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Judicial Performance)
CHAD M. OLDFATHER*
INTRODUCTION
* Professor of Law, Marquette University Law School. Thanks to Mark Spottswood for
providing comments on an earlier draft, and to Robert Steele for his characteristically
outstanding research assistance.
1
Hon. William G. Young & Jordan M. Singer, Bench Presence: Toward a More Complete Model
of Federal District Court Productivity, 118 PENN. ST. L. REV. 55 (2013).
2 Id. at 57.
3 Id.
4 See Louis Lowenstein, Financial Transparency and Corporate Governance: You Manage What
You Measure, 96 COLUM. L. REV. 1335, 1342 (1996).
493
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dispute resolution and its ability to provide accurate results and a visibly
fair process for all parties.5
This is quite sensible. Surely we want courts that are not merely fast,
but also good. So what do we mean by quality? Young and Singer are
under no illusion that adjudicative quality is easily distilled to some
concrete measure. Quality has many facets, and the nature of each lies to
some degree in the eye of the beholder.6 Thus, each of these groups [that
constitute the courts constituency] (and individuals within the groups)
may differ somewhat in their outlook and priorities, and it is not possible
to quantify the extent to which one groups expectations should be given
preference over another.7 Still, they contend, if we view the matter at a
sufficiently high level of abstraction we can identify a pair of
commonalities: Regardless of their social or economic status or role in the
court system, Americans expect district court adjudication to feature both a
fair outcome and a fair process.8
Young and Singers focus is of course bench presence, and thus the
process component of quality. But they pause to provide a general (and
sensible) definition of the outcome component: Fair outcomes mean that
both fact-finding and law application are objectively accurate (or as
accurate as possible given the limitations of human cognition).9 So far, so
good. But as they recognize, there is a problem:
[A]lthough accuracy is recognized as a core value of adjudication
and a key measure of its quality, scholars and court watchers are
thus far unable to agree upon a reliable and consistent method to
measure the accuracy of district court decisions. For some cases
or case types, the problem may be lack of agreement on what
constitutes an accurate outcome; for others, it may be that a range
of possible outcomes may all be fairly deemed accurate.10
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Against Accuracy
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Inaccuracy: An Example
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598 N.W.2d 290 (Wis. Ct. App. 1999) [hereinafter Edmunds I].
Id. at 293.
Id.
Id.
Id.
Id.
Edmunds I, 598 N.W.2d at 293.
Id.
Id.
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implied that the injury must have been caused by Natalies parents.21 In
contrast, the prosecutions case relied heavily on medical testimony:
An autopsy showed that [Natalies] head injuries were extremely
severe. For example, she had extensive retinal hemorrhaging of
both eyes; retinal folds, due to the retinas being torn from the
backs of her eyes; bruising on her scalp from an impact injury;
and extensive subdural and subaracnoid hemorrhages. The
physicians who testified for the State said that her major injuries
results from extremely vigorous shaking and as the result of
severe force, comparable to that exerted in an automobile
accident or in falling from a second story window. There was no
evidence that the severe injuries Natalie sustained could have
been the result of an accident, rather than intentional, forceful
conduct, directed specifically at Natalie.22
21
Id.
Id. at 294.
23 See Emily Bazelon, Shaken-Baby Syndrome Faces New Questions in Court, N.Y. TIMES MAG.,
Feb. 2, 2011, at MM30, available at http://www.nytimes.com/2011/02/06/magazine/06babyt.html?pagewanted=all.
24 See Chad M. Oldfather, Appellate Courts, Historical Facts, and the Civil-Criminal Distinction,
57 VAND. L. REV. 437, 43839 (2004).
22
25
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Against Accuracy
497
The court ordered a new trial because this change created the
possibility that a jury would have a reasonable doubt as to guilt.31
The Court of Appeals did not, of course, conclude that Edmunds was
innocent, and the prosecutors likewise did not concede the point either on
or following her second appeal. In the States motion to dismiss, the
prosecution based its decision not to proceed on the trauma that a new trial
would cause for Natalies parents. The motion related a meeting between
the prosecution team and the parents in which the district attorneys,
stressed our confidence in the case; that the evidence that Audrey
Edmunds inflicted the traumatic brain injuries resulting in
Natalies death was stronger today than it was in 1997; that the
diagnosis was strong and that a purported debate among
26
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31
State v. Edmunds, 746 N.W.2d 590 (Wis. Ct. App. 2008) [hereinafter Edmunds II].
Id. at 593.
See Bazelon, supra note 23.
Edmunds II, 746 N.W.2d at 594.
Id. at 59899.
Id. at 599.
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v. 48 | 493
For her part, Edmunds has tried to rebuild her life. She wrote a book
about her ordeal,33 was interviewed by Katie Couric,34 and figured
prominently in stories in, among many others, the New York Times35 and
ABA Journal.36
Is Audrey Edmunds innocent? She may be the only one who knows for
sure. But even if we assume that she did shake the child, there are other
ways in which we might plausibly characterize the outcome in her case as
wrong. Perhaps a proper weighing of the systemic values underlying the
beyond a reasonable doubt standard make not guilty the right answer
given the uncertainty surrounding whether Natalies death was actually
caused by shaking and, if it was, the identity of the person who shook her.
Perhaps we should regard her as guilty, but of a lesser crime. Absent a
reliable confession from her or someone else, it is impossible to say with
certainty.
II. Edmunds and the Illusion of Accuracy
A case like Edmunds reveals that it is extraordinarily difficult to
determine in any meaningful way what accuracy entails. Are we to focus
on the overall, bottom-line result of the case? On that view, the current
consensus is that the trial and appellate courts in the first iteration of the
case got it wrong. They countenanced the conviction of an innocent
woman. Yet that belief is not universally held. The trial judge did not find
the change in the experts views sufficient to warrant the ordering of a new
trial.37 The prosecutors declined to retry Edmunds, but as a result of a costbenefit analysis, rather than a concession that she was innocent.38 Some of
the medical experts changed their opinion about what happened, but not
32
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Against Accuracy
499
all. Did the courts get it right? It depends not only on who you ask, but for
at least some of the participants, on when you asked them.
Suppose we tighten our focus to consider not merely the overall result
of the case, but also the rulings that took place within it. Edmunds, like most
if not all adjudication, was replete with zones of both factual and legal
discretion. To take an obvious example, trial judges enjoy a considerable
amount of discretion with respect to evidentiary rulings. In Edmunds, there
was a strong basis for arguing that other-acts evidence was erroneously
admitted, and erroneously condoned by the appellate court. 39 Yet reaching
that conclusion requires making contestable judgments about what the law
properly allowsthat is, whether it is acceptable to regard a remark in an
opening statement as having opened the door to the introduction of
character evidence by the prosecutionand whether, in the context of this
case, what actually occurred in the trial was sufficient to trip such a trigger.
39 There is a strong argument that the appellate courts analysis relating to the trial courts
admission of a prior act under Wisconsins equivalent to Federal Rule of Evidence 404(b) is
wrong. The background is this: in his opening statement, Edmundss counsel told the jury that
it will hear from no one who ever saw Audrey do an unloving act to a child. Edmunds I, 598
N.W.2d at 296. In response, the trial court allowed the State to introduce evidence of an
incident in which Edmunds was caring for a child whom she struck over the head with a
hard-cover book. Id. This was justified, the State contended and the Court of Appeals agreed,
to show Edmundss motive in acting as she did and to rebut the defense Edmunds put forth
in opening statement. Id. at 297. The jury could have believed that Edmunds struck her in
the head and shook her to change her behavior. The evidence could also have been used to
show absence of mistake or accident for the injury Natalie sustained . . . . Id.
The problem with this reasoningwhich is all too common in the context of 404(b)
problemsis that it does not confront the central injunction of Rule 404, which is to prohibit
resort to character-based reasoning. Wisconsin Rule of Evidence 904.04(2), like Rule 404(b),
opens by stating, [e]vidence of other crimes, wrongs, or acts is not admissible to prove the
character of a person in order to show that he acted in conformity therewith. The next
sentence is not the articulation of exceptions to this injunction, but rather confirmation that
such evidence is not barred if offered to prove something else. In Edmunds, it is difficult to see
how the evidence shows motive except by showing that the defendant is the sort of person
who is cruel to children and therefore was more likely to have been cruel on this occasion.
That is not what the rule allows. See, e.g., GEORGE FISHER, EVIDENCE 15860 (3d ed. 2013). The
same analysis holds with respect to absence of mistake or accident.
One could conceivably attempt to justify the introduction of the evidence by arguing that
Edmundss counsel opened the door to it via his opening statement. This would not work
because Wisconsins Rule 904.05, like Federal Rule 405, allows for specific instances to be
inquired into on cross-examination of a character witness, but not proven via extrinsic
evidence unless character is an essential element, which it was not. Alternatively, one might
suggest that the evidence was necessary to contradict (or impeach) counsels opening
statement. This seems to be the most promising justification, insofar as it is the only one not
apparently prohibited by the text of the rules. But it is not mentioned in the courts cursory
analysis.
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If the ruling was wrong, there is a subsequent question: Was the error
consequential enough to require a new trial, or was it harmless? How can
we say for sure? Moreover, even if the result of that individual ruling is
correct, how should we regard the nature of the courts analyses? We do
not have full access to the trial courts ruling, but the appellate courts
treatment of the issue was cursory and unsophisticated. Is that an error?
Instruction of the jury is another area in which trial judges have
discretion. As the Edmunds court in the direct appeal stated the standard, a
trial judge enjoys wide discretion in framing the instructions a jury will
receive in each individual case. In exercising its discretion, the court must
fully and fairly inform the jury of the rules of law applicable to the case
and to assist the jury in making a reasonable analysis of the evidence.40
This notionwhich one could cynically recast as close enough is good
enoughis somewhat perplexing given our casual sense that there is a
fixed content to law such that legal questions, or at least most of them, have
right and wrong answers.
Edmunds, one might contend, is atypical, and therefore not a good
illustration of the point. But Edmunds is atypical only in its notoriety, and
in the sense that it shows us how what most observers would once have
regarded as an easy case was ultimately not easy at all. Its more mundane
aspects are instructive as well. There it serves simply to demonstrate how
difficult it is, if it is possible at all, to say that some substantial portion of
legal or factual analyses are correct or incorrect. The resolution of legal
issues is to some degree dependent on perspective. Whether one thinks a
jury was properly instructed in a given case will be influenced by ones
instincts concerning the appropriate roles and capabilities of judges and
juries, ones view of the underlying substantive law, ones predilections
with respect to the type of case at issue, and a host of other factors of which
one might be only dimly aware. Factually driven determinations are
context-dependent, turning on assessments that are perhaps inherently
subjective. The factors that we take into account in deciding whether to
believe a witness, for example, vary from one person to the next and
probably turn on judgments that are difficult to articulate, let alone review.
Against this backdrop, assessing accuracy would require replicating the
entire case, and even then would be subject to the very real possibility that
different people would come to different conclusions about the same
evidence, or even that the same person would come to different
conclusions at different times.41
40
598 N.W.2d at 299 (quoting State v. Dix, 273 N.W.2d 250, 256 (Wis. 1979)).
See Shai Danziger, Jonathan Levav, & Liora Avnaim-Pesso, Extraneous Factors in Judicial
Decisions, 108 PROC. OF THE NAT L. ACAD. OF SCI. OF THE U.S. OF AM., no. 17, Apr. 26, 2011, at
6889, available at http://www.pnas.org/content/108/17/6889.full.pdf+html.
41
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Against Accuracy
501
administrative/professional_responsibility/2011_mcjc_preamble_scope_terminology.pdf.
Canon 1 echoes this: A judge shall uphold and promote the independence, integrity, and
impartiality of the judiciary, and shall avoid impropriety and the appearance of impropriety.
Id. at Canon 1, available at http://www.americanbar.org/groups/professional_responsibility/
publications/model_code_of_judicial_conduct.html.
44 Id. at Rule 2.11, available at http://www.americanbar.org/content/dam/aba/administrative/
professional_responsibility/2011_mcjc_rule2_11.authcheckdam.pdf.
45
Sambhav N. Sankar, Disciplining the Professional Judge, 88 CAL. L. REV. 1233, 1272 (2000).
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law, or any purpose other than the faithful discharge of judicial duty, is
subject to investigation.46 What that amounts to, of course, is a failure of
process. We can generalize and suggest that all of the various procedural
guarantees that attend litigation are products of our recognition of this
dynamic. Even the appellate process ends at a court the finality of which is
not based in its infallibility,47 but in the practical need to have an entity
with the last word.
That leaves us in a position to meaningfully assess the quality of many
judicial decisions only by resort to procedural proxies.48 So long as the
judge appeared to be acting in good faith, subject to no inappropriate
influences, and so forth, even what we label error we will treat as
disagreement. Fortunately for scholars of judicial behavior, these proxies
will often be measurable. Such proxies will often be precisely the sorts of
things that Young and Singer discuss in the procedural component of their
measurements. Measures of judicial performance that are limited to such
factors are likely to be the best we can do.
46 Oberholzer v. Commn on Jud. Performance, 975 P.2d 663, 680 (Cal. 1999) (citations
omitted).
47
We are not final because we are infallible, but we are infallible only because we are
final. Brown v. Allen, 344 U.S. 443, 540 (1953) (Jackson, J., concurring).
48 Judge Posner hints at this idea, as well:
Many of the decisions that constitute the output of a court system cannot
be shown to be either good or bad, whether in terms of consequences
or of other criteria, so it is natural to ask whether there are grounds for
confidence in the design of the institution and in the competence and
integrity of the judges who operate it.
RICHARD A. POSNER, HOW JUDGES THINK 3 (2008).