T H I R D E D I T I O N Psychology and Law Theory, Research, and Application Curt R. Bartol Anne M. Bartol Castleton State College THOMSON Australia Canada Mexico Singapore Spain United Kingdom United States
Table of Contents Introduction 1 Contrasting Psychology and Law Approaches 2 Psychology in the Law 2 Psychology and the Law 3 Psychology of the Law 4 CHAPTER M. Appellate Court Cases and the Methods of Science 4 The Frye Test 4 The Daubert Case 5 BOX 1-1 Federal Rules of Evidence (Effective December 1, 2000) 6 BOX 1-2 Journals Devoted to Psychology and Law 8 Supreme Court Decisions After Daubert B BOX 1-3 Evaluation of Scientific Evidence 9 Ways of Knowing and the Methods of Science 10 Research Methods and Strategies 11 The Experimental Method 11 Quasi-Experimental Designs 12 Survey Research 12 Meta-Analysis 12 Legal Research 13 Research Terms and Concepts 13 Validity 13 Research Strategies 14 Evidence 14 BOX 1-4 Validity and Reliability of an Equivocal Death Analysis 15 Replicability 16 Control 16 Clinical Judgment vs. Statical Prediction 17 Clinicians and Researchers 18 Research and the Legal System 19 Psychological Theory 19 Psychologists and Psychiatrists 20 Careers in Psychology 21 Careers in Forensic Psychology 22 BOX 1-5 Graduate Training in Psychology and Law 22 BOX 1-6 Selective Professional Organizations Related to Psychology and Law 24 BOX 1-7 Divisions 18 and 41 of the American Psychological Association 25 Psychology and the Courts 25 The Adversarial Model 26 Psychologists and Criminal Justice 27 Police Psychologists 27 Correctional Psychologists 28 Psychology and Criminal Behavior 29 Summary and Conclusions 29 Key Terms 30 Questions for Review 31 C H A P T E : Psychological Assessment, Testing, and the Law 32 Overview of Assessment and Testing 32 BOX 2-1 The Top 11 34 Forensic Classifications of Assessment and Testing 35 BOX 2-2 Assessment Measures and Techniques- Some Examples 36 Basic Concepts of Psychological Testing 36 Reliability 36 Validity 38 Normative Distribution 40 Standard Error of Measurement 40 Clinical Measures and Assessment Techniques 41 Cognitive Tests and Techniques 41 Cognitive Testing in Forensic Settings 43 Personality Assessment 44 Projective Measures 44 Objective Personality Inventories 45 BOX 2-3 MMPI-1 and MMPI-2^Key Differences 46 Personality Traits: Specific or General? 47 Personality Inventories in Forensic Settings 48
Contents Forensically Relevant Instruments and Assessment Techniques 49 The Psychopathy Checklist Series 49 Malingering Measures 50 Risk Assessment Measures 50 Forensic Neuropsychology 52 Assessment Instruments Used in Forensic Settings 53 Criminal Responsibility Measures 54 Competence to Stand Trial Measures 54 Child Custody Evaluations 55 MacArthur Research Network on Mental Health and Law 56 Prediction of Human Behavior 57 The Actuarial vs. Clinical Prediction Debate 59 Why Clinical Predictions Miss the Mark 60 Testing in Employment 62 The U.S. Supreme Court and Employment Discrimination 63 BOX 2-4 Fishy-Employment Practices? 64 The Americans With Disabilities Act of 1990 65 Soroka v. Dayton Hudson Corporation 66 Testing in Education 67 The Individuals with Disabilities Education Act 69 Summary and Conclusions Key Terms 71 Questions for Review 71 70 CHAPTER wmmmmm Psychology and the Courts; An Overview 72 Organization of the Courts 72 Federal Courts 75 State Courts 77 Public Confidence in Courts 77 Specialized Courts: Drug and Mental Health Courts 78 BOX 3-1 Domestic Violence Courts 81 Classifications of Law 81 Content Classifications 81 BOX 3-2 Due Process 83 Classifying by Origin 84 The Judicial Process 84 Pre-Trial Stage 85 Trial Stage 87 BOX 3-3 The Burden of Proof 88 BOX 3-4 Beyond a Reasonable Doubt 89 Disposition Stage 89 Appellate Stage 90 BOX 3-5 Highlights of APA Brief in Boy Scouts of America v. Dale 92 The Psychologist as an Expert Witness 94 BOX 3-6 Jenkins v. U.S. 94 Expert Certification 95 Legal Standards 96 The Confidentiality Issue 97 Ultimate Issue or Ultimate Opinion Testimony 98 Surviving the Witness Stand 99 Summary and Conclusions Key Terms 102 Questions for Review 102 101 CHAPTER*! Mental Health Law; Competencies and Criminal Responsibility 103 Legal Competencies and Mental Capacities: Definitions 103 Competency to Stand Trial 105 Legal Standards 105 Incidence of Competency To Stand Trial Evaluations 107 An Example; Cooper v. Oklahoma 107 The Competency Evaluation Process 108 Forensic Assessment Instruments 109 The Incompetent Defendant 113 Drug Treatment in Competency Issues 115 BOX 4-1 The Rusty Weston Case 116 BOX 4-2 Synthetic "Sanity" at Trial: Riggins v. Nevada 111 Insanity Insanity Standards 118 The M'Naghten Rule; The Right and Wrong Test 120 BOX 4-3 Tests for Insanity in State and Federal Courts 121 The Durham Rule: The Product Test 121 The ALI and Brawner Rules 122 Insanity Defense Reform Act of 1984 123 Insanity Defense: Related Changes 123
Contents XI Frequency of Insanity Defense and Acquittals 125 Juries and the Insanity Defense 127 BOX 4-4 Competency, Insanity, and the Supreme Court Cases and Principles 128 NGRI and its Outcomes 129 Clinical Assessment of Sanity 130 Legal Issues Involving the Forensic Evaluation 133 Special Conditions and Unique Defenses 133 Post-Traumatic Stress Disorder (PTSD) 134 Multiple Personality Disorder 136 Amnesia 137 Summary and Conclusions 137 Key Terms 139 Questions for Review 139 Mental Health Law; Civil Commitment 140 C H A P T E R ^ Voluntary and Involuntary Commitment 141 Historical Overview 142 Parens Patriae 143 Police Power 144 The Emergence of Due Process 145 BOX 5-1 Civil Commitment in Three States 146 Commitment Standards 147 The Dangerousness Standard 148 Methodological Problems in Violence Prediction Research 149 MacArthur Violence Risk Assessment Study 150 Grave Disability 151 Civil Commitment Proceedings 153 Proposed Legal Models for Proceedings 154 Procedural Justice in Proceedings 155 The MacArthur Coercion Study 156 Duty to Warn and/or Protect 156 BOX 5-2 Select Duty-to-Warn Cases in State Courts and Lower Federal Courts 158 Families and Civil Commitment 159 Outpatient Treatment Orders 160 Institutional Treatment 162 Right to Receive and Right to Refuse Treatment 164 Right to Receive Treatment 164 BOX 5-3 Civil Commitment Key Supreme Court Cases 165 MacArthur Competence Study 165 Right to Refuse Treatment 166 Special Issue; Civil Commitment of Sex Offenders 168 Inmate Transfers 172 Summary and Conclusions 172 Key Terms 174 Questions for Review 174 C H A P T E R The Psychology of the Jury; Procedural Considerations 175 Overview of Jury Procedures 175 BOX 6-1 The Sixth and Seventh Amendments 176 Jury Research 177 Jury Selection 177 The Venire and Voir Dire 178 Challenges in Jury Selection 178 BOX 6-2 Equal Opportunity in the Jury Box (J.E.B. v. Alabama) 179 Research on Voir Dire Practices 180 Impact of Lawyers on Jurors 181 Scientific Jury Selection 182 BOX 6-3 High-Profile Cases Using Scientific Jury Selection 183 Death Sentencing 184 Risk Assessment at Capital Sentencing 185 The Death Qualification Process 186 Jury Size and Decision Rule 188 Jury Size 188 BOX 6-4 Solomon Aseh's Classic Conformity Study 190 The Dynamite Charge 191 Conclusions on Jury Size 191 Decision Rule 192 Jury Instructions 192 Types of Instructions 193 Research on Jury Instructions 194 The Effects of Joined Trials 196 Improving Jury Competence 197 Jury Nullification 198 BOX 6-5 Should Jurors Be Told...? 199
xii Contents Death Penalty Cases 199 BOX 6-6 Jurors Must Decide Death (Ring v. Arizona) 200 Summary and Conclusions 201 Key Terms 203 Questions for Review 203 C H A P T E R The Psychology of the Jury; Jury Decision Making 204 Overview 204 BOX 7-1 The Chicago Jury Project 205 The Effects of Defendant and Victim 207 Physical Attractiveness 207 Social Attractiveness 208 Attitudinal Attractiveness 209 Other Defendant Characteristics 210 BOX 7-2 The Capital Jury Project 211 Juror Characteristics and Decision Making 212 The Story Model 212 Strength of the Evidence 214 Hindsight Bias 214 Just World Hypothesis 215 Authoritarianism 217 G rou p Processes 219 Deliberation Style 219 Polarization 220 Leniency Bias 221 Effects of Expert Testimony 221 Jury Simulation; Critiques and Conclusions 221 Conclusions on Simulation Research 223 Summary and Conclusions 224 Key Terms 225 Questions for Review 225 C H A P T E R 8 The Psychology of Evidence; Eyewitness Testimony 226 Human Perception and Memory Perception 227 Memory 228 227 BOX 8-1 Eyewitnesses to Crime Often Inaccurate 229 Repressed Memory 230 System and Estimator Variables 232 Situational Factors of Eyewitness Testimony 232 Temporal Factors 232 Detail Significance 233 Witness Factors; Perceptual and Acquisition Influences 237 Witness Arousal and Stress 237 Expectancies and Stereotypes 238 Witness Memory: Retention Factors 240 Witness Confidence: Retrieval Factors 240 Effects of Drugs and Alcohol on Witness Testimony 242 Trivial Persuasion 243 Children as Witnesses 243 BOX 8-2 Cautionary Instructions 244 Children's Memory and Testimony 245 Reality Monitoring 245 Children's Suggestibility and Their Testimony 246 Communication Modality 248 Stress, Memory, and Suggestibility 249 Older Witnesses 250 Identifying Characteristics of the Offender 251 The Face 251 Unconscious Transference 252 Face Recognition 252 Own-Race Bias (ORB) 253 Reasons for ORB 254 Pre-trial Identification Methods 255 Legal Considerations 255 Lineups and Photospreads 256 The Lineups White Paper and the NIJ Guide 259 Summary and Conclusions 260 Key Terms 261 Questions for Review 261 C H A P T E R ) Hi Psychology of Evidence and Related Issues 262 Criminal Interrogation: Psychology of Confessions 262 Legal History of Coerced Confessions 263 Interrogative Tactics 264 BOX 9-1 What is Truth Serum? 266
Contents xiii BOX 9-2 Brain Fingerprinting 268 The Psychology of False Confessions 270 Deception and Lying 272 Research on Deception 272 Nonverbal Behavior 273 Expectancy-Violation Model 274 Detecting Deception in Court Proceedings 275 Voice Detection 276 The Polygraph 277 Polygraph Techniques 279 Countermeasures 281 Legal Status of the Polygraph 282 Research on the Polygraph 284 Forensic Hypnosis 288 Research on Forensic Hypnosis 290 Legal Status of Hypnosis 291 BOX 9-3 Hypnotically Refreshed Testimony (Rock v. Arkansas) 292 Facial Composites in Criminal Identification 293 Extraevielentiary Factors 295 Pre-trial Publicity 296 Research on Effects of Pre-trial Publicity 297 Pre-trial Publicity in Civil Cases 299 Judicial Remedies 299 Electronic Coverage of Trials 302 Summary and Conclusions 303 Key Terms 304 Questions for Review 304 Correctional Psychology 305 Overview of Correctional Facilities 306 Prisons and Jails 306 Community-Based Facilities 307 Goals of Corrections 307 Incapacitation 308 Retribution 309 Deterrence 309 Rehabilitation 311 BOX 10-1 Cognitive Self-Change 312 Correctional Psychologists 315 Psychological Assessment in Corrections 316 C H A P T E R 10 Initial Inmate Classification 316 Parole Decision Making 317 Crisis Intervention 317 Competency to be Executed 318 Treatment and Rehabilitation in Correctional Facilities 321 Sex Offender Treatment 323 BOX 10-2 McKune v. Lile 325 Psychological Effects of Imprisonment 326 The Stanford Prison Experiment 326 Research on Prison Adjustment 328 Psychological Effects of Crowding 331 Psychological Effects of Isolation 333 Legal Rights of Inmates 336 Summary and Conclusions 340 Key Terms 341 Questions for Review 341 Psychology and Family Law 343 Divorce and Child Custody 344 C H A P T E R 11 Custodial Arrangements 345 Child Custody Evaluations 346 BOX 11-1 Guidelines for Child Custody Evaluations in Divorce Proceedings 348 Psychological Effects of Divorce and Custody Arrangements 351 Divorce Mediation 355 Domestic Violence 357 Child Abuse and Neglect (Maltreatment) 358 Incidence of Child Maltreatment 359 BOX 11-2 Definitions and Categories of Child Maltreatment 360 Legal Process in Child Abuse 360 Child Testimony in Sexual Abuse Cases 361 Clinical Evaluation of Children in Maltreatment Situations 362 BOX 11-3 Anatomically Detailed Dolls 363 Intimate Partner Violence 365 Psychological Profiles of Abusers 366 The Concept of Consent by Minors 368 U.S. Supreme Court and the Abortion issue 368 Parental Notification Issues 369
xiv Contents Hastened Death 370 Oregon's Death With Dignity Law 371 Competency Evaluations of Hastened Death Decisions 372 Summary and Conclusions 373 Key Terms 374 Questions for Review 374 C H A P T E R mmmmmmmm Juvenile Delinquency and Justice 375 Juvenile Crime 375 History of Juvenile Justice 376 Early Juvenile Courts 377 Due Process and Statutory Changes 377 Supreme Court and Juvenile Justice 378 Juvenile Delinquency 381 Developmental Theory 381 BOX 12-1 The Supreme Court and Juveniles 382 Attention Deficit Hyperactivity Disorder (ADHD) 384 Special Topic: School Violence 385 The Juvenile Justice Process 386 Early Processing 386 Delinquency Petitions 387 Disposition 387 Competency to Waive Constitutional Rights 388 Role of Psychologists 389 Adjudicative Competence 390 Age and Developmental Considerations 391 The MacArthur Project and the Role of Psychologists 391 Ethical Considerations 392 Juveniles Found Incompetent 393 Conclusions 393 Transferring Juveniles to Criminal Courts 394 Waiver Options 394 Role of Psychologists 396 Juvenile Rehabilitation 397 Amenability for Rehabilitation 397 Prevention and Treatment of Juvenile Offending 399 12 Crime Prevention Models 400 Institutional Programming 401 Community Based Programming 402 BOX 12-2 Programs for Girls 403 BOX 12-3 MST Intensive Community Treatment 404 Summary and Conclusions Key Terms 407 Questions for Review 407 405 C H A P T E R 13 The Psychology of Criminal Behavior 408 Psychological Criminology 409 Neuropsyehological and Genetic Influences on Criminal Behavior 410 Defining Crime 412 Crime Statistics 413 Official Statistics 413 BOX 13-1 Definitions of Crimes in the UCR 414 BOX 13-2 The UC1 and September 11 415 Self-Re port Surveys 417 Victimization Surveys 417 Demographics of Crime Victims 418 The Psychopath 419 The Psychopathy Checklist (PCL) 421 Juvenile Psychopathy 423 Gender Differences in Psychopathy 423 Psychosocial Factors of Criminal Behavior 424 Cognitive-Social Learning Theory 424 Deindividuation 426 Prediction of Criminal Behavior 427 Crimes of Intimidation 428 Stalking 428 Hate or Bias Crimes 429 BOX 13-3 The Supreme Court and Hate Crimes 431 Violent Crimes: Sex Offenses 432 Sexual Assault; Definition and Prevalence 434 Prevalence and Incidence of Rape 435 Psychological Correlates of Rapists 436 Etiology or Explanations for Sexual Assault 438 Pedophilia 439 BOX 13-4 The ParapMlias 440 Psychological Effects of Child Sexual Abuse 442
Contents xv Violent Crimes: Criminal Homicide 443 Multiple Murders 444 Definitions of Multiple Homicide 444 Incidence of Multiple Homicide 444 Mass Murder 445 Serial Murder 446 Workplace Violence 447 BOX 13-5 Going Postal? 448 Arson 448 Adult Repetitive Firesetters 449 Juvenile Firesetters 449 Summary and Conclusions 450 Key Terms 451 Questions for Review 452 CHAPTER : ~ mmmnmmmaam The Psychology of Law Enforcement 453 The Police Personality 453 The Police Socialization Process 454 Police Cynicism 456 Other Representative Research 457 Women in Law Enforcement 459 Psychological Assessment in Law Enforcement 462 Psychological Testing in Law Enforcement 463 The Interview 467 Conclusion 468 Police Discretion 468 Police Discretion with the Mentally Disordered 470 Police Use of Force 471 14 Profiling: The Psychological Sketch 473 Criminal Profiling 473 BOX 14-1 Profilers Off Base on D.C. Snipers 475 The Psychological Autopsy 475 Geographical Profiling and Mental Mapping 476 Racial Profiling 477 BOX 14-2 Drinking Coffee While Black 478 Psychological Stress in Law Enforcement 479 BOX 14-3 Selective Prosecution? [J.S. v. Armstrong 480 Definition 480 Occupational Stressors in Law Enforcement 481 Types of Police Stress 482 Stressors of Small-Town Law Enforcement 483 Gender Differences 484 Environmental Stressors 486 When Adaptation Fails 486 Alcoholism 486 Burnout 486 Post-shooting Traumatic Reactions 487 Suicide 488 Special Issues 489 Suicide by Cop 489 Fitness-for-Duty Evaluations 490 Hostage Taking Incidents 490 Summary and Conclusions 491 Key Terms 493 Questions for Review 493 Glossary 495 Cases Cited 508 References 511 Author Index 559 Subject Index 573