September 25, 2009

REGULATING DEVIANCE: THE REDIRECTION OF CRIMINALISATION AND THE FUTURES OF CRIMINAL LAW

by Bernadette McSherry, Alan North and Simon Bronitt (eds). Onati International Series in Law and Society. Portland, OR and Oxford, UK: Hart Publishing, 2008. 310pp. Hardback. $90.00/£45.00. ISBN: 9781841138893. Paperback. $44.00/£22.00. ISBN: 9781841138909.

Reviewed by J. Michael Olivero, Department of Law and Justice, Central Washington University. Email: olivero [at] cwu.edu.

pp.712-715

This book is a collection of contributions from a variety of international scholars, all of whom are academicians outside of the United States. It consists of 12 chapters divided into five parts: Part 1: An Introduction; Part 2: Shifts in Criminal Justice Policies; Part 3: The Quest for Security; Part 4: The Scope and Justification of Sexual Offenses; and Part 5: Codification and the Liberal Promise.

The introductory chapter in Part 1, “Regulating Deviance: The Redirection of Criminalisation and the Future of Criminal Law,” was written by the book’s editors, Burnadette McSherry, Alan Norris and Simon Bronitt. They assert that the nature of Western criminal justice systems is changing and that this collection provides an understanding of what the criminal law is, has been and should be. They conclude that this work reveals the durability of liberal ideas in the criminal law, exposes the challenges these ideas face and contributes to the debate about how matters will and ought to proceed.

Part 2 focuses upon shifts in criminal justice policies and consists of three chapters, “Citizenship, Authoritarianism and the Changing Scope of the Criminal Law,” written by Alan Norrie, “Fixing the Future? The Pre-emptive Turn in Criminal Justice,” by Lucia Zedner, and “‘Victim-Driven’ Criminalisation? Some Recent Trends in the Expansion of the Criminal Law,” by Leslie Sebba.

Norrie connects recent development in criminal law with changes in three forms of citizenship – civil, political and social – which once worked in concert to obscure the presence of authoritarianism in liberal criminal law. He posits that criminal law has developed in three significant ways: 1. increased “responsibilisation” marked by a decline in rehabilitation philosophy and an emphasis on retribution and an emergence of the relevance of crime victims; 2. Increasing “dangerousness” attributed to a minority of criminals requiring exceptional punishment and control; and, 3. increasing “regulation” and new forms of criminal justice. These developments are linked to neo-liberal conceptions of individual legal subjectivity and reliance upon obscure authoritarianism in the liberal law. This chapter provides an infrastructure for understanding some of the other chapters in the collection.

Zedner analyzes Norrie’s development of “dangerousness” through a historical analysis of regulating those thought to be “dangerous.” Her analysis takes us from actuarial risk assessment to present day [*713] preemptive measures focused upon unknown but possible terrorist threats. In the process, she not only questions the construction and definition of what it means to be designated dangerous, but raises substantial issues as to liberal perspectives on the nature and operation of criminal law. Her analysis examines British measures, such as the Prevention of Terrorism Acts of 2005 and 2006, that seem to provide the executive preemptive freedom without oversight in the name of security and needing to protect the citizenry from the unknown.

Sebba outlines the shift, or better yet the expansion, in the development of criminal law from traditional areas into the creation of crimes that are ‘victim oriented.’ While the unit concerns shifts in criminal justice policy, the work does not seem to go well with the two previous chapters by Norrie and Zedner. He focuses on victim driven kinds of crimes such as ‘child smacking,’ holocaust denial, hate crimes, and the like. His analysis seems to suggest that the driving force behind victim driven crime development is twofold – the desire by legislative bodies, not necessarily victim groups, to criminalize harm to victims, and as part of an increase in authoritarianism. Further, the attempt to criminalize legitimate harm provides the justification for authoritarian law and state power expansion, in much the same way as Zedner tells us that state prevention and protection from unknown terrorist threat allows authoritarian executive freedom.

Part 3 focuses upon the state’s pursuit of security and shifts from a general view of criminal justice policies, to specific measures to regulate terrorist activities and antisocial behavior. Part 3 consists of four chapters, “Criminal Law, Human Rights and Preventative Justice,” written by Andrew Ashworth, “The Theory of Vulnerable Autonomy and the Legitimacy of Civil Preventive Orders,” by Peter Ramsay, “Expanding the Boundaries of Inchoate Crimes: The Growing Reliance on Preparatory Offenses,” by Bernadette McSherry, and “Social Science and Criminal Law Reform: Beyond Mere Opinion Polling and Penal Populism,” by Mark Nolan.

Ainsworth examines increasing state regulation through the spread of civil preventative orders. While he agrees that the state should rightly be concerned with harm prevention and the reduction of risk, he is concerned with the justification used as rationales for preventative measures and worries that they transgress human rights. He is specifically concerned that governments now take protective measures through criminal justice systems invoking preventative rationales, even though the nature and magnitude of the threats are unknown and are unknowable. To illustrate this questionable expansion of preventative protection measures, he examines criminal procedure, criminal law and sentencing in England and Wales. For example, he asserts that legislation designed to protect against terrorism has eroded privacy rights, allowing the police to stop and search people without reasonable suspicion. The criminal law has been revised to include possession offenses without any requirement to show criminal intent. Further, indeterminate sentencing is being used to hold those presumed to be dangerous until it is thought safe to allow their release. While public protection is the rationale, the net has been cast extremely wide, and large [*714] numbers of prisoners are being held for longer periods of time than was previously the case. Ainsworth also asserts that, while the preventative rationale is not new, governments are attempting for the first time to devise preventative measures that are coercive and avoid human rights safeguards provided in criminal justice proceedings, through civil orders placing restrictions on liberties or activities that breech human rights standards.

Following Ainsworth’s lead on civil preventative orders, Ramsey reviews justifications for civil preventive orders. He asserts that preventative orders are now issued concerning a whole new group of conducts that were previously without civil or criminal restraints. Among these are restraints upon actions that fail to reassure the subjective security needs of others. He suggests that, while such orders have been condemned by liberal criminal law theorists, the practice has not been condemned by mainstream figures, such as politicians, the judiciary or the majority of the public. Ramsey believes that eroding aspects of democratic citizenship in the attempt to eliminate insecurity will prove to be ineffective.

McSherry examines the broadening scope of inchoate crimes to include the offenses of planning and preparation. As a case in point, she analyzes Faheem Khalid Lodhi who was convicted of planning and preparation of a terrorist act in Australia in 2006. She uses the case to show problems in how difficult it is to define physical and fault elements necessary to raise to the level of terrorist planning. She develops questions such as whether the crime of planning can be adequately defined or should even exist at all. She concludes that preparatory offenses have exceeded the previous boundaries involved in inchoate criminal law to include inferences as to the dangerous disposition of the accused, rather than the planned act.

Nolan focuses upon what the social sciences can provide the criminal law. Nolan takes note of the get tough approaches governments are currently utilizing. He believes that these authoritarian approaches focus less on hard empirical data than they do on favorable outcomes. Nolan feels that the social sciences can be used to inform the public debate on criminal justice related policy to offset authoritarian reshaping of the criminal law. Instead, the social sciences can lead the way towards responsible criminal justice policy formation.

Part 4 covers areas less related to domestic criminal law as a vehicle for criminalizing new terrorist offenses. Instead the focus is on other changes in the boundaries of the criminal law. Part 4 focuses upon the scope and justification of sexual offenses and consists of two chapters, “Criminal Law and Private Spaces: Regulating Homosexual Acts in Singapore,” by Kumaralingam Amirthalingam, and “Moral Uncertainties of Rape and Murder: Problems at the Core of Criminal Law Theory,” by Ngaire Naffine.

Amirthalingam writes about the decriminalization of homosexuality which is significantly different from previous works in this book, as the state does not seem to be inexorably edging towards authoritarian control and criminalization in the name of [*715] protections against terrorism. Instead, it appears in this instance, that there is openness to different sexual orientations and a decreased perception of the need to criminalize homosexuality, at least in Singapore.

Naffine focuses upon the core crime of rape. She argues against the notion that rape can be seen as an example of true core crime that becomes the basis for understanding the development of criminal law. Instead of the criminal law developing from a legitimate core, to a questionable broadening of the boundaries of the criminal law (the need for protection from terrorism to preventative detention for example), Naffine uses a feminist approach, suggesting that rape is not actually a core crime and that the notion of core crimes as the foundation for criminal law needs to be examined.

Part 5 focuses upon codification and the liberal promise. It contains two chapters, “Criminal Code in the 21st Centruy: The Paradox of the Liberal Promise,” written by Simon Bronitt and Miriam Gani, and “Faultlines Between Guilt and Punishment in Australia’s Model Code,” by Leader-Elliot. Bronitt and Gani outline the development of Australian common law into a system of codified law that is said to hold the benefits of improved understanding, consistency, certainty, and so on. However, they find that in practice, these improvements are not necessarily easy and are difficult to sustain. Finally, Leader-Elliot follows Bronitt and Gani’s perspective by showing how difficult it was to construct a range of punishments for offenses against persons in the Australian Criminal Code.

This work would be of interest to scholars in the United States in the cross cultural study of law and the development of law. It would also be of interest to those who are interested in the development of criminal law, the theory of criminal law, criminology and the sociology of law. If I were to offer a general criticism, I would speak to what seems to me to be a lack of consistency in the subject matter, or at least the tangential relationship between the first and latter parts of the book. Although the book begins by talking about terrorism and reshaping criminal justice priorities, the later selections significantly depart from this motif, such as fault lines and the codification of Australian criminal law under the Australian Model Criminal Code. I feel that the strongest aspects of the book concern the identification of shifts from liberal perspectives on criminal law to more authoritarian modes and the incompatibility between theory of law and real world applications of theory in light of transnational forms of criminality. In total, the work leaves the reader with plenty of food for thought and significant ideas as to the roots of criminal law and changes in the nature of criminal law.


© Copyright 2009 by the author, J. Michael Olivero.

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LIFE WITHOUT LAWYERS: LIBERATING AMERICANS FROM TOO MUCH LAW

by Philip K. Howard. New York: W. W. Norton & Company. 2009. 224pp. Cloth $24.95. ISBN: 9780393065664.

Reviewed by Jonathan F. Parent, Department of Political Science, State University of New York at Albany. E-mail: jp857435 [at] albany.edu.

pp.709-711

Claims about the litigious tendency of Americans are nothing new. One often need only open the local newspaper to find a host of columnists bemoaning the latest outrageous settlement where an exorbitant amount of money in damages is ordered by a presumably rogue judge somewhere in the country. We are all familiar with the story of the woman suing McDonalds for millions after apparently having spilled hot coffee on herself and the accompanying narrative about the seemingly endless parade of litigants motivated only by greed. Philip K. Howard’s latest work, LIFE WITHOUT LAWYERS, follows very closely in this genre, though the scope of the author’s criticism of the American legal system is much broader than the usual calls for tort reform that seem to surface periodically in political and legal dialogue.

As suggested by the title, the main thesis Howard presents is that many of the problems that currently plague any number of institutions in the United States – though focusing largely on public education and health care – are attributable to a kind of hyper-legalization where a maze of rules and procedures governing every aspect of professional life paralyses practitioners’ ability to simply perform their duties as “common sense” would dictate. In other words, “[n]othing works – not health care, not schools, not democracy, not our relationship to children, not personal fulfillment – without the freedom to exercise judgment on the spot” (p.13). What law has done, the critique goes, is remove the ability of individuals to exercise this judgment by dictating how every conceivable situation must be handled and, more often than not, resulting in absurd behavior that is, at best, counterproductive, and at worst, truly detrimental.

The first chapter of Howard’s book provides a discussion of what exactly the author sees as the main problem with law as it exists today, again reiterating its tendency to limit the capacity for individual decision-making and adapt to unique situational contexts. In this sense, law is seen as severely restricting, in contrast to its original intent, at least in the Anglo-American tradition, of providing an open field, free from interference from the state, where each individual’s potential is allowed to flourish. Indeed, the author takes an almost libertarian view, complete with the invocation of “freedom” and “personal responsibility,” almost to the point of mawkishness, in lamenting the bureaucratization of everyday interactions. The book’s second chapter takes aim at what Howard sees as the restrictions law places on individuals’ ability to “take risks,” as epitomized by rules severely curtailing the ability of children to simply play outdoors, though [*710] nonetheless finding its way into virtually every other aspect of average citizens’ lives. The chapter concludes with the author’s suggestion that legal rules be altered to “reclaim [their] authority to draw enforceable boundaries of reasonable risk [and] . . . [c]reate ‘risk commissions’ to offer guidance on where to draw the lines” (p.46).

Howard next discusses the legal system’s purported lack of fairness and equality in the sense that only the concerns of self-identified victims are taken into account in judicial proceedings, to the neglect of others involved or the community at large. This view is succinctly expressed in the claim that “[i]ndividual rights, ostensibly protecting against all authority, led to a tyranny of the angry individual” (p.61). Again, several suggestions are offered at the end of the chapter, with the aim of restoring “balance” to decision-making processes involving a number of policy areas. The focus of chapter four is perhaps the most overt criticism of the hyper-litigious culture mentioned above and provides essentially the same panoply of condemnations that can be found in numerous other popular works. Chapter five provides an analysis of what Howard sees as the deleterious effects of overregulation on public schools in America which he blames for out-of-control students, poor academic performance, and the high rate of turnover among grade school teachers. In contrast, the author provides the example of the TEAM Academy in Newark, New Jersey, where teachers and administrators are not bound by excessive regulation and therefore produce better test results and a safer school. Following from this, then, the policy suggestions put forward at the end of this chapter recommend greater autonomy for individual schools, a reduction of “disorder,” and an assessment of schools that focuses on evaluating their “culture.”

Chapter six offers a discussion of the need to evaluate more freely employees in a number of occupations, something Howard again sees as having been lost in a sea of legal rules and procedures. The problem identified here is that, because of an inordinate focus on “fairness” and objectivity, poor performance is allowed to continue unchecked for fear of a legal challenge on the grounds of wrongful dismissal. To be fair, the author does acknowledge that individuals are indeed sometimes the victims of capricious employers and safeguards are needed to prevent such abuse, but that intangible attributes such as “character” and “enthusiasm” ought to be considered in evaluations as well, something the objective logic of the law is incapable of doing. The seventh chapter amounts to a call to arms where wholesale overhaul of legal codes and statutes produced in Washington is called for in order to simplify regulations. Offering the constitution itself as a guideline, Howard suggests that legislation, rather than trying to account for, and provide a procedure dealing with, every possible situation, should instead consist of broad principles with the flexibility to adjust to specific needs. Finally, LIFE WITHOUT LAWYERS concludes by expounding on the need for leadership in order to pursue reform and proposing that accountability by decision-makers is needed in order to replace the current system of over-legalization.

Howard’s book contains little in terms of methodology and consists almost [*711] exclusively of anecdotal evidence seemingly drawn from popular news sources. Indeed, most of the book’s chapters begin with a particular story meant to highlight the specific problem to be discussed; as with the tale of the autistic child in Hartford, Connecticut, who, despite his disruptive and dangerous behavior, could not be removed from his grade school class due to some presumably outrageous legal requirement. These stories also find their way into other parts of Howard’s work, such as the judge who allowed a $45 million tort claim for a pair of pants lost by a laundromat to proceed, though the case was ultimately dismissed, or the oak trees ordered cut down by a town council for fear that their nuts might fall into a local woman’s swimming pool, triggering an allergic reaction in her grandson. What non-anecdotal evidence the author does provide takes the form of studies also purporting to demonstrate either out-of-control litigation or the bringing of frivolous cases, often in the form of medical malpractice (see pp.72, 73). The methodology or specifics of these studies are not discussed, however, and Howard provides no original research in support of his claims. Readers interested in a more scholarly assessment of issues surrounding tort reform and the alleged litigious culture in America would be well-advised to consider the work of scholars such as Mark Galanter (1983), David Engel (1984), and William Haltom and Michael McCann (2004).

It seems clear from the tone, style and subject matter of the book that Howard’s intended audience is most likely the general public rather than specialists in the law and politics field as little, if any, of the canonical work in this area is discussed or mentioned. As well, the methodological weaknesses discussed above and the journalistic nature of LIFE WITHOUT LAWYERS make it unlikely that this piece will be of particular interest to academics in political science or legal studies. That being said, Howard does, at times, touch on some interesting points that could merit more serious consideration, such as the role of law in justifying dictatorial behavior in some regimes – the famous Nuremberg defense of “just following orders” – or the potential value of legislation based on broad principles rather than specific requirements. Unfortunately, these topics are dealt with only superficially, however, and the focus of the book remains an indictment of the supposed hyper-legalization of American culture, presented in a somewhat facile and hyperbolic manner.

REFERENCES:

Engel, David M. 1984. “The Oven Bird’s Song: Insiders, Outsiders and Personal Injuries in an American Community.” 18 LAW AND SOCIETY REVIEW 551-582.

Galanter, Mark. 1983. “Reading the Landscape of Disputes: What We Know and Don’t Know (and Think We Know) About Our Allegedly Contentious and Litigious Society.” 31 UCLA LAW REVIEW 4-71.

Haltom, William; Michael McCann. 2004. DISTORTING THE LAW: POLITICS, MEDIA, AND THE LITIGATION CRISIS. Chicago: The University of Chicago Press.


© Copyright 2009 by the author, Jonathan F. Parent.

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DEAD HANDS: A SOCIAL HISTORY OF WILLS, TRUSTS, AND INHERITANCE LAW

by Lawrence M. Friedman. Stanford University Press, 2009. 230pp. Cloth $60.00. ISBN: 9780804760362. Paper: $22.95. ISBN: 9780804762090.

Reviewed by Ralph Calhoun Brashier, Cecil C. Humphreys Professor of Law, The University of Memphis School of Law. Email: rbrashir [at] memphis.edu.

pp.705-708

In DEAD HANDS: A SOCIAL HISTORY OF WILLS, TRUSTS, AND INHERITANCE LAW, Lawrence M. Friedman is at once an erudite scholar and a captivating storyteller examining the annals of estates and trusts law. Bitter fights among survivors over the assets of their loved ones are as old as human existence. So are property owners’ desires to achieve immortality through donative efforts that are sometimes lopsided, quirky, or just downright weird. Then, too, probate lawyers – through ignorance of complex laws or through carelessness – have themselves occasionally proved to be the major impediment to the accomplishment of their clients’ wishes. Using this well-worn backdrop of greed, ambition, and ineptitude, Friedman weaves a deliciously fresh narrative that describes probate statutes and cases with charm and humor while explaining the social and economic forces that drive inheritance law.

Wealth transfers at death play an extremely important role in American society. In the first half of the twenty-first century, trillions of dollars will pass from the dead to the living (through various legal means that Friedman refers to collectively as succession). Considering the far-reaching impact of succession laws on society, it is odd that scholars have largely failed to study the obverse impact: that of society on succession laws. In DEAD HANDS, Friedman examines American social and economic history to suggest why succession laws evolved as they did and to predict how they are likely to evolve in the twenty-first century. Among his general themes, Friedman posits that modern succession laws reflect changes in family structure, the rise of wealth transfer devices that substitute for the traditional will, shifting attitudes about wealth and the wealthy, and the substantial influence of banks and trust companies.

A remarkable trend in American inheritance law during the past one hundred and sixty years is an increasingly generous inheritance provision for widows. (The generosity extends to widowers, too, although widows as a group have undoubtedly reaped a greater benefit from the changes in spousal inheritance laws.) At common law, a widow was not an heir entitled to inherit the land of her deceased husband. Rather, a widow received a dower right that entitled her to a life interest in one-third of the inheritable land her husband had owned at any time during the marriage. Friedman persuasively argues that dower declined in popularity in the United States after 1850 for several reasons. Dower could impair land titles, and Americans were deeply concerned that land be freely alienable. Also, dower [*706] often failed to provide a widow with substantial financial protection, particularly if her husband’s wealth consisted primarily of personal property bequeathed to others. Further, by the late nineteenth century, society was beginning to reevaluate the role of wives and mothers within the family, a reevaluation that would continue through the twentieth century and ultimately lead to the modern treatment of marriage as a partnership. Eventually, states would reject the historical view that only blood relatives can be heirs of a decedent. One by one, states extended heir status to the surviving spouse. Indeed, for decades now the spouse has been the principal heir in American inheritance law.

The fate of children in evolving American inheritance law has been less rosy. The increased inheritance award to the surviving spouse comes primarily at the expense of the decedent’s children. If the decedent dies intestate (that is, without a will), some states now distribute the entirety of the estate to the surviving spouse if neither spouse had children by another partner. Thus, children in nuclear families may be completely excluded from the distribution of a deceased parent’s intestate estate. Paradoxically, as states granted larger and larger intestate shares to surviving spouses over the course of the twentieth century, more and more marriages were ending in divorce. In a characteristically pithy and precise observation, Friedman states, “Marriage may be a weaker reed than it used to be, but you could not prove it through the intestacy laws.”

Friedman does not slavishly detail the social underpinning of every inheritance law that he mentions. His discussion of some forms of inheritance laws, such as laughing heir statutes, consists primarily of case presentations and modern statutory trends. (A “laughing heir” is someone who can chuckle over his good luck at receiving an inheritance from a relative with whom he had, at most, an attenuated relationship.) Nonetheless, even here Friedman typically implicates one or more of his general themes. For example, the modern statutory trend to exclude distant blood relatives as heirs implicates Friedman’s observation that inheritance statutes have grown less concerned about the recognition of bloodlines and more concerned with recognition of “the family of dependence and affection.” Friedman examines this observation (which other probate scholars have explored from different perspectives) in more detail in some parts of the book, including a section on the increased generosity of succession laws towards a decedent’s domestic partner.

The ability of the American parent to disinherit his children is one of the notable features distinguishing our inheritance law from that of European and Latin American countries. Like most observers, Friedman believes that a principal reason parents disinherit their children is not to seek revenge against or to harm the children, but rather to provide for the surviving spouse. He opines that the American approach permitting disinheritance of children is generally fair as applied to traditional families. Of course the problem is that there are fewer and fewer traditional families, and Friedman concedes that the American approach fits poorly when the decedent “was married more than once, and had children with several husbands or wives.” Some scholars have argued [*707] that American law should grant judges more discretion to deviate from a testator’s unreasonable will provisions. Friedman concludes that American inheritance law is not headed in that direction. Instead, “American law is trying harder than ever to make sure that the dead hand gets what it wants.”

In a discussion of wills, Friedman examines the fall of highly formal rules that once characterized the law of will execution. Traditionally, the slightest failure to comply with the execution requirements of the statute of wills meant that a document could not be probated, even when the evidence was clear that the decedent had intended the document as his will. For example, if a witness failed to sign in the presence of the testator, the paper was meaningless. In recent decades, some courts have become more forgiving of errors in execution. Moreover, legislatures in some states have given courts a dispensing power to ignore execution errors if clear and convincing evidence exists that the decedent intended the document to be his will. Friedman notes that he is hardly the first scholar to discuss the fall of formalism in the law of wills. (Three decades ago, Jesse Dukeminier predicted that lawyers’ fear of malpractice liability would eventually result in simplification of property rules, including the statute of wills and the Rule Against Perpetuities. While lawyers’ concern for their pocketbooks may have contributed to the fall of formalism in the law of wills, Friedman sets forth a different position.) Friedman generally rejects a modern assumption that recent developments concerning will execution have sprung forth from some widespread renunciation of formalism throughout the law. Noting the nineteenth century concern for clear land titles, he suggests that with the advent of title insurance and computerized land records, the need for an unblemished, essentially perfect will is substantially less. He also posits an even more important reason for the fall of formalism: the rise of the will substitute.

Americans increasingly rely upon will substitutes to pass their property at death. Will substitutes such as payable-on-death and transfer-on-death accounts are easy to establish. They require no legal knowledge and no formal ceremony attended by witnesses. For the will to compete with these very serious rivals, the laws concerning its execution and interpretation had to change. But why did legislatures accept will substitutes, which are characterized by lack of formality? Friedman posits that social forces were again at work. People wanted these alternatives to a will, and, very importantly, banks and other financial institutions wanted the business these alternatives provided.

A chapter on trusts explains how, from the late nineteenth century into the twentieth century, courts developed a number of rules that favor dynastic trusts and dead hand control. Friedman notes that judges at this time were often sympathetic to society’s wealthiest citizens, who increasingly made substantial financial contributions to charitable foundations and universities. The dead hand control permitted under these newer trust rules, however, is not the same dead hand control that Americans had opposed in the early history of the United States. The early Americans feared the tying up of land or the freezing of other assets through the trust mechanism. The great bulk of trust [*708] assets in the modern trust, however, are highly liquid. Portfolios consist primarily of personal property and are constantly changing.

As the nature of trust assets changed and investment strategies became more fluid, the Rule Against Perpetuities eventually went into decline. Until recent decades, the Rule was a fixed (and famously complex) limitation on dead hand control. In essence, the Rule requires that certain contingent interests must vest, if at all, within some life in being at the creation of the interest plus twenty-one years. If there is any possibility that such an interest might fail to satisfy the Rule, the interest is invalid from the start. As Friedman points out, many of the newer statutory substitutes for the Rule – for example, a “wait and see” approach with a ninety year limitation for vesting – do not in fact eliminate the Rule’s basic goal of eventually limiting dead hand control. A substantial minority of states, however, has now completely eliminated the Rule, making it possible to set up a trust that can last forever. Friedman notes that banks and trust companies, aware of the money to be made in handling dynasty trusts, successfully lobbied legislatures to abolish the Rule. Billions of dollars of assets have moved to trusts in these states. He opines that the bank lobby could not have been successful had there not been significant cultural changes in attitudes towards wealth and the wealthy. He quotes Joel Dobris: “We like rich folks these days.” If this is true, Friedman argues, it is because we no longer envision the rich as the great robber barons of the nineteenth century; instead, we see people who are in many ways like us.

Friedman concludes by observing that modern developments in the law indeed appear to show increased respect for the dead hand, particularly the dead hand of the wealthy and powerful. But he warns that some of these developments – for example, certain trends in trust law and the demise of the Rule Against Perpetuities – may reflect the influence of rich institutions such as banks and trust companies more than they reflect direct concern for rich individuals. He also notes that, despite the seeming favorable treatment of the dead hand, even perpetual trusts are likely to veer from the intent of the dead settlor over time. Ultimately, he concludes, “the dead run nothing.”

DEAD HANDS is an uncommonly informative, consistently engrossing book that bespeaks much learning and thought. The book breaks new and important ground with its explanation of how social and economic forces have driven and continue to drive succession law in the United States. I recommend the book very highly.


© Copyright 2009 by the author, Ralph Calhoun Brashier.

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September 22, 2009

PARLIAMENTARY SOVEREIGNTY AND THE HUMAN RIGHTS ACT

by Alison L Young. Oxford/Portland: Hart Publishing, 2009. 200pp. Hardback. $95.00/£45.00. ISBN: 9781841138305.

Reviewed by Rory O’Connell, Senior Lecturer, Human Rights Centre, Law School, Queen’s University of Belfast. Email: r.oconnell [at] qub.ac.uk.

pp.700-704

A Scottish judge once described the “unlimited Sovereignty of Parliament” as a “distinctively English principle,” one of the “peculiar characteristics” of the old English Parliament (MACCORMICK 1953). This is the doctrine expounded by the nineteenth century writer Dicey that, as a matter of law, the UK Parliament can make or unmake any law whatsoever (Dicey 1914). It should be said that the Scottish judge was being somewhat unfair in describing the doctrine as “distinctively English;” for much of the Nineteenth and Twentieth centuries most European countries practised something like parliamentary sovereignty. This changed in Europe after the Second World War when states started to create courts to protect the constitution and basic rights from infringement by parliaments. In the UK this doctrine only came under strain towards the end of the Twentieth Century. This was due to the influence of European Union law, the introduction of devolution, the expansion of executive power and of course the adoption of the Human Rights Act 1998 (HRA) (Elliott 2004).

Alison Young explores the implications of the HRA for parliamentary sovereignty. The HRA grew out of a desire to give greater protection to human rights without actually entrenching them in such a way that Parliament would be limited by them. The HRA requires that courts (actually everyone, but most relevantly courts) read and give effect to statutes so as to make them compatible with the rights found in the European Convention on Human Rights 1950 (“Convention rights”) (HRA § 3). If it is not possible to find a convention compatible with interpretation of a statute then certain courts are empowered to issue non-binding Declarations of Incompatibility (HRA § 4). The UK Parliament may then choose to amend the incompatible legislation – or may choose not to. The Act appears to allow for the protection of human rights while preserving parliamentary sovereignty. This allows for a balance to be struck between the principles of democracy (represented by parliamentary sovereignty) and human rights.

Young’s treatment of this topic falls in to two parts. The first part of the book examines in some detail the nature of parliamentary sovereignty. The second part offers a justification of the HRA model as embracing a form of democratic dialogue between the courts and Parliament. This is influenced by Canadian discussions of dialogue (p.112). The first part of the book is more likely to be of interest to scholars working on UK public law (or other jurisdictions with a parliamentary sovereignty principle). The second part is of wider interest to constitutional [*701] scholars, dealing as it does with the widespread theme of the need to balance rights and democracy.

There are three aspects of the book which are especially welcome and also some aspects of it where the insights offered by the author could have been usefully improved.

First, the book deserves reading (and re-reading) for the detailed analysis of parliamentary sovereignty. This turns out to be a sophisticated and nuanced idea. For example, despite the apparent simplicity of the idea of parliamentary sovereignty, which seems to preclude any Parliament entrenching statutes, it turns out there are different mechanisms for achieving an “entrenchment effect” (pp.54-60). These mechanisms involve use of the judicial power to interpret statutes to achieve results similar to entrenchment.

Entrenchment stronger than this is possible but depends on which version of parliamentary sovereignty is accepted. Young explains the difference between two different models of parliamentary sovereignty: the “continuing model” and the “self-embracing model” (p.66). A parliament enjoying continuing sovereignty has the legal power to do anything except limit its own sovereignty; a parliament enjoying self-embracing sovereignty may do anything including changing its own composition and the manner and form in which legislation is passed. In addition to explaining these models, Young discusses the logical flaws in both theories. She also demonstrates how it is possible for statutes to be entrenched under either model of parliamentary sovereignty. Whilst this is straightforward under a self-embracing theory, it is not so straightforward under the continuing sovereignty theory. Nevertheless there are two ways to achieve entrenchment, of which the more important is the idea that legislators, courts and other officials might achieve a change in the Hartian Rule of Recognition (p.82).

This discussion is fascinating for the insight into the apparently simple idea of parliamentary sovereignty. Sometimes the discussion leads to conclusions that, however sophisticated, do not seem to have practical significance. For instance, Young believes that it is compatible with continuing parliamentary sovereignty for the Rule of Recognition to be changed, such that only a statute passed in the regular manner and whose content is compatible with Convention rights would be law (p.93). Possibly she means that a system embracing continuing parliamentary sovereignty could adopt such a Rule of Recognition. However once such a Rule of Recognition is accepted, it seems that parliament is no longer sovereign in the sense of being able to pass laws having any substantive content whatsoever. It is difficult to see the practical difference between such a system and a system with an entrenched Constitution.

The two other welcome aspects of the book relate to its second part. Here Young is no longer discussing the “distinctive” doctrine of parliamentary sovereignty, but the more general constitutional conundrum of how to protect both human rights and democracy. Placing UK constitutional discussions in this wider context makes it clearer that the UK Human Rights Act represents a distinctive answer to a [*702] general question. In this part (and this is the third welcome feature), Young discusses questions that are generally relevant to constitutional scholars, such as when should a court reinterpret legislation to make it compatible with human rights and when should it issue a non-binding Declaration of Incompatibility. These are powers similar to those exercised by courts in other jurisdictions, though they are known by different names (e.g., the French Constitutional Council can declare bills to be compatible with the Constitution, but only if they are interpreted in a manner compatible with the Constitution; the German and South African Constitutional Courts can issue declarations of invalidity but suspend the invalidity for a time to allow the legislature to respond to the finding). There is also useful discussion about whether courts should defer to political institutions and how courts should deal with litigation raising complex social issues (pp.150-155). In doing this, Young offers some clarifications about the standards developed by UK courts when dealing with these issues. This is often very sound, especially the warning to avoid giving a double consideration to issues of social complexity when deciding rights cases.

Having identified three welcome and interesting features of the book, let me suggest some ways in which the author’s insights might have been made even more rewarding.

First, the book largely ignores questions about devolution, apart from a few brief references (e.g., a footnote on p.134). Scottish and Northern Irish commentators have sometimes had interesting discussions about parliamentary sovereignty (e.g., Calvert 1968, 11-29). The Northern Ireland peace process has raised some issues about sovereignty in relation to the series of Acts amending the Northern Irish constitutional settlement (Harvey 2003). There is no reference to a House of Lords decision on appeal from Northern Ireland where the Law Lords discuss the interpretive approach appropriate to constitutionally important statutes (ROBINSON 2002). Some of the comments in that case would be relevant to Young’s discussion of interpretation and constitutional statutes. The most important reason, though, to study the devolution dimension is that it raises an important objection to the argument that the HRA compromise is about a balance between democracy and rights. Two of the devolved assemblies in the UK have primary law-making power, but the statutes they produce do not benefit from the doctrine of parliamentary sovereignty (judges can invalidate them if they breach Convention rights, for example). If the argument for the HRA compromise is based on democracy, then defenders of that compromise should explain why statutes enacted by the democratically elected assemblies in Scotland and Northern Ireland can be overturned by judges (Himsworth 2001).

Second, discussions about parliamentary sovereignty and democratic dialogue are sometimes very abstract. I would have found it interesting to read about instances where the UK Parliament (or the Government which often seems effectively to control Parliament) has invoked parliamentary sovereignty to achieve results that would have been more difficult in a system without parliamentary sovereignty (Jennings 1952, 140-142). There are practical [*703] examples of this. For instance, Parliament once amended the constitutionally significant Bill of Rights 1688 so as to enable one MP to sue journalists for defamation (Leigh and Vulliamy 1997). Other Parliaments might have tried to do the same, but it would not have been so easy to achieve. I would also have appreciated more information about how the UK legislature has actually responded to Declarations of Incompatibility (see for instance the Joint Committee on Human Rights 2007-2008). Young notes Tushnet’s criticism of democratic dialogue models that they are unstable: they collapse into parliamentary sovereignty, or they solidify into judicial supremacy (p.119). It would have been interesting to learn how this has played out in practice in the UK.

Finally, I would have liked to have read more about Young’s ideas on democracy. Young discuss the ideas of democratic dialogue and of Diceyan democracy as being a self correcting unitary democracy. I would have enjoyed reading more about how these ideas relate to debates about the merits or representative, deliberative, participatory or other models of democracy. I would have liked to learn more about any implications which flow from the failure of UK political institutions to live up to democratic ideals (Fredman 2001). Young identifies some important shortcomings in the quality of democracy in the UK and concludes that this justifies judicial action to protect minorities from majoritarian democratic decisions (pp.132-133). This is a valid and important conclusion, but could have been pushed further. It would have been useful to consider whether there is a legitimate role for judges to use human rights law to promote democratic practices (Ely 1980; Nino 1993; O’Connell 2006).

REFERENCES:
Calvert, Harry. 1968. CONSTITUTIONAL LAW IN NORTHERN IRELAND. London: Stevens and Sons.

Dicey, A.V. 1982 [1914]. INTRODUCTION TO THE STUDY OF THE LAW OF THE CONSTITUTION. 8th ed. Indianapolis: Liberty Fund.

Elliott, M. 2004. Parliamentary Sovereignty under Pressure. INTERNATIONAL JOURNAL OF CONSTITUTIONAL LAW 2:545.

Ely, John Hart. 1980. DEMOCRACY AND DISTRUST. Cambridge: Harvard University Press.

Harvey, Colin. 2003. “On Law, Politics And Contemporary Constitutionalism.” FORDHAM INTERNATIONAL LAW JOURNAL 26:996.

Fredman, Sandra. 2001. “Scepticism under Scrutiny: Labour Law and Human Rights.” In SCEPTICAL ESSAYS ON HUMAN RIGHTS, edited by T. Campbell, K. Ewing and A. Tomkins. Oxford: Oxford University Press.

Fredman, Sandra. 2008. HUMAN RIGHTS TRANSFORMED: POSITIVE RIGHTS AND POSITIVE DUTIES. Oxford: Oxford University Press. [*704]

Himsworth, Chris. 2001. “Rights versus Devolution.” In SCEPTICAL ESSAYS ON HUMAN RIGHTS, edited by T. Campbell, K. Ewing and A. Tomkins. Oxford: Oxford University Press.

Jennings, W. Ivor. 1952. THE LAW AND THE CONSTITUTION. London: University of London Press.

Joint Committee on Human Rights. 2007-2008. Response to Human Rights Judgments: Annual Report 2008. UK: Parliament.

Leigh, David, and Ed Vulliamy. 1997. SLEAZE : THE CORRUPTION OF PARLIAMENT. London: Fourth Estate.

Nino, Carlos S. 1993. “A Philosophical Reconstruction of Judicial Review.” CARDOZO LAW REVIEW 14:798.

O'Connell, Rory. 2006. “Towards a Stronger Conception of Democracy in the Strasbourg Convention.” EUROPEAN HUMAN RIGHTS LAW REVIEW: 281-293.

CASE REFERENCES:
MacCormick v Lord Advocate [1953] SLT 255.

Robinson [2002] UKHL 32, [2002] NI 390.



© Copyright 2009 by the author, Rory O’Connell.

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TAKING SPORTS SERIOUSLY: LAW AND SPORTS IN CONTEMPORARY AMERICAN CULTURE

by Jeffrey Standen. Durham, NC: Carolina Academic Press, 2009. 344pp. Paper $30.00. ISBN: 9781594604584.

Reviewed by Curtis Fogel, Department of Sociology and Anthropology, University of Guelph. Email: cfogel [at] uoguelph.ca.

pp.697-699

Jeffrey Standen’s book provides a thought-provoking account of many controversies in American sports from hyper-competitive little league baseball coaches to brawls in the National Basketball Association. Readers who are expecting dense legal discussions of the judicial aspects and processes of sports law may be disappointed in this book, as this does not appear to be Standen’s aim. Instead, Standen discusses a long list of issues in American sports and proposes his solutions for these problems. For Standen, the crux of mending the social ills of sport lies in taking sports seriously, rather than carelessly. He writes, “our carelessness about the rules of sport has yielded predictable results: our sports landscape is littered with problems, misbehaviors, bad incentives, misunderstandings, and inept rules” (p.xix).

Jeffrey Standen is a Professor of Sports Law at Willamette University in Oregon. He has taught and published extensively on various legal aspects of sport. Standen also hosts a popular website, the sports law professor, where he blogs about contemporary issues in American sport. Much of this book appears to be drawn directly from these blogs. The style, tone, and structure of the writing are as one would expect of a blog or newspaper opinion column. Sections of the book are short, to the point, and ripe with opinion. Standen’s writing, while certainly not typical of academic literature, is lively, engaging, and accessible to those who do not have a legal background. This book should be of interest to anyone – scholars, lawyers, and lay-people alike – who want to critically explore the numerous problems in American sports. This book, or sections thereof, would be particularly well suited as a text for introductory courses in sports law, socio-cultural aspects of sport, or sociology of sport.

In total, Standen details over sixty specific issues and controversies in American sports. One particularly interesting discussion pertains to the disciplining of athletes who commit deliberate acts of injurious violence during play. Debates have long surrounded the place of the law in instances of on-field violence. Typically, sports in America have existed in a state of exception to the laws on violence and assault. However, in two recent incidents in the National Hockey League, players faced criminal charges in Canadian courts for violence on the ice. Standen argues that fines within sport might actually produce superior deterrents compared to legal penalties. For instance, a National Basketball League player named Latrell Sprewell was suspended for 63 games without pay for choking his coach, which essentially resulted in a fine of $6.4 million. According to Standen, Sprewell’s fine [*698] “may have been the largest monetary penalty in human history for assault” (p.78). Standen does not, however, think that suspensions are the answer because they disproportionately penalize higher paid players, can hurt the success of the team, and can have a negative effect in the larger community. Instead, Standen proposes that simple monetary fines could produce the same deterrent without the collateral effects.

Another interesting issue that Standen discusses is the increase in drug testing in American sports. Standen argues that league commissions have developed their own addictions to drug testing and are gradually overstepping their ethical bounds. Most major amateur and professional sports leagues in the United States now have testing procedures. Standen raises three central concerns with the way this testing is being handled. First of all, many leagues test for street drugs like marijuana and cocaine without having a rationale for doing the tests. Secondly, players are forced to consent to year-round testing which can be an invasion of privacy, as they must always make their location known in the event of an off-season test. Players must urinate in front of a testing officer, which could also be perceived as an intrusion of privacy. Thirdly, typical drug policies have mandatory suspensions for positive tests of banned drugs, which do not allow for explanations or mitigation. Building on the previous discussion, suspensions also disproportionately penalize higher paid players. That is, a 10-game suspension for steroid use is not the same penalty for a player making $1 million a year as it is for a player who makes $13 million. Given these concerns, Standen suggests that testing procedures in American sport should be reassessed, and the unquestioned powers of drug-testers should be reeled back.

Possibly the most thought-provoking discussion in the book is of the ever-increasing role of the law in regulating sport. According to Standen, “law is taking over sports, and I’m not happy about it” (p.299). Standen argues that lawyers and non-lawyers alike are increasingly looking to the law to regulate sport morally. A problem with this approach, according to Standed, is that most lawyers and legal officials receive little training to assess what is and is not moral. A reliance on the law moves discussions away from what is right and wrong, toward what is legal or not. For Standen, laws are not inherently moral. To illustrate this point, Standen provides the example of Title IX, an Act that is commonly used to guarantee women’s equal access to sport. When women are denied equal access to sport in American universities, discussions move straight to debating whether it falls under Title IX; non-lawyers try to act as lawyers and resolve the case, rather than simply debating the question: “what’s best for the women’s team?” (p.300). Non-lawyers have moved away from debating moral issues from which the law can be derived and are, instead, turning to the law to create morals. Standen urges sport practitioners and scholars to say more about important issues in sport, such as gender equality, rather than citing federal statutes.

As these discussions illustrate, Standen’s book covers an array of controversial issues in American sports, and explores how these issues might be remedied. While the style and the tone of the book, written as a series of blogs or opinion [*699] articles, is a highlight of the book, this approach does have limitations. Oftentimes Standen’s opinions and solutions are somewhat crass, uncritical, and could be offensive to some readers. For instance, when reviewing some sport literature, Standen includes a section on the Sports Illustrated Swim Suit Edition. Rather than critically examining gender representation in sport, he jesters that he did not read a single word of the magazine but rather, “only looked at the pictures” (p.102). Standen also comments on the presence of a semi-nude man in the magazine as follows: “It’s hard to describe a more disheartening moment of confusion when a man, expecting to ogle nearly naked women, sees an entirely naked man. SI should be ashamed of itself, publishing such images” (p.104). Some such opinions compromise the book as a whole, as they appear uncritical and not particularly thought provoking.

Overall, while some of his discussions may be off-putting, most are interesting, insightful, and lead the reader to think in new ways about the central role of sports in American culture. In a sense, this book provides a glimpse into the thoughts and opinions of one of the foremost scholars of sports law in the United States. As such, this book makes a unique contribution to the literature on social issues in sport, filled with ideas for scholars, legal professionals, and sport managers to further explore and discuss.


© Copyright 2009 by the author, Curtis Fogel.

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LAW’S MEANING OF LIFE: PHILOSOPHY, RELIGION, DARWIN AND THE LEGAL PERSON

by Ngaire Naffine. Oxford: Hart Publishing, 2009. 206pp. Paper $50.00/£25.00. ISBN: 9781841138664.

Reviewed by Mark Navin, Department of Philosophy, Oakland University. Email: navin [at] oakland.edu.

pp.693-696

In this book, Ngaire Naffine approaches fundamental issues in legal theory from a new direction. While traditional philosophies of law begin with questions about the nature or justification of law, Naffine asks “Who is law for?” (p.1). She promises to explore the way in which law constructs a legal person from legal and extra-legal (for Naffine, “metaphysical”) resources. This is an original approach to legal theory, and its focus – on who law is for – helps to unite seemingly disparate legal debates, including those about abortion, euthanasia, and the rights of women, children, and animals.

Naffine identifies two main goals for this work (pp.13-4). First, she wants to discover the way in which law’s person is informed by philosophical, religious, and scientific conceptions of human nature. This is a descriptive project, one that pays attention to case studies and the broader jurisprudential literature. Second, Naffine wants to evaluate the way in which law responds to these extra-legal conceptions of personhood. This is a normative project, one that requires a sustained theoretical argument in defense of a particular relationship between legal persons and philosophical, religious, and scientific conceptions of human nature.

The first part of Naffine’s project is a success. She does an effective job of reviewing case studies and the relevant literature. She convincingly argues that law is not a self-contained system, but one that frequently looks beyond purely legal conventions and norms in order to construct the concept of legal personhood. Readers who are looking for a well organized discussion of the (often schizophrenic) way in which the positive law appropriates extra-legal conceptions of human nature would do well to rely upon Naffine’s guidance.

While this first part of Naffine’s project is relatively strong, it suffers from her frequent reliance upon caricatured philosophical positions. This frustrating practice distracts from the valuable work that Naffine does in explaining the extra-legal sources of law. Furthermore, her reliance on such straw men makes her (later) arguments against such positions vacuous. An argument which concludes that we ought not to hold a thoroughly unattractive view is not much of an argument. To be clear, there is nothing wrong with the manner in which Naffine sorts the various extra-legal (metaphysical) conceptions of the person. It is sensible to contrast the views of those who think that persons are beings who can reason, with the views of those who think that persons are beings who have souls, with the views of those who think that persons are beings who have animal bodies. This rough distinction, between [*694] Rationalists, Religionists, and Naturalists (to use Naffine’s terms), is a helpful way to frame the examination of extra-legal conceptions of human nature. What is unfortunate is that Naffine relies upon caricatures of these positions and that she distorts the views of those whose arguments she claims to explain. I provide two examples of such distortions, one concerning her depiction of Rationalism and the other concerning her depiction of Naturalism.

Naffine claims that Rationalists – those who think that personhood is a matter of cognitive capabilities – overestimate the importance of reason in human lives. On her view, they think of persons as atomistic and self-sufficient beings, creatures that are capable of being entirely separated from their ends. She claims that (Rationalist) philosophers like John Locke and Immanuel Kant think that a person’s “social relations are inessential . . . [and that] he is a rational self-determining person well before he engages with and contracts into society. He is untroubled by the long periods of dependence which compromise the lives of us all” (pp.76-7). Quite reasonably, Naffine observes that the law ought not to be based exclusively on a conception of the person that is so inconsistent with our experience of human beings (pp.63, 78-9). Real persons are not atomistic and wholly rational beings whose ends always result from deliberation and choice. Law’s persons ought not to be either. In response, I think that Naffine has offered a caricature of the views of (Rationalist) liberals like Locke and Kant (not to mention those of their contemporary cousins, like John Rawls). Contrary to what Naffine claims, these liberals accept that we necessarily have social ends, that most of our ends result from circumstances other than our choices or deliberations, and that it is impossible to conceive of persons as separate from (all of) their ends. These (Rationalist) liberals emphasize the role of reason in their conceptions of legal personhood to explain why the paradigmatic authors and subjects of law ought to be beings that can offer reasons for creating law and for using it to advance their ends. Of course, these (Rationalist) liberals may be wrong about the relationship between reason and legal personhood. It might be the case that beings with lesser cognitive abilities should also make and use law. However, Naffine does not purchase the right to this conclusion merely by showing that her Rationalist straw men are committed to ridiculous conceptions of the human person.

Naffine says that Naturalists – including David Hume and Charles Darwin – think that humans and other animals ought to have the same fundamental legal status. This is because Naffine’s Naturalists realize that humans are on a biological continuum with other animals (pp.119-122). As Naffine says, contemporary Naturalists claim that “[a]fter Darwin, we should start to see animals and humans as categorically similar in law” (p.124). Admittedly, some might conclude, on the basis of their biological similarity, that the law ought not to make fundamental distinctions between humans and other animals. However, such people make a serious error in reasoning. Mere biological similarity – even similarity of biological etiology – does not suffice to ground similarity of legal or moral status. Certainly, Hume did not think that it did. For example, see his claim in the second ENQUIRY that animals ought to be treated kindly, [*695] but that we are not bound to them by principles of justice (Hume [1751] 1976, pp.190-191). This, he says, is because animals’ various limitations make them incapable of being equal partners in society with us. Likewise, I do not think that Darwin made this mistake either. Recall that Darwin says, in DESCENT OF MAN, that humans possess “noble qualities” and “exalted powers,” including “sympathy . . . benevolence . . . and a god-like intellect” (Darwin 1902, p.497). Clearly such capacities might motivate differential treatment of humans in the law, were we able to show that the other animals lacked such capacities. If Naffine’s Naturalists are committed to the view that biological similarity grounds similarity of legal status, then Hume and Darwin (and like-minded thinkers) are not the paradigmatic Naturalists she claims that they are.

The second part of Naffine’s project – the evaluation of law’s use of extra-legal conceptions of human nature – is a failure. Simply, there is no sustained theoretical argument in this book by which Naffine might fulfill her promise to evaluate law’s reliance on extra-legal (metaphysical) frameworks. Instead, most of the book consists of (usually helpful) summaries of others’ views, with some scant criticism confined to a few paragraphs at the end of each chapter. However, even here, Naffine rarely makes objections in her own voice, and, instead, reviews the criticisms of others. We find some explanation for this intellectual standoffishness in the final chapter. There, Naffine tells us that one’s commitment to a particular metaphysical conception of human nature is based only on “an act of faith” and that different extra-legal frameworks are “incommensurable” (pp.172, 173). On Naffine’s view, there is no way to compare and evaluate different conceptions of human nature. It is pointless, then, to try to show that one metaphysical framework is a better source of legal personhood than another.

I think there are good reasons to reject the sort of relativism about truth and value to which Naffine seems committed. However, what is most striking is that Naffine seems not to realize that her views about incommensurability doom her (albeit limited) attempts to evaluate law’s reliance on extra-legal conceptions of human nature. For example, Naffine claims (without much argument) that we ought to be pluralists about the sources of legal personhood. In her view, the law ought to be free to make use of various extra-legal resources, so as to respect the way in which our “multiplicity of personae” respond to the different relationships in which we are enmeshed (p.170). Furthermore, Naffine claims that it is wrong to insist that the law respond to only one of the metaphysical conceptions of the person. She claims that people who “insist that only one way of thinking is true and must be applied” are captive to “an obsessive, denying, and controlling instinct” (pp.174-5). First, this is a nasty ad hominem attack. Second, and more importantly, it is not clear that Naffine has left herself any room to advocate an alternative – pluralistic – conception of the ground of legal personhood. If a commitment to a particular metaphysical worldview is immune to reason (as Naffine claims), how can a commitment to a particular amalgamation of metaphysical [*696] worldviews (of the sort Naffine seems to endorse) be responsive to reason? For example, Naffine thinks that we cannot say that Rationalism offers a better conception of the person than Religion, since reason and argument do not enter into the choice of one framework over the other. Metaphysical frameworks, after all, are “incommensurable.” However, Naffine thinks that it is better to endorse parts of multiple extra-legal frameworks (to be “open minded” and have a more “moderate outlook”) than to endorse only one framework (p.167). But what reason can she give for why I – a dogmatic Rationalist, let’s say – ought to agree with her? If there can be no reason to accept dogmatic metaphysical views, it seems as if there can be no reason to endorse hybrid metaphysical views either.

It follows from her own commitments that the proposed evaluative component of Naffine’s project must fail (and would have failed even if she had marshaled arguments to try to carry it out.) If she is right about the incommensurability of various conceptions of human nature, even the very limited arguments that Naffine offers are impotent, and can provide no reason to think that law ought to rely upon extra-legal conceptions of human nature in a particular way. What remains of this book is Naffine’s good summary of the manner in which law has, in fact, responded to various extra-legal conceptions of human nature. Persons who are interested in this topic, and who are untroubled by the absence of analysis and evaluative argument, will find themselves well rewarded by Naffine’s LAW’S MEANING OF LIFE.

REFERENCES:
Darwin, Charles. 1902. DESCENT OF MAN. New York: American Home Library Company.

Hume, David. [1751] 1976. ENQUIRY CONCERNING THE PRINCIPLES OF MORALS, edited by L. A. Selby-Bigge and P.H. Nidditch. Oxford: Oxford University Press.


© Copyright 2009 by the author, Mark Navin.

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HUMAN RIGHTS AND CORPORATIONS

by David Kinley (ed). Burlington, VT: Ashgate Press, 2009. 560pp. Hardback. $275.00/£140.00. ISBN: 9780754627425.

Reviewed by Brian M. Harward, Department of Political Science, Southern Illinois University Edwardsville. Email: bharwar [at] siue.edu.

pp.688-692

This text is one in a series of volumes that comprise the International Library of Essays on Rights edited by Tom Campbell. This particular collection of essays explores the contours of the relationship between multinational corporations (MNCs) and human rights. Attention is given to the corporate social responsibility (CSR) movement generally, its power, limits, and consequences for states, the international community, MNCs, lawyers, the environment, and vulnerable populations of the developing world. Most of the essays build upon the disjuncture between the transnational structure and reach of corporations, and the law – which is largely national in scope. Several articles address the resultant global prisoners’ dilemma and the “race to the bottom” that emerges as developing nations compete for MNC investment in the context of inefficacious international mechanisms of ensuring corporate social responsibility. But voluntary standards of corporate conduct, international treaties and conventions and the like do have important consequences for domestic and international positive law as the CSR movement develops. A dominant theme of the literature included in this text deals with this difficulty (and sometimes the promise) of relying upon voluntary codes of conduct to ensure MNC compliance with human rights standards. Behind that difficulty lies the “marked increase in the influence of international financial markets and transnational institutions, including corporations, in determining national policies and priorities” (Shelton, p.184). For many authors in this volume, reliance upon voluntary corporate conduct codes, and even local or national legal institutions, to ensure corporate compliance with human rights obligations simply reinforces the existing political and economic power the corporations have over domestic and international institutions.

In general, the collection succeeds in tracing the consequences of viewing the MNC as a duty-bearer distinct from the state (which traditionally has been the locus of the obligation to attend to human rights claims). If corporations – as legal persons – have rights, then it is reasonable to conclude that they have attendant duties. The nature of those duties, and the ability of “soft” and “hard” law to enforce those obligations shape much of the discussion. However, aside from often-repeated anecdotes of corporate violations of human rights, very little attention is given to empirical inquiry of how specific agreements, legal relationships, standards or conventions emerge, are sustained, change, or are disregarded.

Part I of the text is dedicated to “framing the relationship” between corporate action and human rights. In the lead essay, Peter Muchlinski identifies the [*689] state as the primary locus of responsibility for protecting against abuses of human rights. He argues that MNCs will be unlikely to benefit from violating human rights because (for reasons relating to corporate reputation and workforce recruitment) corporations require state support for human rights. But MNCs have had a history of involvement in human rights violations – either directly or indirectly. Therefore, Muchlinski argues, ‘hard’ and ‘soft’ law options ought to be developed to insure corporate social responsibility. Soft law would include developing codes of corporate conduct that may restrain (ex ante) corporate behavior by including assessments of investment decisions. The hard law approach would include the development of national and international mechanisms by which the positive duties of corporations to conform to universal human rights requirements would be adopted. In sum, Muchlinski sees the corporation as a potentially benign force within the global marketplace, so long as the context in which the enterprise operates is designed to encourage the firm to support fundamental human rights. The mechanisms exist to secure human rights, it is simply the political will to enact them that must emerge.

Beth Stephens is less sanguine, however, about the ability of “soft’ law, or voluntary codes and standards of corporate conduct, to restrain corporate irresponsibility. She notes that such codes typically “incorporate human rights norms that are, in fact, obligatory duties, not voluntary undertakings” (p.56). Thus, she suggests, it is the force of law that compels obligations, not the voluntary codes that are too frequently expressions of the political power of corporations. International law is capable of regulating the behavior of MNCs in a way that domestic, national law cannot. The multi-jurisdictional structure of MNCs creates difficulties and collective action problems for domestic judicial systems as they attempt to regulate the MNCs. International law, however, is better suited to regulate (or resolve the collective action problems of participating domestic judicial systems) as corporations seek to make gains by incorporating subsidiaries in different “home states” – effectively limiting the liability of the parent corporation. Stephens proposes that the international community adopt a “pragmatic international approach” to regulating multinationals, “that recognizes the reality of economic interdependence rather than relying on legal independence” in order to impose “regulations that force accountability for human rights abuses” (p.66). As international law has already established adequate mechanisms for doing so, appropriate enforcement mechanisms at the domestic level will need to be coordinated to ensure compliance.

Christopher McCrudden explores the use of corporate conduct codes that comprise the “soft” law discussed in the previous essay. He focuses on the development, implementation, and efficacy of the Sullivan and McBride Principles adopted by private interests in the U.S. to regulate labor standards in South Africa during the apartheid era (Sullivan Principles) and Northern Ireland (McBride Principles). The essay is a helpful extension of the Stephens argument in that by focusing on two specific cases of corporate codes of conduct that were orchestrated by [*690] interest groups in the U.S., McCrudden is able to offer an alternative view of the regulatory power of such codes. He finds that rather than being the “Achilles heel” (Stephens, p.24) of enforcement, the Principles have become “soft law” through adoption by various U.S. jurisdictions. The Principles have been “drawn on as guidelines by state and local governments in the USA for investment, procurement . . . and in that very limited sense they may be considered to have been incorporated into law” (p.99). They have, then, “acted as a stimulus in the development of law” (p.98). Another extension of the Stephens thesis is found in the Principles’ relationship to international human rights treaties. While there is a good deal of overlap – consistent with Stephens’ argument – the Sullivan Principles in particular extend well beyond the obligations ascribed to signatories of relevant international human rights treaties. Rather, the Principles reflect a particularly American view of CSR, informed by the American civil rights movement and buttressed by powerful support from civil society, which suggests that the institutionalization of such codes requires favorable political conditions in order to “penetrate.” But the consequences of private interests developing and implementing corporate codes give rise to important questions. As McCudden notes, the success of privately developed corporate codes may signal increasing grassroots engagement in overcoming the difficulty of enforcing international norms. Alternatively, concern about the unaccountability of such interests and the exportation of particular principles from one country to others not a party to the development of the codes (and unable to control their effects) could make many uncomfortable with reliance on “informal law” as a mechanism to ensure CSR.

David Weissbrodt provides a helpful overview of the United Nation’s recent attempt at developing an institutional standard to guide CSR – the Norms on the Responsibilities of Transnational Corporations and Other Business Enterprises with Regard to Human Rights. His essay notes the nature and limits of the Norms as a guiding basis for corporate activity.

Monshipouri, Welch, and Kennedy explore the difficulties that inhere in relying on voluntary codes of corporate responsibility, the necessity – but inadequacy – of recent international agreements, and the difficulty of establishing an independent governing body to ensure compliance with international labor, environmental, and human rights standards. They argue that civil legal action, boycotts, and negative media exposure may be important constraints on corporate behavior, but will fail without global mechanisms to implement the standards.

Dickerson argues that the conduct of MNCs in recent years has extended beyond simple profit maximization in the interest of shareholders, to include the adoption of conduct codes which recognize the important rights claims of vulnerable populations. The enlightened self-interest of the MNCs, then, initiates a “feedback loop” that reinforces the human rights norms in host countries as well as among consumers in the developed countries (p.174). The evolution of the norms is buttressed by a growing willingness to enforce by law [*691] this new understanding of corporate responsibility.

Part II of the text provides what the editor, David Kinley, describes as “different conceptual
perspectives of the interaction between corporations and human rights” (p.xv). Shelton raises the difficulty states face in attempting to enforce the obligations to respect human rights that attend MNC activities in the global marketplace. She calls for the international community to assist in strengthening weak states, establishing legal authority within those states that can oversee the activity of non-state actors, and most importantly – developing international mechanisms that can coordinate across states in order to ensure CSR.

Ratner’s essay is particularly helpful in framing the multiple issues that are considered in most of the essays in this volume. In that sense, it is curious that this was not the lead essay of the compilation. In addition to providing an excellent review of the role of voluntary codes, NGOs, treaties and international conventions in encouraging CSR, Ratner develops a theoretically compelling justification for employing international law to enforce human rights obligations directly on corporations. The framework he provides is offered as a foundation upon which a body of international law can be built to obligate corporate attention to human rights. His theory “posits that the duties of a company are a direct function of its capacity to harm human dignity” (p.312) which leads to dual negative duties to neither directly nor indirectly violate (presumably insofar as such violations are foreseeable) the human rights of those to whom the corporation has certain ties (p.313).

In something of a departure from traditional approaches to state or international mechanisms of “command and control” over corporate responsibilities, Parker proposes a reconceptualization of meta-regulation. In her view, meta-regulation provides legal accountability for CSR by externally regulating the internal corporate conscience. By addressing how corporations manage their internal operations, meta-regulations make it possible for the law to ensure compliance with the extra-legal values and social policy goals of regulators.

Moving into Part III of the volume, the emphasis shifts to the “practice, problems and potential” of linking corporate behavior and human rights. Surya Deva is interested in deriving ways in which developing countries can overcome their collective action problems in negotiating foreign investment opportunities with MNCs. Deva proposes a “diversified integration” approach that recognizes individual countries’ needs, the potential value of foreign investment that is directed to those needs, and the inclusion of civil society in securing support for the direction of that investment within the developing countries.

Kinley and Chambers chart the history and contemporary debate surrounding the U.N. Human Rights Norms for Corporations, which have come under considerable criticism from MNCs for their approximation of international law. Kinley and Chambers reveal the limitations of the critiques as they explore the nature of the Norms [*692] themselves, as a “draft of a set of standards that . . . guide and suggest rather than compel” (p.443). Nonetheless, the authors note the multiple avenues for the Norms to “harden” into international law backed by the enforcement mechanisms of national legislatures and courts in order to create enforceable legal obligations.

Conley and Williams cast a skeptical eye on the emergence of a “new governance paradigm” in which the regulatory state exercises authority in more diffuse ways than direct legislation. Reliance upon civil society and corporate self-regulatory practices, they argue, may mask pernicious rent-seeking behavior by corporations and permit MNCs to avoid more direct regulatory law by appearing to be responsive and engaged with stakeholders.

Koh’s essay provides a pointed critique of recent efforts to repeal, limit, or reform the Alien Tort Claims Act. He argues that overblown concerns about the statute frustrate real reform efforts to establish international treaties that provide “safe harbors for responsible corporations” (p.494) and make clear activities that would constitute human rights abuses.

Finally, Ward explores the distinct set of qualities that characterize lawyering in the CSR context versus traditional lawyerly activity. The CSR context requires lawyers to practice in a manner that confirms and extends emerging values of social, economic, and environmental justice rather than adherence to a model of conduct that is essentially passive – “applying values already expressed in law” (p.537).

Overall, Professor Kinley provides a very useful service to the field by compiling some of the best recent work on the human rights obligations of corporations. As one might expect with a compilation of previously published articles, there is a good deal of overlap in the treatment of the topic as well as a sense of disjuncture as one moves through the volume. Nonetheless, several select essays could be quite helpful in framing the issue for a more general audience. Upper division undergraduate or graduate courses on globalization, multinational corporations and human rights law or international law may find this compilation particularly useful as a reader. As it may not capture the totality of the issues that attend the scope of corporate social responsibility, use of this series in conjunction with additional materials may be useful for courses interested in, for example, empirical examinations of poverty and inequality, philosophical considerations of rights and duties, or legal ethics.


© Copyright 2009 by the author, Brian M. Harward.

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MIGRATIONS AND MOBILITIES: CITIZENSHIP, BORDERS, AND GENDER

by Seyla Benhabib and Judith Resnik (eds). New York: New York University Press, 2009. 576pp. Paper. $22.00. ISBN: 9780814776001.

Reviewed by John S.W. Park, Department of Asian American Studies, University of California, Santa Barbara. Email: jswpark [at] asamst.ucsb.edu.

pp.673-687

This edited collection has five interrelated sections that examine the gendered dimensions of global migration, primarily in Europe and the United States. These five sections include: situated histories of citizenship and gender; global markets and women’s work; citizenship of the family, and citizenship within the family; engendered citizenship in practice; and the possibilities for women’s citizenship in a transnational context. Each section has between two to five essays by leading scholars across a range of disciplines, including history, political science, anthropology, and law. The volume itself is over 500 pages, but given the richness of the topic and the multiple ways in which gender and immigration intersect, these things could be much longer. The broad themes brought forth by the contributors – from the protection of refugees and gender-specific forms of persecution, the right to family reunification, wage slavery now common among vulnerable transnational women, and the moral underpinnings of national sovereignty and citizenship rules – offer a rich introduction to the important problems that will occupy scholars of immigration law and policy for many years to come.

Seyla Benhabib and Judith Resnik state the purpose of this collaboration thusly: “Our intervention in this volume is to bring gender equality claims into the discussion of the four other major principles regularly invoked in this area – the free movement of persons; the need for protection of refugees; the jurisdictional authority of sovereign states over their borders; and the obligation to respect family ties, including through family reunification. Our argument is that the laws, policies, moralities, and theories of citizenship, as well as of sovereignty, jurisdiction, family life, and migration, must grapple with the way histories of discrimination and subordination based on gender affect the conceptualization and implementation of opportunities, rights, and burdens, as well as the nation-state’s powers” (p.5). Many scholars have already done this grappling, some appear in this new volume, and some of the essays here are versions of their earlier work. Still, the contributions presented together are deeply illuminating, even though they sometimes miss important new work in the field.

The essays in the first section offer some historical context, the first by Cynthia Patterson, on citizenship and gender in Athens and Rome, and the second by Linda Kerber, on the recurring problem of statelessness in American history. Both are respected historians drawing upon past scholarly work in their subfields, although with a different spin here. Most of us know that in the ancient world, women were subordinate [*674] everywhere, theorized as inferior versions of men, and otherwise abused, controlled, and disciplined. Sometimes, as Patterson points out, they are just ignored: Aristotle’s discussion of citizenship in Athens includes a few thoughts about boys and old men, but he says nothing of women. Nothing.

But, Patterson writes, “if . . . we look at the ways in which citizenship in the ancient world was larger than politics, and at the multiple ways in which membership in the community was expressed and experienced . . . [then] the character of female and/or provincial citizenship becomes more interesting” (p.49). Men who acted as citizens were polites, but women were at least astoi, “insiders,” and not xenos, “outsiders” or “foreigners.” Greek criminal law assumed women could be responsible for their actions, and Greek religious ceremonies included women in key roles. In Greek culture, women are often central, whether in Aristophane’s Lysistrata or Sophocles’ Antigone. Patterson’s examples suggest the prominent position of women in Greek culture and politics, especially in those places where one bled into the other.

So, too, with Rome: “Roman citizenship openly privileged the wealthy in a manner that might allow the elite wives or daughters, despite their lack of suffragium, to claim a status above the lower-class male citizen” (p.64). Roman women could not vote, but how can one make sense of Roman culture and history without Cornelia, Livia, or any number of famous women? Culturally, Romans sometimes centered women, or at least treated them the same as men. In his writings, Plutarch included a great deal about the exploits of women, often portraying them in heroic and virtuous ways. Again, these illustrations and sketches of life in Rome are more tantalizing than complete – if we take Patterson’s suggestion to look beyond just politics to see women in the ancient world in all of their complex roles, so much more remains to be uncovered. Patterson’s essay is like an invitation to look further.

Reading this essay made me think of Virgil and Caesar Augustus, and Aeneas and Dido. After all, the Aeneid is such an important work – it connects Greek and Roman epic poetry, Greek and Roman mythology and history, and it was written at a time when Rome moved from Republic to Empire. Virgil’s epic poem helped to legitimate the Caesars by suggesting a divine, timeless connection between the Trojan hero Aeneas and that most famous Julian family. (With propaganda like this, is it any wonder that the later Caesars, especially the crazy ones, declared themselves gods?) Like Odysseus on his way back to Ithaca, Aeneas takes a long, meandering journey, and one of the people he meets is “lovely-bodied Dido.” We meet her in Book I. Dido is the founder of a great new Mediterranean city (it’s Carthage), she is an imposing commander of men (“A woman leads”), and she immediately shows mercy toward Aeneas and his men, tossed as they are like so many refugees from the sea, not to mention a ten-year war.

Having fled her own country, when her murderous brother killed her beloved husband, Dido is both great and generous: “Young men, you are welcome in our halls. My destiny, like yours, has willed that I, a veteran of hardships, halt at last in this country. [*675] Not ignorant of trials, I now can learn to help the miserable.” But by the beginning of Book IV, Dido confesses that she has fallen madly in love with Aeneas, they even “fondle” through a whole winter, and then he says he has to split. He blames the gods, fate – he says he has another destiny, and he’s, like, hey, honey, thanks, but it’s not like we were married. By the end of Book IV, Dido is so utterly distraught that she uses a sword to kill herself, as Aeneas moves on, conquers, and does not mention Dido again.

As sad as this is, this ancient story offers a segue into Linda Kerber’s essay on statelessness in American history, because she begins with an interesting question: exactly what would be the legal status of the son of Captain Pinkerton and Cho-Cho-San, the two main characters of Puccini’s Madame Butterfly? Their story is very similar to Aeneas and Dido’s, except for the kid. “What passport would the child of Madame Butterfly and Captain Pinkerton carry?” (p.78). It is Puccini’s opera, but he got the story from a play he saw in London, and that playwright got the idea from an American writer in Philadelphia, who got his idea from a fictionalized French memoir. The basic plot is the same: a dashing Westerner has an affair with an Asian woman, she falls madly in love, he leaves but promises to come back for her, he does come back but not for her, and with his wife (Kate, a proper white woman). And so the young Asian woman plans to kill herself with her father’s sword. Kate offers to raise the kid. To spare the boy from seeing her death, Butterfly gives him an American flag and a doll, and she blindfolds him just to make sure.

What about the boy? Kerber notes: “In the United States, nonmarital children born overseas to American citizen fathers are not citizens until the father legitimizes them. Unrecognized by either nation, Butterfly’s baby is effectively stateless” (p.79). Unlike Aeneas, Pinkerton admits he has been a jerk, and so his son might well be in this odd legal limbo. But even if he were not a jerk, even if he were willing to acknowledge his child and raise him with Kate, things might not go well after all.

We see this possibility when Kerber tells the story of Tuan Ahn Nguyen, born in 1969, whose American father brought him to Houston when his Vietnamese mother abandoned him. Nguyen was rendered deportable when he was convicted of a crime, even though his father argued that he should have been able to transmit citizenship to him in the same way that a woman could have. All children born to American citizen women are presumptively citizens, wherever they are born, but American citizen fathers cannot “transmit” citizenship in that way. And the rule will remain that way for some time: “In 2001, a five-to-four U.S. Supreme Court majority denied Nguyen’s father’s claim that he should have been able to transmit birthright citizenship to his child on the same terms that an American citizen woman can” (p.80).

Nguyen lost, Kerber notes, because for the most part, American courts were reluctant to impose a rule that might extend American citizenship to the illegitimate children of American fathers. There have been (and still are) a lot of Pinkertons out there. The federal courts were ultimately unwilling to [*676] intervene against policies shaped at the Department of Defense, policies that really leave the women and children to fend for themselves. And so, “Even those men representing the United States abroad have the Court’s permission to father children out of wedlock and abandon them” (p.82).

Kerber also notes that many Americans do not want illegal immigrants to “transmit” American citizenship to their children so easily either: “In the United States now, perhaps the most chilling signal that reconceptualization is possible is the presence of a vigorous political attack on the Fourteenth Amendment’s guarantee of birthright citizenship, an attack that destabilizes one of the strongest founding principles of American identity and makes highly likely the increase of statelessness” (p.86). In her other works, Professor Kerber has discussed at length the status of
slaves, Native Americans, women who married foreigners, American nationals, immigrants, refugees, deserters, deportable aliens, Hannah Arendt, and children, all of whom have felt various conditions of statelessness. As she shows here in this essay and elsewhere, statelessness is a condition often befalling people no one wants. It is a recurring problem.

Kerber’s essay ends with Pearl Buck’s version of the Butterfly story. In Buck’s novel, The Hidden Flower, a Japanese woman falls in love with an American man, gets pregnant, and goes to the United States with him to get married, only to have the American dump her. (He blames his racist, Virginian family.) Josui will not kill herself, but she will return home to marry a Japanese suitor, who demands that she give up the illegitimate child. So she has the kid in Los Angeles, and to her amazement, a kind Jewish woman physician who lost everything in the Holocaust adopts her baby. Kerber loves this version: “The exemplars of the ethics of a cosmopolitan world are these two women – the Butterfly who finds a way to ensure her child’s future without having to kill herself; the survivor of the Holocaust who stretches her hands across the Pacific, across boundaries of language, race, and nation. Together they will make a world in which state boundaries are less important than ethics and love” (p.110).

I prefer David Henry Hwang’s version, M. Butterfly, the one where a white guy falls in love with a Chinese opera singer, they have a torrid affair but no children because the singer’s actually a man, a fact that the white guy does not discover for over two decades. Gallimard leaves his own wife for his Song. But when Gallimard finds that his “perfect woman” was actually a guy all along, and a spy no less, an agent who has been using him, he is so distraught that he kills himself. Song casually smokes a cigarette when Gallimard offs himself. Of all the Dido/Aeneas, Pinkerton/Butterfly variations, I rather like this version the best.

The second section of this volume has two essays, by Linda Bosniak and by Aiwha Ong, both covering the global comodification and transnationalization of “women’s work,” primarily in domestic labor. Bosniak draws heavily from scholarly work in political theory and in sociology, first to establish the (ancient) link between “freedom,” understood in a classic sense to mean [*677] “freedom from the necessities of life,” and access to labor, including reproductive labor. Bosniak’s account reminded me of Hannah Arendt’s classic work, THE HUMAN CONDITION, because Arendt examined in amazing depth that relationship between “freedom in the public sphere” and the grinding, mundane necessities of the “private household.” Mary Romero, Evelyn Nakano Glenn, Arlie Hochschild, Barbara Ehrenreich, Rhacel Parrenas, Grace Chang, and Pierrette Hondagneu-Sotelo are some of the fine contemporary scholars who have written about the link between women of color and affluent white households that are increasingly common in our own time. Another edited collection, by Denise Segura and Patricia Zavella, offers further insights into this private/public divide from the perspective of the U.S.-Mexico borderlands; several scholars there argue that a great deal of political effort in the United States is rooted in an obsessive desire to control Latino women and Latino households.

Bosniak is not the first to observe that globalization has added a new twist on domesticity: “What does it mean that, whatever equal citizenship some women in wealthy countries may achieve through market-sphere work, it is often facilitated by the employment of people from poorer countries who themselves lack status citizenship in the country in which they labor?” (p.129). More women are working professionals, in careers that make them more politically and materially equal to men, thus forming the bases for their social and economic citizenship, and yet more households in affluent countries rely on domestic laborers from other places to do that reproductive work so necessary for such freedom. The most intimate work – cleaning the house and taking care of the kids – is done by women, and so “[it] frees one class of women from the performance of some of this work while at the same time ensuring that the work remains women’s work” (p.133). The relationship is fraught with structural inequality: “Some women’s pursuit of citizenship – whether conceived of as equal citizenship, economic citizenship, or democratic citizenship – by way of work in the developed world is facilitated, in part, by the employment of women from mostly third-world countries who themselves are in a condition of ‘citizenshiplessness’” (p.137).

The theme carries forward in Aiwha Ong’s essay, which is a reprint of a chapter in her excellent book, NEOLIBERALISM AS EXCEPTION (2006). In that book, Ong argued, among other things, that neoliberal states care more about protecting and attracting people who have skills and wealth, whoever they are, rather than people who do not have either, even their own members and citizens. Against non-citizens who have low skills and no wealth, neoliberal states have been absolutely vicious. That viciousness is what is presented in this volume: “The frequency and ferocity of abuses against foreign maids index a brewing human rights crisis over the emergence of neo-slavery in Southeast Asia” (p.158). In the poorer, labor-exporting countries where these women come from, even “advocacy” organizations tend to be unhelpful: “Nongovernmental agencies, or NGOs, play a crucial role in training and indoctrinating would-be migrants, focusing in particular on self-managing techniques that instill proper attitude and [*678] conduct abroad. Feminist NGOs offer lessons linking overseas employment with Catholic feminine values” (p.162). Always searching for hard currency, sending countries coordinate the migration of their citizens to places where economic opportunity and exploitation often go together.

Ong notes that foreign domestic workers are regarded as unprotected, expendable assets in the countries where they work. “In the aftermath of the Asian financial crisis in 1997-98, close to nine hundred thousand migrant workers, the majority of them female, were expelled from host nations. In Malaysia, campaigns such as ‘Operation Get Out’ pushed migrants to nearby Indonesian islands that act as holding stations” (p.167). Ong also suggests cultural dimensions that are specific to that part of the world: “[Among] ethnic Chinese populations, there is a historical practice of servitude that constructs the unattached, mobile woman as an unprotected category” (p.169). And again, although advocacy groups within the affluent countries have attempted to help these women, through public shaming of abusers and complacent government actors, they have generally avoided formal legal channels to discipline citizens and their states: “In Southeast Asia, NGOs are demanding moral guarantees of biological welfare, not rights of citizenship for migrant workers as members of a global humanity” (p.179).

Ong’s chapter is deeply disturbing, but again, other scholars in the field have examined these issues at length, and in multiple dimensions. For example, Rhacel Parrenas’ work is extremely helpful, as she examines the conditions of migrant workers in Europe, Asia, and North America, as well as the consequences of their absence for their own families, in their own countries. Filipino women work in a dizzying range of occupations around the world, from maids and nannies to nurses and entertainment. But how will the children of “overseas Filipino workers” raise themselves, when mother, father, or both parents are working abroad? This fracturing of households is one of the most wrenching themes in this age of globalization.

Two essays that further examine the impact of immigration rules on families form the third section of the volume. In Jacqueline Bhabha’s essay, she discusses families torn apart by an ever stricter set of rules mandating removal and deportation of illegal aliens and lawful permanent residents. Before 1996, persons facing “deportation” had important avenues for relief, especially when they could show that their deportation posed an unusual hardship to an American citizen or a lawful permanent resident, which was often a child. Now, that relief is gone, and it exposes an increasing population of American citizens to an uneasy future: “Approximately three million U.S.-citizen children have at least one parent who is in the United States without a regular immigration status; tens of thousands each year live through the deportation of a parent. What does citizenship amount to for these children?” (p.190). Indeed, because states remove more persons than ever before, the significance of citizenship itself seems to be changing: “[Arguably] the most significant citizen-specific entitlement today is the guarantee of nondeportability, irrespective of criminal offenses” (p.192). [*679]

Yet citizen children are typically powerless: “A citizen child cannot generally use the fact of citizenship to block the removal of parents facing deportation or to secure entry for a parent abroad” (p.194). Also, like Linda Kerber, Bhabha worries that the attack on birthright citizenship further erodes the position of American citizen children more broadly. When leading scholars and jurists like Peter Schuck and Richard Posner oppose birthright citizenship, Bhabha warns, “the attack on birthright citizenship is, first and foremost, an attack on the existing rights of citizen children” (p.199). Rather, Schuck and Posner might reply that the attack is mostly directed at the parents, many of whom might use their American-born children to gain rights or status that they do not deserve.

This certainly seems to have been the worry in Ireland, which did away with its birthright citizenship rule when so many immigrants were taking advantage of it: “The number of nonnationals claiming residency on the basis of [Irish-born children] increased from approximately fifteen hundred in 1999 to over six hundred thousand in 2001” (p.213). Bhabha continues: “On June 11, 2004, a public referendum on the constitutional right to citizenship was held; 79.17 percent of valid votes were cast in favor of removing the automatic constitutional right to birthright citizenship. An amendment to the Constitution followed quickly, depriving children born in Ireland, both of whose parents were nonnationals, of the constitutional right to citizenship” (p.215). Bhabha points out that in this debate, the Irish courts complained that children born in Ireland to non-citizens were not making a “deliberate decision” to choose Irish citizenship; but “which minor child, one wonders, are in a position to make deliberate decisions about the country they reside in or call home?” (p.196). Yet even in the United States and Canada, where governments have not (yet) gone this far, the impact of deportation on citizen children is clearly becoming just one, often not very important, consideration when liberal states move against removable aliens, such that “citizenship for a child very easily and quickly becomes a denuded status” (p.218).

A great many children now leave with their deported parents, and Bhabha suggests that this trend is harmful overall for traditional, politically robust conceptions of citizenship. “What sort of juror or voter with a contribution to make to his or her peers is one who has been forced to live outside the community during the premajority period? How is such a person to engage with the concerns of the polity in a meaningful and contributory way?” (p.219).

Sarah van Walsum’s essay looks at family reunification from the other direction, in the Netherlands, where state law required parents, when they wished to reunite with their children, to prove an “an effective family bond” to the children they had left behind in their home countries. “Dutch family reunification policies required that parents provide written proof that they had been effectively involved in the upbringing of their children during the entire period of separation, and that they had also provided full financial support during that period” (p.231). Van Walsum explains that originally, the rule was designed to protect foreign fathers [*680] from taking children away from third world mothers, but by the 1990s, the rule served more to separate families rather than reunite them.

After much litigation, the European Court of Human Rights declared that this standard from the Netherlands violated Article 8 of the European Convention, which declares that “everyone has the right to respect for his private and family life, his home and his correspondence.” The Court said in 2005 that “‘parents who leave children behind while they settle abroad cannot be assumed to have irrevocably decided that those children are to remain in the country of origin permanently and to have abandoned any idea of a future family reunion’” (p.243). The Dutch government resisted this decision at first, but by 2006, it issued new rules giving up the standard, thus providing a happy ending of sorts to families that had been separated. Still, van Walsum cautions, “there is nothing inevitable or irreversible about the workings of European human rights law” (p.246). As one of the most dynamic, evolving arenas of a new kind of federalism, European human rights law is still in flux, and so too the rights of immigrant and mixed-status families in Europe.

In the fourth section on engendered citizenship in practice, the law in transition is the over-riding theme. The three separate essays, by Valentine Moghadam, Audrey Macklin, and David Jacobson, examine the possibility that women’s rights and women’s equality are emergent global norms, even as international migrations bring diversity and otherness to more corners of the world. Moghadam’s essay focuses on the Muslim world, and two countries in particular: “The Islamic Republic of Iran exemplifies the case of an active movement for women’s citizenship in the face of a strong state and – until recently – weak global links. The case of the Kingdom of Morocco shows how coalition building and possibilities for a state-feminist alliance can result in law reform favorable to women” (p.257).

Moghadam details the development of transnational women’s rights organizations in the region, including Women Living Under Muslim Laws (WLUML), Women’s Learning Partnership for Rights, Development, and Peace (WLP), Sisterhood is Global Institute (SIGI), Women’s Learning Partnership (WLP). These non-governmental, civil society institutions were critical in helping women activists form alliances across several different countries. And yet, specific country conditions were critical: “Feminists [in Iran] framed their grievances and demands in Islamic terms and drew from the ‘cultural stock’ to press for women’s rights and equality. But they also used secular language and pointed to international conventions and standards, thus challenging the dominant political and ideological framework” (p.265). Women themselves reinterpreted the basis for Sharia law, “to emphasize the egalitarian and emancipator spirit of the Quran” (p.264). When women’s rights activists staged public protests in 2005 and 2006, they were attacked by the police, but by then, the activists were so well organized, so well connected to allies in the Muslim world and to expatriate feminists that they continued to press for change throughout Iran. Moghadam’s essay was, of course, written before the most recent presidential election in Iran, but I could [*681] not help but think of how deeply relevant her work is right now – it explains a great deal about how an Iranian theocracy cannot reassert control in the face of mass protests that won’t go away, protest after protest, all of which include thousands and thousands of very brave women.

Moghadam notes that things do not have to be like this. Moroccan family law was extremely conservative and rigid, and Moroccan clerics often insisted that its tenets were beyond negotiation. Women’s rights activists kept pressing and they won several basic reforms in 1993. In 1998, they helped elect a socialist prime minister, and by 2002, thirty-five women held seats in the Moroccan Parliament. In time, King Mohammad VI agreed to form a commission to study Moroccan family law in its entirety, and this included several women’s rights organizations that had been active in lobbying all along for basic reforms to the mudawana. “By October 2003, in his capacity as Commander of the Faithful, the king announced a new family code – which he asserted was consistent with the spirit of the Sharia – and then sent it to Parliament” (p.268). Men and women were now considered equals within a marriage; both had a right to seek a divorce; men had to acquire the consent of their wives before taking more wives; and a minimum legal age for marriage was set at eighteen years. Moghadam concludes that “[the] Moroccan case is a striking example of how women’s rights advocates can build coalitions to generate social dialogues, have an impact on key policy debates, and help effect legal reform and public policy changes” (p.269). She concedes that the activists did have “sympathetic and supportive political leadership,” but her story suggests that they helped to shape this leadership over many, many years.

In Audrey Macklin’s essay, the protagonists are “encultured women” who participated directly in two highly publicized political campaigns in Canada, the first involving female genital mutilation (FGM) and the second in the push for legal recognition of Islamic faith-based arbitration in Canadian family law. FGM was banned in Canada by 1997. “Surprisingly,” Macklin writes, “the political pressure to criminalize FGM in Canada emanated from the encultured women who inserted and asserted themselves directly in the legislative process. This contrasts notably with the sequence of events in other jurisdictions where, according to critics, the leaders of campaigns tended to be white activists, while women from affected communities were selectively recruited to perform the role of exoticized victim” (p.280). In other words, women’s rights activists within Canada’s immigrant community used state policies to discipline members of their own immigrant communities.

The same result came about when Canada considered allowing Islamic, faith-based organizations to arbitrate family disputes that would then become binding under Canadian law. To see about this possibility, the Ontario government appointed a former attorney-general, Marion Boyd, to study the problem. Boyd was sympathetic, but many were not, and certainly not the Canadian Council of Muslim Women. The Council opposed arbitration by looking at the structural forces that would disadvantage women, not by stating that Islamic culture was or is [*682] inherently bad for women. The Council and other organizations pointed out that in these insular communities, where many women were derivative beneficiaries whose legal status and livelihood depended so heavily on their husbands and fathers, Islamic, faith-based family arbitration would fail to protect the women. “A central issue for feminists in both the FGM and the Islamic arbitration debates concerned the way secular law could protect encultured women from the risk of oppressive intracommunal practices” (p.295). In Canada of all places, the immigrants were rejecting legally institutionalized multiculturalism.

The problems of multiculturalism constitute the primary topic for David Jacobson, who argues, in essence, that where women’s rights and cultural diversity collide, women’s rights should win, without liberal guilt or other forms of equivocation. “The rights and status of women prove to be remarkable prisms in part because the multicultural project, and the largely unproblematic depiction of transnationalism and postnationalism, splinters on women’s issues” (p.307). “Put another way, viewing immigration and immigrant communities through the lens of gender reveals the institutional limits of multiculturalism and transnationalism” (p.309).

In this contest, Jacobson makes clear where he stands: recounting stories where immigrant defendants appealed to their “culture” as a mitigating factor for a range of criminal offenses, including cases involving killing, kidnapping, and sexual assault, Jacobson is appalled that many courts in the United States have been receptive to these “cultural defenses.” Jacobson would prefer courts to uphold principles of self-possession and of proprietary individualism when women are subjected to oppressive practices. Indeed, women and children have often been the victims, as in the case of the Iraqi guy who “gave away” his thirteen-year-old daughter in Nebraska to a thirty-four year-old man, a fellow Iraqi. The men claimed that this was acceptable culturally in Iraq, but the trial court and the Court of Appeals did not buy it. The “husband” was given a four to six year sentence.

Jacobson worries that a kind of cultural relativism and perhaps a sense of shame over imperialism among feminists and other legal theorists in the West prevents them from moving forcefully to stamp out non-Western cultural practices, even when they harm women. But, he says, “[these] arguments severely underplay, in effect, the qualitative jump of institutionalized discrimination against women in such patriarchal circumstances compared to, say, the United States or Britain more generally – and do the women in such circumstances no favors” (p.322). Maybe we should just stamp away: “As in the ending of racial apartheid, ‘extinguishing’ gender apartheid, albeit a cultural practice, should not be a source of concern” (p.323). He perhaps overstates things here: for one, as we saw in Macklin’s essay, the job of the liberal state might just be to allow the progressives within an immigrant community to shape the debates about what are or are not acceptable cultural practices; and secondly, many, many feminist scholars, including Leti Volpp, Dorinne Coleman, Alison Renteln, and Sarah Song, have examined these issues at length, and they have often reached the same conclusions, though with more subtlety. [*683] (I will say more about Song’s account in particular later.)

The final section of this volume has five essays, all concerning how the nation-state might be “reconfigured” in light of women’s citizenship in a transnational context. The first essay by Catherine Dauvergne builds on her work in MAKING PEOPLE ILLEGAL (2008): “[this essay] takes up the question of globalization’s effects on citizenship and examines it in light of two propositions. The first is that in response to the pressures of globalization, control over membership is being transformed into the last, and best defended, bastion of national sovereignty. The second proposition is that for Western liberal states with well-developed immigration programs, immigration law and citizenship law have long had a dichotomous relationship in which the liberal discourses of equality and inclusion are left to citizenship law while immigration law performs the dirty work of inequality and exclusion” (p.333).

As Dauvergne also said in MAKING PEOPLE ILLEGAL, “We are in the midst of a worldwide global crack-down on illegal immigration” (p.341). This has had tremendous, negative consequences for family reunification, refugee admissions, and entire immigrant communities facing deportation – all these trends have gendered dimensions that harm women and families. Curiously, this crackdown has occurred when naturalization rules have become more liberal, and many more people have successfully naturalized, especially within the United States. “Citizenship laws in many sought-after immigration destinations now appear more liberal, but the immigration laws that are citizenship’s gatekeepers are not” (p.350). Immigrant women’s status is subject to “an intricately gendered immigration net,” and insofar as that net has been woven by an economic logic that favors the rich and skilled while punishing the poor, women have cause to worry, if only because “economic logic has never fully recognized women’s productivity” (p.350).

The special vulnerability of women is the topic of Talia Inlender’s essay about gender-based claims in refugee law. She draws an important distinction between “gender-specific persecution,” where “the gender of the victim may dictate the manner of persecution but is not necessarily the reason for the persecutory act itself,” and gender-based persecution, “the reason for the persecution itself is the victim’s gender” (p.359). “What distinguishes gender-based persecution is not the form of the persecution but its animating purpose” (p.359). Most of the essay surveys current arguments, pro and con, of adding gender as a possible sixth category within the established refugee convention, which now includes race, nationality, religious beliefs, political opinion, and membership in a social group.

Inlender notes that many women face intense persecution because they are women, and often because they are working for women’s liberation or women’s rights, or because they are subject to cultural practices specifically meant for women, including female genital mutilation. When the form of persecution cannot be understood aside from gender, when the very animus behind the persecution was based on [*684] gender, a woman claiming refugee status is forced to subsume or modify her story to fit one of the existing five categories. In other words, she can not be fully truthful about why she was persecuted, and a sixth category might remedy this precise problem. In addition, because so many instances of gender-based persecution involve sexual violence, “the addition of a separate, gender ground may affirm women’s collective identity and be healing in a way that subsuming their stories into male-dominated categories may not” (p.371). Politically and morally, a separate, sixth ground would allow women “to accurately account their persecution as stories of gender subordination” (p.371).

In her essay on intercultural political identity, Angelica Means addresses some of the concerns raised by Jacobson in the last section, to argue for more cosmopolitan outcomes when immigrants make demands for certain forms of cultural recognition. She fastens to one important branch of government where these outcomes are possible: “Courts need to develop cultural rights – to ‘frame’ an antidiscrimination norm that includes the individual’s right to be free from cultural discrimination” (p.382). Means suggests that existing groups have no principled right to protect their culture against the culture of outsiders, thus challenging the arguments made many prominent political theorists, including Michael Walzer. This communitarian idea – that people have a political right to defend themselves and their culture from outsiders – amounts to a form of cultural discrimination that is as offensive to liberal theory as the establishment of religion, or unconstitutional infringements of religious liberty.

Following other scholars, Means proposes a “jurisgenerative politics,” where constitutional courts are places where debates about “our” core values occur in the presence of outsiders. She notes that in the European Court of Human Rights, justices have upheld the right of women to “author” and make claims about their own culture, in ways that enhance both their understandings of the host society and the host society’s understandings of them. “If we citizens of strong democracies continue to take our own democratization process seriously, we will, as an inchoate feature of our own recursive identity, recognize the rights of new members” (p.396). Rather than just react to the new challenges posed by immigrants, courts can assess disputes about culture and cultural identity more self-consciously and thus translate conflicting norms to reach principled resolutions over culturally-laden disputes.

Means recognizes the anxieties inherent in such processes, and she perhaps gives too much credit to the courts, many of whom are prone to reactionary, unreflective decisions (at least in the United States). But this idea that liberal societies should change and accommodate the newcomers, instead of simply expecting the newcomers to accommodate and assimilate into the existing norms, is an interesting answer to the arguments made by David Jacobson. Rather than seeing one’s society as static or culturally “better” than another, a discursive politics invites others to join the conversation, to help re-shape law and culture, and to [*685] re-examine deeply held moral and cultural values.

Means relies heavily on Jurgen Habermas’ work, but her ideas reminded me of Bruce Ackerman’s earlier work, as well as Sarah Song’s recent book, JUSTICE, GENDER, AND THE POLITICS OF MULTICULTURALISM (2007). Like Means, Song proposes that liberal democracies should not steamroll the newcomers, but that they should structure principled conversations about cultural differences arising from migration and from other forms of diversity, and through a wider set of political institutions beyond just the courts. Song’s ideas are likely to appeal to scholars like Jacobson, if only because these scholars would be confident that in the end, liberal principles will win in open, fair debates about what the newcomers and the insiders should do. Song’s nuanced approach has great strengths, and so it is too bad that Song’s book was not cited anywhere in this volume.

Patrizia Nanz’s essay on citizenship and identity within the European Union is instructive because she suggests that more fluid, cosmopolitan political and legal identities already exist in places where it did not seem possible. Thus far, European citizenship has not been defined culturally: “Union citizenship creates an explicitly political status and it does so without relying on a constitutional European demos. It offers to the citizens of the member states a new and additional ‘we,’ which creates a bond among individuals who accept that they are and remain alien to each other” (p.427). Nanz’s ethnographic work suggests that this shared sense of otherness has had the curious effect of helping Europeans feel more empathetic to one another – now that a lot more people know what it is like to be an outsider, having lived in a part of Europe that is not their home country, they become at once more attached to their home culture and more tolerant of others who are not like them. Compared to the last century, when nationalist projects dominated European politics and tore the world apart, the political moves toward a common European identity is indeed truly remarkable.

Nanz further suggests that this post-national citizenship might help non-Europeans as well. In the ZHU AND CHEN case in 2004, where a Chinese woman, Ms. Chen, went to Ireland to take advantage of that country’s birthright citizenship rule for her daughter, Zhu, the European Court of Justice eventually upheld their right to reside in Europe, and Nanz says that “the case demonstrates how women may be able to use transnational forms of citizenship and entitlements to increase their mobility and gain rights” (p.428) But there was a push-back, as we saw in Jacqueline Bhabha’s essay, and certainly, cases like ZHU AND CHEN angered so many Irish citizens that they voted to end birthright citizenship for non-nationals in Ireland that same year.

This push and pull of political forces, occurring at many different levels now, is the topic of Vicki Jackson’s final essay on citizenships, federalisms, and gender. The main argument is that although nation-states will be around for the foreseeable future, transnational and international norms should be institutionalized to protect people from exercises of national sovereignty: “The exclusionary edge of citizenship should [*686] also be mitigated and constrained by human rights norms” (p.448). The first part of this argument is important for Jackson: “Treating citizenship as involving only individual choices – like what credit card to have or what clubs to join – overlooks the relational aspects of citizenship, in linking co-citizens to respect for one another’s status, rights, and well-being within a particular community” (p.448). Theoretically and politically, we seem unprepared for a world without states.

Still, Jackson embraces multi-layered federalisms where sovereignty is separated and subject to those classic checks and balances. “Federal systems provide multiple (seemingly redundant) avenues for the pursuit of change through government – laws, policies, and in some cases judicial decisions” (p.453). Federal systems allow for experimentation, and though they sometimes seem mired in endless conflict and even paralysis, they provide multiple opportunities for political activists, especially women’s rights activists, to engage in politics. “Given wide divergences in particular normative aspirations, social practices, and effective enforcement of legal norms, the interests of women in overcoming subordination may be best served by an overlapping multiplicity of sources of law, affiliations of identity, and legal fora for rights enforcement, which layered forms of governmental jurisdiction can provide” (p.463).

During a time when the United States has often seemed as hostile to international law and human rights norms as, say, Iran, Jackson’s arguments for federalism are very welcome. Her contribution is yet another example of the high equality of all the essays in this entire volume. The contributors of the volume do seem to miss things here and there, but overall, this edited collection is very stimulating and useful. The world is shrinking in multiple directions – more immigrants are coming into advanced industrialized countries than ever before, across a wider array of positions fragmented by class and status. Much of this has been terrible for poorer women, and yet there is cause for hope, as we also see evidence of how ideas about women’s equality and women’s rights now also reach everywhere around the world. The outcomes for women are not always what we expect: in places like Morocco, women are being recognized as persons with rights; and in places like the United States, deportation effectively eviscerates the rights of American citizens to be with their loved ones, and it tears entire families apart. Indeed, if the laws governing removal remain unchanged, the United States will deport more mothers of its own citizens than any other nation.

That this volume brings together the unexpected, and also clarifies what is at stake overall in debates about migration, equality, and especially gender, makes this book a valuable resource for a wide range of scholars. This volume might also be invaluable for progressives everywhere, especially women’s rights activists, who could share its rich set of ideas through their own transnational networks, as well as in their own countries and local communities. As they push collectively to make globalization and global migrations more humane, fair, and just, this kind of scholarly work is the right kind of intervention. [*687]

REFERENCES:
Coleman, Doriane L. 1996. “Individualizing Justice through Multiculturalism: The Liberals’ Dilemma.” COLUMBIA LAW REVIEW 96 (June): 1093–167.

Ehrenreich, Barbara, and Arlie Russell Hochschild (eds). 2003. GLOBAL WOMAN: NANNIES, MAIDS, AND SEX WORKERS IN THE NEW ECONOMY. New York: Metropolitan Books.

Hondagneu-Sotelo, Pierrette (ed). 2003. GENDER AND U.S. IMMIGRATION: CONTEMPORARY TRENDS. Berkeley: University of California Press.

Parrenas, Rhacel. 2005. CHILDREN OF GLOBAL MIGRATION: TRANSNATIONAL FAMILIES AND GENDERED WOES. Stanford: Stanford University Press.

Parrenas, Rhacel. 2008. THE FORCE OF DOMESTICITY: FILIPINA MIGRANTS AND GLOBALIZATION. New York: New York University Press.

Renteln, Alison D. 2005. THE CULTURAL DEFENSE. New York: Oxford University Press.

Romero, Mary. 1992, 2002. MAID IN THE USA. New York: Routledge.

Segura, Denise A., and Patricia Zavella (eds). 2007. WOMEN AND MIGRATION IN THE U.S.-MEXICO BORDERLANDS: A READER. Durham: Duke University Press.

Song, Sarah. 2007. JUSTICE, GENDER, AND THE POLITICS OF MULTICULTURALISM. New York: Cambridge University Press.

Volpp, Leti. 1994. “(Mis)identifying Culture: Asian Women and the ‘Cultural Defense.”’ HARVARD WOMEN’S LAW JOURNAL 17 (Spring): 57–97.

Volpp, Leti. 2001. “Feminism versus Multiculturalism.” COLUMBIA LAW REVIEW 101 (June): 1181–218.


© Copyright 2009 by the author, John S.W. Park.

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THE ROBUST FEDERATION: PRINCIPLES OF DESIGN

by Jenna Bednar. New York and Cambridge: Cambridge University Press, 2008. 219pp. Hardcover. $85.00/£40.00. ISBN: 9780521878999. Paper. $24.99/ £15.99. ISBN: 9780521703963. eBook format. $20.00. ISBN: 9780511460616.

Reviewed by James A. Gardner, University at Buffalo Law School, State University of New York. E-mail: jgard [at] buffalo.edu.

pp.668-672

Fueled by the Rehnquist Court’s unexpected rediscovery of federalism as a constitutional constraint on American governmental power and by a recent global outbreak of constitution drafting, interest in federalism has exploded in the last two decades. Federalism is now a subject routinely studied by numerous disciplines utilizing a wide variety of investigative methods. In THE ROBUST FEDERATION, Jenna Bednar, a political scientist, approaches the subject using the tools of positive political theory. Bednar’s objective is to extend and systematize the basic Madisonian insights about federal structures of governance, not so much in an elaborately formal or comprehensive mathematical model as in a set of clearly stated and interconnected principles of sound constitutional design.

Bednar’s account begins with a review of the purposes that societies have thought, or might plausibly think, can most effectively be achieved by erecting a federal structure of governance. Madison, of course, thought that the main justification for federalism was its capacity to protect liberty through the institutionalization of intergovernmental competition for popular political allegiance. Consistent with contemporary scholarly thinking about federalism, Bednar expands Madison’s list to include a wide variety of goals that she categorizes under the headings of military security, economic prosperity, and effective political representation (ch.2). Nevertheless, faithful to the Madisonian tradition, she approaches the distribution of governmental authority as “an instrument of public policy that can be calibrated for social benefit” (p.52).

Again consistent with Madison’s structural analysis, Bednar argues that the main difficulty posed by federalism is that it inevitably creates incentives for various actors within the system to evade the desired allocation of authority, thereby undermining the system’s potential to achieve its contemplated benefits. She identifies three families of potential transgressions: encroachment by the national government on state authority, shirking by states of their responsibilities to the union, and burden-shifting by some states to others (ch.3).

This leads Bednar to the heart of the book: an analysis of the “safeguards of federalism.” These are the mechanisms that keep the system functioning properly and prevent it from collapsing into centralization or dissolving into decentralization, outcomes that by hypothesis are less capable of sustainably securing the desired social benefits than the moderately decentralized but high-maintenance [*669] structure of federalism. A universal, baseline safeguard of federalism, Bednar notes early in the book, is what she calls “intergovernmental retaliation,” by which she means the threat by governments of secession or dissolution of the federation (pp.11, 95). This is of course a blunt, costly, and risky strategy that is not likely to succeed very often or in very many circumstances. Bednar therefore catalogs and evaluates a variety of other safeguard mechanisms that federally organized polities have tended to employ. These include (1) structural safeguards, such as fragmenting national power and providing states a formal voice in national institutions of governance; (2) popular safeguards, by which the public exercises control directly over government officials; (3) political safeguards, mainly in the form of a party system that binds together officials throughout the system; and (4) judicial safeguards in the form of judicial review and enforcement of constitutionalized distributions of authority (ch.4).

The final chapters of the book turn to the question of how such safeguards may be introduced into federal systems so as most effectively to protect both the capacity of the system to achieve the goals for which it was designed and its long-term sustainability. Bednar argues that a well-designed federal system ought to make use of safeguards capable of thwarting each kind of transgression that a federal structure will predictably produce, a design goal she calls “coverage” (ch.5). In addition, she argues that safeguards ideally ought to exhibit the quality of “complementarity,” meaning that safeguards should be structured in a way so that the frequency with which they are invoked declines as their forcefulness increases. A well-designed system, she argues, ought to contain a mix of mild sanctions that are invoked frequently and harsh sanctions that are invoked infrequently (ch.6).

Finally, Bednar addresses complexities arising from the fact that sanctions for transgression of system parameters are ultimately invoked and applied by real actors operating under conditions of uncertainty and within incentive structures that may not lead to optimal application (ch.7). This produces some complex difficulties. A tendency toward underenforcement of sanctions can be addressed by creating redundant sanctioning mechanisms. On the other hand, sanction redundancy under conditions of imperfect information can give rise to other problems, such as sanctioning competition, leading to overenforcement and consequent deterrence of desirable behavior. Overenforcement in turn can make the system excessively rigid, biasing it in favor of the status quo and squelching the kind of innovation and system adaptability that may be necessary for it to endure over the long haul. A well-designed system, Bednar argues, must contain defenses against both underenforcement and overenforcement of sanctions, while simultaneously retaining a desirable (but not excessive) degree of system flexibility.

This is a tall order, and in a federal system, Bednar argues, the requisite delicate balance can be maintained primarily by the emergence of what she calls a “federal culture” (p.187). Such a culture, she explains, “is a valuation of the federation itself” (p.188) in which citizens “develop a more general [*670] attachment to federalism, rather than to any one government” (p.189). This creates the conditions in which beneficial modifications to the initial allocation of governmental authority may be reliably recognized, and ultimately accepted as legitimate, by the citizenry. “Democracy,” she concludes, “when paired with a federal culture, provides the finely tuned system of safeguards that leads to robustness” (p.195). The beneficial mediation of such a culture, Bednar maintains, helps explain American resistance to the Alien and Sedition Acts in 1798 and Canadian constitutional repatriation during the 1980s.

Bednar has attempted a great deal in the book, with the result that her analysis is really two analyses. One is a fundamentally sound analysis pitched at a very high level of abstraction – so abstract, in fact, that it really applies to any and all institutions of governance. At this level, the model is sound and indeed unexceptionable. Polities have goals. Their governance institutions should be well-suited to achieving those goals. Institutional actors will inevitably have incentives to undermine or exploit the structure in ways that threaten it. Institutions must therefore contain mechanisms that safeguard themselves against failure or disintegration at the hands of exploitative actors. To be effective, these mechanisms must work together to cover the full range of foreseeable destructive behaviors, and some degree of complementarity and redundancy of safeguard mechanisms is desirable to secure the system against inadvertent dismantling. And since both the goals of the system and the environment in which it operates may evolve with time, it is desirable to institutionalize some mechanism by which the details and operation of the system may be adapted to take account of changed circumstances.

But none of this has anything to do particularly with federalism. The same analysis applies equally to unitary states or decentralized confederations, which also require mechanisms to maintain their robustness in the face of whatever potentially harmful incentive structures they may incidentally create. Indeed, the same could be said of nondemocratic forms of government such as monarchy, aristocracy, or autocracy, and of a wide variety of mechanisms in democratic states that disperse or channel power such as horizontal separation of powers, direct or indirect democratic representation, and so forth. All such systems, when well-designed, should achieve the goals of their creators, retain some degree of robustness and sustainability, make use of sanctions to enforce whatever allocations of authority they create, and respond successfully to changes in their operating environments.

When this abstract conceptual framework is applied to federalism, however, it is less successful. Many of the model’s basic assumptions seem divorced from the reality of federalism as it is actually practiced. For example, Bednar’s tidy model suggests that a well-designed system of federalism will allocate some sanctioning mechanisms to government officials, some to parties, some to courts, and some to the various state and national polities. In reality, however, there is often such extensive overlap among these groups that they are impossible to distinguish. Government officials are party leaders; parties influence the conduct of elected [*671] officials; parties and elected officials can mobilize the citizenry; popular opinion can affect the outcome of judicial decisions; state polities and national polities have overlapping memberships; and so on.

Indeed, the real story of federalism as it has evolved in practice is much less one of clever constitutional design and enforcement than it is a story of outright collusion among constitutional actors to ignore, subvert, and opportunistically rewrite basic constitutional allocations of authority. Political parties, which Bednar counts among the critical mechanisms for enforcing federalism’s allocation of authority, have in fact long served as important brokers of opportunistic power swaps that are difficult to reconcile with the constitutional plan (Kramer 2000). The judiciary, an institution Bednar considers the most reliable for sanctioning transgressions of federal structures, has been anything but an enforcer of the federal scheme; in the U.S., federal courts colluded with Congress over sixty years to expand national authority enormously.

Because the game of federalism is not really played the way that Bednar’s model contemplates, she overlooks a whole range of intergovernmental sanctioning mechanisms. Her conception of “intergovernmental retaliation” is artificially narrowed to include only cases of threatened secession or dissolution. Although such threats are clearly the nuclear weapons in any system of planned intergovernmental rivalry, in actual federal states governments generally develop elaborate palettes of actions by which they may influence policies and practices adopted by other levels of government. These actions, which stop well short of threatening to destroy the whole edifice, include selective forcible resistance, retaliatory taxation, boycotts, public complaints, lobbying, bribes, policy trading, back-channel diplomacy, and many others (Gardner 2005b, Nugent 2009). And because institutional actors have access to such a wide range of options, they can and do deploy them in ways that are sensitively calibrated to the larger political context.

Few of these enforcement mechanisms, moreover, are expressly contemplated by the constitutional design. Indeed, the lesson of federalism in the United States, Latin America, and virtually anywhere it is practiced is the evident weakness of constitutions to constrain distributions of power. Institutional actors in every federal system have diligently developed extraconstitutional workarounds to redistribute power and authority in ways driven not by constitutional distributions, but by contemporary political imperatives. Bednar argues that a well-designed federal system will build in a capacity to permit adaptation when it is strongly needed, but in practice adaptation is easy and continual, not difficult and episodic; it is indeed the norm rather than the exception.

In the end, Bednar does seem to acknowledge these realities, but deals with them by producing the deus ex machina of “federal culture.” When citizens themselves become socially and politically committed to federalism because they understand and come to desire its benefits, she argues, then and only then will federal structures reliably be observed. This is true, but it is also descriptively wrong and very likely [*672] impossible. Americans know nothing about federalism (McGinnis and Somin 1999), but more importantly they have no reason to care about it (Devins 1999). What institutional actors of all stripes want is government satisfaction of their present policy preferences. Madison’s great insight was that federalism would permit satisfaction of at least some kinds of popular policy preferences whether or not Americans were committed to it as an institutional structure.

Like Bednar, Madison was right on his own assumptions, but insightful as he was, Madison’s crystal ball was badly clouded. He failed to foresee the rise of political parties, nor did he anticipate the great changes in behavioral incentives associated with the introduction of democratic forms of governance (Gardner 2005a). And of course hugely powerful modern political forces such as nationalism and identity politics did not even exist when the U.S. Constitution was adopted. Bednar wants to correct Madison’s oversights in ways that are consistent with his insights, and this is a worthy project. But like her role model, she has not accounted for the extraordinarily complex interactions that federalism creates between institutional structures and the social and political contexts in which they are embedded. Indeed, the practice of federalism around the world is generally so local, idiosyncratic, and context-driven that one wonders whether the comparatively blunt tools of positive political theory are especially well suited to describe it, much less to predict its operation in ways that usefully illuminate questions of constitutional design.

REFERENCES:
Neal Devins, 2004. The Judicial Safeguards of Federalism. NORTHWESTERN UNIVERSITY LAW REVIEW 99: 131-44.

James A. Gardner, 2005a. Democracy without a Net? Separation of Powers and the Idea of Self-Sustaining Constitutional Constraints on Undemocratic Behavior. ST. JOHN’S UNIVERSITY LAW REVIEW 79: 293-317.

James A. Gardner, 2005b. INTERPRETING STATE CONSTITUTIONS: A JURISPRUDENCE OF FUNCTION IN A FEDERAL SYSTEM. Chicago: University of Chicago Press.

Larry Kramer, 2000. Putting the People Back into the Political Safeguards of Federalism. COLUMBIA LAW REVIEW 100:215-93.

John O. McGinnis and Ilya Somin, 2004. Federalism vs. States’ Rights: A Defense of Judicial Review in a Federal System. NORTHWESTERN UNIVERSITY LAW REVIEW 99: 89-130.

John D. Nugent, 2009. SAFEGUARDING FEDERALISM: HOW STATES PROTECT THEIR INTERESTS IN NATIONAL POLICYMAKING. Norman, Okla.: University of Oklahoma Press.


© Copyright 2009 by the author, James A. Gardner.

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September 14, 2009

TELLING STORIES OUT OF COURT: NARRATIVES ABOUT WOMEN AND WORKPLACE DISRIMINATION

by Ruth O’Brien (ed). Foreword by Liza Featherstone Ithaca, NY: Cornell University Press, 2008. 264pp. Cloth. $55.00. ISBN: 9780801445309. Paperback. $18.95. ISBN: 9780801473579.

Reviewed by Trish Oberweis, Department of Sociology and Criminal Justice Studies, Southern Illinois University Edwardsville. Email: toberwe [at] siue.edu.

pp.665-667

In TELLING STORIES OUT OF COURT: NARRATIVES ABOUT WOMEN AND WORKPLACE DISCRIMINATION, Ruth O’Brien uses an entirely novel approach – literally. Not only is it novel in the sense of being unique in its approach at communicating discrimination, but also in the use of fiction to reveal the personal layers of a sociological phenomenon. Throughout the book, there is both a palpable tension and a deeply woven interconnection between the personal and structural. I believe the greatest strength of the book lies in this unrelenting connection.

While there are other texts that look at workplace discrimination through a case study approach, a feminist legal analysis, a sociological imagination, and/or a political science perspective, this is the first book I have seen that uses fiction to teach about unfairness. Moreover, the use of stories to communicate injustice is familiar terrain, but I am vastly more accustomed to the stories being more factual than fictitious.

The book is divided into thematic sections on gender roles, discrimination, sexual harassment and the social effects of discrimination. Each section consists of three short stories and a final essay discussing the stories in terms of how each represents the themes emphasized in the section. The short stories are generally very readable and effective at providing a human account of discrimination, on both the personal and structural level, whether intentional or not.

The first section on gender roles presents three different narratives that highlight the impact of women’s traditional roles with in the family and at work. The stories do a very nice job reflecting both the overt as well as the more subtle influences of gender roles. The last chapter of the section lays bare how gender roles are operating in the vignettes in a rather clear discussion intended for an undergraduate, introductory audience. This chapter draws on each of the preceding narratives to demonstrate gender roles in action, both in their more obvious and also in their more background operations, all without claiming that women are strictly victims and the nebulous “patriarchy” is to blame. The chapter concludes by arguing that “women have been socialized to carry the primary responsibility for the family, which leads them to choose low-wage, part-time, and support positions” (p.47). The critique being launched is that, ultimately, “women continue to subsidize the rest of society through their free labor in the family” (p.48). The stories do a nice job bringing this dynamic to life, and the discussion [*666] chapter is clear and effective in helping the reader to understand the structural forces at play.

The second section supplies three narratives that detail discrimination, sometimes as unrelenting and brutal (in Flint) and other times as contradictory and confusing (in Trading Patients). The stories do a fine job incorporating multiple layers of identity – gender, sexual orientation, class, ethnicity – and allow these layers to remain interwoven. The authors make no attempt to separate the protagonists of the stories from the sum of their legal categories. This is helpful, and presents discrimination in a more life-like way than case law is able to do. The legal terms and applications are presented clearly in the fourth chapter of the section, in which the stories are discussed together for what the reader can learn from them about discrimination. They clearly show the ambiguity, the double bind that legal remedies can offer to the victims of discrimination – that legal remedy often comes at tremendous personal or professional cost. The discussion successfully highlights the gap between legal categories and human existence, again for the entry-level reader. The chapter does well to clearly state the difficulty of achieving equality through law: “While it seems uncontroversial that intentional discrimination should be unlawful, proving intent or why someone did something is not easy” (p.92). The following discussion about legal standards for demonstrating discrimination – “pretext” approaches, or a “mixed motives” approach – reveal clearly the inadequacy of law in this arena.

The third section of the book presents three stories of sexual harassment, although not always the kind of harassment that would be legally recognized. In this section, each story emphasizes the role of power and status in sexual situations – whether regarded as harassment or not. The chapter has a particularly disparate set of circumstances to link together – from consensual affairs in which age and status matter tremendously, to unwanted touching and demotion – and it successfully does so by linking discrimination and harassment concretely. Contributing author Risa Lieberwitz writes, “Discovering the connection between harassment and other discriminatory conduct shows that the former is not just ‘sexual desire run amok.’ It’s part of the deeper societal problem of women’s social and economic inequality” (p.152). Further, Lieberwitz maintains a distance from the simplistic, sexual component of harassment and insists “If women received equal pay; if jobs held primarily by women paid comparably to jobs held mostly be men; if all occupations had equal numbers of men and women at all levels of the workplace hierarchy – all this would go a long way toward eliminating sexual harassment” (p.157). The chapter never does away with the sexual decision-making that is involved, but adamantly returns us to the gendered, structural forces that precede those decisions.

The final section of the book draws the reader’s attention to the impact of workplace discrimination. In this section, the short stories reflect the intersectionality of discrimination – the taken for granted bind of working mothers, poor working mothers, and [*667] even an impoverished immigrant working mother, mothering another woman’s children while her own children remain in a distant nation. Each situation reveals how structural gender norms, sometimes charged with racial and class-bound pressures, work to the benefit of some workplace competitors and to the detriment of others. Although the primary lens is gender, the layers of race, class, and national origin are available throughout. The discussion chapter is more legally oriented than some of the earlier discussions and presents case law to illustrate the tensions and assumptions at play. For example, a female paramedic who is clearly capable faces gender bias by patients and supervisors alike. The discussion exposes the gendered nature of those assumptions, but then carries through to discuss the use of physical tests in emergency work, and the potential for gender discrimination. Case law is presented to define the scope of the current legal toleration for physical tests.

While the strength of the book may lie in the stories – the ways that structural issues are made real for individuals in personal, everyday ways – its weakness may lie in the same place. Why use fiction to demonstrate injustice when so many non-hypothetical, non-fictitious examples are available? Such non-hypothetical narratives are equally able to convey the humanity within every story of injustice, the complexity and complacency and ultimate unfairness. Yet, with fiction, the unconvinced, the non-believers have the freedom to dismiss the injustice as simply fiction. For those already conscious of discrimination, fiction is no longer necessary – the depth and fabric of injustice is already recognizable in the real life stories of so many others. For other readers, perhaps this concern presents no problem, but I struggled with need to use fictional narrative. While I believe that narratives are highly potent to convey the complicated nature of injustices, I remain unconvinced that fictional narratives are a good tool for doing so.

The target audience was also unclear. If the book is intended for an undergraduate, uninitiated reader, then the use of fiction retains the largest share of the problem I experienced – why would injustice seem more real to students after reading fiction, rather than accounts of lived experiences? If the book is intended for the experienced reader, then the complexities of injustice are already imagined. Either way, I remain unclear about the value of using fictional accounts. Perhaps, this relates to my social science training, and the lack of humanities in my background. In any case, it was interesting presentation, well written with connections to gender concerns clearly made in each discussion.


© Copyright 2009 by the author, Trish Oberweis.

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DEATH JUSTICE: REHNQUIST, SCALIA, THOMAS AND THE CONTRADICTIONS OF THE DEATH PENALTY

by Kenneth W. Miller and David Niven. El Paso: LFB Scholarly Publishing, 2009. 236pp. $39.95. Paper. ISBN: 9781593323400.

Reviewed by Christopher P. Banks, Department of Political Science, Kent State University. Email: cbanks6 [at] kent.edu.

pp.660-664

Using judicial opinions and select off-the-bench commentary of three conservative justices, William H. Rehnquist, Antonin Scalia, and Clarence Thomas, the provocatively-titled DEATH JUSTICE passionately argues that U.S. Supreme Court death penalty jurisprudence is illogical and probably illegitimate, ostensibly because the legal arguments they make are inherently contradictory. The justices’ “forceful and vigorous arguments rest on a foundation of inconsistencies” (p. 4). Exposing the hypocrisy is clearly the book’s mission: accomplishing it allows Kenneth W. Miller and David Niven to uncover threats to the rule of law and judicial legitimacy caused by judicial opinions that are “ideological, secretive, and result-oriented” instead of being “principled, transparent, and consistent” (p.7).

DEATH JUSTICE builds its case by examining a fifteen-year period framed by Thomas’ nomination and Rehnquist’s death; although it is never fully established why this time period – or in fact why only the three justices under review – are the key to understanding the evolution of death penalty case law in the Rehnquist Court and afterwards. Miller and Niven thus presume and argue that both are influential in “set(ting) a foundation upon which contemporary death penalty justice is meted out” (p.13). After a brief introduction of conservative judicial philosophy (chapter 1) and a survey of capital punishment precedent (chapter 2), the authors’ central arguments are found in analyzing the contradictions and dynamics between the trio’s writings and the role public opinion, states’ rights, and juries play in the law’s development (chapters 3, 4 and 5). Chapters 6, 7 and 8 attempt to link the inconsistencies with judicial impact, arguing that their jurisprudence has negative legal, political, and cultural implications that will endure in the Roberts Court with the nascent Chief Justice and Samuel Alito appointments.

Chapter 3’s focus is ATKINS v. VIRGINIA (2002) and ROPER v. SIMMONS (2005): both represent a new direction for putting limits on capital punishment. While the cases were mostly split along ideological lines in banning executions against mentally retarded and juvenile defendants, DEATH JUSTICE uses them to illustrate the incongruity of the conservative justices taking positions that fail to incorporate accurately public sentiments that oppose their constitutional reasoning. Instead, the justices wrongly rely upon unreliable and unrepresentative legislative or jury determinations as meaningful objective factors that weigh in favor of the death penalty; [*661] whereas, a different approach, one accepting the reliability of polling data traditionally used by social scientists, more persuasively taps into what the public is thinking about the death penalty and its manifestations. For Miller and Niven, these inconsistencies are undemocratic and politically-driven (pp.59-60); and they violate the Court’s longstanding endorsement of WEEMS v. UNITED STATES (1910) and TROP v. DULLES (1958) precedents, which collectively stand for the notion of a living Constitution’s principle that the Eighth Amendment’s meaning is derived from proportionality review and “evolving standards of decency.”

The next two chapters assert Rehnquist, Scalia, and Thomas generate irrational death penalty opinions that are irreconcilable with states’ rights positions conservatives take in federalism cases (chapter 4); and their legal arguments inexplicably expand the jury’s role in Sixth Amendment trial by jury cases while reducing the sentencing discretion of judges (chapter 5). Practicing a type of “convenient federalism” (p.66) that supports death rulings in the states, Miller and Niven cite BUSH v. GORE (2000)[election law], RAV v. CITY OF ST. PAUL (1992)[hate speech], CITY OF RICHMOND v. J. A. CROSON CO. (1989)[affirmative action], and a few preemption/consumer rights cases, as proof that the justices opportunistically achieve their conservative preferences by accepting federal intervention at the expense of states’ rights: such result-oriented jurisprudence usually favors business interests over minority rights. Likewise, as epitomized by RING v. ARIZONA (2002), a ruling limiting judicial power to determine key sentencing facts in capital cases, DEATH JUSTICE argues that Rehnquist, Scalia, and Thomas improperly expand the jury’s fact-finding role in capital sentencing even though academic studies consistently prove that unrepresentative juries cannot understand or apply death penalty law well. This is contradictory because “the right to a jury has been enhanced without concern for the government’s obligations necessary to animate that right” (p.146). Restated, their jurisprudence is contrary to the recognition that juries are incompetent in trying to comprehend jury instructions, applying mitigating evidence, or appreciating that there are different sentencing options.

DEATH JUSTICE shifts its attention to judicial impact and possible reform in chapters 6 through 8. Chapter 6 utilizes HERRERA v. COLLINS (1992)[capital case] and HARMELIN v. MICHIGAN (1991)[non-capital case] in conjunction with citation-count analysis (of those cases and what they stand for) to suggest that Rehnquist, Scalia, and Thomas’ views are adversely affecting federal and state courts precedents: they wrongly value procedural efficacy instead of fairness or factual certainty in death penalty habeas corpus appeals, even though they often raise actual innocence claims based on newly-discovered evidence. The same indifference towards entertaining habeas pleas of innocence makes the conservative alternatives to habeas, which are to comply (mechanically) with governing procedural appellate rules or to seek executive clemency outside of the courts, impossible to achieve. Not surprisingly, defendant pleas of actual innocence, or those to review Sixth Amendment habeas claims of ineffective [*662] assistance of counsel, likewise fall on deaf ears and create injustice because they receive little sympathy from the conservative justices. Indeed, DEATH JUSTICE holds the justices responsible as the impetus for Congress to enact the 1996 Antiterrorism and Effective Death Penalty Act, legislation created in the aftermath of Oklahoma City and which sharply limits habeas review in capital cases. Their opinions, in other words, provided legislators with important legal precedent for supporting harsher and lengthier sentences without recourse to meaningful appeal (p.165).

Largely focusing on Scalia’s extra-legal activities as an influence on Rehnquist and Thomas, chapter 7 links the conservative antipathy towards capital defendants with a “moral code” (p.175) based on a dogmatic admixture of “strident aspects” of “Christian theology or traditional philosophical views on punishment” (p.175). Scalia’s moral code selectively ignores mercy or forgiveness, the current views of the Catholic Church or Pope (which have denounced capital punishment), and the harsh realities of prison confinement that often abuses inmate rights or dignity. DEATH JUSTICE suggests that basing conservative legal positions on religious references are specious attempts to gain judicial legitimacy (p.185); and, through an analysis of media coverage of the Court and justices, Miller and Niven contend that such an approach is probably out of sync with true citizen preferences that give less support for the death penalty than what is usually thought (p.193, 196).

DEATH JUSTICE’s last chapter examines public policy formation and implementation. After surveying the nature and scope of evolutionary and public opinion policy models, it concludes that Rehnquist, Scalia, and Thomas have helped create law and policy which falls outside of the normal parameters of either model. The lack of consistent legal standards explains the affirmation of a death policy that is not responsive to mounting evidence that death sentences are not a deterrent, racially applied, heavily influenced by economic strata, and probably out-of-step with citizen preferences favoring less severe punishments (p.205). All of the worst public policy effects, moreover, are likely to remain in place in the Roberts Court because of the appointments of Chief Justice Roberts and Justice Alito: they are just as conservative as Chief Justice Rehnquist and Justice O’Connor. In sum, DEATH JUSTICE equates the new appointments with continuing the conservative preference of allowing powerful elites to dictate death penalty policy at the expense of racial minorities who are targeted for death but powerless to change it. While said indirectly, “breaking the mold” (p.201) of existing death penalty policy will require the Supreme Court to replace its conservative members with those who will fit more comfortably in the operation of traditional public policy models, thereby enabling itself to come into line with academic studies and citizen preferences that uniformly illustrate the mistake of staying the conservative course.

DEATH JUSTICE’s great strength, and surely its weakness, rests with its careful and thorough recitation of death penalty law that is shaped through the conservative prism of Rehnquist, Scalia, and Thomas. Legal scholars especially [*663] will find it an important resource for orienting their understanding about many of the cutting-edge issues of capital punishment, ranging from the use (and abuse) of social science evidence, to federalism, and how juries handle death penalty cases. The discussion of the constraints juries face in applying death penalty law, along with the book’s timely reminder of the difficulty of squaring constitutional principles with claims of actual innocence and appellate review, are very insightful and fresh. In this regard Miller and Niven successfully expose the intuitive incongruities of establishing death penalty policies that probably are driven by ideological preferences across key areas of criminal justice policy. For this reason, the book is likely to be warmly received in law schools and other policy forums that wish to learn more about this complex area of the law and its political manifestations.

Yet DEATH JUSTICE’s draw may only extend to liberals in the academy and elsewhere who share the authors’ strident criticism of conservative judicial philosophy. By its tone and frequent use of polemical adjectives in the text, and with its selective use of capital punishment academic studies that only underscore the fallacies of the conservative position, DEATH JUSTICE ironically adopts the same sort of intolerant approach that it finds so offensive in the dogmatic writings and off-the-bench activities of the conservative trio of justices it analyzes. With DEATH JUSTICE, there is little effort to hide the authors’ ideological preferences. Likewise, there is no attempt to counter-balance the analysis with a recognition or defense of any conservative position in any way. Scholars who wish to explore at the least the possibility that there is a consistent basis or rationale to conservative judicial philosophy in death penalty law will not find it in DEATH JUSTICE.

Additionally, the book may be disconcerting to scholars wishing to learn more about Justice Thomas’ positions. Most of DEATH JUSTICE concentrates on Rehnquist and Scalia: their writings and extralegal activities are extensively referenced and examined in comparison to Justice Thomas. As a result, apart from a few speeches and judicial opinions, Thomas’ influence seems to extend only to joining silently the legal opinions written by the others, leaving one to wonder why. As the authors observe (in the context of media coverage of the justices), one explanation may be that Thomas is a “drier subject” and there have not been as many Thomas-generated “public pronouncements on the death penalty” (p.187). Although there are some exceptions, DEATH JUSTICE does not often isolate Thomas’ writings and speeches for analysis to the degree that it does for Rehnquist and Scalia (who, many court watchers would probably agree, are certainly more exciting subjects, but that is besides the point). The relatively infrequent attention to Thomas’ contribution in this area of law begs, too, the question of why the research design does not include descriptive tables of all of the judicial opinions authored by Rehnquist, Scalia, and Thomas; and thereafter segregated by time, opinion type, death penalty issue area, outcomes, and Court voting blocs (including justices beyond the main three). At the very least, such data would probably strengthen the book’s argument that the justices often voted in [*664] a consistent bloc of three and, in the process, took other justices with them (or not) in voting their preferences over the fifteen-year period under review. More extended analysis could address how those votes or outcomes differed (or not) with other lines of death penalty precedent or voting behavior from justices in the Burger Court, or up to and through the point that Thomas joined the rest of his Rehnquist Court colleagues. In this sense, it would be fascinating to discover how regular any of the justices at issue were in formulating the inconsistencies that plague the legal landscape over time and now.

Furthermore, DEATH JUSTICE opts for the narrative approach of identifying specific quotations or legal principles to illustrate the inconsistencies and then link them intuitively to judicial influence. Although there is some attempt to use citation count analysis to establish linkages between ideology, public policy outcomes, and judicial impact, the book’s research design and its liberal bias may disappoint those who value empirical proof of the authors’ ideological claims. DEATH JUSTICE does not employ rigorous social science methodologies to bolster its analysis. In their absence, those who are so inclined are likely to dismiss the research as a liberal rant, which is probably the same thing conservatives will do in scoffing at the book’s merits. In this light, the omission of descriptive tables of justices’ positions, voting blocs, and death penalty outcomes by issue area in the manner suggested earlier may help deflect obvious questions about whether the three justices have as much influence as the authors claim. Moreover, the data could begin to justify why Miller and Niven choose to examine only the fifteen-year period they opt to study, or why only three justices have such an exceptional impact on the Court and country. Without such evidence, it is easy for critics to assert that DEATH JUSTICE overstates its liberal case by concluding that the analysis is only as good insofar as it ideologically goes.

CASE REFERENCES:
ATKINS v. VIRGINIA, 536 U.S. 304 (2002).
BUSH v. GORE, 531 U.S. 98 (2000).
CITY OF RICHMOND v. J. A. CROSON CO., 488 U.S. 469 (1989).
HARMELIN v. MICHIGAN, 501 U.S. 957 (1991).
HERRERA v. COLLINS, 506 U.S. 390 (1992).
RAV v. CITY OF ST. PAUL, 505 U.S. 377 (1992).
RING v. ARIZONA, 536 U.S. 584 (2002).
ROPER v. SIMMONS, 543 U.S. 551 (2005).
TROP v. DULLES, 356 U.S. 86 (1958).
WEEMS v. UNITED STATES, 217 U.S. 349 (1910).


© Copyright 2009 by the author, Christopher P. Banks.

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THE FUTURE OF AMERICA’S DEATH PENALTY: AN AGENDA FOR THE NEXT GENERATION OF CAPITAL PUNISHMENT RESEARCH

by Charles S. Lanier, William J. Bowers, James R. Acker (eds). Durham, NC: Carolina Academic Press, 2009. 582pp. Paper. $50.00. ISBN: 9781594604263.

Reviewed by David S. Mann Professor of Political Science, College of Charleston; mannd [at] cofc.edu.

pp.656-659

It is important straight away that I inform readers of a personal bias: I am opposed to the death penalty. That being taken care of, this compendium should be on the shelf of everyone who has the same – or even a different – frame of reference. Not that the tome is preaching to a choir, rather, the work systematically outlines what the title purports the work to do. The contributors, many of whom are award-winning scholars in their diverse fields, attempt to do two things: to outline and summarize research in their areas and to offer suggestions as to “where do we go from here.” It is impossible in this space to honor all contributors by mentioning their names, and to name some here is not meant to slight others. Each co-editor also wrote or co-authored one or more chapters.

The stature of the scholarship may be outweighed only by the size of the volume, mercifully available in soft cover. There are five sections, each with multiple chapters, prefaced with an acknowledgement by the editors. There is a plethora of cited materials within each chapter. There are mini-bios of the contributors. The book’s index is good enough.

Section I is entitled “General Research Directions and Challenges.” Hugo Adam Bedau offers an eight page bibliography on death penalty books since 2000 (to 2008). So for those teaching undergrads who have the death penalty paper itch, there are no excuses. Jordan M. Steiker asks a constitutional law question on which essays and critiques can and have been offered: “Is Proof of Arbitrariness or Inaccuracy Relevant to the Constitutional Regulation of the American Death Penalty?” (p.23). In essence, he walks through the arguments that answer a question more easily posed: what do we do with wrongful convictions? William J. Bowers and Scott E. Sundby discuss the downturn in death sentences. Deborah Fleischaker reviews the ABA Death Penalty Moratorium Project, where questions addressing proportionality, defense lawyering, racial disparity, mental illness, prosecutorial discretion, clemency, law enforcement, and judicial independence are all asked. Many of the ABA’s issues are also forthcoming in later sections of the book. In other words, the ABA and a great variety of academics (most of whom do not claim to have had a legal education – aka lawyers) are on the same page. Charles S. Lanier informs us of the National Death Penalty Archive as a resource for future research.

Section II’s topic is “The Process Leading to a Capital Sentence.” This is an important unit for two reasons. The first [*657] all of us need reminding about now and then – procedure often trumps substance. So, here we go with an obligatory chapter on racial and ethnic disparities, by Michael L. Radelet and Glenn L. Pierce, regarding homicide. As this review is being written, recently we all had 10 days of possible racial and ethnic disparity that resulted in a Rose Garden happy hour with the president, vice-president, a famous professor and a now famous police officer, all drinking different brands of beer. Not to minimize or denigrate the issue, but there is racial and ethnic disparity everywhere, but no more critical than with death cases, which is of course the second reason this unit is important. Readers will be blessed with two chapters co-authored by David Baldus, whose studies invariably lead to the following teaching point: how do we reconcile empirical researchers who think inductively with lawyers and judges who are trained to think more or less deductively? The second of the two Baldus chapters studies and reviews race and geographic discrimination. It is quite lengthy, includes empirical modeling and regression models, and could serve as a handbook and guide for advanced undergraduate and graduate research. The last chapter in this section discusses Capital Juries, where we return to the arbitrariness issue once again.

Section III reviews the process beyond conviction. It begins with Richard C. Dieter’s review of the Innocence Project, which the mainstream media picks up every time someone is discovered to be innocent via DNA evidence. We note that “the law” is consistently behind technology – another theme that is between the lines of many chapters. John H. Blume and others review Mental Retardation in light of the ATKINS case, including issues such as clinical definitions, state procedures, race, and experts. AEDPA, the Anti-terrorism and Effective Death Penalty Act, is the subject of the next chapter. The primary focus is to examine relevant cases where federal habeas petitions have been made. The authors suggest that future scholars create a database such as that which they present, to test the frequency of petitions controlling for Federal Circuit and to keep track of rulings. The last chapter in this section, very brief, is by Austin Sarat. His focus is on clemency. He suggests creating an “Archive of Injustice” (p.302), to keep track of clemency petition narratives as “documents that refuse despair” (p.305). I would perhaps create an index of gubernatorial compassion – my suggestion.

Section IV bears a title that might immediately raise an eyebrow or two: The Utility and Efficacy of the Capital Sanction. Jeffrey Fagan and Valerie West begin with a great discussion about deterrence – haven’t we all had a dialog or two in class on that and related topics such as incapacitation, why deterrence does not make sense in many instances, rationality, knowledge, and choices. This chapter covers many topics one might see in a substantive criminal law course. Jon Sorenson’s Chapter 16 addresses the fascinating topic of “Predicting Future Dangerousness.” Do commuted capital offenders kill again? I am intrigued with the notion that actuarial data may serve to predict future violence levels of capital murder defendants. Sorenson also suggests studying those who are serving life-without-possibility-of-parole, to see at least whether they continue their violent [*658] ways while behind bars. Chapter 17, by Margaret Vandiver, asks the victimology question: what is the effect of capital punishment on families of victims and the families of defendants? She cautions that to gather these data, very sensitive personal interviewing is the most likely empirical technique – the opposite interview strategy typically done by the unseasoned local media representative. Through all these chapters and others I wonder how many projects about the GITMO detainees – as they are processed – will emerge. The last chapter in this section adds some light to the issue of cost effectiveness of the death sanction. The premise is based on the dissenting words of Justice Marshall in FURMAN: “there can be no doubt that it costs more to execute a man than to keep him in prison for life” (cited at page 399). The authors then break down the post-FURMAN time line into three parts and then follow with some recommended research options, including calculating indirect costs, “coerce” to plead guilty (word choice is the authors’ at p.408), and the strain on state government funding in recent budget cycles.

The last section’s title is “Examining the Punishment of Death” (p.419). There are four substantive chapters and a concluding chapter by the editors. In chapter 19, David Garland distinguishes between the symbolic and instrumental purposes of death sentences. Essentially, he asserts that the two purposes, clearly outlined in existing literature, should be linked to another concept clearly outlined, that of status politics. A future researcher may find a link between the status-seeking legislator who votes to enact a death statute and either or both of the death penalty’s asserted purposes. James R. Acker writes chapter 20. He explores alternative sanctions for aggravated murder. After reviewing familiar arguments around “why punish the murderer,” he suggests that research should focus on “alternative sanctions for murder that lie in the expanse between capital punishment and LWOP” (p.463; LWOP is life without parole). Chapter 21 looks behind bars, to death row, conditions, attitudes of guards (personal query: are they like Tom Hanks’ character in Green Mile?), what it must be like to carry out a death sentence, and measuring quality of life in the death house. This chapter is a sociologist’s dream. Chapter 22’s topic asks the rather morbid question: is there a medically humane method of execution? This apparently was written before the Supreme Court approved of lethal injections. The subject nonetheless remains a viable, though grisly, research topic. The last chapter offers a two-page summary bullet list of topics outlined too briefly here and in the depth the topics deserve from the tome itself.

This is a great collection. It should be on many bookshelves and in all serious libraries.
The volume is presented even though Acker penned the contradiction: “As a practical matter, the death penalty does not figure prominently in contemporary criminal justice policy. At the same time, the political and symbolic significance of capital punishment is substantial and undeniable” (p.463). There are many wonderful topics here. I can see how, if only I were 30 years younger, it would be “fun,” a word often used to describe the process of research by my late dissertation adviser, Charles [*659] Sheldon, to turn toward any number of avenues mapped in this book.

CASE REFERENCES:
ATKINS v. VIRGINIA, 536 U.S. 304 (2002).
FURMAN v. GEORGIA, 408 U.S. 238 (1972).


© Copyright 2009 by the author, David S. Mann.

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