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What Helped Me Transform: Reflections from San Quentin
Misa Christina Ikeda
IHL 6995: Integrative Seminar
Modified Thesis
Dr.Meg Jordan
5/9/2013
Abstract
This paper explores the key components to facilitating positive transformation in
prisoners, by examining former studies that measure the efficacy of prison programs,
first-hand accounts by former prisoners, and expert interviews in the field.
In the proposed qualitative study, 20 parolees who exited San Quentin State Prison are
interviewed regarding their experiences of positive transformation. The participants are
those who claim to have experienced positive transformation, and who have collectively
attended the following programs: Victim Offender Education Group (VOEG),
Incarcerated Men Putting Away Childish Things (IMPACT), Alliance for CHANGE, Full
Circle Addiction Recovery Services, and Brother’s Keepers. Estimated findings to the
study include inner conflict, being held accountable, safe space for self-inquiry, being
heard, sense of intra- and inter-personal and spiritual connection, supportive relationships
with those who see and encourage the realization of their full potential, and being of
service to others.
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Table of Contents
Abstract 2
Table of Contents 3
Introduction 4
Research Question 8
Importance of Research 8
Autobiographical Statement 9
Literature Review 11
Methodology 19
Potential Outcomes 24
Discussion 28
Summary 31
Bibliography 33
Appendix A - Interview Questions 44
Appendix B - Definition of Terms 46
Appendix C - Map of the Transformation Process 49
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IntroductionProblem Statement
The current system of incarceration in America needs remodeling. Newspaper
headlines such as “U.S. Incarceration Rate is a National Disgrace” or “The Caging of
America” reveal the extent of the problem as well as the disapproval and dissatisfaction
felt around the nation (Kamrany & Boyd, 2012; Gopnik, 2012). The United States has
had the highest incarceration rate in the world since 2002 (Scommegna & Tsai, 2012).
To compare, Italy has an incarceration rate of 92 per 100,000 people, France has 96,
England 153, and the United States has 753 (Kamrany & Boyd, 2012). Although our
nation houses only around 5 percent of the world’s population, it houses around 25
percent of the world’s prisoners; the U.S houses more prisoners than the top 35 European
nations combined (Criminal Justice USA, 2011). Incarcerating one prisoner costs
roughly $30,000 per year or more, up to $60,000 depending on the state (CBS News,
2012). At $68 billion annually, monetary spending on corrections has, astonishingly,
risen six times faster than spending on higher education nationwide in the past two
decades (Bloom, 2012., Gopnik, 2012). Nationally, 43.3 percent of prisoners released in
2004 returned to prison within 3 years (The Pew Charitable Trusts, 2011).
There are many interrelating factors contributing to such a dysfunctional system,
including the war on drugs, racial discrimination, economic factors, illiteracy, addictions,
laws such as the three strike rules and those that make it challenging for ex-prisoners to
secure employment and housing, and social stigma.
Recidivism is measured by criminal acts that result in the rearrest, reconviction, or
return to prison with or without a new sentence during a three-year period following the
prisoner's release (Bureau of Justice Statistics, 2012). Because incarceration is part of a
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complex societal system, recidivism rates reflect the system’s overall success at keeping
ex-prisoners from returning to prison, not what takes place in prisons alone; the struggles
that prisoners face when reentering society, such as social stigma and laws that make it
challenging for them to secure employment and housing, also affect recidivism rates.
One of the reasons why ex-prisoners return to prison may be because prison
environments and activities do not support adequate transformation in prisoners.
Addressing what takes place in prisons is only one part of the equation, but an important
part nevertheless.
To some people, what takes place behind prison bars may seem irrelevant to the
general society’s health, let alone to their own individual health and well-being. From a
wholistic perspective supported by quantum physics and numerous spiritual teachings
from around the world, we are all connected not only through what we recognize as
matter, such as water and air, but also on an energetic level, including our thoughts and
feelings (Braden, 2008). What takes place in a seemingly isolated and distant location
has an impact on the rest of the world through this interconnection (Radin, 2006, p.221).
David Bohm, an American physicist and Einstein’s protégé, wrote that “it will be
ultimately misleading and indeed wrong to suppose, for example, that each human being
is an independent actuality who interacts with other human beings and with nature.
Rather, all these are projections of a single totality... (Radin, 2006, p.254).” In addition
to the energetic interconnection that go beyond physical walls and metal bars of
correctional facilities, the vast majority of prisoners will directly interact with the rest of
us once released from prison. Through this lens, it is evident that state of prisoners’
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health and wellbeing is an aspect of our society’s health and wellbeing, and ultimately
influences the health and wellbeing of every one of us.
There has been increasing focus in the recent years on providing programs that
aim to rehabilitate prisoners, rather than the alternative focus of punishment. The
commonly expressed goal of rehabilitation is to prepare an individual to successfully
reintegrate into society as law-abiding, fully functioning individuals. Numerous studies
have documented various rehabilitative programs and their outcomes, ranging from
Transcendental Meditation, Motivational Interviewing, art therapy, to organic gardening.
A study by Austin, Williams, and Kilgour evaluates the effectiveness of “Short
Motivational Programme,” an adaptation of motivational interviewing. Using a
structured self-report questionnaire, offenders from two New Zealand prisons who were
at high risk for recidivism were measured for their motivation to change. Results from
before and after intervention showed that Short Motivational Programme, was effective at
increasing motivation to change and this change was maintained 3 to 12 months after the
program (Austin, Williams & Kilgour, 2011). In another study, Gussak quantitatively
measured the effectiveness of art therapy in reducing depression in 48 prisoners at a
medium- to maximum-security male adult prison in rural Florida, using the Formal
Elements Art Therapy Scale (FEATS) and the Beck Depression Inventory, an
observational survey (Gussak, 2007). The results showed a significant decrease in
depressive symptoms in participants. In a multi-study review, Himelstein describes how
meditation-based interventions, specifically Transcendental Meditation, mindfulness-
based stress reduction, and 10-day Vipassana retreats, can aide criminal offenders
through enhancing psychological well-being, decreasing substance use, and decreasing
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recidivism (Himelstein, 2011). In a study at San Quentin State Prison, Waitkus
documents both qualitative and quantitative findings on the impact of organic gardening
on the physical environment and social climate of the prison yard. Results showed how
the garden created community, a racially neutral and desegregated space, and instilled
hope for change within and around the prisoners (Waitkus, 2004).
Despite the various studies that examine interventions that take place in prisons,
none can be found that seek to identify the common factors that support positive
transformation in a prison environment. Additionally, relying on recidivism rates as the
main source of measurement for efficacy, as many studies do, can be problematic.
Recidivism may not be the best measure of in-prison rehabilitative programs, as other
factors outside of prison life influence successful reintegration after release, such as
challenges in finding sufficient income and housing, or difficulty in finding
compassionate community and human connection. For instance, the Australian Housing
and Urban Research Institute reports the important role of housing in preventing re-
offending (Australian Housing and Urban Research Institute, 2004). Intriguingly, both
Wormith and Wilkinson have published studies that show a negative correlation between
attitudinal change and recidivism (Wilkinson, 2005; Wormith, 1984). There may be a
number of reasons for this, including validity of measurements used, the fact that
attitudinal change may not be enough to keep former prisoners to returning, as well as
multiple influences from society that affect recidivism. It is inadequate to rely on
recidivism as a way to evaluate positive transformation that occurs in prisons. There is a
need for a study that looks at multiple in-prison programs to identify the common
features amidst the successful programs and prison environments. Furthermore, there is a
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need for a qualitative study that asks prisoners directly what components of in-prison
programs and prison life serve their rehabilitation.
Research Question
The central purpose of this qualitative study will be to identify the components in
the prison environment that enabled positive transformation in prisoners at San Quentin
State Prison in California. At this stage in the research, positive transformation will be
defined as “a dynamic, uniquely individualized process of expanding consciousness
whereby individuals become critically aware of old and new self-views and choose to
integrate these views into a new self-definition” (Wade, 1998). Positive transformation
in prisoners will be defined as a prisoner gaining sufficient inner-awareness which, if
faced with similar scenarios as those that had led to his conviction, would enable him to
know how to and to choose to make better decisions.
The research question of this study is: What factors were essential in assisting
positive transformation in prisoners at San Quentin State Prison? Subquestions are: Did
the rehabilitative programs help facilitate this process, or were there other factors in the
prison environment that did so? What were the specific aspects of the programs or
general prison environment that facilitated positive transformation in prisoners?
Importance of Research
This study is approached through a prisoner advocacy lens. Identifying essential
components that facilitate positive transformation in prisoners can assist the creation of
emerging prison programs. The findings may also help improve existing ones, by
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weeding out components that are not as beneficial and bringing more emphasis to those
that are important. The results of the study may also guide the direction of future policies
regarding the programs offered to prisoners and the prison environments in general.
Additionally, evaluation questions for prison programs or prison environments may
incorporate the findings of this study to test for optimal support of transformative
experiences in prisoners. People who may directly benefit from the findings of this study
include prisoners, former prisoners, friends and families of prisoners, prison staff and
other correctional officers, policy makers, people who design prisons, and people who
design and implement prison programs. Assuming that the study helps increase the
occurrence of positive transformation that takes place in prisons, all taxpayers will likely
benefit from a more effective correctional system. Those who come in contact with ex-
prisoners will likely appreciate interacting with positively transformed people. From a
quantum physics perspective, all living beings may ultimately benefit on an energetic
level by increased positive energy and less negative energy.
Autobiographical Statement
As a researcher, my personal interests play a role in guiding the research process.
Being a Master’s student in Integrative Health Studies and informed by the process of
integrative wellness coaching, I value inner-knowing and self-responsibility for growth
and change, and am interested to hear subjective accounts of prisoners regarding their
experiences of transformation. I am motivated by the opportunity to give voices to the
under-supported and socially stigmatized. I desire to improve the prison system in
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America by creating transformative opportunities and environments, not only on behalf
of those imprisoned but for the health of the society at large.
I excel at playing devil’s advocate, and rather than it being a negative feature, I
find that this quality of mine can be quite helpful in the context of seeing prisoners as
human beings with beautiful potential, often not given adequate support to blossom. I am
motivated to support positive transformation in even those who have committed atrocious
crimes. It is my belief, informed by experience, that people who cause harm are often
wounded people who need healing, not punishment; it is important to hold people
accountable to their actions while providing the tools for them to process the root of their
actions in meaningful way.
My viewpoint is influenced by the time spent engaging in success stories of
transformation taking place in prison, and networking with others who are involved in
improving the prison system. My personal biases are that some of the programs being
offered in prisons can facilitate positive transformation, that there is much improvement
needed in prisons across the nation, and that more consistency in prisoner transformation
will lessen social stigma, thus reducing recidivism. Despite my passion, the relative
newness and inexperience in this pursuit brings curiosity and an open mind to the
exploration.
I have recently begun volunteering with the Insight Garden Program that takes
place at San Quentin State Prison. My familiarity with this particular program,
connections with other programs on site, and the prison itself can help in a few ways.
Locating and contacting parolees is notoriously a challenge, as there is often instability in
their lives and thus numerous changes in address, jobs, or phone number if they have one.
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Although the programs offered in prison are geared towards helping prisoners onsite, it is
rare that all connections are severed post-release. In addition to providing possible
guidance in connecting with the parolees, having some awareness of prison life at San
Quentin and experience of working with the prisoners may help build trust and rapport
with the parolees and boost participation rates as well as bring ease to the interviewing
process. Unlike backyard research, this beginning level of familiarity will likely not
challenge my role to disclose information or raise difficult power issues, as suggested by
Creswell (Creswell, 2009).
Literature Review
The following literature review will address sources that relate to the research
question in a number of ways. There are sources that document transformation as a
phenomenon, unrelated to correctional facilities. There are numerous studies on prison
environments and rehabilitative programs that discuss their success and failures, some of
which specifically focus on results showing transformation. Finally, there are published
personal accounts around one’s transformational experiences in prison that fall outside of
academic research that are nonetheless significant to this paper.
In her journal article, A Concept Analysis of Personal Transformation, Gail
Holland Wade documents the various definitions of transformation as observed and
utilized in the fields of behavioral sciences, education, health sciences, as well as a
dictionary definition. She integrates her literature review with concepts from Newman's
Theory of Health as Expanding Consciousness to define personal transformation as a
dynamic, uniquely individualized process of expanding consciousness whereby an
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individual becomes critically aware of old and new self-views and chooses to integrate
these views into a new self-definition. It is a complex, multidimensional and expanding
spiral process, broken down into an interplay between antecedents, critical elements and
consequences. The antecedent is a disorienting dilemma that precedes personal
transformation, in which a problematic ‘cognitive and affective meaning’ construct
conflicts with one’s perspective and creates a painful, threatening and challenging
opportunity for reflection and expansion of consciousness. The dilemma invites active
participation from the subject, at which point the process continues - with the possible
assistance and intervention from another person, or the transformative process is halted.
The process can be slow and gradual, or rapid and dramatic. Critical elements refer to
the release of old perspectives and the integration of new ways of knowing.
Consequences include feelings of excitement, satisfaction and freedom, and possibly
sadness from losing the old self. Although the experience of transformation propels one
to continue expanding in consciousness and is a journey without a final destination, there
is a distinct and irreversible shift in perspective; one never returns to the old paradigm.
Transformation raises one’s sense of freedom, creativity, and ability to handle stress
(Wade, 1998, p.713-719). This study confirms the benefits of conducting a qualitative
interview for the purposes of this paper, as transformation is much about inner awareness.
In his article Self-Renewal Personal Transformation Following Extreme Trauma,
Jaffe examines the process of self-renewal, the creative restructuring of the self that may
follow painful and disconfirming personal crisis of illness or other extreme personal
trauma. The model describes the complex processes observed during self-renewal,
including the self-definition as a person taking an active role, the presence of a deep
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relationship to others, and the role of being a public witness concerning issues raised by
the struggle (Jaffe, 1985). Many prisoners have experienced varying degrees and
amounts of trauma in their lives leading to incarceration, and for some, life in prison can
be a traumatic experience.
In a study of narrative inquiry, McDonald explored the positive change and
transformations that happen suddenly and abruptly. Through the tales of 4 adults in New
Zealand and Australia who had each had a self-identified epiphany. One of the
characteristics of their epiphanic experiences was the change and transformation that took
place in the way they viewed themselves and their world. Participants negotiated the
existential dilemmas in their lives, using them to redefine their self-identities, testifying
to the power of human freedom and choice in triggering positive transformations. Their
stories reflect childhood trauma and/or deprivation, similar to many prisoners.
McDonald notes the extraordinary resources that the participants called on to make
positive lifelong changes during their sudden and abrupt processes. He suggests that
positive change and transformation may be triggered by opportunities for participants to
reflect on the fundamental conditions of existence and the manner in which they
encounter and negotiate these givens of life, and that these opportunities need not be
necessarily sudden and abrupt, but can happen through other, less intensive forms of
personal development, such as Alcoholics Anonymous, outdoor education (such as
Outward Bound), and career development and counseling (McDonald, 2008, p.112).
In his article article Personal Construct Theory and the Transformation of Identity
in Alcoholics Anonymous, Young (2011) brings attention to shifts in relationships that
occur during the Twelve Step process, rather than focusing on cognitive behavioral
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changes as is commonly done in alcoholism research. Young discusses George Kelly’s
personal construct theory as a lens that looks beyond linear causality. Applying personal
construct theory to alcoholic recovery takes into account the cultural, social, and spiritual
components relevant to alcoholism. The four domains in which identity is constructed
and perceived according to the personal construct theory are stigma - normality vs
deviance, perspective - subjective vs objective, affiliation - unique vs common, and
stability - fluctuating vs permanent (Young, 2011). Focusing on shifting identity may be
highly relevant to transformation in prisoners. In addition to any identities they carried
with them into prison, many will struggle with their acquired label of being a felon.
Therapist Style in Sexual Offender Treatment: Influence on Indices of Change is a
report by Marshall (2005) on qualities in therapists that carried the most influence on
reaching treatment targets among sexual offenders. Upon analyzing 12 videotapes of 2-
hour lengths from 7 different prisons in the HM Prison Service in Britain, the study
concludes that sexual offender therapists will maximize their influence and increase the
chances their clients will overcome their offending propensities if they display empathy
and warmth in a context where they provide encouragement and some degree of
directiveness. Another conclusion is the essentiality of flexibility for the therapist to
adapt what he is doing to each client’s particular way of approaching treatment and to
adjust this in turn to how the client is feeling in each session.
A qualitative, phenomenological study by Norell looked at the transformative
learning experiences of women prisoners participating in the 4-H LIFE program at two
women’s state prisons in Missouri, as it relates to shifts in their understanding of parental
roles (Norell, 2012). The 4-H Living Interactive Family Education (LIFE) program
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provided skills development courses, in which offenders developed core-parenting skills
that were translated and practiced with their family members through the family visits.
The in-person intensive visits were encouraged as a means to reestablish connections
with their family members. Relationships were developed among teaching staff,
offenders, and their families. The Mezirow’s Transformative Learning Theory is a
constructivist theory of adult learning, and states that learners actively create meaning as
a result of experiencing a reality with which they must confront. The process involves
transforming frames of reference through critical reflection of assumptions, validating
contested beliefs through discourse, taking action on one’s reflective insight, and
critically assessing it (Mezirow, 2002, p.11). In Norell’s study, evidence of
transformative learning was observed using the 10 precursor steps that could lead to
transformative learning, as described by Brock - experiencing disorienting dilemmas,
reflecting on assumptions, recognizing discontent that is publicly shared, exploring new
roles, examining feelings of guilt or shame, trying on new roles, planning a course of
action, acquiring knowledge/skills to implement the plan, building confidence, and/or
reintegrating the experience to life. Through the data collected from over a two-year
period from the prisoners, department of corrections staff, volunteers in corrections, and
4-H program staff, Norell found that the participating prisoners did experience
transformative learning as evidenced through the ten precursor steps. The components of
Mezirow’s theory may carry significant relevance to the grounded theory yet to be
developed in my proposed study, since Mezirow originally constructed his theory after
researching factors related to the success of women’s re-entry to community college
programs in the 1970's.
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In her book Redemption, Lannert mentions a number of influences that assisted
her in positive transformation. One influence was a nun who provided the only
counseling she was offered, and to whom Lannert got a chance to confide in and be heard
without having her words used against her. Another is The Courage to Heal Workbook -
463 pages of how to make life better after sexual abuse, given by a psychologist, which
she started doing under the mistaken impression that it was part of a court-ordered
psychological evaluation. In actuality, the psychologist was simply trying to help her
personal healing process, and indeed Lannert reports the workbook to have opened her up
and helped connect with her mother again. Lanner revisited the workbook several times
throughout incarceration and also took classes that taught the material. She later finds the
chance to speak to outsiders about her abuse, helplessness and anger to local high school
principal and teachers interested in how to help people who experience sexual abuse.
“His approval and validation made all the difference. After all those years, I finally
decided that if I wanted help, I had to be honest. I had to reach inside myself and find
that truthful place. The whole experience spoke to the heart of me” (p.265). She also
finds help through Vandalia’s Outreach program, designed to deter juvenile offenders
from following in their footsteps: “It got me in touch with what I had done and where I
had been. It was like counseling for me. For the first time, I started to feel like I was
healing” (P.267). As she worked with lawyers to raise publicity and public support, and
found through many letters addressed to her that it is “okay for me to be me for the first
time in my life” (P.277). She finds a sense of renewal and empowerment in realizing that
speaking out was allowing her to use her experience to help others who face similar
challenges. She learns about patience, pride, and the ability to let go, power of
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forgiveness, how to survive graciously, humor and acceptance through the dogs she helps
train to be service dogs. She later finds a sense of freedom through focusing on the
choices she still had, including how she was going to feel day to day, and finds support in
a poem sent by a friend.
In his book Finding Freedom: Writings From Death Row, Masters (1997) reports
entertaining short dialogues and insightful observations on life gathered during his time at
San Quentin State Prison - the type of information that one would not find in the news, or
in scholarly research. Although his book is not specifically written as a direct response to
the question “what factors were essential to bringing about positive transformation?,”
comments from the Acknowledgment and Epilogue sections can be drawn from that
inform us. He shares the important role that Melody Ermachild Chavis - part of his legal
defense team - played in helping him evolve through many steps from extreme anger to a
published author who finds gratitude in an opportunity for his stories to possibly help
others. He thanks her for believing in his potential and encouraging the blossoming of
this potential with non-judgment and guidance: “without whose belief in me, support, and
encouragement for my case, my life, and my writing I wouldn’t be who I am today”
(Masters, 1997, p.xx). She brought people into his life that helped him move forward in
his path, and gave passage to his voice. The healing power of being heard, in person, and
through his writings is evident. In his Epilogue, Masters highlights of the role of
spirituality in his path: “It is almost unimaginable to think of what I might be like if I
didn’t have the dharma, my teacher, Chagdud Tulku Rinpoche, and the love and care of
my friends. They have enabled me to turn a situation as bad as mine into an opportunity
to be of some benefit, if not for myself, then for school kids and their teachers and
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counselors...” (Masters, 1997, p.175). This passage reveals the importance of spiritual
health, a spiritual teacher, love and care from friends to Masters’s shift from an anger-
filled person sentenced for murder to one who finds gratification in benefiting others
while still on death row. Masters has since written a new book that states his innocence
in the crime that has put him on death row. There are many supporting this notion and
helping promote legal action to reverse his sentence. It is intriguing to think what direct
correspondence may reveal regarding positive transformation while dealing with false
accusations, in his case ones that are threatening to take his life quite literally.
Letters from the Dhamma Brothers is a book of published letters collected by
Jenny Phillips, from the prisoners at Donaldson Correctional Facility in Alabama,
relating their experiences and reflections following a 10-day Vipassana meditation
program, in which the effectiveness of a voluntary, nonsectarian spiritual training for
prisoners. Each letter reports of the significance the meditation program had on
participants in shifting their perspectives, feeling more equipped to handle inner
struggles, bringing light and meaning to their daily existence. Phillips (2008) comments
on how the program, with loving mentors guiding the course, respects the privacy and
humanity of each student, and provides an alternative social system through which
prisoners can shift their deprived and stigmatized social mass identity. She speculates
that prisoners are natural candidates for deep introspection due to the depth and misery
that they experience throughout their sentences and considers the opportunity for
significant introspection in a safe, supported environment to be a principle reason for
such profound effect of the program. In the insulated social structure of the program, all
students are recognized as worthy individuals in the present, regardless of events in the
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past. Here, the corrections officers assigned to the program, in addition to the meditation
teachers, played nurturing, protective and supportive roles to the prisoners. She attributes
the key elements of successful transformation to 1) a new sense of community heightened
and strengthened by long hours meditating together, 2) separation and protection from
surrounding prison culture of forced control and danger, and possibly to the 3)
preexisting subculture of meditation and personal growth at this particular prison
(Phillips, 2008, p.203).
From reviewing the existing literature, it is evident that there are numerous
research studies that attempt to assess the efficacy of rahabilitative programs in prison,
but they very often use recidivism as a measurement, which is not an ideal tool for
assessing the changes that take place in prisons. The most relevant reports to the research
question are found in testimonials and non-fiction books written by former current and
former prisoners. These accounts, however, are not a direct response to the research
question, and are not equivalent to a study that examines a broader range of participants
utilizing detailed and targeted questions. There is a need for research that specifically
inquire at what factors assist in positive transformation within the prison environment -
studies that can help guide future program development and implementation in prisons.
There is also a need for prisoners’ voices to be directly represented in academic research
- personal accounts to supplement existing assessments reported by researchers.
Methodology
Qualitative Strategy
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This study will utilize qualitative inquiry, which helps broaden our insight into
various phenomena experienced by people, often complementing findings from
quantitative research. Although relatively new in the realm of research, it is becoming
more widely accepted and relied upon as a methodology in fields such as humanities,
social sciences and health science. Qualitative research relies on the researcher as the
main instrument in data collection, and draws from the natural setting of participants.
Because the findings are often expressed through descriptive words and images, there is
space for subjective meaning and values to be conveyed; this methodology supports
multiple layers of reality and the richness of life, often in a ways that quantitative
research does not offer. As correctional facilities seek to improve their programs and
effectiveness as a whole system, strategically collected comments and suggestions from
prisoners may help bring awareness to effective and ineffective aspects, complementing
existing quantitative data.
Unlike quantitative research, which relies on deductive logic and sets out to test
hypothesized theories, qualitative research seeks to induce general themes from particular
data. Common strategies include ethnography, case studies, phenomenological research,
narrative research, and grounded theory (Creswell, 2009). This study will use qualitative
research as a method to explore the subjective experiences of prisoners, and to provide
possible insights that quantitative data alone may not provide. The article titled
Recognizing the Need for Prisoner Input in Correctional Research: Observations from an
In-Prison Driving While Intoxicated Reduction Program Evaluation describes how the
use of qualitative interviewing can provide data otherwise inaccessible through more
traditional approaches (Miller, Miller & Tillyer, 2012). Through interviewing subjects of
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an addiction treatment program, the researchers gained insight to details of the program
that were not revealed in the quantitative data.
Standardized Open-Ended Interview
There are multiple styles of structuring interviews, among which is the
standardized open-ended interview, which will be used in this study. In this format,
participants are asked the same pre-arranged questions, but given much freedom in how
they answer. The wording of the questions allow for and encourage open ended
responses, and seeks for richness and variety from which follow-up questions may be
constructed (Gall, Gall, & Borg, 2003). For this reason, standardized open-ended
interviews are likely the most popular form of interviewing utilized in research studies.
Coding the data can be a relatively involved process due to the variety and richness of
responses. However, the very same variety and richness can help minimize researcher’s
bias from forming shaping the results (Gall, Gall, & Borg, 2003). I have chosen to use
interviews as a method as it empowers the participants to see themselves as whole and
capable of reflecting on, reporting about, and being accountable for their journeys of
inner-growth - touching upon some core principles found in integrative wellness
coaching.
Participants
Participants in this study will be parolees who have collectively attended a variety
of rehabilitative programs during incarceration at San Quentin State Prison in California
and who have responded as having had an experience of positive transformation during
their time in prison. Parolees have been chosen as participants instead of prisoners for
several reasons. Gaining access into prison to conduct interviews presents unique sets of
21
obstacles and “methodological land-mines” (Schlosser, 2008). Another reason is that
parolees, who daily face the reality and challenges of reintegration, may have further
insight about their transformation as it relates to life beyond prison and in helping them
reintegrate as flourishing individuals in society. Being interviewed when they are not
under constant supervision gives them more space, time and privacy to reflect on the
topic and for reporting their experiences.
Parolees from San Quentin Prison will be purposefully selected because San
Quentin has an unusually high number of rehabilitative programs offered to prisoners,
including anger management, environmental awareness, fine arts and performance, dog
fostering and responsibility development, cognitive behavioral change and self-inquiry,
and many more. Some may be more academically or vocationally geared than others.
Locating the parolees relevant to this study will involve the communication with those
who run the programs.
For this study, a total of 20 parolees will be selected from previous participants of
various in-prison programs at San Quentin State Prison: VOEG or Victim Offender
Education Group , IMPACT or Incarcerated Men Putting Away Childish Things,
Alliance for CHANGE, Full Circle Addiction Recovery Services, and Brother’s Keepers.
These groups have been specifically recommended as targets for finding suitable
candidates, by Vincent Russo, a former prisoner at San Quentin who is well acquainted
with many programs, their staff and participants (Russo, V., personal communication,
April 21, 2013). This selection, however, does not reflect an official or comprehensive
evaluation of the various programs at San Quentin. In fact, those with life sentences have
been recommended as a great source of interview candidates. Nonetheless, this study
22
will select interviewees who have been released from prison, for reasons described
previously.
For an initial phone survey, a list of names and phone numbers of former
participants who are now in reentry will be collected from the coordinators of the above
mentioned programs. From these potential candidates, 20 will be randomly selected and
contacted by phone to inquire whether they had an experience of positive transformation
while in prison, and if so, if they would be willing to be interviewed about the
experience. Potential candidates will continue to be drawn by random selection - from
within this convenience group - until 20 candidates have responded positively.
Data Collection, Analysis and Interpretation
A meeting time as well as a public, neutral meeting place with minimal distraction
will be arranged with each consenting participant. Each interview will be digitally
recorded as audio-recording, with prior consent. In addition, descriptive and reflective
notes will be taken by pen and paper. Specific questions are listed in the Appendix
Section. The interviews will follow a semi-structured format, allowing additional
questions to organically emerge during the interviews in response to their narratives, and
for exploration of further topics that may be revealed as relevant. Semi-structured
formats enable the participants to engage in an open, honest dialogue to better understand
the issues being explored. Each interview is estimated to last 30 minutes to an hour.
Brief follow-up calls of around 10 minutes will be made roughly 4 weeks following each
interview. The purpose of these will be to ask additional questions that may have
emerged during the analysis, to provide an opportunity for parolees to add any details that
23
may have emerged in their reflection since the interview, and to answer any questions
they may have for the researcher. These follow-up phone calls will be recorded digitally.
To establish reliability, thorough memos will be taken through data analysis, and
codes will be cross-checked by a colleague. To establish validity, verbal reports of
observation from staff will be collected, as well as sharing the main findings of each
interview with the interviewee to confirm the accuracy of interpretation.
Potential Outcomes
Based on the research, interview with experts, and personal experience, the
following can be surmised as key components that assist in positive transformation:
inner conflict or dilemma - The inner conflict or dilemma needs to cause enough
discomfort or present to be a big enough problem in the person for shifts to take
place.
to be held accountable - Although compassion and non-judgement are essential,
this does not mean ignoring the behavior that lead to incarceration. On the
contrary, it seems necessary for the person to be held fully accountable for his
behavior in order to begin taking responsibility for his crime as well as all other
aspects of his life; positive transformation often involves becoming mindful and
responsible for how one shows up in the world moment to moment and for the
thoughts, feelings and actions in which one chooses to engage.
safe space for self-inquiry - Safe space implies more than a physically non-
threatening environment. It requires compassion and non-judgment that allows
24
challenging emotions to be explored, as well as a trust that the words and stories
that emerge will not be used against oneself.
to be heard - Many prisoners have not felt heard and understood. The current
judicial system often cuts people off to hear selective portions of the offender’s
story and seeks to hear only what is convenient or favorable to the otherside.
There is a lack of listening with full presence and compassion in general in our
society, and many prisoners have been negatively affected as a consequence prior
to incarceration.
interaction and close relationships with people who believe in their human worth
and potential to transform, and who encourage them to actualize their full
potential.
connection - Connection to others, connection to something greater than oneself
as in a spiritual context whether acknowledged in such a way or not, connection
to one’s emotions, to one’s heart.
being of service to others - Once prisoners start to see positive changes in
themselves, they tend to want to be helpful to others, fostering a deeper shift in
self-value.
programs that facilitate any and all of the above
prison environments that foster a culture of rehabilitation - often starting with a
warden who operates through a lens that encourages rehabilitation
Considerations for Future Studies
A possibility for a future study will be to reach a broader range of participants via
modalities such as focus groups or email surveys, guided by the findings of this study.
25
The research population can be extended to current prisoners at San Quentin, prisoners or
former prisoners of other locations and institutions, female prisoners, and former
prisoners who have reintegrated into society and have continued to stay out of prison for
longer periods of time than 3 years. In addition to reaching a wider range of participants
qualitatively, a quantitative survey can be constructed based on the findings of this study.
A common feedback from experts in the field was the high rate of positive
transformation observed in prisoners with life sentences. Through verbal communication
and observation, Kiki Kessler - who has been facilitating groups at San Quentin for
nearly 9 years - has learned that often those with life sentences fight to get out for the
initial several years - this may be 3 years or 7 years for instance, depending on the
person. When the suffering they experience becomes unbearable, they have to do
something, and they become open to trying anything that may ameliorate their situation
(Kessler, K., personal communication, April 22, 2013). Although obtaining permission
to interview those sentenced for life or on death row may present a challenge, it may help
access valuable information.
Another area to explore may be the difference in transformational experiences and
needs depending on the nature and severity of the crime, such as between those who
committed severe crimes, those who committed relatively minor legal disobediences,
those who are in for substance abuse issues, and those who are falsely accused and
convicted - such as in Master’s case. Personality in general may influence the specific
needs of a prisoner in catalyzing transformation. Susan Shannon, an intern interfaith
chaplain at San Quentin State Prison, relayed in a personal interview how there is a
specific population that does well in an informal mindfulness meditation class (interfaith
26
or no-faith), whereas the Buddhist Zen group attracts those who thrive in a more formal,
ritualistic and dogmatic group with rankings (December 10th, 2012). In her opinion, both
groups discuss consciousness but with their own set of vocabulary and hierarchy; some
people excel when provided structure and an assigned objective to achieve, and others are
helped by simply sitting and feeling connected with others.
Ethical Issues
By limiting the definition of positive transformation, there may be former
prisoners who feel that their experiences, despite carrying significance and positive
impact, are somehow inferior or invalid. Any failure to maintain anonymity of the
participants, could potentially risk altering their parole status, especially when
controversial accounts of ongoings in prison are revealed, on the part of prison staff and
officials, or on the part of the former prisoners. Any information revealed about current
endeavors that qualify as parole violations will also need to remain strictly confidential.
Since the modality of data collection is subjective, any dishonesty from the participants
may alter the theory and fail to provide optimal guidance for future improvements in
prisons. Interview sessions, in-person and over the phone, may place additional stress to
the participants who struggle with busy schedules, or with gaining adequate phone
access. Transportation to interview locations will be compensated.
Limitations
Factors that may affect the study include dishonesty of the participants, non-intentional
distortions of their experiences such as exaggeration or minimization of events based on
their style of articulation and expressivity, or based on the sometimes distortive and
27
inventive nature of memories. The study itself, by design, is limited in the sample size,
gender, and to a particular prison.
Discussion
Depending on one’s worldview, spirituality and positive transformation may be
inseparable. Indeed, many accounts of positive transformation - regardless environment
or population - seem to contain descriptions resembling those of spiritual awakening and
evolution. All 4 experts in the field whom I interviewed believe that spirituality, whether
acknowledged as such or not, is a component in the transformations that they have
observed (Kessler, K., Russo, V., Shah, S., Shannon, S., personal communication,
2012/2013). In fact, the term “connection” seems to be the common denominator in
discussing spirituality. Connection may be to something greater than (what they perceive
as) themselves, to their own innate knowledge and guidance, connection to their authentic
selves and their hearts, or a deep sense of connection to other human beings of all
backgrounds. Whether the connection is to a deeper source within, to other human
beings, or to a greater life force, they can all be perceived as spiritual. For the purpose of
this study, however, the term spiritual is not included in the interview questions. This is
to honor participants’ transformative experiences as valuable and real, regardless of their
spiritual or religious identity. As the interviews are open-ended, the mention of
spirituality will likely emerge from the participants if true to their experiences.
Restorative justice is often the theoretical lens that inspires and guides many of
the programs that encourage positive change in prisoners. This approach to justice
emphasizes repairing the harm caused or revealed by criminal behavior, best
28
accomplished through cooperative processes that include all stakeholders. This is done by
identifying and taking steps to repair harm, involving all stakeholders, and transforming
the traditional relationship between communities and their governments in responding to
crime (Prison Fellowship International Center for Justice and Reconciliation). There is a
saying in the culture of Restorative Justice that hurt people hurt people, and healed
people heal people. My research and direct interaction with prisoners confirms this
saying; generally, people who are incarcerated have suffered greatly - and continue to do
so, often subjected to harsh conditions in childhood. Should prison be more like a
healing intensive center? Prisoners may be considered the offender in relation to their
criminal acts, but are victims of previous harm, whether it may be from deeply embedded
social injustice, sexual abuse, or neglect, for example. Warden Mark Kawika Patterson at
the Women’s Community Correctional Center in Hawaii realized that the prisoners under
his care needed a place to heal, rather than punishment (Gelder, 2011). He reinvented the
environment of WCCC into a pu‘uhonua, a traditional Hawaiian sanctuary where those
who break a taboo or rule, or are fleeing violent conflict, can go for forgiveness and
transformation. Kessler also hears from the men she works with that spending time with
volunteers who care about them helps heal their wounds.
Shannon finds that structures based on Restorative Justice principles a create
framework for transformation of the body, mind, and soul of men in the programs
through inter- and intra- personal integration (personal communication, December 10,
2012). She sees a deeply spiritual and healing component as they open to their authentic
selves, their hearts, and recognizing deep interconnectedness with others of all
backgrounds.
29
Substance abuse and addictions are often related to imprisonment. Sadly, 57% of
prisoners in federal prisons have been convicted of drug-related crimes, and during 1980
to 1999 the annual number of Americans arrested for drug offenses has nearly tripled
(Maté, 2008, p.273, 290). Dr. Gabor Maté is an internationally recognized author and
physician who works in Vancouver’s notorious Downtown Eastside neighbourhood with
patients suffering from hardcore drug addiction, mental illness and HIV. His experience
has shown the frequency of childhood abuse and neglect in drug addicts. In his opinion,
addiction is the result of a situation that the addict had no influence in creating; “His life
expresses the history of the multigenerational family system of which he is a part, and his
family exists as part of the broader culture and society.” (Maté, 2008, p.273) Seeing that
deep pain and struggle may be at the root of the problem, and we again seek an emphasis
on healing more than punishment. Shannon finds that many programs at San Quentin
State Prison aim to identify and unpack childhood wounding, guilt, shame, in a
compassionate and safe way - which she thinks are key to loosening the knot that
perpetuates addiction (personal communication, December 10, 2012).
We currently have a society that stigmatizes those who have been incarcerated,
even when they may have positively transformed and prepared to re-integrate into
society. Shannon believes that it is our human right to transform and be nurtured in that
transformation, and to be accepted back into the flock, but that society needs to shift its
perspective on good and evil and to adopt a model of Restorative Justice for this to
become possible. In addition to dissolving stigma, a better social structure is needed to
help reduce recidivism. There is a great need for “something to catch them when they get
out,” as Shah describes, that provides access to financial resource, jobs, housing, and
30
many other necessities. Without such a structure, some will resort to criminal action as a
necessary measure to survive, despite having positively transformed.
What are we, as a society, expecting from prisoners in the process of
incarceration? Are we in fact intending for positive transformation? What defines
positive transformation in a way that meets the societal needs and desires? If the
intention is for change, improvement, rehabilitation or transformation, exactly what
degree of a shift are we asking of them? I encourage each and every one of us and the
society at large, to reflect on what we seek for when we support imprisonment, what we
need to provide in the structure for these changes to take place, what the best
measurements may be for assessing the effectiveness of the model, and what shifts need
to take place beyond the confines of prisons to allow sustainable changes.
Summary
The astounding state of the judicial system and correctional facilities in this
country is much greater than merely a tax problem. In the words of Dr. Gabor Maté, “in
society, as in nature, each microcosmic unit reflects something of the whole (Maté, 2008,
p.273).” The health of our prisoners is a reflection of the health of our society, and is
interconnected to the wellbeing of each and every one of us. Although most prisons in
America do not foster positive transformation, accounts of powerful and beautiful
transformations do exist. By interviewing former prisoners from San Quentin about their
experiences of positive transformation, we may gain insight to help guide future
programs and environments in prisons across the country.
31
Austin, Williams, and Kilgour document the three principles to effective
correctional rehabilitation: 1) Offenders who are more likely to re-offend benefit from
intensive highly resourced interventions, while those who are less likely to re-offend
benefit from less intensive interventions. 2) Effective correctional programmes focus on
offenders' needs. 3) Responsivity, which states that correctional intervention needs to be
delivered in a style and mode that is commensurate with the offender's ability and method
of learning (Austin, Williams, Kilgour, 2011). Approaching incarceration as a way to
meet the needs of prisoners may be a basic shift from the current societal approach of
isolating and confining the undesirable, but a shift that may produce radical
improvements to society at large.
32
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Appendix A
Initial Phone Survey Questions
Would you say that you had an experience of positive transformative while in prison?
If yes, would you be willing to participate in an interview regarding your experience?
Interview Starting Questions
1. What factors were essential in assisting your positive transformation at san quentin?
• Please list all programs attended during incarceration
• Did the transformation happen during a specific program?
• Did it happen in relation to a specific program but not during?
• Was the transformation unrelated to any program?
• What do you think were the important aspects that contributed to your transformation?
Were there aspects of incarceration that did not help you, or that had a negative effect?
2. How did you experience this positive transformation?
Please describe your experience of positive transformation.
Our guiding definition of transformation is: A dynamic, uniquely individualized process
of expanding consciousness whereby individuals become critically aware of old and new
self-views and choose to integrate these views into a new self-definition. Positive
transformation in prisoners will be defined as a prisoner gaining sufficient inner-
awareness which, if faced with similar scenarios as those that had led to his conviction,
would enable him to know how to and to choose to make better decisions.
44
Are there other definitions or descriptions of positive transformation that seem more
appropriate or applicable to you than the one provided here? What are they?
What is the timing when noticeable change(s) took place? What was the duration?
3. Please describe how your transformation influences your current life:
What is your current status around housing?
What is your current status around employment?
What is your current status around relationships, including family and friends?
What is your current status around support network?
What is your current status around management of substance abuse?
To what degree has the transformation benefited you during reentry?
Has the transformation been enough to assist you in successfully reintegrating into
society and leading a productive and fulfilling life?
If your transformation has not been enough to assist you in successfully reintegrating into
society and leading a productive and fulfilling life, what else do you suggest would help
you achieve this?
If you were faced with a similar situation as the one that led to imprisonment, what would
you do differently?
45
Appendix B
Definition of Terms
Cognitive Behavioral Change: Change in patterns of thinking or behavior that are
behind people’s difficulties, so as to change the way they feel.
Constructivist Theory: A learning theory which states that learning is an active process
of creating meaning from different experiences. In other words, students will learn best
by trying to make sense of something on their own with the teacher as a guide to help
them along the way.
Mindfulness: A state of active, open attention on the present. When you’re mindful, you
observe your thoughts and feelings from a distance, without judging them good or bad.
Motivational Interviewing: A client-centered, directive method of counseling for
facilitating change by helping people to explore and work through ambivalence.
Parolee: A prisoner who is released early and then subject to continued monitoring as
well as compliance with certain terms and conditions for a specified period.
Punitive: Inflicting, involving, or aiming at punishment.
Reentry: The transition of prisoners from prison to the community upon release.
46
Recidivism: A tendency to relapse into a previous condition or mode of behavior. In this
paper, it refers to criminal acts that result in the re-arrest, reconviction, or return to prison
with or without a new sentence during a three-year period following the prisoner’s
release.
Rehabilitative: To restore to good health and useful life, as through therapy and
education. To restore to good condition, operation, or capacity.
Positive Transformation: a dynamic, uniquely individualized process of expanding
consciousness whereby individuals become critically aware of old and new self-views
and choose to integrate these views into a new self-definition. Positive transformation in
prisoners will be defined as a prisoner gaining sufficient inner-awareness which, if faced
with similar scenarios as those that had led to his conviction, would enable him to know
how to and to choose to make better decisions.
Vipassana meditation / retreat: The use of mindfulness in meditation to note every
detail of our mental and physical experience from moment-to-moment, with an unbiased
attitude. By practicing mindfulness meditation we can see and actually remove the
causes of suffering, which are within ourselves. Vipassana retreats are often conducted
over a course of 10 days, fully silent.
Yoga: A Hindu discipline aimed at training the consciousness for a state of perfect
spiritual insight and tranquility. In the context of this paper, it refers to a system of
47
physical exercises practiced as part of this discipline to promote control of the body and
mind.
48
Appendix C
Conceptual Map of the Transformation Process
49
