Trial Judge Looks at Judicial Notice

Grasping a Thorny Baton...
A Trial Judge Looks at Judicial Notice and Courts Acquisition of Social Science*
Judge R. James (Jim) Williams@
Canadian Family Law Quarterly v. 14, p. 179-232, 1996 INTRODUCTION
[F]amily law statutes do not exist in a vacuum...Conscientious interpretation and, more importantly, application of statutory family law criteria cannot, in my mind, take place without consideration of both the language of the Act and the reality in which the Act operates...Social science research and socio-economic data are long-standing judicial tools in both Canada and the United States...1 Though judicial notice as a proper device in family law is not new, its use appears to have escalated since it received the Courts blessing its Moge...Moge has acknowledged that as much as laws are not enacted in a vacuum, judicial decisions should not be made in isolation, particularly of the socio-economic research and data of the time. It is now up to the courts in support and custody disputes to take the baton and run with it.2 ...Given the narrow focus of this case, it does not, in my opinion, require an examination of the broad Policy grounds to which my colleague refers. Following that course would require us to resolve the thorny question of the use of extraneous materials such as studies, opinions. and reports, and whether it is appropriate to take judicial notice of them and what notice to counsel if any, is required...3
The issues addressed by Justices LHeureux-Dub and Sopinka are hardly new. The struggle of judges and the legal system to structure means for courts to receive and use knowledge is longstanding.
No one will deny that the law should in some way effectively use expert knowledge wherever it can aid in settling disputes. The only question is how it can do so best...4 The difficulty is that there is no method provided in our law officially for the instruction of a court in the facts and principles of economics, social science, politics, history or any of the other fields whose facts are subject to judicial notice.5 The legal system is constantly running up against new bodies of knowledge and necessarily so. Social conditions change constantly, creating new knowledge and new problems...the presentation of new knowledge is thus a standard problem for the legal system...6
* This article is a revised version of a paper completed in fulfillment of the thesis requirements of the Master of Judicial Studies Program, National Judicial College (U.S.), University of Nevada. I would like to thank and acknowledge the assistance of my thesis committee: Professor James Richardson University of Nevada; Professor Eric Smithburn, Notre Dame University; Professor Thomas Cromwell, Dalhousie University. Judge of the Family Court for the Province of Nova Scotia, Dartmouth, Nova Scotia LHeureux-Dub, J., Willick v. Willick (1994) 6 R.F.L. (4th) 161 (S.C.C.), at 189. LHeureux-Dub, J., Re-examining the Doctrine of Judicial Notice in the Family Law Context (1994), 26 Ottawa L.R. 551, at 576-577. Sopinka J., Willick v. Willick, above, note 1, at 173. Learned Hand, Historical and Practical Considerations Regarding Expert Testimony (1901), 15 Harv. L.R. 40, at 40. N. Isaacs, The Law and the Facts (1922), 22 Columbia L.R.1, at 7. R.J. Allen and J.F. Miller The Common Law Theory of Experts: Deference or Education? (1993), 87 Northwestern L.R. 1131, at 1146.
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GRASPING A THORNY BATON
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Justice LHeureux-Dub7 of the Supreme Court of Canada has suggested that the use of judicial notice in family law be expanded. In doing so she refers extensively to the writing of Monahan and Walker8 and their social fact, social framework and social authority typology. She asserts, effectively, that judicial notice is the answer, that courts dealing with family law issues should take the baton of judicial notice and run with it, using judicial notice as a method of securing social science and economic data. Justice Sopinka cautions that the use of extraneous materials is a thorny question. I sit as a trial Judge in a specialized court, a Provincial Family Court. I hear virtually exclusively family law matters. I am required to grasp this thorny question entirely too often. I have undertaken this article to attempt to improve my own understanding of the issues the Supreme Court Justices have referred to. As such, the opinions I express, mistakes I make and conclusions I came to are my own. To develop and hopefully expand my views, I will address the issues as follows: 1. An examination of my views of the context of family law, developed in part through comparison to that expressed by Justice LHeureux-Dub;9 2. An examination of some of the means by which social science and economic information has traditionally come to courts; 3. An examination of the views of Davis, Monahan and Walker, and LHeureux-Dub; 4. A review of a questionnaire and its results given judges and lawyers concerning the acquisition and use of social science and economic information by the courts; and 5. A statement of some personal views and conclusions. There are some things I have not done in this article. I have not examined the nature of social science or its relationship to hard science. I have not explored distinctions between types10 of social science be it psychology, sociology, history, economics or other. I have attempted to focus upon the question of how judges get social science in a legal process, and in doing so have touched at times on the issue of what should be done with it, how it can be evaluated.
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8
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Re-examining the Doctrine of Judicial Notice in the Family Law Context (1994), 26 Ottawa L.R. 551. See also Moge v. Moge (1992), 43 R.F.L. (3d) 345 (S.C.C.). J. Monahan. and L. Walker, Social Science and Law: Cases and Materials, 2d ed., (New York: University Casebook Series The Foundation Press, 1990); J. Monahan and L. Walker, Social Science Research in Law: A New Paradigm (1988), 43 American Psychologist 465; J. Monahan and L. Walker, Judicial Use of Social Science Research After Daubert (1995), 2 Shepards Science and Scientific Evidence 327; J. Monahan and L. Walker, Social Authority: Obtaining, Evaluating Establishing Social Science in law (1986), 134 U. of Penn. L.R. 477; J. Monahan and L. Walker, Social Frameworks; A New Use of Social Science in Law (1987). 7 Va. L.R. 559; J. Monahan and L. Walker, Social Facts: Scientific Methodology as Legal Precedent (1988) 76 Calif. L.R. 877; J. Monahan and L. Walker, Judicial Use of Social Science Research (1991), 15 Law and Human Behaviour 571. Above, note 2. J. Monahan and L. Walker have stated. It is important not to take distinctions between the social sciences too seriously, for the degree of overlap between them is great. Social Science in Law: Cases and Materials, above note 8 at 36.
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1. MY FAMILY LAW CONTEXT (a) Justice LHeureux-Dub With respect to family law, Justice LHeureux-Dub states the following:
[I]t cannot be forgotten that the broader the issue, the more inadequate may be the facts of the individual case as a basis far the decision. Though this may be true of constitutional questions, it may be no less relevant to certain instances of statutory interpretation...11 In family law...it must be recognized that fact-finding...is an essentially value laden concept...The danger of relying on the myth of fact-finding neutrality to ensure equitable outcomes in family law contexts is all too apparent...social framework evidence can play an important role in combatting popular misconceptions touching upon the fact-finding exercise, and in helping to bring the beliefs and understanding of the trier of fact into congruence with social reality.12 [H]uman rights underly family law. To deny the existence of a human rights element in family law is to trivialize the very real inequalities suffered largely by women and children judges often resolve empirical questions that they perceive to be difficult or unanswerable by reversing the onus of proof...in a family law context where many assumptions are based on male norms and values, this technique may place the brunt of the burden on the disadvantaged spouse to adduce evidence aimed at overcoming stereotypes or misplaced assumptions stemming from the lack of a shared reality between judges and parties...One vehicle by which courts may address this inequality is to demonstrate a greater willingness to share the financial and intellectual burden of bringing underlying assumptions in line with the realities of the parties...to do so they must contemplate a broader role for the doctrine of judicial notice...13 Considerations of fairness to the parties therefore require that the judge confine him or herself to that which is presented, or at the very least, afford the parties an opportunity to make submissions on any facts the judge proposes to take notice... Though certain legal contexts may well require that the parties be afforded such opportunities, it does not follow that family law is one of them. Such a restrictive approach to judicial notice is part of the very adversarial process that is found increasingly unsatisfactory in the family law context. Whereas the adversarial process focuses on justice between the parties, the family law context focuses more simply on justice...family law recognizes that the judge may have to play a more inquisitorial role in some respects.14
The judicial fact-finding process is value-laden in family law. Policy and human rights issues are important. I am unsure however how making the judge less accountable to process and suggesting that a judge hearing a family law matter may not have to give the parties an opportunity to make submissions on facts proposed to be taken notice of by the court does anything more than give the judge more discretion to apply his/her values without accountability. (b) Discretion in Family Law Judicial discretion has been described by Rosenberg15 as involving at its core an element of
11 12 13 14 15
Above, note 2, at 557. Ibid., at 564-565. Ibid., at 575. Ibid., at 572. M. Rosenberg , Judicial Discretion of the Trial Court Viewed from Above (1971) Syracuse L R. 635, at 636, referred to in E. Smithburn Judicial Discretion (1991) , National Judicial College, U. of Nevada.
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choice for the judge, choice that can be exercised without fear of there being a wrong answer. An eloquent if extreme criticism of judicial discretion is attributed by Lard Camden:16
The discretion of a judge is the law of tyrants; it is always unknown; it is different in different men; it is casual, and depends upon constitution, temper and passion. In the best it is often times caprice, in the worst it is every vice, folly and passion to which human nature can be liable.
It has been suggested that judicial discretion is probably...no where given freer rein than in the area of domestic relations.17 Justice LHeureux-Dub speaks of the myth of fact-finding neutrality, assumptions based on male norms and values, and stereotypes. She is concerned and justifiably so with the degree to which judicial discretion influences legislative interpretation and the background contexts and lack of neutrality upon which those interpretations are based. These are, however, issues far broader than how evidence is received and used. I would not deny that there are assumptions and stereotypes that are problematic in family law, but believe they should be identified and spoken to in specific terms to most effectively address them.18 Others have written critically of the degree of judicial discretion in family law19 and referred to unique characteristics of family law disputes as a rationale far the maintenance and inevitability of such discretion. Bala,20 far example, has observed that family law: involves the assessment of persons rather than acts or events; is prospective, reordering future relationships, not retrospective, interpreting events; involves interrelated issues, polycentric issues, some of which may not be before the court; involves families, people who will have ongoing, if altered, relationships that can and will continue to change; (e) has a significant emotional element, the parties having a past with memories, rituals, intimacies and expectations that may have to change; (f) involves individual and societal values21 that are fluid22 and, at times, involves individual disputes being extrapolated to the general, and/or general concepts being applied to individuals; (g) involves interpretation of statutes that are broadly stated, with terms such as best interests, reasonable needs, etc. Taken together, these factors conspire to ensure that it is virtually impossible to devise
16 17 18 19 20 21 22
(a) (b) (c) (d)
As quoted in Justice B.F. Overton The Meaning of Judicial Discretion, in E. Smithburn, ibid., at 3. E.W. Covey The Exercise of Judicial Discretion in the Award of Alimony (1939), 6 Law and Contemporary Problems 213, at 213. See for example, S.L, Martin and K.E. Mahoney, Equality and Judicial Neutrality (3d) (Toronto: Carswell 1987). N. Bala Judicial Discretion and Family Law Reform in Canada (1986), 5 C.J.F.L. 15; R. H. Mnookin, Child Custody Adjudication: Judicial Functions in the Face of Indeterminacy (1975), 39 Law and Contemporary Problems 226. Bala ibid, at 18.1 have elaborated somewhat on some of his assertions. Including , as asserted 1Y Justice LHeureux-Dub, human rights. G. Melton and B.L. Wilcox, Changes in Family Law and Family Life (1989), 44 American Psychologist 1213,
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specific strict rules that would fairly apply to every fatally law dispute.23 They also ensure that social science and economic information will have a part in all family law disputes. We should all, I believe, be concerned as Justice LHeureux-Dub is with the degree of judicial discretion inherent in family law. Indeed, law reform in family law commonly involves policy making aimed at structuring the discretion judges have. Do we move the process towards more structured decision-making towards rules or leave judges with general principles standards upon which to make decisions? Most family law reform now is attempting to restrict or control judicial discretion. Two current examples are the proposed federal-provincial child support guidelines24 and calls for the judicial consideration of domestic violence in custody and access matters to be presumptive disqualification of a perpetrator from having custody of a child.25 (c) Judicial Discretion in the Receipt of Evidence Judicial discretion exists in more than the final or bottom line decision that a judge makes. A judge has discretion in determining what evidence can be used as a basis for the decision.
The rules of evidence control the presentation of facts before the court...26
Somewhat ironically, Justice LHeureux-Dub seems to be advocating for more judicial discretion in the fact-finding process, in part at least to combat the degree of judicial discretion in the determination of the family law issue in dispute. I have some discomfort with this. Justice LHeureux-Dub offers at least two other reasons27(27) for the expansion of judicial discretion in the receipt and use of evidence:
(a) (b) ...the cost. It is an unavoidable reality that most parties to family law proceedings cannot afford the luxury of lengthy trials battles of experts, and submissions by counsel on each and every issue of which the judge proposes to take judicial notice... the ill-fit of family law issues in the adversarial process.
Both these issues are important and family law practitioners are in a constant struggle to be aware of them, and improve practice. However, I cannot identify how the increase of judicial discretion in the receipt and use of evidence solves or even improves them. The method of, rules for, proof are important and the degree that they are visible and reviewable provides one form of accountability for judges. Put another way:28
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25 26 27 28
Mnookin above, note 19; Bala above, note 19. The New Child Support Package March 6, 1996, Government of Canada. The proposals for child support guidelines contain a number of exceptions circumstances in which the guidelines may be departed from. They include child care expenses, medical or health care expenses, educational expenses. extraordinary extracurricular activities, a high level of debt, significant access expenses, and other support (child or spousal) obligations. The difficulty in establishing rules is seen in the list of exceptions to the rule. See generally, B. Hart, State Codes on Domestic Violence (1992), 43 Juv. and Family Ct, J. 1; from Rhetoric to Reality: Ending Domestic Violence in Nova Scotia: Law Reform Commission of Nova Scotia, February 1995 (Final Report). J, Sopinka, S.N. Lederman & A.W. Bryant, The Law of Evidence in Canada (1992) Butterworths; Toronto, at 1. LHeureux-Dub, above, note 2, at 568-569 G. Melton, Judicial Notice of Facts About Child Development, in G. Melton, ed. Reforming the Law: The Impact o Child Development Research, (New York: Guilford Press, 1987) ch. 9, at 236.
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Each time that a judge injects facts into the discussion, the parties lose some control...
As Loevinger29 has stated:

Proof is a process, not a...revelation. Proof is the process of inference from evidence data, or assumptions to a conclusion. The validity of the conclusion depends on the validity of the process. In mathematics the process is prescribed by rigid formal rules...In law, and most other disciplines, the process is only occasionally conducted according to formerly rigorous rules, and is often simply intuitive... The degree of confidence we may rationally have in any conclusion depends on both the validity of the process of inference by which the conclusion is derived from the evidence, data, or assumptions and on the truth or correspondence to reality of the evidence data or assumptions.
(d) Dispute Resolution Family law involves more than judicial policy-making. From my perspective as a trial Judge family law is in its simplest form dispute resolution. It is most often dispute resolution between private individuals, child protection proceedings between the state and parents being an obvious exception to this generalization. That said, there is, as Justice LHeureux-Dub asserts, a public interest in virtually all aspects of family law. Family law disputes involve issues related to the future care or support of a child or children and/or financial or property issues between adults who are terminating a relationship. They involve disputes between parties with differing strengths and weaknesses. Family law is asked to restructure families, to determine and resolve these issues where family members cannot do so on their own. The issues will inevitably involve or touch on social science and/or economics within the context of changing family values and structures.30 The resolution of these disputes takes place within a legal process that has, as one possible end, adjudication. Negotiation, mediation, arbitration or other forms of dispute resolution may also end a dispute. My focus is on (trial) judging and adjudication. Issues involving the use of social science and economic information are no less important to these other farms of dispute resolution.31 In Canada, the adjudication of family law disputes takes place in both specialized and general jurisdiction courts. Some are provincially appointed, some federally. Legal counsel may or may not be involved. It is likely that the future will see substantially more unrepresented family law litigants.32 Mnookin33 in discussing and summarizing the adjudicative process has stated:
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31
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L. Loeviner, Standards of Proof in Science and Law (1992), 32 Jurimetrics Journal 323, at 343. A. Coote, et al. Changing Family Structures and Family Behaviour, at 31; J. Eckelaar and M. MacLean, A Reader on Family Law, (London. Oxford University Press, 1994) and G.B. Melton, Children Families and the Courts (1994) , 66 S. Calif. L.R. 1993. Further, the adjudication process influences sets some parameters for the other forms of dispute resolution. The adjudicatory process, as it is perceived by potential litigants and their counsel, defines what might happen if a dispute is not otherwise resolved. In a news release dated March 11, 1996 the Law Society of Upper Canada announced it would limit the number of legal aid certificates it issues to 100,000 less than one-half the number issued in 1993. R.H. Mnookin Child Custody Adjudication: Judicial Functions in the Face of Indeterminacy (1975), 39 Law and Contemporary Problems 226, at 249-250, referring to L. Fuller The Forms and Limits of Adjudication (1978), 92 Harv.
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At the core of adjudication is the nation that government exercises authority through a process in which persons affected may participate. Each party has an institutionally guaranteed...opportunity to present proofs and arguments for a decision in his favour. A neutral judge resolves the dispute by ascertaining past events and articulated and described legal standards that are generally applicable. As part of this process, the judge is obliged to reconcile the rules used to evaluate these past events with those announced and applied in earlier disputes of the same sort. The parties may ask some higher court to review the decision to determine whether the appropriate rules were applied...
While undoubtedly an idealized construction of adjudication, Mnookins statement does emphasize that adjudication is a process. Justice LHeureux-Dub refers to family law focusing less on justice between parties and more simply on justice. I am unsure what is meant. Justice is a paradoxical word. It can mean much, it can mean little. It can be seen as something to strive for, to attempt to attain. It can be evaluated in terms of result, or as process. Both approaches are important. Uncontrolled judicial intrusion in the adversary process has at least the potential of causing unfairness and reducing the perception that justice is being done.34 (e) The Judicial Role: An Ongoing Dilemma Justice LHeureux-Dub writes with a focus on the role of judge as policy-maker, legislator. This is appropriate to her station. I, as a Trial judge, quite predictably find more comfort in the concept of judge as dispute arbiter. These roles are less options, however, than ends of a continuum. Any judicial decision, and particularly any family law decision, has elements of both. As Herz35 has said:
[A] model of the judicial rote in which judges are mere dispute resolvers...when put directly to the test, the model collapses...judges are policy-makers...This is not to say a judge is a legislator. But the choice is not between seeking judges as politicians in robes on the one hand and mere referees on the other. The Court could pursue a more complex version of the role of judges...one in which judges as public trustees do have some responsibility for policy development...
The dilemma facing judges has been described in terms more closely related to the suggestions of Justice LHeureux-Dub:36
Courts that acknowledge the value of judicial resort to extra-record literature fail to appreciate the need to regulate the process. Conversely, the courts that appreciate the risks inherent in unregulated extra-record legislative fact gathering fail to appreciate the value and inevitability of the process. They therefore impose controls so rigid that open use of extra-record information is precluded.
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L.R. 353. J. Thibaut and L. Walker, A Theory of Procedure (1978), 66 California L. Review 541. M. Herz, Choosing Between Narrative and Descriptive Versions of the Judicial Role (1992) 72 Marquette L.R. 725, at 764 there discussing the U.S. Supreme Court. P.C. Davis, Where is a Book OutAn Analysis of the Judicial Absorption of Legislative Facts (1987), 100 Harv. L.R. 1539, at 1595.
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(f) Family Law Occurs in Trial Courts In Canada, family law adjudication takes place in non-jury trial courts. The ordinary rules of evidence apply, whether it is a jury or non-jury trial. Yet there has been, at least a perception of a difference,37
To what extent are rules of evidence applicable in non jury trials? In most jurisdictions the ordinary rules of evidence are nominally applicable in non-jury trials. However many of the exclusionary rotes are not vigorously enforced in bench trials. The relaxation of the rules springs from several different principles. In some states the relaxation of the exclusionary rules is achieved by the use of a standard of appellate review which tends to make the erroneous admission of evidence harmless and nun-reversible error. Many states recognize a presumption that the trial Judge (in a non-jury trial) disregarded all inadmissable evidence in reaching his decision. This presumption is rebuttable but it does effectively give the trial Judge substantial latitude to receive and consider normally inadmissable evidence without fear of being reversed; the presumption of non-reliance applies if the judge takes care to remain silent about the evidence. Even if the presumption is not recognized in a particular state, the failure of the trial Judge to exclude the inadmissable evidence is ordinarily immaterial if the record discloses that the trial Judge disregarded the inadmissable evidence in reaching his conclusions as to the factual issues in the case.
It is evident that if one is concerned with the unstated assumptions of trial Judges (used in coming to decisions); that appellate review will not operate as a very effective check. Appeal courts can review what a trial Judge says or does. Justice LHeureux-Dub is concerned, in part, with the unstated assumptions of judges. I would not minimize the importance of that concern. It is, however, beyond the scope of this article. My focus is on how social science comes to trial courts. Further, I believe that the fast step to addressing unstated assumptions lies in examination, clarification and improvement in the overt actions of judges. 2. GETTING EVIDENCE TO THE COURT It is the rules of evidence that control the presentation of facts before the court regulating both what matters are and are not admissible before the court and the method by which admissible facts are placid before it.38 (a) Expert Evidence Expert evidence can be received from a witness who possesses special knowledge and experience going beyond that of the trier of fact.39 An expert can testify as to matters observed, information from others (insofar as it forms part of the foundation of their conclusions and opinions), the state of knowledge in a field, and give opinions. Before being accepted as an expert, the witness must be qualified as such by the court. There would appear to be a growing literature40 that is critical of our use of expert witnesses to provide courts with social science
37 38 39 40
P. Tilliers, Evidence in Trials at Common Law, Vol. 1 (Toronto: Little Brown, 1983), at 213-218. J. Sopinka, S. Lederman & A.W. Bryant, The Law of Evidence in Canada, (Toronto: Butterworths, 1992), at 1. R.. v. Bland, [1987] 2 S.C.R. 398, at 415. Myers J.; Expert Testimony in Child Sexual Abuse Litigation (1989), 68 Nebraska L. R. 1449; D. Paciocco, Evaluating Expert Opinion Evidence For the Purpose of Determining Admissibility: Lessons From the Law of Evidence (1994), 27
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evidence. Paciocco41 has, for example, stated:

[O]ur biggest falling, in my view, is that we have admitted much of this evidence without engaging in a meaningful examination of the validity of the theories that support it... In our zeal to meet the truth about human dynamics we seem to have grabbed in a lustful, unquestioning way at social science data and theory.
Paciocco reviews in considerable detail the law of evidence as it relates to experts and expert opinion evidence. He concludes that:
...the essence of what was said in Seaboyer42 cannot be denied: the rules have taken on a character whereby their application is more a matter of discretion than of precise legal characterization.43
He then recommends that that discretion should be exercised (where there is new or novel scientific evidence put forward) by the judge through a careful consideration of a number of factors including the reliability of the field of study, the subject matter. He asserts that the following are appropriate considerations:
(a) Considerations relating to the extent of information about the technique, process or field of study: (i) The existence of specialized literature, (ii) The nature of the views expressed in the literature that is available. (b) Considerations relating to the general integrity of the process, technique or field of study, including: (i) The novelty of the technique in its relationship to more established areas of scientific analysis, (ii) Whether there are analogous relationships with other types of scientific techniques that are routinely admitted into evidence, (iii) The potential race of error, (iv) The nature of potential errors: are they prone to cause false inclusions or false exclusions, (v) The susceptibility of the technique, process or study to abuse, (vi) The existence and maintenance of standards, (vii) The existence of fail-safe characteristics, (viii) Whether the technique, process or study is generally accepted by experts in the field, (ix) The likelihood that the technique, process or study has been exposed to the relevant professional community, (c) Considerations rebating to the particular application of the technique that is before the court: (i) The care with which the scientific technique has been employed.44
Justice McLachlin, of the Supreme Court of Canada, has suggested that the best gauges of reliability are the fact that the theories on which (expert opinion) is founded are widely accepted throughout society and are based on rigorous and wide empirical testing and observation.45
41 42 43 44 45
C.R. (4th) 302, at 330; R, Delisle, The Admissibility of Expert Evidence: A New Caution Based on General Principles (1994), 29 C.R. (4th) 267; R.N. Jonakait, Real Science and Forensic Science (1994), 1 Shepards Expert and Scientific Evidence Quarterly 435; J. Myers, Expert Evidence Describing Psychological Syndromes (1993), 24 Pacific L.J. 1449. Ibid. (1991), 7 C.R. (4th) 117 (S.C.C.). Paciocco, above, note 40, at 327. Paciocco at 313-315. J. McLachlin The Use and Misuse of Expert Evidence, CBA Civil Litigation Section Conference Materials, June 22, 1993, Vancouver B.C.
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R. v. Olscamp46 is an example of a case in which the court critically examines the admissibility of evidence from an expert. Ironically it concerns and rejects precisely the type of evidence Monahan and Walker refer approvingly of (from State v. Myers) as an example of social authority.47 R. v. Mohan48 is another example of judicial limits being placed on the scope of expert evidence. The accused, a pediatrician charged with the sexual assault of adolescent female patients, sought to call expert evidence from a psychiatrist suggesting the pediatrician did not fit within the limited and unusual group that would commit such acts. The Supreme Court of Canada upheld the trial decision, excluding the evidence, stating in part [t]here was nothing to indicate any general acceptance of this theory..., noting the absence of indicia of reliability.49 The United States, in the wake of Daubert v. Merrel Dow Pharmaceuticals50 is seeing a renewed and invigorated examination of the role of the Trial judge in critically evaluating scientific evidence.51 There the United States Supreme Court suggested that a Trial judge is expected to assess whether expert testimony is scientifically valid and reliable. The court indicated that:52
[W]hether a theory or technique is scientific knowledge that will assist the trier of fact will (depend on) whether it can be and has been tested...whether the theory or technique has been subjected to peer review and publication...The fact of publication, or lack thereof, in a peer reviewed journal will be a relevant though not dispositive, consideration...the court should consider the potential rate of error and the existence and maintenance of standards controlling the techniques operation .. .
There is increasingly recognition of the limits of expert evidence and of the importance of judicial examination of the issues of reliability and validity (of the information and theories put forward). The importance of this judicial role is enhanced by recognition of the discretion of the individual Trial judges and limits of the adversary system:
(a) ...as a practical matter, it is for opposing counsel to object if the witness goes beyond the proper limits of his or her expertise.53 (b) The adversary system of justice used in the United States and several ether countries has a disturbing tendency to distort clinical and scientific innovations. Distortion occurs for four overlapping reasons ...The adversary system Devalues Objectivity ...Attorneys are not Well-Equipped to Deal with Scientific and Clinical Evidence... ...Some Expert Witnesses Exceed the Limits of Current Knowledge or Distort Accepted Principles ...Rushing to Court with Untested Scientific and Clinical innovations.54
46 47 48 49 50 51
52 53 54
(1994), 35 C.R. (4th) 37 (Ont. Gen. Div.). Expert opinion purporting to characterize behaviourial symptoms as consistent with sexual abuse, below, note 120. (1994), 89 C.C.C. (3d) 402 (S.C.C.). Per Sopinka, J. at 423. (1993). 113 S. Ct. 2786. See for example, B. Black, F.J. Ayala and C. Saffron-Franks, Science and the Law in the Wake of Daubert: A New Search for Scientific Knowledge (1994), 72 Texas L.R. 715; P S. Miller, B.W. Rein and E. Bailey, Daubert and the Need for Judicial Scientific Literacy (1994), 77 Judicature 254. J.T. Richardson, G.P. Ginsburg and S. Gutowski and S. Dobbin, The Problems of Applying Daubert to Psychological Syndrome Evidence (1995), 79 Judicature 1. Above, note 50, at 2796-2797. R. v. Marquard (1993), 25 C.R. (4th) 1 (S.C.C.) per McLachlin, J., at 14. J. Meyers, The Tendency of the Legal System to Distort Scientific and Clinical Interventions (1994) 18 Child Abuse and Neglect 505, at 505-506.
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While traditionally social science and economic information has come to trial courts primarily through expert evidence, there are at least three problems with it: (a) It is expensive. (b) It is presented from a partisan point of view. (c) If counsel and/or the parties are not aware of the specialized body of knowledge, the information may not come to the court. (b) Learned Treatise The introduction of material through the cross-examination of an expert witness, what is referred to as the Learned Treatise hearsay exception in the United States55 was addressed and restricted by a majority of the Supreme Court of Canada in R. v. Marquard:56
The proper procedure to be followed in examining an expert witness on other expert opinions found in papers or books is to ask the witness if she knows the work. If the answer is no, or if the witness denies the works authority, that is the end of the matter. Counsel cannot read from the work, since that would be to introduce it as evidence. If the answer is yes, and the witness acknowledges the works authority, then the witness has confirmed it by the witness own testimony. Parts of it may be read to the witness, and to the extent they are confirmed they become evidence in the case. The Crown urged us to adopt the American approach to putting scholarly works to an expert witness. The American approach varies from jurisdiction to jurisdiction. Some jurisdictions require that the witness have acknowledged the authority of the work before it can be read into the record on cross-examination. Others, however, appear to allow the work to be put into the record on cross-examination where there is some proof of, or where the judge is prepared to take judicial notice of, the general authority of the work.
55
56
See Federal Rule of Evidence 803(18): The following are not excluded by the hearsay rule, even though the declarant is available as a witness: (18) Learned treatises. To the extent called to the attention of an expert witness upon crass-examination or relied upon by him in direct examination, statements contained in published treatises, periodicals, or pamphlets on a subject of history, medicine, or other science or art, established as a reliable authority by the testimony or admission of the witness or by other expert testimony or by judicial notice. If admitted the statements may be read into evidence but may not be received as exhibits. Above, note 53, per McLachlin, J., at 20-21.
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Even this more liberal standard was not met in the case of the material put to Dr. Turrall. I am satisfied that expert evidence, introduced in the guise of cross-examination of Dr. Turrall without any proof that it constituted reputable authority, was inadmissible.
A policy of limiting (expert) witnesses to cross-examination upon information with which they have familiarity with (and thus can be questioned upon its reliability) is thus implemented. We are thus limiting the information that comes to the court. (d) The Brandeis Brief A Brandeis Brief is a document submitted at the appellate level that seeks to persuade the court by including, among other things, legislative evidence in the form of economic and social surveys, copious legal citations, reports...or scientific discussions by experts.57 The Brandeis Brief originated in Mu1ler v Oregon58 when Louis Brandeis submitted a brief that contained social science materials to the United States Supreme Court. The material was referred to and relied upon by the court. It was not, in a conventional sense, evidence. Davis59 subsequently developed his legislative fact, adjudicative fact typologies to explain the courts willingness to step outside the rules of evidence to consider written material submitted by a litigant. Where a court is interpreting a statute or dealing with constitutional or broad policy issues, such briefs have been allowed.60 This has most often occurred in appeal courts. In this appellate context, the Brandeis Brief has been criticized.
The Brandeis Brief cannot accomplish the same level of testing facts as can a trial, and the Brandeis Brief presents at best an opportunity to get information into the judicial process after the fact.61
Problematically,
[N]either our Canadian Courts nor those in England have adopted a consistent and uniform approach to the use of extrinsic materials in the sense of determining what aids to interpretation...are legitimate and the purposes for which this material may be used.62
The briefs are also, at times, used in trial courts.63 Jackson64 advocates this in his writing, suggesting that courts should recognize and accept their legislative function. Justice LHeureuxDub would undoubtedly agree. What is unclear, however, is what rules, if any, apply to the filing of such material. How can or should a trial court regulate the receipt of such material?
57 58 59 60 61 62 63 64
Blacks Law Dictionary (6th ed.) 1990, 188. (1907). 208 U.S. 412. J. Monahan and L. Walker, above, note 8, at 329. W. H. Charles, Extrinsic Evidence and Statutory Interpretation (1983), 7 Dalhousie L.J. 7. J.F. Jackson, The Brandeis Brief Too Little Too Late: The Trial Court as a Superior Forum for Presenting Legislative Facts (1993), 17 Am. J. of Trial Advocacy 1, at 41. Charles, above, note 60, at 9. See for example N.S.T.U. v. Nova Scotia (Attorney General) (1993), 102 D.L.R. (4th) 267 (N.S.S.C.). J.F. Jackson, above, note 61, at 1. Ibid.
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One restrictive approach is found in the recent decision of R. v Edwards.65 The case involved a sentencing appeal. The Crown sought to introduce on appeal evidence of surveys and articles concerning domestic violence. Finlayson, J.66 stated:
If the Crown wished to establish a statistical base for asserting that spousal killing has increased significantly, it could have called witnesses at the trial...It is not satisfactory to simply place on the record articles and studies that were intended for a different and wider audience... My concern with this fresh evidence is that it appears to be an attempt to influence the court by a form of special interest pleading...
I should point out, the Crown here attached the material to affidavits filed for the first time on the appeal. The Court treated the matter as an application to submit fresh evidence.67 It is unclear what would have happened had the studies been appended as part of briefs. Briefs or submissions from counsel as a mechanism for the provision of social science or economic information suffer, like expert evidence, from limits. They too are presented from a partisan point of view. If counsel and/or the parties are not aware of the specialized body of knowledge the information may not come to the court. There is no (or little) developed process or procedure for the use at trial, of briefs and submissions courts are left to their own discretion. (d) Judicially Secured Information Judges can independently secure information. This may come from individual research, general reading or continuing education. It is often difficult to determine from reviewing a case what the source of the information the judge is using is, brief or some individual endeavour of the judge.68 Too often judges refer to maternal without identifying its source. Recent decisions in this country make it clear that appeal courts will not hesitate to rein in, review and restrict the ability of trial courts to refer to and rely on material that is not part of the evidentiary record. For example: R. v. Morris:69
In his reasons for judgment, the trial Judge referred to a number of articles and studies which were not in evidence at the trial and were not included in argument. The material included the Badgely Report, an article by Brenda Gutkin of the Child Protection Centre in Winnipeg, presented to a judicial seminar in
65 66 67
68 69
(1996), 105 C.C.C. (3d) 21 (Ont. C.A.). Ibid. at paras. 37 and 38 of the judgment. Thus subject to the criteria of R. v. Palmer (1980} 1 S.C.R. 759 for the introduction of fresh evidence; (1) the evidence should generally not be admitted if, by due diligence, it could have been adduced at trial; (2) the evidence must be relevant in the sense that it bears upon a decisive or potentially decisive issue in the trial; (3) the evidence must be credible in the sense that it is reasonably capable of belief; and (4) it must be such that if believed it could reasonably, when taken with other evidence adduced at trial, be expected to have altered the result. P.C. Davis, above, note 36, at 1541. (1995), 169 A.R. 167 (Alta. C.A.) at 168.
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1990, an articled by Hornick and Clark entitled Child Custody, Legal and Developmental Issues and some unidentified U. S. authority... There is nothing specific in the judgment to the effect that the trial Judge relied on the extrinsic material in arriving at his conclusions on credibility. Nevertheless that material was referred to periodically throughout the reasons for judgment and was intermingles with considerations of the evidence .. . We are not satisfied that the trial Judge was not influenced by the material...The material related in a general way, to the credibility of young complainants in sexual abuse cases...
R. v. Parnell:70 The court quotes the trial Judge as having stated:

There is a good deal of literature which is now virtually accepted by the courts...and quoted with respect to child witnesses and the literature seems to be consistent with one of the weaknesses with child witnesses is to recollection of precise dates...
Abella, J. A. stated:71
While it might have been preferable had he been more specific about what he was referring to, his allusion to the literature does not mean he erred in this examination of the evidence...
However, Brooke, J. A. (with Laskin, J.A. concurring) opined:72

I agree with the Appellants submission with respect to the reference to literature in the reasons for judgment. It is not open for judges to rely upon such literature unless it has been accepted after being properly introduced and tested in evidence...
Crank v. Canadian General Insurance73 This case was an unjust dismissal proceeding. The trial judge used articles, including a magazine article that he had discovered through his own research in coming to his decision. LaCourciere, J.A. stated:
I agree with the appellant that the factual conclusions which he drew from these studies are beyond the scope of judicial notice. As noted by this court in R. v. Potts (1982) 36 O. R. (2d) 195 as p. 201: It has been held that generally speaking a court may properly take judicial notice of any fact or matter which is so generally known and accepted that it cannot reasonably be questioned or verified by resort to sources whose accuracy cannot reasonably be questioned... ...the adversarial process requires that the court ensure that the parties are given an opportunity to deal with new information by making further submissions, oral or written, and allowing, if requested fresh material to came in .. .
Weiler, J. A. states:74
70 71 72 73 74
(1995), 80 O.A.C. 297 (Ont. C.A.). Ibid., at 302. Ibid., at 306. (1995), 25 O.R. (3d) 505 (C.A.). Ibid., at 524.
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It is not an easy task for a judge to know when it is possible to take judicial notice of studies which are not before the court without having to hear the submissions of counsel. The answer depends on the use to be made of the research and type of case before the court.
Weiler, L.A. goes on to refer approvingly of Justice LHeureuxDubs view of judicial notice and Monahan and Walker. J. M. M. refers to the articles having not been in evidence at trial and not being included in argument. If either had been done could the trial Judge have relied upon them? In Parnell, Brooke, J.A. speaks of the requirement of an evidentiary foundation. Cronk has the Ontario Court of Appeal speaking of the adversarial process requiring that the court give the parties an opportunity to make submissions and/or give further evidence, but there being potentially times when this is not required. The path, for the trial Judge, is less than clear. (e) Precedent The treatment of social science or economic evidence, especially that adopted by appellate courts, as precedent is advocated by Monahan and Walker.75 Monahan and Walker have implored that the methodology of social science be closely examined by judges.76 The dangers inherent in judicial use of social science are exaggerated by precedent: social science is not static, it may be misused, and it may involve faulty assumption. The Supreme Court of Canada referred approvingly to the Battered Wife Syndrome in R. v. Lavallee.77 It has been suggested that as a result, that no expert evidence concerning this syndrome is required to lay a foundation for the use of the syndrome.78 Schuller and Vidmar79 have extensively and critically reviewed the methodology and the use of Battered Wife Syndrome in the courtroom:
The original tenants underlying this syndrome involved assumptions about two core phenomena: the escalating cycle of violence and the learned helplessness on the part of the victim...recent research appears to at least partially contradict these assumptions.80
This concern can only be heightened by the survey results81 indicating that but four of the
75 76 77 78 79 80 81
J. Monahan and L. Walker Social Facts: Scientific Methodology as Legal Precedent, above, note 8. See also G.D. Nokes, The Limits of Judicial Notice (1958), 74 L.Q.R. 59. Above, note 8. (1990), 76 C.R. (3d) 329 (S.C.C.). See also R. v. Lalonde (1995), 37 C.R. (4th) 97 (Ont. Gen. Div.). S. Noonan, Lalonde: Evaluating the Relevance of B.W.S. Evidence (1994), 37 C.R. (4th) 110; R. v. Eagles, (June 21, 1991), (Y.T. Ct.), unreported. R. Schuller and N. Vidmar, Battered Wife Syndrome Evidence in the Courtroom: A Review of the Literature (1992), 16 Law and Human Behaviour 273. N. Vidmar, Judging Psychological Predictions: Some Notes and. Observations National Judicial Institute (Canada) 1995 Criminal Law Intensive Program. See below.
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judges surveyed and two of the counsel had read Walkers original article on Battered Wife Syndrome, only 19 of 66 respondent judges or lawyers had read any writing that was critical of it, and that one-third of responding judges would use Summits syndrome diagnostically (and improperly). The Supreme Court of Canada has also referred to Summits Child Sexual Abuse Accommodation Syndrome82 in an uncritical fashion.83 The use of this descriptive syndrome diagnostically by courts84 has been much criticized.85 The questionnaire results indicate that fully one-third of the responding judges were prepared to use this syndrome diagnostically. Baar86 has commented thoroughly and critically on the Supreme Court of Canadas difficulties in using and misapprehension of social science information. In the United States, Perry and Melton have suggested with regard to the United States Supreme Courts Parham v. J. R.87 that:
Without supporting evidence the Chief Justice made no fewer than 15 empirical assumptions, many of them directing contrary to existing social science research about the psychology and sociology of these institutions.88
The danger of the acceptance by appellate courts of poor or even wrong notions of social science or of mis- or over-interpretation of social science is significant89 in common law systems especially if appellate courts fail to identify: 1. the evidentiary source; 2. the purpose the information is being used for and limits of that purpose; 3. the evaluation undertaken (if any). Without this information, a trial court has no way of contextualizing the appellate courts use of the information. (f) Judicial Notice The doctrine of judicial notice is an exception to the all but universal rule that matters
82 83 84 85 86 87 88 89
And his article Child Sexual Abuse Accommodation Syndrome (1983), 7 Child Abuse and Neglect 177. M. (K) v. M. (H.) (1992), 96 D.L.R. (4th) 289 (S.C.C.), at 300. See, for eg., R. v. Norman (1993), 26 C.R. (4th) 256 (Ont. C.A.) referring to the trial Judges improper use of the Child Sexual Abuse Accommodation Syndrome. J. Myers, The Tendency of the Legal System to Distort Scientific and Clinical Innovations (1994), 18 Child Abuse and Neglect 505, at 508. See below, note 143. C. Baar, Criminal Court Delay and the Charter: The Use and Misuse of Social Facts in Judicial Policy Making (1993), 72 C.B.R. 305. Parham v. J. R. (1979), 442 U.S. 584 (U.S. S.C.). G.S. Perry and G.B. Melton, Precedential Value of Judicial Notice of Social Facts: Parham as an Example (1983-84), 22 Journal of Family Law 633, at 635. Ibid., at 633.
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relevant to determination of a proceeding mast be established by formal proof.90 When it works and how it is used has long been and remains a matter of controversy one area of which is the Morgan-Wigmore Controversy. I would summarize it as follows: (a) The principle of judicial notice is ancient. Bracton reported the maxim over seven centuries ago: ea que manifesta sunt, non indigent probabcione (that which is obvious need not be proved).91 (b) Morgan viewed judicial notice as being available only with respect to matters that were indisputable, and in consequence viewed judicially noticed matters as not being rebuttable.92 As such, Morgan described the sitting judges role and discretion in taking judicial notice of indisputable matters extremely broadly:
The judge is unrestricted in his investigation and conclusion. He may reject the propositions of either party or both parties. He may consult the sources of pertinent data to which they refer or he may refuse to do so. He makes an independent search for persuasive data or rest content with what he has or what the parties present.93
(c) Wigmore, on the other hand, saw judicial notice as a means of expediting proof, as a way for trial Judges to shorten and simplify trials. From this point of view, while the court may be seen as assuming or presuming a matter is not capable of dispute, the parties are not prevented from disputing it with evidence.94 Obviously for the parties to have an opportunity to do so they must have notice of and an opportunity to dispute the assertion or assumption put forward by the trial fudge. Two realities impact on the use of judicial notice as contemplated by Wigmore and Morgan:
[J]udges have never believed themselves to be restricted by a rule that requires them to notice only indisputable facts...;95 and The bulk of social science probably cannot be called clearly indisputable. Even though anyone would prefer to found law-making upon clearly indisputable facts, the practical choice is often between proceeding in ignorance and following the uncertain, tentative and far from indisputable searchings of social science...for the simple reason that clearly indisputable facts are not available.96
Indeed much of social science is based on clinical experience and practice, rather than being derived from rigorous research.97 (g) Some Generalizations
90 91 92 93 94 95 96 97
J. Sopinka, S.N. Lederman and A.W. Bryant, The Law of Evidence in Canada, (Toronto: Butterworths, 1992), at 976. J.T. McNaughton, Judicial Notice: Excerpts Relating to the Morgan-Wigmore Controversy (1961), 14 Vanderbilt L.R. 779. E. Morgan Judicial Notice (1944), Harvard L.R. 269. Ibid., at 270-271. McNaughton, above, note 91, at 782-783. E .F. Roberts, Judicial Notice: An Essay Concerning Human Misunderstanding (1986), 61 Washington L.R. 1435, at 1438. K.C. Davis, A System of Judicial Notice Based on Fairness and Convenience (1964), Perspectives on Law 69, at 87. B. Sales, Social and Behaviourial Science Evidence in Litigation: Is it a Special Type of Scientific Evidence? (1995), 2 Shepards Expert and Scientific Evidence (1995) 321, at 325.
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There are some generalizations that can be made from my examination of the ways social science comes to court. The law of exert evidence and learned treatise is seeing increasing focus on the role of the judge in critically evaluating, limiting and restricting the use and scope of expert evidence. There is little law regulating the use of Brandies Briefs by appellate courts but calls for their use in trial courts. The independent securing and use of reports, studies, literature by trial courts has been restricted and criticized by a number of appellate courts, often citing due process and procedural concerns. Social sciences use as precedent suffers from the fact that social science is not static, can be misused and may in itself or its adoption involve faulty assumptions. Judicial notice has been historically controversial that controversy involving twin issues. First whether only indisputable facts can be noticed; second whether notice of a courts intention to use judicial notice most be given the parties. 3. FROM DAVIS TO MONAHAN AND WALKER TO JUSTICE LHEUREUX-DUB (a) Davis Following Muller v. Oregon:98
[L]egal scholars were hard pressed to explain an apparent anomaly: How was it that Brandeis could present research to the Supreme Court in a written argument (brief) when facts were supposed to be introduced by the oral testimony of witnesses at a trial? This conundrum persisted until Kenneth Culp Davis in a seminal 1942 article distinguished two types of fact.99
Davis was attempting to explain, with the use of categorization, the actions of appellate courts in apparently admitting and considering social science evidence outside the normal rules of evidence. Davis did not treat the courts absorption of legislative facts outside the rules of evidence as judicial notice, though he felt some courts conduct independent research under the guise of judicial notice.100 His view was that judicial notice was not capable of dealing with disputed facts.101 (a) Davis made a distinction between legislative facts, facts used by courts to help decide questions of law or policy and adjudicative facts, questions that were important only to the immediate parties to the dispute or litigation.102 (b) Davis suggested that adjudicative facts should be presented via witnesses, expert or otherwise, and that legislative facts could be presented to the court in its capacity of lawmaker. The rules of evidence regarding legislative facts were less than clear.103 Monahan and Walker, in fact, have opined that The rules of evidence did not apply to Brandeis social
98 99 100 101 102 103
(1908), 208 U.S. 412 (U.S.S.C.). J. Monahan and L. Walker, Social Science Research in Law: A New Paradigm above, note 8, at 465. K.C. Davis Social and Economic Facts Appraisal of Suggested Techniques for Presenting Them to the Courts (1948) 61 Harv. L.R. 692, at 697. Ibid., at 696. K.C. Davis, An Approach to Problems of Evidence (1942), 55 Harv. L.R. 364. K.C. Davis, Facts in Lawmaking (1980 80 Columbia L.R. 931, at 940.
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science materials: they were legislative facts.104 One of the means of establishing legislative facts is judicial notice. We are getting a little circular. (c) Two factors impact upon the use of this analysis in a family law trial context: (i) Davis spoke from an American perspective, one that saw the jury as the fact finder of adjudicative facts. He was not focused on family law in any way. There are no juries in a Canadian family law context no separation of role between judge and jury; no structuring of separation between adjudicative and legislative fact finding. (ii) The picture is complicated by a tendency of any brite-line distinction between adjudicative and legislative facts to dissolve in practice.105 Outer authors have made the same point. The precise line of demarcation between adjudicative and legislative facts is not always easily identifiable.106 The delusive simplicity of the distinction between questions of law and questions of fact has been found to be a will of the wisp by travellers approaching it from several directions.107 From a trial Judges perspective, this cannot be overemphasized. A trial Judge makes on the spot decisions before the parties. If academics cannot distinguish these categories there is little chance for the trial Judge. (b) A Legacy of Davis: Monahan and Walker Monahan and Walker took their cue from Davis, attempting to build on and improve his analysis, wading in with proposals concerning the general use of social science evidence by courts. Monahan and Walkers108 analysis has been endorsed by the writings of Justice LHeureux-Dub109 and the Ontario Court of Appeal. (i) The Problems Monahan and Walker Address In their seminal article, Monahan and Walker make it clear that they are attempting to address not problems with judicial notice but problems with the securing and use of social science by courts:
Obtaining social science research has been cumbersome and sometimes controversial, evaluating research has been frustrating and uncertain, and establishing stable judicial views of particular empirical findings has proven elusive. We contend that these problems stem largely from an early and unfortunate determination that social science materials should be treated as facts even when used to formulate a rule of law.110
104 105 106 107 108 109 110
J. Monahan and L. Walker, Judicial Use of Social Science Research After Daubert (1995), 2 Shepards Expert and Scientific Evidence 327, at 329. J.W. Strong (Gen. ed.), McCormick on Evidence, 4th ed., Vol. 2 (West Publishing, 1992), at 387. M.H. Graham, Judicial Notice of Adjudicative and Legislative Facts (1981), 17 Criminal Law Bulletin 241, at 243. N. Isaacs, The Law and the Facts (1922), 22 Columbia L.R. 1, at 1. Croak v. Canadian General Insurance (1995), 25 O.R. (3d) 505 (C.A.). Above, notes l, 2. J. Monahan and L. Walker, Social Authority: Obtaining, Evaluating and Establishing Social Science as Law (1986), 134 U. of Penn. L.R., 477, at 478.
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We should make no mistake the use of social science evidence by courts has been problematic whether viewed from the perspective of how do we get it? or what do we do with it? They are, however, different questions. Further,
There is a significant difference between the question Is X scientifically reliable? and the question Do scientists consider X scientifically reliable? The first is asking a scientific question and demands a scientific answer, i.e., the kind of evidence proof and explanation required by scientists in the pertinent field. Thus a judge asking the first question must review the evidence internally evaluating the principles and methodologies underlying the evidence. The second question...involves evaluating the scientific credibility of the experts rather than trying to evaluate the scientific reliability of the evidence directly...111
The impact of this distinction on judges and their ability to deal with the first question is seen in the observation of another Trial Judge.
Judges, trial and appellate, generally are not recruited from within the ranks of behaviorial research scientists. They tend to have little formal, post-secondary science education, behaviorial or otherwise, beyond the introductory courses required by their undergraduate programs, except as is provided in continuing judicial education programs. They tend to have no particular training in statistical analysis as it relates to scientific research...In short they tend to be scientifically ignorant, which means they are not acquainted with, let alone conversant, with scientific practice or language.112
(ii) The Propositions of Monahan and Walker These are the problems Monahan and Walker seek to address with their analysis. They have written a series of articles and developed a casebook on the use of social science evidence in the legal process. Their writing recognizes that there is no brite-line distinguishing Davis adjudicative facts from legislative facts. Using new nomenclature they create a third category. Their material inclines the following: 1. Obtaining social science research that bears on an adjudicative fact...is governed by the normal rules of evidence...113 In other writing they refer to adjudicative facts as the conceptual equivalent of social facts114 and suggest the precedential value of social science evidence used in this context exists only to the extent that it determines whether the social science methodology used is or is not a legally acceptable way to prove a given claim. They define methodology as the generic term used to characterize how social scientists go about answering factual questions115 and
111 112 113 114 115
P.S. Milich, Controversial Science in the Courtroom: Daubert and the Laws Hubris (1994), 43 Emery L.J. 913, at 918. A.G. Gless Some Post-Daubert Trial Tribulations of a Simple Country Judge: Behavioral Science in Trial Courts (1995), 13 Behavioral Science and the Law 261, at 263. J. Monahan and L. Walker, Judicial Use of Social of Science Research, above, note 8, at 578 and J. Monahan and L. Walker Judicial Use of Social Science Research After Daubert, above, note 8 at 336. Social Facts: Scientific Methodology as Legal Precedent (1988), 76 Calif. L.R. 877. Ibid., at 885.
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use the case of Palmer v. Schultz116 as an example117 (the case involved the use of statistical analysis to prove discrimination).
In Palmer v Schultz, a class of female Foreign Service Officers brought suit against George Schultz as Secretary of State alleging sex discrimination in violation of Title VII of the Civil Rights Act of 1964. The plaintiffs offered data showing disparities between the assignments and promotions given male and female Foreign Service Officers, along with statistical analyses in order to demonstrate the improbability that these disparities resulted by chance. The district court disparaged this empirical evidence and concluded that no discrimination had been proven. The Court of Appeals, however, rules that the District Court had committed a number of legal errors including the application of the wrong test of statistical significance to the plaintiffs data. The Court of Appeals noted that not only was the District Court bound by legal principles derived from several previous Court of Appeals decisions regarding statistical evidence, but it also was itself constrained by two prior decisions of the United States Supreme Court, Castenada v. Partida and Hazelwood School District v. U. S. Chief Judge Patricia Wald stated: Given the language of the Supreme Court in Castenada and Hazelwood we do not believe that we can allow the threshold at which statistical evidence alone raises an inference of discrimination to be lower than 1.96 standard deviations, this decision under the current law must be made by the Supreme Court (or Congress).
Monahan and Walker point out that several cases have interpreted U.S. Supreme Court decisions as precedents mandating the use of standard deviation analysis to establish a prima facie case of employment discrimination.118 2. It is Davis analysis of legislative adjudicative facts that provides the springboard for Monahan and Walkers innovations. They say of Davis:
It was Professor Davis position that the rules of evidence for finding facts which form the basis for creation of law and determination of policy should differ from the rules for finding facts which only concern the parties in a particular case (Davis, K. C., An Approach to Problems of Evidence in the Administrative Process, (1942) 55 Harv. L.R., 364). In this manner Davis justified the Supreme Courts practice in Muller v. Oregon (1908), 208 U.S. 412 of disregarding the rules of evidence by accepting facts on appeal and in a brief. The rules of evidence did not apply to Brandeis social science materials: they were legislative facts.119
3. Monahan and Walker adopt the phrase social authority as the equivalent of Davis legislative facts but go on to observe:
In recent years, however, courts have begun to confront uses of social science research that do not conform to the established classification. There are increasing indications that a new, third use of social science in law is emerging...a third category has been proposed, termed social framework to denote the use of general conclusions from social science research to determine factual issues in a specific case.120
One of the cases they use as an example of this new category (re social framework) is State v.
116 117 118 119 120
(1987), 815 F (2d) 84 (D.C. Cir.). Above, note 115, at 878-879. Above, note 114. J. Monahan and L. Walker, Judicial Use of Social Science Research After Daubert, above note 8, at 329. Ibid, at 338-339. The source of the proposed third category is their previous writing.
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Myers.121 The trial court had allowed the prosecution to introduce a social scientist as an expert witness to describe the behaviourial traits typically observed in abused children, traits that were also seen in the child victim/complainant. The Minnesota Supreme Court upheld a conviction on appeal stating:
background data providing a relevant insight into the puzzling aspects of a childs conduct and demeanor which a jury could not otherwise bring to its evaluation is helpful and appropriate.
Some might regard this as are example of judicial error in the use of social science evidence rather than evidence of a third category.122 4. Monahan and Walker suggest a two stage set of procedures for the judicial management of obtaining social framework evidence: (i) [T]he generality that social frameworks share with research used as legislative fact or social authority suggest analogous procedures for obtaining, evaluating and establishing social frameworks obtain the research either in briefs ac through the courts own investigation, evaluate it as legal precedent is evaluated and have one courts decision on a social framework affect later courts as one courts decision on a matter of law affects other courts...123 (ii) [T]he specificity that social frameworks share with research used as adjudicative or social fact suggests similar procedures for communicating the courts conclusion to the jury: via instruction...(if) the empirical propositions were supported by valid research...124 They seek to have social framework treated as legislative fact (social authority) its being capable of being acquired outside the rules of evidence. They suggest it will be evaluated as legal precedent is. I am unclear what they mean. Could a lower court examine Myers and find there was no on the record inquiry as to whether the empirical propositions were supported by valid research and not be bound by the Minnesota Supreme Court? They do not say. 5. They do, to their credit, identify four criteria for which courts should evaluate social authority and social framework:
Courts should place confidence in a piece of scientific research to the extent that the research (1) has survived and critical review of the scientific community; (2) has employed valid research methods, (3) is generalizable to the case at issue; and (4) is supported by a body of research.125
121 122 123 124 125
(1984), 359 N.W. (2d) 604 (Minn.S.C.). Olscamp v. R. (1994), 35 C.R. (4th) 37 (Ont. Gen. Div.). Ibid. Above, note 120, at 339-340. J. Monahan and L. Walker Social Authority, Obtaining, Evaluating and Establishing Social Science at Law (1986), 134 U. of Penn. L.R. 477, at 499.
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Their writing emphasizes that this sort of evaluation must take place for judges to inject new material into the trial process. 6. Finally they address the how of courts gaining material and evaluating it, suggesting that courts adhere to the following steps when addressing an empirical question (concerning human behaviour): (i) Determine whether the substantive law governing the case raises an empirical issue to which social science research may be pertinent. (ii) If so, determine whether the empirical issue bears on an assumption underlying the choice of a legal rule that has general applicability, a factual dispute pertaining only to the parties before the court, or a mixture of the two in which general empirical information provides a context for determining a specific fact. (iii) If the empirical issue concerns an assumption underlying the choice of a legal rule of general applicability (a) receive social science studies in briefs submitted by the parties or amici; (b) if the parties or amici do not submit social science studies, request such studies from the parties or amici, or obtain them from the courts own sua sponte investigation of published sources; (c) evaluate any available research by determining whether the research has survived the critical review of the scientific community, has used valid research methods, is generalizable to the legal issue in question, and is supported by a body of related research; (d) if no acceptable research is available, candidly state this conclusion in the opinion. In common law cases, rely upon the empirical assumption that appears to be the most plausible. In reviewing state action, rely upon the legally appropriate standard of review in determining where to place the burden of omission. (iv) If the empirical issue concerns a factual dispute bearing only on the parties before the court (a) determine the party with the burden of proving the contested fact; (b) determine whether the law governing the case makes empirical research an appropriate form of evidence for meeting this burden; (c) if empirical research does constitute an appropriate form of evidence, allow the admission of direct and rebuttal expert testimony subject to the applicable federal or state rules of evidence; (d) if the party with the burden of proof does not produce relevant expert testimony, weigh this omission in determining whether the burden has been met. (v) If the empirical issue concerns the provision of a general context within which to determine a fact pertaining only to the parties (a) obtain and evaluate social science research as specified in 3(a) through (c), above; (b) in cases tried before a jury, communicate the conclusions by means of jury instructions.126
126
J. Monahan and L. Walker, Judicial Use of Social Science Research After Daubert (1995) 2 Shepards. Expert and
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It is clear that an essential element of Monahan and Walkers proposals is the assertion that courts should be visible, explicit, and fair in addressing issues related to the use of social science. (c) Back to Justice Claire LHeureux-Dub Justice Claire LHeureux-Dub does not, is her writing,127 distinguish in any precise way the assertions of Monahan and Walker and her conception of the expansion of the use of judicial notice. She asserts:
(a) Where the research serves either social authority or social framework, they argue that its generality suggests such research be most appropriately introduced in the same way as would legal precedent by way of legal brief...On the question of judicial investigation, Walker and Monahan are equally informative. Judges should be free to conduct their own research of social authority and social framework in much the same way that they might search independently for legal precedents that the parties they have failed to point out...128 (b) ...the purpose of social framework evidence however, is only to ensure that the parties claims are considered by the judge in a context that is that is reflective of social realities.129 (c) ...judges should encourage the parties participation in the search for relevant social authority or framework...Parties lack of participation...should not preclude judges from undertaking their own research or permit them to look only at indisputable sources...130 (d) Judicial notice is an important vehicle by which to ensure that the family law systems remains both accessible and worthwhile to the people who need it most 131 (e) In a complex society with increasingly involved rules and relationships, it is no longer acceptable for courts to foist the responsibility for lawmaking on legislatures.132 (f) ...Though judicial notice as a proper device in family law is not new its use appears to have escalated since it received the Courts blessing in Moge...It is now up to courts in support and custody disputes to take the baton and run with it...133
Justice LHeureux-Dub acknowledges some of the concerns and cautions related to the expanded use of social science evidence by judges, but minimizes them and issues concerning judges ability and role in evaluating social science:
(a) If judges are incapable of properly assessing the value of social science evidence, then there may be a significant risk of erroneous analysis. This risk, in turn, can constitute legitimate grounds for caution, and for requesting the parties to make submission on the parties to make submissions on social science evidence of which the judge proposes to take notice. This concern must, however, be evaluated in light of several other considerations...the cost. .. (of expert witnesses, trials)134 (b) ...the danger that incorrect conclusions will be reached...is not as daunting as it may initially appear...Lawyers and judges...generally tend to approach the social sciences with skepticism.135
Scientific Evidence 327, at 340-341 Above, note 2. Ibid., at 555-557. Ibid., at 565. Ibid., at 571. Ibid., at 573. Ibid., at 574. Ibid., at 577. Ibid., at 568. Ibid., at 569.
127 128 129 130 131 132 133 134 135
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(c) while concerns about the complexity of the research may very well be legitimate in certain fields of the law, data that would be habitually used for the purposes of social framework in family law should not generally be as difficult to handle...In those rare cases where the court is, in fact, confronted with a difficult field of social science that is integral either to a legal rule or to establishing the proper social framework for the evidence then the other means open to a court under the circumstances is to appoint an expert...136 (d) ...judges are well advised to take heed of the guidelines on evaluating social science research advanced by the likes of Monahan and Walker. One cannot, however, disregard the arguments of commentators that have criticized Monahan and Walkers approach on the basis that it may preclude from consideration certain types of social science research, such as anecdotal evidence, which plays an important role in acquainting courts with reality as it is experienced by others...Monahan and Walkers proposals are better viewed as going not so much to the question of whether a judge can take note of and consider such authorities as to the issue of weight which is to be attributed to such sources...137 (e) ...where research once thought to be useful is subsequently discredited by other, reliable research then, as Monahan and Walker point out lower courts need not continue to follow blindly legal rules that rely upon the discredited research, or engage in Olympian efforts to distinguish it...they can point to the fact of the discredited research and undertake a new inquiry into the rationales upon which the impugned legal rule is founded.138
QUESTIONNAIRE/SURVEY (a) Background/Methodology I agree with Justice LHeureux-Dub that the receipt of (and use) of social science evidence in family law deserves far more attention than we, as judges, have given it. I am unsure, however, whether the use of judicial notice effectively increasing my discretion in determining what information I base my base my decisions on is appropriate. I am not comfortable with her selective endorsement of Monahan and Walkers nomenclature while diminishing the importance of their process. I say this as a trial Judge who rationalizes his personal obligation to the pursuit of justice as lying in process and procedure as much as in result. Using a survey, I undertook to attempt to learn something of the views of other judges and lawyers concerning the use of social science in the courtroom and how that evidence gets there. I provided a questionnaire to judges and lawyers dealing with the use of social science and economic information in family law. The questionnaire was sent to approximately 80 judges in October and November, 1995. The questionnaire was answered by 37 judges. They were predominantly from Nova Scotia. Judges from British Columbia, Alberta, Saskatchewan, Ontario, and New Brunswick also answered. Both federal and provincial court judges took part; the provincial court judges were specialist
136 137 138
Ibid., at 569. Ibid., at 570. Ibid., at 571.
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judges sitting in the Family Court of either Nova Scoria or Alberta. The federally appointed judges answering were all from general jurisdiction courts (including the Courts of Appeal of three provinces). The questionnaire was also answered by 31 lawyers, the majority of whom attended a Canadian Bar Association Family Law Subsection program in Nova Scotia in November of 1995. The questionnaire was provided to 40 lawyers in total. The questionnaire was set up as follows: (a) Respondents were asked to assume they were a trial Judge; (b) A family law issue involving social science or economic evidence was described; (c) A series of yes/no questions concerning the manner of use/receipt of the evidence followed. Section G of the questionnaire was effectively a series of short answer questions. Few of the respondents answered this portion of the questionnaire in its entirety and in retrospect the questionnaire was, put politely, overly ambitious, put frankly, too long. My review of the questionnaire will, accordingly, refer to sections A-F of the questionnaire with the exception of two questions from section G that were answered by a majority of the respondents. The social science/economic scenarios139 that questions A-F referred to were as follows: A A quote from William Hodges book Interventions for Children of Divorce140 concerning recommended access arrangements for infants. The question related to the determination of access for a four-month old. I will refer to this as the Hodges scenario. I chose it because Hodges book has been referred to, relied upon in a number of Nova Scoria decisions.141 B This involves an alleged touching of adult genitals by a five year old. There is a reference to an article by Rosenfeld, et al142 suggesting that incidental touching of parental genitalia was not uncommon for two to ten year olds. The issue was whether or not abuse had occurred. I will refer to this as the Rosenfeld scenario. I chose this as I was not aware of this study having been referred to by any Canadian court and it appears (as I described it) more empirically based than the other social science scenarios. C An outline of Roland Summits Child Sexual Abuse Accommodation Syndrome143 was referred to. The issue was access by a father to a child (11) who had retracted an allegation of sexual abuse against her. I will refer to this as the Summit scenario. I chose this
139 140
See Appendix A of this article. Wm. Hodges, Interventions for Children of Divorce: Custody, Access and Psychotherapy, 2d ed., (John Wiley and Sons Inc.: New York, 1991) 141 For eg. MacDonald v. Keddy-Smith (1991), 111 N.S.R. (2d) 356 (Fam. Ct.); H.S. v. H.P. (1993), 117 N.S.R. (2d) 349 (Fam. Ct.); Morrow v. Gillis (1994), 131 N.S.R. (2d) 280 (S.C.); C.A.S. of Halifax v. K.P. and D.P. (1994), 136 N.S.R. (2d) 284 (Fam. Ct.). 142 A. Rosenfeld, R. Bailey, et al, Determining Incestuous Contact Between Parent and Child: Frequency of Children Touching Parents Genitals in a Non-Clinical Population (1986), 25 J. of Am. Acad. of Child Psychiatry 481. 143 R. Summit, The Child Sexual Abuse Accommodation Syndrome (1983), 7 Child Abuse and Neglect 177.
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syndrome because it has been referred to by Canadian coarts144 and is very controversial if used diagnostically (i.e. to prove abuse).145 D The fourth scenario quotes from R. v. Lavallee146 and the Supreme Court of Canadas reference to Dr. Lenore Walkers book The Battered Wife Syndrome (B.W.S.). The issue relates to an application for spousal maintenance by a woman alleging she is a victim of B.W.S. asserting she cannot seek employment due to learned passivity. I chose this because the Supreme Court of Canada has, in a totally different context, adopted this syndrome (in R. v. Lavallee). Further it is a syndrome that has been the subject of, if not criticism, elaboration.147 E This scenario (inflation) deals with a maintenance variation. Inflation is an issue and statistics are available from Stats Canada a phone call away. I chose this scenario because it was economic, easily obtained and easily verifiable. F This scenario deals with the 1995 report of the Federal/Provincial/Territorial Family Law Committee148 recommending child support guidelines for Canada. The issue is child support and the use of the guidelines as referred to in the report. There are a number of ways in which this questionnaire can/could be examined. I prepared it to get some general idea of the views of judges and lawyers on the use, receipt of social science/economic information by courts. (b) Results (i) Use of Expert Witnesses (a) For each of scenarios A, B, C, D and F, respondents were asked (Question A(1)(a), B(1)(a), C(1)(a), D(1)(a), E(1)(a)) if they would allow an expert witness who had involvement with the parties to testify quoting the material referred to. Overwhelming judges and lawyers alike responded affirmatively. Perhaps surprisingly the most caution was seen with the economic question (E(1)(a)). (b) Respondents were also asked if they would allow the expert to refer to the scenario literature if the expert had not had any contact with the parties (Questions A(1)(b), B(1)(b), C(1)(b), D(1)(b), F(1)(b)). Here there was more caution and difference. The responses were as follows:
144 145
146 147 148
K.M. v. H.M. (1992), 96 D.L.R. (4th) 284 (S.C.C.) per LaForest, S.C., at 305-307. See R. Levy, Using Scientific Testimony to Prove Child Sexual Abuse (1989), 23 Fam. L.Q., 383; R. Summit, Abuse of the Child Sexual Abuse Accommodation Syndrome (1992), 1 Journal of Child Abuse and Neglect, 153; Wm. F Stewart and R. Young, The Rehabilitation of the CSAAS in Kentucky (1992), I Journal of Child Sexual Abase, 133; J. Myers, above, note 85. (1990), 76 C.R. (3d) 329 (S.C.C.). Above notes 79 and 80; also J.R. Johnston and L.E.G. Campbell, Parent-Child Relationships in Domestic Violence Families Disputing Custody (1993), 31 Family and Conciliation Court Review 282. January, 1995, Department of Justice Canada, Cat. No. J2-129/1995E.
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Would you allow an expert who had no contact with the parties to testify quoting this material?
FT A(1)(b) Hodges access Yes No B(1)(b) Rosenfeld genital touching Yes No C(1)(b) Summit sexual abuse Yes No D(1)(b) Walker B. W, S. Yes No F(1)(b) Child support guidelines Yes No 11 5 9 5 9 7 9 7 8 8 CA 5 1 5 1 4 1 4 1 5 1 F 10 5 10 5 7 7 10 5 10 4 TJ 26 11 24 12 20 15 23 13 23 13 L 13 18 14 17 16 15 11 20 7 24 C149 39 29 38 29 36 30 34 33 30 37
Comment Court of Appeal judges were more comfortable with the admission of the evidence than any other group, perhaps making the distinction between admission of evidence and reliance upon it. Trial judges are far more cautious with experts who had not seen the parties than those who had. In all the scenarios close to 50 per cent or more of the lawyers would not allow such testimony.
(ii) Lay witnesses For each scenario respondents were asked if they would allow a party or lay witness to testify and refer to the social science or economic data (Questions A(2), B(2), C(2), D(2), E(2) and F(2). The responses were as follows:
149
FT - Federal Trial Judge; CA - Court of Appeal Judge; F - Family Court Judge; TJ - Total Judges; L - Lawyers; C Combined lawyers and judges.
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FT A(2) Hodges access Yes No B(2) Rosenfeld genital touching Yes No C(2) Summit sexual abuse Yes No D(2) Walker B. W. S. Yes No &(2) inflation-support Yes No F(2) child support guidelines Yes No 5 11 4 11 4 12 1 15 3 13 6 16
CA 2 4 2 4 2 3 1 4 5 1 4 2
F 13 2 13 2 11 3 8 7 4 11 10 5
TJ 20 17 19 17 16 18 10 26 12 15 20 17
L !5 16 15 !5 16 15 7 24 4 27 12 19
C 35 33 34 32 32 33 17 50 16 42 32 36
Comment The vast majority of federally appointed judges would not allow such testimony. The vast majority of family court judges would. The family courts are more informal, publicly accessible courts. They see more unrepresented family law clients. They are specialized as opposed to general jurisdiction courts. Lawyers generally speaking were split evenly with the exception of two issues - the Battered Wife Syndrome (which has been referred to by the Supreme Court of Canada)150 and inflation (which is easily verifiable). Interestingly the vast majority of lawyers would not allow lay witnesses to refer to these sources.
(iii) Continuing Education (a) For scenarios A, B, C, D, and F, the respondents were asked whether they would rely on or refer to the source in coming to their decision if it had come to their attention through a continuing education program (question A(3)(a), B(3)(a), C(3)(a), D(3)(a), F(3)(a)).
150
R.. v. Lavallee, above, note 146.
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FT A(3)(a) Hodges access Yes No B(3)(a) Rosenfeld genital touching Yes No Uncertain C(3)(a) Summit sexual abuse Yes No Uncertain D(3)(a) Walker B. W. S. Yes No E(3)(a) child support guidelines Yes No 10 6 9 6 10 6 9 6 13 3
CA 4 1 2 2 2 2 3 1 4 1
F 13 2 13 2 2 12 2 1 11 3 14
TJ 27 9 24 10 24 10 23 10 31 4
FL 14 17 13 18 2 15 16 15 16 21 10
C 41 26 37 28 39 26 38 26 52 14
Comment. Judges clearly are prepared to refer to and rely upon material obtained at continuing education programs; lawyers would be more cautious in its use (with the exception of child support guideline materials).
(b) Respondents were asked if they would bring a source from a continuing education program to the attention of counsel or the parties before making a decision (questions A(3)(c), B(3)(c), C(3)(c), D(3)(c), F(3)(c)).
FT A(3)(c) Hodges access Yes No B(3)(c) Rosenfeld genital touching Yes No C(3)(c) Summit sexual abuse Yes No D(3)(c) Walker B. W. S. Yes No F(3)(c) Child support guidelines Yes No 8 8 9 5 8 7 8 6 11 4 CA 4 1 2 2 2 2 3 1 5 1 F 11 4 12 3 10 2 12 2 14 1 TJ 23 13 23 10 20 11 23 9 30 6 L 22 9 20 11 19 9 21 10 23 8 C 45 22 43 21 39 20 44 19 53 14
Comment: One-third to one-half of the federal, general jurisdiction judges would not bring such a social science source to the attention of counsel or the parties, one-third of lawyers would not. For all groups, a significant majority would bring the child support guidelines source to the attention of counsel for the parties.
(c) Question A(3)(d) asked judges if they had brought social science material to the attention of counsel before making a decision.
FT A(3)(d) Yes No 2 13 CA 1 5 F 11 5 TJ 14 23
Comment: While there is a clear distinction between the family court and federally appointed judges, caution must be had - the federal }edges as general jurisdiction judges have far fewer family law cases than family court judges. Some of the differential in this response is undoubtedly attributable to this jurisdictional reality.
(g) Question A(3)(e) asked judges if they had relied on social science material without bringing it to the attention of counsel before making a decision.
FT A(3)(e) Yes No 3 73 CA 1 5 F 5 11 TJ 9 29
I am mildly surprised at the response - my own answer would be yes.
(iv) Submissions by Counsel For each of scenarios A, B, C, D, and F, respondents were asked three questions related to the submission of material by counsel. (a) Respondents were asked if they would allow submission of the social science material to them by way of brief:
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FT A(4)(a) H Yes No B(4)(a) Rosenfeld genital touching Yes No C(4)(a) Summit sexual abuse Yes No D(4)(a) Walker B. W S. Yes No F(4)(a) Child support guidelines Yes No 14 2 13 2 13 3 12 4 16 -
CA 6 4 1 4 1 4 1 6 -
F 13 2 14 1 12 2 13 1 14 -
TJ 28 3 31 3 29 6 29 6 36 -
L 28 7 21 10 24 7 23 8 27 4
C 56 10 52 13 53 13 52 14 63 4
Comment: Judges are obviously prepared to accept social science and economic submissions by way of brief. While the majority of lawyers agree, roughly 20 per cent of lawyers would not allow such submissions were they judges.
(b) Respondents were asked for scenarios A, B, C, D, and F whether they could if they allowed a submission by brief, then rely upon the source in coming to a decision.
FT A(4)(b) Hodges access Yes No B(4)(b) Rosenfeld genital touching Yes No C(4)(b) Summit sexual abuse Yes No D(4)(b) Walker B, W. S. Yes No F(4)(b) Child support guidelines Yes No 11 5 9 6 10 6 11 5 13 3 CA 5 1 3 2 3 2 3 2 4 1 F 10 4 12 3 10 3 13 13 2 TJ 26 10 24 11 23 11 26 7 30 6 L 18 11 35 13 24 7 18 13 22 8 C 44 21 39 24 47 18 44 20 52 14
Comment: Significantly a number of judges who would allow submission by brief do not feel they can rely on the information in coming to a decision.
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(c) Respondents were asked if they would allow the material to be referred to by counsel in oral argument.
FT A(4)(c) Hodges access Yes No B(4)(c) Rosenfeld genital touching Yes No C(4)(c) Summit sexual abuse Yes No D(4)(c) Walker B. W. S. Yes No F(4)(c) Child support guidelines Yes No 15 14 1 15 1 13 2 16 CA 6 4 1 4 1 4 1 5 1 F 15 12 3 12 2 13 1 15 TJ 37 30 5 29 4 30 4 36 1 L 22 9 20 11 22 9 19 12 26 2 C 59 9 50 16 41 13 49 16 52 3
Comment: All participants are quite prepared to allow counsel to refer to the material in oral argument.
(v) Precedent (a) Respondents were asked, in reference to the material in scenarios A, B, and C if they could be relied upon if adopted by an appeal court in their jurisdiction.
FT A(5) Hodges access Yes No B(5) Rosenfeld genital touching Yes No C(5) Summit sexual abuse Yes No 14 3 11 4 13 3 CA 6 5 0 4 1 F 13 2 14 0 13 1 TJ 33 5 30 4 30 4 L 26 4 24 5 26 5 C 59 9 54 9 56 9
Comment: Clearly adoption151 of social science material by appellate courts impacts upon the preparedness of trial courts to use that material. Summits article has been referred to by the Supreme Court of Canada.152
151 152
I did not define adopted. Above, note 82.
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(b) In relation to Walkers Battered Wife Syndrome, respondents were asked: D(5)(a) Can counsel properly make written submissions relating to Walkers writing, quoting these excerpts from the Supreme Court of Canada but not submitting expert testimony?
Yes No FT 11 5 CA 4 1 F 13 2 TJ 28 8 L 15 15 C 43 23
D(5)(b) Can you then rely on them as precedent?

Yes No FT 8 8 CA 2 3 F 7 7 TJ 17 18 L 10 19 C 27 37
Comment: Clearly there is significant uncertainty concerning the use of the Battered Wife Syndrome (as referred to by the Supreme Court of Canada) as precedent.
The majority of respondents are, however, comfortable with its submission to the Court. (vi) The use of Summits Child Sexual Abuse Accommodation Syndrome has been the subject of critical comment153 which has repeatedly indicated that the syndrome should not be used diagnostically. Respondents were asked the following question: C(6) Summits syndrome was developed as a therapeutic tool for use with children known to have been abused. Have you or would you be comfortable in using it as a diagnostic tool, i.e. in determining if sexual abuse occurred?
Yes No Uncertain FT 3 12 1 CA 2 3 1 F 6 7 1 TJ 11 22 3 L 5 27 C 16 49 3
Comment: One must have concern when close to one-third of the judges surveyed would be prepared to use the syndrome diagnostically. (vii) Respondents were asked (I(2)(b)) whether our legal process as it concerns the receipt of social science or economic information is or should be different for family law as compared to other areas of law.
153
See above, note 149.
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Yes No Uncertain
FT 5 7 1
CA 2 1 1
F 9 2 3
TJ 16 10 5
L 18 6 -
C 34 16 5
Comment: While the overall majority of respondents feel family law is or should be different general jurisdiction judges appear evenly split on the issue.
(viii) John Monahans and Laurens Walkers writing has positively commented upon and referred to by Justice Claire LHeureux-Dub.154 Respondents were asked if they were familiar with their writing.
FT I(2)(d) Yes No 16 CA 5 F 2 13 TJ 2 34 L 1 29 C 3 55
Comment: Two of the three individuals indicating familiarity with the writing confused Lenore Walker (of Battered Wife Syndrome writing) and Laurens Walker. Virtually none of the respondents were familiar with the writing of John Monahan and Laurens Walker.
(c) Summary I would offer some cautious155 observations from the Questionnaire: (a) Responding judges and lawyers alike are generally comfortable with expert witnesses referring to social science and economic material, if the expert has had contact with the parties to the litigation. (b) Almost one-third of judges and one-half of lawyers responding exhibit far more reluctance to allow the evidence if the expert has not seen the parties. (c) The vast majority of Federally-appointed general jurisdiction judges responding would not allow a lay witness to testify, referring to the social science or economic material. The majority of family court judges would. Lawyers were divided. (d) Judges were quite prepared to refer to and use material obtained at Continuing Education Programs. Lawyers would be more cautious in its use. (e) One-third to one-half of federal, general jurisdiction judges would not bring such material to the attention of counsel or the parties before making a decision; one-third of lawyers would not. (f) Judges are prepared to accept the submission of social science or economic material by way
154 155
Above, notes 1 and 2. I have no illusions that the questionnaire is good social science.
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(g) (h)
(i) (j) (k)
of brief or oral argument but there appears to be some confusion over to what use the material may then be put. Social science material adopted by appellate courts impacts positively upon the preparedness of trial courts to use that material as precedent. The adoption of the Battered Wife Syndrome by the Supreme Court of Canada is seen as enabling written submission of Walkers writing by counsel, by judges. Lawyers are evenly split on this. Somewhat paradoxically, all respondents are divided on whether the material can be used as precedent. One-third of judges world consider improperly using Summits Child Sexual Abuse Accommodation Syndrome as a diagnostic tool. While the overall majority of respondents feel the receipt of social science or economic material should be different far family law; general jurisdiction judges are evenly split on the issue. Virtually none of the respondents were familiar with the writing of Monahan and Walker. What can be said? There is a good deal of uncertainty.
5. SOME PERSONAL VIEWS Is it all just an impenetrable thicket?156 Are we aided by the expansion of the use of judicial notice?157 Chief Justice Edward D. Bayda of the Saskatchewan Court of Appeal delivered a paper at one of the first continuing education programs158 I attended as a young lawyer. He stated:
...those engaged in provoking new legal ideas and new directions for legal thinking, generally tend to concentrate on the substantive law... Too often, it is forgotten that, from the standpoint of attaining justice, the rules pertaining to the implementation of a law are as important as the law itself... It is when substantive law of considerable potential consequence is introduced that the generation gap between it and the adjective law (the procedural-evidential branch) is most noticeable.159
Estey, J.S.C., stated:160

156 157 158 159 160
The metaphor used by justice Sopinka, in Willick v. Willick, above, note 3. As suggested by Justice Claire LHeureux-Dub, above, note 2, The 1979 Federation of Law Societies Program on Family Law Calgary, Alberta. E.D. Bayda, Procedure in Child Custody Adjudication: A Study in the Importance of Adjective Law (1980), 3 Cdn. J. of Fam. L. 50, at 57-58. Leatherdale v. Leatherdale (1982), 30 R.F.L. (2d) 225 (S.C.C.), at 251.
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Family law, more than any other branch of law, must provide, where it is possible, simple and clear rules which readily tend themselves to application in trial courts...the simpler the fines, the easier their application by the courts, and even more importantly, the more readily applied by the legal advisers to the members of the family who must always strive to settle family differences without the delays, expense and pain of court proceedings.
We have a long way to go. I have some thoughts. (a) Is Family Law Different? I do believe that family law is unique in the nature of its subject matter. It is law, however, and as long as it lies, however uncomfortably, within an adjudicatory, adversary model, we must at least attempt to be predictable and accountable in our process. A trial Judge hearing family law matters should not be encouraged to inject facts into an adjudicatory process without the parties having notice and at least an opportunity to address them. Family law issues are heard by both specialized and general jurisdiction courts. General jurisdiction courts seem, from the questionnaire, less comfortable with there being special (but unidentified) evidentiary rules for family law. This is in my view predictable. Were I a general jurisdiction judge I would prefer one set of rules to operate under. That said, I do believe there are circumstances in fatuity law where a judge should have the ability to be more inquisitorial than some other proceedings.161(161) That discretion should be tempered and controlled by procedural rules, however, the most basic of which should ensure that the parties have an opportunity to deal with all of the evidence. Finally, process is important to justice and the perception of justice. Family law is value laden. In terms of result, justice in fatally law must be seen as being potentially, if not inevitably, capable of different definitions from different perspectives. A trial Judge will have great difficulty attaining justice if that concept is evaluated from each involved persons and societies perspective of what a just result is. The maxim you cant make everyone happy is no stranger to family law. A trial Judge can, however, come far closer to justice by ensuring that the process is or at least appears as fair as possible. (b) Lessons Learned My survey and review of the ways in which social science material traditionally comes to courts indicates:
161
Custody and child welfare proceedings, for example.
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(a) That with respect to expert evidence there is increasingly a critical focus on its limits and the judicial role of gate-keeper and evaluator. No one formula or recipe for the evaluation of the information has been established in Canada. (b) That the use of Learned treatises in cross-examination has been restricted to material that the witness is familiar with. The information that is permitted (to be put forward) is thus, in theory, subject to informed comment. (c) That there are few rules concerning the submission of social science and economic information by way of Brandeis Brief, written or oral submission. There is a good deal of uncertainty in the judges responding to the survey as to how such material can be used in decision-making. Historically the use of Brandeis Briefs has trickled down from appellate courts. I do not perceive them as having established clear procedural rules far the receipt of social authority or legislative fact. (d) That judicially secured information, i.e., information independently secured by trial Judges, has been repeatedly reviewed by appellate courts focusing on due process concerns. Have counsel and the parties had an opportunity to lead evidence and make submissions? is an oft-repeated question. The questionnaire results indicate that there is uncertainty in responding judges162 as to whether they must give notice of the use of such material. One source of such information for judges is continuing education programs. Their role in the provision of social science and economic information to judges should be under constant scrutiny. Critical examination of such material should be an important aspect of all judicial (and legal) continuing education that deals with social science. (e) That the use of social science and economic material by appellate courts will result in it being regarded by at least some trial Judges as precedent. We dont know when though and we dont know what to do with the fluidity of social science (and how that impacts an a precedent) or the risk and reality of improper use or evaluation of social science by judges concerns whenever social science and economic information is before a court. (f) That uncertainty and lack of clear procedural guidelines is even more problematic when unrepresented litigants are before a court. We have trouble articulating the rules. Why would we allow material by brief and not through a lay witness? These are recurring problems how are judges to receive social science, how are they to evaluate it, how are they to use it - Im back to the thorny question(s)... (c) What of Broadening the Use at Judicial Notice? There are problems with expansion of the use of judicial notice, but they are different depending upon how judicial notice is conceptualized. If we adopt the view of Wigmore, requiring that a court give the parties notice of the use of material, they will have an opportunity to address and lead evidence concerning the new information. We then eliminate or diminish due process concerns.
162
At least one-third of them.
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There are others: (a) Judges, particularly trial Judges, do not have the resources or training to research in the field of social science. (b) Judges have limited ability to evaluate social science. (c) Social science is not stable. (d) Social science is not always objective, and may itself be value-based. (e) The role of precedent is unclear. There is no evidence to indicate that an increased use of judicial notice would be a panacea for: (a) the problems of the fit between the adversarial system and family law; (b) the expense of experts; (c) the degree of discretion in family law decision-making (including the use of male (or other) stereotypes or norms). Judicial notice is capable of better definition by courts. If judicial notice of indisputable facts is taken, there are few procedural ramifications. If judicial notice is taken of controvertible facts the parties and their counsel should have timely notice of their use and an opportunity to lead evidence and/or make submissions in relation to the noticed material. Used in this fashion it can effectively and fairly expand information available to the decision-maker, providing more social context. There are two aspects of Justice L Heureux-Dubs conceptualization of judicial notice that are problematic for me her suggestion that courts can inject disputable facts into the process without notice to the parties and her diminuation of the importance of critical visible evaluation of social science and economic information by judges. I do recognize that she does so recognizing the ill fit between some social science and science. Finally, it may be that attempting to categorize judicial notice as a special part of the law of evidence accomplishes little. Perhaps social science that is submitted to trial process from any source other than a witness, whether via submission, brief or from the judge, should be treated from a procedural and due process point of view, the same. Thayer might have agreed, having stated:
Whereabout in the law does the doctrine of judicial notice belong? Wherever the process of reasoning has a place and that is everywhere. Not peculiarly in the law of evidence...The careful observer will notice that a very great proportion of the cases involving judicial notice raise no question at all in that part of the law; they relate to pleading, to the construction of the record...the interpretation of conduct, the process of reasoning....163
163
J.B. Thayer, A Selection of Cases on Evidence at the Common Law, 2d ed., (Charles W. Sever and Co.: Cambridge, 1900), at 13.
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(d) Monahan and Walker The conceptualizations of Monahan and Walker are embraced by Justice LHeureux-Dub but their procedures and cautions about the importance of evaluation of social science are effectively winked at. With respect, this radically alters their views. It is inconsistent with the critical approach courts are being encouraged to take with respect to expert evidence. There are practical concerns I have with their theories: (a) their categories, labels, like those of Davis, are not mutually exclusive, there are real difficulties distinguishing the types of evidence; (b) their nomenclature is confusing and, frankly, jargony social fact, social framework and social authority are not concepts that would be easily explainable to litigants, especially unrepresented litigants; (c) their categorization is based on past-trial analysis of the use of social science. Trial judges make decisions in trials; (d) their approach has not been adopted to any significant extent in the U.S.;164 (e) their treatment of social science as precedent is problematical, having the risk of perpetuating bad social science, giving judges obligations they may lack the skills and resources to do, and potentially making it difficult for courts to respond to changes in social science. The categorization put forward by Monahan and Walker is not the most important part of their writing. They virtually implore trial Judges, all judges to be more visible, explicit, informed and critical in evaluating social science evidence. Their views dovetail with Canadian and American developments in caselaw and academic writing concerning expert and scientific evidence. They emphasize judicial process in the acquisition and the use of social science and economic data. I am not in this paper advocating. that courts adopt Monahan and Walkers approach over Pacioccos (or any other) to evaluation of social science. What is important, however, is that courts undertake a visible evaluative process. (e) A Final Word We have lots of problems in family law. Justice LHeureux-Dub does all of us involved in family law a favour in elevating and identifying concerns with the. control of judicial discretion, use of false assumptions, need to establish a social context for decision-making, cost of litigation and ill-fit of family law in the adversarial process. I do not, however, agree with her assertions that judicial notice, and particularly judicial notice without procedural accountability can resolve
164
A July 1995 Lexis search disclosed fewer than a dozen references to their writing to U.S. state and federal courts.
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or even alleviate these problems. I have examined one aspect of a complex set of problems, looking at how judges acquire social science and economic information. I have found trends encouraging a more critical, evaluative role for judges165 and areas where there are few rules and uncertain expectations.166 I have come to some conclusions: (a) Whatever its source brief, submission, precedent, or the judge any trial process should conform to basic due process requirements that allow the parties the opportunity to both present evidence and make submissions with respect to material put before the court (whether that material is coming from the parties, represented or unrepresented, or the court). (b) I am not satisfied that the concepts of adjudicative and legislative fact, or those of social fact, social framework, and social authority are useful at trial. I am not satisfied that they are distinguishable by trial Judges, counsel or litigants, or mutually exclusive.167 Judges and lawyers are not familiar with the writing of Monahan and Walker. (c) I believe that all courts, especially appellate courts should be more precise in their use of social science and economic materials. The material can and is viewed as precedential by some trial courts. Minimally courts should say what they are doing. A judge referring to social science or economic material should: (i) identify its source the trial record, brief, the court or other; (ii) indicate what opportunity to challenge or evaluate the material has been given and exercised by the parties; (iii) indicate what evaluative process the court has gone through; (iv) indicate how and for what purpose the court is using the information; (v) indicate affirmatively and expressly if the court has any intention of the evidence being treated as precedent. Doing so would make the judge and process more accountable and amenable to research. It would also clarify, for trial courts, what appeal courts were doing when they refer to social science evidence. I agree with Justice Sopinka that the problems are thorny. The existing situation is fraught with uncertainty. We need to do better. This in the end is what Justice LHeureux-Dub implores I just wouldnt take the baton where she has pointed .. .
165 166 167
In viewing exert evidence the writing of Monahan and Walker. The use of briefs and submissions, judicially secured information precedent. I would acknowledge that this assertion could form the basis of a future research project.
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APPENDIX A
A. The book, Interventions for Children of Divorce, by William Hodges, asserts:
As for younger infants, short visits of 1-3 hours are recommended if visitation is low. If contact is regular and frequent the child can handle all or part of a day. The non-custodial parent should recognize that an infant of this age needs predictability and familiarity. Visitation will work best when visitation occurs in the same location every time. Overnight visits should be considered less than desirable and used only when other considerations are more important...
You have before you a case involving access to a 4-month old child. Overnight access is in dispute. B. There is an allegation of sexual abuse made, the custodial parent reporting that the child, age 5; has stated that they touched the non-custodial parents genitals. The custodial parent seeks to end visitation. The initial issue is whether or not sexual abuse occurred. A questionnaire study of 576 2-10 year olds reported that the incidental touching of parents genitals was not uncommon. It suggests that evidence of a childs touching a parents genitals should not constitute grounds far ending visitation (Rosenfeld, A.; Bailey, R.; Siegal, B.; Bailey, G.); Determining Incestuous Contact Between Parent and Child: Frequency of Children Touching Parents Genitals in a Non-Clinical Population (1986) 25 J. of the American Academy of Child Psychiatry 481.) C. An 11 year old in a proceeding concerning access to her and a younger sibling retracts an allegation of sexual abuse (against her father - the applicant). Summit has described fire characteristics commonly observed in sexually abused children: 1. secrecy; 2. helplessness; 3. entrapment and accommodation; 4. delayed conflicted and unconvincing disclosure; and 5 retraction. (The Child Sexual Abuse Accommodation Syndrome (1983) 7 Child Abuse and Neglect 177.) D. In R. v. Lavallee (1990), 76 C.R. (3d) 329, Wilson (S.C.C.), at 349, states:
The cycle described by Dr. Shane conforms to the Walker Cycle Theory of Violence named for clinical psychologist, Dr. Lenore Walker, the pioneer researcher in the field of the battered wife syndrome. Dr. Shane acknowledged his debt to Dr. Walker in the course of establishing his credentials as an expert at trial. Dr. Walker first describes the cycle in the book The Battered Woman (1979). In her 1984 book The Battered Woman Syndrome, Dr. Walker reports the results of a study involving 400 battered woman. Her research was designed to test empirically the theories expounded in her earlier book. At pp. 95-96 of The Battered Woman Syndrome she summarizes the Cycle Theory as follows.
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The second major theory that was tested in this project is the Walker Cycle Theory of Violence (Walker, 1979). This tension reduction theory states that there are three distinct phases associated in a recurring battering cycle: (l) tension building, (2) the acute battering incident, and (3) loving contrition. During the first phase there is a gradual escalation of tension displayed by discrete acts causing increased friction such as name-calling, other mean intentional behaviours, and/or physical abuse. The batterer expresses dissatisfaction and hostility but not in an extreme or maximally explosive form. The woman attempts to placate the batterer, doing what she thinks might please him, calm him down, or at least, what will not further aggravate him. She tries not to respond to his hostile actions and uses general anger reduction techniques. Often she succeeds for a little while which reinforces her unrealistic belief that she can control this man... The tension continues to escalate and eventually she is unable to continue controlling his angry response pattern. Exhausted from the constant stress, she usually withdraws from the batterer, fearing she will inadvertently set off are explosion. He begins to move more oppressively toward her as he observes her withdrawal... Tension between the two becomes unbearable (Walker, 1979, p.59). The second phase, the acute battering incident, become inevitable without intervention. Sometimes, she precipitates the inevitable explosion so as to control where and when it occurs, allowing her to take better precautions to minimize her injuries and pain. Phase two is characterized by the uncontrollable discharge of the tensions that have built up during phase one (p. 59). The batterer typically unleashes a barrage of verbal and physical aggression than can leave the woman severely shaken and injured. In fact, when injuries do occur it usually happens during this second phase. It is also the time police become involved, if they are called at all. The acute battering phase is concluded when the batterer stops, usually bringing with its cessation a sharp physiological reduction in tension. This in itself is naturally reinforcing. Violence often succeeds because it does work. In phase three which follows, the batterer may apologize profusely, try to assist his victim, show kindness and remorse, and shower her with gifts and/or promises. The batterer himself may believe at this point that he will never allow himself to be violent again. The woman wants to believe the batterer and, early in the relationship at least, may renew her hope in his ability to change. This third phase provides the positive reinforcement for remaining in the relationship, for the woman. In fact, our results showed that phase three could also be characterized by an absence of tension or violence, and no observable loving-contrition behaviour, and still be reinforcing far the woman. Dr. Walker defines a battered woman as a woman who has gone through the battering cycle at least twice.
In the case before you, a couple has separated, spousal maintenance is at issue. It is alleged that the former wife is a Battered Wife and that the cycle described above applies to this case. You are asked to make that finding in support of an assertion that her current psychological state renders her unable to pursue employment outside the home as a result in part of learned passivity. E. You are hearing a variation of maintenance case. The original order was made eight years ago and one of the grounds for variation is inflation. Stats Canada has such information available a phone call away. F. The Federal/Provincial/Territorial Family Law Committee has endorsed the concept of Child Support Guidelines in their January 1995 Report. Their draft refers to Ontario.

Trial Judge Looks at Judicial Notice

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Grasping a Thorny Baton...

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(a) (b) (c) (d)

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As Loevinger29 has stated:

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evidence. Paciocco41 has, for example, stated:

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R. v. Parnell:70 The court quotes the trial Judge as having stated:

However, Brooke, J. A. (with Laskin, J.A. concurring) opined:72

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111 112 113 114 115

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121 122 123 124 125

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127 128 129 130 131 132 133 134 135

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Ibid., at 569. Ibid., at 570. Ibid., at 571.

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146 147 148

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R.. v. Lavallee, above, note 146.

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I am mildly surprised at the response - my own answer would be yes.

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I did not define adopted. Above, note 82.

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D(5)(b) Can you then rely on them as precedent?

See above, note 149.

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(i) (j) (k)

Estey, J.S.C., stated:160

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Custody and child welfare proceedings, for example.

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At least one-third of them.

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