Court Opinion

ID: 9443531
Source: CourtListenerOpinion
Date Created: 2023-08-03 19:24:13.735863+00
Date Added: 2024-06-11T17:29:31.807188
License: Public Domain

FRANK, Circuit Judge
(concurring).
1. The facts here are most peculiar, unlikely to recur often: The plaintiff in his complaint asserts that defendant slandered plaintiff in the plaintiff’s absence but in the presence of only two other persons. If there were a trial, plaintiff could not himself testify, for he knows of his own knowledge none of the facts necessary to support *270his case. To prove his case, he would have to call the defendant who, in his oral testimony, would deny that he had uttered the alleged slanderous statement. For plaintiff is aware that the only two other possible witnesses he could summon would corroborate defendant; and, if he called them, he could not impeach them.
Judge HAND’S opinion states that, if defendant and the other witnesses testified,' the trial court, evaluating their credibility in the light of their demeanor as witnesses, could rationally find not only that defendant’s denial was false but that the opposite was true, i. e., that defendant had made the slanderous statement. Yet Judge HAND holds that a trial judge in. a jury trial of such a case would be obliged not to let the jury reach a verdict for plaintiff on that rational basis. As I understand Judge HAND, he says that the result of holding otherwise would be that the trial judge’s disposition of a motion for a directed verdict (or a verdict n. o>. v.) could not be effectively reviewed on appeal. On that ground alone — i. e., the supposed obstacle, in a jury trial of such a case, to- review of a directed verdict — Judge HAND!S opinion affirms the summary judgment for defendant here.
Since, then, the sole reason given in Judge HAND’S opinion for affirmance is something peculiar to a jury trial, I take it that, were there a jury waiver here, so that if there were a trial, it would be a judge trial, Judge HAND would hold erroneous the summary judgment here. This is a curious distinction. It would make the propriety of a summary judgment in such a case turn exclusively on whether or not the parties, if entitled to any trial, are entitled to one by jury.1 In such a case as this, it would prevent a jury from relying on demeanor but permit a judge in a judge trial to do so (although, if he did, his decision, in so far as he relied on demeanor, would not ordinarily be reviewable).
I agree with Judge HAND that (at least in some cases) 2 a trial judge should be allowed to find that a plaintiff has discharged his burden of proof when the judge disbelieves oral testimony all of which is adverse to-plaintiff, solely because of the trial court’s reaction to the witnesses’ demeanor and there is no evidence for plaintiff except that “demeanor evidence.”3 But I think it most unfortunate to hold that this rule applies in judge trials and not in jury trials. Such a distinction should be avoided if possible.
But I read Judge HAND’S opinion as saying it is unavoidable for the following reason: If, in a jury trial, the jury, solely on the basis of its evaluation of credibility as affected by the jury’s reaction to a witness’ demeanor, were allowed to bring in a plaintiff’s verdict, then necessarily (says Judge HAND) the judge in that same trial could also properly take into account demeanor in passing on the defendant’s mo-’ tion for a directed verdict; but, were that true, the judge’s action on the motion could never be reviewed, as demeanor cannot appear in the printed record on appeal.4
*271I cannot accept that distinction for the following reasons: Judge HAND argues from the alleged unreviewability of a directed verdict in a case like this, if demeanor were a factor. But this argument cuts too far. For, if Judge HAND is correct, the same difficulty will attend the review of any directed verdict in any case where any important evidence consists of oral testimony. In any such case, one could say, as Judge HAND says here: If the jury (should the case go to the jury) could rely on “demeanor evidence,” then necessarily the trial judge could do likewise, on a motion for a directed verdict; and, if he could, no directed verdict would be reviewable when important testimony is oral. But this is exactly not the rule in the federal courts: The well-settled rule is that, in passing on a motion for a directed verdict, the trial judge always must utterly disregard his own views of witnesses’ credibility, and therefore of their demeanor; that he believes or disbelieves some of the testimony is irrelevant. When asked to direct a verdict for the defendant, the judge must assume that, if he lets the case go to the jury, the jurymen will believe all evidence — including “demean- or evidence”' — favorable to the plaintiff. In other words, the judge must not deprive plaintiff of any advantage that plaintiff might derive from having the jury pass upon the oral testimony. Indeed, the important difference between a trial judge’s power on a motion for a new trial and on a motion for a directed verdict is precisely that on a new-trial motion he may base his action on his belief or disbelief in some of the witnesses, while on a directed-verdict motion he may not.
Lurton, J., in a much quoted opinion,5 expressed the difference thus: “We do not think * * * that it is a proper test of whether the court should direct a verdict, that the court, on weighing the evidence, would, upon motion, grant a new trial. * * * In passing upon such motions [for new trial] he is necessarily required to weigh the evidence * * *. But, in passing upon a motion to direct a verdict, his functions are altogether different. In the latter case we think he cannot properly undertake to weigh the evidence. His duty is to take that view of the evidence most favorable to the party against whom it is moved to direct a verdict, and from that evidence, and the inferences reasonably and justifiably to be drawn therefrom, determine whether or not, under the law, a verdict might he found for the party having the onus.”
Taft, J., held similarly in Felton v. Spiro, 6 Cir., 78 F. 576, 582-583. The cases in accord are legion. They are excellently discussed by Judge Parker in Aetna Casualty & Surety Co. v. Yeatts, 4 Cir., 122 F.2d 350, 352-355 and by Judge Sibley in Marsh v. Illinois Central R. Co., 5 Cir., 175 F.2d 498, 499-500.
In Brady v. Southern Ry. Co., 320 U.S. 476, 479-480, 64 S.Ct. 232, 234, 88 L.Ed. 239, the Court said: “When the evidence is such that without weighing the credibility of the witnesses there can be but one reasonable conclusion as to tbe verdict, the court should determine the proceeding by non-suit, directed verdict or otherwise in accordance with the applicable practice without submission to the jury, or by judgment notwithstanding the verdict.” (Emphasis added.) As Moore puts it, a motion for new trial may invoke “the exercise of the trial court’s discretion, such as that the verdict is inadequate or excessive, or that the verdict is against the weight of the *272evidence. In reference to this latter matter this function of the motion for a new trial must be sharply distinguished from the motion for a directed verdict.”6 A “verdict may be set aside as contrary to the preponderance of the evidence, although a directed verdict is not justified.” 7
On a motion for new trial, the judge acts “as the thirteenth juror”,8 i. e., he evaluates the credibility of the orally-testifying witnesses and therefore their demeanor. But on a motion for a directed verdict he does not. The rule that a trial judge may legitimately consider demeanor in ordering new trials means that his new-trial orders are seldom reviewable; on the other hand, the rule that he may not legitimately consider demeanor in considering directed verdict motions means that his orders on such motions are readily reviewable. See Montgomery Ward & Co. v. Duncan, 311 U.S. 243, 254, 61 S.Ct. 189, 85 L.Ed. 147.
Frequently this sort of case arises: The defendant urges his motion for a directed verdict on the ground that, although there is oral testimony, the record contains no testimony (or other evidence) from which any rational inference can be drawn for the existence of a fact indispensable to plaintiff’s case. If the trial judge, then, directs a defendant’s verdict,9 the upper court, on. appeal, in testing the propriety of his direction, adopts the postulate that the trial judge assumed that the jury, were it allowed to render a verdict, would regard the oral testimony — and therefore the witnesses’ demeanor — in a manner most favorable to plaintiff. The upper court makes the same assumption; as a consequence, the trial judge’s attitude towards that demeanor is not a factor on such an appeal, and so constitutes no obstacle to review.
If I am correct, there is no foundation for Judge HAND’S distinction; and, as I gather that he would have held it error to enter summary judgment for defendant here, if there had been no jury demand, he should, I • think, hold that the judgment here must be reversed, despite the request for trial by jury.
2. One can imagine a case in which a man would suffer a grave injustice, if it were the invariable rule that a plaintiff can never win a case when (1) he can offer only the oral testimony of the defendant, the one available witness, which is flatly and unswervingly against the plaintiff but (2) the jury (in a jury trial) or the judge (in a judge trial) is thoroughly convinced by that witness’ demeanor that he is an unmitigated liar. On that account, I would oppose such a rule.
But this is not such a case. As already noted, the facts here are most unusual: The plaintiff asserts that in his absence he was slandered by defendant in the presence of but two other persons. As this fact is denied by all three, only plaintiff’s own suit serves to publicize the alleged slander. In these peculiar circumstances, the plaintiff should not have the chance at a trial to discharge his burden of proof 'by nothing except the trial court’s disbelief in the oral testimony of witnesses all of whom will, deny that the alleged slanderous statement was made. Wherefore I concur.

. That is, whether or not they both have failed to demand a jury, or Whether or not plaintiff seeks relief (e. g., specific performance) precluding a jury trial.

. This parenthetical qualification I shall explain later.

. We have already held that, solely on the basis of a trial judge’s disbelief in the oral testimony of a plaintiff’s witness — a disbelief resulting entirely from the witness’ demeanor — the judge may decide for the defendant. Broadcast Music, Inc. v. Havana Madrid Restaurant Corp., 2 Cir., 175 F.2d 77. There, however, the disbelief in this testimony — uncontradieted by anything other than the witnesses’ de-. meanor — meant that plaintiff had not discharged his burden of proof. In the instant case, tbe question is whether plaintiff can discharge his burden of proof where the judge disbelieves the testimony of witnesses all of whom testified against him.

. This reasoning, spelled out more in detail, is as follows:
(a) If a jury, solely on the basis of its evaluation of credibility as affected by its reaction to a witness’ demeanor in a case like this, could properly bring in a verdict for the plaintiff, then (says Judge HAND) necessarily a trial judge could also properly take into account credibility in the light of demeanor, and solely because of resulting evaluation of the witnesses’ reliability, could grant or deny the defendant’s motion for a directed verdict.
*271(b) But (says Judge HAND) if the trial judge could thus consider demeanor, then in no case where there was oral testimony could the grant or denial of a directed verdict motion over he reviewed and reversed, because the printed record before the upper court necessarily omits demeanor.
(c) Since, however, such directed-verdict orders can and should be reviewable, this follows according to Judge HAND:
(1) The jury in a case like this may not properly return a plain tiff’s verdict on the sole basis of “demeanor evidence.”
(2) Therefore in such a case, on defendant’s motion for a directed verdict, the trial judge must disregard the possibility that, were the case allowed to go to the jury, it might decide for plaintiff on the sole basis of “demeanor evidence.”

. Mt. Adams & E. P. Inclined Ry. Co. v. Lowery, 6 Cir., 74 F. 463, 477.

. Moore, Federal Practice (2d ed.1951) § 50.02(1), p. 2317.

. Moore, loc. cit., § 50.03, p. 2318.
See also § 50.11, pp. 2388-2339, and Wigmore, Evidence (3d ed.) § 2494, pp. 298-299.

. McBride v. Neal, 7 Cir., 214 F. 966, 968; Binder v. Commercial Travellers Mutual. Acc. Ass’n, 2 Cir., 165 F.2d 896, 902; cf. General American Life Ins. Co. v. Central National Bank, 6 Cir., 136 F.2d 821, 823; Moore, loc. cit., § 50.13, p. 2347.

. Or if he denies defendant’s motion for such a verdict.