In Prison Establishments in Northern Ireland," May, 1988 (N

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Papers presented at the

SECOND INTERNATIONAL CONFERENCE

ON PRISON EDUCATION

of Interest to the

Correctional Service of Canada

Oxford, United Kingdom

September 25-29, 1989 ir I /é 8'73 COln. ie erebeeto &tee Wee\POSO eautoete Mustbe outeedtete /9, 57 tee use. geheent aej eked Osee (i‘ Osee eel (I\ 2t\ &61$ eta ese0 Véeeee etxatioute 1 e *Yee Aotee de;\

Papers presented at the

SECOND INTERNATIONAL CONFERENCE

ON PRISON EDUCATION ( Z, )6/; I .9g9 'e

of Interest to the

Correctional Service of Canada/

Oxford, United Kingdom

September 25-29, 1989

L101-1ARY SOUCITOR GMERAL ce,±Am 21, 1595 - COLLICITEUR GEKERAL. oehm OTTAWA (WARM . I INDEX

1 le 11 BIBLIOGRAPHY Note: All of the following papers are available through Susan McIntosh, Secretary to the Director of Education and Personal Development, NHQ and the NHQ Library. They have also been for distribution to Regional Administrators. 1. Coakley, Catherine, "Creativity in Prisons," September, 1989 (Ireland) 2. Coleman, James E. and Evans, A. Donald, "The National Issues Forum: Promoting Learning and Developing Community in Prison," 1988 (U.S.A) 3. Continuing Education Service of Leeds City Council, "Education for Ex-0ffenders," summary of special project, July 1989 (U.K.) 4. Davis, Susan, "T.I.E. and the Ohio Plan: Blueprint for Success," September, 1989 (U.S.A.) 5. Dharmadasa, H.G., "Prison Education Work in Sri Lanka," September, 1989 (Sri Lanka) 6. Dunbar, Ian, "A Sense of Direction," HM Prison Service, October, 1985 (U.K.) 7. Duquid, Stephen, "Education for What? Curriculum Pedagogy and Program Objectives," September, 1989 (Canada). 8. Eggleston, Carolyn, "Curriculum Issues for the Incarcerated Handicapped Learner," September, 1989 (USA) 9. Garner, T.G., "Prison Education in Hong Kong: A Brief Historical Perspective," September, 1989 (China)

10. Germscheid, R.D., "Cognitive Development for Short-term Sentenced Offenders: Some Propositions," September, 1989 (Canada) 11. Hartl, Pavel, "Educational Strategies in Group Work with Recidivists," September, 1989 (Czechoslovakia) 12. Jenkins, Harold, "Evaluation of Prison Education Programs," September, 1989 (U.S.A.) 13. Langas, Asbjorn, "The Sharing of Responsibility between Authorities, Educational Institutions and Voluntary Organizations in the Rehabilitation of Prisoners - the Import Model," September, 1989 (Norway) 14. Littlefield, John, "Characteristics of the Ohio Inmate Intake Population and the Implications for Correctional Education Programming," September, 1989 (U.S.A.) 15. Mangara, Jumane Jadji, "The Role of Curriculum Development in Prison Education: The Tanzania Experience," September, 1989 16. McF Strain, J., "Education in Northern Ireland Prisons," September, 1989 (N. Ireland) 17. McCollum, Sylvia, "Mandatory Programs in Prisons - Let's Expand the Concept," August, 1989 (USA) 18. McDougall, C., "Anger Control Training with Young Offenders," April, 1989 (U.K.) 19. Miller, Helen, "Project Friends: The Development of a Program of Independent Study for Special Confinement Prisoners," May, 1989 (U.S.A.) 20. Morin, Lucien, "Education or the Violence of Justice," July, 1984 (Canada) 21. Neale, Kenneth and Normie, Gerald, "Strategies for Education within Prison Regimes: Comparative Approaches," July, 1984 (U.K.) 22. Report of a Working Party of the Northern Ireland Office, "Adult Basic Education in Prison Establishments in Northern Ireland," May, 1988 (N. Ireland) 23. Ripley, Paul, "Staff Development in Prison Education Departments," September, 1989, (U.K.) 24. Ross, Jacqueline, "Gender Studies and the Criminal Justice System - Implications for Prison Education," September, 1989 (U.S.A.) 25. Sedlak, Robert and Karcz, Stan, "Descriptive Study of Teaching Practices and Efficacy of Correctional Education," August, 1989 (U.S.A. 26. Semmens, R.A., "Program Strategies for Community Re: Integration of Prisoners," April 1989 (Australia) 27. Semmens, R.A., "Some Issues in Prison Education in Australia," September, 1989 (Australia) 28. Simon Fraser University, "University Prison Education in British Columbia," October, 1988 (Canada) 29. Suvaal, Robert, "Education in the Dutch Penal Institutions," September, 1989 (Holland) 30. Suvaal, Robert, "The Training Programme at the Experimental Day-Detention Centre in Rotterdam", September, 1989 (Netherlands) 31. Wolford, Bruce, "Correctional Staff Training in the United States: Delivery Systems for Specialized Groups," July, 1989 (USA) 32. Ziehart, Peter, "Education and Treatment," September, 1989 (Austria)

CREATIVITY IN PRISONS

Catherine Coakley, Education Unit, Cork Prison, Cork, Ireland (1) CREATIVITY IN PRISON

"There really is no such thing as Art. There are only artists. Once these were men who took coloured earth and roughed out the shape of a bison on the walls of a cave; to-day they buy their paints and design their posters for the Underground. They did many things in between. There is no harm in calling these activities art as long as we keep in mind that such a word may mean very different things in different times and places. And as long as we remember that Art with a capital A has no existence." 1

INTRODUCTION Creativity is the antithesis of imprisonment. Here is a system that tries to stifle creativity. Here is a place where all decisions are made for people, where there is great pressure to 'fit-in' and be the same because it is believed that there is great safety for everybody in conformity. In prison people are cut off from influences and stimulation. In this world, largely free from responsibilities, prisoners are encouraged to sit back and ' do their time'. Far from being encouraged to confront themselves in any way and come to terms with who they are, often prisoners will simplr see their sentence as a suspension of their 'real' lives and are content to drift along in this 'unreal' world of prison. Yet what is creativity if it isn't about making decisions, making choices, making a personal statement? It's about being open to stimuli and assimilating influences. It's about having enthusiasms, taking responsibility and taking risks. It is as Jimmy Boyle describes when he speaks of his work in sculpture, when he found a 'freedom of the mind, a sense of awareness and the pain that goes with it". 2 Within the prison system there are other kinds of prisons, like the one described in this poem: My prison is man made But the prison that's so painful Is the prison I have made for my soul. It closes around me at night. These walls are high too. They stretch up and all around Offering no escape to their weary prisoner. 3 Often the biggest obstacle to their own creativity are the prisoners themselves. In my experience prisoners are nothing if not resourceful and imaginative, whether in putting together a makeshift (21 radio or doing a painting or sculpture. But the prisoner who will be creative with wire and batteries may be the last person to attempt a painting or a poem. The preconceived ideas prisoners often have about what rear Art (with a capital A) should look like, will not allow them to lose face if, in their eyes, they fail to those preconceptions and paint a 'bad' picture or write a 'bad' poem. So one has to try to get beyond the barrier of the 'tough guy' image which prisoners often put between themselves and the world. Mountjoy is a very tough prison Where men cry at night with their tears. It's also a place for decisions The first being the sheding of tears. 4 Of course creative activity isn't like some antidote that

will allow a person who has previously been repressed, to suddenly I express their feelings and thus change. But it is possible for a person to maintain a hard man image and still write poems like those quoted above. So some kind of balance is achieved, and a process of self-awareness, however tentative, has begun.

A STRUCTURE FOR CREATIVITY Sometibes the fact that zreative activity may seem to be so much at odds with the rest of the prison, is its greatest attraction. Because then it offers at the very least an escape from that system, from the boredom, from the tension. Prisoners will come to an art class or a writing group for many different reasons. Why they come is not important. Simply,,they, are there and the possibilities are many. When I started working in Cork Prison there was no structure in the art class. Prisoners came to school each day and tried a bit of everything. So it" was necessary to create a structure because good art and good writing requires discipline and structure. But within this, there must be flexibility to allow for the many different needs of the pupils. Also, it was important to have an informal and non-threatening atmosphere. So the structure must be mostly invisible. To a large extent one could say that it's not possible to teach art or creative writing. I always think of teaching art as really teaching people how to see. Skills can be taught and they are vital. Art and writing are very much based on personal values which is one II reason why they are so difficult to define. With this in mind, (3) prisoners are encouraged to experiment and work at their own pace, keeping in mind that to produce anything worthwhile it takes hard work and thought and concentration. Each day is given over to one particular subject e.g. . on Monday - painting and drawing, on Tuesday - sculpture, on Wednesday - batik etc. If they concentrate for some time on one skill then they develop what could be called a 'visual vocablary' with which to express themselves. If they find they don't like it or are not good at one thing then they can try something else. Because lack of confidence is a big problem and since it is important to build up self-esteem, the learning of a skill will encourage and allow them to try more. Much emphasis is put on the process because that is where most of the learning takes place. But often for the prisoner the most important thing is the end product.Because a goal has been reached and the finished product is like a concrete statement which says 'I have achieved something' or 'I'm good at this'. Apart from all these more serious ideas it is important to remember that art is good fun, it's enjoyable, it can be exciting and it brings a lot of pleasure to people. It makes people happy.

TEAM-TEACHING Art, like politics, can mean different things to different people. Art can have a message, a political one, a social one. This was one of the many lessons learned from an experiment we did in team-teaching. A group of prisoners did a twelve week course in art and sociology, with a view to putting the information they learned at sociology into visual form in the art class. The subject of their course was pollution. The prisoners, armed as it were, with what they had learned from their course, had to set themselves a goal and set about reaching it. In this case the teacher was just a facilitator and technical advisor. Furthermore, they had a common goal and this required group co-operation and agreement. In a clever way the group came up with an idea which would allow them to work both as individuals and as members of a team. Tlieydecided to construct a life-size room from sheets of board, each board containing a window which depicted a different kind of pollution. Therefore each prisoner could express his own personal vision, knowing it was part of a collective statement. A recent report on Education in Prisons, prepared by the Select Committee of Experts on Education in Prison, states that (s 'As far as possible, the curriculum is worked out jointly between the students and teachers' 5 The fact that, in this instance, the students took so much responsibility for the project, no doubt contributed to its ultimate success. Team-teaching doesn't have to be confined to group work, which has many obvious benefits. And the advantages of the idea apply not just to the prisoners but the teachers also. It's an exciting way of working because it allows teachers to expand their areas and develop new ideas. Sometimes teachers feel they are working in isolation and the chance to work with one another offers support and reassurance. When different subjects are brought together and relate to one another, it puts education in a broader context and re-enforces an overall philosophy of education. In Cork Prison, most of the subject areas were brought together when 1 a whole week was devoted to the theme of Emigration, which is a growing problem in Ireland.

ART IN AND OUT OF PRISON In an interview on radio, when asked if he cared what people thought of his work in an exhibition, a prisoner said 'No, I don't really care what they think. I'm sure the public out there have us stereotyped, you know, as a bunch of guys just sitting back here getting fat...thinking about what's my next job when I get out,11 or crying, you know, self-pity, wallowing in self-pity...' Exhibitions of art from prisons remind the public that there are people in prison and that they are active and creative. And this is II a good arguement in their favour. However, many people outside prison have certain preconceptions about what art from prison will be like -. The media in particular, looks for the most sensational and emotional aspects of the work. Exhibitions give the students something to work for. If some work is sold, then there are financial rewards. But there is always the satisfaction of realising that other people are interested in and like their work. However, the traffic in and out of prison seems to be mostly one way and it is often easier to get artists and art into prison, rather than out of it. Many prisons in Ireland have an Arts Week each year when writers, artists, musicians and performers come to the prison. If people want to be artists or writers then it's 1 necessary to see good art and read good books. Cultural events may often provide a starting point or become a source of encouragement for prisoners to become involved in a creative process. There I (5) is no doubt too that the staging of plays and exhibitions in prison can only help to de-mistify these activities which often seem elitist and inaccessable to prisoners. The Irish Arts Council operates two schemes called the Writers-in-Prisons and the Artists-in-Prisons schemes. In these projects writers and artists come into the prisons to talk about their work or do specific work with the prisoners. When a prisoner meets an artist it turns art into a living thing. Coming into contact with artists' and writers' enthusiasms and their belief in what they do, can have a motivating effect on the students. And it must be said, on the teachers also, whose belief in what they are doing may be faltering after long years in prison. It's also a chance for teachers to learn more. For the prisoners who might wish to continue their work outside prison, then useful links have been made between them and people already working in these areas outside. (p.e.ecuse tutn to titan3c/cipt o4 Radio Intetview) CREATIVE WRITING IN PRISONS From 1985 - 1987 the English poet Ken Smith was Writer-in- Residence at Wormwood Scrubbs Prison. Of his work there he wrote: 'In any case the problem defined itself as trying to keep the imagination alive, where any stimulus to the starved prison self might be a starting point, where language was always charged and meaningful, mercilessly so, and where men somehow strived to tell their tales, and where my task was to encourage them to talk, to write, to remember, to think, to keep the mind alive. Because I believe in growth and the possibility of growth even amongst the dammed, and because I believe that writing is a progression of thinking out loud, I therefore worked on the principle that the men I worked with were seeking help in figuring out who they were, their crimes, how they came here, and considered that they in any case were their own starting points, and mine.' 6 Perhaps it is the belief in 'growth, and the possibility of growth' which bring us into prison and keep us working there. Compared with art and its many apparently intimidating processes and techniques, writing seems much more accessable to the prisoner. Who, even with the worst school experience behind the, hasn't come across some poem or part of a poem that remains with them? Consider this poem Tea's up half past ten once more This prison is a place where loneliness lurks (11 But we who work the kitchen, mop the floor Get tea each morning as our perk To keep us happy on our work!! 7 It's a simple poem, yet it expresses humour, sadness, irony and shows perception. It is a record of daily life. Apart from 1 trying to create literature, this function of recording life or recording the past is one of the main reasons for writing. Take a writer like Alexander Solzhenitsyn who wrote about prison. 1 One of his earliest books was One day in the life of Ivan Denisovich, II a technically perfect.novella. However, over the years and under the pressure of his prison experiences, he abandoned literary genres and wrote the Gulag Archipelago, a series which is pure memory and history rather than literature. Perhaps there is a lession here for writing in prisons. That we should be conscious of what has happened in the prisoners lives. We shouldn't be obsessed 1 with the creation of good literature. It is important that the prisoner records what has happened in the past because it is 1 usually the past which has put him behind bars. I'm reminded of another Russian writer, Irina Ratushinskaya, who wrote her poems 1 on toilet paper in an effort to preserve them, because there was nothing else to write on. The need to write is expressed in this poem 1 Poems like cancer Will not leave me. 1 They pain me Especially in the morning Begging for release. I cast my pen Into a resevoir of words. 1 Stagnant but deep. If only I could swim. 8 1 The need to write is the need to express. This illustrates the theraputic value of writing. People in prison love to write their 1 life stories, as if by writing them down, those lives take on a significance and a permenancy which they previously did not have. Sometimes this story is told in an long autobiography, sometimes 1 in a poem. Each prisoner must tell his tale, and poetry stirs the dreams and the ghosts." 9 1 ( 7) CONCLUSION "Every day is automatic but that doesn't mean your thinking is automatic. You don't think the same thing every time the door opens or is locked...so it's a negative atmosphere but you can make it I' I positive." 10 Creativity is essentially a positive thing. Although the motivation is often anger, hate, frustration, pain... The impulse to create is a positive one. In prison it is important to balance negative and positive experiences, otherwise life is distorted and bleak. Writing, or working on art, allows people to express themselves in a non-violent way, people who might previously have_expressed themselves aggressively. The report on Education in Prison states that 'At times, also, creativity can be misdirected in destructive or anti-Social ways and this has been the case for many who are in prison. '11. When one is involved in a creative process for some time, especially writing, then a pattern of attitudes appears, which is often quite revealing and helps people to learn more about is vital that people remain intellectually alive themselves.It and free from their different kinds of prisons. There is much that is creative in prison, in everybody, and we must look on this as a great sign of hope. Creative talent is like a muscle that needs constant exercise and the prisoner, like an athlete, must stay in training for the world outside.

End Catherine Coakley Cork Prison, Ireland.

Notes 1. from The Story of Art by E.M.Gombrich n . from A Sense of Freedom by Jimmy Boyle 3. from poem Walls by 0.P., prisoner in Cork Prison 4. from poem Mountjoy Prison, by D.O'C., prisoner in Cork Prison 5. from Report on Education in Prison, Strasbourg, July 1989(5.3) 6. from Inside Time by Ken Smith 7. from poem Passing Months by 0.P., prisoner in Cork Prison 8. from poem Poetry by J.L., prisoner in Cork Prison. 9. from Inside Time by Ken Smith 10. from Radio interview with prisoners in Cork Prison. 11. from Report on Education in Prison, Strasbourg., July 1989.(10.1) (1) INTERVIEW WITH TWO PRISONERS, JOHN AND RAY, IN CORK PRISON, AFTER AN EXHIBITION OF PRISON ART IN THE TRISKEL ARTS CENTRE, CORK.

Ray: I like painting. I like the feeling, you know, when you're by yourself, you know what I mean. You've got no problems, just the painting. That's the way I see it anyway.

And are there things here in Cork Prison that you can look around at and paint? Are there things that would inspire you?

Ray: I just work from magazines and posters. I wouldn't be into painting cell windows and doors. You see a lot of drawings of fellas painting their cells and things. I'm not into that at all, you know what I mean? You've got enough of that already. You're living with that, you know, so why paint it as well? So when you're painting you're getting something else.

What about you John?

John: Well, I don't paint. Well, I do paint but I don't paint very much. I don't like painting.

Well, what would you call your work? It's sculpture really isn't it?

John: If you want to call it sculpture you can call it sculpture. I don't know what it is.

But I mean, why did you do it?

John: Am... .1 can't think of an answer to that. I just did it for the buzz. It's kind of spontaneous, you know? It's just... I looked around the Art room after being in there for a few months. I was just sitting down and I saw a lump of wire and so I decided to shape out something with the wire and got gloves, garlening gloves, and cut out the wire and made a model you know? So it turned out to be sculpture, if you want to call it a sculpture. So it was spontaneous. Nothing planned. (2)1 But why did you go to the art class in the first place? Why not history or biology or...

John: I've done all that. I'm only in school really to get away from the system, you know, the prison system. 'Cos it's more relaxed and that's it.

Could you survive here if you didn't go to the school? Or to classes?

John: Yeah. No problem. No problem. But that's the only reason I'm in the school really.

Ray: It's a change from the yard. Most other people who're not 1 going to school are in the yard all day and just walking and playing handball or football....

John: ...or watching video, you know, watching T.V. That's the way it goes...

Ray: It's a drag isn't it?

Do you mind the fact though, that your day is set out. That you get up at a certain time and you get up at the same time every day? And you go to bed at the same time. You have your dinner at the same time... 1

Ray: If you get caught up in it, you know what I mean? It's just you don't get caught up in it, that's all.

John: It's automatic now, you know.

Ray: You just do different things.

John: You just switch on to it and switch off. 1

Ray: If you want to do it...say you want to get up... You all get up, you go to bed, you walk, you sit down, you're waiting for your dinner, you're waiting 'till after your dinner, you're waiting, you're waiting, you're waiting, you're waiting. You just do your own thing then. If you want (3) to do painting, you're in painting and that's it, you know what I mean? That takes you away. Sculpture takes you away you know what I mean...?

John: It doesn't take me away. I don't get any kick out of it. I don't get a kick out of very much stuff, you know. I do a lot of woodwork as well you know. That doesn't do anything for me either. But I just like the school over here you know 'cos I can come over here in the morning....

Ray: ...he's just a block of wood...

John: ...and I can have a class. I could have an english class you know. And I don't have to go into that class you know. I just tell the teacher I'll be hanging out in the art class this morning. And that'll be O.K. with him. And I'll go down to the art class and I'll just get a cup of tea together and have a conversation with someone, mainly teachers.

So this is your way of escaping if you like, from the life of prison?

John: Yeah, you could say I'm hiding out here, you know. Hiding out in the school, that's it.

Ray: I always end up drawing or I'd figure out something to do to pass the time. I'd always be doing something with my hands instead of just sitting back and reading books. I'd always figure out something, you know what I mean, matches or drawing or markers. I just do something to keep occupied anyway.

And do you find that, that's a relief from the environment here?

Ray: I do yeah. That's where I get my release anyway.

How would you describe the environment?

John: Pretty tense. (41 Ray: It's tense, yeah, it's very tense.

Well, the physical environment I mean, from an artist's eye for instance?

John: Artist's eye. I don't have an artist's eye so I can't answer that. I'll leave that one to Ray.

Ray: Well, I wouldn't call it an artist's eye but I just...I don't know... I just look at the walls, look at the yards... 1

They're grey aren't they?

Ray: Yeah, they're grey but.. .1 don't know. I don't see no darkness—like a lot of people...you see a lot of prison poems and they say darkness, it's grey, it's depressing, it's this and that...I don't see that you know what I mean? I'm just...happy the way I am.. .1 get's on. I can make it something, you know what I mean. You can walk in the yard...you're walking by yourself there some days and you've got the big walls. If you start thinking about it, like, you're only going to depress yourself, you're going to look... But you can think about it...you can go up and you can look down and you can think what's it look like now, you know what I mean, walking in the yard...

John: You can play a game as well. It's like one game, a long game. You smile you know, when a guy cracks a joke you know. That doesn't mean you're necessarily happy or that's a good joke you know. You just laugh, you know, it's just a game you know, you just get on with it. Every day at a time, like.

What do the other prisoners think of you because you're in the art class and because you have done some sculpture? 1

John: Am.. .1 don't know whay they think of me but some of them are saying...they're calling me...they're saying your stuff is very artistic you know. And I say..well...you know what I mean...I'm a modest guy like you know. (5) You're a modest guy or you don't care?

John: Well, a bit of both, you know. I really don't care but I try to be modest also.

How can you not care when you're told it's good and maybe deep down inside you know it's good?

John: I look at it this way right? No matter what I do, right, inside this prison, I'm going to be leaving all this behind me you know, because I'm going out you know? Because it's not going to be easy. I have to go back out there and start from zero, you know? I came into prison four years ago, you know, and I have to go back out now to nothing, you know. Well, a family of course but...nothing, like... financially wise. So I've to start from zero again.

So you think art is going to have nothing to do with your new life when you get out?

John: No, not until I get myself steady.

Has art helped you to live in prison?

John: Ah.. .no it hasn't.

Ray: Well, I'd be the opposite now 'cos I think it has . because when I came in first I was wild. I was only sixteen when I came in...

John: ...And I met him three years ago in Limerick prison, right? when he just came in and he was...a wildhead you know? And then he was into drawing the whole time, you know. He was always at that like. So he's into this.

Ray: So I reckon just...I don't know...by drawing and by... relaxinjrhile I was doing a painting, I, I just relaxed in myself. The tension went out of me. So instead of just fighting all the time or just messing or arguing, I just got cooler and cooler and just relaxed and just get on you know. ( 6 )1

Ray, will you take it with you to the outside world?

Ray: Yeah well, I've learned a big lesson from it anyway, because I'm able to relax over it, because if I.. .if I was feeling tension now inside in the cell or something, I'd do a bit of painting, I'd pick it up. That's it, you know what I mean? It'd go into the painting then, you know what I mean? And I'd relax and it'd come out of me and I'd be allright.

Do you get any sense of pride to think your work is on exhibition and that people are going to look at it and say it's good?

John: No I don't really care, you know, what they think. I'm sure like, the public out there have us stereotyped you know, as a bunch of guys just sitting back there, getting fat...

Ray: ...talking about robbing...

John: ....what's my next job when I get out or crying, you know, self-pity, wallowing in self-pity. There's not very much of that here you know....Like, every day is automatic but that doesn't mean your thinking is automatic, you know. You don't think the same things every time the door opens or is locked, you know. So it's a negative atmosphere but you can make it positive.

Broadcast on Irish radio in January, 1989.

NIF in Prison

The National Issues Forums: Promoting Learning and Developing Community in Prison James E. Coleman Education Supervisor Central Correctional Institution Macon, Georgia A. Donald Evans Department of Sociology Mercer University

Running head: DEVELOPING COMMUNITY IN PRISON NIF in Prison

Abstract This is a qualitative study that applied the

National Issues Forums (NIF) as a method for collaborative learning in a men's prison. From

May through September 1988 the authors used participant-observation, informal interviews and video-tapes with two small groups (N-14 and 13) of prison inmates during 20 two-hour sessions. The first group served as a pre-test for the second 10-week study. In the beginning there was intolerance, distrust, hostility and lit:eral shouting matches. In a matter of weeks group members began to collectively refer to each other as "family," "friends," who "trust" each other. Tolerance for opposing ideas emerged and democracy in the classroom became the norm. After discussing crime and problems of education in America at great length, inmates began to talk about the welfare of society at large in lieu of their own personal needs or complaints. While traditional education programs in prisons teach 1 1

NIF in Prison

3 academic essentials, our evidence indicates that 1 NIF effectively teaches tolerance for diversity, democratic behavior, and promotes the growth of 1 community and interpersonal trust.

1 1

1 1 1 1

1 NIF in Prison

4 The National Issues Forums: Promoting Learning and Developing Community in Prison In modern times, education has become the major "treatment" modality for state prisoners. Years ago, someone observed that we now ask education to do for us what we once askèd God to do. In truth, our strong faith in education has very long historical roots. From the morality-based education offered by the Quakers in the 1700s, to the high-tech, computer-as.sisted instruction found in many prisons today, educators have led the way in habilitation. It is important to realize that education for prison inmates traditionally has provided the kind of academic education that most prisoners missed during childhood. Along with vocational training, the greatest emphasis in recent times has been placed upon basic reading, math, and English skills while communication and interpersonal skills have received short shrift (Gaither, 1982). a NIF in Prison

5 1 This work, therefore, is our response to this 1 particular vacuum. In this paper we report on the use of small study circles (i.e., The National 1 Issues Forums (NIF]) to teach tolerance for diversity, democratic behavior, to promote trust and to develop Community in a hostile place. The 1 NIF approach is explained in the next section below. 1 To be more specific, the chief approach to prisoner education in America today is 1 individually prescribed instruction. Prisoners 1 are tested, specific deficiencies are identified, and modules of instruction are then assigned to 1 remediate certain academic weaknesses. In short, students progress at their own pace with only 1 occasional assistance from teachers who function 1 primarily as learning manaws (Fox, 1985). In most correctional education classrooms, 1 students sit as isolates at a study carrel and respond to programmed instructional materials. 1 Obviously, this method of learning provides few opportunities for social interaction with a

1 NIF in Prison

6 teacher or, for that matter, with other students. The passive role of the lone learner often results in boredom and inertia (Gummere, 1988). In addition to this segregative style of learning, the nature of the prison environment itself offers relatively few opportunities for inmate students to self—express and to emote in a positive way. In prison, one must always speak with care or else prepare to defend oneself verbally or possibly physically from some offended person who didn't particularly like what you just said. Furthermore, a careful person must never express strong feelings about an issue because in this environment strong feelings may be misread as weakness; cogency is often perceived as a challenge. Spatially speaking, an ,inmate's movement is significantly restricted. In addition, daily activity is extremely regimented and casual communication is strictly controlled by authoritarian caretakers. In a word, one's autonomy and liberty are limited; nearly every NIF in Prison

7 aspect of daily life is regulated. One negative consequence of this pervasive and strict control is retardation of both personal development and academic achievement (Goffman, 1961). Since learning involves an opportunity to speak, as well as listen to the responses of others, a supplementary program that goes beyond basic academic and vocational skills was needed at CCI. Such a program would have to offer not only opportunities for students to interact freely but would also need to give them some sense of power and control in their own lives. Ideally, a program was needed that would encourage prison students to examine their own values and beliefs and it should also provide a positive social environment where they might learn to more effectively communicate with others (Brookfield, 1986). After reviewing several programs that promoted interaction in the classroom we decided that the National Issues Forums (NIF) would help meet the overall educational needs of inmates at CCI. This new approach to prison education is NIF in Prison

8 described below. The National Issues Forums The NIF is a learning network used by churches, libraries, prisons, and colleges, as well as groups of private citizens. The forums are designed to help people become more informed about today's public policy issues, to identify essential issues, and to explore commonalties that are held on topics of national concern, topics like crime and education (Matthews, 1985). Specifically, NIF is a participant-centered study group modeled after Swedish study « circles (Oliver, 1987). Study circles are small groups of friends, co-workers, and neighbors who meet for in-depth discussions on current social issues in a democratic way that facilitates the expression of choice, the exchange of vies, the display of leadership, and the exercise of political savvy. In these small groups of 5 to 12 people, timely and pressing issues are thoroughly dissected through an intense process of analysis and critical thinking in order to fully unveil NIF in Prison

9 almost every possible facet of an issue--both pros and cons. This is an effective dialectical process that heightens awareness of important issues and teaches cooperation, participation, respect for opposing viewpoints, and inevitably 1 brings into sharp focus a litany of possible 1 solutions (Oliver, 1987). In the free world, the official NIF organization pinpoints three issues of public concern each fall, and provides to-the-point, "non-biased booklets" that effectively explain the salient details related to these issues. In effect, NIF provides a conduit by which a study group's viewpoints can be made known to local, state and national policy makers (National Issues Forums Leadership Handbook). 1 Would this approach woii.k in a prison? Would small groups of men meet on a volunteer basis to discuss and debate topics of national concern? Would they read the booklets, magazines, and newspapers before each assembly? In the next section of this paper we describe the physical and NIF in Prison

1 0 social world where our experiment would occur. Central Correctional Institution CCI is an adult male prison operated by the Georgia Department of Corrections. The prison, located in Macon, Georgia, 85 miles south of Atlanta, is a modern facility that was built in 1978. Although it is a close-security prison that houses 540 felons (on 12/88) and officially emphasizes custody, the physical lay-out of the institution more closely resembles a college campus than a prison. A wide range of educational programming is available at CCI. There are academic programs designed to meet the overall academic/vocational needs of the inmate population. For exaMple, adult basic, remedial reading, and GED preparation courses are offered (as mentioned earlier) through a highly individualized curriculum. Students are assigned to academic programs on the basis of the competency levels measured on standardized tests. This approach is meant to allow inmates to enter a program and to progress at their own speed. NIF in Prison

11 Another program at CCI is vocational training which is provided by a local vocational and technical school. These classes are held on the institutional grounds, and include courses in plumbing, brickmasonry, carpentry, electrical wiring, and horticulture. Courses in this program are primarily designed to provide job related skills and to prepare inmates for even more advanced training following their release from prison. Finally, two local schools in the community provide post-secondary college classes at CCI. A private Baptist-affiliated school, Mercer University, offers a four-year program that leads to a baccalaureate degree in Human Services. The second school, a proprietary business college offers courses toward an asspciate degree. The major focus of this program is the development of specific skills needed for organizing and managing a business. • NIF in Prison

12 NIF: A New Way of Learning In the summer of 1988 we established two NIF groups at CCI. The first group was composed of 14 inmate volunteers chosen from the general population, the Education Supervisor who served as facilitator, and (eventually) a Sociology professor who teaches in Mercer University's prison college program. The first issue we studied was "Crime: What We Fear, What Can Be Done." For 12 weeks the average length of all 10 sessions held was 2 hours long. For our research this first group actually served as a practice study. Later, a second group was formed with an inmate serving as facilitator. His responsibilities were to encourage individual participation, keep discussj.ons directed toward the topic at hand, and take notes for reference. The second study group was composed of eight men from the first group, five new volunteers, plus both authors who assumed the role of participant—observers. The new topic studied by 1 1 1 NIF in Prison

13 our second group was titled, "Priorities For Our 1 Nation's Schools." There were ten 2-hour sessions that continued over a 14-week period. 1 Our study of learning and group dynamics is a qualitative one. We made written notes on the 1 social interaction and dynamics of each session. • 1 Another successful technique used was informal interviews of inmate participants. Finally, and 1 perhaps best of all, our NIF participants held a "rap session" about their recent study-circle experiences, and these discussions were 1 video-taped. Afterward, the tapes were transcribed and analyzed. We now turn to the 1 place of study, that is, the setting where we worked. 1 The Anguish of a Incarceration In prison, physical mobility is restricted 1 and opportunities for candid self-expression are infrequent. In the words of Sykes (1958) 1 prisoners experience the "pains of imprisonment" (p. 63), that is, the loss of liberty, the loss of 1 1 NIF in Prison

14 goods and services, the loss of heterosexual relationships, the loss of autonomy, and the loss of security. In this desolate environment, our NIF study circle provided a safe social setting where individuals could actually show genuine feelings. In these volunteer groups prisoners discovered that they could sincerely discuss issues that affected their lives. To put it another way, the study circle provided a-chance to speak one's mind, to have an honest opinion, and to talk without fear of retaliation. The NIF sessions soon became sanctuaries of selfhood and cognitive freedom. One articulate inmate said it well: Being in prison is being told when to eat, to sleep, when to go to rec call [i.e., recreation call]....Up,here (in the study circle], we're autonomous, man. We are a group, we're friends, we talk. I can be real and if I care about something, I can talk about it. NIF 'in Prison

Not only are thoughts, talk, and emotions generally held tight at CCI, but prisoners are also afforded little space for physical movement. A 500—man prison sitting on 4 acres of land epitomizes Collins' notion of "high social density" (1985, p. 73) where the pressure of the group upon the individual is strong. Prison time is always long, but leisure time is all too brief. Hard choices, therefore, had to be made by group members about the allocation of their precious leisure time. Ah...movement is very restricted here in the camp. We have...our recreation period which is really important, but most of us give up our recreation time and free time in order to come to the NIF meetings. Why would prisoners give up free time to discuss something as abstract and macroscopic as national issues? They came to the NIF meetings because a new way of learning and a new freedom was discovered. In these small circles men found a social setting where they could learn, think, NIF in Prison

16 debate and commune with one another in a pro—social way. In the next section, we discuss at greater length these new freedoms that emerged in our study circles. Freedom: Social and Mental It turns out that the democratic study circle provided, among other things, one of the few opportunities for a person to temporarily escape the absolute authority of the.. prison administration in a positive way. The small group of volunteers not only provided a platform for self—expression, but it also created a social climate that permitted a constructive exchange of ideas. When information was dialectically given and received without fear of retaliati .on, real enthusiasm was gradually fostered. As learners (and teachers), the participants became highly animated and energized. One man explained both the pleasure of and the hunger for social and mental freedom he found in the study circle. For us, we have very few opportunities within the prison scheme of things, to be able to NIF in Prison

17 sit at a table like this and exchange intellectually and democratically...there's no other time of our 24-hour day we have an a opportunity to do that. To really understand, you'd have to walk 1 out this door with us and see sometimes. We're told, 'Time is up,' and 'It's time to leave,' [the study circle] and [ you should] see us out there...ah...trying to squeeze out another 5 or 10 minutes listening to...ah...'you know, that was a good point you brought up. I never heard that point brought up in such a way.' [ We'll try to] spend another 5 or 10 minutes, [without] being run-in, you know. [And a guard says,] 'It's time to go in, it's time,' and...watching us walkt away [in different directions] because one of us lives in this building and one [in another building]....and (we're] talking and...ah...spread apart and yelling and our voices rising just so we can (continue talking]...because we're trying to NIF in Prison

18 squeeze every moment out of what we're doing because our adrenaline is flowing. We're going, we're excited about it, we have learned something. You know, I felt like, see, if every day could be a learning experience...and, to learn from someone else...and because of the wide variety of people you have here, the wide backgrounds that you have, you learn a lot of things that were never...you know, never brouelt to your attention before, that you've never been exposed to. In his own words he notes how collaborative work with others (in lieu of traditional lectures) produces learning and also dulls some of the pain of prison life. There is no brighter picture of the great pleasure that learning brings than this one. It is learning, he observed, from a cosmopolitan group of very diverse backgrounds and cognitive resources. But things were not so bright in the beginning as we point out in the next section. NIF in Prison

The Evolution of Freedom and Cohesion The democratic nature of our study circle was not present from the beginning. Initially, there was little respect or tolerance for the ideas of first, most group members focused on others. At • 1 the differences of others rather than on the commonalities. But time and talk would turn this -- around and one articulate man described this radical transformation: [Don] should have been here for some of our first meetings....We had personal slurs. Man! We had infighting! The whole macho, ego thing, the competition for time on the table. Absolutely no democracy....But we've gotten closer....We've learned things and now, we've all become...pretty tight. We've seen a lot of changes up here. After a short period of anarchy, displays of egoism, and distrust, group members then began to identify with each other and to collectively construct issues, solutions, and definitions of NIF in Prison

20 reality. Trusting relationships evolved and increased tolerance for differing views slowly emerged. During this transformation we observed a complete validation of Homans' theorem that says the more people interact, the greater is the probability that they will become friends (1950). At CCI some men began to talk in a language rarely heard in prison. This group...has evolved into...a trusting relationship, between each other, which was not present in the very beginning...and that's what's different; that's what's different in the rest of our life in this prison system...is trust. When you're...down there in the dorm, there is no trust. We've learned that trust is important...ah...in everything, in every.. c facet of life. When people talk at length, they can hear and see the inner self of the other. As these group members disclosed their own views and positions on a topic, personal needs and longings would often surface. Through social discourse, the group NIF in Prison

21 slowly became a trusting unit. It seems that whenever people, even convicted felons, talk long enough, humanity emerges because talk is the hallmark of that humanity. This verbal exchange of views is clearly the principal means for achieving high levels of intersubjectivity. Knowledge, trust, and friendships were born in these extended talkathons: There are several conducive settings for i meeting people. And friendships, or trust, l or relationships develop based on knowing a little more about each other and this is where trust evolves from. So any of these fellows here on...back in the dorm, or on the yard, can know assuredly now that they can say about anything they want to...to any of the other guys in berg without any fears whatsoever. It's because we have this 1 relationship, we have this friendship, whatever you want to call it. We have this trust...ahhh:...and it's an intellectual meeting. NIF in Prison

22 Typically, prisoners are sequestered from the larger society and like many other incarcerated people, our men harbored strong feelings of alienation. Rejected, convicted, stigmatized, and segregated--their sense of loss and disconnectedness was great. What could improve these negative effects? A collection of individuals communicating with one another over a considerable span of time and discovering that they had some intermutual values that governed their positions on national issues might remedy this. After several long talks NIF members actually began to express a strong concern about national policy issues. Intelligent conversations about the greater good seemed to minimize some of the effects of confinement by creating a link to real problems and issues facing ordinary citizens in the outside world. To put it another way, our participants discovered a way to transcend their own confinement and alienation by physically and mentally banding together in the NIF study circle. NIF in Prison

23 Here, the mind was free from the imposed constraints of the main population; new roles were assumed, responsible roles, roles that allowed disenfranchised men an opportunity to grapple with national issues, to become participants with society—at—large. Through NIF participation individuals became part of the whole again. Under the NIF umbrella, they could inject themselves into significant matters that touched their country, their towns, their families. One man explained how the sessions helped individuals look beyond their own being: We want to be involved in what's happening outside of the walls. It affects everybody around us. It affects our families and everything, and that's the most important thing, that we know wilat's affecting us even though we're not out there in mainstream society right now. But it will affect us when we get out and....we have to play--society has to play a part...with us in order to give us a chance to come [back] into NIF in Prison

24 society when we leave these walls...smoothly, and not have a radical or a vengeful outlook. We came here [to the study circle] and we speak about the issues that are affecting us personally--it's not a personal thing--it's an interpersonal thing that were dealing with. Issues that involve, not only, just us, in here, but everyone, all over the world. I mean...education...health, and — crime...whatever you can think of, whatever issue that comes into hand, or whatever issue that would come into your mind--we deal with it here, see? In these social encounters the welfare of the group took precedence over the mere individual. Talk and thought focused upon the whole, something quite contrary to usual talk and thought found in a prison. Democracy and Adult Learning The format of the small study circle has made a strong statement about how adults learn. First, it was important to them to be in a structured, NIF in Prison

25 yet highly flexible learning environment. Secondly, the interdisciplinary nature of the study-circle approach was identified as something that contributed significantly to the learning process. The group was able to draw from all areas of academic study rather than being limited to a single discipline. They appreciated an opportunity to participate actively, sincerely, and freely. Again, the egalitarian character of the study-circle approach was praised. With the study circle, we have a democratic...ah...one-on-one exchange....ah...everyone gets to participate, everyone! Whenever they feel they have.. .an idea or point, they want to make, the format is flexible enough to allow you to be able to maket that contribution; whereas in a...college class it's an instructional thing where basically you have...ah...a bunch of students who occasionally raise their hand, but basically it's a lecturer who's an authority talking NIF in Prison

down to you. By coming together [in a study circle] like this, we are furthering our education! Now, it may drift from Sociology to Psychology; it may interrelate different subjects--whereas, in most traditional college courses you are focused on one subject and that's it! In a college class we only hit upon one subject. When we deal with this National Issues Forums, we deal on a broad national basis of the issues that are affecting us and everybody else around us....that's the most important thing. Thesis, Antithesis, Synthesis: Finding Common Ground Part of the magic of small study circles is the topics that are read and discussed. Topics like Crime and Education are macroscopic, timely, and extremely relevant. These two particular issues dominate daily news stories. By reading and learning and then intelligently debating solutions to these important societal problems, 1 1 1 NIF in Prison 1 27 our inmates psychologically joined 1 America-at-large. The "petty-ass" talk of the pod (dormitory) was transcended, replaced altogether 1 by very stimulating "talk" found in the NIF 1 sessions. In this circumstance a member felt useful, felt like a normal contributing citizen of 1 society. Again, group discussions of common problems combated alienation and promoted 1 integration. 1 This place [CCI] is so isolated that before [National] Issues Forums, a lot of these guys 1 in this room, I wouldn't have a conversation with because I didn't feel there was any 1 common ground to have a conversation about and I didn't choose to talk about petty-ass stuff going on in this institution. 1 I'm not so sure. 4 .I'm not so sure that it's the topic, itself, that is really the 1 most important thing. I think that we could 1 get together around the National Issues Forums...ah...topics, but I think what's 1 really, or what seems to me to [bel one of 1 1 NIF in Prison

28 the things that's really happening s here, is the group dynamics...ah...that we are learning to exchange, to be courteous to one another, to be democratic, to...ah...have an exchange of ideas, and be able to differ with one another without getting into a fist fight. Coming through prison, you know what to expect. You go to prison, you're violent. You don't put up with anybody treading on your space, you hit them in the nose if that's the case--and we are learning to communicate! In these study circles men replaced physical encounters with verbal ones. Eventually, a social situation evolved where one could speak freely, openly, frankly, and without fear of physical reprisal. Communication is essential to community. The successful conveyance of a participant's ideas required not only the adoption of appropriate listening skills, but the administration of respect and tolerance as well. The interchange of NIF in Prison

29 diverse thoughts and ideas resulted in increased levels of understanding, mutual respect, and personal growth. Conclusion At CCI the NIF format promoted analytical and critical thinking skills not generally emphasized • 1 in a core basic education curriculum. There also emerged a significant development of respect for and tolerance of diverse positions and viewpoints set forth by other discussants. Such social, civil, and cognitive skills are, of course, prerequisites for many jobs on the outside. Inmate participation in NIF study groups seems to have potential for yielding immeasurable benefits, not only for the individual, but for society as well. At the very least, consciousness of issues was raised, camaraderie and friendships were developed, and some narrow—mindedness was abandoned. In our small study circle every inmate became a student and a teacher. In this unusual setting they really exercised independent thinking and talking. The result of this experience was a NIF in Prison

30 reduction of feelings of inadequacy, alienation, powerlessness, and the enhancement of self-worth. Most free-society citizens enjoy democracy. "Most," however, excludes prisoners. Prison inmates constitute the most disenfranchised of all groups in America. It would seem, therefore, that it would be advantageous to all concerned if we could nurture and develop in them a sense that they too, still have a vital stake in American society. We believe we have found strong evidence that participation in NIF study circles can put many inmates in touch with the free world and simultaneously reduce ubiquitous alienation found in most prisons. By creating community, combating idleness, isolation, and mental decay, some of the negative effects of institutionalization can be minimized. We do not claim that participation in the NIF has any effect on criminal behavior per se, but we do claim that much useful learning took place, that trust, tolerance, respect, and friendships grew and developed during these sessions. Will they last? Only longitudinal NIF in Prison

31 observations of our people can tell.

t NIF in Prison

32 References Brookfield, S. D. (1986). Understanding and facilitating adult learning. San Francisco: Jossey-Bass, Inc. Collins, R. (1985). Sociology of marriage and family: Gender, love and property. Chicago: Nelson Hall. Fox, V. (1985). Introduction to corrections (3rd. Ed.). Englewood Cliffs, NJ: Prentice Hall, Inc. Gaither, C. C. (1982). Education behind bars: An overview. The Journal of Correctional Education, 33, 9-23. Goffman, E. (1961). Asylums: Essays on the social situation of mental patients and other inmates. Garden City, NY: Anchor Books Doubleday and Company, Inc. Homans, G. (1950). The human group. New York: Harcourt Brace. Matthews, D. (1985). The Domestic Policy Association: A test of public communication. Association for Communication Administration 1

NIF in Prison

33 Bulletin, January, 75-78. National issues forums leadership handbook. Oliver, L. P. (1987). Study circleé. Cabin John, MD: Seven Locks Press. Sykes, G. M. (1958). The society of captives: A study of maximum security prisons. Princeton, NJ: Princeton University Press.

1 NIF in Prison

Author Notes We wish to thank our students at Central Correctional Institution for their participation and their trust in the integrity of our study. We also wish to extend our thanks to Jack

Stahlkuppe, whose tireless devotion beneath the screen of an Apple Ile assisted us through untold drafts of this paper. A. Donald Evans is an associate professor of Sociology at Mercer University in Macon, Georgia where he has taught corrections for 18 years. He received both an MA and a PhD in Sociology from Louisiana State University and later conducted research in Mexican prisons. He has conducted several studies of prison inmate culture, deaf children in residential schools and four different tribes of American Indians. He has published in all of these fields and presently is co-author of a book manuscript about underground economic life of a prison. j -

EDUCATION FOR EX-OFFENDERS

1. INTRODUCTION

1.1 In creating and supporting the development of an Education for Ex-Offenders Unit within the Continuing Education Service Leeds City Council has established a unit which perhaps is unique in the United Kingdom.

2. Lawbreaking is not of course restricted to any one sex, race, class or age group, etc. Educationalists in the community will, laiowingly or otherwise, meet offenders/ex-offenders everywhere. However, work specifically designed to meet the needs of ex-offenders wàs initiated by Leeds Continuing Education Service, in conjunction with West Yorkshire Probation Service in Autumn 1981.

3. The rationale for initiating that work included:-

Beliefs - about the value of all individuals and their rights to appropriate education/training resources.

Experience - of the positive role of education in widening choices, enabling potential and changing lives.

Recoeition - that the accumulation of negative experiences faced by many offenders

a) made it unlikely that they would feel able to make use of existing provision.

h) led to the waste of their many abilities and potential contribution to society; and the repetition of disadvantage throu,gh the family cycles.

Concern - to identify and respond to the spebial and unrecognised learning needs of this group in accordance with the emerging priorities of the Service.

14. Target Group

4.1 It is important at this point to emphasize that within the unit there has never been (nor could be) any exclusive focus on the offender/ex-offender. Nor wa-s it appropriate or desirable simply to look at the education issues around offending behaviour. In educational terms it made no sense to distinguish the offender from a constituency of people who often shared a whole gamut of negative experiences which often isolate them from others and create very distinct special learning needs:

- long term unemployment and poverty; having to survive on benefits

- poor and often fragmented experiences of education with qualifications incomplete

- rootlessness - living in hostels/bedsits, not part of any community often moving round the country gravitating to the City Centre in the daytime

- relationships - often ephemeral - little good experience of friends or family

- "in trouble with the law", or at risk 1■■ 2

- other problems - mental health, addiction, institutionalisation, physical disability

4.2 There are positive assets too, often ignored, which make it so important that opporttnities are provided:

- skills of all kinds and adaptability

- creativity, imagination and artistic talent

- humour, generosity, insight and resilience

5. Explicit Aims/Objectives

5.1 To provide appropriate access routes (guidance, counselling, information, support, advocacy, etc ) to existing mainstream and community based opportunities for education and training.

5.2 To make special provision in the City Centre where required in addition to or separate from existing opportunities. 5.3 Implici t Aims/Objectives 1 To explore the possibilities, the learning gained and the effectiveness of working closely with other caring agencies - especially with thé Probation Service.

5.4 To heighten educationalists' awareness of the issues around this non- traditional work.

5.5 To promote the work and lobby for resources.

6. Style of Work

- developmental and innovative

- perceptive and responsive

consultative and negotiated

- "collaboi-ative and non-compartmentalised

, - student-centred and needs led

7. The Unit has developed in four major directions so far, all based in "Oxford Place Education Centre":

7. 1 "The Basemen t" - special provision: an informal drop-in learning centre with a wide range of opportunities, not excluding educational guidance.

7.2 "Bridging the Gap" - (its name follows the report written for the Home Office by the National Association for the Care and Resettle- ment of Offenders) - provides educational guidance, information and support service to offenders inside prison and outside on their i release 3 -

7.3 "Outreach" - taking educational processes: provision and/or educational guidance and support into other settings acceptable to the target group, eg. in hostels and day centres.

7.4 Collaboration/Promotion - a wide variety of initiatives and active relationships developed:

a) to create, widen'or sustain the network of oppor tuni ties .

h) to validate the place of education in working with this client group. - 4 -

"THE BASEMENT" OXFORD PLACE EDUCATION CENTRE

8. History and Structure

"The Basement" was the first of the joint Education Department/Probation Service initiatives, following a successful pilot project within an inner city Probation Day Centre.

"The Basement" can most easily be described as an educational day centre. It is situated in the basement of Oxford Place Chapel next to the Leeds Crown Courts, staffed by part-time teachers and a full-time Co-ordinator and Deputy Co-ordinator. There is a full-time Probation Service Assistant, who is a member of the Central Resources Team of Leeds Probation Division of West Yorkshire Probation Service. The Senior Probation Officer of the Central Resources Team is in regular contact, provides supervision, and attends Basement team meetings. The Centre is jointly funded by Leeds Education Department and the Probation Service. (Management structure and funding information at Appendix A and B).

9. Student Body and Specific Learning Needs

The life experience of Basement students is likely to include many of the elements described at 4. As a result they may:

- suffer loss of confidence and low self image

- seem apathetic, bored, uniable to articulate choice

- expect feilure and fear new opportunities

- feel thembelves to be the victim of circumstances, with no control of their lives

- lack interpersonal skills

- not see themselves as learners ( and indeed feel alienated from everything they understand as "education")

These feelings and self perceptions constitute a barrier to conventional teaching methods and matter, and are themselves a hidden curriculum to be addressed. Whilst they may sometimes be formally identified as "objects for study" it would be more usual for other subject material to function as a contextual framework in which such social education and fouidation learning can take place.

Other learning needs are well identified in "Adult Unemployment and the Curriculum" FEU 1985, and many recent publications about the "Adult Basic Education" s tud en t.

10. Aims - Objectives

10. 1 In this con text the Basemen t aims to provide:

- information to all who drop in to the Basement on appropriate education and training opportunities

- comselling and guidance to ensure Basement-student progression

- support to students also engaged in education/training elsewhere

- special provision as described in 11 and 12 below -5-

10.2 In terms of its own provision, the Basement aims:

- to provide a safe environment

- to foster confidence, self worth and empowerment

- to ensure that students can take responsibility for their own learning

- to enable co-operative relationships

- to offer listening and caring

- to provide legitimate opportunities for fun and enjoyment

- to widen choices and so promote change

- to provide a wide range of opporttnities for learning, relevant to students' lives and using students' experience (skills knowledge, attitudes, behaviour).

- to promote equal opportmities

- to provide opportunities for achievement

- to enable a good learning experience on which students can build

11. Learning Programme

The current timetable is attached.

Learning also takes place via:

a) One to one - counselling, assessment, negotiation etc.

b) Educational visi ts

c) Residential experiences: cg, Northern College (3 groups this year) (mostly based round Basic Skills learning) Countryside residentials which focus on social and environmental learning in 1989 • A women's group in Horton-in-Ribblesdale • A first-time residential group at Bretton in the Peak District • An exoerienced group at Bakewell • A four-day hostel-to-hostel group in the Peak District.

d) Project weeks, one day workshops, "theme" weéks, eg, anti-racist week, health week.

e) The Centre meetings , student committee and coffee bar involvement.

f) Social events jointly organised by staff and students.

12. The Basement also offers educational advice and encouragement to people who wiah to move on and look for other classes in the community, or for other ways of occupying their time. The Basement works with people of widely differing abilities and responds to referrals from people who have a sudden - 6 -

desire to make better use of their time. Normal Further Education institutions have a formal atmosphere and tend t,o have set enrolment dates, but in the Basement people who are not sure of what they would like to do, can sample the various classes, or sit on the sidelines for a little while, and watch tritil they feel confident enough to participate.

13. Evaluation

The work of the Basement is evaluated from a variety of perspectives:

- by the students themsèlves. As with all basic education student-centred work, students' perceptions of their own progress towards their °WTI goals is of major importance.

- by the staff - in measuring achievement of objectives and personal performance.

- by the agencies involved in identifying the contribution the Basement makes to work with clients (for the Probation Serviceextending the take- up and the understanding of work with this client group (for the Education Depar tmen t) .

14. Take- up and Comment

Attendance is not exclusively from people lalowin to the Probation Service, and the Centre is not approved for use as part of a Probation Order. Having said that, the Basement's activities are geared to dealing with Probation clients, and a substantial number of the users are made up of people known to the Service. The skills of staff and the emphasis on learning has made it possible to cope with a number of very demanding and difficult clients of the Probation Service who would have found it very difficult to engage in constructive activities elsewhere.

Statistical information follows. (See Appendix C)

Mil MI am imp es or MI MS Urn MIS IOU let Ile

APPENDIX A Senior Management

Co-ordinator Education Ex-Offenders [SL]

BASEMENT BRIDGING THE GAP OUTREACH NETWORK AND PROMOTION f

Deputy Co-ordinator EL] Education Guidance Worker [L] P/T teachers This represents other (responsible for daily responsibilities management etc) P/T Education Guidance Worker P/T Educational initiated or undertaken Guidance Workers by Co-ordinator Administrative/Clerical P/T Admin/Clerical Assistant Assistant (P/T) P/T Outreach Support 1 Volunteer Worker Probation Service Assistant* P/T Clerical Assistant 1 Assistant Lecturer (responsible for special work with RSA Continuing Certificate of Education)

10 P/T Teachers

Volunteers and Placements •

All based on premises in the semi-basement of Oxford Place Chapel.

Notes

* This Probation Worker is responsible to the Basement on a day to day basis. APPENDIX B

FUNDING

Probation Service Education Department Basement Coffee Bar

1 FIT Probation 3 F/T salary and oncosts £500+ per annum Service Assistant for other "extra 1 AL mural" eventb.' Rental of Premises P/T teaching budget approx Upkeep £60,000

Cleaning ) of 2 Admin/Clerical ) premises Electüicity ) Rent and upkeep of Bridging the Gap Telephone premises

Sundry other Materials/equipment Contributions etc £5,500

Chari ties

£1,705 in 1989 for residentials IS MI !It 1011111 1111111 ell/ VII» Olt MI MI lilt 11118 me nu uot

APPENDIX C BASEMENT STATISTICS 1 SEPTEMBER 1987 -----> 31 JULY 1988

SEPTEMBER TO JANUARY TO APRIL TO WHOLE YEAR DECEMBER '87 MARCH '88 JULY '88

(1) Number of individuals recorded as attending 144 - 167 140 264

Number of new stud en ts 56 75 56 187

Number of students attending one class or more 45 51 40 88 regularly (2) (10F/41M) (9F/31M)

Average number of classes attended regularly not 3.1 3.4 by these students (minimum/maximum) available (1 - 10) (1 - 12)

New students who achieved regular attendance 7 15 8 27

Previous occasional students now attending not 7 regularly available

Total number of class attendances 2424 1939 1687 6050 Student hours 4848 3878 3374 igloo

Average weekly attendance Monday ---> Thursday (3) 173 176 --

(4) Average class attendance (minimum/maximum) 7 7.3 6.5 6.9

(2 - 12) (2 - 13) (2 - 15)

(5) Males not 140 113 Females available 23 27

AGE RANGE RECORDED IN A TYPICAL WEEK'S SURVEY 1987 (1988 NOT YET AVAILABLE) STUDENTS' BACKGROUND IN TERMS OF OFFENDING, HOMELESSNESS, HAVING PROBATION OFFICER/SOCIAL Age Range WORKER ETC

16 - 21 25% Numbers acknowledging Probation Officer (past or present) 50% 21 - 30 42% Numbers acknowledging Social Worker 9% 30- 45 20% Numbers from Detox, Prison, Addiction 45 - 60 13% Unit, NACRO etc 7%

Number known to be on the circuit (ie, living in hostel using day centres etc) 11%

77%

Mg Mk MD MN INN 1111111 Mk IN Mlle MI 11111111 Sall MI IMO MI 1111111$ asp um NOTES TO BASEMENT STATISTICS

1. These are all minimum numbers. Perhaps a further 10% are unaccounted for as it may be threatening, and inappropriate in the drop-in situation to take newcomer's name.

2. Regular attendance means five or more attendances within a 10 week period.

3. Weekly figures not provided for summer term since these are distorted by day visits, residentials, project weeks which are registered on a different basis.

4. It is a feature of all group work with these students that it is not possible to work with large numbers. A large group one day often leads to smaller numbers the next day, or on the next session. Students may feel threatened or neglected or can become disruptive. Compare with group size in mental health institutions.

5. Welcome increase in the proportion of women attenders is partly due to creche access made possible by grant from Women's Committee. I

I T.I.E. AND THE OHIO PLAN: BLUEPRINT FOR SUCCESS

Susan S. Davis, Ph.D. Deputy Warden--Training, Industry, Education Ross Correctional Institution Chillicothe, Ohio, U.S.A.

Prepared for Second International Conference on Prison Education 1989 Wadham College, Oxford, United Kingdom • mu T.I.E. and The Ohio Plan: Blueprint for Success 1 by Susan S. Davis, Ph.D.

Deputy Warden--Training, Industry, Education Ross Correctional Institution Chillicothe, Ohio, U.S.A.

The Ohio Plan for Productive Prisons has provided a clear policy

direction for extending and defining the mission of confining adult

offenders in safe, secure, humane institutions. Faced with the problems

of a rising population and inmate idleness, Ohio has responded by develop-

ing The Ohio Plan into a blueprint for combining basic components of train-

ing, work, and education into a systematic approach to benefit both inmates

and the institutions.

The programs to be described offer innovative approaches to the

T.I.E. (training, industry, education) concept. Each is designed to in-

crease participation in treatment programs; generate meaningful, productive

work through purposeful job assignments; and enhance employment skills

through directed personal career programming, thereby bettering offenders'

chances for success upon release. Highlighted T.I.E. programs include:

adult literacy, Outpost, the vocational-industrial Learning Center, high

school options, internships for inmate college students, and pre-release.

These programs may be operated on a low budget and in various institutional

settings. T.I.E. AND THE OHIO PLAN: BLUEPRINT FOR SUCCESS by

Susan S. Davis, Ph.D.

Former U.S. Supreme Court Chief Justice Warren Burger has vigorously and persistently called for reform of American correctional philosophy, which would transform "human warehouses" into "factories and schools with fences," whose goal would be to provide education, skills, and work experience necessary to enable inmates to secure and retain employment upon release.

He has further challenged the correctional system to assume a "role beyond incapacitation." The source of his ideas may be traced back more than a century to the first National Prison Congress convened at Cincinnati, Ohio, in 1870, when U.S. prison leaders drafted a Declaration of Principles to

usher prison reform into the twentieth century. Productive work and

training were integral parts of the Declaration's foundation. To effect

this systemic change requires a very close, virtually symbiotic, relation-

ship among prison industries, vocational and academic programs. Until

recently, such cooperation has been rare.

The T.I.E. (Training, Industry, Education) concept received formal

recognition in 1985, when a T.I.E. Conference was held in Chicago,

Illinois. The conference, co-sponsored by correctional education and

industry associations, provided the first national forum for academic

and vocational educators and prison industry staff to jointly examine

obstacles to closer cooperation, develop strategies for overcoming these

obstacles, and formulate common goals and partnerships. The dialogues

gave rise to a movement which is gaining momentum steadily in America's

federal and state correctional systems. The Ohio Department of Rehabilitation and Correction (ODRC) embraced the T.I.E. concept in 1986. Faced with severe overcrowding, aging institutions, an ambitious prison construction schedule, and the need for more effective, structured programming, Director Richard P. Seiter developed a concept paper which, by January 1987, had evolved into The

Ohio Plan for Productive Prisons. The Ohio Plan implemented a new approach to inmate training, work, and education and redefined the ODRC's mission to confine adult offenders in safe, secure, humane institutions and to provide a productive, work-oriented environment.

The Ohio Plan goals have two T.I.E. focuses: (1) Emphasis is on work assignments linked to training and education. Inmates will be more active, idleness will be reduced, and directed personal career programming will be better directed. Meaningful work.programs contribute to a safer, better controlled, positive prison environment and improve the efficiency of institutional operations. (2) Inmates will acquire employment skills and positive work habits and will be better prepared to enter the competitive world of work upon release (ref. Figures 1 and 2).

The Ohio Plan has several noteworthy characteristics:

(1) Functional literacy is Priority One. Inmates demonstrating literacy achievement below the 6.0 grade level (as measured by a standardized test) are required to participate in a basic education program for a minimum of 90 days. Attendance beyond 90 days is voluntary.

(2) All work assignments have clearly defined job descriptions and are coded according to the U.S. Department of Labor Dictionary of

Occupational Titles.

(3) Each job has specified requirements for education and training.

The more technical or complex the job, the more training or education OHIO PLAN GOALS: TO INCARCERATE laMTES IN IleMNE, SAFE AND, SECURE INSTITUTIONS WITH MANDATORY WORK .PROGHAYS, TO DEVELOP A MORE STRUCTURED MANAGEMENT I APPROACH THAT DIRECTLY BENEFITS EMPLOYEES, BY CLEARLY SETTING FORTH CONSISTENT 1 EPECTATIONS FOR INMATES, • TO DEVELOP A SYSTEMATIC APPROACH FOR IN- • MATES TO HAVE AN OPPOPTUNITY TO DEe OP THEIR CAREER PLANS THROUGH A COMBINATION I OF INSTITUTIOAIAL WORI{ ASSIGNMENTS AND BASIC EDUCATION, 1 TO REDUCE INMATE IDLENESS AND PROVIDE PEANI INGFIll INSTITUTIONAL iliOff PROGRAMS AT ALL. LEVEL S, TO MPLEMENT A CLEARLY ESTABLISHED TRAINAll INDUSTRY, AND EDUCATION (TIE) APPROACH TOI WOE( MOAK TO OUTLINE INSTITUTION PROGRAMS AND PROVIDi OPPORTUNITIES FOR INMATES TO PARTICIPATE THESE PROGRAMS,

AIIIA Al 7 ill PAA elnieJelnie ,W?e Olue. 24m, is, the poliei /oft cieectiey atteiezin feu) plzaxse oî the Ini,eon the avio

11 -11e. CDCDNCIEF'T

Ch.& 11E concerpt è,4 the vehicie f7X1À4W7lik C/tppfeepreate, o6riecti,oe 6nezczte ass6peirtente gs.4 wleic4 6aGance iernate 6rzteresta, fzeeda arz,c czékleee wi,t4 iiusteztienaG f2eecie.

eùcea fileanierAG 2o(9ili,be W0f 24 ,To6-(5 is required.

(4) All inmates are required to work. If an inmate wants an

advanced job but lacks the qualifications, training and education are available to him/her to acquire the necessary skills. An inmate may

request transfer to another institution to participate in a specialized

academic, vocational, or industry program, providing his/her security

level is compatible with that of the institution requested.

(5) A deputy warden of T.I.E. is assigned to each institution to

supervise and coordinate T.I.E. functions and departments interfacing with T.I.E.--i.e., substance abuse (recovery services), psychological

services, religious services, and recreation.

(6) A job coordinator at each institution coordinates inmate assess-

ment, performs job counseling, maintains institution job listings, job descriptions, inmate payroll, and inmate employment portfolios.

(7) All work is treated similarly, and the following elements are

addressed: instilled pride/purpose, pay incentives and disincentives,

useful productivity, career ladder, suitable rewards, job involvement,

proper work ethics, real world-related job duties, job performance evalu-

ations, and training-education-job linkage.

The Ohio Plan process consists of four (4) steps designed to provide

a continuum from entry to release. The steps are assessment and employment

portfolio, guidance and counseling, T.I.E. placement, and pre- and post-

release (ref. Figure 3).

Assessment and Employment Portfolio. Assessment begins at the reception

center and continues at the parent institution during orientation. All in-

mates are administered an appropriate level of the California Test of Adult

Basic Education (CTABE). Those scoring high enough on the CTABE take the FIGURE 3

THE OHIO PLAN PROCESS FLOW CHART

RECEPTION I Ohio Plan Orientation Testing Portfolio Initiated 1 PARENT INSTITUTION

Ohio Plan Orientation Testing Portfolio Development T.I.E. Assignment Classification Reclassification 1 INSTITUTIONAL TRANSFERS

Portfolio Reevaluation T.I.E. Assignment

PRE-RELEASE (PAROLE, FURLOUGH, DETERMINANT SENTENCE RELEASE)

Portfolio Finalized Community Linkages General Aptitude Test Battery (GATB) and an interest inventory. The test results are stored on a microcomputer disk which accompanies the inmate on each institutional transfer. Also on the disk is pertinent civilian information, pre-prison and prison education, training, and employment data. These data comprise the inmate employment portfolio.

Guidance and Counseling. Job counseling is provided by the job coordinator and housing unit management team, and work assignments are made based on the employment portfolios provided by the job coordinator.

The guidance counselor places inmates referred for additional education or vocational training. Career counseling is performed periodically by the job coordinator and the unit team, and each work supervisor or teacher provides periodic work evaluation and counseling.

T.I.E. Placements. Inmates are assigned to one of five TIE tracks

(job clusters). The T.I.E. concept identifies essential clusters for inmates progressing through structured work and training experiences.

The Academic TIE encompasses all mandatory and voluntary education

programs--basic literacy through postsecondary. This TIE may extend into

post-release. Work assignments are linked to clerical positions and other

institutional jobs requiring academic preparation.

The Vocational/Apprenticeship TIE places inmates in vocational train-

ing, apprenticeship, or on-the-job training programs consistent with their

interests and aptitudes. This TIE includes all skilled trades such as

carpentry and culinary arts and may extend into post-release.

The Industrial TIE provides an inmate with pre-industrial and/or

specific vocational training prior to or concurrent with placement into an

,Ohio Penal Industries (OPI) job.

The Service TIE provides initial work assignments for offenders entering the system and those not wishing to enter a specialized TIE. Assignments in the less skilled work areas include laundry worker, janitorial worker, and farm laborer.

The Special Needs TIE is designed for those inmates requiring sheltered work and intensive programming, including the mentally and physically handicapped, geriatric, or psychologically impaired. Mainstreaming with other

TIEs whenever possible is stressed. Pre- and Post-Release. Four regional pre-release centers in Columbus,

Cleveland, Cincinnati, and Toledo, Ohio, plus pre-release programs at each parent institution service inmates who are within six weeks of release.

The programs emphasize transition from prison to the community. The curriculum includes job readiness instruction, completion of employment portfolios, community linkages, and job placement in cooperation with field representatives from the Ohio Bureau of Employment Services.

To fully appreciate the value and challenge of diverse, innovative TIE programming, it is beneficial to examine the goals of prison industry in comparison with those of vocational training and academic education, as

Coffey's schematic 1 illustrates:

Goals of Prison Industry

Offenders Institutional Societal

Vocational training Reduce idleness Repay society Good work habits Reduce cost of corrections Dependent support Real work experience Victim restitution Life management experience Future law-abiding

Goals of Vocational Training

Offenders Institutional Societal

Marketable skill Reduce idleness Future employability Goals of Vocational Training (continued)

Offenders Institutional Societal

Good work habits Training for prison industry Future economic independence Wàrk experience Training for institutional Future law-abiding Learning haw to learn maintenance Credentia1s

Goals of Academic Training

Offenders Institutional Societal

Fünctional literacy Reduced idleness Future employability Learning how to learn Readiness for prison industry Future economic independence Readiness for voca- Readiness for institutional jobs Future law-abiding tional training Readiness for higher academic education Credentials

Not only are the societal goals virtually identical, but both

sequencing and interrelationships exist among the three areas. "Employ-

ability" is the key word; but the goals of the offender must be balanced

with societal and institutional goals if the ultimate goal--the offender's

successful reintegration to society--is to be attained.

One American institution serving as a model for the T.I.E. concept is

Ross Correctional Institution in Chillicothe, Ohio. The Ross complex, composed of a medium-security compound (RCI - population 1450) and a

minimum-security honor camp (RCC - population 250), houses adult males age 18-50.

Academic offerings include Adult Basic Education (ABE), literacy tutoring,

high school equivalency (GED), high school options, and both in-house and extension college degree programs. Five vocational programs--building maintenance (2), culinary arts, carpentry, and residential electricity-- and several U.S. Department of Labor-approved apprenticeships are available.

The two Ohio Penal Industries (OPI) shops inside the compound manufacture and assemble designer line office furniture for sale to state agencies and

to the public. The honor camp recently embarked on a cooperative subcontract

venture with a private, Japanese-owned company to assemble automobile variable

speed windshield wiper levers and lighting dimmer switches. This agreement

with a private sector business is a first in OPI's history and is leading the

way to further partnerships.

The highly-acclaimed literacy tutoring program at RCI and RCC serves

inmates in the non-reader through high school equivalency levels. Peer

tutors undergo intensive training by certified education staff and are re-

quired to provide extensive documentation of their tutoring sessions and

student progress. Tutoring is both individualized and small group and takes

place in each housing unit under the periodic supervision of a unit staff

member. The program administrator is a teacher much experienced in tutor

training and literacy techniques. Materials (purchased and donated) include

textbooks, periodicals, newspapers, and tutor-generated worksheets. Tutors

and tutees receive certificates of appreciation or achievement for produc-

tive participation. Those eligible under Ohio legislative guidelines re-

ceive two days reduction in sentence for each full month of productive

participation. At present, nearly 150 inmates are served by more than 60

tutors.

A concept unique to Ross is Outpost, programs which provide education

to inmates who need or want services apart from the traditional day school

program. RCC Outpost 1 provides quality ABE/GED educational opportunities to minimum security inmates, all of whom hold full-time jobs on the farm, at community facilities, or at RCC. Teachers spend 3.5 hours weekly at RCC in classroom contact with the inmates, who are released from their jobs to attend class. Evening tutoring hours conducted by peer tutors make up the remainder of the required quarterly hours. RCI

Outpost 2 at OPI allows inmates employed in industry to enhance ABE/GED skills while preparing for job advancement within industry. Classes are held one (1) hour per day in the OPI training room located in the assembly shop. RCI Outpost 3 is the Learning Center. The "LC" provides education to inmates in vocational programs who need help in reading or mathematics; those in various institutional maintenance and OPI shops who need help in specific areas--e.g., reading a ruler; inmates in ABE/GED school who need additional help in a specific area.

Other noteworthy T.I.E. programs are high school options and college

internship. The high school options program adds the traditional high school diploma to the GED plan of acquiring high school graduate status as required

for many jobs and college. Depending upon interests and background, a student may select either the academic or vocational high school diploma

option. He then completes a prescribed instructional plan approved by the

Ohio Department of Education to earn the diploma. The student may petition

to receive the diploma from either the public school/joint vocational school

from which he would have graduated as a private citizen or from the Ohio

Central School System (correctional institution schools). A detailed sample

options program appears in the Appendix of this paper.

The college internship program was born of a desire for greater inter-

action among the university, the institution's industries and social services,

and the community. What has evolved is an opportunity for qualified inmates

at RCI and RCC to earn college credit toward an associate or a bachelor's degree in business or human services.

Before enrolling in a college-level practicum, the inmate submits a detailed proposal for the internship to the university coordinator and the T.I.E. deputy warden. The proposal includes a description of the inmate's academic background, his career goals, suggested projects or activities to be completed during the internship, and the signature of the institution staff member who will supervise the internship. The university coordinator identifies a faculty member from the specific discipline involved to review the proposal and suggest any revisions. The T.I.E. deputy warden works with the institution staff member and the inmate intern to ensure that all academic and institution requirements are met. The necessary documentation is then submitted to the university faculty member for grading.

Currently interns are working in OPI as middle managers and with the substance abuse coordinator and housing unit case managers as encounter group facili- tators and speakers/project coordinators at community elementary and middle schools.

The programs described are but a sample of the integrated linkages of training, work, and education possible when corrections professionals are open and flexible in adapting new strategies for incarcerated offenders.

As the training and work reforms proposed in 1870 pointed the way into the twentieth century, the T.I.E. concept is a harbinger of effective correctional management in the twenty-first century. FOOTNOTE

1 Osa D. Coffey, "T.I.E.: Integrating Training, Industry and Education,"

Journal of Correctional Education, 37:3 (september, 1986), 105.

BIBLIOGRAPHY

Coffey, Osa D. "T.I.E.: Integrating Training, Industry and Education."

Journal of Correctional Education, 37:3 (September, 1986), 104-108.

McGlone, Jerry and James Mayers. "Ohio Industries and Education: A Vital

TIE." Corrections Today (June, 1987), 32-34.

Ohio Department of Rehabilitation and Correction. Ohio Plan Manual for

Productive Prisons. Columbus, OH: The Department, 1987. I

APPENDIX 1 inter-office communicatioill DR. SUSAN S. DAVIS, DEPUTY WARDEN, T.I.E. tO* date . JANUARY 20, 1989 MARK A. WHITE, TEACHING SUPERVISOR from . subject HIGH SCHOOL OPTIONS—VOCATIONAL, RCl/RCC

TITLE: HIGH SCHOOL OPTIONS PROGRAM at RCl/RCC.

PURPOSE: To add the option of high school diploma to the GED plan of acquiring high school graduate status as required for some institutional jobs/parole and college.

SCREENING: Men will be screened by the following personnel: A). High School certified staff (1 of 4) 8). Teaching Supervisor C). Guidance Counselor D). Vocational staff (1 of 4)

STAFFING: Five (5) staff members hold vocational certification. They will act as monitors of the men in the program. LeCl/OSR will provide course of study information as needed for required courses.

OPERATION: 1). Men must be six (6) hours or less from graduation. 2). Men must be screened for placement. 3). A screening committee will review hours (credits) required. 4). Men will be placed in a ODE approved Vocational Program. 5). An instructional plan will be required or developed (including activities, ' materials, and environment). 6). The educational Administrator will be notified for approval of the students and his plan. 7). Upon completion of tests and a statement of performance, all pertinent data will be sent to the Educational Administrator for approval of completion and issuance of a diploma.

UNITS OF CREDIT: Units of credit for High School Option Program. Section I, Rule 3301-35-02 (C) (3): A maximum of six units of credit may be applied toward the eighteen units required for graduation in paragraph(B) (6) . ' of this rule. No more than four of the six units may be applied requirements specified in paragraph (B) (6) (a) to (B) (6) (f) of this rule. The rule limits the number of units of credit earned by educational options which may be applied to required graduation units. With 18 units required, no more than six units may be educational options. Schools requiring more than 18 units may apply educational options to the units beyond 18 in accordance with board policy.

In addition, the requirement for high school graduation earned in grades nine through twelve shall include the following: * English language arts, three units * health, one half unit * mathematics, two units * physical education, one half unit * science, one unit * social studies, two units which shall include: American History, one half unit Amercian Government, one half unit

No more than four units of the above specified units may be earned through educational options.

Section II: RCI REQUIREMENTS:

1). Student must have 12 credit hours (passing). 2). A vocational program will make up six (6) credit hours. 3). Four (4) hours of required courses may need to be earned.

POSSIBILITIES:

OPTION 1 12 Credit hours with required course hours lacking 1-4 Credit hours required needed 2-5 Credit hours elective 18 Credit hours

OPTION 2 12 Credit hours with all required course hourq 6 Credit hours vocational program 18 Credit hours

OPTION 3 12 Credit hours with all required course hours 6 Credit hours elective 18 Credit hours OPTION 4 12 Credit hours with required course hours lacking 1-4 Credit hours required needed 6 Credit hours vocational program 19-22 Credit hours

NOTE:

REQUIRED HOURS, see section I, final two (2) paragraphs. I

I I j I I I I I I L I I

I SECOND INTERNATIONAL CONFERENCE ON PRISON EDUCATION

Wadham College Oxford

25th - 28th September 1989

"PRISON UCATION WORK IN SRI LANKA" by

H.G. Dharmadasa Commissioner of Prisons

)1 Second International Conference on Prison Education - 1989. PRISON EDUCATION WORK IN SRI LANKA.

The population of Sri Lakna is 16 million and it has 1 ten closed Prisons for convicted prisoners, six closed remand *orisons, six Work Camps, two Open Prison Camos, two Correct- ional Centres for Youthful Offenders, one Borstal Instituti- on and one Work Release Centre. The average daily total mopulation in all these is 12,180 of which a larger proportion are Remandees constituting 563/4 of the total Prison population. 1 Literacy oroorammes are confined to the ion= term convicted population onlv because for -,.rectic= 1 .reasons, it is nct meaningful to include the remandees and short term mrisoners 1 in this programme. The literacy rate of the general population over 10 years 1 of ace in the Island is 87.2% (i.e. 91.1% for males and 83.2% for females). The literacy rate of convicted prisoners, boh

male and female, according to statistics collected by 4-'nea 1 Prison Demartment for the year 1987 is shown below:-

tale. Pemale. Total. ==rcnt.ce

Illiterate. 29,472 1,526 30,998 52.14 Literate uoto grade 8. 19,477 1,249 20,725 1 Literate above " 8. 7,057 672 7,729 5 59,452

it will be ==sen that while the literacy rate in 1 the country is 87.2% the literacy r_-_-ce amonc risoners 's sony 47.86% which shows that the majority o' pon ,, who ta crime i:. Sri Lanka are Non formal ;:dult Education zrogra=es were introduced to Sri Lanka Prisons in the early fifties with the enlistment voluntary acencies for this turtose. classes we-= held on a voluntary basis for zrisoners after cease-labour in the 1 evenincs from 4 to 6 The teachers cawe their services free of charge while only the bas ic amenit 4 es like exercise 1 books and tenons could be trovi.aed by the risons. leachi 1 2 - 1 was confined to reaaing and writinc, the objective being to teach prisoners at least to write their rames. 1 During this time and even before, Adult Education programmes were conducted on an island wiaé basis by the 1 Sri Lanka Government E•ucation Department but Prisons we-e not included in this programme till the early Sixties when aLter much mersuation the Education Deuartment extended to the major Prisons. Under this scheme too particimation of prisoners remained voluntary while mrofessional teachers 1 serving in the Education Department were sent to teach prisoners three •avs of th3 week in evenings from 4 to 6 u.m. These teachers were uaid a minimal allowance for their 1 services in comparision to which, it could be said that their services were larcely motivated by a deem sense of 1 social work. Each group of teachers had a supervisor who co-ordinated their work. Teaching remained limited to 1 imparting a basic knowledge of reading and writing the thrEe langugages in use - Sinhala, Tamil and English. A few large prisons had the services of a Kandyan (Folk) Dancing 1 instructor to train prisoners in indegenous Dance Forms.

Thouah the Education Department maid the visiting 1 teachers the Prisons Demartment had to suply all the books and other reauisites within a shoe-string budget, while 1 finding the necessary space in grossly overcrowded penal institutions also mosed a serious problem. Nevertheless 1 these literacy i classes proved a creat boon to illiterate inmates who showed much enthusiasm in following them, so much so that a few inmates who were allowed to sit for 1 public exam 4 nations - marticularly the General Certificate of Education Examinal:ion, both ordinary level and ::dvanced 1 level - were successful in them.

In 1971 the country faced an insurgency which resulted in all existina prisons being overcrowded several fold and the opening of about te m more camus as temuorary prisons to 1 house the arrested and surrendered thousands, which suddeni ,; put a stou to the literacy -:,:'rogramme. This situation also brought into the Prisons many ejucated youth to whom the 1 1 1 earlier eaucational urogramme would not have in any case ca - erea for. The Prisons had to make suecial arrangements after persaaniing the examination conducting agencies like the Examinations Department, Universities etc. to allow them to sit the examinations, relaxing rules and sometimes persuading them to open suecial examination centres inside prisons for many of these youths who were pesuina higher education. Some institutions made special arrangements with university authorities to :end their szudénts in detention suecial correspondence courses and also allowed the lecturers to visit them freauently to help them with tnese courses.

After the situation came back to normal in a couple of vears all attempts to persuade the Education Department to resume these literacy classes failed as by that time the Education Denartment too had comoleted their phased out All- Island adult education programme, covering over 25 years. Hence from mid 3eventees individual prisons had to make their own arrangements to find volunteers to conduct literacy classes and most of the institutions succeeded in this only a=ter enlisting the voluntary services of prison auards, Jailors and Prison Welfare Officers to supplement the voluntary services of outsiders. The Prisoners' Welfare Association which is a state sponsored voluntary organisation having branches in all major towns has also made a significant cont±ibution in this regard, havina organised literacy classes to run parellel to those conducted by the Education Deuartment and in some places to ; 1 ' the void where the Education Department na U failed to o„7.en

From 1936 the inistrv of _ducation (Adalt :ducation Branch)has introdoced literacy classes to all penal institution Thèse are run uaraliel to those organi.:ed by the Prisoners' Welfare Association, U12:ESCO clubs in Prisons and other bodies. Suecial mention must be made of reaular Daham Pasal or Buddhist religious educational classes run bv Chaplains and Prison Officers' 3uadhist Associations through which also a great deal of literacy is imparted. Likewise religious classes held by other denominations, though population-wise minorities, serve an eaually useful need - specially Bible Classes. 4

The Ministry of Education Torovides part-time teachers for three days a week from 4 to 6 p.m. and also the necessary books, stationary and furniture. Classes are held in all 1 three media (English, Sinhala, Tamil) and it has been observed that lately there has been a keen interest to learn English. This is particularly motivated by foreign em-oloyment oortu- nities, specia_ly in the Middle East countries for skilled and sei-slilled labour grades. A Prisoners' monthly Newsletter titled "Sannivedana" ("Communication") finds a ready avenue for prisoners following these classes to try out their literary skills. The :,risoners' Welfare Association also runs a typewriting trainino- class in II the major Prison in Colombo. Non formal educational services being provided for prisoners include talks bv visiting lecturers, social workers and Non Governmental Organisations on various themes s -oecially those baséd on civic consciousness, crime prevention and community development etc. The UNESCO Regional office in Bangkok has initiated a study on the educational needs of women who fail into difficulties in life and are subjected to periods of suervision with a view to effecting correctional measures, including a com-orehensive educational component to enable them to accuire 1 basic skills and behaviour -oazterns useful to lead a normal life. The _on formal.eucation section of the ?..inistry of 1 Education which has already initiated literacy projects in 7oenal institutions is examinino -oroaram_es already in oberazio II with a view to determine i'ore combrehensive and needs-based programmes. lnere is only one 1,-orstal Instittion in the Island c=1 111 the lraininc School for 'Zouthful Oifen.D.ers which young mersons (males) between 15 and 22 years of ae are sent for a -ceriod of 3 years, subject to -oarole ---.fter detentionone for year. In the oast these lads were zrovided literacy classes II by the Sortal staff till zhe Education Deoartment took over this task sevral years ago and now these cia2ses are hel -u daily as lo=al Education Like any other nor-al school, by II teachers of the :d - cation Iepartr"ent while the :=-risons _Jets.L- t- ment subtlies boo:çs an_: stationary. Classes leain: _tto the II .:;eneral C,rtificate of _d .,;_caticn examinaticn are held and la-s

.i.ade- to sit this tublic examination. II .• Report by Ian Dunbar A SENSE OF DIRECTION

• Ian Dunbar

31 October 1985 TABLE OF CONTENTS

OUTLINE

PREFACE 1

INTRODUCTION 4

CHAPTER 1 AIMS 11

CHAPTER 2 TASKS 34

CHAPTER 3 MEASURING 48

CHAPTER 4 MONITORING 64

CHAPTER 5 BASIS FOR ACTION 82

APPENDICES A Bibliography 88

B Reference Sources 102

C Visits and Acknowledgements 134

D Glossary of Terms 137

E Glossary 'of Abbreviations 139 OUTLINE OF THE REPORT

PREFACE

A Impetus for the Report 1 B Comparative Perspective 1

INTRODUCTION

A Focus of the Report 4 B A Coherent Approach 5

CHAPTER 1: AIMS

A STATEMENTS OF AIMS 11

I The situation here 11 II Comparisons (a) Individualism 15 (h) Relationship 21 (c) Activity 22 III Implications 26

B COMMUNICATING THE MESSAGE

I The situation here 29 II Comparisons 29 III Implications 31

CHAPTER 2: TASICS

A DEFINITION: WHAT MUST BE DONE TO ACHIEVE AIMS 34

I The situation here 34 II Comparisons 34 III Implications 36 B IMPLEMENTATION: PUTTING TASKS INTO PRACTICE 37

I The situation here 37 . II Comparisons 38 (a) Planning for the individual 39 (b) The Manageable Unit 41 (c) Using time 44 III Implications 46

CHAPTER 3: MEASURING

A INFORMATION SYSTEM

I The situation here 48 II Comparisons 48 (a) Information routinely recorded within the system 30 (b) Technological advances 51 III Implications 54 (a) Consultation and Co-operation 54 (b) Technological development 55

B USING THE INFORMATION 55

I The situation here 55 II Comparisons 56 (a) Two way flow 56 (b) What the bottom wants too 57 (c) Information systems can be used well or badly 58 (d) Personal management style 58 (e) Consultation on problem points 59 (f) Using information to get an overview 60 III Implications 61

CHAPTER 4: MONITORING

A SETTING STANDARDS 64

I The situation here 64 II Comparisons 66 III Implications 714 B USING BENCHMARKS 75

I The Situation Here 75 11 Comparisons 76 1 III Implications 78

CHAPTER 5: BASIS FOR ACTION

A PROPOSED APPROACH 82 B THE NEXT STEP 85

APPENDICES

A Bibliography 88 B Reference Sources 102 C Visits and Acknowledgements 134 D Glossary of Terms 137 E Glossary of Abbreviations 139 1

PREFACE

A. Impetus for the Report

The inspiration for this report arose from a series of letters and discussions between the Director General of the Prison Service and the Chief Inspector of Prisons. Early in 1985 the Prison Department and the Inspectorate met to discuss of measuring and monitoring the work of the prison system. It was suggested that a way forward could be a survey of foreign experience; it might prove profitable to examine systems abroad in the area of prison regimes particularly those which already had highly developed arrangements for measuring and monitoring performance.

It became apparent that what was needed was a report which would be practical and easily understood by those working in the system, staff and management alike, and those working outside it. With this in mind, a brief was drawn up for a study which could provide for both needs, and more specifically "to consider similarities and variations in approach to the establishment and maintenance of prison regimes in various countries and to make recommendations for the Prison Service in England and Wales."

This was not conceived as an exercise in transporting wholesale final products from other systems, but as an examination of other people's methods with a view to developing a coherent plan of action appropriate for the needs and operational requirements of the Prison Service in England and Wales and of the Prison Inspectorate.

To undertake the work I was seconded for six months to the Prisons Inspectorate from the Prison Department, after my governorship of Wormwood Scrubs and before taking up my appointment as a member of the Prisons Board as South West Regional Director. I was to visit a number of different prison systems abroad and compare their approaches to the area of prison "regimes" with practice and experience in England and Wales. Dr Silvia Casale was appointed as external consultant to the Prisons Inspectorate to assist in the writing of my report. She has worked in the United States and in England on comparative research in the criminal justice area.

The plan of work for this project was as follows:

(i) to draw together examples of practice which already exist in this country and which are based on long and valuable experience;

(ii) to link the former to experience and practice in other countries; and

(iii) to develop a coherent plan for future direction.

B. Comparative Perspective

To carry out this plan I decided to visit the following five prison systems:

(a) the Federal Prison System in the United States of America (the Federal Bureau of Prisons)

(b) the New York State Prison System in the USA (the New York State Department of Corrections)

(0) the National Canadian Prison System (the Correctional Service of Canada)

1 (d) the Provincial prison System in British Columbia (the Province of British Columbia Correctional Service)

(e) the National Swedish Prison (and probation) system (Kriminalvardsorganisationen)

There were practical considerations which I was forced to recognise in making my final choice of countries. One was the availability of information in the English language and the ease of communicating in English with people in the systems observed. There were also logistical considerations, as I had only limited time in which to complete my travels and the necessary analysis before putting pen to paper. This meant that, although initially it had been intended that I should visit four different countries, two of them European, in the event it was possible to concentrate only upon North America and one European country. Within the North American continent there is a diversity of experience providing a good opportunity for comparison. In the United States of America alone there is a host of different prison systems. Apart from the federal system which is organised on a national level across the fifty-one states, each state has its own prison system. In addition, within each state there are numerous local prison systems, based at the county and city levels; New York City, for example, has its own prison system, which is separate from the New York State system.

In Canada there is a prison system organised at the national level (the Correctional Service of Canada) and prison systems within each of the ten provinces. Thus the Province of British Columbia has its own prison system. Sweden has a single national system combining the prison and probation services.

From the foregoing it follows that the systems chosen provide a variety of points of comparison. The U.S. federal system presents an example of a highly sophisticated organisation of prisons across a vast area; it is unified by an emphasis on standardisation, enhanced by the use of modern technological tools. The Canadian national prison system is a particularly important point of comparison because of the similarities of traditions (in particular the legal system) to the British. Later on in the report I shall argue that the development of Canada shows a coincidence of stages, which is interesting from the English point of view. For different reasons, New York State provides an interesting comparison with the English system. In size the two prison systems are roughly comparable. The pressure of numbers and the history of crises arising from that pressure in the New York State prison system, together with resource problems and financial constraints, present important parallels with the prison system of England and Wales. My choice of countries to visit provides an interesting contrast between large scale systems, dealing with numbers broadly comparable with our own, and smaller systems, that is British Columbia and Sweden, which have much lower numbers and contrasting approaches. The object of my visits to these countries was to seek out examples of good practice. It should be stated at the outset that in these different systems it is possible to find the extremes of good and bad practice. The variety of approaches and contexts makes this inevitable. Indeed on these and on my previous visits I saw features which were disquieting. At the same time I saw others worthy of emulation. It is axiomatic that one may learn from others' errors as well as from their good example.

In looking at other systems I wanted to explore developments in thinking and ways of approaching the area of prison regimes. In North America and in Sweden the term "programmes" is generally used to refer to the planned provision of a variety of services which make up the "regime" of a prison establishment, as it is known in the English system.

2 In looking at the area of "programmes" in other countrier,, I was conscious of the work of the Control Review Committee, following visits to Canada, the United States of America and the Federal Republic of Germany. From the Committee's conclusions it is apparent that there are transcending principles at work in each system. My approach has been to draw out from the variety of experience observed those basic principles which hold true beyond the particular context in which I have seen them at work.

INTRODUCTION

A. Focus of the Report

This report was set up to look at the area of prison regimes by comparing practice and experience in this country with examples abroad. As I embarked on this task I was aware that the term "regime" creates problems of comparison. The Control Review Committee had already found this to be so from a visit to the United States of America. Its report, "Managing the Long Term Prison System" said that it would like to see a move towards individual programmes for prisoners, incorporating more diverse activity than at present and geared towards the abilities and needs of the inmate. This approach is important because it shifts the emphasis from "regime" to individual planning for the long term prisoner. My conclusion is that it should have a wider application.

"Encouragement of diverse activities and monitoring a prisoner's performance in them is no way opposed to the need to keep establishments' performance in delivering activities under close review too. The two objectives are complimentary. Nevertheless, we do think that one fact that has hindered progress in this field is the tendency in this country to speak and think in terms of the regime. As we have noted, the concept of the regime is large and vague, and implies generally that every prisoner in an establishment is subject to the same processes regardless of his needs or abilities; and measuring performance across its span raises complex questions. We would like to see the phrase "regime activities" replaced by some description that gives the accurate idea,that what is at issue is a bundle of prisoner-oriented activities that are amenable to objective performance-setting and efficiency audit."

(Control Review Committee Report, para. 97).

This line of argument introduced into the report three separate and important concepts:

i. co-ordinated planning; individualism; and iii. measurement.

In rejecting the term "regime" the CRC was arguing not just for a change of words but for a change in approach.

In my visits abroad I was struck by the emphasis on "programmes". Programmes are all the provisions for the positive use of time in prison. The concept implies a range of opportunities for activity available to those in prison.

4 It implies flexibility and the possibility of providing different combinations to suit different individuals. "Regime" has come to mean different things to different people. It implies that there is a discrete, distinctly defiped functional area, the "regime", which can be looked at separately and can be measured in terms of physical facilities provided, e.g. workshops, recreation areas, etc. The danger is that there will be no attempt to plan the range of services making up the "regime" in a coherent and comprehensive way, so that they make sense to the member of staff and the prisoner in the total context of prison life.

I am not advocating that the English system take over the term "programmes". The latter term comes closer to conveying a sense of planning, but it carries witl. it a mechanistic association. It places the emphasis on arrangements provided by the system, whereas the emphasis should be on the delivery and use of services. In the final analysis the concern should be for what individuals, whether staff or inmates, actually do. Therefore I suggest that the term "activity" be adopted for the English system. Activity is the planned use of prison time. It implies a reappraisal of basic assumptions about what should be happening in prison establishments.

I am not suggesting an entirely new approach, but rather a consolidation of what is positive in current practice. My experience of working in the prison system in this country and of visiting other systems convinces me that activity is the key to a good prison. The best run establishments are those which have got this right. The fundamental principles which can be seen at work in the positive examples of prison establishments in this country and elsewhere are: individualism; relationship; and activity.

I shall discuss these principles at length and argue that when the three come together in an integrated and coherent approach they serve the various functions defined for the prison service: security; control; humane handling of prisoners and positive use of prison time.

B. A Coherent Approach

I am not presenting a single model because the complexities of the prison system require something different. I am however, proposing an approach which integrates the three principles above and applies them to the different populations and problems which the prison system faces. In order to develop this approach I shall briefly review the main trends in thinking about imprisonment in this country. We are not the only country to have tried a 5 number of different models for the prison system. Particularly in the North American continent the systems I visited have gone through a similar process as they developed large and complex prison organisations reflecting the societies which those organisations serve. Each country has arrived at its own individual set of responses. This country must go through a similar process to find a coherent approach that fits its own context.

In recent years various strands of thought about the prison system have been developing in this country. They have not developed in a co-ordinated way. The two main strands have been the rehabilitative approach based on a treatment model and the humane containment approach. I shall discuss them briefly, beginning with the gradual disillusionment with the treatment model, in order to set the background for where the English prison system finds itself today.

There has been a progressive disenchantment with the treatment model both within and outside the prison system. The problem has lain in the difficulty of interpreting treatment in a practical way so that there is consensus on how to treat the individual and what the effects of treatment are. There were various attempts to assess the treatment model and they all posed the basic question: "does rehabilitation work?"

The development of this move to evaluate the effectiveness of treatment/rehabilitation has been discussed elsewhere at considerable length (see Cullen and Gilbert, Re-affirming Rehabilitation, 1982). Martinson's article "What works - questions and answrs about prison reform" published in the spring of 1974, brought the development to a head; his findings showed that there was no conclusive evidence that renabilitation did have an effect in terms of reducing recidivism. His work confirmed a growing feeling that whatever model you adopted there was no discernible impact on reconviction rates, albeit a crude measure of recidivism: nothing worked (see Cullen and Gilbert, page 111).

The sense of disillusionment began to spread, with academics, administrators and, above all, practitioners sharing the general disenchantment: it appeared not to matter how you treated the prisoner, the rate of reconviction remained the same. As this occurred at a time when financial restraints were being •1 introduced, it was difficult to justify any kind of programme which would cost more but did not have the guarantee of being more effective. As a result a sense of futility has become pervasive and has led to what some observers have called a moral vacuum.

6 The concept of humane containment did not supplant the treatment approach, but it represented a shift of emphasis. It has as its focus what occurs while the prisoner is in custody, rather than what he may or may not do after he leaves, which is the ultimate focus of the treatment model. Nevertheless humane containment has not represented a more down to earth approach. It has not been translated into practical terms spelling out what should be done at the ground floor level. Although it focuses on prison life more directly and exclusively than does the treatment model its formulation has remained at an equally abstract level. But in practice it has led to even greater disillusionment. At least the treatment model gave the service something to believe in and some hope. Humane containment has led to the cynicism of human warehousing. Humane containment and treatment have co-existed uneasily in the English system, neither providing a clear and comprehensive sense of purpose. There is confusion about the direction in which the prison system should go. In the absence of clear guidelines establishments and regions developed their own ideas and directions.

Others have recognised the need to formulate a new approach. Those reports which have addressed the problem, primarily the May Report, have fallen into the same traps which led to the discrediting of the treatment model, by setting up unrealistic expectations and replacing rhetoric with rhetoric (see page 67 of the Committee of Enquiry into the United Kingdom Prison Services, October 1979, subsequently referred to as the May Report). The concept of "positive custody" is no more helpful in running a prison system than was the concept of "treatment", since neither can be defined in practical terms. "Positive custody" was defined as follows: "to create an environment which can assist them (i.e. prisoners) to respond and contribute to society as positively as possible".

This sets as the objective of the system an end product which is measured in terms of future behaviour of prisoners beyond the prison system and contributes little about how they should be treated inside. What concerns those who work within the prison and those who comment on it are the day to day activities and events within the walls. Governors and their staff need something more tangible and clearly defined, immediate goals in addition to abstract aspirational aims. Defining achievable targets as well as less tangible ideas has importance for each and every member of staff and for each and every prisoner coming into the prison system. The system offers little hope or satisfaction when its aims are couched in abstract language and can find no practical interpretation.

7 Over the years in the absence of realistic aims and clearly defined tasks with some hope of achievement there has been a gradual deterioration in the quality of life and the nature of the regimes in many establishments. The Inspectorate has commented on this fact. General concern has been voiced by governors, members of their staff including prison officers and their union representatives, in public statements and letters to the press, in addition to statements made through official channels.

By and large this concern is based on an impressionistic assessment of the system, because there is little concrete information available, either at institutional or headquarters level, about the reality of daily life in prison establishments. There are few useful measures of the prison system. This report discusses the need for such measures and proposes ways in which the system may be assessed both internally and externally and over time.

The move toward more systematic self assessment is already underway. The Prison Department has recognised the need to obtain information and the Director General, in outlining general functions of the prison service, (see Circular Instruction 55/84) has attempted to link these definitions to a system of management information. As part of this internal initiative there has recently developed a move towards the setting up of "performance indicators"; these are designed to produce information on the work performed in the prison system. At this stage they constitute a necessary part of the assessment of what is actually happening within the system. This is the first time such an attempt has been made and it is to be welcomed.

Experience has shown that the choice of information about a system's workings will seriously influence the way in which it will develop. It is crucial therefore to define the appropriate set of questions, i.e. the right performance indicators, otherwise the information generated may not go to the heart of the matter. An information system must tell us about the organisation and relate what it is achieving to what it ought to be achieving. It must be set up to reflect the basic aims of the organisation.

That presupposes that the aims of the prison system have been clearly and comprehensively formulated. As the above discussion indicates, this is not the case in the English context. There is a need for a coherent approach which forms the standardising and unifying framework informing and directing everything that goes on in the prison system at every level and in every area.

8 The immediate focus of this report is planned prison activities. I shall use this focus as an example of how to pursue a strategy which is applicable to all functional areas of prison organisation. I have seen examples of systems which plan and deliver services in a professional way and which are monitored carefully and systematically. The ways in which this is achieved have wider implications than for the area of activities.

Practice and experience in this country and elsewhere dictates that a coherent approach to the functional areas of the prison service, including planned activity, should follow the logical progression:

i. clear articulation and communication of the aims of the prison system

ii. clear definition and communication of tasks to be performed within the prison system to achieve these aims

iii. establishment of measures for the performance of these tasks

iv. definition of benchmarks against which to measure performance, in order to assess whether the aims of the system are being met and whether the system as a whole and establishments individually are functioning well or badly

This logical progression is important both for coherent internal management and for coherent external monitoring of the prison system. Indeed it is difficult to see how effective management or monitoring can occur in its absence. The two operations - management and monitoring - proceed on parallel but separate paths along this progression. In practice, however, monitoring will always rely to a large extent upon internally collected information. For this reason my immediate focus is upon that internal process. If management has not achieved the steps towards self-evaluation, internal monitoring will be that much more difficult.

Therefore this report devotes considerable attention to the steps to be taken internally to establish a level of internal coherence, based upon sound and systematic information which in turn may form the basis for more effective external monitoring.

9 It is structured so as to reflect the stages in this progression. Each stage will be discussed in turn in a separate chapter. Within each chapter the discussion will consider;

(i) existing examples in this country of the development of policy and practice;

(ii) relevant examples of experience elsewhere concerning policy and practice; and

(iii) practical implications for the way forward in the English system.

Thus, Chapter 1, AIMS, concerns the aims of the prison system. It discusses firstly how these must be clearly articulated by the system itself and by the Inspectorate in its role as the watchdog for society. Secondly it discusses how the aims of the system must be clearly communicated to a variety of audiences both within and outside the prison system.

Chapter 2, TASKS, deals with the tasks which must be defined and carried out if the system's aims are to be achieved.

Chapter 3, MEASURING, discusses the information system which must be defined and instituted so that the system itself may assess how it is performing its defined tasks and whether or not it is achieving its aims.

Chapter 4, MONITORING, discusses the benchmarks which must be formulated and applied in monitoring the system.

Chapter 5, BASIS FOR ACTION, sums up the main lines of the preceding argument and suggests the next practical step.

1 0 1 CHAPTER 1 : AIMS

A. STATEMENT OF AIMS 1 I. The Situation Here

Thinking about the aims of the prison system has been in a continual state of 1 flux since the first prisons were built. Although the aims were formulated clearly in the nineteenth century, since then there has been wide variation in ii the way they have been restated and even wider variation in the way they have been ignored. In the nineteenth century there was a clarity of vision which 11 allowed a comparatively simple statement of aims and enabled all staff, from the Governor down, to know what the job was and how they were expected to carry it out. II

We have moved away from that clarity of vision. Society has used the prison 1 system to answer a complicated series of problems confronting it. Since the war the tremendous pressure of overcrowding and the emergence of diverse ideological II directions have compounded the confusion.

In recent years there has been a number of interesting attempts to cut through II the confusion. Roy King and Rod Morgan have discussed the development of modern prison philosophy in considerable detail, (see Roy King and Rod Morgan, The Future of the Prison System, 1980). They trace the primacy of deterrence and reformation from the Report of the Gladstone Committee of 1895 through various II attempts in this century "to give meaning and substance to the possibility of providing rehabilitative influences in prisons" (page 13). Joy Mott also discusses the latter stages of this development, (Home Office Research Study No. 84, Adult Prisons and Prisoners in England and Wales 1970-1982).

Rather than retrace this historical background I shall take as my starting point Prison Rule 1 (Prisons Act 1964) which states: 1 "the purpose of the training and treatment of convicted prisoners shall be to encourage and assist them to lead a good and useful life." I/

It is worthy of note that this refers to convicted prisoners and says nothing about the treatment of unconvicted prisoners. 1

11 1 This is an interesting omission. The aims of the prison system have been formulated in terms of the sentenced population, when in fact an increasingly significant proportion of persons dealt with by the system are not sentenced, and indeed not even convicted of a crime. (At the time of writingthe proportion of unsentenced prisoners - i.e. unconvicted and convicted but unsentenced prisoners - among the average daily prison population is 20%; as a percentage of receptions into prison the relative size of the remand population is even more important: 42%).

This difference in the legal status of prisoners has profound implications for the aims of the prison system. It must be readily apparent that the concepts of "treatment" and "rehabilitation" are not appropriate to the handling of unconvicted prisoners. When they come to be translated into practice, the distinction between sentenced and unconvicted prisoners becomes of crucial importance. A system as complex as the prison system must surely have several aims, reflecting this and other divisions within its population. There are issues of justice and equity involved in the questions: what are the aims of the prison system in relation to its sentenced population and what are its aims in relation to its unconvicted population.

The Prison Rules statement of aim is expressed in abstract terms which look to the behaviour and character of the sentenced prisoner beyond his term in prison. Whilst few would wish to disagree with this high minded idea they might question its relevance to unconvicted prisoners, its practical utility, particularly for staff on the landings, and its difficulty of interpretation for those who have to run prisons.

In 1969 the emphasis shifted towards "humane containment", with vague references to the continued role of treatment in the prison system. In introducing this new concept the White Paper (Home Office, People in Prison, 1969) acknowledged that prison conditions should broadly correspond to conditions currently acceptable to society. In 1971 Alan Bainton's elaboration of this and other aims (A. Bainton, Aims and Tasks of Prison Department Establishments, 1971) had considerable influence within the system. The document (for full list see appendix B item 1.) grapples with the need for moral imperatives and practical directives.

Bainton presented a statement of the role of the prison service which focuses on providing conditions of custody currently acceptable to society as well as encouraging and assistj.ng prisoners' rehabilitation. Bainton's definition of 12 the aims of the prison system embraced treatment, minimizing the harmful effects II of custody and preparation for a law-abiding life beyond the prison; his statement emphasized the importance of relationships among staff and prisoners. He also defined tasks for each establishment in order to achieve the aims. 1 These tasks cover a wide range, including ensuring that all inmates are able to exercise their rights and ensuring "that the management and organisation of establishments is such as to: 1 (a) encourage and develop free and open communication between inmates and staff; 1 (b) enable staff to appreciate the value of maintaining communication between the inmate, his family and outside situations; . 1

(d) establish procedures for the maintenance of documentation and for the II making of decisions which affect the inmate's treatment and his progress towards release; and 1 (e) ensure that Health and Safety requirements are observed." 1 Unfortunately Bainton's initiative remained largely unacknowledged and unlaborated, although it had an important effect on many practitioners in the 70's. The lead was not followed up and against a background of increasing population pressures on the local prisons humane and secure containment continued to exist in uncomfortable association with the treatment and training concepts enshrined in Prison Rule 1.

The May Report was aware of the dissatisfaction with past formulations c.nd made its own proposals:

"In putting "treatment and training" and "humane containment" aside, the last thing we intend is to suggest nothing should take their place. On the contrary we fully appreciate that every community, whatever its nature, requires a suitable ethic. .... We think that what we envisage might best be described as "positive custody". That is, it has to be secure and it must carry out all the intentions of the courts and society, in that 1 respect. On the other hand, penal establishments must also so far as possible be hopeful and purposive communities and not be allowed to degenerate into mere uncaring institutions dulled by their own unimaginative and unenterprising routine." (paragraph 4.46). 1

1 3

1 In my opinion this reformulation is no advance on Prison Rule 1. Since the publication of the report I can find little evidence that this particular intent has been carried forward. It certainly has not dispelled the confusion. It ià still grounded in the treatment ethic, but has gone no further in assisting its practical application.

The aims of the system are still not clearly and comprehensively stated. There has, however, been a major step forward in the last two years in the related task of formulating the functions of the Prison Service. It is worth quoting in full the Prisons' Board's statement of the task of the Prison Service(Annex A of Circular Instruction 55/84 "Management in the Prison Service"):

"1. to keep in custody untried or unsentenced prisoners, and to present them to court for trial or sentence;

2. to keep in custody, with such a degree of security as is appropriate, having regard to the nature of the individual prisoner and his offence, sentenced prisoners for the duration of their sentence or for such short time as the Secretary of State may determine in cases where he has discretion;

3. to provide for prisoners as full a life as is consistent with the facts of custody, in particular making available the physical necessities of life; care for physical and mental health; advice and help with personal problems; work, education, training, physical exercise and recreation; and opportunity to practice their religion; and

4. to enable prisoners to retain links with the community and where possible assist them to prepare for their return to it."

The statement takes forward the initiative begun by Bainton. What is valuable about this statement of functions is that it recognises the distinction between different types of prisoners. It is more easily understandable by staff and more readily transferable into practice, because it focuses on functions rather than on aims. (For further information as to how this Circular Instruction spells out in greater detail the functions of each establishment, see Annex B of the document in Appendix B, Item 3).

14 This is the first practical formulation and it cuts across the ideological wrangling by concentrating on the question %that are we doing?" and not on the question "why are we here?". It is necessary to know why'the prison system is here as well as what it is doing. The two questions are intimately related.

The Control Review Committee Report, while concentrating on the control of prisoners in the long term system, made an important contribution to the definition of aims of the system (paragraphs 106 and 107, see Appendix B, Item 4).

It highlighted certain basic objectives of the system:

a. to keep prisoners out of society, axiomatically because it is a prison system;

b. to provide for legal rights;

c. to provide basic living conditions;

d. to assume a duty of care.

There is a link between the basic objective of assuming "a duty of care" and the idea underlying the Prison Department's functions 3 and U. The process of defining at increasingly practical levels the work to be carried out in the prison system has been taken forward in the regions, where the initiative begun at headquarters has received further elucidation. Within each region yearly targets are being set for Governors as a way of translating the functions defined by the Prison Department down through the various levels of the organisation into targets for practical implementation. However, as I saw elsewhere, there is a danger that without a clear statement of aims the process of defining tasks could lose its direction and the definitions be reduced to mechanistic formulae.

IL Comparisons

. Every system which I have visited has produced a detailed statement of aims or "mission". I have noted from official reports and in speaking with senior officials, a concerted effort within the system to formulate the statement in ways which can be more readily understood and translated into practice by staff at all levels. In addition, several countries have a statement of the aims of the prison system produced by outside organisations. 15 The following is a selection from the different systems visited:

(a) United States of America

(i) The U.S. Department of Justice, the branch of government to which the Federal Bureau of Prisons is responsible, has stated the following aims:-

"1. Maintain secure, safe, and humane correctional institutions for individuals placed in the care and custody of the Attorney-General.

2. Develop and operate correctional programmes that seek a balanced application of the concepts of punishment, deterrence, incapacitation and rehabilitation." (US Department of Justice, Federal Standards for Prisons and Jails).

(ii) The American Correctional Association, a professional organisation started by persons prominent in the prison field, has produced its own statement of aims, widely used in the North American continent in prison accreditation (for an explanation see Glossary of Terms in Appendix D).

"To promote practices that protect the basic constitutional rights of inmates.

To operate in a manner that is decent, humane and safe."

The ACA has also described the purpose of the institution.

"Institutional purpose. The institution shall

1. protect society by providing incarceration as an appropriate deterrent to the commission of crime;

2. protect society by providing methods of training and treatment which correct offenders who violate laws;

3. provide an environment for incarcerated persons in which rehabilitation is possible. This shall include the protection of the offender from victimisation within the institution as well as the development of a system of due process and internal legality in institutions;

4. provide meaningful community supervision for offenders on parole and probation as well as develop community alternatives to traditional incarceration;

16 5. provide programmes, which include both academic and vocational education, to incarcerated offenders and offenders being supervised in the community;

6. provide the courts with effective evaluation tools and information for use in sentencing decisions;

7. provide the necessary level of security in institutions." (ACA Guidelines for the Development of Policies and Procedures, p.1).

(iii) The five major goals of the federal system are stated by the Federal Bureau of Prisons itself as:

"1. To provide a level of supervision that is consistent with human dignity and offers maximum protection to the community, staff, and inmates;

2. To increase significantly the number of Federal offenders achieving a successful adjustment upon their return to the community;

3. To provide a wide variety of programme alternatives for offenders, including those who do not require institutional confinement;

4. To provide institutional environments that minimise the corrosive effects of confinement;

5. To increase the knowledge of correctional technology through systematic evaluation and research."

(Federal Bureau of Prisons Breaking With The Past: The Changing View of Correctional Facilities).

(iv) The New York State Department of Correctional Services, which is responsible for running the State's prisons, has stated:

"The departmental mission

To provide for public protection by administering a network of correctional facilities that:

1. retain inmates in safe custody until released by law;

2. offer inmates an opportunity to improve their employment potential and their ability to function in a non-criminal fashion;

3. offer staff a variety of opportunities for career enrichment and advancement; and

4. offer stable and humane "community" environments in which all participants, staff and inmates, can perform their required tasks with a sense of satisfaction." (New York State Department of Correctional Services, Master Plan 1980-1985, p.17).

17 (b) Canada

The Correctional Service of Canada which is responsible not only for prisoners but also for probation and after-care, has produced a statement of its mission:

"the custody, control, correctional training, and rehabilitation of persons committed to the penitentiary." (Correctional Service of Canada, Penitentiary Regulations).

"The primary purposes of the correctional component of the Canadian criminal justice system are to contribute to the achievement of a safe and just society and to promote responsible citizenship by:

1. providing appropriate measures of security, direction and control for the accused or the convicted offender;

2. encouraging the offender's participation, whether in the community or in a correctional institution, in programmes provided and designed to aid his/her successful integration into the community;

3. co-operating with persons and agencies within and outside the criminal justice system to prevent crime and offer services to all persons involved in the criminal justice process." (Adult Corrections in Canada, Manual of Standards in Prisons).

The aims of the Swedish organisation responsible for prisoners and probation (the National Prison and Probation Administration) have been incorporated in legislation:

"Correctional treatment in an institution shall be so designed as to promote the adjustment of the inmate in society and to counteract the detrimental effects of deprivation of liberties. In so far as this can be achieved without detriment to the need to protect the public, treatment should be directed from the outset towards measures which prepare the inmate for conditions outside the institution. Preparation should be begun in good time for release or the transfer of the inmate to treatment on parole." (Section 4 of the 1976 Act on Correctional Treatment in Institutions).

18 In these various statements of aims there is a blur between the overall objectives of the system and their translation into work targets. I am not arguing for a sterile academic separation of these elements. What is important is that any statement of work targets be accompanied by, or incorporated into, a statement of general purpose, so that there is a guiding idea linking the various practical directions towards which the work flows. Every organisation 1 needs a sense of direction; the concept of mission provides precisely that.

The various examples quoted above rightly incorporate general aims and more specific functional targets. They demonstrate that the point of articulating general aims is to help in developing a coherent set of practical objectives, 1 that may be understood at all levels of the organisation. It is obvious from the statements that different countries still have problems in articulating 1 clear and concise aims. 1 These examples also show a marked contrast between the North American and the Swedish approaches. The North American statements tend to be more explicit than the Swedish. The Swedish system does not appear to have any more detailed internal formulation of tasks relating to aims. It is relatively small and appears to have a general belief system reflecting that of Swedish society. 1 This may in part explain why there is no need to be more explicit about the tasks of the prison system.

It is possible to go back to a stage when there appeared to be fairly general agreement about aims in the English system. Hence the tasks were not in need of II further description, because all levels of staff seemed to be aware of why they were in the Prison Service and how they ought to operate. Since then the system II has become more complex and is now a large bureaucracy. People would still like to believe that there is a general community of feeling and service identity as well as identity of aims. The hankering by some for a return to the Prison 11 Commission is evidence of the perceived need for a sense of identity, which the MR Commission reflected. Regrettably that sense no longer exists and those days will not return by wishful thinking. The organisation has to take account of the confusion of the previous generation. 1

For ethical and practical reasons there is a need to go further down the path of defining the aims of the prison system and of translating them into tasks. No longer can the operation of individual establishments be left entirely to the discretion of individuals, no matter how well informed and professional they be. This is as true of prison Governors as it is of prison officers or specialists.

19 1 I have introduced the examples to show the need for a combination of general aims and specific targets, which are conceptually linked, and which all can recognise and support.

Having alluded to the importance of this link, I shall draw from the examples certain underlying assumptions, which are important as instruments for translating the aims of the system into more practical objectives. These are basic principles which transcend the immediate context. I shall deal with them in the following order: individualism, relationship and activity.

(a) Individualism

I assume that in any organisation it is the people within it who matter. It follows for the prison system that both staff and inmates need to be treated as individuals. If the organisation is to be run for individuals there must be concerted planning involving

(0 individual staff members at all levels and I (ii) individual prisoners.

From what I noticed abroad it was the concentration on the individual staff member and on the individual prisoner which distinguished those better organisations from those which did not appear to be functioning as well. This a was the fundamental proposition underlying much of their organisation; it seemed closely related to morale as well as to effectiveness.

Individualism is in line with the recommendations of the Control Review Committee Report for individual planning for long-term prisoners; it used to be enshrined in the belief system of the prison service and, despite considerable problems of overcrowding, the present service should return to the principle and extend it to all those in its care, whether young offenders or adults, male or female, sentenced or unconvicted.

An individualistic approach has equally important implications for staff. Mr Justice May referred to the need for individualism and the establishment of • P7 within the prison department recognised the importance of this principle. 20 Individualism implies personal recognition and accountability. Assignment on an individual basis both for staff and for prisoners, according to expertise, 1 talents or needs, brings human resources to the forefront puts them to the best use. That in turn implies options for staff and prisoners in terms of work, activity and facilities. In some of the places I visited it was the facilities for staff which immediately caught the eye. Perhaps it is not without significance that it was also those places where staff were apparently able to operate with the highest degree of professionalism and where as a consequence the atmosphere was good and purposeful. 1

(h) Relationship

It directly flows from the concept of individualism that the crucial relationship is that which exists between the staff member and the prisoner. Indeed, I would echo the statement of the Control Review Committee:

"nothing else that we can say will be as important as the general proposition that relations between staff and prisoners are at the heart of the whole prison system and that control and security flow from getting that relationship right." (Control Review Committee Report, para. 16). From what I saw there can be no doubt of the validity of that statement. a The emphasis on personal relationships was evident in the institutions visited, not only in the internal relationships between staff and prisoners, but also in the relationship between the prison and the outside world. Again where this was most noticeable, it was notable how this eased tension and reduced stress. It manifested itself most commonly as an ease of communications between all parties: staff, inmates, lawyers, business folk, professionals of all sorts and, of course, personal and family visitors.

Freedom of communication is of such importance that it could almost be annunciated as a principle in its own right. It is, however, an illustration of an approach which views relationships as of utmost importance whether within the II prison or between inmates and the outside world. Breaking down of physical barriers is another manifestation of the importance attached to relationships and individualism. This can be seen dramatically in many of the places I visited, particularly in their relaxed visiting accommodation, the frequency of visits, and arrangements made for contacting families and lawyers by telephone. (This includes the facility in many North American prisons for the prisoner to

21 reverse the charges from internal "call boxes" available from 7 o'clock in the morning till after 10 o'clock at night).

It can also be seen in fundamental design elements, such as small units.

The Federal Bureau "operates a policy of decentralized and dedicated management teams within each of the separate housing units in its institutions. The teams are staffed with motivated and well trained people who have an ability to mix and communicate with the aim of breaking down psychological barriers and becoming familiar with inmates worries and problems at the lowest levels."

This is facilitated by architecteral design which encourages staff and prisoners to intermingle and reduces physical barriers.

"The design of an institution should encourage informal contact between inmates and staff, organised around small management teams and plant to enable staff to oversee and control in an unobstrusive manner and without confrontations." (Home Office Prison Department, New Directions in Prison Design, p.79).

Design features can, of course, enhance the possibility of this taking place but ultimately it depends on the quality of staff and the attitude of all within the institution.

I Perhaps the most striking feature of those prisons visited was the attitude of towards activity held by management and staff. Coming from a system where so many prisoners are idle in their cells, I was impressed by the uniformity of assumption that any prisoner who is left in his cell (other than when placed 1 there for due process) is a threat to security or control. This assumption has led to the practice of giving prisoners the opportunity to be unlocked from first thing in the morning to last thing at night: unlocking from 6.30 am until 11.0 pm was not uncommon.

On innumberable many occasions, it was brought home to me that an idle prisoner is a dangerous prisoner. Apart from the assumption that activity was fundamental in achieving and maintaining control and security, activity was also 1 seen as of

22 value in itself, because it enhances both the life of the prisoners and the work of the staff. It should be said that it was seen by some as valuable because of its punitive connotations, i.e. society outside would not wish a man to be imprisoneeand then to sit idly doing nothing; rather he should be involved in some activity rather than "having an easy time of it". The soft option in North America was the person sitting in his cell doing nothing and much of the pressure to keep people active results from these assumptions. The punitive 1 approach to activity holds true for sentenced prisoners; it does not apply to those on remand, for whom activity is seen rather as access to the means of dealing with the court process and keeping in touch with the family and the 1 local community prior to conviction or acquittal.

The emphasis on activity goes hand in hand with the norm of unlocked cells throughout the system. Even where prisoners do not work, they are at least in 1 association, although in some situations this time is not filled with purposeful activity. This characterizes the remand situation more than it does the pattern for sentenced prisoners; for them a high degree of involvement in activities throughout the day was observed and is generally seen as essential, tf the life of the prison is to continue both normally and properly.

Individualism, relationship and activity come together in the widely shared concept of dynamic security. This approach to safety for the public (preventing prison escapes) and safety for the prison (internal control) recognizes that I both are only really possible through the relationship between staff and inmates. Dynamic security is knowing what is going on in a prison 1 establishment, in addition to providing a safe and secure background against which the whole range of activity making up the life of a prison takes place.

Although it is not a common concept in this country, in North America it assumes an overriding importance in terms of justifying all the above three principles. "How can I achieve security in this prison without having the right relationships, dealing with the individual and having all my prisoners active?" It is this approach which has also led to a different emphasis on physical security and mechanistic functions. I am not overlooking the obvious import of the armed perimeter, whether in the form of guard towers or armed perimeter vehicles in North America. The systems which I observed may not all have solved their security problem. However, New York State claimed that, as a result of 1 their concentration on these principles, particularly activity, escapes and assaults on staff had been dramatically reduced. "Escapes and assaults on staff are down. The number of escapes is down a third and New York State now has the lowest escape rate of any state in the country." (Deputy Commissioner, New York State).

The emphasis on dynamic security, by involving all grades of staff in shared responsibility, also enhances the job content and frees many correctional officers from being nothing but guards. This approach limits the exclusive guarding function and provides multiple outlets for staff to concentrate on a wider range of security and interpersonal issues than in those places, which also exist in the United States, where the concentration is on physical supervision and mechanical security.

"With the recent financial cutbacks we try to work within the allocated dollars. The responsibility is on us to manage. Therefore we have decided to look at the way programmes are manned. We can then decide whether we have to suffer a steno or a teacher vacancy. The unions were not happy but they accepted it in the last two weeks. We pulled posts and reduced security. We kept programmes going because that is better security." (an official at Watertown, New York)

III Implications

It is clear from the above examples that different countries have different aims for their prison system. The English system must find the right statement of its aims, just as other systems have worked toward an appropriate formulation for themselves.

What is clear from these examples is that an abstract statement is far from being enough; the more abstract it sounds the more difficult is it to translate into practice. This does not mean there is no place for idealism; but as well as idealism it is necessary to translate the idea into practical directives. Much that I have seen abroad demonstrates attempts to do that and in some instances superbly well.

The English service has abstract formulations; the treatment model is an example. (Perhaps this is one reason why no matter how widespread the concept of treatment was, it was never consistently put into practice). At the ground floor there was a great deal of ambivalence about what it meant in practice and much of today's disillusionment has spread from an inability to translate that model into an effective working system. Hence springs much modern sceptism as to whether anything will work. My travels have demonstrated that it will.

24 The treatment model is an example of how an objective that is not demonstrably attainable is bound to fall into disrespect. There were no adequate measures of performance; the only measure available was recidivism. That . was not a reasonable measure of the effectiveness of treatment, since it is impossible to assess the influence of the many other factors impinging on prisoners' lives 1 when they leave the prison system. In many ways such a measure was set up to fail the test. The disillusionment that followed has done grave harm to the 1 morale of staff and to the effectiveness of the present system. It has led people to see treatment as totally irrelevant, whereas in certain cases this is far from being so. There is no evidence to show that treatment reduces recidivism but there are indications that, without any attempt at treatment, containment may lead to deterioration.

"Yet it would seem that to throw out the whole idea of good intentions, because most of the time they do not reach the lofty heights they were supposed to achieve, may be to throw out many other values that often accompanied them: human values, the wish, at least, to treat people humanely."

(Graeme Newman "Reaffirming Rehabilitation" in Cullen and Gilbert, page 262).

One senior official in America told me that although they no longer believe in the treatment model per se, they found that the values which went with it were still a very effective way of running a prison and motivating staff, with the minimum of major incidents and control problems. By contrast they had found I that in adhering exclusively to the pure treatment model, initial high idealism had turned to cynicism; this resulted from a sense of failure, when staff did not achieve what had set out to do.

The recurring message was that sights should be set realistically on targets 1 which were measurable and attainable. They should bear a relationship to existing circumstances and not merely to future aspirational aims.

The danger is that disillusionment with the treatment model, or any other model which fails to address the need for practical targets, will lead to the opposite extreme. This might take a variety of forms. On the one hand there might develop the tendency towards purely negative, though practical, goals; this might be exemplified by the Florence Nightingale principle, not to do the patients any harm.

Alternatively there is a danger, in the absence of clearly stated, attainable goals, of focussing exclusively on the readily articulated goal, security, which can easily be measured by an absolute criterion of success: absence of escapes. The goal is demonstrably attainable, though not without difficulty; and for staff who do a difficult job with very little satisfaction it is not surprising that they readily seize on the attainment of a secure prison, as at least one way of demonstrating that they have had a successful day's work. Indeed, this is the first of the four functions articulated by the Prison Department and close attention has to be given to its proper performance. In the absence of other measurable goals, there has been a tendency to stop there. Over the years this has led to an imbalance in the way in which the functions of the English prison service have been approached.

Morgan and King have pointed out that, whereas training and task definition for the custodial function are clear to staff, this is not true for the functions relating to treatment of prisoners:

"For prison staff, especially uniformed officers, working under a philosophy of treatment and training constitutes a real dilemma. On the one hand they know that their function is essentially custodial. They have to maintain a constant vigilance to ensure the security of the establishment, and to maintain good order and discipline with it. In these activities their role is clear and their training unambiguous. Above all it is perfectly apparent to themselves and everyone else whether they are discharging these activities successfully or otherwise. On the other hand they have been persuaded by the press, the public, prison reformers and prison administrators to concern themselves with the training of prisoners. But here their roles are imprecisely specified - often no more than a vague injunction to be concerned with 'the whole man' - and their own training is short and ambiguous because nobody knows quite what they are being trained for." (Rod Morgan and Roy King, The Future of the Prison System, pp. 17-18).

That imbalance is not peculiar to the English system. Indeed from my observations other systems have gone through a similar process of veering between different extremes in their search for the right balance.

The English prison system now needs to expand its goals realistically to incorporate other principles beyond security. These are directly linked with the four functions already mentioned and are, in fact, implicit in much that has gone on within the prison system and evolved in many different localities. There are individuals and particular establishments working to practical goals, but there is a great need now to formalize them, so that they may be recognised as a set of coherent goals for the whole system, rather than as the objectives of certain individuals and establishments within the system as a

26 whole. Historically, as I have argued, the Mountbatten and Radzinowitz Reports and critical incidents within the prison system of England and Wales have led to a concentration on security. Without security the justification for the prison system ceases. However, if security becomes the sole aim the quality of the system will be measured by "negative" indicators, such as escapes or incidents. The prison system should not be reduced to such terms but measured to reflect the totality of aims.

It is time for some clear thinking about what these aimsare. It is important to decide what role among the various aims of a complex system the aim of rehabilitation should play and how that aim may be put into practice. Other positive, more tangible aims must be balanced with rehabilitation.

It is necessary to decide the extent to which punishment is an aim of the prison system. If incarcerationis in itself sufficient to meet the aim of punishment, then it should be spelt out clearly that the conditions of incarceration are not intended as a means of fulfilling that aim.

The distinction was clearly recognised by Alexander Patterson when he stated that people were sent to prison as punishment not for punishment. Lord Wilberforce in R v Honey has recently restated this issue with his assertion that under English law: "a convicted prisoner, in spite of his imprisonment, retains all civil rights which are not taken away expressly or by necessary implication." (See: Raymond v Honey [1982] 1 All ER 756).

I woüld agree that imprisonment itself is the punishment. This should be clearly stated. The people in the system need to know what is expected of them and the public outside have a right to know that the staff are carrying out their wishes and not exceeding or failing to meet them.

There has to be an overall accountability of the prison service to the public and Parliamentinthe saine way that individual governors and staff feel themselves accountable for the tasks which are now asked of them, however ill-defined they are. The exercise of clear definition is a healthy one, because it forces people to face the basic questions about why they are employed and what they should be doing.

27 It seems that the treatment ideal may sink into oblivion and disuse; but this will leave a vacuum alongside which the pre-existing other aims of punishment, retribution, etc. will continue to survive. Either these remaining aims will tend to become the exclusive aims of the prison system or replacements for or supplements to rehabilitation must be found. A more narrowly defined aim in line with the 'duty of care' concept of the Control Review Committee Report is one possibility. But that too needs to be spelt out. What I would say, however, is that the aims of the prison system cannot be allowed to ebb and flow in an unpredictable way and some clear statement is called for, if the vacuum which I have already described is not to become the aim of the system. 'No message' is in fact a very clear message.

28 B. COMMUNICATING THE MESSAGE

I. The Situation Here

Earlier in the evolution of the prison system the aims of the service were stated in a language carrying a strong ethical message. There was a real or perceived sharing of moral values which finds an interesting parallel in modern Sweden. I shall return to that analogy later when I discuss other examples.

The English prison system is now at a stage of development where that sense of community has gone. As a result there has been a loss of identity which is widely felt among all staff. There have been recent moves to articulate a set of practical definitions of the functions of the system. The service has veered away from the moral message to a concentration on the technical problems of making things work.

I shall now look at examples from other systems which have passed through very similar phases and have developed somewhat different approaches and conclusions. In the light of other countries' experience we need to tread carefully so that we do not jettison much of importance which has tacitly held the system together over the years.

II. Comparisons

It is apparent that in some other systems the conviction has developed that you need both simple messages and an elaboration of practical details. You need them both to succeed. We can see this in the mission statements, which do not exist in isolation, but have alongside of them quite extensive directives about how to translate those ideals and aspirations into a set of workable targets. We can see characteristics of systems that have developed that understanding: the organisational structure reflects the prevailing philosophy. A combination of aspirational objectives and functional directives are communicated through clear lines of responsibility. The definition of the functions rests on the objectives. The organisation passes the message down through the various layers so that the functions describe what will be performed at all levels; therefore the message is addressed to staff at every level in the organisation. The structure is reinforced by lines both from the top and the bottom which emphasize that message. It can be seen in examples of staff training systems and effective communication systems within the organisation.

29 This is not merely a sterile academic exercise. In other countries it is seen as one of the fundamental requirements for effective management and successful delivery of services. In recent years people have begun to understand the importance of management principles for running large organisations, whether Uusinesses or large bureaucracies. There is some measure of agreement in the public and private sectors about certain fundamental principles for how to run large enterprises; the prison system is one such. The baseline of their thought has been more clearly articulated in the private sector; unambiguously, it is motivating personnel within the organisation. "Almost everyone agrees people are our most important asset!" (Rene MacFerson, former chairman of Dana, a major American corporation).

"IBM's philosophy is largely contained in three simple beliefs. I want to begin with what I think is the most important: our respect for the individual." (Thomas J Watson Junior of IBM). (Selection of quotes from Peters and Waterman, In Sear;ch of Excellence).

People who have studied the way successful large organisations work have noted that these ideas translate themselves into a combination of achievable targets and a simple statement of objectives which creates the conviction that the task is inherently worthwhile.

In all my visits I observed a remarkable degree of agreement among all members of the organisation at different levels about the recurring message. The American federal system is particularly noteworthy in this respect. Whether talking to Norman Carlson, the Director, or to the newly joined correctional officer at one of the facilities visited, I heard the same message with the same degree of conviction. People knew what they were about and were convinced that this was the best way to do it. I shall quote a conversation with one correctional officer from New York State to illustrate how he was aware both of the overall aim and the specific task of his own institution, Watertown.

"I have a job as correctional officer in New York State. I am proud to have this job in corrections. Our job is care, custody and control. .... Times have changed all the way round. With programmes inmates are not idle; idle prisoners are trouble. Programmes provide incentives for them to better themselves. With programmes it does the same for us and programmes provide additional jobs for staff; it is a sales point."

30 This officer was aware, not only of the general message, but also of the specific one as how to operate in Watertown. His conviction that programmes were a way forward in carrying out the basic aims of care, custody and control is summed up in his powerful imagery of the change in recent years. "There was a wall ten years ago. No longer." 1

He was using the imagery of the prison perimeter to refer to the elimination of 1 barriers of communication not only between staff and prisoners but also within the administration.

III. Implications

From the foregoing examples I have drawn out the lesson that organisations are only as good as the individuals in them. They need motivating. They also need practical task definitions; but that is not what motivates them. It is a sense of purpose that lies behind task definition that moves people, as does the way in which the message is personally communicated.

People in organisations need to feel that there is someone who knows what it is all about, cares and is running the show. Beyond that they need to be convinced that it has a value, that it is worth being a part of the organisation. Its value is defined not only by those who are part of it, but those outside. The English prison system needs a more articulate formulation of aims and functions and part of that work is underway. It is an exercise which must be carried forward inside and outside the prison system. My experience abroad indicates that once the aims of the system have been clearly defined, the important next step is for management to take on the message and understand its importance for 1 the work of operatives and managers alike.

Illustrations can be found in many different fields but perhaps that of staff training is worth quoting. Communicating the message means establishing and keeping open lines to all members of the organisation. The content of staff training programmes must reflect this overall purpose and the importance placed by management on getting the message across. If it is not done at that stage, then it is difficult to see how it can be done successfully at any other.

In the United States federal system for example, the Staff Training Academy at Glynco in Georgia presents a series of programmes for training correctional officers in correctional techniques. The course specifically concerned with custody, security and control begins not with security techniques but with training in prison system objectives. It covers the three primary I responsibilities that all correctional workers share, namely security, programmes and job speciality. Thus a course designed to deal specifically with security matters starts out by stressing the inter-relationship of the various functions, of which security is but one.

The orientation towards managing people is even more clearly visible in the lesson entitled "Inmates are People Too!" This course leads the officer through a number of key concepts about the relationship between people working and living in the institution. (For further details the outlines of these lectures are provided in Appendix B, Items 5 and 6.)

A similar approach isevident in New York State where, on a visit to Clinton, I found that the annual training programme requirements for staff showed a 50% split between time spent on personal relationships and that on legal mandates, weapons, use of force etc. The minimum number of hours spent by staff each year was 32. (NB this falls below the ACA standard of 40 hours per year.) This approach is found not merely in the federal system, where there has been some 15 years of continual development of these ideas, but also in New York State. A prison system operating against a background of violent crime, prison disturbances and pressures of numbers. Even there, following the Attica disturbance in 1973 and the guard strike in 1979, there has been a tremendous impetus toward "a programme push" and relationship training for staff has been set in motion.

I New York State is a particularly important point of reference, because they are going through problems of overcrowding and of financial crisis which are somewhat analagous to our own. Many of their prisons are under the most appalling pressures. Yet they recognise that to surmount these problems they have to implement measures now, in order to take control of a system which for many years has been in crisis. They have recognised that crisis management is no way to solve the problem in the long term. Following some particularly acute upheavals and crises the New York State Correctional Services, under their Commissioner Thomas A Coughlin, produced a master plan for correctional services which clearly spells out the way ahead.

The message about the aims of the prison system needs incorporating from the start, commencing with basic training; it must be reinforced at regional level and in training at establishment level. The connection must be demonstrated between basic aims and day to day work and task definitions for the individual.

32 This can only be achieved through training, retraining and refresher courses. The message must be incorporated in the training manual at Wakefield and in the Prison Officers Handbook. In the preface to the handbook the aims of the prison system could be helpfully and more clearly elucidated. 1 I conclude that it is necessary to define the overall aims of the prison system. The Prison Department must translate the overall aims into clear directives for those working in the system. It must produce its own master plan interpreting the aims into practical tasks. It will then be for the Inspectorate to assess the performance of those tasks in the light of the overall aims.

33 I CHAPTER 2: TASKS

A. DEFINITION: what must be done to achieve the aims

I. The Situation Here

This chapter will discuss the primary tasks which are of interest to those managing the system. It deals with what is in the first instance an internal exercise, although ultimately one of interest and concern to those responsible for external monitoring, such as the Inspectorate.

Tasks do not arise in isolation; as I have previously discussed, they must be related to the overall aims and aspirations of the prison system. The relationship between the defined tasks and the aims of the system must be clear. Once that is established it is possible to define clearly what the functions and the tasks are.

In case this sounds very abstract, let me take an actual example. If rehabilitation is one major aim of the prison system, then the functions of the prison service must be defined to make it abundantly clear how to put rehabilitation into practice at ground floor level. Similarly, if punishment is another major aim of the prison system, then definition of the functions must include practical directives as to how best this is to be achieved, making it clear that the conditions of incarceration themselves are not intended as a means of fulfilling the aim of punishment.

With this approach in mind the Prison Department's statement of functions should be further elaborated and reworked. The link must be drawn between the aims of the prison system and the functional definitions.

II: Comparisons

It is interesting that functions which in this country have tended to be defined as discrete and separate areas are defined in other systems in ways which emphasise their inter-relationship rather than their discrete quality. So one may find that security, control and what has been called 'programmes' are treated as interdependent, both in terms of the definitions of functions and in terms of practical implications. Particular definitions may vary somewhat, but there are easily recognisable common strands; the manifestations may differ from 34 one context to another, but some of the ideas and their applications are similar.

One of the ideas I have seen at work in other countries is dynamic security, velichlinksall the flrictions of security, control and programmes and is readily recognised as a synthesis of these functional elements.

"In order to stop security predominating over programmes, then programmes and security have to be closely intertwined. Programmes are security. If we don't keep inmates busy, they'll keep us busy." (Norman Carlson, Director, Federal Bureau of Prisons).

Dynamic security has implications for reducing control.problems. The Vantour Report, addressed the level of violent incidents in Canadian prisons, and its relationship to the traditional approach to security:

"Notwithstanding our desire to minimize the incidence of violence, we must state emphatically that more security - more fences, doors and gun cages - is not the answer. Short of total lock-up, inmates will come in conflict with one another. Furthermore, a more repressive system will simply produce more inner-directed violence (suicides) and system-directed violence - collectively in the form of riots and individually in the form of assaults on staff." (Report of the Study Group on Murders and Assaults in the Ontario Region, p.1, hereafter called the Vantour Report).

I have seen many approaches to security and establishments have not always succeeded in putting the idea into practice. When relationship and individualism come together in planned activity, whether in a high or low security setting, the result is a relaxed and better ordered prison. Staff and prisoners seem to feel it was a better and safer place to live and work. In my experience the worst establishments visited were those which failed to recognize and put into practice these basic principles.

The three principles of individualism, relationship and activity serve to bridge the gap between the system's aims and the tasks to be performed. Owing to the limits of this report, it is impossible to analyse in detail the many examples, contained in a wealth of documents assembled from the systems visited, of how the overall aims are translated down to the level of work targets for discrete parts of the system. I provide one example of this process of reduction down to the level of the living unit (see Manual on Unit Management, Raybrook p.2 ff in Appendix B item 7).

35 III. Implications

Dynamic security is not unfamiliar to those working in dispérsal prisons in this country. Some establishments in the English system actively embody it, though not expressly defined in the terms: "dynamic security". Nevertheless, many people working in and outside the prison system recognize that good relationships and activity are an essential part of running a successful prison, particularly the most secure establishments. This is but one example of the way in which good ideas exist in the present system, but need to be more clearly stated and drawn together as a coherent and understandable package.

In presenting the package it is necessary to underline the interdependence of the different functional elements, because that is the best way to ensure a balance. Getting the right balance of aims is the pre-requisite for getting the right balance of tasks. If the system recognises that it is involved in such a balancing exercise, then it can organise itself to assess how it is managing to do that and, equally, from beyond the system, assessments can be made about its performance.

The functions of secure containment, court services, provision of a full life and maintenance of community links, have already been spelt out for the English system in Circular Instruction 55/84. They imply a duty of care which concerns the prisoner here and now, rather than the ideal of changing his behaviour in the long run.

There is an implied underlying ethos; it needs to be spelt out much more clearly, because without it it is impossible to know whether there is a priority among the functions stated and how they are to be successfully integrated. In many places the functions of court service and containment have taken the ascendance, the former as a response to external demands because their translation in practical terms is more readily achievable than the functions of providing a fuller life and maintaining community links. One of the purposes on this report is to suggest ways of redressing the balance.

The danger is that the former two functions can be performed at a mechanistic level, though not without detriment to those concerned; but it is hard to see how the latter two can be reduced in this way to a mechanistic level and sound management will be needed to ensure that the right balance is actually achieved and maintained.

36 B. IMPLEMENTATION: How to perform the defined tasks

I. The Situation Here

There is a consistent move now taking place towards greater management I accountability. This inevitably involves the necessity to look in greater detail at tasks and functions. The move has recently led to an emphasis on financial accountability. There is a danger that the focus will be concentrated on accounting for resources in the narrow sense. Financial accountability should serve functional accountability. That will result in true efficiency: the highest achievement of prison service aims with the minimum of resources.

There are signs that functional accountability is beginning to take hold; regions have been involved in operational assessment for a number of years. They are now refining checklists for assessing how establishments operate and are beginning to ask for functional definitions at different operational levels with a specific time limit. Thus the Regional Management Committee for the South West Region has recently made the following statement (7 June 1985):

"Objectives are to be established subject to annual review which the Regional Director will approve. This will form a sort of contract with the establishment. Objectives in this context must include long-term measures and will need to incorporate some performance standards for regime matters.

These objectives should lead to a list of operations which are agreed as making up the regime of the establishment. The target for this to be completed could be by the end of October. .... Governors should reduce the operations list to tasks in order to identify individual pieces of work for staff". 1 This development, which is taking the process of work definition down to grass roots level from the circular instruction, is a constructive move. Unless my earlier points about more clearly defining the aims and getting the balance right are borne in mind, there is a danger that each region will set its own norms.

At the end of the day if management is going to be in control and know what is going on, it will be necessary, even at the basic level of costings, for each region and each establishment to be measuring the same data. Real levels of performance achieved could then be compared. It is at present possible for 11 similar establishments in separate regions to proceed on different lines in interpreting what should be a common policy and for them to be monitored according to carious or inconsistent criteria. 37 This does not mean however that the system should be a slave to uniformity; a certain degree of variation is necessary, desirable and healthy. Nevertheless each establishment must face in the same direction and striee towards the same overall and clearly defined aims. What is needed is a uniform system, but not necessarily a uniform management style.

The end product of the move underway now will be a series of checklists developed at ground floor level. These will state tasks which can be measured both quantitatively and qualitatively. Theoretically the underlying concept is sound; nevertheless there is the danger of it becoming a dull, repetitive, mechanistic operation and of the exercise becoming an end in itself. If this happens there will be no benefit to any of those living within the institution. There is a danger that this process could merely produce more paperwork a risk I deal with later.

I must also mention the caveat that what sounds very neat and logical in theory, can prove more complicated in practice, as anyone who has worked in an . establishment knows. Life is rarely as simple as theory implies. This is true of the prison system, where random external demands continually impinge. The two most obvious demands upon the prison system, over which it exercises no control, are court requirements in relation to the judicial process of deciding innocence or guilt and the results of the sentencing process which determines the number of prisoners and the length of time they will spend in prison.

It will never be possible to develop a tight control mechanism either in terms of financial management or service provision, because of these wide fluctuations. Nevetheless this is no excuse for sitting back and letting nothing happen. The sooner the task can be spelled out as I have earlier urged the more rational will be the system's response to these outside influences, which affect the prison system far more adversely than necessary.

IL Comparisons

The principles of individualism, relationship and activity occupy a half-way house between aspirational aims and operational tasks. The most useful way of looking at the examples from other countries is to view practical detail in the light of these current themes thus providing a valuable guide as to how to approach the job of translating aims into practical work tasks. I found a

38 planned network of activity which embraced the principles of individualism and relationship. These principles were reflected in a number of key areas of management practice.

(à) Planning for the individual

The network of activities was characterised almost everywhere I went by individual planning, in some areas carried out to an extremely high level of sophistication; indeed it might be described as almost over meticulous. For example, the Swedish system shows an interesting approach to consulting the inmate as a consumer and tailoring activities, whilst he is in prison or outside on parole, very much to his individual needs.

This goes hand in hand with the idea of the prison system as being in loco parentis, while the prisoner is in its charge, which leads to an almost paternalistic way of dealing with prisoners, reminiscent of an earlier era in the English system. The analogy does not fit our present day thinking; but it is cannot be emphasised strongly enough that treating the prisoner as an individual has tremendous pay-offs, not only for the prisoner, but also for the atmosphere within the etablishment and for the individual satisfaction of members of staff involved in the process.

An example worth quoting is the case of one of the very few lifers in the Swedish system. He was in a security establishment, but,having been treated for drug abuse, he was no longer able to be treated with the appropriate drugs within the prison; these drugs however could be obtained outside and after a great deal of deliberation it was agreed that he would attend the local hospital without escort, in order to have the necessary drugs administered. He was placed on trust and would be out of the establishment for anything up to an hour before having to report back. This difficult decision involved balancing public safety, security, control and treatment considerations. The problem was considered carefully with input from a large number of staff. Ultimately the decision rested on their knowledge of the prisoner as an individual. Enough of the staff knew him well enough to make the decision despite the risk involved.

Planning for the individual has implications for and should influence the long- term planning of the organisation and not the other way around, as tends to happen now. Prisoners are often fitted into the straitjacket of the existing regime. By aggregating the plans for individuals one can establish the need for the long-term provision of facilities. The projection will need periodic revision in the light of new information, but it represents a rational way of planning. 39 Equally staff can be similarly restricted and close attention must be paid to the role and individual needs of the people who work in prisons. Once it is decided to plan on an individual basis, it is a great advantage to have the use of modern technology to back-up the strategy with current information. I shall look at this in greater detail in the next chapter.

Ultimately the reorientation of approach suggested here leads to the provision of options which have been developed on past experience of individual need. The process begins by approaching the prisoner as an individual and discovering what his needs are; as he progresses through the system it is necessary to monitor and to obtain feed-back from him as to ways in which the plan should be amended, so as to take into account the progress or setbacks encountered. This means a continuing involvement of individual staff, not only in the development of the original plan, but also in the process of adjustment to the variety of responses received.

If individual planning is to be truly flexible, there must be a degree of flexibility within the overall system of classification. Robert Smith, in his recent, unpublished, review of categorisation procedures, has pointed out a traditional tension between attempts to classify prisoners for security risk purposes and the pressure of available accommodation. There is a danger that an individual will be put into an accommodation slot with certain security implications, and will carry that classification throughout his career, without the necessary attention to changes in his response, which could lead to downgrading and move to another establishment.

At the other extreme, however, there is a danger highlighted by Professor Carson in the Report of the Advisory Committee to the Solicitor General of Canada on the Management of Correctional Institutions. Although impressed by the attempts to structure decision-making with regard to the transfer of inmates, he wondered whether the policy (known as "cascading") of a regular review of individuals for transfer to lower security levels had not contributed to the excessive movement which has characterised the Canadian service in recent years.

His Committee agreed that offenders should be afforded some increased freedom and a normalising of their environment prior to release. In this respect, he commented that the service's policy of cascading was essentially sound and intended to be cost-effective. However he questioned 'whether offenders should be relocated if this entailed an interruption of vocational, educational training or other self-development programmes. He observed that transfers which interrupt programme plans occurred, in Canada, much too frequently. He was 40 concerned to hear that many individuals may well be cascaded prematurely to accommodate inflow, which often resulted in a failure of the inmates to adapt. This in turn led to a subsequent return to higher levels of security. Any viable system needs to build into itself the capacity for planned change.

The ability to Plan on an individual basis may be severely compromised by the pressure on numbers. I have seen in the New York State system that there is a gap between the aims, as expressed by the Commissioner and his staff, and what it is possible to achieve in some very old, decrepit and overcrowded facilities. Nevertheless, in New York State, despite all the difficulties, the fact that these aims have been clearly spelt out and are now universally recognised has made a significant difference. New York State has had its problems, including crises like the Attica and Sing Sing (Ossinning) riots and the guard strike of 1979. Yet, as a result of these moves, New York State now claims to be the only state which has avoided the litigation which is endemic in every other state. There was a time when there was a vast amount of litigation, but the system is perceived at the moment as making strides in the right direction and in certain facilities succeeding against almost all the odds.

Despite the pressures of space and old and inappropriate buildings, the morale of staff and industrial relations have improved significantly because of this new approach.

(h) The manageable group.

As I became aware of how other systems have incorporated the idea of individualism and relationship into practical organisation I recognised that these ideas have important implications for physical design and the grouping of people. The best examples were where there was an integrated approach to all tasks.

I shall choose some examples to highlight the best features. Let us, by way of illustration, look at the example of the federal institution at Ray Brook in New York State. Ray Brook is a medium security establishment designed to hold 480 prisoners but at the present moment with a population of 800, because of the pressure of places in the federal system. It is organised around units of a hundred and fifty, split into two groups of 75. This is a manageable size of unit.

141 There are organisational and architectural features which obviously come together ip the design of this new establishment. For example, the physical features are designed to enhance the ability of staff and prisoners to relate within the group; supervision for staff is based on the group notion and is comparatively easily attained, as compared with the design of so many our own prisons.

Ray Brook is has only been open for four years. It was originally the winter olympic village near Lake Placid and was designed initially so that athletes could be protected from terrorist attack. It was also designed in the knowledge that the Federal Bureau of Prisons would be taking it over to use as a medium security establishment. The newness of the design obviously has advantages; the architecture was clearly planned to promote the unit living approach.

There are of course other examples in the federal system of older buildings that have been adapted in line with this philosophy and one such visited was the penitentiary at Leavenworth. It is the major maximum security establishment after Marion (which replaced Alcatraz). In spite of the architectural difficulties of breaking down huge old "ranges", the architects and works staff had done a good job in dividing the wings into discrete and manageable units. A further example is Lewisburg, another old penitentiary.

There has been discussion about new designs in this country since the original Control Review Committee visit to America in January 1984. In 1985 the Home Office Working Party on New Generation Prisons, published its report, drawing out basic principles of modern american prison architecture. The report points out that whilst architecture can help in supervision and grouping, at the end of the day of far greater importance is the personal contribution made by staff. It discusses examples of "manageable units" and provides diagrams of dayroom layout.

A day room, as an integral part of the overall design features, makes it easier to have informal and structured interaction between staff and prisoners,provides an escape from being "ranged up" all day in over-crowded cells and in some degree mitigates the worst problems of overcrowding. The day room was found across North America and in Sweden. Some of the plant features of older prisons actually present barriers to this process but they are not insuperable, as is evidenced abroad and by some of the older prisons in this country.

I am convinced that even within our existing building it is possible to adopt the manageable group approach, or what the North Amercans call the living unit . Underlying it all is the concept of "dynamic security", to which I have already referred. Because it is part of the manageable group approach it is worth discussing in some detail here how it can be implemented.

What does dynamic security mean in practice for staff? It means that every single member whd goes through the gate sees himself/herself as having a responsibility for security and control; this appears to reduce the number of staff who have to be employed in mechanical tasks in relation to security and to reduce the polarising effect between staff and inmate of having staff who primarily guard. It also reduces the polarising effect between staff who see themselves as totally involved in guarding and staff who see themselves as involved in other more generalised tasks with the prisoner. Individual members of staff may have areas of expertise but they do not operate exclusively in that area and all staff can be called upon in time of incident to help resolve it. It depends on considerable knowledge on the part of staff about each individual inmate, so that early warnings can be given as to when trouble is imminent or an individual is likely to be involved in it.

The Regional Director for the North Central Region in the American federal system extolled the virtues of the living unit and described how it is impossible to get along without it today. One of the reasons, as he explained, was that "everyone in the unit team can do the job." It may be that the unit manager himself will take the keys when necessary, but on certain occasions the case manager, who is under him, could also do the same. When necessary other support staff (here we would see them as specialists) also act as guards.

"Everyone is a correctional officer - you get back to where inmates are. Everyone acts together."

In a well integrated team like this, the barriers are broken down between the different types of staff, reducing staffing distinctions. There is no longer the breakdown between line staff and experts and specialists; all are professionals. A large degree of reorientation in management and training is required. As the Director of the Federal Bureau told me:

"Staff training has done more to help the Federal Bureau than any other factor. Everyone is trained together; all staff have the same curriculum - psychologists, correctional officers, etc. This has helped us instil the notion of one service. All staff wear the same uniform. Not we/they. We/we together. The total mission, not just the custodial mission."

4 3 Of course individual staff have particular areas of expertise, because of their individual talents and inclinations. The advantage of the living unit idea is that it allows these individual areas of expertise to be developed and integrated into the armoury of the combined team under the group manager.

The living unit can be a flexible vehicle for allowing much more variety, not only in placing prisoners in separate locations, but also in providing an individual approach to his needs, whether they be security, control or social.

The visible and impressive effect of this was the sense of personal identity and job satisfaction which staff exhibited; they were tremendously proud of the service which they represented. They projected themselves as deeply involved professionals making a worthwhile contribution to one of society's biggest problems. Their contribution was individually recognised both within the unit, which was small enough for their contribution to be conspicuous, and also within the larger framework, where it was obvious that they mattered.

Other people have noticed the value of this system and the Deputy Commissioner of the New York system told me

"We would like to emulate the federal system whereby all correctional staff are trained together. We very much admire this approach; the split can be ameliorated."

When talking to a senior representative of the Correctional Service of Canada I heard a similar point made. I was told that this approach had been promulgated in a number of Canadian establishments, but that a high security prison, Drummond Institution, had been specifically organised so as to examine the fullest potential of training and using staff in this way.

It would be easy to write-off the examples I have taken from other systems as irrelevant luxuries, given the pressures of numbers and resources which the English system faces. Therefore, I would emphasise that places like Raybrook are dealing with almost twice their intended capacity and that New York State exhibits all the problems of the English system, and more besides.

The approach described has been developed abroad as a means of deploying limited resources as efficiently as possible to cope with all number of pressures

44 internally and externally. Central to this approach is a clear outlining of tasks for the prison service and for individual establishments to promote both financial and policy accountability; it leads to the more economic use of resources, because priorities have been worked out in the first place as to the aims and the main thrust of the system.

It is only when the service has decided what to do with the prisoners in its care that it can translate that decision into a more meaningful use of its resources. When I talked to people in North America and Sweden, they were not blind to the economic consequences of what they were doing, nor were they describing it simply in terms of moral imperative. In practice their approaches varied considerably. It has to be said that direct line accountability was far more highly structured in North America than in Sweden. I can contrast the experience of Sweden because there does appear to be greater luxury in the provision made for prisoners than in any of the other countries visited.

The base-line of my argument is summed up by the Director of the Federal Bureau of Prisons who sees programmes and security as closely intertwined. He told me:

"Programmes are security. If we don't keep inmates busy, they will keep us busy".

He was using the word "programme" in precisely the same way as I would wish to define activity, that is the planned use of time. The two ideas which I have discussed earlier, that is individualism and relationships, are predicated on the concept of activity. It is nonsense to talk of individual planning if you are planning a vacuum. From a humane and security point of view it is no longer satisfactory to justify keeping people locked in their cells throughout the course of the day without recourse to activity. This a blot on the penal landscape. Those with a local or dispersal background are particularly aware of just how corrosive and counterproductive that can become.

Activity means different things for different types of prisoners. Remand prisoners and sentenced prisoners present different problems and needs. It is not sensible to involve remand prisoners in activities which are only meaningful when the individual is going to be in the establishment for a long predictable time without interruption. There must be different strategies for activity which address the short-term, even urgent, interests of the remand prisoner, as well as the longer term needs of the sentenced prisoner. Staff must plan activity so as to reflect these differences and to create opportunities for positive involvement.

115 A feature of the successfully run system in my experience is the clear line of accountability and management structure which translates the overall aims down through the organisation to specific tasks and job descriptions for staff involved in day to day contact with the prisoner.

If the prison service manages its human resources properly, then it can overcome the limitations imposed upon it by antiquated plant and move forward in this direction towards more activity planned on an individual basis and, in the long run, around smaller groupings of staff and prisoners.

The point was perhaps best exemplified at Clinton, a very old prison and one which in many ways falls short of the ideals about which I have been writing. The Deputy Warden mentioned the greater emphasis on programmes over the last 13 years.

"This dates back to Attica. Programmes since then have expanded considerably. They have improved security and control - there is now less confrontation. The aim is to keep him occupied. The biggest problem_is to make programmes meaningful so that the prisoner can get some sense of satisfaction from them. To keep him well motivated in an old place like this is very difficult but necessary."

When I asked how many sentenced prisoners were transformed into model citizens, the answer was:

"Very few. Many occupy their time privately - oh yes - it does prepare them for production lines on the streets, but my first concern is safety in this facility and programmes promote the safety of staff and prisoners."

This approach was pragmatic. The Warden saw this as the way to keep the prison functioning in the best interests of staff and prisoners rather than as a means of achieving a vague rehabilitative goal.

III Implications

The recent move in this country towards functional as well as financial accountability provides an opportunity to incorporate the fundamental principles which I have seen at work elsewhere. This is still in its early days and part of my report involves making recommendations in this area.

I reiterate that in developing this approach it is necessary to link it directly to the declared aims of the system which provide a moral impetus and a way for staff to identify more readily with the complex task they face. Defining functions so as to hold people accountable is not just a dull paper exercise; it

146 is not simply a matter of telling and informing staff and extracting information, but also of involving staff, improving morale and enhancing a sense of purpose. The three principles which I have already described become the link between the overall aims of the prison system and a set of practical tasks for service delivery. Defining the functions cannot be viewed as if simply in a vacuum, because this would reduce them to sterile mechanistic devices. Prisons have to deal with people and the service needs to know how to integrate the above principles in order to make them understandable to all those who live and work within the walls as well as to the society which the system serves.

147 CHAPTER 3 : MEASURING

Any successful organisation must have the ability to know what is happening in it. The key is not to know every detail, but to have information about the way in which the work being achieved is commensurate with the overall aims of the organisation. How well is the organisation doing what it sets out to do? Information is therefore critical to running any organisation properly. But what is even more critical is understanding which information is necessary for running the organisation well and which is not.

My visits reveal that one can go too far down the road of producing management information, much of it thought to be relevant, but in fact not so. This is counter-productive to overall achievement. People start working at producing information rather than doing the work of the prison. Those who ask for information and those who collect it must both understand the value of producing that information. If it is not readily identifiable as helping at the pit-face, why is the organisation intent on collecting it? If that question has to be asked, and cannot be answered satisfactorily, then a gap develops between those seeking information and those involved in collecting it. Even though there is a value to the information, if that value is not understood clearly, our experience abroad shows that the production of information is seen as being counter-productive and intruding on the work. It is therefore not done well or even adequately. Creating the right information system is also a means of and an exercise in motivating and sending the right messages.

In this chapter I shall first discuss setting up an information system, which is the prerequisite for measuring work achievement. In the second part of the chapter I shall discuss using information in order to measure work achievement.

A. CREATING AN INFORMATION SYSTEM

I. The Situation Here

Recent developments in the Prison Department show that it has understood that good management rests on the provision of relevant information. There has been a dearth of systematic information which could be collated in any meaningful way. Therefore it was not possible to know what was happening either in the system as a whole, or in different establishments, other than by impressionistic and incomplete sets of information required from time to time, as public interest or the need to know dictated. Even for financial purposes data had been collected in a rough and ready fashion and the relative cost of different activities was not known to any degree of accuracy. Nevertheless there are certain financial requirements which entail answering questions about costing; in the absence of other questions, these have ténded to form the basis of whatever information system was thought to be necessary.

The Prison Department's recent search for performance indicators is evidence of a move in a different direction. This is a critical moment in the evolution of the English prison system. The right information system is a condition sine qua non of achieving the work and aims of the organisation. When we look at examples from other countries we will see that the nature of the information collected steers the organisation, willy nilly, in a certain direction. An information system is not just a mechanical appendage. It affects the very heart of the organisation itself. It is not just a temporary loan; it is a legacy for the future.

There is considerable work afoot at headquarters, in regions, and in establishments to produce requests for information about a set of performance indicators. This development seems to have emerged from the already existing information system with its orientation towards financial matters. That system has been augmented in the light of the statement of functions in Circular Instruction 55/84.

It began as a top down exercise and undoubtedly the information will be useful to top management, especially because it will fill gaps in the previously sparse data. The component which now needs stressing is the involvement of the information providers in the discussion of what is useful information. I understand that this process is now underway. But from what I have seen from abroad, it cannot be stated strongly enough how crucial this process is to the ultimate successful collection and positive use of the information.

4 9 IL Comparisons

(a) Information routinely recorded within the system.

One of the most noticeable features to emerge from my visits to North America and Sweden is the variety of information systems. I am of course talking about considerable differences of scale. The whole population of Sweden is under 8 million, whereas that of America is over 235 million and that of Canada 24.6 million. In Sweden there are a total of roughly 5,400 people incarcerated; in Canada the figure is 27,000 (in the Correctional Service of Canada 12,000). In the United States of America there are 35,000 prisoners in the Federal Bureau of Prisons (average daily population). In New York State alone on June 21st of this year there were 35,308 prisoners.

The intimacy of the Swedish system is accompanied by a homogeneity of people and belief systems, relative to the diversity seen in North America. In these circumstances it is not surprising that Sweden has developed different organisational structures and systems to deal with what in quality and quantity are different types of problems. One characteristic is the relative paucity of printed information in Sweden, whereas in North America the relative • sophistication of information collecting machinery and its output varies tremendously. For example, the Correctional Service of Canada has a most impressive accumulation of printed information; however, it was described by more than one person as paper overload.

From what I saw of the U.S. federal system, it is a much leaner organisation, having already emerged from the stage in which Canada now finds itself. In Canada even the Director admits that the system was swamped with reams of paper, which at the end of the day had very little impact on improving schemes at the ground floor level. He told me that they had made a conscious effort to reduce the amount of paper to that necessary to produce results at the sharp end. This is nowhere more clearly stated than in a report submitted to the Advisory Committee to the Solicitor General of Canada on the Management of Correctional Institutions entitled "Wardens Workload Study" (hereafter called Carson Report). In the summary of conclusions in item 5, under the heading "Time Wasters", it states:-

50 "Wardens identified four principal time wasters; that is, activities they are asked to perform or participate in because of the way the service is managed, but which can consume Wardens' management time and detract from their perceived priorities." The first of these four was: "The volume of paper." The other being: The number of requests and/or demands coming from RHQ with too short a turn around time; The volume of procedures and directives; The number of audits and investigations.

The report also pointed out that in certain establishments the achievement on paper was greater than the achievement in the field, a fact borne out by my observation.

Producing information has to be linked to the work that people are doing from day to day. In a system such as the unit management system in the Federal Bureau of Corrections the information required by management is already available from staff working the system. In order to carry out their tasks as case and unit managers to ensure that inmates are active, not idle, staff need to know where the inmate is and when he is out of the cell. This is a basic part of their management system. Information in relation to these factors is easy to provide, because it is already integrated into staff work and because a secretary is provided to each unit to help relay such information.

The information requested must be information actually used in the work described as necessary to perform the overall aims. A well managed system recognises that it takes time and resources to record and relay this kind of information and takes care of the mechanical side of things by providing administrative and technical back-up. The staff do not resent producing the information because it is already assisting them with their job and in addition they do not become involved with the mechanics and feel that they are being drawn away from the substantive work at hand.

(h) Technological advances.

If the prison service wants to save time and money in the long run there are a number of technological aids which will streamline the process and I understand that considerable work has already gone on in this area. It is important when considering the application of new technology to the prison system to recognize the need to reappraise and improve management; otherwise the introduction of computers will enshrine bad practices.

Technology is a tool and not an end in itself. It must be the servant and not the master. Using up-to-date mechanical aids can provide several advantages to 51 the well run organisation. Et speeds things up; it streamlines the system; it allows rapid communication and response of complicated messages; and it can cut costs.

For example, as I sat in a Warden's office he was able to turn to his computer screen (VDU) and call up information on a particular prisoner and give me a print-out immediately of all the facts relevant to that prisoner's existence in the system. The Warden informed me that he could do that for any prisoner within the entire federal system. I noticed that the information included not only the workshop in which the prisoner was employed but also the two days in the last year when he had been unemployed.

It follows that within a short space of time it was possible to obtain aggregate statistics, either at the institutional level, or throughout the system, about the overall activities which are proceeding in any given establishment. Without technological aids this would be a time consuming and laborious process.

At a remand centre in Vancouver I saw the tremendous advantage to management that a computer gave, when placed in reception; when a new prisoner came in on remand, all his details were immediately entered and the following allocation of this particular prisoner to a location on a wing made it possible for the wing staff to know immediately not only that the prisoner was in the prison, but also where he was to be located. This contrasts with the traditional waiting around in reception to have details taken and to be allocated an empty cell.

The streamlining effect of instituting a system which covered all five regions of the federal system in the United States was apparent even to the casual observer; comparable data were emerging and inevitably comparisons could be, and were, made. A degree of uniformity has evolved as part of the process of standardising the information system. This allows effective comparison t.) be made between institution and institution, region and region. Without going as far as total standardisation, some measure of comparability among diverse institutions is obviously helpful and necessary for effective management and to ensure that the overall aims of the system are being achieved in its disparate parts.

At Watertown the streamlining of the system, using computer technology, was demonstrated by the Warden who knew precisely where every inmate was. When he talked about the activity of inmates, he was able to print out on the screen in his office the groupings of inmates across the prison and hence was able to see at a glance how well every inmate and every member of 52 staff was deployed that day. He described how useful it was to have this capability. Without going out of his office, and without having to telephone another member of staff, he could immediately see what the state of the prison was that day in specified areas. He also mentioned that from time to time headquarters would take a print-out in order to check for themselves the state of activity, as compared with other establishments.

One of the most impressive features was the instant two-way communication which was possible between staff members within the institution and with all other institutions, regions and headquarters. The "electronic message" facility enables a message to be instantaneously sent to one or any number of recipients with the possibility of an immediate response where this is necessary. This is possible not only on the screen, but also in print. Information can be requested, it can be received and can be put to use rapidly; this almost creates an "electronic dialogue". In reality it means that certain operational decisions can be made rapidly with the maximum amount of available information provided almost instantaneously. It is this directness of contact which, it seemed to me, led to a feeling that operatives were far more involved in management than in a system where communications can sometimes take days, if not months!

Finally an important feature of the technically advanced information system is its ability to cut costs. It was brought home to me clearly by the Warden of Watertown Correctional Facility in New York, who indicated that the computers enabled him to monitor more information with the same number of staff. He went on to say that "we can know day by day how much the establishment is costing".

Not only can the computer give immediate access to necessary information in terms of day-to-day running but also it can actually cut the cost of providing the necessary information. A well chosen system will reduce the manpower needed for mechanical tasks.

A senior official from the correctional programmes branch of the Federal Bureau of Prisons headquarters in Washington spoke eloquently about the use of the computer particularly as a communications tool.

53 "You can send memos to any establishment you wish. We used to use the teletype system - but this is much less expensive and we have instant communication and great width of distribution. Only yesterday we had 1,311 people communicating with us by this means."

As I said at the outset, modern technology is not a panacea for the ills of the system; but it is undeniable that it can make a significant contribution. However, one advantage of using modern technology is that, to be used properly, it forces management into a clear definition of what it is they expect to achieve. This is in line with my recommendations in this report about clear definition of aims and tasks. Such a system should help the service to go considerably further in the direction which I am indicating.

III. Implications

(a) Consultation and co-operation

I have seen that it takes time and clear thinking to make a decision about the right information system; it is easy to have too much information and it is easy to have the wrong information. The process has to be thoroughly worked out first. I suggest that it can only be worked out in detail by consultation about what information is useful to management and those on the ground floor. If that process of consultation is properly achieved, then not only will it ensure cooperation at ground level, but it will also ensure the collection of usable information.

There is a value to this comparative analysis. I have seen examples of where the wrong steps were taken and where this led not only to a costly review of the systems needed, but also to alienation and frustration at different levels of the organisation. This frustration has led to a blockage of communications, which has.not assisted the overall control of the system. Indeed the frustration was seen as contributing to the unrest which manifested itself in certain Canadian establishments, (see Carson Report).

The provision of an information system is not an alternative to good management; it should flow from it and in that situation it is necessary to listen fully to those people at ground level who will be responsible for its implementation. Otherwise, in the absence of good will which can so easily arise from non- consultation, the information will only be sparsely, inadequately and inaccurately provided. Those providing the information need to believe in its worth if it is to be useful. 54 Because the setting-up of the information system must be viewed as a necessary adjunct to the work, and not as the work itself, it isimportant to considarthe appropriate level of administrative support, when setting up information systems. Experience shows that if the administrative support is note inbuilt, the system will not be nearly as effective as it should be. Where the support is built-in, considerable gains are made and the system is recognised as effective at all levels. The need for administrative backup is demonstrated by discussions which are now going on and typified by a note from one Regional Director to headquarters.

"This situation results in senior regional staff being unable to operate effectively through lack of senior administrative support. There is therefore a need to develop and extend the work of the present Management Services Section to give more comprehensive support to senior management".

Support both in region and institutions will need to be provided at more junior levels.

(h) Technological developments

Even relatively simple mechanical aids would be a considerable advance for improving information flow. It will be a long time before the English system reaches the level of technological development shown, for example, by the Federal Bureau of Correction in the United States. Nevertheless this is surely the direction in which it must go and the size of the task should not prevent it from taking the first steps immediately. Since a major part of the Prison Department budget is spent on staffing, it is important to use staff to their full potential and not to devote their energies to tasks which can more easily be performed by using mechanical aids.

B. USING THE INFORMATION

I. The Situation Here

The first stages of developing and operating an information system have recently begun. No-one at the present moment in England has extensive experience of using the information which is currently provided. Neither is it clear that that information is in line with the overall needs of the Prsion Service and the aims of the system. Nonetheless, it is a welcome start.

55 IL Comparisons

An information system, set up properly, can be used to find out:

(i) whether the organisation is achieving its aims; (ii) the extent to which it is not; and (iii) how to improve the achievement of those aims.

If the system is integrated into the work of the prison system in such a way as to generate knowledge about the specific tasks defined to achieve the system's aims, it may be used as a tool to enhance work at all levels. It may function:

(a) as a means of reinforcing the philosopy; (h) as a means of raising morale by demonstrating positive achievement; (c) as a means of internal assessment; and (d) as a basis for external assessment.

Observation of how information systems are used in the countries visited demonstrates that at its best an information system can achieve just this; but there are conspicuous dangers and these were repeatedly driven home to me by headquarters, regions and the field. I shall now discuss approaches to the use of information systems, demonstrating diversity of practice and underlying shared management philosophies.

(a) Two-way flow

In several of the places visited I found in operation the conviction that information must flow not only down from the top but also up from the ground floor. Some of the organisations welcomed feedback and were continually responding to that feedback so as to modify their plans to take account of it. A much quoted example of this process is the Federal Bureau of Prisons' use of a project group to look at and advise on certain major aspects of policy. The 'long-range plan' produced by the Federal Bureau is an example of policy originating at the top, based on information about the system and adapted and refined in the light of reactions in the field.

"The Bureau's five year long-range plan has been revised by a Wardens' Planning Committee appointed by the executive staff [the equivalent of the English Prisons' Board]. As in the development of the preceding plan, input was solicited from each chief executive officer and institution department head. The input provided by the field has resulted in the

56 change, deletion, or addition of many goals. This year the then Task force altered the format of the plan to reflect the Bureau's emphasis on such functions as sanitation/appearance, security, inmate services, inmate activities, staff services, population management, and management."

The result of this process of consultation ratified by their prisons board, is not simply a general statement of 'mission' but also much more detailed practical guidelines for future use. These address particular functional areas. There follows an example in the area of activities/programmes.

"1. Provide support for continued employment and training of inmates in Unicor [prison industries].

2. Develop more active work programme for inmates placed but not permanently assigned and functioning in our open population.

3. Increase overall participation in education and vocational training by 10%."

The mechanism for consultation is taken down step by step to the grassroots of the. organisation; it devolves through a series of more and more explicit plans at different levels until it arrives at the final stage.

"The example Department Plan includes the "nuts and bolts" objectives that must be accomplished for the institutional plan to be realised. The Department Plan should be related to the goals in the institutional plan which in turn are related to the Bureau's overall goals." (Federal Bureau of Prisons, Department Plan).

(b) What the bottom wants too

I have seen that if the plan for collecting information does not include what the people in the field want too, then not only is less useful information collected but, because it is used solely by the top, it produces an overburden for those beneath. They then may begin to resist producing the very information which is thought to be useful. The US Federal System and the Correctional Service of Canada have become aware that they have fallen into this error (recognised sooner by the former than by the latter). Both systems are now in the process of redressing the balance. The federal system is much further down the line.

Professor Carson, when reporting on this phenomenon, found that

Mdardens have an excessive number of demands made on their time, both from the internal management needs of the institutions and from the external directions they receive from national headquarters through the regional office. 57 This demand has resulted in the wardens' two principal concerns. The first is that, given the number of directives, there can be conflicting objectives between the operational requirements of the institutions and the functional objectives which have an impact on institûtional management. The second is that much of the wardens' time and work can be filled too easily by responding to demands from regional headquarters - to the detriment of the leadership they provide and their visibility within the institution."

Where this happened Professor Carson reported that it seriously affected staff morale.

It is a truism that the effective use of an information system depends on management skill. Nevertheless this cannot be stressed too highly and from what I have seen it is a common error to see an information system as existing in a vacuum or to allow it to become an end in itself, rather than to recognize it as a means of supporting the people who actually carry out the work.

I It follows that an orientation towards the use of negative information is counter-productive, because it sends the message that the system is only interested in logging failure and identifying when goals have not been achieved. It will respond only when it knows that something has gone wrong, rather than responding also to indications that the organisation is doing successfully and well. The essence of management skill is responding at least as often to positive signals as to negative ones; otherwise the system reinforces the negative factors upon which it is concentrating. Print-out needs to include as much positive as negative achievement. If a system achieves the right balance of aims and the information system reflects that balance, the danger of an overemphasis on negative measures will be avoided. II 1 (d) Personal management style This principle must be carried further; not only must the system identify those establishments which are operating well, it must also identify those individuals within the organisation who are operating in an effective manner. The information system can become a mechanism for identifying success, on which any reward system is predicated.

Staff have an interest in the information system because it is on the basis of that system that their contribution is recognised. Canada recognises the

58 importance of rewards for its staff and has published an attractive pamphlet called "The Awards and Honours Programme - a Guide":

"The contribution of CSC staff is essential to the functioning of the total . criminal justice system and deserves recognition. While virtue is its own reward, we at the Correctional Service of Canada believe that it deserves a more tangible form of recognition. From the time of the laurel wreath awarded by the ancient Greeks, society has recognised that in every field of endeavour some people are outstanding in their particular work, and some people are outstanding simply as people. When we salute outstanding people, we do much more than honour and reward them; we also help set standards of achievement for all to emulate."

The use of information for an award system is part of an approach which focusses on people and not bureaucratic methods. This has been recognised by the Vantour Report. One of the points that Vantour makes is that, if prison management moves too far down the bureaucratic road, it may be forced to focus on satisfying the needs and requirements of external systems, pre-empting the emphasis on its own people.

Professor Carson highlights this issue in a similar way:

"Correction is a human enterprise

With 10,569 employees and about 12,000 inmates in custody, there are close to 23,000 human beings in daily direct involvement with the organisation. Untold thousands of third parties (spouses, families, volunteers and victims) have an additional stake in the business.

The Service's policies and operations must, first and foremost, acknowledge and analyse their impact on the human elements of the system. All the possible interfaces must be considered; staff/staff; staff/inmates; inmates/inmates; inmates/staff/community." (Carson Report).

(e) Consultation on problem points

Part of the consultative approach to problem-solving is exemplified by the Federal Bureau of. Prisons' use of a specific task force of staff to solve particular problems. The Director of the Federal Bureau of Prisons told me that when planning was superimposed from above it only had marginal impact. He went on to say:

"Paper, plans, had no substance in improving schemes. They were counter- productive. We developed plans in central office. They submitted plans. There was no pay-off and there were no changes. Then I reconsidered matters and appointed a task force. I chose five wardens, one from each of the regions, [there are five regions within the Federal Bureau of Prisons]

59 to work with my own planning staff and to submit plans from the ground floor. The plans produced have great credibility. Most planning is top down - but they'll only really respond if they do it themselves."

This approach was enthusiastically endorsed by the Regional Director of the North Central Regional office in Kansas City. He informed me that he used the concept of task force for solving specific problems. He set up a task force for specific purposes and its life was only as long as it was needed to resolve the problem at hand. He went on to say:

"We have a lot of task forces. There is a warden for chairman and the proposals come to the executive staff for a decision. When this is done at Federal Bureau level, then I let the wardens get on with it, because I sit with the executive staff committee [the equivalent of our prisons board] when I can make my independent comments."

The task force is a technique which is not peculiar to prison management but is part of the mainstream of business practice.

"We have come to believe that the key success factor in business is simply getting one's arms around almost any practical problem and knocking it off - now."

While extolling the virtues of the ad hoc task force, Peters and Waterman are aware that it has not always been wisely used.

"Like any other tool adopted within a bureaucratic context, it eventually became an end in itself. Paper pushing and co-ordination took the place of task-directed activity. Stodgy, formal, paperbound, rule-driven institutions layered the task force on a maze that lay beneath.... Task forces became nothing more than co-ordinating committees - with a different name. Like other management tools adopted in the wrong context, the task force made things worse, not better. That's the bad news. The good news is that in organisations in which the context is right ... the task force becomes a remarkably problem-solving tool." (Peters and Waterman, In Search of Excellence, p.129).

(f) Using information to get an overview

The purpose of collecting information is to assess the whole system. Information can pinpoint bad spots, but if action is based on a crisis response to such signals, the approach becomes fragmented and the overall perspective is lost. The purpose of information is to allow one to stand back and to assess the overall health of the organisation. Experience of the past few years shows that the prison service has responded too hastily to crises. Crisis management

6 0 has almost become the order of the day. There is a need to move away from crisis management and establish a calm routine, keeping the ultimate aims in sight.

The above discussion highlights the fact that the developmen: and application of a useful information system depends on sound management, and that in turn such a system is indispensable to good management.

III. Implications

Everything that I have said in this chapter, and indeed everything that I have seen, reinforces the need for a relevant, highly selective and properly structured information system. The general agreement is that is a sine qua non for a modern and effective system. With that I would fully concur.

It has to be readily admitted that one of the present weaknesses of the English service is that it is not fully aware of what is happening overall. Hence, it needs to know what is happening within the system and to have an accurate measurement of that position. There has to be functional and financial planning. Functional planning with useful information will improve planning for resource allocation. The service needs information to tell it whether what it is doing is in line with its aims and whether the resources are being used in the right way. Since it does not have infinite resources, it needs the information to plan how best to use the existing reources to promote its aims.

In other words information provides the basis for accountability for the way resources, both human and material, are based. In addition information is a basis for creating incentives. It can be used as a tool for motivating people. This latter point is delicately important. It is not an instrument for the heavy-handed; I have seen examples where it has achieved the reverse effect.

The examples I have seen demonstrate both visible advantages (which are really impressive) and conspicuous dangers. One such danger is overcentralisation at the expense of local autonomy. The danger lies in using this particular tool (management information) to the exclusion of all else and using it as an intrusive technique which becomes an end in itself.

"The comprehensive rules and regulations and the need for accountability have also placed excessive demands on the institutional administrator's

61 time - providing ever increasing details on day-to-day operations in the interest of accountability - to the point where he no longer has the capacity to 'administer' ...

The màst obvious impact has been the decline of local autonomy. It is the feeling of both staff and inmates that institutions are being run by regional and national headquarters; that both staff and local management are over-regulated and have, in effect, become powerless. In fact, centralisation in itself leads to the feeling among staff that local management either is powerless or does not care about them." (Vantour Report, p.32).

The obvious implication is that a balance must be achieved, as the English system continues to develop and use an information system. Let there be no doubt, an information system is necessary to run the system efficiently and effectively.

The current information system has been developed with a focus on its use at the centre of the system. This is essential for longer-range planning; indeed it is impossible to imagine an effective system which does not call upon information to be managed centrally so as to create the capability for short-term adjustment, budgeting and resource allocation, and to provide general statistical information about what is going on. If the system is to be managed, (and indeed this was one of the main conclusions of the Control Review Committee Report) information flowing to the centre is an essential pre-requisite. In addition, the uses at the ground level are equally vital, because the bottom line is how effectively prisons are run, not how effectively information is gathered.

There needs to be a balance between the need for information at headquarters and regional level and the need for information for practical operations at the sharp end. The information system must be developed in such a way that it does not lose sight of the fact that this is the chief way in which headquarters relates to people in the field. My experience is that if this process becomes too mechanistic, it will alienate the very people upon whom the centre relies, not only to provide the information necessary, but also to carry out the satisfactory and safe running of our establishments.

I have been looking at the provision of information as a means of measuring for internal purposes. It is also, however, the basis for external measurement. The information system used for internal evaluation compares what is happening

62 with what the internal aims of the system are. That information may form the basis for comparing how the prison system functions with the aims of the system, as seen from the outside; these aims may be linked to the internal aims, but are not necessarily identical. Similarly, the levels of performance thought to be desirable on an internal basis may be different from those thought to be desirable on an external basis.

There is a distinction between that information which is necessary for successful management of the organisation and that information which is necessary for external monitoring by an organisation such as the Inspectorate. The examples which I have seen, particularly in North America, are of an information system for use not only by internal management, but also as the first step in evaluation by an organisation external to the prison system. I can instance accreditation, auditing, ombudsman, watchdog role, and, in New York State, the independent Commission of Corrections, which monitors the Department of Correction.

It is recognised in the English system that:

"the criteria for a well-run prison will involve the development of acceptable standards of regime management and operations .... The clues (in no special order) include those already mentioned and the type and quality of work available to prisoners, the amount of time they spend locked-up in their cells, the visiting arrangements, the amount of formal and informal autonomy the prisoners may exercise, the availability and take-up of educational opportunities, staff/inmate ratios, the tasks and deployment of the prison staff, their attitudes to their work, their techniques of inmate management, the nature and quality of staff/inmate relationships, and the practice and attitude of the staff in enforcing the disciplinary code and in reporting infraction." (Joy Mott, Home Office Research Study No.84 Adult Prisons and Prisoners in England and Wales 1970- 1982, p.57)..

Mott envisaged this as a research task, in addition to the task of an internal monitoring system, but it can equally be argued that it could form the basis for an examination - such as the Inspectorate was set up to accomplish.

In the following chapters I am going to develop the logic of this approach, first of all by discussing standards and benchmarks for the performance of tasks and secondly by providing practical suggestions for a way forward.

63 CHAPTER 4: MONITORING

A. SETTING STANDARDS

I. The Situation Here

The previous chapter was concerned with measuring; I dealt with that in term of self-assessment, or self-auditing, by the system. This chapter is concerned with monitoring; by this I mean assessment by an external agency. In the English context this means the Inspectorate.

Monitoring which is other than self-assessment is the natural task for the Inspectorate. In the middle of the nineteenth century the inspectors had a central role in the prison system. Now after a considerable gap the Inspectorate seems a natural vehicle for external evaluation. The May Report stated:

u we have no doubt both that the prison service would benefit from and that public sentiment requires that as many aspects of government, which includes the prison service, should be opened up to as wide an audience as possible. We therefore think that there should be a system of inspection of the prison service which, although not 'independent' of the Home Office , should nevertheless be distanced from it as far as may be practicable."

Following the May Report the terms of reference of the Inspectorate are:

"to inspect and report to the Secretary of State on prison service establishments in England and Wales and, in particular, on:

a. conditions in those establishments;

b. the treatment of prisoners and other inmates and the facilities available to them;

c. such other matters as the Secretary of State may direct."

(Home Secretary, 30 April 1980)

The Inspectorate must carry out its role as watchdog for society. It has a duty to ensure that in its practical workings the prison system does not lose sight

64 of the fundamental aims which Parliament, the prison service and the general public articulate. In order to carry out this role the Inspectorate needs clearly defined yardsticks against which to measure the health of the organisation and its constituent parts.

I would argue that the Inspectorate must follow a logical progression parallel to that suggested in previous chapters: from articulation of aims to definition of criteria and development of practical benchmarks by which to assess whether society has the prison system it wants.

This is a task which cannot easily be taken on by the prison system itself. 1 Those who manage the system are subject to the constraints and pressures of any operational concern. It is for the Inspectorate to follow the logic of this progression in order to provide external assessment.

Organisationally the duties of external and internal evaluation are separate but in terms of the content of the work there is a considerable overlap; without • his, external monitoring would be impossible.

At the level of general aims there may be considerable agreement between 1 internal prison management and the Inspectorate. Indeed, in an ideal society these views would be identical. However, under the pressure of operations they may come to diverge. Each organisation has a different set of duties to perform and it is important that this is recognised and that each pursues its own ends with integrity.

As a practical matter the Inspectorate will always depend upon a considerable 1 amount of internal information as the basis for its own investigations. A sound management information system is as important for the efficient workings of an Inspectorate as it is for the prison system. On this base, the Inspectorate can 1 build its further enquiry, focusing on the complex and diverse problems it encounters at-particular establishments and throughout the system. Alongside this ground-clearing operation, the Inspectorate's central task is to measure standards of performance. 1

65 1 1 II. Comparisons

My visits abroad showed an impressive level of delivery of planned activities. Why was this so? In previous chapters I have pointed out many features which brought this about. Nevertheless the background contributing factor in North American systems was a range of clearly articulated standards. These provided a thrust toward better delivery of planned activities.

These standards are neither absolute nor enshrined in tablets of stone. The approach to their establishment and implementation is characterized by pragmatism and compromise. The standards differ between systems as to their origins, legal status, their priority weighting, their timetable for implementation, their application and their specificity. They are put into practice by a process of consultation and negotiation. It is apparent that many are not yet achieved. Some are translated into practice via interim targets: they are approached along a scale of measures over a protracted period of time. As a result of discussion and feedback they undergo review and modification.

A variety of organisations have tackled the dual task of monitoring the prison system and developing standards.

In the Canadian system, for example, the independent monitoring organisation, the Criminal Justice Association, sees its role as follows:

"To improve and evaluate correctional systems; to stimulate public awareness about corrections programmes; and to foster Canada's leadership and expertise among the international corrections community."

In order to fulfil this role it has found it necessary, not only to articulate the aims of the prison system, but also to develop standards in order to judge how that aim is being put into practice.

In the United States, the Task Force on Corrections was set up outside the prison system as part of the National Advisory Commission on Criminal Justice Standards and Goals. It recognised the long tradition of guiding principles and aspirational aims in the American prison system dating back to the mid-19th century. It justified its own task of defining standards and goals in relation to those aspirational aims in the following way:

66 "Principles and recommendations are neither self-fulfilling nor self- interpreting. Standards and goals may be much more precise, while retaining sufficient flexibility to allow agencies some freedom. When clearly formulated and precisely stated in measurable terms, they can serve as the basis for objective evaluation of programmes as well as development of statutes and regulations relating to correctional services. ...standards and goals must be realistic and achievable, but that certainly does not mean that they need to be modest".

These organisations have taken up the task of developing standards and monitoring their implementation.

Not all the standards developed in other countries have come from external agencies. Some, like the standards for the province of British Columbia (Canada), have been produced within the system.

Before I turn to a more detailed examination of the standards developed and their implementation, I digress to consider briefly the contrasting approach of Sweden. The Swedish prison system is relatively small, with 5,000 prisoners overall. Here there appears to be, even in a modern complex society, a generally accepted view of what the prison service is all about, founded as it is upon the general mores of the country as a whole. This gives the Swedish system a small "family" feeling about it and explains why they have not felt it necessary to codify standards. In some ways the relatively small Scottish prison system is not unlike the Swedish. Even though the values expressed are quite considerably different, within the country itself they do not diverge widely. There is a homogeneity in both which is immediately recognisable.

Observers of the English scene might well have noticed a similarity between the present Swedish service and that of the English about 30 years ago. But the English service has grown so enormously that a consensus about its aims no longer exists; another kind of organisational response is necessary to give identity and a sense of purpose once.again.

Other systems which have reached a size and complexity comparable to the English have recognised the need to develop standards: to put on paper the values that at one time did not need spelling out in print. Once a generally accepted system of beliefs is eroded, it is not satisfactory to leave the interpretation of what is appropriate to indivduals.

67 Historically, throughout the North American continent the response to the vacuum caused by the demise of shared norms, has been the development of codes of standards. Additional impetus in this direction came from various crises in the system, notably the prison riots of the late 60s and 70s and the ensuing lack of general confidence. The noticeable increase in litigation added fuel to the movement, so that at the federal, state and local levels there was a visible trend towards the careful and specific codification of practical standards to ensure the basic aims of the systems. They were involved in translating existing elements of the constitution into everyday practi