POSSIBLE EXAMPLES OF SOCIOLOGY OF LAW RESEARCH Donald Black: The Behavior of Law. (New York: Academic Press, 1976.) See also: M. P. Baumgartner, Ed. The Social Organization of Law. (New York, Academic Press, 1998.) SOC/CRJ 5810 Prof. M.C. Sengstock http://users.wowway.com/~marycay910 1 BLACK: 3 SOCIOLOGICAL QUESTIONS ON ANY SUBJECT 1. What Varies? 2. What Predicts? 3. Who Matters? 2 Q. 1: WHAT VARIES? A. Quantity of Law B. Style of Law 3 WHAT VARIES: QUANTITY OF LAW • Number of Legal Officials – How Many Judges? ..Police? …Prosecutors? • Rates of Litigation – How Many Civil Suits Filed? …How Many Criminal Defendants Charged? • Reports to Police – How Many? What Is Done with Them? • Number of Persons in Prison? (U.S. is Tops!) • (vs. Decisions NOT to Report, File Suit, etc.) 4 WHAT VARIES: STYLE OF LAW • “Language & Logic by Which [Law] Defined & responds to Deviant Behavior.” (D. Black) 1. Penal: Punish Offenders – C.J. System 2. Compensatory: Focuses on Offender’s Debt to Victim – Receive Compensation – Civil Law [1 & 2: Zero Sum Games – 1 Winner + 1 Loser] 3. Conciliatory – Focuses on Conflict – Goal: Restore Harmony; Compromise Preferred [Considers One-Sided Payments Counterproductive] 4. Therapeutic – Offenders Really Victims – Treatable Abnormalities 5 Q. 2: WHAT PREDICTS? A. Social Stratification B. Social Morphology (Form, Structure) C. Culture (Expressive Activities, Cultural Patterns) D. Organization E. Other Social Control 6 WHAT PREDICTS? SOCIAL STRATIFICATION • Unequal Distribution (Wealth, Power, Advantage) – Black’s Principles re Law Occurs: • Most Law Is Used When: • Low Status Offends High Status > • High Status Offends High Status > • Low Status Offend Low Status > • High Status Offend Low Status 7 WHAT PREDICTS: SOCIAL MORPHOLOGY (FORM, STRUCTURE) • Patterns of Association/Connection • Degree to Which Offender & Victim Were Integrated into Society (Good Citizen, Employed) • Kind of Prior Relationship (EX: Family Violence) More Law When: • No Prior Relationship … or: • Marginal Person Offends Integrated Person > • Participants Are Both Integrated People > • Well-Integrated Person Offends Marginal Person 8 WHAT PREDICTS: CULTURE (EXPRESSIVE, CULTURAL PATTERNS) • Law Is More Involved – or More Severe – When Opponents Are Culturally Dissimilar • Cultural Minority Person Offends Conventional Culture Person > • 2 Minority Culture Persons Are Involved > • Conventional Culture Person Offends Minority Culture Person 9 WHAT PREDICTS: ORGANIZATION • • • • • • Organizations Are “Legal Persons” Law Is Greater When: Organizations Complain Against Individuals > Organizations Complain Re Organizations > Individuals Complain Re Other Individuals > Individuals Complain Re Organizations 10 WHAT PREDICTS: OTHER SOCIAL CONTROL • Law Decreases When Other Forms of Social Control Are Available … • People Are Less Likely to Invoke Law … & Legal Officials Are Less Severe: Most Law When: • Disreputable Person vs. Good Reputation > • 2 Morally Upstanding People vs. Each Other > • 2 Disreputable People vs. Each Other > • High Status Person Offends Disreputable Person 11 Q 3: WHO MATTERS? People Bring Their Own Social Identities to Legal Cases: A. Principals B. Supporters C. Legal Officials 12 WHO MATTERS: PRINCIPALS • Defendants, Plaintiffs, Respondents, Complainants, Victims, Witnesses • “Social Structure of a Case Depends on the Identity of Both Accuser & Accused & Characteristics in Relation to Each Other” (Baumgartner, p. 13) • EX: Rape & Capital Cases: Major Differences Occur when Low Status Offends High Status • Offender Status Alone Shows Little 13 WHO MATTERS: SUPPORTERS • Who Supports the Case? • EX: Status of Lawyers, Amicus Curiae Briefs, What Kind of Witnesses Can Principals Gather to Support Them? • Do Well Positioned Persons Attract LowPositioned Supporters -- & Vice Versa? 14 WHO MATTERS: LEGAL OFFICIALS • Judges, Prosecutors, Police, etc. • Theory of English/American Legal System: • All Officials in Each Category Are Similar – They Really WERE Then – All White, Well-Off, Male • Authoritativeness Increases with Social Distance from Litigants … • Low Class: Convict & Punish, Rule Against • High Status: Order Conciliation (Family Violence) • When Status Differs, Officials Favor Those Closer to Them in Status 15 SOCIOLOGICAL VIEWS RE TRADITIONAL LEGAL CONCEPTS Discretion Reasonable Person “Rule of Law” vs. “Rule of Men” 16 EVALUATING “DISCRETION” • Deciding Cases “According to Dictates of Own Judgment & Conscience, Not Controlled by Judgment of Others (Black’s Law Dictionary, 1968) • Is This True? Is it Possible? • Outcomes Unpredictable in Terms of Statutes • ARE Predictable in Terms of Social Factors! • Social Influences Not Exceptional – Ubiquitous! • Cases Almost Never Decided Solely in Terms of Technically relevant Criteria! 17 EVALUATING “REASONABLE PERSON” • “Responsible, Knowledgeable, Morally Sensitive, Good Citizen” Defines Legal Issues • Does This Wise, Objective Person Exist? • Or Do People Always Vary Across Gender, Race, Income, Education, Ethnicity, etc.? • Does It Ever Make Sense to Assume a “Reasonable, Objective Person”? • Or Is Everyone Always Influenced by Culture? 18 EVALUATING “RULE OF LAW” VS. “RULE OF MEN” • Is This a Valid Distinction? • Is Law Really a Confrontation Between the “Morally Wise ” Who Guide Society … • Against an “Unreasonable Offender? • Or Is Law Really an Affair of Human Beings … • With Different Views of Morality … • Who View Various Aspects of Behavior Differently? … Or Perhaps a Little of Both? 19 OVERALL SUMMARY: VIEWS OF D. BLACK & M. BAUMGARTNER • Sociology of Law Can Contribute to Understanding of Law … Through Analysis of: • Growth in Amount of Law … • Changes in the Character of Social Relationships in Society & Legal Structure … • Kinds of Factors Used by Lawyers, Judges • Changes in Societal Traditions & Values, etc. • Can You Think of Other Ways? 20 STATISTICS SUPPORTING BLACK’S THEORY • Law As a “Growth Industry” in the U.S. • “Growth” is a Goal in Many Industries (Recreation, Leisure, Manufacturing) • Not True in Medicine, Law, Education … • Public Resents the Private & Public Costs • But Is Law a Growth Industry? • Black Says We Can Use Sociological Statistics to Find Out (# Lawyers, Law Suits, etc.) 21 LAW AS A GROWTH INDUSTRY: NUMBERS – LAWYERS, LAW SUITS • Black Suggests Measuring Quantity of Law: • # of Lawyers, Law Suits, etc. • U.S. : “More Law” Than Most Other Nations 22 U.S. LAWYERS vs. OTHER NATIONS Number of Lawyers/Population Size Japan: 1/ 10,000 Sweden: 1/ 5,200 Germany: 1/ 2,500 England: 1/ 1,400 U.S.: 1/ 320 23 GROWTH IN LAWSUITS FILED • Federal Courts: – 1960: 90,000 1990: 250,000 … 383% Increase • • • • • • 1977-1989: Auto Industry Grew 40% Food Industry Grew 91% Legal Industry Grew 383% # Law Suits Since 1960: Mass: Tripled; Los Angeles: Doubled; NY: 50% 24 MORE LAW SUIT STATS (c. 1990) • Tort Litigation Costs $280 Billion/ Year • Gross Natl Product Reduced 10% in 1980s Due to Costs for “Predatory & Frivolous” Law Suits • Costs Include: Legal Damage Awards, Increased Insurance Premiums, Time Wasted, Non-Manufacture of Some Products Due to Fear of Law Suits • Cost of Litigation: Adds 30% to Step Ladder, 90% to Cost of Medical Vaccine 25 WHY INCREASE IN LITIGATION? • More Attorneys (Know System, Possibilities; Increase Business) • Contingency Fees (No Loss Penalty – v. Britain) • Repeat Players (Not Afraid of System) • Free/Inexpensive Legal Services Available • Not Just Valued for Dispute Resolution • Value for Harassment, Publicity, Delay (Q Will) • Changes in the Law (Change of Venue More Liberal; Easier to File; “Public Rights” Law Suits) 26 3 CATEGORIES OF REASONS • Social Development – More Complex Society – Less Cultural Agreement • Subjective Cost/Benefit Analysis – “Getting Even” vs. Tangible Benefits – Making a Moral Point (EX: Abortion) • More Legally Actional Behaviors – New Norms New Possibilities for Controversy (Abortion; Gay Marriage; Medical Marijuana) 27 #1 – SOCIAL DEVELOPMENT • Society Becoming More Complex, Heterogeneous. • Less Acceptance Of Common Set Of Values. • Informal Dispute Resolution No Longer Accepted. • CLAIM: Letting In Too Many Newcomers • BUT: Most People Who Disagree With Ideas Are American-born, Not Immigrants! 28 #2 - SUBJECTIVE COST/BENEFIT ANALYSIS OF LITIGATION: • More Emphasis On Subjective, vs. Objective Benefits Of Litigation. • Objective Issues: Look Solely At The Actual Monetary Costs And Benefits: Likely To Win? How Much? How Much Will It Cost? • Subjective Issues: More Intangible: Desire To Get Even; Create Trouble For Someone? Make Important Moral Point (EX: Oppose Abortion)? 29 #3 - MORE LEGALLY ACTIONAL BEHAVIORS HAVE DEVELOPED • New Norms Have Been Established – Which Raises The Possibility Of Suits In Whole New Areas. • EX 1: Roe V. Wade Generated Whole New Possibilities For Suits To Allow Abortion … • Conversely, Prohibit And Restrict Funding For Abortion • EX 2: Gay Marriage & Legal Rights Doing the Same Thing 30 MORE DATA ON THE BLACK APPROACH Focus On The Issues: • “Reasonable Man” • “Rule Of Law” Approach Through Focus On Roles In The Legal System: • Judges & Their Views • Different Types of Attorney Roles • Juries & Their Selection 31 DOES RULE OF “LAW” REALLY EXIST? • In Other Words, Are There Really “Reasonable Men” … • Who Can Make Law … • Without Reference to Personal Value Positions? 32 EX: JUDGES • There Have Been Numerous Studies of Judges • At Various Levels (Trial, Appellate, Supreme Court) • Q: Do Their Values Influence the Decisions They Make? 33 ANALYSIS OF SUPREME COURT • Justices Divided into Categories: – Liberal – Centrist – Conservative • Liberals: Earl Warren, Hugo Black, Thurgood Marshall, William Douglas • Conservatives: William Rehnquist, Samuel Alito, Clarence Thomas • Legal Interpretations Based on Personal Values • Emphasis is Different: – Protect Individuals’ Rights vs. Rights of Society – EX: Rights of Offenders vs. Rights of Police – Rights of Corporations vs. Individual Workers 34 EFFECT OF VALUES ON DECISIONS • Child Custody Cases: • Pt. Huron Judge (c. 1970s): Custody of Bi-racial Child of Mentally Ill Ex-Wife • Nebraska Judge: Custody of Child – to “Hippie” Father or Nebraska Grandparents • Macomb County Judge: Student Mother & Baby Sitter vs. Father & Grandmother 35 IMPACT OF TEMPERAMENT ON DECISIONS • • • • • Judges Preside Over Very Tense Situations Principals Are Very Upset, Excitable Can an Equally Excitable Judge Keep Control? EX: “Chicago 7[8]” Trial Riots at 1968 Democratic Convention – Goal: Process – Protest Johnson Vietnam Policies • Judge Julius Hoffman Got Equally Upset … • Had Bobby Seale Bound, Gagged, Sentenced to 4 Yrs Prison for Contempt (Near Record 36 JUDICIAL ACTIVISM • How Far Should Judges Go to Carry Out Law? • EX: 1968 Detroit Riots: “We Had to Do What Police Couldn’t – Keep People Off Streets!” • EX: Voting Rights Cases in South Vigorous Action Gradualist Delaying Action Reject Delays Establish Programs Appoint Referees Alabama (Johnson) Reject Delays Issue Rulings Order Change LA (Dawkins) Accept Delays Allow Adjournments Put Off Case MS (Cox, Clayton, Cameron) 37 EXAMPLES OF JUDICIAL ACTIVIST ACTIONS • Mandated School Busing Plans (CA & AZ) – Even Ordered Legislature to Institute Income Tax • 1 Person/1 Vote Apportionment, Detailed Plan • 3 Trimester Division in Roe v. Wade • Judge Johnson’s Orders w/ Specific Requirements & Referees 38 COMPARE: JUDICIAL ACTIVISM or STRICT CONSTRUCTIONIST? • Case FOR Judicial Activism? – Gets Things Done, Prevents Delays, Protect Minority Rights from Majority Rule • Case AGAINST Judicial Activism? – Little Control of Judges (Life Term) – Hard to Know Signers’ Intent (Even Possible?) • Caution: Do Not Base View on Specific Case! – You Might Disagree with the Next One! – Warren Court v. Rehnquist Court – Most Issues! 39 EX: ANALYSIS: WARREN COURT * LIBERALS MODERATES DISSENTERS Warren Frankfurter Clark Brennan Harlan Stewart Douglas Whittaker (Not a Block) Black (Do Not Correlate) • Liberals & Moderates Agreed A Lot With Each Other • Clark & Stewart Disagreed With Both & With Each Other • * Sidney Ulmer, Former Prof., Political Science, MSU, U Ky 40 [MAJORITY] OPINION OF “COURT” Chief Justice/Leader of Majority Assigns – How? 1. Pivotal Justice (Hold in Majority) 2. Closest in Views to Assigning Justice 3. Unusual Attraction to Opposition 4. Represents What Majority Had in Common 5. Philosophical – Opposing Person Who Agrees 41 WHEN DO JUSTICES REFLECT OWN VALUES vs. COMPROMISE? EX: Hugo Black’s Votes for “Certiorari” (Hearing) in Labor Dispute Cases (from J. Burton Notes) 1. Reflect Values on Important Personal Issues (2x More for “Underdog” v. “Overdog”) 2. Want to Be Part of Group, Make Group Look Good (Compromise If No Point – Vote Makes No Difference) 3. Majority Will Compromise If Necessary (If 5-4 Vote, Might Give Up Ideas to Get 6-3 Vote) 4. Court Concerned With Appearance to Outside – Special Cautions When Overruling 2 Lower Courts 42 ROLE OF JURIES – PRESENCE OF “THE PEOPLE” IN COURT • Jury Research – Once Common Research Topic Sociology of Law Topic (Strodbeck, Kalen, Simon) • Q: Why Have Juries? • Do Help Outcomes for Defendants? • Do They Follow the Law (Judge Instructions)? • Do They Evaluate Testimony Appropriately? – EX: Expert Witnesses, Psychiatrists? – Major Issue for Legal Scholars 43 HOW JURIES ARE CHOSEN • Jury Selection Process: • Population (a)Jury List(b) Qualified List(c) Jury Panel (d) Jury for Specific Case (e) • Sample of Population Is Called for Jury Duty • Leads to a List for Court to Call As Needed • Portion of List Is Called for a Period of Time – (Day, Week, Month; Varies by Court) • Case Jury [e] Under Atty Control (Voire Dire) 44 SUPREME COURT REQUIREMENTS • • • • • US Supreme Court: [b, c, d]Must Represent [a] Declared Mainly in Southern Cases (1960-70s) Common Practices in Jury Panel Selection: Jury List: Allow Persons Selected to “Opt Out” Common Excuses: Disabilities, Occupations (MD, RN,Police & Relations, Minister), Age • Court Staff Excused “Inappropriate” Candidates • Qualified List: Did Not Represent Population – 1 Day/1 Trial Approach Simplifies Problem • Some Excuses (Age) Still Remain 45 VOIRE DIRE • Attorneys (Prosecutor & Defense) – Have Opportunity to Question Jurors • Searching for Bias: Pre-determined Views on Case; Characteristics Making Them Biased • Relatives, Friends of Principals • EX: Medical Personnel on Medical Trial • Use of Social Science to Assist in Voire Dire • Questionnaires to Jury Panel (Harvey Nussbaum) 46 SOME FINDINGS ON JURIES Jurors Are Like the “Average Person”: • High Respect for Printed Word (Media) • Little Sympathy for “Criminals” • Have “Fuzzy” Distinction Between “Criminal” & “Accused” Some Question Whether Such Individuals Can Ever Give Defendants a “Fair” Hearing 47 HOW JURIES REACH DECISIONS • Position Juror Sits In Jury Room Determines Degree of Influence Over Outcome (Strodbeck) • 80%: Jury Outcome ~ to Judge Outcome • 20%: Jury More Lenient re Defendant (Kalven) • Do Juries Use “Legitimate” Evidence? (EX: Not Use Size of Atty Fee re Damages) – But Juries Often Did This (Kalven) 48 HOW JURIES REACH DECISIONS (ctd) • How Do Juries Handle Expert Testimony? • Usually Means Psychiatrists – Definition of Insanity (Medical or Legal?) (R. Simon) • Are Mentally Ill Responsible for Actions? – “2 Psychiatrists Examined; I Take Their Word.” – “2 Over-Educated People Don’t Make it True!” – “If We Have to Take Their Word, Why Ask Jury?” • So Juries Generally Make Their Own Decisions 49 FREE PRESS & FAIR TRIAL • A Common Concern: Does Press Coverage Limit Right to Fair Trial? • Most Trials Have No Press Coverage • Often There Is Time Lapse Before Trial • Few Cases Actually Go to Trial, Much Less Jury • So Not An Issue In Most Trials … • May Be a MAJOR Issue in Some Trials – EX: O.J. Simpson Trials 50 JURY STUDIES TODAY • Few Jury Studies Today • Recognize Prevalence of Judge Trials • Jury Trials Represent a Decreasing Percentage of Trials In Federal Courts, Other Courts 51 ATTORNEYS: IMPACT ON LEGAL SYSTEM Focus on: Their Roles In Court The Process Of Becoming One What It’s Like to Practice Law Their Impact on the Legal Process 52 ATTORNEYS’ ROLES IN COURTS • Attorneys Play 2 Roles in Criminal Court: – Prosecuting Attorney; Defense Attorney • Represent Both Sides in Civil Court: – Present Plaintiff’s Case; Also Represent Defendant • 2 Types of Practice Settings: – Solo Practitioner (or Small, 2-3 Person Firm) – Handle “the Junk” (Evictions, Divorce, Small Personal Injury, Collections, Too Small for Firms) – Corporate/Firm Attorney (Big Problems, Clients) • Categories: Partners, Associates, “Our Black, Woman” 53 PROCESS OF BECOMING A LAWYER • Obtain Knowledge of Law – Until c. 1920s: “Read Law” (in Atty’s Law Office) – 1920s – c. 1950s: LLB an Undergraduate Degree – Today: Obtain BA Law School JD • • • • Pass Bar Exam No Criminal Record Obtain – & Maintain – License to Practice Maintain Practice in Accord with Bar Assn Requirements 54 CONCERNS WITH LIMITING ACCESS TO LAW PROFESSION • Requirements Discriminate Against Minorities: – Background in Poorer Schools – Do Not Do Well on LSAT – Go to Lower Status Law Schools – Cannot Pass Bar Exam – Limits Minority Community Access to Law • Is There a Justification for Licensing Lawyers? • Does This Limit Access to the Law? • …Or Does It Protect the Public? 55 ASSIGNMENTS TO JOBS Type of Position – Depends on Background: SOLO PRACTITIONER CORPORATE or FIRM (Or Small, 2-3 Person Firm) “Wall Street Firm” Minority Race, Religion; Low Income, Immigrants Old Family, WASPs, Wealthy Background, Less Known Law Schools Proprietary Law Schools Ivy League Law Schools Harvard, Yale, Columbia, U-M Lower Status Cases Mainly Represent Individuals Make Less Money High Profile Cases Represent Corporations, Wealthy Clients Receive Very High Fees 56 WHAT’S IT LIKE TO PRACTICE LAW? • “The Practice of Law As a Confidence Game” • Blumberg: Personal Interrelations Among Court Officers (Judge, Prosecutor, Clerks) … • With the Defense Attorney … • Undermines “Justice” by Encouraging “Deals” 57 HOW IS LAW A CONFIDENCE GAME? A. The Legal Fee Is a Confidence Game – – – – Hard to See Lawyer’s Work Clients Unwilling to Pay (For THAT?!) Need to Convince Client of Legitimacy of Fee Keep Clients “Anxious” (Pray to Settle Estate) B. Court’s Assistance Helps Promote Atty Image – Allow Lots of Motions, Objections C. Negotiating Pleas – Why Do It? – – – – Judges, Prosecutors Want It! (Save Court Time, Produce Good “Convict” Statistics) Clients Also Want It! (Many Are Guilty, Want “Good Deal”) “Non-Regular” Lawyer Doesn’t Do Well in System … Doesn’t Know People; Doesn’t Recognize a “Good Deal” 58 LAW AS A CONFIDENCE GAME (ctd) • Who Loses in This System? – Occasional Defendant Suffers – Most Defendants Get “Good Deals” (e.g., Shorter Terms Than Deserved) – ACLU: “Copping a Plea” Covers Up Sloppy Police Work – Society Suffers Most – Justice Is Not Served 59 WHAT DO WE REALLY WANT DEFENSE ATTORNEYS TO DO? • Defend the Guilty? (Joann Gillespie Case) – Defendant Confessed in Middle of Trial) • Remake a Defendant? (Make Defendant Look Good) • How Much Can/Should a Lawyer Model Jury? – Voire Dire; Harvey Nussmaum • What Happens When Client Settles? 60 TYPES OF REPRESENTATION (CASPAR) 1. The Advocate – Anything for Client – Indifferent to Nature of Client, Societal Needs 2. Group Advocate – Advocate for Atty’s Own Group (Brown v. Bd Educ) – Client Means to End (Needed to Bring to Court) 3. Civil Libertarian – ACLU – Goal Is to Establish Legal Point (Church/State, Speech) – Client Means to End, Secondary Importance 61 WHAT HAPPENS (IN 2,3) IF CASE SETTLED, WINS ON TECHNICALITY? • Winning on Technicality: – EX: Voting Rights Cases: Declared Constitutional – … But Not Properly Administered (Unfair Tests) – Was Case “Successful”? • Client Decides to Settle: – EX: School Not Fulfilling Promised Placement – Client Paid for Training, Never Placed in Job – Client Accepts Settlement From School – What Happens to Case? 62 PHILOSOPHY OF CRIMINAL JUSTICE: WHAT SHOULD C.J. SYSTEM DO? EX: Surveillance, Entrapment, Exclusionary Rule • • • • • • “Not Paid to Do Justice But Defend Accused” (N.Lippitt) “Paid to Defend; Not Many Innocent” (E. Hall) “Defend System for Innocent; Need Prepared Cases” (C.Ziemba) “Prosecution’s Job to Present Case; Mine to Defend” (E.Hall) “Law Enforcement Agencies Proven Not Trustworthy” (Lippitt) “Judges, Prosecutors, Citizens Prejudiced. Defense Provides Balance” (E. Hall) 63 THE “INNOCENT” CLIENT: WHO IS IT? • • • • • • • • • EX: Dowagiac, MI, 1922: Claude Cushing Died, Long Illness (12/31/21) Widow (Maude) Soon Remarried, Moved People Gossiped Maude Arrested for Poisoning Claude (8/23/22) Requested Lie Detector Test, Refused Jury: 16 Hour Deliberation Guilty Verdict Imprisoned Until 1949 Lie Detector Test Not Guilty; Claude Died from Bi-chloride of Mercury (Syphilis Treatment) – Ignored At Trial 64 WHICH ATTORNEYS MORE OBJECTIVE? FEDERAL? or STATE, LOCAL? • State, Local Officials Influenced More By Local Politics – They’re Are of It! (Caspar, Krislov) • Radical Lawyers – Part of Groups Defended • Southern Attorneys General: – Very Conservative; Influenced by Other Local Officials – Need to Run in Local Elections! • History: Never Put Western Officials in Charge of Native American Matters! • Question: Should Local Programs Be Run By Local Officials Who Know Area? Or More Objective Federal Officials? 65