Handbook of Forensic Assessment E-Book

Eric Y. Drogin

• Herausgeber: John Wiley & Sons
• Kategorie: Geisteswissenschaft
• Sprache: Englisch

Seitenzahl: 1354

Veröffentlichungsjahr: 2011

Beschreibung

The first handbook to explore forensic assessment from psychiatric and psychological perspectives "The editors have assembled a magnificent collaboration between psychiatrists and psychologists to bring forth critical knowledge and insight to the core competency of forensic assessment. This handbook is essential reading and a comprehensive resource for both newly minted and seasoned forensic practitioners." --Robert I. Simon, MD, Director, Program in Psychiatry and Law, Georgetown University School of Medicine "This long-awaited resource blows the dust off traditional standards, shakes the cobwebs out of our old ways of thinking, and shows the practical steps in producing work that will make sense to juries and withstand the most skillful cross-examination. . . . [T]here is no better resource." --Kenneth S. Pope, PhD, ABPP, Diplomate in Clinical Psychology; coauthor, Ethics in Psychotherapy and Counseling, Fourth Edition "From preparation to collection to interpretation to communication of the results, this excellent, comprehensive treasure shows how to conduct forensic assessments. Each splendid evidence-based chapter is presented from the collaboration between psychologists and psychiatrists. It is a must-have resource for forensic experts as well as general practitioners or anyone wishing to understand standard of care in forensic assessment." --Melba Vasquez, PhD, ABPP, 2011 American Psychological Association President The practitioner-oriented coverage in the Handbook of Forensic Assessment examines: * The current state of psychology and psychiatry--including requisite clinical competencies, ethical guidelines, and considerations of multidisciplinary collaboration * Various approaches to assessments in criminal and civil matters * The principles of effective preparation, data collection, and interpretation, as well as communication for each special situation * Topics including competence to stand trial, sexual offender evaluations, addictions, child abuse, and education * Overarching practice issues, such as practice development, retention, compensation, consultation, and forensic treatment * Includes sample reports that demonstrate the integrative potential of both psychology and psychiatry Incorporating a wealth of current and multidisciplinary research, the Handbook of Forensic Assessment is destined to become every mental health professional's most valuable one-stop reference for their forensic work.

Leseprobe

Contents

Cover

Title Page

Copyright

Foreword

References

Preface

Contributors

Part 1: Criminal Matters

Chapter 1: Competence to Stand Trial

Introduction

Preparation

Data Collection

Data Interpretation

Communication

References

Chapter 2: Competency to Waive Miranda Rights

Introduction

Preparation

Data Collection

Data Interpretation

Communication

References

Chapter 3: Sentencing

Introduction

Preparation

Data Collection

Data Interpretation

Communication

References

Chapter 4: Competency Restoration

Introduction

Preparation

Data Collection

Data Interpretation

Communication

References

Chapter 5: Sex Offender Evaluations

Introduction

Preparation

Data Collection

Data Interpretation

Communication

References

Chapter 6: Criminal Responsibility

Introduction

Data Collection

Data Interpretation

Communication

References

Chapter 7: Capital Litigation: Special Considerations

Introduction

Preparation

Data Collection

Data Interpretation

Communication

References

Chapter 8: Diminished Capacity in Federal Sentencing

Introduction

Preparation

Data Collection

Data Interpretation

Communication

References

Chapter 9: Testimonial Capacity

Introduction

Preparation for the Evaluation

Data Collection and Interpretation

Communicating Findings and Opinions

References

Chapter 10: Postconviction Proceedings

Introduction

Preparation

Data Collection

Data Interpretation

Communication

References

Chapter 11: Juvenile Delinquency and Decertification

Introduction

Preparation

Data Collection

Data Interpretation

Communication

References

Chapter 12: Addictions

Introduction

Preparation

Data Collection

Data Interpretation

Communication

References

Part 2: Civil Matters

Chapter 13: Personal Injury: The Independent Medical Examination in Psychology and Psychiatry

Introduction

Preparation

Data Collection

Data Interpretation

Communication

References

Chapter 14: Employment Discrimination and Harassment

Introduction

Preparation

Data Collection and Interpretation

Record Review

Communication

The Report

References

Chapter 15: Structural and Clinical Assessment of Risk of Violence

Introduction

Preparation

Data Collection

Data Interpretation

Communication

References

Chapter 16: Child Abuse and Neglect

Introduction

Preparation

Data Collection

Data Interpretation

Communication

References

Chapter 17: Abuse and Neglect of Adults

Introduction

Preparation

Data Collection

Data Interpretation

Communication

References

Chapter 18: Education and Habilitation

Introduction

Preparation

Data Collection

Data Interpretation

Communication

References

Chapter 19: Child Custody and Parental Fitness

Introduction

Preparation

Data Collection

Data Interpretation

Communication

References

Chapter 20: Americans With Disabilities Act Evaluations

Introduction

Preparation

Data Collection

Data Interpretation

Communication

References

Chapter 21: Civil Commitment

Introduction

Preparation

Data Collection

Data Interpretation

Communication

References

Chapter 22: Competency to Consent to Treatment

Introduction

Preparation

Data Collection

Data Interpretation

Communication

References

Chapter 23: Guardianship

Introduction

Preparation

Data Collection

Data Interpretation

Communication

References

Chapter 24: Psychiatric and Psychological Malpractice

Introduction

Preparation

Data Collection

Data Interpretation

Communication

References

Chapter 25: Fitness for Duty

Introduction

Preparation

Data Collection

Data Interpretation

Communication

References

Chapter 26: Psychological Autopsy

Introduction

Preparation

Data Collection

Data Interpretation

Communication

References

Part 3: Forensic Practice Considerations

Chapter 27: Developing and Operating a Forensic Practice

Introduction

Principles of Forensic Work

Beginning Work

Evaluations and Independent Medical Examinations

Reports and Affidavits

Testimony

Fees, Billing, and Collections

Marketing

Office Procedures

Conclusions

References

Chapter 28: Interstate Practice

Introduction

References

Chapter 29: Conceptualization and Assessment of Malingering

Introduction

Preparation

Data Collection

Data Interpretation and Classification

Communication

References

Chapter 30: Transcultural Considerations

Introduction

Clinical Forensic Interviews and Mental Status Examinations

Culture and General Psychological Assessments

Conclusion

References

Appendix A: Scientific Glossary

Appendix B: Legal Glossary

Appendix C: Compendium of Cited Psychological Tests

Appendix D: Sample Reports

Psychiatric Evaluation—Juvenile Decertification

Past History

Psychological Evaluation—Juvenile Decertification

Techniques Used

Documents Reviewed

Background Information And Clinical Observations

Mental Status

Cognitive And Intellectual Functioning

Personality Dynamics

Factors Affecting Decertification

Recommendations

Preliminary Report on Psychology Board Complaint by Ms. B Against A, PhD

Conclusion

Author Index

Subject Index

This book is printed on acid-free paper.

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Published by John Wiley & Sons, Inc., Hoboken, New Jersey.

Published simultaneously in Canada.

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Library of Congress Cataloging-in-Publication Data:

Handbook of forensic assessment : psychological and psychiatric perspectives/[edited by] Eric Y.

Drogin . . . [et al.].

p.; cm.

Includes bibliographical references and index.

ISBN 978-0-470-48405-0 (cloth: alk. paper); 978-1-118-02799-8 (eMobi); 978-1-118-02800-1 (ePub); 978-1-118-02798-1 (ePDF); 978-1-118-09339-9 (Wiley online library)

1. Forensic psychiatry–Handbooks, manuals, etc. 2. Capacity and disability–Handbooks, manuals, etc. 3. Informed consent (Medical law)–Handbooks, manuals, etc. I. Drogin, Eric York.

[DNLM: 1. Forensic Psychiatry–methods–United States. 2. Mental Competency–United States. 3. Mental Disorders–diagnosis–United States. 4. Mental Disorders–psychology–United States. 5. Psychological Tests–United States.W740]

RA1151.H245 2011

6140.15–dc22

2010048922

Foreword

The psychological and psychiatric assessment of individuals involved in legal proceedings have significantly advanced during the past decade. In part, this reflects the increasing maturity of the fields of forensic psychiatry and forensic psychology, accompanied by the influence of increased focus on evidence-based practice seen more broadly in medicine and mental health. Courts are increasingly receptive to mental health expert input, and ever larger numbers of general psychologists and psychiatrists have entered the realm of forensic practice. Legislators, intentionally or otherwise, have enacted additional statutes that necessitate expert mental health information and testimony. Forensic psychology and psychiatry are increasingly informed by an empirical foundation, and research-based testimony is increasingly possible. The present book, involving an unusual and close collaboration between forensic psychologists and forensic psychiatrists, provides ample illustration of many of these advances.

But it is worth noting that the chapters in this excellent book go well beyond the general description of advances and summary of the “state of the field” that we often see in broadly based edited volumes. Indeed, there are three unusual features to Handbook of Forensic Assessment that, taken together, make it a unique contribution to the literature.

The first involves the collaboration between psychiatry and psychology that is evident in the coauthorship of almost all chapters by a forensic psychologist and a forensic psychiatrist. These specializations each draw considerably on their respective disciplines, yet share much of the relevant law, science, ethics, and practice that guide the best practice of forensic mental health assessment. It is refreshing to see this acknowledged in the kind of collaboration that is evident in these chapters.

A second significant feature of the volume is the focus on foundational principles that are important across various legal questions in forensic psychiatry and forensic psychology. These principles have been discussed in some detail during the last decade (Heilbrun, 2001; Heilbrun, Grisso, & Goldstein, 2009) and appear to have the potential for providing a general framework within which empirically supported practice in forensic mental health can be more easily applied. Nonetheless, there clearly remains a good deal of work—conceptual, empirical, and applied—that must be done before such principles can be said to have substantial influence on most of the mental health assessments performed for courts and attorneys. Books like Handbook of Forensic Assessment can move the field meaningfully toward the larger goal of best practice guided by foundational principles.

The third significant feature of the work, related to the second, is the specific focus on the quality of forensic evaluations conducted by mental health professionals. Much of the evidence gathered in the 1990s suggested generally that the quality of evaluations conducted for courts and attorneys was not what it could have been. This may be changing, however, with the increased research and professional focus on evaluation quality, and the potential for using quality improvement approaches to make the forensic evaluations and reports submitted to courts more legally relevant, scientifically supported, ethically guided, and consistent with standards of practice (see Wettstein, 2005).

Eric Y. Drogin, Frank M. Dattilio, Robert L. Sadoff, and Thomas G. Gutheil are to be congratulated for assembling a group of contributors whose work, taken together, advances the fields of forensic psychiatry and forensic psychology several steps. We anticipate that a wide variety of mental health professionals, even at different levels of forensic experience, will find the book to be a valuable addition to their libraries. The quality and usefulness of information provided by forensic practitioners to the courts should thereby be enhanced.

Kirk Heilbrun, PhD Robert M. Wettstein, MD

References

Heilbrun, K. (2001). Principles of forensic mental health assessment. New York, NY: Kluwer Academic/Plenum Press.

Heilbrun, K., Grisso, T., & Goldstein, A. (2009). Foundations of forensic mental health assessment. New York, NY: Oxford.

Wettstein, R. M. (2005). Quality and quality improvement in forensic mental health evaluations. Journal of the American Academy of Psychiatry and the Law, 33, 158–175.

Preface

As avid collectors of books on forensic mental health assessment for more decades than we may care to admit, we remain perplexed by two recurrent features of the genre: (1) an emphasis on research-based justification of forensic evaluations—at the expense of informing the reader how one actually conducts them; and (2) a discipline-specific focus on either psychology or psychiatry—at the expense of identifying the other's unique and complementary contributions.

By contrast, John Wiley & Son's Handbook of Forensic Assessment: Psychological and Psychiatric Perspectives adopts an overtly practice-focused and inclusive approach. For a comprehensive range of forensic applications in both criminal and civil cases, the reader will learn in each instance how the forensic evaluator engages in “preparation,” “data collection,” “data interpretation,” and finally “communication” of the results. Many will recognize these as the four broad stages encompassed by Professor Kirk Heilbrun's well-established “Principles of Forensic Mental Health Assessment.” By addressing each of these stages in sequence on a chapter-by-chapter basis, we respond to the question we hear most often from forensic clinicians at every stage of professional development: “How do I do this?”

Each chapter is written by both a psychologist and a psychiatrist in order to capture both disciplines' goals and methodologies simultaneously. In the appendices, the reader will find several aids to making the most of this combined perspective, including a scientific glossary, a compendium of psychological tests, and examples of how a psychologist and a psychiatrist might address the same forensic inquiry either separately or in the context of a coauthored report. A glossary of legal terms is also provided.

To enhance further the reader's incorporation of evaluation-specific guidance, we include additional chapters to address such matters as developing and operating a forensic practice, conducting one's practice across jurisdictional lines, conceptualizing and assessing malingering in various contexts, and accommodating transcultural considerations.

We are greatly indebted to Professors Kirk Heilbrun and Robert Wettstein for their foreword to this Handbook, and to all of our colleagues who labored so long and patiently to bring you their up-to-date perspectives on forensic mental health assessment. We hope that this resource serves you well in your own practices, and trust that you share our sense of fascination with the evolving contributions of psychology and psychiatry to the legal system.

Eric Y. Drogin, JD, PhD, ABPP Frank M. Dattilio, PhD, ABPP Robert L. Sadoff, MD Thomas G. Gutheil, MD

Contributors

Elliot L. Atkins, EdD

Independent Practice

Marlton, New Jersey

Curtis L. Barrett, PhD, ABPP

University of Louisville School of Medicine

Louisville, Kentucky

Gillian Blair, PhD, LLM

Independent Practice

Narberth, Pennsylvania

Henry R. Bleier, MD, MBA

University of Pennsylvania School of Medicine

Philadelphia, Pennsylvania

John M. W. Bradford, MD

University of Ottawa

Ottawa, Ontario

Stanley L. Brodsky, PhD

The University of Alabama

Tuscaloosa, Alabama

Harold J. Bursztajn, MD

Harvard Medical School

Boston, Massachusetts

Mary Connell, EdD, ABPP

Independent Practice

Fort Worth, Texas

Gerald Cooke, PhD, ABPP

Independent Practice

Plymouth Meeting, Pennsylvania

Frank M. Dattilio, PhD, ABPP

Harvard Medical School

Boston, Massachusetts

Eric Y. Drogin, JD, PhD, ABPP

Harvard Medical School

Boston, Massachusetts

Albert M. Drukteinis, MD, JD

New England Psychodiagnostics

Manchester, New Hampshire

Amanda M. Fanniff, PhD

University of South Florida

Tampa, Florida

Nicole Foubister, MD

NYU Medical School

New York, New York

Laurentine Fromm, MD

University of Pennsylvania School of Medicine

Philadelphia, Pennsylvania

Seema Garg, PhD

Independent Practice

Boston, Massachusetts

Liza H. Gold, MD

Georgetown University School of Medicine

Washington, District of Columbia

Alan M. Goldstein, PhD, ABPP

Independent Practice

Hartsdale, New York

Robert P. Granacher, Jr., MD, MBA

University of Kentucky College of Medicine

Lexington, Kentucky

Thomas G. Gutheil, MD

Harvard Medical School

Boston, Massachusetts

Mark J. Hauser, MD

Harvard Medical School

Boston, Massachusetts

Kirk Heilbrun, PhD, ABPP

Drexel University

Philadelphia, Pennsylvania

Dawn M. Hughes, PhD, ABPP

Weill Cornell Medical College

New York, New York

Richard F. Limoges, MD

University of Pennsylvania School of Medicine

Philadelphia, Pennsylvania

Donald J. Meyer, MD

Harvard Medical School

Boston, Massachusetts

Pietro Miazzo, MD

Temple University School of Medicine

Philadelphia, Pennsylvania

Timothy J. Michals, MD

Independent Practice

Philadelphia, Pennsylvania

Laurence Miller, PhD

Independent Practice

Boca Raton, Florida

David F. Mrad, PhD, ABPP

School of Professional Psychology at Forest Institute

Springfield, Missouri

Donna M. Norris, MD

Harvard Medical School

Boston, Massachusetts

Aderonke Oguntoye, MD

Harvard Medical School

Boston, Massachusetts

Randy K. Otto, PhD, ABPP

University of South Florida

Tampa, Florida

Lisa Drago Piechowski, PhD, ABPP

Independent Practice

Glastonbury, Connecticut

Robert F. Putnam PhD, BCBA-D

May Institute

Randolph, Massachusetts

Urrooj Rehman, MD

Harvard Medical School

Boston, Massachusetts

William H. Reid, MD, MPH

Independent Practice

Horseshoe Bay, Texas

Carla Rodgers, MD

University of Pennsylvania School of Medicine

Philadelphia, Pennsylvania

Richard Rogers, PhD, ABPP

University of North Texas

Denton, Texas

Robert L. Sadoff, MD

University of Pennsylvania School of Medicine

Philadelphia, Pennsylvania

Steven E. Samuel, PhD

Independent Practice

Philadelphia, Pennsylvania

Mark Siegert, PhD

William Alanson White Institute

New York, New York

Kathleen P. Stafford, PhD, ABPP

Louis Stokes Cleveland Veterans Affairs Medical Center

Cleveland, Ohio

Annie G. Steinberg, MD

University of Pennsylvania School of Medicine

Philadelphia, Pennsylvania

William J. Stejskal, PhD

Independent Practice

Woodbridge, Virginia

Kenneth Tardiff, MD, MPH

Weill Cornell Medical College

New York, New York

Clarence Watson, JD, MD

University of Pennsylvania School of Medicine

Philadelphia, Pennsylvania

Kenneth J. Weiss, MD

University of Pennsylvania School of Medicine

Philadelphia, Pennsylvania

Philip H. Witt, PhD, ABPP

Associates in Psychological Services, P.A.

Somerville, New Jersey

Gregory I. Young, MS

Northeastern University

Boston, Massachusetts

Part 1

Criminal Matters

Chapter 1

Competence to Stand Trial

Kathleen P. Stafford and Robert L. Sadoff

Introduction

Competence to stand trial has long been recognized as “the most significant mental health inquiry pursued in the system of criminal law” (Stone, 1975, p. 200), reflecting both the prevalence of court-ordered competency evaluations, and the concern regarding trial competence reflected in the body of case law on this subject.

Hoge, Bonnie, Poythress, and Monahan (1992) estimated that pretrial competence evaluations are sought in 2% to 8% of all felony cases. LaFortune and Nicholson (1995) reported that judges and attorneys estimate that competency is a legitimate issue in approximately 5% of criminal cases, although only two-thirds of these defendants whose competency is questionable are actually referred for formal competency evaluations. Stafford and Wygant (2005) found that nearly all defendants referred for competency evaluation by a mental health court in misdemeanor cases were found incompetent to proceed, and remained incompetent after 60 days of hospitalization.

Trial Competence Defined

The Supreme Court of the United States, in Dusky v. U.S. (1960), established the minimal constitutional standard for competency to stand trial as whether the defendant “has sufficient present ability to consult with his lawyer with a reasonable degree of rational understanding—and whether he has a rational as well as factual understanding of the proceedings against him” (p. 789).

In the case of Wieter v. Settle (1961), the Court outlined functional criteria for competence, noting that mental illness does not necessarily mean that a defendant lacks the mental faculties required to stand trial. According to Wieter, defendants should have the mental capacity:

1. To appreciate their presence in relation to time, place, and things.

2. To appreciate that they are in a court of justice, charged with a criminal offense, with a judge on the bench, a prosecutor who will try to convict them of a criminal charge, and a lawyer who will undertake to defend them against that charge.

3. To appreciate that they will be expected to tell their lawyer to the best of their mental ability the circumstances, the facts surrounding them at the time and place where the offense is alleged to have been committed.

4. To appreciate that there is, or will be, a jury present to pass upon evidence adduced as to their guilt or innocence.

5. For memory sufficient to relate those things in their own personal manner. (pp. 321–322)

Basis for Raising the Issue of Competence

In Pate v. Robinson (1966), the Supreme Court of the United States held that a trial judge must raise the issue of competency if either the court's own evidence, or that presented by the prosecution or defense, raises a “bona fide doubt” about the defendant's competency. In Drope v. Missouri (1975), the Court clarified that evidence of the defendant's irrational behavior, demeanor at trial, and any prior medical opinion on competence to stand trial are relevant to determine whether further inquiry is required during the course of the proceedings.

Amnesia and Competence

In Wilson v. U.S. (1968), a federal appellate court upheld the conviction of a man who had sustained head injuries in the course of a high-speed chase by police and was therefore amnesic for the offenses. However, the court remanded the case for more extensive posttrial findings on the issue of whether amnesia deprived the defendant of a fair trial and effective assistance of counsel. Six factors were articulated to assist the trial court in determining whether the fairness and accuracy of the proceedings had been compromised and the conviction should be vacated:

1. The extent to which the amnesia affected the defendant's ability to consult with and assist his lawyer.

2. The extent to which the amnesia affected the defendant's ability to testify in his own behalf.

3. The extent to which the evidence in suit could be extrinsically reconstructed in view of the defendant's amnesia (such evidence would include evidence relating to the crime itself as well as any reasonably possible alibi).