Case of Speluncean Explorers
Case of Speluncean Explorers
Case of Speluncean Explorers
This famous fictitious legal case was created by Lon L. Fuller in his article, "The Case of the Speluncean
Explorers," Harvard Law Review, vol. 62, no. 4 (1949) pp. 616-645. The case tells the story of a group of spelunkers
(cave-explorers) in the Commonwealth of Newgarth, trapped in a cave by a landslide. As they approach the point of
starvation, they make radio contact with the rescue team. Engineers on the team estimate that the rescue will take
another 10 days. The men describe their physical condition to physicians at the rescue camp and ask whether they
can survive another 10 days without food. The physicians think this very unlikely. Then the spelunkers ask whether
they could survive another 10 days if they killed and ate a member of their party. The physicians reluctantly answer
that they would. Finally, the men ask whether they ought to hold a lottery to determine whom to kill and eat. No
one at the rescue camp is willing to answer this question. The men turn off their radio, and some time later hold a
lottery, kill the loser, and eat him. When they are rescued, they are prosecuted for murder, which in Newgarth carries
a mandatory death penalty. Fuller wrote five Supreme Court opinions on the case which explore the facts from the
perspectives of profoundly different legal principles.
The result was a focused and concrete illustration of the range of Anglo-American legal philosophy at mid-century-
THE SPELUNCEAN EXPLORERS CASE.
It is generally believed that Fuller’s case is based on two real cases, namely
Ø U.S. v. Holmes (1842) and
Ø Regina v. Dudley & Stephens (1884).
These two U.S cases can be called as life boat cases in which disaster at sea was followed by homicide and
prosecution. In the Holmes case, the homicides were to lighten a badly overloaded lifeboat. In Dudley & Stephens,
the homicide was to create a meal for the starving survivors.[7]
One can easily see the uncanny similarities between the facts of these two cases and that of Fuller. Fuller borrowed
from these cases for his own: extremities of desperation, lotteries, cannibalism, popular sympathy for the
defendants, politically difficult prosecutions, defenses of stark necessity, jury convictions and the possibility of
pardons. Even small details, like the jury's special verdict in Dudley & Stephens, comes up again in Fuller's case. But
an inventory of these borrowed elements only brings into relief the extent of Fuller's creativity. He moved the
accident from the high seas to a cave within Newgarth.
It was found that one of the explorers has a portable radio set capable of sending and receiving messages. Therefore,
contact was established by the rescue team with the trapped men. The five trapped men, after learning that it would
be at least ten more days until they were rescued, sought a professional medical opinion as to whether or not they
could possibly survive this duration. Upon being informed that they would not, they deliberated for eight hours after
which they sought counsel first from the physician, then from a government official, and finally from a minister as
to whether or not it would be advisable to cast lots and kill and consume one of their members so that the others
may survive. None of the three parties were willing to answer. None of them answered in the affirmative or negative.
With their question unanswered, the men severed radio contact with the people outside.
On their eventual release, it became apparent that some twenty three days after their entry into the cave, the
defendants had killed and eaten Whetmore. In evidence, it was indicated that Whetmore had suggested that the
group’s survival would be impossible without nutrient, and that this would necessitate the eating of flesh of a
member of the group. It was also said that Whetmore himself had suggested the casting of lots by dice to choose
such unfortunate member. However, Whetmore after reflection withdrew from the offer terming it frightful and
odious. He was accused by the defendants of breach of faith and they proceeded to cast dice. Whetmore also
declared that he had no objection to one of the defendants casting the dice on his behalf. The throw of the dice was
unfortunately against Whetmore. The other group members therefore killed him after which they ate his flesh.
After the defendants had been rescued from the cave and their suitable treatment, they were indicted for the
murder of Whetmore in the Court of General Instances, the County of Stowfield. The court found all of them guilty
and were sentenced to death by hanging.
Following the discharge of the jury, its members joined in communicating with the state’s Chief Executive and
requesting that the death sentence be commuted to imprisonment for a period of six months. Similar action was
taken by the Trial judge. The defendants brought a petition of error to the Supreme Court of Newgarth. The court
issued its opinions in the year 4300.
In the trial that ensued, the five judge bench gave differing opinions and profoundly different ratios for the same.
Fuller wrote these five opinions as representing different schools of thought.
PART II OPINION OF CHIEF JUSTICE TRUEPENNY
In his argument Chief Justice Truepenny[12] after stating the facts as mentioned in Part I of this paper ruled in favour
for strictly applying the letter of the law rather than interpreting the law. According to him the jury and the trial
judge followed a course that was not only fair and wise, but the only course that was open to them under the law.
He however also proposed to his colleagues that they follow the example of the jury and trial judge by joining in the
communications they have addressed to the Chief Executive of the State for clemency for the defendants.
Chief justice Truepenny appears to be an Advocate of Textualism or Institutionalism. He represented the
Positivist[13] perspective. According to this school law should be given a literal interpretation. Law is what it is rather
than what it ought to be. That is, it is free from moral considerations once it is enacted by a sovereign authority.
VERDICT: He affirmed the decision of the trial court but however requested clemency also.
ANALYSIS
The main thrust of this argument presented by Chief Justice Truepenny is that the statue under scrutiny is not
ambiguous and is plainly stated for applying the law rather than interpreting the law. And, as the statue states,
“Whoever shall willfully take the life of another shall be punished by death”, he said the defendants should be
hanged till death. However, Truepenny’s argument has much strength which, at face value, can be applied to this
case in question. Arguably, first, the language of the statue applies directly to what the defendants did to Roger
Whetmore. Therefore, there is no argument not to punish defendants following the existing law. Also, there is no
question into the matter that the men on trial “willfully” took the life of Whetmore. It is an admitted fat that they
did.
However, there is another aspect of this peculiar case. As has been stated in the testimony of the defendants that
Whetmore was in concurrence with the decision to cast lots to determine his own fate. Now, therefore, the question
is, does all accountability of Roger Whetmore’s death reside in the defendants alone, or should Whetmore be held
partly responsible as well for the crime.
Therefore, it is submitted here that it would be impractical to merely apply the statue on the grounds of the text and
ignoring the basic foundation of why law has become law. There should be utilization of prudence in decision of
cases and each case should be decided on its merits. What law requires is intelligent obedience, not idiotic
adherence.
To conclude, Chief Justice Truepenny's legal analysis was short. He recommended a plea for clemency to the Chief
Executive because he felt the statute was clearly against the conspirators. But there is no reflection or
consideration of the statute itself; it is assumed to speak against the defendants. The appeal for clemency seemed
as an abandonment of the judicial role, a sort of "cop out," or an admission that the legal system was not really
able to handle the complexities of the issue.
VERDICT: In his verdict, he set aside the verdict of the Trial court and held that purposive construction should be
given to the statutes.
ANALYSIS
Justice Foster did not believe that the law compels the monstrous conclusion that the defendants were murderers.
On the contrary, he said it declares them to be innocent of any crime. He rested this conclusion on two independent
grounds. He said the defendants are not guilty on both of these grounds independently of each other.
The first of these grounds is that the enacted or positive law of this Commonwealth, including all of its statutes and
precedents, is governed instead by what ancient writers in Europe and America called "the law of nature." When a
situation arises in which the coexistence of men becomes impossible, then a condition that underlies all of judicial
precedents and statutes has ceased to exist. He says, when that condition disappears, then the force of our positive
law disappears with it. It is similar to a situation in which a crime is committed outside the territorial jurisdiction of
the State. This has the consequences that the law applicable to them is not the enacted and established law of this
commonwealth, but the law derived from those principles that were appropriate to their condition. He therefore
said applying this principle the defendants were not guilty of any crime.
He says that positive law is inherently territorial. Therefore, when a person is outside its scope, the rules of law
would not apply to him. Applying this principle in the instant case, he says that the defendants were separated from
the State by rock walls. Within them the State was not even able to supply them with succour. He adds that the State
was created by a social contract to provide peace, order and succour to all.
The second ground that he takes is that one of the most ancient bits of legal wisdom is the saying that a man may
break the letter of the law without breaking the law itself. According to him every proposition of positive law should
be interpreted reasonably, in the light of its evident purpose. In the judgment, Judge Foster says – “Centuries ago it
was established that a killing in self defense is excused. There is nothing in the wording of the statute that suggests
this exception. But the exception in favor of self-defense is not out of the words of the statute, but out of its purpose.
When the rationale of the excuse of self-defense is thus explained, it becomes apparent that precisely the same
reasoning is applicable to the case at bar.” That is, he argues that self-preservation is the most basic of all human
tendencies. In the instant case, the defendants did not kill Whetmore out of mala fides but because they wanted to
give succour to their starving bodies. Therefore, this was a killing in self defence.
He further sites the case[15] of Commonwealth v. Staymore wherein it was held that a person cannot be held guilty
for anything which was beyond his control. It is here submitted that arguably, when a man made law is enacted or
enforced, there is always a reason why the law was constructed in the first place. And therefore, law should be
construed within its purpose.
Further, he adds that if the State could sacrifice 10 lives to save one, why cannot one life be sacrificed to save four.
To conclude, Justice Foster based his justification on the following. He says when we consider a case which has taken
place a mile beyond territorial limits of a state; no one would pretend that the law of the state would be applicable
to the case. This means that law is not absolute, and that the positive law is predicated on the possibility of men's
coexistence in society. When a situation arises in which the coexistence of men becomes impossible, then a condition
that underlies all of our precedents and statutes ceases to exist. When that condition disappears that the force of
our positive law disappears with it, then the law of nature works. Self-defense is a right not out of the words of a
penal statute (like the one in this case), but out of its purpose. Even though there is nothing in the wording of the
statute that suggests self-defense, the exception of self-defense is accepted.
ANALYSIS
Judge Handy is the judge of practical/popular wisdom.[21] In the allegory, he echoed the views of sociological
school of jurisprudence. Practical wisdom is a significant category for Aristotle in his Nicomachean Ethics and refers
to the skill needed in life to deliberate and reach decisions (in contrast to theoretical knowledge or practical
skill).[22] This judge is very solicitous of public opinion, believing that the legitimacy of the judicial enterprise is
because it reflects the will of the people. This aspect has practical implications in our media-driven society. Many a
times we see that popular media has had an effect on judges.[23] Further, trial by media has been an issue of hot
debate in legal as well as popular circles since some time now.
This was the last of the five opinions. The Supreme Court being equally divided, the conviction and the sentence of
the Court of General Instances was affirmed. The defendants were ordered to be hanged.
CONCLUSION AND FINDINGS
Fuller’s case looks at separation of powers issue (through the notion of recommending clemency to the Chief
Executive), natural law theory, positivism, statutory interpretation (whether there are "gaps" in statutes and how to
"fill" them), the purpose(s) of statutes, the role of precedents and how to use them, the relationship of law and
morality, judging as the manifestation of practical reason, various theories of self-defense. All in all it deals with
almost all the issues that could be contemplated in mid-20th century.
As said earlier, it is widely believed that Fuller based his case on two real cases. A brief gist of the cases is produced
below for the benefit of the reader.
U.S. vs. Holmes (1842)[24]
FACTS: In 1841, the U.S. immigrant ship William Brown sailing from Liverpool to Philadelphia, sank after hitting
an iceberg. 42 people, including the mate and several sailors, found themselves on one of the life boats; after a day
or so it began to spring leaks and was sinking. Crewmen, including the defendant Alexander William Holmes, believed
that their overloaded lifeboat was in danger of itself sinking and put 14 or 16 passengers overboard to their inevitable
deaths in the frigid water. On his return to Philadelphia, Holmes was arrested and charged with murder. However,
the grand jury rejected the indictment and substituted manslaughter. The judge in the United States circuit court for
the Eastern District of Pennsylvania instructed the jury that necessity might be a complete defence but that "before
the protection of the law of necessity can be invoked, a case of necessity must exist, the slayer must be faultless, he
must owe no duty to the victim." The jury convicted Holmes and the principle of necessity was not tested by any
higher court.
· Holmes was found guilty and sentenced to six months in prison and a fine of $20; he served the time but did not
have to pay the fine, because he was eventually pardoned by President John Tyler.
Through this allegory, Fuller is seeking consideration of the purposes for which law exists. The varying nature of
judgements of the Supreme Court are used to illustrate a variety of approaches to law. The opinion of the Chief
Justice seems to be based upon a belief in the significance of executive clemency in appeals against conviction and
sentence. Foster J (who accepts Fuller’s own views) draws attention to the importance of the spirit of the law rather
than the letter. Tatting J. evades responsibility by declaring his inability to reach a decision. Keen J. follows the
philosophy of positivism in separating matters of law and morality. Handy J. advocates a decision which he believes
to be administratively convenient and popular.
Through the decision of Foster J., Fuller affirms his belief in the need for intertwining of law, morality and reason in
deciding legal questions. Each strand of the process is necessary. Positivism provides a distorted view of law, which
is seen as a ‘one-way projection of authority’ – the law is set out and it is the duty of the citizen to obey its letter.
Fuller’s own postscript to the case is of particular significance. The case, he notes, was constructed for the sole
purpose of bringing into a common focus certain divergent philosophies of law and government, philosophies which
have existed since the time of the ancient Greeks. Even after we have sought solutions to the problems raised in
earlier times, the debates will continue. He ends with saying that if there is any element of prediction in the case, it
does not go beyond a suggestion that the questions raised here are permanent questions before the human race.
This statement, it is submitted here is particularly true. Debates on judicial accountability, judicial activism,
separation of powers, role of media, retributive theory of punishment v. reformative theory of punishment are still
constant topics of debate and discussions even after 60 years of this allegory. And it seems unlikely that these
debates will be settled soon.
It is also pertinent to mention here that D'Amato's "Further Proceedings,”[26] added further proceedings. The
author in his article imagines that the decision of the Court was given over to a Committee of three professors’ for
review. His article deals with the opinion of these professors. It would not be wrong to mention here the reasons for
the article as mentioned by the author himself in its first paragraph
“……………is a classic in jurisprudence. Set in the Supreme Court of Newgarth in the year 4300 the case presents five
judicial opinions which clash with each other and produce for the reader an exhilarating excursion into fundamental
theories of law and the state and the role of courts vis-i-vis legislatures and executives. Though the issues articulated
by Professor Fuller in 1949 are timeless, the past thirty years in jurisprudential scholarship have produced at least
one major new vantage point- the "rights thesis" as advanced by Professor Dworkin and others. Simply stated, the
rights thesis holds that there is a "right" answer, and only one right answer, in every case. The litigants have a "right"
to that and finally-to add one more shade of meaning to the comprehensive term "right"-the answer thus arrived at
is dictated by general requirements of justice. Since justice is a branch of morality, the "right" answer is not only
correct but also right in a moral sense.”