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The Perplexity of Judges Becomes the Scholar's Opportunity

Published online by Cambridge University Press:  06 March 2019

Abstract

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Benjamin Cardozo, a great promoter of the concept of the unity of form and content in law and literature, once wrote that “[t]he perplexity of judges becomes the scholar's opportunity.” Cardozo's observation prompts my contribution on narratives in the law to this special issue on pluralities in the law because of the interrelation between law in academic theory and law in practice. My experience as a judge and an academic working in both the fields of law and literature, and law and humanities, allows me to provide a unique point of view. This Article argues the following: First, “to narrate is already to explain” as Paul Ricoeur wrote; the way in which the facts of a case are narrated largely determines the outcome of that case, therefore jurists need to develop and cherish narrative knowledge. Second, jurists should be imaginative about both the law and the people whose fates they determine when they use language to translate brute facts into the reality of the legal narrative. Third, this Article investigates and critically responds to literary theorists' various views on narrative and narratology, explaining which elements can be fruitfully incorporated into a legal narratology. I argue that jurists, while acting as authors and readers of legal narratives, all too often disregard what literary theory and the humanities more generally have to offer to legal practice, which is to highlight points of misunderstanding in our interdisciplinary literary-legal discussions. Here, too, scholarly opportunities remain to be seized for further clarification and theoretical elaboration of the bond of law and narrative.

Type
Pluralistic Approaches to Constitutional Interpretation
Copyright
Copyright © 2017 by German Law Journal, Inc. 

References

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80 Brooks, supra note 73, at 419; Brooks, supra note 15, at 14. I would also like to point to Justice Rehnquist's opinion in DeShaney v. Winnebago County Department of Social Services [DSS], 489 U.S. 189 (1989), on the question of whether the DSS, who knew that four-year-old Joshua DeShaney was repeatedly beaten by his father, was responsible for his ultimate brain damage since they failed to intervene: “The facts of this case are undeniably tragic,” an opening statement followed by a cold enumeration of reasons why DSS was not responsible, one that Justice Brennan in his dissent refers to as “the Court purport[ing] to be the dispassionate oracle of the law, unmoved by ‘natural sympathy.‘ … But, in this pretense, the Court itself retreats into a sterile formalism which prevents it from recognizing either the facts of the case before it or the legal norms that should apply to those facts,” as, for example, Rehnquist's narrative is driven by doctrine.Google Scholar

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[a] modern one, going back to the philosopher David Hume. It stems from the great divide between facts and norms, between describing and prescribing, between the “is” and the “ought,” and from the prohibition which goes with that—that is, that it is forbidden to pass from one to the other. In this case the disqualification of narrative is a double one: as well as being denied any role either in positing a fact or prescribing a norm, in consequence of the first repression, it is also denied any role as a mediator between these two ontological realms, since any possibility of a logical passage from one to the other is prohibited.Google Scholar

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102 See Baldwin, Clive, Who Needs Facts, When You've Got Narrative? 18 Int'l J. for Semiotics L. 217 (2005); Richard Sherwin, Law Frames: Historical Truths and Narrative Necessity in a Criminal Case, 47 Stan. L. Rev. 39 (1994).Google Scholar

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104 See Olson, supra note 86, that “narration plays a central role in legal discourse … and that legal narration in the narrow sense as the act of telling a story is a contestation of narratives such as witness testimony, defense and prosecution statements.” Note that again the Anglo-American common-law settings is the default.Google Scholar

105 See Bex, Floris, Arguments, Stories, and Criminal Evidence: A Formal Hybrid Theory 12 (2011), “[t]he facts of the case often denote the events or states of affairs that are assumed, at least for the moment, to have happened or existed.”Google Scholar

106 Olson, supra note 12, at 44, discourse includes “[the] perspective from which the story is told, for example, the often non-chronological order in which events are told, and how directly or indirectly it is related. Discourse, or the form of the telling, is typically used in contradistinction to ‘story’ (what happened).” See Currie, supra note 48, at vi, for the distinction between “the story told,” for example, events and characters, and the vehicle of telling, for example, narrative, so that “narratives convey stories.”Google Scholar

107 Olson, supra note 12, at 44. See Fludernik and Olson, Introduction, in Current Trends in Narratology, supra note 12, at 15, referencing Marie-Laure Ryan who differentiates “[b]etween text originally composed as a narrative and a text that has qualities which allow its recipient to read it as a narrative,’ for example, the difference between a text ‘being a narrative’ and its ‘possessing narrativity.‘”Google Scholar

108 Olson, supra note 12, at 44.Google Scholar

109 See generally W. Lance Bennett and Martha Feldman, Reconstructing Reality in the Courtroom (1981) on “story grammar” in a legal context; Bernard Jackson, Law, Fact and Narrative Coherence (1988) and Making Sense in Law (1995); Wagenaar, Willem A., Peter J. van Koppen and Hans F.M. Crombag, Anchored Narratives: The Psychology of Criminal Evidence (1993), the premise of the theory of anchored narratives is that a “good story” in criminal law is not only compatible with the evidence but also “anchored: in our general knowledge of the world around us.”Google Scholar

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112 See Edwards, Linda H., Once Upon A Time In Law: Myth, Metaphor, and Authority, 77 Tenn. L. Rev. 883, 913 (2010) (“Stories are true or false, depending not so much on what they say as on what they omit and what they imply.”). See Meyer, Philip N., The Darkness Visible: Litigation Stories and Lawrence Joseph's Lawyerland, 23 Syracuse L. Rev. 1311, 1314–15 (2003) (on the “subtext of a case,” the stories of the parties that matter to them but are filtered away in the course of the legal proceedings. It should be noted that in Kant's Critique, the second stage is reflection on the sensus communis that is to be taken into consideration in judging. As important as this is for legal decision-making, it falls outside the scope of this article.).Google Scholar

113 See Scheppele, Kim Lane, Telling Stories, 87 Mich. L. Rev. 2073 (1989) (that all that courts have is stories; Cicero's De Inventione already deals with the topic of the plausibility of narrative; the topic of how to influence the judge's mind and decision has been with us since Aristotle.).Google Scholar

114 See Herman, David, Cognitive Narratology, in Handbook of Narratology 30 (Peter Hühn et al. eds., 2009); David Herman, Cognitive Narratology, in The Living Handbook of Narratology, supra note 13 [retrieved 1 December 2014] (on the focus of cognitive narratology “[…]mental states, capabilities, and dispositions that provide grounds for — or, conversely, are grounded in—narrative experiences.”). See Fludernik and Olson, supra note 107, at 10 (“Frames, and particularly scripts, for example, culturally recurring sequences of actions or processes, are even more important to narratology, since they concern ingredients of plots”); Chestek, Kenneth D., Judging by the Numbers, 7 J. of the Ass'n of Legal Writing Directors 1, 34 (2010) (“Focusing on the story of the case is the most likely route to finding that sweet spot where a deep frame is activated (becoming the foundation of persuasion) without it being so obvious that the reader's natural defenses are triggered.”). See Prince, Gerald, Reader, in The Living Handbook of Narratology, supra note 13 [retrieved 16 February 2015], and Catherine Emmot and Marc Alexander, Schemata, in id. [retrieved 16 February 2015]) (on how texts guide the production of meaning and gap-filling done by readers.). For narrative empathy, see Keen, Suzanne, Narrative Empathy, in id. [retrieved 15 February 2015].Google Scholar

115 See Festinger, Leon, A Theory of Cognitive Dissonance (1957).Google Scholar

116 See the seminal article by Amos Tversky and Daniel Kahneman, Judgment under Uncertainty: Heuristics and Biases, 185 Science 1124 (1974).Google Scholar

117 The idea was first brought forward by Cesare Bonesana, marchese Beccaria, Dei Delitti e delle Pene (1764 trans. Ingraham, Edward D., Of Crimes and Punishments (1778)).Google Scholar

118 See Richard Weisberg and Jean-Pierre Barricelli, Literature and Law, in Interrelations of Literature 150, 162 (Jean-Pierre Barricelli and Joseph Gibaldi eds., 1982) (“The legal process, like the literary, moves from an experience in life towards a narrative re-creation of that experience.”); see Mônica Sette Lopes, Clarice Lispector and Forgiveness, in Dossier Law and Literature, Discussion on Purposes and Method 43, 46 n.3 (M. Paola Mittica ed., 2010) t)hat when Clarice Lispector told her law professor that she opted for criminal law, he replied “You became interested in the literary part of Law,” referring to Clarice Lispector, Cadernos de Literature Brasileira (2004)).Google Scholar

119 I adopt this term from Ben-Yishai, supra note 81, at 43.Google Scholar

120 See Hühn, Event and Eventfulness, in The Living Handbook of Narratology, supra note 13 [retrieved 10 February 2015].Google Scholar

121 I draw on Cleanth Brooks and Robert Penn Warren's definition of plot as “[t]he structure of an action as it is presented in a piece of fiction, not the structure of an action as we hap pen to find it out in the world but the structure within a story. It is, in other words, what the teller of the story has done to an action to present it to us,” as cited in Scheffel, supra note 66, at par. 3.1. Scheffel defines narrative constitution as “the composition of narratives.” Kukkonen, supra note 66, distinguishes between plot as a pattern yielding coherence to a narrative and plot as authorial design. See also Weresh, Melissa H., Morality, Trust, and Illusion, 9 Legal Comm. & Rhetoric: JAWLD 229, 251 et seq. (2012), for an account of how “[p]ersuasive narrative relies on three psychological properties: coherence, correspondence, and fidelity,” with coherence as “[a] matter of the story corresponding to what a judge and a jury knows about what typically happens in the world and not contradicting that knowledge.”Google Scholar

122 See Brooks, supra note 15, at 7, for the related example of Justice Potter Stewart in Bumper v. North Carolina, 391 U.S. 543 (1968), lamenting that: “The transcript of the suppression hearing comes to us … in the form of narrative; for example, the actual questions and answers have been rewritten in the form a continuous first person testimony. The effect is to put into the mouth of the witness some of the words of the attorneys.”Google Scholar

123 On gaps and the assumption that in the real world, as opposed to fictional narratives, there are no gaps, see Wistrand, Sten, Time for Departure?, in Disputable Core Concepts of Narrative Theory 15 (Göran Rossholm and Christer Johansson eds., 2012); see also Marie-Laure Ryan, Cheap Plot Tricks, Plot Holes, and Narrative Design, 17 Narrative 56 (2009), on “plot holes” and “cheap plot tricks” in stories used to cover up problems of linearity, chronology, and logic.Google Scholar

124 See also Aristotle, Art of Rhetoric 159 (2006), I.xv. 17, 1376a, “In regard to the confirmation of evidence, when a man has no witnesses, he can say that the decision should be given in accordance with probabilities, and that this is the meaning of the oath ‘according to the best of one's judgement.‘”Google Scholar

125 A factum probandum is a fact that is the subject of proof; a factum probans is the fact from the existence of which that of the factum probandum is inferred. See Bex, supra note 105, at 12 for the inclusion in the “facts of the case” of “propositions the truth of which is unknown,” for example, the “facta probanda,” and the “facta explananda [as]”that which has to be explained“.Google Scholar

126 Brooks, supra note 15, at 17. With respect to scope, is a victim impact statement literally just that, for example, only about the impact of the crime on a victim's life? Or is the victim allowed to say something about evidence and sentencing? And if so, how would this influence the judge?Google Scholar

127 See Brooks, Storytelling without Fear?, in Law's Stories, supra note 16, at 114; Brooks, Troubling Confessions (2000). Brooks discusses the circumstances in which confessions are obtained and calls confessions ‘troubling’ when the defendant's rights (such as the right not to incriminate oneself) are (deliberately) violated.Google Scholar

128 See Brooks, supra note 73, at 416, “‘Conviction‘—in the legal sense—results from the conviction created in those who judge the story[,]”; Brooks, supra note 16, at 18; Bex, supra note 105, at 79, “one of the main dangers of stories is that a coherent story is judged as more believable than an incoherent story, regardless of the actual truth of the story.”; Wagenaar et al., supra note 109, at 40, that a good story is more likely to be believed to be true than a weak story.Google Scholar

129 See Amsterdam and Bruner, supra note 71, at 118, for a hilarious story of a jury verdict gone wrong: “A jury in Alabama was called to try a poor farmer charged with stealing a mule from a rich one. The jury's first verdict was: ‘Not guilty, provided he returns the mule’. The judge refused to accept the verdict…. The jury … rendered a second verdict: ‘Not guilty, but he has to return the mule.’ The judge again rejected the verdict … the jury came back with a third verdict, which the judge finally accepted: ‘Not guilty, let him keep the damn mule.'”Google Scholar

130 Elaine Scarry, Speech Acts in Criminal Cases, in Law's Stories, supra note 16, at 165–74.Google Scholar

131 Friedman, Lawrence M., Law, Lawyers, and Popular Culture, 98 Yale L.J. 1579, 1595 (1989), “A trial is also a narrative competition.”Google Scholar

132 See Brooks, supra note 73, at 417, reflecting on the O.J. Simpson case,Google Scholar

All the “rules of evidence”—including the famous “exclusionary rule” barring illegally seized evidence—touch on the issue of rule-governed storytelling. The judge must know and enforce these rules. And when stories are culled from the trial record and retold on the appellate level, it is in order to evaluate their conformity to the rules. Appellate courts are not supposed to second-guess the “triers of facts” in the case, but to judge the framework in which the verdict was reached.“Google Scholar

In Europe, the term that is generally used is “fruits of a poisonous tree”.Google Scholar

133 “Everyone charged with a criminal offence shall be presumed innocent until proved guilty according to law,” states Article 6 of the European Convention for the Protection of Human Rights and Fundamental Freedoms. It rests on classical principles from Roman law: nemo tenetur prodere se ipsum (no one is obliged to incriminate himself); nemo tenetur edere contra se (no one is obliged to speak against himself); and nemo tenetur se accusare (no one is obliged to accuse himself). As a legal right this right is indissolubly connected to the rule of law in a democratic society in the protection that it guarantees against unlawful intrusions into people's lives. As a prohibition against putting pressure upon a person suspected of having committed a crime, it refers to the deference for the defendant in criminal proceedings when it comes to respecting human dignity in the sense of both the free will and physical and mental integrity. See the Miranda rule in American law, Miranda v. Arizona, 384 U.S. 435 (1966).Google Scholar

134 The point is made by the late Witteveen, Willem J. in his analysis of Pirandello's short story “The Truth”: this is the story of the farmer Tararà who kills his wife after he catches her in bed with another man; he admits that he knew about the affair but did not act on this knowledge until his wife dishonored him by having sex in the marital home. Witteveen, Willem J., De waarheid, onschuldig opgebiecht, in Verbeeldingsmacht 277 (Witteveen and Sanne Taekema eds., 2000).Google Scholar

135 E.g., Eur. Court H.R. Krumpholz v. Austria, Final judgment of 18 March 2010, Application no. 13201/05. Note that when the witness statement is that of an expert, the narrative relevance and the credibility are often judged higher.Google Scholar

136 I adopt the term libido puniendi from Damaška, Mirjan R., The Competing Visions of Fairness, 36 N.C. J. Int'l L. & Com. Reg. 365, 369 (2011).Google Scholar

137 Maria Aristodemou, Law and Literature, Journeys from Her to Eternity 3 (2000), “narratives are not neutral: they investigate but also suggest, create, and legislate meanings.”Google Scholar

138 Benjamin Nathan Cardozo, The Nature of the Judicial Process 126 (1921).Google Scholar