This will be my last post about Bert, the father found guilty of child abandonment because he lapsed with regard to his parenting schedule and went to Vegas, leaving his kids home alone. Theories of moral responsibility that require agents have a conscious understanding of the moral implications of an action have difficulties holding lapsers like Bert responsible, especially if the lapse isn’t part of a pattern of behavior. In my previous post, I argued that tracing doesn’t necessarily make the task any easier, because it is often tough to identify a past conscious decision from which the harm caused was reasonably foreseeable.
I’m now going to try to explain why I think Bert is responsible and justifiably punished for his lapse. I think Bert’s capacity to understand his duties under the law, and his capacity to conform his behavior to this duty over time, are necessary to Bert’s criminal responsibility. The view I have been developing (a view still in progress!) is informed by some really interesting recent work on diachronic self-authorship and control (see, for example, Kennett and Mathews, 2009; Roskies, 2012; Vincent, 2013). Adina Roskies, for example, has argued that diachronic self-authorship can ground a compatibilist account of responsibility that preserves real agency but avoids “obscure metaphysics” (2012). We can deliberately intervene in our future selves, says Roskies, by manipulating our mental content in ways that have foreseeable consequences, and because we have such diachronic control we are in a “very real sense responsible for who we are” and our behavior (2012: 331). Roskies provides examples of diachronic self-interventions, including the ability to engineer ones’ environment so that it elicits or makes manifest valued dispositions, and does not realize those disvalued; intervening on ones’ future self by making commitments to future behavior or setting overarching policies; and practicing and strengthening the processes of self-control (agents can practice making decisions in a way that increases deliberative control).
Bert had the capacity to perform these sorts of self-interventions within an extended time frame running up to his lapse. At least, there was no evidence that Bert had diminished cognitive capacities such that knowing the law or remembering appointments was unusually difficult for him. Thus it seems Bert was capable of the sort of self-authorship Roskies describes. With regard to his lapse, Bert could have engineered his environment such that he was less likely to forget his parenting schedule: he could have set a reminder or kept a calendar, for example. Bert could have made a conscious commitment to be a reliable parent and set for himself policies to meet this commitment, such that when the topic of his children arose this commitment came to mind. Finally, Bert could have practiced the process of deliberative self-control by slowing down and mentally reviewing his schedule before making decisions that might involve his parenting schedule, such as deciding to leave town. All of these are diachronic means for Bert to better avoid a lapse with regard to his parenting schedule.
I think Roskies’ account of diachronic self-control, and my own views, are to some extent compatible with some expressivist theories of moral responsibility, including Angela Smith’s “rational relations” view. Smith holds that agents are responsible for aspects of themselves that are rationally modifiable over time, including unconscious or implicit attitudes, and “what we notice or fail to notice about the world” (2005). Thus Smith claims agents like Bert are directly morally responsible for lapses. The process of self-authorship, according to Smith, requires the capacity to recognize, assess, and respond to reasons counting in favor of both attitudes and actions. Roskies’ account, I think, gives this idea a specifically diachronic spin by focusing on ways in which agents can increase their self-control and likelihood of behaving in a way that expresses self-authorship over time.
Importantly, Smith is clear that she intends to provide an account of direct responsibility, not just aretaic blame: agents, she says, are morally responsible for harm caused by mental states that are rationally modifiable. Agents like Bert who have this ability of rational self-review are accountable for their attitudes and actions, and may be called upon to “explain or justify rational activity in some area, and to acknowledge fault if such justification cannot be provided (Smith 2008: 381).”
For Smith, holding responsible is a two-step process, where it is first determined whether an agent is responsible for an attitude or act, and secondly, if any social criticism or punishment is warranted. The distinction between the two steps seems important, because Smith’s views are fairly expansive regarding the things for which an agent is responsible, and many attitudes and acts for which we are responsible may not be deserving of criticism or punishment. For example, on Smith’s theory a tired parent who forgets to drop off their infant at day care on a hot day and leaves him in the car is morally responsible when the lapse causes the child to die from heat exposure. However, it seems a parent who suffered from such a tragic lapse is decidedly not a good candidate for social criticism or criminal punishment. (Charges are filed in about 60% of such cases, but they tend to drop out before a guilty verdict would mandate a minimum sentence.)
A Roskies/Smith diachronic rational self control view (clearly I’ll need to come up with a better name) coheres nicely, I think, with HLA Hart’s idea that legitimate law is internalized by citizens as practical rules for conduct, such that they feel obliged, and not just obligated, to obey the law. Legitimate law acts as broad guidelines for diachronic exercise of self-agency, because law is internalized by citizens such that they are generally law-abiding. In negligence cases like Bert’s the law provides guidelines with regard to specific standards of care (often attached to different roles – parent, contractor, taxpayer). Legal responsibility rests not just on a presumption of the capacity for diachronic self control, I think, but also a presumption of knowledge of the law (in general, ignorance of the law is not an excuse). There are various ways in which the law becomes known and internalized by citizens that I can’t discuss in detail here, but our system of criminal punishment is one important means by which the law becomes known. In rare cases the presumption of knowledge of the law may be rebutted, such as in a case of a person who just recently moved to the United States from a country with very different legal rules (Eddy Nahmias’ example in a comment on an earlier post).
All the evidence presented in Bert’s case indicated he had both the capacity for diachronic self-control and to understand his obligations as a parent under the law. Because Bert failed to exercise his diachronic capacity to meet the applicable standard of care, he is directly morally responsible for his lapse and may be punished in keeping with both the aims of retribution and deterrence.
Let me close with just a few words specifically about Bert’s punishment. In the US the current consensus model of punishment is a hybrid theory where retributive notions of just desert (which probably rest upon moral emotions, see (Moore, 2009)) provide an appropriate range of justified penalty within which an offender might be sentenced (Frase, 2003; Morris, 1974). Backward-looking retributive considerations of proportionality must then be balanced with forward-looking considerations of social order to create a punishment package that is proportional to crime and offender, but also aims to reduce recidivism and overall crime rates. It seems to me that Bert’s sentence of probation was proportional with his level of blameworthiness, and also serves the aim of deterrence. Bert seems to be a good candidate for social criticism in part because Bert’s punishment, and similarly situated parents, may be deterred from future lapses and be encouraged to change their attitudes and habits with regard to their parenting schedules. In comparison, the parent who leaves his child in the hot car does not seem to need social criticism to be deterred from future similar acts, and news of a child dying in a hot car is likely to impact other parent's behavior regardless of whether the lapsing parent is found criminally responsible for the death was punished.
Ideally, Bert’s punishment would also include rehabilitative treatment, such as parenting classes. One especially appealing aspect of the diachronic rational self control view is that it highlights the importance of rehabilitative punishment for strengthening offenders’ agency and decreasing recidivism. The self-interventions discussed by Roskies (engineering ones’ environment, intervening on ones’ future self by making commitments to future behavior, and practicing and strengthening the processes of self-control) can be taught or encouraged by rehabilitative programming such as anger management and parenting classes, and even yoga and chess. I’ll further discuss rehabilitative punishment in my next post.
I apologize for the somewhat sketchy nature of the arguments here. I'm trying to work within space constraints, and to be honest, my views are still under construction.
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