Confronting Mental Health Evidence

John A. Zervopoulos, PhD, JD, ABPP, of Dallas, TX is a psychologist and lawyer, directs PsychologyLaw Partners, a forensic consulting service that applies the practical caselaw-based PLAN Model to help lawyers critique mental health experts' work and testimony and effectively address the resulting evidentiary reliability issues in court. In addition, Dr. Zervopoulos writes extensively and presents seminars to lawyers and mental health professionals. His second book, How to Examine Mental Health Experts: A Family Lawyer's Handbook of Issues and Strategies, was published in 2013 by the American Bar Association. He also publishes PsychologyLaw Brief, a semimonthly email that offers practice tips to guide case preparation, assess the reliability of experts' methods and reasoning, sharpen deposition and court examinations, and frame legal arguments.

Preface xiii Acknowledgments to the First Edition xv Acknowledgments to the Second Edition xvii About the Author xix Chapter 1: GettingStarted 1 The Challenge 1 Meet the Challenge: Understand Three Key Perspectives 5 Meet the Challenge: Apply the PLAN Model 7 The Roadmap 7 Part One: Develop Your PLANThreeCritical Perspectives 11 Chapter 2: The Emotional Perspective: Emotional Dynamics of Problem Divorces 13 The Emotional Effectsof Divorce and Resiliency 14 Three Keys to Understanding Problem Divorces 16 The First KeyHis"and Her" Marriages 17 The Second KeyThe Marital Separation Events 19 The Third KeyRecognizing Sources of Impasses to Resolving the Divorce 20 Summary 22 viii Contents Chapter 3: The Legal Perspective: Building the PLAN Model 23 Introduction 23 The Frye Test 24 Introduction and Concerns 24 The Different Faces ofFrye 25 The Daubert Test 29 Introduction 29 Applying Daubert in Bench Trials 32 Comparing Frye and Daubert 33 The PLAN Model: Applying Shared Principles 34 Step One: Determine the Expert's Qualifications to Testify 35 Step Two: Determine Whether the Expert's MethodsConform to Relevant Professional StandardsMethods Reliability 39 Step Three: Evaluate the Empirical and LogicalConnections Between the Data Arising from the Expert's Methodsand the Expert's ConclusionsReasoning Reliability 45 Step Four: Gauge theConnections Between the Expert's Conclusionsand the Expert's Opinions 46 Summary 48 Chapter 4: The Psychological Perspective: Filling Out the PLAN Model 49 Introduction 49 Step One: Determine the Expert's Qualifications to Testify 50 ProfessionalIdentities and Qualifications 50 Sorting Through the Qualifications Maze 56 Choosing Mental Health Experts: Distinguishing Qualities 58 Using Mental Health Experts: TheMatter of Professional Roles 62 Step Two: Determine Whether the Expert's MethodsConform to Relevant Professional StandardsMethods Reliability 71 Guidelines and Protocols Informing Methodology 72 Forensic Interviews 74 Collateral or Third-Party Information 77 Psychological Testing 79 Seven Keys to Understanding Tests 83 Step Three: Evaluate the Empirical and LogicalConnections Between the Data Arisingfrom the Expert's Methodsand the Expert'sConclusionsReasoning Reliability 99 Judgment Biases 100 MHP Use of Research and Professional Literature 100 Contents ix Problems Inherent in DSM-5 and Syndrome-Based Testimony 102 OrganizingData and Conclusions: A Functional Assessment Model 104 Step Four: Gauge theConnections Between the Expert's Conclusions and the Expert's Opinions 116 Summary 119 Part Two: Exposing the Analytical GapsApplying Scientific- Critical Thinking 121 Chapter 5: Scientific-Critical Thinking: The Mindset for Exposing AnalyticalGaps 123 Introduction 123 The Scientific-Critical ThinkingMindset 125 Critical Thinking Elements 126 Benefits of the Scientific-Critical ThinkingMindset 128 Chapter 6: ExposingAnalytical Gaps 129 Exposing Overly Abstract Psychological Concepts 129 Exposing Common Sense"Notions Used to Support Expert Opinions 131 Exposing Ipse Dixit Assertions 134 Exposing Attempts to Invoke the General Acceptance Factor Absent Support 136 Chapter 7: ExposingJudgment Biases: Keep It REAL 141 Introduction 141 Types of Biases 143 Overt Biases 143 Covert Judgment Biases 144 The Decision-Making Process 144 Common Judgment Biases 145 Overconfidence Bias 146 ConfirmatoryBias 146 Hindsight Bias 147 Anchoring and Adjustment 147 Availability Bias 148 Fundamental Attribution Error 149 Discounting Base Rates 149 x Contents Can You Expose Experts'Biases? 150 Conduct the REAL CHECK to Expose Experts'Biases 151 The Foundation 151 Generatingand Testing Reasonable Alternative Explanations 152 Conducting the REAL CHECK to Expose Experts'Biases 155 Summary 158 Chapter 8: ExposingMisapplied or Misrepresented Research: The Example of Domestic Violence 159 Introduction 159 ConceptualChallenges in DomesticViolence Cases 160 Definitions and LegalImplications 161 Looking at the Literatures 162 The Different Faces ofDomestic Violence 163 The Issue of Female-Initiated Violence 169 Looking Inside the Literature 170 Exposing the Gaps inDomestic Violence Testimony 172 Is the ExpertFamiliar with the Domestic Violence Literature? 172 Does the ExpertAcknowledge That the DomesticViolence Literature Reflects Different Types ofDomestic Violence That May Have Different Causes? 173 What Methods Does theExpert Use to Generate Data That Inform the Evaluation Conclusions and Expert Opinions? 173 Chapter 9: ExposingConfirmatory Bias:The Example of Sexual Abuse Allegations 177 Introduction 177 Behaviors and Symptoms: Problemsin Sexual Abuse Validation 179 Definitions 179 What About Sexualized Behaviors? 180 Key Principles When Considering Sexual Abuse Allegations 183 AllegationsTrue or False? 183 Children's Disclosure Statements 184 Suggestibility and Its Concerns 188 The Legal Effectsof Suggestibility Research 196 Forensic Interviews 197 Concerns with Problem ForensicInterviews 198 The Forensic Interview StructureBasic Principles 208 The Forensic Interview in Context 211 Contents xi Chapter 10: Exposing Misuse of DSM-5:A Lawyer'sApproach 213 Introduction 213 Topic One: Purposes andDevelopment of DSM-5 214 Purposes of DMS-5 215 Developmentof DSM-5 216 Topic Two: The Elements of a DSM-5Diagnosis 223 The DSM-5 Diagnostic Two-Step 224 Selected DSM-5 Diagnostic Issues 226 Summary of Topics One and Two: The Psychological Perspective 229 Topic Three: DSM-5, the Rules of Evidence, and CaselawThe Legal Perspective 230 The Legal Backdrop 230 Integrating the Psychological andLegal Perspectives 232 Arguments for Admissibility or Use of DSM-5 Based Testimony 234 Arguments Against Admissibility or Use of DSM-5 Diagnosis-Based Testimony 235 Summary: Understanding DSM-5A Lawyer's Approach 238 Part Three: ObtainingMental Health Records 241 Chapter 11: Negotiating the Mental Health Records Maze: Confidentiality, HIPAA, and Privileges 243 Introduction 243 1. The MentalHealth Record 244 2. Confidentiality 247 3. HIPAA and the Disclosure of Records 250 Three Key HIPAA Points 250 Key HIPAA Terms and Concepts 252 HIPAA Rulesfor Disclosing Protected Health Information 257 What About Alcoholand Substance Abuse Program Records? 263 4. Obtaining Psychological Test Data 266 5. Psychotherapist-Patient Privilege 270 The Privilege Rationale 270 The Privilege Landscape 271 Managing Special Issues 275 Strategies for Negotiating the Mental Health Records Maze 276 xii Contents Appendix A: Deconstructing an APA Journal Article 279 Abstract 279 Introduction 280 Methods 280 Study Participants or Subjects 280 Materials or Apparatus 281