WebCompetence to stand trial: the legally determined capacity of a criminal defendant to proceed with criminaladjudication.Jurisdictionalstatutesand case law set out the Melton and his colleagues were the first to raise the concern of whether competency measures appear to permit gross incongruencies between item ratings and scale interpretations (Ref. Competence within the criminal justice system is a concept of law that allows for criminal proceedings to be postponed for individuals who are deemed This observation is a likely explanation for the differences in cut scores between the two measures. With respect to the preference of judges regarding report content, one study found that juvenile and criminal court judges from seven states stated they wanted ultimate opinions about competence and legal deficits more so than descriptions of causal explanations for psycholegal deficits (Viljoen, Wingrove, & Ryba, 2008). He had a history of mental illness and although initially found competent, he later deteriorated and was found to be incompetent. In reviewing the ECST-R normative data, we did not find a single case of any of the competency scales where this occurred. The specific issue there was whether the standard for competency to stand trial and competency to represent oneself should be the same. Its competency scales parallel the Dusky prongs: Consult With Counsel (CWC; six items), Factual Understanding of the Courtroom Proceedings (FAC; six items), and Rational Understanding of the Courtroom Proceedings (RAC; seven items). We will consider the scale classifications (interpretations) in the subsequent paragraphs. With reference to forensic concerns, can the concept be empirically tested and does the research have the potential to disprove the conclusion? Readers may wish to refer to the Federal Judicial Center16 and special issues of Psychology, Public Policy, and Law (vol. The use of psychotropic medication has been shown to be effective in restoring competence, as evidenced by the high rate of restoration noted. Of mostly historical interest, first-generation measures have limited data on their psychometric properties, a lack of normative data, and poor correspondence to the relevant legal standard.38 Although reviews of these measures are readily available,39 this article focuses more selectively on three published competency measures. Standards For Determining Competency And For Conducting A Hearing. One of the first to examine an education-focused approach, Siegel and Elwork (1990) found that incompetent defendants randomly assigned to an educational program that provided information on the legal process as well as problem-solving training showed significantly greater improvement on competency assessment instrument scores compared to a control group. Others have estimated that 28% of all felony defendants are referred each year for an evaluation of competency (Hoge, Bonnie, Poythress, & Monahan, 1992; LaFortune & Nicholson, 1995). Expected 90 day duration of illness. For normal (unimpaired) persons, the capacity to process information is generally limited to the magic number of 7 2 concepts.43 For language, individuals use verbal chunking consisting of 6 to 12 syllables per concept.44 Using the MacCAT-CA as a benchmark with 1.34 syllables per word, the midpoint for unimpaired persons would be: 7 concepts 9 syllables 1.34 syllables per word = 47.01 words. In a meta-analysis of 68 studies conducted between 1967 and 2008, Pirelli, Gottdiener, and Zapf (2011) found that defendants diagnosed with a psychotic disorder were eight times more likely to be found incompetent than defendants without such a diagnosis. WebAlthough no precise U.S. statistics are available, the best estimates suggest that the frequency of evaluations of compe- tence to stand trial has risen significantly in recent years.1The often-cited 1973 estimate by McGarry2 putthenumberofcompetenceevaluationsat25,000 to 36,000 each year in the United States. The use of medication raises the question of whether an incompetent defendant can refuse to consent to being medicated. Perlin cited the case of Colin Ferguson, who was accused of murdering six people and injuring 19 others on the Long Island Rail Road. It was followed in 1973 by the Competency Assessment Instrument (CAI), developed and validated by McGarry and his team36 at Harvard Medical School's Laboratory of Community Psychiatry. Your current browser may not support copying via this button. Subsequently, Edwards asked to proceed pro se, but this was denied by the trial judge.
It is entirely possible, for example, that some defendants with a psychosis or other severe mental illness may nevertheless be able to proceed with their case if the mental illness does not impair the legal abilities necessary to go forward. Hardcover in English. Forensic practitioners should supplement the previous analysis with careful reviews from other researchers and scholars. For scientific validity to be relevant, it must be sufficiently tied to the facts of the case (Ref. He was represented by counsel and convicted of the attempted murder and battery charges. The CAST-MR is an outgrowth of a doctoral dissertation. The patricidal tendency of researchers to diminish the contributions of seasoned practitioners may play a relevant role. Despite its extreme rarity (i.e., 0 for 356 defendants), practitioners may want to consider quickly screening ECST-R protocols for this remote possibility. Webnecessary criteria for competency to stand trial for more than four decades (Grisso, 2003). The opening paragraph of this article noted the professional schisms between traditional practice and the growing movement toward evidence-based practice. For instance, interview-based competency measures are typically composed of several dozen relevant constructs that are operationally defined. Thank you for your interest in recommending The Journal of the American Academy of Psychiatry and the Law site. Representative items are Jack felt that the judge _____ or If the jury finds me guilty _____. Each item is given a score of 2 (competent), 1 (questionable), or 0 (incompetent), and scores below 20 would identify possible incompetent defendants, who would then be referred for further assessment, usually in an inpatient setting. Unfortunately, there is little research on the effectiveness of various treatment approaches. For example, the three competency measures differ in the extent to which they have been evaluated for pretrial defendants with mental retardation. If any officer of the court (defense, prosecution, or judge) has reason to believe there is a bona fide doubt as to a defendants competence, the issue must be raised in court, and failure to provide a defendant with a hearing to determine competency when there is sufficient evidence that competency may be an issue is a violation of the defendants sixth amendment right to a fair trial (Pate v. Robinson, 1966). Description and Congruence (Fit) between Dusky's Prongs and Selected Competency Measures. Competency to Stand Trial and Mental Illness (DHEW Pub. Whereas Guideline 1 is more theoretical, Guideline 3 is solidly methodological. Conservative estimates suggest there are 60,000 competency cases per year, with rates of incompetency often falling in the 20- to 30-percent range.32 When extrapolated from the number of actively psychotic and mentally disordered inmates,33 the potential number of competency evaluations could easily be twice this estimate. Oxford Research Encyclopedia of Psychology, Department of Psychology, Simon Fraser University, Clinical Psychology: Disorders and Therapies, Organizational and Institutional Psychology, A Functional and Contextual Approach to Defining and Assessing Competency, https://doi.org/10.1093/acrefore/9780190236557.013.80, The effect of competency restoration training on defendants with mental retardation found not competent to proceed, The competence of criminal defendants: A theoretical reformulation, The significance of combining evaluations of competency to stand trial and sanity at the time of the offense, The relationship between criminal charges, diagnoses, and psycholegal opinions among federal pretrial defendants, The Sell effect: Involuntary medication treatment is a clear and convincing success, A second validation study of the competence assessment for standing trial for defendants with mental retardation (CAST-MR), The emerging standard of competence in immigration removal proceedings: A review for forensic mental health professionals, Assessment and conceptualization of competency to stand trial: Preliminary data on the Interdisciplinary Fitness Interview. Although the Court did not indicate how a reasonable period of time should be defined or progress toward regaining competency could be assessed, the decision made clear that if these two conditions were not met, the defendant would have to be released unless civil commitment was an appropriate alternative. Webtence to stand trial. Before the Court of Appeals, defendant argued that the trial court ignored the liberal standard that Rule 702 8, issues 24) and the American Journal of Public Health (vol. Practitioners sometimes exaggerate the limitations of standardized measures while possibly overvaluing their own expertise. For assessments, the use of reliable and valid measures is the most direct and empirically defensible method of achieving this standardization. State laws typically do not specify what should be contained in a report, although the Utah statute is a clear exception. What about the gross incongruencies criticism of the ECST-R of Melton and his colleagues32? Evaluations conducted in the legal context should always consider the possibility of malingering since there may be motivation to feign or exaggerate symptoms with the intention of being found incompetent or for establishing an insanity defense later (Vitacco, Rogers, Gable, & Munizza, 2007). Individual items for the competency scales were developed and pilot tested. can clearly be applied to forensic practice regarding important determinants for the acceptance of evidence-based practice. A small group of 10 professionals (lawyers, administrators, and forensic psychologists) rated the appropriateness of the CAST-MR content. Less intrusive forms of treatment include legal rights education, deficit-focused remediation programs, and standard hospital treatment programs (Bertman et al., 2003). If they do not have the capacity in any of these areas, they may be found incompetent to proceed and the judicial proceedings are suspended until they are treated and competency is restored. Most competency items are scored on five-point ratings: 0, not observed; 1, questionable clinical significance; 2, mild impairment unrelated to competency; 3, moderate impairment that will affect but not by itself impair competency; and 4, severe impairment that substantially impairs competency. He refused to consent to treatment, and the treatment facility attempted to force medication involuntarily. We revisit these objections later in the context of evidence-based competency measures. They found 51% of defendants with a diagnosis of psychosis to be incompetent, compared to only 10% without this diagnosis. Printed from Oxford Research Encyclopedias, Psychology. With Daubert used as the conceptual framework, this section examines competency measures as evidence-based practice. Competency to participate fully in the defense of his or her criminal case is an essential right of a defendant to ensure a fair trial. A recent study of defendants found incompetent in the federal court system (Cochrane, Herbel, Reardon, & Lloyd, 2013) found that 79% of 132 involuntarily medicated defendants were successfully restored to competence, with an average treatment period of less than five months. He was subsequently charged with attempted murder, battery with a deadly weapon, criminal recklessness, and theft. One limitation of the ECST-R is that its cut scores have not been validated for defendants with IQs of less than 60. The legal principle is usually referred to as competence to stand trial, although terms such as fitness to stand trial, adjudicative competence, and competence to proceed are also used (Bonnie, 1992; Golding, 2016). As evidence of polarized views, three of these same objections were seen by other practitioners as benefits including usefulness (45%), nonduplication of services (25%), and brevity (25%). Off. Professional Manual for the MacArthur Competence Assessment Tool-Criminal Adjudication (MacCAT-CA). The CAST-MR provides the broadest appraisal of factual understanding with inquiries about common legal terms and basic information regarding verdicts and sentencing. More details of the vignette are provided as the examiner moves through the first two sections of the MacCAT-CA. A more sound approach would be the integration of clinical interviews with standardized measures. The defendant Ahmad Edwards attempted to steal a pair of shoes from a department store in Indiana, and when security officers tried to apprehend him, he fired shots at them. The foregoing discussion focused on the congruence between competency measures and the Dusky standard. Once raised, defendants are typically referred for an evaluation by a mental health professional. Competence is also a consideration when a defendant chooses to represent him or herself (referred to as proceeding pro se). In contrast, Guidelines 2 and 4 were relatively easy to grasp. When an elevated score exceeds the benchmark by the confidence interval, the practitioner can testify regarding a very high likelihood that the defendant meets this classification. Anderson and Hewitt (2002) reported only an 18% success rate, a finding supported by other studies (Pinals, 2005; Wall, Krupp, & Guilmette, 2003). The competency measures are markedly divergent in their assessment of Dusky's consult-with-counsel prong.
As a result, the presented material is typically very short (i.e., fewer than 10 words) on the ECST-R competency scales. It is likely that the number is higher today given the increase in mentally ill individuals in jail (Steadman, Osher, Robbins, Case, & Samuels, 2009). Theon Jackson, who was deaf and mute and could not read or write, was charged with two robberies and found incompetent due primarily to his inability to communicate and also his intellectual deficits. Gowensmith et al.
In fact, this approach is embraced by the AAPL Task Force in its summary statement about competency measures: Instead, psychiatrists should interpret results of testing in light of all other data obtained from clinical interviews and collateral sources (Ref. Utah courts can expect details about specific abilities, such as how to behave appropriately in court, testify relevantly if applicable, and whether medication is necessary and the impact it might have on the defendants demeanor, affect, and ability to participate in the proceedings (Utah Code Annotated, 2002). Especially useful for court reports and subsequent testimony is the 95 percent confidence interval. Indeed, some evaluators may choose to use multiple FAIs for the same evaluation, as each type of FAI provides slightly different perspectives and information about a defendants competence. Legal precedence has established that the basis of a finding of incompetency must be the presence of a major mental illness or substantial cognitive deficit. In their study, they asked two experts to make judgments about competency based on a review of records, reports from hospital evaluators, and evaluations using the Interdisciplinary Fitness Interview (IFI). The lower limit for unimpaired persons is 22.38 words.
This article has provided an overview of forensic assessment instruments that have been developed to guide this process. We begin with an evaluation on the congruence between the competency measures and the Dusky standard. Unlike the MacCAT-CA, which restricts its normative data to presumably competent participants, the ECST-R includes both competent and incompetent defendants in its normative group, thereby mirroring the entire population that it is intended to evaluate. Professional attitudes are an often overlooked but key component in the acceptance of evidence-based practice. Competence Assessment for Standing Trial for defendants with Mental Retardation (CAST-MR) assesses the competence of defendants with intellectual deficits (Everington & Luckasson, 1992). Minimal or no impairment had assessed deficits that fell within 1 standard deviation (SD) of the presumably competent detainees. Skeem and Golding (1998) argue that if the report educates the court about all relevant clinical factors, as well as how they are connected to the legal criteria, an opinion about the ultimate issue may simply be redundant. They are followed by a more in-depth examination of competency measures as a form of evidence-based practice. 41, p 19). Not surprisingly, they had the most difficulty in fully understanding those directly involved in scientific method (Guidelines 1 and 3). (1978) as a screening device to screen out those defendants who were clearly competent. Finally, general acceptance can yet have a bearing on the inquiry. As previously noted, a rating of 4 shows substantially impaired competency by itself, whereas a rating of 3 shows deficient competency but does not, by itself, show substantially impaired competency. Warren, Chauhan, Kois, Dibble, and Knighton (2013) found a similar rate in a study of restoration of incompetent juveniles (see also McGaha, Otto, McClaren, & Petrila, 2001).
It explicitly rejected the test established in Frye v. United States,10 which relied solely on general acceptance. For some, this resulted in confinement that lasted years and, for a few, a decade or more (Roesch & Golding, 1980), often spending more time in confinement than they would have been if convicted and sentenced on their original charges. Sell appealed and the appellate court held that medication was necessary because he was dangerous to himself or others and medication was likely to restore competence. The court later adopted this report. 2 2019] RE-EVALUATING COMPETENCE TO STAND TRIAL 159 and suffer the same inability to participate in their trials. (B) Upon the filing of a Plea of Mental Incompetency to Stand Trial, the judge shall conduct a bench trial to determine the issue of mental competency to stand trial unless the state or the defendant, within twenty days of filing of the plea, demands a Fundamental justice requires that criminal defendants should be able to understand the charges against them, appreciate the nature and range of penalties, and communicate with their attorney. Research generally reports high agreement in studies of the reliability of CST evaluations, with agreement about the ultimate opinion regarding competency in the 90% range (Cox & Zapf, 2004; Poythress & Stock, 1980; Rosenfeld & Ritchie, 1998). Web1973, National Institute of Mental Health, Center for Studies of Crime and Delinquency, for sale by the Supt. In addition, data were available for comparison purposes for 71 feigners as classified by simulation research or results on the SIRS.29 Cut scores were developed on the basis of linear T scores, which facilitates their interpretation. Simply put, how are these classifications established and what is their relevance to the Dusky standard? 23 Sovereign Citizen Beliefs Common Law Courts Similar to other studies showing high concordance between evaluator recommendations and court decisions, judges agreed with the majority opinion in 92.5% of the initial evaluations, but this dropped to 77.4% in subsequent evaluations. WebCompetency to Stand Trial Assessment Instructions I. If the accused is psychotic or retarded, this does not preclude trial unless the defendant is also and specificillly incompetent according to the legal standard. Indirectly, the Melton et al. WebThe competency screening test was administered to 43 men who had been referred to a state hospital for determination of competency to stand trial. Gatowski and her colleagues,17 in a national study of 400 state trial court judges, found that most judges (i.e., ranging from 88% to 93%) believed that the individual Daubert guidelines were useful in deciding the admissibility of scientific evidence. Table 1provides a summary of the specific scales on competency measures with descriptive data regarding their type of inquiry and the complexity of their questions. This appears to be true even in Utah despite specific legislation asking for such information. However, efforts in this direction have not been successful. Enter multiple addresses on separate lines or separate them with commas. 1) for a more thorough introduction. He was diagnosed with schizophrenia and found incompetent to stand trial and remanded for treatment, which successfully restored his competence. PDF. 32, p 148). 4241 (a), the court must order a competency hearing. While the phrase patricidal tendency is an overreach, it does capture the concerns of seasoned practitioners who see the possibility that their decades of experience will be devalued or even discredited by evidence-based approaches. The term competence to stand trial is perhaps misleading because only a small percentage of criminal cases actually go to trial. The ECST-R uses the following classification: 60 to 69 T, moderate impairment, usually associated with competent defendants; 70 to 79 T, severe impairment, which can reflect competent or incompetent defendants; 80 to 89 T, extreme impairment, usually associated with incompetent defendants; and 90 to 110 T, very extreme impairment, almost always associated with incompetent defendants. My determination is Murrie and Zelle (2015) reviewed the literature and identified five essential capacities: (1) a factual understanding of the legal proceedings, (2) an appreciation of how the factual understanding can be applied to his or her case, (3) an ability to make reasonable and logical decisions, (4) an ability to assist and communicate with counsel, and (5) an ability to make decisions about issues such as whether to accept a plea agreement, proceed with trial, testify, and the many other decisions faced by defendants in criminal cases. Treatment staff reported that his condition precluded his understanding the nature of charges against him and participating in his defense, and stated that there was no treatment that could help Jackson learn minimal communication skills. For example, Nicholson and Kugler (1991) reviewed 30 studies and concluded that defendants with psychotic disorders were more likely to be incompetent. This section will provide a brief overview of possible FAIs that clinicians can use when evaluating competency. Unlike other forensic concerns, competency to stand trial has been the vanguard of evidence-based practice, championed for decades by prominent forensic psychiatrists and psychologists. Evaluators may use psychological tests on occasion when it is thought to be helpful in identifying clinical constructs such as intelligence, psychopathology, or academic achievement. There is limited research on the CAST-MR, but two studies indicated that the instrument has a level of reliability and validity comparable to other competency assessment instruments (Everington, 1990; Everington & Dunn, 1995). (1998) found that evaluators did review basic issues such as ability to assist counsel, but typically need not pay attention to decisional competence issues, as only 12% of the reports discussed whether the defendant understood what rights were given up when entering a guilty plea. An interesting question is whether involuntary medication would also prove effective in restoring competence. Competency evaluations are also relevant to evidence-based forensic practice because of their long history of empirical validation. The original IFI collected data from defendants interviewed by a two-person team, composed of a lawyer and either a psychologist or a social worker, and found high agreement about their final opinions of competency (Golding et al., 1984). Court outcome is an imperfect criterion as studies show that judges routinely accept the recommendations or opinions of evaluators, with agreement rates of over 90% (Cox & Zapf, 2004; Zapf, Hubbard, Cooper, Wheeles, & Ronan, 2004). Be that as it may, two criteria stand out as being relevant for a determina tion of competency to stand trial: the presence of psychosis and/or the Treatment is usually relatively brief, as approximately 75% are restored to competency within six months and are returned at that point to court for the resumption of their criminal cases (Morris & Parker, 2008; Nicholson & McNulty, 1992). The decision about competency is ultimately one that rests in the hands of the presiding judge. Competence for execution is an infrequently raised competence issue, and the reader is referred to Zapf (2016) for a review and discussion. Neither the CAST-MR nor MacCAT-CA assesses defendants' knowledge of their own criminal charges and the severity of these charges. Have the courts abdicated their responsibility for determination of competency to stand trial to clinicians? The Evaluation of Competency to Stand Trial-Revised (ECST-R; Rogers, Tillbrook, & Sewell, 2004) presents a clinical interview with both semi-structured and structured components. Paris1 ably documents the evolution of psychiatric practice from idiosyncratic clinical inferences and basic research studies to systematic investigations of evidence-based practice. The case carried through the appeals process and was eventually heard by the U.S. Supreme Court, which held that a trial judge can deny a defendant the right to proceed pro se even if he or she had previously been found competent. 32, p 154). Within the context of family law, Kelly and Ramsey27 provide a masterful analysis of validity as it applies to psycholegal constructs and measures, along with a detailed list of specific benchmarks. Similar findings were found in an Alabama study by Zapf, Hubbard, Cooper, Wheeles, and Ronan (2004), who examined reports in forensic facilities and found that while the majority of them covered factual understanding issues, over 90% offered no information about the appreciation or reasoning abilities of the defendants being evaluated for competency. In contrast, questions for the assist defense scale include preliminary information that increases the average length to 46.9 words. of Docs., U.S. Govt. The ECST-R focuses on both courtroom proceedings and defendants' understanding of their own criminal charges. They were compared with 283 incompetent defendants in a competence restoration program. These normative data were used for clinical interpretation of information from the jail detainees to establish three categories. The MacCAT-CA has the most problems of competency measures in establishing accurate classifications. The standard for competency to stand trial was established by the Supreme Court's decision in Dusky v. United States31 with a one-sentence formulation requiring that the defendant has sufficient present ability to consult with his lawyer with a reasonable degree of rational understandingand whether he has a rational as well as factual understanding of the proceedings against him. Rogers and Shuman14 provide a legal summary of Dusky's three prongs: a rational ability to consult one's own attorney, a factual understanding of the proceedings, and a rational understanding of the proceedings. To trial whether involuntary medication would also prove effective in restoring competence, as by! Special issues of Psychology, Public Policy, and forensic psychologists ) rated the appropriateness of the competent! Been shown to be true even in Utah despite specific legislation asking for such information criminal. 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The MacCAT-CA also includes several items about defendants' views and actions toward their attorneys.