Restorative Justice Facilitation An appreciative inquiry into effective practice for Aotearoa/New

483 Pages·2012·2.11 MB·English

by  Winifred Murray

Restorative Justice Facilitation
An appreciative inquiry into effective practice
for Aotearoa/New Zealand facilitators

Winifred Murray

A thesis submitted to Auckland University of Technology
in fulfilment of the requirements for the degree of
Doctor of Philosophy (PhD)
2012
Institute of Public Policy
Faculty of Applied Humanities
Primary Supervisor: Professor Marilyn Waring
Table of Contents
Attestation of Authorship ......................................................................................... viii
Ethics Approval ........................................................................................................ ix
Acknowledgements .................................................................................................. xi
Abstract .................................................................................................................. xii
Glossary ................................................................................................................ xiv
Part One: Literature ................................................................................................... 1
Chapter 1: Introduction ............................................................................................. 2
Why research restorative justice? .............................................................................................3
The public policy framework for restorative justice in Aotearoa/New Zealand .........................5
The restorative justice process .................................................................................................5
Restorative justice purpose .......................................................................................................6
Why research facilitators? .........................................................................................................8
Restorative Justice Aotearoa ....................................................................................................9
About the researcher ............................................................................................................. 11
Outline of the thesis ............................................................................................................... 12
Summary ................................................................................................................................ 13
Chapter 2: Restorative justice and facilitation .......................................................... 15
Restorative justice .................................................................................................................. 15
Restorative justice development ....................................................................................... 18
Facilitators ......................................................................................................................... 20
Restorative justice in Aotearoa/New Zealand ................................................................... 21
Restorative justice principles ............................................................................................ 22
Restorative justice process ............................................................................................... 22
Shame ............................................................................................................................... 24
Facilitation and facilitators ...................................................................................................... 27
Facilitators ......................................................................................................................... 30
Co-facilitation .................................................................................................................... 31
Facilitation and other disciplines ....................................................................................... 33
Ethical values and principles of facilitation ....................................................................... 34
Use of facilitation in restorative justice process ................................................................ 35
Theoretical rationale ......................................................................................................... 36
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The creation of a facilitator style ....................................................................................... 56
Self-actualisation ............................................................................................................... 60
Planning ............................................................................................................................ 61
Facilitation contract ........................................................................................................... 62
Practical issues for facilitators .......................................................................................... 63
Summary ........................................................................................................................... 69
Chapter 3: Effectiveness ......................................................................................... 70
Counselling effectiveness ...................................................................................................... 71
Effectiveness of delivering aid to developing countries ......................................................... 76
Restorative justice effectiveness ............................................................................................ 78
Effectiveness questions for facilitators in Aotearoa/New Zealand ......................................... 81
Facilitation case studies ......................................................................................................... 82
Effectiveness in restorative justice ......................................................................................... 85
Summary ................................................................................................................................ 88
Part Two: Methodology, Methods, Analysis ............................................................. 90
Chapter 4: Methodology ......................................................................................... 91
Appreciative inquiry ................................................................................................................ 92
Appreciative inquiry focus ................................................................................................. 94
Appreciative inquiry process ............................................................................................. 95
Language .......................................................................................................................... 96
How Appreciative Inquiry and Restorative Justice fit ........................................................ 97
Critique of Appreciative Inquiry ......................................................................................... 98
Appreciative inquiry and research .................................................................................. 100
Summary ......................................................................................................................... 101
Māori and Pacific Island research ........................................................................................ 102
Māori research ................................................................................................................ 102
Pacific research .............................................................................................................. 107
Factors common to Māori and Pacific peoples’ research ............................................... 113
Summary ......................................................................................................................... 114
Reflexivity ............................................................................................................................. 115
Reflexive research .......................................................................................................... 116
Reflexive researchers ..................................................................................................... 117
Summary .............................................................................................................................. 119
Chapter 5: Methods and Analysis.......................................................................... 120
Ethical Considerations ......................................................................................................... 120
Design of the study .............................................................................................................. 124
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Participant observation ........................................................................................................ 127
Definition ......................................................................................................................... 127
Research strategies ........................................................................................................ 131
Summary ......................................................................................................................... 132
Interview theory .................................................................................................................... 133
Focus group theory .............................................................................................................. 136
Focus groups compared with interviews .............................................................................. 150
Research process ................................................................................................................ 152
Fieldwork .............................................................................................................................. 155
Reflections on focus groups ................................................................................................. 158
Data Analysis ....................................................................................................................... 162
Analysis process ............................................................................................................. 163
Data framework ............................................................................................................... 164
Thematic emergence ...................................................................................................... 166
Analysis ........................................................................................................................... 167
The Themes .................................................................................................................... 168
Summary .............................................................................................................................. 171
Part Three: Research ........................................................................................... 172
Chapter 6: Public Policy ....................................................................................... 173
The history of restorative justice in the criminal justice system in Aotearoa/New Zealand . 174
Restorative justice in the criminal justice system in Aotearoa New Zealand ....................... 180
Community-managed restorative justice ........................................................................ 180
Court-referred restorative justice pilot ............................................................................. 182
Comparison of community-managed and court-referred restorative justice ........................ 184
Annual reporting ................................................................................................................... 185
Current national delivery of restorative justice services....................................................... 188
Policy changes ................................................................................................................ 192
Auckland reorganisation ...................................................................................................... 194
New contracts ...................................................................................................................... 199
Restorative justice organisational structure ......................................................................... 200
Geographical distribution ..................................................................................................... 200
Payment ............................................................................................................................... 201
Restorative justice in the legal system ................................................................................. 202
Funding of restorative justice ............................................................................................... 205
Fees paid to restorative justice practitioners ....................................................................... 208
Policy change ....................................................................................................................... 210
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Discrepancies between policy and practice ......................................................................... 213
Conclusions .................................................................................................................... 214
Summary .............................................................................................................................. 216
Chapter 7: Presence ............................................................................................ 217
Confidence ........................................................................................................................... 218
Belief in change.................................................................................................................... 220
Values .................................................................................................................................. 221
Ethical .................................................................................................................................. 224
Self-discipline ....................................................................................................................... 225
Insightful ............................................................................................................................... 226
Respectful ............................................................................................................................ 229
Visionary .............................................................................................................................. 230
Passionate ........................................................................................................................... 231
Exhibits emotions ................................................................................................................. 232
Spiritual ................................................................................................................................ 233
Analytical .............................................................................................................................. 235
Rise to challenges ................................................................................................................ 237
Caring and empathetic ......................................................................................................... 238
Sense of responsibility ......................................................................................................... 239
Summary .............................................................................................................................. 240
Chapter 8: Awareness .......................................................................................... 241
Self- aware ........................................................................................................................... 241
Victim and offender needs ................................................................................................... 243
Justice .................................................................................................................................. 246
Multicultural issues and needs ............................................................................................. 248
Relationships - human contact ............................................................................................. 258
Victims and offenders are people ........................................................................................ 260
Importance of learning ......................................................................................................... 265
Debriefing and supervision .................................................................................................. 267
Voluntariness ....................................................................................................................... 269
Context – community ........................................................................................................... 271
Quality practice .................................................................................................................... 273
Wise scepticism ................................................................................................................... 276
Summary .............................................................................................................................. 277
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Chapter 9: Skill..................................................................................................... 279
Facilitating skills ................................................................................................................... 279
Professional ......................................................................................................................... 282
Facilitation ............................................................................................................................ 287
Co-facilitation ....................................................................................................................... 290
Communication .................................................................................................................... 293
Confidentiality ....................................................................................................................... 296
Rapport ................................................................................................................................ 298
Flexible ................................................................................................................................. 299
Relinquish control................................................................................................................. 302
Boundaries ........................................................................................................................... 303
Balanced impartiality ............................................................................................................ 304
Good preparation ................................................................................................................. 307
Pre-conference..................................................................................................................... 309
Process set up and outcomes .............................................................................................. 316
Report writing ....................................................................................................................... 322
Meet deadlines, be logical and methodical .......................................................................... 325
Balance court and humans .................................................................................................. 326
Summary .............................................................................................................................. 329
Chapter 10: Knowledge ........................................................................................ 330
Training ................................................................................................................................ 331
Restorative justice principles and values ............................................................................. 332
Restorative justice processes .............................................................................................. 333
Stages of the restorative justice process ............................................................................. 335
Restorative justice and criminal justice system ................................................................... 337
Victim issues ........................................................................................................................ 348
Offender issues .................................................................................................................... 351
Group dynamics ................................................................................................................... 355
Previous experience ............................................................................................................ 360
Summary .............................................................................................................................. 363
Chapter 11: Support ............................................................................................. 365
Local Support ....................................................................................................................... 365
National Support .................................................................................................................. 374
Resources ............................................................................................................................ 380
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Research .............................................................................................................................. 384
Summary .............................................................................................................................. 387
Part Four: Implications for Policy and Practice ........................................................ 389
Chapter 12: Conclusions ...................................................................................... 390
The key contributions of the study ....................................................................................... 390
Limitations of the research ................................................................................................... 392
Facilitator effectiveness ....................................................................................................... 392
Restorative justice in the government .................................................................................. 395
The major findings from an appreciative inquiry perspective: ........................................ 398
Implications for public policy ................................................................................................ 399
Areas for further research .................................................................................................... 402
Conclusion ........................................................................................................................... 403
Bibliography .......................................................................................................... 404
Appendices ........................................................................................................... 423
Appendix A: Ethical Approval Documents .............................................................. 424
Focus Group Participant Information Sheet ......................................................................... 425
Interviewees Participant Information Sheet ......................................................................... 429
Consent Form. For use when focus groups are involved. ................................................... 433
Consent Form. For use when interviews are involved. ........................................................ 435
Indicative Questions for Interviews of key informants:......................................................... 437
Statement on ethics to be read to focus groups: ................................................................. 438
Appendix B: Government Annual Forecast and Reports ........................................ 439
Appendix C: Legal provisions for restorative justice ............................................... 445
Sentencing Act 2002 restorative justice provisions: ........................................................... 445
Parole Act 2002 restorative justice provisions: ................................................................... 446
Victims’ Rights Act 2002 restorative justice provisions: ...................................................... 447
Appendix D: Summary of outcomes of the Evaluation of the New Zealand Court-
Referred Restorative Justice Pilot .......................................................................... 448
Appendix E: Focus group process ......................................................................... 449
Focus groups level one: ....................................................................................................... 449
Focus groups level two: ....................................................................................................... 457
Focus groups level three: ..................................................................................................... 461
Focus groups level four: ....................................................................................................... 465
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List of Tables
Table 1: Comparison of court-referred pilot and community-managed restorative justice
practice ..................................................................................................................... 185
Table 2: Restorative justice policy intent and actual action ....................................... 187
Table 3: Government expenditure on the court-referred restorative justice pilot, the
community-managed service groups and the practice improvement projects ............ 207
Table 4: Nationwide projects funded by Ministry of Justice ....................................... 212
Table 5: Department for Courts Annual Forecast and Reports 1998 - 2003 .............. 440
Table 6: Comparison of definitions of restorative justice in annual forecasts and reports
1998 - 2003 .............................................................................................................. 441
Table 7: Summary of Ministry of Justice Forecast/Statement of Intent and Annual
Reports 1989 - 2003 ................................................................................................. 442
Table 8 Summary of Ministry of Justice Forecast/Statement of Intent and Annual
Reports 2003 – 2007 ................................................................................................ 443
Table 9 Summary of Ministry of Justice Forecast/Statement of Intent and Annual
Reports 2007 - 2011 ................................................................................................. 444

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Attestation of Authorship
I hereby declare that this submission is my own work and that, to the best of my
knowledge and belief, it contains no material previously published or written by
another person (except where explicitly defined in the acknowledgements), nor
material which to a substantial extent has been submitted for the award of any
other degree or diploma of a university or other institution of higher learning.

Signed

Date

viii
Ethics Approval

M E M O R A N D U M
Auckland University of Technology Ethics Committee (AUTEC)

To: Marilyn Waring
From: Madeline Banda Executive Secretary, AUTEC
Date: 28 November 2008
Subject: Ethics Application Number 08/222 Restorative justice facilitation.
An appreciative inquiry into effective practices for Aotearoa/New
Zealand facilitators.

Dear Marilyn
Thank you for providing written evidence as requested. I am pleased to advise
that it satisfies the points raised by the Auckland University of Technology
Ethics Committee (AUTEC) at their meeting on 13 October 2008 and that I
have approved your ethics application. This delegated approval is made in
accordance with section 5.3.2.3 of AUTEC’s Applying for Ethics Approval:
Guidelines and Procedures and is subject to endorsement at AUTEC’s meeting
on 8 December 2008.
Your ethics application is approved for a period of three years until 27
November 2011.
I advise that as part of the ethics approval process, you are required to submit
the following to AUTEC:
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