THESIS SUBMITTED TO THE UNIVERSITY OF LUCKNOW FOR THE DEGREE OF Doctor of Philosophy IN PUBLIC ADMINISTRATION Under the Supervision of Sponsored by Bureau of Police Research & Development (BPR&D) By DEPARTMENT OF PUBLIC ADMINISTRATION UNIVERSITY OF LUCKNOW LUCKNOW (INDIA) 2014 I dedicate my research to my Mother Late. Smt. Arsh Chaddha Declaration This is to certify that the material embodied in the present work entitled “Impact Analysis of Prison Reforms with Special Reference to Uttar Pradesh” is based on my original research work. It has not been submitted in part or in full for any other diploma or degree of any University. I have duly acknowledged other works which are referred in the present work at relevant places. (Ashish Chaddha) Research Scholar Acknowledgement First and foremost I offer my sincerest gratitude to my supervisor, Prof. Kumkum Kishore for the continuous support & guidance of my Ph.D study and research, for her patience, motivation, enthusiasm, and immense knowledge. Her guidance helped me in all the time of research and writing of this thesis. I could not have imagined having a better advisor and mentor for my Ph.D study. I would also like to express my gratitude to Bureau of Police research & Development (BPR&D) for their financial support. I am sincerely thankful to Mr. Sharad Kulshersta (DIG Lucknow Range) & Mr K.B. Joshi for whole hearted support at UP Prison Head Quarter level. I owe a very important debt to my elder Brother Mr. Anil Chaddha, for his continuous moral support. I received generous support from Mr. Abhishek Jain, whom I consider him as my chief mentor. My intellectual debt is to Dr. Malik Murtaza, Dr. M.P. Singh & Dr. P.N. Pandey for their insightful comments has been a great help. In particular, I am grateful to: Mr. P K Mishra (DIG Merrut Range), Mr. Suresh Chand (DIG Agra Range), Mr. V K Jain (DIG Allahabad) Mr Ambreesh Gaur( S.S Agra Central Prison), Mr Rizvi (S.S. Lucknow District Prison) Mr B R Verma (S.S. Bareily Central Prison) Mr P.N. Pandey (S. Bareily District Prison) Dr. Shamim A Ansari (Professor- Dept of Psychology) for providing to unmatched cooperation during data collection research. Last but not the least; I would like to thank my family: my parents for giving birth to me and supporting me spiritually throughout my life. Ashish Chaddha Table of Contents Sr. No. Chapters Page No. 1 Chapter 1: Introduction-The Problem and its 1-44 significance 1.1 “The Mandala ”- Focusing on the Core Problem 1.2 Unfolding the Archetype- Objectives & Theoretical Framework of the study 1.3 Significance: A wishful Strive towards the Magic Circle 1.4 Review of Literature 2 Chapter 2: Methodology - Research Design 45-56 2.1 State Profile 2.2 Department of Prisons and Correctional Services 2.3 Sample Design 2.4 Data Collection 2.5 Limitations of the Study 3 Chapter 3: Discourse I: A Retrospective Analysis of 57-99 the Prison Administration 3.1 Demands and Goals of Prison Administration 3.2 Penal Theory: Administrative Inclinations 3.3 The existing man/material resources 4 Chapter 4: Discourse II: Data and Report Results 100-145 (Prison Environment) 4.1 Profile of the Prison Facilities 4.2 Prison Environment: Scale for Measuring Prison Environment Chapter 4B: Discourse II: Data and Report Results (ATPR) 4B.1 Prison Staff: Attitude Towards Prison Reforms 5 Chapter 5: Discourse III: Prison Reforms- The 146-167 Initiatives, Implementations & Lacunas. 5.1 Prison Reform initiatives 5.2 Level of Implementation 5.3 The Administrative lacunas 6 Chapter 6: Conclusions and Recommendations 168-177 6.1 Revisiting “The Mandala” 6.2 Recommendations 6.3 Conclusion 7 Appendix I : Number of Prisons, Capacity, Population and 178 Occupancy rate as on 31-12-2008 Appendix II: Category wise Classification of Inmates 178 (Convicts and under trials) as on 31-12-2008 Appendix II-A: (Graph- Convict & Under-trial Population) 179 Appendix III: Strength of Prison Officials as on 31-12-2008 180 Appendix IV: Three years Comperative Statement of per 181 Inmate expenditure in different Budget Head Appendix V: Comparative Statement of Industrial 182 Production (Last 3 Years) Appendix VI: Last 03 Year NHRC Pending References 182 Appendix VII: Inmates Benefitted by Lok Adalat of last 182 three years Appendix VIII: Inmate Benefitted by Legal Aid of last three 183 years Bibliography 184-201 List of Figures/Tables Sr. No. Headings Page 1 Research Objectives segregated according to System 5 Analysis Approach 2 Input-Output Model 7 3 Growing population in Uttar Pradesh 45 4 Decadal Trends: State Population and Incarceration 46 5 Growth Rate: State Population- Incarceration 47 6 Organizational Profile: Department of Prisons and 48 Correctional Services 7 System Approach-Objectives-Research Design 50 8 Case Study Form-Contents 54 9 Prison Administration & Mutually Reinforcing Factors 57 10 Profiles Of the Prisons Facility 109 11 District Jail: Activity 110 12 District Jail: Emotional Feedback 112 13 District Jail: Freedom 113 14 District Jail: Safety General 114 15 District Jail: safety (Sexual Deviancy among inmates) 115 16 District Jail: Social 116 17 District Jail: Structure 117 18 District Jail: Support (Prison Staff) 120 19 District Jail: Support (Prison Programme) 121 20 District Jail: Behavior Prison Staff- towards inmates at 122 admission time 21 District Jail: Role Job adherence (Inmates Feedback) 123 22 Central Jail: Activity 124 23 Central Jail: Emotional Feedback 125 24 Central Jail: Freedom 126 25 Central Jail: Safety General 127 26 Central Jail: safety (Sexual Deviancy among inmates) 128 27 Central Jail: Social 129 28 Central Jail: Emotional 130 29 Central Jail: Support (Prison Staff) 131 30 Central Jail: Support (Prison Programme) 132 31 Central Jail: : Behavior Prison Staff- towards inmates at 133 admission time 32 Inmate Peer Educator Project: Monitoring and Evaluation 136 plan 3 Attitude of Prison Staff towards Prison Reforms 139 Tabulation: Section I 35 Attitude of Prison Staff towards Prison Reforms 141 Tabulation: Section II 36 Attitude of Prison Staff towards Prison Reforms 143 Tabulation: Section III 37 Level of Implementation & Administrative Lacunas 149 Chapter-1 Introduction “When an idea exclusively occupies the mind it is transform in to an actual physical or mental state.” - Swami Vivekananda Chapter 1 Introduction: The Problem and its significance Sooner or later ever institution faces the problem of “Institutional decay”. Government Institutions adopt the process of institutional capacity building- through administrative reforms- to device appropriate response for the factors contributing to this decaying process. It is eminent for policy makers at institutional and governmental level to assess the inputs, strategies, outcomes and viability of these capacity building/ reform measures. The purpose of this study is to analyze the process of prison reforms undertaken by department of prisons and correctional services, Uttar Pradesh. Focusing on the Core Problem Indian Correctional institutions (Prisons) are not an exception to experience such institutional decay. The evidence for the decay has been traced and identified from the very inception, during the Indian freedom struggle movement large numbers of freedom fighters from the populace and political leaders have spent their days in prisons. To address this problem, the first independent government has invited technical assistance from United Nations. Dr. W. C. Reckless, a U.N. Expert on correctional work, visited India during 1951-52 to study prison administration in the country and to suggest ways and means of improving it. His report “Jail Administration in India” is a landmark in the history of prison reforms. However its recommendations have been adopted by few state governments but more or less it has given some strength to the policies and procedures of prison administration. In the first decades (1950s and 1960s) Indian correctional institutions have been considered as relatively stable in contrast with the situation emerged in the later two decades. In 1970s and 1980s India has witnessed a major governability crisis. This governability crisis is characterized by Atul Kohli in his book, Democracy and Discontent: India‟s growing crisis of Governability, 1 Chapter 1 Introduction: The Problem and its significance as an eroding phase of political order where personal rule has replaced by party rule at all level-national, state and district level. A legitimate, responsive and moderately stable state has evolved into a reactive state. Its dominant institutions are in disarray as the entrenched civil and police services have been politicized. During this period of crisis, the political elite and the populace have revisited the above problem during the phase of national emergency (1975-77) which led to the formation all India prison reforms committee (1981-83), popularly known as the Mullah committee. The committee has recommended broad base reforms for prison reforms. The looking at the ground realities of Prison Administration shows a very sad picture. After two or more decades, most of the recommendations of Mullah Committee on prison reforms are yet to be implemented. A model prison act has also been drawn, but still remains on paper. There are few concrete examples of prison reforms. There is absolutely no emphasis on the correctional strategy. This problem is acting as a major stumbling block in the realization of the goal of social reconstruction and a great challenge to civil administration. The central question of this study to investigate: Why these recommendations on prison reforms remain almost unimplemented? This study presents a system analysis of the prison Administration of Uttar Pradesh. It attempts to provide an elaborate and systematic analysis of prison reforms undertaken by the prison administration, it also focuses on the attitude of prison staff towards reforms, systematically analyzing the prison environment to confirm the suitability to introduce reforms, the handicaps faced by prison administration and also suggest alternative strategies to bring reforms in prison administration.