Competency

1
Competency ConfessionsNinth Judicial Circuit
Office of the Public DefenderOrlando, FL
December 5, 2005

• Gregory DeClue, Ph.D., ABPP
• Sarasota, FL
• gregdeclue_at_mailmt.com
• 941-951-6674

2
Agenda100-115 Introduction to Mentally Ill
Defendants Competency115-130 Minimal
Requirements U.S. Supreme Court130-145
Competence to Proceed145-200 Competence to
Waive the Right to Counsel200-215 Competence
to Forgo an Insanity Defense215-245 Confession
Issues245-300 General Discussion
3
I. Competence
4
The law seeks to implement a basic premise that
only the acts of an autonomous individual are to
be recognized by society. In doing so, the law
seeks to reaffirm the integrity of the individual
as well as the interests of society at large
(MPPS, p. 119)
5
MPPS Melton, Petrila, Poythress, and Slobogin
(1997). Psychological Evaluations for the Courts.
New York Guilford.
6
Key competency question Is there some kind of
incapacity to develop a defense with an attorney
that is the result of a mental illness?
7
When the defendant appears to have mental health
problems, there are

• Legal issues
• Psychological issues

8
Legal Issues

• Is he competent to proceed?
• Is he competent to decide to waive counsel and
  proceed pro se?
• Is he competent to decide to forgo an insanity
  defense?

9
Psychological issues

• Is he mentally ill?
• Is he mentally retarded?

10
some definitions
11
Incompetent to proceed

• F.S. 906.106(9)  "Incompetent to proceed" means
  unable to proceed at any material stage of a
  criminal proceeding, which shall include trial of
  the case, pretrial hearings involving questions
  of fact on which the defendant might be expected
  to testify, entry of a plea, proceedings for
  violation of probation or violation of community
  control, sentencing, and hearings on issues
  regarding a defendant's failure to comply with
  court orders or conditions or other matters in
  which the mental competence of the defendant is
  necessary for a just resolution of the issues
  being considered.

12
Note that competence is a legal issue. There is
no psychological or psychiatric diagnosis of
incompetent.
13
Psychologists can assist courts in deciding

• Presence or absence of functional impairments
• Presence or absence of mental illness and/or
  mental retardation
• Response style (e.g., malingering)
• Type of mental illness
• Severity of symptoms
• Prognosis

14
Mental illness

• F.S. 906.106(11)  "Mental illness" means an
  impairment of the emotional processes that
  exercise conscious control of one's actions, or
  of the ability to perceive or understand reality,
  which impairment substantially interferes with a
  defendant's ability to meet the ordinary demands
  of living. For the purposes of this chapter, the
  term does not apply to defendants who are solely
  retarded or autistic, and does not include
  intoxication or conditions manifested only by
  antisocial behavior or substance abuse
  impairment.

15
(Mental) Retardation

• (12)  "Retardation" means significantly
  subaverage general intellectual functioning
  existing concurrently with deficits in adaptive
  behavior and manifested during the period from
  conception to age 18. "Significantly subaverage
  general intellectual functioning," for the
  purpose of this definition, means performance
  which is two or more standard deviations from the
  mean score on a standardized intelligence test
  specified in the rules of the department.
  "Adaptive behavior," for the purpose of this
  definition, means the effectiveness or degree
  with which an individual meets the standards of
  personal independence and social responsibility
  expected of the individual's age, cultural group,
  and community.

16
Note that in legal proceedings the question of
whether or not someone is mentally ill or
mentally retarded is a legal question.
17
DSM-IV-TR (the current diagnostic manual)
includes diagnoses for the following mental
disorders

• 305.1 Nicotine dependence
• 780.59 Breathing related sleep disorder
• 307.47 Nightmare disorder
• 300.7 Hypochondriasis
• 302.75 Premature ejaculation
• 625.8 Female hypoactive sexual desire disorder
  due to unattractive spouse

18
916.12  Mental competence to proceed.(1)  A
defendant is incompetent to proceed within the
meaning of this chapter if the defendant does not
have sufficient present ability to consult with
her or his lawyer with a reasonable degree of
rational understanding or if the defendant has no
rational, as well as factual, understanding of
the proceedings against her or him.
19
Dusky v. United States, 362 U.S. 402 (1960)
20
Two prongs

• The defendants capacity to understand the
  criminal process, including the role of the
  participants in that process, and
• The defendants ability to function in that
  process, primarily through consulting with
  counsel in the preparation of a defense.

21
Competency to proceed focuses on the defendants
present ability to consult with counsel and to
understand the proceedings.
22
The competency question is about the defendants
capacity as opposed to willingness or knowledge.
23
A reasonable degree of rational understanding is
required.
24
The competency standard emphasizes cognitive
functioning. The presence of mental illness is
relevant only insofar as that illness affects
ones rational and factual understanding as one
consults with counsel and undergoes trial.
25
916.12(2)  An expert shall first determine
whether the person is mentally ill and, if so,
consider the factors related to the issue of
whether the defendant meets the criteria for
competence to proceed that is, whether the
defendant has sufficient present ability to
consult with counsel with a reasonable degree of
rational understanding and whether the defendant
has a rational, as well as factual, understanding
of the pending proceedings.
26
916.12(2)   A defendant must be evaluated by no
fewer than two experts before the court commits
the defendant or takes other action authorized by
this chapter or the Florida Rules of Criminal
Procedure
27
916.12(2)   except if one expert finds that the
defendant is incompetent to proceed and the
parties stipulate to that finding, the court may
commit the defendant or take other action
authorized by this chapter or the rules without
further evaluation or hearing, or the court may
appoint no more than two additional experts to
evaluate the defendant.
28
916.12(2)   Notwithstanding any stipulation by
the state and the defendant, the court may
require a hearing with testimony from the expert
or experts before ordering the commitment of a
defendant.
29
Recommendation to defense attorneys

• Do not stipulate to the findings of one
  psychological expert who says that your client is
  incompetent and should be committed.

30
916.12(3)  In considering the issue of competence
to proceed, an examining expert shall first
consider and specifically include in his or her
report the defendant's capacity to
(a)  Appreciate the charges or allegations
against the defendant (b)  Appreciate the range
and nature of possible penalties, if applicable,
that may be imposed in the proceedings against
the defendant (c)  Understand the adversarial
nature of the legal process
31
Those first three criteria concern the
defendants ability to understand the legal
process.
32
The next three criteria concern the defendants
ability to function in the legal process.
33
916.12(3) (d)  Disclose to counsel facts
pertinent to the proceedings at issue
(e)  Manifest appropriate courtroom behavior
and (f)  Testify relevantly and include in
his or her report any other factor deemed
relevant by the expert.
34
Some suggested relevant other factors

• Capacity to relate to ones attorney
• Capacity to weigh the advantages and
  disadvantages of a guilty plea and make a
  reasonable decision about whether to make such a
  plea
• Capacity to weigh the advantages and
  disadvantages of an ngri (not guilty by reason of
  insanity) plea and make a reasonable decision
  about whether to make such a plea

35
More than 90

• Percentage of criminal convictions resolved
  through a guilty plea rather than trial

36
Decisional competence

• An intelligent plea of guilty (or no contest)
  requires not only understanding of the legal
  process and the ability to communicate
  information (the core of competency to stand
  trial) but also the capacity to make a decision
  in light of that understanding.

37
Decisional competence

• An intelligent decision about whether to forgo a
  possibly viable insanity defense requires not
  only understanding of the legal process and the
  ability to communicate information (the core of
  competency to stand trial) but also the capacity
  to make a decision in light of that understanding.

38
Recommendations to defense attorneys

• Address competency and sanity separately
• Demand separate reports for competency and sanity
• Do not attempt to resolve the question of sanity
  while the defendants competency is in question

39

• 916.12 (4)  If an expert finds that the defendant
  is incompetent to proceed, the expert shall
  report on any recommended treatment for the
  defendant to attain competence to proceed. In
  considering the issues relating to treatment, the
  examining expert shall specifically report on
• (a)  The mental illness causing the incompetence
  

40

• 916.12 (4) (b)  The treatment or treatments
  appropriate for the mental illness of the
  defendant and an explanation of each of the
  possible treatment alternatives in order of
  choices
• (c)  The availability of acceptable treatment
  and, if treatment is available in the community,
  the expert shall so state in the report and
• (d)  The likelihood of the defendant's attaining
  competence under the treatment recommended, an
  assessment of the probable duration of the
  treatment required to restore competence, and the
  probability that the defendant will attain
  competence to proceed in the foreseeable future.

41

• 916.12(5)  A defendant who, because of
  psychotropic medication, is able to understand
  the nature of proceedings and assist in the
  defendant's own defense shall not automatically
  be deemed incompetent to proceed simply because
  the defendant's satisfactory mental functioning
  is dependent upon such medication. As used in
  this subsection, "psychotropic medication" means
  any drug or compound used to treat mental or
  emotional disorders affecting the mind, behavior,
  intellectual functions, perception, moods, or
  emotions and includes antipsychotic,
  antidepressant, antimanic, and antianxiety drugs.

42
916.13  Involuntary commitment of defendant
adjudicated incompetent.-- (1)  Every defendant
who is charged with a felony and who is
adjudicated incompetent to proceed, pursuant to
the applicable Florida Rules of Criminal
Procedure, may be involuntarily committed for
treatment upon a finding by the court of clear
and convincing evidence that (a)  The defendant
is mentally ill and because of the mental
illness
43
916.13(1)(a) 1.  The defendant is manifestly
incapable of surviving alone or with the help of
willing and responsible family or friends,
including available alternative services, and,
without treatment, the defendant is likely to
suffer from neglect or refuse to care for herself
or himself and such neglect or refusal poses a
real and present threat of substantial harm to
the defendant's well-being and 2.  There is a
substantial likelihood that in the near future
the defendant will inflict serious bodily harm on
herself or himself or another person, as
evidenced by recent behavior causing, attempting,
or threatening such harm
44
916.13(1) (b)  All available, less restrictive
treatment alternatives, including treatment in
community residential facilities or community
inpatient or outpatient settings, which would
offer an opportunity for improvement of the
defendant's condition have been judged to be
inappropriate and (c)  There is a substantial
probability that the mental illness causing the
defendant's incompetence will respond to
treatment and the defendant will regain
competency to proceed in the reasonably
foreseeable future.
45
916.13(2)  A defendant who has been charged with
a felony and who has been adjudicated incompetent
to proceed, and who meets the criteria for
commitment to the department under the provisions
of this chapter, may be committed to the
department, and the department shall retain and
treat the defendant.
46
916.13(2)   No later than 6 months after the
date of admission or at the end of any period of
extended commitment, or at any time the
administrator or designee shall have determined
that the defendant has regained competency to
proceed or no longer meets the criteria for
continued commitment, the administrator or
designee shall file a report with the court
pursuant to the applicable Florida Rules of
Criminal Procedure.
47
916.145  Adjudication of incompetency due to
mental illness dismissal of charges.--The
charges against any defendant adjudicated
incompetent to proceed due to the defendant's
mental illness shall be dismissed without
prejudice to the state if the defendant remains
incompetent to proceed 5 years after such
determination, unless the court in its order
specifies its reasons for believing that the
defendant will become competent to proceed within
the foreseeable future and specifies the time
within which the defendant is expected to become
competent to proceed. The charges against the
defendant are dismissed without prejudice to the
state to refile the charges should the defendant
be declared competent to proceed in the future.
48
916.17  Conditional release.-- (1)  The
committing court may order a conditional release
of any defendant who has been found to be
incompetent to proceed or not guilty by reason of
insanity, based on an approved plan for providing
appropriate outpatient care and treatment. The
committing court may order a conditional release
of any defendant in lieu of an involuntary
commitment to a facility pursuant to s. 916.13 or
s. 916.15.
49
PART III FORENSIC SERVICES FOR PERSONS WHO ARE
RETARDED OR AUTISTIC
50
916.301  Appointment of experts. (2)  If a
defendant's suspected mental condition is
retardation or autism, the court shall appoint
two experts, one of whom must be the
developmental services program of the department,
each of whom will evaluate whether the defendant
meets the definition of retardation or autism
and, if so, whether the defendant is competent to
proceed.
51
Key point

• There are different procedures for investigating
  whether a person meets criteria for mental
  illness or mental retardation/autism.

52
Components of a competent assessment of competence

• 1) Notification
• 2) Social History
• 3) Legal Experience
• 4) Ability to relate relevant facts
• 5) Assessment of functional abilities for
  competence

53
Some research findings regarding competency to
proceed
54
10 15

• Percent of clients about whom defense lawyers
  have concerns about competency

55
Disorganized speech

• Best predictor of attorneys decisions to request
  competency examination

56
30

• Percent of defendants who are referred for
  competency evaluations who are found to be
  incompetent
• average across studies

57
10

• Percent of defendants who are referred for
  competency evaluations who are found to be
  incompetent when more valid evaluation standards
  are applied

58
Common characteristics of incompetent defendants

• History of mental illness
• History of hospitalization for mental illness
• Little education
• Few useful job skills
• Low IQ
• Psychotic
• Depressed

59
A two-stage model for competency assessment

• Stage 1 screening assessment using a structured
  forensic assessment instrument
• Stage 2 more comprehensive assessment of those
  subjects who may have competency deficits

60
Some competency assessment instruments

• Fitness Interview Test (FIT)
• MacArthur Competence Assessment Tool Criminal
  Adjudication (MacCAT-CA)
• Competence Assessment for Standing Trial for
  Defendants with Mental Retardation (CAST-MR)
• Evaluation of Competency to Stand Trial -Revised
  (ECST-R)

61
DeClue, G. (2003). Toward a two-stage model for
assessing adjudicative competence. Journal of
Psychiatry Law, 31, 305-317.

• http//gregdeclue.myakkatech.com

62
INTERROGATIONS AND DISPUTED CONFESSIONS A
MANUAL FOR FORENSIC PSYCHOLOGICAL
PRACTICEGregory DeClue, Ph.D., ABPP

• gregdeclue_at_mailmt.comhttp//gregdeclue.myakkatech
  .com/ Professional Resource Presshttp//www.prp
  ress.com/

63
Part 1 False Confessions Nutshell Chapter 1
Introduction
64
Nutshell Some people falsely confess to some
crimes some times. Some of those people begin by
denying guilt, then during police interrogation
say, I did it, then afterwards say, No, I
didnt.
65
U. S. courts provide two opportunities to
challenge disputed confessions. At a suppression
hearing the defense can present evidence
challenging the voluntariness of the confession
and/or whether the defendant gave a knowing,
intelligent, and voluntary waiver of his
Constitutional rights prior to interrogation.
66
At trial the defense can present evidence
challenging the accuracy of the confession.
67
At both stages psychologists are called upon to
present expert testimony, either at the request
of the defense or the prosecution.
68
Chapter 1 IntroductionDNA profiling can
identify the guilty and exonerate the innocent
69
It was 9am, Monday September 15, 1984 when Sir
Alec Jeffreys removed some X-ray film from the
developing tank and experienced a rare moment in
science, an absolute eureka.
70
Wed been looking for good genetic markers for
basic genetic analysis and had stumbled on a way
of establishing a humans genetic identification.
By the afternoon wed named our discovery DNA
fingerprinting.
71
He used DNA profiling to establish the identity
of a man who raped and killed two 15-year-old
girls, three years apart, near the village of
Narborough, in England.
72
The police collected blood from all the adult
males in and around Narborough and Jeffreys
successfully identified the culprit. Colin
Pitchfork became the first criminal ever
apprehended on the basis of DNA profiling
73
When the local police contacted Jeffreys to
consult on the Narborough case, they had already
arrested a 17-year-old kitchen assistant who had
a record of minor sex offenses.
74
During their interrogation of him he confessed to
one of the murders, but not the other.
75
Jeffreys analysis showed that the same man had
committed both rapes, but it was not the man who
had confessed.
76
The police subsequently dropped the case against
that man, says Sir Alec, and he became the
first person ever proven innocent by DNA
analysis. If we hadnt developed the technology,
Im confident he would have been gaoled jailed
for life.
77
In 1996, the FBI reported that in sexual assault
cases in which DNA results could be obtained, the
DNA evidence exonerated the primary suspect in
25 of the cases.
78
These days, the use of DNA profiling sees 30 per
cent of accused in British rape cases exonerated.
79
Some innocent people confess to crimes
80
Although DNA testing can allow some falsely
accused and some falsely convicted people to
prove their innocence, in some cases there is no
biological evidence to test.
81
It is therefore critical to study cases where
innocent people have been convicted and to
identify what errors led to the wrongful
convictions, so that the risk of such errors can
be minimized in the future.
82
Bedau and colleagues have analyzed 416 cases of
wrongful conviction of capital or potentially
capital crimes in the United States in the 20th
century. Of the 350 cases reported in the 1987
paper, 40 were sentenced to death.
83
These miscarriages of justice were caused by a
number of different errors, often in combination,
with the most common errors being perjury by
prosecution witnesses and mistaken eyewitness
testimony.
84
Of the 350 cases reported in the 1987paper, 49
(14) involved false confessions. Although a few
of those were voluntary false confessions, most
were the result of rigorous interrogation by the
police.
85
When DNA evidence reveals wrongful convictions,
in how many cases has an innocent person
confessed? Scheck, Neufeld, and Dwyer (2000)
found the answer to be nearly one in four (15 of
62 cases).
86
In U.S. law there are mechanisms designed to
reduce the risk of false confessions occurring,
and to increase the chance that a false
confession will be identified as such.
Psychologists can assist the courts in both of
those tasks.
87
Part 2 ImplicationsChapter 2 The Causes of
Police-Induced False Confessions?Why do
Suspects Confess?
88
Self-incriminating admissions or confessions lead
to serious negative consequences, commonly
including adverse effects to self-esteem and
integrity, loss of freedom and liberty, and
possible financial penalties.
89
Police interrogation can be construed as a
process of at least temporarily overcoming
whatever factors inhibit a suspect from
confessing.
90
The following factors are expected to occur
frequently fear of legal sanctions, concern
about ones reputation, not wanting to admit to
oneself what one has done, not wanting ones
family and friends to know about the crime, and
fear of retaliation.
91
Nevertheless, the percentage of suspects who
confess during police interrogation is
substantial, ranging from under 40 to over 70
in various studies.
92
Gudjonsson The suspects behavior during the
interrogation is likely to be more influenced by
their perceptions, interpretations, and
assumptions about what is happening than by the
actual behavior of the police.
93
When the suspect perceives the evidence against
him as being strong he is more likely to confess,
believing that there is no point in denying the
offense.
94
Consider a decision faced by criminal defendants
at a later stage in the judicial process whether
to plead out or go to trial.
95
In making that decision, the defendant typically
has guidance from his attorney, as well as
friends and family, and has the luxury of time to
weigh his options.
96
There is considerable opportunity to gain
accurate information about the strength of the
case against him, often including detailed
depositions of prospective witnesses and
authentication of any physical evidence.
97
The prosecutor has an ethical responsibility to
provide exculpatory as well as inculpatory
evidence to the defense.
98
If the defendant chooses to enter a plea of
guilty or no contest, the judge will engage him
in a colloquy to insure that he understands the
rights he is forgoing and that he is competent to
waive the rights and enter a plea.
99
If there is doubt about his competence to
proceed, that must be explored, which typically
involves, at minimum, one psychological or
psychiatric evaluation relevant to his
understanding about the charges and his
decision-making ability.
100
It is estimated that over 90 of criminal cases
are resolved via plea bargaining rather than
trial. In at least some jurisdictions, a
defendant has the right to enter a best
interests plea.
101
The safeguards afforded a criminal defendant are
designed to insure that he is both capable of,
and actually performing, a rational act as he
pleads guilty (or no contest).
102
In contrast, interrogation procedures are
designed to encourage rational people to make
decisions that no rational person would make
outside of the context of the influence of modern
police interrogation.
103
During the shift from denial to admission, police
use one set of tactics to alter the suspects
perception of his immediate situation, and
another set of tactics to communicate information
to the subject about incentives to confess and
disincentives for continued denial.
104
The process of interrogation produces confession
because it results in the suspect being convinced
either that he has been caught (if he is guilty)
or that his situation is hopeless (if he is
innocent), that further denial is pointless, and
that it is in his self-interest to confess.
105
For both innocent and guilty suspects,
confessing is something neither would have chosen
to do prior to the start of the interrogation and
something each would have predicted he would have
resisted to his last breath (Ofshe Leo, 1997,
p. 194).
106
Post-admission Narrative
107
Social scientists who have analyzed
interrogations report that there are no reliable,
observable differences between interrogations
yielding true or false confessions until after
the I did it statement.
108
Therefore, police interrogation should never end
at the point when the police believe the suspect
has made admissions allowing him to be charged
with the most serious offense possible.
109
In the next step, the post-admission narrative,
interrogators elicit detailed descriptions of
events. If the suspect provides accurate details
showing special knowledge of the details of the
crime, then the confession can be judged as
reliable.
110
If the suspects post-admission narrative does
not match the facts of the case, the reliability
of the confession is in doubt.
111
There are at least three ways to determine the
reliability of the confession1. Does the
confession statement lead to the discovery of
evidence that is unknown to the police (e.g., a
location of a missing murder weapon, or stolen
property)?
112
2. Does it include highly unusual features of the
crime that have not been made public (e.g.,
special mutilation of the body, unusual method of
killing or sexual act)?
113
3. Does the suspect provide accurate descriptions
of the mundane crime scene detail, which have not
been made public (e.g., the type of clothing the
victim was wearing, presence of certain pieces of
furniture at the crime scene)?
114
Every police interrogator in every case should
obtain a detailed post-admission narrative.
115
Immediate analysis of the post-admission
narrative and follow-up investigation of details
can guide the police in deciding whether to focus
their investigation on this suspect or to keep
looking for the truly guilty party.
116
If the suspect is charged, preservation of the
post-admission narrative facilitates fair
prosecution and defense of the case. Therefore
the post-admission narrative should always be
video- or audio-recorded.
117
To avoid actually, to recognize contamination,
the entire interrogation should be electronically
recorded.
118
Chapter 3 The Consequences of Police-Induced
False Confessions
119
Three types of false confessions 1) voluntary
2) coerced-compliant 3) coerced-internalizedKa
ssin and Wrightsman (1985)
120
voluntary false confessions those purposely
offered in the absence of elicitation?
Lindbergh baby? Colorado v. Connelly (1986)
121
When making a coerced-compliant false confession,
the suspect publicly professes guilt in response
to extreme methods of interrogation, despite
knowing privately that he or she is truly
innocent.
122
A coerced-internalized false confession is made
when the suspect through the fatigue,
pressures, and suggestiveness of the
interrogation process actually comes to believe
that he or she committed the offense.
123
DeClue (2005)? self-initiated? first
response? police induced
124
Self-initiated confessions occur when a person
initiates contact with a law enforcement officer
or other person in authority and declares that he
or she is guilty of a crime.
125
First-response confessions occur when the police
approach a person and initiate questioning, and
the persons first response is I did it.
126
Police-induced confessions occur when the police
approach a person and initiate questioning, the
persons first response is something other than
I did it, (for example, I didnt do it), the
police engage in further conversation with the
person, and the person subsequently says, I did
it.
127
This classification scheme avoids legally-charged
words, and it is not necessary to delve into the
minds of the confessor or the police in order to
classify a confession.
128
The Consequences of Police-Induced False
Confessions
129
In the 1986 decision in Colorado v. Connelly, the
Court wrote
130
Triers of fact accord confessions such heavy
weight in their determinations that the
introduction of a confession makes the other
aspects of a trial in court superfluous, and the
real trial, for all practical purposes, occurs
when the confession is obtained.
131
Chapter 4 Policy Recommendations for
Police-Induced False Confessions
132
1) Courts should adopt mandatory tape recording
requirements in felony cases.
133
I am convinced that police officers should be
required to electronically record entire
interrogations because
134
1. The same techniques that police use to elicit
confessions from guilty suspects can cause some
innocent people to confess some times. 2. It is
very likely that police neither intend to nor
recognize that they are creating false
confessions when they do.
135
3. There is no scientific, objective, reliable
way of distinguishing between true and false
confessions, up to and including the point of I
did it.
136
4. Careful analysis can often distinguish between
true and false confessions via a properly
conducted post-admission narrative. For example,
a guilty subject can give accurate details that
would only be known by people who had intimate
knowledge of the crime scene (e.g., by
perpetrating the crime).
137
5. In the process of interrogation, police
officers typically confront the suspect with a
combination of true and fabricated evidence,
building the impression that the suspect is
caught and there is nothing to be lost by
confessing.
138
6. Just by human nature, people, including the
police, do not accurately recall the form and
content of their own questions, focusing instead
on the other persons answers.
139
7. Police interrogators contaminate the
confession to varying degrees as they provide
details of the crime to the suspect.
140
8. Only by recording the entire interrogation is
it possible to show whether the suspect is
providing details that come from guilty knowledge
or is merely spitting back what was fed to him
along the way.
141
Requiring that interrogations be recorded is not
to imply that police are liars or cheats.
142
The best reason for requiring that interrogations
be recorded, in my opinion, is so that one can
see whether the post-admission narrative includes
details that were never supplied by the police to
the suspect.
143
2) The admissibility of confession evidence
should be allowed only when the accused subjects
guilt is corroborated by independent evidence.
144
3) All confessions should meet a reasonable
standard of reliability before being admitted.
145
Part 3 FoundationPracticing forensic
psychologists can assist the courts by applying a
model that attempts to reflect, not reform the
law relevant to interrogations and confessions
(Grisso, 2003).
146
Chapter 5 A Model for Forensic Psychological
Assessment/Consultation
147
Grisso, T. (2003). Evaluating competencies
Forensic assessments and instruments, 2nd
Edition, New York Plenum.
148
Chapter 6 Legal Context
149
For psychologists interested in working on
disputed confession cases, it is helpful to have
some knowledge of the legal context. I recommend
reading all available U.S. Supreme Court cases
that have dealt with custodial confession issues.
150
Rumsfeldian Auto-colloquy Have I summarized all
the U.S. Supreme Court cases I found via Internet
search engines? You bet I have.
151
Have I inadvertently missed some cases? That
wouldnt surprise me a bit.
152
Have I provided the reader with an accurate
understanding of the current legal standards in
her jurisdiction? Absolutely not.
153
Do I recommend that the reader treat this chapter
as a legal text? Heavens, no.
154
Do I expect that the reader will have gained a
greater appreciation of the issues courts
consider in confession cases? I surely do.
155
Do this and previous chapters lay the groundwork
for lists of personal characteristics and
interrogation tactics that are considered to
increase the risk of a false confession and are
listed as such in chapter 10? Why, yes they do,
and I thank me for asking that.
156
Chapter 7 Legal Issues for which Psychological
Testimony May Be Relevant
157
A psychologists testimony is likely to be
relevant to some, but not all, legal issues
regarding a defendants confession. Different
legal cases will generate different psycholegal
questions.
158
Legal Issues For Which Psychological Testimony Is
Expected To Be Relevant
159
1. Did the State fail to prove, by a
preponderance of the evidence, that the Defendant
knowingly, intelligently, and voluntarily waived
his Miranda rights?
160
2. Did the State fail to prove, by a
preponderance of the evidence, that the
Defendants supposed confession was freely and
voluntarily made under the totality of the
circumstances?
161
3. Should the Court suppress the Defendants
coerced statements to the police because they are
so highly unreliable and virtually uncorroborated?
162
Note that these questions are in the form that
would be presented to the judge. The questions
posed to a testifying psychologist would be in a
different form, but would be designed to produce
testimony that would be relevant to the question
ultimately considered by the judge.
163
Part 4 Conducting Psychological Assessments and
Preparing Testimony
164
Chapter 8 Addressing Waiver of Miranda Rights
165
Legal Issue In Dickerson v. U.S., 530 U.S. 428
(2000), the U.S. Supreme Court upheld its
decision in Miranda v. Arizona, 384 U.S. 436
(1966).
166
Miranda requires procedures that will warn a
suspect in custody of his right to remain silent
and which will assure the suspect that the
exercise of that right will be honored.
167
What does Miranda require? The Miranda Court
wrote To summarize, we hold that when an
individual is taken into custody or otherwise
deprived of his freedom by the authorities in any
significant way and is subjected to questioning,
the privilege against self-incrimination is
jeopardized.
168
Procedural safeguards must be employed
to protect the privilege, and unless other fully
effective means are adopted to notify the person
of his right of silence and to assure that the
exercise of the right will be scrupulously
honored, the following measures are required.
169
He must be warned prior to any questioning that
he has the right to remain silent, that anything
he says can be used against him in a court of
law, that he has the right to the presence of an
attorney, and that if he cannot afford an
attorney one will be appointed for him prior to
any questioning if he so desires.
170
Opportunity to exercise these rights must be
afforded to him throughout the interrogation.
171
After such warnings have been given, and such
opportunity afforded him, the individual may
knowingly and intelligently waive these rights
and agree to answer questions or make a
statement.
172
But unless and until such warnings and waiver
are demonstrated by the prosecution at trial, no
evidence obtained as a result of interrogation
can be used against him.
173
The requirement of a knowing and intelligent
waiver comes from the following
174
If the interrogation continues without the
presence of an attorney and a statement is taken,
a heavy burden rests on the government to
demonstrate that the defendant knowingly and
intelligently waived his privilege against
self-incrimination and his right to retained or
appointed counsel.
175
The requirement of a voluntary waiver comes from
this passage from Miranda
176
Whatever the testimony of the authorities as to
waiver of rights by an accused, the fact of
lengthy interrogation or incommunicado
incarceration before a statement is made is
strong evidence that the accused did not validly
waive his rights.
177
In these circumstances the fact that the
individual eventually made a statement is
consistent with the conclusion that the
compelling influence of the interrogation finally
forced him to do so. It is inconsistent with any
notion of a voluntary relinquishment of the
privilege.
178
Moreover, any evidence that the accused was
threatened, tricked, or cajoled into a waiver
will, of course, show that the defendant did not
voluntarily waive his privilege.
179
The requirement of warnings and waiver of rights
is a fundamental with respect to the Fifth
Amendment privilege and not simply a preliminary
ritual to existing methods of interrogation.
180
At a suppression hearing, a judge decides (among
other things) whether a particular person in a
particular situation at a particular time made a
knowing, intelligent, and voluntary waiver of his
Miranda rights.
181
A psychologists testimony is likely to be
considered relevant if it helps the judge make
that determination.
182
Some psychologists, by virtue of their knowledge,
training, and experience, are able to assist the
court in each of the following areas
183
1. Assess the defendants current mental status,
including intelligence, memory, reading
comprehension, listening comprehension, and
psychopathology.
184
2. Reconstruct the defendants mental state at
the time of the waiver (similar to the type of
assessment in insanity and other
mental-state-at-the-time-of-the-offense
evaluations see, e.g., Rogers Shuman, 2000).
185
3. Gather and analyze information regarding the
physical and psychological environment in which
the waiver was obtained (Crane v. Kentucky,
1986, supra, p. 684).
186
4. Assist the judge in understanding interactions
among the above.
187
Assessment Procedures
188
First, the psychologist reviews all available
information regarding the events that occurred
immediately before, during, and after the waiver.
189
The second step is to conduct a current
psychological evaluation of the defendant.
190
Although the crucial question involves the
defendants mental state at the time of the
waiver, standard psychological assessment
procedures are designed to assess a persons
current mental state, intellectual ability,
reading ability, etc.
191
As with other forensic psychological assessments,
a history and mental status provide useful
information, which can be supplemented by a
psychiatric screening instrument such as the
Brief Symptom Inventory (BSI) or the Symptom
Checklist 90-R (SCL-90-R)
192
by a structured diagnostic interview (See
Rogers, 2001), and/or by an objective test of
psychopathology such as the Personality
Assessment Inventory or the MMPI-2.
193
IQNeuropsychological Screening
194
If psychopathology is suggested by interview
and/or test data, testing for feigning or
exaggeration of symptoms, for example with the
Structured Interview of Reported Symptoms (SIRS)
should be conducted.
195
If cognitive deficits are suggested, then testing
for exaggeration or feigning should be conducted
with an instrument such as the Word Memory Test
(WMT) or the Test of Memory Malingering (TOMM).
196
Reading and listening ability, particularly
reading comprehension and listening
comprehensionWoodcock-Johnson III Tests of
Achievement (WJ-III) or Wechsler Individual
Achievement Test-Second Edition (WIAT-2)
197
WJ-III Letter-Word IdentificationReading
FluencyStory RecallUnderstanding
DirectionsPassage ComprehensionStory
Recall-DelayedOral ComprehensionReading
Vocabulary
198
Administration of those subtests allows scoring
of the following clusters Oral
LanguageListening ComprehensionBroad
ReadingReading Comprehension
199
If the defendant wrote out a statement/confession
Writing FluencyWriting Samples ? Written
Expression composite
200
These subtests allow comparison to group norms
and they provide a mechanism for computing an age
level and a grade level for the various skills
measured.
201
Although it is currently not recommended that a
psychologist attempt to describe a persons
intelligence as comparable to that of, say, a
nine year old, it is useful and understandable to
report that a persons reading or oral
comprehension skills are at, say, a third-grade
level.
202
Instruments for Assessing Understanding and
Appreciation of Miranda Rights (Grisso)
203
At the conclusion of the face-to-face evaluation
(which might involve more than one session), the
psychologist should have a clear assessment of
the persons current mental state a detailed
account of the persons recollection of events
occurring before, during, and after the waiver
204
the defendants description of how and why his
mental state may have been different at the time
of the waiver objective measurements of the
defendants current understanding of his rights
205
the defendants description regarding what he
understood at the time of the waiver and the
defendants description of why he waived his
rights.
206
Chapter 9 Addressing the Voluntariness of a
Confession
207
The legal issue to be considered by the judge at
the suppression hearing might be presented as
follows Did the State fail to prove, by a
preponderance of the evidence, that the
Defendants supposed confession was freely and
voluntarily made under the totality of the
circumstances?
208
There must be some element of police coercion for
a confession to be ruled involuntary (Colorado v.
Connelly, 1986).
209
The ultimate issue has been defined in
psychological terms
210
Is the confession the product of an essentially
free and unconstrained choice by its maker? If it
is, if he has willed to confess, it may be used
against him.
211
If it is not, if his will has been overborne
and his capacity for self-determination
critically impaired, the use of his confession
offends due process (Culombe v. Connecticut,
1961)
212
Courts do not look to experts to decide whether a
particular defendants will was overborne, due to
the inherent subjectivity of such a question.
213
Rather, psychologists can provide useful
information about the person, the situation, and
the person-situation interaction.
214
The psychologist can assist the Court by
performing an assessment that includes the
following
215
1. Gather and analyze information regarding the
physical and psychological environment in which
the confession was obtained (Crane v. Kentucky,
1986)
216
2. Gather and analyze information about the
interrogation techniques employed by the police.
217
3. Assess the defendants current mental status,
including intelligence, memory, reading
comprehension, listening comprehension,
personality, and psychopathology.
218
4. Reconstruct the defendants mental state
during the confession.
219
5. Assist the judge in understanding the effect
of the interrogation techniques on the defendant
throughout the interrogation.
220
The most empirically validated instruments for
measuring interrogative suggestibility are the
Gudjonsson Suggestibility Scales (GSS 1 and GSS 2)
221
The Gudjonsson Compliance Scale (GCS) has been
developed to measure the personality trait of
compliance.
222
There is a forensic assessment instrument that
can help psychologists gather information about
why a person confessed the Gudjonsson Confession
Questionnaire Revised (GCQ-R).
223
Chapter 10 Addressing the Reliability of a
Confession
224
Should the Court suppress defendants coerced
statements to the police because they are so
highly unreliable and virtually uncorroborated?
225
A psychologist serving as an expert witness can
present testimony as follows
226
1. Some people falsely confess to crimes some
times.
227
2. Some interrogation procedures increase the
risk of false confessions.
228
3. Some personal factors make some people more
vulnerable to police influence than others.
229
4. There are procedures recommended by social
scientists and law enforcement agencies to avoid
false confessions.
230
5. There are procedures recommended by social
scientists and law enforcement agencies to
recognize false confessions when they occur.
231
For items 2 through 5, the psychologist can then
describe factors in the instant case that are
present, and those that are not present.
232
I am not in any way suggesting that psychologists
or other social scientists should replace juries
or do juries jobs. I do suggest that
psychologists who study the psychology of
interrogations and confessions have special
knowledge that can help juries do their jobs.
233
Synopsis
234
A psychologist who has studied the psychology of
interrogations and confessions can assist the
court when a particular interrogation or
confession is held up to careful scrutiny.
235
The psychological assessment and analysis will
not directly address whether a confession is true
or false, but it will assist the consideration of
the reliability of a confession.
236
In the short run, psychologists testimony may
sometimes enhance the cause of justice and may at
times help someone get away with murder.
237
In the long run, psychologists testimony is
likely to lead law enforcement officers to gather
confession evidence in a consistently more
reliable way, which will enhance liberty and
justice for all.
238
INTERROGATIONS AND DISPUTED CONFESSIONS A
MANUAL FOR FORENSIC PSYCHOLOGICAL
PRACTICEGregory DeClue, Ph.D., ABPP

• gregdeclue_at_mailmt.comhttp//gregdeclue.myakkatech
  .com/ Professional Resource Presshttp//www.prp
  ress.com/