To: B. Grosser, S. Howard, S. Teynor, W. Thatcher, T. Trauba

From: Steve Golding

Re: Forensic psychiatry modules for July, 1996

Enclosed please find the set of required readings (plus some other references for the convenience of the residents). The readings remain essentially the same, but the following substitutions additions should be added/replaced from the materials you have.

Add:

Landmark cases in Forensic Psychiatry [Handout] to Module 1

Replace:

*Golding, S. L. (1993). Introduction to the law of torts and Negotiating the Guantlet of Law, Ethics and Professional Practice. Unpublished materials, to be handed out. With

*Golding, S. L. (1996). Introduction to the law of torts and Negotiating the Guantlet of Law, Ethics and Professional Practice. Unpublished materials, to be handed out.

(Readings marked with * are required for each module; others are suggested for those who wish to pursue the subject matter in greater depth and as an introduction to the professional scholarship in the area.)

These modules are designed to give psychiatry residents an introduction to the basic elements of psychiatry and law and to prepare them for rotation at the Forensic Unit at Utah State Hospital. Many aspects of the specialization, within the time frame allotted, cannot be covered. Other courses are regularly offered in the Department of Psychology and by special arrangement for those interested in pursuing this specialty. Also, I am happy to assist residents facing particularly difficult forensic questions as part of my teaching role in the Department of Psychiatry. I can be reached at 581-8028 (Office 1), 363-2275 (Home and Office 2); FAX 581-5841; e-mail GOLDING@PSYCH.UTAH.EDU.

Module 1: Basic ethical, professional and legal issues in forensic psychiatry

An examination of the various "specialty guidelines" that govern forensic psychology and psychiatry; detailed examination of selected special problem areas including duty to warn, mandatory reporting, confidentiality and informed consent.

*American Psychiatric Association. (1989). The principles of medical ethics with annotation especially applicable to psychiatry Washington, D. C. : Author (Conveniently reprinted in Simon, 1992, infra, Pp. 577-594).

*American Academy of Psychiatry and Law (1986). Ethical Guidelines for the Practice of Forensic Psychiatry.

*Committee on Ethical Guidelines for Forensic Psychologists. (1991). Specialty guidelines for forensic psychologists. Law and Human Behavior, 15, 655-665.

*Melton, G. B., Petrila, J., Poythress, N.G., & Slobogin, C. (1987). Psychological evaluations for the courts: A handbook for mental health professionals and lawyers. New York: Guilford. Chapter 3: Constitutional, common-law and ethical contours of the evaluation process, Pp. 35-61.

*Landmark cases in Forensic Psychiatry [Handout]

Anzia, D. J., & la Puma, John. (1991). An annotated bibliography of psychiatric medical ethics. Academic Psychiatry, 15(1), 1-17.

Appelbaum, P. (1992). Forensic psychiatry: The need for self-regulation. Bulletin of the American Academy of Psychiatry and Law, 20, 153-162.

Appelbaum, P. S. (1990). The parable of the forensic psychiatrist: Ethics and the problem of doing harm. Special Issue: Ethical issues in forensic theory and practice. International Journal of Law & Psychiatry, 13(4), 249-259.

Committee on Psychiatry and the Law, Group for the Advancement of Psychiatry. (1991). Mental health professionals and the legal system. New York: Brunner/Mazel.

Brewer, T., & Faitak, M. T. (1989). Ethical guidelines for the inpatient psychiatric care of children. Professional Psychology: Research & Practice, 20, 142-147.

Melton, G. B., & Limber, S. (1989). Psychologists' involvement in cases of child maltreatment: Limits of role and expertise. American Psychologist, 44, 1225-1233.

Sadoff, R. L. (1988). Ethical issues in forensic psychiatry. Psychiatric Annals, 18, 320-323.

Simon, R. I. (1992). Clinical psychiatry and the law, Second Edition. Washington, D. C.: American Psychiatric Press.

Weinstock, R., Leong, G. G., Silva, J. A. (1991). Opinions by AAPL forensic psychiatrists on controversial ethical guidelines: a survey. The Bulletin of the American Academy of Psychiatry and the Law, 19, 237-248.

Module 2: Fundamentals of tort law and malpractice for forensic psychiatrists

An overview of the essentials of malpractice law as it applies to forensic practice.

*American Psychiatric Association (1993). Sex with former patients voted unethical.

*Golding, S. L. (1996). Introduction to the law of torts and Negotiating the Guantlet of Law, Ethics and Professional Practice. Unpublished materials, to be handed out.

*Meyer, R. G., Landis, E. R., & Hays, J. R. Law for the psychotherapist. New York: Norton. Pp. 32-56. [primarily on confidentiality and privilege].

*Monahan, J. (1993). Limiting therapist exposure to Tarasoff liability. American Psychologist, 48, 242-250.

*Simon, R. (1992). Treatment boundary violations: Clinical, ethical, and legal considerations. Bulletin of the American Academy of Psychiatry and Law, 20, 269-288.

*Strasburger, L. H., Jorgenson, L., & Randles, R. (1991). The criminalization of psychotherapist-patient sex. American Journal of Psychiatry, 148, 859-863.

*Utah Code Annotated (1993). Limitation of therapist's duty to warn. §78-14a-102.

*Utah Code Annotated (1993). Child abuse reporting act. §62a-4-502 et seq.

Appelbaum Paul S. (1990). Statutes regulating patient therapist sex. Hospital & Community Psychiatry, 41(1), 15-16.

Appelbaum, P.S., Lidz, C. W., & Meisel, A. (1987). Informed consent: Legal theory and clinical practice. New York: Oxford Press.

Appelbaum, P. S., Schaffner, K., & Meisel A. (1985). Responsibility and compensation for tardive dyskinesia. American Journal of Psychiatry, 142, 806-810.

Borys, D. S., & Pope, K. S. (1989). Dual relationships between therapists and client: A national study of psychologists, psychiatrists, and social workers. Professional Psychology: Research and Practice, 20, 283-293.

Brosig, C. L., & Kalichman, S. C. (1992). Clinician's reporting of suspected child abuse: A review of the empirical literature. Clinical Psychology Review, 12, 155-168.

Epstein, R. S., & Simon, R. I. (1990). The Exploitation Index: An early warning indicator of boundary violations in psychotherapy. Bulletin of the Menninger Clinic, 54(4), 450-465.

Gartrell, N. et al. (1986). Psychiatrist-patient sexual contact: Results of a national survey: I. Prevalence. American Journal of Psychiatry, 143, 1126-1131.

Gustafson, K. E., & McNamara, J. R. (1987). Confidentiality with minor clients: Issues and guidelines for therapists. Professional Psychology: Research and Practice, 18, 503-508.

Gutheil, T. G. (1993). The concept of boundaries in clinical practice: Theoretical and risk-managment dimensions. American Journal of Psychiatry, 150, 188-196.

Gutheil, T. G. (1990). Ethical issues in confidentiality. Psychiatric Annals, 20(10), 605-611.

Hermann, D. H. J. & Gagliano, R. D. (1989). AIDS, therapeutic confidentiality and warning third parties. Maryland Law Review, 48, 55-76.

Jobes, D. A., & Berman, A. L. (1993). Suicide and malpractice liability: Assessing and revising policies, procedures, and practice in outpatient settings. Professional Psychology: Research and Practice, 24, 91-99.

Kroll, J., & Mackenzie, T. B. (1983). When psychiatrists are liable: Risk management and violent patients. Hospital and Community Psychiatry, 34, 29-37.

LeBoeuf, D. (1988). Psychiatric malpractice: Exploitation of women patients. Harvard Women's Law Journal, 11, 83-116.

Leesfield, I. H. (1987). Negligence of mental health professionals: What conduct breaches standards of care. Trial, 23, 57-61.

Leong, G. B., Eth, S., & Silva, J. A. (1992). The psychotherapist as witness for the proesecution: The criminalization of Tarasoff. American Journal of Psychiatry, 149, 1011-1015.

McCafferty, M. D., & S. M. Meyer. (1985). Medical malpractice bases of liability New York : Shepard's/McGraw-Hill. (Oriented towards lawyers, this volume, updated regularly, should be consulted for details on the malpractice contours of various issues)

Miller, R. D., Doren, D. M., Van Rybroek, G. J., & Meier, G. J. (1988). Emerging problems for staff associated with the release of potentially dangerous forensic patients. Bulletin of the American Academy of Psychiatry & the Law, 16, 309-320.

Mills, M. J., Sullivan, G., & Eth, S. (1987). Protecting third parties: A decade after Tarasoff. American Journal of Psychiatry, 144, 68-74.

Monahan, J. (1992). Mental disorder and violent behavior: Perceptions and evidence. American Psychologist, 47, 511-521.

Monahan, J., & Steadman, H. (1994). Toward a rejuvenation of risk assessment research. In J. Monahan & H. Steadman, Violence and mental disorder: Developments in risk assessment Chicago:

University of Chicago Press.

Pope, K. S., & Tabachnick, B. G. (1993). Therapists' anger, hate, fear, and sexual feelings: National survey of therapist responses, client characteristics, critical events, formal complaints, and training. Professional Psychology: Research and Practice, 24, 142-152.

Sidley, N. T. (Ed.) (1985). Law and ethics: A guide for the health professional. New York: Human Science Press. [The following sections are most helpful: Perlin, "Torts", 149-178; Shea and Sidley, "Malpractice", 179-230; and Shea, "Finding the law: Legal research and citation", 411-430; Shea and Sidley, "Coping with the medical malpractice problem", 231-258; Petrila, "Special legal problems in mental health", 325-350].

Simon, R. I. (1992). Clinical psychiatry and the law, Second Edition. Washington, D. C. : American Psychiatric Press, Inc. (Highly recommended as a comprehensive overivew of various malpractice problems).

Spring, R. L., Lacoursiere, R. B. & Weissenberger, G. (1990). Patients, psychiatrists and lawyers: Law and the mental health system. Chapter 3 (Very highly recommended, but not technically required -the patient-mental health professional relationship). Cincinnati: Anderson, Pp. 143-220 [Tarasoff, privilege and confidentiality from a legal perspective].

Strasburger, L. H., Jorgenson, L., & Randles, R. (1990). Mandatory reporting of sexually exploitative psychotherapists. Bulletin of the American Academy of Psychiatry and Law, 18, 379-384.

Totten, G., Lamb, D. H., & Reeder, G. D. (1990). Tarasoff and confidentiality in AIDS related psychotherapy. Professional Psychology: Research & Practice, 21(3), 155-160.

Veilleux, D. R. (1992). Validity, construction, and application of state statute requiring doctor or other person to report abuse. 73 ALR 4th 782-855.

Module 3: Legal and professional aspects of criminal competencies

A detailed examination of the various criminal competencies (e.g., competency to confess, competency to waive Miranda rights, competency to proceed, competency to plead, competency to proceed pro se, competency to be sentenced, competency to be executed) according to both legal and professional perspectives. The assessment of criminal competencies and the preparation and structure of competency reports to the court.

*Golding, S. L. (1993). Interdisciplinary Fitness Interview - Revised (Training Manual and Interview Procedure). Unpublished monograph.

*Melton, G. B., Petrila, J., Poythress, N.G., & Slobogin, C. (1987). Psychological evaluations for the courts: A handbook for mental health professionals and lawyers. New York: Guilford. Chapter 4: Competency to tand trial, Pp. 65-92; Chapter 5: Other competencies in the criminal process, Pp. 93-110.

*Utah Code (1994) Amendments to §77-15-1 et seq. (Incompetent defedants and Medication of Incompetent defendants)

Anonymous (1967). Incompetency to stand trial. Harvard Law Review, 81, 454-473.

Appelbaum, P., & Grisso, T. (1988). Assessing patients' capacities to consent to treatment. New England Journal of Medicine, 319, 1635-1638.

Ellis, J. W., Luckasson, R. A. (1985). Mentally retarded criminal defendants. George Washington Law Review, 53, 414-493.

Golding, S. L., & Roesch, R. (1988). Competency for adjudication: An international analysis. In D. Weisstub (Ed.), Law and mental health: International perspectives, Vol 4. (pp. 73-109).

Grisso, T. (1986). Evaluating competencies: Forensic assessments and instruments. New York: Plenum. Pp. 62-112.

Heilbrun, K. S. (1987). The assessment of competency for execution: An overview. Behavioral Sciences & the Law, 5, 383-396.

Radelet, M. L., & Barnard, G. W. (1986). Ethics and the psychiatric determination of competency to be executed. Bulletin of the American Academy of Psychiatry & the Law, 14, 37-53.

Roesch, R., Golding, S. L. (1980). Competency to stand trial. Urbana, Ill:University of Illinois Press.

Roesch, R., Golding, S. L. (1986). Amnesia and competency to stand trial: A review of legal and clinical issues. Behavioural Sciences and the Law, 4, 87-97.

Winick, B. J. (1985). Restructuring competency to stand trial. U. C. L. A. Law Review, 32, 921-985.

Module 4: Conceptualizing and evaluating mental state at the time of offense

A review of the major jurisprudential and mental health views of "the insanity defenses" (M'Naghten, ALI, IDRA, GBMI, mens rea) and examination of the principal strategies for their assessment.

*Bonnie, R. J. (1983). The moral basis of the insanity defense. American Bar Association Journal, 69, 194-197.

*Golding, S. L., Roesch, R. (1987). The assessment of criminal responsibility:A historical approach to a current controversy. In I. B. Weiner & A. K. Hess (Eds.), Handbook of forensic psychology. New York:Wiley 395-436.

*Melton, G. B., Petrila, J., Poythress, N. G. & Slobogin, C. (1986). Psychological evaluations for the courts: A handbook for mental health professionals and lawyers. New York:Guilford Press. Pp. 111-163.

*Morse, S. J. (1992). The "guilty mind;" Mens rea. In D.K. Kagehiro & W.S. Laufer (Eds.), Handbook of Psychology and Law. New York: Springer-Verlag, 207-229.

Abramowitz, J. (1979). The burden of proof for extreme emotional disturbance and insanity: The deterioration of due process. Temple Law Quarterly, 52, 79-101.

Ake. v. Oklahoma. 53 U.S.L.W. 4179 (February 26, 1985)

American Psychological Association (1984, March). Text of position on insanity defense . APA Monitor 11.

American Psychiatric Association (1983). American Psychiatric Association statement on the insanity defense. American Journal of Psychiatry, 140,81-688.

Anonymous. (1982). Evaluating Michigan's guilty but mentally ill verdict- An empirical study. University of Michigan Journal of Legal Reform, 16, 77-113.

Arenella, P. (1975). The diminished capacity and diminished responsibility defenses: Two children of a doomed marriage. Columbia Law Review, 77, 270-308.

Bazelon, D. L. (1975). A jurist's view of psychiatry. Journal of Psychiatry and the Law, 3, 175-190.

Bonnie, R. J. (1984). Morality, equality, and expertise:Renegotiating the relationship between psychiatry and the criminal law. Bulletin of the American Academy of Psychitry and the Law, 12, 5-20.

Caplan, L. (July 2, 1984). The insanity defense. New Yorker 45 -78.

Clark, C. R. (1982). Clinical limits of expert testimony on diminished capacity. International Journal of Law and Psychiatry, 5, 155-170.

Crotty, H. D. (1923). The history of insanity as a defence to crime in English Criminal Law. California Law Review, 12 , 105-123.

Dix, G. E. (1971). Psychological abnormality as a factor in grading criminal liability: Diminished capacity, diminished responsibility, and the like. Journal of Criminal Law, 62, 313-334.

Ellis, J. W., Luckasson, R. A. (1985). Mentally retarded criminal defendants. George Washington Law Review, 53, 414-493.

Fineberg, K. R. (1980). Toward a new approach to proving culpability:mens rea and the proposed Federal Criminal Code. American Criminal Law Review, 18, 123-141.

Goldstein, J., Katz, J. (1963). Abolish the `insanity defense'- Why not?. Yale Law Journal, 72, 853-876.

Gray, S. H. (1972). The insanity defense: Historical development and contemporary relevance. American Criminal Law Review, 10, 559-585.

Great Britain (1883). Trial of Lunatics Act, 1883. 46 & 47 Victoria, Chpt. 38, 128-129

Gutheil, T. G., Appelbaum, P. S. (1982). Clinical handbook of psychiatry and the law. New York: McGraw-Hill

Guy, W. A. (1869). On insanity and crime -- and on the plea of insanity in criminal cases. Royal Statistical Society (London Journal Series A), 1869, 159-191.

Hamann, C. M. (1966). The confinement and release of persons acquitted by reason of insanity. Harvard Joural on Legislation , 4, 55-100.

Hans, V. P., Slater, D. (1983). John Hinckley, Jr. and the insanity defense: The publics verdict. Public Opinion Quarterly, 47, 193-203.

Hart, H. L. A. (1961). Negligence, Mens Rea and Criminal Responsibility. In A. G. Guest (Ed.), Oxford Essays in Jurisprudence. London:Oxford University Press 29-49.

Hermann, D. H. J. (1983). Assault on the insanity defense: Limitations on the effectiveness and effect of the defense of insanity. Rutgers Law Journal, 14, 241-371.

Hermann, D. H. J. (1983). The insanity defense:Philosphical, historical and legal perspectives. Springfield, Ill:Charles Thomas

Hermann, D. H. J. (1983). Automatic commitment and release of insanity acquittees:Constitutional dimensions. Rutgers Law Journal, 14, 667-682.

Insanity Defense Reform Act of 1984. Public Law 98-473, Sections 401-406

Kahn, M. W. (1971). Murderers who plead insanity: A descriptive factor-analytic study of personality, social, and history variables. Genetic Psychology Monographs, 84, 275-360.

Keilitz, I., Fulton, J. P. (1983). The insanity defense and its alternatives: A guide for policymakers. Williamsburg, Va. :National Center for State Courts

Keilitz, I. (1987). Reforming and researching the insanity defense. Rutgers Law Review, 39, 289-322.

Lewin, T. H. D. (1975). Psychiatric evidence in criminal cases for purposes other than the defense of insanity. Syracuse Law Review, 26, 1051-1115.

Livermore, J. M., Meehl, P. E. (1967). The virtues of M'Naghten. Minnesota Law Review, 51, 789-856.

McGraw, B. D., Farthing-Capowich, D., Keilitz, I. (1985). The "guilty but mentally ill" plea and verdict: Current state of the knowledge. Villanova Law Review, 30, 117-191.

McGraw, B. D., Keilitz, I. (1984). Guilty but mentally ill: A legislative response to the insanity defense. State Court Journal, Summer, 1984, 4-8.

Melton, G. B., Weithorn, L. A., Slobogin, C. (1985). Community mental heal centers and the courts:An evaluation of community-based forensic services. Lincoln, NE.:University of Nebraska Press

Moore, M. S. (1985). Causation and the excuses. California Law Review, 73, 1091-1149.

Morris, N. (1982). Madness and the criminal law. Chicago:University of Chicago Press

Morse, S. J. (1985). Psychology, determinism, and legal responsibility. Nebraska Symposium on Motivation, 1985 35-85.

Morse, S. J. (1985). Excusing the crazy: The insanity defense reconsidered. Southern California Law Review, 58, 777-836.

Morse, S. J. (1978). Crazy behavior, morals, and science: An analysis of Mental Health Law. Southern California Law Review , 51, 527-654.

National Center for State Courts (1984). The 'Guilty But Mentally Ill' Verdict: Current state of the knowledge.. Willaimsburg, Va. :Author

Nissman, D. M., Barnes, B. R., Alpert, G. P. (1980). Beating the insantiy defense. Denying the license tokill. Lexington, Mass.:Lexington Books, D. C. Health and Company,

Platt, A., Diamond, B. L. (1966). The origins of the 'right and wrong' test of criminal responsibility and its subsequent development in the United States: An historical survey. California Law Review, 54, 1227-1260.

Platt, A. M., Diamond, B. L. (1965). The origins and development of the 'wild beast' concept of mental illness and its relation to theories of criminal responsibility. Journal of Historical and Behavioral Science, 1, 355-367.

Pollak, R. (1984). The epilepsy defense. Atlantic, 253, 20-28.

Rachlin, S., Halpern, A. L., Portnow, S L. (1984). The volitional rule, personality disorders and the insanity defense. Psychiatrics Annals, 14, 139-147.

Sarno, G. G. (1985). Admissability of results of computer analysis of defendant's mental state. 37 ALR4th 510

Sayre, F. B. (1931). Mens Rea. Harvard Law Review, 45, 974-1027.

Schmidt, W. C. (1984). Supreme Court decision making on insanity acquittees does not depend on research conducted by the behavioral science community: Jones v. United States. Journal of Psychiatry and Law, Winter, 1984, 507-525.

Sebba, L. (1980). Is mens rea a component of perceived offense seriousness?. Journal of Criminal Law and Criminology, 71, 124-135.

Simon, R. J., Shackelford, W. (1965). The defense of insanity: A survey of legal and psychiatric opinion. Public Opinion Quarterly, 29, 411-424.

Slobogin, C. (1985). The guilty but mentally ill verdict: An idea who time should not have come. George Washington Law Review, 53, 494-527.

Slobogin, C., Melton, G. B., Showalter, C. R. (1984). The feasibility of a brief evaluation of mental state at the time of the offense. Law and Human Behavior, 8, 305-320.

Smith, R. (1980). Scientific thought and the boundary of insanity and criminal responsibility. Psychological Medicine, 10, 15-23.

Smith, R. (1981). Trial by medicine :Insanity and responsibility in Victorian trials. Edinburgh, Scot. :Edinburgh University Press

Smith, R. (1983). Criminal insanity: From a historical point of view. Bulletin of the American Academy of Psychiatry and the Law, 11, 27-34.

State v. Strasburg. 110 P. 1020 (Sup. Ct. Wash.,1910)

Steadman, H. J., Monahan, J., Hartstone, E. et al. (1982). Mentally disordered offenders. A national survey of patients and facilities. Law and Human Behavior, 6, 31-38.

Stock, H. V., Poythress, N. G. (). Psychologists opinion on competency and sanity: How reliable?. Unpublished paper, Center for Forensic Psychiatry

Stroud, D. A. (1914). Mens rea or imputability under the law of England. London :Sweet & Maxwell

Text of position on insanity defense. APA Monitor 11, (1984, March).

Thornberry, T. P., Jacoby, J. E. (1979). The criminally insane:A community follow-up of mentally ill offenders. Chicago, Ill. :University of Chicago Press

United States v. Lyons. 739 F. 2d 994 (Fifth Cir., 1984)

United States v. Lyons. 731 F. 2d 243 (Fifth Cir., 1984)

United States v. Brawner. 471 F. 2d 969 (D. C. Cir.,1972)

Waldinger, R. J. (1979). Sleep of reason: John P. Gray and the challenge of moral insanity. Journal of the History of Medicine and Allied Sciences, 34, 163-179.

Walker, N. (1968). Crime and insanity in England, Vol. I . Edinburgh, Scot. :Edinburgh University Press

Warren v. Harvey. 632 F. 2d 925 (2d Cir., 1980)

Washington v. United States. 390 F 2d 444 (D. C. Cir.,1967)

Weiner, B. A. (1980). Not guilty by reason of insanity: A sane approach. Chicago Kent Law Review, 56, 1057-1085.

Whalem v. United States. 346 F. 2d 812 (D.C. Cir.,1965),cert.denied, 382 U.S. 862 (1965)