Law Basics & Legal System

Topics of relevance as identified by the
 American Board of Psychiatry & Neurology Board Certification Examination Content Outline.

Learn Forensic Psychiatry is not affiliated with nor endorsed by ABPN.

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Foundations of Law

Constitutional Law

  • US Constitution

    • Supreme law of the United States

    • Establishes the federal government

    • Divides power

    • Sets up checks and balances

    • Protects individual rights

  • State Constitutions

    • Govern within the state’s borders

    • Cannot override or contradict US Constitution

Statutory Law

  • Federal Statutes

    • Laws passed by Congress and signed by the President

  • State Statutes

    • Laws enacted by State Legislature and signed by the Governor

Regulations/ Administrative Law

  • Created by executive agencies empowered by statutes to regulate specific areas

Case Law

  • Developed by judges through court decisions

  • Based on precedent (Stare Decisis - “Let the decision stand”)

Adjudicative Process

Criminal Law

  • Government v. Defendant

  • Aim: Punish, Deter, Rehabilitate, Protect Society

  • Penalties: Fines, Incarceration

  • Burden of Proof: Beyond a Reasonable Doubt, rests with government

  • Criminal Procedure:

    • Investigation

    • Arrest (requires probable cause)

    • Charging (by prosecutor)

    • Initial arraignment

      • Defendant appears before judge & enters a plea

      • Bail or pre-trial release determined

    • Preliminary Hearing (determine if enough evidence to proceed)

    • Grand Jury (determine if probable cause for indictment)

    • Pretrial Motions

    • Trial

    • Verdict

    • Sentencing

    • Appeals

Civil Law

  • Plaintiff v. Defendant

  • Aim: Make the injured party whole

  • Penalties: Monetary damages

  • Burden of Proof: Preponderance of the Evidence (more likely than not), rests with plaintiff

  • Civil Procedure:

    • Governed by Federal Rules of Civil Procedure (FCRP) in federal system, and similar rules in state systems

    • Plaintiff files claim, including facts, legal claim, and requested relief

    • Service of process formally notifies defendant

    • Defendant responds with answer or motions

    • Discovery (interrogatories, depositions, requests for production)

    • Pretrial motions

    • Resolution through settlement, pretrial arbitration, mediation

    • Trial (if not resolved)

    • Judgment

    • Post-trial motions

    • Appeals

Evidentiary Admissibility

The judge serves as the gatekeeper for admission of scientific and technical evidence.

General Acceptance (Frye Standard) - Frye v. US, 1923

  • Is it generally accepted by the scientific community?

  • Used by some states.

Daubert Standard - Daubert v. Merrell Dow, 1993

  • Prongs:

    • Can/has the methodology been tested?

    • Is the technique subject to peer review and publication?

    • Is there a known or potential error rate?

    • Do standards exist, and are they maintained?

    • Is the technique generally accepted by the relevant scientific community?

  • Used in the federal system and many states.

  • Applies to all expert evidence, not just scientific (Kumho Tire v. Carmichael, 1999)

Federal Rule of Evidence 702 (FRE 702)

  • Governs admissibility of expert testimony in federal cases.

  • Expert must be qualified by knowledge, skill, experience, training, or education, with specialized knowledge beyond what the ordinary person would know.

  • Expert may testify if:

    • Expert’s specialized knowledge will help the trier of fact to understand the evidence or determine a fact at issue.

    • Testimony is based in sufficient facts & data.

    • Testimony is the product of reliable principles and methods.

    • Expert has reliably applied the principles and methods to the facts of the case.

Standards for Expert Testimony

Federal Rule of Civil Procedure 26 (Rule 26)

  • Provides rules for use of expert witnesses in federal cases.

  • Each party must provide a list of experts they plan to call at trial at least 90 days prior.

  • Rule 26 Expert Reports: Experts must prepare a report containing their opinions and their basis, data reviewed, expert qualifications, compensation, and a list of prior testimony over the past 4 years.

Standard of Proof

Standard of Proof: the degree of certainty or evidence required for a ruling

Beyond a Reasonable Doubt

  • Highest level of evidence.

  • Used in criminal cases, SVP cases (most states)

Clear and Convincing Evidence

  • Intermediate level of evidence.

  • Used in civil cases, civil commitment, insanity (federal & most states), termination of parental rights, guardianship, will contests, withdrawal of life-sustaining treatment of an incompetent individual, deportation.

Preponderance of the Evidence

  • More likely than not, >50%

  • Used for commitment of NGRI acquittees, competency to stand trial, workers’ compensation.

Probable Cause

  • Used for arrest, search, & seizure.

Reasonable Suspicion

  • Lower than probable cause.

  • Used for stop & frisk or investigative stops.

Test Your Knowledge

Test Your Knowledge - Standard of Proof

1. What is the standard of proof for civil commitment?



2. What is the minimum standard of proof for commitment of insanity acquittees?



3. What is the standard of proof for termination of parental rights?



4. What is the standard of proof in criminal cases?



5. What is the standard of proof for competency to stand trial?



6. What is the standard of proof for an arrest?



7. What is the standard of proof for insanity in federal cases?



8. Which standard of proof can be conceptualized as “more likely than not”?



9. Which is the highest/most difficult standard of proof?



10. What is the typical standard of proof in civil cases?