Competency to Stand Trial

The legal standard for competency to stand trial in the United States was articulated by the U.S. Supreme Court in Dusky v. United States (1960), wherein the Court determined that a defendant must have “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” (p. 402). Mental health professionals are called on to assist the courts by evaluating defendants' competency to stand trial, often aided by assessment tools designed specifically for this purpose, and by providing treatment for the restoration of competency in incompetent defendants. Psychological research in this area has examined the reliability of competency assessments, the characteristics of defendants deemed incompetent to stand trial, and the characteristics associated with restorability.

[Page 120]Competency to stand trial is the most common type of criminal forensic evaluation, with approximately 60,000 evaluations conducted annually in the United States. That is, between 2% and 8% of all felony defendants are referred for evaluations of competency to stand trial each year. The issue at stake in an evaluation of competency to stand trial is the defendant's current mental functioning; this is often confused with criminal responsibility (insanity), wherein the issue at stake is the defendant's mental state at the time of the offense. The prohibition against trying an incompetent defendant dates back to at least the 17th century and serves the dual purpose of ensuring a fair trial for the defendant and preserving the dignity of the adversarial process.

Competency to stand trial is but one type of competency that falls under the larger, more encompassing headings of adjudicative competence or competency to proceed. The issue of a defendant's competence may be raised at any point in the proceedings before a verdict is rendered; thus, competency to confess (waive Miranda rights), competency to plead guilty, competency to waive the right to counsel, and competency to stand trial all fall under the umbrella of adjudicative competence or competency to proceed. Furthermore, the U.S. Supreme Court in Godinez v. Moran (1993) indicated that the standards for the various types of criminal competencies (pleading guilty, waiving counsel, and standing trial) were to be the same. Thus, in light of the decision in Godinez as well as the fact that upward of 90% of criminal cases are resolved through the plea bargaining process rather than by going to trial per se, evaluations of competency to stand trial necessarily include evaluation of the defendant's ability to plead guilty and to engage in the plea bargaining process. The term competency to stand trial has begun to be replaced by the term competency to proceed in some states, but for the purpose of remaining true to the literature and commentary that have developed up to this point, the term competency to stand trial is used in this entry.