Category Archives: deliberation

civic engagement and the incarceration crisis

At first glance, our vast prison system (there are 2.3 million Americans behind bars) looks like a result of citizen action. Draconian sentencing laws often begin with referenda or with legislative votes that respond to popular pressure. The phrases “populist punitiveness” and “penal populism” are used to describe an international phenomenon: politicians seeking approval by posing as tough on crime and denouncing lawyers and other elites who would coddle or protect criminals.[1]

But accumulated evidence suggests that when citizens deliberate, they arrive at merciful or nuanced decisions. For instance, when judges disagree with jury verdicts, it is generally because they think the jury was too lenient.[2] Capital punishment is a popular policy in the United States, yet juries reach capital verdicts in very few cases. When a random sample of British citizens deliberated about criminal justice policy, they shifted markedly against the proposition that incarceration reduces crime and became much more protective of defendants’ rights.[3]

(The previous paragraph and much of this post is indebted to a forthcoming book by Albert Dzur entitled Punishment, Participatory Democracy, and the Jury.)

Unfortunately, public deliberation is rare within the criminal justice system. The severe and inflexible penalties required by referenda strongly encourage plea-bargaining, which is one reason that the proportion of felony cases that go to trial has dropped from one in 12 during the 1970s to just one in 40 recently.[5] Ninety-seven percent of criminal convictions in the federal system and 94 percent in the state systems result from plea-bargains and not trials.[6] The people (using the ballot box) have chosen to remove the people (convened as jurors) from criminal law.

Why would they do that? In 1964, three quarters of Americans said they generally trusted the government and 53.4 percent said they generally trusted other people. By 2010, trust in government was down to 30.4 percent, and trust in other people had fallen to 34.6 percent, both having lost ground steadily over the decades.[6] Distrust of people of color, especially young African American men, is particularly acute and directly relevant to the incarceration problem. (In fact, “distrust” is much too soft a word for public attitudes toward young Black people.)

If we trusted the government but not our fellow citizens, we might be willing to let judges set sentences. If we trusted our fellow Americans but not the government, we would be less eager to incarcerate citizens and more protective of the jury system. Trusting neither, we are tempted to require the state to put other people in jail without trials.

A minimum sentencing law is a simple, understandable rule imposed on a complex system. It is a classic example of the prevailing view of accountability as external and driven by numbers, rather than deliberative and determined by arguments. It transforms criminal cases from transparent public events, full of explicit moral rhetoric and judgment, into bargaining sessions managed behind the scenes by lawyers. That is a recipe for even lower trust, which encourages even more Draconian sentencing laws. The resulting crisis of incarceration is largely invisible because citizens do not serve on juries or even read about jury trials. Even though criminal justice is officially public business and transparent (in the sense that one has a right to obtain court records), it rarely impinges on public consciousness.

In Oklahoma in the 1990s, the League of Women Voters saw the state’s incarceration rate—the third highest in the nation—as a serious public problem. They also recognized that politicians were afraid of any reforms that could be depicted as weak on crime. So they organized a series of meetings across the state that involved nearly 1,000 citizens who held diverse views. Many participants expressed anger about the costs of incarceration and favored prevention and rehabilitation. Politicians and reporters attended these meetings and witnessed the prevailing mood, which changed their estimate of what would be popular. The League then recruited participants to advocate a bill that would reduce certain felonies to misdemeanors while devolving some authority over sentencing to “community boards with citizen representation.” The bill passed by wide margins. It reflected deliberative public opinion and it created a mechanism for the kind of sustained public engagement in criminal justice that might restore public trust.[7]

The sentencing reform legislation was later repealed after lobbying by law enforcement officials. The state chose instead to reduce costs by expanding private, for-profit prisons.[8] In 2008, companies that run such prisons spent almost $69,000 on Oklahoma state political campaigns and received almost $77 million in state funding; the state even imported prisoners from Arizona.[9]

This chapter of the Oklahoma story is a reminder—as if one were needed—that engaged citizens face formidable enemies and need political reform to prevail. Nevertheless, community sentencing boards continue to handle non-violent cases in most Oklahoma counties. The state’s Department of Corrections argues that these boards save money and reduce incarceration by using employing to prison sentences.[10]

Oklahoma’s community boards resemble other widespread initiatives in which the justice system engages lay citizens. “Problem-solving courts” specialize in particular issues, such as drugs or domestic violence. The judges work with social workers and representative of community groups to develop comprehensive solutions to local problems. In one impressive example, a housing court judge worked with a broad-based neighborhood group to fight urban blight and abandonment in Buffalo, NY. The judge used his power to fine landlords who violated the housing code, but he would also accept improvements satisfactory to the neighborhood activists. The activists would observe and report housing violations and, when properties were seized by the court, would take them over and rehabilitate them. The court and the neighborhood group chose their targets selectively to redevelop the community block by block and were able to raise the value of privately owned homes tenfold, essentially creating wealth for long-term residents.[11]

In youth courts, panels of teenagers are empowered to sentence their peers for minor offences. In restorative justice programs, violators negotiate agreements with representatives of their community to repair the harms their actions have caused.[12] Modern restorative justice was first proposed by outsiders to the legal system (Mennonite activists and others), but it has grown thanks to the support of prosecutors and corrections officials, who see substantial financial savings and much higher satisfaction among victims and other residents.[13] Like youth courts, restorative justice has shown promising effects on recidivism. These reforms also engage citizens in deliberations within the legal system.

By expanding such opportunities, we may be able to change the national conversation about crime and punishment.[14] Restorative justice tends to satisfy both victims and offenders.[15] Jurors who successfully reach verdicts in conventional trials hold more favorable views of political institutions (including the jury trial itself), trust their fellow citizens more, and are more likely to vote in regular elections compared to citizens who are not randomly selected for jury service or whose trials end without verdicts.[16] That finding suggests that by making traditional juries (or modern alternatives such as restorative justice programs) more common and more prominent in the public discourse, we could raise public trust in courts and reduce the demand for Draconian sentencing. If alienation from institutions and from our fellow citizens is a root cause of the incarceration epidemic, these strategies offer the best hope for a solution.

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justice as bargaining

No legal system has ever met its ideals, but we have shifted even our aspirations and principles for criminal law in troubling ways. We used to believe that a trial was an opportunity for a court (including both the professional judge and the lay jurors) to discover the truth, to reach a just verdict, and to communicate a message to the accused, the victims, and the community, all after deliberation that combined facts with values and that was constrained by law.

We now presume that the purpose of the criminal law is to assign the most appropriate verdict and penalty to each defendant in the most efficient way. A jury trial really doesn’t serve that goal very well, and thus we have almost completely abandoned trials in favor of plea-bargaining. When trials still occur, the jury no longer plays many of its traditional roles, such as directly questioning witnesses and setting penalties. The deliberative, communicative, symbolic, and explicitly moral aspects of the traditional process are gone, even as ideals.

In two decisions yesterday, the Supreme Court addressed a serious flaw in the modern system. If everything is plea-bargained, then the right to a competent counsel implies the right to be well represented during the negotiation process; incompetent representation creates a right to review. So the court decided. What interests me is the majority’s acknowledgement that justice is now defined by efficient bargaining among professionals. As Justice Kennedy wrote for the majority in Missouri v Freye (PDF):

Ninety-seven percent of federal convictions and ninety-four percent of state convictions are the result of guilty pleas. … Because ours “is for the most part a system of pleas, not a system of trials,” Lafler, post, at 11, it is insufficient simply to point to the guarantee of a fair trial as a backstop that inoculates any errors in the pretrial process.“ To a large extent . . . horse trading [between prosecutors and defense counsel] determines who goes to jail and for how long. That is what plea bargaining is. It is not some adjunct to the criminal justice system; it is the criminal justice system.” Scott & Stuntz, Plea Bargaining as Contract, 101 Yale L. J. 1909, 1912 (1992). … In today’s criminal justice system, therefore, the negotiation of a plea bargain, rather than the unfolding of a trial, is almost always the critical point for a defendant. … To note the prevalence of plea bargaining is not to criticize it. The potential to conserve valuable prosecutorial resources and for defendants to admit their crimes and receive more favorable terms at sentencing means that a plea agreement can benefit both parties. In order that these benefits can be realized, however, criminal defendants require effective counsel during plea negotiations.

To be sure, competent representation is a necessary condition of justice, but it is hardly a sufficient one. Saving prosecutorial resources and shortening jail sentences (against a background of 2.3 million Americans in prison) are not the only valid objectives. Justice as bargaining is an idea that needs much more critical scrutiny.

participatory budgeting in the US

Participatory Budgeting means asking deliberative groups of citizens to decide how to invest public money. It began in Brazil, when (as I understand the story) the Workers’ Party finally took over after years of military dictatorship. They had promised amazing benefits for all but couldn’t afford their promises, so they created a more democratic process for allocating capital budgets. The process saved their popularity and has survived when conservative parties have rotated into office. It has been found to promote equity and efficiency as well as civic engagement.

Certain elected officials in the US have begun using PB to allocate their own discretionary budgets. Those include Chicago Alderman Joe Moore and New York City Councilperson Brad Lander. PB is being used in a few whole municipalities as well. Gabriel Hetland and Abigail N. Martin report in The Nation that Occupy Wall Street participants have been debating, and in some cases, advocating PB as a way of bringing “participatory democracy inside” the government. The advocates have formed the Community Democracy Project (CDP) to advance PB. The critics, however, are “deeply skeptical of anything that smacks of cooperation with the state.” (Back to the Sixties, anyone?)

the DC One City Summit

As a former long-time resident of Washington, DC and a current member of the AmericaSPEAKS board, I’m pleased to read that 1,700 DC citizens recently spent seven hours in the Convention Center, deliberating about big strategic questions facing the city.

Using the AmericaSPEAKS model, they deliberated at small tables that were networked together by means of computers and then voted–their votes and key quotes displayed on big screens as simultaneous feedback.

Participants were a demographically diverse group (e.g., 44% African American and 19% Latino), and they held diverse views even after talking. For instance, gentrification was the top concern even though only 17% chose it. A different 15% chose “corruption and perceived corruption.”

The Washington Post chooses to lead its article by noting that the event has been “praised for engaging the public but criticized for its $600,000 price tag and seeming bureaucracy.” In this short piece, they also make sure to inform us that Mayor Anthony “Williams wore a plaid shirt and khakis, an everyman outfit” to a similar event in 1999, whereas Mayor Vincent “Gray appeared Saturday in a sports jacket and tieless.” By way of an explanation of the whole Summit, we read that “The Gray administration acknowledged the summit was a throwback to the administration of former Mayor Anthony A. Williams, a two-term mayor who often had to fight the perception that he was aloof.”

I was hoping the Post might actually report what all those citizens thought and said about the city. But I guess that’s not news; only the electoral motivations of professional politicians count as newsworthy.

the feds want your input about deliberative democracy

The Federal Agency for Healthcare Research and Quality (AHRQ) conducts research that “compares drugs, medical devices, tests, surgeries, or ways to deliver health care.” Traditionally, drugs and other interventions are approved if they meet basic criteria of effectiveness and safety, but they are not compared, so we may  pay for and use expensive and wasteful tools. Comparative research is fought tooth and nail by the pharmaceutical industry and is sometimes implicated in hot public debates about health care reform (“death panels” and the like). Indeed, it can raise value-tradeoffs, for instance between price and effectiveness, as well as merely technical issues like which drug has more side-effects. Any time value onflicts arise, the legitimacy of decisions by an administrative agency will be questioned.

In the stimulus bill of 2009, the AHRQ was authorized or required (I am not sure which) to organize public deliberations on the topic. They define public deliberation by “three core elements”:

(1) Convening a group of people (either in person or via online technologies to connect people in remote locations),
(2) Educating the participants on the relevant issue(s) through dissemination of educational materials and/or the use of content experts, and
(3) Having the participants engage in a reason-based discussion, or deliberation, on all sides of the issue(s).

Implicitly, they distinguish public deliberation from “stakeholder” input, which is a separate objective. (See my complaints about stakeholder processes.) The agency is going to fund “a randomized controlled experiment comparing five distinct methods of public deliberation to find the most effective approaches for involving the general public.” Some of the methods will be online; others, face-to-face. They will also vary in the size of group and the duration of discussion.

Right now, they are seeking public comment on this whole project. Written comments should be submitted to: Doris Lefkowitz, Reports Clearance Officer, AHRQ, by email at doris dot lefkowitz at AHRQ.hhs.gov. Jan. 30 is the deadline.