Category Archives: deliberation

why the deliberative democracy framework doesn’t quite work for me

In some ways, I came of age in the field of deliberative democracy. I had an internship at the Kettering Foundation when I was a college sophomore (when the foundation defined itself more purely in deliberative terms than it does today). By that time, I had already taken a philosophy seminar on the great deliberative theorist Jürgen Habermas. In the three decades since then, I’ve served on the boards of Kettering, Everyday Democracy, and AmericaSPEAKS. I wrote a book with “deliberative democracy” in its subtitle and co-edited The Deliberative Democracy Handbook with John Gastil. I was one of many co-founders of the Deliberative Democracy Consortium and have served on its steering committee since the last century.

None of these groups is committed to deliberation in a narrow sense (although opinions differ within the field). For me, these are the main limitations of focusing on deliberation as the central topic or unit of analysis:

Deliberative values are worthy ones, but they are not the only worthy ones. My own values would also include personal liberties and nonnegotiable rights, concerns for nature, and virtues of the inner life, such as equanimity and personal development. Stating my values doesn’t substitute for an argument, but it may suffice to make the point that deliberation is not the only good thing, and it’s in tension with other goods. A deliberative democrat will reply that I should discuss my values with other people. And so I should–but that doesn’t mean that the norms intrinsic to deliberation trump all other norms. Nor are fellow citizens the only sources of guidance; introspecting, reading ancient texts, consulting legal precedents, and conducting scientific experiments are helpful, too.

By the same token, deliberative virtues are not the only civic virtues. Deliberation is about discourse–talking and listening–so its virtues are discursive ones: humility and openness, empathy, sincerity, and perhaps eloquence. (The list is contested.) But a good citizen may be hard-working, physically courageous, or aesthetically creative instead of especially good at deliberating. The people who physically built the Athenian agora were as important as the people who exchanged ideas in it.

Deliberation depends on social organization. In order for people to have something that’s worth discussing, they must already make, control, or influence things of value together. That requires social organization, whether in the form of a market, a commons, a voluntary association, a functional network, or a political institution. Discussion rarely precedes these forms, because people can’t and won’t come together in completely amorphous groupings. Discussion is more typically a moment in an ongoing process of governance. Often a small group of founders chooses the rules-in-use that create a group in which deliberation can occur.

Thus we should ask about leadership and rules, not just about deliberation. Another way to put that point is that deliberation is often a good rule for a group to follow, but it is only one of the rules that they need. Indeed, some functional groups wisely choose rules that limit deliberation or that keep excessively divisive topics off the agenda.

A good argument for deliberation is that people gain practical wisdom and make better judgments by exchanging ideas and information. I see enough potential in that process to disagree with Austrian School economists who think that there is no way to make informed decisions without the data provided by prices in an unregulated market. But the ideas that arise in a deliberation (just like the prices that emerge in a market) are highly fallible. We ought to consider as much information as we can, including market signals and scientific findings as well as other people’s ideas and values. This is an argument for deliberation, but only as one source of guidance. In an ideal deliberative democracy, where “the people” governed through discourse alone, there would be no price signals, and so groups would make poor decisions.

The logic of deliberative democracy suggests that every institution should be a mini-public in which equal members exchange reasons. Moreover, there should be no rigid barriers among institutions: One Big Deliberation is the implicit goal. That goal has been challenged by “difference democrats” like Nancy Fraser, who writes, “public life in egalitarian, multicultural societies cannot consist exclusively in a single, comprehensive public sphere.” Fraser favors “a multiplicity of publics” over a “single public”; and she particularly celebrates “subaltern counterpublics,” meaning “parallel discursive arenas where members of subordinated social groups invent and circulate counterdiscourses to formulate oppositional interpretations of their identities, interests, and needs” (“Rethinking the Public Sphere,” 1994). I’m for that, but I would go further. We need not only “subaltern counterpublics” in which minority groups hold their own deliberative conversations. We also need non-deliberative institutions: hierarchical churches, efficient markets, massive social networks, and laboratories. That is because a plurality of power-centers–polycentricity—is essential to maintain liberty. 

Finally, deliberation by itself has limited power, and especially limited power to challenge dedicated opponents, such as authoritarian states and metastasizing markets. Authoritarian states can be persuaded to organize deliberative fora: see Baogan He & Mark E. Warren, “Authoritarian Deliberation in China,” Deadalus (summer 2017). Deliberative processes help the Party manage complex problems that would undermine its authority if left unaddressed. But deliberative fora don’t challenge illiberal regimes or powerful companies unless they are “free spaces” (Evans and Boyte) within social movements that can deploy power.

Because deliberative values are genuine values, it is absolutely worth giving them attention–in both theory and practice. But because deliberation depends upon so many other values, virtues, institutional forms, and political configurations, it is best not analyzed or pursued on its own.

assessment criteria for participation in a seminar

Thinking that I should be explicit about how I define good participation in a seminar that I’m teaching, I circulated these eight criteria:

  • Being responsive to other students. (Responsiveness needn’t always be immediate, verbal, or occur within the class discussion itself.)
  • Building on others’ contributions, and sometimes making links among different people’s contributions or between what they have said and the text.
  • Demonstrating genuine respect for the others, where respect does not require agreement. (In fact, sometimes respect requires explicit disagreement because you take the other person’s ideas seriously.)
  • Focusing on the topic and the texts, which does not preclude drawing unexpected connections beyond them.
  • Taking risks, trying out ideas that you don’t necessarily endorse, and asking questions that might be perceived as naive or uninformed.
  • Seeking truth or clarity or insight (instead of other objectives).
  • Exercising freedom of speech along with a degree of tact and concern for the other people.
  • Demonstrating responsibility for the other students’ learning in what you say (and occasionally by a decision not to speak).

Students also privately wrote how they will assess themselves. Their assessments will be for their reflection alone–I won’t ever see them.

See also: responsiveness as a virtuewhat makes conversation go well (a network model); and network dynamics in conversation.

deliberation depends on social movements

Why would people deliberate? Here I’ll argue that citizens will only come together to exchange reasons if they are empowered to make decisions. In turn, it often takes a social movement to  change institutions so that any particular group of citizens has power. And social movements cannot be (fully) deliberative.

In an important passage in Talking to Strangers, Danielle Allen argues that it’s an error to assume that speakers “enter [any] deliberative forum already mutually well-minded toward one another.” She writes, “If they do so enter, the battle to achieve a reasonable policy outcome is already 75 percent won. The hard part is getting citizens to that point of being mutually well-intentioned.”

Allen proposes rhetorical solutions to this problem: ways of communicating that encourage other people want to hear your reasons and respond with good arguments, rather than walk out or shout you down. For example, you can begin a conversation by making an unsolicited sacrifice, which is “the most powerful tool for generating trust.” You can also “aim to convince 100 percent” of the audience instead of trying to build a mere majority, and you can look for ways to “ameliorate the remaining disagreement and distrust” after a decision has been reached. These are techniques for creating the conditions under which people will exchange reasons about what is right to do.

The rhetorical techniques that Allen suggests manifest political friendship, in Aristotle’s sense. First you act like a friend; then people will trust you enough to deliberate with you. The good news is that many people exhibit a desire for such friendship that makes deliberation possible. In 1982, my friend James Youniss, a developmental psychologist who had studied with Habermas, wrote:

Persons enter discussion, debate, negotiation, and so on … to clarify uncertainties, check doubts, receive criticism, justify views, gain different opinions, or explore novel ideas. But that is not all. Persons who respect one another seek to maintain their relation, and they communicate voluntarily for this purpose. They want to understand and to be understood. They want to show that they care and want to be cared for in return. In the reciprocal cooperation epitomized in friendship, each retains freedom of thought by acknowledging freedom in the other and, thus, communication is essential so that the respective parties do not lose the opportunity for truth seeking in common. [“Why Persons Communicate on Moral Matters: A Response to Shweder,” Merrill-Palmer Quarterly, vol. 28, no. 1, 1982]

These relational motives make deliberation seem plausible. Talking can be its own reward, if and when people value friendship. However, the mode of discussion may have to be emotional and personal and may have to involve speech-acts like making sacrifices. Abstract arguments will fall on deaf ears unless trust has been built.

Allen’s rhetorical suggestions are valuable as long as relevant citizens have chosen to gather together at one time and place in order to communicate. But most people allocate their time and energy to purposes other than meetings. Those who stay away may be foolishly renouncing their influence, or selfishly free-riding on others’ efforts–but both behaviors are predictable.

If group exists, we can try to invite, entice, cajole, or reward people to participate. But we cannot just assume that a group exists that has the capacity to make decisions. To be sure, once a group forms, then (almost regardless of its assets) it can empower itself by creating goods that it allocates. A Parent-Teacher Association (PTA) raises money at a bake-sale, which gives it a budget to deliberate about. In such cases, the deliberation depends on a prior solution to a collective-action problem: getting parents to contribute goods for the sale.

In many circumstances, the problem is more difficult than that. It’s not just a matter of generating a resource that can be discussed, but of capturing it from someone else. For instance, if the municipal government sets the city budget, then a public meeting about priorities is not really a deliberation; it is just a forum for talking to power. Forcing or persuading the city to share ts power would require an organized political effort that would precede a citizen deliberation about taxing and spending. But how to get people involved in that political effort is again a problem of motivation and coordination.

The broader point is that any reasonably decent conversation depends on rules, which must not only cover the speech itself (e.g., by giving everyone an equal chance to talk) but must also create groups that have the power to make decisions that are worth talking about. Since power rarely yields voluntarily, the main way to change unacceptable rules is to organize social movements. Such movements may harbor some internal deliberations, but they cannot be deliberative fora. They must aim for specific reforms that then create groups that are worth deliberating in.

This is why I think that “Ostrom, Habermas, and Gandhi are all we need.” See also: Habermas, Ostrom, Gandhi (II) and how to get a deliberative democracy.

so, you want to strengthen democracy?

This year’s Frontiers of Democracy conference explored a set of analytical tools that may be useful if you want to improve or defend democracy:

  1. You should decide where you stand on the current crisis in American democracy (which is mirrored in many other nations). You may conclude that there isn’t a special, short-term crisis, that the issues are long-lasting, or even that the Trump Administration has positive potential. That is still a stance on the current situation. This flowchart can help you navigate to a position of your own.
  2. You should decide on the core values that define a good democracy. Edna Ishayik presented a draft framework from Civic Nation in which the core values are deliberation, collaboration (or public work) and civic relationships. That framework is similar to the one in my book We Are the Ones We Have Been Waiting For. You may prefer alternative values, however.
  3. You should practice systems thinking. Social problems don’t have root causes. Almost every problem has many contributing causes. For each cause, there are other factors that cause it, in turn. These chains of causation often produce vicious or virtuous circles. To decide where to intervene, you must begin to understand the relevant factors and how they relate in a complex web. The Democracy Fund presented a draft systems map for US democracy, still in development. Here is an overview of the approach.
  4. You should think about multiple levels of power. This discussion goes back at least to Stephen Lukes in the 1970s. At Frontiers, Archon Fung offered a version of this framework, which has four levels. The first level is getting a better deal for an individual (e.g., obtaining a visa for a refugee). The second is changing laws or policies (e.g., restricting or liberalizing immigration law). The third is changing who decides and how decisions are made (e.g., by making visas subject to judicial oversight). The fourth is changing what people believe and value (e.g., shifting views about immigrants–for better or worse). Archon argued that organizations tend to focus on the first and second level of power, but the other two levels are more important. What are you doing about levels 3 and 4?
  5. You are going to need processes of one kind or another. Ceasar McDowell offered a framework of design principles in a version of this talk.
  6. You should try to maximize Scale, Pluralism, Unity, and Depth, even though those objectives are in tension, because bottom-up social movements only win when they have SPUD.

how to get a deliberative democracy

The annual Frontiers of Democracy conference ended on Saturday–and my thanks to the 150 dedicated and skillful participants. It’s billed as a gathering of people committed to various forms of democratic reform, but it tends to draw colleagues from one of the fields in which I also proudly work: deliberative democracy. Two thirds of the 100 people who completed a pre-conference survey said they work on dialogue and deliberation. Of those (about one third) who said that they are active in social movements, more than 60 percent also said that they specialize in dialogue and deliberation. That means that many participants organize and/or study events and processes that aim to be representative, balanced, transpartisan, inclusive, equitable, “civil” (in some version of that word), and discursive. Openly contentious forms of politics are not widely represented at the conference. Just over one quarter of attendees are interested in government reform, but since the vast majority of those also said they work on deliberation, I think the reforms they support tend to be public deliberations–rather than, say, voting rights.

I believe in deliberative values, although I don’t think they are the only values we need in a complex modern democracy. For me, the question is whether to pursue values such as deliberation directly–by organizing deliberative spaces and projects–or to promote changes in the political economy that might generate better deliberation as a byproduct.

For instance, I asked participants to consider eight possible responses to the current political crisis, of which two involved “winning the next election.” Half a dozen participants have told me they object to this option. For some, the framing is too partisan, implying that Donald Trump is the problem and that a Democratic victory in 2018 would be a solution. For others, the framing is too conservative, in the sense that it reflects support for our basic process of adversarial, representative democracy. Can’t we move beyond elections to become a deliberating (if not a beloved) community?

I sincerely welcome this feedback, which prompts a valuable discussion. Speaking just for myself, I would raise doubts about the strategy of promoting deliberation by being explicitly and directly deliberative. It’s plausible that Donald Trump represents a clear and present threat to deliberative democracy, not because he’s identified with the right and the GOP, but because he is opposed to truth, civility, inclusion, equity, and constitutional limitations. (I have argued that he is anti-conservative in fundamental ways). Further, it may be that when deliberative values are threatened by very powerful politicians, the pressing need is to defeat them decisively at the next election. Finally, it may be the case that the only plausible agents capable of defeating Donald Trump are Democratic candidates and never-Trump Republican candidates (including true conservatives). In that case, “winning the next election” is an essential and urgent step to defend deliberative democracy.

Likewise, it may be that the best way to revivify a moribund public sphere is to support contentious social movements that resist the two powerful “systems” of state and market and thus compel discussion of overlooked issues. These movements will not be deliberative. In fact, they may gravitate to occupations, boycotts, and other adversarial modes. But their byproduct is a more deliberative democracy.

My main point is that we must consider the choice between direct and indirect paths to deliberative democracy, taking due account of the institutions, incentives, power structures, and social divisions that actually exist in our society.

For what it’s worth, my own view would be that it’s important to build and sustain a movement devoted to explicit work on dialogue and deliberation. Deliberative experiments yield knowledge of group processes, generate models that can be inspiring, and produce a cadre of professionals whose well-deserved reputations for skillful neutrality make them useful at opportune moments.

But I don’t see a political strategy for taking such work to scale. I don’t see who would pay for it or what would motivate most Americans to participate in it. (And I think the disproportionately white, middle-class makeup of the Frontiers participants reflects the limited appeal of this approach). Professional proponents of dialogue and deliberation will succeed when–and only when–powerful grassroots political movements, including parties, force changes in our basic political systems. It’s their work that increasingly draws my attention.

See also: three views of the Democratic Party when democracy is at risk; saving Habermas from the deliberative democratssaving relational politics.