Causation in the Law

The use of machine learning algorithms has become ubiquitous in hiring decisions. Recent studies have shown that many of these algorithms generate unlawful discriminatory effects in every step of the process. The training phase of the machine learning models used in these decisions has been identified as the main source of bias. For a long time, discrimination cases have been analyzed under the banner of disparate treatment and disparate impact, but these concepts have been shown to be ineffective in the (...) context of AI. This paper examines the possibility of studying algorithmic discrimination from the perspective of negligence law. Negligent selection and validation of datasets and classifiers is a salient cause of improper training in machine learning. It is a breach of an employer’s duty to protect others, a failure of its exercise of due care in the manner of choosing employees. Adopting negligence to algorithmic discrimination requires a reformulation of what is foreseeable and reasonable within the context of black box algorithms, and a shift in the burden of proof to the employer, who must present evidence of its efforts to avoid bias. (shrink)

A gunman intends to shoot and kill Victim. He shoots and misses his target, but the gunshot startles a group of water buffalo, causing them to trample the victim to death. The gunman brings about the intended effect, Victim’s death, but in a “deviant” way rather than the one planned. This paper argues that such causal structures, deviant causal chains, pose serious problems for several key legal concepts. -/- I show that deviant causal chains pose problems for the legal distinction (...) between attempts and completed crimes, and also for the distinction between attempts and mere preparations. I then suggest that cases of deviant causation undermine notions of legal liability for completed crimes in terms of actus reus and mens rea, and argue that natural accounts of negligence misclassify some cases involving deviant causal chains. After diagnosing several conceptual vulnerabilities in the law revealed by deviant causal chains, I show that natural strategies for shoring up legal theories in the face of these examples are unpromising. (shrink)

Explaining the notion of legal luck and exploring its justification. Focusing on how legal luck relates to moral luck, legal causation and negligence, and to civil and criminal liability.

This chapter presents a series of experiments that elicit causal judgments using statements that do not include the verb "to cause". In particular, our interest is in exploring the extent to which previously observed effects of normative considerations on agreement with what we call "cause"-statements, i.e. those of the form "X caused ..." extend as well to those of the form "X V-ed Y", where V is a lexical causative. Our principal finding is that in many cases the effects do (...) not extend in this way, and moreover that the cases where we do find the same pattern are those where the causal verb used has a negative valence of its own. We draw two main conclusions from this finding. First, it reveals how the almost exclusive focus on "cause"-statements in the experimental study of causal judgment has led to findings that are unrepresentative of the full range of ordinary causal thinking, and provides a proof of concept as to how this thinking can be studied in its full variety. Second, the results of our experiments provide significant indirect support for the contention that the effect of moral considerations on agreement with "cause"-statements reflect the fact that these statements are most often used to assign responsibility for an event, and not just to describe the causal structure of what happened. It is not causal judgments in general that result from a process in which normative considerations play a role, but perhaps only those judgments that express a determination of moral responsibility. (shrink)

This invited entry offers a brief overview of criminal responsibility. -/- The first part starts with a question: is Clyde criminally responsible for killing his girlfriend Bonnie? The answer: it depends. Particular circumstances determine whether Clyde is guilty of murder, guilty of manslaughter, not guilty because he has a good excuse, or not guilty because he has a good justification. -/- The second part addresses the complicated relationship between criminal responsibility and moral responsibility. Until recently, both concepts were considered to (...) be more or less interchangeable. But there is a growing movement, which I refer to as "responsibility skepticism," which maintains that moral responsibility is either physically or metaphysically impossible. If the responsibility skeptics are right (that moral responsibility is impossible), then what are the implications for criminal responsibility and just criminal punishment? Should we abandon these as well? Or can they survive without moral responsibility? I try to answer these questions. -/- The third part addresses social causation. The criminal justice system tends to be "dispositionalist"; it tends, that is, to assume that criminal responsibility resides entirely within the defendant. Dispositionalism, however, overlooks the fact that who we are and what we do are significantly determined by environmental influences. I then try to show that this "situationist" alternative to dispositionalism should not radically alter our approach to criminal punishment. -/- The final part briefly discusses the difficulty in evaluating criminal responsibility when the defendant is both an offender and a victim - especially when the defendant is an offender *because* of his victimization. (shrink)

Many theories in philosophy, law, and psychology, make no distinction in meaning between causing and enabling conditions. Yet, psychologically people readily make such distinctions each day. In this paper we report three experiments, showing that individuals distinguish between causes and enabling conditions in brief descriptions of wrongful outcomes. Respondents rate actions that bring about outcomes as causes, and actions that make possible the causal relation as enablers. Likewise, causers (as opposed to enablers) are rated as more responsible for the outcome, (...) as liable to longer prison sentences, and as liable to pay higher fines. Moreover, the more actors involved, the more blame volume there is psychologically to be apportioned between them. The implication is that theories and the law in practice, both criminal and civil, may dangerously mismatch the intuitions of those to whom they are supposed to apply. The findings are discussed in light of contemporary psychological theories of how people reason about cause. -/- The paper presents the extended findings supplementary to the conference paper: Frosch, C. A., Johnson-Laird, P. N., Cowley, M. (2007). Don’t blame me your Honor, I’m only the enabler. Proceedings of the Twenty–Ninth Annual Conference of the Cognitive Science Society, p. 1755, Mahweh, N. J: Erlbaum. Nashville, USA. *Main findings now cited in the Oxford Handbook of Causal Reasoning. (shrink)

Complicity marks out a way that one person can be liable to sanctions for the wrongful conduct of another. After describing the concept and role of complicity in the law, I argue that much of the motivation for presenting complicity as a separate basis of criminal liability is misplaced; paradigmatic cases of complicity can be assimilated into standard causation-based accounts of criminal liability. But unlike others who make this sort of claim I argue that there is still room for genuine (...) complicity in the law and in morality. In defending this claim, I sketch an approach to complicity which grounds our liability for what others do not in our causal relation to their actions but in our “agency-relations” with others. In such cases, one agent can be liable for the wrongs of second agent to the extent that first authorizes the second to act at her behest. This approach fills the gap where standard causation-based accounts of complicity fail – especially in where several agents cooperatively contribute to an overdetermined harm. (shrink)

This paper poses an original puzzle about the relationship between causation and moral responsibility called The Moral Difference Puzzle. Using the puzzle, the paper argues for three related ideas: (1) the existence of a new sort of moral luck; (2) an intractable conflict between the causal concepts used in moral assessment; and (3) inability of leading theories of causation to capture the sorts of causal differences that matter for moral evaluation of agents’ causal contributions to outcomes.

This paper deals with the relationship between legal responsibility and causation. I argue that legal responsibility is not necessarily rooted in causation. The general claim I aim to disprove is that responsibility is descriptive because it is fundamentally rooted in causality, and causality is metaphysically real and founded. My strategy is twofold. First, I show (in §1) that there are significant and independent non- causal form of responsibility that cannot be reduced to causal responsibility; second, in §2, I show that (...) the very notion of causality is— lato sensu—not plainly descriptive. I will suggest that even causation is tied to evaluative elements, contrary to what is assumed by many theorists and practitioners working in normative domains. (shrink)

Causal selection is the cognitive process through which one or more elements in a complex causal structure are singled out as actual causes of a certain effect. In this paper, we report on an experiment in which we investigated the role of moral and temporal factors in causal selection. Our results are as follows. First, when presented with a temporal chain in which two human agents perform the same action one after the other, subjects tend to judge the later agent (...) to be the actual cause. Second, the impact of temporal location on causal selection is almost canceled out if the later agent did not violate a norm while the former did. We argue that this is due to the impact that judgments of norm violation have on causal selection—even if the violated norm has nothing to do with the obtaining effect. Third, moral judgments about the effect influence causal selection even in the case in which agents could not have foreseen the effect and did not intend to bring it about. We discuss our findings in connection to recent theories of the role of moral judgment in causal reasoning, on the one hand, and to probabilistic models of temporal location, on the other. (shrink)

Unlike any other monograph on legal liability, Michael S. Moore’s book CAUSATION AND RESPONSIBILITY contains a well-informed and in-depth discussion of the metaphysics of causation. Moore does not share the widespread view that legal scholars should not enter into metaphysical debates about causation. He shows respect for the subtleties of philosophical debates on causal relata, identity conditions for events, the ontological distinctions between events, states of affairs, facts and tropes, and the counterfactual analysis of event causation, and he considers all (...) these issues relevant to law. In this contribution, I defend an amended version of the COUNTERFACTUAL theory of event causation both against Moore’s criticism and against some traits of Lewis’s version of the theory. On a number of counts, I simply defend Lewis against Moore’s misdirected criticism. Moore’s unreasonable demand that all the commonplaces about causation have to FOLLOW from the counterfactual analysis rests on his mistaken claim that the counterfactual theory IDENTIFIES causation with counterfactual dependence. In other respects, I part company with Lewis in order to highlight some underrated strengths of the counterfactual approach. The common denominator of my revisions is that they make the counterfactual theory unambiguously singularist. The suggested revisions comprise: performing the counterfactual analysis with Davidsonian rather than with Lewisian events, taking seriously the ex post-character of singular causal statements, making explicit the indexical ceteris paribus clause that fixes the actual circumstances of the causing event, abandoning the alleged transitivity of causation, and, last but not least, doing everything in the correct order. The correct order is to start with bedrock intuitions about the nature of causality rather than with a general possible world semantics, and then to turn these intuitions into constraints for the class of counterfactuals that a counterfactual analysis of causation has to consider. (shrink)

Intended and merely foreseen consequences: The psychology of the ‘cause or allow’ offence. A short report for the Socio-Legal Community on ESRC Grant RES-000-22-3114.

The aim of this paper is to apply inductive logic to the field that, presumably, Carnap never expected: legal causation. Legal causation is expressible in the form of singular causal statements; but it is distinguished from the customary concept of scientific causation, because it is subjective. We try to express this subjectivity within the system of inductive logic. Further, by semantic complement, we compensate a defect found in our application, to be concrete, the impossibility of two-place predicates (for causal relationship) (...) in inductive logic. (shrink)

Tort law depends on three key concepts: causation, responsibility, and fault. However, I argue that the three key concepts are neither necessary, nor sufficient, for tort.

This paper takes it as a premise that a distinction between matters of fact and of law is important in the causal inquiry. But it argues that separating factual and legal causation as different elements of liability is not the best way to implement the fact/law distinction. What counts as a cause-in-fact is partly a legal question; and certain liability-limiting doctrines under the umbrella of “legal causation” depend on the application of factual-causal concepts. The contrastive account of factual causation proposed (...) in this paper improves matters. This account more clearly distinguishes matters of fact from matters of law within the cause-in-fact inquiry. It also extends the scope of cause-in-fact to answer some questions currently answered by certain doctrines of legal causation—doctrines that, it is argued, are more naturally seen as applications of our ordinary causal concept than as noncausal liability-limiting devices. (shrink)

According to the mental model theory, causes and enablers differ in meaning, and therefore in their logical consequences (Goldvarg & Johnson-Laird, 2001). They are consistent with different possibilities. Recent psychological studies have argued to the contrary, and suggested that linguistic cues guide this distinction (Kuhnmünch & Beller, 2005). The issue is important because neither British nor American law recognizes this distinction (e.g., Roberts & Zuckerman, 2004). Yet, in our view, it is central to human conceptions of causality. Hence, in two (...) experiments, we examined our participants’ ability to distinguish between causes and enablers in scenarios describing the actions of two agents and a subsequent outcome, e.g.: ‘Mary threw a lighted cigarette into a bush. Just as the cigarette was going out, Laura deliberately threw petrol on it. The resulting fire burnt down her neighbor’s house.’ Here Mary enabled the fire to occur, whereas Laura caused the fire to occur. (shrink)

Assuming that events form a genuine ontological category, shall we say that a good inventory of the world ought to include “negative” events—failures, omissions, things that didn’t happen—along with positive ones? I argue that we shouldn’t. Talk of non-occurring events is like talk of non-existing objects and should not be taken at face value. We often speak as though there were such things, but deep down we want our words to be interpreted in such a way as to avoid serious (...) ontological commitment. (shrink)

David McCarthy has recently suggested that our compensation and liability practices may be interpreted as reflecting a fundamental norm to hold people liable for imposing risk of harm on others. Independently, closely related ideas have been criticised by Stephen R. Perry and Arthur Ripstein as incompatible with central features of negligence law. We aim to show that these objections are unsuccessful against McCarthy’s Risk–liability theory, and that such an approach is a promising means both for understanding the moral basis of (...) liability for negligence and for reasoning about possible reforms of the institution of negligence law. (shrink)

It could be argued that tort law is failing, and arguably an example of this failure is the recent public liability and insurance (‘PL&I’) crisis. A number of solutions have been proposed, but ultimately the chosen solution should address whatever we take to be the cause of this failure. On one account, the PL&I crisis is a result of an unwarranted expansion of the scope of tort law. Proponents of this position sometimes argue that the duty of care owed by (...) defendants to plaintiffs has expanded beyond reasonable levels, such that parties who were not really responsible for another’s misfortune are successfully sued, while those who really were to blame get away without taking any responsibility. However people should take responsibility for their actions, and the only likely consequence of allowing them to shirk it is that they and others will be less likely to exercise due care in the future, since the deterrents of liability and of no compensation for accidentally self-imposed losses will not be there. Others also argue that this expansion is not warranted because it is inappropriately fueled by ‘deep pocket’ considerations rather than by considerations of fault. They argue that the presence of liability insurance sways the judiciary to award damages against defendants since they know that insurers, and not the defendant personally, will pay for it in the end anyway. But although it may seem that no real person has to bear these burdens when they are imposed onto insurers, in reality all of society bears them collectively when insurers are forced to hike their premiums to cover these increasing damages payments. In any case, it seems unfair to force insurers to cover these costs simply because they can afford to do so. If such an expansion is indeed the cause of the PL&I crisis, then a contraction of the scope of tort liability, and a pious return to the fault principle, might remedy the situation. However it could also be argued that inadequate deterrence is the cause of this crisis. On this account the problem would lie not with the tort system’s continued unwarranted expansion, but in the fact that defendants really have been too careless. If prospective injurers were appropriately deterred from engaging in unnecessarily risky activities, then fewer accidents would ever occur in the first place, and this would reduce the need for litigation at its very source. If we take this to be the cause of tort law’s failure then our solution should aim to improve deterrence. Glen Robinson has argued that improved deterrence could be achieved if plaintiffs were allowed to sue defendants for wrongful exposure to ongoing risks of future harm, even in the absence of currently materialized losses. He argues that at least in toxic injury type cases the tortious creation of risk [should be seen as] an appropriate basis of liability, with damages being assessed according to the value of the risk, as an alternative to forcing risk victims to abide the outcome of the event and seek damages only if and when harm materializes. In a sense, Robinson wishes to treat newly-acquired wrongful risks as de-facto wrongful losses, and these are what would be compensated in liability for risk creation (‘LFRC’) cases. Robinson argues that if the extent of damages were fixed to the extent of risk exposure, all detected unreasonable risk creators would be forced to bear the costs of their activities, rather than only those who could be found responsible for another’s injuries ‘on the balance of probabilities’. The incidence of accidents should decrease as a result of improved deterrence, reduce the ‘suing fest’, and so resolve the PL&I crisis. So whilst the first solution involves contracting the scope of tort liability, Robinson’s solution involves an expansion of its scope. However Robinson acknowledges that LFRC seems prima facie incompatible with current tort principles which in the least require the presence of plaintiff losses, defendant fault, and causation to be established before making defendants liable for plaintiffs’ compensation. Since losses would be absent in LFRC cases by definition, the first evidentiary requirement would always be frustrated, and in its absence proof of defendant fault and causation would also seem scant. If such an expansion of tort liability were not supported by current tort principles then it would be no better than proposals to switch accident law across to no-fault, since both solutions would require comprehensive legal reform. However Robinson argues that the above three evidentiary requirements could be met in LFRC cases to the same extent that they are met in other currently accepted cases, and hence that his solution would therefore be preferable to no-fault solutions as it would only require incremental but not comprehensive legal reform. Although I believe that actual losses should be present before allowing plaintiffs to seek compensation, I will not present a positive argument for this conclusion. My aim in this paper is not to debate the relative merits of Robinson’s solution as compared to no-fault solutions, nor to determine which account of the cause of the PL&I crisis is closer to the truth, but rather to find out whether Robinson’s solution would indeed require less radical legal reform than, for example, proposed no-fault solutions. I will argue that Robinson fails to show that current tort principles would support his proposed solution, and hence that his solution is at best on an even footing with no-fault solutions since both would require comprehensive legal reform. (shrink)