| Chapter
8:
Developing the mental health dimensions of the defense BY JAMES
J. CLARK, LANE J. VELTKAMP
AND EDWARD C. MONAHAN |
A defense attorney litigating a criminal case on behalf of a troubled client can benefit from using a mental health consultant to help develop and manage the mental health dimensions of the case. With the consultant’s assistance, the defense team can meet a range of critical goals:
When a client’s mental health plays a significant role in determining whether he or she is guilty, or what degree of punishment is appropriate, a defense attorney cannot provide competent representation without the assistance of a mental health consultant. This article provides a realistic view of what mental health experts can and cannot offer and how to make the best use of their services to defend your client.
__________________________
Your relationship with the expert
It is often imperative that an attorney include mental health testimony as a part of the defense, but mental health experts present attorneys with a dilemma. On the one hand, attorneys need such experts to offer evidence regarding a client’s behavior, incompetence, insanity, or mitigating factors. On the other hand, these experts can sometimes seem unpredictable, stubborn, superficial, and oblivious to the pressing needs of the case.
Deciding on a specialist. Before choosing a mental health specialist, it is important to develop an accurate mental health history of the client. On the basis of that history, the attorney can formulate a range of possible mental health theories to explain the client’s behavior and then decide what specialist might be appropriate for the case.
Evaluating the expert’s report. Consider the following example:
Some attorneys use guides to mental health evaluations, but such guides describe only the components of the evaluation and cannot speak to the validity of the opinion formed by the evaluator. (See, e.g., John Blume, Mental Health Issues in Criminal Cases: The Elements of a Competent and Reliable Mental Health Evaluation, The Advocate 42-46 (Aug 1990).) For example, it takes years to refine the technique of conducting a mental health interview, an extremely complex social interaction that is difficult for laypersons to evaluate.
Reducing unpredictability. An equally difficult problem arises when the expert provides the attorney with an analysis favorable to the defense, but this analysis does not hold up in court – or actually backfires.
__________________________
Consulting experts and testifying experts
We classify mental health experts as either consulting experts or testifying experts. Consulting experts become part of the defense team and help the attorney develop the mental health theory that will be argued in the case. Testifying experts conduct evaluations specific to their field of expertise and testify to the results as a witness for a party.
While Ms. Johnson understands your desire to present the client as a paranoid schizophrenic, she has grave doubts that this is a valid diagnosis. She observes that the client has never received a thorough neurological examination and recommends that you hire a person with expertise in family theory and the evaluation of childhood traumas. She also recommends a neuropsychologist to test for brain injury and to provide a detailed report of the client’s brain functioning. After reviewing these experts’ reports, you decide to hire a neurologist to correlate the neuropsychological evidence. These experts testify at trial.
__________________________
Correcting for the bias of the expert witness
Social psychology research demonstrates that experts tend to assess clients only from their particular professional vantage points. As a result, clients will be diagnosed as suffering from problems the expert has the ability to detect and the resources to label and treat. (Dennis C. Turk and Peter Salovey, eds., Reasoning, Inference and Judgment in Clinical Psychology (The Free Press, 1988) ["Reasoning, Inference"]; Jurgis Karuza, Michael A. Zevon, Vita C. Rabinowitz, and Phillip Brickman, Attribution of Responsibility by Helper and Recipients, in Thomas A. Wills, ed., Basic Processes in Helping Relationships 107-29 (Academic Press, 1982).) A psychiatrist may be extremely skilled at developing a Diagnostic and Statistical Manual (DSM-II-R) diagnosis but have little idea about how family dynamics or environmental deprivations have shaped the client. A clinical social worker may have expertise in psychosocial and family dynamics issues but erroneously neglect the complex biological issues involved in the case.
This "dominant orientation" phenomenon can lead to several problems at the level of assessment:
A consulting expert would be vigilant for these situations and alert the attorney to the strengths and weaknesses of different mental health evaluation. The consultant can suggest other mental health evaluations that will complement and strengthen weak or incomplete evaluations. The consultant can also advise the attorney on ways to approach experts who are resistant to continued dialogue and analysis.
It is too easy for even the sophisticated attorney to miss the consequences of the mental health expert’s particular professional orientation. A consultant can help the attorney by identifying the orientation of the testifying expert and discussing the use of other experts with differing expertise. The incisive testimony of the expert witness is irreplaceable, but it must be used with caution and only in the context of the entire mental health strategy of the case.
__________________________
Sorting out the roots of violence
Perhaps the most important reason to work with a consulting expert is to allow the defense to thoroughly consider competing and complementary mental health theories of the case. Do not see this as an opportunistic stance; rather, it is based on a theoretical understanding of violence. Psychiatrist Dorothy Lewis has developed a compelling argument that there are multiple influences on the development of violent individuals. (The Development of the Symptom of Violence, in Melvin Lewis, ed., Child and Adolescent Psychiatry: A Comprehensive Textbook (Williams and Wilkins, 1991).) These influences include:
__________________________
Helping to prepare a multipathway defense
A consulting expert who is aware of the complexity of the situation can help the defense gain a more realistic view of the client. The exploration of many possible explanations for the client’s behavior may prove frustrating initially, but it is an approach that can have long-term benefits. Trying to make your case with a simple, quick explanation may be disastrous, as the argument can often be destroyed by an effective cross-examination or refuted by a better-informed prosecution witness.
A carefully constructed multipathway theory may still be vulnerable to attack, but it can retain its basic integrity even if one dimension of the argument is refuted. If the attorney decides to present only one explanation, the earlier exploration of many pathways can still help the defense prepare to argue against completing explanations that may be used by prosecution experts.
The client’s story. An argument against the multiple-pathways approach is that it is too difficult for the defense to integrate several explanations into a coherent, persuasive presentation. If we accept the current empirical findings of social psychologists, we understand that jurors process information most readily if it is in narrative form; that is, in the form of a story. (Nancy Pennington and Reid Hastie, Evidence Evaluation in Complex Decision Making, 51(2) J. Personality & Soc. Psychology (1986); Explanation-based Decision Making: Effects of Memory Structure on Judgment, 14(3) J. Experimental Psychology: Learning, Memory & Cognition (1988).)
Rather than developing simply a list of arguments, the attorney must develop a formulation, weaving the multiple mental health issues into the larger story of the client being told in the voir dire, opening statement, examination of witnesses, and closing argument. In the following, we offer some strategies for constructing an effective mental health story.
All behavior has meaning. The most frequent approach to evaluating persons is to employ a bio-medical model that emphasizes psychopathology. While it is not our intention to recommend routine exclusion of the biomedical model, we believe that relying on it alone is a serious mistake. Even if the diagnosis is not as prejudicial as "antisocial personality disorder," emphasis on psychopathology tends to emphasize the differences between the client and the fact finders and to decrease the likelihood of an empathic connection.
In our experience, a biopsychosocial assessment that elicits the client’s experience of the offense in the context of his or her life situation offers the key to the jurors gaining a more profound understanding of the defendant. This approach was recommended in the early twentieth century by Alfred Adler, who argued that "all behavior is purposeful." (Harold H. Mosak, Adlerian Psychotherapy, in Raymond J. Corsini and Danny Wessing, eds., Current Psychotherapies (Peacock Publishers, 4th ed. 1989).) Contemporary cognitive and phenomenological approaches emphasize that understanding even maladaptive coping behavior is possible when the clinician explores the "appraisals," or readings of the situation, made by the client, even when these appraisals may not be ordinary or prosocial. (Susan Folkman and Richard S. Lazarus, Stress, Appraisal and Coping (Springer, 1984).) We argue that no matter how bizarre or inexplicable behavior seems initially, by understanding the subjective experience of the client and how his/her actions were an attempt to solve a problem or deal with a stressful situation, the observer can begin to see the ultimate purpose of the behavior.
+
Other psychiatric &
Neurological evidence
+
Client’s subjective
purpose behind acts
+
Lack of support
network, help,
or treatment
=
Empathy & compassion
for the client
To ensure that jurors and judges understand the defendant compassionately rather than see him or her as a monster, the defense must take the following three steps when presenting mental health evidence in criminal cases:
Jurors can psychologically deal with a heinous crime if it is presented in the context of a compelling and coherent story. Even if this is not always a sufficient condition, it seems that it is a necessary condition for the jury to be able to empathize and connect with the humanity of the client.
Developing a mental health argument that integrates the defendant’s life story and its relationship to the crime, while simultaneously grounding the argument in valid mental health theory, is a daunting enterprise. It requires time, money, competent consultation, and expert testimony. However, such a presentation can be extremely persuasive if it is well prepared and delivered. While each expert witness can present a piece of the story, the consulting expert assists the attorney in developing the theory that drives all the testimony and the narrative that integrates and explains it to the jurors.
Consultants can help exclude unnecessary information that may derail the defense, encourage spurious correlations, or foster overinterpretation of information. These "cognitive errors" can lead to invalid inferences that derail the defense team and, later, the jury. (See Paul E. Meehl, Psychodiagnosis (Norton, 1972); Turk and Salovey, eds., Reasoning, Inference, supra.)
The skilled criminal defense investigator who is able to track the long paper trail of a client’s life provides the defense team with important clues to the mental health issues in the case. Due to the limited time and money involved, it is eventually necessary to direct the investigation and data analysis to specific areas. This is where the consulting expert comes in. The consulting expert can read this voluminous record and then recommend what further mental health investigation might prove most fruitful.
When the attorney, paralegal, and investigator brainstorm with the consulting expert, new ideas and a team consensus for future efforts often emerge. One forum for brainstorming is a team meeting to look at the client’s developmental time-line and vigorously discuss issues from the mental health and legal points of view.
Collaborative preparation can encourage development of a streamlined argument and prevent presentation of too many expert witnesses. Cognitive psychology teaches us that presenting too much information can befuddle persons who are asked to perform complex tasks of memory and judgment. How many mental health experts should jurors hear? As many as can help them remember the client’s story and integrate the variables in the empathy / compassion equation described above. No more, no less.
__________________________
Finding appropriate expert witnesses
The consultant can help the attorney hire witnesses whose expertise will be applicable to the case. Having worked with the consultant to develop several possible mental health approaches for the case, the defense team can then seek witnesses with particular expertise.
Just as we would not recommend choosing a psychotherapist by calling the first number in the Yellow Pages, we recommend against choosing an expert based only on reputation or credentials. The consultant can help identify persons who are competent mental health practitioners and who will be comfortable with the overall mental health theory of the case. For example, the consultant can help the defense team decide whether to hire a clinical psychologist, neuropsychologist, neurologist, psychiatrist, psychopharmacologist, clinical social worker, or some combination of these specialists.
_________________________
Consultant as liaison between attorney and experts
Because the consultant is familiar with the specialized language and "culture" of mental health experts, he or she can help the attorney and the experts to develop good working relationships. This liaison work can continue after the expert is hired, through the processes of evaluation, report writing, and testimony. The consultant can, for example, encourage busy, experienced forensic experts to be more invested in the case because they perceive the defense team as efficient, approachable, and committed.
The deliberate development of a relationship between the attorney and the testifying expert is a critical role for the consultant. By helping to resolve disagreements and misunderstandings between the expert and the attorney, the consultant not only enhances communication but improves the expert’s subsequent testimony. The more complex and difficult the case, the more likely difficulties will arise between the testifying experts and the attorney. A sturdy relationship is the only hope that the collaboration will survive these predictable conflicts.
__________________________
Legal and ethical aspects of using a consultant
A mental health consultant’s work is protected by the Sixth Amendment guarantee of counsel as well as the attorney-client and work-product privileges, because the consultant "has the same obligations and immunities as any member of the prosecution or defense team." (ABA Criminal Justice Mental Health Standards (1984) Standard 7-1.1©; Miller v District Court, 737 P.2d 834 (Colo. 1987).) Notably, the testifying expert's work is subject to some discovery (Standard 7-3.8), but the consultant'’ work is beyond the reach of the court or the opposing party. (See, e.g., Federal Rules of Criminal Procedure 16(b)(2).)
These protections are critical to the full functioning of the consultant / attorney relationship and markedly distinguish the role of the consultant. If a consultant’s work were subject to discovery, the possibility of frank dialogue between the attorney and the consultant would be nonexistent. The consultant thus is an invaluable resource, and can communicate, advise, and work out a strategy at length with the attorney.
When attorneys obtain expert assistance, they usually hire a testifying expert whom they may ask to double as a consultant because this seems more efficient or because economic constraints demand it. However,
__________________________
Resources to hire a consultant
Unfortunately, lawyers too often put little effort into trying to secure funds for experts and therefore seldom receive funding for an expert consultant or for a testifying expert. How can an attorney obtain the money to hire a consulting expert as well as a testifying expert?
A client rarely has sufficient resources (or a family with sufficient financial resources) to retain a consulting expert. More often, the client and his or her family and friends are indigent. Experts must be retained through outside resources.
One strategy is to recruit mental health consultants who work in academic settings, especially research and training universities. Some may be willing to assist because of a belief in the value of the work, the quest for valuable experiences for clinical teaching, or the need to develop research projects to meet the demands of "publish or perish."
The most frequent means used to obtain funds to hire an expert consultant is a request to a judge to order the funding authority – the county, state, or federal government – to supply the funds. Case law across the nation clearly instructs that a substantial threshold showing is necessary before a court is statutorily or constitutionally required to authorize the money and that the showing must demonstrate the following eight features:
(Edward Monahan, Obtaining Funds for Experts in Indigent Cases, 13(7) The Champion 10-18 (1989).)
Funds for both consulting and testifying experts are provided with increasing regularity when the attorney makes a competent threshold showing. (Ake v. Oklahoma, 470 U.S. 68 (1985).) Ake explicitly recognizes the necessity of access to both testifying and consulting experts. As a guarantee of Fourteenth Amendment due process when the threshold showing has been made, the Ake court determined that an indigent defendant is entitled not only to an expert who would conduct a professional exam, help determine the viability of a defense, and testify but also to one who would "assist in preparing the cross-examination of a State’s psychiatric witnesses" (e.g., a consulting expert).
__________________________
Characteristics of a consultant
What type of person makes an effective mental health consultant for criminal cases? We recommend looking for seven main characteristics when you consider hiring a consultant for your case:
To successfully defend a
client, an attorney needs to demonstrate how the defendant’s mental condition
was the proximate cause of the criminal act that was committed, and then
be able to show that that condition is subject to remediation. A consulting
expert can help attorneys develop a persuasive mental health theory of
the case, choose competent expert witnesses, and develop a narrative that
integrates the variables of the empathy / compassion equation described
above.
| JAMES J. CLARK
Assistant Professor
E-mail: jjclar00@pop.uky.edu |
LANE J. VELTKAMP
Assistant Professor
E-mail: ljvelt2@pop.uky.edu
|
EDWARD C. MONAHAN
Deputy Public Advocate
E-mail: emonahan@mail.pa.state.ky.us |
© James J. Clark, Lane J. Veltkamp and Edward C. Monahan, 1993

©2001
Kentucky Dept. of Public
Advocacy
http://www.dpa.state.ky.us