Forensic Mental Health Assessment A Casebook

Forensic mental health assessment (FMHA) continues to develop and expand as a specialization. Since the publication of the First Edition of Forensic Mental Health Assessment: A Casebook over a decade ago, there have been a number of significant changes in the applicable law, ethics, science, and practice that have shaped the conceptual and empirical underpinnings of FMHA.

The Second Edition of Forensic Mental Health Assessment is thoroughly updated in light of the developments and changes in the field, while still keeping the unique structure of presenting cases, detailed reports, and specific teaching points on a wide range of topics. Unlike anything else in the literature, it provides genuine (although disguised) case material, so trainees as well as legal and mental health professionals can review how high-quality forensic evaluation reports are written; it features contributions from leading experts in forensic psychology and psychiatry, providing samples of work in their particular areas of specialization; and it discusses case material in the larger context of broad foundational principles and specific teaching points, making it a valuable resource for teaching, training, and continuing education. Now featuring 50 real-world cases, this new edition covers topics including criminal responsibility, sexual offending risk evaluation, federal sentencing, capital sentencing, capacity to consent to treatment, personal injury, harassment and discrimination, guardianship, juvenile commitment, transfer and decertification, response style, expert testimony, evaluations in a military context, and many more. It will be invaluable for anyone involved in assessments for the courts, including psychologists, psychiatrists, social workers, and attorneys, as well as for FMHA courses.

Kirk Heilbrun, PhD, is Professor, Department of Psychology, Drexel University. His current research focuses on juvenile and adult offenders, legal decision-making, forensic evaluation associated with such decision-making, and diversion. He is the author of a number of articles and books in the area of forensic assessment.

David DeMatteo, JD, PhD, is an Associate Professor of Psychology and Law at Drexel University, where he is also Director of the JD/PhD Program in Law and Psychology. His research interests include psychopathy, forensic mental health assessments, drug policy, and diversion. He has authored several books and numerous articles on forensic mental health assessment and related topics.

Stephanie Brooks Holliday, PhD, a graduate of Drexel University, is a Postdoctoral Fellow with the War Related Illness and Injury Study Center (WRIISC) at the Washington DC VA Medical Center. Her current research interests include adult offenders, risk assessment, interventions for risk reduction, justice-involved veterans, and neuropsychological functioning in veteran populations.

Casey LaDuke, MS, is a doctoral candidate in the Department of Psychology at Drexel University, with concentrations in forensic psychology and clinical neuropsychology. His current interests include forensic mental health assessment, psychopathy, diversion, and the application of clinical neuropsychology in the forensic context.

Preface
About the Editors
Contributors

1 Introduction and Overview

2 Miranda Waiver Capacity

Case 1
Principle: Use nomothetic evidence in assessing clinical condition, functional abilities, and causal connection
case contributed by I. Bruce Frumkin

Teaching Point: What is the value of specialized forensic assessment instruments in forensic mental health assessment
contributed by I. Bruce Frumkin

Case 2
Principle: Use case-specific (idiographic) evidence in assessing clinical condition, functional abilities, and causal connection
case contributed by Alan M. Goldstein

Teaching Point: What are the limits of specialized Forensic Assessment Instruments?
contributed by Alan M. Goldstein

3 Competence to Stand Trial

Case 1
Principle: Use testing when indicated in assessing response style
case contributed by Richard Rogers

Teaching Point: Integrating different sources of response style data
contributed by Kirk Heilbrun, David DeMatteo, Stephanie Brooks Holliday, and Casey LaDuke

Case 2
Principle: Select the most appropriate model to guide in data gathering, interpretation, and communication
case contributed by Patricia A. Zapf

Teaching Point: How can you use a model to structure the way you write the report?
contributed by Patricia A. Zapf

Case 3
Principle: Attribute information to sources
case contributed by Samuel Hawes and Mary Alice Conroy

Teaching Point: Separating and integrating data from different sources through source attribution in analyzing, reasoning about, and communicating FMHA results
contributed by Kirk Heilbrun, David DeMatteo, Stephanie Brooks Holliday, and Casey LaDuke

4 Criminal Responsibility

Case 1
Principle: Be familiar with the relevant legal, ethical, scientific, and practice literatures pertaining to FMHA
case contributed by Robert M. Wettstein

Teaching Point: Sources of particularly relevant information from the literature
contributed by Kirk Heilbrun, David DeMatteo, Stephanie Brooks Holliday, and Casey LaDuke

Case 2
Principle: Attribute information to sources
case contributed by Kathleen Kemp and Daniel Murrie

Teaching Point: Line-by-line versus paragraph-level attribution
contributed by Daniel Murrie

Case 3
Principle: Decline the referral when evaluator impartiality is unlikely
case contributed by Ira K. Packer

Teaching Point: Remaining impartial in high visibility cases
contributed by Kirk Heilbrun, David DeMatteo, Stephanie Brooks Holliday, and Casey LaDuke

5 Sexual Offending Risk Evaluation

Case 1
Principle: Provide appropriate notification of purpose and obtain appropriate authorization before beginning
case contributed by Philip H. Witt

Teaching Point: Obtaining informed consent in Sexually Violent Predator cases
contributed by Kirk Heilbrun, David DeMatteo, Stephanie Brooks Holliday, and Casey LaDuke

6 Federal Sentencing

Case 1
Principle: Describe findings so that they need change little under cross-examination
case contributed by Kirk Heilbrun and Stephanie Brooks Holliday

Teaching Point: Communicating findings to accurately reflect their strength and the evaluator's confidence in them
contributed by Kirk Heilbrun, David DeMatteo, Stephanie Brooks Holliday, and Casey LaDuke

Case 2
Principle: Use scientific reasoning in assessing the causal connection between clinical condition and functional abilities
case contributed by David DeMatteo

Teaching Point: Risk-assessment in sentencing
contributed by Kirk Heilbrun, David DeMatteo, Stephanie Brooks Holliday, and Casey LaDuke

7 Capital Sentencing

Case 1
Principle: Use multiple sources of information for each area being assessed. Review the available background information and actively seek important missing elements
case contributed by Kirk Heilbrun and Jacey Erickson

Teaching Point: How much is enough? Diminishing returns from information sources
contributed by Kirk Heilbrun, David DeMatteo, Stephanie Brooks Holliday, and Casey LaDuke

Case 2
Principle: Obtain relevant historical information
case contributed by Mark Cunningham

Teaching Point: Evaluating the accuracy of different sources of third-party information
contributed by Kirk Heilbrun, David DeMatteo, Stephanie Brooks Holliday, and Casey LaDuke

8 Capital Sentencing, Atkins-type Evaluations

Case 1
Principle: Accept referrals only within area of expertise
case contributed by J. Gregory Olley

Teaching Point: Gauging the training and experience in forensic and mental health areas needed for this kind of evaluation
contributed by Kirk Heilbrun, David DeMatteo, Stephanie Brooks Holliday, and Casey LaDuke

Case 2
Principle: Use relevance and reliability (validity) as guides for seeking information and selecting data sources
case contributed by Karen L. Salekin

Teaching Point: Selecting tools for use in FMHA
contributed by Kirk Heilbrun, David DeMatteo, Stephanie Brooks Holliday, and Casey LaDuke

9 Competence for Execution

Case 1
Principle: Identify relevant forensic issues
case contributed by Patricia A. Zapf

Teaching Point: Identify assessment targets when legal standards are broad or non-specific
contributed by Patricia A. Zapf

10 Capacity to Consent to Treatment

Case 1
Principle: Use third party information in assessing response style
case contributed by David DeMatteo

Teaching Point: Balancing results from interview, testing, and third party sources as they relate to response style
contributed by Kirk Heilbrun, David DeMatteo, Stephanie Brooks Holliday, and Casey LaDuke

Teaching Point: Communicating complex scientific material to legal professionals and lay audiences
contributed by Kirk Heilbrun, David DeMatteo, Stephanie Brooks Holliday, and Casey LaDuke

11 Testamentary Capacity

Case 1
Principle: Determine whether the individual understands the purpose of the evaluation and associated limits on confidentiality
case contributed by Eric Drogin

Teaching Point: Advantages of written versus spoken notification in determining whether the notification is understood
contributed by Kirk Heilbrun, David DeMatteo, Stephanie Brooks Holliday, and Casey LaDuke

12 Personal Injury

Case 1
Principle: Carefully consider whether to answer the ultimate legal question. If answered, it should be in the context of a thorough evaluation clearly describing data and reasoning, and with the clear recognition that this question is in the domain of the legal decision maker
case contributed by Bill Foote

Teaching Point: Answering the ultimate legal question directly
contributed by Kirk Heilbrun, David DeMatteo, Stephanie Brooks Holliday, and Casey LaDuke

Case 2
Principle: Decline the referral when evaluator impartiality is unlikely
case contributed by Alan M. Goldstein

Teaching Point: Declining the case when impartiality would be too difficult
contributed by Alan M. Goldstein

13 Civil Commitment

Case 1
Principle: Use relevance and reliability (validity) as guides for seeking information and selecting data sources
case contributed by Tadeus Edward Kowalski and Douglas Mossman

Teaching Point: The strengths and weaknesses of classification systems
contributed by Kirk Heilbrun, David DeMatteo, Stephanie Brooks Holliday, and Casey LaDuke

14 Harassment and Discrimination

Case 1
Principle: Do not become adversarial, but present and defend your opinions effectively

Principle: Write report in sections, according to model and procedures
case contributed by Bill Foote

Teaching Point: Communicating firmly but fairly
contributed by Kirk Heilbrun, David DeMatteo, Stephanie Brooks Holliday, and Casey LaDuke

Teaching Point: The value of sequential communication of FMHA results
contributed by Kirk Heilbrun, David DeMatteo, Stephanie Brooks Holliday, and Casey LaDuke

15 Workplace Disability

Case 1
Principle: Assess legally relevant behavior
case contributed by Lisa Drago Piechowski

Teaching Point: The relationship between symptoms and disability in capacity to work
contributed by Kirk Heilbrun, David DeMatteo, Stephanie Brooks Holliday, and Casey LaDuke

Case 2
Principle: Assess clinical characteristics in relevant, reliable, and valid ways
case contributed by Robert L. Sadoff

Teaching Point: Useful approaches to assessing clinical characteristics in FMHA
contributed by Kirk Heilbrun, David DeMatteo, Stephanie Brooks Holliday, and Casey LaDuke

16 Guardianship

Case 1
Principle: Be aware of the important differences between clinical and forensic domains

Principle: Be familiar with the relevant legal, ethical, scientific, and practice literatures pertaining to FMHA
case contributed by Randy K. Otto

Teaching Point: Guardianship and the revised Specialty Guidelines for Forensic Psychology
contributed by Randy K. Otto

17 Child Custody

Case 1
Principle: Determine the particular role to be played if the referral is accepted
case contributed by Marsha Hedrick

Teaching Point: Can one ever play more than one role in a single FMHA case?
contributed by Kirk Heilbrun, David DeMatteo, Stephanie Brooks Holliday, and Casey LaDuke

Case 2
Principle: Use multiple sources of information for each area being assessed
case contributed by Jonathan W. Gould

Teaching Point: The role of the forensic clinician in collecting third party information
contributed by Kirk Heilbrun, David DeMatteo, Stephanie Brooks Holliday, and Casey LaDuke

18 Child Protection

Case 1
Principle: Assess legally relevant behavior
case contributed by Jennifer Clark and Karen Budd

Teaching Point: Identifying forensic capacities when the legal standard is vague or unelaborated
contributed by Kirk Heilbrun, David DeMatteo, Stephanie Brooks Holliday, and Casey LaDuke

Case 2
Principle: Be guided by honesty and striving for impartiality, actively disclosing the limitations on as well as the support for one's opinions
case contributed by Kathryn Kuehnle and H. D. Kirkpatrick

Teaching Point: Specific strategies for promoting impartiality in a particular evaluation
contributed by Kirk Heilbrun, David DeMatteo, Stephanie Brooks Holliday, and Casey LaDuke

Teaching Point: Mental health professionals' role in assisting the court in determining the veracity of allegations of child sexual abuse
contributed by Kathryn Kuehnle and H. D. Kirkpatrick

19 Juvenile Miranda Waiver Capacity

Case 1
Principle: Use nomothetic evidence in assessing causal connection between clinical condition and functional abilities
case contributed by I. Bruce Frumkin

Teaching Point: Applying group-based evidence supporting a specialized forensic assessment measure in a single case
contributed by I. Bruce Frumkin

Case 2
Principle: Do not become adversarial, but present and defend your opinions effectively
case contributed by Kirk Heilbrun and Megan Murphy

Teaching Point: Whether and how to criticize material from the records
contributed by Kirk Heilbrun, David DeMatteo, Stephanie Brooks Holliday, and Casey LaDuke

20 Juvenile Competence to Stand Trial

Case 1
Principle: Use relevance and reliability (validity) as guides for seeking information and selecting data sources
case contributed by David DeMatteo

Teaching Point: Selecting a specialized measure on juvenile CST
contributed by Kirk Heilbrun, David DeMatteo, Stephanie Brooks Holliday, and Casey LaDuke

Case 2
Principle: Ensure that conditions for evaluation are quiet, private, and distraction-free
case contributed by Janet I. Warren

Teaching Point: Identifying and implementing strategies for improving inadequate conditions
contributed by Kirk Heilbrun, David DeMatteo, Stephanie Brooks Holliday, and Casey LaDuke

21 Juvenile Commitment

Case 1
Principle: Accept referrals only within area of expertise
case contributed by David DeMatteo and Heidi Strohmaier

Teaching Point: What training and experience in forensic, developmental, and mental health areas are needed for juvenile forensic expertise?
contributed by Dewey G. Cornell

Case 2
Principle: Provide appropriate notification of purpose and obtain appropriate authorization before beginning
case contributed by Kirk Heilbrun and Lindsey Peterson

Teaching Point: Obtaining authorization for evaluating minors who cannot yet legally consent
contributed by Kirk Heilbrun, David DeMatteo, Stephanie Brooks Holliday, and Casey LaDuke

22 Transfer and Decertification

Case 1
Principle: Assess legally relevant behavior
case contributed by Amy L. Wevodau and Mary Alice Conroy

Teaching Point: Translating legal criteria into forensic capacities
contributed by Kirk Heilbrun, David DeMatteo, Stephanie Brooks Holliday, and Casey LaDuke

Case 2
Principle: Use third party information in assessing response style
case contributed by Kirk Heilbrun and Casey LaDuke

Teaching Point: Addressing conflicting information from the interview, testing, and third party sources
contributed by Kirk Heilbrun, David DeMatteo, Stephanie Brooks Holliday, and Casey LaDuke

23 Military

Case 1
Principle: Identify relevant forensic issues
case contributed by Michael Sweda and Samantha M. Benesh

Teaching Point: Forensic issues in this kind of evaluation that is conducted in a military context, and comparability with and distinctions from civilian law
contributed by Kirk Heilbrun, David DeMatteo, Stephanie Brooks Holliday, and Casey LaDuke

Case 2
Principle: Obtain appropriate authorization
case contributed by Paul Montalbano

Teaching Point: How does the evaluator address the question of "severe mental disease or defect?"
contributed by Paul Montalbano

Teaching Point: Obtaining appropriate authorization in military FMHA, and similarities with and differences from civilian parameters
contributed by Paul Montalbano

Case 3
Principle: Use nomothetic evidence of clinical condition, functional abilities, and
causal connection
case contributed by Eric B. Elbogen

Teaching Point: Combining nomothetic data with case-specific idiographic information
contributed by Kirk Heilbrun, David DeMatteo, Stephanie Brooks Holliday, and Casey LaDuke

24 Release Decision-Making

Case 1
Principle: Obtain relevant historical information
case contributed by Chad Brinkley and David Mrad

Teaching Point: Integrating information from hospitalization and pre-hospitalization in release decision-making
contributed by Kirk Heilbrun, David DeMatteo, Stephanie Brooks Holliday, and Casey LaDuke

Case 2
Principle: Use multiple sources of information for each area being assessed
case contributed by Craig R. Lareau

Teaching Point: Using multiple sources for relevant hospitalization and pre-hospitalization information
contributed by Kirk Heilbrun, David DeMatteo, Stephanie Brooks Holliday, and Casey LaDuke

Case 3
Principle: Describe findings and limits so that they need change little under cross-examination
case contributed by Terrance J. Kukor

Teaching Point: Achieving balance and facilitating accuracy in reporting findings
contributed by Kirk Heilbrun, David DeMatteo, Stephanie Brooks Holliday, and Casey LaDuke

25 Threat/Risk Assessment

Case 1
Principle: Identify relevant forensic issues
case contributed by Stephen D. Hart and Kelly A. Watt

Teaching Point: The role of RNR in contemporary threat/risk assessment
contributed by Kirk Heilbrun, David DeMatteo, Stephanie Brooks Holliday, and Casey LaDuke

Case 2
Principle: Ensure that conditions for evaluation are quiet, private, and distraction-free
case contributed by Dewey G. Cornell

Teaching Point: How can threat assessment be distinguished as a form of risk assessment?
contributed by Dewey G. Cornell

Case 3
Principle: Use nomothetic evidence in assessing clinical condition, functional abilities, and causal connection
case contributed by Randy K. Otto and Jay Singh

Teaching Point: Combining nomothetic data with case-specific, idiographic information
contributed by Kirk Heilbrun, David DeMatteo, Stephanie Brooks Holliday, and Casey LaDuke

Teaching Point: How can different approaches to risk assessment be used to inform the evaluation and the case outcome?
contributed by Randy K. Otto

Case 4
Principle: Obtain relevant historical information
case contributed by Joel A. Dvoskin

Teaching Point: When specialized measures cannot be used
contributed by Joel A. Dvoskin

26 Response Style

Case 1
Principle: Use testing when indicated in assessing response style
case contributed by Ashley Kirk Burgett and Richard Frederick

Teaching Point: Assessing malingering of cognitive deficits using testing
contributed by Richard Frederick and Ashley Kirk Burgett

Case 2
Principle: Use third party information in assessing response style
case contributed by Phillip J. Resnick

Teaching Point: Using records and collateral interviews in assessing response style
contributed by Kirk Heilbrun, David DeMatteo, Stephanie Brooks Holliday, and Casey LaDuke

27 Expert Testimony

Commentary throughout contributed by Stanley Brodsky

Case 1
Principle: Communicate effectively

Teaching Point: Moving from "adequate" to "effective" in presenting expert testimony
contributed by Kirk Heilbrun, David DeMatteo, Stephanie Brooks Holliday, and Casey LaDuke

Principle: Base testimony on the results of the properly performed forensic mental health assessment

Teaching Point: Using the report to facilitate expert testimony
contributed by Kirk Heilbrun, David DeMatteo, Stephanie Brooks Holliday, and Casey LaDuke

Principle: Control the message. Strive to obtain, retain, and regain control over the meaning and impact of what is presented in expert testimony

Teaching Point: Strategies for maintaining some control over the message
contributed by Kirk Heilbrun, David DeMatteo, Stephanie Brooks Holliday, and Casey LaDuke

case contributed by Kirk Heilbrun and Jacey Erickson


References

Index