Fundamentals of Forensic Practice: Mental Health and Criminal Law

438 Pages·2005·1.478 MB·English

by  Richard Rogers, Daniel Shuman

ROGERS Fundamentals of
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D A N I E L W. S H U M A N
Fundamentals of
Forensic Practice
Mental Health and
Criminal Law
Fundamentals of
Forensic Practice
Mental Health and
Criminal Law
Richard Rogers, Ph.D., ABPP
UniversityofNorthTexas,Denton,TX
and
Daniel W. Shuman, J.D.
SouthernMethodistUniversity,Dallas,TX
RichardRogers DanielW.Shuman
DepartmentofPsychology SchoolofLaw
UniversityofNorthTexas SouthernMethodistUniversity
Denton,TX76203-1280 Dallas,TX75275
USA USA
[email protected]. [email protected]
LibraryofCongressControlNumber:2005923617
ISBN10:0-387-25226-6 e-ISBN0-38725227-4
ISBN13:978-0387-25226-1
Printedonacid-freepaper.
(cid:1)C 2005SpringerScience+BusinessMedia,Inc.
Allrightsreserved.Thisworkmaynotbetranslatedorcopiedinwholeorinpartwithout
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Contents
SECTIONI FoundationsofPractice ......................... 1
Chapter1: ClinicalandLegalFramework .................... 3
HistoricalPerspectiveonForensicPsychology
andPsychiatry ........................................ 4
ConceptualModelsofForensicPsychologyandPsychiatry ...... 5
ConceptualModelsofAttorneysandMentalHealthIssues ...... 9
ScientificStatusofForensicPsychologyandPsychiatry ......... 10
LegalStatusofForensicPsychologyandPsychiatry ............ 16
LookingForwardattheChaptersandTheirGoals ............. 17
Chapter2: MalingeringandDeceptioninCriminalEvaluations ... 21
FundamentalIssueswithResponseStyles ................... 22
DetectionStrategiesforFeignedPresentations ................ 31
StandardizedAssessmentofMalingering .................... 39
Summary .............................................. 55
Chapter3: TheNatureofExpertsandTheirTestimony .......... 57
TheNatureofExperts .................................... 57
ExpertTestimony ....................................... 68
v
vi CONTENTS
ExpertQualifications .................................... 68
DirectExamination ...................................... 73
AnOverviewofDirectExamination ........................ 76
RedirectExamination .................................... 80
Summary .............................................. 81
SECTIONII SpecificCriminalIssues ........................ 83
Chapter4: ForensicDeterminationsofDiversionandBail ....... 85
RelevantLegalStandards ................................. 86
ClinicalOperationalizationofDiversionandBail
Determinations ....................................... 92
ClinicalMethodsandForensicConsiderations ................ 97
PotentialTrialIssues ..................................... 105
Summary .............................................. 110
Chapter5: MirandaandBeyond:CompetenciesRelatedto
PoliceInvestigations ....................................... 113
RelevantLegalStandards ................................. 115
ClinicalOperationalizationofWaiverDecisions ............... 125
ClinicalMethodsandForensicConsiderations ................ 130
GeneralCross-ExaminationIssues .......................... 146
Summary .............................................. 149
Chapter6: CompetencytoStandTrial ....................... 151
RelevantLegalStandards ................................. 152
ClinicalOperationalizationoftheCompetencyStandard ........ 161
ForensicAssessmentMethods ............................. 168
GeneralCross-ExaminationIssues .......................... 176
Summary .............................................. 180
Chapter7: TheInsanityDefense ............................ 181
RelevantLegalStandards ................................. 182
ClinicalOperationalizationoftheInsanityStandards .......... 193
SpecializedMethodsforAssessingInsanity .................. 205
GeneralCross-ExaminationIssues .......................... 207
Summary .............................................. 214
Chapter8: BeyondInsanity:OtherIssuesofCriminal
Responsibility ............................................ 215
RelevantLegalStandards ................................. 216
ClinicalOperationalizationofCriminalCulpabilityStandards ... 229
CONTENTS vii
ClinicalMethodsRelevanttoAssessmentsofCriminal
Responsibility ........................................ 238
Summary .............................................. 258
Chapter9: SentencingRecommendationsandCapitalIssues ..... 259
RelevantLegalStandards ................................. 261
OverviewofClinicalMethodsandSentencingDeterminations ... 269
ClinicalApplicationstoNoncapitalCases .................... 270
ClinicalApplicationstoCapitalCases ....................... 282
GeneralCross-ExaminationIssuesinNon-CapitalSentencing ... 295
TrialStrategiesandCross-ExaminationIssuesinCapital
Sentencing ........................................... 299
Summary .............................................. 308
Chapter10: CompetencytoBeExecutedandOtherPost-Conviction
ReliefIssues ............................................. 311
RelevantLegalStandards ................................. 312
ClinicalandForensicApplicationstoCompetency
toBeExecuted ........................................ 320
ClinicalandForensicApplicationstoCompetencetoWaive
Appeals ............................................. 325
GeneralCross-ExaminationIssues .......................... 329
Summary .............................................. 333
Chapter11: SexualPredatorDeterminations .................. 335
RelevantLegalStandards ................................. 336
ClinicalOperationalizationandForensicMethodsforSVP
Determinations ....................................... 342
GeneralCross-ExaminationIssues .......................... 352
Summary .............................................. 364
Chapter12: Integration:ThemesinCriminalForensicPractice .... 367
ScienceandSkillinClinicalForensicPractice ................. 367
ForensicPredictionsandClassifications ..................... 377
ScrutinyandSkepticismasWatchwordsforCriminal
Attorneys ............................................ 382
TheInterdependenceofLawandForensicPractice ............ 385
ConcludingRemarks .................................... 386
AppendixA:TheAccuracyofDSMIndicesofMalingering∗ ...... 389
∗
Specificallyforuseascourtexhibits,copiesofAppendicesAthroughIarepermittedforthis
explicitpurpose.
viii CONTENTS
AppendixB:SystematicReviewofStandardizedMeasuresfor
FeignedMentalDisordersandTheirDetectionStrategies∗ ........ 391
AppendixC:SystematicReviewofStandardizedMeasuresfor
FeignedCognitiveImpairmentandTheirDetectionStrategies∗ .... 393
AppendixD:MMPI-2Meta-AnalysisandFeignedMental
Disorders:ASummaryofRogersetal.(2003)∗ .................. 395
AppendixE:UltimateOpinions:BansandQuestionable
Practices∗ ............................................... 397
Appendix F: Summary of the Grisso’s (1998) Miranda Instruments
forUsewithAdultOffenders∗ .............................. 399
AppendixG:TheMMPI-2andInsanityEvaluations:ADescriptive
Analysis∗ ............................................... 401
AppendixH:AnalysisofRiskAssessmentMeasures:AreThey
RelevanttoSexuallyViolentPredator(SVP)Standards?∗ ......... 403
AppendixI:StandardsforDiagnosesinForensicPractice:
AComparisonofUnstandardized,Standardized,and
ExtrapolatedDiagnoses∗ ................................... 405
References ............................................... 407
NameIndex ............................................. 435
SubjectIndex ............................................ 439
∗
Specificallyforuseascourtexhibits,copiesofAppendicesAthroughIarepermittedforthis
explicitpurpose.
I
Foundations of Practice
1
Clinical and Legal Framework
Mental health and legal professionals face formidable challenges in ap-
plyingtheirknowledgeandexpertisetothecriminaljusticesystem.This
bookaddressespsycholegalissuesfrombothlaw(e.g.,statutes,caselaw,
andlegaltheory)andclinical-forensic(e.g.,empiricallybasedknowledge
andspecializedmethods)perspectives.Withinthecriminaljusticesystem,
it considers the major legal, empirical, and forensic issues found in the
law–mentalhealthinterface.
Psycholegal issues arise at each major phase (i.e., pretrial, trial, sen-
tencing, and postconviction) of the criminal trial process. Pretrial issues
include (1) the initial processing of defendants, such as their diversion
from the criminal justice system; (2) psychological factors affecting the
determination of bail; and (3) competencies as they relate to Miranda
warningsandwarrantlesssearches.Trialissuesaddressseveralpsychole-
galstandardsmostfamiliartoforensicclinicians,specificallycompetency
to stand trial and insanity. Less common issues involve other matters of
criminalresponsibility,suchasmensreaandguilty-but-mentallyill.Sen-
tencing issues consider both noncapital and capital domains. In noncapi-
talcases,sentencingexaminespsychologicalissuesastheyrelatetoreha-
bilitationandincapacitation.Incapitalcases,aggravatingandmitigating
3