Defense of the dissertation of Mukasheva Dalida for the degree of Doctor of Philosophy (PhD) in the specialty «8D03101 - Sociology»
L.N. Gumilyov Eurasian National University, a dissertation defense for the degree of Doctor of Philosophy (PhD) by Mukasheva Dalida on the topic «Social work as a factor of social well-being in the penitentiary system: A case study of work with people living with HIV» to the educational program «8D03101 – Sociology».
The dissertation was carried out at the «Sociology education department» of L.N. Gumilyov Eurasian National University.
The language of defense is russian
Official reviewers:
Джаманбалаева Шолпан Ерболовна - Doctor of Science, Professor, Associate Director
Temporary members of the Dissertation Committee:
Абдрашева Банугуль Жолдыбековна - Candidate of Science, Associate Professor
Абдикакимов Мухтар Тыныштыкбекулы - Doctor of Philosophy (PhD), Head
Scientific advisors:
Dinara Gabibollayevna Yessimova – PhD, Senior Lecturer of the Department of Sociology, L.N. Gumilyov Eurasian National University. Specialty: «6D090500 – Social work» (Almaty, Republic of Kazakhstan)
Heino Stöver – Doctor of Sociological Sciences, Professor of Social Science Addiction Research at the Frankfurt University of Applied Sciences, Faculty of Health and Social Work (Frankfurt, Germany)
The defense will take place on September 03, 2025, at 03:00 PM in the Dissertation Council for the training direction «8D031 – Social sciences» in the specialty «8D03101 – Sociology» of L.N. Gumilyov Eurasian National University. The defense meeting is planned to be held online.
Link: https://us06web.zoom.us/j/8114174324?pwd=dVhvaFdrUm9hRll6eTBsclhybUtvZz09
Address: Астана қаласы, Сәтбаев көшесі 2, Л.Н. Гумилев атындағы ЕҰУ-нің Оқу-әкімшілік №1 ғимараты, 302-аудитория.
Abstract (English): ABSTRACT Mukasheva Dalida Daurenovna «Social work as a factor of social well–being in the penitentiary system: a case study of people living with HIV» Dissertation submitted for the degree of Doctor of Philosophy (PhD) in the educational program «8D03101 – Sociology» Relevance of the research. In the context of the growing complexity of Kazakhstan’s social structure, the issue of social well–being among vulnerable groups in institutional environments is gaining particular significance. One such group comprises individuals serving sentences in the penitentiary system, especially those living with HIV. This research is relevant due to the need for a sociological analysis of factors related to social vulnerability, structural inequality, and limited access to basic social rights within penal institutions, alongside the search for fair resocialization models based on the principles of inclusion and human rights. According to the Ministry of Health of the Republic of Kazakhstan, by 2023, more than 20,000 HIV cases were registered, with a substantial portion found in penitentiary institutions. The presence of HIV among inmates necessitates a comprehensive approach, including medical, psychological, legal, and social support. Prisoners living with HIV experience dual marginalization – as incarcerated individuals and as members of a medically stigmatized group. Their vulnerability is exacerbated by institutional barriers, stigma, discrimination, and lack of access to resources. From a sociological perspective, they face intersecting inequalities, where legal status, health conditions, and restricted access to support systems reinforce social exclusion. This situation calls for a rethinking of social support mechanisms through the lenses of structural justice, legal equity, and restoration of social capital. Social work in Kazakhstan’s penitentiary system faces several challenges, primarily the absence of a clear legal framework regulating the work of social workers in prisons. In several Central Asian countries (e.g., Kyrgyzstan), specialized departments and positions for social workers have been integrated into the penal system, improving support for inmates. This issue is especially relevant in the context of the United Nations Sustainable Development Goals (SDGs), particularly Goal 3 (Good Health and Well–Being) and Goal 10 (Reduced Inequalities). Kazakhstan's commitment to these goals requires concrete action to improve prison conditions and the support available to inmates. Thus, integrating social work into Kazakhstan’s penitentiary system is an urgent task, requiring the development of legal frameworks, the adaptation of international best practices, and the implementation of specialized support programs for inmates, including those living with HIV. The purpose of the study is to conduct a comprehensive sociological analysis of the social well–being of prisoners in Kazakhstan’s penitentiary system, with a focus on vulnerable groups including people living with HIV, and to develop scientifically grounded recommendations for institutional and practical improvements in social support mechanisms aimed at enhancing well–being and reintegration outcomes. Object of the research: Social well–being of prisoners in the penal institutions of the Republic of Kazakhstan. Subject of the research: The characteristics and processes of forming and maintaining social well–being among vulnerable prisoner populations, particularly those living with HIV. Special attention is paid to access to social, medical, and psychological support, legal protection, and perceptions of discrimination and stigma within the penitentiary environment. Main hypothesis: Institutionalizing social work focused on health protection and psychosocial support within the penitentiary system contributes to improved social well–being among HIV–positive inmates. Derived hypotheses: 1. To define and justify the theoretical and methodological framework for studying social well–being in penal institutions, including among HIV–positive inmates, with the aim of constructing an integrated analytical model. 2. To analyze the legal framework of Kazakhstan governing the rights of inmates and social support in the penal system, identifying institutional barriers and proposing improvements. 3. To compare international experiences of supporting HIV–positive inmates and social work in foreign prison systems, in order to identify best practices applicable in Kazakhstan. 4. To identify institutional, social, and interpersonal factors influencing prisoner well–being, including women and HIV–positive individuals, in order to develop recommendations for personalized support. 5. To conduct empirical research (surveys, interviews) among current and former prisoners to assess perceived support and well–being, informing practical recommendations. 6. To explore how HIV–positive inmates perceive support differently and define their unique needs for designing targeted resocialization programs. 7. To develop scientifically grounded proposals for institutional and practical improvements in social support within the penal system. Theoretical and methodological framework: The study draws upon the theoretical concepts of A. Sen (capabilities), G. Esping–Andersen (social policy), M. Foucault (disciplinary power), and E. Goffman (stigma). These theories are employed to examine structural inequality, social exclusion, and the transformative potential of the penitentiary environment. Empirical base: 1. Statistical data from the Ministry of Health, Ministry of Internal Affairs, and Ministry of Labor and Social Protection of the Republic of Kazakhstan. 2. In–depth interviews with 12 experts from government, NGOs, and academia in Astana, Almaty, Karaganda, and Kostanay. 3. Survey of 645 inmates from five penal institutions. 4. Survey of 63 women, including former inmates with HIV, women from high–risk groups, and formerly incarcerated women. 5. Review of official documents, programs, and legal regulations related to health and social services in the penitentiary system. Research methods: To comprehensively examine the social well–being of prisoners in the penitentiary system of the Republic of Kazakhstan, including individuals living with HIV, the dissertation employed a combination of general scientific and specialized research methods: – System analysis, which enabled viewing the penitentiary system as a holistic structure interacting with other social institutions; – Institutional and structural–functional analysis, used to explore the role of social work as a component of resocialization within correctional facilities; – Comparative analysis, which allowed the juxtaposition of international practices in social support for prisoners, including those living with HIV, with the context of Kazakhstan; – Historical analysis, employed to trace the development stages of social support mechanisms in Kazakhstan’s penal institutions; – Document, interview, and policy analysis, which facilitated the synthesis of information on existing practices in penitentiary social support; – In–depth interviews with experts from governmental and non–governmental sectors, used to identify systemic barriers and gaps in social work with vulnerable prisoner populations; – Quantitative methods, including sociological surveys, which enabled the collection of empirical data on inmates’ perceptions of social support; – Statistical analysis using IBM SPSS Statistics 20.0 software, which allowed for data generalization and visualization, including cross–analysis of vulnerability factors and levels of well–being. The combination of these methods ensured the reliability, validity, and representativeness of the research findings and provided a solid foundation for formulating practical recommendations aimed at reforming social policy within the penitentiary system. Scientific novelty: • This study presents a scientifically grounded and comprehensive analysis of the institutional and practical dimensions of social work with prisoners living with HIV within the penitentiary system. Drawing on empirical data collected from five correctional facilities and incorporating samples from key groups–incarcerated and formerly incarcerated individuals–it contributes to the advancement of sociological knowledge on the functioning of social support in custodial settings and enhances the understanding of resocialization mechanisms for vulnerable populations. • The application of the PRISMA approach to the selection and systematization of literature within the sociological study of penitentiary social work represents a significant methodological advancement. It has ensured transparency and reproducibility in the analysis of both theoretical and empirical data. This approach expands the methodological toolkit of sociological research and opens up new opportunities for more systematic and comparable reviews in the field of social policy. • An original model of social work has been proposed and tested, combining an individual–oriented and a structural-functional approach, adapted to the Kazakhstani penitentiary context. The model includes four key components–diagnostic, motivational, rehabilitative, and post-penitentiary–ensuring the continuity of professional support for inmates at all stages of their sentence and reintegration. • A sociological construct of «institutional social well-being of the prisoner» has been formulated. It encompasses not only medical and psychological dimensions, but also the quality of interagency cooperation, the stability of the regulatory environment, the level of staff professional training, and the accessibility of legal protection mechanisms. • A set of scientifically grounded recommendations has been developed for the institutionalization of social work within Kazakhstan’s penal enforcement system. These recommendations include proposals for the legal recognition of the position of «penitentiary social worker» the development of a professional standard framework, the definition of performance indicators, and the establishment of principles for interagency cooperation. These provisions are aimed at strengthening the systemic role of social work in penitentiary settings and building professional capacity. • The limitations of Kazakhstan’s current resocialization model have been identified through comparison with international practices (United States, Norway, Germany, Kyrgyzstan, and China). The findings substantiate the need for a hybrid model that integrates Western approaches with the regional specificities of post-Soviet penal culture. Theoretical significance: The study of social well–being among incarcerated individuals, including those living with HIV, opens new avenues for the conceptualization of this category within sociological science, establishing both theoretical and methodological foundations for further scholarly inquiry. The interdisciplinary approach employed in the dissertation–drawing on theories of social inequality, stigma, institutional frameworks, and social policy–offers a new perspective on the penitentiary system, not solely as a punitive structure, but as a potential environment for social transformation. Of particular significance is the author’s development of the sociological construct of «institutional social well–being of the prisoner» which integrates both subjective and objective dimensions of quality of life under conditions of restricted access to rights, services, and resources. The dissertation deepens the understanding of social work as a tool for structural change, highlights the importance of intersectoral collaboration, and provides momentum for further theoretical analysis of penitentiary processes through the lens of social justice, human rights, and sustainable development. Practical significance: The findings and outcomes of this dissertation research can be applied in the following areas: – By professionals in the penitentiary system for the development of policies related to social work with vulnerable groups; – By medical and social workers operating within the prison system to design individualized support and case management plans; – By government authorities in the formulation of national standards for social work in the penal system; – By universities and training centers within the penitentiary system for the education and professional development of specialists, as well as for the creation of methodological materials and elective courses. The following provisions are submitted for defense: 1. The concept of «institutional social well–being of the prisoner» should be established as a strategic category of penitentiary policy. It encompasses both subjective and objective aspects of quality of life, access to social infrastructure, guarantees of rights, and mechanisms of resocialization. 2. The model of social work in the penitentiary system of the Republic of Kazakhstan requires transformation. It is necessary to legally institutionalize the position of «social worker in the penal system» and to develop professional standards, training programs, and accreditation mechanisms based on competencies aligned with international standards. 3. The functional model of a penitentiary social worker proposed in the dissertation ensures continuous support for inmates–from needs assessment to post–release reintegration. Its implementation contributes to reducing recidivism and enhancing the sustainability of social reintegration. 4. The application of the PRISMA methodology in sociological research on penitentiary issues allows for the systematic organization of scientific sources and empirical data with a high level of evidentiary rigor. This approach, justified within the dissertation, can serve as a basis for developing standards for sociological reviews. 5. The comparative analysis of international models of social work with HIV–positive inmates has identified best practices applicable in Kazakhstan: integration of multidisciplinary teams, restoration of social ties, anti–stigma programs, and individualized support plans tailored to the regional context. 6. The sociological analysis of Kazakhstan’s legal and regulatory framework revealed its fragmentation and inconsistency. The introduction of a unified regulation for social work in the penal system, the development of interagency coordination mechanisms (Ministry of Internal Affairs – Ministry of Health – Ministry of Labor and Social Protection – NGOs), and monitoring based on social indicators are essential conditions for effective reform. Validation and dissemination of research findings: The core findings, theoretical propositions, and conclusions of the dissertation have undergone scholarly validation through presentation at a number of national and international academic platforms, including: – The international scientific and practical conference dedicated to the 25th anniversary of the Constitution of the Republic of Kazakhstan, titled «The Constitutional and Legal Mechanism for the Realization of Human and Civil Rights in the Republic of Kazakhstan» (Kostanay, 2020); – The 2021 virtual conference of the International Society for Quality–of–Life Studies and the European Conference on Addictive Behaviours and Dependencies (Lisbon, 2022); – The International Forum of Social Workers of Kazakhstan titled «Social Work with Offenders as a Guarantee of Human Rights: Issues of Interaction between State Institutions and Civil Society» (Astana, 2022). The results of the dissertation have also been disseminated through nine scholarly publications, including: – Two peer–reviewed articles published in journals recognized by the Committee for Quality Assurance in the Sphere of Education and Science of the Republic of Kazakhstan; – One article published in a Scopus Q2–ranked journal (International Journal of Law, Crime and Justice); – One book chapter published in 2022 in the international collective volume International Aspects of Social Work in the Drugs Field; – Two book chapters published in 2023 in the edited volume Social Work and Health in Prisons. This dissemination has contributed to the academic and professional discourse on prison reform, HIV, and the institutionalization of social work in the penitentiary system. Structure and scope of the dissertation. The dissertation consists of an introduction, three main chapters, a conclusion, a list of references, and appendices. The introduction outlines the relevance of the research topic and the degree to which it has been studied in the academic literature. It defines the object and subject of the research, articulates the research aim, objectives, and hypothesis. The introduction also presents the theoretical and methodological framework, the methods employed, the scientific novelty, theoretical and practical significance of the work, and the key propositions submitted for defense. The first chapter «Theoretical and methodological foundations for studying the social well–being of prisoners in the penitentiary System» examines key concepts and theoretical approaches relevant to the study. It explores the penitentiary system as a social institution and analyzes core categories such as social well–being, institutional inequality, stigmatization, and inclusion. Particular attention is paid to both international and national sociological theories applicable to the study of vulnerable groups in conditions of isolation. The second chapter, «International experience and the institutional context of social work with HIV–positive prisoners» analyzes the legal and institutional frameworks governing social work in the penitentiary system of the Republic of Kazakhstan in comparison with international practices. It reviews models of resocialization in the prison systems of Germany, Norway, China, and Kyrgyzstan, and assesses the implementation of standards promoted by the United Nations, WHO, UNAIDS, and other international organizations. The third chapter «Empirical study of the social well–being of prisoners, including those living with HIV, in the penitentiary system of Kazakhstan» presents the results of field research. It outlines the data collection methods, including expert interviews and sociological surveys conducted among incarcerated and formerly incarcerated individuals. The chapter analyzes key barriers to social support and identifies factors influencing levels of well–being. Based on the empirical findings, practical recommendations are proposed for the development of social work within the penal system. The conclusion summarizes the main outcomes of the research, formulates general conclusions, and offers practical proposals for the institutionalization of social work in the penitentiary system–particularly in relation to supporting prisoners living with HIV.
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