Competency to be Sentenced

The question of whether an individual is competent to be sentenced hinges on the broader question “What is competence?” In general, competence is defined within the legal arena as the mental ability to play an active role in legal proceedings. Competence to be sentenced is a specific form of legal competence that addresses an individual's ability to participate in the sentencing stage of trial and to both understand and appreciate the ramifications of the sentence that is imposed. The term competence to be sentenced has been used interchangeably with competence to be executed, but the former expression is more inclusive than the latter. Psychologists assist the courts by providing evaluations of competency to be sentenced, although there are minimal assessment guidelines and no accepted measures to guide their assessments.

The general standard for competency was defined by the Supreme Court in Dusky v. United States (1960) as the defendant's “sufficient present ability to consult with his lawyer with a reasonable degree of rational understanding” and “a rational as well as factual understanding of the proceedings against him.” This protection has been deemed to include the stages from the time of arrest through the end of the trial. However, sentencing is separate from trial, and jurisdictions differ on whether the Dusky standard extends to the sentencing phase. In some jurisdictions, defendants need only have a minimal level of competency to be sentenced (e.g., a defendant need only understand [Page 117]why he or she is being sentenced). Other jurisdictions hold that sentencing is part of the trial, therefore the defendant must meet the more exacting Dusky standard before he or she may be sentenced. Overall, the literature suggests that the competency to be sentenced standard is less stringent than the competence to stand trial standard.

The purposes behind the guarantee of competency to be sentenced are generally argued to be threefold. First, defendants are guaranteed competency to protect their individual rights. For example, in some cases, the defendant has the right to allocution at sentencing. The right of allocution refers to a defendant's right to speak before the sentence is pronounced in order to address any legal cause why the sentence should not be pronounced or provide mitigating information that may reduce the sentence. Without the mental ability to participate in the proceedings, this right would be meaningless. Second, society has an interest in guaranteeing fair results and the dignity of the trial process. If a defendant does not appear to be a lucid participant in his or her trial and sentencing, the process loses these qualities. Third, to be competent to be sentenced, defendants should comprehend the duration and severity of the sentence. This understanding is a prerequisite for the sentence to meet its goals of punishment and deterrence from future crime. If defendants cannot rationally comprehend the reason why they have been sentenced, the punishment cannot have its desired effect on the psyche or act as a deterrent.

If a genuine doubt concerning the defendant's competency to be sentenced arises, the defense, the prosecution, or the judge may raise the issue. If there is sufficient evidence that the defendant's competency is questionable, the judge may order an examination by a mental health professional, such as a psychologist or a psychiatrist. When the evaluation is completed, the expert provides an opinion to the court in the form of a report and, possibly, testimony. The judge makes a decision regarding the competency of the defendant. If the defendant is found to be competent, the sentencing proceeds. If the defendant is found to be not competent, he or she is sent for treatment to restore competency before sentencing.

...