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Detailed Contents
Preface
About the Authors
• CHAPTER 1 Introduction
Goals and Definitions
➡ Box 1.1. Work Settings of Psychologists Who Participate
in Psychology and Law Activities
Definitions of Psychology and Law
Psychology and Law: Three Approaches
Psychology in the Law
Psychology and the Law
Psychology of the Law
➡ Box 1.2. Education and Training in Psychology and Law
Ways of Knowing and the Methods of Science
Ethical Guidelines
➡ In Focus 1.1. Telepsychology, Ethics, and the Law
Psychology and Law: A Challenging Alliance
Defining and Classifying Law
Content Classifications
Civil and Criminal Law
Substantive and Procedure Law
Classifying by Origin
Constitutional Law
Statutory Law
Administrative Law
Psychology and Law: Some Differences
Summary and Conclusions
Key Concepts
• CHAPTER 2 Psychology and the Courts: An Overview
Organization of the Courts
Federal Courts
State Courts
Specialized Courts: Drug and Mental Health Courts
➡ In Focus 2.1. Veterans’ Courts
Drug Courts
 Mental Health Courts
➡ Researchers at Work 2.1. Graduation From Mental Health
Court
The Judicial Process
Pretrial Stage
The Role of Psychologists at the Pretrial Stage
Trial Stage
The Role of Psychologists at the Trial Stage
Disposition Stage
The Role of Psychologists at the Disposition Stage
Appellate Stage
The Role of Psychologists at the Appellate Stage
➡ Case Study 2.1. Masterpiece Cakeshop v. Colorado Civil
Rights Commission: Discrimination or Freedom of Religion
and Expression?
The Psychologist as an Expert Witness
The Frye Standard
The Daubert Standard
Supreme Court Decisions After Daubert
Expert Certification
Adversarial Allegiance
The Confidentiality Issue
Ultimate Issue or Ultimate Opinion Testimony
Surviving the Witness Stand
Summary and Conclusions
Key Concepts
• CHAPTER 3 The Criminal Investigative Process
Overview of Profiling
Crime Scene Profiling
Three Basic Approaches to Crime Scene Profiling
Geographical Profiling
Psychological Profiling
Suspect-Based Profiling
Psychological Autopsy
The CSI Effect: Fact or Fiction?
Profiling as Expert Evidence
Paths to Admission of Evidence
 Profiling Credentials
Linkage Analysis in the Courtroom
Motivations, Mind, and Personality Statements Not Allowed
Investigative Interviewing and Interrogation
Miranda Warnings
➡ Case Study 3.1. The Dassey Confession: Valid or
Involuntary?
Legal Background
Phrasing the Miranda Warnings
The Custody Aspect
Comprehending Miranda Warnings
Assessing Miranda Comprehension
Detection of Deception
Research on Deception
Emotion Cues
Attempted Behavioral Control
Cognitive Load
The Interrogation Process
➡ In Focus 3.1. Psychologists and Military Interrogations
Confirmation Bias
The Psychology of False Confessions
Types or Categories of False Confessions
Errors Leading to False Confessions
Mental Impairment and False Confessions
➡ Researchers at Work 3.1. False Confessions and Serious
Mental Illness
Admissibility of False Confessions in Court Proceedings
Summary and Conclusions
Key Concepts
• CHAPTER 4 Eyewitness Evidence
A Brief Word on Research Methodology
Human Perception and Memory
Perception
Memory
Estimator and System Variables
Eyewitness Estimator Variables
Exposure Duration
 Frequency of Exposure
Pace of Events
Retention Interval
Disguises
Weapon Focus
➡ Researchers at Work 4.1. Weapon Focus and Witness
Confidence
Significance (or What’s Happening?)
Own-Race Bias (ORB)
Effects of Alcohol and Other Drugs
Eyewitness System Variables
Misinformation Effect
Misinformation Effect Research
Eyewitness Confidence and Certainty
Eyewitness Confidence Malleability
Preserving the Integrity of the System
The Cognitive Interview
Pretrial Identification Methods
Court Cases Involving Eyewitness Identification Methods
➡ Case Study 4.1. Perry v. New Hampshire: What Has
Happened to Reliability?
Eyewitness Research Since Manson
Lineup Procedures and Lineup Research
Simultaneous Lineups
Physical Features of Lineup Members
Lineup Size and Composition Bias
Commitment Bias
Pre-lineup Instructions and Lineup Administrator
Behavior
Sequential Lineups
Show-Ups
Summary and Conclusions
Key Concepts
• CHAPTER 5 The Trial Jury
Overview of the Trial Jury
Jury Research
Methodology
 Jury Selection
Venire and Voir Dire
Allowable Challenges During Voir Dire
➡ Researchers at Work 5.1. Implicit Bias in Jurors—Do
Lawyers Use It to Their Advantage?
Death Qualification—A Special Issue
➡ In Focus 5.1. Mixed Evidence—What to Do?
Scientific Jury Selection (SJS)
Jury Size and Decision Rule
Jury Size
Research on Jury Size
➡ Case Study 5.1. A Lone Holdout—and a Mistrial
Conclusions on Jury Size
Decision Rule
Research on Decision Rule
The Jury’s Role During Trial
Instructing the Jury
The Dynamite Charge
Research on Charging Instructions
Research on Admonitions
Capital Sentencing Instructions: A Special Issue
Jury Nullification
Summary and Conclusions
Key Concepts
• CHAPTER 6 Jury and Judicial Decision Making
The Jury Decision-Making Process
Jury Deliberation Styles
Jury Participation During Deliberation
The Story Model
Hindsight Bias
Influences on Jury Decision Making
Legal Trial Factors
Strength of the Evidence
Scientific Reliability of the Evidence
➡ Researchers at Work 6.1. What Leads to Conviction or
Acquittal? A Field Study
Nature of the Evidence
 ➡ In Focus 6.1. Mental Health Debriefing of Jurors
Effects of Expert Testimony
Influence of Attorneys
Extra-evidentiary Factors
Pretrial Publicity
Physical Attractiveness of Defendant or Litigants
Defendant’s Criminal History
Defendant’s Courtroom Behavior
Race of the Defendant
➡ Case Study 6.1. Revisiting the Jury Room: Pena-
Rodriguez v. Colorado (2017)
Deciding on Death Sentence: A Special Issue
Research on Capital Jury Decision Making
Damage Awards in Civil Cases: Another Special Issue
Judicial Decision Making
Functions of Trial Judges
Research on Judge Biases
Anchoring
Hindsight Bias
Egocentric Bias
Racial and Other Group Biases
Summary and Conclusions
Key Concepts
• CHAPTER 7 Competencies and Criminal Responsibility
Competency to Stand Trial (CST)
Raising the Competency Issue
Incidence of CST Evaluations
The Competency Evaluation Process
Dual-Purpose Evaluations
Competency Assessment Instruments
Making the Competency Decision
The Incompetent Defendant
Is the Crime Charged Significant?
Do Diagnoses Matter?
Competency Restoration
Drug Treatment
Outpatient Competency Restoration
 ➡ Researchers at Work 7.1. Outpatient Competency
Restoration Programs (OCRPs): Features and Outcomes
Competency to Be Executed
➡ Case Study 7.1. Madison v. Alabama—A Last-Minute
Lifeline
Intellectual Disability and the Death Sentence
Insanity
➡ In Focus 7.1. Targeting People With Mental Illness
Abolition of the Insanity Defense
Frequency of the Insanity Defense and Acquittals
Insanity Standards
The M’Naghten Rule: The Right/Wrong Test
The Durham Rule: The Product Test
The ALI/Brawner Rule
Insanity Defense Reform Act of 1984 and Beyond
Guilty but Mentally Ill (GBMI)
NGRI and Its Outcomes
Clinical Assessment of Criminal Responsibility
Special Conditions and Unique Defenses
Posttraumatic Stress Disorder (PTSD)
Automatism
Summary and Conclusions
Key Concepts
• CHAPTER 8 Children, Adolescents, and the Criminal Law
Brief History and Overview of the Juvenile Court
Adolescent Development as It Pertains to the Law
Adolescent Cognitive Ability
Adolescent Neuroplasticity
Adolescent Competence and Culpability
Criminal Culpability
Relevant U.S. Supreme Court Cases
Roper v. Simmons (2005)—A Death Penalty Case
Graham v. Florida (2010)—A Life Without Parole Case
Miller v. Alabama and Jackson v. Hobbs (2012)—More
on Life Without Parole
Montgomery v. Louisiana (2016)—Is Miller Retroactive?
➡ In Focus 8.1. Long Sentences for Juvenile Offenders:
 When Is Punishment Enough Punishment?
Juvenile Competency
Juvenile Psychological Disorders
Miranda Protections
➡ Case Study 8.1. From Michael C. to J. D. B.—Questions of
Interrogation and Custody
➡ In Focus 8.2. Federal Juvenile Delinquency Act (18 USC §
5033)
Juvenile Interrogation and False Confessions
Emotional and Psychosocial Immaturity
Interrogation Tactics
Compliance With Authority Figures
Reciprocity
Edmonds v. State of Mississippi (2007)
Plea Bargaining
➡ Researchers at Work 8.1. Helping Juveniles Plea Bargain
Children as Witnesses
Legal Criteria for Child Testimony
➡ Case Study 8.2. Ohio v. Clark (2015)—Revealing Abuse to
a Teacher
Psychological Research on Child Testimony
Honesty
Accuracy as a Function of Age
Lineups
Suggestibility
Reality Monitoring
Courtroom Cross-Examination of Children
Communication Modality
Summary and Conclusions
Key Concepts
• CHAPTER 9 Psychology and Family Law
The Modern Family Court
Changes in Family Court in Recent Years
The Nature of Caseloads and Responsibilities
The Expanding Roles of Mental Health Professionals
Divorce and Child Custody
➡ Case Study 9.1. Visitation Rights for Grandparents and
 Others
Parental Alienation Syndrome (PAS) or Disorder (PAD)
Attempts at Improving the BIC Standard: The Approximation
Rule
Custodial Arrangements
➡ In Focus 9.1. Our Son Shouldn’t Play Football! A New
Issue for Family Courts
The Psychological Effects of Divorce and Custodial Arrangements
The Effects of Divorce
The Developmental Age Factor
The Effects of Custodial Arrangements
The Roles of Mental Health Professionals in Child Custody Cases
Court-Appointed Neutral Evaluators
Conducting Child Custody/Parenting Evaluations
➡ Researchers at Work 9.1. Child Custody Evaluations:
Negotiating the Minefield
Criticisms of Child Custody Evaluations
Work-Product Evaluators
Case-Blind Consultants
Trial Consultants (Non-testifying and Testifying)
Alternative Dispute Resolution (ADR)
Divorce Mediation
Collaborative Divorce
Parenting Coordination
Contemporary Special Issues in Custody Decision Making
Parental Relocation
Incarcerated Parents
Never-Married Parents
Same-Sex Parents
Child Welfare Evaluations
Summary and Conclusions
Key Concepts
• CHAPTER 10 Involuntary Civil Commitment
A Brief History
Due Process Changes
Outcomes of Statutory Changes
Loosening the Standards
 Modern Commitment Statutes
Danger to Self or Others
➡ Case Study 10.1. Civil Commitment and the Law: Lessons
From the Virginia Tech Shooting
Grave Disability/Inability to Care for Oneself
Civil Commitment Proceedings
Communication of Risk
Duty to Warn or Protect
➡ Case Study 10.2. Tarasoff v. Regents of the University of
California (1974, 1976)
➡ In Focus 10.1. Student Mental Health: Privacy, Protection,
and Prevention
Research on Dangerousness
MacArthur Violence Risk Assessment Study
➡ Researchers at Work 10.1. The MacArthur Violence Risk
Assessment Study: Can We Predict Violence in Those Civilly
Committed?
Involuntary Outpatient Commitment
Kendra’s Law and Its Spinoffs
Voluntary Commitments
Informed Consent and the Right to Refuse Treatment
Receiving and Refusing Treatment
MacArthur Competence Study
Civil Commitment of Sex Offenders
➡ In Focus 10.2. SVP Commitment— When Is a Predator
Not a Predator?
Summary and Conclusions
Key Concepts
• CHAPTER 11 Psychology in Civil Litigation
Civil Capacities
Guardianship
Testamentary Capacity
Forming and Executing a Will
➡ Case Study 11.1. The Marshall/Astor Story
Testamentary Capacity Concerning Other Legal Documents
End-of-Life Issues
Medical Aid in Dying
 ➡ Researchers at Work 11.1. Evaluating the Ability to
Request Assistance in Dying
Psychology in the Employment Sphere
Employment Compensation and Personal Injury Claims
The Americans with Disabilities Act (ADA)
Medical Questions and Screening Pre-employment
Reasonable Accommodations
Sexual Harassment, In and Out of the Workplace
Gender Harassment
Wrongful Death and Personal Injury Suits
Loss of Enjoyment of Life (LEL)
Psychology in the Educational Sphere
Individuals with Disabilities Education Act (IDEA)
Summary and Conclusions
Key Concepts
• CHAPTER 12 Psychological Assessment and the Law
Forensic Assessment in Civil Cases
Psychological Assessment in Criminal Cases
Forensic Classifications of Assessment and Testing
Clinical Measures and Assessment Techniques
Cognitive Tests and Techniques
Personality and Psychopathology Assessment
Evidence-Based Assessment and Psychopathology
Forensically Relevant Instruments (FRIs)
Assessment of Feigning (or Gross Exaggeration of Symptoms)
Assessment of Neuropsychological Impairment
Risk Assessment
➡ In Focus 12.1. Decision Making by Algorithm
Assessment of Psychopathy
Forensic Assessment Instruments (FAIs)
Forensic Assessment of the Capacity to Comprehend Miranda
Warnings
Forensic Assessment of Competency to Stand Trial
Forensic Evaluations in Delinquency Cases
Adjudicative Competency
Summary and Conclusions
Key Concepts
Glossary
Cases Cited
References
Author Index
Subject Index
Preface

The connection between psychology and law can be traced to the turn of the
20th century, when experiments in the psychological laboratory were found
to be relevant to the law. Since at least that time, the two fields have been
interrelated while retaining their independence. The relationship has
continued to develop, often gradually and cautiously, but always in a steady
direction. The intersection of psychology and law today is well established as
mutually advantageous. For research psychologists, it is a vibrant field of
study. Practicing psychologists find that the requests for their services are
ever increasing. For its part, the law benefits from knowledge gained from
the behavioral sciences.

There are many observable differences between psychology and law,

reflected in their assumptions, goals, and practices. Like all sciences,
psychology is exploratory, and its knowledge is continually evolving. Often
this means that psychology cannot provide definitive answers to questions the
legal system poses. For example, psychologists cannot say who would be the
better parent in a child custody case, but they can evaluate parenting plans.
They cannot predict with a high degree of certainty whether an individual
will or will not be violent, but they can offer some assessment of the
probability that a given individual will do harm to himself or others.

Importantly, psychology has accumulated a wide store of knowledge in areas

such as human memory, cognition, decision making, and child and adolescent
development, all of which are extremely relevant to the legal system.
Research on memory and cognition is relevant to eyewitness testimony.
Research on group and individual decision making is relevant to the work of
judges and juries. Research on the emotional and cognitive development of
adolescents is relevant to their responsibility for criminal acts as well as the
justice system’s decisions about their future. Research on risk assessment is
relevant to the prevention of violence. These are but a few of many topics to
be discussed in this book.

In addition to conducting research on legally relevant topics, psychologists

interact with the law in many contexts. They serve as consultants, clinicians,
and experts testifying in court. Professional organizations, most notably the
American Psychological Association (APA), submit briefs to appeals courts
that summarize the research in given areas, such as research on adolescent
decision making or the effects of discrimination.

Many mental health professionals associated with psychology and law

conduct psychological assessments that are requested by lawyers and courts
or mandated by statutes. For example, psychologists assess risks and threats,
parenting plans, children for educational purposes, criminal defendants,
emotional suffering in civil suits, and the capacity of individuals to write their
wills and make health care decisions. Assessment is woven explicitly or
implicitly into virtually every chapter of this book, and a special concluding
chapter focuses directly on this topic.

Numerous court cases, particularly those that reached the U.S. Supreme
Court and other appellate courts, are cited throughout the book. Many are
summarized in accompanying tables. We caution that these cases are
representative, not exhaustive. In the hands of law professors and law
students, the cases in this book would be subjected to extensive legal
analysis. We use them not for that purpose, but rather as a springboard to
cover psychological concepts and issues.

The subject matter of the cases chosen relates to psychology, and the
decisions themselves have often led to more psychological research. For
example, prior to the landmark Miranda v. Arizona (1966) case, suspects in
police custody were routinely submitted to psychologically coercive
interrogation techniques without being advised of their legal rights. The
decision by the U.S. Supreme Court that required police to warn suspects
placed some limits on this practice, but, as many readers undoubtedly know,
this was not the last word on the subject. The Miranda case, however,
eventually led many psychologists to ask, “Do people really understand these
Miranda warnings?” as well as to design and validate instruments to measure
this comprehension. In a similar manner, Supreme Court cases related to
eyewitness identification prompted researchers to examine in depth what
factors led to accuracy and inaccuracy in that regard.
New Material and Changes From the Previous
Edition
Preparing a new edition of Psychology and Law has been both challenging
and stimulating. What begins as a relatively clear-cut process (“You just
update, don’t you?” we are often asked) becomes much more complicated.
Both psychology and law are dynamic fields, constantly in flux, despite the
fact that each is based on a solid body of theory, research, and—especially in
the case of law—precedent. In addition, current events provide fodder for
illustrating concepts in the chapters. Consequently, what begins as a process
“just” to update meanders into previously unexplored territory. This edition,
for example, includes topics that had not been covered in the previous
edition, such as neuropsychological assessments, telepsychology, and
adversarial allegiance, as well as court decisions relating to intellectual
disability, civil commitment of sex offenders, juvenile offenders, and civil
rights.

Reviewers of the previous edition suggested helpful changes, most of which

we have implemented. A special topics chapter has been replaced with a new
chapter on children, adolescents, and the criminal law, Chapter 8. Some
material from the previous special topics chapter (e.g., profiling) has been
integrated into other chapters in the text when appropriate. We have deleted
material on hypnosis and the polygraph, in favor of more on the cognitive
interview and detection of deception. Two chapters on the jury and judge’s
decision making have been advanced to follow directly the chapters on
psychology and the courts, the criminal investigative process, and eyewitness
evidence, while the chapter on criminal competencies and responsibility now
follows these. We removed Daubert-related material in Chapter 1 and
included it in Chapter 2, which deals with courts and expert testimony.

In addition to these structural changes, this edition includes the following:

Thirty-two new boxes, which fall under three themes: case studies,
research projects, and contemporary topics. Aware that these boxes
cannot do justice to a complex case, a controversial topic, or a carefully
designed study, we hope that readers will be prompted to explore these
resources in more depth. Most boxes include questions for discussion or
further thought.
New court cases and statutes, which have been integrated into the
chapters as relevant
Increased coverage of contemporary issues such as telepsychology,
neuropsychology, adversarial allegiance, and actuarial instruments used
in bail and sentence decision making
Updated coverage of adolescent capability and criminal culpability in
the eyes of the courts
Greater emphasis on Steinberg’s dual-system model and increased
coverage of adolescent neuroplasticity
Increased coverage of child welfare evaluations and parental alienation
syndrome (PAS), which has gained attention in some family courts but
has not been documented in the psychological research
More coverage of juvenile interrogation, false confessions, and plea
bargaining
More in-depth descriptions of U.S. Supreme Court cases and how they
affect the research and practice of psychology
Emphasis on the ethical and legal differences between the duty to warn
and the duty to protect and the wide variations in state laws that
reference these duties
Discussion of risk communication and the various models proposed for
that purpose
More emphasis on research in jury and judicial decision making,
including discussion of implicit and explicit bias
The addition of more than 300 recent research findings on topics related
to psychology and law
Acknowledgments
Once again, our own gang of eight has provided us with unflagging support
and encouragement in this and every other endeavor. To a person they are
compassionate, unique, whip-smart, and funny, and they give us hope for the
future.

A number of individuals have been at our side during the preparation of this
edition. SAGE acquisitions editor Jessica Miller; her capable assistants,
Jennifer Rubio and Rebecca Lee; and production editor Bennie Clark Allen
all kept us on task. Editorial assistant Gina Cook was engaged in numerous
projects, often at a moment’s notice. These included locating references and
statutes, preparing tables, reviewing the manuscript for clarity, and refining
the glossary. Her professional background in social work, editing, and
manuscript preparation was invaluable to us. We are extremely grateful to
Laureen Gleason, for her diligent work and very careful attention to every
aspect of the manuscript at the copyediting stage. Thank you also to
proofreader Eleni Georgiou, indexer Jeanne Busemeyer, and Dally Verghese
for the vivid cover design. And, as always, we appreciate the great work done
by marketing manager Amy Lammers and her staff.

We are appreciative of the professors who reviewed the previous edition, as

well as those who reviewed three in-progress chapters:

Barbara Abbott, New England College

Julie Allison, Pittsburg State University
Shavavian Allister, Oakwood University
Mkay Bonner, University of Louisiana at Monroe
Eve Brank, University of Nebraska–Lincoln
Melanie Freedman, Rowan University
William A. Holt, St. Joseph’s University and National Organization of
Forensic Social Work
Maria Ioannou, University of Huddersfield
Jonathan Lewis, University of North Texas
Fadia M. Narchet, University of New Haven
Judith Rauenzahn, Kutztown University
 Elizabeth Swenson, John Carroll University
Yin-Yin Tan, Michigan Technological University
Lisa Topp-Manriquez, University of Arkansas–Fort Smith
Eleanor Willemsen, Santa Clara University
Michael Willemsen, Santa Clara University

Finally, a book like this would not be possible were it not for the groundwork
laid by researchers in psychology, law, and related fields. They have asked
and answered crucial, probing questions, and they continually delve into new
and exciting areas to explore. Some have careers spanning many years of
research, teaching, and practice, while others are newly minted scholars. We
hope they know that their work is appreciated.
About the Authors

Curt R. Bartol
was a college professor for more than 30 years, teaching a wide variety
of both undergraduate and graduate courses, including Biopsychology,
Criminal Behavior, Juvenile Delinquency, Introduction to Forensic
Psychology, Social Psychology, Profiling, and Psychology and Law. He
earned his PhD in personality/social psychology from Northern Illinois
University in 1972. He studied political science and law at the
University of Wisconsin–Madison under a fellowship from the National
Institute for the Humanities (NIH). He was instrumental in creating and
launching Castleton State College’s graduate program in forensic
psychology and served as its director for 6 years. As a licensed clinical
psychologist, he has been a consulting police psychologist to local,
municipal, state, and federal law enforcement agencies for more than 30
years. In addition to Psychology and Law, he has coauthored Criminal
Behavior: A Psychosocial Approach (now in its 11th edition);
Introduction to Forensic Psychology: Research and Application (5th
ed.); Juvenile Delinquency and Antisocial Behavior: A Developmental
Perspective (3rd ed.); Criminal and Behavioral Profiling; and
Psychology and Law: Theory, Research, and Application (3rd ed.). He
served as editor of SAGE’s Criminal Justice and Behavior: An
International Journal for 17 years. He also co-edited Current
Perspectives in Forensic Psychology and Criminal Behavior (3rd ed.).

Anne M. Bartol
earned an MA and a PhD in criminal justice from State University of
New York at Albany. She also holds an MA in journalism from the
University of Wisconsin–Madison. She taught criminal justice,
sociology, and journalism courses over a 20-year college teaching career
and has worked as a journalist and a social worker in child and
adolescent protective services. In addition to Psychology and Law, she
has coauthored Introduction to Forensic Psychology: Research and
Application (5th ed.); Juvenile Delinquency: A Systems Approach;
Delinquency and Justice: A Psychosocial Approach; Psychology and
Law: Theory, Research, and Application (3rd ed.); Criminal Behavior:
A Psychosocial Approach (11th ed.); and Criminal and Behavioral
Profiling. She co-edited Current Perspectives in Forensic Psychology
and Criminal Behavior (3rd ed.), has served as book review editor and
managing editor of Criminal Justice and Behavior, and has published
articles on women and criminal justice, rural courts, and the history of
forensic psychology.
Chapter One Introduction

Just as lawyers-in-training must be taught to appreciate the culture

of social science, so social scientists must develop a greater
appreciation of the culture and traditions of law. Irrational as some
of these traditions may seem, they are ancient and deeply ingrained.

(Conley, 2000, p. 827)

This book is about the interaction of psychology and law, but it is also an
invitation to think about common knowledge in a different way. It is common
knowledge, for example, that everyone sleeps, we all experience stress, our
relationships with others are imperfect, and children are not miniature adults.
It is not surprising that psychology—commonly defined as the science of
human behavior—has something to say about all this. Psychologists have
studied sleep, stress, healthy and dysfunctional relationships, and child
development—and these represent only a minute portion of subjects that
make psychology a fascinating enterprise. What we invite the reader to do in
this book is appreciate the interaction of psychology and the law with regard
to these and other topics. Let us illustrate with two cases.

In the early morning hours of May 23, 1987, 23-year-old Toronto resident
Kenneth Parks arose from the couch where he had fallen asleep while
watching Saturday Night Live. He put on his coat and reportedly sleepwalked
to his car, got into the vehicle, and drove (apparently while still asleep) 14
miles to the home of his in-laws and broke in. Both were asleep in bed at the
time. He stabbed his mother-in-law to death with a kitchen knife and
seriously assaulted his father-in-law. Immediately after the incident, Parks
drove to a nearby police station. He said the next thing he could recall was
being at the police station asking for help and confessing to the killing.

Parks was charged with first-degree murder and attempted murder. At his
trial, he presented a defense of automatism, stating that at the time the
incidents took place, he was sleepwalking and was not aware of what he was
doing. Briefly, automatism is defined as behavior performed in a state of
mental unconsciousness or dissociation, without full awareness (Black,
1990). Parks had a history of sleepwalking and had been experiencing
significant stress in his life, but there was no indication he had ever
committed a violent act, either awake or asleep. In fact, his mother-in-law
had called the 6’5" man the “gentle giant.” Parks admitted he probably
committed the violence but did not have the necessary criminal intent. The
trial court heard from two behavioral scientists and three mental health
professionals called by the defense. They testified that Parks was
sleepwalking at the time the violence occurred, that sleepwalking was a
relatively common sleep disorder, and that there was no medical or
psychological treatment designed to prevent it. Parks was acquitted of the
crimes. In a final ruling on this case, the Supreme Court of Canada (Regina v.
Parks, 1992) set guidelines for a sleepwalking defense and provided some
clarity on issues relating to injurious acts and consciousness during the
human sleep cycle.

In the United States, sleepwalking is rarely used as a defense to criminal

conduct, but some legal commentators indicate it is only a matter of time
before automatism reaches more courts (Melton et al., 2018). Although
violent behavior during sleep is relatively rare, it presents troubling
implications for the legal system (Weiss et al., 2011). The notion that it is
possible to engage in complex injurious or violent behavior while asleep is
usually met with skepticism.

During the night of January 16, 1997, Scott Falater, a 41-year-old product
manager with Motorola, claimed he was sleepwalking when he killed his
wife of 20 years. He stabbed her 44 times with a hunting knife, wrapped the
bloody knife in his clothes, and hid it and other evidence in the wheel well of
the family car. When he returned to a still-alive wife, he dragged her to a
swimming pool and held her head underwater until she drowned. Falater did
not deny killing her but stated he did not remember anything about the
incident because he was sleeping throughout. Like Park, he had a history of
sleepwalking. The prosecutor in the case said the sleepwalking defense was
complete nonsense and informed the press he would seek the death penalty if
Falater was convicted. It is clear that the prosecutor believed that Falater was
malingering, or faking, and was conscious of his actions at the time of the
offense. Experts testified for both the defense and prosecution, disagreeing
over whether the violence was committed while sleepwalking. According to
experts for the prosecution, Falater’s actions were too calculated and
deliberate for him to be sleepwalking. The jury found him guilty of first-
degree murder, and the court sentenced him to life in prison without parole
(Arizona v. Falater, 1997).

Why do we open this chapter—and this book—with two cases illustrating

sleepwalking? This is not a topic that most readers probably associate with
psychology, yet neuropsychologists are at the forefront of research in this
area. Advances in sleep research have discovered that complex, violent, and
potentially injurious acts can, and do, arise during the sleep cycle, without
conscious awareness and, therefore, without responsibility (Mahowald &
Schenck, 2000). Therefore, cases in which defendants deny responsibility for
violent or injurious acts they committed while supposedly asleep appear to be
on the increase (Cramer Bornemann, Mahowald, & Schenck, 2006;
Mahowald & Schenck, 2000; Weiss et al., 2011). Many of these cases have
involved sexual assault, including rape. However, the fact that someone
injures another while purportedly asleep does not necessarily mean that
person will not be held accountable, as we saw in the two cases discussed
previously. Psychological research may help explain this phenomenon, but
the law will decide what to do with that explanation.

These two cases—Parks and Falater—illustrate the fascinating intersection of

law and psychology. In each case, respected researchers and behavioral
scientists informed the court about sleep and the phenomenon of
sleepwalking. They also discussed malingering, which is the deliberate
faking or feigning of a disorder to achieve a particular desired outcome
(VandenBos, 2007). In the Falater case, we also saw contrasting opinions
from experts testifying for the defense and the prosecution. This is a common
feature of the adversarial process that psychologists often find themselves a
part of, as we will discuss later in the chapter.
Goals and Definitions
Psychology and Law is designed to educate students about contemporary
psychological research and theories that are relevant to the legal system and
those who participate in it, particularly law enforcement officers, judges,
lawyers, and jurors. If you are reading this book, you are likely interested in
both psychology and law. If you are a student, you may be considering a
future in one or both fields, but you may not be aware of the many career
opportunities within them. As one group of researchers observed, “it appears
that students’ knowledge of psychology and law related careers is not
commensurate with their levels of interest in these areas” (Stark-Wroblewski,
Wiggins, & Ryan, 2006, p. 275). Over the past decade, however, books,
journals, conferences, and classes in psychology and law, forensic
psychology, investigative psychology, and legal psychology, among others,
have helped fill this gap. (For information on activities and careers in
psychology and law, see Boxes 1.1 and 1.2.)

The field of psychology and law is extremely diverse, and it is expanding and
changing rapidly. This will be reflected throughout the book, as we review
research and developments in case law, state and federal statutes,
investigatory methods used in law enforcement, and both criminal and civil
proceedings. A substantial portion of the available research in psychology
and how it relates to legal issues has been published since the 1980s.
Furthermore, psychology and law is a vibrant specialty with the potential for
considerable additional growth (Heilbrun & Brooks, 2010). This is reflected
in the work of a special section of the American Psychological Association
(APA), Division 41, the American Psychology-Law Society (AP-LS) as well
as its Committee on Legal Issues (COLI), which advises the APA Board of
Directors. The APA’s many activities include conducting a survey of career
opportunities in psychology and law, publishing online graduate school
information, developing ongoing ethical standards, sponsoring workshops,
publishing handbooks, surveying minority issues and women’s issues in the
field, and preparing friend-of-the-court briefs (amicus curiae briefs) for
appellate courts.
Box 1.1 Work Settings of Psychologists Who Participate in Psychology and Law Activities

Based on recent statistics (Griffin, 2011), independent practice is the primary work setting
of psychologists involved in psychology and law activities (43%). These individuals are
usually clinically trained, such as clinical psychologists, counseling psychologists, or school
psychologists. As noted in the text, some clinically trained practitioners call themselves
forensic psychologists, and in some states, they are certified as such. In fact, in some
jurisdictions, certification is a minimum requirement for testifying on such matters as the
defendant’s competency to stand trial or sanity, topics to be discussed in Chapter 7. Those
psychologists in independent practice also conduct risk assessments, perform child custody
evaluations in family law proceedings, and assess disability claims, among other activities.

Another 25% of surveyed psychologists in psychology and law indicated that they work in
university or other academic settings. Most likely, they engage in teaching and research
endeavors but also offer consulting services. Twelve percent of psychologists involved in
psychology and law activities said they worked in a hospital or other human service setting.
Ten percent identified governmental settings, which probably involve state-sponsored
psychological clinics, federal agencies, correctional facilities, and state and local police
agencies. Almost 99% of the surveyed psychologists indicated that they have a doctorate
degree. Some have both a doctorate in psychology and a law degree.

Career opportunities in psychology and law are promising, but another recent survey (Buck
et al., 2012) indicates that there are gender disparities, as there are in many professions.
Although women are at least as likely as men to obtain advanced degrees in this field, and
although they readily obtain entry-level positions in both academic and nonacademic
spheres, they often do not rise as rapidly in the ranks, despite their competence or level of
productivity. This tendency to not progress as rapidly as men is referred to in the literature
as the leaky pipeline effect. The survey by Buck et al.—an anonymous survey of 738 female
members of the AP-LS—indicated that gender disparities were particularly evident in
academe. However, respondents in all settings expressed concerns over balancing work and
life obligations. The results of the survey highlight the critical importance of recognizing
the contributions of all members of professional associations and providing career
assistance and mentoring to reduce disparities within professions.
Definitions of Psychology and Law
Psychology and law may aptly be referred to as legal psychology. Both terms
are often used interchangeably with forensic psychology, but there is a
distinction. For many years we have advocated a broad definition of forensic
psychology that includes psychology and law, or legal psychology, under its
umbrella (Bartol & Bartol, 1987, 2019). We will discuss this broad definition
shortly.

Psychology and law can also be defined standing alone. It is the scientific
study and clinical application of psychological knowledge relevant to the
legal system. It is essentially the interaction between two disciplines, and it
encompasses any and all topics that are of legal interest. As such, psychology
and law is nearly infinite in scope, limited only by the creativity of scholars
and practitioners in disparate fields. In addition to and often in collaboration
with psychologists, other mental health and behavioral and social science
professionals play prominent roles in the law and the legal system.

Nevertheless, it makes sense to nest psychology and law into a broad

definition of forensic psychology. Indeed, many legal psychologists call
themselves forensic psychologists and are so certified. In recent years,
forensic psychology has been both narrowly and broadly defined (Bartol &
Bartol, 2019; DeMatteo, Marczyk, Krauss, & Burl, 2009; Neal, 2018). When
broadly defined, forensic psychology may include psychologists who
considered themselves clinicians and psychologists who consider themselves
researchers or scientists. Narrowly defined, forensic psychology is restricted
to clinical work performed for and presented to the judicial system. As
DeMatteo, Marczyk, et al. (2009) note, the narrow definition encompasses
only clinically based practitioners, such as clinical psychologists, counseling
psychologists, school psychologists, or other specialists who testify in or
consult with courts. Research psychologists or psychological scientists who
conduct research and do not consider themselves clinical or practicing
psychologists are excluded from the definition. Also excluded are
psychologists who consult with law enforcement agencies and juvenile and
adult corrections. DeMatteo, Marczyk, et al. point out that increasing
dissatisfaction with the narrow conceptualization of forensic psychology led
the AP-LS to endorse a broad definition, particularly one that would embrace
the contributions of researchers as well as clinicians or practitioners.
Therefore, broadly defined, forensic psychology includes both clinicians and
researchers, and it includes activities related directly to the courtroom as well
as activities and situations both before they reach the courtroom and after
going through the civil and criminal justice systems.

Forensic psychology is also broad, not only because it embraces the extensive
contributions of clinical psychologists, but also because it welcomes the
expanding research, application skills, and perspectives of developmental,
social, cognitive, and neurobiological psychologists. As stated by Cutler and
Zapf (2015b), “contemporarily, forensic psychology is broadly defined with
respect to psychological perspectives” (p. xvii). They note that clinical
psychologists provide services that include evaluations of competencies in
both criminal and civil courts, cognitive psychologists may help police
departments develop procedures for obtaining accurate eyewitness
identifications, developmental psychologists help courts understand
development in children and adolescents, social psychologists help us
understand how jurors function as a group, and neuropsychologists possess
vast stores of information on brain development that is pertinent to both
criminal and civil cases. All these topics, and more, will be addressed in this
book, because all are at the intersection of psychology and law.

For organizational purposes, we have divided forensic psychology into five

categories, with legal psychology or psychology and law being one of these
(see Figure 1.1). The categories are not mutually exclusive, and there is
considerable overlap in both research and practice. Although this conceptual
division is by no means universally accepted, handbooks of forensic
psychology commonly include coverage of the five areas. This includes the
two-volume APA Handbook of Forensic Psychology (edited by Brian Cutler
& Patricia Zapf, 2015a) and the Handbook of Forensic Psychology (edited by
Irving Weiner & Randy Otto, 2014).

Figure 1.1 Five Categories of Forensic Psychology

We understand and respect the perspective of psychologists who prefer to
keep their specialties separate from the broader context of forensic
psychology. For example, many correctional psychologists (e.g., Magaletta,
Butterfield, & Patry, 2016; Magaletta et al., 2013) and police psychologists
(e.g., Brewster et al., 2016) do not call themselves forensic psychologists and
instead prefer the title correctional psychologist, police psychologist, or
public safety psychologist. Magaletta et al. (2016) point out, “Unlike forensic
psychology, which includes practice at the interface of psychology and law,
clinical practice in a correctional setting concerns the provision of services to
individuals emerging after that intersection has occurred—within correctional
settings” (p. 540). There is no question that the two areas are at least related,
however. As Neal (2018) writes, “Forensic and correctional psychology are
related by their historical roots, involvement in the justice system, and the
shared populations of people they study and service” (p. 651).

It is important to emphasize that although this text focuses on the

professional roles of psychologists, other professionals may be equally
important. They include psychiatrists, social workers, certified special
educators, and psychiatric nurses, to name but a few. As we will mention in
chapters ahead, these professionals work both individually and in teams to
conduct research, consult with the legal system, and operate clinics offering
services in legal contexts.

These cooperative efforts across disciplines have resulted in some blurring of

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and they are here arranged in general conformity with the procedure
in succession.

I. Causation. The initial cause of a succession is the formation

or appearance of a new habitat, or the efficient change of an
existing one.
II. Reaction. Each stage reacts upon the habitat in such a way
as to produce physical conditions more or less unfavorable
to its permanence, but advantageous to the invaders of the
next stage.
III. Proximity and mobility.

(1) The pioneers of a succession are those species

nearest at hand that are the most mobile.
(2) The number of migrants from any formation
into a habitat varies inversely as the square of the
distance.
(3) The pioneer species are regularly derived from
different formations, as the latter nearly always
contain permobile species capable of effective
ecesis.
(4) The plants of the initial stages are normally
algae and fungi, with minute spores, composites,
and grasses, which possess permobile fruits, or
ruderal plants, on account of their great seed
production.

IV. Ecesis.

(1) All the migrants into a new, denuded, or greatly

modified habitat are sorted by ecesis into three
groups: (1) those that are unable to germinate or
grow, and soon die; (2) those that grow normally
under the conditions present; (3) those that pass
through one or more of the earlier stages in a
dormant state to appear at a later stage of the
succession.
 (2) Wherever ruderal vegetation is present, it
contributes a large number of the pioneer species
of each succession, on account of the thorough
ecesis. In other regions this part is played by
subruderal native species.
(3) Annuals and biennials are characteristic of the
early stages of secondary successions, on account
of their great seed production and ready ecesis.
(4) In layered formations, heliophytes appear before
sciophytes; they ultimately yield to the latter,
except where they are able to maintain a position
in the primary layer.
(5) Excessive seed production and slight mobility
lead to the imperfect ecesis of individuals in dense
stands, and in consequence usually produce great
instability.
(6) Each pioneer produces about itself a tiny area of
ecesis and stabilization for its own offspring, for
the disseminules of its fellows, or of invaders.
(7) Species propagating by offshoots, or producing
relatively immobile disseminules in small
number, usually show effective ecesis, as the
offspring appear within the area of the reaction of
the parent forms.

V. Stabilization.

(1) Stabilization is the universal tendency of

vegetation.
(2) The ultimate stage of a succession is determined
by the dominant vegetation of the region. Lichen
formations are often ultimate in polar and niveal
zones; grassland is the final vegetation for plains
and alpine stretches, and for much prairie, while
forest is the last stage for mesophytic midlands
and lowlands, as well as for subalpine regions.
 (3) Grassland or forest is the usual terminus of a
succession; they predominate in lands
physiographically mature.
(4) The limit of a succession is determined in large
part by the progressive increase in occupation,
which makes the entrance of invaders more and
more difficult.
(5) Stabilization proceeds radiately from the pioneer
plants or masses. The movement of offshoots is
away from the parent mass, and the chances of
ecesis are greatest near its edges, in a narrow area
in which the reaction is still felt, and the
occupation is not exclusive.

VI. General laws.

(1) The stages, or formations, of a succession are

distinguished as initial (prodophytia),
intermediate (ptenophytia), and ultimate
(aiphytia).
(2) Initial formations are open, ultimate formations
are closed.
(3) The number of species is small in the initial
stages; it attains a maximum in intermediate
stages; and again decreases in the ultimate
formation, on account of the dominance of a few
species.
(4) The normal sequence of vegetation forms in
succession is: (1) algae, fungi, mosses; (2) annuals
and biennials; (3) perennial herbs; (4) bushes and
shrubs; (5) trees.
(5) The number of species and of individuals in each
stage increases constantly up to a maximum, after
which it gradually decreases before the forms of
the next stage. The interval between two maxima
is occupied by a mixed formation.
 (6) A secondary succession does not begin with the
initial stage of the primary one which it replaces,
but usually at a much later stage.
(7) At present, successions are generally mesotropic,
grassland and forest being the ultimate stages,
though many are xerostatic or hydrostatic. If
erosion continue until the sea level is reached, the
ultimate vegetation of the globe will be
hydrophytic. Should the heat of the sun decrease
greatly before this time, the last vegetation will be
xerophytic, i. e., crymophytic.
(8) The operation of succession was essentially the
same during the geological past as it is to-day.
From the nature of their vegetation forms, the
record deals largely with the ultimate stages of
such successions.

CLASSIFICATION AND NOMENCLATURE

325. Basis. New or denuded habitats arise the world over by the
operation of the same or similar causes, and they are revegetated in
consequence of the same reactions. Similar habitats produce similar
successions. The vegetation forms and their sequence are usually
identical, and the genera are frequently the same, or corresponding
in regions not entirely unrelated. The species are derived from the
adjacent vegetation, and, except in alpine and coast regions, are
normally different. The primary groups of successions are
determined by essential identity of habitat or cause, e. g., aeolian
successions, erosion successions, burn successions, etc. When they
have been more generally investigated, it will be possible to
distinguish subordinate groups of successions, in which the degree of
relationship is indicated by the similarity of vegetation forms, the
number of common genera, etc. For example, burn successions in
the Ural and in the Rocky mountains show almost complete
similarity in the matter of vegetation forms and their sequence, and
have the majority of their genera in common. A natural classification
of successions will divide them first of all into normal and
anomalous. The former fall into two classes, primary and secondary,
and these are subdivided into a number of groups, based upon the
cause which initiates the succession.

Fig. 69. Aspen forest formation (Populus-hylium), the typical stage of burn
successions in the Rocky mountains; it is sometimes an anomalous stage in
primary successions, interpolated in place of the thicket formation.

326. Nomenclature. The need of short distinctive names of

international value for plant formations is obvious; it has become
imperative that successions also should be distinguished critically
and designated clearly. From the very nature of the case, it is
impossible to designate each formation or succession by a single
Greek or Latin term, as habitats of the same character will show in
different parts of the world a vegetation taxonomically very different.
It may some day be possible to use a binomial or trinomial for this
purpose, somewhat after the fashion of taxonomy, in which the
habitat name will represent the generic idea as applied to
formations, and a term drawn from the floristic impress the specific
idea. Such an attempt would be futile or valueless at the present
time; it could not possibly meet with success until there is more
uniformity in the concept of the formation, and until there has been
much accurate and thorough investigation of actual formations, a
task as yet barely begun. At present, it seems most feasible as well as
scientific to designate all formations occupying similar habitats by a
name drawn from the character of the latter, such as a meadow
formation, poium, a forest formation, hylium, a desert formation,
eremium, etc. A particular formation is best designated by using the
generic name of one or two of its most important species in
conjunction with its habitat term, as Spartina-Elymus-poium, Picea-
Pinus-hylium, Cereus-Yucca-eremium, etc. Apparently a somewhat
similar nomenclature is adapted to successions. The cause which
produces a new habitat may well furnish the basis for the name of
the general groups of successions, as pyrium (literally, a place or a
habitat burned over), a burn succession, tribium, an erosion
succession, etc. A burn succession consists of a sequence of certain
formations in one part of the world, and of a series of quite different
ones, floristically, in another. A particular burn succession should be
designated by using the names of a characteristic facies of the initial
and ultimate stages in connection with the general term, e. g.,
Bryum-Picea-pyrium, etc. A trinomial constructed in this way
represents the desirable mean between definition and brevity.
Greater definiteness is possible only at the expense of brevity, while
to shorten the name would entirely destroy its precision. The
following classification of successions is proposed, based upon the
plan outlined above. The termination -ium (εῖον) has been used
throughout in the construction of names for successions, largely for
reasons of euphony. If it should become desirable to distinguish the
names of formations and successions by the termination, the locative
suffix -on (-ών) should be used for the latter. The terms given below
would then be hypson, rhyson, hedon, sphyron, prochoson, pnoon,
pagon, tribon, clyson, repon, olisthon, xerasion, theron, broton,
pyron, ecballon, camnon, ocheton, ardon.
I. Normal successions: cyriodochae (κύριος, regular, δοχή, ἡ,
succession)

a. Primary successions: protodochae (πρῶτος, first,

primary)
1. By elevation: hypsium (ὔψος, το, height, elevation,
-εῖον, place)
2. By volcanic action: rhysium (ῥυσίς ἡ, flowing,
especially of fire)
3. In residuary soils: hedium (ἔδος, τό, a sitting base)
4. In colluvial soils: sphyrium (σφύρον, τό, ankle,
talus)
5. In alluvial soils: prochosium (πρόχωσις, ἡ, a
deposition of mud)
6. In aeolian soils: pnoium (πνοή, ἡ, blowing, blast)
7. In glacial soils: pagium (πάγος, ὁ, that which
becomes solid, i. e., a glacier)
b. Secondary successions: hepodochae (ἕπω, to
follow)
8. In eroded soils: tribium (τρίβω, wear or rub away)
9. In flooded soils: clysium (κλύσις, ὁ, a drenching,
flooding)
10. By subsidence: repium (ῥέπω, incline downwards,
sink)
11. In landslips: olisthium (ὄλισθος, ὁ, slip)
12. In drained and dried out soils: xerasium (ξηρασία,
ἡ, drought)
13. By animal agencies: therium (θήρ, ὁ, wild animal)
14. By human agency: brotium (βροτός, ὁ, a mortal)
a. Burns: pyrium (πῦρ, τό, fire)
 b. Lumbering: ecballium (ἐκβάλλω, cut down
forests)
c. Cultivation: camnium (κάμνω, cultivate)
d. Drainage: ochetium (ὀχετός, ὁ, drain)
e. Irrigation: ardium (ἄρδω, irrigate)

II. Anomalous successions: xenodochae (ξένος, strange,

unusual)
327. Illustrations. The following series will illustrate the
application of this system of nomenclature to particular successions,
and their stages, or formations.

Thlaspi-Picea-sphyrium: pennycress-spruce talus succession

Thlaspi-Eriogonum-chalicium: pennycress-eriogonum gravel slide
formation
Elymus-Gilia-chalicium: wildrye-gilia half gravel slide formation
Quercus-Holodiscus-driodium: oak-fringewood dry thicket
formation
Pinus-xerohylium: pine dry forest formation
Picea-Pseudotsuga-hylium: spruce-balsam forest formation
Bryum-Picea-pyrium: moss-spruce burn succession
Bryum-telmatium: moss meadow formation
Aster-Chamaenerium-poium: aster-fireweed meadow formation
Deschampsia-Carex-poium: hairgrass-sedge meadow formation
Salix-Betula-helodrium: willow-birch meadow thicket formation
Populus-hylium: aspen forest formation
Picea-hylium: spruce forest formation
Lecanora-Carex-hedium: lichen-carex residuary succession
Lecanora-Gyrophora-petrium: crustose lichen rock formation
Parmelia-Cetraria-chalicium: foliose lichen gravel slide formation
Paronychia-Silene-chalicium: nailwort-campion gravel slide
formation
Carex-Campanula-coryphium: sedge-bluebell alpine meadow
formation
Eragrostis-Helianthus-xerasium: eragrostis-sunflower drainage
succession
Eragrostis-Polygonum-telmatium: eragrostis-heartsease wet
meadow formation
Helianthus-Ambrosia-chledium: sunflower-ragweed waste
formation

INVESTIGATION OF SUCCESSION

328. General rules. The study of succession must proceed along

two fundamental lines of inquiry: it is necessary to investigate
quantitatively the physical factors of the initial stages and the
reactions produced by the subsequent stages. This should be done by
automatic instruments for humidity, light, temperature, and wind, in
order that a continuous record may be obtained. Water-content is
taken daily or even less frequently, while soil properties, and
physiographic factors, altitude, slope, surface, and exposure are
determined once for all. It is equally needful to determine the
development and structure of each stage with particular reference to
the adjacent formations, to the stage that has just preceded, and the
one that is to follow. For this, the use of the permanent quadrat is
imperative, as the sequence and structure of the stages can be
understood only by a minute study of the shifting and rearrangement
of the individuals. Permanent migration circles are indispensable for
tracing movement away from the pioneer areas by which each stage
reaches its maximum. Denuded quadrats are a material aid in that
they furnish important evidence with respect to migration and ecesis,
By means of them, it is possible to determine the probable
development of stages which reach back a decade or more into the
past. In the examination of successions, since cause and effect are so
intimately connected in each reaction, it is especially important that
general and superficial observations upon structure and sequence be
replaced by precise records, and that vague conjectures as to causes
and reactions be supplanted by the accurate determination of the
physical factors which underlie them.
 Fig. 70. Alternating gravel slides on Mounts Cameron and Palsgrove, from the
comparison of which the initial development of the talus succession has been
reconstructed.

329. Method of alternating stages. The period of time

through which a primary succession operates is usually too great to
make a complete study possible within a single lifetime. Secondary
successions run their course much more quickly, and a decade will
sometimes suffice for stabilization, though even here the period is
normally longer. The longest and most complex succession, however,
may be accurately studied in a region, where several examples of the
same succession occur in different stages of development. In the
same region, the physical factors of one example of a particular
succession are essentially identical with those of another example in
the same stage. If one is in an initial stage, and the other in an
intermediate condition, the development of the former makes it
possible to reestablish more or less completely the life history of the
latter. The same connection may be made between intermediate and
ultimate stages, and it is thus possible to determine with
considerable accuracy and within a few years the sequence of stages
in a succession that requires a century or more for its complete
development. In the Rocky mountains, gravel slides (talus slopes) are
remarkably frequent. They occur in all stages of development, and
the alternating slides of different ages furnish an almost perfect
record of this succession. This method lacks the absolute finality
which can be obtained by following a succession in one spot from its
inception to final stabilization, but it is alone feasible for long
successions, i. e., those extending over a score or more of years.
When it comes to be universally recognized as a plain duty for each
investigator to leave an exact and complete record in quadrat maps
and quadrat photographs of the stages studied by him, it will be a
simple task for the botanists of one generation to finish the
investigations of succession begun by their predecessors.
330. The relict method of studying succession is next in
importance to the method of alternating areas. The two in fact are
supplementary, and should be used together whenever relicts are
present. This method is based upon the law of successive maxima,
viz., the number of species and of individuals in each stage
constantly increases up to a certain maximum, after which it
gradually decreases before the forms of the next stage. In accordance
with this, secondary species usually disappear first, principal species
next, and facies last of all. There are notable exceptions to this,
however, and the safest plan is to use the relict method only when
principal species or facies are left as evidence. An additional reason
for this is that secondary species are more likely to be common to
two or more formations. In the majority of cases, the relict is not
modified, and is readily recognized as belonging properly to a
previous stage. This is true of herbs in all the stages of grassland, and
in the initial ones of forest succession. The herbs and shrubs of
earlier stages, which persist in the final forest stages, are necessarily
modified, often in such a degree as to become distinct ecads, or
species. The facies of the stages which precede the ultimate forest are
rarely modified. The application of the relict method, together with
the modification just described, is nicely illustrated by the balsam-
spruce formation at Minnehaha. Of the initial gravel slide stage, the
relicts are Vagnera stellata and Galium boreale, the one modified
into Vagnera leptopetala, and the other into G. boreale hylocolum.
The thicket stage is represented by Holodiscus dumosa, greatly
changed in form and branching, and in the shape and structure of
the leaf. The most striking relict of the aspen formation is the facies
itself, Populus tremuloides. The tall slender trunks of dead aspens
are found in practically every balsam-spruce forest. In many places,
living trees are still found, with small, straggling crowns, which are
vainly trying to outgrow the surrounding conifers. Of the aspen
undergrowth, Rosa sayii, Helianthella parryi, Frasera speciosa,
Zygadenus elegans, Castilleia confusa, Gentiana acuta, and
Solidago orophila remain more or less modified by the diffuse light.
It is still a question whether the aspen stage passes directly into the
balsam-spruce forest, or whether a pine forest intervenes. The
presence of both Pinus ponderosa and P. flexilis, which are scattered
more or less uniformly through the formation, furnishes strong
evidence for the latter view.
 Fig. 71. Relict spruces and aspens, showing the character of the succession
immediately preceding the burn succession now developing.

The lifetime of forest and thicket stages of successions is

ascertained by counting the annual rings of the stumps of facies. This
is a perfectly feasible method for many woodland formations where
stumps already abound or where a fire has occurred, and it is but
rarely necessary to cut down trees for this purpose. When trees or
shrubs are present as relicts, the same method is used to determine
the length of time taken by the development of the corresponding
stages.
 THE STRUCTURE OF THE FORMATION
331. Since all the structures exhibited by formations, such as
zones, layers, consocies, etc., are to be referred to zonation or
alternation, these principles are first considered in detail. This, then,
constitutes the basis for a consideration of the structure of a normal
formation, with special reference to the different parts that compose
it. The investigation of formational structure, since the latter is the
result of aggregation, invasion, and succession, is accomplished by
instruments, quadrats, etc., in the manner already indicated under
development, and no further discussion of it is necessary here.
 ZONATION
332. Concept. The recognition of vegetation zones dates from
Tournefort[40], who found that, while the plants of Armenia occupied
the foot of Mount Ararat, the vegetation of the slopes above
contained many species of southern Europe. Still higher appeared a
flora similar to that of Sweden, and on the summit grew arctic plants,
such as those of Lapland.
As the historical summary shows, the concept of zonation is the
oldest in phytogeography. Notwithstanding this, it has never been
clearly defined, nor has there been any detailed investigation of the
phenomenon itself, or of the causes which produce it. Zones are so
common, and often so clearly marked, that they invite study, but no
serious attempt has heretofore been made to analyze zonation, or to
formulate a definite method of investigating it. Zonation is the
practically universal response of plants to the quantitative
distribution of physical factors in nature. In almost all habitats, one
or more of the physical factors present decreases gradually in passing
away from the point of greatest intensity. The result is that the plants
of the habitat arrange themselves in belts about this point, their
position being determined by their relation to the factor concerned.
Close investigation will show that there is hardly a formation that is
entirely without zonation, though in many cases the zones are
incomplete or obscure for various reasons. Zonation is as
characteristic of vegetation as a whole as it is of its unit, the
formation, a fact long ago recognized in temperature zones. A
continental climate, however, often results in the interruption of
these, with the consequence that these belts of vegetation are not
always continuous.

CAUSES OF ZONATION

333. Growth. The causes that produce zones are either biological
or physical: the first have to do with some characteristic of the plant,
the second with the physical features of the habitat. Biological causes
arise from the method of growth, from the manner of dissemination,
or from the reaction of the species upon the habitat. The formation of
circles as a result of radial growth is a well-known occurrence with
certain plants, but it is much more common than is supposed. In the
case of agarics, this phenomenon has long been known under the
name of “fairy-rings.” It is found in a large number of moulds, and is
characteristic of early stages of the mycelium of the powdery
mildews. It occurs in nearly all maculicole fungi, and is exhibited by
certain xylogenous fungi, such as Hysterographium. Among the
foliose lichens, it is a common occurrence with the rock forms of
Parmelia, Placodium, Physcia, and Lecanora, and with the earth
forms of Parmelia and Peltigera. The thalloid liverworts show a
similar radial growth. The flowering plants, and many mosses also,
furnish good examples of this sort of growth in those species which
simulate the form of the mycelium or thallus. These are the species
that form mats, turfs, or carpets. Alpine mat formers, such as Silene
acaulis, Paronychia pulvinata, Arenaria sajanesis, etc., are typical
examples. Xerophytic, turf-forming species of Muhlenbergia,
Sporobolus, Bouteloua, Festuca, Poa, and other grasses form
striking ring-like mats, while creeping species of Euphorbia,
Portulaca, Amarantus, etc., produce circular areas. Rosettes, bunch-
grasses, and many ordinary rootstalk plants spread rapidly by
runners and rhizomes. The direction of growth is often
indeterminate in these also, and is in consequence more or less
bilateral or unilateral. Growth results in zonation only when the
older central portions of the individual or mass die away, leaving an
ever-widening belt of younger plants or parts. This phenomenon is
doubtless due in part to the greater age of the central portion, but
seems to arise chiefly from the demands made by the young and
actively growing parts upon the water of the soil. There may possibly
be an exhaustion of nutritive content, as in the case of the fungi, but
this seems improbable for the reason that young plants of the same
and other species thrive in these areas. It must not be inferred that
these miniature growth zones increase in size until they pass into
zones of formations. Growth contributes its share to the production
of these, but there is no genetic connection between a tiny plant zone
and a zone of vegetation.
Radial and bilateral growth play an important part in formational
zones in so far as they are related to migration. The growth of the
runner or rhizome itself is a very effective means of dissemination,
while the seeding of the plants thus carried away from the central
mass is most effective at the edge of the newly occupied area. This
holds with equal force for plants with a mycelium or a thallus. The
circular area becomes larger year by year. Sooner or later, the
younger, more vigorous, and more completely occupied
circumference passes into a more or less complete zone. This will
result from the reaction of the central individuals upon the habitat,
so that they are readily displaced by invaders, or from their
increasing senility and dying out, or from the invasion of forms
which seed more abundantly and successfully. This result will only
be the more marked if the radiating migrants reach a belt of ground
especially favorable to their ecesis. In this connection it must be
carefully noted that vegetation pressure, before which weaker plants
are generally supposed to flee, or by which they are thought to be
forced out into less desirable situations, is little more than a fanciful
term for radial growth and migration. It has been shown under
invasion that disseminules move into vegetation masses, as well as
away from them, the outward movement alone being conspicuous,
because it is only at the margin and beyond that they find the
necessary water and light for growth.
334. Reactions. Certain reactions of plants upon habitats
produce zonation. The zones of fungi are doubtless caused by the
exhaustion of the organic matter present, while in lichens and
mosses the decrease in nutritive content has something to do with
the disappearance of the central mass. In the mats of flowering
plants, the connection is much less certain. The reaction of a forest
or thicket, or even of a tall herbaceous layer, is an extremely
important factor in the production of zonation. The factor chiefly
concerned here is light. Its intensity is greatest at the edge of the
formation and just below the primary layer; the light becomes
increasingly diffuse toward the center of the forest, and toward the
ground. In response to this, both lateral and vertical zones appear.
The former are more or less incomplete, and are only in part due to
differences in illumination. The vertical zones or layers are
characteristic of forest and thickets, and are caused directly by
differences in light intensity.
 Fig. 72. Zones of Cyperus erythrorrhizus produced by the recession of the shore-
line.

335. Physical factors. The physical causes of zonation are by far

the most important. They arise from differences in temperature,
water, and light. In the large, temperature differences are the most
important, producing the great zones of vegetation. In a particular
region or habitat, variations of water-content and humidity are
controlling, while light, as shown above, is important in the reactions
of forest and thicket. Physical factors produce zonation in a habitat
or a series of habitats, when there is either a gradual and cumulative,
or an abrupt change in their intensity. Gradual, slight changes are
typical of single habitats; abrupt, marked changes of a series of
habitats. This modification of a decisive factor tends to operate in all
directions from the place of greatest intensity, producing a
characteristic symmetry of the habitat with reference to the factor
concerned. If the area of greatest amount is linear, the shading-out
will take place in two directions, and the symmetry will be bilateral, a
condition well illustrated by rivers. On the other hand, a central
intense area will shade out in all directions, giving rise to radial
symmetry, as in ponds, lakes, etc. The essential connection between
these is evident where a stream broadens into a lake, or the latter is
the source of a stream, where a mountain ridge breaks up into
isolated peaks, or where a peninsula or landspit is cut into islands.
The line that connects the points of accumulated or abrupt change in
the symmetry is a stress line or ecotone. Ecotones are well-marked
between formations, particularly where the medium changes; they
are less distinct within formations. It is obvious that an ecotone
separates two different series of zones in the one case, and merely
two distinct zones in the other.
 Fig. 73. Regional zones on a spur of Pike’s Peak (3,800 m.); the forest consists of
Picea engelmannii and Pinus aristata, the forewold is Salix pseudolapponum, and
the grassland, alpine meadow (Carex-Campanula-coryphium).

336. Physiographic symmetry. The physical symmetry of a

habitat depends upon the distribution of water in it, and this is
profoundly affected by the soil and the physiography. The influence
of precipitation is slight or lacking, as it is nearly uniform throughout
the habitat; the effects of wind and humidity are more localized.
Differences of soil rarely obtain within a single habitat, though often
occurring in a zoned series. The strikingly zonal structure or
arrangement of habitats is nearly always due to differences in water-
content produced by physiographic factors, slope, exposure, surface,
and altitude. The effect of these upon water-content and humidity is
obvious. Wherever appreciable physiographic differences occur,
there will be central areas of excess and deficiency in water-content,
between which there is a symmetrical modification of this factor.
Peaks are typical examples of areas of deficiency, lakes and oceans of