Principles of Forensic Mental Health Assessment

Transcription

1 Principles of Forensic Mental Health Assessment

2 Perspectives in Law & Psychology Sponsored by the American Psychology-Law Society / Division 41 of the American Psychological Association Series Editor: RONALD ROESCH, Simon Fraser University Burnaby, British Columbia, Canada Editorial Board: MARY DURHAM, JANE GOODMAN-DELAHUNTY, THOMAS GRISSO, STEPHEN D. HART, MARSHA LISS, EDWARD P. MULVEY, JAMES R. P. OGLOFF, NORMAN G. POYTHRESS, JR., DON READ, AND REGINA SCHULLER Volume 1 Volume 2 Volume 3 Volume 4 Volume 5 Volume 6 Volume 7 Volume 8 Volume 9 Volume 10 Volume 11 Volume 12 THE CRIMINAL JUSTICE SYSTEM Edited by Bruce Dennis Sales THE TRIAL PROCESS Edited by Bruce Dennis Sales JUVENILES' WAIVER OF RIGHTS Legal and Psychological Complications Thomas Grisso MENTAL HEALTH LAW Major Issues David B. Wexler HANDBOOK OF SCALES FOR RESEARCH IN CRIME AND DELINQUENCY Stanley L. Brodsky and H. O' Neal Smitherman MENTALLY DISORDERED OFFENDERS Perspectives from Law and Social Science Edited by John Monahan and Henry J. Steadman EVALUATING COMPETENCIES Forensic Assessments and Instruments Thomas Grisso INSANITY ON TRIAL Norman J. Finkel AFTER THE CRIME Victim Decision Making Martin S. Greenberg and R. Barry Ruback PSYCHOLOGY AND LAW The State of the Discipline Edited by Ronald Roesch, Stephen D. Hart, and James R. P. Ogloff JUDICIAL DECISION MAKING Is Psychology Relevant? Lawrence S. Wrightsman PRINCIPLES OF FORENSIC MENTAL HEALTH ASSESSMENT Kirk Heilbrun

3 Principles of Forensic Mental Health Assessment Kirk Heilbrun MCP Hahnemann University Philadelphia, Pennsylvania and Villanova University Philadelphia, Pennsylvania KLUWER ACADEMIC PUBLISHERS NEW YORK, BOSTON, DORDRECHT, LONDON, MOSCOW

4 ebook ISBN: Print ISBN: Kluwer Academic Publishers New York, Boston, Dordrecht, London, Moscow Print 2001 Kluwer Academic/Plenum Publishers New York All rights reserved No part of this ebook may be reproduced or transmitted in any form or by any means, electronic, mechanical, recording, or otherwise, without written consent from the Publisher Created in the United States of America Visit Kluwer Online at: and Kluwer's ebookstore at:

5 To Patty and Anna

6 Preface Most of the literature in forensic mental health assessment is organized around the particular legal issue that is the focus of a given assessment, tool, or research study. This book starts with a different assumption: There are broad principles of forensic assessment that are applicable across different legal issues. If such principles exist, they should be derived from and supported by sources of authority in ethics, law, science, and professional practice. This is what I seek to do in this book, with each of the 29 broad principles of forensic mental health assessment described and analyzed from the perspective of these sources of authority. There are a number of individuals who have contributed in various ways to making this a better book. It seems best to begin with a general acknowledgment: Those interested in forensic mental health assessment, particularly my colleagues from the American Psychology Law Society and the American Board of Forensic Psychology, have been an extraordinarily helpful and congenial group. I have learned a great deal from them over the years and they challenged me to undertake the daunting task of trying to capture the broad views of the field in this book. I grew up in a home in which books, ideas, and achievement were valued and interspersed with love and humor. Thanks to my parents, Alfred and Marian Heilbrun, for providing such a home for my sisters, brother, and me. Special thanks to my wife Patty, and our daughter Anna; this book is dedicated to you. I first began thinking about principles of forensic mental health assessment during my postdoctoral fellowship year under Ned Megargee. He taught me valuable organizing skills that year and showed me how to apply the highest standards to research and scholarship in criminal justice. My "inpatient forensic" years were mainly spent at the Forensic Service at Florida State Hospital in Chattahoochee, where Stewart Parsons and Sam Cunningham allowed me to learn so much, and have so much fun, that I am surprised I ever left. I am grateful to both of you. vii

7 viii PREFACE At one time, there was discussion about making this a book with three authors. Although I did not eventually collaborate with Stan Brodsky and Norm Poythress in writing this volume, it is hard to imagine how two colleagues could have been more helpful in shaping many of the ideas that went into describing principles of forensic mental health assessment. Thanks to you both. Work on the book began in earnest after our move to Virginia. John Monahan, Richard Bonnie, Gary Hawk, Janet Warren, Larry Fitch, Randy Thomas, and Russ Petrella were among those who contributed to making those years incredibly stimulating for me. Each contributed in valuable ways to an environment in which forensic mental health assessment was accorded the highest standards possible. In a similar way, a number of my colleagues from around the United States and Canada have been particularly helpful with concepts, standards, analysis, and providing good models as scientist-practitioners. Steve Golding, Randy Otto, Joel Dvoskin, Ira Packer, Randy Borum, Jim Ogloff, Steve Hart, Dick Rogers, and Stuart Greenberg particularly come to mind; thanks to each of you. In addition to helping in similar ways, Alan Goldstein has for years directed a superb continuing education program for the American Academy of Forensic Psychology. The workshops I have presented for AAFP over the years have forced me to organize and communicate many of these ideas in a (hopefully) more coherent way, and I appreciate the chance to do so. My association with the Law Psychology program at MCP Hahnemann University and Villanova School of Law, directed by Don Bersoff, has provided an invaluable opportunity to improve the conceptual and legal components of this book. Don has been a good friend and colleague during the time I have spent as codirector of the program. Several law psychology students (David DeMatteo, Geff Marczyk, Lori Peters, and Kim Picarello) provided tireless research assistance, for which I am very grateful. Other legal and scholarly help was provided by the works of Chris Slobogin, John Petrila, and Michael Perlin. In addition, Perlin graciously agreed to review the manuscript while in town to speak at Villanova (and did so in typically Perlin-esque fashion, giving an amazingly detailed review and subsequent suggestions that took six months to implement). Ron Roesch reviewed the manuscript at a time when it needed a push; as always, Ron provided superb help in his low-key, extraordinarily effective way. The most resounding "thank you" goes to Tom Grisso. He served as the editor for this book long after his tenure as editor for the AP-LS book series ended, and for that I am very grateful. I am even more grateful for his time, energy, substantive contributions, and insistence on adherence to the highest possible standards. His contributions to this book have been enormous. Thanks, Tom.

8 Contents I. INTRODUCTION CHAPTER 1. DEVELOPING PRINCIPLES OF FORENSIC MENTAL HEALTH ASSESSMENT Forensic versus Therapeutic Assessment A Structure for Organizing Principles of FMHA Deriving and Analyzing Principles II. PREPARATION CHAPTER 2. FIRST CONTACTS Identify Relevant Forensic Issues Accept Referrals Only within Area of Expertise Decline Referral When Evaluator Impartiality Is Unlikely Clarify Role with Attorney Clarify Financial Arrangements Obtain Appropriate Authorization CHAPTER 3. DEFINING THE EVALUATOR'S ROLE Avoid Dual-Role Relationships of Therapist and Forensic Evaluator 65 Determine the Role to Be Played within Forensic Assessment if the Referral Is Accepted 73 CHAPTER 4. USING A MODEL Select and Employ a Model to Guide Data Gathering, Interpretation, and Communication 84 ix

9 x CONTENTS III. DATA COLLECTION CHAPTER 5. SELECTION Use Multiple Sources of Information for Each Area Being Assessed Use Relevance and Reliability (Validity) as Guides for Seeking Information and Selecting Data Sources Obtain Relevant Historical Information Assess Relevant Clinical Characteristics in Reliable and Valid Ways Assess Legally Relevant Behavior CHAPTER 6. ADMINISTRATION Ensure that Conditions for Evaluation Are Quiet, Private, and Distraction-Free Provide Appropriate Notification of Purpose and/or Obtain Appropriate Authorization before Beginning Determine Whether the Individual Understands the Purpose of the Evaluation and Associated Limits on Confidentiality IV. DATA INTERPRETATION CHAPTER 7. ASSESSING RESPONSE STYLE Use Third-Party Information in Assessing Response Style Use Testing When Indicated in Assessing Response Style CHAPTER 8. INCORPORATING SCIENTIFIC REASONING AND DATA Use Case-Specific (Idiographic) Evidence in Assessing Causal Connection between Clinical Condition and Functional Abilities Use Nomothetic Evidence in Assessing Causal Connection between Clinical Condition and Functional Abilities Use Scientific Reasoning in Assessing Causal Connection between Clinical Condition and Functional Abilities CHAPTER 9. MAKING ASSERTIONS AND CLARIFYING LIMITS Do Not Answer the Ultimate Legal Question Directly Describe Findings and Limits so that They Need Change Little under Cross Examination

10 CONTENTS xi V. COMMUNICATION CHAPTER 10. COMMUNICATING CLEARLY Attribute Information to Sources Use Plain Language; Avoid Technical Jargon Write Report in Sections, According to Model and Procedures CHAPTER 11. TESTIFYING EFFECTIVELY Base Testimony on Results of Properly Performed FMHA Testify in an Effective Manner VI. APPLYING THE PRINCIPLES OF FORENSIC MENTAL HEALTH ASSESSMENT CHAPTER 12. IMPLICATIONS FOR RESEARCH, TRAINING, PRACTICE, AND POLICY Implications for Research Implications for Training Implications for Practice Implications for Policy REFERENCES CASES INDEX