitate the sharing of information among jurisdictions should
be developed in order to enhance reform initiatives. Governments should provide the necessary
knowledge basis for criminal policy planning and legislation by ensuring that proper research
infrastructure and resources are in place. Additional eﬀorts are needed to raise public awareness of
the way in which the criminal justice system functions and the various crime prevention strategies
available. The introduction of a system for the management of prisoner data is one of the components
of a number of UNODC prison reform projects in developing countries.

J. Comprehensive social policies

50. Crime is a social problem to which criminal justice systems can provide only a partial response.
Strategies to ensure fair social justice and social equality, reduce income inequality and preventsocial marginalization are needed in order to achieve a long-term and sustainable solution to prison
overcrowding. Policies and actions relating to crime and criminal justice must be comprehensive,
encompassing education, health, housing, employment and measures to combat violence.

IV. Conclusion
51. Overcrowding in prisons is a serious impediment to safe prison management, effective
rehabilitation of oﬀenders and compliance with United Nations instruments and standards relating to
the human rights of prisoners. Overcrowding in correctional facilities may lead to multiple humanrights violations, such as limitation of access to health care, nutrition and sanitation.
52. While the effectiveness of measures to counter overcrowding in correctional facilities varies
depending on the speciﬁc situation and criminal justice system of each State, such measures should in
all cases be part of a comprehensive crime prevention and criminal justice strategy.
53. Pursuant to the relevant United Nations standards and norms, the Workshop may wish to consider
the following:(a) Member States should recognize prison overcrowding as an unacceptable violation of humanrights that requires a ﬁrm response. Each Member State should determine the upper limit of its prison
capacity. Decisions to increase the number of prison places as a means of reducing overcrowding
should not be taken without consideration of ways to reduce demand for prison places, thus avoiding
an overall increase in the number of persons in prison;(b) Member States should consider reviewing, evaluating and updating their policies, laws
and practices in order to ensure their comprehensiveness and effectiveness in addressing prison
overcrowding;(c) The implementation by Member States of reforms and strategies to reduce overcrowding
should be gender-sensitive and should respond eﬀectively to the needs of vulnerable groups;(d) Member States are urged to conduct a system-wide review to identify inefficiencies in thecriminal justice process that contribute to detainees being held for long periods during the pretrial
and trial processes; to develop strategies to improve the efficiency of the criminal justice process
through, inter alia, measures to reduce case backlogs; and to strengthen access to justice and accessto public defence mechanisms;(e) Member States should regard pretrial detention as a last resort. Accordingly, they should
consider introducing time limits for detention, a mechanism for reviewing decisions to detain suspects,
restorative justice, mediation programmes and electronic monitoring in order to reduce the number of
persons held in pretrial detention and the duration of such detention;(f) Member States are urged to ensure that courts are provided with principled guidance on
sentencing, without infringing on their independence and discretionary freedom. Legislative or21

policy guidance should be given in a form that reﬂects the principle of proportionality in such a way
as to protect against unfounded severity and ensure the effective implementation of alternatives toimprisonment;(g) Member States are strongly encouraged to review the adequacy of legal aid and other measureswith a view to strengthening access to justice and public defence mechanisms, particularly for the poorand the most vulnerable;(h) Member States should encourage the participation of all relevant stakeholders in thedevelopment and implementation of national strategies and action plans against overcrowding;(i) Member States are urged to promote the participation of civil society organizations and local
communities in implementing alternatives to imprisonment;(j) Member States are encouraged to introduce measures that facilitate early release fromcorrectional facilities, such as referral to halfway houses, electronic monitoring and good time;(k) Member States should develop and strengthen research and data collection mechanisms inorder to evaluate the eﬀectiveness of reforms and strategies and to communicate that information to
the public.

22