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Psychological profiles and institution effects pertaining to inmates incarcerated under the insanity defense

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Title:
Psychological profiles and institution effects pertaining to inmates incarcerated under the insanity defense
Creator:
Boehnert, Caryl Elizabeth, 1954-
Publication Date:
Language:
English
Physical Description:
viii, 205 leaves : ill. ; 28 cm.

Subjects

Subjects / Keywords:
College students ( jstor )
Criminals ( jstor )
Defendants ( jstor )
Employee skills ( jstor )
Graduates ( jstor )
Higher education ( jstor )
Housing ( jstor )
Human resources management ( jstor )
Insanity ( jstor )
Minnesota Multiphasic Personality Inventory ( jstor )
Clinical Psychology thesis Ph. D
Crime ( lcsh )
Criminals ( lcsh )
Dissertations, Academic -- Clinical Psychology -- UF
Forensic psychiatry ( lcsh )
City of Chattahoochee ( local )

Notes

Thesis:
Thesis (Ph. D.)--University of Florida, 1983.
Bibliography:
Bibliography: 192-204.
General Note:
Typescript.
General Note:
Vita.
Statement of Responsibility:
by Caryl E. Boehnert.

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Source Institution:
University of Florida
Holding Location:
University of Florida
Rights Management:
Copyright [name of dissertation author]. Permission granted to the University of Florida to digitize, archive and distribute this item for non-profit research and educational purposes. Any reuse of this item in excess of fair use or other copyright exemptions requires permission of the copyright holder.
Resource Identifier:
029772610 ( ALEPH )
11386779 ( OCLC )
ACK8316 ( NOTIS )

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PSYCHOLOGICAL


EFFECTS


PERTAINING


PROFILES


INMATES


INSTITUTION
INCARCERATED


UNDER


INSANITY


DEFENSE


Caryl


Boehnert


A DISSERTATION
THE UNIVERSITY
REQUIREMENTS


PRESENTED


FLORIDA


GRADUATE


PARTIAL


DEGREE


DOCTOR


COUNCIL


FULFILLMENT


PHILOSOPHY


I INITI tDC TTV


] nDTlA
































Copyright


Caryl


1983


Boehnert













ACKNOWLEDGMENT


would


first


like


thank


members


committee


hairperson


Jacquelin


Goldman,


supporting members


Richard


wanson


Loui


Cohen


Walter


Cunningham


Michael


Radelet.


Throughout


coordinating


ssertation


long


stance,


they


remained


patient


supportive


extra


effort


that


might


meet


graduate


school


deadlines


. Deep


thank


extended


. Eli


abeth


McMahon


conceived


idea


research


served


as an


informal


advisor


during


project


various


tages


private


forensic


psychol ogi


always


availabi


with


time


support


project.


would d


like


thank


research


committee


Department


Health


Correction


Rehabilit


approving


ative Se

research


rvices

and f


Department


paving


for my work


at the


various


institutions


that


ited.


Those


Florida


State


pital


at Chattahoochee


went


their way


supportive,


helpful


ndly


special


thank


Julian


Davi


Franci


acock,


usan


Parson


am Cunningham.


Jerry


Smith


was tire]


efforts


to facilitate


many


sons


around


stat


There


literally


dozen


admini









Correctional


Institution


without


whose


assistance


this


would


have


been


possible


advi


, background material


support


numerous


psy-


hiatri


attorney


were


freely


giving


time;


among


other


John


Middle


Proj


George


Barnard


, M.D.,


Erni


Miller


Rufu


Vaughn


M.D.


Brooten


John


Kearns,


Bill


almon


Bill


Shepphard,


Minn


esota


, special


warmth


, support


"sounding


board"


servi


were


provided


Deni


hmutte


Linda


Steve


Bonfilio


McRob


John


Brantner


John


Hung.


Finally


thank


consented


subjects.


Ther


would


no project


them.















TABLE


CONTENT


CHAPTER


PAGE


ACKNOWLEDGEMENTS


ABSTRACT


S S S S S S S S S S S


INTRODUCTION


S S S S S S S S S 5 1


REVIEW


OF THE


LITERATURE


ssue


Workings
Criticism


Propo
Philo


ed
oph


Moral


spons


nsanity


Alternative


i


nsanity
es to t


ibility
defense
Defense


he


ideration


Defense


twice


ychological
Violent


Chara


teri


Individual


ychological


Violent


ychologic
NGRI


Current


THREE


Offenders
Character


s with

tics of


tudy


METHODOLOGY


Subjects
Materials
Procedure


Method


FOUR


* S S S S S S S S S S S S
* S S S S S S S S S S
* S S S S S S S S S S S


Analy


RESULTS


Hypothes
Hypothes
Hypothes
Hypothes
Hypothes
W~nnhHoc









CHAPTER


PAGE


FIVE


CUSSION


Pilot
Hypoth


tudy


Hypothesis
Hypothesis
Hypothesis
Hypothesis
Hypothesis


Hypoth
Other


* a a a a a
* a a. a, a a a a a a
* S a a a a a a a a a a
* S a a S S S S S S
* a a S S S S S S a
* a S S S S S S S a
* S a a a a a a a a a
* S a S 4 a a a a a a


Trend


CONCLUSION


APPENDIX


APPENDIX


CORING


DETAIL


CRITERIA


INDIVIDUAL


DRAWINGS


CRIME


Group
Group
Group
Group


* a a a a a a a a *S


APPENDIX


HUMAN


SUBJECTS


FORM


a S 4 a S 5 1


APPENDIX


DEMOGRAPHIC


DATA


FORM


APPENDIX


STATISTICAL ANALY


LIST


REFERENCE


S a a .


BIOGRAPHICAL


SKETCH














stract


ssertation


the University
Requirements f


Florida


ented


Dear


Partial


f Do


e Graduate
Fulfillment


tor of


Coun


Philosophy


PSYCHOLOGICAL
EFFECTS PERTAIN


I


UNDER


PROFILE
NG TO


INMATES


INSANITY


INSTITUTION
INCARCERATED


DEFEN


Caryl

Augu


Boehnert

1983


Chairperson:


Major


Department


Jacquelin
Clinical


Goldman


ychol ogy


Four


groups


violent


offenders


were


compared


on a


variety


demographic


psychological


test


variabi


thirty men


been


found


guilty


reason


insanity


(NGRI);


thirty men


attempted


plea


were


found guil ty;


thirty men


estion


anity


ychologica


evaluation,


never


used


plea


thirty men matched


on crime


for whom


question


mental


tatu


been


raised


. Chi


-square,


mul tivariat


anal


yses


di scriminant


function


statistic


were


applied


to the


data.


ects


were


grouped


according


ir mental


f#.i ins-


Inr2iflrlif+i a ; ama


F~r; Mb


Tkarr


P+3tllr


YILIP; r(bH~ b


^j n








sens


itive


instrument


detecting


subtle


differences


between


viol


individual


A high


degree


personal ity


pathology was


present


across


groups


picture


extremely


Only


control


other


groups


uncontrolled


group


showed


, explo


presented


features


acting


sive


clear-cut


both


potential


ychopathic


ychosi


Prediction


equation


were


generated


on the


basic


criminating


accurately


distinguish


between


groups


Data


support


hypothesis


that


there may


some


crimes


so heinou


that


community will


action


an NGRI


plea,


matter


turbed


perpetrator


estion


future


search,


involving


development


more


sensitive


crime


severity


scale


usion


non-violent


offender


in a


replication


study,


were


scussed.


vari













CHAPTER


INTRODUCTION


nsanity


ense


been


controve


rsial


feature


Anglo-American


ince


before


formulation


M' Naughten


Rule


"Criticism of


defense


been


constant


, starting


with


Queen


Victoria


reaction


original


M'Naughten


deci


sion


much


deriving


seems


from


an impression


that


however


'right'


it may


theory


many '


wrong


' results


practice"


(Wright


NYDMH


1978


that


time


Dani


McNaughten,


while


laboring


under


del u


ion, attempted


hoot


England'


Prime


Mini


ster


Robert


Peel


instead


ntally


killed


secretary


Publ i


outcry


naturally


ensued


McNaughten


indicted


murder


. Three


doctors


examined


mndi


ated


that


delu


ional


system


(involving


personal


section


Tori


govern-


ment)


been


present


over


year


acquitted


ground


verdict


insanity


stating


. Queen

"The l


Victoria


aw may


report

perfect


responded


to thi


that


whenever


a case


application


prove


avail


? ,C


ited


Becker,


1973


.44)


judges


involved


case


were


called


answer


their


before


House


Lords


course


questioning


came


formulate


what









future


comment


observing


that


difficult


reconcile


'with


what


took


plac


late


unfortunate


trial


(cited


Becker,


. 44)


Today


there


till


appear


problems


existing


trans-


lation


legal


theory


into


practi


John


Hinckley


attempted


assass


nation


ident


Reagan


given


renewed


force


arguments


that


favor


abolition


insanity


defense


" Now


that


Hinckley


been


found


Guilty


Reason


Insanity


crime


millions


citi


zens


witness


on tel


ion,


king


tice


survive


humiliation?"


(Lykken,


13A)


Emotional


reasoned


other


treat


things)


have


allowing


appeared


guilty


critic


free


defense


(Yochelson


(among


amenow,


1976),


criminating


again


poor


minority


groups


(Matthews,


1970)


aiding


mental


health


prof


essional


usurping


role


judg


jury


streets


(Dix,


after


relea


hort


time


dangerous


pital


criminal


, 1976)


treati


often


examine


philosophy


issues


, relying


on a


well


-publicized


cases


which


insanity


defense


figured


pro-


minently


. However,


basing major


policy


deci


sons


as th


abolition


defense


on consideration


an advantageou


defense


functioning


hand


approach


the majority


careful


cases


tudy


often


ense


used


uses


such


peopi


criminal


example


-picked,


notorious









tematic,


well-conducted


research


which


addresses


these


questions


quite


scarce


literature.


current


tudy


examines


psychological


demographic


character


group


ninety


were


involved


with


defense


between


1974


1978


. The


author


three


major


questions


beginning


research


. The


first


concerned


those


trying


defense


peared


on p


ychological


tests


they


resemble


criminal


popu-


lation


as a whole,


or were


their


test


data


more


compatible with


data


seen


population


mentally


ill?


Another


question


lated


those


used


insanity


defense


through


trial


were


found


guilty


sent


son:


all,


this


group


differ


from


those


were


found


nsane"


third


area


concern


focu


on the


functioning


indeed


examination


which


criminate


could


variable


affect


against


other


insanity


poor,


or were


than


verdict


other


psychological


: did


defense


factor


detail


Before


of the


these


individual


current


crime


research


affecting


question


adjudication


addressed,


necessary


review


literature


pertaining


to the


insanity


defense.


Consideration


philosophical


legal


aspects


various


tests


insanity


the mechanic


defense


, previous


demographic


search


tudie


in the


area,


psychological


tests


with


violent


offenders


provides


background


material


on what


known


unknown


about


functioning


insanity


defense


United


CZt~rta













CHAPTER


REVIEW


Issue


LITERATURE


Moral


tori call


defense


, the


been


ssued


moral


involved


blameworthiness


insanity


there


reluctance


assign


full


means


ure of


blame


an action


against


society


accompanying


intent


or awareness


were


present


. The


legal


term


mens


translated


as guilty mind


criminal


intent


(John


son,


1975)


addressed


issue


whether


accuse


poss


essed


requi


intent


perpetrate


offense.


st as


many


crime


people would


child


on the


avoid


ground


assigning


that


moral


were


responsibility


"below


reason,


" there


legal


mechanism


allow


society


avoid


placing


"guilt"


or "blame"


upon


an adult


lack


the mental


capa-


city


morally


aware


/her


action


consequences.


Even


time of


totle,


"capacity


choice [was


deemed]


critical


question


moral


blameworthiness


capacity


lacking


animal


, children,


insane


persons"


(Becker


.44)


Thus


label


11no


guilty


reason


insanity"


nifi


that


person


respond


ible


/her


actions


at the


time of


crime;


hence


cannot


assigned


blame


or guilt


, 197


Re s no ns i b i i i ty









Legal


Tests


Moral


Responsibility


Translating


theory


into


practice


proved


extremely


difficult


. There


have


been


problem


wording


legal


defini


tion


ts")


insanity


only


M'Naughten


standard,


later


test


Durham


irres


tible


impul


American


institute


(ALI)


rul e


Model


Penal


Code


. Tab


presents


cepts


four


"mental


legal


tests


capacity,


insanity


" "product


mental


Operationally


disease


defining


or defect,


con-


" and


"moral


awareness


vers


test


" (among


seek


others)


correct


proved


problems


controver


encountered


Each


pred-


ecessor,


similar


difficulties


found


M'Naughten


rule.


M'Naughten


rul e


states


that


"the


accused


have


been


laboring


under


defect


reason,


from


disease


mind,


doing;


as not


or i


know


know


nature


, that


quality


know


he was


that


what


doing


was wrong


" (common


law)


frequently


called


"right-


wrong


test,


been


criticized


narrowness


other


definitional


problem


is urged


by many


that


the word


'know


used


formula a


given


wider


definition


so that


it means


that


kind


knowing


that


relevant


realization


or appreciation


wrongfulness


seriously


harming


a human


being"


(Hall


cited


John


son,


1975,


484)


. Partially


as a


result


criticism


Durham


rule


introduced


as the


standard


District


r C r flrvr a+ nif m 2i


loA mn A ,


' as


nC


13 P


ml rl








Table
"Tests" of


M'Naughten


Insanity


(_1843)


from


that


used


disease


must


have


f the
doing


what


been


mind,
; or i


doing


laboring
as not to


under


know


know


wrong


the
it,


defect


nature


that


reason


quality
not know


Irres


istibi


impul


test


M'Naughten
To acquit


mental
to do
that i


seas


so even


instruction


reason
e which


they


kept


anity if
him from


conclude


wrong.


that


they


find


controlling h
he knew what


defendant


conduct


. They


doing


Durham


(19541


cuse


product


criminally


mental


sease


respon


ible


unlawful


or defect.


American


institute


(AtIl


Model


Penal


Code


(Original


Draft


1962)


person


such


response


conduct,
tantial c


conduct


or to


as a


ible


result


capacity
conform


criminal


mental


either


conduct


sease


appreciate


conduct


to the


time of


or defect, he
e criminality


requirement


lack


law.








Durham


rule


Unfortunately,


Durham


rule


wording


that


accused


not criminally


respon


ible


unlawful


product


mental


sease


or defect"


(Durham


. US


. 1954)


proved


to be


broad.


Almost


nervous


mental


condition


could


used


attorney


as relieving


an indivi


dual


respon


ibility


("trial


label"),


long


as mental


health


terminology


diagno


criteria


ignated


pathology


as a


sease.


successful


aquittal


rose


from


1954


(Johnson,


1975)


before


McDonal d


deci


defined


mental


disease


or defect


affects


as "any


mental


abnormal


or emotional


condition


proce


sses


mind


which


substantially


substantially


impair


havioral


control


lowin


1982,


The


percentage


successful


additional


acquittals

stringency


then


dropped


to Durham


to 5


excluding


Overholser


ychopathy


provided


or "anti-


social


personal ity"


as a


mental


sease,


thereby


loophole


which


resulted


acquittal


great


number


habitual


criminal


Bazelon


review


Durham experiment


replaced


conclude


"The


Durham


formulation


gave


false


impre


sslon


that


question


cause


ality


act]


required


medical


or scientific


answer


language


could


fare


better


flat


since


seemingly


does


invite


scientific


expert


answer


that


witnesses


impairment


offer


or did


cause


act.


clear


that


Durham


focused


jury


tention


on the


wrong question--on


relationship


between








rule


. The


optimism


present at


inception


Durham


rule


recur


Rather


, although


many


legal


experts


felt


that


American


Institute


(ALI)


rule


avoided


major


problems


found


M'Naughten


Durham


(Johnson


, 1975)


, they


admitted


that


operational


difficulties


till


remained


rule


states,


person


respo n


ible


criminal


conduct


time


such


conduct,


as a


result


of mental


ease


or defect,


lacks


substantial


capacity


either r


appre-


ciate


the criminality


conduct


or t


conform


conduct


requirement


law"


(ALI


Model


Penal


Code


4.01


--Proposed


Original


Draft


Many


effect


that


tate


also


habitual


include


criminal


"caveat


conduct


paragraph"


cannot


used


clause


as the


sole


riterion


cons


titute


mental


disease.


Becker


offers


criticism


that


rule


still


lend


itself


conclusory


testimony


psychiatric


experts,


that


the moral


issue


inherent


deci


-making


"The


like


process


till


those


Durham,


obsc


contain


magic


provide


ured


word


imple


the wording


usceptibl


answers


of the


being


hard


test


used,


questions


obscure


underlying


issues.


'test


question


' aspect


remains:


cases


will


till


found


terms


doctor


answers


question


whether


particular


state


mind


or i


'mental


sease


or even


whether


defendant


'sub


tantial


capacity


(Becker,


1973,


insanity


tests


Given


concerns


tated


above


that


~- -~~-~~--









individual


test


on the


adjudication


guilt


judge


jury


However


most


authors


(Becker,


1973


John


son,


1975)


rely


results


tudy


cited


Morri


Hawkin


(1970


The practical
insanity and


difference


modern


revi


between


traditional


recently


tests


empiri


ally


ted.


on the
lowing


Variou


M'Naughten


simple


defendant


which


defendant


failed


instruction


half


jurie


and u
was i


were


rule


uncluttered


nsane


is accused,


guilty


see any


. Do


produce


given


Durham


instructions


test


formula:


time


then


reason


operative


we need


mouse
(cited


If you believe
committed the


must


nsanity


difference


labor


another


incons


Johnson


find
.' Th
the


century


e juries
three


sequence?


1975


,p.


Except


period


District


Columbia


during


which


sociopath


"antisocial


personality")


could


record


habitual


criminal


conduct


as evidence


mental


sease


or defect


under


Durham,


insanity


acquittal


have


been


successful


roughly


criminal


cases


, regard


test


applied


(Johnson,


1975).


Table


presents


tate-by


-state


anal


which


tests


used


across


jurisdictions


as o


spring


seen


from


table,


there


no s


ingle


test


insanity


that


being


applied


throughout


United


states


M'Naughten,


Durham


Hamp


hire)


the ALI


rule,


combination


of M


Naughten


irre


ti bl e


impul


doctrine


used


depending


upon


preference


legi


lature


particular


state.


federal


courts


have








Tabl


Insanity
(as


Tests


spring


Across
1982)


states


tate


Test


Federal


Alabama


M'Naughten


irres


plus


istibi


impul


M'Naughten
ALlI


Arkansas
California


Colorado


Connect
Del aware


Florida
Georgia
Hawaii


Idaho


Illinoi
Indiana


Iowa


dimini


M' Naughten


irres


capac


istibi


'Naughten
'Naughten p1
irresistible


impul


impul


Columbia


M' Naughten
M' Naughten


none


M'Naughte
irresis


Kansas
Kentuc


Loui
Main


GBMI
GBMI
n plus
tible


impul


M'Naughten
ALI
M'Naughten


iana


Maryland
Massachu


higan


setts


GBMI


esota
issippi


Missouri
Montana
New Hamp
Nevada


M'Naughten
M'Naughten


means


hire


New Jersey
New Mexico


New Y
Nnrth


Durham


M'Naughten
M'Naughten
M'Naughten


ork


Ca;rrnl man~


M' Naiiaht-pn


zona


Minn


,










Table


2--continued


State


Test


Pennsylvania
Rhode Island
South Carolina


South
Tenne


Dakota


ssee


Texa


Utah
Vermont
Virginia
Washington
West Virginia
Wisconsin


Wyoming


M'Naughten
ALI
M'Naughten
M'Naughten
ALI
M'Naughten
ALI
ALI
M'Naughten
M'Naughten
ALI
ALI
ALI


(taken


in part
. 524,


from
note


Slowinski
65)


, 1982,








mentally


clients


lowinski,


1982)


(See


Proposed Alternatives


Defense


Most


below


research


consideration

on the mechanic


GBMI


rule.)


insanity


defense


conducted


standard


York


time.


Wyoming,


current


both


research


which


took


were


place


under


Florida,


which


reli


on the


M'Naughten


standard.


Before examining


defense


working


these


three


states


first


necessary


understand


proc


by which


defendant


found


insane,


criticisms


process


currently


operating.


Workings


Insanity


ense


Evaluation


When


court


requests


an evaluation


assess


mental


status


defendant,


there


usually


question


being


asked


mental


health


professional


One


concerns


whether


defendant


insane


time


crime


(whether


he meets


test


criteria


as set forth


individual


state


Rule


Criminal


Procedure)


second


ques


tion


about


which


court


an expert


opinion


whether


defendant


competent


tand


trial


Supreme


Court,


mandated


specific


involved


ssue


f competency


tand


trial.


enough


trict


judge


find


that


'the


defendant


oriented


to time


place


some


recollection


event


I but


that


test


must


their


efficient


present


ability


consult


with


lawyer with


reasonable


degree


-.


rational


under


tanding-


-and


whether he


`I








Before


tion


anity


can be


brought


before


court,


individual


must


first


found competent


tand


trial


legal


safeguard


defendant,


insuring


that


he/she


state


mind


which


allows


him/her


to play


as appropriate


alert


role


in the


proceeding


as possible.


Howe ve r,


competency


tage


problematic


terms


operational i


legal


theory


. Dif-


ficulties


briefly


reviewed


below.


detailed


cons


ideration


issue


referred


involved


to Henry


competency


Steadman


tand


Beating


trial,


(1979),


reader


longitudinal


study


those


found


incompetent


tand


trial


York


State.


There


exist


problems


both


defining


implementing


procedure


handle


those


individual


found


incompetent


tand


trial


Roesch


(1979)


asserts


that


criteria


incompetency


poorly


defined


that


some


profess


ionals


rely


on clinical


kill


personal


definition


incompetency


rather


than


explicit


criteria


decide


competent.


There


have


been


frequent


interpretations


as to


type


dec i


court


seeking


profe


ssional


render


opinion


as to


dangerousness


sanity


or whether


defendant


psychiatric


disorder while


never


address


sing


issue


whether


he can


under-


tand


legal


proceeding


determining


Many


competency


states


in the


court


are currently

t order which


including


sent


criteria


to the


profess


ional


an attempt


provide


structure


expert


opinion


it appears


that


true


incompetency


tand


trial


a comparatively









Bridgewater


found


that


only


observational


admi


4


ssions


incompetent


tand


trial


Thi


an accurate


frequency


based


on our


experiences


courts


" (1974


65)


. They


tress


that


more


people


labeled


incompetent


tand


trial


than


actually


lack


capacity


assi


their


attorney


in th


defense


point


view


echoed


Yochel


amenow,


maintain


that


incompetency


plea


used


provide


defendant


with


"training"


feigning


mental


illness


that


people


legitimately


competent


(1976)


Boehnert


submitted


publication


estion


that


court may


erring


on the


aution,


finding


many


incompetent


in fact


capable


participation


court


interest


protecting


their


legal


cess


rights


After


defendant


found


incompetent


tand


trial


felony


remanded


secure mental


health


facility


treat-


ment


which


often


involves


antip


ychotic


medication


taff


treatment


facility


also


hold


competency


asses


" which


teach


basic


as to


uated


principles


"pas


courtroom


" future


competency


procedure.


competency


than


Patient


examination


every


month


then


Patient


, usually


coached


eval -


by means


an oral


or written


When


they


able


demon


state


accep-


table


under


standing


legal


process


court


so informed


they


returned


their


original


juri


diction


tand


trial


cess


of "coaching


ompetency"


come


under


from


some


. Thi










Incompetency


insanity


issues


part


same


foren-


evaluation


they


synonymous


legal


concepts


poss


ible


defendant


to be


first


found


incompetent


to stand


trial


water


found


sane


time


crime,


or visa


versa.


There


does


appear


trend


some


juri


diction


, however,


those


deemed


incompetent


tand


trial


to be more


likely


deemed


nsane


than


those


lacking


finding


incompetency


(Boehnert


sub-


mitted


publication


Fosdal,


1979b)


. Fos


(1979b)


cautions


that


there


incompetent


f mental


strategic


tand


advantage


trial


incompetency


should


tand


trial


having


"the


remembered


often


a major


ndant


that


found


finding


factor


success


plea


mental


non-respon


ibility"


. 46)


urpri


sing


that


practice


ques


tion


nsanity/incompetency


is usually


defense


attorney


(NYDMH,


,1978)


.The


court


informed


that


an evaluation


ncom-


petency/insanity


at the


time


crime


deemed


advi


able


Coun-


defense may


provide


court with


information


as to


lack


expert


respond


to perform


ibility


is suspected,


an evaluation


as t


court


whether


appoint an


defendant


assi


/her


criteria


. If


attorney


defendant


whether


indigent


meets


, the


insanity


court may


defense


also


fees


this


expert.


Alternative


report


supports


use o


defense










labeled


mental


as "insane,


hospital


" stigmatized


as "mad


an indeterminate


time


bad,


period


or placed


specially


rime
.rime


system


relatively


seem


minor


suggest


and

quick


chances

parole


within


from


the

ison


criminal


inger


twice


, 1980)


case,


an attorney


attempt


plea


bargain


with


pro-


sector


, or may


use mental


illness


as a


mitigating


factor


case


goes


trial


Filing


"Motion


Intent


certain


cases


, however,


defense


attorney


does


proceed


with


the defense


"motion


intent


to rely


upon


ense


insanity


" Other


perts


then


called


evaluate


ndant.


relatively minor


cases


prosecution may


agree


plea


"not


guilty


reason


insanity"


(NGRI)


case


then


goes


before


judge,


both


tipulate


(agree)


defendant may


found


NGRI


rather


quickly


However,


when


crime


notorious


or heinou


one,


.and


ecution


actively


oppo


idea


defendant


being


found


"insane,


battle of


expert


offur,


with


reputable mental


health


profess


ional


aligned


on opposing


ides


. It


type


case


with


which


insanity


defense


closely


associated


the mind


public


"minor


crime"


mentioned


above


(NYDMH


, 1978


teadman


Cocozza


, 1974)


Judge


or Jury


Trier


Fact


. The


insanity


case may


presented


before


judge


or jury


Simon


(1967)


suggest


that


juri


fre-










"guilty


but mentally


ill"


needs


to accept


both


treatment


consequences


/her


actions


appear


that


opposition


that


jurie


too lenient


an erroneous


one


Rather,


they


much


more


reluctant


than


judge


to render


verdict


NGRI


supported


Boehnert


submitted


publication,


1982)


found


that


success


pleas


were


before


judge;


unsuccessful


NGRI


attempts


were


presented


jury.


Consequences


Plea


. If


an NGRI


plea


fail


defendant


found


guilty


sentencing,


judge may


take


evidence of


men-


illness


into


cons


ideration


mitigation


severity


of the


sentence;


he may


impose


sentence


based


solely


legal


tatute


detail


crime


without


heeding


ychiatric


input


. In


most


cases,


defendant


then


remanded


to th


custody


Department


Correction


placed


on probation.


Florida,


sentence may


involve


impo


ition


death


penalty;


indeed,


many


Florida


ample were


to be


found


on Death


Row.


however,


insanity,


a defendant


is remanded


found


treatment


guilty


institutions


reason


usually


maximum


ecuri ty)


run by


tate mental


health


agency.


It must


tressed


that


legally


NGRI'


are


cons


idered


to be


"mentally


ill,


respond


ible


their


offense,


in need


placement


treatment


institution,


prison


. The maximum


security


units


which


NGRI


usually


sent


under


control


cor-


Thi








"maximum


benefit


from


treatment,


informs


sentencing court


effect.


A hearing


then


held


(often


sentencing


judge)


as to whether


NGRI


still


fits


dangerousness


criteria


whether


likely


danger


himself


or others)


judge


opinion


that


NGRI


cons


titute


danger


the community,


will


remand


defendant


continued


custody


treatment


facility


on the


basi


dan-


gerousness


even


though


facility


labelled


as being no


longer


in need


treatment.


should


be noted


that


judges


far more


willing


err on


safety,


especially


regarding


an NGRI


accused


violent


crime


(Boehnert,


submitted


publication,


1982;


Stone


, 1975)


Goldstein


conceptualizes


issues


inherent


final


stage


process


as follows


"The critical


issue


so much


that


commitment


that


release.


manner


which


handled


determines


whether


commitment t


entirely


thera-


peutic,


whether


an elaborate


preventive


detention,


or whether


an awkward


accommodation


objectives"


(Gold


tein,


1967,


. 143)


Criticisms


Insanity


Defense


Definitions


. As


can be


seen


previous


sections


which


examined


various


tests


insanity


there


have


been


many


difficulties


from


attempt


to operationalize


ambi


guou


language


found


statutes.


Chief


tice


Burger


argues


rule


law can


possibly


sound or workable


which


is dependent


__


_









disagreement


about


what


those


terms


mean"


NYDMH


, 1978,


Other


definitional


problem


those


in the


mental


health


profess


First,


term


"insane"


no counterpart


in p


hiatric


nomenclature.


not equatabl e


with


"psychotic,


1 I"


schizo-


phrenic,


or any


other


diagnostic


label


Each


case must


exa-


mined


individually,


expert must


attempt


to conceptualize


mental


ability


pathological


behavior


into


standard


framed


language


another


scipline


. Thi


translation


often


extremely


difficult


process


Role of


expert.


Many


criticisms


concern


various


aspects


rol e


the mental


health


profess


ional


in the proceeding


(1981)


gi ve


voice


careful


concern


cons


that


ideration


finder


to the


fact


legal


often


complexity


appear


involved


nsanity


case


seems


clear


that


major


factor


in thi


state


affair


continued


domination


litigation


mental


health


professionals.


often,


e matter


resolved


uncritical


acceptance


conclusory


opinions


rendered


by mental


health


pro-


fess


ional


" (1981,


opinion


other


(Hal


pern,


1977


NYDMH,


1978)


that


there


trend


expert


witness


usurp


role


f the


trier


fact


determining


defendant


knowledge


right


from wrong.


performance


anity


evaluation


problematic.


part


evaluation,


expert


asked


extrapolate


back-


1.12U02 C nr fly II* I I t II


tfn *h


nrfmfnca


nfl-an


timo


rl~ ~rl


firn


\IP~ rC


nrlnr


E l l


riu


I ll









court


/her


hypothesis


event


surrounding


crime


there


no s


scientific method


extrapol action


which


would


allow


even


the most


killed


practitioner


inform


court


what


actually


happened


during


period


estion


. Furthermore


, conducting


examination


around


sues


legal


tests


insanity


once


removed


from


ychiatric


training which


signed


con-


centrate on


mental


illness


on giving


treatment


patient


litigant.


Abrams


(1979)


goes


so far


as to


assert


that


"given


present


called

. i


definitions


imposs


mental


ible


illness


causa


based


on behavioral


connection


between


pattern


men-


illness


" and


crime"


(1979


441)


reasons


that


no s


peci-


cause


been


found


for most


the major


psychiatric


illne


sses


(hence


label


"functional


therefore


classification


diagnosis


rest


on description


behavioral


pattern


common


each


illness


opinion,


isa


personal


scientific


opinion


which


used


in determining


which


"pattern


are more


patho-


logical


than


others,


which


relieves


ndant


res-


ibility


argue


that


given


tate


f the


ychia-


tric


diagno


"cause


mental


illness


hence


there


a noncontingentt


relation


between


insanity


or mental


illness


non-repon


ibility"


(1979,


450)


Hal pern,


ychiatri


similar


concern


that


ychia-


I~ ~~~ U It S U


* I


* i


1


I


I I


I 1 I I


"I










basi


select


mental


sease


or defect


as a


justification


excul pabi lity

as heredity,


while e

poverty,


Including

family


other


behavioral


environment,


determinants, such

cultural deprivation"


(1977,


400)


. In


fact,


these


issues


often


presented


in com-


prehen


reports


to the


court


concerning


mental


condition


defendant,


serve


inform


reader


about


individual


before


court:


accused


crime


thinks


(Hoffman,


came


1981)


Other


voice


profes


concern


ional


that


, especially


battlel e


those


expert


ychiatry


" degrade


ychology,


image


profess


. Thi


assertion


certainly


new one,


as Smith

ceeding.


points


"Thi


out

trial


quote


present


from

d the


1855


insanity


painful


defense


humiliating


pro-

spec-


tacle


(Buckni


f mental

ll, 1855


pathol ogi


mith,


differing


1980,


entirely


Thi


their


ssue


judgment"


linked


to the


notion


"expert


hire"


--a profess


ional


suspected


changing


/her


will


testimony


. "The


profess


opinion


ional


support


ture


whichever


specialty


deba


as the


public


reali


conflicting


testimony


several


members


have


been


perverted


through


promi


service


rendered"


(Kolb,


NYDMH


. 103)


Others


admit


that within


specialty


which


currently


lacks


scientific


pre-


example,


ball


sties


difference


opinion










Cli ent


rights.


Such


concerns


involving


role


profess


ional


for moral


insanity


response


ability


defense


involve


client


Other


criticisms


rights


A profess


the

ional


tests

con-


ideration


linked


to the


public


image


mental


patients


general


expressed


when


publicity


surrounding


notorious


insanity


case


cons


idered


cul pation


from


. "Mental


criminal


illness


respon


violent


ibility


criminal


behavior,


predominantly


linked


conscious


sness


public


as a


result


such


an unfortunate


case"


(Cavanaugh


Rogers,


. 538)


Another


concern


involve


concept of


"equality


under


considering


possibility


that


defense


discriminates


again


t the


poor,


Matthew


(1970)


argue


that


often


the mo


qualified


profess


ional


from


either


or p


ychiatry


involved


anity


cases,


reasons


f ethic


finance


.He


ugge


that


indigent


defendant


unable


private


attorney


or a


team


fully


fender


credentialled


expert


experts


court may


second-rate,


appoint


giving


only


public


cursory


examination


having


narrow


definition


mental


illness


which


biases


them


section


. The more wealthy,


on the


other


hand,


bring


private


attorneys


well


-versed


tacti


well


respected


experts


have


taken


time


understand


legal


concepts


impres


jurne


with


their


vitaes


, opinion


delivery


Steadman


(1978),


while


acknowledging


that


such


crimination









demographic


involved


defense.


Pasewark


(1979)


critic


suspicion


held


by many


attorney


that


state


hospital


evaluation


than


comply et


or are


biased


toward


prosecution,


instead


prai


compete


ence


comprehen


siveness


court-


Ordered


examination


appears


that


later


tudi


have


supported


Matthews


' allegations


widespread


operating


appli


ation


nsanity


defense.


Gold


tein


Katz


(cited


Abrams


, 1979)


question


whether


defense


signed


to author


holding


person


have


omrnitted


no crime"


. 451)


Al though


found


guilty


defendant


asked


an alternate


facilitate


community


detainment


. Thi


instead


position


assified


some-


what


similar


more


extreme


point


zasz


asserts


that


society will


freedom of


always


those


able


for whom


invent


harbors


to d


fear


tain


trust


abridge


ited


NYDMH,


1978)


Protection


society


. The


final


criticism


defense


sur-


round


ssue


protection


. There


sense


outrage


on the


part of


some


that


label


"not


guilty"


(for what-


ever

law.


reason)

Some op


conveys


Iponents


to the


so far


publ i


as to


that c

state


certain


people


that


are

ense


above


damages


national


or s


tate


cons


science


or s


uperego"


(Kolb


NY DM1-


exacerbates


"breakdown


or contempt


among


votinG


intPrnrP


hvnnrri


in thn s


~kw rn


tn imhnl i


q4L


.


m i J


1


7 -


. I


. .i.


I -










trying


defense.


support


this


view


that


insanity


fense


devi


e whereby


"guilty"


escape


their


deserved


puni


hment


viewpoint


nted


authors


Criminal


Personality


. Yochel


Samenow


(1976)


defense


as a


strategic


maneuver


on the


part


very


aware


criminal


conclude


'Why


serve


year


term when


hospital


much


shorter


time


empha


that


hospital


record


contain


valid


account


what


really


occurred


institution


record


. all


contain


self-serving


stories


that


criminal


have


their


examiners


attempting


judged mentally


i'Il"


. 225


-235)


. This


concern


echoed


Hal pern,


as he


focuses


on the


careers


those


"made


Florida,


point of


Texa


trying


to fool


, Maryland,


ychiatri


York,


psychology


California,


Canada


(1977,


only


opinion


involve


anger


idea


tice


being


thwarted


more


indirectly


they


concerned with


eeming


incapacity


f the


pital


or receiving


facility


manage


ade-


quately


'endant,


viewpoint


echoed


other


extreme


their


opinions


(Cavanaugh


Rogers,


Dix,


1981


teadman


NYDMH,


1978)


Legi


lators


(Pasewark


, 1979a) and


public


alike


fear


that


after


years


"treatment"


institution


with


estionable


success


rates,


NGRI


will


return


streets


, uncured,


We








3 longer
isfits,


ternatives t
are enjoined


plans for
treatment


concomitant


have
state


open


the remote
deviants an


sons


asylums f
vagabond


na poor
provide


patients who
The advent


changing


in dra


resulted


psychiatric


atmo


centers


phere


today


containment


time


containing


houses
highly


found


longer
state


spec


need


ychotropi


nature
tically


centers


rather


are no
social


defendant


appropriate


-patient


c


ific


grab-bag
defacto
hospitals


today


treatment


in-patient


medication


f psychiatric
reducing the


. Increa


than


longer
deviant


ingly


locked ward
appropriate
s. (Prevos


competent


care


tand


taff


care


pitalization


length of
haracteri


stay


, psychiatric
facilities f


NYDMH,


trial,


inform


1978


longer


court


this


effect,


the court


well


recommend


continued


residence


pital


on grounds


dangerousness


other


stage,


several


probi


are present.


many


hospital


facilities


are not


signed


are staff


trained


with


security


as a


primary


focu


second,


"apart


from


taff]


perceiving


themsel ve


as being


forced


hold


people,


without


treatment


the need


are more


properly


response


ibility


other


agencies


society,

contrary


1978,


more


cogent


to all


116).


difficulty


tenets


Third


that


profess


central


these

ional


difficulty


patient


this


inherent


must


managed


" (Wright


NYDMH,


the u


f the


term


dangerousu


sness


as a


guide


relea


Research


consistent and


definite


that


mental


health


prof


essional


cannot


accurately


predict a


base


rate


, complex


behavior


as dangerous


sness


(Monahan


Cummings


1974


Monahan,


1978,


1982


NYDMH


1978


teadman


Cocozza


, 1974)


m


-















committing


profess


ional


perjury"


(Wright,


NYDMH


1978


, p.


116)


inability


predi


dangerous


sness


means


that


final


step


NGRI


degree


process,


assurance


release


that


impossible


defendant


implement


longer


with


to h


community.


Proposed


Alternative


to the


Defense


Given


large


number


criti


insanity


defense


tand


now,


urprl


that many


alternatives


have


been


proposed


It


also


urpri


that


alternatives


these


appear


have


eriou


problem


when


into


practice.


Abolition


ense


Some


states


(notably


Idaho)


have


expert -


mented


with


abolishing


defense


altogether


(Lykken,


ince


there


no constitutional


mandate


that a


state must


utilize


a test


criminal


responsibility


. In


that


state,


judge


permitted


consider


testimony


as to


mental


illness


recommendations


treatment


deciding


on sentencing


after


defendant


been


found


guilty


Aside


from


theoretical


debate


over


the merits


totally


removing


defense


as an option


there


exists


some


question


whether


judge


defendant


would


recipients


quality


psychiatric


opinion


evaluation


respectively,


there


formal


mechani


ensure


profe


ssional


competency


(Lykken,


1982)


Bifurcated


trial


Other


states


(Florida


California


, among


them)


have


experimented


with


system


bifurcated


trial


.The









an adversarial


1982


cess


Criti


before


range


from


same


jury


concern


stage


with


two" (Lykken


duplication


effort


involve


presenting


much


same


information


separate


times


in the


same


trial


asse


rtion


that


issues


guilt


mental


condition


separabi


therefore


should


not b


cons


idered


separate


trial


procedures


(Carnahan,


in NYDMH,


1978)


Furthermore,


"what


sometimes


happen


that


jury


hear


part


an insanity


trial


what


they


should


heard


part


.But


then


late


degree


homi


already


been


determined"


dal,


1979a,


Dimini


capacity


In


1978,


government


York


tate


appointed


panel


legal


mental


health


professional


tudy


defense wa


working


practice


in that


state


offer


to the


governor


alternatives


to the


nsanity


defense


necessary


. The


panel


recommendation


that


York


adopt


dimini


capacity,


admi


ible


convicted


which


"evidence of


degree


Specifically


those


abnormal


crime


offenses


mental


condition


for which


requiring


would


accused


intent


could


or know-


ledge


could


reduced


esser


included


offenses


requiring


only


reckle


ssness


or criminal


negligence"


(Carnahan


NYDMH


1978


. 140).


Under


mental


health


profess


ional'


testimony


limited


defendant


capacity


culpabi


conduct.


result


that


defendant


mental


state


taken


into


account


in the


judge


. 17)









prisons


include


in the


evaluation


United

, group


States"

therapy


(NY DM1-,


1978,


10).


pital


Facilities


regular


out-pa-


tient


services


chronic


the more


illness


.The


traditional


corrections


-pati


system model


pital ization


presented


having


intention


providing


same


quality


care


as a


com-


muni ty


-based


mental


health


center


Al though


flaw


not mentioned


York


panel


commendation


dimini


capacity model,


they


mental


health


professional


trained


determination


"culpability"


(another


legal


term)


any more


than


they


trained


assessment


f moral


response


ibil ity


likely


that


adoption


dimini


capacity


rule will


lead


dramatic


increase

capacity


the

some


system


number

form,


time


defendants


invoking


an already


offense


, only


question


over


small


-crowded


minority


mental


judicial


offender


in my


opinion


are mentally


as compared


large


number


offender


who demon


trate


some


degree of


mental


impairment of


dimini


capacity"


dal,


1979a,


A variety


"mental


impairment


" and


psychiatric


diagnoses


used


negate


capacity


intent


more


than


qualify


as completely


solving


someone


moral


res-


ponsibility


unenviable


/her


role


action


the mental


. Third


health


much


profess


>been written on


ional


(Bazelon,


1977a;,Reid


Allegation


frequently made


that


the









institution


organization


social


: namely


control


fellow


to assist


employees


in the


keep


goal


order


Given


diffi


ulty


philosophy


ally


integrating


treatment


pro-


gram


with


institutions


punishment


cons


ring


such


as the


riots


over


conditions


York


system


more


recent


accuse


action


Abbott


(1981),


there


ustifi


ation


questioning


whether


York


tate


been


able


into


practi


"mod


mental


health


care


sons


within


space


year


"Guilty


Mentally


" One


the most


publ i


alterna-


Michigan


"Guilty


Mentally


I1l"


rule


1974


higan


ease


xty-


four


inmates


been


prevlou


commi tted


under


NGRI


statute,


on the


basis


that


they


were


currently


sane


than


year


later


two of


them


committed


addi tional


viol


crimes


(1976)


ectly


attribute


formulation


f Michi-


"Guilty


Mentally


Ill"


(GBMI)


hese


crimes


.Thi


important


in that


serving


as a


model


other


states


unhappy with


performance


standard


insanity


ense.


GBMI


statute


states


, "A defendant


found


GBMI


determines


beyond


reasonable


doubt


that


defen-


dant


guilty


mitted


an offense


offense


mentally


gally


at the


nsane


at the


time


time


com-


com-









or is


temporarily


transferred


treatment


facility,


to be


returned


following


treatment


serve


remainder


sentence.


Criticisms


rule


broad


varied


First,


conse-


quences


defendant


convicted


under


GBMI


rule


or a


guilty


plea


esse


ntially


same


.The


rule


seek


insure


that


convicted


GBMI


defendants


observers


agree


receive


that


necessary


treatment


treatment.


non-existent


Unfortunately,


prison,


most


that


in sentencing


defendant


treatment,


court


sen-


tencing


them


condition


that


does


t (Steadman,


1980)


addition,


singles


offenders


tigmatization


within


confines


system


. Many


defendants


dread


entering


with


label


"crazy,


" due


to their


expectation


differ-


ential


treatment


from


both


fell ow


i nmf tes


taff


(Singer,


1980)


"legal


hollowness"


GBMI


plea


some


lawyers


assert


that


"the


defense


counsel


advi


client


plead


GBMI


would


constitute


ineffective


assistance,


breach


canonized


ethical


duty"


chwartz,


1975,


cited


Carnahan,


NYDMH,


1978,


139)


Furthermore


some


legal


expert


(Gro


tic,


1978)


argue


that


jury


confu


caused


imilarity


GBMI


NGRI


rules


will


result


GBMI


privately


verdicts


deemed


some


legally


defendants


insane,


actually


depriving


are more


those


appro-


individual


their


right


use o


nsanity


defense









defense


entirely


favor


above


alternati v


without


adequate


appreciation


their


defi


ienci


full


comprehension


mechanic


current


system.


Philosophical


i deration


Practice


Current


tudi


assified


into


two type


those


examining


broad


persons


class


ified


as both mentally


violent


those


examining


ubset


above


group who


were


found


guilty


reason


insanity


Example


former


estigations


which


examine


dangerous


sness


f mental


patient


as a


whole


(Rabkin,


1979)


which


attempt


cover


relation


between


ychiatric


diagnosis


criminality


(Guze


1976


Piotrowski


1978


iomopoul o


owsky


, 1980)


. Example


latter


ncl ude


recent


esti


gation


York


Wyoming


centering


around


tati


cription


f NGRI


defendant


course


their


pital i


ation


they


(Pasewark,


compare


1979,


with


1980


ndant


singer


found


NGRI


teadman,


early


1974


, 1980)


1970


Finding


reviewed


here


provide


background


description


current


tudy


NGRI


Florida.


Arrest


rates


mental


patient


general


compo


ition


pati


group.


to the


increased


use of


the mental


health


as an alternative


to the


criminal


justice


avenue,


far more


indivi-


dual


with


prior


arrest


records


being


hospitaliz


. Thi


process


termed


"the medicalization


havior"


involves


fining


*~~~~l S Sn -


a S


q


*


I I


*


r


*


*


*









records"


wider


(Rabkin,


group


1979,


mental


26).


health


inclusion


patients


this


partially


subgroup


responsible


tati


which


indicate


that


patients


as a


group


are more


likely


arrested,


especially


crime


violence


Other


con-


tributing


ychiatric


factors


patients


increased


concern


arrest


changing


rate

admi


being


ssion


quoted


pol icie


patient


. There


have been


decrease


in the


admi


ssion


geriatric


patients


tate


persons


mitment


psychiatric


found


patients


centers


incompetent


. those


tand


admitted


increase


trial


being


admi


emergency


danger


ssion


com-


to self


other


(Melick,


1979)


Rabkin


inve


tigation


poses


an increase


ingly


frequent


question


what


association


between


arrest


diagno


category


asserts,


"When


patients


with


arrest


stories,


primary


diagnose


substance


abuse,


personality


order


cons


idered


separ-


ately,


remainder


patient


group


appears


dangerous


than


those


members


f the


general


public


not mentally


" (1979


Relation


between


arrest


rate


diagnosis


: high


risk


groups


Most


researchers


agree


that


personality


disorders


as a class


ification


group


have


proportionately


high


arrest


rates


(Binn


1969


Guze,


1976


Henn,


1977


Rabkin,


1979


iomopoulo


, 1978;


itrin,


1976)


Another


population


intere


emerge


that


compri


those









rather


pessimistic


results


as to the


prognos1


aggr


essive


young


sters,


there


been


demand


more


long


-term


follow-


tudi


Far


result


on an eighteen-


year


follow


ychiatrically


turbed


viol


adole


scene


admit


children


unit


Creedmoo r


pital


n 1960.


tudy


suggests


following


trends


. First,


although


anti


social


subjects


con-


tinued


response


ible


for multiple


crimes


throughout


eighteen


year


f the


tudy


there


no cons


relation


between


acts


for which


they


were


originally


hospital ized


subsequent


acts


second,


earlier


which


antisocial


behavior


begins


child


greater


likelihood


exists that


pattern


will


continue


group,


e with


enduring


anti


social


behavior


"were


almo


long


preadmi


i story


hood p

havior


problems

in the


showed


hospital


the most

, with a


unstable,


ntisocial


variable, and

and behavioral


aggressive


turbances


predominating


as chief


complaints,


rather


than


ychiatric


symptoma-


tology


. Their


family


background


contained more


anti


social


historic


one-


parent


there


homes


lose


" (Faretra,


relationship


1981,


between


Third


reason


ect's


original


hospitalization


ubsequ


life


course


. Those


admitted


with


ychiatri c


symptoms


continued


to have


mainly


mental


hygiene


contacts


throughout


their


lives


Those


admitted


with


predominantly


antisocial


behavior were mainly


associated


with


courts


Sid








-















Fourth,


most


children


with


longest


duration


problems


prior


admis


(over


two years)


showed


life


course


anti


social


psychiatric


problems


" (Faretra,


448)


Faretra


conclusion


support


those


Robin


(1966)


suggest


rather


cons


tent


relation


between


early


acting


conduct


order)


later


criminality


. Data


from


England


lightly more


encouraging


West


(1980)


assert


that


the majority


young


delin-


quents


treatable


Those


eventually


continue


umed


anti


social


into


careers,


ordinary


appear


society


to match


chronic


aggres


recidivi


found


Faretra


sample.


most


important


features


poor


control


hedoni


aggressive


impul


station


tolerance,


primitive


conscience


, instability


personal


relationship


poor


performance


education


work


career


, usually


traceable


back


an undi


ciplined


socially


prived


childhood"


(West,


1980


Relation


between


arrest


rate


diagnosis


schizophrenia


Evidence


becomes


less


consistent


regarding


criminal


activity


chizophreni


tudie


which


feature


schizophrenics


than


half


patient


sample,


their


arrests


proportionately


high


(Rabkin,


1979


Zitrin,


1976)


itrin


(1976)


found


ophreni


over-


over-repr


represented


nted


among


those


in overall


committed


arrest


rates


violent


. Sosowsky


crimes


(1980)


ampl e


include


greater


concentration


young


schizophrenic


"The


d





..


A


1, I .


.. I


.. 1









Giovannoni


Gurel


(1967)


found


with


sampl e


diagnosed


chronic


schizophrenic


that


subjects


' arrest


rates


were


higher


than


control


population


with


respect


to violent


crimes


. With


change


composition


state


mental


hospital


reality


Steadman


concludes


seems


time


to acknowledge


that


there may


kernel


accuracy


public


perception


the mentally


threatening


dangerous


arrest


rate


greater


than


those


general


population


assumed


indicate


dangerous


behavior"


(1981,


314).


preceding


tudie


offer


broad


overview


what


categories


are contributing


image


the mental


patient


as a


dangerous


individual


There


much


smaller


body


knowledge


as to


character


tics


those


evaluated


upon


being


accuse


crimes


even


fewer


tudi


pertaining


specifically


those


using


insanity


defense.


Character


those


referred


pretrial


evaluation


: the


referral


process


After


defendant


charged


with


a crime,


there


ample


opportunities


pretrial


ychiatric


or psychological


evaluation


requested


. The


defense


tate


attorneys


those


most


frequently


involved


in s


request


ually


some


basi


must


provided


court


raising


question


mental


illness.


can range


from


bizarre


detail


crime


elf,


reports


"peculiar"


behavior


on the


part


defendant


from


jailers









it may


move


appointment


experts


defendant.


(There


also


experts


called


tate


defense.


When


pattern


referral


over


years


examined,


Henn


(1976)


Binns


(1969)


note


that


insanity


ense


more


likely


to be


cons


idered


cases


involving


serious


crimes


common


finding


throughout


literature


addition,


their


sample


court


seemed


eval uation


erring


, making


on the


autiou


probable


reque


that most


those


pretrial


accused


rime


examined


offering


. (Their


tudi


from a

were c


serious


conducted


hiatric


major


illness


urban


areas


would


however


onclu


apply


to small


rural


county


teadman


Cocozza


(1978)


also


note


a tendency


some


referral


sources


believe


that


must


crazy


repetitive


violent


or to


commi t


crime


as murder


. This


attitude


undoubtedly


accounts


some


referral


evaluation,


especially when more


serious


crimes


involves.


Character


rral


demographic


data


Much


data


have


been


Health


generated


Center


Foren


Louis


Division


(Guze


f the


Henn


Malcolm


Mental


Piotrowski


, 1978)


researchers


cite


trend


an increasing


number


mal e


defendants


between


twenty


twenty


-four


being


referred


sanity


competency


evaluations


there


have been


teady


increase


in the


number


those


charged


with


homi-


--












Foren


Divi


sion


note


following


pattern


First,


pro-


portion


defendants


being


labeled


antisocial


personality


double


next


most


common


diagno


second,


there


been


rlse


number


referred


cases


which


no mental


disorder was


found


which


past


would


have


been


labeled


as homo


sexual


or pa


ive-aggressive


personality


. Third,


ixteen


percent


defendants


diagnosed


as having


schizophrenia


some


type


(Henn,


1976).


Piotrowski


(1978)


assert


that


major


determinant


rral


eval uation


story


prior


pitalization


tory


defendant.


Eighty


-two


percent


those


seen


Center


an incident


their


record


examined


diagnoses


those


deemed


psychotic


sample


concluded


that


"schizophrenia


or bipolar


affective


disorder


uncomplicated


[secondary
dependence]


diagnoses


appear


f antisocial


infrequent


personality,


among


alcoholism,


criminal


more


or drug


than


percent]


(1978,


, including


311)


those


ample,


suspected


eighty


ychiatric


percent


illness


defendants


were


found


to manif


antisocial


personality


alcoholism,


or drug


addiction.


found


no relationship


between


index


crime


diagnosis


extremely


estimate


(two


percent)


those


criminal


population


uffer


from


major


ychoti c


order


puted


other


researcher


iomopoulos


(1976)


examined


Cook


County


, IllinoiS, who


been


found


unfit


tand


trial









crime


related


to diagnosis.


acknowledges


that


differences


finding


research


setting


(hospital


post


-hearing


pretrial


detention)


However


Binn


(1969)


examined


sample


pretrial


referral


found


one-third


offering


from a


major


ychosi


one-tenth


to be


personality


order


=96)


thirty


-seven


seen


as psychotic,


thirty-


three


percent


played


florid


symptoms


disappeared


following


administration


course


medication


obvious


from


these


discrepancy


across


tudi


that


there


eriou


agreement


as to


representation


schizophrenic


or bipolar


affective


order


within


criminal


population.


tati


tical


descriptions


NGRI


Unfortunately


there


very


little


research


existing


which


explore


nsanity


defense


been


literature,


functioning


asserts


Pasewark


that


(1981),


hocking


review


determine


existing


extreme


paucity


information


regarding


legal


mechanism


that


been


operative


century


. Thi


situation


seems


particularly


plorable


criticism


during


period


persons


which


seeking


plea


either


subject


tantially


intense


alter


or abol i


plea"


(1981,


. No


national


data


have


been


collected.


There


exlis


no record


containing


basi


tati


as how many


peopi


across


country


attempt


defense


each


year


. Fundamental


information


(how


often


defense


attempted


percentage





-


*


-- a









most


what


known


about


the working


defense


comes


from


hese


tudi


the work


teadman


Pasewark


inger


hese


research


proje


provide


basi


demographic


information


on the


opera-


tion


ense


those


states


specific


year


. They


begin


estimate more


ompl ex


issues


such


as p


hologi


ha n-


acteri


defendants,


relationship


crime


char-


acteri


acquittal


. Pasewark


summary


tating


"the


situation


more


deplorabi


because


at thi


tage


game,


search


designed


generate


basi


useful


information


this


area


generally


costs


little


. Needed


data


available


ting


or i


not, require


only


ystemati


, relatively


simple


means


collection,


organization,


analy


" (1981


. 394).


following


tudi


were


conducted


in states


relying


on the


rule


at th


time


research


previous


light


difference


wording


among


tests


not likely


alter


significant


degree


found


insane


ecker,


1973)


Therefore,


regard


version


insanity


test


used


results


research


cited


here


assumed


some-


what


escriptive


other


ndant


other


jurisdictions.


Frequency


use of


ense


. Pasewark


(1979a) and


tead-


(1980)


compared


insanity


acquittal


York


tate


from


1965


through


. Probably


strong


finding


dramatic


increase


number


acquittal


ince


1971


Between


1965


1971


there










examining


tati


stics


on frequency


insanity


acquittal


Wyoming


between


1975


1977,


ewark


(1980)


discovered


that


only


percent


original


ninety-two


preliminary


insanity


pleas


were


actually


adjudicated


NGRI


. This


correspond


well


Johnson


estimate


percent


plea


which


were


successful


(1975)


eventy-


four


percent


Pasewark


sampl e


dropped


tention


pled


esser


harge,


or were


found


guilty


. Thi


lends


further


support


evidence


that


insanity


case


carried


through


trial


quite


rare


phenomenon.


insanity


acquittal


demographic


data


With


respect


to type


crime


character


defendants,


demographic


have

York


not c

sample


:hanged


. Eighty-


significantly


seven


over


percent


last


are men


years


thirteen


percent


women


whites


over-


represented


compare son


state


prison


population,


with


ixty


percent


white


compared


to thirty


-one


percent


black


Fifty


percent


acquittees


previous


ychiatri


pi tal i


ation


forty-


four


percent


prior


arrest


record


examining


tribution


crimes


authors


note


that


fifty-three


percent


those


found


NGRI


were


charged


with


murder


or attempted


murder:


till


than


is assumed


public


assault


some


about


form was


fifteen


second mo


percent of


t frequent


defendants


having


crime

such


represented,


charge


with


teadman


(1980)


found


wide


variations


number


acquittal


across









urban,


some


rural,


some


quite


populated,


others


not.


author


concluded


that


"the


application


insanity


statutes


depend


more


on the


idio


yncraci


attorneys


sector


judge


than


on the


number


people


in the


county"


teadman,


1980,


Another


factor whi


linked


frequency


use of


insanity


defense


rate


arrest


dictment


within


certain n


county


ewark


(1979b


asserts


that


more


"bri


operation


tice


system


county,


likely


plea


insanity


low-moving


process)


to be


entered.


Attorney


perception


defense


another


tudy


condu


Wyomi ng


ewark


Craig


(1980)


examined


attorney


receptions


f the


defense,


when


these


profess


ional


used


with


their


clients


. They


discovered


that


attorney


have


some


same mi


conception


as do


people


about


use of


defense


. They


tend


over


-estimate


often


actually


used,


suspect


that


chological


evaluation


occurring


tate


hospital


than


thorough,


.and


to believe


that


individual


commit


violent


or sexual


crime mu


mentally


abnormal


Al though


attorneys


admi tted


occas


ionally


using


defense


as a


delaying


tactic


to allow


com-


munity


furor


over


crime


to die


down,


most


tated


that


tered


plea


reasons


their


client


mental


health


to obtai n


treatment


client,


current


bizarre


behavior,


De-









ychiatric


diagnose


acquittees


. In


examining


ychiatric


diagnoses


given


acquittees,


Pasewark


found


that


ixty


-nine


per-


cent


entered


hospital


with


predominantly


ychoti


diagnoses


eleven


percent were


seen


as personality


orders.


person


categorized


psychotic,


were


schizophrenic


those


were


paranoid


type"


( 1979a


658)


Length


pitali


ation


acquittee


. Once within


hos-


pital,


length


However,


stay


recent


seem


acquittees


related


eemed


to severity


held


offense


longer


period


time


1978


than


group who


earlier


remained


group


."The


pitali


acquittees


been


from


retained


almo


long


as the


average


length


released


patient


from


1965-


1976


group


teadman,


1980


concluded


that


today,


NGRI


expect


in the


hospital


least


four


year


However,


cautions


that


misleading


compare


length


hospitalization


with


time


served


those


charged


with


bargaining

processed


same


which

through


takes

the


crime


care


criminal


as thi


about


ustic


ignores


ninety pe

e system.


process


mrcent


After


plea


cases


comparing


hospital i


those


ation


convi


time


(through


acquittees


plea


with


bargaining


prison


time


accrual


served


gain


time)


teadma n


asser


that


group


quite


similar


amount


incarceration


time which


they


actually


serve.


U~~~~ ~ ,n- ..Ih.. A


L m


|


*^


r


II r


* t


A


1El


I









criminal


actions


arise


as a


result


f their mental


disorder


.The


second


group,


containing


many


individual


with


prior


arrest


cord,

which,


is more

"like


repre

any ot


tentative


her


occupational


criminal

group, c


population


containss


as a


certain


whole

number


mentally


individual


" (1979a,p


. 658)


. Steadman


NYDMH


, 1978)


four


ubgroups


NGRI


acquittees


asserts


neither


ychoti c


nor


legally


insane:


former


police


offi


cers


mother


charged


with


infanticide,


"persons


respectability,


" and


those


label


as "I-can-feel-sorry-for-


subjects.


stence


these


groups


leads


teadman


ques


tion


whether more


"humane"


variables


than


language


a given


statute


deciding


factors


insanity


acquittal


(NY DMH,


1978)


Recidivi


mestudi


. Recidivism


tudi


which


focu


exclu


ively


on NGRI


comparatively


rare.


(Morrow


Peterson


, 1966)


examines


NGRI


recidivism


criminal


rates


recidivism


California


rate


NGRI


thirty-seven


percent


finds


that


almost


identical with


rate"


(1966,


34)


subjects


were more


likely


fail


they


or more


previous


offenses,


if their


criminal


record


included


property


crimes.


authors


conclude


that


NGRI


great


similarity


charged


prison


inmates


with


res-


pect


property


nearly

crime


identical


criminal


common


recidivism


prognosti


rates


variables.


dominance


corollary


to this,


they


suggest


imilarity


between


NGRI


ychia-


"the











foren


psychiatric


facility


(hou


sing


NGRI


, among


others)


reach


different


onclu


from Morrow


Peterson


(1966)


. Mullen


Reinehr


suggest


that


forensic


patients


resembi


general


;ychia


tric


patient


more


than


they


prisoner


on I


demo-


graphic


variable


(Thi


not a


recidivism


tudy,


however,


as it


conducted


during


confinement


period


each


f the


three


groups.)


Psychological


Characteristic


Violent


Individual s


previous


sections


have


cons


i dered


those


individual


meet


criteria


being


both


mentally


violent.


tudi


have


centered


around


diagnostic


demographic


criptions


those


being


evaluated


foren


setting


, hospital


mental


health


center


However


hese


tudie


focu


on psychology


descriptions


those


are violent


or who


habitually


antisocial


manner


Instead,


they


focus


on inve


tigating


small


group


entire


population


acting


individual


as a


whole.


main


reason


pecificity


that


"the


criminal


personality"


exist


as a


ingle


entity


there


no s


ingle


description


or diagnosis


which


encompa


sses


individual


again


society


addition,


here


no biological,


ical


or p


.ychiatric


quality


which con


tently


indentifie


individual


sets


them apart


as being


qualitatively


"di fferent


from other


peopi


criminal


nersonalitv


ii a


lack


u I


an identifvina


trait


I. Il









untreatable


Other


titutional


unalterabl e


maintained


priority,


(Lombroso


that


" which


criminal


in Yochelson


ssesse


result


dreg


nd Samenow,

"general con-


every


population


draught


pure


or mixed


[being]


poured


into


prison


" (Hooten


ited


Yochel son


Samenow,


58)


More


scientific


investigations


have


ited


ical


body


type


genetic


predi


spos


ition


hromosomal


anomal ie


certain


autonomic


responses,


specific


as d


head


trauma,


scriminating


abnormal


criminal


from


l ectri


fellow


activity


(Blackburn


brain


S 975


1979


Cloninger,


Cochrane,


1975


Cour


sey,


1979


Curran


1978


hagoury


1971


Yochel


amenow,


1976).


none


biologi


theories


have


reliably


consistently


discriminated


hroni


ally


antisocial


individual


from other


, though


estigations


genetic


autonomy


factors


continuing


There

describe


have


these


been


individual


attempt


. Th


ychiatri


term


literature


constitutional


sycho-


pathi


rior)


similar


label


ychopath


have


frequently


been


used


identify


"the


criminal


rsonality


" Described


Cleckl


Mask


Sanity


(1954)


ychopath


or s


ociopath


conce


ptuali


as a


person


outwardly


appear much


other


(hence


title


reality


quit


different


quite


psychologically


turbed.


pite


change


in official


rminology


there


been


con-









characteristic


which


psychopath


hare


Such


individual


des-


cribed


as immature,


irrespon


ible


sens


ation


seekers


profit


from


experience


or learn


from


their mi


takes


. They


sincere,


manipulative


, skilled


liars


appear


unable


exper-


ence


guilt


. Chronically


self-centered,


they


adept


using


other


their


seem


incapable


maintaining


more


than


uperficial


relation


with


other


people


. They


lack


control


over


their


impul


often


chronically


trouble with


Unfortunately,


people


are often


charming,


socially


poised,


lacking


anxiety


initially


can make


quit


good


impress


socially


. They


capable


being


extremely


tructive


, violent,


vengeful


create


great


deal


physical


psychic


damage


to other


people


with


little


or no regret


their


action


eckley


ceptual i


, 1954)


their


. Cleckley


inability


used


"moral


empathi


e with


insanity"


other


con-


, experience


guilt,


or respond


internal


ethi


standard


Diagno


tati


tical


Manual


(Third


Edition)


DSM-III


(the


1980 national


class


ification


nervous


and mental


disorders),


terms


ychopath"


"sociopath"


abandoned


the more


recent


label


"anti


social


personality


can be


seen


from


riteria


presented


Table


, many


Cleckley'


character


ychopath


have


been


incorporated


into


DSM-III


"anti


social


personal ity


-


--












Table


Diagnostic


Criteri a


Anti


social


rsonality


Disorder


Current


t eighteen.


B. Onset
more of
1
year for


before age
the following
) truancy (p


expul


behavior)
4) ru
parental


delinquency


inning


fifteen
a before


itive


as indicated


that


o years, not
or suspension


(arre


away


or parental


persi


tent


repeated
repeated
thefts


from


home


urrogate


lying
exual


age:
amounted
including


from


story


at 1
las


school


or referred

overnight


for mi


three


five


year or s
behavior


to juvenile


least


home


intercourse


drunkenness


or sub


tance


casual
abuse


school)


court b

e while


because

living


relation


vandalism


10)
estimated


than


school


or known


grades m
IQ (may


11) chronic
truancy)


initiation


arkedl
have


below


resulted


violation


expectations
in repeating


home


and/or


relation
year)
school


(other


fights.


t four of


following manifes


stations


disorder


since


eighteen:
1) inab


more


jobs


or seas
or more


f


onal


from work
month), d


(Note:


years or
by reason


ility to
following
ive years


fluctuation),


five


years w
average


walking


similar


school


sustain


cons


tent work


a) too frequent
not accounted fo


hen


exp


three
several


behavior


their


sub
age


significant unem
ected to work),
days or more of
jobs without o


an academic


titute


or c


i rcumstances


getting


behavior,


changes
nature


ployment (
c) serious


lateness


their


indicated


three


or economic


SIX


or ab


jobs


during


riterion


have


month


enteeism
sence De


ight.
ast f


individual


an opportunity


demon
2


denced
child'


state
) lack
y one
illnes


failure


dependence on


I


failure


ULt


occupational


ability


or more


resulting


to obtain


to
the
fro


medical


neighbors


arranae


adju


tment).


function
fo allowing


m


lack


care


or nonresident


.u '-


caretaker


as a


response
child's


minimal


eriou


relative


.I -


ible


parent


as evi


malnutrition,


hygiene


child under


standard


child,
food an


six when


child'


elter,
parent


1










Table


3--continued


partner
(whether
(ten or


ical


fend


inability to
as indicated


maintain


by two


legally married


more


exual


irritabi
fights


someone


enduring


or more divor


or not),


partner


within


lity and aggres
or assault (not


or one


failure


self)
honor


attachment


and/or s
f spouse


ertion


siveness
required


, including
financial


spou


year)
as indicated


se or


obl igation


one'


sexual


eparations
, promiscuity

by repeated


job or


hild


beating


ated


as indi


repeated
failure


traveling
goal for


would


defaulting
to support
failure to


from
the D


place
eriod


terminate,
) disregard


aliases
reckle


or recurrent


on debt


other
plan


failure


dependent


ahead,


place
travel


or lack


"conning"


ssness


on a


or impul
without a
or clear


fixed


truth
others


as indicated


provide child


support,


regular basis
ivity, as indicated


prearranged


idea


address


as indicated


Personal
y driving


about


job or clear


when
month


ly repeated
gain


while


travel


or more
lying,


intoxicated


speeding.


A pattern
others ar


five


year


time


tined


conti nuou


violated,


anti


when


without


(except
spital


anti social


with
social


or penal


behavior


no intervening


behavior


individual


which


period


between


was bedridden


right


at least


fifteen


or con-


institution .


Anti


tardation


social


behavior


hizophrenia,


either


or manic


episodes


Severe Mental


(from


Diagno


Thi rd


Edition,


id Stati
1980, p


tical


Manual,


320-3









antisocial


normal


individual


fall


ome may


resemble


classs


ical


ychopath,


" fulfilling


most


character


seen


enduring


pattern


their


behavior


Other


evidence


ychopathic


qual iti


, yet


extent


pictured


Cleckl


previously


till


other


resemble


chronically


anti


social


individual


least


instead appear more


ompati bl e


with


those mentally


individual


offering


from


major


ycho-


ses: schizophrenia


or major


affective


order


These


types


path-


ology may


result


turbance


person


emotional


thought


proce


sses


extent


that


longer


contact


with


rea i i ty


. The


patient may


hear


voices


believe


or an


agent


God,


or invent


believe


an entire


tem which


bears


no resemblance


ide world


. (For


full


review


symptoma-


tology


psychiatric


illn


esses


, the


reader


referred


DSM-III


textbook


abnormal


psychology)


individual


usually


criminal


no way


involved


anti


social


activity


during


their


lives


ome may


ommi t


violent


acts


while


ychotic


till


play


pattern


criminality


their


overall


behavior,


Finally,


disorders


superimpo


on a


basi


ally


anti-


social


onality


tyle


. These


order


include


substance


abuse


chronic


drug


ychosi


addition


chizophr


enia


the major


fective


order


. (For


more


complete


explanation


these


disorder


reader


referred


an abnormal


psychology


text


There









playing


psychotic


hearing


, forming


symptomatology


usions,


. Thi s

over-


form of


or mis-interpreting


timuli


environment


as being


threatening


or harmful


, believing


plots


against

above


him/her,


symptoms


Medication


not aff


may

ect


eradicate

the psycho


some


pathic


or all

personality


traits


scuss


previous


there


no known


treatment


work


well


ameliorating


habitual


criminal


behavior


eckley,


1954


Faretra,


1981


Yochel


amenow,


1976)


.The


second


problem


diagnostic


one:


an individual


easily


class


ified


with


either


label


mentally


or criminal


most


likely


both


. He/


he may


present


very


different


psychological


tures


depending


upon


time


evaluation,


anity


examination


focu


on a


event


life


such


an individual


quit


difficult.


Finally


ychotic


spos


can be


ition


compli


an anti


ated


social


individual


. Treatment


i ntermi ttently


hospital


indicated


during


period


when


acutely


del u


ional


once


antip


hotic medication


been


ffectiv


more


appropriate


ement


either


facility


individual


neither


fowl"


: in


need


structure


security


hospital


tigma-


tized


, feared,


and mistru


as "crazy"


son.


Theori


which


osit


biological


or psy


hological


abnormality


as the


root


riminality


have


been


briefly


scuss


above


. There


diff


rent


conc


eptuali


ation


antisocial


behavior which









an individual


criminal


behavior


Other


have


viewed


violent


behavior


as being


natural


product


society


that


violent


(Yochelson


amenow,


1976)


. These


theory


focu


flaws


individual,


instead


blame


society


vironment


cause


condition


breed


rime


. They


dress


great majority


persons


under


deprived


violent


condition


become


antisocial


Recent


research


asserts


that


persons


commit


violent


crimes


play


different


personality


character


from


person


commit


property


crimes


(Rose


Bitter,


1980


hagoury,


1971)


. Thi


tinction


between


violent


nonviolent


offender


maintained


through-


literature


(Edinger,


1979


teadman,


1980


Toch,


1980


Wagner,


1979)


ive,


Those


involved


immature,


violence


emotionally


cri bed


uncontrolled,


as being


overly


sens


more


itive,


tful


their


environment as


whole,


interpersonally


olated,


unable


express


anger


appropriately


(Rose


Bitter,


1980)


hagoury


(1971),


tudy


ompari ng


group


convicted


murder with


group


convicted


property


crimes


found


more


per-


onality


organic


ation,


impul


ivity,


remorse


empathy


homicide


group


tres


that


group


homogenou

study (Wo


one,


Ifgang


being

and F


compri sed


erracutti,


four


1967)


types


evaluated


murderer


personality


earlier


research


regarding


homicide


. They


concluded


that


there


no one


personality


a a *


a a


a 1 *


a


- .


I I


f


t








Violent


offender


general


appear


resemble


each


other morethan


they


non-violent


offender


scrimination


according


2!e


violent


rime


which


they


commit


been


achi


eved


(Rose


Bitter


, 1980)


. Thus,


murderer


are not


distingui


hable


from


assailants


or rapi


tspurely


on the


basi


their


personal ity


characteristics


This


is not


surpr


rising


given


that


violence


ychiatric


con-


complex


phenomenon


resulting


from


interaction


ituational


search


factor


investigating


personality


violence,


dynamic


related


individual


field


involved.


victimology


(the


tudy


those


become


victims)


been


poorly


condu


(Toch,


1980


addr


Wolfgang


esses


rracutti


difficulties


, 1967)


inherent


fairly


making


scarce.


progress


Toch


toward


(1980)


under-


standing


conceptual


violence


following


Offender
dividual


turbed


or under
psychotic
person's
a violent


ubpopulation


However,


mean


tood
and


even


that


contain


diagno


where


we hav


an unknown


number


as psychiatrically


diagnoses


either


schizophrenia


viol


ence


-prone


popularity,
psychotic.


Both


explained


ass
fac


defen
viol


ence


aultspeopl


t


combination


patient


obey


voices


dimini


make
that


him
tell


kill


fact


cognitive


standing
cases t
remote.


probl


increases


link


between


cons


idering


behavior


649)


reader


referred


the work


Monahan


(1978


1982)


Monahan


Cummings


(1974)


more


thorough


cons


ideration


issue


prediction


viol


ence


dangerousness.









ummary


. In


summary


appear


that


there


no s


ingle


chiatri


entity


known


as a


criminal


personality


or a


viol


nder


Violence


mul tifaceted


, partially


ituational


phenomenon


occurs


across


psychiatric


diagnoses


nder


class


ified


as being


violent


or nonviolent;


they


cannot


ychologi


ally


riminated


on the


basi


type


crime


which


have


com-


mitted


. Viol


offenders


general


have


been


character


immature,


emotionally


uncontrolled


individual


lack


appropriate


empathy


other


view


their


environment


with


ssed,


however,


that many


those


committing


violent


acts


fulfill


or even


most


these


criteria


nor could


termed


ychopathic"


or "antisocial


personal ity


research


in the


area


been


criti


ized


numerous


philosophical


jnd method-


logical


problem


illustrated


that


problem


violence


general


multidi


ci pl i nary


(not


just


ychological


one)


that


viol


offenders,


while


often


resembling


each


other


hiatrically


certain


homogenou


group.


Psycho logi cal


Tests


with


Violent


Offender


course


ychological


evaluation


lini


often


reviews


data


from


previous


pital


contacts


school re

defendant


C


ords

from


any medical


other


sources


social


which


tory


available


records


. The


ycholo-


also


conducts


a clinical


interview with


defendant


.. .















ychological


tests


provide


data


which


serve


trengthen


call


into


ques


tion


emerging


diagnostic


impression


some


cases,


tests


replicate material


already


covered


in int


erview;


however,


they


provide


valuable


information


as to how


client ap-


proache


tructured


unstructured


situation


functioning


intellectually


emotionally


Many


clients


sure


to make


"good


impress


ion"


on tests


than


in interview;


therefore

pulative


ychological


individual


useful


addition,


working


assessment


with


mani-


instruments


were


tandardi


on a


wide


range


normal


(and


some cases,


mentally


turbed)


individual


scores


provide


data


as to how the


defendant


performing


as compared


to the


performance


certain


pecified


erion


group


. The


current


research


employed


battery


tests


commonly


used


ychological


evaluation


Intellectual


. In


foren


evaluations,


both


intellectual


personality


ests


are administered


defendant


. The


intelli-


gence


test


sometime


known


as an I


test)


provide


information


client


level


general


cognitive


functioning


time


testing


purposes


current


to ascertain


tudy


whether


, IQ was


subjects


used


were


primarily


able


screening


to comprehend


item


on other


tests.


Personality measures


general


Per


onality mea


sures


generally


grouped


as objective


or projective


test


objective


test


struc-










projective


measure,


on th


other


hand


no right


or wrong


answers


present


lient


with


liberat


y ambiguous


timulus


to whi


respond


. Sco


ring


interpretation


responses


follow


basi


guid


lines


subject


dividual


diff


erences


across


examiner


test


battery


used


in the


current


nesota


proj


tudy


contained


Mul tiphasi


ecti v


ectiv


onal ity


rsonality


personality


ntory


Rorsc


or t


test


MMPI)


Inkblot


Mmn-


three


, the


Hand


Test


proj


active


drawings)


A bri


scription


each


test


resented


followed


review


use o


test with


vio-


offenders.


MMPI


(the


Minn


sota


M ul tipha


onal ity


ntory)


. Th


MMPI

pers


curre


onality


ntly


inventory


most

(Gre


wid

ene,


used


1980)


rese


It


cons


arch


ists


obj

550


active

declarative


statements


written


person


ingular,


to whi


person


taking


MMPI


answers


"Tru


or "Fal


ample


items


include


used


ohol


excess


vely,


" "Th


ersons


trying


teal


thought


eas,


II ~


school"


am afraid


losing


mind


responses


scored


grouped


ording


to ten


clinical


assessing


major


ategories


abnormal


behavior.


addition


there


"validity


scal


es" built


into


test


assess


respond


test-taking


MMPI


loped


1940


Univer


Minnesota


ti-n-- ~ ~ -3 35- lrIL


---


.....


II


EI


,,,,-~L~


II-


L ..


1








scriptions.


They


reduced


thou


about


five


hundred


items


which


they


arbitrarily


class


ified


into


twenty-


five


category


These


MMPI


Habit


category e


, Family


included Morale


Marital,


General


Phobias,


Health,


sess


stro-


-Compul


Intestinal


(Greene,


1980)


They


then con


tructed


series


scal


which


could


used


diagnose


deviant


behavior


electing


they


used


items


an empirical


differently


patient


as compare


a specific
approach.


criterion
ed with n


group
ormal


cale


items


group


. Hypochondriasis)
had to be answered


. hypochondriacal


Since


their


approach


trictly


ited


specific
particul


group
group
1980,


as the
scale,
ar item
Rather


were


empirical


basi


no theoretical


for accepting


is not always
tinguishes t


items


them


were


differently


rationale


or rejecting


poss


elected


from


ible


criterion


soley
other


items
scern


group
because
groups


from


on a
hy a
normal


e the criterion
. (Greene,


Each


criterion


group


cons


roughly


fifty


individual


meeting


diagno


criteria


particular


scale


question


(Scale


are as follows


Hypochondria


, Depres


teria


ychopathic


Deviate,


sculinity


-Femininity,


Paranoia


ycha


thenia,


hizophrenia,


Mania,


Introver


ion)


. The


normative


group


(that


group


serving


as the


reference


determining


standard MMPI


profile)


cons'


isted


1508 white


were


repre


entative


Minnesota


population


1930


-55),


sex,


and marital


status


. White


were


used


normative


ample


because


scarcity


minority


group


other


than


American


Indian









MMPI,


as the


test


frequently


admini


tered


individual


for whom

which in


no comparable


terpreted


original


profiles


normative


blacks


data


according


exist.

to both


Recent

white


research

and


(recent)


black


group


norms,


concludes


. although


black


-white


difference


on the


MMPI


tati


tically


ignifi


cant,


they


have


limited


clinical


implications


because


of the


small


mean


differences.


Inspections


sugge


sts that


standard


deviation


distribution


each


scale


scores


very


reported


similar


black


whites"


(Greene,


1980


addition


to the


ten clinical


scale


, Hathaway


McKinley


included


three


validity


scales


assess


hone


ty with


which


testee


responded


to the


MMPI


. There


exis


several


which


person


taking


test


deviate


from


total


frankness


answer


totally


randomly,


exaggerate


depth


/her


ycho-


pathology


("faking


bad"


deny


behavior


or abnormality


faking


good"),


or be


unable


some


reason


comprehend


items


. The


K scale


were


developed


indicate


when


response


tyle


were


operating,


"sub


sequent


research


indicated


that


both


validity


scale


pattern


clinical


scale


pattern


were


useful


kind


discrimination"


(Butcher


, 1969,


10).


Thus,


MMPI


provides


profile which


graphically


depict


frequency with which


estee


endorse


item


which


relat


various


dimen


ychopathology


. Elevations


depres









which


what


provide


behavior


interpretation


pattern


various


personality


code


traits


types


assoc


8


depi


iated


with


parti


ular


rtain


have


been


asse


rted


to be


haracteristi c


acting-


individual


general


One of


these


"4-9"


type


said


profile


achieved


assi


hopath


telma


hers


ited


1974


cribes


an individual


with


p ro f i i


follows


Per
irr


sons w
espons


hallow


They
plea


impre
free


ith


ible


profile 1
their b


uperfi


typically


sure-see


ssion
from


actually
Their ju


have


king


cial


easy


Many


because they
inhibiting anx


quite
dgment


defi


notably


generally


havior,
n their


moral


temporarily


impul
untru


elfi


relation


they


reate a


internally


ety,


worry


their


poor


tworthy,
to other


favorable


omfortabl


, and guilt
ole-taking
they do not


ability


seem


learn


from


stpone


diffi


effort.


experiences


gratification


ulty


their


enterpri


ires


requi ring


ability to
therefore
sustained


Another


profile


erted


found


frequently


popu-


lation


viol


nders


"4-8


" with


elevation


on Sc


chopathic


Deviate)


schizophrenia)


. Individual


with


such


pattern


characterized


following


manner


"These


individual


unpredi


ctabl


eculiar


action


thought.


traddl


fence


between


character


order


ychosi


zarre


-def


eating


crimes


noted


These


individual


often









There


have


been


other


MMPI


profiles


as well


which


have


been


vogue"


time


as being


character


criminal


popu-


nation


as a


whole


However,


profiles


are s


estive of


other


forms


pathology


as well


They


serve


as a


suggestion,


as a


predictor


behavior,


as many


individual


with


such


code


types


have


no criminal


background


what


soever.


Some


researchers,


as Megargee,


have


tried


construct


their


own scale


based


on MMPI


item


which


are more


sensitive


violent


individual


as a


whole


general,


however,


these


scale


uffer


Hundreds


from methodological


specialized


constructional,


scale


replication


conjunction


problems.


with


MMPI,


supported


in s


subsequent


research with


different


larger


amples


(Butcher


, 1978)


Another


approach


maintain


that


linear


combination


MMPI


variables


tinguishes


sociopathic,


psychotic,


neurotic


profiles


more


accurately


than


clinical


apprai


configuration


(Goldberg


, 1968,


Goldberg


asserts


"virtually


perfect


separation


group


profile


S. the


result


ranging


from


percent


correct


(psychotic


. neurotic)


to 99


percent


correct


ychiatric


ociopathic)"


(197


121)


Along


similar


lines


tudie


"summing"


different


scale


-scores


yield


valid


measure


aggress


(Huesmann


Lefkowitz,


1978)


. These


author


added


-scores


cales


found


that


"the


composite


an excellent








"combination


(1981,


106).


, Pd,


performed


tudy


no better


contradicts


than


findings


alone"


Heilbrun


(1979)


which


hown


that


differentiation


between


violent


non-


violent


offender


could


increase


combining


personality


intelligence


measures.


Holland


(1981)


found


relation


intelli-


gence


psychopath


linear


addi ti ve


, rather


than


inter-


active


concludes


that


"illegal


behavior,


especially


violent


aggre


ssion,


related


ituational,


sociocultural,


logical


determinants


as well


as the


enduring


characteristic


dividual


offend


type


ers.


under con


S S I


iderati


therefore

on contain


seems

the


unlikely

potential


that

for


measures

highly


accurate


discrimination


or prediction


criminal


violence


. .[and]


neither


Huseman


index


Heilbrun


(1979)


hypothesis


regarding


interaction


exception


intelligence


general ization


psychopath


" (1981,


Megargee


(1977)


gone


so far


as t


construct


an entire


prisoner


ification


based


on an MMPI


taxonomy


. He


argue


that


within


system,


those


to other p


having

svchol


oa


similar MMPI

ical and de


profile


mographic


are a


variable


research


generated


statistically


derived


differentiated


"type


" which


"differ


tantially


their


behavior,


social


tori e


life


tyle


personality


pattern


" (1977,


. 149)


importance


research


stems


from


use of


correctional


population


as a


base


generate


scription


criminal


manifest


certain


MMPI


pattern


appears


. 110)


respect


similar with


J


T








Problem


encountered


use o


MMPI


with


offenders


Becau


ease


administration


scoring,


MMPI


especially


popular


as an


instrument


with


institutionalized


populations


Howe ve r


as noted


above


designed


measure


broad


range


personality


haracteri


within


broad


range


individual


Although


felons


were


included


as the criterion


group


ycho-


pathi


Deviate


cale


test


was not developed


use with


diagnostic


ubgroup.


Butcher


Tellegen


(1978)


Reppuc i


(1978)


point


that


MMPI


standard zed


specifically


on criminal


sensitive


nuances


populations,


in violent


signed


individual


does


have


cale


or norms


which


correspond


directly


to the


correc-


tional


population


being


tudi


tion


continue


concerning


sens


itivity


validity


indicator


implica-


tion


failures


replication


tudie


attempting


find


"violent


profile


MMPI


(Holland,


1981)


Rorschach


Inkblot


Test.


Rorschach


Inkblot


Test


one of


most


widely


used


projective


.ychological


technique


A "projec-


tive


" offers


subject


nebulous


timulu


(one


lacking


clear


right


or wrong


answers)


theoretically


subject


"project


aspects


his/her


personality


onto


timul u


/her


responses


to the


test


Exner


hypothe


that


"the


test


response


reflects


basic


psychological


style


or response


tendency i


that


have


developed


within


w. .


personality


. -. -


representations


-


the more


private


world








achromatic


(black


white)


five


which


are colored.


They


presented


to the


subject


in a


standardized


order


responses


each


card


are noted


verbatim


on a


response


heet


examiner


subject


have


as many


responses


as he/


each


card


although


between


three


responses


per card


character


number


After


normal


initial


subject


average


presentation


intelligence


ten card


(the


(Ogdon


"free


, 1977)


association"


period)


examiner


them again


subject


in order,


time


asking


standardized


question


pertaining


detail


sub-


ject


perceptions.


termed


"inquiry,


" and


ques


tioning


often


yield


information


as to


which


qualitie


blot


(form,


location


, movement,


color


among


other


subject


responding.


These


qualities,


termed


determinant


are s


cored


according


rules


down


scoring


Through


development


Rorsc


hach


technique,


many


systems


have


been


devi


in order


increase


accuracy


breadth


information


provided


test:


original


blots


these


Lives


have


been


changed


Research


cons


stent


as to


relative


merit


one scoring


tem over


another


(Exner,


1980),


with


practitioner


often


incorporating


elements


or more


stems


into


their


analysis


determinant


lack


tandardi


action


coring


practice


across


examiners


been


major


criticism of


Rorschach


technique.


major


reasder is


determinants


referred


will


to Klopfer


briefly


and Davidson


reviewed


(1962) fo


here


a complete









Determinant


anal


. In


Klopfer


scoring


system


3


their


exist


several


determinant


which


seen


as being


significant


dictator


manner


which


structures


r world.


Location


refers


part


blot


being


used


cept


does


subject


focu


on the


whole,


or concentrate


on spaces


or on


large


or small


tail


? "Location


usage


appears


to be


relat


more


lligence


rather


than


emotional


or personality


factor


" (Ogden,


1977,


Human


movement


responses


ymbolized


"M")


believed


provide


pertinent


night


1977


information


attitudes


Animal


toward


movement


, especially


onese


regarding


others


responses


ymboli


strength


" (Ogdon,


"FM")


pothesi


to be


representative


more


primitive,


mature mode


behavior


. Impul


ivity


potential


acting


poth


corre


late


high


score


. Inanimate movement


responses


ymboli


typically


reflect


anxiety


or tens


with


res-


pect


to the


perception


environment.


ects


respond


coloring


blot


heading


responses


yield


information


as to how


copes


with


iety


produced


environment.


Chromati


responses


symboli


"C")


hypothes i


"reflect


individual


respon-


veness


emotional


timul i


environment


" (Ogden,


1977


emotional


reactivity may


controlled


seen


percept


. t


" and


llm(l)


" FC


..


..


,,


,,


..









"blood.


weighted


f color


responses


derived


from


formula


+ 3C


which


yields


ingle


score


quantifying


number


form


color


responses.


most


frequently


encountered


type


chach


response


pure


form


, or "F"


response


measure


"fit"


between


concept


inkblot


frequently


interpreted


as s


sting


degree


reality


contact


which


subject may


possess


tent


which


attention


environment


res-


ponses


positive


form


level


(the


percept


conforming


objective


features


blot)


or o


negative


form


level


(the


percept


poorly


relating


objective


character


tics


timu-


. Form


level


expressed


score,


with


higher


scores


ugge


ting


better


reality


testing


. The


tended


score measures


the form level


responses


, including


e which


pure


form"


the major


determinant.


Extended


score


another


indicator


reality


testing.


examiner


evaluates


Rorschach


perc


ption


through


deter-


minant


anal


(which


provides


quantitative


information


as t


tribution


qualitative


content


f various


perception


analysis


scores


linked


, percepts


tone,


analyzed


content


anal


interests,


according


(focusing


values


e psychodynamic


w v


.


v








blot.


Again,


reader


rred


Klopfer


Davidson


(196


more


detailed


introduction


content


analy


sis.


ummary


summary,


Rorschach


been


frequently


part


standard


psychological


battery


detect


underlying


hosi


provide


measure


development


emotional


control


S I


was de


provide


lini


description


pers


onal ity


character


including


those


facet


subject


unaware


person


outward


observable


behavior may


often


reveal


tnue


lings


attitudes.


Rorschach


situation


other


hand,


person


does


know


orrect


way,


or the


typi


respond.


react


parti


ular


fashion.


so responding,


unwittingly


or unconsc


reveal


himself"


(Klopfer


David


schach


with


viol


nders


. The


test


been


widely


used


with


correctional


population


hope


that


provide


more


subtle


lini


information


than


gained


from


MMPI


viol


1980


esea


from


ommer


rchers


maintain


nonviolent


ommer,


diagno


individual


1958


usefulness


(Finney,


torment


1955


Finn


Rose


, 1953


tingui


thing


Bitter


Towbin


1959)


addition


some


experts


have


devi


tructi ve


Content


using


e-category


tem,


combined


with


Color


Content


scores


(Rose


Bitter


, 1980)


which


they


assert


tingui


between


hospital


patient


will


reoffend


violent


upon


ease


those


will


not.


Scores


range


from


for no


violent


content


. 15)


" .


-- w


_ .


I









subject


Palo


Alto


tructive


Content


Scale


(PADS)


score


6


. This


scale


especially


relevant


current


research


since


pro-


vides


norms


patient


maximum


security


treatment


institution,


including


NGRI


data


which


presented


according


type


rime


committed


Thi


contra


with


other


studies


which


used


cale


with


non-criminal


hospital


patients


only


torment


Finney


Shagoury


(1971)


utilized


combination


psychological


variable


gleaned


from


MMPI


chach data


devi


formula


which


dif-


ferentiated


then


between


employed


"homicide


crimi nant


group


" and


function


"property


analy


crime"


yield


group


an optimum


utoff


score,


with


which


make


prediction


as to


group member


based


on an individual


score


achie ed


valid


itive


rate


concludes


that


psychological


variable


certain


weighted


combination


have


value


as d


criminators


between


those


vio-


lent


e who


logical


Content,


. The


, negative


Rorsc


form


hach


level,


variable


Path-


percentage


human


responses


were


most


sens


itive


to difference


between


group


another


tepwi


tudy,


scriminant


chach


Hand


Harami


function


scores


Wagner


procedure


(1980)


devi


differentiate


li kewi


used


formula


violent


from


based


nonviolent


alcohol


(The


Hand


Test


projective


test


descri bed


more


fully


below


scores,


the most


scriminating


which


ratio









Criti


isms


Rorschach


. The


Rorschach


been


criticized


for many


reasons


. (For


more


complete


review


, see Megargee,


1966.


major


concerns


with


reliability


test


general


: the


effect


memory


changes


subject


mood


on the


est-retest


reliability


aspect


contro-


versy


. "The


question


here


whether


blot


cons


tently


elicit


same


response


pattern


from


subject,


whether


given


protocol


cons


tently


similar


interpretations


from


clinician


" (Megargee


1966


. 469)


Other


argument


con-


cern


lack


an obj


ective


scoring


tem,


inability


predict


specific


behavior,


failure


specific


Rorschach


relate


ychiatri


diagnosis


progno


failure


technique


differentiate


better


among


normal


sample


When


used with


correctional


populations,


test


criticized


having


been


developed


spec


ifically with


violent


offenders,


being


easily


"faked,


" and


for making


many


clients


appear more


patho-


logical


than


they may


actuality.


Hand


Test


. The


Hand


Test


personality


mea-


sures


specifically


developed


with


violent


individual


early


1960'


Edwin


Wagner,


consi


card


nine


of which


rese


black


white


drawing


hand


making


motion


one of


which


blank


card.


card


presented


standardized


order


responses


noted


verbatim


. De-


-


i


















habitual"


(Wagner


1981


,p.


591).


Theoretically,


ways


in which


person


interacts


with


environment


symbol


through


types


actions


projects


onto


hand


.Thus


some


responses


active


("writing


letter"),


some


affectionate


saying


hi")


some


aggressive


punching


someone")


some


zarre


hand


turning


into


pider"


sponses


ummed


cording


type


action


category


which


they


corres


pond


. The


category


scores


then


compared


each


other


ratio


most


significant


of which


being


Acting


Ratio


(AOR)


cons


number


Dependency


-Affection


-Communication


responses


compared


Aggress


ion-


Direction


responses


hypothesized


suggest


acting


potential


subject


. Clients


whose


scores


heavily weighted


direction


of affectionate


responses


supposedly much


likely


to act


an aggressive manner


against


their


environment


than


those


produce


opposite


balance


many


viol


respon


ses.


Criticisms


Hand


est.


Major


criticism


Hand


concern


reliability


validity:


other word


accurately


does


Acting


Ratio


predict


actual


aggressiveness


subjects


scriminate


between


violent


nonviolent


individual


test


been


validation


tudie


fault


usually


being


performed


easily


those


"faked"


losely


using


associated


with


test


developer


(Harami


Wagner,


1980


Wagner,


1981)


Thi


--


-





- -









Projective


drawings


House-Tree-Person


drawings)


Another


projective


technique


that


measure


known


as projective


drawing


or Hou


quires


Tree-P


that


erson


drawings


subject


draw


(the


house


This


tree,


assessment


erson,


devi


person


opposite


sex on s


separate


heets


paper with


pencil


His/


conceptual i


information


ation


as to how


these


client


common


figure


perceive


provide


environment,


other


people e


sel f/herself


. The


test


easily


quickly


admin-


tered


requires


no s


specialized


material


other


than


paper,


pencil


topwatch


. There are no


set time


limit


on how


long


drawing


should


take


no s


special


area


paper whi


client must


choose


repr


esentations.


frequently


admini


tered


part of


psychological


test


battery,


hopes


that


in some


cases


drawing


confirm


diagnostic


impression


ready


created


other


instrument


interview.


olated


cases


rthe


test]


provide


an indication


. In


nature


lient


problem


result


would


that


clini


cian


on a random


partial


reward


schedule


hence


habit


admini


tearing


the [te


would


very


resistant


change"


(Megargee


1966,


Few


response


ible


clinician


rely


on drawing


on any


other


test


in and


themselves


providing


complete


clini


picture


patient.


Al though


there


exists


an intricate


scoring


system which


quantifie


a a -


i


..









length


strength


trokes


; placement


on page)


content


features


(animal


urinating


on the


tree,


presence


or absence


clothes


on figures


taken


into


account


assessment


mean ng


the drawing


Drawi ng


have


been


widely


used


with


correctional


population.


Jacks


(1969)


cites


ease


f admini


traction


"inability


faked"


individual


as reasons


. Appendix A


indicative


test


delineate


subject


popularity


use with


character


violent


tendencies


hypo the


. These


violent


ized


criteria


were


used


as the


cori ng


system


drawing


current


tudy


Criticisms


projective


drawings


Many


criticisms


projective


tests


general


have


been


leveled


House-


Tree-Person


technique


. These


include


questionable


reliability


validity,


lack


an objective


coring


tem,


lack


usefulnes


pre-


dicting


behavior,


tendency


"detect"


pathology


where


none


many


Others


admit


that while


olated


cases


drawi ng


provide


useful


information,


cases


they


not;


, they may


be over-


interpreted


their


significance


over


-em-


phasi


inexperienced


clinician


(Megargee,


1966)


Recent


assessment


device


chle


singer


Kuta


(1981)


have


devised


projective


technique which


they


call


Criminal


Fantasy


Technique


. It


consi


seri


twelve


black-and-white


cards


on which


depicted


various


crimes


about


occur,


presently









Rogers

sessment S


(1981)

cales,


devised

which in


Roger


evolved


Criminal


twenty-


three


Responsibility


ychological


As-

and


i tuational


variable


cons


idered


critical


making


forens


termination


insanity"


(1981,


. 684)


.The


ns trument


also


contains


"hierarchical


deci


model


applying


test


to the


specific


variable


. Thi


model


structures


linician


specific


process


/her


decision-making


addition,


author


asser


that


"tran


lates


psychology


variabi


into


element


insanity


standard"


(1981,


. 684)


Whether


imple


application


hierarchical


model


can bridge


centuries-old


between


legal


test


insanity


ychopathology


as defined


psychiatric


profe


ssion


widely


tested


researchers


uninvolved


with


development


RCRAS


.The


Roger


(1981)


tudy


data


correctly


identified


ninety


-two


percent


patients


previous


eval uated


as meeting


insanity


criteria,


ixty


-nine


cent


those


evaluated


as sane


. It


should


noted


that


these


correct


identifications


correlate with


judgment


other mental


health


pro-


fess


ionals


as to


sanity


no information


given


as to


ions


correlate


with


those


court.


ychological


Character


tics


of NGRI


hnert


Pilot


tudy


Previously


reviewed


performance of


tudi


violent


concerned


offender


with


general


ychological


. The


nsanity


fense


legal


used


by many


violent


individual


their


- 44- -. -l a ~ -- .- L 14- a-S--- -S-a 4 4. .I


- a, 4, n* a


ul: AIIAi


,,,, 1


rlCCA U*ICL)L


un*nA*r


rr


I


IL U









other words,


the way


those


through


people


trial


appear who


found


carry


guilty


insanity


morally


plea


res-


ponsible)


prison?


Florida


tudy


(Boehnert,


submitted


publication,


1982)


com-


pared


group


offender


attempted


insanity


ense


failed


group


success


fu l"


NGRI


matched


on length


incar-


ceration


crime


(murder,


aggravated


assault,


rape,


armed


rob-


bery)


. There


appeared


both


ignifi cant


imilariti


ferences


between


groups.


imilaritie


. The group


resembled


each


other with


respect


demographic


killed


data


or unskilled


public


laborers;


defender


essed


. Most


an average


subjects


were


educational


level


tenth


grade


significantly with


respect


prior


rest


record


racial


representations,


used


public


defender


their


legal


cases


Global


test


interpretation


characterized most


individual


groups


as di


turbed,


impul


ive men


who were


socially


tanced


prone


to act


violently,


with


poor


emotional


control


Most


were


deemed


author


need


ychological


treatment.


Differences


. The


group


were


found


differ


number


different way


.The


NGRI


were


significantly more


likely


have


waived


jury


trial


judge


as the trier


fact


. They were


more


likely


have


been


previously


adjudicated


as incompetent


-









guilty


displayed


more


elevated


group


profile


-9-7


chach


scores


suggested


that


NGRI


as a


group


were


charac-


intense


more modulated


reaction


environmental


timuli


greater


attention


to their


environment


their


interpersonal


relationship


contrast,


those


found


guilty


peared


to b


controlled


more


emotionally


labile


assaultive


The 1

data


979


tudy wa


on those


pilot


work


attempted


signed


nsanity


provide


defense


chological


information


that


extremely


author


ssed


parse


that


date


institution


public


effects


literature


hospital


. The


maximum


security


confounding


factor


that


should


taken


into


account


Those men


at the


pital


were


provided


with


antip


chotic


medication,


group


individual


ychotherapy


housing


an institution


which


at least


technically


purpose


treatment


rather


than


puni


hment


. Through


demon


treating


respon


behavior,


each


patient


could


gain


increa


amounts


freedom


movement


roam


within


hospital


outside


ground


Foren


unescorted


Unit,


Patients


some


also


being


took


able


part


national


alcohol


rehabilitation


programs


which


brought


them


into


contact with


regular


hospital


pati


nts--many


them women


lived


both


pital


sons


unanimous


endorsed


pital


environment


as being


the more


humane


facility


MMPI


in particular


been


asserted


sens


itive


immediate


- -i


teri


a


i I


i









environment


which


they


lived


.The


author


therefore


recommended


that


data


analyzed


according


type


facility


which


subject


resided,


so that


future


research


could


take


i tua-


tional


variables


as immediate


environment


into


account


Current


Study


From examining


latter


research


on the


insanity


defense


author


concluded


that


some


tati


tical


demographic


information


exists


on the


demographic


data


NGRI


that


there


data


pertaining


psychological


assessment


literature


Furthermore,


reviewing


Boehnert


pilot


tudy


ubmi tted


publication,


1982)


author wa


aware


that


more


i nformati on


could


gleaned


from


original


test


data


collected


on the


ixty


success


unsuc-


cess


NGRI


subjects


previous


ly mentioned,


that


more


focu


should


placed


on investigating


influence


institution


effect


also


apparent


NGRI


population


that


studies


differs


from


have


specifically


or resemble


addre


criminal


population


as a


whole


addition,


unclear


extent


to which


those


examined


pretrial


ychiatric


evaluation who


sanity


plea


resembled


NGRI


or the


criminal


population


as a


whole.


Finally,


deemed


advisable


tudy within


-group


differences


based


on the


type


crime


commi tted


Subjects


in each


group


been


convicted


battery


Stati


murder,


tical


rape,


analysis


armed


might


robbery


confi rm


or aggravated


previous


assault/


research









major


source


within-group


variability


would


need


taken


into


account


data


interpretation


ased


on her


review


literature


pilot


tudy


, the


author


hypoth


eses


were


follows.


degree


personality


hopathology


as measured


hologica


test


would


decrease


across


group


following


Those


on the


nsanity


ense


trial


(Group


would


appear


the most


hiatrically


turb


follow


those


completing


pretrial


sanity


evaluation


(Group


III)


with


those


sub-


jects


Group


for whom


question


mental


illness


was never


raised


appearing


east


turbed.


type


pathology manifes


subject


both


pre-


trial


control


groups


would


ychoti


other


word


ects


would


appear


to b


basi


contact


with


reality.


However


data


ese men


would


mndi


enduring


haracteri


tics


similar


those


antisocial


rsonality


DSM-


III,


such


as immaturity,


lack


emoti onal


control


lack


empathy


other


Viol


ence


indi


cators


as provided


Rorscha


Palo


Alto


destructive


Content


Hand


would d


consi


tent


across


group


four


as all


type


four


viol


group


cons


rime


individual


literature


asse


conv


that


icted


viol


dividual


tend


resembi


each


other


on psychology


ests


I ~ ~ S ~I n Si 9I* *


I~


1


*


Iir I


I









subjects


across


groups


would


differ


significantly with


respect


demographic


factors


race,


age,


education,


occu-


pation,


prior


arrest


record


keeping


with


pilot


tudy


data


(Boehnert,


submitted


publication


, 1982)


demographic


tudy


conducted


Wyoming


ewark


, 1980)


light


imon


(1967)


teadman


(1980)


contentions


that


factors


other


than


mental


tate of


defendant


play


role


determination


whom


found


insane,


hypothe


that


heinou


sness


detail


an individual


particular


crime would


affect


adjudication


following


. The


author


asserted


that


those


found


responsible


their


actions


would


have


committed


heinous


crimes


than


those


found


guilty,


as the


community would


demand


lasting


protection


through


prison


or a


death


sentence


from


perpetrator


most


severe


crimes


group,


those


subjects


used


nsanity


defense


suc-


cess


fully would


appear


different


enough


on certain


psychological


measures


so that


they


could


scriminated


accurately


from


subjects


other group


on the


combination


scores


subject


would d


identified


according


role


their mental


status


played


adjudication


means


prediction


equation


based


on combinations


psychological


test


scores


. Their


titutional


affiliation


type


crime


they


committed


would


identifiable


through


prediction


equations














CHAPTER


THREE


METHODOLOGY


subjects


Subjects


cons


isted


120 men


convicted


rape,


murder


armed


robbery,


or aggravated


assault


during


year


1974-


Thirty


hese


subjects


been


found


"not


guilty


reason


nsanity"


court


were


incarcerated


ensi


Unit


Florida


tate


pital,


Chattahoochee,


Florida


These


were


ignated


Group


They were matched


on type


crime


length


incarceration


with


thirty men


used


insanity


plea


as their


defense


through


trial


were


found


guilty


committed


prison


system


(Group


with


thirty men


completed


pretrial


evaluation


nsanity


defense


plea


bar-


gain


instead


were


sentenced


to the


prison


(Group


HzI)


Group


ignated


Al achua


County


control


Correction


group,

Center


cons


ting


(matched


thirty men


on type


crime


with


those


other


group


whom mental


illness


issue


at trial


Data


on all


ects


were


coll


ected


1978.


Through


use of


file


system


Florida


State


Hospital,


ssible


determine


Foren


Unit


incarcer-










examining


psychiatric


as well


as the


adjudi


cation


insanity


trial


judge


were


availabi


Florida


tate


pital


Group


Initial


screening


criteria


group


were


that


subject


been


found


guilty


reason


nsanity"


(NGRI)


ourt


committed


treatment


ility.


However,


the men


Group


III,


there


indication


Divi


Correction


record


past


legal


tory,


reliance


including


presence


on an insanity


plea


or absence


. For


psychiatric


reason,


more


evaluation


unstructured


means


ascertaining


appropriate


inclu


tudy


used


ychologi


ychiatri


across


tate


fre-


quently


erved


as court-appointed


expert


were


conta


. These


names


were


readily


availabi


reliance


circuit


court


on one


or two


expert


within


juri


diction


serve


-to-the-


court


on a


regular


. Within


limits


confidentiality,


they


suggest


names


their


recollection


been


eval


uated


insanity


defense


before


trial


those


carried


defense


through


trial


been


found


guilty


. The


same


procedure


used


with


attorney


state-wide


A total


approxi


mately


names


gathered.


names


then


divided


county


. Each


county


record


department


contacted,


sence


or absence


"Motion


Intent


to Rely


Upon


Plea


Insanity"


person


legal


file


ascertained


. Thi


possible









in the


legal


file,


individual


name


included


as a po-


tential


member


Group


III.


Roughly


three-quarters


names


sugge


profess


ional


carried


fense


through


trial


although


they


been


evaluated


incompetency


tand


trial


nsanity


at the


time


crime.


Only


forty-


five


names


meeting


criteria


Group


relying


on the


insanity


fense


mnt


year


1974-


being


found


guilty)


were


availab


after


tate-wide


search,


confirming


that


ense


rare


legal


number


phenomenon


both


those


(Pasewark,


succeed


1981)


terms


those


absolute


fail


defense.


research


Record


Departments


ntral


Off i


were


then


contacted


to find


where


hese


potential


were


cated


within


Many were


never


found,


appearing


anywhere


on DOC


register


, having


been


eased


other


states


face


pending


charge


or having


attained


Mandi tory


Conditional


lease


(MCR)


. Thirty-


fifty


potential


Group


ects,


forty-


hundred


Group


subjects


were


housed


some-


where


in DOC


ilities.


these


located


, only


thirteen


percent


were


housed


Union


Correctional


institution


(UCI)


or at Florida


tate


fact


Prison


that many


This


uneven


on Death


tribution


or at FSP


explained


because


severity


their


sentences


or violent


behavior within


prison


tem.


Many


those


at UCI


been


at FSP


through


good


behavior


worked


* I .


I


ri r


I


I ~.1


m









were


Death


inmates.


Only


from


list


were


available


both


interview


stories


y request


assaulting


corrections


female


official


itor


they


roughly


original


names


eligible


Group


inclusion,


approximately


forty-


five


were


located


found


prison


mentioned


above


Prior


final


subject


selection,


necessary


aminer


screen


men meeting


initial


criteria


tudy


. Those


were


unable


participate


in psy-


chological


testing,


actively


violent,


or with


an I


below


were


excl uded


. Some


ychological


assessment


been


done


Florida


tate


Hospital


sons


helped


screen


those


were


retarded,


illiterate,


or non-English-speaking.


sent


data


on those


subjects


Group


were


deemed


ineligible


examiner


or who


refu


to part


cipate


tudy


can be


seen


from


table,


three men


Group


Group


participate


were


research


acutely


project


which


psychotic


required


hence


informed


consent


.Five men


Group


Group


three


Group


were


retarded,


illiterate,


deaf,


mute,


or blind


were


excluded


from


tudy


could


security


were


reasons


seen


men meeting


request


criteria a


pri son


inclu


official


Group


addition,


-


..


A










Table 4


Potential


Subjects Excluded from Sample


(Groups


'-III


Reason for
Exclusion


Group


Group


Group


Psychotic

Illiterate, mute,
blind, deaf, or
retarded

Security risk

Refused









subjects


prison


refusing


par-


ticipate,


were


at FSP


six were


at UCI


. The


relative


y high


number


refusal


the men


at UCI


have


been


information


given


them


officer


escorting


them


to the


examiner.


Comment


were made


effect


that


their


test


data


were


con-


fidential


would


hared


with


offi


cers


later


date


though


examiner


attempted


correct


impr


session


efforts


always


have


been


successful.


There was


no s


tati


tically


significant


difference


var--


nabl


race


, ag


, number


arrests,


or occupation


between


those


Group


Group


sample


refu


e who


agreed


participate


. Those


excluded


from


Group


differed


igni-


antly


from


those


were


included


being


older


time


offense


y having


education


. Thi


easily


explained


examination


selection


criteria a


older


subject


with


diagnoses


organic


brain


yndrome


e who


were


retarded


(and


hence with


little


formal


education)


were


excluded


from


ample,


urpri


that


subjects


differed


with


respect


these


variab


The majority


inmates


tate


sons


have


psychiatric


problems


they


incarcerated


chronically


anti


social


behavior


(Pasewark,


1980)


. The


author


attempted


include


control


group


current


study which


would


representative


criminal


popu-









offenders


in the Division of Corrections


impossible.


An alternative,


that of using data from county jail


inmates matched with subjects


Groups


I-III on type of crime, was more feasibi


although it appeared


to include some important potential methodological


problems whi


ch are


discussed below.


Group


IV wa


designated a control


group, consisting of men


local


jail


(Alachua County Correction


Center)


for whom the


question of sanity had never been raised during the course of their


legal


case.


Group


IV subjects had received psychological


evaluations


during


1977-1978


their trial.


, as a matter of course in the disposition phase of


Such evaluations


were requested by the sentencing


judge to accompany the Confidential


Section of the Presentence


vestigation prepared by th


Probation and Parol


Office.


(The Intake


Unit'


policy of furnishing psychological


evaluations as friend-to-


the-court


ended in


late


1978.)


Most of th


testing was done by the


examiner in her rol


as an evaluation counselor with the Intake Unit.


A few protocols were administered by another graduate student who hac

been taught projectives by the same faculty member as the examiner

and who had two years of experience in test administration.


Although inmates had the right to refuse evaluations,


few did


Some hoped that such cooperation with standard procedure would weigh


favorably with the judge at sentencing,


ome were encouraged to


participate by their attorneys, and some hoped that psychological
i i I a C S 4 a V a a I









battery,


armed


robbery,


or murder)


detail


each


individual


crime


were


crutini


to obtai n


as c


match


as poss


ible


with


rimes


found


other


three


groups.


(Appendi


contain


detail


subject


crimes


group


obtained


from


attorney


cord


ychiatric


reports


or pri


face


heets


A compelling


tionale


matching


procedure


concern


that


crime


label


mask


very


important


differences


that


only


appear when


detail


individual


crimes


examined


. Choice


victim


(either


very


or very


young),


unus


method


perpetration


number


victim


zarre


detail


were


deemed


essential


rudimentary


rating


rime


seriousness


(Kern


Bale


1980


Roth,


Despite


matching


procedure,


certain


features


differentiated


Group


subjects


from


other men


tudy


raised


questions


usefulness


county


jail


inmates


as a


control


group


First,


ects


were


-conviction


pre-sentence


inmates


. That


they


been


adjudicated


guilty


f murder,


rape,


armed


robbery,


assault


received


sentence


their


crime.


sense


, they


received


no consequence


or pun


ishment


their


havior


some


been


on bail


until


adjudi


action


guilt.


Thus


ength


incarceration


stage


judi


cess


were


very


different


these


Group


inmates


as compared


other men


tudy


. They


could


till


deny


realities


state


prison


re-


-


- -









know edge


that


the middle


serving


a mandatory


twenty-


five


year


sentence.


addition


, some


Group


inmates


been


in jail


only


few month


time


ting


Other


been


rearrested


after


serving


state


terms


over


year


Those


Group


been


incarcerated


either


maximum


security


hospital


least


nine


month


with


most


serving


at least


three


year


some


form


incarceration.


Finally,


Group


inmates


were


living


very


different


envir-


onment


than


tate


prison


resident


Abbott


(1981)


written


brutality


dirt


, corruption,


violence,


over


rowding


present


tate


New


spaper


inves


tigatory


committee


report


after


time


data


collection


suggested


that


such


abuses


were


common


Florida


Divi


Corrections


as wel


In


con-


trast,


Group


Alachua


subject


County


Correction


built


Center


1970


facility which


at the


time


research


each


individual


cell


with


toilet


. Cell


televi


were


eating


grouped


area


around


central


Recreation


space


i' od


station


which


occurred


on a


regular


basi


each man


access


a tel


phone


thirty


minutes


. Each


inmate


assigned


an individual


counsel


with


background


in social


work


or p


ychology,


with


whom


could


discuss


personal


problem


ychiatri


on the


taff


local









two times


week


to provide medical


care.


time


search,


there


never


been


rape,


murder


, or serious


assault


ported


within


jail


Thus,


condi tion


within


Alachua


County


Correction


Center


were


quite


different


from


those


encountered


state


system


at the


county


facility may


have


been


under


less


environmental


tress


than


those


the maximum


ecuri ty


prison


. It


uncertain


extent


which


these


differences


would


affect


test


data


these men


general i


ability


results


subjects


as a


whole.


Material


Consent


Human


subjects


form


ee Appendi


signed


each


subject.


Demographic


Data


questionnaire


Appendi


completed


examiner


upon


review


each


subject


hospital


record


or face


heet.


Hand


Test,


projective


instrument


consisting


nine


cards


illu


trati ng


hands


process


making


certain


motion


blank


card.


cons


ting


chach

ten


Inkblot


card


Test


each


another


showing


projective

chromatic o


personality


r achromatic


test

ink-


blot


Minnesota


Multiphasic


Personality


Inventory


(MMPI),


the most


widely


used


objective


personality


tests,


cons


isting










Procedure


signed


consent


form


approved


Human


subject


Committee


was obtained


each


subject


Group


II,


(Group


"consent


tested"


form


their


records,


though


form


necessarily


obtained


author


it may


have


been


wit-


nessed


another


graduate


student.


subjects


Group


were


intro-


duced


to the


examiner


their


couns


elor


at the


pital,


usually


while


subject


research


option


explained


agreeing


them


participate


point,


research


or refu


refu


escorted


back


floor


Ninety


percent


agreed


participate.


Data


on those


refu


have


been


pre-


ented


previous


Potential


subject


Group


Group


were


contacted


letter


week


before


author


arrival


at the


prison.


letter


explained


only


examiner was


that


he wi


meet


with


potential


subject


discuss


participation


a research


project.


Upon


arrival


at the


son,


he met


each


subject


dividually


explained


procedure


him.


free


at the


time


comply


or refuse


Again,


most


inmates


agreed


participate


Pos-


ible


reasons


refusal


have


been


discussed


previous


Methodology


section.


After


brief


explanation


what


would


expected


during

which


he might


ting

have


period,

about


each

the p


subject


procedures


informed


would be


that


answered


ques


during


tions

the








each


subject.


Often,


between


fifteen


thirty


minutes


were


pent


answering


questions


pertaining


issue


confidentiality


most


subject


cons


Group


idered


battery


an extremely


consi


sting


case


important


appeal


area


Rorschach


pending,


concern.


MMPI


, drawing


Hand


Test


ected


tudy


. Intelligence


ting was


included


battery


as a


screening


device


MMPI


and becau


some


rese


archer


(Heilbrun,


1979)


have


ited


intelligence


as a


moderating


variabi


ychopathy


violence.


MMPI


included


as a


well


known


objective


admini


tered


cored


A large


body


literature


on the


instrument


with


populations


psychotic


individual


(Butcher


and T


ellegen


, 1978


Megargee


Dahl


strom,


schach


elected


as an


instrument


because


f the


great


amount


research


supporting


merit


1980

1953


valuation


Finney

Towbin


1955


choti


Sommer


, 1959)


because


Sommer

e many


violent


1958


recent


individual


torment


tudi


and

have


(Exner,


Finney

found


some


quantitative


scores


useful


variables


criminating


various


criminal


population


(Harami


Wagner


, 1980


Rose


Bitter


1980


hagoury,


.1


addition


special


Ror-


schach


rating


systemm de


signed


use with


violent


offender


Bitter,


1980)


applied


these


protocol


Palo


Alto


Des-


tructive


Content


seen


as b


especially


relevant


to the


tudy


since


mu


ch o


f th


tandardi nation


data


stem


had


been








individual


tyle


interaction


with


environment.


included


in the


present


battery


as the


only


developed


specific


ally


evaluating


acting-out


ntial


violent


individual


third


projective


-Person


Drawings


placed


in the


battery


after


review


literature


upholding


inability


"faked,


" and


hence


usefulness


with


court


population


(Jacks,


1969)


an entire


battery,


rather


than


reliance


on one


test


deemed


esse


ntial


obtaining


detailed


personality


cription


individual


tudy


minimi


likelihood


impress


personality


health/pathology


based


on over


-reliance


on a


ingle


Members


Groups


II,


intelligence


test


scores


from


prior


examination


-hou


ychology


taff


their


records.


These


were


only


scores


obtained


anyone


outs


research h


which


were


accepted,


except


approximately


five


control


group


test


batteries


which were


completed


coll


league


author.


intell igenc


served


as more


screening


function


than


other


capacity,


prior


data


Groups


II,


were


deemed


admi


sabi


Time


limitation


made


obtaining


an additional


subject


imposs


ible.


Rorschach,


Hand


Test,


projective


drawing


and MMPI


were


admini


tered


xerox


to each


face


in Groups


heet


subject


II,


author


Group


provided


Divi


Correction


demographic


information










examiner was


responsible


both


administering


coring


tests,


it was


poss


ible


achieve


truly


"blind"


tudy


other word


tudy


which


examiner


no way


knowing


which


data


were


generated


by which


subject)


Especially


regard


responses


on the


Rorschach


Hand


Test


certain


comment


or percepts


protocol


might


(and


unus


hence


enough


identify


cause


subject)


author


minimi


recogni


such


recognition,


certain


teps


were


taken


After


data


from


each


ject


were


collected,


protocol


were


turned


over


an ass


instant


removed


names


from data


assigned


each


packet a


number


drawn


from


Table


of Random


Number


data


were


cored


examiner


coded


form


month


three


years


after


data


collection


taken


place.


length


of time


which


expired


between


collection


scoring


instrumental


preventing


experimenter


identification


about


ninety-


five


percent


of the


subjects


. Even


after


three


year


four


subjects


were


recognized


response,


tyle,


lengthy


recounting


dream


during


free


association


on the


Rors


hach,


or numerous


threat


examiner


recorded


Rorsc


hach


protocol


Another


subject


identified


repetitive


theme 'of


drawings


which


went


contrary


test


instructions.


Al though


certainly


poss


ible


that


author


have


ubconsciou


remembered


more


than


five


protocol


factors









day,


from


eight


'clock


the morning


through


in the


a1


after


noon


subjects


were


lined


outside


testing


room waiting


called


evaluation,


as the


offi


cers


brought


few men


time


to the


area


. There was


rarely


an interval


over


one minute


between


subjects,


causing


face


"blend


together"


somewhat


mind


examiner


after


ful l


testing


. The


second


factor


relate


group


affiliation


Group


Group


subjects


were


same


facilities,


were.


tested


during


same


period


data


collection


. They were


brought


see the


author


on the


basi


location


their


unit


or work


assignment


in the


son,


tudy


viewing


on the


. Hence,


Group


basi


author


or a


their g

usually


Group


roup member


not know


subject


within


whether


. (Exception


sent

inter-


existed


cases


in which


familiar with


detail


subject


case


prior


evaluation,


taken


extra


security


precaution


accordingly


subjects


Group


were


seen


most


part


randomly


during


an extremely


intense


period


data


election,


after


which


large


part


data


was not examined


again


years


unlikely


that


the most


striking


subjects


would d


identified


at that


later


time.


Method


Analysis


Several


different method


analysis


were


performed


differences


types


measures


employed,


number


variables




Full Text
AN ASSESSMENT OF STUDENT AFFAIRS PREPARATION PROGRAMS
IN RELATION TO PROFESSIONAL COMPETENCIES
By
RANDY E. HYMAN
A DISSERTATION PRESENTED TO THE GRADUATE COUNCIL OF
THE UNIVERSITY OF FLORIDA IN PARTIAL FULFILLMENT OF THE REQUIREMENTS FOR THE
DEGREE OF DOCTOR OF PHILOSOPHY
UNIVERSITY OF FLORIDA
1983



PSYCHOLOGICAL PROFILES AND INSTITUTION
EFFECTS PERTAINING TO INMATES INCARCERATED
UNDER THE INSANITY DEFENSE
By
Caryl E. Boehnert
A DISSERTATION PRESENTED TO THE GRADUATE COUNCIL
OF THE UNIVERSITY OF FLORIDA IN PARTIAL FULFILLMENT OF
THE REQUIREMENTS FOR THE DEGREE OF DOCTOR OF PHILOSOPHY
UNIVERSITY OF FLORIDA
1933

Copyright 1983
by
Caryl E. Boehnert

ACKNOWLEDGMENTS
I would first like to thank the members of my committee: my
chairperson Dr. Jacquelin Goldman, and supporting members Drs.
Richard Swanson, Louis Cohen, Walter Cunningham, and Michael
Radelet. Throughout coordinating the dissertation long-distance,
they remained patient and supportive and put in extra effort
that I might meet my graduate school deadlines. Deep thanks are
also extended to Dr. Elizabeth McMahon, who conceived the idea for
this research and who served as an informal advisor during the
project's various stages. As a private forensic psychologist, she
was always available with her time and support for this project.
I would also like to thank the research committees of the
Department of Health and Rehabilitative Services and the Department
of Corrections for approving this research and for paving the way
for my work at the various institutions that I visited. Those at
Florida State Hospital at Chattahoochee went out of their way to
be supportive, helDful, and friendly: special thanks to Julian Davis,
Francis Peacock, Susan LaFehr, Stu Parsons, and Sam Cunningham. DOC's
Jerry Smith was tireless in his efforts to facilitate my many visits
to prisons around the state- There are literally dozens of adminis¬
trators and officers at Florida State Prison, Union Correctional
Institution, Marion Correctional Institution and Avon Park

Correctional Institution without whose assistance this would not
have been possible.
For advice, background material, and support, numerous psy¬
chiatrists and attorneys were freely giving of their time; among
others John Middleton and Dick Bels and Prison Project; George
Barnard, M.D., Ernie Miller, M.D., and Rufus Vaughn, M.D.; and Ken
Brooten, John Kearns, Bill Salmon, Bill Shepphard, and Kay Isley.
In Minnesota, special warmth, support, and "sounding board" services
were provided by Denise Schmutte, Linda Mans, Steve Bonfilio, Mickey
McRoberts, and Drs. John Brantner and John Hung.
Finally, my thanks go out to the men who consented to be subjects.
There would be no project if not for them.

TABLE OF CONTENTS
CHAPTER PAGE
ACKNOWLEDGEMENTS iii
ABSTRACT vii
ONE INTRODUCTION 1
TWO REVIEW OF THE LITERATURE 4
The Issue of Moral Responsibility . . 4
Workings of the Insanity Defense . . 12
Criticisms of the Insanity Defense . . 18
Proposed Alternatives to the Defense . 26
Philosophical Considerations in
Practice 31
Psychological Characteristics of
Violent Individuals 44
Use of Psychological Tests with
Violent Offenders 53
Psychological Characteristics of
NGRI's 71
The Current Study 74
THREE METHODOLOGY 77
Subjects 77
Materials 86
Procedure 87
Methods of Analysis 91
FOUR RESULTS 96
Hypothesis 1 96
Hypothesis 2 115
Hypothesis 3 117
Hypothesis 4 118
Hypothesis 5 122
Hypothesis 6 124
Hypothesis 7 125
v

CHAPTER
PAGE
FIVE DISCUSSION 136
Pilot Study .. * 136
Hypothesis 1 138
Hypothesis 2 148
Hypothesis 3 149
Hypothesis 4 150
Hypothesis 5 152
Hypothesis 6 154
Hypothesis 7 159
Other Trends 161
SIX CONCLUSIONS 164
APPENDIX A SCORING CRITERIA FOR DRAWINGS 169
APPENDIX B DETAILS OF INDIVIDUAL CRIMES 170
Group I 170
Group II 173
Group III 175
Group IV 178
APPENDIX C HUMAN SUBJECTS CONSENT FORM 182
APPENDIX D DEMOGRAPHIC DATA FORM 183
APPENDIX E STATISTICAL ANALYSES 184
LIST OF REFERENCES 192
BIOGRAPHICAL SKETCH 205
vi

Abstract of Dissertation Presented to the Graduate Council
of the University of Florida in Partial Fulfillment of the
Requirements for the Degree of Doctor of Philosophy
PSYCHOLOGICAL PROFILES AND INSTITUTION
EFFECTS PERTAINING TO INMATES INCARCERATED
UNDER THE INSANITY DEFENSE
By
Caryl E. Boehnert
August 1983
Chairperson: Dr. Jacquelin Goldman
Major Department: Clinical Psychology
Four groups of violent offenders were compared on a variety
of demographic and psychological test variables: thirty men who
had been found not guilty by reason of insanity (NGRI); thirty men
who had attempted the plea but were found guilty; thirty men who
had the question of sanity raised in a psychological evaluation,
but never used the plea; and thirty men matched on crime for whom
the question of mental status had not been raised. Chi-square,
multivariate analyses, and discriminant function statistics were
applied to the data.
Subjects were grouped according to the role of their mental
status in adjudication, residence, and crime. They were found to
differ on the variables of heinousness of crime, and Sum C and
Extended F+% on the Rorschach. The Rorschach was again upheld as
VI 1

a sensitive instrument for detecting subtle differences between
violent individuals.
A high degree of personality pathology was present across
groups. Only the control group presented a clear-cut psychopathic
picture; the other groups showed features of both psychosis and
extremely uncontrolled, explosive acting out potential. Prediction
equations were generated on the basis of the discriminating vari¬
ables, but did not accurately distinguish between groups.
Data did support the hypothesis that there may be some crimes
so heinous that the community will not sanction an NGRI plea, no
matter how disturbed the perpetrator. Suggestions for future re¬
search, involving the development of a more sensitive crime severity
scale and the inclusion of non-violent offenders in a replication
study, were discussed.
VII1

CHAPTER ONE
INTRODUCTION
The insanity defense has been a controversial feature of
Anglo-American law since before the formulation of the M'Naughten
Rule in 1343. "Criticism of the defense has been constant, starting
with Queen Victoria's reaction to the original M'Naughten decision,
much of it deriving, it seems from an impression that however 'right'
it may be in theory it has too many 'wrong' results in practice"
(Wright in NYDMH, 1978, p. 10). At that time, Daniel McNaughten,
while laboring under a delusion, attempted to shoot England's Prime
Minister Robert Peel, but instead accidentally killed his secretary.
Public outcry naturally ensued, and McNaughten was indicted for
murder. Three doctors who examined him indicated that his delusional
system (involving his personal persecution by Tories in the govern¬
ment) had been present for over two years, and he was acquitted on
grounds of insanity. Queen Victoria reportedly responded to this
verdict by stating, "The law may be perfect, but how is it that
whenever a case for its application arises, it proves to be of no
avail?" (cited in Becker, 1973, p. 44). The judges involved in the
case were called to answer for their decision before the House of
Lords, and in the course of the questioning, came to formulate what
is known today as the M'Naughten rule. "The Lords (and the newspapers)
approved the judges' formulation, but the London Times presaged much
1

2
future comment by observing that it was difficult to reconcile
'with what took place at the late unfortunate trial1" (cited in
Becker, 1973, p. 44).
Today there still appear to be problems existing in the trans¬
lation of legal theory into practice. John Hinckley's attempted
assassination of President Reagan has given renewed force to the
arguments that favor the abolition of the insanity defense. "Now that
Hinckley has been found Not Guilty By Reason of Insanity of a crime
millions of citizens witnessed on television, can the king's justice
survive such humiliation?" (Lykken, 1982, p. 13A). Emotional and
reasoned treatises have appeared criticizing the defense for (among
other things) allowing the guilty to go free (Yochelson and Samenow,
1976), discriminating against the poor and minority groups (Matthews,
1970), aiding mental health professionals in usurping the role of
judge and jury (Dix, 1981), and releasing dangerous criminals to
the streets after a short time in a hospital (Mesritz, 1976).
Such treatises often examine philosophical issues, relying on a few
well-publicized cases in which the insanity defense figured pro¬
minently. However, basing major policy decisions such as the abolition
of the defense on consideration of a few hand-picked, notorious
examples may not be an advantageous approach to a careful study of
how the defense is functioning in the majority of cases. How often
is the defense used, and who uses it? Are such people criminals, the
retarded, or individuals out of touch with reality? What actually
happens to those who succeed with the defense; and to those who fail?

3
Systematic, well-conducted research which addresses these
questions is quite scarce in the literature. The current study
examines the psychological and demographic characteristics of a
group of ninety men who were involved with the defense between 1974
and 1978. The author had three major questions at the beginning of
the research. The first concerned how those trying the defense ap¬
peared on psychological tests: did they resemble the criminal popu¬
lation as a whole, or were their test data more compatible with
data seen in the population of the mentally ill? Another question re¬
lated to those who used the insanity defense through trial but were
found guilty and sent to prison: how, if at all, did this group differ
from those who were found to be "insane"? The third area of concern
focused on the examination of variables other than psychological
functioning which could affect the insanity verdict: did the defense
indeed discriminate against the poor, or were other factors such as
the details of the individual crime affecting the adjudication?
Before these current research questions are addressed, it is
necessary to review the literature pertaining to the insanity defense.
Consideration of philosophical and legal aspects of the various tests
for insanity, the mechanics of the defense, previous demographic re¬
search studies in the area, and the use of psychological tests with
violent offenders provides background material on what is known and
unknown about the functioning of the insanity defense in the United
States.

CHAPTER TWO
REVIEW OF THE LITERATURE
The Issue of Moral Responsibility
Historically, the issued involved in the use of the insanity
defense has been one of moral blameworthiness: there existed a
reluctance to assign the full measure of blame for an action against
society if the accompanying intent or awareness of the act were not
present. The legal term "mens rea" was translated as guilty mind or
criminal intent (Johnson, 1975) and addressed the issue of whether
the accused possessed the requisite intent to perpetrate the offense.
Just as many people would avoid assigning moral responsibility for a
crime to a child on the grounds that he/she were "below the age of
reason," there exists a legal mechanism to allow society to avoid
placing "guilt" or "blame" upon an adult who lacks the mental capa¬
city to be morally aware of his/her actions and their consequences.
Even in the time of Aristotle, "capacity for choice [was deemed]
critical to the question of moral blameworthiness, and this capacity
was lacking in animals, children, and insane persons" (Becker, 1973,
p. 44). Thus, the label of "not guilty by reason of insanity" sig¬
nifies that a person was not responsible for his/her actions at the
time of the crime; and hence cannot be assigned blame or guilt for
the act, since both require intent.
4

Legal Tests of Moral Responsibility
Translating this theory into practice has proved to be extremely
difficult. There have been problems in the wording of legal defini¬
tions (or "tests") for insanity; not only in the M'Naughten standard,
but also the later tests of Durham, irresistible impulse, and the
American Law Institute (ALI) rule of the Model Penal Code. Table 1
presents the four legal tests for insanity. Operationally defining con¬
cepts of "mental capacity," "product of mental disease or defect," and
"moral awareness" (among others) has proved to be controversial. Each
version of the test seeks to correct problems encountered in its pred¬
ecessor, yet similar difficulties are found in all.
The M'Naughten rule. The M'Naughten rule states that "the accused
must have been laboring under such a defect of reason, from disease
of the mind, as not to know the nature and quality of the act he was
doing; or if he did know it, that he did not know that what he was
doing was wrong" (common law). It is frequently called the "right-
wrong" test, and has been criticized for its narrowness and for other
definitional problems. "It is urged by many that the word 'know' as
used in the formula be given a wider definition so that it means that
kind of knowing that is relevant, i.e. realization or appreciation
of the wrongfulness of seriously harming a human being" (Hall, cited
in Johnson, 1975, p. 484). Partially as a result of such criticisms,
the Durham rule was introduced as the new standard for the District
of Columbia in 1954; and was heralded as correcting many of the
flaws found in M'Naughten.

6
Table 1
"Tests" of Insanity
M'Naughten Rule (1843)
The accused must have been laboring under such a defect of reason,
from disease of the mind, as not to know the nature and quality of
the act he was doing; or if he did know it, that he did not know
that what he was doing was wrong.
Irresistible impulse test
M'Naughten instructions plus:
To acquit by reason of insanity if they find the defendant had a
mental disease which kept him from controlling his conduct. They are
to do so even if they conclude that he knew what he was doing and
that it was wrong.
Durham (1954)
Accused is not criminally responsible if his unlawful act is a
product of mental disease or defect.
American Law Institute (ALI) Model Penal Code (Original Draft 1962)
A person is not responsible for criminal conduct if at the time of
such conduct, as a result of mental disease or defect, he lacks the
substantial capacity either to appreciate the criminality of his
conduct or to conform his conduct to the requirements of the law.

7
The Durham rule. Unfortunately, the Durham rule wording that
"an accused is not criminally responsible if his unlawful act is a
product of mental disease or defect" (Durham v. US, 214 F 2d 862,
DC Cir. 1954) proved to be far too broad. Almost any nervous or
mental condition could be used by attorneys as relieving an indivi¬
dual of responsibility ("trial by label"), as long as mental health
terminology and diagnostic criteria designated the pathology as a
disease. Successful aquittals rose from 2% in 1954 (Johnson, 1975)
to 13.8% in 1962 before the McDonald decision defined mental disease
or defect as "any abnormal condition of the mind which substantially
affects mental or emotional processes and substantially impairs be¬
havioral controls" (Slowinski, 1982, p. 521). The percentage of
/
successful acquittals then dropped to 5.9%. Overholser v. US provided
additional stringency to Durham by excluding psychopathy or "anti¬
social personality" as a mental disease, thereby closing the loophole
which had resulted in acquittal of a great number of habitual criminals.
Bazelon reviews the end of the Durham experiment (it was replaced by
the ALI rule in 1972) and concludes, "The Durham formulation gave
the false impression that the question [of the causality of the act]
required a medical or scientific answer. The ALI language could fare
better, since it does not invite the expert witnesses to offer a
flat and seemingly scientific answer that the impairment did or did
not cause the act. It is clear that Durham focused the jury's at¬
tention on the wrong question--on the relationship between the act
and the impairment rather than on the blameworthiness of the defendant's
action by prevailing community standards" (Bazelon in Johnson, 1975,
pp. 522-524).

8
The AL I rule. The optimism present at the inception of the
Durham rule did not recur. Rather, although many legal experts felt
that the American Law Institute (ALI) rule avoided the major problems
found in M'Naughten and Durham (Johnson, 1975), they admitted that
operational difficulties still remained.
The ALI rule states, "A person is not responsible for criminal
conduct if at the time of such conduct, as a result of mental dis¬
ease or defect, he lacks the substantial capacity either to appre¬
ciate the criminality of his conduct or to conform his conduct to the
requirements of the law" (ALI Model Penal Code 4.01--Proposed Original
Draft 1962). Many states also include a "caveat paragraph": a clause
to the effect that habitual criminal conduct cannot be used as the
sole criterion to constitute mental disease. Becker offers criticism
that the ALI rule still lends itself to conclusory testimony by
psychiatric experts, and that the moral issues inherent in the
decision-making process may be obscured by the wording of the test.
"The ALI test still contains magic words susceptible of being used,
like those in Durham, to provide simple answers to the hard questions
and obscure the underlying issues. The 'test question' aspect remains
cases will still be found out in terms of the doctor's answers to
questions whether a particular state of mind is or is not a 'mental
disease,' or even whether the defendant had 'substantial capacity'"
(Becker, 1973, p. 64).
Use of the insanity tests. Given the concerns stated above that
tests may be overused and misused, it is somewhat surprising that
much research has not been conducted as to the effect of the language

9
of the individual test on the adjudication of guilt by judge or
jury. However, most authors (Becker, 1973; Johnson, 1975) rely on
the results of a study cited by Morris and Hawkins (1970):
The practical difference between traditional tests of
insanity and modern revisions was recently empirically
tested. Various juries were given instructions based
on the M'Naughten rules, the Durham test, and the fol¬
lowing simple and uncluttered formula: ‘If you believe
the defendant was insane at the time he committed the
act of which he is accused, then you must find the
defendant not guilty by reason of insanity.' The juries
failed to see any operative differences in the three
instructions. Do we need to labor another century and
a half to produce a mouse of such inconsequence?
(cited in Johnson, 1975, p. 526)
Except for the period in the District of Columbia during which the
sociopath (or "antisocial personality") could use his record of
habitual criminal conduct as evidence of mental disease or defect
under Durham, insanity acquittals have been successful in roughly
2% of criminal cases, regardless of the test applied (Johnson, 1975).
Table 2 presents a state-by-state analysis of which tests are
used across jurisdictions as of the spring of 1982. As can be seen
from the table, there is no single test for insanity that is being
applied throughout the United States. M'Naughten, Durham (in New
Hampshire), the ALI rule, and a combination of M'Naughten plus the
irresistible impulse doctrine are used depending upon the preference
of the legislature in a particular state. All federal courts have
adopted the ALI rule, and there appears to be a trend across the
states in the direction of abandoning M'Naughten in favor of the ALI
rule as well. Recently, some legislatures have added the Guilty But
Mentally Ill (GBMI) alternative to the options for dealing with

Table 2
Insanity Tests Used Across States
(as of spring 1982)
10
State Test(s)
Federal ALI
Alabama
Alaska
Arizona
Arkansas
California
Colorado
Connecticut
Delaware
District of Columbia
Florida
Georgia
Hawaii
Idaho
Illinois
Indiana
Iowa
Kansas
Kentucky
Louisiana
Maine
Maryland
Massachusetts
Michigan
Minnesota
Mississippi
Missouri
Montana
New Hampshire
Nevada
New Jersey
Mew Mexico
New York
North Carolina
North Dakota
Ohio
Oklahoma
Oregon
M'Naughten plus
irresistible impulse
ALI
M'Naughten
ALI
diminished capacity
M'Naughten plus
irresistible impulse
M'Naughten
M'Naughten plus
irresistible impulse
ALI
M'Naughten
M'Naughten
ALI
none
ALI plus GBMI
ALI plus GBMI
M'Naughten plus
irresistible impulse
M'Naughten
ALI
M'Naughten
ALI
ALI
ALI
ALI plus GBMI
M'Naughten
M'Naughten
ALI
mens rea
Durham
M'Naughten
M'Naughten
M'Naughten
ALI
M'Naughten
M'Naughten
M'Naughten
M'Naughten
ALI

11
State
Pennsylvania
Rhode Island
South Carolina
South Dakota
Tennessee
Texas
Utah
Vermont
Virginia
Washington
West Virginia
Wisconsin
Wyoming
Table 2--continued
Test(s)
M'Naughten
ALI
M'Naughten
M1Naughten
ALI
M'Naughten
ALI
ALI
M'Naughten
M'Naughten
ALI
ALI
ALI
(taken in part from Slowinski, 1982,
p. 524, note 65)

12
mentally ill clients (Slowinski, 1982). (See Proposed Alternatives
to the Defense, below, for consideration of the GBMI rule.)
Most of the research on the mechanics of the insanity defense
was conducted in New York and Wyoming, both of which were under the
AL I standard at the time. The current research took place in Florida,
which relies on the M'Naughten standard. Before examining how the
defense is working in these three states, it is first necessary to
understand the process by which a defendant is found insane, and
criticisms of the way this process is currently operating.
Workings of the Insanity Defense
Evaluation
When the court requests an evaluation to assess the mental status
of a defendant, there are usually two questions being asked of the
mental health professional. One concerns whether the defendant was
insane at the time of the crime (whether he meets the test criteria
as set forth in the individual state’s Rules of Criminal Procedure).
The second question about which the court may seek an expert opinion
is whether the defendant is competent to stand trial. The Supreme
Court, in Dusky v. US, mandated the specifics involved in the issue
of competency to stand trial. "It is not enough for the district
judge to find that 'the defendant is oriented to time and place and
has some recollection of events,1 but that the test must be whether
he has sufficient present ability to consult with his lawyer with a
reasonable degree of rational understanding--and whether he has a
rational as well as factual understanding of the proceedings against
him" (Roesch, 1979, p. 542).

13
Before the question of sanity can be brought before the court, an
individual must first be found competent to stand trial. This is a
legal safeguard for the defendant, insuring that he/she is in a state
of mind which allows him/her to play as appropriate and alert a role
in the proceedings as possible. However, the competency stage is
also problematic in terms of operationalizing legal theory. Dif¬
ficulties are briefly reviewed below. For a detailed consideration of
the issues involved in competency to stand trial, the reader is
referred to Henry Steadman's Beating the Rap (1979), a longitudinal
study of those found incompetent to stand trial in New York State.
There exist problems in both defining and implementing procedures
to handle those individuals found incompetent to stand trial. Roesch
(1979) asserts that criteria for incompetency are poorly defined and
that some professionals rely on clinical skills and personal definitions
of incompetency rather than explicit criteria to decide who is
competent. There have been frequent misinterpretations as to the type
of decision the court is seeking: professionals may render opinions
as to dangerousness, sanity, or whether the defendant has a psychiatric
disorder while never addressing the issue of whether he/she can under¬
stand legal proceedings. Many states are currently including criteria
for determining competency in the court order which is sent to the
professional in an attempt to provide structure for the expert
opinion.
It appears that true incompetency to stand trial is a comparatively
rare phenomenon. The Harvard Press Manual of Competency to Stand
Trial and Mental Illness, stipulates that "in 1971,

14
Bridgewater found that only six out of 501 observational admissions
to be incompetent to stand trial. This is an accurate frequency based
on our experiences in the courts" (1974, p. 65). They stress that far
more people are labeled as incompetent to stand trial than actually
lack the capacity to assist their attorney in their defense. This
point of view is echoed by Yochelson and Samenow, who maintain that
the incompetency plea is used to provide the defendant with "training"
in feigning mental illness, and that few people are legitimately in¬
competent (1976). Boehnert (submitted for publication, 1982) raised
the question that the court may be erring on the side of caution,
finding many incompetent who may in fact be capable of participation
in court, in the interest of protecting their legal due process rights.
After a defendant is found incompetent to stand trial for a
felony, he/she is remanded to a secure mental health facility for treat¬
ment, which often involves antipsychotic medication. Staff at the
treatment facility may also hold "competency classes" which teach
the basic principles of courtroom procedure. Patients are then coached
as to how to "pass" future competency examinations. Patients are eval¬
uated for competency no less than every six months, usually by means
of an oral or written test. When they are able to demonstrate accep¬
table understanding of the legal process, the court is so informed
and they are returned to their original jurisdiction to stand trial.
The process of "coaching competency" has come under fire from some
professionals, who raise the question of whether simple recitation
of courtroom procedure can be equated with the ability to participate
"rationally and factually" in the proceedings against him/her.

15
Incompetency and insanity issues may be part of the same foren¬
sic evaluation: they are not synonymous legal concepts. It is possible
for a defendant to be first found incompetent to stand trial and
later be found sane at the time of the crime; or visa versa. There
does appear to be a trend in some jurisdictions, however, for those
deemed incompetent to stand trial to be more likely deemed "insane"
than those lacking such a finding of incompetency (Boehnert, sub¬
mitted for publication, 1982; Fosdal, 1979b). Fosdal (1979b) cautions
that there is a strategic advantage in having "the defendant found
incompetent to stand trial. It should be remembered that a finding
of mental incompetency to stand trial is often a major factor in a
successful plea of mental non-responsibility" (p. 46).
Thus, it is not surprising that in practice, the question of
insanity/incompetency is usually raised by the defense attorney
(NYDMH, 1978). The court is informed that an evaluation for incom¬
petency/insanity at the time of the crime is deemed advisable. Coun¬
sel for the defense may provide the court with information as to why
lack of responsibility is suspected, and the court may appoint an
expert to perform an evaluation as to whether the defendant can
assist his/her attorney and whether he/she meets insanity defense
criteria. If the defendant is indigent, the court may also pay the
fees for this expert.
Alternatives. If the report supports the use of the defense,
the attorney may still attempt other avenues before filing a "Motion
to Rely Upon the Defense of Insanity." Some defendants oppose having
to admit guilt in order to use the defense. Others refuse to be

16
labeled as "insane," stigmatized as "mad and bad," or placed in a
mental hospital for an indeterminate time period; especially if the
crime is relatively minor and chances within the criminal justice
system seem to suggest a quick parole from prison (Singer, 1980).
In this case, an attorney may attempt a plea bargain with the pro¬
secutor, or may use mental illness as a mitigating factor if the
case goes to trial.
Filing of the "Motion of Intent." In certain cases, however,
the defense attorney does opt to proceed with the defense and files
a "motion of intent to rely upon the defense of insanity." Other ex¬
perts are then called in to evaluate the defendant.
In relatively minor cases, the prosecution may agree to the
plea of "not guilty by reason of insanity" (NGRI); the case then goes
before a judge, both sides stipulate (agree), and the defendant may
be found NGRI rather quickly. However, when the crime is a notorious
or heinous one, and the prosecution is actively opposed to the idea
of the defendant's being found "insane," a battle of the experts may
offur, with reputable mental health professionals aligned on opposing
sides. It is this type of case with which the insanity defense is
most closely associated in the mind of the public, and not the "minor
crime" mentioned above (NYDMH, 1978; Steadman and Cocozza, 1974).
Judge or Jury as Trier of Fact. The insanity case may be presented
before a judge or jury. Simon (1967) suggests that juries may fre¬
quently be quite reluctant to grant a verdict of NGRI, believing that
1) the defendant will quickly be released to the streets by the men¬
tal hospital; 2) that most juries are "too easy" and hence they
should "make an example" of the defendant; or 3) that the defendant

17
is "guilty but mentally ill" and needs to accept both treatment
and consequences for his/her actions. It appears that the supposition
that juries are too lenient is an erroneous one. Rather, they are
much more reluctant than judges to render a verdict of NGRI. This
was supported by Boehnert (submitted for publication, 1982) who
found that 29 out of 30 successful pleas were before a judge; but
24 out of 30 unsuccessful NGRI attempts were presented to a jury.
Consequences of a Plea. If an NGRI plea fails, the defendant
is found guilty. At sentencing, the judge may take evidence of men¬
tal illness into consideration for mitigation of the severity of the
sentence; but he/she may also impose a sentence based solely on
legal statutes and details of the crime without heeding psychiatric
input. In most cases, the defendant is then remanded to tifl custody
of the Department of Corrections, not placed on probation. In
Florida, the sentence may involve imposition of the death penalty;
indeed, many of the Florida sample were to be found on Death Row.
If, however, a defendant is found to be not guilty by reason
of insanity, he is remanded for treatment to institutions (usually
maximum security) run by the state mental health agency. It must be
stressed that legally NGRI's are considered to be "mentally ill,"
not responsible for their offense, and in need of placement in a
treatment institution, not a prison. The maximum security units to
which NGRI1s are usually sent are not under the control of the cor¬
rections department and exist (at least on paper) to provide treat¬
ment. After the institution concludes that the NGRI has received

18
"maximum benefit from treatment," it informs the sentencing court
to this effect. A hearing is then held (often by the sentencing
judge) as to whether the NGRI still fits the dangerousness criteria
(i.e. whether he is likely to be a danger to himself or others).
If the judge is of the opinion that the NGRI does constitute a
danger to the community, he/she will remand the defendant to the
continued custody of the treatment facility on the basis of dan¬
gerousness, even though the facility has labelled him as being no
longer in need of treatment. It should be noted that judges are
far more willing to err on the side of safety, especially regarding
an NGRI accused of a violent crime (Boehnert, submitted for publication,
1982; Stone, 1975). Goldstein conceptualizes the issues inherent in
this final stage of the process as follows; "The critical issue is not
so much that of commitment but that of release. The manner in which
it is handled determines whether the commitment is entirely thera¬
peutic, whether it is an elaborate mask for preventive detention,
or whether it is an awkward accommodation of the two objectives"
(Goldstein, 1967, p. 143).
Criticisms of the Insanity Defense
Definitions. As can be seen in the previous sections which
examined the various tests for insanity, there have been many
difficulties arising from attempts to operationalize the ambi¬
guous language found in the statutes. Chief Justice Burger argues
"no rule of law can possibly be sound or workable which is dependent
on the terms of another discipline whose members are in profound

19
disagreement about what those terms mean" (in NYDMH, 1978, p. 12).
Other definitional problems arise for those in the mental health
professions. First, the term "insane" has no counterpart in psy¬
chiatric nomenclature. It is not equatable with "psychotic," "schizo¬
phrenic," or any other diagnostic label. Each case must thus be exa¬
mined individually, and the expert must attempt to conceptualize
mental disability and pathological behavior into a standard framed in
the language of another discipline. This translation is often an
extremely difficult process.
Role of the expert. Many of the criticisms concern various aspects
of the role of the mental health professional in the proceedings. Dix
(1981) voices concern that finders of fact often do not appear to
give careful consideration to the legal complexities involved in an
insanity case. "It seems clear that a major factor in this state of
affairs is the continued domination of litigation by mental health
professionals. Too often, these matters are resolved by uncritical
acceptance of conclusory opinions rendered by mental health pro¬
fessionals" (1981, p. 2). It is the opinion of Dix and others (Hal-
pern, 1977; NYDMH, 1978) that there exists a trend for the expert
witness to usurp the role of the trier of fact in determining the
defendant's knowledge of right from wrong.
The performance of the sanity evaluation itself is problematic.
As part of this evaluation, the expert is asked to extrapolate back¬
ward to the time of the offense, often years prior to the time of
evaluation, to estimate whether the accused's state of mind was such
that he did not know or appreciate the nature, quality, and conse¬
quences of his act. In doing this, the professional is offering the

20
court his/her hypothesis of the events surrounding the crime:
there exists no scientific method of extrapolation which would allow
even the most skilled practitioner to inform the court of what actually
happened during the period in question. Furthermore, conducting an
examination around the issues raised in the legal tests for insanity
is once removed from psychiatric training which is designed to con¬
centrate on mental illness and on giving treatment to a patient, not
a litigant.
Abrams (1979) goes so far as to assert that "given present so-
called definitions of mental illness are based on behavioral patterns
. . . it is impossible to show a causal connection between a 'men¬
tal illness" and a crime" (1979, p. 441). She reasons that no speci¬
fic cause has been found for most of the major psychiatric illnesses
(hence the label of "functional") and therefore classification and
diagnosis rest on description of behavioral patterns common to each
illness. In her opinion, it is a personal and not a scientific
opinion which is used in determining which "patterns" are more patho¬
logical than others, and which if any relieves a defendant of res¬
ponsibility. She argues that given the state of the art for psychia¬
tric diagnosis, "cause" of a mental illness does not exist and hence
there is a "noncontingent relationship between insanity or mental
illness and non-reponsibility" (1979, p. 450).
Halpern, a psychiatrist, voices similar concern that psychia¬
tric measurement is not exact enough to be able to define the point
at which mental disease or defect can relieve a defendant of res¬
ponsibility (1977). He also asserts that "there is no morally sound

21
basis to select a mental disease or defect as a justification for
exculpability while excluding other behavioral determinants, such
as heredity, poverty, family environment, and cultural deprivation"
(1977, p. 400). In fact, these issues are often presented in com¬
prehensive reports to the court concerning the mental condition of
the defendant, and serve to inform the reader about the individual
before the court: who he is, how he thinks, and how he came to be
accused of the crime (Hoffman, 1981).
Other professionals, especially those in psychiatry and psychology,
voice concern that the "battle of the experts" degrades the image of
the profession itself. This assertion is certainly not a new one,
as Smith points out in his quote from an 1855 insanity defense pro¬
ceeding. "This trial has presented the painful and humiliating spec¬
tacle of mental pathologists differing entirely in their judgment"
(Bucknill, 1855 in Smith, 1980, pp. 18-19). This issue is also linked
to the notion of the "expert for hire"--a professional suspected of
changing his/her testimony and opinion to support whichever side
will pay the fee. "The professional posture of the specialty is
debased as the public realizes the conflicting testimony of several
members may have been perverted through the promise of a fee for
services rendered" (Kolb, in NYDMH, 1978, p. 103). Others admit
that within a specialty which currently lacks the scientific pre¬
cision of, for example, ballistics, differences of opinion are ex¬
pected and provide useful alternative conceptualizations to the
trier of fact (Hoffman, 1981).

22
Client rights. Such are the concerns involving the role of the
professional in the insanity defense. Other criticisms of the tests
for moral responsibility involve client rights. A professional con¬
sideration linked to the public image of mental patients in general
is expressed when the publicity surrounding a notorious insanity case
is considered. "Mental illness, violent criminal behavior, and ex¬
culpation from criminal responsibility are predominantly linked in
the consciousness of the public as a result of such an unfortunate
case" (Cavanaugh and Rogers, 1982, p. 538).
Another concern involves the concept of "equality under the law."
In considering the possibility that the defense discriminates
against the poor, Matthews (1970) argues that often the most qualified
professionals from either law or psychiatry are not involved in in¬
sanity cases, for reasons of ethics or finances. He suggests that
for indigent defendants unable to hire a private attorney or a team
of fully credentialled experts, the court may appoint a public de¬
fender and experts who may be second-rate, giving only a cursory
examination and having a narrow definition of mental illness which
biases them for the prosecution. The more wealthy, on the other hand,
can bring in private attorneys well-versed in tactics and well-
respected experts who have taken the time to understand legal concepts
and can impress juries with their vitaes, opinions, and delivery.
Steadman (1978), while acknowledging that such discrimination may
occur in a few cases, has not found a widespread bias operating
against the poor in his comprehensive New York State study of the

23
demographics involved in the defense. Pasewark (1979) criticizes
the suspicion held by many attorneys that state hospital evaluations
are less than complete or are biased toward the prosecution, and
instead praises the competence and comprehensiveness of such court-
ordered examinations. It thus appears that later studies have not
supported Matthews' allegations of a wideapread bias operating in
the application of the insanity defense.
Goldstein and Katz (cited in Abrams, 1979) question whether the
defense is "designed to authorize the holding of persons who have
committed no crime" (p. 451). Although found not guilty, the
defendant is not released to the community but is instead classified
in an alternate way to facilitate detainment. This position is some¬
what similar to the more extreme point of view of Szasz, who asserts
that society will always be able to invent ways to detain and abridge
the freedom of those for whom it harbors fear and distrust (cited in
NYDMH, 1978).
Protection of society. The final criticisms of the defense sur¬
round the issue of the protection of society. There is a sense of
outrage on the part of some that the label of "not guilty" (for what¬
ever reason) conveys to the public that certain people are above the
law. Some opponents go so far as to state that the defense damages
"the national or state conscience or superego" (Kolb in NYDMH, 1978,
p. 95) and exacerbates a "breakdown or contempt for the law amongst
the young who interpret hypocrisy in those sworn to uphold it" (p. 94).
Others doubt the ability of the mental health professionals to
recognize the malingerers and conniving criminals from among those

24
trying the defense. As support for this view that the insanity de¬
fense is a device whereby the "guilty" can escape their deserved
punishment is the viewpoint presented by the authors of The Criminal
Personality. Yochelson and Samenow (1976) see the use of the defense
as a strategic maneuver on the part of a very aware criminal. "He
concludes, 'Why serve a ten year prison term when I can get out of
the hospital in a much shorter time?1 ... We must emphasize that
not one of the hospital records contains a valid account of what
has really occurred. Institution records ... all contain the lies
and self-serving stories that the criminals have fed to their examiners
in attempting to be judged mentally ill" (pp. 225-235). This concern
is echoed by Halpern, as he focuses on the careers of those who
"made a point of trying to fool psychiatrists and psychologists in
Florida, Texas, Maryland, New York, California, and Canada . . ."
(1977, p. 47).
Not only do these opinions involve anger at the idea of justice
being thwarted: more indirectly they are concerned with the seeming
incapacity of the hospital or receiving facility to manage ade¬
quately such a defendant, a viewpoint echoed by others less extreme
in their opinions (Cavanaugh and Rogers, 1982; Dix, 1981; Steadman in
NYDMH, 1978). Legislators (Pasewark, 1979a)and the public alike fear
that after a few years of "treatment" in institutions with questionable
success rates, the NGRI's will return to the streets, uncured, and
be a danger once more.

25
No longer the remote asylums for containing a grab-bag of
misfits,, deviants and vagabonds and no longer defacto al¬
ternatives to prisons and poor houses, state hospitals today
are enjoined by law to provide highly specific treatment
plans for patients who are found to need in-patient care and
treatment. The advent of psychotropic medication and the
concomitant changing nature of psychiatric hospitalization
have resulted in drastically reducing the length of stays in
state psychiatric centers. Increasingly characterized by
open atmospheres rather than locked wards, psychiatric
centers today are no longer appropriate facilities for the
containment of social deviants. (Prevost, in NYDMH, 1978, p. 3)
By the time a defendant is competent to stand trial, he may no longer
be appropriate for in-patient care. Staff may inform the court to
this effect, and the court may well recommend continued residence at
the hospital on grounds of dangerousness to others.
At this stage, several problems are present. First, at many
hospitals, facilities are not designed nor are staff trained with
security as a primary focus. Second, "apart from [staff] perceiving
themselves as being forced to hold people, without treatment of the need
for it, who are more properly the responsibility of other agencies of
society, a more cogent difficulty is that these patients must be managed
contrary to all the best tenets of professional ethics" (Wright, in NYDMH,
1978, p. 116). Third is the central difficulty inherent in the use of the
term "dangerousness" as a guide to release. Research is consistent and
definite that mental health professionals cannot accurately predict a low
base rate, complex behavior such as dangerousness (Monahan and Cummings,
1974; Monahan, 1978, 1982; NYDMH, 1978; Steadman and Cocozza, 1974).
Thus, the judge is dependent upon mental health professionals for
an opinion which if rendered "borders on

26
committing professional perjury" (Wright, in NYDMH, 1978, p. 116).
This inability to predict dangerousness means that the final step
of the NGRI process, release, is impossible to implement with any
degree of assurance that the defendant is no longer a risk to his/
her community.
Proposed Alternatives to the Defense
Given the large number of criticisms of the insanity defense as
it stands now, it is not surprising that many alternatives have been
proposed. It is also not surprising that the alternatives themselves
appear to have serious problems when put into practice.
Abolition of the defense. Some states (notably Idaho) have experi¬
mented with abolishing the defense altogether (Lykken, 1982), since
there is no constitutional mandate that a state must utilize a test
for criminal responsibility. In that state, the judge is permitted
to consider testimony as to mental illness and recommendations for
treatment in deciding on sentencing after a defendant has been found
guilty. Aside from the theoretical debate over the merits of totally
removing the defense as an option, there exists some question as to
whether the judge and the defendant would be recipients of quality
psychiatric opinion and evaluation respectively, if there exists no
formal mechanism to ensure such professional competency (Lykken, 1982).
Bifurcated trial. Other states (Florida and California, among
them) have experimented with the system of the bifurcated trial. The
reaction in both states was quite negative (Carnahan in NYDMH, 1978;
Lykken, 1982) to this procedure in which "the question of what happened
is decided in stage one, while the question of insanity is threshed out

27
by an adversarial process before the same jury in stage two" (Lykken,
1982, p. 13A). Criticisms range from concern with the duplication of
effort involved in presenting much of the same information at two
separate times in the same trial; to the assertion that the issues
of guilt and mental condition are not separable and therefore should
not be considered in separate trial procedures (Carnahan, in NYDMH,
1978). Furthermore, "what sometimes happens is that the jury hears
in part two of an insanity trial what they should have heard in part
one. But by then it is too late and the degree of homicide has already
been determined" (Fosdal, 1979a, p. 17).
Diminished capacity. In 1978, the government of New York State
appointed a panel of legal and mental health professionals to study
how the defense was working in practice in that state and to offer
to the governor alternatives to the insanity defense, if necessary. The
panel's recommendation was that New York adopt the rule of diminished
capacity, in which "evidence of abnormal mental condition would be
admissible to affect the degree of crime for which the accused could
be convicted. Specifically, those offenses requiring intent or know¬
ledge could be reduced to lesser included offenses requiring only
recklessness or criminal negligence" (Carnahan in NYDMH, 197S, p. 140).
Under this rule, a mental health professional's testimony is limited
to the defendant's capacity for culpable conduct. The result is that
the defendant's mental state is taken into account in the judge's
determination of degree of offense and length of sentence. The panel
stresses that such an alternative is possible in New York because
that state has the most "advanced model for mental health treatment

28
in prisons in the United States" (NYDMH, 1978, p. 10). Facilities
include evaluation, group therapy, a day hospital, regular out-pa¬
tient services, and the more traditional in-patient hospitalization
for chronic illness. The corrections system model is presented as
having the intention of providing the same quality of care as a com¬
munity-based mental health center.
Although flaws are not mentioned in the New York panel's re¬
commendation of the diminished capacity model, they do exist. First,
mental health professionals are not trained in the determination of
"culpability" (another legal term) any more than they are trained in
assessment of moral responsibility. Second, it is likely that the
adoption of the diminished capacity rule will lead to a dramatic
increase in the number of defendants invoking the question of mental
capacity in some form, to add to an already over-crowded judicial
system. "At the time of offense, only a small minority of offenders,
in my opinion, are mentally ill as compared to the large number of
offenders who demonstrate some degree of mental impairment of diminished
capacity" (Fosdal, 1979a, p. 20). A variety of "mental impairments" and
psychiatric diagnoses can be used to negate capacity and intent, far
more than can qualify as completely absolving someone of moral res¬
ponsibility for his/her actions. Third, much has been written on the
unenviable role of the mental health professional in the prison system
(Bazelon, 1977a; Reid, 1982). Allegations are frequently made that the
psychiatrist's role is more that of an agent of coercion who keeps
order by over-medicating patients, rather than that of a legitimate
physician. At the very least, pressures to employees exist in any

29
institution which exists for social control, to assist in the goals
of the organization: namely, to help fellow employees keep order.
Given the difficulty in philosophically integrating treatment pro¬
grams with institutions designed for punishment, and considering
events such as the riots over conditions in the New York prison
system in the 1970's, and the more recent accusations of Abbott (1981),
there is justification for questioning whether New York State has been
able to put into practice its "model" mental health care system in
the prisons within the space of a few years.
"Guilty but Mentally Ill." One of the most publicized alterna¬
tives is Michigan's "Guilty but Mentally Ill" rule. In 1974, Michigan
released sixty-four inmates who had been previously committed under
the NGRI statute, on the basis that they were currently sane. Less
than a year later, two of them had committed additional violent
crimes. Mesritz (1976) directly attributes the formulation of Michi¬
gan's "Guilty but Mentally Ill" (GBMI) rule to these crimes. This
rule is important in that it is serving as a model for other states
which are unhappy with the performance of the standard insanity
defense.
The GBMI statute states, "A defendant may be found GBMI if the
trier of fact determines beyond a reasonable doubt that the defen¬
dant is guilty of an offense, was mentally ill at the time he com¬
mitted the offense, but was not legally insane at the time he com¬
mitted the offense" (Grostic, 1978, p. 189). If found GBMI, he/she
is remanded to the custody of the department of corrections. If
treatment is deemed necessary, the inmate receives it within prison

30
or is temporarily transferred to a treatment facility, to be returned
to prison following treatment to serve the remainder of his sentence.
Criticisms of the rule are broad and varied. First, the conse¬
quences to the defendant convicted under the GBMI rule or a guilty
plea are essentially the same. The rule seeks to insure that convicted
GBMI defendants receive necessary treatment. Unfortunately, most
observers agree that treatment is non-existent in prison, and that
in sentencing a defendant to prison for treatment, the court is sen¬
tencing them to a condition that does not exist (Steadman, 1980).
In addition, it singles out offenders for stigmatization within
the confines of the prison system. Many defendants dread entering
prison with a label of "crazy," due to their expectation of differ¬
ential treatment from both fellow inmetes and staff (Singer, 1980).
Due to this and the "legal hollowness" of the GBMI plea, some lawyers
assert that "the act of a defense counsel advising his client to plead
GBMI would constitute ineffective assistance, and a breach of a
canonized ethical duty" (Schwartz, 1975, cited in Carnahan, in NYDMH,
1978, p. 139).
Furthermore, some legal experts (Grostic, 1978) argue that jury
confusion caused by similarity in the GBMI and NGRI rules will result
in GBMI verdicts for some defendants who actually are more appro¬
priately deemed legally insane, thus depriving those individuals of
their right to the use of the insanity defense.
It appears that no alternatives to the insanity defense exist
which do not contain their own type of grave philosophical or prac¬
tical flaws. Of concern is the current trend toward abandoning the

31
defense entirely in favor of one of the above alternatives, without
adequate appreciation of their deficiencies and full comprehension
of the mechanics of the current system.
Philosophical Considerations in Practice
Current studies can be classified into two types: those examining
a broad set of persons classified as both mentally ill and violent;
and those examining a subset of the above group who were found not
guilty by reason of insanity. Examples of the former are investigations
which examine dangerousness of mental patients as a whole (Rabkin,
1979) and which attempt to discover a relationship between psychiatric
diagnosis and criminality (Guze, 1976; Piotrowski, 1978; Siomopoulos,
1978; Sosowsky, 1980). Examples of the latter include recent investi¬
gations in New York and Wyoming centering around statistical des¬
criptions of NGRI defendants, the course of their hospitalizations,
and how they compare with defendants found NGRI in the early 1970's
(Pasewark, 1979, 1980; Singer, 1978; Steadman, 1974, 1980). Findings
are reviewed here to provide a background for the description of the
current study of NGRI's in Florida.
Arrest rates of mental patients in general: composition of the
patient group. Due to the increased use of the mental health system
as an alternative to the criminal justice avenue, far more indivi¬
duals with prior arrest records are being hospitalized. This process
is termed "the medicalization of behavior" and involves "defining
deviant behavior as illness and mandating or licensing physicians to
treat it" (Melick, 1979, p. 228). The group of mental patients as a
whole now contains a "disproportionate share of people with police

32
records" (Rabkin, 1979, p. 26). The inclusion of this subgroup in
the wider group of mental health patients is partially responsible
for the statistics which indicate that patients as a group are more
likely to be arrested, especially for crimes of violence. Other con¬
tributing factors to the increased arrest rates being quoted for
psychiatric patients concern the changing admission policies for
patients. There have been a decrease in the admission of geriatric
patients to state psychiatric centers and an increase in the admission
of the persons found incompetent to stand trial and the emergency com¬
mitment patients: i.e. those admitted for being a danger to self or
others (Melick, 1979).
Rabkin's investigation poses an increasingly frequent question:
what is the association between arrest risk and diagnostic category?
She asserts, "When patients with arrest histories, primary diagnoses
of substance abuse, and personality disorders are considered separ¬
ately, the remainder of the patient group appears to be less dangerous
than are those members of the general public who are not mentally
ill" (1979, p. 26).
Relationship between arrest rate and diagnosis: high risk groups.
Most researchers agree that personality disorders as a classification
group have disproportionately high arrest rates (Binns, 1969; Guze,
1976; Henn, 1977; Rabkin, 1979; Siomopoulos, 1978; Zitrin, 1976).
Another population of interest to emerge is that comprised of those
adults who as children and adolescents were admitted to in-patient
psychiatric wards for manifesting aggressive and disturbed behaviors.
Since Robins' (1966) landmark longitudinal study, which yielded

33
rather pessimistic results as to the prognosis of such aggressive
youngsters, there has been the demand for more long-term follow-up
studies. Faretra (1981) presents results on an eighteen-year follow-up
of psychiatrically disturbed and violent adolescents admitted to the
children's unit of Creedmoor Hospital in 1960. The study suggests
the following trends. First, although the antisocial subjects con¬
tinued to be responsible for multiple crimes throughout the eighteen
years of the study, there exists no consistent relationship between
the acts for which they were originally hospitalized and subsequent
acts. Second, the earlier the age at which antisocial behavior begins
in a child's life, the greater likelihood exists that such a pattern
will continue. As a group, those with enduring antisocial behavior
"were almost all boys, had the longest preadmission history of child¬
hood problems, showed the most unstable, variable, and aggressive be¬
havior in the hospital, with antisocial and behavioral disturbances
predominating as chief complaints, rather than psychiatric symptoma¬
tology. Their family background contained more antisocial histories
and one-parent homes ..." (Faretra, 1981, pp. 451-452). Third,
there exists a close relationship between the reason for the subject's
original hospitalization and subsequent life course. Those admitted
with psychiatric symptoms continued to have mainly mental hygiene
contacts throughout their lives. Those admitted with predominantly
antisocial behavior were mainly associated with the courts and the
corrections system. Those showing both bizarre behavior and antisocial
behavior most resembled those found in the corrections group, although
their histories reveal contacts with both the criminal justice and
the mental health systems.

34
Fourth, "most of the children . . . with the longest duration of
problems prior to admission (over two years) showed a life course
of mixed antisocial and psychiatric problems" (Faretra, 1981, p. 448).
Faretra's conclusions support those of Robins (1966) and suggest
a rather consistent relationship between early acting out (or conduct
disorder) and later criminality. Data from England are slightly more
encouraging. West (1980) asserts that the majority of young delin¬
quents are treatable and eventually are subsumed into ordinary society.
Those who are not, who continue in antisocial careers, appear to match
the chronic aggressive recidivists found in Faretra's sample. "The
most important features are poor control of hedonistic and aggressive
impulses, low frustration tolerance, primitive conscience, instability
in personal relationships and poor performance in education and work
career, usually traceable back to an undisciplined and socially de¬
prived childhood" (West, 1980, p. 624).
Relationship between arrest rate and diagnosis: schizophrenia.
Evidence becomes less consistent regarding the criminal activity of
schizophrenics. In studies which feature schizophrenics as less than
half of the patient sample, their arrests are not disproportionately
high (Rabkin, 1979; Zitrin, 1976). Zitrin (1976) found schizophrenics
to be over-represented among those who committed violent crimes but
not over-represented in overall arrest rates. Sosowsky's (1980)
sample includes a greater concentration of young schizophrenic pa¬
tients than did others', with his research concluding that "patients
who entered the hospital without a criminal record were subsequently
arrested about three times as often as the average citizen and five
times as often for violent crimes" (1980, p. 1604). Similarly,

35
Giovannoni and Gurel (1967) found with a sample diagnosed chronic
schizophrenic that the subjects' arrest rates were far higher than
the control population's with respect to violent crimes. With the
change in the composition of state mental hospitals now a reality,
Steadman concludes "it seems time to acknowledge that there may be
a kernel of accuracy in the public's perception of the mentally ill
as threatening and dangerous if arrest rates greater than those of
the general population are assumed to indicate dangerous behavior"
(1981, p. 314).
The preceding studies offer a broad overview of what categories
are contributing to the image of the mental patient as a dangerous
individual. There exists a much smaller body of knowledge as to
characteristics of those who are evaluated upon being accused of
crimes; and even fewer studies pertaining specifically to those
using the insanity defense.
Characteristics of those referred for pretrial evaluation: the
referral process. After a defendant is charged with a crime, there
exist ample opportunities for a pretrial psychiatric or psychological
evaluation to be requested. The defense and state attorneys are those
most frequently involved in such a request. Usually some basis must
be provided to the court for raising the question of mental illness.
This can range from bizarre details of the crime itself, to reports
of "peculiar" behavior on the part of the defendant from jailers,
to the defendant's having a history of previous psychiatric hos¬
pitalization. As explained previously, if the court feels that an
evaluation for insanity or incompetency to stand trial is justified,,

36
it may move for the appointment of experts to see the defendant.
(There also may be experts called by the state and by the defense.)
When patterns of referral over the years are examined, Henn
(1976) and Binns (1969) note that the insanity defense is more likely
to be considered in cases involving serious crimes, a common finding
throughout the literature. In addition, in their samples the court
seemed to be erring on the cautious side in its requests for pretrial
evaluation, making it probable that most if not all of those accused
of a crime and suffering from a serious psychiatric illness would be
examined. (Their studies were conducted in major urban areas, however;
and this conclusion may not apply to small rural counties). Steadman
and Cocozza (1978) also note a tendency by some referral sources to
believe that one must be crazy to be repetitively violent or to
commit a crime such as murder. This attitude undoubtedly accounts
for some referrals for evaluation, especially when more serious crimes
are involves.
Characteristics of referrals: demographic data. Much data have
been generated by the Forensic Division of the Malcolm Bliss Mental
Health Center in St. Louis (Guze, 1978; Henn, 1976; Piotrowski, 1978).
These researchers cite the trend of an increasing number of black
male defendants between the ages of twenty and twenty-four being
referred for sanity and competency evaluations. Since 1952, there
ha/e been a steady increase in the numbers of those charged with homi¬
cide and assault being referred to the service and a decrease in
those who have committed less violent crimes.
Characteristics of referrals: psychiatric diagnoses. In ex¬
amining diagnostic trends across the years, the St. Louis Forensic

37
Forensic Division notes the following patterns. First, the pro¬
portion of defendants being labeled antisocial personality is double
the next most common diagnosis. Second, there has been a rise in
the number of referred cases in which no mental disorder was found
but which in the past would have been labeled as homosexual or pas¬
sive-aggressive personality. Third, sixteen percent of the defendants
are diagnosed as having schizophrenia of some type (Henn, 1976).
Piotrowski (1978) asserts that a major determinant of referral
for evaluation is a history of prior hospitalizations in the history
of the defendant. Eighty-two percent of those seen in the Bliss
Center had such an incident in their records. He examined the
diagnoses of those deemed psychotic in his sample and concluded that
"schizophrenia or bipolar affective disorder uncomplicated by
[secondary diagnoses of antisocial personality, alcoholism, or drug
dependence] appear to be infrequent among criminals £no more than
two percent] , including those suspected of psychiatric illness"
(1978, p. 311). In his sample, eighty percent of the defendants
were found to manifest antisocial personality, alcoholism, or drug
addiction. He found no relationship between index crime and diagnosis.
This extremely low estimate (two percent) of those in the
criminal population who suffer from a major psychotic disorder is
disputed by other researchers. Siomopoulos (1976) examined 451 males
in Cook County, Illinois, who had been found unfit to stand trial.
Most were young, black, and had prior hospitalizations. A full
seventy-seven percent were diagnosed schizophrenic, with only eight
percent being seen as personality disorders. Type of crime committed
did not differ from that of the St. Louis sample nor was type of

38
crime related to diagnosis. He acknowledges that the differences
in findings may be due to research settings (hospital post-hearing
vs. pretrial detention). However, Binns (1969) examined a sample of
pretrial referrals and found one-third to be suffering from a
major psychosis, and one-tenth to be personality disorders (n=96).
Of the thirty-seven seen as psychotic, thirty-three percent displayed
florid symptoms which disappeared following the administration of a
course of medication. It is obvious from these discrepancies across
studies that there is serious disagreement as to the representation
of the schizophrenic or bipolar affective disorders within the
criminal population.
Statistical descriptions of NGRI's. Unfortunately, there is
very little research existing which explores how the insanity defense
has been functioning. Pasewark (1981), in his review of existing
literature, asserts that "it was shocking to determine the extreme
paucity of information regarding a legal mechanism that has been
operative for centuries.. . . This situation seems particularly de¬
plorable during a period in which the plea is subject to intense
criticism by persons seeking to either substantially alter or abolish
the plea" (1981, pp. 357, 394). No national data have been collected.
There exist no records containing such basic statistics as how many
people across the country attempt the defense each year. Fundamental
information (how often the defense is attempted, the percentage of
successful acquittals, and demographic data such as sex, age, and
race of those using the defense) has been published for only three
states: New York, Wyoming, and to a lesser extent, New Jersey. Thus,

39
most of what is known about the workings of the defense comes from
these few studies; the work of Steadman, Pasewark, and Singer. These
research projects provide basic demographic information on the opera¬
tion of the defense in those states in specified years. They do not
begin to investigate more complex issues, such as psychological char¬
acteristics of the defendants, and the relationship of crime char¬
acteristics to acquittals. Pasewark summarizes, stating "the situation
is all the more deplorable because, at this stage of the game, re¬
search designed to generate basic, useful information in this area
generally costs little. . . . Needed data are already available in
existing files, or if not, require only systematized, relatively
simple means of collection, organization, and analysis" (1981, p. 394).
The following studies were conducted in states relying on the
ALI rule at the time of the research. As stated previously, the
slight difference in wording among the tests is not likely to alter
to a significant degree who is found insane and who is not (Becker,
1973). Therefore, regardless of the version of the insanity test
used, results of research cited here are assumed to be at least some¬
what descriptive of other defendants in other jurisdictions.
Frequency of the use of the defense. Pasewark (1979a)and Stead¬
man (1980) compared insanity acquittals in New York State from 1965
through 1978. Probably the strongest finding is the dramatic increase
in the number of acquittals since 1971. Between 1965 and 1971, there
were 53 successful pleas in New York: this is in sharp relief to the
285 successful pleas between 1971 and 1976, and 109 between 1976
and 1978.

40
In examining statistics on frequency of insanity acquittals
in Wyoming between 1975 and 1977, Pasewark (1980) discovered that
only 2.2 percent of the original ninety-two preliminary insanity
pleas were actually adjudicated NGRI. This corresponds well to
Johnson's estimate of two percent of pleas which were successful
(1975). Seventy-four percent in Pasewark's sample dropped the in¬
tention and pled to a lesser charge, or were found guilty. This lends
further support to the evidence that the insanity case carried all
the way through trial is quite a rare phenomenon.
Insanity acquittals: demographic data. With respect to type of
crime and the characteristics of the defendants, the demographics
have not changed significantly over the last ten years in the New
York sample. Eighty-seven percent are men, and thirteen percent are
women; whites are over-represented in comparison to the state prison
population, with sixty percent white compared to thirty-one percent
black. Fifty-six percent of acquittees had previous psychiatric hos¬
pitalizations; and forty-four percent had prior arrest records. In
examining distribution of crimes, authors note that fifty-three
percent of those found NGRI were charged with murder or attempted
murder: this is still far less than is assumed by the public. Assault
of some form was the second most frequent crime represented, with
about fifteen percent of defendants having such a charge. Steadman
(1980) found wide variations in the number of acquittals across
counties in New York. Thirty-five percent of the counties had not had
a single successful insanity plea in twelve years: however, there are
no consistently shared demographic factors of these counties. Some

41
are urban, some rural, some quite populated, others not. The
author concluded that "the application of the insanity statutes
depends more on the idiosyncracies of attorneys, prosecutors, and
judges than on the number of the people in the county" (Steadman,
1980, p. 323). Another factor which may be linked to the frequency
of the use of the insanity defense is the rate of arrest and in¬
dictment within a certain county. Pasewark (1979b)asserts that the
more "brisk" the operation of the justice system in a county, the
less likely the plea of insanity (a slow-moving process) is to be
entered.
Attorney perceptions of the defense. In another study conducted
in Wyoming, Pasewark and Craig (1980) examined attorney perceptions
of the defense, and when these professionals used it with their
clients. They discovered that attorneys have some of the same mis¬
conceptions as do lay people about the use of the defense. They tend
to over-estimate how often it is actually used, to suspect that psy¬
chological evaluations occurring at state hospitals are less than
thorough,.and to believe that any individual who commits a violent
or sexual crime must be mentally abnormal. Although attorneys admitted
occasionally to using the defense as a delaying tactic to allow com¬
munity furor over the crime to die down, most stated that they en¬
tered the plea due to reasons of their client's mental health. De¬
sire to obtain treatment for the client, current bizarre behavior,
and past history of client psychiatric hospitalization were the most
frequent reasons cited for attempting the defense.

42
Psychiatric diagnoses of acguittees. In examining psychiatric
diagnoses given to acquittees, Pasewark found that sixty-nine per¬
cent entered the hospital with predominantly psychotic diagnoses,
and eleven percent were seen as personality disorders. "Of the 155
persons categorized psychotic, 128 were schizophrenic and 80 of those
were of a paranoid type" (1979a p. 658).
Length of hospitalization of acquittees. Once within the hos¬
pital, length of stay did not seem related to severity of offense.
However, the recent acquittees seemed to be held for a longer period
of time than the earlier group. "The 97 acquittees from the 1976-
1978 group who remained hospitalized had been retained for almost
as long as the average length of stay of the 131 released patients
from the 1965-1976 group" (Steadman, 1930, p. 323). He concluded that
today, NGRI's can expect to stay in the hospital for at least four
years. However, he cautions that it is misleading to compare the
length of hospitalization with the time served in prison by those
charged with the same crime, as this ignores the process of plea
bargaining which takes care of about ninety percent of the cases
processed through the criminal justice system. After comparing the
hospitalization time of the acquittees with prison time served by
those convicted (through plea bargaining and accrual of gain time),
Steadman asserts that the two groups are quite similar in the amount
of incarceration time which they actually serve.
Conclusions. Pasewark (1979a) summarizes the trends in the
statistical data by conceptualizing those acquitted by reason of
insanity as falling into two groups. The first group is comprised
of those for whom the defense was designed; i.e. those whose

43
criminal actions arise as a result of their mental disorder. The
second group, containing many individuals with a prior arrest re¬
cord, is more representative of the criminal population as a whole
which, "like any other occupational group, contains a certain number
of mentally ill individuals" (1979a, p. 658). Steadman (in NYDMH, 1978)
adds four subgroups of NGRI acquittees who he asserts are neither
psychotic nor legally insane: former police officers, mothers charged
with infanticide, "persons of respectability," and those he labels
as "I-can-feel-sorry-for-you" subjects. The existence of these sub¬
groups leads Steadman to question whether more "humane" variables
than language of a given statute may be the deciding factors in
insanity acquittals (NYDMH, 1978).
Recidivism«studies. Recidivism studies which focus exclusively
on NGRI's are comparatively rare. One (Morrow and Peterson, 1966)
examines recidivism rates for California NGRI's, and finds that "the
NGRI criminal recidivism rate of thirty-seven percent is almost
identical with the prison rate" (1966, p. 34). Subjects were more
likely to fail if they had two or more previous offenses, or if their
criminal record included property crimes. The authors conclude that
NGRI's show great similarity to discharged prison inmates with res¬
pect to nearly identical criminal recidivism rates, dominance of
property crimes, and common prognostic variables. As a corollary
to this, they suggest a di_s-similarity between NGRI's and psychia¬
tric patients due to the lack of a prognostic relationship between
outcome and diagnosis or previous hospitalizations. Mullen and
Reinehr (1981), in a study comparing population characteristics of
a prison, a general psychiatric hospital, and a maximum security

44
forensic psychiatric facility (housing NGRI's, among others)
reach a different conclusion from Morrow and Peterson (1366). Mullen
and Reinehr suggest that forensic patients resemble general psychia¬
tric patients more closely than they do prisoners, on IQ and demo¬
graphic variables. (This is not a recidivism study, however, as it
was conducted during the confinement period of each of the three
groups.)
Psychological Characteristics of Violent Individuals
The previous sections have considered those individuals who
meet criteria for being both mentally ill and violent. Studies have
centered around diagnostic and demographic descriptions of those
being evaluated in forensic settings, hospitals, and mental health
centers. However, these studies do not focus on psychological
descriptions of those who are violent or who habitually act out in an
antisocial manner. Instead, they focus on investigating small sub¬
groups of the entire population of acting out individuals as a
whole. The main reason for this specificity is that "the criminal
personality" does not exist as a single entity: there is no single
description or diagnosis which encompasses all of the individuals
who act out against society. In addition, there is no biological,
physical, or psychiatric quality which consistently indentifies such
individuals and sets them apart as being qualitatively "different"
from other people.
The criminal personality. This lack of an identifying trait or
"mark" is not completely accepted in the literature. Both philos¬
ophical and early medical tracts advanced the notion that criminals
are genetically different from others, and that their behavior is

45
untreatable and unalterable (Lombroso in Yochelson and Samenow,
1976). Others maintained that criminals possessed a "general con¬
stitutional inferiority," which resulted in "the dregs of every
population draught, pure or mixed [being] poured into the prison
sinks" (Hooten, cited in Yochelson and Samenow, 1976, p. 58). More
scientific investigations have posited physical body type, genetic
predisposition, chromosomal anomalies, certain autonomic responses,
specific head trauma, and abnormal electrical activity in the brain
as discriminating criminals from their fellows (Blackburn, 1975,
1979; Cloninger, 1978; Cochrane, 1975; Coursey, 1979; Curran, 1978;
Shagoury, 1971; Yochelson and Samenow, 1976). To date, none of the
biological theories have reliably and consistently discriminated
chronically antisocial individuals from others, though investigations
of genetic and autonomic factors are continuing.
There have also been attempts in the psychiatric literature
to describe these individuals. The term CPI (constitutional psycho¬
pathic inferior) and the similar label of psychopath have frequently
been used to identify "the criminal personal ity." Described by
Cleckley in The Mask of Sanity (1954), the psychopath or sociopath
is conceptualized as a person who may outwardly appear much like
others (hence the title), but who in reality is quite different and
quite psychologically disturbed.
"Despite changes in official terminology, there has been con¬
siderable agreement on how to describe these persons whose irres¬
ponsibility and antisocial attitudes are so well known" (Yochelson
and Samenow, 1976, p. 90). The literature is consistent as to

46
characteristics which psychopaths share. Such individuals are des¬
cribed as immature, irresponsible sensation-seekers who do not
profit from experience or learn from their mistakes. They are in¬
sincere, manipulative, skilled liars who appear unable to exper¬
ience guilt. Chronically self-centered, they are adept at using
others for their own ends but seem incapable of maintaining more
than superficial relationships with other people. They lack control
over their impulses and are often chronically in trouble with the
law. Unfortunately, such people are often charming, socially poised,
and lacking in anxiety and initially can make quite a good impression
socially. They are capable of being extremely destructive, violent,
and vengeful and can create a great deal of physical and psychic
damage to other people with little or no regret for their actions
(Cleckley, 1954). Cleckley used the term "moral insanity" to con¬
ceptualize their inability to empathize with others, experience
guilt, or respond to internal ethical standards.
In the Diagnostic and Statistical Manual (Third Edition) or
DSM-111 (the 1980 national classification system for the nervous
and mental disorders), the terms "psychopath" and "sociopath" are
abandoned for the more recent label of "antisocial personality."
As can be seen from the criteria presented in Table 3, many of
Cleckley's characteristics of the psychopath have been incorporated
into DSM-III's "antisocial personality."
Although many of those in prisons for both violent and non¬
violent offenses possess some of the identifying characteristics,
there appears to be a continuum comprised of the criteria on which

47
Table 3
Diagnostic Criteria for Antisocial Personality Disorder
A. Current age at least eighteen.
B. Onset before age fifteen as indicated by a history of three or
more of the following before that age:
1) truancy (positive if it amounted to at least five days per
year for at least two years, not including the last year of school)
2) expulsion or suspension from school for misbehavior
3) delinquency (arrested or referred to juvenile court because
of behavior)
4) running away from home overnight at least twice while living
in parental or parental surrogate home
5) persistent lying
6) repeated sexual intercourse in a casual relationship
7) repeated drunkenness or substance abuse
8) thefts
9) vandalism
10) school grades markedly below expectations in relation to
estimated or known IQ (may have resulted in repeating a year)
11) chronic violations of rules at home and/or at school (other
than truancy)
12) initiation of fights.
C. At least four of the following manifestations of the disorder since
age eighteen:
1) inability to sustain consistent work behavior, as indicated
by any of the following: a) too frequent job changes (e.g. three or
more jobs in five years not accounted for by nature of job or economic
or seasonal fluctuation), b) significant unemployment (e.g. six months
or more in five years when expected to work), c) serious absenteeism
from work (e.g. average three days or more of lateness or absence per
month), d) walking off several jobs without other jobs in sight.
(Note: similar behavior in an academic setting during the last few
years of school may substitute for this criterion in individuals who
by reason of their age or circumstances have not had an opportunity
to demonstrate occupational adjustment).
2) lack of ability to function as a responsible parent as evi¬
denced by one or more of the following: a) child's malnutrition, b)
child's illness resulting from lack of minimal hygiene standards,
c) failure to obtain medical care for a seriously ill child, d) child's
dependence on neighbors or nonresident relatives for food and shelter,
e) failure to arrange for a caretaker for a child under six when parent
is away from home, f) repeated squandering, on personal items, of
money required for household necessities.
3) failure to accept social norms with respect to lawful behavior,
as inoicated by any of the following: repeated thefts, illegal occu¬
pation (pimping, prostitution, fencing, selling drugs), multiple ar¬
rests, a felony conviction.

48
Table 3--continued
4) inability to maintain enduring attachment to a sexual
partner as indicated by two or more divorces and/or separations
(whether legally married or not), desertion of spouse, promiscuity
(ten or more sexual partners within one year)
5) irritability and aggressiveness as indicated by repeated
physical fights or assault (not required by one's job or to de¬
fend someone or oneself), including spouse or child beating
6) failure to honor financial obligations, as indicated by
repeated defaulting on debts, failure to provide child support,
failure to support other dependents on a regular basis
7) failure to plan ahead, or impulsivity, as indicated by
traveling from place to place without a prearranged job or clear
goal for the period of travel or clear idea about when the travel
would terminate, or lack of a fixed address for a month or more
8) disregard for the truth as indicated by repeated lying,
use of aliases, "conning" others for personal gain
9) recklessness, as indicated by driving while intoxicated
or recurrent speeding.
D. A pattern of continuous antisocial behavior in which the rights
of others are violated, with no intervening period of at least
five years without antisocial behavior between age fifteen and the
present time (except when the individual was bedridden or con-
tined to a hospital or penal institution).
E. Antisocial behavior is not due to either Severe Mental Re¬
tardation, Schizophrenia, or manic episodes.
(from Diagnostic and Statistical Manual,
Third Edition, 1980, pp. 320-321)

49
antisocial and normal individuals fall. Some may resemble the
"classical psychopath," fulfilling most of the characteristics as
seen in the enduring pattern of their behavior. Others may evidence
psychopathic qualities, yet not to the extent pictured by Cleckley
previously. Still others may not resemble chronically antisocial
individuals in the least but instead appear more compatible with
those mentally ill individuals suffering from one of the major psycho¬
ses: schizophrenia or major affective disorder. These types of path¬
ology may result in disturbance of a person's emotional and thought
processes to the extent that he/she is no longer in basic contact with
reality. The patient may hear voices, believe he/she is God or an
agent of God, or invent and believe in an entire system which bears
no resemblance to the outside world. (For a full review of symptoma¬
tology for psychiatric illnesses, the reader is referred to DSM-III or
a textbook of abnormal psychology). Such individuals are usually not
criminals and are in no way involved in antisocial activity during
their lives. Some may commit violent acts while psychotic but still not
display a pattern of criminality in their overall behavior.
Finally, such disorders may be superimposed on a basically anti¬
social personality style. These disorders include substance abuse and
chronic drug psychosis in addition to schizophrenia and the major af¬
fective disorders. (For a more complete explanation of these disorders,
the reader is referred to an abnormal psychology text.) There are
serious implications inherent in the problem of an individual with
multiple psychiatric difficulties. The first concerns treatment. A
person may show many antisocial personality characteristics while also

50
displaying psychotic symptomatology. This may be in the form of
hearing voices, forming delusions, over- or mis-interpreting stimuli
in the environment as being threatening or harmful, believing in
plots against him/her, etc. Medication may eradicate some or all
of the above symptoms: it does not affect the psychopathic personality
traits discussed previously. In fact, there is no known treatment which
works well in ameliorating habitual criminal behavior (Cleckley, 1954;
Faretra, 1981; Yochelson and Samenow, 1976). The second problem is a
diagnostic one: such an individual is not easily classified with
either the label of mentally ill or criminal. He/she is most likely
both. He/she may present very different psychological pictures depending
upon the time of the evaluation, and sanity examinations focusing on a
past event in the life of such an individual may be quite difficult.
Finally, disposition of an antisocial individual who is intermittently
psychotic can be complicated. Treatment in a hospital may be indicated
during the period when he/she is acutely delusional; once antipsy¬
chotic medication has been effective, a prison may be a more appropriate
placement. At either facility, the individual is "neither fish nor
fowl": in need of structure and security in a hospital and stigma¬
tized, feared, and mistrusted as "crazy" in a prison.
Theories which posit biological or psychological abnormality
as the root of criminality have been briefly discussed above. There
exists a different conceptualization for antisocial behavior which
places greater emphasis on environmental factors. Child abuse, poverty,
slum dwelling conditions, exposure to familial and peer violence, and
respect for the delinquent subculture have been asserted as contributing

51
to an individual's criminal behavior. Others have viewed violent
behavior as being the natural product of a society that is also
violent (Yochelson and Samenow, 1976). These theories focus not on
the flaws in the individual, but instead blame society and the en¬
vironment for causing conditions which breed crime. They do not ad¬
dress why the great majority of persons raised under deprived or
violent conditions do not become antisocial.
Recent research asserts that persons who commit violent crimes
display different personality characteristics from persons who commit
property crimes (Rose and Bitter, 1980; Shagoury, 1971). This dis¬
tinction between violent and nonviolent offenders is maintained through¬
out the literature (Edinger, 1979; Steadman, 1980; Toch, 1980; Wagner,
1979). Those involved in violence are described as being more im¬
pulsive, immature, emotionally uncontrolled, overly sensitive, dis¬
trustful of their environment as a whole, interpersonally isolated,
and unable to express anger appropriately (Rose and Bitter, 1980).
Shagoury (1971), in a study comparing a group of men convicted of
murder with a group convicted of property crimes, found more per¬
sonality disorganization, impulsivity, and less remorse and empathy
in the homicide group but also stressed that this group was not a
homogenous one, being comprised of four types of murderers. An earlier
study (Wolfgang and Ferracutti, 1967) evaluated personality research
regarding homicide. They concluded that there is no one personality
profile of a homicide offender, and that murderous behavior occurs
across all psychiatric diagnoses, including those who had been labeled
as normal. Nor do these data appear to pertain just to murderers.

52
Violent offenders in general appear to resemble each other morethan
they do non-violent offenders; discrimination according to the type
of violent crime which they commit has not been achieved (Rose and
Bitter, 1980). Thus, murderers are not distinguishable from assailants
or rapists purely on the basis of their personality characteristics.
This is not surprising given that violence is not a psychiatric con¬
cept: it is a complex phenomenon resulting from the interaction of
situational factors and personality dynamics of the individuals involved.
Research investigating violence, and the related field of victimology
(the study of those who become victims) has been poorly conducted (Toch,
1980; Wolfgang and Ferracutti, 1967) and fairly scarce. Toch (1980)
addresses the difficulties inherent in making progress toward under¬
standing and conceptualizing violence in the following way:
Offender subpopulations contain an unknown number of in¬
dividuals who can be diagnosed as psychiatrically dis¬
turbed. However, even where such diagnoses are defensible,
this does not mean that we have either explained violence
or understood it. A schizophrenic who assaults people is
psychotic and is violence-prone. Both facts may diminish the
person's popularity, but the combination does not make him
a violent psychotic. If the patient obeys voices that tell
him to kill, our understanding increases by considering
this fact, but in most cases the link between behavior and
cognitive problems is remote, (p. 649)
The reader is referred to the work of Monahan (1978 and 1982) and
Monahan and Cummings (1974) for a more thorough consideration of the
issue of prediction of violence and dangerousness.

53
Summary. In summary, it appears that there is no single psy¬
chiatric entity known as a criminal personality or a violent of¬
fender. Violence is a multifaceted, partially situational phenomenon
which occurs across psychiatric diagnoses. Offenders can be classified
as being violent or nonviolent: they cannot be psychologically dis¬
criminated on the basis of the type of crime which they have com¬
mitted. Violent offenders in general have been characterized as
immature, emotionally uncontrolled individuals who lack appropriate
empathy for others and view their environment with distrust. It
must be stressed, however, that many of those committing violent
acts do not fulfill all or even most of these criteria nor could
they be termed "psychopathic" or "antisocial personality." Research
in the area has been criticized for numerous philosophical ¿nd method¬
ological problems but has illustrated that the problem of violence
in general is a multidisciplinary one (not just a psychological one);
and that violent offenders, while often resembling each other psy-
chiatrically in certain ways, are not a homogenous group.
Use of Psychological Tests with Violent Offenders
In the course of a psychological evaluation, the clinician
often reviews data from previous hospital and prison contacts,
school records, and any medical and social history records of the
defendant from other sources which may be available. The psycholo¬
gist also conducts a clinical interview with the defendant, and ad¬
ministers a battery of psychological tests. During the clinical
interview, the clinician may form diagnostic impressions based on
both verbal and nonverbal information which is provided by the client.

54
Psychological tests provide data which serve to strengthen or
call into question this emerging diagnostic impression. In some cases,
the tests may replicate material already covered in interview; however,
they also provide valuable information as to how the client ap¬
proaches structured and unstructured situations and how he/she is
functioning intellectually and emotionally. Many clients are less
sure of how to make a "good impression" on tests than in interview;
therefore,psychological tests may be useful in working with mani¬
pulative individuals. In addition, these assessment instruments were
standardized on a wide range of normal (and in some cases, mentally
disturbed) individuals; scores provide data as to how the defendant
is performing as compared to the performance of certain specified
criterion groups. The current research employed a battery of tests
commonly used in psychological evaluations.
Intellectual. In forensic evaluations, both intellectual and
personality tests are administered to the defendant. The intelli¬
gence test (sometimes known as an IQ test) provides information as
to the client's level of general cognitive functioning at the time
of testing. In the current study, IQ was used primarily for screening
purposes to ascertain whether subjects were able to comprehend
items on other tests.
Personality measures in general. Personality measures are generally
grouped as objective or projective tests. An objective test is a struc¬
tured test, both in terms of the type of item with which the client
is presented and in terms of the scoring and interpretation by the
examiner. On such a test, there is a limited range of possible an¬
swers, and a standardized scoring system and interpretive manual. A

55
projective measure, on the other hand, has no right or wrong
answers, as it presents the client with a deliberately ambiguous
stimulus to which he/she must respond. Scoring and interpretation
of the responses follow basic guidelines but are subject to in¬
dividual differences across examiners. The test battery used in the
current study contained one objective personality test (the Min¬
nesota Multiphasic Personality Inventory or the MMPI) and three
projective personality tests (the Rorschach Inkblot Test, the Hand
Test, and projective drawings). A brief description of each test
is presented, followed by a review of the use of the test with vio¬
lent offenders.
MMPI (the Minnesota Multiphasic Personality Inventory). The
MMPI is currently the most widely used and researched objective
personality inventory (Greene, 1980). It consists of 550 declarative
statements written in the first person singular, to which the person
taking the MMPI answers "True" or "False." Sample items include
"I have used alcohol excessively," "There are persons who are trying
to steal my thoughts and ideas," "I liked school" and "I am afraid
of losing my mind." The 550 responses are scored and grouped ac¬
cording to ten clinical scales assessing major categories of abnormal
behavior. In addition, three "validity scales" built into the test
assess the respondent's test-taking style.
The MMPI was developed in 1940 at the University of Minnesota
by Starke Hathaway and J. C. McKinley. They first assembled over one
thousand items from psychiatric textbooks, other personality inven¬
tories, and clinical experience, to provide a variety of personality

56
descriptions. They reduced the thousand to about five hundred items
which they arbitrarily classified into twenty-five categories. These
MMPI categories included Morale, General Health, Gastro-Intestinal,
Habits, Family and Marital, Phobias, and Obsessive-Compulsive (Greene,
1980). They then constructed a series of scales which could be used
to diagnose deviant behavior.
In selecting items for a specific scale (e.g. Hypochondriasis),
they used an empirical approach. The items had to be answered
differently by the criterion group (e.g. hypochondriacal
patients) as compared with normal groups. Since their approach
was strictly empirical and no theoretical rationale was
posited as the basis for accepting or rejecting items on a
specific scale, it is not always possible to discern why a
particular item distinguishes the criterion group from normal
groups. Rather, items were selected soley because the criterion
group answered them differently from other groups. (Greene,
1980, p. 5)
Each of the ten criterion groups consisted roughly of fifty
individuals meeting the diagnostic criteria for the particular scale
in question. (Scales are as follows: Hypochondriasis, Depression,
Hysteria, Psychopathic Deviate, Masculinity-Femininity, Paranoia,
Psychasthenia, Schizophrenia, Mania, Introversion). The normative
group (that group serving as the reference for determining the
standard MMPI profile) consisted of 1508 whites who were representative
of the Minnesota population in the last 1930's for age (16-55), sex,
and marital status. Whites were used for the normative sample
because of the scarcity of minority groups other than American Indian
in Minnesota at that time. Not surprisingly, this lack of a
representative non-white normative sample is a major criticism of

57
the MMPI, as the test is frequently administered to individuals
for whom no comparable original normative data exist. Recent research
which interpreted profiles of blacks according to both white and
(recent) black group norms, concludes, "... although black-white
differences on the MMPI are statistically significant, they have
limited clinical implications because of the small mean differences.
Inspections of the standard deviation for each scale reported . . .
also suggests that the distribution of scores are very similar for
blacks and whites" (Greene, 1980, p. 215).
In addition to the ten clinical scales, Hathaway and McKinley
included three validity scales to assess the honesty with which the
testee responded to the MMPI. There exist several ways in which a
person taking a test may deviate from total frankness. A person may
answer totally randomly, exaggerate the depth of his/her psycho¬
pathology ("faking bad"), deny behavior or abnormality ("faking good"),
or be unable for some reason to comprehend the items. The L, F,
and K scales were developed to indicate when such response styles
were operating, and "subsequent research indicated that both validity
scale patterns and clinical scale patterns were useful in this kind
of discrimination" (Butcher, 1969, p. 10).
Thus, the MMPI provides a profile which graphically depicts the
frequency with which the testee endorses items which are related to
various dimensions of psychopathology. Elevations and depressions on
this profile sheet (see Figures I-111) provide a "profile pattern"
or "code type," often consisting of the highest one, two or
three-point elevations. MMPI manuals and computer programs exist

58
which provide interpretation of the various code types and depict
what behavior patterns and personality traits may be associated
with a particular code.
Certain codes have been asserted to be characteristic of acting-
out individuals in general. One of these, the ''4-9" type, is said to
be the profile achieved by the classic psychopath. Stelmachers (cited
in Lachar, 1974, p. 88) describes an individual with a 4-9 profile
as follows:
Persons with such profiles are generally impulsive and
irresponsible in their behavior, and are untrustworthy,
shallow and superficial in their relationships to others.
They typically have easy morals; they are selfish and
pleasure-seeking. Many temporarily create a favorable
impression because they are internally comfortable and
free from inhibiting anxiety, worry, and guilt but are
actually quite deficient in their role-taking ability.
Their judgment is notably poor and they do not seem to
learn from past experiences. They lack the ability to
postpone gratification of their desires and therefore
have difficulty in any enterprise requiring sustained
effort.
Another profile asserted to be found frequently in the popu¬
lation of violent offenders is the "4-8," with elevations on Scale
4 (Psychopathic Deviate) and Scale 8 (Schizophrenia). Individuals
with such a pattern may be characterized in the following manner.
"These individuals are unpredictable, peculiar in action and thought.
They straddle the fence between character disorder and psychosis . . .
and bizarre self-defeating crimes are noted. These individuals often
do things that seem designed so that they will get caught; the crimes
are stupid and sometimes vicious and assaultive" (Stelmachers, cited
in Lachar, 1974, p. 84).

59
There have been other MMPI profiles as well which have been
"in vogue" for a time as being characteriStic of the criminal popu¬
lation as a whole. However, all the profiles are suggestive of other
forms of pathology as well. They serve as a suggestion, not as a
predictor of behavior, as many individuals with such code types have
no criminal background whatsoever.
Some researchers, such as Megargee, have tried to construct
their own scales based on MMPI items which are more sensitive to
violent individuals as a whole. In general, however, these scales
suffer from methodological, constructional, and replication problems.
Hundreds of specialized scales exist for use in conjunction with the
MMPI, but few are supported in subsequent research with different or
larger samples (Butcher, 1978).
Another approach maintains that a linear combination of MMPI
variables distinguishes sociopathic, psychotic, and neurotic profiles
more accurately than does a clinical appraisal of the configurations
(Goldberg, 1968, 1972). Goldberg asserts "virtually perfect separation
of group profiles . . . the results ranging from 93 percent correct
(psychotic vs_. neurotic) to 99 percent correct (psychiatric vs.
sociopathic)" (1972, p. 121). Along similar lines are studies "summing"
different scale T-scores to yield a valid measure of aggression
(Huesmann and Lefkowitz, 1978). These authors added T-scores for
scales F, 4, and 9 and found that "the composite was an excellent
discriminator between delinquent and general populations of males"
(1978, p. 1071); and that this composite demonstrated a higher re¬
liability than simple use of the component scales. However, in a
failure to replicate this conclusion, Holland (1981) found that the

60
"combination of F, Pd^ and Ma performed no better than Pd alone"
(1981, p. 106). This study also contradicts findings of Heilbrun
(1979) which had shown that differentiation between violent and non¬
violent offenders could be increased by combining personality and
intelligence measures. Holland (1981) found the relation of intelli¬
gence and psychopathy to be linear and additive, rather than inter¬
active. He concludes that "illegal behavior, especially violent
aggression, is related to situational, sociocultural, and physio¬
logical determinants as well as the enduring characteristics of in¬
dividual offenders. ... It therefore seems unlikely that measures
of the type under consideration contain the potential for highly
accurate discrimination or prediction of criminal violence . . .[and]
neither the Huseman index nor Heilbrun's (1979) hypothesis regarding
the interaction of intelligence and psychopathy appears to be an
exception to this generalization" (1981, p. 110).
Megargee (1977) has gone so far as to construct an entire prisoner
classification system based on an MMPI taxonomy. He argues that within
his system, those having similar MMPI profiles are also similar with
respect to other psychological and demographic variables. His research
generated ten statistically derived and differentiated "types" which
"differ substantially in their behavior, social histories, life styles,
and personality patterns" (1977, p. 149). The importance of this research
stems from its use of a correctional population as a base to generate
descriptions of criminals who manifest certain MMPI patterns. His
typology is being used more frequently in recent MMPI literature that
deals specifically with offenders or violent individuals (Edinger,
1979; Wuinsey, 1980).

61
Problems encountered in the use of the MMPI with offenders.
Because of the ease of its administration and scoring, the MMPI is
especially popular as an instrument with institutionalized populations.
However, as noted above, it was designed to measure a broad range of
personality characteristics within a broad range of individuals.
Although felons were included as the criterion group for the Psycho¬
pathic Deviate scale (Scale 4), the test was not developed strictly
for use with this diagnostic subgroup.
Butcher and Tellegen (1978) and Reppuci (1978) point out that the
MMPI was not standardized on criminal populations, was not designed
specifically to be sensitive to nuances in violent individuals, and
does not have scales or norms which correspond directly to the correc¬
tional population being studied. Questions continue to be raised
concerning the sensitivity of its validity indicators and the implica¬
tions of the failures in replication for studies attempting to find a
"violent profile" of MMPI scales (Holland, 1981).
The Rorschach Inkblot Test. The Rorschach Inkblot Test is one of
the most widely used projective psychological techniques. A "projec¬
tive test" offers a subject a nebulous stimulus (one lacking clear
right or wrong answers); theoretically the subject "projects" aspects
of his/her personality onto the stimulus in his/her responses to the
test. Exner hypothesizes that "the test response reflects the basic
psychological styles or response tendencies that have developed
within the personality, plus representations of the more private world
of the person" (1980, p. 563).
The Rorschach technique was formally introduced by Hermann Ror¬
schach in 1921. The test consists of ten inkblots, five of which are

62
achromatic (black and white) and five of which are colored. They are
presented to the subject in a standardized order, and responses to
each card are noted verbatim on a response sheet by the examiner.
A subject may have as many responses as he/she wishes to each card,
although between two and three responses per card is a characteristic
number for a normal subject of average intelligence (Ogdon, 1977).
After the initial presentation of the ten cards (the "free association"
period) the examiner shows them again to the subject in order, this
time asking standardized questions pertaining to details of the sub¬
ject's perceptions. This is termed the "inquiry," and such questioning
often yields information as to which qualities of the blot (form,
location, movement, and color among others) the subject was responding.
These qualities, termed determinants, are scored according to rules
set down in a scoring system. Through developments in the Rorschach
technique, many such systems have been devised in order to increase
the accuracy and breadth of information provided by the test: the
original ten blots themselves have not been changed. Research is in¬
consistent as to the relative merits of one scoring system over
another (Exner, 1980), with practitioners often incorporating elements
of one or more systems into their analysis of determinants. Such lack
of standardization of scoring practices across examiners has been a
major criticism of the Rorschach technique.
The major determinants will be briefly reviewed here, and the
reasder is referred to Klopfer and Davidson (1962) for a complete
explanation of the scoring system used in the current research.

63
Determinant analysis. In the Klopfer scoring system, there
exist several determinants which are seen as being significant in¬
dicators of the manner in wnich a subject structures his/her world.
Location refers to the part of the blot being used for the percept:
does the subject focus on the whole, or concentrate on spaces, or on
large or small details? "Location usage appears to be related more
closely to intelligence rather than to emotional or personality
factors" (Ogden, 1977, p. 39).
Human movement responses (symbolized by "M") "are believed to
provide pertinent information, especially regarding ego strength and
insight, and attitudes toward oneself and others ..." (Ogdon,
1977, p. 23). Animal movement responses (symbolized by "FM") are hy¬
pothesized to be representative of more primitive, less mature modes
of behavior. Impulsivity and the potential for acting out are hy¬
pothetical correlates of a high FM score. Inanimate movement responses
(symbolized by "m") typically reflect anxiety or tension with res¬
pect to the subject's perception of his environment.
Subjects may also respond to the coloring of the blot. Shading
responses may yield information as to how the person copes with anxiety
produced by his environment. Chromatic responses (symbolized by "FC,"
"CF," and "C") are hypothesized to "reflect the individual's respon¬
siveness to emotional stimuli in his environment" (Ogden, 1977, p. 32).
This emotional reactivity may be controlled (as seen in percepts
such as "a red peony flower" which utilize form as well as color)
or relatively uncontrolled (seen in "pure color" responses or those
which do not place a high degree of form on the concept, such as

64
"blood.") Sum C is the weighted sum of color responses, derived from
the formula
FC + 2CF + 3C
which yields a single score quantifying the number and use of form
in color responses.
The most frequently encountered type of Rorschach response is
a pure form, or "F" response. It is a measure of the "fit" between
concept and inkblot and is frequently interpreted as suggesting the
degree of reality contact which a subject may possess and the ex¬
tent to which he/she pays attention to the environment. These res¬
ponses may be of positive form level (the percept conforming well to
the objective features of the blot) or of negative form level (the
percept poorly relating to the objective characteristics of the stimu¬
lus). Form level is expressed by the "F+%" score, with higher scores
suggesting better reality testing. The "Extended F+%" score measures
the form level of all responses, including those which do not use F
or "pure form" as the major determinant. The Extended F+% score is
another indicator of reality testing.
The examiner evaluates Rorschach perceptions through the deter¬
minant analysis (which provides quantitative information as to the
distribution of various scores) and a content analysis (focusing on
qualitative perceptions linked to tone, interests, and values). In
content analysis, percepts are analyzed according to the psychodynamic
interpretation of the symbolism attached to various percepts. For
instance, the percept of "a spider" would be interpreted far dif¬
ferently than the image of "a happy woman" given for the same part

65
of the blot. Again, the reader is referred to Klopfer and Davidson
(1962) for a more detailed introduction to content analysis.
Summary. In summary, the Rorschach has been used frequently as
part of a standard psychological battery to detect underlying psy¬
chosis and to provide a measure of ego development and emotional
control. It was designed to provide a clinical description of the
subject's personality characteristics, including those facets of
which the subject may be unaware. "A person's outward, observable
behavior may often not reveal his true feelings and attitudes. In
the Rorschach situation, on the other hand, a person does not know
the correct way, the best way, or the typical way to respond. He must
react in his own particular fashion. In so responding, he unwittingly
or unconsciously reveals himself" (Klopfer and Davidson, 1962, p. 15).
Use of the Rorschach with violent offenders. The test has been
widely used with correctional populations, in the hope that it may
provide more subtle clinical information than may be gained from the
MMPI. Researchers maintain its diagnostic usefulness in distinguishing
violent from nonviolent individuals (Finney, 1955; Rose and Bitter,
1980; Sommer and Sommer, 1958; Storment and Finney, 1953; and Towbin,
1959). In addition, some experts have devised a "Destructive Content
Scale" using a five-category system, combined with Color Content scores
(Rose and Bitter, 1980), which they assert distinguishes between
hospital patients who will reoffend in a violent way upon release
and those who will not. Scores range from a "1" for no violent content
(a "butterfly") to a "5," in which there is on-going destructive
action ("a person hitting someone with a machete"). Both free asso¬
ciation and inquiry responses are scored and averaged, yielding a

66
subject's Palo Alto Destructive Content Scale (PADS) score. This
scale is especially relevant to the current research since it pro¬
vides norms for patients at a maximum security treatment institution,
including NGRI's, and data which are presented according to the type
of crime committed. This contrasts with other studies which used the
scale with non-criminal hospital patients only (Storment and Finney,
1953).
Shagoury (1971) utilized a combination of psychological variables
gleaned from MMPI and Rorschach data to devise a formula which dif¬
ferentiated between a "homicide group" and a "property crime" group.
He then employed a discriminant function analysis to yield an optimum
cutoff score, with which to make predictions as to group membership
based on an individual score. He achieved a valid positive rate of
.71 and concludes that psychological variables in certain weighted
combinations have value as discriminators between those who are vio¬
lent and those who are not. The Rorschach variables of Sum C, Path¬
ological Content, M, negative form level, and percentage of human
responses were the most sensitive to differences between groups.
In another study, Haramis and Wagner (1980) likewise used a
stepwise discriminant function procedure to devise a formula based on
Rorschach and Hand Test scores to differentiate violent from nonviolent
alcoholics. (The Hand Test is a projective test described more fully
below.) These scores, the most discriminating of which was the ratio
of whole Rorschach responses to human movement responses, were able
to classify correctly eighty-three percent of the non-aggressive
subjects and eighty-seven percent of the aggressive subjects. Hand
Test variables were also found to be powerful discriminators.

67
Criticisms of the Rorschach. The Rorschach has been criticized
for many reasons. (For a more complete review of these, see Megargee,
1966.) One of the major concerns has to do with the reliability of
the test in general: the effect of memory and changes in the subject's
mood on the test-retest reliability is but one aspect of the contro¬
versy. "The question here is not whether this set of blots consis¬
tently elicits the same response pattern from a subject, but whether
a given set of protocols consistently elicit similar interpretations
from clinicians ..." (Megargee, 1966, p. 469). Other arguments con¬
cern the lack of an objective scoring system, the inability of the
test to predict specific behavior, the failure of specific Rorschach
signs to relate to psychiatric diagnosis and prognosis, and the failure
of the technique to differentiate better among normal samples. When
used with correctional populations, the test is criticized for not
having been developed for use specifically with violent offenders,
for being easily "faked," and for making many clients appear more patho-
ological than they may be in actuality.
The Hand Test. The Hand Test is one of the few personality mea¬
sures specifically developed for use with violent individuals. De¬
vised in the early 1960's by Edwin Wagner, the test consists of ten
cards, nine of which present black and white drawings of a hand
making a motion, and one of which is a blank card. The cards are
presented in a standardized order, and responses are noted verbatim
by the examiner on a response sheet. The last card is blank, and
requires that the client imagine a hand and tell what it is doing.
"The Hand Test supposedly measures prototypical action tendencies that

68
are habitual" (Wagner, 1981, p. 591). Theoretically, ways in which
a person interacts with his environment are symbolized through the
types of actions which he/she projects onto the hands. Thus, some
responses are active ("writing a letter"), some are affectionate
("saying hi"), some are aggressive ("punching someone") and some are
bizarre ("a hand turning into a spider"). Responses are summed ac¬
cording to the type of action category to which they correspond. The
sum of the category scores are then compared to each other in ratios,
the most significant of which being the Acting Out Ratio (AOR). This
consists of the number of Dependency-Affection-Communication responses
compared to Aggression-Direction responses and is hypothesized to
suggest the acting out potential of the subject. Clients whose scores
are heavily weighted in the direction of affectionate responses are
supposedly much less likely to act out in an aggressive manner against
their environment than are those who produce the opposite balance of
many violent responses.
Criticisms of the Hand Test. Major criticisms of the Hand Test
concern its reliability and validity: in other words, how accurately
does the Acting out Ratio predict actual aggressiveness of subjects
and discriminate between violent and nonviolent individuals? The
test has also been faulted for being easily "faked" and for using
validation studies usually performed by those closely associated
with the test's developer (Haramis and Wagner, 1989; Wagner, 1981).
Thus, the objectivity of studies which uphold the usefulness of the
Hand Test has been called into question by the scarcity of confir¬
matory data exclusive of those produced by Wagner and his colleagues.

69
Projective drawings (or House-Tree-Person drawings). Another
projective technique is that measure known as projective drawings
or House-Tree-Person drawings (the HTP). This assessment device re¬
quires that the subject draw a house, a tree, a person, and a person
of the opposite sex on separate sheets of paper with a pencil. His/
her conceptualizations of these common figures is said to provide
information as to how the client perceives the environment, other
people, and himself/herself. The test is easily and quickly admin¬
istered and requires no specialized materials other than paper, penci
and stopwatch. There are no set time limit on how long the drawings
should take and no special area of the paper which the client must
choose for the representations. It is frequently administered as
part of a psychological test battery, in the hopes that in some cases
the drawings may confirm the diagnostic impression of the client al¬
ready created by the other instruments and interview. 11 ... In a
few isolated cases [the test] provides an indication of the nature
of the client's problems. If so, the result would be that the clini¬
cian is on a random partial reward schedule and hence the habit of
administering the [test] would be very resistant to change" (Megargee,
1966, p. 370). Few if any responsible clinicians rely on drawings or
on any other test in and of themselves for providing a complete clini¬
cal picture of a patient.
Although there exists an intricate scoring system which quantifie
many of the types of strokes, omissions, and placements which are
commonly found (Machover, cited in Megargee, 1966), many clinicians
continue to rely on their diagnostic or clinical impressions of the
drawings when interpreting them (Ogden, 1977). Stylistic (shading,

70
length and strength of strokes; placement on page) and content
features (animal urinating on the tree, presence or absence of
clothes on figures) are taken into account in the assessment of the
meaning of the drawings.
Drawings have been widely used with the correctional population.
Jacks (1969) cites the ease of administration and the "inability to
be faked" as reasons for the test's popularity for use with violent
individuals. Appendix A delineates the characteristics hypothesized
to be indicative of a subject's violent tendencies. These criteria
were used as the scoring system for the drawings in the current study.
Criticisms of projective drawings. Many of the criticisms of
projective tests in general have been leveled at the House-Tree-Person
technique. These include questionable reliability and validity, the
lack of an objective scoring system, the lack of usefulness in pre¬
dicting behavior, and the tendency to "detect" pathology where none
many exist. Others admit that while in a few isolated cases the
drawings may provide useful information, in most cases they do not;
thus, they may be over-interpreted and their significance over-em¬
phasized by inexperienced clinicians (Megargee, 1966).
Recent assessment devices. Schlesinger and Kutash (1981) have
devised a new projective technique which they call The Criminal
Fantasy Technique. It consists of a series of twelve black-and-white
cards on which are depicted various crimes about to occur, presently
occurring, or having just occurred. Authors cite good discrimination
rates between compulsive sex offenders and substance abusers. Further
research, including blind studies and considerations of the demand
characteristics inherent in the test, need to occur before conclusions
can be made as to the usefulness of the instrument.

71
Rogers (1981) devised the Rogers Criminal Responsibility As¬
sessment Scales, which involved "twenty-three psychological and
situational variables considered critical in making a forensic de¬
termination of insanity" (1981, p. 684). The instrument also contains
a "hierarchical decision model" for applying the ALI test to the
specific variables. This model structures the clinician and specifies
the process of his/her decision-making. In addition, authors assert
that it "translates the psychological variables into elements of the
ALI insanity standard" (1981, p. 684). Whether the simple application
of such a hierarchical model can bridge the centuries-old gap between
the legal test for insanity and psychopathology as defined by the
psychiatric profession has yet to be widely tested by researchers
who are uninvolved with the development of the RCRAS. The Rogers (1981)
study data correctly identified ninety-two percent of the patients
previously evaluated as meeting insanity criteria, and sixty-nine per¬
cent of those evaluated as sane. It should be noted that these correct
identifications correlate with judgments of other mental health pro¬
fessionals as to sanity; no information is given as to how such de¬
cisions correlate with those of the court.
Psychological Characteristics of NGRI's: Boehnert Pilot Study
Previously reviewed studies are concerned with the psychological
test performance of violent offenders in general. The insanity de¬
fense is a legal test used by many violent individuals and their
attorneys so as to be relieved of moral responsibility for an action.
One question that has not been frequently addressed is what happens
to that subgroup of individuals who fail in the insanity defense? In

72
other words, how do those people appear who carry the insanity plea
all the way through trial but are found guilty (i.e. morally res¬
ponsible) and are sent to prison?
One Florida study (Boehnert, submitted for publication, 1982) com¬
pared this group of offenders who attempted the insanity defense but
failed to a group of "successful" NGRI's matched on length of incar¬
ceration and crime (murder, aggravated assault, rape, and armed rob¬
bery). There appeared to be both significant similarities and dif¬
ferences between the two groups.
Similarities. The groups resembled each other with respect to
demographic data and use of a public defender. Most subjects were
skilled or unskilled laborers, possessed an average educational level
of the tenth grade, did not significantly with respect to prior ar¬
rest record and racial representations, and used a public defender
in their legal cases. Global test interpretation characterized most
individuals in the two groups as disturbed, impulsive men who were
socially distanced and prone to act out violently, with poor emotional
control. Most if not all were also deemed by the author to be in need
of psychological treatment.
Differences. The two groups were also found to differ in a number
of different ways. The NGRI's were significantly more likely to have
waived jury trial and had a judge as the trier of fact. They were far
more likely to have been previously adjudicated as incompetent to
stand trial than were those who were found guilty by the court.
Test results illustrated significant differences for both MMPI and
Rorschach variables. The "successful" NGRI's as a group were charac¬
terized by an 8-4 MMPI profile configuration whereas those found

73
guilty displayed a more elevated group profile of 8-4-6-2-9-7.
Rorschach scores suggested that the NGRI's as a group were charac¬
terized by a less intense, more modulated reaction to environmental
stimuli and by greater attention to their environment and their
interpersonal relationships. In contrast, those found guilty ap¬
peared to be less controlled, more emotionally labile and assaultive.
The 1979 study was a pilot work designed to provide psychological
test data on those who attempted the insanity defense, information
that is extremely sparse to date in the published literature. The
author stressed that institution effects (i.e. hospital vs_. maximum
security prison) may be a confounding factor that should be taken
into account. Those men at the hospital were provided with antipsy¬
chotic medication, group and individual psychotherapy, and housing
in an institution which at least technically existed for purposes of
treatment rather than punishment. Through demonstrating responsible
behavior, each patient could gain increasing amounts of freedom of
movement within and outside the Forensic Unit, some being able to
roam the hospital grounds unescorted. Patients also took part in vo¬
cational and alcohol rehabilitation programs which brought them into
contact with regular hospital patients--many of them women. Men who
had lived at both the hospital and the prisons unanimously endorsed
the hospital environment as being the more humane facility. As the
MMPI in particular has been asserted to be sensitive to immediate
environmental influences in addition to long-standing personality
factors, it was considered possible that the less pathological profiles
produced by the NGRI's were a direct result of the less pathological

74
environment in which they lived. The author therefore recommended
that data be analyzed according to type of housing facility in which
a subject resided, so that future research could take such situa¬
tional variables as immediate environment into account.
The Current Study
From examining the latter research on the insanity defense, the
author concluded that some statistical and demographic information
exists on the demographic data of NGRI's, but that there are few data
pertaining to psychological assessment in the literature. Furthermore,
in reviewing the Boehnert pilot study (submitted for publication, 1982)
the author was aware that far more information could be gleaned from
the original test data collected on the sixty successful and unsuc¬
cessful NGRI subjects previously mentioned, and that more focus should
be placed on investigating the influence of institution effects. It
also was apparent that few studies have specifically addressed how
the NGRI population differs from or resembles the criminal population
as a whole. In addition, it was unclear the extent to which those
examined in a pretrial psychiatric evaluation who did not use the in¬
sanity plea resembled the NGRI's or the criminal population as a whole.
Finally, it was deemed advisable to study within-group differences
based on the type of crime committed. Subjects in each group had
been convicted of murder, rape, armed robbery or aggravated assault/
battery. Statistical analysis might confirm the previous research
findings (Monahan, 1982; Rose and Bitter, 1980; Toch, 1980) that vio¬
lent offenders resembled each other regardless of type of crime com¬
mitted or might suggest that the type of crime variable constituted

75
a major source of within-group variability which would need to be
taken into account in data interpretation. Based on her review of
the literature and the pilot study, the author's hypotheses were as
follows.
1) The degree of personality psychopathology, as measured by
psychological tests, would decrease across groups in the following
way. Those who relied on the insanity defense at trial (Groups I and
II) would appear the most psychiatrically disturbed; followed by those
completing a pretrial sanity evaluation (Group III); with those sub¬
jects in Group IV for whom the question of mental illness was never
raised appearing the least disturbed.
2) The type of pathology manifested in subjects in both the pre¬
trial and control groups would not be of the psychotic type: in other
words, the subjects would appear to be in basic contact with reality.
However, test data for these men would indicate enduring characteris¬
tics similar to those listed for antisocial personality in DSM-III,
such as immaturity, lack of emotional control, and lack of empathy
for others.
3) Violence indicators as provided by the Rorschach Palo Alto
Destructive Content Scale and Hand Test would be consistent across
groups; as all four groups consisted of individuals convicted of
four types of violent crime, and literature asserts that violent in¬
dividuals tend to resemble each other on psychological tests re¬
gardless of type of crime committed (Shagoury, 1971; Wolfgang and
Ferracutti, 1967).

76
4) Subjects across groups would not differ significantly with
respect to the demographic factors of race, age, education, occu¬
pation, and prior arrest record; in keeping with pilot study data
(Boehnert, submitted for publication, 1982) and a demographic study
conducted in Wyoming (Pasewark, 1980).
5) In light of Simon's (1967) and Steadman's (1980) contentions
that factors other than the mental state of the defendant play a role
in the determination of whom is found insane, it was hypothesized
that the heinousness of the details of an individual's particular
crime would affect his adjudication in the following way. The author
asserted that those found not responsible for their actions would
have committed less heinous crimes than those found guilty, as the
community would demand lasting protection through prison or a death
sentence from the perpetrators of the most severe crimes.
6) As a group, those subjects who used the insanity defense suc¬
cessfully would appear different enough on certain psychological
measures so that they could be discriminated accurately from subjects
in other groups on the basis of a combination of test scores.
7) Subjects would be identified according to the role their mental
status played in adjudication by means of a prediction equation based
on combinations of psychological test scores. Their institutional
affiliation and the type of crime they committed would not be
identifiable through prediction equations.

CHAPTER THREE
METHODOLOGY
Subjects
Subjects consisted of 120 men convicted of rape, murder,
armed robbery, or aggravated assault during the years 1974-1978.
Thirty of these subjects had been found "not guilty by reason of
insanity" by the court and were incarcerated in the Forensic
Unit of Florida State Hospital, Chattahoochee, Florida. These were
designated Group I. They were matched on type of crime and length
of incarceration with thirty men who used the insanity plea as their
defense all the way through trial but were found guilty and committed
to the prison system (Group II) and with thirty men who completed a
pretrial evaluation for the insanity defense but used a plea bar¬
gain instead and were sentenced to the prison system (Group III).
Group IV was designated a control group, consisting of thirty men
in the Alachua County Corrections Center (matched on type of crime
with those in the other groups) for whom mental illness was not an
issue at trial. Data on all 120 subjects were collected in 1978.
Through use of the card file system at Florida State Hospital,
it was possible to determine who in the Forensic Unit was incarcer¬
ated under the insanity statute, as opposed to having been adjudi¬
cated incompetent to stand trial, dangerous to self or others, or
mentally disordered sex offender (MDSO). In addition, reports of the
77

78
examining psychiatrists as well as the adjudication of insanity by
the trial judge were available in the Florida State Hospital (FSH)
files of the men in Group I. Initial screening criteria for this group
were that the subject had been found "not guilty by reason of insanity"
(NGRI) by the court and committed to the treatment facility.
However, for the men in Groups II and III, there existed no
indication in the Division of Corrections records of past legal his¬
tory, including the presence or absence Of psychiatric evaluation or
reliance on an insanity plea. For this reason, a more unstructured
means of ascertaining who was appropriate for inclusion in the study
was used. Psychologists and psychiatrists across the state who fre¬
quently served as court-appointed experts were contacted. These names
were readily available due to the reliance of circuit courts on one
or two experts within the jurisdiction to serve as friend-to-the-
court on a regular basis. Within the limits of confidentiality, they
suggested the names of men who in their recollection had been eval¬
uated for the insanity defense before trial and those who had carried
the defense all the way through trial but had been found guilty. The
same procedure was used with attorneys state-wide. A total of approxi¬
mately 150 names was gathered. The list of names was then divided by
county. Each county records department was contacted, and the presence
or absence of "Motion of Intent to Rely Upon a Plea of Insanity" in
the person's legal file was ascertained. This was possible to do by
telephone as such information was a matter of public record. The pre¬
sence of such a motion was deemed sufficient for including the name
as a potential member of Group II. If there were not such a motion

79
in the legal file, the individual's name was included as a po¬
tential member of Group III. Roughly three-quarters of the names
suggested by the professionals had not carried the defense through
trial although they had been evaluated for incompetency to stand
trial and insanity at the time of the crime. Only forty-five names
of men meeting criteria for Group II (relying on the insanity de¬
fense in the years 1974-1978, but being found guilty) were available
after this state-wide search, confirming that use of the defense is
a rare legal phenomenon (Pasewark, 1981) in terms of the absolute
numbers of both those who succeed and those who fail in the defense.
The Research and Records Departments of DOC Central Office were
then contacted to find out where these potential subjects were lo¬
cated within the prison system. Many were never found, not appearing
anywhere on DOC's register, having been released to other states to
face pending charges, or having attained Manditory Conditional Re- â– 
lease (MCR). Thirty-nine of the fifty potential Group II subjects,
and forty-five of the one hundred Group III subjects were housed some¬
where in DOC facilities. Of these located, only thirteen percent were
not housed at Union Correctional Institution (UCI) or at Florida
State Prison (FSP). This uneven distribution is explained by the
fact that many are on Death Row or at FSP because of the severity of
their sentences or violent behavior within the prison system. Many
of those at UCI had been at FSP but through good behavior had worked
their way to the less restrictive facility. The examiner had access
to Death Row and maximum security prisoners, in addition to those
with fewer restrictions. Eight men from Group II and five from Group

80
III were Death Row inmates. Only two men from the list were not
available for interview by request of corrections officials: they
both had histories of assaulting female visitors. Of the roughly
105 original names eligible for Group III inclusion, approximately
forty-five were located and found to be at one of the two prisons
mentioned above.
Prior to final subject selection, it was necessary for the ex¬
aminer to screen the lists of men meeting initial criteria for in¬
clusion in the study. Those who were unable to participate in psy¬
chological testing, actively violent, or with an IQ below 75 were
excluded. Some psychological assessment had been done at Florida
State Hospital and in the prisons and helped to screen for those who
were retarded, illiterate, or non-English-speaking.
Table 4 presents data on those subjects in Groups I, II, and III
who were deemed ineligible by the examiner or who refused to parti¬
cipate in the study. As can be seen from the table, three men in
Group I, and one man in Group II were acutely psychotic and hence un¬
able to participate in a research project which required informed
consent Five men in Group I, two in Group II, and three in Group
III were retarded, illiterate, deaf, mute, or blind and were also
excluded from the study. One man at FSH could not be tested for
security reasons, and two men meeting criteria for inclusion in Group
II were not seen at the request of prison officials. In addition,
five men in Group I, three in Group II, and five in Group III re¬
fused to participate.

81
Table 4
Potential Subjects Excluded from Sample (Groups I -111)
Reason for
Exclusion
Group I Group II Group III
Psychotic
2 1 0
Illiterate, mute,
blind, deaf, or
retarded
5 2 3
Security risk
1 2 0
Refused
5 3 5

82
Of the subjects housed in the prisons and refusing to par¬
ticipate, two were at FSP and six were at UCI. The relatively high
number of refusals by the men at UCI may have been due to the mis¬
information given them by the officers escorting them to the examiner.
Comments were made to the effect that their test data were not con¬
fidential and would be shared with the officers at a later date. Al¬
though the examiner attempted to correct this impression, her efforts
may not always have been successful.
There was no statistically significant difference for the var¬
iables of race, age, number of arrests, or occupation between those
in the Group II and Group III samples who refused and those who
agreed to participate. Those excluded from Group I differed signi¬
ficantly from those who were included by being older at the time of
the offense and by having less education. This is easily explained
by examination of selection criteria. As older subjects with diagnoses
of organic brain syndrome and those who were retarded (and hence with
little formal education) were excluded from the sample, it was not
surprising that the subjects differed with respect to these two
variables.
The majority of inmates in state prisons do not have psychiatric
problems: they are incarcerated for chronically antisocial behavior
(Pasewark,1980). The author attempted to include a control group in
the current study which would be representative of the criminal popu¬
lation as a whole. Unfortunately, financial and time commitments of
the author and the somewhat resistant attitude of state prison offi¬
cials made the collection of data from non-psychiatric violent

83
offenders in the Division of Corrections impossible. An alternative,
that of using data from county jail inmates matched with subjects in
Groups I-111 on type of crime, was more feasible, although it appeared
to include some important potential methodological problems which are
discussed below.
Group IV was designated a control group, consisting of men in
the local jail (Alachua County Corrections Center) for whom the
question of sanity had never been raised during the course of their
legal case. Group IV subjects had received psychological evaluations
during 1977-1978, as a matter of course in the disposition phase of
their trial. Such evaluations were requested by the sentencing
judge to accompany the Confidential Section of the Presentence In¬
vestigation prepared by the Probation and Parole Office. (The Intake
Unit's policy of furnishing psychological evaluations as friend-to-
the-court ended in late 1978.) Most of the testing was done by the
examiner in her role as an evaluation counselor with the Intake Unit.
A few protocols were administered by another graduate student who hac
been taught projectives by the same faculty member as the examiner
and who had two years of experience in test administration.
Although inmates had the right to refuse evaluations, few did.
Some hoped that such cooperation with standard procedure would weigh
favorably with the judge at sentencing, some were encouraged to
participate by their attorneys, and some hoped that psychological
stressors might be viewed as mitigating factors by the judge.
Group IV subjects were matched with the other three groups on
type of crime committed (that is, aggravated assault/battery, sexual

84
battery, armed robbery, or murder); and details of each individual
crime were scrutinized to obtain as close a match as possible with
crimes found in the other three groups. (Appendix B contains details
of all subject crimes for all groups, obtained from attorney re¬
cords, psychiatric reports, or prison face sheets.) A compelling ra¬
tionale for the matching procedure was the concern that the crime
label may mask very important differences that only appear when the
details of the individual crimes are examined. Choice of victim
(either very old or very young), unusual method of perpetration,
number of victims, and bizarre details were deemed essential in de¬
vising a rudimentary rating of crime seriousness (Kern and Bales,
1980; Roth, 1978).
Despite this matching procedure, certain features differentiated
Group IV subjects from other men in the study and raised questions
as to the usefulness of county jail inmates as a control group. First,
the subjects were post-conviction but pre-sentence inmates. That is,
they had been adjudicated guilty of murder, rape, armed robbery, or
assault but had not received a sentence for their crime. In a
sense, they had received no consequences or punishment for their be¬
havior; some had been out on bail until adjudication of guilt. Thus,
the length of incarceration and stage in the judicial process were
very different for these Group IV inmates as compared to other men in
the study. They could still deny the realities of the state prison
system: some believed (erroneously) that they would receive a sen¬
tence of probation or "a few months' time." This attitude appears
likely to create a different mood for the testee than would the

85
knowledge that he was in the middle of serving a manditory twenty-
five year sentence.
In addition, some Group IV inmates had been in jail for only a
few months at the time of testing. Others had been rearrested after
serving state prison terms of over six years. Those in Groups I-111
had all been incarcerated at either a maximum security hospital or
prison for at least nine months, with most serving at least three
years in some form of incarceration.
Finally, Group IV inmates were living in a very different envir¬
onment than state prison residents. Abbott (1981) has written of the
brutality, dirt, corruption, violence, and over-crowding present in
state prison systems. Newspaper and investigatory committee reports
after the time of data collection suggested that such abuses were
common in the Florida Division of Corrections system as well. In con¬
trast, the Alachua County Corrections Center facility which housed
Group IV subjects was built in the 1970‘s, and at the time of the
research, housed each man in his own individual cell with a toilet
and sink. Cells were grouped around a central “pod" space which had a
television and eating area. Recreation and visitation occurred on a
regular basis, and each man had access to a telephone for thirty
minutes per day. Each inmate was assigned to an individual counselor
with a background in social work or psychology, with whom he could
discuss personal problems. A psychiatrist on the staff of the local
mental health center evaluated inmates for psychotropic medication
twice weekly and facilitated commitment to a state psychiatric hos¬
pital if necessary. A licensed general practitioner visited the jail

86
two times a week to provide medical care. At the time of the re¬
search, there had never been a rape, murder, or serious assault re¬
ported within the jail. Thus, the conditions within the Alachua
County Corrections Center were quite different from those encountered
in the state prison system; and the men at the county facility may
have been under less environmental stress than those in the maximum
and close security prisons. It was uncertain the extent to which
these differences would affect the test data of these men and the
generalizability of results to prison subjects as a whole.
Materials
Consent for Human Subjects forms (see Appendix C), to be signed
by each subject.
Demographic Data Questionnaire (see Appendix D), to be completed
by the examiner upon review of each subject's hospital record or face
sheet.
The Hand Test, a projective instrument consisting of nine cards
illustrating hands in the process of making certain motions, and one
blank card.
The Rorschach Inkblot Test, another projective personality test
consisting of ten cards, each showing a chromatic or achromatic ink¬
blot.
The Minnesota Multiphasic Personality Inventory (MMPI), one of
the most widely used objective personality tests, consisting of 550
statements to which the subject must answer true or false.
Blank paper and lead pencils, to be used by each subject for
completing his House-Tree-Person Projective Drawings, another pro¬
jective technique.

87
Procedure
A signed consent form approved by a Human Subjects Committee
was obtained for each subject in Groups I, II, and III. (Group IV
had a "consent to be tested" form in their records, though this form
was not necessarily obtained by the author; it may have been wit¬
nessed by another graduate student.) Subjects in Group I were intro¬
duced to the examiner by their counselors at the hospital, who usually
sat in while the research was explained to them. At this point, the
subject had the option of agreeing to participate in the research
or refusing. If he refused, he was escorted back to the floor. Ninety
percent agreed to participate. Data on those refusing have been pre¬
sented previously. Potential subjects in Group II and Group III were
contacted by letter a week before the author's arrival at the prison.
The letter explained only who the examiner was and that she wished to
meet with the potential subject to discuss participation in a research
project. Upon her arrival at the prison, she met each subject in¬
dividually and explained the procedure to him. He was free at the time
to comply or refuse. Again, most inmates agreed to participate. Pos¬
sible reasons for refusal have been discussed previously in the
Methodology section.
After the brief explanation of what would be expected of him
during the testing period, each subject was informed that any questions
which he might have about the procedures would be answered during the
debriefing period following testing. In addition, the confidentiality
of the materials obtained in the research project was stressed with

88
each subject. Often, between fifteen and thirty minutes were spent
answering questions pertaining to this issue of confidentiality. As
most of the subjects in Groups II and III had case appeals pending,
this was considered to be an extremely important area of concern.
A test battery consisting of a WAIS, Rorschach, MMPI, drawings,
and Hand Test was selected for use in the study. Intelligence testing was
included in the battery as a screening device for the MMPI and because
some researchers (Heilbrun, 1979) have posited intelligence as a moderating
variable for psychopathy and violence. The MMPI was included as a well-
known objective test, easily administered and scored. A large body of
literature exists on the use of this instrument with prison populations
and psychotic individuals (Butcher and Tellegen, 1978; Megargee,
1977; Welsh and Dahlstrom, 1972). The Rorschach was selected as an
instrument because of the great amount of research supporting its
merits in the evaluation of pschotics and violent individuals (Exner,
1980; Finney, 1955 Sommer and Sommer, 1958; Storment and Finney,
1953; Towbin, 1959); and because many recent studies have found
some of its quantitative scores to be useful variables in dis¬
criminating various criminal populations (Haramis and Wagner, 1980;
Rose and Bitter, 1980; Shagoury, 1971). In addition, a special Ror¬
schach rating system designed for use with violent offenders (Rose
and Bitter, 1980) was applied to these protocols. The Palo Alto Des¬
tructive Content Scale was seen as being especially relevant to the
study since much of the standardization data for the system had been
obtained from NGRI subjects. Another projective test, the Hand Test
(Wagner, 1969), was designed to detect elements of aggression in an

89
individual's style of interaction with the environment. It was
included in the present battery as the only test developed specifi¬
cally for evaluating acting-out potential in violent individuals. A
third projective test, House-Tree-Person Drawings, was placed in the
battery after review of the literature upholding its inability to
be "faked," and hence its usefulness with court populations (Jacks,
1969). Use of an entire battery, rather than reliance on one test,
was deemed essential in obtaining detailed personality descriptions
of the individuals in the study and to minimize the likelihood of a
false impression of personality health/pathology based on over-reliance
on a single test.
Members of Groups I, II, and III had intelligence test scores
from prior examinations by the in-house psychology staff in their
records. These were the only scores obtained by anyone outside the
research which were accepted, except for approximately five control
group test batteries which were completed by a colleague of the author.
As intelligence served as more of a screening function than in any
other capacity, such prior data in Groups I, II, and III were deemed
admissable. Time limitations made obtaining an additional WAIS on
ninety subjects impossible.
The Rorschach, Hand Test, projective drawings, and MMPI were
administered to each man in Groups I, II, and III by the author. A
xerox of the face sheet of each subject in Groups II and III was
provided by the Division of Corrections for the demographic information
therein. The entire record for Groups I and IV was reviewed by the
author as a means of collecting personal information for those groups.

90
As the examiner was responsible for both administering and
scoring the tests, it was not possible to achieve a truly "blind"
study (in other words, a study in which the examiner had no way of
knowing which data were generated by which subject). Especially in
regard to responses on the Rorschach and Hand Test, certain comments
or percepts might be unusual enough to cause the author to recognize
the protocol (and hence identify the subject). To minimize such
recognition, certain steps were taken. After all data from each sub¬
ject were collected, the protocols were turned over to an assistant,
who removed all names from data and assigned each packet a code number
drawn from a Table of Random Numbers. All data were scored by the
examiner in coded form six months to three years after data collection
had taken place.
The length of time which had expired between collection and
scoring was instrumental in preventing experimenter identification of
about ninety-five percent of the subjects. Even after three years,
four subjects were recognized by response, style, lengthy recounting
of a dream during the free association on the Rorschach, or numerous
threats to the examiner recorded in the Rorschach protocol. Another
subject was identified by the repetitive theme of his drawings which
went contrary to the test instructions.
Although it is certainly possible that the author may have
subconsciously remembered more than five protocols, factors in ad¬
dition to the length of time prior to scoring argue against this.
The first factor concerns the tight scheduling involved in the data
collection. The examiner administered five full test batteries per

91
day, from eight o'clock in the morning through 5:30 in the after¬
noon. Subjects were lined up outside the testing room waiting to
be called for evaluation, as the officers brought a few men at a
time to the area. There was rarely an interval of over one minute
between subjects, causing faces to "blend together" somewhat in the
mind of the examiner after a full day of testing. The second factor
relates to group affiliation. Group II and Group III subjects were
housed in the same facilities, and were tested during the same period
of data collection. They were brought to see the author on the basis
of the location of their housing unit or work assignment in the pri¬
son, not on the basis of their group membership within the present
study. Hence, the author usually did not know whether she was inter¬
viewing a Group II or a Group III subject. (Exceptions existed in
two cases in which she was familiar with the details of the subject's
case prior to evaluation, and had taken extra security precautions
accordingly.) Thus, subjects in Groups II and III were seen for the
most part randomly during an extremely intense period of data col¬
lection, after which a large part of the data was not examined again
for years. It was unlikely that any but the most striking of subjects
would be identified at that later time. ,
Methods of Analysis
Several different methods of analysis were performed due to
differences in the types of measures employed, the number of variables
included, and the different types of questions involved. Chi square
analyses were computed for dichotomous variables (occupation and
race). Next, discriminant function analyses were performed in order
to extract factors from the measurement battery which specified and

92
capitalized on differences between groups (Cooley and Lohnes,
1962). The combination of the variables which added the most to the
separation of the groups produced a function which best discrimi¬
nated between groups. Classification matrices, illustrating the per¬
centage of correct classifications, were also generated. Subjects
were grouped in three ways: according to the extent of their re¬
liance on mental illness as a defense, the type of prison or hos¬
pital in which they resided, and the type of crime they committed.
For elaboration of this grouping system, see Table 5.
The discriminant function analyses were run examining eighteen
separate dependent variables. The significance (F value) of each was
examined, and ten variables having the largest F values were then
selected for inclusion in a different multivariate procedure, the
MANOVA.
A MANOVA (multivariate analysis of variance) theoretically in¬
vestigates whether some or all of the populations from which the
samples were drawn are centered at different locations in the mea¬
surement space spanned by the dependent vector variables (Cooley and
Lohnes, 1962). The analysis itself is a linear multivariate pro¬
cedure which computes the relative influence of each variable with
respect to criterion differentiation. As mentioned above, ten vari¬
ables were selected for inclusion in the MANOVA, based on the level
of their significance in the discriminant function analysis. Sub¬
jects were again grouped systematically in the three ways presented
in Table 5.
Both the discriminant function analysis and the MANOVA are
multivariate parametric techniques. Their use implies that the

93
Table 5
Subject Grouping System
By Group:
Designation by Group was determined by the extent to which subjects
in that group relied on psychiatric psychopathology as a defense.
Group ¡--relied on the insanity defense throughout trial and were
found "not guilty by reason of insanity" (NGRI)
Group I¡--attempted the insanity plea but were found guilty and
sentenced to prison
Group IÜ—were evaluated for the insanity plea but never relied
on the defense at trial; the issue of their mental illness
was raised as a possible reason for mitigation during the
sentencing phase of trial
Group IV—control group for whom the question of mental illness was
never raised.
By Residence:
Designation by Residence was determined by the facility at which
the subject resided.
Residence ¡--subjects at Florida State Hospital, Chattahoochee,
Florida
Residence ¡¡--subjects at Florida State Prison (FSP), maximum security
Residence 11¡--subjects in close security prisons ("close" is a
security classification used by the Florida Division of Cor¬
rections to designate the second most restrictive category for
inmates)
Residence IV--subjects in the Alachua County Corrections Center,
Gainesville, Florida.
By Crime:
Designation by Crime was determined by the type of crime for which
the subject had been convicted.
Crime ¡--Murder
Crime 11--Armed Robbery
Crime III—Sexual Battery
Crime IV--Aggravated Assault or Aggravated Battery

94
following assumptions regarding population parameters are ful¬
filled: first, that the distribution of values in the population is
shaped as a normal curve; and second, that observations are drawn
at random from the populations under consideration. The current study
deviated to a certain extent from both of these assumptions.
First, there was no way of knowing the hypothetical shape of
the distribution of values in the populations under consideration.
This was not considered to be a significant problem because the
techniques are relatively "robust" with respect to violation of the
assumption of normality: that is, even large deviations from the shape
of a normal curve will not invalidate the results of parametric tests
(Wallace, 1979).
The assumption that observations were drawn randomly has also
been violated. This assumption indicates that "the value of a par¬
ticular observation does not bias or affect the value of another ob¬
servation; that is, the values of the observations are independent
of one another" (Wallace, 1979, p. 45). However, in the current
study, subjects were matched on type of crime and length of incar¬
ceration to minimize those variables as potential sources of error.
Matching to reduce error is an acceptable research design technique
and is used in a wide range of studies. Use of matching in the
current study means that subjects were not selected randomly at all:
they had to meet certain criteria to be considered for inclusion in
the study.
Matching was deemed necessary due to the small size of the
samples and limited nature of the research project. The author at¬
tempted to balance the adverse effects of using groups with an "n"

95
of only thirty in each by limiting possible error from variables
of type of crime and length of incarceration. However, this de¬
parture from random sampling implies that in the current study,
sample variances may greatly underestimate the population var¬
iances. In other words, the range of values for the psychological
and demographic variables may be too narrow to serve as a true re¬
presentation of the range of values existing for a broader, far
larger random sample of subjects and observations. This latter sample
would be assumed to approximate to a fuller extent the actual char¬
acteristics of the population as a whole.

CHAPTER FOUR
RESULTS
In the present study, psychological and demographic vari¬
ables were analyzed with a variety of statistical techniques; namely,
Pearson Chi-square, discriminant function analysis, and multivariate
analysis of variance (MANOVA). Results of these analyses will be
examined in the light of how they pertain to the hypotheses raised
in the Review of the Literature.
Hypothesis 1
The first hypothesis asserted that there existed a continuum
of psychopathology for the subjects in the current study, with those
who relied on the insanity defense at trial (Groups I and II) ap¬
pearing the most psychiatrically disturbed; followed by those com¬
pleting a pretrial sanity evaluation (Group III); with those sub¬
jects in the control group (Group IV) displaying the least pathology.
Data analysis did not support this idea of a continuum of psychiatric
psychopathology.
MMPI Data
MMPI data were examined in two ways: by studying differences
in the four group profiles, and by statistically analyzing Goldberg
scores. Group profiles are obtained by averaging the scale scores for
all subjects in a group, then plotting the profile. It is important
to realize that this method provides the average profile for a
group of subjects: it is not sensitive to individual differences in
96

97
profiles. However, it does provide a way of looking at code types
present in the group data.
Figures I-111 illustrate group MMPI data. Figure I demonstrates
the differences between the mean MMPI patterns of the four groups,
using all 120 profiles regardless of validity configuration. As can
be seen from the figure, there is some variation among group pro¬
files. Group I would be classified as showing an 3-4 profile; Group
II showed a more elevated 8-4-6-2-9-7 configuration. Group III dis¬
played an 3-4-9 pattern; Group IV was characterized by a 4-spike
profile.
Figure II presents mean MMPI profiles for the four groups, with
a validity score cutoff of F-K of -17. As has been previously dis¬
cussed, "validity indicators" which assess a respondent's test¬
taking style and the frankness with which he/she answered the items
were built into the MMPI. The "F-K index" is one commonly used
validity score combination, obtained by subtracting the raw K score
from the raw F score. Some authors (Lachar, 1974) advocate using a
liberal cutoff score of -17. With this cutoff, profiles with an F-K
index equal to or greater than +17 are considered "faking bad."
This indicates that the respondent either did not properly understand
the test items or was attempting to portray a more psychiatrically
disturbed picture of himself/herself than was actually the case. An
F-K index greater than or equal to -17 is termed "faking good": in
other words, the respondent was attempting to convey the best pos¬
sible picture of himself/herself, not admitting behaviors or per¬
sonality difficulties which actually existed at the time of testing.
Using this cutoff score, profiles with an F-K of -17 or more were

98
PROFILE CHART
H, D Ht ?d M, Pa p, sc M -
.
•
•
•
•
.•1
•
: •
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•
•
•
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•
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.* (
* 4
X .
•
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•
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•
T.
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* r /
r /
vv.
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70
LO
5o-
H. D Hy Pd M, Pa Pt Sc Ma Si
Figure I
Group MMPI's (All)
Group I
Group II
Group III
Group IV

99
PROFILE CHART
H, D H7 Pa M, Pa ?, S, M3
Figure II
Group MMPI's (F - K = + 17)
Group I
Group II
Group III
Group IV

ion
considered invalid and were excluded from inclusion in Figure II
(n=101). There were twenty-seven valid profiles in Group I, twenty-
four in Group II, twenty-two in Group III, and twenty-eight in
Group IV.
Figure II suggests that Group I was characterized by an 8-4
profile, while Group II showed a more elevated 4-8-9-6-Z configuration
Group III displayed an 8-4 pattern; Group IV was characterized by a
4-spike profile.
Figure III illustrates the mean group MMPI profiles using a
more stringent F-K cutoff score of -11. Stringent validity criteria
are advocated by Grow (1980), based on his analysis of patterns of
defensiveness on the MMPI of a group of men undergoing court or¬
dered evaluations. With a cutoff score of -11, those subjects with
an F-K index of +11 are considered to be "faking bad", those with
an F-K index of -11 are "faking good." In Figure III, all profiles
with an F-K of greater than or equal to -11 were excluded (n=70).
There were seventeen valid profiles in Group I, thirteen in Group II,
nineteen in Group III, and twenty-one in Group IV. The figure reveals
that, using a more stringent validity cutoff score, the mean profile
for Group I was still an 8-4, with Group II characterized by an
8-4-2-9 profile. Group III displayed an 8-4-2 pattern; Group IV
again showed a 4-spike profile.
MMPI data were also analyzed according to profile Goldberg scores
As discussed previously, Goldberg (1965, 1972) asserts that classi¬
fication of MMPI profiles into diagnostic groups can be most ac¬
curately achieved through use of linear combination equations. He

101
PROFILE CHART
H, D Ht ?d M, P3 P, Se Ma
Group I
Group II
Group III
Group IV

102
found that through combining MMPI scale scores according to the
formula "L + Pa + Sc - Hy - Pt," he could correctly discriminate psy¬
chotic from neurotic profiles 74% of the time (1965). This formula
"L + Pa + Sc - Hy - Pt" was termed "Goldberg Original" in the pre¬
sent study. Similarly, he devised two additional linear combination
formulas for discriminating psychiatric patients from normals, and
sociopathic from psychiatric patients (1972). The former, designated
in the current study as "Goldberg I" formula, is "Hs + 2Pd - Ma." The
latter formula, designated "Goldberg II," combines scales as follows:
"2Pd - Hy - Sc." He asserts that these formulas have an "accuracy hit
rate" of 93% (1972).
Table 6 presents the means and standard deviations of the Goldberg
scores across groups, using different validity cutoff scores. Table 7
presents the results of a discriminant function analysis, the first
step of which determined whether a significant difference existed
among the scores of the various groups. When all MMPI's, regardless
of validity score, were analyzed, no significant differences among
any of the group Goldberg scores emerged (p¿.25). Most of the pro¬
files in all four groups were classified as being in the psychotic
range using the "Goldberg Original" formula. Similarly, statistical
analysis of the 101 profiles deemed valid using an F-K cutoff score
of -17 revealed no significant difference for any of the Goldberg
scores across groups.
When data were analyzed using only those profiles deemed valid
using the validity score cutoff of -11, a different trend was sug¬
gested. Although there appeared to be no significant difference

Goldberg Scores with Varying F-K Indices
F-K = -11 Means
Variable
Group I
Group II
Group III
Group IV
All
Goldberg 0
65.35
61 .61
66.94
60.23
63.56
Goldberg I
138.64
146.15
135.42
147.09
141.70
Goldberg II
107.35
107.07
109.78
127.04
113.87
Standard Deviations
Goldberg 0
26.35
24.88
17.33
23.48
23.02
Goldberg I
32.65
29.75
32.28
32.40
31.96
Goldberg II
23.24
31.10
20.52
20.93
23.54
F-K = -17
Means
Variable
Group I
Group II
Group III
Group IV
All
Goldberg 0
62.92
66.45
67.27
60.07
63.92
Goldberg I
136.25
146.33
140.22
147.57
142.65
Goldberg II
107.48
113.66
111.77
120.78
113.57
Standard Deviations
Goldberg 0
26.06
23.42
16.61
22.83
22.73
Goldberg I
29.84
30.06
42.57
37.28
35.10
Goldberg II
23.01
28.09
19.91
27.15
24.90
All MMPI's
Means
Variable
Group I
Group II
Group III
Group IV
All
Goldberg 0
64.00
71.53
71.74
62.23
67.32
Goldberg I
135.24
147.16
140.64
145.43
142.11
Goldberg II
107.90
109.74
106.32
117.64
110.43
Standard Deviations
Goldberg 0
25.43
24.40
19.84
23.64
23.42
Goldberg I
28.43
28.65
39.10
40.84
37.45
Goldberg II
21 .84
27.84
25.00
29.03
37.43

104
Table 7
Significance of MMPI Goldberg Scores
Variable: All MMPI's (3,116) F Significance
Goldberg Original
1.34
.25
Goldberg I
.71
.25
Goldberg II
1.12
.25
Variable: F-K = -17
(3,97)
Goldberg Original
.54
.25
Goldberg I
.60
.25
Goldberg II
1.36
.25
Variable: F-K = -11
(3,66)
Goldberg
Original
.35
.25
Goldberg
I
.58
.25
Goldberg
II
3.18
.25

105
across groups for the Goldberg Original formula (most profiles being
classified psychotic) or for the Goldberg I formula (most profiles
being classified psychiatric) (p^.25), the discriminant function
did indicate significant differences across groups for the Goldberg
II variable (sociopathic vs_. psychiatric profiles). As can be seen
from examination of the means of the four groups (Table 6), a trend
appeared to exist such that Group IV appeared to have a higher score
(127, in the psychopathic range) than the other three groups (107, in
the psychiatric range). No MANOVA was conducted to investigate further
this difference between groups due to the small sample size of the
four groups. There were seventeen profiles in Group I, thirteen pro¬
files in Group II, nineteen in Group III and twenty-one in Group IV,
since many had been excluded by the -11 cutoff score. The generali-
zability of results obtained using such small sample sizes is ques¬
tionable, as are conclusions based on the use of multivariate tech¬
niques with very small numbers of subjects.
Thus, regardless of the validity cutoff score used to interpret
the profile, there did not appear to be significant differences across
groups with respect to the mean Goldberg scores, with the possible
exception of Goldberg II scores in a smaller sample of MMPI's which
relied on a validity score of F-K -11. Most of the profiles in all
groups were classified as psychiatric ones according to the Goldberg
Rules.
Rorschach Data and IQ Scores
Previous research (Rose and Bitter, 1980; Shagoury, 1971;
Wolfgang and Ferracutti, 1967) has shown the Rorschach to provide
valuable information as to characteristics of violent offenders and

106
to be sensitive to individual differences among them. The current
research examined several Rorschach variables and found that for
only two out of eight Rorschach variables were there significant
differences across groups. This section will first consider those
variables which did not appear to differ significantly across groups.
Table 8 presents the F values and level of significance of these
values for IQ and Rorschach determinants. These results are the pro¬
duct of a discriminant function analysis. As can be seen from the
table, there was no significant difference across groups for the
variables of Palo Alto Destructive Content Scale; F%; F+%; Extended
F+%; A%; Responses to Cards VIII, IX, and X%; or number of M responses.
These variables are considered individually below, and Table 9 in¬
cludes their respective means and standard deviations across groups.
This finding of lack of significance for these variables suggested
that a degree of commonality existed across subjects with respect to
certain psychological characteristics. They did not differ according
to group on scores from the Palo Alto Destructiveness Content Scale
PADS), the previously mentioned content rating scale normed on NGRI
subjects, which provides a quantitative estimate of aggressive content
in a Rorschach protocol. Average PADS score was 1.77 compared to Rose
and Bitter's sample scores of 1.61 for non-violent subjects and 2.29
for murderers.
The average F% across groups was 24.4%. F% is hypothesized to
represent the extent to which a subject responds to objective, tangible
features in the environment, as opposed to internal needs of desires
(Klopfer and Davidson, 1962). Twenty-four percent was a low score for

107
Table 8
Significance of IQ and Rorschach Determinant Scores
Variable F (3,116) Significance
IQ
1.25
.25
Palo Alto
1.21
.25
Sum C
4.47
.005
F%
1.83
.145
F+%
.93
.25
Extended F+%
2.14
.10
A%
1 .43
.24
VIII, IX, X%
1.17
.25
M
.17
.25

108
Table 9
Group Means and Standard Deviations
Means
Variable
Gp. I
Gp. II
Gd. Ill
Gp. IV
All
Goldberg Original
64.0
71.5
71.7
62.2
67
Goldberg I
135.2
147.1
140.6
145.4
142
Goldberg II
107.9
109.7
106.3
117.6
no
Drawing
14.6
15.1
12.1
15.1
14
CF
1.06
2.23
1.73
1.43
1.
PADS
1.74
1.69
1.76
1.89
1.
Sum C
2.73
5.93
4.90
3.70
4.
F%
29.2
18.4
24.9
25.4
24
F+%
66.0
69.6
77.8
66.2
69
Extended F+%
75.3
80.3
83.3
79.9
79
A%
47.9
45.8
47.6
53.2
48
8,9,10%
33.6
34.8
34.9
31.6
33
M
1.83
1.93
2.16
2.13
2.
Heinousness
1.23
1.76
1.70
1.70
1.
Education
10.3
10.6
10.7
10.9
10
Arrests
3.30
6.96
4.60
5.36
5.
Age
28.3
28.0
29.5
25.7
27
Standard Deviations
Variable
Gp. I
Gp. II
Gp. Ill
Gp. IV
All
Goldberg Original
25.4
24.4
19.8
23.6
23.
Goldberg I
28.4
28.6
39.1
40.8
34.
Goldberg II
21.8
27.8
25.0
29.0
25.
Drawing
5.3
5.9
5.3
5.9
5.
CF
1.0
1.4
1.3
1.8
1.
PADS
.4
.3
.5
.5
.
Sum C
1.1
1.8
1.5
1.5
1.
F%
20.8
15.7
14.9
20.2
16.
F+%
29.2
36.7
24.8
32.9
31.
Extended F+%
15.8
13.3
12.6
12.0
14.
A%
15.1
13.3
12.6
17.0
14.
8,9,10%
7.1
6.8
7.5
9.4
7.
M
1.9
1.8
2.4
2.1
2.
Heinousness
.9
1.1
1.1
1.0
1.
Education
2.5
3.0
2.7
1.8
O
L. •
Arrests
4.3
12.9
5.5
4.5
7.
Age
6.0
7.1
10.9
8.4
6.
.3
.1
1.4
.2
61
77
31
.4
.9
.7
.6
.7
01
60
i.6
05
.8
4
7
6
6
4
4
4
1
2
6
6
8
1
0
5
7
3

109
this variable suggesting that the subjects paid marginal attention
to environmental cues and demands.
The average F+% across groups was 69.9%. This variable is the
percentage of pure form responses (F%) which are of a positive form
level (i.e. which correspond well to objective features of the blot).
It serves as a measure of reality contact of the subject (Ogdon, 1977)
representing the quality of the "fit" between blot characteristics
and verbalized responses. Seventy percent was again a somewhat low
score indicating that the subject frequently was not able to con¬
form his perceptions to the objective features of the blot.
The percentage of animal content, or A%, provides a measure of
immaturity, acting-out potential, and stereotypy of thought of the
subject (Ogdon, 1977). The average A% of 48.6% in the current study
suggested that a fairly high level of impulsivity and immaturity was
present across groups. The percentage of responses to Cards VIII,
IX and X reflects the subject's degree of responsivity to emotional
stimuli (Ogden, 1977). An average score of 33.7% indicated that most
subjects in all four groups displayed an average degree of respon¬
siveness to emotion-arousing situations. Finally, M is the number
of human movement responses in a Rorschach protocol and is fre¬
quently used as a measure of empathy in interpersonal relationships.
An average score of two responses per protocol was somewhat low in¬
dicating that difficulty in maintaining empathic human contacts was
a problem across subjects in the current study.
Thus, subjects across groups appeared to resemble each other in
terms of Rorschach characteristics. These suggested that as a group
they were immature, impulsive individuals somewhat lacking in empathy,

110
who displayed average responsiveness to emotion-arousing situations
and who were in tenuous contact with reality, not paying a great deal
of attention to demands placed on them by their environment.
Another variable, that of Extended F+%, represents the percentage
of al 1 responses of positive form level including movement, shading
and color responses. (For a more detailed explanation of the different
types of responses, the reader is referred to Klopfer and Davidson,
1962.) This is hypothesized to represent a subject's degree of reality
contact with his environment. As can be seen from Table 8, groups
differed on this variable at the .10 level of significance suggesting
a possible trend toward variability among groups concerning the degree
of reality testing present. As can be seen from Table 9, Group I
scores tended to be lower than the scores in the other groups (75.3 vs.
80.3, 83.3, and 79.9 respectively) with 75.3 falling at the upper end
of the psychotic range. With respect to the confidence intervals for
this variable (see Table 10), there appeared to be a moderate degree
of overlap between the four groups. In addition, there was more
variability among Group I subjects than among those in the other
groups (fifteen points compared to thirteen, twelve, and twelve
percentage points respectively). This augured against the notion
that NGRI's were homogenous with respect to appearing uniformly
more psychotic than other subjects.
Subjects differed across groups on the variable of Sum C
(p sized to measure a subject's emotional control, impulsivity, and
acting-out potential. As can be seen in Table 9, those in Group I

m
Table 10
MAMOVA Results:
Variables of Sum C and Extended F+%
Variable: Sum C
F = 4.47
p =<.005
Group
Mean
S.D.
S.E.
95% Confidence
Interval
I
2.73
2.39
.44
1.84 to 3.63
II
5.93
3.73
.68
4.54 to 7.33
III
4.90
4.04
.74
3.39 to 6.41
IV
3.70
4.04
.74
2.19 to 5.21
Variable:
F = 2.14
p = < .10
Group
Extended F+%
Mean
S.D.
S.E.
95% Confidence
Interval
I
75.33
15.87
2.89
69.41 to 81.26
II
80.33
10.70
1 .95
76.34 to 84.33
III
83.30
9.80
1.79
79.64 to 86.96
IV
79.90
12.06
2.20
75.39 to 84.40

112
appeared to have the lowest Sum C scores (2.7) (and hence the
least volatility), whereas Group II appeared to have the highest
(5.9) (with corresponding greatest lability and acting-out poten¬
tial). In examining the confidence intervals for the Sum C vari¬
able, it appeared that there was no overlap between those in Group
I and those in Group II (Table 10). Ninety-five percent of Group I
subjects obtained scores between 1.8 and 3.6; ninety-five percent
of Group II subjects fell between scores of 4.5 and 7.3, rather
high Sum C values. As can be seen from the table, there was greater
overlap for the other groups. Average variability across groups
was 3.6.
Thus, there existed a tendency for Group I subjects (NGRI's)
to have poor reality testing as compared to those in other groups
but to be more emotionally controlled. In contrast, those in Group
II (subjects who attempted the insanity plea but failed) appeared
to be in basic contact with reality, but displayed marked emotional
over-reactivity and high potential for acting-out. Those in the
other groups appeared to fall somewhere between these two extremes
capable of some basic reality testing but moderately emotionally
labile and impulsive.
In the current study, IQ was used primarily as a screening tool
to ascertain whether subjects could comprehend MMPI items. As can be
seen from Table 8, subjects did not differ significantly across
groups with respect to intelligence (pfi.25). Average IQ across
subjects was 96.

113
Projective Drawings
House-Tree-Person drawings were scored according to the system
presented in Appendix B. The range of possible scores was 1-32
and the average score across subjects was 14.2 (Table 9). As can
be seen from Table 11, groups did not differ significantly with res¬
pect to this variable (pi.25).
Hand Test
Two Hand Test variables were analyzed in a discriminant function
analysis: the Acting-Out Ratio (AOR) and Pathology score. As discussed
in the Review of the Literature, the Acting-Out Ratio is hypothe¬
sized to provide an estimate of a subject’s potential for aggressive
acting-out. This ratio consists of the comparison of the number of
non-aggressive responses to aggressive responses (Wagner, 1969).
In the current study, across all groups, the AOR was in the opposite
direction than would be predicted given that the sample consisted of
violent offenders. In other words, subjects gave more affectionate,
dependent responses than aggressive, directive ones. In addition, as
can be seen from Table 11, there appeared to be no significant dif¬
ference between groups with respect to AOR score (pi.25). The Path¬
ology score represents the percentage of pathological content res¬
ponses in the protocol (Wagner, 1969) and is purported to be an
indicator of psychosis. The average Pathology score in the current
study was 14%, not indicative of generally psychotic profiles; and
did not differ significantly across groups (pl.25).
In summary, subjects appeared to resemble each other in many
ways across groups. On variables measuring reality contact and

114
Table 11
Hand Test and Projective Drawings Scores
Variable
F (3,116)
Significance
Drawings
1.91
.13
Acting-Out Ratio
.23
.25
Pathology Score
.12
.25
Means
Variable
Group 1
Group
II Group III
Group IV
All
Hand AOR
110.9
110.2
112.4
★ ★★★
111.2
Hand Path %
11.8
15.9
15.5
★ ★★★
14.4
Standard
Deviations
Variable*
Hand AOR
106.3
78.5
90.3
***★
92.7
Hand Path %
13.2
17.1
14.8
****
15.1

115
emotional control, Group I and Group II subjects appeared to be
the most disparate groups with Group III and Group IV subjects
showing less extreme scores. Group MMPI profiles differed some¬
what as to code type and elevation but did not follow a continuum
of pathology as stated in the hypothesis.
Hypothesis 2
Hypothesis 2 predicted that most if not all of the test proto¬
cols in Groups III and IV would be sociopathic ones rather than
psychotic, "crazy" ones. This hypothesis appeared to be an overly
broad generalization, and was not supported by the data.
MMPI Data
When examining the group profile data (Figures I -111), it ap¬
peared that regardless of the validity score cutoff, the group code
type of Group IV was a 4-spike; i.e. an elevation about 70T, on the
Psychopathic Deviate scale. Similarly, the basic code type for Group
III, across validity score cutoffs, was an 8-4 type, with elevations
above 70T present on the Schizophrenia and Psychopathic Deviate
scales. Thus, although Group IV's 4-spike would be classified as a
strictly psychopathic profile, Group Ill's 8-4 pattern indicated
that both psychotic and sociopathic qualities were present in the
personality profile (Lachar, 1974).
Goldberg II scores, regardless of the validity cutoff score em¬
ployed, classified Group IV profiles as psychopathic ones. Group III
classification did vary according to the stringency of validity
scores (see Table 6). When all Group III profiles were considered
(in other words, when none was eliminated due to F-K index), the
Goldberg II mean of 106 fell under the Psychiatric classification;

116
similarly, the Goldberg II mean of 107 for Group III profiles which
used an F-K index of -17 was labeled Psychiatric. When profiles
using an F-K index of -17 were examined, the mean Goldberg II
score of 111 indicated that the profiles would be classified in the
Psychopathic grouping. Thus, Group IV profiles were consistently
classified as psychopathic; but depending upon the validity criterion
used, Group III profiles were classified as both Psychiatric and
Sociopathic.
Rorschach Data
As discussed previously, most of the Rorschach variables did
not differ significantly across groups. Individuals in both groups
were characterized by Rorschach determinant scores indicative of
impulsivity, lack of empathy, and lack of close attention paid to
environmental cues. Examination of Sum C data pertaining to acting-
out potential and degree of emotional control (Table 10) indicated a
trend for Group III subjects to show less emotional control and
higher assaultive potential (Sum C of 4.9 vs_. 3.7) although consider¬
able overlap existed within the confidence intervals of the two
groups.
A substantial degree of overlap existed in the confidence in¬
tervals for the variable of Extended F+% as well (Table 10). This
measure of general reality contact indicated that some individuals
in both groups were maintaining basic ties with reality, with the
ranges of scores for the two groups being practically identical
(79-86 for Group III, 75-84 for Group IV).

117
Thus, although Group IV test data appeared consistent with
psychopathic profiles for individuals in that group, the same could
not be said for Group III data. Both Rorschach and MMPI test ma¬
terial suggested a more equivocal picture which included elements
of both psychopathic and psychotic personality features.
Hypothesis 3
Hypothesis 3 utilized the indicators of violent acting-out found
in the Hand Test Acting-Out Ratio and the Palo Alto Destructive Con¬
tent Scale (PADS) in predicting that the degree of aggressiveness
as measured by these variables would be consistent across groups.
This hypothesis was supported by the Rorschach data; no conclusions
could be drawn from the Hand Test data.
Acting-Out Ratio (APR)
The AOR did not differ significantly across Groups I -111 (p^.25).
(No data existed for Group IV.) As mentioned previously, however,
scores indicated that most subjects gave more affectionate responses
than aggressive ones thereby producing ratios weighted in the op¬
posite direction of what would be expected given a population of
violent offenders. Thus, in the current study the AOR did not pro¬
vide useful information pertaining to the assaultive potential of
the subjects in the research.
Palo Alto Destructive Content Scale (PADS)
The PADS provides a single score which quantifies the amount
of aggressive content present in a Rorschach protocol. It is of
special use for the present research because its norms were de¬
veloped using subjects who were found not guilty by reason of

118
insanity and are provided for subjects convicted of certain violent
and non-violent crimes.
In the current study, there were no significant differences in
the PADS scores across groups. Average PADS score was 1.77, somewhat
low compared to Rose and Bitter's mean score of 2.3 for those com¬
mitting violent crimes (1980).
Hypothesis IV
The fourth hypothesis suggested that subjects would not differ
significantly across groups with respect to the demographic factors
of race, age, education, occupation, or prior arrest record. In general,
this hypothesis was confirmed.
In considering the chi square analysis of the variable of Race
(see Table 12), no significant difference among groups was found
(p<.156). In each of Groups I -111, there were more whites than
blacks-, Group IV was comprised of an equal number of whites and blacks.
In examining data on occupation status, it can be seen from Table 13
that all groups were comprised predominantly of unskilled and skilled
laborers. There were few professionals found in the entire sample of
120; the categories of "unemployed," "student," "clerical," and "armed
services," in that order, accounted for all but three of the remaining
subjects.
Subjects did not differ significantly across groups with res¬
pect to age (pi.35) as can be seen in Table 14. However, Table 9
suggested a trend for those in Group IV to be younger than the rest
of the subjects (25.7 years compared to the average age of 27.3
years). This gap in ages was explained by analysis of the composition

119
Table 12
Pearson Chi Square:
Race
Group
Whi te
Black
Total
I
16
14
30
II
22
8
30
III
21
9
30
IV
15
15
30
Total
74
46
120
Pearson Chi Square Value 5.217
D. F. 3
<.1566
Probability

120
Table 13
Pearson Chi Square:
Occupation
Group
I
II
III
IV
V
VI
VII
Total
I
2
18
4
1
0
3
3
30
II
1
14
11
1
1
2
0
30
III
5
8
11
1
2
1
2
30
IV
1
19
7
2
0
1
0
30
Total
9
59
33
5
3
7
4
120
Pearson Chi Square Value 23.896
D. F. 18
Probability 1.1585
Occupational Category
1 — unemployed
2 -- unskilled laborer
3 -- skilled laborer
4 -- clerical worker
5 -- professional
6 -- student
7 — armed services

121
Table 14
Age, Education, Arrests
of Groups I-IV
Variable
F
Significance
Age
1.094
.354
Arrests
1.183
.319
Education
.338
.798

122
of the Group IV sample some of whom were juveniles who had been
"bonded up" to adult court due to the severity of their crime. In¬
clusion of these juveniles in the group lowered the average age for
Group IV subjects.
Table 14 also indicates that subjects did not differ across
groups with respect to number of prior arrests (pi.319) or educational
level (p<..798). Average number of prior arrests, as can be seen in
Table 9, was five; average educational level across subjects was
tenth grade.
Hypothesis V
The fifth hypothesis examined the relationship of crime severity
to a subject's use of mental status in trial. It asserted that those
men found NGRI (Group I) would have committed crimes which were rated
as less heinous than those of subjects in other groups. For the most
part, data analysis supported this hypothesis.
Table 5 presents the various grouping systems for subjects. The
previous hypotheses have examined subjects grouped according to the
role their mental status played at adjudication. The fifth hypothesis
examined subjects grouped in this manner, and also according to the
facility in which they were housed.
Table 15 presents data on Heinousness of Crime. Subjects did not
differ significantly across groups according to this variable when
classified according to the role psychiatric pathology played in their
adjudication (F = 1.6, p^.185). However, when subjects were grouped
according to facility in which they were housed at the time of
testing, significant differences were apparent. There existed a

123
Table 15
Heinousness Ratings
Adjudication:
F = 1.6 p =<.185
Residence:
F = 3.573 p =1016
Fácility
Mean
S. D.
S. E.
95%
Confidence Interval
Chattahoochee
1.23
.89
.16
.89
to 1.56
Florida State
Prison
2.07
1.11
.21
1.63
to 2.50
Close Se-
curity
1.43
1.04
.18
1.06
to 1.31
County Jail
1.70
1 .05
.19
1.30
to 2.09

124
trend for Chattahoochee subjects (all NGRI's) to show the lowest
Heinousness scores (1.23) and Florida State Prison subjects the
highest (2.07). Florida State Prison is the maximum security housing
unit for the state prison system, containing all Death Row inmates.
Many of those subjects who attempted the insanity defense but failed
were housed at FSP due to the severity of their sentence; eight were
on Death Row. There was no overlap between these two groups as
shown by the confidence intervals of .09 to 1.56 for Chattahoochee
residents and 1.63 to 2.50 for FSP inmates. Heinousness scores for
Close Security and County Jail inmates fell between these two ex¬
tremes. Thus, data analysis suggested support for the hypothesis that
MGRI (Chattahoochee) inmates committed crimes rated as less heinous
than the crimes committed by the subjects in the other groups.
Hypothesis 6
Hypothesis 6 suggested that MGRI subjects (Group I) would appear
significantly different from other subjects on a variety of psycho¬
logical measures. It asserted that they would be differentiated from
these other subjects by means of a prediction equation generated by
a discriminant function analysis. A discriminant function analysis
was performed using two groupings of subjects: NGRI's (Group I, n = 30),
and the combination of all other subjects (n = 90) into Group 2. The
variables used in computing the linear classification functions were
chosen in a stepwise manner. At each step, the variable that added the
most to the separation of the groups was entered into the discriminant
function; variables that added the least were also removed during the
steps. Two classification matrices were produced from the analysis.

125
The standard matrix illustrated the percentage of correct classi¬
fications into groups and was based upon analysis of all 120 cases.
In the jack-knifed matrix, each case was classified into a group ac¬
cording to the classification function computed from all the data ex¬
cept the case being classified.
Results are presented in Table 16. Means and standard deviations
are presented in Appendix E, Table 24. The variables of Sum C (a mea¬
sure of emotional control), Extended F+% (a measure of reality testing),
and Heinousness of Crime were found to contribute significantly to the
separation of the groups. All were significant at above the .01 level.
The classification matrix yielded the percentage of correct
classifications into the two groups. Seventy percent of both groups
were accurately classified using a function comprised of the three
variables. (A classification rate of fifty percent would be expected
by chance.) Thus, not even three-quarters of those found insane ap¬
peared identifiably different from other subjects. The jack-knifed
classification matrix (Table 16) suggested that seventy percent of
Group I and sixty-nine percent of Group 2 were correctly classified
using the function. These correct classification rates suggested that
other factors besides psychological pathology and lower crime se¬
verity were operating in many of the cases acquitted as NGRI.
Hypothesis 7
Hypothesis 7 asserted that subjects would be identified according
to the role their mental status played in adjudication by means of a
prediction equation based on a combination of psychological test

126
Table 16
Discriminant
Function:
Group
I vs_. Group 2 (II, III,
IV)
Variable
F
U
D. F.
P
Sum C
7.43
.94
1 118
<.01
Extended F+%
8.39
.87
2 117
<.01
Heinousness
9.04
.81
3 116
< .01
Classification
Matrix
Group
Percent Correct
I
70.0
2
70.0
Jack-knifed Classification Matrix
Group Percent Correct
1 70.0
2 68.9
Canonical Correlations
.43530
Coefficients for Canonical Variables
Variable
Sum C -.21683
Extended F+% -.06004
Heinousness -.61086

127
scores. Their institutional affiliation and the type of crime they
committed would not be identifiable by means of prediction equations,
however.
In general, the prediction ability of discriminant function
analyses in the current study was poor. No matter which grouping sys¬
tem was used (see Table 5), subjects were not accurately classified
by means of a prediction equation.
Role of Mental Status in Adjudication
As explained in Table 5, this grouping system classified subjects
according to the role psychiatric psychopathology played in their
defense. As seen in Table 17, the discriminant function that was
generated consisted of a combination of three variables: Sum C (a
measure of emotional control and acting out potential), Extended F+%
(a measure of reality testing) and Heinousness of Crime (the rating
for severity which was assigned to each individual crime). The classi¬
fication matrix suggested that the function's predictive ability was
poor. Twenty-five percent classification accuracy for the four groups
would be expected by chance. Roughly fifty-seven percent of Group I
subjects were classified correctly using the formula, as were forty-
three percent of Group II subjects, thirty-three percent of Group III
subjects, and thirty percent of Group IV subjects. The jack-knifed
classification matrix yielded even poorer rates with Group IV sub¬
jects being correctly classified at roughly the level expected by
chance.

128
Table 17
Discriminant Function:
Role of Mental Illness in Adjudication, Groups I-IV
Variable
F
U
D. F.
P
Sum C
4.46
.89
3 116
<.01
Extended F+%
4.05
.82
6 230
1.01
Heinousness
3.78
.75
9 277
$.01
Classification Matrix
Group
I
II
III
IV
Percent Correct
56.7
43.3
33.3
30.0
Jack-knifed Classification Matrix
Group
I
II
III
IV
Percent Correct
53.3
43.3
30.0
26.7
Canonical Correlations
.47749 .13307 .07060
Coefficients for Canonical Variables
Variable
Sum C -.24094 .16041 .04529
Extended F+% -.05806 -.05051 .03873
Heinousness -.55379 -.27940 -.75420

129
Residence
As explained in Table 5, this grouping system classified subjects
according to the facility in which they were housed at the time of
testing. Table 18 summarizes the results of the discriminant function
which used Residence as the grouping criterion. Four variables were
found to contribute significantly to the separation of the groups:
Sum C, Heinousness of Crime, Extended F+%, and the Goldberg Original
score (L + Pa + Sc - Hy - Pt, a linear combination devised to separate
psychotic from neurotic profiles) (Goldberg, 1965). All were signifi¬
cant at above the .01 level.
Sixty percent of subjects at Chattahoochee, seventy-one percent
of men at Florida State Prison, thirty-seven percent of subjects in
Close Security, and only twenty-three percent of county jail inmates
were correctly classified. The jack-knifed matrix yielded slightly
lower figures of fifty-three percent, sixty-eight percent, thirty-one
percent, and twenty-three percent respectively. Prediction equations
functioned most poorly with respect to Group IV. This trend supported
the concern previously raised that Group IV may not have been a useful
or methodologically sound addition to the study. For this reason,
discriminant function analyses were run using just subjects in Groups
I-111 (i.e. subjects in the hospital or in maximum and close security).
County jail subjects were omitted.
Table 19 presents data of subjects grouped according to the role
psychiatric pathology played at adjudication, minus the control group.
Only two variables, Sum C and Extended F+%, were found to contribute
significantly to the separation of the groups, both at the .01 level.

130
Table 18
Discriminant Function:
Residence, Groups I-IV
Variable
F U
D.
F.
P
Sum C
5.25 .88
3
116
4.01
Heinousness
4.93 .79
6
230
<.01
Extended F+%
4.95 .70
9
277
4.01
Goldberg Original
4.89 .62
12
299
4.01
Classification Matrix
Group
Percent Correct
Chattahoochee
60.0
FSP
71.4
Close Security
37.5
County Jail
23.3
Jack-knifed Classification Matrix
Group
Percent Correct
Chattahoochee
53.3
FSP
67.9
Close Security
31.3
County Jail
23.3
Canonical Correlations
.56574
.25479
.14237
Coefficients for
Canonical Variables
Variable
Goldberg Original
-.12445
.01039
.02609
Sum C
-.25131
.01327
.05687
Extended F+%
-.14555
-
.07169
-.00691
Heinousness
-.62238
.28360
-.70575

131
Table 19
Discriminant Function:
Role of Mental Illness in Adjudication, Groups I-111
Variable
Sum C
Extended F+%
F U
6.63 .87
6.38 .76
D.F. P
2 36 £.01
4 170 £.01
Classification Matrix
Group
I
II
III
Percent Correct
63.3
48.3
43.3
Jack-knifed Classification Matrix
Group
I
II
III
Percent Correct
56.7
44.8
43.3
Canonical Correlations
.47754 .14349
Coefficients for Canonical Variables
Variable
Sum C
Extended F+%
-.27580
-.06168
.13267
-.05994

132
Sixty-three percent of Group I, forty-eight percent of Group II,
and forty-three percent of Group III were correctly classified. The
jack-knifed matrix yielded slightly lower figures of fifty-seven per¬
cent, forty-five percent, and forty-three percent respectively. These
classification accuracy rates were slightly higher than those achieved
when control group subjects were included in the analysis.
Table 20 presents data for subjects grouped according to the fa¬
cility in which they were housed at the time of testing, minus the
county jail subjects. The variables of Sum C, Extended F+%, Hein¬
ousness of Crime, and the Original Goldberg score were found to con¬
tribute significantly to the separation of the groups. All were signi¬
ficant at above the .01 level.
Sixty-seven percent of those at Chattahoochee, seventy-five per¬
cent of the Florida State Prison group, and forty-eight percent of
Close Security members were correctly classified. This suggested that
a better fit was achieved by this function than by the others, al¬
though accuracy was still not high. Jack-knifed classification yielded
figures of sixty percent, seventy-one percent, and thirty-nine percent,
respectively for the three groups.
Type of Crime
As seen from Table 5, subjects were also grouped according to the
category of violent crime for which they were convicted: murder, rape,
armed robbery, and aggravated assault/battery. Table 21 summarizes the
results of the discriminant function for the 120 subjects using Crime
as the grouping criterion. The variables of Heinousness of Crime and
CF were found to contribute significantly to the separation of the

133
Table 20
Discriminant Function:
Residence, Groups I-111
Variable
F U
D.F.
P
Sum C
7.91 .84
2
86
<.01
Extended F+%
7.16 .73
4
170
¿.01
Heinousness
6.73 .65
6
168
¿.01
Goldberg Original
6.52 .58
8
166
<.01
Classification Matrix
Residence
Percent Correct
Chattahoochee
66.7
FSP
75.0
Close Security
48.4
Jack-knifed Classification
Residence
Percent Correct
Chattahoochee
60.0
FSP
71.4
Close Security
38.7
Canonical Correlations
.60816
.28441
Coefficients for
Canonical Variables
Variable
Goldberg Original
-.02433
.00906
Sum C
-.25452
-
.03303
Extended F+%
-.04463
-
.07216
Heinousness
-.55820
.41431

134
Table 21
Discriminant Function:
Crime, Groups I-111
Variable
Heinousness
CF
F U D. F. P
5.29 .88 3 116 $.01
4.99 .78 6 230 £.01
Classification Matrix
Crime
Murder
Armed Robbery
Rape
Assault
Percent Correct
25.5
60.0
45.8
51.7
Jack-knifed Classification Matrix
Crime
Murder
Armed Robbery
Rape
Assault
Percent Correct
10.6
60.0
45.8
51.7
Canonical Correlations
.41381 .23535
Coefficients for Canonical Variables
Variable
CF
Heinousness
.49337
.81938
.52209
-.57297

135
groups. The CF score is a Rorschach variable which refers to the
number of somewhat unstructured color responses in an individual
protocol. CF is an element of the Sum C ratio, and serves as a re¬
lated measure of a person's potential for uncontrolled emotionality.
Both CF and Heinousness of Crime were significant at above the .01
level.
Classification according to type of crime was poor with twenty
five percent of the murderers, sixty percent of the armed robbers,
forty-six percent of the rapists, and fifty-two percent of the as¬
sailants being correctly classified. Jack-knifed classification
yielded percentages of ten percent, sixty percent, forty-six per¬
cent, and fifty-two percent respectively, according to crime. Classi
fication of murderers fell below the chance level. These data sup¬
ported previous research findings (Wolfgang and Ferracutti, 1967)
that violent offenders were not distinguishable from each other on
the basis of the type of crime which they commit.
In summary, prediction equations failed to achieve accuracy
in classification of subjects according to residence, crime, or
role of mental status at adjudication. In addition, Group IV sub¬
jects were consistently misclassified leading to the question of
whether this group of subjects served as a viable control in the
current study. These issues, and the issues raised previously in
the Results section, will be considered in greater depth in the
following Discussion.

CHAPTER FIVE
DISCUSSION
This section will examine the implications of the results of
data analysis in terms of the seven research hypotheses. Review of
the findings from the pilot study for the present research serves as
an introduction to this Discussion section. Suggestions for future
research will be considered in light of the results of the present study.
Pilot Study
In the pilot study for the present research, Boehnert (submitted
for publication, 1982) compared Groups I and II, those who had been
found insane (NGRI) and those who had used the plea but had been found
guilty, on a variety of psychological variables. Contrary to her
initial expectations, she found that those who had been found NGRI
appeared healthier on psychological tests than did those in Group II.
The mean Group I MMPI profile was less elevated as a whole than that
of Group II and only two clinical scales were above 70T as opposed to
six scales for Group II. In addition, the only within-normal-1imits
profiles in the sample were all generated by Group I subjects. All
MMPI's were analyzed regardless of validity configuration.
On the Rorschach Group I showed a less intense, more modulated
reaction to emotional stimuli. Scores implied that the
136

137
Chattahoochee subjects paid greater attention to their environ¬
ment, and placed greater emphasis on interpersonal relationships
than did those in Group II. However, those in Group I appeared less
able to structure their perceptions properly according to the de¬
mands of the external world than could those men in the prison
system.
Boehnert cautioned against concluding too readily that there
existed less personality disturbance in subjects in Group I than
in Group II, pointing out that medication, treatment, and insti¬
tution effects may be operating. Over fifty percent of the hospital
sample were taking some form of psychotropic medication; very few
Group II subjects were on any medication, most fearing it as a
means of control by prison of-flcials. Those in Group I (NGRI's)
were receiving some amount of group or individual therapy as treat¬
ment while at the hospital; few in the prison system were receiving
therapy of any sort. Finally, those men who had been housed at
both Chattahoochee and the prison system unanimously agreed that the
hospital was a much more pleasant place to be. There was more free¬
dom of movement, more access to grounds privileges, and more access
to females (both staff and patients) in the institution with an
operating treatment philosophy as opposed to a punishment bias. The
study hypothesized that these environmental differences may have
significantly influenced the MMPI profiles of the two groups, as
instructions required the subject to answer the questions according
to how he felt at the time of the testing. The extent to which the
Rorschach is affected by the external environment was uncertain.

138
A subset of individuals emerged who appeared psychologically
different from the other subjects, consisting of those who tried
the defense but were found guilty by a jury. On test data they ap¬
peared less psychotically disturbed, more intelligent, more aware
of the demands of their environment, more violent, and less emo¬
tionally controlled than the other men examined. This group can
be said to approximate most closely the dangerous, self-aware group
of criminals to whom Yochelson and Samenow (1976) refer.
Thus, the pilot study provides a comparison of those subjects
in Groups I and II. It was asserted that other data of significance
might emerge when these subjects are examined as part of a con¬
tinuum including those men merely examined with the possibility
of using the insanity defense, and those men for whom the question
of mental illness was never raised.
Hypothesis 1
Hypothesis I predicted that a continuum of psychopathology
would be present across groups, with those using the insanity
defense (Groups I and II) displaying the most severe symptoms.
Men referred for psychological evaluation (Group III) would appear
less disturbed, followed by those men for whom the question of
mental disturbance was never raised. Of primary importance was the
finding that this hypothesis was incorrect. There existed no neat
continuum with Groups I and II at one end, and Group IV at the
other.
MMPI Data
Figure I presents group MMPI patterns (n=120). All four groups
generated group profiles which had elevations above 70T (in other

139
words, significantly elevated) on one or more scales. Scale 4, the
Psychopathic Deviate scale, was elevated for all four groups, in¬
dicating that most subjects in the study endorsed items which sug¬
gested problems with authority and antisocial behavior. This
would be expected given that all subjects had been convicted of
violent offenses.
Group I presented an 3-4 pattern: persons with such a profile
are often described as being odd, peculiar, or queer. “Crimes com¬
mitted by persons with this profile are often senseless, poorly
executed, and poorly planned and may include some of the most
savage and vicious forms of sexual assault" (Welsh and Dahlstrom,
1972). Group II, with an 8-4-6-2-9-7 pattern (or "sawtooth" con¬
figuration) would be characterized as moody, unpredictable, re¬
sentful, and likely to display unusual qualities in their thinking,
according to the MMPI interpretation. Such a profile suggests that
although they might tend to act out hostility in psychopathic ways,
many might lose contact with basic reality and deteriorate into
florid psychosis (Welsh and Dahlstrom, 1972). Group III (those
completing psychological evaluations), with an 8-4-9 profile, was
characterized as a "mixed" group, with some members termed socio-
pathic and others labelled psychotic on the basis of their MMPI's.
Acting out would be a major defense mechanism, as with other groups;
and this group might be differentiated by its display of more ob¬
vious irritability, excitability, grandiosity, and lack of emotional
control (Welsh and Dahlstrom, 1972). Group IV subjects, for whom
the question of mental illness was never raised, showed a group

140
profile within normal limits except for a moderate elevation of
the Psychopathic Deviate scale. This suggested the common pattern
of rejection of authority, antisocial tendencies, and egocentri-
city: but the pattern lacked the suggestions of unusual thought
patterns and potential for psychosis which characterized all other
groups in varying degrees.
Figure 2 presents mean MMPI profiles for the four groups,
using a "validity score cutoff" of -17. As previously discussed,
the F-K index subtracts the raw scale K score from the raw scale
F score, and serves as a measure of the respondent's test-taking
style, With a cutoff of -17, F-K scores of over seventeen would
be considered "faking bad" and would suggest a profile invali¬
dated by the respondent's attempt to appear more pathological than
was actually the case. Conversely, an F-K of -17 or greater would
signify a "faking good" profile that would be considered invalid
due to the level of the respondent's defensiveness and his/her
tendency to deny faults and failings at the time of testing. Using
this cutoff score, nineteen profiles were deemed invalid and omitted
from analysis in the group profile and Goldberg data.
As can be seen from Figures 2 and 3, little difference in
the profile code types emerged when the invalid profiles were
omitted. Profiles for all four groups showed a Scale 4 (Psycho¬
pathic Deviate) elevation regardless of validity configuration.
The major differences appeared to be in the level of the elevation
of the Schizophrenia, Paranoia, and Depression scales, especially
for those attempting the defense and being found guilty (Group II).

141
Omission of some invalid profiles reduced the levels of those
three scales, though they were still above 70T and thus signifi¬
cantly elevated. When the more stringent F-K cutoff score of -11
was applied to the data (Figure III), seventy profiles remained
but basic interpretation of the code types remained the same.
Analysis of code types using all three validity indices suggested
antisocial and psychotic features present in the group profiles
of those in Groups I -111, and a clearcut psychopathic profile for
those in Group IV. Thus, in the current study, analysis of the
data using no validity cutoff score, and F-K index score of -17
and -11 suggested that the interpretation of the code types for
each group profile remained similar, regardless of validity cutoff
applied. However, it must be remembered that the figures present
group MMPI's, not those for individuals. In evaluations which exa¬
mine an individual defendant, it would seem advisable to adapt
the assertion of Grow (1980), who advocates the use of stringent
MMPI validity cutoff scores based on his analysis of patterns of
defensiveness of men undergoing court-ordered evaluations.
Certain trends appeared when the Goldberg scores were exa¬
mined across groups. Goldberg scores derived from the linear com¬
bination formula L + Pa + Sc - Pt - Hy are asserted to accurately
distinguish psychotic from neurotic profiles. Scores over "55" are
classified as Psychotic; scores under "35" are classified Neurotic;
those falling between "35" and "55" are labelled Indeterminant
(Goldberg, 1965). As can be seen from Table 6, Goldberg Original
mean scores for all groups fell in the Psychotic range (64-71).

142
In other words, this formula yielded data which suggested that
regardless of the stringency of the validity criteria, the mean
profile for each group was a psychotic one. The means were higher
than those cited in Shagoury (1971), in which the author compared
those convicted of violent and non-violent crimes. In that study,
there existed a trend in the direction of greater psychopathology
and higher Goldberg scores found in the group convicted of a vio¬
lent crime as opposed to a property crime. Shagoury also conducted
this research on inmates in the Florida prison system. However, he
did not have access to those in maximum security, so his group of
murderers was limited to those who were deemed "manageable" in
general population. This selection bias may account for the higher
scores found in the present research, since maximum security in¬
mates were found in all groups.
Two additional Goldberg rules exist (Goldberg, 1972). The first
rule (Hs + 2Pd - Ma, or Goldberg I formula) provides a cutoff score
of 123 to discriminate deviant from normal profiles. Scores over
123 are labeled as deviant, under 123 are labeled normal. As
might be expected, all mean Goldberg I scores for the four groups
fell into the deviant range (135-147), regardless of whether validity
configuration was taken into account (Table 6).
The second additional Goldberg rule (2Pd - Hy - Sc or Goldberg
II formula) purports to distinguish psychopathic profiles from
psychiatric ones. With this formula, any cutting score above ten
is suggestive of psychopathy; below ten suggests psychiatric dis¬
turbance. In the current study, many scores fell within the negative

143
range of numbers. Therefore, for purposes of computer coding, the
author added one hundred to the score of each Goldberg II figure.
This accounted for the extremely high numbers found in Table 6. In
examining this table, it can be seen that when all profiles were
considered, Groups I, II and III had Goldberg II mean scores within
the psychiatric range (7.9, 9.7, and 6.3 respectively). Group IV, on
the other hand, had a mean score of 17.6, falling squarely within
the psychopathic range. These differences were not statistically
significant when an F-K cutoff score of -17 was used, and when all
profiles were analyzed. However, this trend was statistically sig¬
nificant in the analysis of the seventy profiles deemed valid
using an F-K of -11. Such findings, using the Goldberg II cutoff
rule, were compatible with the previously presented mean group
profiles. The profile for Group IV had only one elevation, on the
Psychopathic Deviate scale; the other group patterns all have at
least one psychotic scale elevation as well.
Rorschach Data
In the present study, some Rorschach variables proved to be
the best discriminators among groups of any variables; other Ror¬
schach scores showed remarkable consistency across subjects. As
can be seen in Table 9, the average F% across groups was 24%;
suggesting a tendency on the part of the subjects to pay less than
normal attention to environmental cues. The average F+% was 69%,
indicating some impairment in reality testing with respect to
objective environmental stimuli. The average Animal percentage was
48%, suggesting immaturity. The M (human movement) score average

144
was two M responses per subject, a somewhat low score on this mea¬
sure which purports to represent capacity for empathy. Most sub¬
jects averaged a 33% response rate for Cards VIII, IX, and X, a
score pertaining to a person's degree of emotional responsivity.
None of these variables differed significantly across groups. Taken
as a whole, such scores suggested that a mean profile for a subject
in any group would reflect a lower than normal response to tangible
environmental stimuli accompanied by a tendency for these responses
to be subjective, over-personalized, and inappropriate. In addition,
subjects appeared to be impulsive and immature, and somewhat lacking
in empathy; although they responded adequately to emotional stimuli.
The average Palo Alto Destructiveness Content Scale Score
across groups was 1.77, somewhat low compared to what might be ex-
•
pected given the Rose and Bitter (1930) data. However, in the current
study there existed a large amount of within-group variability
(average standard deviation was .43) with scores in each group ranging
from 1.0 to 3.6. It must be concluded, therefore, that although many
of the profiles across groups lacked a great amount of aggressive
content, many subjects across groups generated destructive responses
far in excess of the norms cited in Rose and 3itter (1950).
The variables of Sum C (a measure of emotional control) and
Extended F+% (an indicator of reality testing ability) differed sig¬
nificantly across groups (see Table 10). Group II (those who relied
on the insanity defense but were found guilty) appeared to have the
highest Sum C (5.9) of any of the groups, with a suggestion that
most of the lower Sum C values were found in Group I. Sum C,

145
FC + 2CF + 3C
determined by the formula 2 serves as a measure
of emotional reactivity, impulsivity, and control. A higher value
suggests heightened sensitivity to emotion-arousing stimuli with
an accompanying impulsiveness and loss of control. On the other
hand, the Extended F+% considers what percentage of responses in
the protocol were of positive form level. This score provides in¬
formation as to the extent to which a subject is able to perceive
his world as others do and conform his perceptions to the structure
imposed on him by the blot. All group means were above seventy-five
percent, thereby suggesting that the mean score for each group did
not fall into the range of values suggestive of psychosis. Group I
appeared to have the lowest mean (75.3%), a value which bordered
on being suggestive of thought disorder.
These variables suggested a tendency for emotional lability,
strongest in Group II, least in NGRI's, but present to some degree
across groups. Those in Group I manifested some difficulty in
seeing the world as others do, though not appearing frankly psy¬
chotic. The other group means were not suggestive of thought dis¬
order, and were essentially within the normal range for form level.
As a whole, Rorschach data were compatible with what might
be expected given the literature. Few human movement responses have
been associated with a lack of empathy and distance in interpersonal
relationships. High Sum C may be suggestive of emotional lability,
volatility, and explosiveness (Klopfer, 1962). These qualities, as
well as immaturity and lack of attention paid to external environ¬
mental cues, are compatible with both the theory and data reported

146
in the projective literature on the protocols of violent criminals.
Studies on other acting out populations, such as older juvenile
delinquents and violent alcoholics (Curtiss, 1979; Haramis and Wagner,
1980) cite impulsivity, reactivity to color on the Rorschach, and low
M scores as being significantly related to a history of more serious
antisocial behavior. Those in our society who lack empathy for others,
are distanced and superficial, with tenuous emotional control and ego-
centricity, are often described as being psychopathic (Schlesinger,
1980). These qualities combined with the over-responsivity to emo¬
tional factors, and explosivity suggested by the color responses,
suggested an individual whose acting out potential and capacity for
harm to others may approach unusually dangerous proportions during
those times in which he is out of control, and responding affectively
to a situation.
Intelligence Testing
Intelligence scores did not differ significantly across groups.
Mean IQ for all subjects was 96.0, with group means ranging between
90 and 100. Thus, scores fell in the average range of intelligence.
There was much variability within groups, with an average standard
deviation of almost thirteen points, indicating that many subjects
could be classified as falling into the Dull Normal and High Average
ranges of intelligence. These results should not be interpreted to
mean that the retarded were not present in the prisons or hospitals
for the criminally insane. Rather, those with IQ's below 78 were ex¬
cluded from this study because of the comprehension level required for
valid MMPI administration (over fifth grade reading comprehension level).

147
Other Projective Testing
Appendix A provides scoring criteria for House-Tree-Person
drawings. Scores did not differ across groups, and the sets of
drawings appeared to offer little in themselves in the way of either
description or prediction of violent behavior. This is not to say that
for a given subject, drawings might not provide additional verifi¬
cation of aggressive or inappropriate sexual tendencies when taken
in combination with other data. (An example of such verification was
a set of drawings done by a child molester/killer, most of which de¬
picted sex acts in various stages between adults and children. Most
subjects were more guarded and less blatant in their drawings).
Hand Test data (for those men in Groups I-111) were also not
found to be of assistance in either descriptive or predictive capa- *
cities. There was tremendous variability within groups. Most subjects
were somewhat hostile to the idea of the test, and were rather guarded
in their responses. Acting out ratios (AOR) for the ninety subjects
on which data were available tended to be more heavily weighted in
favor of nurturing types of responses (such as "dependence" and
"affection") rather than the aggressive responses ("direction" and
"aggression"). This was the opposite of what would be predicted given
that the current research sample was composed exclusively of men
with a history of violent behavior (Haramis and Wagner, 1980; Wagner,
1969). Pathology scores were not high for most subjects, with a few
exceptions. It appeared that with some testees, the Hand Test provided
confirmatory evidence of thought disorder or elaborate violent fantasy
material: such pathology was also very evident in the other test data

148
for the subject. Rarely if ever in the present study did the Hand
Test provide suggestions of bizarre or violent tendencies which
were not already present in behavior or other test material of a
given subject.
Hypothesis 2
Hypothesis 2 predicted that most if not all test profiles in
Groups III and IV would be psychopathic rather than psychotic ones.
This was too sweeping a generalization and hence was not confirmed
as a hypothesis. What was concluded from examining the test data for
Groups III and IV as a whole, however, was that Group IV appeared
sociopathic rather than out of contact with reality on MMPI and Ror¬
schach variables. Subjects in that group displayed a spike 4 mean
MMPI profile, and Rorschach scores which did not fall in the psy¬
chotic range. Group III data were more equivocal, with the prob¬
ability of varied diágnoses of "schizophrenic" and "psychopathic"
being applied on the basis of the mean 8-4-9 MMPI profile. Goldberg
scores for the MMPI classify the profile as "psychiatric" rather
than "psychopathic." On the other hand, Rorschach data were com¬
patible with an explosive, labile, immature individual who does not
pay close attention to environmental cues but who is not evidencing
a thought disorder. In conclusion, although Group IV subjects ap¬
peared psychopathic as opposed to psychotic, the same cannot be
said for Group III. The latter group did not present a clearcut
picture, and test data suggested indications of both sociopathic and
more bizarre, disordered ways of interacting with the environment.
This supports research evidence which detected significant pathology

149
in those referred for competency/sanity evaluations (Binns, 1969;
Siomopoulos, 1976); and contradicts assertions on the part of some
prosecutors that evaluations serve as a "cover" to build a case for
the insanity of a criminal who is not mentally disturbed (Pasewark,
1980; Yochelson and Samenow, 1976).
Hypothesis 3
Hypothesis 3 investigated the performance across groups of
the "violence indicators" of the Hand Test variables and the Palo
Alto Destructiveness Content Scale. It posited that the level of
assaultive potential would be consistent across groups, as all sub¬
jects had been convicted of violent offenses. For the most part, this
hypothesis was substantiated.
The lack of utility of the Hand Test in this study has already
been discussed, and will not be considered further. The Palo Alto
Destructiveness Content Scale (PADS) involves scoring each response
on the Rorschach for its level of destructive aggression. Both free
association and inquiry are scored according to a five category system
ranging from non-destructive responses through "movement in which
the action is explicitly destructive in nature, such as stabbing,
shooting, or some other aggressive characteristic" (Rose and Bitter,
1980, p. 230). As can be seen from Tables 8 and 9, there existed no
significant difference across groups on the PADS variable (p .25).
Average score was 1.77, substantially lower than the 2.3 score cited
for violent offenders by Rose and Bitter (1980). This difference
might be explained in one of three ways: that the current researcher
did not apply scoring criteria in exactly the same way as did Rose and

150
Bitter, that the samples were indeed different, or that the vari¬
ability in the current sample masked the severity of many of the
scores. Average variability across subjects was .43, suggesting that
there existed a considerable range of scores. Many in each group in
the present study achieved scores significantly above the 2.30 score
for Rose and Bitter murderers: one such subject, convicted of murder
and housed in maximum security, was given a 3.9 score! Without com¬
paring actual protocols used for the development of the Rose and
Bitter norms (1980) with those in the present study, it is not pos¬
sible to ascertain whether the differences between the two studies re¬
present existing differences in examiners or in subjects; or whether
simple statistical artifact in the form of overly small sample sizes
is responsible. Further research might address this issue of the
dissimilarity of PADS norms across studies.
Hypothesis 4
Hypothesis 4 suggested that the subjects would not differ
according to demographic factors. In general, this was found to be
true. Table 12 presents Pearson chi-square data for distribution of
race, which did not differ significantly across groups. There were
more whites than blacks in all groups except Group IV, which had
equal numbers. Boehnert (submitted for publication, 1982), in com¬
paring Groups I and II on the variable of race, concluded that in
her sample slightly more whites had failed with the defense than had
blacks, with twenty-one white and nine black men in Group II. Steadman
(1981) in looking at all those in New York State who successfully
used the plea between 1965 and 1978, found whites to be over-represented

151
in comparison with the state prison population, with sixty percent
white as compared to thirty-one percent black. He did not cite data
on the racial distribution of the group of subjects who failed in
the defense. As the present study did not have data for all men at¬
tempting the defense or being evaluated for it in Florida, it was
not possible to determine whether there existed a racial bias in
decision-making as to who was evaluated, who tried the defense, and
who was acquitted. Data did indicate that if such a bias existed, it
was not clearcut against either race, as both had members who were
evaluated, and who succeeded and failed in the defense.
Table 13 shows that the majority of men in all groups were
skilled or unskilled laborers. Only three men out of 120 were pro¬
fessionals. This composition was compatible with the compositions
of both prisons and hospitals mentioned in other studies, which showed
a high percentage of laborers, and low percentage of higher SES, pro¬
fessional persons (NYDMH, 1978; Steadman and Cocozza, 1974).
Age did not differ significantly across groups, with most
subjects being in their middle to late twenties. There existed a
slight tendency for those in Group IV to be younger. This trend was
explained by the fact that Group IV inmates were from a county adult
detention facility, a facility which also held many juveniles who
had been certified to adult status because of either their prior re¬
cords or the severity of their crimes. Inclusion of some of these ju¬
veniles thus lowered the mean age of Group IV. Education was also
similar across groups, with mean educational level for all subjects
being completion of the tenth grade. Subjects did not differ across

152
groups for arrest rates. Number of prior arrests ranged from zero
to twenty-three. Of interest was that many of the murderers had no
previous arrest history, a finding compatible with Shagoury's study
(1971) which found some murders to be committed as "crimes of passion"
by men who were not known as criminals or as mentally ill.
Hypothesis 5
Hypothesis 5 asserted that those found "not guilty by reason
of insanity" would have committed crimes which were rated as less
heinous than those of subjects in other groups. For the most part,
data analysis supported this hypothesis. Table 15 presents data on
Heinousness of Crime. Subjects did not differ significantly across
groups according to this variable when classified according to the
role psychiatric pathology played in their adjudication. However,
when subjects were grouped according to the facility in which they
were housed at the time of testing, significant differences were
apparent. There existed a tendency for those at Chattahoochee (NGRI
subjects) to show the lowest Heinousness ratings, and those at
Florida State Prison to show the highest. Close security and the
county jail inmates fell in between.
Florida State Prison, as mentioned previously, is the state's
maximum security housing unit, containing all Death Row inmates.
Many of the subjects who attempted the insanity defense but failed
were housed at Florida State Prison due to the length of their sentence
or assessed potential for aggressive acting out; eight of these
were on Death Row, having committed some of the most notorious of
Florida's capital crimes. (Indeed, a list of aggravating and mitigating

153
factors is considered in sentencing on a capital crime, with the
greater number of aggravating factors weighting the decision in favor
of the death penalty). Data suggested that many of these men who
tried the insanity plea and failed, had committed especially heinous
acts for which they were sentenced to death (and housed at FSP).
Consideration of test data for these men suggested a moderate to
high degree of disturbance present among them, with many complete
protocols combining elements of thought disorder, psychopathy, and
explosive acting out potential. Clearly, test data alone suggested
that some might have met criteria for an acute psychosis, and perhaps,
lack of responsibility. Others might belong to the subgroup of
Group II that emerged in the pilot study; which was comprised of
dangerous, clever con men who appeared more psychopathic than psychotic,
and who possessed an extremely high potential for violent acting out.
Yet all the men in both of these subgroups were found guilty. The
higher Heninousness scores lent support to the assertion that some
factors other than mental state at the time of the act may be influencing
insanity defense acquittals and failures (cited in NYDMH, 1978).
Current data suggest that there may exist some crimes so heinous that
the community opts for punishment/protection over strict interpretation
of the law.
The presence of the trend whereby those at Chattahoochee (the
acquitted NGRI's) had the lowest blind ratings for heinousness of
the four groups supported the notion of a "community tolerance thres¬
hold." Those who committed crimes which fell below the limits of this
tolerance level and did not trigger as much community outrage appeared

154
to be more readily acquitted "not guilty by reason of insanity." Of
interest was the fact that there existed no overlap between the
Heinousness scores for the NGRI subjects and those for the maximum
security inmates. Ninety-five percent confidence intervals indicated
that NGRI subject scores ranged between .89 and 1.56, and maximum
security inmate scores fell between 1.63 and 2.50. This difference
was clearly significant, and emphasized the strength of this factor
of crime severity in judicial adjudication of the offender.
Hypothesis 6
Hypothesis 6 suggested that those found insane would appear
predictably different on a variety of psychological measures from the
majority of those in the prison system; just as the irresponsible
mentally ill would theoretically differ from responsible, dangerous
criminals. It was asserted that these men could be differentiated
from the other subjects by means of a prediction equation generated by
a discriminant function analysis.
Boehnert (submitted for publication, 1982) reviewed behavioral
observations and test data for those in Groups I and II on a case-by¬
case basis; and by virtue of her clinical impressions concluded that
the "system" was in fact working quite well, assigning eighty-six
percent of the subjects to either hospital or prison correctly.
Classification rates in the present study, generated by discriminant
function analysis, were at the seventy percent level for both groupings.
Since a fifty percent valid positive rate is expected by chance, it
appeared that the prediction equation did not yield highly accurate
discrimination between groups. Although a seventy percent discrimin-

155
ation rate implied that there existed some quantitative differences
between NGRI's and others which allowed for separating the former
from the criminal population, not even three-quarters of those found
insane appeared identifiably different on the basis of their
psychological test scores. Other factors besides pathology or
generally lower heinousness of crime might have been operating in
many of the individual cases acquitted as NGRI. Conversely, many in
the prison system were classified as meeting discriminant function
criteria for Group I. A case-by-case analysis was performed to suggest
reasons behind both types of misclassifications.
In examining those subjects who were not assigned to their proper
groups on the basis of the applied function, test data and details of
crime were reviewed. It appeared that Group IV subjects had the
highest rate of being misclassified, with thirteen out of thirty
"misses." As has been discussed in the Methodology section, this
group was subject to methodological criticism in its role as a control
group and the following discussion will analyze only subjects from
Groups I-111.
As seen in Table 22, four categories of misclassifications emerged.
The first was termed "Computer Misses"; those subjects who appeared in
every way to meet criteria for their correct group, but who nonetheless
were misclassified by the function. In Group I, this would be a subject
whose crime was not overly violent, and whose test data showed more
psychotic features than features associated with unstructured emotion¬
ality and lack of control. Group II subjects would have committed a
more serious type of crime and would be consistent in both data and

156
Table 22
Di scriminant
Function
Misclassifications:
Hospital
vs. Prison
Group Subjects
Type of Error
Group I
Group II
Total
"Computer Miss"
1
7
8
"Val id Miss"
3
4
7
MDSO
3
1
4
"Borderline"
3
3
6
10
15
25

157
behavior with someone with marked violent and psychopathic tendencies.
In this "Computer Miss" group, there was one NGRI subject, and seven
prison subjects
The second category involved "System Misses": those men who
appeared to meet criteria for a certain group, but who were adjudi¬
cated otherwise by the court. In Group I, there were three such
subjects who appeared to have been more properly assigned to a prison
group, and whose classification by the computer supported this impres¬
sion. In the non-hospital group, four men appeared to have been
"System Misses." All were acutely psychotic or close to decompensa¬
tion when examined: their condition made three of them quite vulner¬
able within the prison system (one being blind and infirm as well).
The fourth was being maintained on Thorazine (a major antipsychotic
medication) and had just been released from the prison Neuropsychiatric
Ward at the time of examination. He was intermittently psychotic
during the testing; and repetitively threatening to the examiner,
explaining that he had "nothing to lose" by killing her. He had been
convicted of a rape-murder, and had tried the insanity defense but
failed. It was the examiner's impression that he may have met M'Naughten
criteria at the time of the crime; but that he was perceived as being
dangerous and unpredictable enough such that protection of the commun¬
ity became the highest priority.
The third category involved those men for whom an adjudication of
"MDSO" (under Florida's Mentally Disordered Sex Offender statute) may
have been more appropriate. Three in the hospital and one in the
non-hospital group appeared to have been better considered for sex

158
offender status than for involvement in the question of moral
responsibility. These men were not retarded or psychotic, knew the
difference between right and wrong, and showed a history of behavior
characterized by repetitive sexual acting out.
The fourth category was termed "Borderline": those men who
showed "mixed pictures" that qualified them for either group. Three
men in each group were classified in the "Borderline" category and
were the individuals whose adjudications depended most on the "idiosyn-
cracies" of their particular jurisdictions (Pasewark, 1979). Finally,
there were a few individuals for whom none of the four subgroupings
was appropriate.
The above categorizations were based on the clinical opinions of
the author. Temporarily ignoring the actual court adjudications, it
may be useful to investigate how the classification function performed
assuming that the clinical opinion regarding placement was the
deciding factor in the insanity decisions. It appeared that the men
in the "Borderline" and "System Misses" categories would not be justi¬
fiably considered as misclassifications by the function. They appeared
to be appropriate for the group in which the computer placed them when
examined on a case-by-case basis. If their numbers (six for Group I,
seven for II) were added to those in the correct classification, the
"hit rate" of the function would be brought to 90% for Group I (hospi¬
talized subjects) and 77% for prison subjects. Thus, it would appear
that the function was able to predict quite well subjects who were the
most appropriate for adjudication as "insane", if adjudication were
solely based on (or controlled by) the opinion of the mental health

159
professional (as claimed by Dix, 1981). That the court in thirteen
of the cases disagreed with the author was not surprising, given the
frequent complaint by forensic experts that the trier-of-fact ruled
against their proffered opinion (Geller, 1980; Halpern, 1977). The
data supported the contention of Hoffman (1981) that the court does
not blindly obey psychiatric experts. In the current study, the
trier-of-fact appeared to be doing what it was mandated to do: to
consider testimony of experts along with evidence of other sorts,
and then to render an opinion based on examination of all of the data.
That such an opinion at times concurred with and at times deviated
from that espoused by the mental health professional was to be expected
in a court system which considered psychiatric testimony as only part
of the case. •
Hypothesis 7
Hypothesis 7 asserted that subjects would be identified according
to the role their mental status played in adjudication by means of a
prediction equation based on a combination of psychological test scores.
Their institutional affiliation and the type of crime they committed
would not be identifiable by means of prediction equations, however.
In general, the prediction ability of discriminant function
analyses in the current study was poor. The discriminant function
which attempted to predict the role mental status played at adjudica¬
tion was made up of a combination of three variables: Sum C (a
measure of emotional control), Extended F+% (a measure of reality
testing) and the Heinousness of Crime score. Twenty-five percent
classification accuracy for the four groups would be expected by

160
chance; and 57% of Group I subjects, 43% of Group II subjects, 33% of
Group III subjects, and 30% of Group IV subjects were classified
correctly by the formula (Table 17). Omission of Group IV subjects
from analysis yielded only slightly better classification rates
(Table 19).
These findings suggested that on the basis of psychological and
demographic characteristics alone, those attempting the insanity
defense did not appear predictably different from those opting not to
use the defense after being evaluated for competency/responsibility.
They also indicated significant overlap in characteristics of
individuals succeeding in, failing at, and being evaluated for the
insanity defense; and suggested that even given a certain degree of
personality psychopathology, there was no way of predicting from the
data whether a person would meet criteria absolving him of moral
responsibility. This confirms the assertion that the legal term
"insane" is not comparable to any specific psychiatric entity or
list of psychological deficits (Becker, 1973; NYDMH, 1978); and
counters the allegation that courts "rubber-stamp" the verdict of
pathology from a mental health professional (Dix, 1981; Hal pern, 1977).
Taken as a whole, these negative results thus implied that factors
other than psychological or demographic ones played a significant
role in the workings of the insanity defense, confirming Steadman's
(1981) and Pasewark's (1979a) observations to this effect. Further
research is needed to explore what these factors may be, as the
current study did not include policemen or mothers who killed their
children, two groups which Steadman found to be inappropriately

161
adjudicated "not guilty by reason of insanity."
Other Trends
No matter how subjects were grouped, functions did not accurately
predict category membership. Certain trends emerged when functions
were examined as a whole, however. First, in reviewing all discrimin¬
ant functions conducted, it was apparent that the same few variables
contributed to prediction in all analyses. For the most part,
Heinousness of Crime and the Rorschach variables of Sum C and Extended
F+% were the scores on which groups differed. This was similar to the
finding in the pilot study (Boehnert, submitted for publication, 1982)
which found the Rorschach variables of Sum C, F%, and Extended F+% to
be the most helpful in distinguishing between groups. The Rorschach
again proved to be a sensitive instrument for detecting subtle differ¬
ences among violent offenders.
A second trend of interest was the positive correlation between
the variables of Rorschach Sum C and the Heinousness of Crime score.
There existed a suggestion in the present study that those subjects
identifiably different from others had a higher heinousness rating
and a higher Sum C score than other subjects. Theoretically, the
concepts of emotional over-reactivity (with potential for uncontrolled
acting out) and heinousness of crime appear related. Further research,
and the development of a more sophisticated Heinousness of Crime scale,
could investigate whether this combination is operating in practice.
Another important feature was the consistently poor rate of
prediction for Group IV subjects, those controls matched on type of
crime and housed at Alachua County Corrections Center, for whom mental

162
status had never been raised as a legal question. When compared
according to the role mental status played at trial (26% correctly
classified) or according to residence category (23% correctly classi¬
fied) the group did not appear to "make sense" statistically. A
question was raised previously as to whether such subjects should be
considered comparable to prison inmates who lacked overt pathology.
There existed many institutional differences between the county
facility and a state prison which could have created very different
environmental effects for the subjects. To ascertain whether the
inclusion of this group was masking existing differences, Group IV
subjects were omitted from some analyses; discriminant function rates
then appeared significantly better. Institution membership was pre¬
dicted with much better accuracy, with 66% of Chattahoochee, 75% of
FSP, and 48% of close security subjects being correctly classified.
FSP inmates appeared identifiably distinct from others, having the
best classification rate. Some explanation for this was afforded by
consideration of which variables were contained within the function.
Heinousness of Crime and Sum C were two of the four variables; and
were the two previously mentioned variables on which groups differed
significantly, with FSP inmates tending toward having the highest scores.
It appeared that the county jail inmates did not serve a viable
function as an appropriate control group.
Finally, prediction equations were unable to predict the type of
violent crime which a subject committed based on a statistical combin¬
ation of his psychological test scores. Only 10% of murderers, 60% of
armed robbers, 45% of rapists, and 51% of assailants were correctly

163
classified. This supported what other researchers have asserted
(Rose and Bitter, 1980; Terrill and Holland, 1981); namely, that
test instruments are not capable of differentiating type of violence,
nor are they designed to do so. They cannot be expected to predict
a complex set of behaviors, such as violence, which is influenced
not only by psychological factors, but by situational and cultural
ones, among others (Monahan, 1978). From this standpoint, it was not
surprising that psychological measures were unable to discern the
person who killed his victim from the person who seriously attacked
another.

CHAPTER SIX
CONCLUSIONS
The aim of the present study was to explore similarities and
differences among groups of men involved with the insanity defense.
Psychological and demographic data were generated which yielded
information on the psychological charcteristics of men for whom
emotional disturbance was raised as an issue at trial; and on the
process of the "system" in general. The following conclusions were
drawn from examining the research as a whole.
1) All four groups displayed a significant amount of psycho¬
pathology, on both objective and projective personality tests. Group
MMPI’s all showed elevation on the Psychopathic Deviate scale: MMPI's
of Groups I-III had elevated Schizophrenia scales as well. Rorschachs
for most men across groups were characterized by immaturity, lack of
emotional control, poor attention to environmental cues, and lack of
empathy.
2) Those in the control group were the only subjects to display
a consistently psychopathic profile on test data. They displayed a
4-spike pattern on the MMPI, and did not show clearcut psychotic
indications on the Rorschach. The other groups presented a more
"mixed" picture, with both psychopathic and psychotic features, and a
high potential for aggressive acting out. Those men who tried the
164

165
insanity defense but were found guilty tended to have the highest
Sum C and Extended F+% scores, implying adequate reality testing with
potential for explosive emotionality and lack of control. Subjects
adjudicated "not guilty by reason of insanity", in contrast, tended
to show the lowest Extended F+% and Sum C scores; suggesting more
tenuous reality ties, and less emotional lability.
3) For the most part, subjects did not differ on demographic
factors. Most were unskilled or skilled laborers, with few represen¬
tatives of the professions. This is compatible with Steadman (1981) and
the New York study on characteristics of NGRI's. Average educational
level for all four groups was the tenth grade. Most subjects were in
their twenties, with some prior arrest history.
4) Those subjects found "not guilty by reason of insanity" were
discriminated from all others in the sample at the seventy percent
level of accuracy. A case-by-case analysis further suggested that an
even higher percentage (ninety percent) of them were correctly
classified according to the author's clinical impression. That the
trier-of-fact did not agree in all cases with psychological opinion
was seen as a positive indication that the "system" is not controlled
by the judgments of mental health professionals, as Dix (1981) asserts.
5) In general, the extent to which mental disability was relied
upon as a defense at trial was not equatable with a certain level of
personality pathology. NGRI defendants did not appear more pathological
than those unassociated with the defense. This lent further support
to the notion that "insanity" and "pathology" are not interchangeable
terms (Becker, 1973). Thus, a legal verdict could not be predicted by

166
examination of the level of personality malignancy. This evidence
supported the continued separation of the legal concept of "lack of
moral responsibility" and the psychiatric concepts of "psychosis" or
"pathology." This suggested that factors other than psychological and
demographic ones were playing a role in the adjudication of moral
responsibility.
6) There appeared to be a "community tolerance threshold"
operating in insanity acquittals, with those committing crimes which
fell below the limits of this tolerance level being more readily
acquitted NGRI. Conversely, there emerged a tendency for those com¬
mitting crimes with especially high heinousness ratings to have been
found guilty and housed in maximum security or on Death Row. It
appeared that some crimes were perceived as being so heinous that the
community opted for punishment/protection over strict interpretation of
the law. The perpetrators of those crimes may resemble those in the
pilot study who appeared more psychopathic than psychotic, and who
possessed an extremely high potential for violent acting out.
7) In analyzing subjects according to the type of crime they
committed, it appeared that psychological testing did not differen¬
tiate between types of violent crime. This is compatible with other
research in the area, which asserts that a complex set of behaviors
(such as violence), is influenced not only by psychological factors,
but by situational and cultural ones. Therefore, it is not surprising
that psychological measures were unable to discern the person who killed
his victim from the person who seriously attacked another (Monahan,
1974; 1978).

167
8) Hand Test data were not found to be helpful in discriminating
between groups, or in describing violent individuals in general. The
Acting Out Ratio (AOR) for most subjects, in fact, was found to be in
the opposite direction than what would be expected given a population
of violent individuals; i.e., the AOR was characterized by affectionate
responses more than aggressive ones. House-Tree-Person drawings did
not discriminate between groups but provided information about the
subject which was consistent with information gained from the Rorschach.
9) For the most part, the Heinousness of Crime score and the
Rorschach variables of Extended F+% and Sum C contributed the most
heavily to the discrimination of groups. This was similar to the
finding in the pilot study (Boehnert, submitted for publication, 1982)
which found the Rorschach variables of Sum C, F%, and Extended F+% to
be the most helpful in distinguishing between groups. The Rorschach
appeared to be a useful and sensitive instrument in detecting subtle
differences between violent offenders. In addition, in the present
study there existed a trend for Sum C and Heinousness of Crime to be
positively correlated. (That is, a higher percentage of uncontrolled
emotional acting out was related to the brutality of the crime comnitted).
This could be better tested with the development of a more sophisticated
Heinousness of Crime scale.
10) Three directions for future research appear promising. First,
more information is needed on the relationship of heinousness of crime
to the adjudication of insanity, for which a more detailed scale needs
to be derived. Second, the present study could greatly benefit from
the inclusion of a group of non-violent subjects. Other research

168
(Rose and Bitter, 1980) asserts great differences found on objective
and projective personality testing between violent and non-violent
offenders. Testing of the efficacy of the Palo Alto Destructive
Content Scale could be facilitated with the inclusion of this property
crime group. Third, a replication study should be conducted which
considers non-psychological factors specific to individual cases
which could affect the adjudication of insanity in particular
jurisdictions.

APPENDIX A
SCORING CRITERIA FOR DRAWINGS
What elements shall we consider in gauging the level of aggressive
potential? Let us summarize some of the signs which are widely
recognized as pointing to externally-directed hostility and ag¬
gression in the HTP. they include:
a) unrelieved enclosed areas of white space (e.g. windows without
panes, curtains, or shutters), "keyhole" tree;
b) two-dimensional branches resembling clubs, or sharply pointed
branches or leaves; chimney excessively prominent, black smoke
belching forth;
c) mutilated content or degraded House, Tree, or Person; degrading
details symbolizing aggressive hostility (e.g. an outhouse drawn
beside a mansion, a garbage can on the front porch, a dog urinating
against the Tree);
d) the Person of the same sex as the subject depicted with sharply
pointed appendages (e.g. fingers, toes, teeth); the Person of the
same sex in explicitly aggressive posture or action.
(Hammer, in Jacks, 1969, pp. 295-314)
Three-point scoring system on each of above four criteria
for each of four drawings by the subject:
2: Markedly present
1: Present though not to great extent
0: Not present
Range: 0-32
169

APPENDIX B
DETAILS OF INDIVIDUAL CRIMES
Group I
#11: Believed that a man was his enemy who had prophecied that the
victim would kill him. He saw him two days in succession in the woods,
believed his life was in danger so shot him once in the neck.
#38: Molested the six- and seven-year old qirls he was babysitting.
He gave them venereal disease and does not remember the actual
intercourse.
#80: Was on a trip to the Florida Keys after he left the service. At
a restaurant, when the cashier asked for payment, he pulled out a
knife and stabbed the cashier to death.
#23: He beat his wife and three children to death with an undiscovered
blunt, covered instrument.
#5: A man advanced on him with a knife, so he disarmed him and stabbed
him to death.
#4: Committed a homicidal attack with a knife on a total stranger
who he believed had called him a punk. When a police officer inter¬
vened he also attacked him.
31: Fondled and masturbated a male child and committed anal pene¬
tration of the child with his finger.
#89: Set fire to his own home with gas while his wife and son were
inside, then blamed it on his sister, with whom he was feuding over
170

171
settlement of an estate. He called the fire department, then set
a second fire.
#57: Shot a perfect stranger on the streets of a major city to rid
himself of voices, then returned to the scene and shot him again
to make sure he was dead.
#61: Robbed woman of over one hundred dollars by threatening her
in the Majik Mart.
#43: Beat another patient's head against the floor causing per¬
manent disfigurement until he was pulled off of him.
#36: Broke into a house, and when he heard the owner returning,
shot him to death on the doorstep using his own gun.
#49: Suspected his wife of infidelity, and shot her to death (and
has no memory of it).
#81: Picked up a hitch-hiker, threatened her with a knife, and
raped her.
#14: Had been drinking and smoking marijuana. Shot his best friend
to death with a shotgun at point blank range in his living room
over a quarrel about #14's girlfriend and the issue of jealousy.
#83: Believed the victim was a Communist. He shot him two times as
he exited the apartment, once as he lay there. Victim rose to go
down an alley and he emptied the rest of the gun into him.
#74: Committed armed robbery and stole a gun. Commandeered a car
with a woman and her twelve-year old son in it and at gunpoint
forced them to help him escape.
#87: Threatened to blow up a girl and her house. He carried a
machete around with him, and mace; and attacked police with these
at his arrest.

172
#54: Heroin addict who committed armed robbery of a drug store,
then broke into a home to rob owner and assaulted him with a
pistol butt.
#9: Attacked two men with a broken bottle at ice cream warehouse.
He broke a bottle and threatened to "cut their guts out." Then he
tried to attack the two arresting police officers and their
backup units.
#73: While being arrested on a loitering and prowling charge, he
attacked the two police officers with a knife.
#2: Assaulted police who were trying to arrest him for escaping
from the county jail: he had no weapon.
#24: Bought a gun the day of the crime "just to kill someone." Went
to boatyard with acquaintances who teased him about having a poor
sex life. He fired nine shots at them.
#62: Drove up behind a girl, jumped out of the car, grabbed her
and threw her to the ground and attempted to rape her.
#72: During fistfight with his brother, kicked and seriously in¬
jured his mother. He was drunk and attacked the police when they
came to arrest him.
#7: Was trespassing near a railroad yard when a man with a gun
ordered him to leave. The man rushed him, #7 opened fire with a
rifle and pistol. Another man in a car pulled up with a gun and #7
fired at him and ran. When he saw a helicopter, he thought it was
part of the enemy plot, and fired at it with a rifle.
#76: Cut into line at student cafeteria, got into a shoving match
and left. He came back and shoved an employee to obtain a shovel.
In cafeteria, hit a girl in the chest as he swung the shovel.

173
#35: Drove to radio station and opened fire on the people inside
due to the station's views on homosexuality.
#15: Attacked stranger with plastic bottle shard, slashing his
face as he was changing a tire for a woman. Then slashed the two
policemen who came to arrest him.
#25: Kidnapped man who picked him up hitching, then robbed him at
gunpoint.
Group II
#53: Kidnapped two teenagers who were on a date, stole the male's
car, took girl to abandoned building and raped her, releasing her
the next day.
#44: After his job working as a telephone man ended, gave a six-year
old girl a ride home from school. Fondled and stripped her, she
started crying, he became frightened and strangled her with wire,
hiding the body and clothes.
#1: Stabbed acquaintance once with a knife over gambling debt, be¬
lieving that he had a gun.
#88: Shot man he caught with his wife. Left body for about four
hours, returned to get it, drove around the interstate looking for
a good place to bury it.
#34: Shot former homosexual lover five times over blackmail material
that the victim had on him.
#16: Kidnapped 8-year old boy on bike, raped and strangled him to
death.
#28: Knocked on door, and when it was opened struck the woman in¬
side across the face with a gun. Then took her to orange grove
and raped her.

174
#32: After robbing convenience store, kidnapped the clerk, and
took her to a lake where he raped her. Going back to the car, he
shot her in the head three times.
#50: Believed his wife was leaving him, so he shot her and tried
to shoot her mother whom he felt was coming between them.
#65: Killed a woman by stabbing her to death repeatedly.
#63: Robbed victim, then killed him. Also killed partner during
the robbery.
#59. While babysitting, beat his four-year old stepson to death
with a blunt instrument.
#18: Broke into a house, stole money and when woman caught him,
attempted to kill her by beating her severely with a prybar.
#55: Felt homosexual lover was cheating on him, so followed him
to post office at 9 AM where he shot him, then held him as he
died saying "I love you."
#33: Picked woman up in bar, went drinking at her trailer, she
poked him with a fork, so he killed her by stabbing her repeatedly.
#67: Broke into eighty-year old woman's house, stole belongings,
waited for her to come home, raped her, then killed her by stabbing
her repeatedly with two knives, leaving them in body.
#37: At movie theatre, raped male adult and stole seven dollars.
#82: Kidnapped girl scout from camping trip, held her captive for
seven days and raped her repeatedly.
#3: Found his wife cheating on him with another man and shot him.
#51: Attempted to rob two men, pistol-whipped them to scare them,
then threatened to shoot them.

175
#48: While in act of robbing house, was surprised by the female
owner, raped her, then repeatedly stabbed her to death.
#75: Robbed person at knifepoint of his money.
#68: Broke into trailer, tied up husband at knifepoint then raped
wife while husband watched.
#42: Raped and beat woman and attempted to kill her. Also attempted
to kill another man by repeatedly stabbing him with a sharpened pen.
#78: Broke into a store and held it up.
#10: Grabbed woman and threatened to kill her: robbed her by pre¬
tending to have weapon.
#71: Raped prostitute in downtown Miami.
#17: After leaving a bar, thought a man from the bar was chasing
him to rob him, so he shot him.
#12: Broke into the house of eighty-year old woman, raped and suf¬
focated her.
#26: Shot wife and three children to death by placing pillow over
their heads and shooting them while they slept.
Group III
#77: Kicked girlfriend to death with his boots, left body at home
hanging in bathroom and went to a bar for drinks.
#47: Had been drinking and fighting earlier, went back to bar for
one last drink. Victim saw him and swore at him, they started
fighting again, and #47 shot him.
#70: After high-speed chase, took aim at police who were after him
and killed one, wounding others.

176
#46: Was making advances to his common-law wife at bar, she pulled
out a .22 and was accidentally shot by him after rejecting him.
#66: Shot mother-in-law to death while drunk.
#64: Hired two hit men to shoot victim who "knew too much." (other
version) Stabbed victim to death who knew too much, disposed of
body through his Mafia connections.
#84: After two men molested his girlfriend, kidnapped the men with
his pistol, took them to the woods, and shot them.
#8: Robbed three convenience stores; at the third, the clerk knew
him so he killed her by emptying six shots into her.
#39: At FSP, victim had told him he would rape him. They found and
#39 killed him by stabbing him six times.
#85: Killed his seventy-year old mother by beating her to death
with his fist.
#6: Stabbed woman and her eleven-year old son to death, attempted
to kill nine- and seven-year old sons to death by stabbing. Total
of eighty-seven stab wounds while screaming "die bitch die."
#29: Held knife to throat of female, undressed her, sucked on
breasts.
#19: Broke into house and during burglary, raped ninety-year old
woman and hit her in the face.
#52: Raped seven year old boy.
#30: Kidnapped and raped one woman, then kidnapped and raped
another woman while she was tied to a tree.
#79: Forced a mother and daughter into motel with sawed-off shotgun
and raped them both.

177
#21: Had eleven- and twelve-year old daughters have sex with
each other, and then had repeated intercourse with the older.
#56: During a drug deal, he shot dealer who was trying to renege
on deal and fled.
#60: Raped a woman while he was a patient at state hospital.
#41: Attempted intercourse with a four-year old boy. Then fondled,
had oral sex, masturbated.
#20: During fight, attempted to kill opponent by hitting him in the
head with an ax.
#40: Hitched a ride, then robbed and shot driver to death.
#86: Kidnapped woman and her twelve-year old daughter, raped and
killed them, then cut them open to feel the hearts.
#58: When neighbors trespassed in his yard, ran inside to get gun
and shot neighbor to death with a rifle when he disturbed the stones
around a lemon tree in the yard.
#69: Repeatedly held up banks, usually successfully.
#45: Broke into house, repeatedly stabbed mother and daughter,
left house but returned to stab daughter again.
#27: Stabbed cellmate five times with knife because he said he
would not pay him the five hundred dollars he owed him.
#90: Waited for father to finish work for the day, shot him in
the back and neck with sawed-off shotgun, then led police to where
he buried the gun.
#22: During robbery of realtor she resisted and he stabbed her
thirty-one times with an icepick.
#13: Attacked correctional officers with his fists when officer
came through the door to isolation.

178
Group IV
Control #1: Tried to strangle wife, dragged her by the throat to
front yard where he attempted to hit her with an icepick.
Control #2: Picked up a hitch-hiker, drove her to her mother's
house where he pulled a gun. He took her money, then drove away.
Control #3: Held up a Majik Mart clerk with a gun, said he would
be watching him, and would blow out his brains if he called the
police. He then left the store and ran out of gas.
Control #4: Broke into a house where mother and children were all
sleeping in the same bed. He shot the mother as she slept but left
the children alone.
Control #5: After stealing a car, he attempted to run over police
officers; then jumped out of the car and attacked them with fists.
Control #6: With two other men, held up restaurant after hours
with guns; multiply-gang-raped clerk-cashier.
Control #7: Pulled gun at Majik Mart and took money. Stayed and
shoved clerk around, threatening him with gun saying, "I have been
to prison before, I will blow your head off." He then locked him
in a storeroom.
Control #8: Held up a hamburger stand with .357 magnum revolver.
Left after swearing at clerk. Also accused of raping man in prison.
Control #9: Bought cigarettes from gas station attendant, then hit
him in head with a brick, knocking him out. Then took the money
from the store.
Control #10: Multiple rapist who requested that the jail director
"bring me in a woman."

179
Control #11: Assaulted and robbed an elderly doctor and his wife,
after breaking into their home and stabbing the doctor seven
times. Also raped seventy-three year old woman, beating her with
his fists and feet leaving bruises over her entire body.
Control #12: Had argument with his wife in the car on a trip. At
gas station his wife asked attendant to call the police and they
left the station. He saw police lights behind them, panicked, and
killed wife by shooting her twice.
Control #13: After drinking at his brother-in-law's home, left
angry and went to his estranged wife's house. He burned down the
house, kidnapped her, argued with his brother-in-law who had fol¬
lowed him, and shot him in leg with shotgun. He returned to the
brother-in-law's house where he announced to the man's wife that
he had just killed her husband; he then pointed the gun at his
estranged wife's head and asked sister-in-law for money. He then
fled. Brother-in-law later died of injuries.
Control #14: While working as maintenance man at Hilton, entered
room with passkey and threatened woman with a pipe wrench. He then
raped her.
Control #15: While drunk, he attacked an unfamiliar white female
he had been following down the street, hitting her several times
with a blunt instrument in the head. After she fell he kicked her
several times until he was pulled off, then claimed racial prejudice.
Control #16: He and juvenile female committed armed robbery, had
high speed chase with police, then crashed the car and she died.
He was charged with murder.
Control #17: Held up store with a toy gun.

180
Control #18: After being warned by police earlier in the day not
to harass his ex-wi/e, he got drunk, threatened to kill her. He
then went to her house, saw her in her car, rammed at her with
his car.
Control #19: While drunk, had intercourse with his thirteen-year
old daughter. Occurred four times over period of weeks.
Control #20: Broke into house with another man and both of them
raped a high school teacher and her fifteen-year old daughter
repeatedly.
Control #21: As apartment complex rapist, his method of operation
was to cock a gun at victim's head and rape her. Multiple victims.
Control #22: Committed two armed robberies using butcher knife.
Was threatening and physically assaulted the clerks.
Control #23: Held up drive-in with gun, threatened clerk, fled.
Control #24: Held up man and then physically beat him and banged
his head on pavement.
Control #25: Held up stranger with knife in back, asked for money.
When man had none, he shot him in back. Also attempted to kill
clerk at liquor store with a gun while chasing her into basement.
Control #26: Propositioned unfamiliar girl at a dance. When she
would not talk with him, he got his gun and tried to shoot her.
Control #27: Robbed convenience store, manhandled clerk and ripped
her shirt.
Control #28: Followed two joggers to a wooded area, kidnapped them,
raped both, beat one who tried to escape, had them jog back to
apartment.

181
Control #29: Held up convenience store with sawed-off shotgun,
explaining to clerk that he needed the money. As he left store, he
saw witnesses in car and attempted to shoot them; he ran and re¬
turned fire at witnesses who also had a gun.
Control #30: Broke into a strange house, hit woman with a concrete
block wrapped in a towel. Hit her three times, causing scars and
skull fracture.

APPENDIX C
HUMAN SUBJECTS CONSENT FORM
You will be taking some psychological tests as part of a research
project. This will take about 3-4 hours of your time, in most cases.
Some of these tests you may have had before, but we'd like you to go
ahead and be as honest and open as you can be in your answers. These
test results will in no way influence your stay at this institution.
Individual results on the tests will not even be shown to the staff:
the testing is strictly for research purposes. In addition, as a pro¬
tection to you, after all tests are collected on you, your name will
be destroyed and replaced by a code number. Therefore, your name serves
only to help us collect the data (both testing and demographic) and
will play no part in the experiment or any publication thereafter. This
is to insure greatest possible privacy to you. You will be taking four
tests, all of which will be administered by a trained administrator.
Some people find the tests enjoyable, as they are being given to find
out how you as an individual see things. Any questions which you have
will be answered after all tests are completed. We appreciate your
cooperation. «
Subject Date, Time
I authorize the performance upon (subject) of the fol¬
lowing psychological procedures: VIAIS, MMPI, RORSCHACH, HAND TEST, AND
PROJECTIVE DRAWINGS, plus access to biographical information. The above-
named tests enable the examiner to gain a perspective on certain modes
of perceiving and structuring the world which the subject uses in
everyday living.
The nature and purpose of this procedure, possible alternative methods
of the procedure, any risks involved, have been explained to me verbally
and in writing by , (name of examiner). I fully
understand that the procedure to be performed is experimental and not
routine psychological treatment. I also understand that I may not bene¬
fit from this procedure. Furthermore, it is agreed that the information
gained from this investigation may be used for educational purposes
which may include publication. I understand that I may withdraw my con¬
sent at any time.
Subject Witness
I, the undersigned, have defined and fully explained this psychological
procedure to the above subject.
(Examiner)
182

APPENDIX D
DEMOGRAPHIC DATA FORM
1. Name and code number
2. Crime
3. Age
4. Race
5. County of jurisdiction
6. Handedness
7. Education
8. Occupation
9. Age at the time of offense
10. Length of incarceration
11. Date of commission of crime
12. Date of admission
13. Relationship to victim
14. ETOH abuse?
15. Judge or jury trial
16. Public or private attorney
17. Adjudication of incompetency?
18. Diagnosis
19. Prior arrest record
20. Medical history (experts and their opinions, prior hospitali¬
zations, medication and treatment history, head trauma, physical
disability, seizures?)
183

APPENDIX E
STATISTICAL ANALYSES
Table 23
MANOVA: Adjudication
Multivariate Tests of Significance (S=3, M=3%, N=52)
Test Name
Value F
D.F.
Significance
Pi 1lais
.470 1.824
33 324
.005
Hotel 1ings
.645 2.048
33 314
.001
Wilks
Toys
Eigenvalues and
.578 1.934
.331
Canonical Correlations
33 313
.002
Root Number
Eigenvalue Pet.
Cum. Pet
Can. Cor.
1
.496 76.8
76.8
.57602
2
.092 14.3
91.2
.29129
3 .056 8.7
Dimension Reduction Analysis
100.0
.23138
Roots
Wilks Lambda F
D.F.
Significance
1 to 3
.578 1.934
33 313
.002
2 to 3
.866 .793
20 213
.720
3 to 3
.946 .672
9 107
.732
Variable
F (3, 116)
Significance
10 Score
1.25
.296
Goldberg Original
1.34
.264
Palo Alto
1.21
.308
Sum C
4.47
.005
F%
1.83
.145
Extended F+%
2.14
.099
M
.17
.914
Heinousness
1.63
.185
Education
.34
.798
Arrests
1.18
.319
Age
1 .09
.354
184

185
Means
Table 2.4
Means and Standard Deviations:
Groups 1 vs. 2 (II, III, IV)
Variable
Group 1
Group 2
All
IQ Score
91.1
96.3
95.0
Goldberg Original
64.0
68.5
67.3
Goldberg I
135.2
144.3
142.1
Goldberg II
107.9
111.2
110.4
Drawing
14.6
14.1
14.2
CF
1.1
1 .8
1.6
PADS
1.7
1.8
1 .8
Sum C
2.7
4.8
4.3
F%
29.2
22.9
24.4
Extended F+%
75.3
81.2
79.7
F+%
66.0
71.2
69.9
A%
47.9
48.9
48.6
8,9,10%
33.6
33.8
33.7
M
1.8
2.0
2.0
Heinousness
1.2
1 .7
1.6
Education
10.3
10.7
10.6
Arrests
3.3
5.6
5.0
Age
28.3
27.7
27.8
Standard Deviations
Variable
Group 1
Group 2
All
IQ Score
10.6
13.7
13.0
Goldberg Original
25.4
22.8
23.5
Goldberg I
28.4
36.3
34.5
Goldberg II
21.8
27.4
26.2
Drawing
5.2
5.8
5.7
CF
1.0
1.5
1.4
PADS
.4
.4
.4
Sum C
1.1
1 .6
1.5
CO/
r ¡o
20.8
17.2
18.2
Extended F+%
15.8
10.8
12.2
F+%
29.2
31.9
31.2
A%
15.1
14.6
14.7
8,9,10%
7.1
8.0
7.8
M
1 .9
2.1
2.0
Heinousness
.8
1 .0
1.0
Education
2.5
2.5
2.5
Arrests
4.3
8.5
7.6
Age
6.0
9.0
8.3

186
Table 25
MANOVA: Residence
Multivariate Tests of Significance (S=3, M=3^, N=52)
Test Name
Value
F
D. F. Significance
Pilláis
.656
2.752
33 324 .006
Hotel!ings
.977
3.100
33 314 .007
Wil ks
.452
2.925
33 313 .007
Roys
.406
Eigenvalues and Canonical Correlations
Root Number
Eigenvalue
Pet.
Cum. Pet. Can. Cor.
1
.685
70.1
70.1 .63785
2
.203
20.8
91.0 .41156
3
.087
8.9
100.0 .28406
Dimension Reduction Analysis
Roots
Wilks Lambda
F
D. F. Significance
1 to 3
.452
2.925
33 313 .007
2 to 3
.763
1.537
20 21 3 .071
3 to 3
.919
1.043
9 107 .411
Variable
F (3,116)
Significance
IQ Score
3.11
.029
Goldberg Original
2.27
.083
Palo Alto
1.11
.347
Sum C
5.25
.002
F%
1.56
.202
Extended F+%
2.91
.038
M
.11
.953
Heinousness
3.57
.016
Education
.84
.477
Arrests
3.28
.023
Age
2.44
.068
Variable: IQ Score
F=3.11 P=
.029
Group
Mean
S. D.
S. E. 95% Confidence Int.
Chattahoochee
91.13
10.7
1.9 87.14 to 95.12
FSP
92.14
13.5
2.5 86.89 to 97.39
Close Security
100.00
15.3
2.7 94.47 to 105.52
County Jail
96.43
11.1
2.0 92.28 to 100.58

187
Table 25--continued
Variable: Sum C
F=5.25 P= * .002
Group
Mean
S.D.
S.E.
95% Confidence Int,
Chattahoochee
2.73
2.4
.4
1.84 to 3.62
FSP
6.32
4.3
.8
4.63 to 8.00
Close Security
4.62
3.3
.6
3.42 to 5.82
County Jail
3.70
4.0
.7
2.18 to 5.21
Variable: Extended F+%
F=2.91 P= i .037
Group
Mean
S.D.
S.E.
95% Confidence Int.
Chattahoochee
75.33
15.9
2.9
69.40 to 81.25
FSP
78.85
9.4
1 .7
75.19 to 82.52
Close Security
84.40
10.4
1 .8
80.64 to 88.16
County Jail
79.90
12.0
2.2
75.39 to 84.40
Variable: Heinousness
F=3.57 P= S .016
Group
Mean
S.D.
S.E.
95% Confidence Int.
Chattahoochee
1.23
.9
.2
.89 to 1.56
FSP
2.07
1.1
.2
1.63 to 2.50
Close Security
1.43
1.0
.2
1.06 to 1.81
County Jail
1.70
1.0
.2
1.30 to 2.09
Variable: Arrests
F=3.28 P^~~i .023
Group
Mean
S.D.
S.E.
95% Confidence Int.
Chattahoochee
3.30
4.3
.8
1.69 to 4.90
FSP
8.64
12.9
2.4
3.63 to 13.65
Close Security
3.28
5.5
.9
1.31 to 5.25
County Jail
5.36
4.5
.8
3.68 to 7.04

188
Table 26
Means and Standard Deviations;
Residence
Means
Variable
Gp.I
Gp.II
Gp.Ill
Gp. IV
All
IQ Score
91.1
92.1
100.0
96.4
96.
Goldberg Original
64.0
76.8
67.0
62.2
67.
Goldberg I
135.2
140.2
147.0
145.6
142.
Goldberg II
107.9
111 .6
104.8
117.6
no.
Drawing
14.6
13.8
13.4
15.1
14.
CF
1.1
2.3
1.7
1.4
1.
PADS
1.7
1.7
1 .8
1.9
1.
Sum C
2.7
6.3
4.6
3.7
4.
F%
29.2
18.9
24.0
25.4
24.
F+%
66.0
69.1
77.7
66.2
69.
Extended F+%
75.3
78.8
84.4
79.9
79.
A%
47.9
46.5
46.9
53.2
48.
8,9,10%
33.6
36.3
33.5
31 .6
33.
M
1.8
2.0
2.1
2.1
2.
Hei nousness
1.2
2.1
1.4
1.7
1.
Education
10.3
10.2
11.0
10.9
10.
Arrests
3.3
8.6
3.3
5.4
6.
Age
28.3
26.3
30.8
25.7
27.
Standard Deviations
Variable
Gp.I
Gp.II
Gp.Ill
Gp. IV
All
IQ Score
10.6
13.5
15.3
11.1
12.
Goldberg Original
25.4
22.5
20.8
23.6
23.
Goldberg I
28.4
33.8
34.6
40.8
34.
Goldberg II
21.8
25.9
26.6
29.0
26.
Drawing
5.2
5.6
5.9
5.9
5.
CF
1.0
1.5
1.3
1.8
1.
PADS
.4
.4
.4
.4
#
Sum C
1.1
1.9
1 .6
1.5
1.
F%
20.8
15.5
15.4
20.2
18.
F+%
29.2
35.2
27.5
32.9
31.
Extended F+%
15.8
9.4
10.4
12.0
12.
A%
15.1
11.9
13.9
17.0
14.
8,9,10%
7.1
6.4
7.5
9.3
7.
M
1.9
1.9
2.3
2.1
2.
Heinousness
.9
1.1
1.0
1.0
1.
Education
2.5
2.4
3.0
1.8
2.
Arrests
4.3
12.9
5.4
4.4
7.
Age
6.0
5.7
11.0
8.3
8.
0
3
1
4
2
6
8
3
4
9
7
6
7
0
6
6
1
8
'8
1
7
0
7
4
4
4
2
2
2
6
7
1
0
5
5
1

189
Table 27
MANOVA:Crime
Multivariate
Test Name
Tests of Significance (S=3,
Value F
M=3*i,
D.F
N= 52)
Significance
Pilláis
.448
1 .723
33
324
.010
Hotel 1ings
.538
1.707
33
314
.011
Wil ks
.612
1.717
33
313
.010
Eigenvalues
and Canonical Correlations
Root Number
Eigenvalue
Pet.
Cum.
Pet.
Can. Cor.
1
.296
50.0
50.
0
.46085
2
.164
30.6
80.
6
.37624
3
.103
19.3
100.
0
.30684
Dimension Reduction Analysis
Roots
Wilks Lambda
F
D.F
#
Significance
1 to 3
.612
1.717
33
313
.010
2 to 3
.777
1.427
20
213
.112
3 to 3
.905
1.235
9
107
.281
Variable
F (3, 116)
IQ Score
1.41
.243
Goldberg Original
1.34
.265
Palo Alto
.76
.519
Sum C
4.10
.008
F%
1.30
.278
Extended F+%
1.51
.216
M
.13
.939
Heinousness
5.29
.002
Education
.43
.731
Arrests
.62
.600
Significance
Variable: Sum C
F=4.10 P= ¿.008
Crime
Mean
S.D.
S.E.
95% Confidence Int
Murder
5.55
4.1
.6
4.34 to 6.76
Armed Robbery
3.90
3.5
.8
2.23 to 5.56
Rape
4.33
2.8
.7
2.83 to 5.83
Assault
2.58
2.8
.5
1.51 to 3.65

190
Table 27—continued
Variable: Heinousness
F=5.29 P= <.001
Crime
Mean
S.D.
S.E.
95% Confidence
Murder
1.70
1.2
.2
1.36 to 2.04
Armed Robbery
.95
1 .0
.2
.48 to 1.41
Rape
2.12
.9
.2
1 .74 to 2.50
Assault
1.44
.8
.1
1.13 to 1.76

191
Table 28
Means and Standard Deviations:
Crime
Means
Variable
Cr.I
Cr.II
Cr.Ill
Cc.IV
All
IQ Score
97.3
96.8
91.7
9T7T
96.0
Goldberg Original
65.4
60.3
71.6
71.9
67.3
Goldberg I
139.8
133.9
150.0
144.4
142.1
Goldberg II
108.1
128.1
109.5
102.5
110.4
Drawing
12.5
16.1
15.7
14.4
14.2
CF
2.0
1.5
1.8
.9
1.6
PADS
1.8
1.7
1.9
1.7
1.8
Sum C
5.6
3.9
4.3
2.7
4.3
F%
22.1
20.7
26.4
29.2
24.4
F+%
72.6
74.4
67.4
64.5
69.9
Extended F+%
79.3
84.5
79.7
76.9
79.7
A%
48.3
50.0
46.0
50.4
48.6
8,9,10%
34.7
32.0
35.6
31.7
33.7
M
1.9
2.1
2.2
1.9
2.0
Heinousness
1.7
.9
2.1
1.4
1 .6
Education
10.7
10.7
10.1
10.8
10.6
Arrests
4.6
6.4
6.3
3.9
5.1
Age
29.4
23.9
26.7
29.0
27.8
Standard Deviations
Variable
Cr.I
Cr.II
Cr.Ill
Cr. IV
All
IQ Score
14.1
T67Ti“
12.8
8.4
13.1
Goldberg Original
21.9
25.2
26.2
22.0
23.4
Goldberg I
28.9
28.7
34.2
45.5
34.6
Goldberg II
23.8
26.7
26.6
24.5
26.0
Drawing
4.6
7.3
5.3
5.7
5.5
CF
1.5
1.4
1.6
.8
1 .4
PADS
.4
.3
.4
.5
.4
Sum C
1.2
1.1
1.8
1.5
1.5
F%
14.2
22.6
20.8
18.5
18.2
F+%
29.6
31.8
34.3
31 .3
31 .3
Extended F+%
11.4
13.0
12.0
13.7
12.4
A%
14.2
17.5
12.6
15.4
14.8
8,9,10%
7.5
5.8
8.6
8.3
7.7
M
2.3
1.5
2.0
2.1
2.1
Heinousness
1.1
.9
.8
.8
1 .0
Education
3.0
2.2
2.4
1.6
2.5
Arrests
6.3
6.3
13.2
3.4
7.7
Age
9.6
4.8
6.8
8.3
8.1

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Albert, S. Faking psychosis on the Rorschach. Journal of Personality
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Anderson, W. Sex offenders: Three personality types. Journal of
Clinical Psychology, 1979, 25.(3), 671-676.
Armentrout, J., and Hauer, A. MMPI's of rapists of adults, rapists of
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¿o 5
BIOGRAPHLCAL SKETCH
Caryl E. Boehnert was born in Chicago, Illinois, May 29, 1954.
Most of her "formative years" were spent in Houston, Texas, where
she graduated from Mirabeau B. Lamar High School in 1971. From there
she spent two and one half years at Middlebury College in Vermont as
a history and sociology major. She transferred in the middle of her
junior year to Swarthmore College, a school to which she credits most
of her academic education, including a major in psychology. She
entered the graduate program in clinical psychology at the University
of Florida in Gainesville in 1976. During the period of data collection
for this research, she was employed at the Alachua County Corrections
Center in the Intake Unit, a facility whose milieu help solidify her
interest in forensic psychology. Between 1981 and 1982, she completed
an internship at the University of Minnesota and decided that she
enjoyed the atmosphere enough to settle in the area. In the fall of
1982, she accepted a half-time position at Hennepin County Court
Services, which requires the performance of court-ordered evaluations
involving questions of competency to stand trial, sanity, commitment,
custody, and juvenile placement. She accepted a second half-time
position at that time as a staff psychologist in the out-patient
psychology clinic at the University of Minnesota Hospitals.

I certify that I have read this study and that in my opinion
it conforms to acceptable standards of scholarly presentation
and is fully adequate, in scope and quality, as a thesis for the
degree of Doctor of Philosophy.
Jacquelin Goldman, Chairperson
Professor of Clinical
Psychology
I certify that I have read this study and that in my opinion
it conforms to acceptable standards of scholarly presentation
and is fully adequate, in scope and quality, as a thesis for the
degree of Doctor of Philosophy.
Richard Swanson'
Professor of Psychology
I certify that I have read this
it conforms to acceptable standards
and is fully adequate, in scope and
degree of Doctor of Philosophy.
study and that in my opinion
of scholarly presentation
quality, as a thesis for the
Professor Emeritus
Psychology
of Clinical
I certify that I have read this study and that in my opinion
it conforms to acceptable standards of scholarly presentation
and is fully adequate, in scope and quality, as a thesis for the
degree of Doctor of Philosophy.
Walter Cunningham*
Associate Professor of Psychology

I certify that I have read this study and that in my opinion
it conforms to acceptable standards of scholarly presentation
and is fully adequate, in scope and quality, as a thesis for the
degree of Doctor of Philosophy.
ÓjuLlLsuJL
Michael Radelet
Assistant Professor of Sociology
This dissertation was submitted to the Graduate Faculty of the
College of Health Related Professions and to the Graduate Council,
and was accepted as partial fulfillment of the requirements for
the degree of Doctor of Philosophy.
August 1983
Dean, College of Health Related
Professions
Dean for Graduate Studies and Research

UNIVERSITY OF FLORIDA
3 1262 08554 1232


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-153-
Brumfield, S. H. "Does the student personnel profession have a
future?" Southern College Personnel Associations Journal, 1979, 2, 33-38.
Cameron, A. R. "An analysis of the interests, educational
preparation, and vocational background of student personnel
deans." NASPA Journal, 1964, 2, 13-14.
Canon, Harry. "Toward professionalism in student affairs: Another
point of view." Journal of College Student Personnel, 1982, 23, 468-473.
Caple, R. B. "Molar model for the training of student personnel
workers." Counselor Education and Supervision, 1972, 12, 31-46.
Carnegie Commission on Higher Education. The purposes and
performances of higher education in the United States. New York: McGraw-Hill, 1973.
Cooper, A. C. "A proposal for professional preparation of the college
development educator." Report from the Commission of Professional Development, Council of Student Personnel Administrators in Higher Education, 1971.
Cooper, A.C. (Ed.) Student development services in higher education. Statement prepared by the Commission on Professional Development of the Council of Student Personnel Associations in Higher Education, 1972.
Cosby, B. "Professional preparation for student personnel work in
higher education." Journal of the National Association for Women
Deans and Counselors, 1965, 29, 14-18.
Council of Student Personnel Associations in Higher Education. "COSPA
proposal for college student personnel professional preparation." NASPA Journal, 1965, 3, 45-47.
Council of Student Personnel Associations in Higher Education.
"Guidelines for graduate programs in preparation of student personnel workers in higher education." Personnel and Guidance Journal, 1969, 47, 493-498.
Council of Student Personnel Associations in Higher Education. "A
student development point of view of education." Journal of College Student Personnel, 1970, 11, 474-475.
Council of Student Personnel Associations in Higher Education.
"Student development services in post secondary education." Journal of College Student Personnel, 1974, 15, 74-78.
^^^^^
' Council of Student Personnel Associations in Higher Education.
"Student development services in post secondary education." Journal of College Student Personnel, 1975, 16, 524-528.


-160-
Rhatigan, J, J. "Student services vs. student development: Is there
a difference?" Journal of the National Association of Women Deans
and Counselors, 1975, 38, 51-59.
Riker, H. C. "Learning by doing. In G. H. Knock (Ed.),
Perspectives on the preparation of student affairs professionals.
ent personnel Series, no, 22". Washington, D. C. : American College Personnel Association, 1977.
Robinson, D. W. "An analysis of three statements relative to the
preparation of college student personnel workers." Journal of College Student Personnel 1966, 7, 254-256.
Rockey, M. C. Doctoral preparation programs in selective universities
in the United States (Doctoral dissertation, Michigan State University 1972). Dissertation Abstracts International, 1973, 33, 6135A. (University Microfilms No. 73-12809)
Rodgers, R. F. "Student personnel work as social intervention." In
G. H. Knock (Ed.), Perspectives on the preparation of student
affairs professionals. Student Personnel Series no. 227 Washington, D.C.: American College Personnel Association, 1977.
Saddlemire, G. "Of men personnel administrators in colleges and
universities." Occupations, 1950, 29, 190-193.
Sandeen, C. A. "Professional preparation programs in student personnel services in higher education: A national assessment by chief student affairs officers." NASPA Journal, 1982, 20, 51-58.
Shaffer, R. "An emerging role of student personnelcontributing to
organizational effectiveness. "Journal of College Student Person-nel, 1973, 14, 386-391.
Shaffer, R., and Martinson, W. Student personnel services in higher
education. New York: The Center for Applied Research In Education, Inc., 1966.
Shoeben, E. J., Jr. "Psychology and student personnel work."
Journal of College Student Personnel, 1967, 8, 239-245.
Southern States Cooperative Program in Educational Administration.
Better teaching in school administration. A competency approach to improving institutional preparation programs in educational administration'. Nashville, Tenn. : Author, 1955.
Spooner, S. "Preparing the student development specialist: The
process-outcome model applied." Journal of College Student Personnel, 1979, 20, 45-53.


108
32. Manage physical resources, and facilities
33. Adjudicate student conduct matters effectively
The study received formal endorsement from the Vice President for Student Affairs at the University of Florida and from the Research and Information Committee of the Association of College and University Housing Officers International (ACUHO-I). A letter from the Vice President accompanied each copy of the instrument. A letter from the chair the Research and Information Committee at ACUHO-I accompanied those instruments sent to DOHs.
Initial distribution of the instrument was accomplished through the mail on May 17, 1983. A response deadline of May 30 was indicated in the cover letter.
A follow-up procedure was initiated on June 13, 1983 with FTs who had not responded to the initial distribution. A post card was sent to all previously non-responding FTs identifying a response deadline of June 23, 1983.
Upon conclusion of the second follow-up procedure a breakdown of the rate of return indicated that 75 of 162 (46.3%) FTs, representing 59% of the preparation programs; 94 of 141 (66.7%) DOHS; and 91 of 150 (60.7%) CSAOs returned usable instruments. The data obtained from the responses were analyzed using the Statistical Analysis System (SAS), an integrated computer system for data analysis. In analyzing the data collected for this study, three SAS procedures were used. A frequencies procedure was used to determine percentage of responses to questions in Part I of the instrument. The BMDP program, analysis of variance for repeated


-40-
move toward a competency based, module model in lieu of more traditional offerings.
Competency assessment has represented an approach that evaluates performances, judges ability, and measures what can be demonstrated (Goldsmith, 1979), New ways of identifying and measuring competencies are needed to assure that the ability to perform competently is the ultimate goal. The primary concern should be given to the assessment and evaluation of professional performance outcomes (Pottinger, 1979).
Delworth and Yarris (1978) observed that more skills and competencies are required in the student services profession and that this must be addressed by those who aspire as trainers.
Practitioners and preparation program faculty through the direct and long term co-sponsorship of the profession's major and specialty associations, need to conduct joint research to determine needed and desired skills and competencies at all levels in the profession (Domeier, 1977). Once agreed on, through the medium of association-sponsored conferences, a vigorous and sustained dissemination and promulgation campaign should be undertaken to effect their acceptance and exercise in hiring, practicing performance objectives, and as instructional objectives in professional preparation programs (Knock, 1979; as cited in Stamatakos, 1981).
Chapter Summary This chapter contained a review of the literature related to the development of student personnel as a profession, the development of


TABLE 39 Continued
V. Environmental and Organizational
Management Competencies
Duncan Grouping
Mean
N
Group Duncan Grouping Mean
N
Group
31. Select, Train, and Supervise Staff
A A
3.000
85
DOH
A
3.741 85
DOH
32. Manage Physical Resources and Facilities
B
B
B
A
2.892
2.735
2.754
65
83
65
FT
CSAO
FT
B B
B
3.339 65
3.337 83
FT
CSAO
I
4^ i
A
B A
2.578
83
CSAO
B
2.412
85
DOH
33. Adjudicate Student Conduct Effectively
3.341 85
DOH
A
A
3.337 83
CSAO
B
3.123 65
FT


26-
Student Development
The literature has offered evidence of the perceived need for student personnel to direct attention to more academic and curricular concerns (Wise, 1951; Nash, Saurman and Sousa, 1975; Miller and Prince, 1976; Jones, 1978). This need has been included as part of an overall move away from an emphasis on services and increased attention on the development of students. This transition has assumed a prevailing "service status" view of student personnel administration that must move more in the direction of a preventive, proactive, collaborative role, consistent with the student development philosophy. Hanson and Lenning (1979) acknowledged that this student development concept for higher education received strong historical support from the "Student Personnel Point of View" (American Council of Education, 1937, 1949) which urged attention to the development of the "whole" student. Hanson and Lenning (1979) believed that student development focused more on issues of attitude, moral, and value development in assisting students in the acquisition of developmental skills. Brown (1972) viewed a role change for student development staff as diagnosticians, consultants, programmers, instructors, behavioral scientists, and researchers. Crookston (1976) believed that student personnel as historically defined was no longer a viable concept and that student development should be used to describe more accurately the underlying philosophy of the field. Crookston (1972) indicated that staff needed to adjust from a status-based relationship with students to a relationship based on competency and collaboration. Cross (Note 1) stressed that if the field was to make substantial


TABLE 33
GENERAL LINEAR MODELS PROCEDURE MULTIVARIATE ANALYSIS OF VARIANCE OF COMPETENCIES IN CATEGORY OF ASSESSMENT AND EVALUATION
FOR FTs (n=65), AND DOHs (n=85) CSAOs (n=83) DF = 2,230 ALPHA = 0.05
POSSESSION
IMPORTANCE
IV. Assessment and Evaluation Competencies F-Value
P>F
Implication
F-Value
P>F
Implication
15. Assess Student Needs
13.10
.0001
Significant
.66
5175
N.S.
16. Analyze and Interpret Requests
8.31
.0003
Significant
1.21
3010
N.S.
17. Design Student Programs Needs
18. Interpret .
19. Identify .
Evaluation Strategies Evaluation Strategies
9.64
9.40
10.91
.0001
.0001
.0001
Significant Significant Significant
1.13
2.14
2.01
3260
1195
1361
N.S. N.S. N.S.
I
I
20. Design Program
Evaluate Staff
2.52
.0827
N.S.
3.22
0417
Significant
21. Revise Programs Evaluation Data
5.12
.0067
Significant
.23
7979
N.S.
22. Recognize Interpersonal Problems
9.08
.0002
Significant
.77
4643
N.S.
Note. DF = Degrees of Freedom
NS means not significant at .05 alpha level


TABLE 8 Continued
a b C
FT DOH CSAO
CATEGORY/COMPETENCY MEAN SD MEAN SD MEAN SD
30. Recognize and Accept the Ethical
Consequences of Personal and
Professional Behavior 3.562 .601 2.783 .708 3.011 .548
31. Select, Train, and Supervise
Staff 2.853 .692 3.022 .534 2.703 .691
32. Manage Physical Resources and
Facilities 2.733 .664 2.424 .667 2.549 .654
33. Adjudicate Student Conduct
Effectively 2.707 .610 2.804 .579 2.670 .597
a be n=75 n=94 n=91


TABLE 31
GENERAL LINEAR MODELS PROCEDURE MULTIVARIATE ANALYSIS OF VARIANCE OF COMPETENCIES IN CATEGORY OF CONSULTATION
FOR FTs (n=65), AND DOHs (n=85) CSAOs (n=83) DF = 2,230 ALPHA = 0.05
POSSESSION
IMPORTANCE
II. Consultation Competencies
F-Value
Implication
F-Value
P>F
Implication
5. Recognize and Use Expertise of Others
15.89
0001
Significant
3.00
.0519
N.S.
6. Facilitate Group Problems Making
Decision
24.97
7. Facilitate Staff Development Training
8.80
0001
0002
Significant
Significant
1.18
6.15
.3079
0025
N.S.
Significant
i
LTl i
8. Work Effectively Faculty
. Students and
14.15
0001
Significant
4.75
0096
Significant
NOTE: DF = Degrees of Freedom
N.S. means not significant at .05 alpha level


TABLE 29
MEAN SCORES FOR GROUPS BY COMPETENCY FOR VARIABLES OF POSSESSION AND IMPORTANCE
FTs3
DOHsb CSAOs
COMPETENCY
POSSESSION IMPORTANCE POSSESSION IMPORTANCE POSSESSION IMPORTANCE
1. Write Behavioral Objectives
2.877
2.923
2.624
3.094
2.795
3.000
2. Identify and Articulate
Policies to Students
3.292
3.631
2.812
3.435
2.759
3.554
3. Teach Students Behavior
3.369
3.585
2.941
3.777
3.012
3.723
4. Engage in Systematic Planning
3.062
3.462
2.482
3.424
2.651
3.361

5. Recognize and Use Expertise of Others
6. Facilitate Group Problem .
Decision Making
3.462
3.415
3.600
3.539
2.941
2.835
3.424
3.447
3.096
2.831
3.423
3.398
7. Facilitate Staff Development
Training
3.123
3.446
2.894
3.494
2.663
3.193
8. Work Effectively Students and
Faculty
3.415
3.800
2.882
3.577
2.952
3.723
9. Analyze and Write Memos and Reports
2.892
3.292
2.424
3.377
2.602
3.518
10. Make effective Use Presentations 3.354
3.677
2.835
3.471
2.855
3.458
11. Perceive Interpret
. of Others
3.200
3.600
2.765
3.494
2.783
3.554
12. Represent Student Concerns to .
Groups
13. Recognize Confidentiality .
3.077
3.354
2.847
3.047
2.880
3.422
Procedures
3.354
3.523
2.929
3.459
3.024
3.482


TABLE 4
MEAN SCORES AND STANDARD DEVIATIONS FOR FACULTY (FTs), DIRECTORS OF HOUSING (DOHs) AND CHIEF STUDENT AFFAIRS OFFICERS (CSAOs)
ON EXTENT OF AGREEMENT WITH POSSESSION OF COMPETENCIES IN THE
CATEGORY OF GOAL SETTING
FT
DOH
CSAO
CATEGORY/COMPETENCY
MEAN
SD
MEAN
SD
MEAN
SD
I Goal Setting
3.117
.460
2.750
424
2.782
.417
]. Write Goals and Objectives
2.867
.722
2.691
640
2.756
.641
2. Identify and Articulate
Institution's goals and policies
to students
3.253
680
2.830
580
2.733
667
3. Teach students to deal with the
consequences of their behavior
3.311
661
2.947
628
3.000
558
4. Engage in systematic planning
3.040
667
2.532
683
2.648
621
n=75 n=94
c
n=91


107
11. Perceive and accurately interpret attitudes, beliefs, and
needs of others.
12. Represent student concerns to other campus groups.
13. Recognize and define confidentiality practices and
procedures.
14. Determining usage of office management procedures
(i.e. secretarial services, business machine separation, print and non print media)
IV. Assessment and Evaluation
15. Assess student needs
16. Analyze and interpret program needs and requests.
17. Design student programs based on student needs.
18. Interpret and understand various evaluation
strategies.
19. Identify and understand various evaluation strategies.
20. Design and implement a program to evaluate staff.
21. Revise programs on the basis of evaluation data.
22. Recognize and analyze interpersonal problems. V. Environmental and Organizational Management
23. Develop and administer a budget
24. Organize resources (people, material) to carry out
program activities
25. Understand institutional mission, objectives, and
expectation
26. Know and utilize effective decision-making strategies
27. Accept authority and responsibility and delegate as
appropriate
28. Identify and utilize available financial resources
29. Mediate conflict among students, campus, and/or
community groups
30. Recognize and accept the ethical consequences of
personal and professional behavior
31. Select, train, and supervise staff


APPENDIX A RESEARCH INSTRUMENT FOR FACULTY


I certify that I have read this study and that in my opinion it conforms to acceptable standards of scholarly presentation and is fully adequate, in scope and quality, as a dissertation for the degree of Doctor of Philosophy.
JS__
C. Arthur Sandeen, Chairman Professor of Educational Administration and Supervision
I certify that I have read this study and that in my opinion it conforms to acceptable standards of scholarly presentation and is fully adequate, in scope and quality, as a dissertation for the degree of Doctor of Philosophy.
Wattenbarger of Educational and Supervision
nistration
I certify that I have read this study and that in my opinion it conforms to acceptable standards of scholarly presentation and is fully adequate, in scope and quality, as a dissertation for the degree of Doctor of Philosophy.
Professor of Instructional Leadership
This dissertation was submitted to the Graduate Faculty of the Department of Educational Administration and Supervision in the College of Education and to the Graduate Council, and was accepted as partial fulfillment of the requirements for the degree of Doctor of Philosophy.
December, 1983
Dean for Graduate Studies and Research


CHAPTER II REVIEW OF THE LITERATURE
This chapter will provide an overview of the literature as it pertains to professional preparation for student affairs administration. Three general areas will be reviewed: student personnel as an emerging profession, development of student personnel preparation programs, and development of competencies for student affairs professionals.
Student Personnel as an Emerging Profession Historical Role in Higher Education
The development of student personnel work has been well documented in the literature (Leonard, 1956; Cowley, 1949; Mueller, 1961; Ayers, Tripp, and Russel, 1966; Shaffer and Martinson, 1966; Apple-ton, Briggs, and Rhatigan, 1978). Dating back to the founding of Harvard College in 1636 a similar theme was observed; higher education was privately controlled and maintained a strong religious emphasis. Until about 1862 presidents and faculty engaged in an exaggerated type of student services, concerning themselves primarily with the deportment of the students, in assuring pious attitudes and diligence in academic pursuits. The most pressing service need was the provision of housing. One of the chief purposes in the
-17-


ASSOCIATION OF COLLEGE AND UNIVERSITY HOUSING OFFICERS
INTERNATIONAL
EXECUTIVE BOARD 1982-83
PRESIDENT
WILLIAM P. PALEEN Director of Residence Life 2117 North Balch Hall Cornell University Ithaca. NY 14853 Ph (607) 256-5511
1st VICE-PRESIDENT
ANNETTE K. SMITH Assistant Director for Food Service G-18 Towers West Virginia University Morgantown. West Virginia 26506 Ph (304) 293-2096
2nd VICE-PRESIDENT
JAMES C. GRIMM Director of Housing Housing Office University of Florida Gainesville. Florida 32611 Ph (904)392-2173
SECRETARY:
JAMES J. GRUBS Oirector of Residence Halls 405 Student Services Building University of Tennessee Knoxviile, Tennessee 37916 Ph (615)974-2571
TREASURER:
CARMEN L VANCE
Director of Residential Lifeu-22 University of Connecticut Storrs. Connecticut 06266 Ph (203) 486-3030
PAST PRESIDENT:
GARY B. NORTH Assistant Vice Chancellor and Director of Housing University of Illinois 1203 South Fourth Street 200 Clerk Hall Champaign. Illinois 61820 Ph (217)333-0610
MEMBERS-AT-LARGE
JUOY E, SPAIN
Director of Residence Hails University of Wisconsin-Stout Menomonie. Wisconsin 54751 Ph (715) 232-2131
MICHAEL B. HOCTOR
Director. Housing and Residential Life
San Diego State University
5300 Campanile Drive
San Diego. California 92182
Ph (714) 265-5742
PUBLICATIONS COORDINATOR/ NEWSMAGAZINE EDITOR
ROBERT P. COOKE Director of Housing Box 7666
University of Texas Austin. Texas 78712 Ph (512)471-3136
INTERNATIONAL
May 2, 1983
Dear Colleague:
Accompanying this letter you will find a survey form which we
are requesting that you complete for the purpose of gathering information and sharing it with the ACUHO-I membership.
This survey is being conducted by Randy Hyman, a member of the
professional housing staff at the University of Florida. Randy
is doing his dissertation on a topic that we in the housing
profession have discussed many times: Are the student personnel programs preparing our entry level staff in the competencies we
need? As the discussion of standards for our profession progresses, it would be to our advantage to know how you feel about the competencies of our entry level staff.
We would appreciate your help in completing this survey for
Randy and for ACUHO-I. The results will be published, as well
as forwarded directly to those who participate. Also, Randy's finished dissertation will be on file with ACUHO-I's R & I Committee. Randy.
Any questions on the survey should be directed to
Thank you for your assistance in helping to ensure that this project will be part of ACUHO-I information resources.
Sincerely,
Paul K. Jahr, Chair Research and Information Committee
Asst. Director of Housing/Residence Life Southern Illinois University-Carbondale Carbondale, IL
62901
(678) 536-5504
THIRTY-FIFTH ANNUAL CONFERENCE UNIVERSITY OF WASHINGTON JULY 17-21, 1983
126


The data in this section have been presented in order to satisfy the requirements of these research questions in determining 1) whether differences exist among the three group for the extent of each group's agreement that recent master's graduates actually possess the competencies and 2) to determine whether differences exist among the three research groups for the extent to which each group perceives each competency to be important for assuming an entry level staff position.
A total of 260 respondents from all three groups provided the data base for this study. For purposes of analyzing the data to determine if significant differences existed among the three groups by each of the five categories on the research instrument, the General Linear Model (GLM) Procedure of the Statistical Analysis System (SAS) for Multivariate Analysis of Variance (MANOVA) was used. Significance was determined in this study at alpha = .05. Of the 260 useable instruments in this study, 27 had at least one missing value, meaning that they left a blank for a response to possession or importance on a given competency. For analysis by category, the GLM procedure for MANOVA takes the mean of the other competencies in the category with the missing value and substitutes that mean for the missing value for purposes of computing the overall mean for that category for that respondent. The GLM-MANOVA for analyzing the differences among groups for possession and importance by category could be done using all 260 responses. The GLM-MANOVA test to determine existence of differences by competency could only use responses with no missing values. A total of 233 responses were used, diminishing the useable response sample for each group by approximately 10%.


TABLE 8
MEAN SCORES AND STANDARD DEVIATIONS FOR FACULTY (FTs), DIRECTORS OF HOUSING (DOHs) AND CHIEF STUDENT AFFAIRS OFFICERS (CSAOs)
ON EXTENT OF AGREEMENT WITH POSSESSION OF COMPETENCIES IN THE CATEGORY OF ENVIRONMENTAL AND ORGANIZATION MANAGEMENT
a b C
FT DOH CSAO
CATEGORY/COMPETENCY
MEAN
SD
MEAN
SD
MEAN
SD
V. Environmental and Organizational
Management
2.934
.441
2.630
.431
2.667
.400
23. Develop and Administer a Budget
2.507
.742
1.925
.797
2.187
.698
24. Organize Resources (People,
Material) to carry out Program
Activities
3.120
569
2.787
602
2.824
i
I
589
25. Understand Institutional Mission,
Objectives, Expectations
3.013
668
2.500
684
2.615
628
26. Know and Utilize Effective
Decision-Making Strategies
3.095
528
2.649
617
2.670
633
27. Accept Authority and Responsibilities and Delegate as
Appropriate
3.014
712
2.670
753
2.802
6
til
28. Identify and Utilize Available
Financial Resources
2.712
754
2.393
736
2.495
721
29. Mediate Conflict Among Students,
Campus, and/or Community Groups
3.000
667
2.902
.575
2.813
536
a
n=75
b
n=94
n=91


CHAPTER I DESCRIPTION OF THE STUDY
Introduction
Professional preparation for individuals seeking a career in student affairs administration has been a subject of much concern among professional associations, faculty trainers, and student affairs practitioners. Traditionally it was assumed that people who became personnel administrators came from the teaching ranks (Hill and Green, 1960). Counseling was the primary, if not only, component of formal training. Recent studies on the issue of preparation have concluded that professional, academic preparation in student personnel administration was critically important for a career in the student affairs field (Rhatigan, 1968; Newton and Richardson, 1976; Minetti, 1977; Miller and Carpenter, 1980; Delworth and Hanson, 1980; Stamatakos, 1980). The need has been acknowledged for a broad-based foundation of academic preparation in particular core areas including study in psychology, culture and change; philosophy, finance, planning, and curriculum in higher education; counselling; ethics; and a supervised work experience (Trueblood, 1966, pp. 82-83 as cited in Minetti, 1977, p. 5).
Expansion of the student population in higher education beginning in the early 1900's placed increased demands on student affairs administrators to address the multiple needs of this new


TABLE 36 Continued
IMPORTANCE
POSSESSION
II. Consultation Competencies
Duncan Grouping
Mean
N
Group
8. Work Effectively Students and Faculty
A
3.415
65
FT
Duncan Grouping
A
Mean N Group
3.800
65 FT
A
B
2.952
83
CSAO
A
3.723
83 CSAO
B
2.882
85
DOH
B
3.577
85 DOH
NOTE: Means with the same letter are not significantly different
DF = Degrees of Freedom


AN ASSESSMENT OF STUDENT AFFAIRS PREPARATION PROGRAMS IN RELATION TO SPECIFIED PROFESSIONAL COMPETENCIES
MAY 1983
The purpose of this study is to determine if student personnel preparation programs educate for the development of entry level professional competencies and to determine the relative importance of each competency in assuming an entry level staff position.
For the purpose of this study the following definitions have been provided.
Student personnel work within a post secondary education institution which is concerned with both the educational and personal development of students in primarily non-classroom activities and the administration of services which support and complement the formal academic process.
Student affairs the field identified by a division within a post secondary education institution concerned with the provision of services and programs which complement and supplement the academic mission of higher education institutions.
Entry position a position requiring a master's degree from a professional preparation program in student affairs. Staff in such positions assist in the development and administration of programs and services for students.
Competencies abilities, skills, knowledge, and attitudes which permit an individual to carry out jod expectations in an acceptable manner. PART I. EMPLOYMENT. ANO OLOGRAPHIC INFORMATION
Answer items i through 7 and items 10 through 14 by CIRCLING THE LETTER of the appropriate responseis)
1 .
TYPE OF INSTITUTION WHERE YOU ARE CURRENTLY EMPLOYED.
a. public
b. private
2.
NUMBER OF STUDENTS ENROLLED AT YOUR INSTITUTION. d. 15.000 20.000
a. under 5000 e over 20.i
b. 5000 9999 C. 10.000 14.999
tin
LENGTH OF TIME IN YOUR CURRENT POSITION
a. less than 5 years
b. 5 10 years c 11 15 years
d more than 15 years
LENGTH OF TIME PROFESSIONALLY EMPLOYED IN STUOENT AFFAIRS/HIGHER EDUCATION
a. less than 5 years
b. 5 10 years
c. 11 15 years
d. more than 15 years
YOUR CURRENT AGE
a 25 35 years
b. 36 45 years
c. 46 55 years
d over 55 years
YOUR HIGHEST EARNED DEGREE.
a. bachelor's
b. master's
c. specialist
d. doctorate
e. other_
7 Do you have an advanced degree (master's and/or doctorate) in a field related to higher education (eg educational administration, counseling, student personnel)7
MASTER'S
a. yes 0. no
0OCT0RATE
a. yes b. no
OTHER DEGREE
a. yes b. no
8. If you have an advanced degree (master's and /or doctorate) in a field unrelated to higher education, please indicate the fieid(s of your degree(s) MASTER'S_DOCTORATE_OTHER DEGREE_
9. From what mstitution(s) did you earn advanced degrees (if any)? MASTER'S__00CT0RATE _
OTHER DEGREE
10
Since you have been employed in your current pro
lessionai capacity how many students have graduated from your academic program with a
Master's degree? (CIRCLE YOUR RESPONSE).
a. less than 10 b 10 than 50
20 c 21 50 d more
11
Are you currently serving in an administrative capacity in student affairs or academic affairs? (CIRCLE YOUR RESPONSE)
a yes b. no
12
If you are not currently serving in an administrative capacity in student affairs or academic affairs have you ever served in an administrative capacity in student affairs or academic affairs? (CIRCLE YOUR RESPONSE).
a. yes b. no
13. >f you are currently serving or at one time served in an administrative capacity in student affairs or academic affairs please CIRCLE ALL areas in which you have worked
a. residence halls/housing
b. student activities/unions
c. financial aid
a. counseling center
e. career planning/placement
f. dean of students office
g. chief student affairs officer
h. college level academic officer
i. academic deoartment head
j. chief academic affairs officer
14. indicate the professional associations in which you hold membership (CIRCLE ALL THAT APPLY)
a. American College Personnel Association (ACPA)
b. Association of College and University Housing Officers (ACUHO)
c. National Association of Studen; Personnel Administrators (NASPA)
d. National Association of Women Dears. Administrators, and Counselors (NAWDAC)
e. Other (please specify)_
Return by Mey 27. 1983 to Randy Hymn. P.O. Box 15208. Gainesville. FL 32604
-117-


AN ASSESSMENT OF STUOENT AFFAIRS PREPARATION PROGRAMS IN RELATION TO SPECIFIED PROFESSIONAL COMPETENCIES
MAY 1983
The purpose of this study is to determine if student personnel preparation programs educate for the development of entry level professional competencies and to determine the relative importance of each competency in assuming an entry level staff position.
For the purpose of this study the following definitions have Peon provided.
Student personnel work within a post secondary education institution which is concerned with both the educational and personal development of students in primarily non-classroom activities and the administration ot services wmch support and complement the formal academic process.
Student affairs the field identified by a division within a post secondary education institution concerned with the provision of services and programs which complement and supplement the academic mission of higher education institutions.
Entry level position a position requiring a master's degree from a professional preparation program in student affairs. Staff in such positions assist in the development and administration of programs and services for students.
Competencies abilities, skills, knowledge, and attitudes which permit an individual to carry out job expectations in an acceptable manner PART I. EMPLOYMENT. INSTITUTIONAL. ANO DEMOGRAPHIC INFORMATION
Answer items 1 through 7 and items 10 through 12 by CIRCLING THE LETTER ot the appropriate response(s).
1 .
TYPE OF INSTITUTION WHERE YOU ARE CURRENTLY EMPLOYED.
a. public
b. private
2.
NUMBER OF STUDENTS ENROLLED AT YOUR INSTITUTION.
a. under 5000 d. 15.000 20.000
b 5000 9999 e over 20.000
c. 10.000 14.999
LENGTH OF TIME AT YOUR CURRENT POSITION LEVEL
a. less than 5 years
b. 5 10 years
c. 11 15 years
d. more than 15 years
YOUR CURRENT AGE.
a. 25 35 years
b. 36 45 years
c. 46 55 years
d. over 55 years
4.
LENGTH OF TIME PROFESSIONALLY EMPLOYED IN STUOENT AFFAIRS/HIGHER EDUCATION.
a. less than 5 years
b. 5 10 years
c. 11 15 years
d. more than 15 years
YOUR HIGHEST EARNED DEGREE.
a. bachelor's
b. master's
c. specialist
d. doctorate
e. other_
7. Do you have an advanced degree (master's and/or doctorate) in a field related to higher education (e.g. educational administration, counseling, student personnel)9
MASTER'S
a. yes b. no
00CT0RATE
a. yes b. no
OTHER OEGREE
a. yes b. no
8. If you have an advanced degree (masters and/or doctorate) in a field unrelated to higher education, please indicate the field(s) of your degree(s)
MASTER'S
ICTORATE
OTHER OEGREE
9. From what mstitution(s) did you earn your advanceo degress (if any)
MASTER'S
DOCTORATE
OTHER OEGREE
10. Since you have boon employed at your current position level at a post secondary institution how many of your professional staff (master's or higher) have been nired in their first professional student affairs |0b7 .Note: your professional staff means not merely those staff who report directly to you but refers to all staff who ultimately fall under you' span of responsibility) CIRCLE YOUR RESPONSE
a. less than 5 b. 5 10 c. 11 20 d. more than 20
11. Of the number of your professional staff ifrom question 10) hired in their first professional student affairs joD. how many have had an advanced degree (master's) in a related field of higher education (educational administration, counseling, student personnel)7
(CIRCLE YOUR RESPONSE).
a. less than 5 b. 5 10 c. 11 20 d. more than 20 12. indicate which professional associations in which you hold membership. (CIRCLE ALL THAT APPLY)
a. American College Personnel Association (ACPA)
b. Association of College and University Housing Officers (ACUHO)
c. National Association of Student Personnel Administrators (NASPA)
d. National Association of Women Deans. Administrators, and Counselors (NAWDAC)
e. Other (please spoafy)_
Please return by May 27. 1983 to Randy Hymen. P.O. Bos 15208. Gainesville. Fl 32604
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APPENDIX B
RESEARCH INSTRUMENT FOR DIRECTORS OF HOUSING AND
CHIEF STUDENT AFFAIRS OFFICERS


TABLE 11
MEAN SCORES AND STANDARD DEVIATIONS FOR FACULTY (FTs), DIRECTORS OF HOUSING (DOHs) AND CHIEF STUDENT AFFAIRS OFFICERS (CSAOs) ON EXTENT OF IMPORTANCE OF COMPETENCIES IN THE CATEGORY OF COMMUNICATION
a b C
FT DOH CSAO
CATEGORY/COMPETENCY MEAN SD MEAN SD MEAN SD
III. Communication 3.341 .389 3.287 .366 3.412 .339
9. Analyze and Write Memos
and Reports 3.270 .746 3.351 .599 3.538 .544
10. Make Effective Use of Verbal and Non-Verbal Skills in Group
Presentations 3.640 .510 3.479 .563 3.484 .503
11. Perceive and Accurately Interpret Attitudes, Beliefs and
Needs of Others 3.560 .526 3.489 .524 3.560 .499
12. Represent Student Concerns to
Other Campus Groups 3.284 .652 3.032 .613 3.396 .555
13. Recognize and Define Confidentiality Practices and
Procedures 3.507 .578 3.462 .563 3.467 .545
14. Determining Usage of Office
Management Procedures 2.795 .645 2.914 .620 2.977 .573
an=75 b n=94 c n=91


62
University (7), Michigan State (5), Ohio State (4), Teacher's College, Columbia (4), Florida State (3), and University of Iowa (3) named most often. CSAOs identified 51 different institutions where the group earned master's degrees. Southern Illinois University (6), Michigan State (6), Syracuse University (4), and Indiana University (4) were named most often. CSAOs identified 36 different institutions where the group reported earning doctoral degrees. Indiana University (8), Michigan State (6), Ohio State (3), and Florida State (3) were named most often. DOHs identified 63 different institutions where the group reported earning master's degrees. Indiana University -(10) and Michigan State (7) were the only institutions named by more than two DOHs. DOHs, as a group, reported the smallest number having earned a doctorate (34). Of that number, 22 institutions were identified by the group as the degree granting institution. Indiana University (5) and Michigan State (5) were the only institutions named by more than two DOHs.
Membership in professional associations was reviewed for the total population. It is indicated in Table 1 that the largest number of respondents (69.2%) reported membership in the National Association of Student Personnel Administrators (NASPA), followed by membership in
American College Personnel Association (ACPA) (56.9%). A large number of respondents (43.5%) reported membership in professional associations other than those identified on the research instrument.
The two practitioner groups in the population (DOHs and CSAOs) were asked to respond to two specific questions. Their responses to


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The population in this study reported much variation in the size of respective employing institutions. No clear majority of the population worked in a particular size institution with respect to enrollment although, the largest number (31.9%) worked in institutions with enrollments over 20,000 students. Again, there were differences among the groups with respect to enrollment at employing institutions. A majority of FTs (45.3%) reported employment at institutions with over 20,000 enrolled students. More DOHs (37.2%) worked at large institutions of over 20,000 students, but their numbers were more equally spread among the other size ranges with the exception of the under 5000 category. No DOHs reported employment in institutions of that size, not surprising given the fact that all DOHs in the population directed programs which housed 3000 or more students on campus. The largest number of CSAOs (38.5%) reported employment at institutions with enrollment under 5000.
The largest number of the total population (37.8%) reported that they had been employed at their current position level for less than five years. Variations among the groups revealed that a large number of FTs (33.3%) had worked at their current level for over 15 years with the next largest group of FTs (29.3%) reporting employment at their current level for 11-15 years. Both practitioner groups differed with FTs. The majority of DOHs (54.3%) reported employment at their current level for less than five years. The greatest number of CSAOs have worked at their current level either for less than five years (37.8%) or from 5-10 years (32.2%).


-51-
and obtained a letter of support and endorsement from the Research and Information Committee of the Association of College and University Housing Officers International (ACUHO-I). Both endorsement letters expressed recognition and support of this study and encouraged the respondents to promptly complete and return the questionnaire. The ACUHO-I endorsement letter accompanied only instruments sent to the sample of DOHs.
Administration of the Instrument
Initial distribution of the instrument was accomplished through a mailout. Each of the 453 potential respondents, representing CSAOs, DOHs, and FTs, received a cover letter indicating the purpose of the study, endorsement letters apprppriate to the respective sample, and the two-part questionaire. The cover letter was reproduced on official stationery of the University of Florida student affairs division in order to lend additional credibility to the study (See Appendix). The cover letter outlined the primary purpose of the study, defined specific terms used in the investigation, and requested that the recipient complete and return the questionaire via the self addressed, prepaid postage envelope included in each mailout. The cover letter requested return of the questionaire within two weeks and provided assurances of confidentiality in all aspects of the investigation.
Feedback received from the pilot test had enabled the researcher to design an instrument package to enhance recipient understanding as well as encourage a high response rate. The instruments were numbered 1 through 453 for follow-up purposes.
A follow-up post card urging recipient participation in and support for the study was sent two weeks after the first mailout to


164
Mr. Hyman met his wife, Robi, while working at the University of South Florida in Tampa. They were married in June of 1978 and have a son, Drew, born in February, 1982. Mrs. Hyman has been employed, since 1979 as a special education teacher with the Alachua County School Board. The Hymans currently reside in Gainesville, Florida.


-68-
The extent to which each group agreed with the statement for each category and competency provided the measure to determine the extent to which each group perceived recent master's graduates to be in possession of the competencies. Mean scores and standard deviations for each category and competency were reported and examined to determine the extent to which each group agreed with possession of the competencies by recent graduates. Differences between groups regarding the extent of their agreement with possession will be examined later in the study.
I. Goal Setting. Mean scores and standard deviations of faculty (FTs), director's of housing (DOHs) and chief student affairs officers (CSAOs) for extent of agreement with possession of the competencies in the category of goal setting are reported in Table 4. For all groups, the highest mean scores for extent of agreement on possession were for competency No. 3, "teach student to deal with the consequences of their behavior." The lowest FT mean score for extent of agreement on possession was for competency No. 1, "write goals and objectives (2.867). The lowest mean scores for both DOHs (2.532) and CSAOs (2.648) were for extent of agreement on possession of competency No. 4, "engage in systematic planning." Mean scores for extent of agreement with possession for the category of Goal Setting were less than 3.0 for DOHs (2.750) and CSAOs (2.782) indicating a tendency in the direction toward the "disagree" response range on possession of competencies in this category. The mean score for FTs for extent of agreement with possession for the category of goal setting (3.117) indicated a tendency in the direction toward the "agree"


112
competencies. Notice should be taken though, of the fact that the mean scores for each group for every category on importance were over 3.0 on a scale that read 4-essential, 3-important, 2-of little importance, 1-not important. Notice should also be taken that for both practitioner groups (CSAOs and DOHs), mean scores for those groups for every category on possession were below 3.0 on a scale that read "Recent master's degree graduates possess this competency:" 4-agree strongly, 3-agree, 2-disagree, 1-disagree strongly. No significant differences were observed among the groups on extent of importance for any of the five categories. Significant differences were observed among the groups on extent of agreement with possession for all of the five categories.
Conclusion
The modified Tomorrow's High Education (T.H.E.) model used in this study provided a theoretical base upon which quality training expectations for careers in student affairs could be built. Miller and Prince (1976), Domeier (1977), Minetti (1977), Hanson (Note 2), and Delworth and Hanson (1980) identified competencies important for professionals in the student affairs field to possess in order to function effectively in entry level positions. Both possession of these competencies by recent graduates of preparation programs, and the importance of the competencies for effective function in entry level positions were tested in this study. Professionals responsible for the training of new student affairs staff as well as practitioners responsible for hiring, supervising, and evaluating new staff provided their perceptions on the variables of possession and


TABLE 1
DEMOGRAPHIC PROFILE FOR FACULTY (FTs), DIRECTORS OF HOUSING (DOHs),
AND CHIEF STUDENT AFFAIRS OFFICER'S (CSAOs)
CHARACTERISTIC
FTs
DOHs
CSAOs
CUMULATIVE
Institutional Type
Institutional Enrollment
N
Percent
N
Percent
N
Percent
N
Percent
Public
Private
68
7
90.7
9.3
80
14
85.1
14.9
54
37
59.3
40.7
202
58
77.7
22.3
Under 5000
5000 9999
10000 14999
15000 20000
over 20000
4
13
12
12
34
5.3
17.3
16
16
45.3
0
23
21
15
35
24.5
22.3
16
37.2
35
19
12
9
14
38.5 20.9
15.4
9.9
15.4
39
55
47
36
83
15
21.2
18.1
13.9
31.9
Time at Current Position Level
Less than five years 5 10 years 11 15 years
13
15
22
17.3
20
29.3
51
22
16
54.3
23.4
17
34
29
14
37.8
32.2
15.6
98
66
52
37.8
25.5
20.1
more than 15 years
25
33.3
5
5.3
13
14.4
43
16.6


19
11. The view of higher education as a social status phenomenon.
12. Establishment of a true university system.
13. Impact of liberal immigration laws in U.S.
14. Changing roles of students in higher education.
The needs of individual students were identified as the primary focus of student personnel staff. The building of a sound student personnel program called for dedication by both administration and faculty to a philosophy based on all the needs of the individual student (Blaesser, 1945). Such a philosophy according to "The Student Personnel Point of View" was grounded in the support of higher educations basic purposes: the preservation, transmission, and enrichment of culturethe product of scholarship, research, and human experience (American Council of Education, 1937). The task was to assist the student in developing to the limits of his/her potential. In order to do this, the institution had to consider the student as a "whole." The student personnel role was to express awareness of the significance of student life from both individual and group perspectives. The work became an individualized application of the research and clinical findings of psychology, sociology, anthropology, and education to the task of aiding students to develop in a college environment (American Council of Education, 1949). Cowley (1964) observed the three functions of higher education to be core, complementary, and continuity. He concluded that student personnel work was complementary and that its mission was the provision of nonacademic programs and services for students.


-36-
behavioral scientists believed student affairs practitioners were very inadequately trained and that they lacked a thorough understanding of the problems with which they dealt and the effects of their work on students and faculty (Smith, Note 4).
Peterson (1977) offered a thorough summary of the assessed criticisms of student personnel preparation programs.
1. Student personnel education has not been sufficiently
grounded in theory and research.
2. Graduate programs have been too eclectic.
3. Quality of programs is inconsistent.
4. Few student personnel educators have been trained for their
roles.
5. Student personnel educators fail to practice what they
preach.
6. Graduate students have been used as cheap labor (e.g.,
residence halls).
7. Ratio of students to faculty is often inexcusable.
8. Quality of theses and dissertations is below minimum
standards.
A number of studies have been done, assessing graduate preparation programs at particular institutions (Davis, 1956; Broertjes, 1965; Bolton, 1974; Marler, 1977). In assessing the opinions of recent graduates as to the quality and effectiveness of these programs the findings revealed general satisfaction with the programs with recommendation for increased focus on experiential components (practicums and internships). A general profile study by Kuh, Greenlee, and Lardy (1978) supported these findings.


TABLE 39
DUNCAN'S MULTIPLE RANGE TEST FOR OF POSSESSION AND IMPORTANCE OF COMPETENCIES IN THE CATEGORY OF ENVIRONMENTAL AND ORGANIZATIONAL MANAGEMENT
WHOSE SIGNIFICANT DIFFERENCES WERE IDENTIFIED
ALPHA = .05 DF = 230
Environmental and Organizational Possession Importance
V.
Management Competencies_Duncan Grouping
23. Develop and Administer a Budget A
B C
24. Organize Resources Program Activities A
B B
25. Understand Institutional Mission .
Expectation A
B B B
26. Know and Utilize Resources A
B B B
NOTE: Means with the same letter are not significantly different
DF Degree of freedom
Mean_N_Group_Duncan Grouping Mean_N Gro
I 2.539 65 FT A 3.277 83 CSAO
2.169 83 CSAO A 3.185 65 FT
1.894 85 DOH B 2.918 85 DOH
3.139 65 FT
2.819 83 CSAO
2.741 85 DOH
3.000 65 FT A A 3.631 65 FT
2.627 83 CSAO A 3.566 83 CSAO
2.459 85 DOH B 3.271 85 DOH
3.092 65 FT
2.651 83 CSAO
2.588 85 DOH


78
direction toward the "agree" range on possession of competencies in these categories. Mean scores for FTs were below 3.0 for the categories of Assessment and Evaluation (2.930) and Environmental and Organizational Management (2.934) indicating a tendency toward the "disagree" range on possession of competencies in these categories.
Data on Importance of Competencies Another of the four primary objectives of this study was to determine to whether these competencies were important for recent master1 s degree recipients to have acquired prior to assuming an entry level position in the student affairs field. This objective was stated as research question 3.
3. Is it important for recent master's degree graduates of
student personnel preparation programs to have acquired these competencies prior to full time entry into the student affairs field?
The extent to which each of the three groups perceived it important for recent master's graduates of preparation programs to have acquired these competencies was determined by asking each group to indicate the extent to which they believed each competency was important for assuming an entry level staff position. Participants in each of the three groups assessed the extent of importance for each competency according to the following four-point scale:
Importance of the Competency
4 essential (E)
3 important (I)
2 of little importance (LI)
1 not important (N) Mean scores and standard deviations for each category and competency


27
progress and gain the respect of students and academic colleagues it
would have to begin to educate a new generation of student
development specialists.
Some practitioners in the field have regarded the student
development thrust as a passing phenomenon, but have now begun to
view it as a model to justify the presence of student personnel workers
on campuses (Humphries, 1977). Hanson and Lenning (1979) observed
that the Carnegie Commission (1973) claimed that the development of
the whole student was not realistic; that totalism in the campus
approach to students was inconsistent with the mission of higher
education. Student development has been hampered by obstacles of
deep rooted work habits, routines, beliefs, attitudes, and perceptions
of practitioners who have been traditionally trained (Stamatakos,
1980). Others claimed that little recognition has been given to the
fact that student development must be implemented in areas where
students have unwilling contact with the institution, areas such as
student conduct, registrars office, admissions office (Trow, 1978).
Although he acknowledged the datedness of the service concept,
Rhatigan (1975) raised issue with the assumption that much more will
become possible if we move organizationally, directly into the academic
hierarchy. Rhatigan (1975) advocated a broadening of the service
concept and an increased use of the classroom vehicle as a tool for
program delivery.
Shaffer (1973) concluded that in order to remain a significant
force in higher education, the student personnel field must contribute
to the total organizational development of colleges and universities and
not focus exclusively on the development of the individual student.


BIOGRAPHICAL SKETCH
Randy E. Hyman was born on March 26, 1952, in Newark, New York. He was raised in Palmyra, New York, where he graduated from Palmyra-Macedon Central High School in 1970.
Mr. Hyman attended undergraduate school at Buffalo State College in the State University of New York system. He graduated in 1974 with a Bachelor of Science degree in speech pathology and audiology. Upon graduation Mr. Hyman entered graduate school at the University of Vermont where he was awarded a Master of Education degree in college student personnel administration in 1976.
In the summer of 1976, Mr. Hyman accepted a position as a Resident Instructor at the University of South Florida in Tampa, Florida. In that capacity Mr. Hyman was responsible for the supervision of three men's residence halls. He also served as an instructor in the Communicology Department, teaching a course on speech and hearing disorders. Mr. Hyman was promoted to the position of Director of Housing and Food Service for the New College campus of the University of South Florida in 1977.
In 1979, Mr. Hyman accepted an appointment as an Assistant Director of Housing at the University of Florida in Gainesville, Florida, a position he has held to the present time. He entered the doctoral program in educational administration and administration at the University of Florida as a part-time student in 1980.
163


-97-
A significant difference among the three groups on extent of agreement that recent master's graduates of preparation programs possess competencies in the category of Assessment and Evaluation is indicated in Table 24. FTs differed significantly with both DOHs and CSAOs in the extent to which they agree recent graduates of preparation programs possess competencies in the category of Assessment and Evaluation as shown by Duncan's multiple range test in Table 25.
TABLE 25
DUNCAN'S MULTIPLE RANGE TEST FOR POSSESSION OF ASSESSMENT AND EVALUATION
Group N Mean Duncan Grouping
FT 75 2.930 A
DOH 94 2.673 B
B
CSAO 91 2.611 B
Note. Means with the same letter are not significantly different.
Analysis of individual competencies in the category of Assessment and Evaluation has been summarized in Table 33 of Appendix G. Significant differences exist among groups on extent of agreement for possession of competencies 15, 16 17, 18, 19, 21, 22. Significant differences were found on extent of importance for competency 20. The results of Duncan's multiple range test, summarized in Table 38 of Appendix H, indicate that FTs differed significantly with DOHs and CSAOs on possession for all competencies in this category where a significant difference exists. DOHs differed significantly with FTs and DOHs on the extent of perceived importance of competency 20.


UNIVERSITY OF FLORIDA
Gainesville, 32611
VICE PRESIDENT FOR STUDENT AFFAIRS
1 23 Tl GERT 90 4, 39 2-
May 16, 1983
Dear Col league:
You are invited to participate in a study of professional graduate
preparation programs in student affairs administration. This study is being conducted by Randy Hyman, Assistant Director of Housing at the University of Florida for his Ph.D. degree in Higher Education. Specifically, the study examines the entry level professional competencies that are addressed in graduate training programs.
Your participation in this study is very important, as the results may be of value to those planning professional preparation programs, and to those who hire entry level staff. The results, of course, will not identify either individuals or specific institutions, and your responses will remain confidential.
The instrument is brief, and a recently conducted pilot test revealed an average completion time of 12 minutes. A self-addressed, stamped envelope is enclosed for your convenience.
Thank you for your participation and cooperation. Please complete the enclosed instrument and return it to Randy Hyman by May 30, 1983-
Sincerely.
Arthur Sandeen Vice President for Student Affai rs
Randy Hyman
Ass i stant Di rector
of Housing
EQUAL EMPLOYMENT OPPORTUNI TY / AFFIRMA Tl VE ACTION EMPLOYER
123


-64-
these items are summarized in Table 2. Each group was asked to report the number of full time staff they had hired in a first professional student affairs job since being employed at their current position level. The largest percentages of both DOHs and CSAOs reported hiring more than 20 such staff (DOH 31.9%, CSAO 33.5%). DOHs and CSAOs were each asked to indicate how many of these newly hired student affairs staff had earned a master's degree in a field related to higher education. The results revealed a smaller percentage of each group had hired more than 20 staff trained in higher education
(DOH 26%, CSAO 22.4%).
FTs were asked to respond to three items in the research instrument specific to their group. It is shown in Table 3 that the largest percentage of FTs (76.8%) reported that in the time they had served as a faculty member at their respective institution, over 50 students had received a master's degree from that particular preparation program. Most FTs (57.3%) were not currently serving in a administrative capacity in either academic or student affairs and many (50.7%) have never served in an administrative capacity in either student or academic affairs. Among those FTs who currently serve or have served in an administrative capacity in student or academic affairs the largest percentages reported service in residence hall/housing (41.3%), counseling center (40%), or dean of students office (42.7%).
Data on Possession of Competencies One of the four primary objectives of this study was to determine whether graduate training programs in student personnel administration were actually preparing recent master's degree recipients with


9
Stamatakos (1981) in an extensive examination of professional preparation, done as part of a review of student affairs progress toward professionalism, identified five critical concerns,
1. The quality of students admitted to professional preparation
programs is inconceivably broad, loose, inconsistent, and lacking in reasonable standards (p, 201).
2. A review of existing preparation program literature reveals a
glaring lack of specificity regarding the knowledge to be learned and the skills students are expected to acquire (p. 202).
3. Within and between actual and proposed preparation programs there is little or no consistency in nature, content emphasis or duration (p. 202).
4. In general, after students have successfully completed a
program of study in a typical program, the profession cannot be assured that they will be adequately or reasonably v/ell prepared to carry out the variety of responsibilities particular to job entry positions or that they have the leadership potential and depth of understandings necessary for upward mobility (p. 203).
5. If it is determined that some preparation programs are not in
any real sense truly preparing student affairs professionals but are bootlegging them through counselor, pupil personnel, or educational psychology programs, should such institutions be listed in association sponsored directories of professional preparation programs? Such listings do provide programs with a sense of undeserved legitimacy (p. 203).
Extensive review of the literature on professional preparation led
Stamatakos (1981) to conclude that there is no published research
evidence to support the notion that 1) those hired for student affairs
positions, do, in fact, possess the general skills and competencies that
characterize positions sought or filled or 2) professional preparation
programs educate specifically and adequately for the development of
agreed upon skills and competencies (Brown, 1972; Council of Student
Personnel Associations, 1975; Newton and Hellenga, 1974; Newton and
Richardson, 1976; Parker, 1971; Rentz, 1976; as cited in Stamatakos,
1981, p. 106).


UNIVERSITY OF FLORIDA
3 1262 08556 8524
C31262085568524C


CHAPTER III RESEARCH DESIGN AND METHODOLOGY
This study was designed to determine if student personnel professional preparation programs educated specifically for the development of entry level competencies. Three groups of professionals in the field of student affairs were compared to determine their perception of the training graduates with master's degrees received in their preparation programs for the entry level competencies and to determine their perception of the importance of the competencies for entry level staff.
This chapter identifies and describes the following aspects of the study: research objectives, research populations, development of the instrument, endorsement of the study, administration of the instrument, treatment of the data, and a chapter summary.
Research Objectives
The purpose of this study was to determine if student personnel professional preparation programs educated for the development of entry level competencies.
The objective of the study was to provide answers to the following research questions:
1. Do recent graduates of master's level preparation programs
in student personnel administration enter the field of student affairs with training in entry level competencies as a result of their preparation programs?
-42-


-45-
represent prospective entry level professionals into the student affairs field.
Development of the Instrument
Extensive review of the literature and previous studies of compe-tencies necessary for student affairs staff (Yates, 1977; Newton and Richardson, 1976; Minetti, 1977, Domeier, 1977; Ostroth, 1979; Hanson, Note 2) resulted in the development of a selected list of expected entry level professional competencies for student personnel work. The Tomorrow's Higher Education (T.H.E.) model (Miller and Prince, 1976) was used as the foundation for a conceptual framework, providing categories for the competencies which were identified. A slight modification to the model was accomplished consistent with Hanson's (American College Personnel Association, 1977) taxonomy of competencies, Delworth and Hanson's (1980) recommendations, and consistent with the need to provide a framework adequate for specific, entry level competencies.
Hanson's (Note 2) ACPA sponsored study used the T.H.E. model for identifying student affairs staff competencies. Twenty-eight leaders in ACPA responded to a Delphi survey which eventually led to Hanson's identification of 195 competencies in areas of goal setting, assessment, consultation, instruction, milieu management, and eval-uation. Hanson's study requested response from ACPA leaders regarding which competencies were considered most important. Those competencies were identified, categorized, and accumulated by this researcher as part of an overall competency taxonomy from which the final, entry level competency list was derived.


91
TABLE 15
MULTIVARIATE ANALYSIS GOAL SETTING
DF=2,257 ALPHA=.05 F-Value P>F Implication
Possession 17.69 .0001 Significant
Importance .26 .7691 Not Significant
A significant difference among the three groups on extent of agreement that recent master's graduates of preparation programs possess competencies in the category of goal setting is indicated in Table 15. FTs differed significantly with both DOHs and CSAOs in the extent to which they agree recent graduates of preparation programs possess competencies in the category of Goal Setting as shown by Duncan's multiple range test in Table 16.
TABLE 16
DUNCAN'S MULTIPLE RANGE TEST FOR POSSESSION OF GOAL SETTING
Group N Mean DuncanTurouping
FT 75 3.117 A
CSAO 91 2.782 B
DOH 94 2.750 B
Note. Means with the same letter are not significantly different.
Analysis of individual competencies in the category of Goal Setting has been summarized in Table 30 of Appendix G. Significant differences existed among the groups on extent of possession of competencies 2,


They must be able to use competencies of assessment, goal setting, and change processes as appropriate in implementing the roles of consultant, administrator, and instructor in relationships with individuals, groups, and organizations. (Cooper, 1972, p. 6)
The acquisition of professional competencies underscores the
importance of preparation programs. Such programs, through their
course work and field experience, have sought to provide graduate
students with the competencies necessary to function adequately in the
field.
Purpose
The primary purpose of this study was to determine whether or not professional preparation programs in student personnel administration educated for the development of entry level professional competencies. Perceptions of three groups of professionals in the field of student affairs were compared to determine whether or not differences existed in their perception of the training graduates with master's degrees received in their preparation programs for the entry level competencies. The perceptions of the three groups were also compared to determine differences in the relative importance of the competencies for assuming an entry level professional position in student affairs.
Questions for Investigation This study was designed to answer the following questions:
1. Do recent graduates of master's level preparation programs in
student personnel administration enter the field of student affairs with training in entry level competencies as a result of their preparation programs?
2. Do chief student affairs officers (CSAOs) Directors of Housing
(DOHs), and faculty (FTs) have similar perceptions of the training recent master's degree graduates of preparation programs in


115
Further study is warranted to determine if there is an effect on perceptions of possession and importance based on respondent age, length of time employed in the field of student affairs, and/or whether an advanced degree has been earned in the area of higher education.
Future studies of professional competencies which would include professionals in other student affairs areas are warranted.


TABLE 13 Continued
FT
a
DOH
b
CSAO
CATEGORY/COMPETENCY -
MEAN
SD
MEAN
SD
MEAN
SD
29. Mediate Conflict Among Students,
Campus, and/or Community Groups
3.315
.664
3.315
.553
3.418
.559
30. Recognize and Accept the Ethical
Consequences of Personal and
Professional Behavior
31. Select, Train, and Supervise
3.753
.465
3.641
505
3.637
483
I
co
I
Staff
3.320
.640
3.728
447
3.308
726
32. Manage Physical Resources and
Facilities
3.040
.625
3.152
533
3.110
.657
33. Adjudicate Student Conduct
Effectively
3.093
.597
3.348
601
3.341
.654
n=75
n=94
n=91


TABLE 3
SPECIFIC FACULTY RESPONDENT (FT) DATA
CHARACTERISTIC
FT
Number of students graduating from your academic program with a master's degree since you have been employed in your current professional capacity.
Currently serving in administrative capacity in student affairs or
academic affairs.
If not currently, have ever served in administrative capacity in student affairs or academic affairs.
N
PERCENT
Less than 10
2
2.9
10 20
21 50
More than 50
3
11
53
4.4
15.9
76.8
I
I
Yes
32
42.7
No
43
57.3
Yes
37
49.3
No
38
50.7


APPENDIX F
TABLE LISTING MEAN SCORES FOR EACH GROUP BY COMPETENCY FOR POSSESSION AND IMPORTANCE


2. Findings were limited to measurements of competencies perceived
by practitioners and faculty trainers. The results can be generalized to preparation programs generally as all programs listed in the ACPA directory were surveyed.
3. Results cannot be generalized beyond the specific practitioner
populations used in this study. Their perceptions of competencies held by recent graduates and the importance of those competencies cannot be generalized to the total practitioner population in student affairs.
4. This study was limited to the perception of practitioners and
faculty trainers at four year institutions, awarding at least a bachelors degree. The result cannot be generalized to a student affairs practitioner population employed at community colleges or proprietary institutions.
Definitions
Student personnelwork within a post secondary education institution
concerned with both the educational and personal development of students in primarily non classroom activities and the administration of services which support and compliment the formal academic process.
Student affairsthe division within a post secondary education institution concerned with the provision of services and programs for students which complement and supplement the academic mission of higher education institutions. (Domeier, 1977, p. 12)
Entry level positiongenerally a position requiring a master's degree
from a professional preparation program and no full time experience in student affairs. Staff in such positions assist in the development and administration of programs and services for students.


161
Stamatakos, L. C. "Preprofessional and professional obstacles to
student development." In D. Creamer (Ed.), Student development in higher education. Cincinnati: American College Personnel Association, 1980.
Stamatakos, L. C. "Student affairs programs toward professionalism
recommendations for action." Journal of College Student Personnel, 1981, 22, 105-112.
Stroughton, Robert W. "The preparation of counselors and personnel
workers." Review of Educational Research, 1957, 27_, 174-185.
Stufflebeam, D. L. (Ed.). Educational evaluation and decision-making. Itasca, IllTl Peacock, 1971.
Tracey, J. L. "The current status of Master's programs in college
student personnel." NASPA Journal, 1971, 9, 106-110.
Trow, J. A. "From the field: The future of student affairs."
Journal of College Student Personnel, 1978, 19, 282-283.
Trueblood, D. L. "The educational preparation of the college student
personnel leader of the future." In G. Klopf (Ed.), College Student Personnel in the Years Ahead. Washington, D. CT: American College Personnel Association, 1966, 7, 77-84.
Turner, F. H. "Report of the committee on the preparation for the
work of a dean of men." Proceedings of the Eighteenth Annual Conference of the National Association of Deans and Advisors of MerT, Philadelphia, 1936, 17-49.
Upcraft, M. L. "Does training make a difference?" NASPA Journal,
1971, 9, 134-137.
Useem, R. H. "Professionalizing an academic occupation: The case
of student personnel work." Journal of the National Assocciation for Women Deans and Counselors"! 1964, 27, 94-lOT]
Wellman, F. E. "Selection of students for preparation in college
personnel work." Personnel and Guidance Journal, 1955, 34, 24-27.
Wilensky, H. C. "The professionalization of everyone?" American
Journal of Sociology, 1964, 70, 137-158.
Williamson, E. G. (Ed.). Trends in student personnel work.
Minneapolis: University of Minnesota Press, 1949.


-61-
The majority of the population of respondents reported employment in student affairs/higher education for more than 15 years (49.4%), This was consistent among all three groups with the largest number of each group reporting such an employment commitment for
over 15 years.
The largest portion of the population reported their ages between 36-45 years (45.4%). This was consistent among each of the three groups with the largest percentage of each group reporting this age range.
The majority of the population indicated that a doctorate was the highest earned degree (65.4%). Some differences among groups revealed that FTs reported the highest number of earned doctorates (96%) followed by CSAOs (70.3%) and DOHs (36.2%).
Differences among the three groups were noted among respondents with advanced degrees in a field related to higher education. FTs reported the largest percentage of doctorates (93.3%) followed by CSAOS (60.4%) and DOHs (35.1%). DOHs reported the largest percentage of master's degrees earned in a field related to higher education (75.5%) followed by CSAOs (65.9%) and FTs (62.7%).
All respondents were asked to indicate the institution (s) where any advanced degrees were earned. A summary of responses indicated that particular institutions were the choice of many of the respondents. Among the 42 institutions identified as those where FTs earned master's degrees, Teacher's College of Columbia University (5) and Indiana University (5) were named most. FTs identified 34 different institutions where their doctoral degrees were earned with Indiana


ACKNOWLEDGMENTS
The completion of my doctoral program would not have been possible were it not for a few wonderful people who deserve special recognition for their roles.
To Dr. Art Sandeen, my chairman and mentor, I offer heartfelt thanks. His unending patience, support, and encouragement provided me with the motivation which enabled me to make my dream become reality.
To the members of my committee, Dr. James Wattenbarger and Dr. Al Smith, I extend my sincere thanks for the time, support, and suggestions they gave me during the course of this study.
Special thanks go to Dr. Bob Jester and John Dixon for their assistance in the analysis of my data and to Donna Ornowski for her fine work in the typing of the manuscript and final drafts.
Sincere notes of recognition are extended to a couple of special colleagues. To Jack Worley I express my gratitude for always being there when I needed a listening ear. To Jim Grimm I express my appreciation for constant support and consideration throughout my
doctoral program.
Finally, I would like to give very special recognition to my wife, Robi, and my son, Drew. Their love, patience, and faith in me were the greatest sources of inspiration in the completion of this study. Robi's assistance through the duration of my doctoral program has come to exemplify for me the meaning of the word support.

ill


-100-
Analysis of individual competencies in the category of Environmental and Organizational Management has been summarized in Table 34 of Appendix G. Significant differences exist among groups on extent of agreement for possession of competencies 23, 24, 25, 26, 27, 28, 30, 31, 33. The results of Duncan's multiple range test, summarized on Table 39 of Appendix H, indicates that FTs differed significantly with DOHs and CSAOs on possession for competencies 24, 25, 26, 27, 28. A significant difference was identified for every possible pair of groups on possession for competencies 23 and 30. CSAOs and DOHs differed significantly on possession for competency
31. DOHs and FTs differed significantly on possession for competency
32. DOHs differed significantly from FTs and CSAOs on extent of importance on competencies 23, 25, 28, 31. FTs differed significantly from CSAOs and FTs on extent of importance of competency 33.
Chapter Summary
The research findings for this study have been presented in this chapter. The extent to which faculty (FTS), directors of housing (DOHs), and chief student affairs officers (CSAOs) agree that recent master's graduates of preparation programs possess professional competencies and the extent to which each of the groups agree on the importance of these competencies for assuming an entry level staff position in student affairs has been examined. Differences between groups regarding their respective perceptions of possession of the competencies by recent graduates and the importance of the compe-tencies have been identified and examined.
A summary of this study, findings, conclusions, and implications and considerations for further study are presented in Chapter V.


TABLE 9
MEAN SCORES AND STANDARD DEVIATIONS FOR FACULTY (FTs), DIRECTORS OF HOUSING (DOHs) AND CHIEF STUDENT AFFAIRS OFFICERS (CSAOs)
ON EXTENT OF AGREEMENT WITH IMPORTANCE OF COMPETENCIES
IN THE CATEGORY OF GOAL SETTING
a b FT DOH
C
CSAO
CATEGORY/COMPETENCY MEAN SD MEAN SD MEAN SD
I. Goal Setting
3.378
380
3.415
323
3.410
362
1. Write Behavioral Objectives
2.893
798
3.064
601
2.989
l
oo
645
I
2. Identify and Articulate Institu-
tions Goals and Policies to
Students
3.613
.490
3.436
560
3.533
545
3. Teach Students to Deal with the
Consequences of their Behavior
3.568
.526
3.777
419
3.725
473
4. Engage in Systematic Planning
3.440
.575
3.383
624
3.385
553
n=75
b
n=94
a
n=91


TABLE 36
DUNCAN'S MULTIPLE RANGE TEST FOR POSSESSION AND IMPORTANCE OF COMPETENCIES IN THE CATEGORY OF CONSULTATION WHERE SIGNIFICANT DIFFERENCES WERE IDENTIFIED
ALPHA
.05
DF = 230
IMPORTANCE
POSSESSION
II. Consultation Competencies
Duncan Groupin
Mean
N
Group
Duncan Grouping
Mean N Group
5. Recognize and Use Expertise of Others
A
3.642
65
FT
B
3.096
83
CSAO
B
B
2.941
85
DOH
6. Facilitate Group Problems Making
. Decision
A
3.415
65
FT
i
I
B
2.835
85
DOH
B
B
2.831
83
CSAO
7. Facilitate Staff Development Training
A
3.123
65
FT
A
3.494 85
DOH
A
B
2.894
85
DOH
A
3.446 65
FT
C
2.663
83
CSAO
B
3.193 83
CSAO


Practitionersprofessional educators engaged in full time employment in
student personnel in a division of student affairs. They may be administrators, counselors, program facilitators, or consultants. (Minetti, 1977, p. 14)
Chief student affairs officerthe college or university administrator
who is immediately responsible for the direction and coordination of the programs, staff, and services of the student affairs division.
Director of Housingthe college or university administrator who is
immediately responsible for the direction and coordination of the programs, staff, and services of the housing department. The housing department is one of the departments that comprise the Division of Student Affairs.
Entry level competenciesabilities, skills, knowledge, and activities
which permit an individual to carry out job expectations in a first professional position in student affairs in a minimally acceptable manner.
Faculty trainersprofessional educators engaged in full time employ-
ment as faculty, teaching and advising graduate students enrolled in preparation programs in student personnel administration.
Professional preparationthe acquisition of background, knowledge,
skills, and competencies necessary for assuming a full time position in the student affairs profession. Such preparation is most generally acquired within the context of a formal, academic, degree awarding program at a graduate institution of higher education.
Overview of the Study Chapter 1 presented the introduction, purpose and justification for the study, conceptual framework, assumptions, limitations, and definitions. Relevant literature and research pertaining to the profession of student personnel and professional preparation are presented in Chapter II. The methodology and design used in this study are described in Chapter III. The data collected and analyzed in this study are presented in Chapter IV, A discussion of the results, conclusions, and recommendations is presented in Chapter V.


TABLE 12
MEAN SCORES AND STANDARD DEVIATIONS FOR FACULTY (FTs), DIRECTORS OF HOUSING (DOHs) AND CHIEF STUDENT AFFAIRS OFFICERS (CSAOs)
ON EXTENT OF AGREEMENT WITH IMPORTANCE OF COMPETENCIES
IN THE CATEGORY OF ASSESSMENT AND EVALUATION
a b c
FT DOH CSAO
CATEGORY/COMPETENCY MEAN SD MEAN SD MEAN SD
IV. Asse ssment and Evaluation 3.330 .446 3.250 .380 3.263 .360
15. Assess Student Needs 3.573 .597 3.462 .501 3.511 .546
16. Analyze and Interpret Program
Needs and Requests 3.411 .573 3.277 .495 3.300 .550
17. Design Student Programs Based
on Student Needs 3.541 .554 3.404 .535 3.511 .546
18. Interpret and Understand Various
Evaluation Strategies 3.173 .645 3.011 .518 2.989 .508
19. Identify and Understand Various
Evaluation Strategies 3.176 .627 3.011 .558 3.011 .511
20. Design and Implement a Program
to Evaluate Staff 3.040 .706 3.223 .625 3.033 .605
21. Revise Programs on the Basis of
Evaluation Data 3.240 .612 3.191 .534 3.253 .589
22. Recognize and Analyze Inter-
personal Problems 3.493 .529 3.426 .539 3.484 .565
a be
n=75 n=94 n=91


-31-
(Brown, 1972; Council of Student Personnel Associations, 1975; Newton and Hellenger, 1974; Newton and Richardson, 1976; Parker, 1971; and Rentz, 1976), Stamatakos (1981) could find no evidence that a) employers consciously attempt to determine if applicants for positions actually possess the expected competencies, b) those hired for student affairs positions do possess the expected competencies, c) professional preparation programs educate specifically and adequately for the development of agreed upon skills and competencies (p. 106).
Content
Content for the preparation programs in student personnel has been the source of considerable controversy among professionals in the field. Initial programs sought to provide strong grounding in counseling and guidance as it was the belief that such was the primary back-ground necessary to adequately prepare student personnel practitioners (Williamson, 1949; Wrenn, 1949; Mueller, 1959; Parker, 1971). Parker (1966) took the position that education as a counselor, based upon an adequate philosophy of individual development within guidelines that will benefit the entire society, was crucial to adequate functioning as an effective student personnel administrator (p. 256).
The value of an overall generalist approach to preparation has been acknowledged and supported, primarily through the efforts of the professional associations (Council of Student Personnel Associations, 1965, 1969; American Personnel and Guidance Association, 1971; American College Personnel Association, 1967, 1975). Robinson (1966) analyzed statements about preparation generated by each of the three professional associations to determine substantive areas of 1)


APPENDIX C
LETTER OF ENDORSEMENT FROM VICE PRESIDENT FOR STUDENT AFFAIRS


-93-
A significant difference among the three groups on extent of agreement that recent master's graduates of preparation programs possess competencies in the category of goal setting is indicated in Table 18. FTs differ significantly with both DOHs and CSAOs in the extent to which they agree recent graduates of preparation programs possess competencies in the category of Consultation as shown by Duncan's multiple range test in Table 19.
TABLE 19
DUNCAN'S MULTIPLE RANGE TEST FOR POSSESSION OF CONSULTATION
Group N Mean Duncan Grouping
FT .75 3.303 A A
DOH 94 2.921 B B
B B CSAO 91 2.846 B B
Note. Means with the same letter are not significantly different.
Analysis of individual competencies in the category of Consultation has been summarized in Table 31 of Appendix G. Significant differences existed among groups on extent of agreement for possession of all four competencies in this category. Significant differences were found on extent of importance for competencies 7 and 8. The results of Duncan's multiple range test, summarized in Table 36 of Appendix H, indicate that FTs differed significantly with DOHs and CSAOs on possession for competencies 5, 6, and 8. Significant differences existed between every possible pair of groups on possession for competency 7. CSAOs differed significantly with both DOHs and FTs on extent of perceived importance of competency 7. DOHs diffed significantly with both FTs and CSAOs on extent of perceived importance of competency 8.


TABLE 10
MEAN SCORES AND STANDARD DEVIATIONS FOR FACULTY (FTs), DIRECTORS OF HOUSING (DOHs) AND CHIEF STUDENT AFFAIRS OFFICERS (CSAOs) ON EXTENT OF IMPORTANCE OF COMPETENCIES IN THE CATEGORY OF CONSULTATION
FT
DOH
b
CSAO
C
CATEGORY/COMPETENCY
MEAN
SD
MEAN
SD
MEAN
SD
II. Consultation
3.573
.374
3.476
.368
3.431
.344
5. Recognize and Use the Expertise
of Others
3.627
.487
3.447
.500
3.429
.498
6. Facilitate Group Problem Solving
and Group Decision-Making
3.507
50332
3.415
629
3.396
7. Facilitate Staff Development
Through In-Service Training
3.080
634
2.935
582
2.644
.652
8. Work Effectively With a Diversity of Individual Students and
Faculty
3.773
421
3.581
.496
3.736
443
a
n=75
b
n=94
n=91


32
responsibility and authority, 2) purposes and goals, 3) proposed curriculum and training experiences, and 4) emphasis and unique characteristics. In the first category of responsibility and authority, Robinson found the APGA statement to be the most comprehensive; in the second category, purpose and goals, the COSPA statement was the most comprehensive. Robinson found general agreement among all statements on the third category (p. 255). He concluded that the three statements represented general agreement on what ought to be included in preparation programs and he recommended seeking consensus on one statement for the field. Such consensus was both sought and achieved via subsequent statement revisions by ACPA (1967) and COSPA (1969) which reflected the cooperative agreement recommended by Robinson (1966).
Association statements in addition to other studies (Rhatigan, 1965; O'Banion, 1966) and earlier writings of Williamson (1952) supported the claim for a common core of knowledge that all student personnel staff should possess. O'Banion (1966, 1969) devised a curriculum theory which stated that "program is derived from purpose and function (1969, p. 249)." His study to determine the core of experiences that should be common to all student personnel practitioners in higher education included 1) psychology, 2) counseling principles and techniques, 3) practicum in student personnel work, 4) overview of student personnel work in higher education, 5) study of the college student, 6) sociology/anthropology, and 7) higher education. He also found that the use of the curricular theory was effective in determining a core program of preparation.


To,
My Dad, Richard Hyman, who first said to me "Hitch your wagon to a star" and to Jesus Christ, the star who controlled my wagon anc provided me with the direction.


many graduate training programs may require some revamping in order to become solid programs for preparing generalists with these corape-tencies.
Miller and Carpenter (1980) believed that optimal professional preparation combines a mastery of a body of knowledge and a cluster of skills and competencies within the context of personal development. They noted that professional credibility and excellence of practice were directly dependent upon the quality of professional preparation (1980). They postulated that there were identifiable skills and competencies essential to the growth of student affairs professionals, the learning of which could be systematically facilitated through programs of professional preparation.
A number of models and philosophies have been advanced to support the development of quality professional preparation (Spooner,
1979; Rentz, 1976; Meabon, Bailey, and Witten, 1975; Dewey, 1977). A thorough review of the literature has led the researcher to select a modification of the Tomorrow's Higher Education model as the conceptual framework for this study. T.H.E., an acronym which stands for Tomorrow's Higher Education, was coined by the American College Personnel Association (ACPA) in 1968 for the purpose of developing a strategy for examining the future of college student personnel work (Miller and Prince, 1976). The essence of T.H.E. project was to reconceptualize through systematic review, reconstruction, and change, the fundamental conceptions about the specific roles, functions, methods, and procedures that characterize future personnel practice. T.H.E. emphasized student development in a move away from a status-


endorsement of the study, e) administration of the instrument, and f) treatment of the data. Chapter IV presented a detailed review and description of the data obtained in this study.


30
graduate trainees. It was believed that the best applicants should be socially sensitive, emotionally mature, and intellecturally able (Wrenn, 1952), They must show evidence of sufficient motivation toward the roles and function of the field. Woolf and Woolf (1953) believed that the most important consideration in the selection of trainees should be the philosophy and attitude of the candidate. A study of the selection of students for preparation in college student personnel work revealed an inadequacy of existing instruments to measure characteristics believed to be related to successful performance in the field (Wellman, 1952). The study also revealed a lack of valid, objective criteria for selection (Wellman, 1955). A later study of preparation program admission policies indicated a heavy emphasis on predictors of academic success as initial screening criteria; standardized tests, grade point averages, and recommendation letters (Gimmestad and Goldsmith, 1973).
The issue of standards has most recently been addressed within the context of what should be considered acceptable training in preparation programs and how this training acceptability could be measured. Stamatakos (1981) analyzed Wrenn and Darley's (1949) traditional criteria or professionalism. Stamatakos examined standards of admission and performance by addressing skills and competencies student affairs professionals are expected to have or actually possess at the time they enter the practice of the profession (p. 106).
In reviewing previous studies (Minetti, 1977; Ostroth, 1979; and Hanson, Note 2) Stamatakos (1981) indicated that competencies believed to be important for staff to possess had been identified. In a review of previous research on the issue of preparation standards


25
problems stemming from the nomenclature of the field and implied that the withholding of faculty status to student personnel practitioners relegated them to second class status. A study by Astmann (1975) to ascertain faculty perceptions toward student personnel services found that faculty didn't fully accept colleagues in student personnel as equals. Student affairs was perceived as a large complex of operations with vague, ill-defined purpose, being only remotely necessary to the realization of institutional goals and impractical in budget terms. According to Prior (1973) the "planless gerry building" of student personnel services over several decades has resulted in conflicting and illogical mixtures of functions and responsibilities (p. 202). As a result student personnel has been susceptible to a variety of misperceptions of its role and false expectations of this competence. Wrenn and Darley (1949) believed that the status of student personnel has not been enhanced because of a lack of well accepted standards of academic preparation. The field has failed to notify higher education what those, established in the field, considered to be job function and adequate qualifications. It has been recommended that student personnel practitioners clarify traditional roles and aggressively pursue new relationships with institutions (Penn, Manspeaker, and Millette, 1975; Berry, 1976). More attention should be directed toward professional training programs (Berry, 1976). The professional future of student personnel depends on present leadership and the training programs (Brumfield, 1979).


-77-
highest mean scores for FTs (3.562) and CSAOs (3.011) were for competency No. 30, "recognize and accept the ethical consequences of personal and professional behavior." The highest mean score for DOHs (3.022) was for competency No. 31, "select, train, and supervise staff." The lowest mean scores for all groups were for competency No. 23, "develop and administer a budget." The mean scores for all three groups for the category of Environmental and Organizational Management were under 3.0, indicating a tendency for each group in the direction toward the "disagree" range with respect to possession of competencies in this category. Standard deviations for each group were less than 1.0 for all competencies in this category.
Summary of Data on Possession of Competencies. Each group reported its highest mean score on possession for the same competency in the catagories of Goal Setting, Consultation, and Assessment and Evaluation. Each group reported its lowest mean score on possession for the same competency in the categories of Communication and Environmental and Organizational Management. Mean scores for DOHs were less than 3.0 for all competencies in categories of Goal Setting, Consultation, and Communication, and for CSAOs in the category of Assessment and Evaluation. Mean scores for FTs were greater than 3.0 for all competencies in the category of Consultation, Mean scores for DOHs and CSAOs were below 3.0 for every category indicating a tendency in the direction toward the disagree range with respect to possession of competencies in this study. Mean scores for FTs were above 3.0 for the categories of Goal Setting (3.117), Consultation (3.303), and Communication (3.020), indicating a tendency in the


152
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Berry, M. "The state of student affairs: A review of the literature."
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Blackburn, J. L. Perceived purposes of student personnel
programs by chief student personnel officers as a function of academic preparation and experience (Doctoral dissertation, Florida State University, 1969). Dissertation Abstracts International, 1970, 30, 3745A 3746A] (University Microfilm No. 70-3815)
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Blaesser, W. W. "Organizational change and student development."
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Bolton, C. R. Recent graduates' perceptions of their doctoral training
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Borland, D. T. and Thomas, R. E. "Student development
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14
communication, assessment and evaluation, and environmental and orga-
nizational management.
Assumptions
This study assumed that
1. The perceptions of the respondents completing the instrument
were honestly and accurately given.
2. The professional competencies identified from the literature
reflected actual, expected competencies for entry level student affairs staff.
3. Respondents had a knowledge of background of the competencies
needed by staff hired for entry level positions in student affairs.
4. Respondents had a knowledge of the competencies taught in
preparation programs in student personnel.
Limitations
1. This study was limited to the examination of entry level professional competencies because this investigator believed they represented the most immediate and measurable product of a master's level graduate program in terms of competencies acquired and expected.


Domeier (1977) deductively generated 58 administrative competency tasks under the following categories: budget management, cooperative relationships, communication, leadership, personnel management, professional development, research and evaluation, and student contact. This researcher added these competencies to the taxonomy developed for entry level competency deviation. Competency tasks from Domeier's study, which overlapped with Hanson's study were eliminated.
Minetti (1977) derived 47 entry level competencies judged to be important for entry level student affairs staff. He identified these competencies under the following categories: counseling, human relations and interpersonal skills; theory and practice of administration and management; research, testing, and measurement; historical, philosophical, and social foundations; meeting student needs; and professional purpose and role identity. This researcher added compe-tencies to the developing competency taxonomy, eliminating those competencies which were duplicated in the other studies.
The competency taxonomy developed by the researcher from the previous studies numbered 134. Overlap, duplication, and evidence of common themes enabled the researcher to derive 71 entry level competencies. With the assistance, support and approval of faculty at the University of Florida, the 71 entry level competencies were analyzed; some were eliminated; and the balance were categorized within the modified conceptual framework.
The categories identified from the modified T.H.E. conceptual model and the 33 entry level professional competencies utilized in the study included the following:


TABLE 37 Continued
POSSESSION
IMPORTANCE
III. Communication Competencies
Duncan Grouping
Mean
N
Group
Duncan Crouping
Mean
N Group
12. Represent Student Concerns to Groups
A
3.077
65
FT
A A
3.422 83 CSAO
B B
2.880
83
CSAO
A
3.354 65 FT
B
2.847
85
DOH
B
3.047 85 DOH
13. Recognize Confidentiality
Procedures A 3.354 65 FT
B 3.024 83 CSAO
B 2.929 85 DOH
B
Determining Usage of Office A 2.462 65 FT
Procedures B A 2.289 83 CSAO
B
B 2.141 85 DOH
NOTE: Means with the same letter are not significantly different
DF = Degrees of Freedom


39
Developing basic competencies of the successful professional has been seen as the purpose of professional education (Wolfe, 1980). Williamson (1958) in noting the diversity of needed professional competencies as a problem dimension of professional training indicated that the development of competency in one's own specialty as well as in their role with working with colleagues (faculty and staff) was critical.
Studies have been done to determine specific competencies necessary for the adequate function in professional higher education (Lynam, 1970; Davies, 1970). A study by Domeier (1977) developed competency tasks used by student affairs administrators and examined the training of administrators for the tasks. The results indicated that student affairs administrators did not agree on the applicability and frequency of using the tasks in their present positions. They also did not agree on the sources of training they had for each competency task. Minetti (1977) developed a list of entry level competencies to determine whether the locus of preparation for each competency was the formal student personnel preparation program or an assistantship. Ostroth (1979) utilized Minetti's (1977) competencies to determine what criteria employers used in evaluating candidates seeking entry level positions in student affairs. Hanson (Note 2) generated a list of 195 competencies using the Delphi technique and classifying the competencies according to dimensions of the T.H.E. model (Miller and Prince, 1976). A study by Newton and Hellenga (1974) to determine appropriate goals, objectives, and a direction for student personnel preparation programs established that a competency based approach was the preferred mode for training compared to traditional course-centered approaches. Riker (1977) also called for a


85
tencies in the category of Assessment and Evaluation are reported in Table 12. All groups reported the highest mean scores for competency No. 15, "assess student needs." Mean scores for FTs and DOHs were greater than 3.0 for every competency in this category. Mean scores for the category of Assessment and Evaluation were greater than 3.0 for FTs (3.330), DOHs (3.250) and CSAOs (3.263), indicating a tendency in the direction of the importance of the competencies in this category for assuming an entry level staff position. Standard deviations for each group were less than 1.0 for all competencies in this category.
V. Environmental and Organizational Management. Mean scores and standard deviations of the three research groups for extent of importance of the competencies in the category of Environmental and Organizational Management are reported in Table 13. FTs and CSAOs reported highest mean scores for competency No. 30, "recognize and accept the ethical consequences of personal and professional behavior." DOHs reported the highest mean scores for competency No. 31, "select, train, and supervise staff." FTs and CSAOs reported the lowest mean scores for competency No. 32, "manage physical resources and facilities." DOHs reported the lowest mean score for competency No. 23, "develop and administer a budget." Mean scores for FTs and DOHs were greater than 3.0 for every competency in this category. Mean scores for the category of Environmental and Organizational Management were greater than 3.0 for FTs (3.340), DOHs (3.342), and CSAOs (3.413), indicating a tendency in the direction of importance of the competencies in this category for assuming an entry level staff position. Standard deviations for each group were less than 1.0 for


70
range on possession of competencies in his category. Standard deviations for all groups on all competencies were less than 1.0.
II Consultation. Mean scores and standard deviations for each of the three groups for extent of agreement with possession of competencies in the category of Consultation are reported in Table 5. For all groups the highest mean scores were for competency No. 5, "recognize and use expertise of others." The lowest FT mean score was for competency No. 7, "facilitate staff development through in-service training (3.080). DOHs reported the lowest mean score for competency No. 6, "facilitate group problem solving and group decisionmaking" (2.872). The lowest CSAO mean score was for competency No. 7, "facilitate staff development through in-service training" (2.644). Mean scores for FTs for every competency in this category and for the category itself (3. 303) were greater than 3.0, indicating a tendency in the direction toward the "agree" response range or possession for this category of competencies. Mean scores of DOHs for all competencies in this category were less than 3.0. Mean scores of DOHs (2.921) and CSAOs (2.846) on possession for the category of Consultation were less than 3.0, indicating a tendency in the direction of the "disagree" response range for this category of competencies. Standard deviations for each respondent group were less than 1.0 for all competencies.
III Communication. Mean scores and standard deviations for each of the three groups for extent of agreement with possession of the competencies in the category of Communication are reported in Table 6. The highest mean score for FTs (3.320) was for competency No. 10, "make effective use of verbal and non-verbal skills in group


training in the competencies necessary to function effectively in an entry level position in student affairs. This objective was stated as research question one.
1. Do recent graduates of master's level preparation programs in
student personnel administration enter the field of student affairs with training in entry level competencies as result of their preparation programs?
The instrument used in this study contained 33 competency items
organized in five conceptual categories. Those categories were:
I Goal Setting
II Consultation
III Communication
IV Assessment and Evaluation
V Environmental and Organizational Management
The extent to which each of the three research groups perceived
that recent master's graduates of preparation programs enter the field
of student affairs with training in the competencies was determined by
asking each group of participants to assess the extent to which they
perceived recent graduates to have possessed each competency. Each
group of participants was asked to assess possession through their
response to the following statement for each competency: "Recent
master's degree graduates possess this competency." Each participant
in the study responded to the statement on the following four-point
scale.
Possession of the Competency
4 Agree strongly (AS)
3 Agree (A)
2 Disagree (D)
1 Disagree strongly (DS)


TABLE 7
MEAN SCORES AND STANDARD DEVIATIONS FOR FACULTY (FTs), DIRECTORS OF HOUSING (DOHs) AND CHIEF STUDENT AFFAIRS OFFICERS (CSAOs)
ON EXTENT OF AGREEMENT WITH POSSESSION OF COMPETENCIES
IN THE CATEGORY OF ASSESSMENT AND EVALUATION
a b C
FT DOH CSAO
CATEGORY/COMPETENCY MEAN SD MEAN SD MEAN SD
IV. Assessment and Evaluation 2.930 .411 2.673 .428 2.611 .415
15. Assess Student Needs 3.160 .570 2.796 .543 2.744 .646
16. Analyze and Interpret Program
Needs and Requests 3.000 .601 2.723 .557 2.667 .519
17. Design Student Programs Based
on Student Needs 3.095 .601 2.798 .681 2.767 .582
18. Interpret and Understand Various
Evaluation Strategies 2.800 .593 2.489 .668 2.444 .602
19. Identify and Understand Various
Evaluative Strategies 2.797 .596 2.457 .650 2.449 .544
20. Design and Implement a Program
to Evaluate Staff 2.547 .599 2.553 .633 2.373 .661
21. Revise Programs on the Basis of
Evaluation Data 2.773 .727 2.553 .633 2.516 .584
22. Recognize and Analyze Interper-
sonal Problems 3.253 .572 3.000 .568 2.912 .590
a b c
n=75 n=94 n=91


-53-
with training in entry level competencies as a result of their training programs?
2. Do CSAOS, DOHs, and FTs have similar perceptions of the
training recent master's degree graduates of preparation programs in student personnel administration receive for the identified entry level competencies?
3. Is it important for recent master's degree graduates from student
personnel preparation programs to have acquired these competencies prior to full time entry into the student affairs field?
4. Do CSAOs, DOHs, and FTs have similar perceptions of the
importance of these entry level competencies?
Frequencies procedures were applied to the questions in Part I of the instrument providing percentage responses for each item on all respondents.
An analysis of variance for repeated measures was applied to the data from Part II to provide measures of central tendency for each respondent group on the possession and importance variables.
A multivariate analysis of variance was conducted on categories and competencies for each group for variables of possession and importance to determine similarity/differences among the three groups of their perceptions of possession and importance of each category and competency. If differences were observed at the .05 level of significance for any category or competency on possession or importance Duncan's multiple range test was performed to determine between what groups a significant difference existed.
Chapter Summary
The design and methodology encorporated in the study has been outlined in this chapter consisting of a) research objectives, b) research populations, c) development of the instrument, d)


49
entry level staff earned a Master's degree in a field related to student affairs. Those responding to the faculty instrument were asked to indicate how many students had graduated from the respondent's academic program with a master's degree, if the respondents had ever (currently or at one time) served in an administrative capacity in student affairs, and if so, in what capacity.
Part II of the instrument requested that recipients in each sample respond to each competency by indicating 1) if recent master's degree graduates of preparation programs in student personnel administration have possessed the competency and 2) the importance of the competency for assuming an entry level staff position. The recipients of the instrument were asked to respond twice to each competency by circling the number which best reflected their perception based on the
following key:
Indicate the extent of your agreement with the following statement for each competency.
"Recent master's degree graduates in student personnel administration possess this competency."
Possession of Competency
1. Disagree strongly(DS)
2. Disagree (D)
3. Agree (A)
4. Agree strongly (AS)
Indicate the extent to which you believe each competency is important for assuming an entry level staff position
Importance of the Competency
1 Not important (NI)
2. Of little importance. (LI)
3. Important (I)
4. Not important (NI)
The instrument was pilot tested at the University of Florida using five student affairs administrative staff and five faculty members in the department associated with the preparation program for student personnel administration. The pilot test requested: 1) respondents' evaluation of the competencies, 2) respondents' understanding of the intent of the study, and 3) any suggestions they could offer.


TABLE 5
MEAN SCORES AND STANDARD DEVIATIONS FOR FACULTY (FTs), DIRECTORS OF HOUSING (DOHs) AND CHIEF STUDENT AFFAIRS OFFICERS (CSAOs)
ON EXTENT OF AGREEMENT WITH POSSESSION OF COMPETENCIES
IN THE CATEGORY OF CONSULTATION
FT
a
DOH
b
CSAO
CATEGORY/COMPETENCY
MEAN
SD
MEAN
SD
MEAN
SD
II Consultation
3.303
.478
2.921
.422
2,846
.387
5. Recognize and Use Expertise
of Others
3.413
639
2.979
604
3.022
577
6. Facilitate Group Problem Solving
and Group Decision-Making
3.347
581
2.872
609
2.824
529
7. Facilitate Staff Development
Through In-Service Training
3.080
731
2.935
656
2.644
641
8. Work Effectively With A Diversity
Individual Students
3.373
610
2.892
616
2.901
716
a
n=75
n=94
n=91


-82-
reported the lowest mean scores for competency No. 7, "facilitate staff development through in-service training." Mean scores for DOHs and CSAOs were greater than 3.0 for all competencies except competency No. 7. Mean scores for FTs were greater than 3.0 for all competencies in this category. Mean scores for the category of consultation
were above 3.0 for FTs (3.573), DOHs (3.476) and CSAOs (3.431), indicating a tendency in the direction of the importance of the competencies in this category for assuming an entry level staff position. Standard deviations for each group were less than 1.0 for all competencies in this category.
II. Communication. Mean scores and standard deviations of the three research groups for extent of importance of the competencies in the category of Communication are reported in Table 11. The highest FT mean score was for competency No. 10, "make effective use of verbal and non-verbal skills in group presentations." The highest mean scores for DOHs and CSAOs were for competency No. 11, "perceive and accurately interpret attitudes, beliefs, and needs of others." All groups reported the lowest mean scores for competency No. 14, "determining usage of office management procedures." Mean scores for the category of Communication were above 3.0 for FTs (3.341), DOHs (3.287), and CSAOs (3.411), indicating a tendency in the direction of the importance of these competencies for assuming an entry level staff position. Standard deviations for each group were less than 1.0 for all competencies.
IV. Assessment and Evaluation. Mean scores and standard deviations of the three groups for extent of importance of the compe-


-96-
IV Assessment and Evaluation
15. Assess student needs
16. Analyze and interpret program needs and requests
17. Design student programs based on student needs
18. Interpret and understand various evaluation strategies
19. Identify and understand various evaluation strategies
20. Design and implement a program to evaluate staff
21. Revise programs on the basis of evaluation data
22. Recognize and analyze interpersonal problems
Mean scores for each of the three research groups on possession and importance for the category of Assessment and Evaluation are provided in Table 23. These means were used in the analysis summarized in Table 24.
TABLE 23
MEAN SCORES FOR GROUPS ON POSSESSION AND IMPORTANCE OF ASSESSMENT AND EVALUATION
Group N Possession Importance
FTs 75 2.930 3.330
DOHs 94 2.673 3.250
CSAOs 91 2.611 3.263
TABLE 24
MULTIVARIATE ANALYSIS, ASSESSMENT AND EVALUATION
DF = 2,257 ALPHA = .05
F-Value P>F Implication
Possession 13.05 .0001 Significant
Importance .96 .3836 Not Significant


105
Review of the Literature
The specific purpose of the literature review was to provide background on the field of student affairs work as it related to issues of standards, quality, and excellence in the profession. The emerging profession was reviewed through an examination of the historical role of student affairs in high education; identification of criteria as a profession, examination of professional status; and a review of the current focus on student development. The development of preparation programs was traced through a review of background, selection and standards, content, program models, program assessments, and recommendations. The issue of professional competency was examined in the light of expectations generally ascribed to the preparation programs.
The research population for this study included 150 chief student affairs officers (CSAOs), 141 director's of housing (DOHs), and 162 faculty (FTs). The CSAOs and DOHs were employed at four year public and private post secondary education institutions. The FTs were employed at institutions with departments offering graduate programs in student personnel administration leading to a master's degree.
A two-part research instrument was designed and developed for distribution to the 453 student affairs professionals included in this study. Part I of the instrument sought demographic information to 14 questions from FTs and 12 questions from CSAOs and DOHs. Part II of the instrument asked participants to respond on a four-point interval scale to 33 professional competencies. For each competency, participants were asked to indicate a) the extent to which


158
Miller, T. J., and Prince, J. S. The future of student affairs. San
Francisco: Jossey-Bass, 1976"!
Minetti, R. H. An analytical description of the relationship
between the academic training and assistantship experiences of master's degree programs in student personnel administration (Doctoral dissertation7 Michigan State University, 1977). Dissertation Abstracts International, 1978, 38, 5955A. (University Microfilms No. 7803534)
Mueller, K. H. "Criteria for evaluating professional status."
Personnel and Guidance Journal, 1959, 37, 410-417.
Mueller, K. H. Student personnel work in higher education. Boston:
Houghton-Miffin Co. 1961.
Nash, R. Saurman, K., and Sousa, G. "Student affairs personnel as
partners in the instructional venture." NASPA Journal, 1975, 13, 57-58.
Newton, F. B., and Hellenga, G. "Assessment of learning and process objectives in student personnel training programs." Journal of College Student Personnel 15, 1974, 15, 492-497.
Newton, F. B. and Richardson, R. C. "Expected entry level
competencies of student personnel workers." Journal of College Student Personnel, 1976, 17, 426-430.
Nygreen, G. T. "Professional preparation for student personnel
service." NASPA Proceedings of the Forty-Seventh Conference, Washington, D. C.: The Association, 1965.
Nygreen, G. T. "Professional status for student personnel administrators ." Journal of the Association of Deans and Administrators of Student Affairs, 1968, 5, 283-291.
O'Banion, T. A core program proposal for the professional preparation of college and university student personnel workers (Doctoral dissertation, Florida State University, 1966). Dissertation Abstracts International, 1967, 27, 2361A. (University Microfilms No. 67-305)
O'Banion, T. "Program proposal for preparing college student
personnel workers." Journal of College Student Personnel, 1969, 10, 249-253.
Ostroth, D. D. Procedures and criteria used in selecting entry-level
college student personnel professionals (Doctoral dissertation, Michigan State University, 1979). Dissertation Abstracts International 1977, 38, 1265A. (University Microfilms No. 77-10,214)


TABLE OF CONTENTS
ACKNOWL EDGMENTS
111
ABSTRACT
v 1
CHAPTER
I. DESCRIPTION OF THE STUDY
1
1
4
Int roduc t i on..............................
Purpose ..................................
Questions for Investigation .............. 4
Justification for the Study.............. 5
.................... 10
.................... 14
.................... 14
.................... 15
.................... 16
Conceptua1 Framework.
Assumpt i ons..........
Limi t at i ons .........
De f ini t i ons..........
Overview of the Study
II. REVIEW OF THE LITERATURE
17
Student Personnel as an Emerging
Profession.............................. 17
Development of Student Personnel
Preparation Programs..................... 28
Chapter Summary............................ 4 0
III. RESEARCH DESIGN AND METHODOLOGY................ 42
Research Obj ect ives
42 42
Research Popu1 at ion.......................
Development of the Instrument............. 45
Endorsement of the Study.................. 50
Administration of the Instrument.......... 51
.................... 52
.................... 52
.................... 53
Treatment of the Data Research Questions... Chapter Summary......
IV. PRESENTATION OF THE DATA
55
Demographic Profile of Respondents........ 56
Data on Possession of Competencies........ 64
Data on Importance of Competencies........ 78
Chapter Summary........................... 100
iv


3, and 4 in this category. A significant difference was found on extent of importance for competency 3. The results of Duncan's multiple range test, summarized in Table 35 of Appendix H indicate that FTs differed significantly with DOHs and CSAOs on possession for competencies 2, 3, and 4. A significant difference existed between FTs and DOHs on extent of perceived importance of competency 3. II. Consultation
5. Recognize and facilitate group problem solving and group
decision making
6. Facilitate group problem solving and group decision making
7. Facilitate staff development through in-service training
8. Work effectively with a diversity of individual students and
faculty
Mean scores for each of the three research groups on possession and importance for the category of Consultation are provided in Table 17. These means were used in the analysis summarized in Table 18.
TABLE 17
MEAN SCORES FOR GROUPS ON POSSESSION AND
IMPORTANCE OF CONSULTATION
Group B Possession Importance
FTs 75 3.303 3.573
DOHs 94 2.921 3.476
CSAOs 91 2.846 3.431
TABLE 18
MULTIVARIATE ANALYSIS, CONSULTATION DF = 2,257 ALPHA = .05
F-Value P>F Implication
Possession 26.35 .0001 Significant
Importance 3.26 .0399 Not Significant


-106-
they agreed that recent master's graduates possessed the competency and b) the extent to which they believed the competency was important for assuming an entry level staff position in student affairs. The 33 competencies were derived from previous studies on competencies necessary for student affairs staff (Domeier, 1977; Minetti, 1977; Hanson, Note 2,). A modification of the Tomorrow's Higher Education (T.H.E.) model (Miller and Prince, 1976) was used as the foundation for a conceptual framework, providing categories for which the competencies were identified. The categories from the modified T.H.E. conceptual model and the 33 competencies utilized in the study included the following:
I. Goal Setting
1. Write behavioral objectives
2. Identify and articulate institution's goals and policies
to students
3. Teach students the consequences of their behavior
4. Engage in systematic planning II. Consultation
5. Recognize and use expertise of others
6. Facilitate group problem solving and group decision
making.
7. Facilitate staff development through in-service
training.
8. Work effectively with a diversity of individual
students and faculty.
III. Communication
9. Analyze and write memos and reports
10. Make effective use of verbal and nonverbal skills in
group presentations


TABLE 37
DUNCAN'S MULTIPLE RANGE TEST FOR POSSESSION AND IMPORTANCE
OF COMPETENCIES IN THE CATEGORY OF COMMUNICATION WHERE SIGNIFICANT DIFFERENCES WERE IDENTIFIED
ALPHA = .05
DF = 230
POSSESSION
IMPORATANCE
III. Communication Competencies
Duncan Grouping
Mean
N
Group
Duncan Grouping
Mean
N
Group
9. Analyze and Write Memos and Reports A
B B
B
10. Make Effective Use Presentations A
B
B
11. Perceive Interpret ... of Others A
B B
B
NOTE: Means with the same letter are not significantly different
DF Degrees of Freedom
2.892 65 FT
2.6024 83 CSAO
2.424 85 DOH
3.354 65 FT A 3.677 65 FT
2.855 83 CSAO B 3.471 85 DOH
B
2.835 85 DOH B 3.458 83 CSAO
3.200 65 FT
2.783 83 CSAO
2.765 85 DOH


-110-
Question 2
Do chief student affairs officers (CSAOs), directors of housing (DOHs) and faculty (FTs) have similar perceptions of the training recent master's degree graduates of preparation programs in student personnel administration receive for the identified entry level
competencies?
This question was answered by determining if statistically significant differences existed among the mean scores of the three groups for possession of each category and competency. Statistical significance for this study was set at alpha = .05. Where significant differences were found additional testing was done to determine between which groups there were differences.
Statistically significant differences were found among the groups on possession of the competencies for all five categories in the study. For each category, FTs reported a significantly higher extent of agreement for possession of the competencies that DOHs and CSAOs. Statistically significant differences were obtained for the three groups on 29 of the 33 individual competencies. For most of these competencies FTs reported a significantly higher extent of agreement for possession by recent graduates than DOHs or CSAOs. Question 3
Is it important for recent master's degree graduates from preparation programs in student personnel administration to have acquired these competencies prior to full time entry into the student affairs field?


-37-
-
A longitudinal study of the graduate assistantship work training experience highlighted the importance of experiential learning in
preparation programs (McGovern and Tinsley, 1976).
Various trends in preparation have been observed. There has
been increased emphasis on training for the generalist rather than specialists (Emmet, 1963). There is a trend away from counseling and guidance courses as a prerequisite for student personnel work (Emmet, 1963). Riker (1977) observed that professional preparation programs are placing more responsibility on students for demonstrating learning and skill attainment and utilizing faculty more as supervisors, and resource persons. He believed that as the concept of competency-based curriculum receives greater attention, carefully planned learning modules would replace content courses.
Needs / Recommendations
Practicums and internships have been recognized as valuable components of preparation programs. Kirkbride (1972) recommended that 1) practicums be offered at the end of the formal training program, 2) greater emphasis be placed on exposure to generalists than specialists, 3) a team of supervisors rather than individuals be utilized (p. 84).
Increased recognition was made of the need to analyze training content in terms of actual job function and job expectations in an effort to lessen the disparity between training and job performance (Blaesser and Froelich, 1950; Stroughton, 1957).
Preparation programs must increase their attention to the administration and management of higher education (Appleton, Briggs,


TABLE 13
MEAN SCORES AND STANDARD DEVIATIONS FOR FACULTY (FTs), DIRECTORS OF HOUSING (DOHs) AND CHIEF STUDENT AFFAIRS OFFICERS (CSAOs)
ON EXTENT OF IMPORTANCE OF COMPETENCIES IN THE CATEGORY OF ENVIRONMENTAL AND ORGANIZATIONAL MANAGEMENT
FT3 DOHb CSAO
CATEGORY/COMPETENCY
MEAN
SD
MEAN
SD
MEAN
SD
V. Environmental and Organizational
Management
3.348
.369
3.342
.322
3.413
.344
23. Develop and Administer a Budget
24. Organize Resources (People,
Material) to carry out Program
3.133
.794
2.892
.729
3.253
.643
I
oo
I
Activities
3.440
575
3.415
557
3.615
511
25. Understand Institutional Mission,
Objectives, and Expectations
3.653
532
3.234
629
3.549
563
26. Know and Utilize Effective
Decision-Making Strategies
3.419
524
3.383
551
3.505
524
27. Accept Authority and Responsibility and Delegate as
Appropriate
3.432
551
3.564
499
3.582
.496
28. Identify and Utilize Available
Financial Resources
3.260
646
3.032
630
3.220
.533
n=75
b
n=94
n=91


TABLE 38 Continued
POSSESSION
IMPORTANCE
IV. Assessment and Evaluation Competencies Duncan Grouping Mean N Group Duncan Grouping Mean N Group
19. Identify Evaluation Strategies A 2.846 65 FT
B 2.470 83 CSAO
B
B 2.424 85 DOH
20. Design Program Evaluate Staff A 3.282 85 DOH
B 3.077 65 FT
B
B 3.072 83 CSAO
21. Revise Programs Evaluation Data A 2.815 65 FT
B 2.529 85 DOH
B
B 2.506 83 CSAO t
22. Recognize Interpersonal Problems A 3.292 65 FT
B 2.965 85 DOH
B
B 2.916 83 CSAO
NOTE: Means with the same letter are not significantly different
I
i
DF
Degrees of Freedom


-52-
recipients who had failed to respond to the initial request (See Appendix). This request asked that the instrument be returned within two weeks.
Treatment of the Data
Responses obtained on each of the 33 competencies in Part II of the instrument yielded an individual score for each competency on possession and importance.
Responses to the question on possession provided a measure of the extent to which respondents in each sample perceived entry level staff to possess or not possess each competency.
Responses to the question on importance provided a measure of the extent to which respondents in each sample perceived each competency important or not important for the assumption of an entry level staff position. ^
The Statistical Analysis System (SAS) computer program was the primary tool used in analyzing the data. This program system enabled the researcher to perform various types of data analysis relevant to the design of the study.
All instruments were number coded to allow for identification with the appropriate sample. The results from all useable, returned instruments were tranferred on to data coding sheets and subsequently punched on to IBM cards.
Procedures were selected from the SAS program which enabled the
researcher to answer the research questions asked in the study.
Those questions were as follows:
Research Questions
1. Do recent graduates of master's level preparation programs in
student personnel administration enter the field of student affairs


developed by T. J. Miller and J. S. Prince in The Future of Student Affairs served as the conceptual framework for this study. The modified model identified categories of development which included goal setting, consultation, communication, assessment and evaluation, and environmental and organizational management. From a review of the literature and related research, a two-part research instrument was developed which included 33 competencies recommended by faculty, practitioners, and professional associations for entry level student affairs staff. The instrument was administered to 162 faculty, 141 directors of housing and 150 chief student affairs officers. A response rate of 46.3% of faculty, 66.7% of directors of housing, and 60.7% of chief student affairs officers was achieved.
The results of the study indicated the T.H.E. model was an appropriate framework for the identification and conceptualization of the important learning outcomes of professional preparation programs in student personnel administration.
Chief student affairs officers and directors of housing indicated doubt as to whether recent master's graduates of preparation programs possessed competencies in any of the five conceptual categories. Each of the three groups believed that the competencies in all categories were important for assuming an entry level position in student affairs.
The three groups did not have similar perceptions of the training recent graduates received for the competencies. Faculty perceived significantly greater possession of the competencies by recent grad-uates in all conceptual categories. The three groups did have similar perceptions of the importance of the competencies in all five categories for assuming an entry level position in student affairs.
-vii-


closer to the recognition of student personnel administration as a "profession." He indicated the need for generally set standards of performances and competencies for graduates of preparation programs. Penn (1973) supported this viewpoint by observing that professional competence in the field of student affairs was related to knowledge and specific skills learned in preparation programs.
Curriculum guidelines have been addressed by the American College Personnel Association (ACPA), Council of Student Personnel Associations (COSPA), and others (O'Banion, 1966; Rhatigan, 1965). Many of the programs listed in the most recent issue (1980) of the ACPAfs Directory of Graduate Preparation Programs in College Student Personnel provided course offerings as well as other developmental experiences consistent with curricular recommendations. To date, no credentials or standards are required by states, regional accrediting agencies, or professional associations for entry into the field of student affairs.
Rhatigan (1968) noted that the issue of professional preparation was extremely complex. Such complexity was due to multiple areas of specialization, many levels of training, and different sizes and types of institutions to be served. In his study of professional preparation he concluded there was an urgent need for research that related training experiences to professional effectiveness. Such research must involve examination of skills, attitudes, and knowledge that effective administrators possess (Rhatigan, 1968).
The logical outcomes of preparation programs are the competencies which graduates of the programs should acquire prior to entry into the profession. Such competencies have been identified in several studies


student personnel administration receive for the identified entry-level competencies?
3. Is it important for recent master's degree graduates from student
personnel preparation programs to have acquired these competencies prior to the full time entry into the student affairs field?
4. Do CSAOs, DOHs, and FTs have similar perceptions of the
importance of these entry level competencies?
Justification for the Study
The need for competently trained staff has been a concern of student personnel professionals for over thirty years. LaBarre (1948) observed that despite increased needs for personnel workers no assurances could be given that the work would be done by competently trained persons unless some measures of their proficiency were designed to meet minimum qualifications. LaBarre indicated that there was a need for basic work standards in the field. She called for professional student personnel associations to undertake research and study to establish minimum performance standards on a national scale. She believed preparation programs offered the logical place to identify criteria upon which professional standards might be based.
The literature of the field has identified concern for quality and excellence in professional preparation programs. One study of the professional preparation of college student personnel administrators observed that professional preparation assumed increased importance as a function of trends toward professionalization and increased demands from professionally trained workers (Hoyt and Rhatigan, 1968). In another study of preparation programs in student personnel, Rockey (1972) identified key components of a College Student Personnel preparation program to be quality faculty and students, sufficient elaboration of the program, strong, supporting departments, institutional


99
TABLE 27
MULTIVARIATE ANALYSIS, ENVIRONMENTAL AND ORGANIZATIONAL MANAGEMENT
DF = 2,257 ALPHA = .05
F-Value P>F Implication
Possession 12.35 .0001 Significant
Importance 1.16 .3139 Not Significant
A significant difference among the three groups on the extent of agreement that recent master's graduates of preparation programs possess competencies in the category of Environmental and Organizational Management is indicated in Table 27. FTs differed significantly with both DOHs and CSAOs in the extent to which they agree recent graduates of preparation programs possess competencies in the category of Environmental and Organizational Management as shown in Duncan's multiple range test in Table 28..
TABLE 28
DUNCAN'S MULTIPLE RANGE TEST FOR POSSESSION OF ENVIRONMENTAL AND ORGANIZATIONAL MANAGEMENT
Group N Mean Duncan Grouping
FT 75 2.934
A
CSAO 91 2.667
DOH 94 2.630
B B B
Note. Means with the same letter are not significantly different.


Professional preparation at the master's level must provide background or history, philosophy, and theory in building foundations for effective professional education in a broad context (Trueblood, 1966; O'Banion, 1969; Delworth and Hanson, 1980). Such preparation must also provide opportunity for the acquisition and application of skills and competencies necessary for effective functioning in full time, professional student affairs positions (Domeier, 1977, Minetti, 1977; Delworth and Hanson, 1980; Stamatakos, 1981). These opportunities are generally provided through practicums, internships, and assistantships.
A model core curriculum for master's degree, entry level student affairs practitioners was developed by Delworth and Hanson (1980). This core curriculum was developed in consideration of the need to reexamine the variety of roles student affairs professionals assume and to allow for the introduction of new ideas, concepts, and models of practice. Such a curriculum would permit a continuous evolution consistent with the changing needs of the profession and current models of practice. Delworth and Hanson's curriculum components included the following: 1) history and philosophy, 2) theory, 3) models of practice and role orientation, 4) core competencies, 5) specialized competencies, 6) administration and management, 7) practicum or field work, 8) additional theory and tool courses.
The Council of Student Personnel Administrators (COSPA) identified the purpose of professional preparation in the following statement:
The goal of professional preparation programs is the preparation of persons who in addition to having obtained a high level of self development have skills in collaborating with others in their self development.


154
Cowley, W. H. "The nature of student personnel work." Educational
Record, 1936, 17, 198-226.
Cowley, W. H. "Some history and a venture in prophecy." In E. G.
Williamson (Ed.), Trends in student personnel work. Minneapolis:
University of Minnesota Press, 1949.
Cowley, W. H. "Student personnel services in retrospect and
prospect." School and Society, 1957, 5, 19-22.
Cowley, W. H. "Reflections of a troublesome but hopeful Rip Van
Winkle." Journal of College Student Personnel, 1964, 6, 66-73.
Crane, Robert M. "The raison d'etre of a college student personnel
administrator." Improving College and University Teaching, 1965, 13, 19-20.
Crookston, B. B. "An organizational model for student development."
NASPA Journal, 1972, 10, 3-13.
Crookston, B. B. "Student personnel ... all hail and farewell!"
Personnel and Guidance Journal, 1976, 5^5, 26-29,
Cross, K. P. "Student personnel work as a profession." Journal of
College Student Personnel, 1973, 14, 77-81.
Davies, T. G. Proposed behavioral competencies for members of the
junior college presidential cabinet (Doctoral dissertation, Michigan State University, 1970). Dissertation Abstracts International, 1971, 31, 5692A. (University Microfilms No. 71-11815)
Davis, I. C. Analysis of a graduate program for college student
personnel work based on determined criteria (Doctoral dissertation Indiana University, 1956). Dissertation Abstracts International, 1957, 17, 572. (University Microfilms No. 17-766)
Delworth, U., and Hanson, G. Student Services. San Francisco:
Jossey-Bass, 1980.
Delworth, U. and Yarris, E. "Concepts and process in the new
training roles." In U. Delworth (Ed.), New Directions for student services: Training competent staff no. 2. San Francisco: Jossey-Bass, 1978.
Dewey, M. E. "The student personnel worker of 1980." Journal of
National Association of Women Deans and Counselors"! 1972, 35, 59-64.
Dewey, M. E. "Systems philosophy as professional preparation." In
G. H. Knock (Ed.), Perspective on the preparation of student affairs professionals. Student Personnel Series no. 22. Washington, D.C.: American College Personnel Association, 1977.


29
78% held teaching appointments. Only 10% had no academic rank. A later study by Foy (1969) of career patterns of student personnel administrators revealed that 41% of those working in student affairs had graduate degree training in guidance, counseling, or student personnel. Eighty-six percent of the respondents believed that formal training of new student personnel administrators was of great importance.
Historically, the first formal training program began at Teachers' College, Columbia University (LaBarre, 1948; Barry and Wolf, 1957; Lloyd-Jones, 1962; Klopf, 1963) in 1913. Early concepts of educational personnel work were confined to vocational guidance. Parallel to this was the emphasis on counseling and guidance. By 1926, a prospective vocational guidance worker could find coursework at 40 schools; the neophyte dean at 24 (Barry and Wolf, 1957). The contributions of training were felt to be improved practice, advanced theory, production of trained workers and promotion of the field of student personnel. The primary issues related to training identified then and relevant today included content, methodology, selection, and evaluation
(Barry and Wolf, 1957). Selection and Standards
Wrenn (1952) considered "the issues of selection and standards to be the major unresolved problems in the preparation of student personnel practitioners. He believed graduate institutions should accept the responsibility for admitting into training programs only those who demonstrated some evidence that they would succeed in the graduate program and on the job. Anderson (1948) urged the development of standards that would serve as criteria for selection of


V. SUMMARY, CONCLUSION, AND FUTURE CONSIDERATIONS.. 101
A Summary of the Development of the Study.. 101
,............................... 109
................................ 112
Findings...................................
Conelus ions................................
Implications and Considerations
....................... 114
for Further Study
APPENDIX
A RESEARCH INSTRUMENT FOR FACULTY................. 117
B RESEARCH INSTRUMENT FOR DIRECTORS OF HOUSING
AND CHIEF STUDENT AFFAIRS OFFICERS......... 120
C LETTER OF ENDORSEMENT FROM VICE PRESIDENT FOR
STUDENT AFFAIRS.........................
D LETTER OF ENDORSEMENT FROM RESEARCH AND INFOR
MATION COMMITTEE .......................
E FOLLOW-UP POST CARD
F TABLE LISTING MEAN SCORES FOR EACH GROUP BY
COMPETENCY FOR POSSESSION AND IMPORTANCE BY CATEGORY.............................
G TABLES LISTING MULTIVARIATE ANALYSIS OF VARIANCE
FOR GROUPS BY CATEGORY.....................
H TABLES LISTING RESULTS OF DUNCAN'S MULTIPLE
RANGE TEST FOR POSSESSION AND IMPORTANCE BY CATEGORY ............................
REFEREBCE NOTES
REFERENCES
BIOGRAPHICAL SKETCH
v
123
126
128
130
134
140
150
151
163


103
A recent study to determine attitudes about the quality of professional preparation programs (Sandeen, 1982) indicated that the quality of students was too uneven and that lack of academic rigor in some programs promoted a lack of respect for programs generally.
Several studies have demonstrated that the logical outcomes of preparation programs are the competencies which graduates of the programs should acquire prior to entry into the profession (Hanson, 1977; Domeier, 1977, Minetti, 1977). Other studies have indicated that the acquisition of professional competencies represent a primary objective of preparation programs (Williamson, 1952; Newton and Hellenga, 1974). Such competencies have provided a means by which the productivity of graduate preparation programs for the student affairs field could be measured. Stamatakos (1981) concluded that there was no published research evidence to support the notion that those hired for student affairs positions possess the general skills and competencies that have been identified in the literature.
This study focused on three groups of professionals in the student affairs field. Faculty, chief student affairs officers, and directors of housing were surveyed to determine the extent to which they agreed that recent master's degree graduates of preparation programs actually possessed the professional competencies identified in
to
the literature. The three groups were also asked to assess the extent to which they believed these competencies were important for assuming entry level positions in student affairs.
The data collected from this study may provide relevant information for those responsible for training prospective student affairs


TABLE 3 Continued
CHARACTERISTIC
Current or previous administrative service
Residence Halls/Housing Student Activities/Unions Financial Aid Counseling Center Career Planning/Placement Dean of Students Office Chief Student Affairs Officer Academic Department Head Chief Academic Officer
PERCENT
31 41.3 22 29.3 10 13.3 30 40.0 10 13.3
32 42.7 10 13.3 16 21.3
1 1.3


TABLE 29 Continued
FTs
DOHs
b
CSAOs
COMPETENCY
POSSESSION
IMPORTANCE
POSSESSION
IMPORTANCE
POSSESSION
IMPORTANCE
14. Determinging Usage of Office
Procedures
2.462
2.815
2.141
2.941
2.289
2.9880
15. Assess Student Needs
3.185
3.585
2.741
3.482
2.783
3.518
16. Analyze and Interpret Requests
17. Design Student Programs Needs
3.015
3.139
3.415
3.554
2.694
2.777
3.294
3.424
2.675
2.735
3.313
3.506
18. Interpret Evaluation Strategies
2.831
3.185
2.447
3.024
2.446
3.036
19. Identify Evaluation Strategies
2.846
3.185
2.424
3.024
2.470
3.036
20. Design Program
. Evaluate Staff
2.615
3.077
2.518
3.282
2.386
3.072
21. Revise Programs Evaluation Data
2.815
3.277
2.529
3.235
2.506
3.289
22. Recognize Interpersonal Problems 3.292
23. Develop and Administer a Budget
2.539
3.554
3.185
2.965
1.894
3.447
2.918
2.916 2.169
3.482
3.277
24. Organize Resources Program
Acitivities
3.139
3.446
2.741
3.435
2.819
3.615
25. Understand Institutional Mission .
Expectations
3.000
3.631
2.459
3.271
2.627
3.566
26. Know and Utilize
Strategies
3.092
3.494
2.588
3.446
2.651
3.377
27. Accept Authority .
Appropriate
Delegate as
3.062
3.462
2.635
3.565
2.795
3.578
28. Identify and Utilize Resources
2.785
3.339
2.353
3.035
2.518
3.241


-109-
measures, and THE GLM program for multivariate analysis of variance were appropraitely utilized. Duncan's multiple range test was used to do post hoc, pair-wise comparisons between groups where significant differences were indicated.
Findings
The findings in this study are presented in response to each of the four questions for investigation. Question 1
Do recent graduates of master's level preparation programs in student personnel administration enter the field of student affairs with training in entry level competencies as a result of their preparation programs?
This question was answered by examining the mean scores generated by respondents in each of the three groups as they indicated the extent of their respective agreement for possession of each competency by recent master's degree graduates. Mean scores obtained for FTs were above 3.0 on categories of Goal Setting, Consultation, and Communication which indicated a tendency in the direction of agreement on possession of competencies in these categories by recent graduates. Mean scores for FTs were below 3.0 on categories of Assessment and Evaluation and Environmental Organizational Management which indicated a tendency in the direction of disagreement on possession of competencies in these categories by recent graduates.
Mean scores of DOHs and CSAOs were below 3.0 for all five categores in this study which indicated a tendency in the direction of disagreement on possession of competencies in all categories by recent graduates.


114
The results of the study support the conclusion that all three groups of student affairs professionals found competencies in the category of Consultation are most likely to be possessed by recent master's graduates of preparation programs in student personnel administration. The three groups also found competencies in the category of Consultation were most important for assuming an entry level position in the field of student affairs.
The results of the study support the conclusion that all three groups of student affairs professionals found competencies in the category of Assessment and Evaluation were least important for assuming an entry level position in student affairs.
Implications and Considerations for Further Study ; results of this study have raised a number of issues and s which merit additional consideration and further study, what has been identified in the literature regarding what
to be done" is supported by the results of this study.
Content analysis of preparation programs in terms of actual job function and job expectations is warranted in an effort to lessen the disparity between training and job performance (Blaesser and Froehlich 1950; Stroughton,
1957).
Increased attention to the development of skills in the administration and management of higher education on the part of preparation programs is warranted (Yates, 1977; Appleton, Briggs, Rhatigan, 1978).
Collaboration between faculty and practitioners is warranted in developing learning expectations and appropriate measures of the learning outcomes which would reflect the demands of professional positions in the field of student affairs.
Demonstration by students of competence in areas agreed to by faculty and practitioners as important in assuming entry level positions in student affairs is warranted.
Consideration might be given to an examination of recent graduates' perceptions of their own possession of competencies compared to perceptions of faculty.


(Domeier, 1977; Minetti, 1977; Hanson, Note 2), and have provided a means by which the productivity of graduate training programs in student personnel can be measured. In the development of a program for evaluating outcomes of an educational program, certain basic assumptions must be considered:
1. The kinds of changes in behavior patterns in human beings
which the program seeks to bring about are its educational objectives.
2. An educational program is appraised by finding out how far
the objectives of the programs are actually being realized.
Previous studies have indicated that the acquisition of professional competencies represents a primary objective of preparation programs (Williamson, 1952; Newton and Hellenga, 1974).
In a study that examined the training of student affairs administrators for specified competency tasks, Domeier (1977) recommended examination of the purposes and quality of student affairs training programs in relation to specified competencies. She indicated that, with some modification, her questionnaire could be utilized as an assessment instrument or as a guide to competency development in student affairs preparation programs. A similar study by Minetti (1977) sought to determine the relationship between the academic training and assistantship experiences in preparation programs by identifying the locus of preparation for entry level competencies necessary for work in the field of student affairs. He indicated that the study addressed the "should be" or ideal for professional preparation (p. 156). He recommended further study to investigate and compare with what in reality is occurring in training programs.


18
construction of dormitories was to supervise the lives and studies of students. Discipline was the primary reason for staff interaction with students outside the confines of the classroom. Generally, the emphasis was on control with the president and the faculty acting in the role of guardians to provide direction for the students, often in the form of sanctions for unacceptable behavior.
Explosive enrollments spurred by the Land Grant Act in 1862 brought about an abrupt change in emphasis in higher education and with it a need to deal with large numbers of heterogeneous students (Shaffer and Martinson, 1966). These developments brought with them a different set of student needs that required staff attention in more diverse ways. The appointments of the first deans of women and men around the turn of the century signaled the emergency of student personnel work. Appleton, Briggs, and Rhatigan (1978) identified factors which contributed to the origins of student personnel work:
1. The development of land grant institutions and the rise of public colleges and universities.
2. Increasing enrollments and accompanying increase in heterogeneity of student populations.
3. Social, political, and intellectual ferment in the nation.
4. Rise of coeducation and increase in numbers of women entering institutions.
5. Introduction of elective systems in higher education.
6. Emphasis on vocationalism over traditional liberal arts.
7. Impact of science and the scientific method.
8. Emerging signs of fundamental struggle between empiricism and humanism.
9. Correlation between intellectualism and impersonalism on the part of faculty educated in German institutions.
10. Expanding industrialism and urbanization.


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TABLE 2
SPECIFIC PRACTITIONER RESPONDENT (DOH AND CSAO) DATA
DOIl
CSAO
Characteristic
N
Percent
N
Percent
Number of your staff hired in first professional student affairs job since employed at current
position level
Less than 5
22
23.4
17
19.5
I
7
I
5-10
22
23.4
29
33.3
11 20
20
21.3
11
12.6
more than 20
30
31.9
30
33.5
Number of your staff hired in first professional student affairs job with master's degree in field
related to higher education
Less than 5
26
28.3
21
24.7
5-10
25
27.2
29
34.1
11 20
17
18.5
16
18.8
more than 20
24
26.1
19
22.4


Ill
This question was answered by examining the mean scores generated by respondents in each of the three groups as they indicated the extent to which they believed each competency to be important for assuming an entry level position in student affairs.
Mean scores obtained for the three groups were above 3.0 on importance for all categories in this study which indicated a tendency in the direction of the importance of all the competencies for assuming entry level positions as perceived by respondents in each of the three groups. Question 4
Do CSAOs, DOHs, and FTs have similar perceptions of the importance of these entry level competencies.
This question was answered by determining if statistically significant differences existed among the mean scores of the three groups for importance of each category and competency. Where significant differences were obtained additional testing was done to determine between which groups there were significant differences.
No significant differences were found among the three groups on importance of the competencies for any of the five categories in the study. Each group perceived the competencies in this study to be important to the same extent in assuming an entry level position in student affairs.
Differences between Possession and Importance
This study did not have as an objective the determination of the differences between possession and importance for the


-90-
The means for each group on possession and importance of the competencies used in the GLM-MANOVA analysis are included in Table 29 in Appendix F.
Pair wise comparisons were made where significant differences were indicated, Duncan's multiple range test was used to determine between which groups significant differences were indicated for possession and importance. For post hoc comparison by category, 260 responses were used. Post hoc comparisons by competency used the 233 responses which contained no missing values. I. Goal Setting.
1. Write behavioral objectives
2. Identify and articulate institution's goals and policies to
students
3. Teach students to deal with the consequences of their
behavior.
4. Engage in systematic planning
Mean scores for each of the three research groups on possession and importance for the category of Goal Setting are provided in Table
MEAN SCORES FOR RESEARCH GROUPS ON POSSESSION AND
14.
TABLE 14
IMPORTANCE OF GOAL SETTING
Group
N
Poss
ession
Importance
FTs
DOHs
CSAOs
75 94
91
3.117 2.750 2.782
3.378 3.415 3.410
These means were used in the analysis in Table 15.


TABLE 1 Continued
CHARACTERISTIC FTs DOHs
N Percent N
Advanced Degree in a Field Related to Higher Education
Master1s
Yes 47 62.7 71
NO 28 37.3 23
Doctorate
Yes 70 93.3 33
No 5 6.7 61
Membership in Professional Association
ACPA
ACUHO
NASPA
NANDAC
Other
CSAOs_CUMULATIVE
Percent N Percent N Percent
75.5
60
65.9
178
68.5
24.5
31
34.1
82
31.5
35.1
55
60.4
158
60.8
I
I
64.9
36
39.6
102
39.2
148
56.9
107
41.2
180
69.2
25
9.6
113
43.5


-98-
V. Environmental and Organizational Management
23. Develop and administer a budget
24. Organize resources (people, material) to carry out program
activities.
25. Understand institutional mission, objectives, and expectations
26. Know and utilize effective decision-making strategies
27. Accept authority and responsibility and delegate as
appropriate
28. Identify and utilize
29. Mediate conflict among students, campus, and/or community
groups
30. Recognize and accept the ethical consequences of personal
and professional behavior
31. Select, train, and supervise staff
32. Manage physical resources and facilities
33. Adjudicate student conduct effectively
Mean scores for each of the three research groups on possession and importance for the category of Environmental and Organizational Management are provided in Table 26. These means were used in the analysis summarized in Table 27.
TABLE 26
MEAN SCORES FOR GROUPS ON POSSESSION AND IMPORTANCE OF ENVIRONMENTAL AND ORGANIZATIONAL MANAGEMENT
Group N Possession Importance
FTs 75 2.934 3.348
DOHs 94 2.630 3.342
CSAOs 91 2.667 3.413


73
presentations." DOHs (2.946) and CSAOs (3.044) each indicated a highest mean score for possession of competency No. 13, "recognize and define confidentiality practices and procedures." All three groups reported lowest mean scores on possession for competency No. 14, "determining use of office management procedures." The mean score for FTs for the category of Communication (3.020) was above 3.0. Mean scores for DOHs (2.692) and CSAOs (2.744) for the category of Communication were less than 3.0, indicating a tendency in the direction toward the "disagree" range with respect to possession of competencies in the this category. Standard deviations for each respondent group were less than 1.0 for all competencies in this category.
IV Assessment and Evaluation. Mean scores and standard deviations for each of the three groups for extent of agreement with possession of the competencies in the category of Assessment and Evaluation are reported in Table 7. For all groups the highest mean scores were for competency No. 22, "recognize and analyze interpersonal problems." Each group reported a lowest mean score for a different competency. Mean scores for CSAOs, were less than 3.0 for every competency in the category. Mean scores for each group for the category of Assessment and Evaluation were less than 3.0, indicating a tendency in the direction toward the "disagree" range on possession for competencies in this category. Standard deviations for each group were less than 1.0 for all competencies in this category.
V Environmental and Organizational Management. Mean scores standard deviations of the three research groups for extent of agreement with possession of the competencies in the category of Environmental and Organizational Management are reported in Table 8. The


44
support the notion that those hired for student affairs positions possess the specified competencies or whether the preparation programs have prepared their graduates with these competencies.
These three samples of student affairs professionals were selected for a number of reasons. Chief Student Affairs Officers maintain overall ultimate responsibility for the hiring of professional staff in all
student affairs departments. The quality of the student affairs staff frequently reflects the level of involvement the CSAO has with the staff. The CSAO approves and supports the expected minimal professional and educational requirements for all professional staff positions in the student affairs division.
Directors of Housing were selected because they represent a student affairs department which frequently maintains a large number of professional staff. Housing departments, providing residence facilities for 3000 students or more, hire and provide for a larger number of professional staff than do housing department which provide facilities for few than 3000 students. Departments of that size are more likely to maintain an annual operating budget, large enough to support a professionally trained residence hall staff. A study by Ostroth (1979) supports the observation that, by far, more entry level professional positions are available in the housing/residence life department than within the other departments of student affairs.
Faculty were selected primarily because they assume the responsibility for providing the formal academic and applied preparation in graduate programs of student personnel work. Their responsibility is to direct the development of graduate students who


TABLE 1 Continued
CHARACTERISTICS
FTs
Time Employed in Student Affairs Higher Education
Age
Highest Earned Degree
N
Percent
N
Less than 5 years
2
2.7
4
5 10 years
6
8.2
27
11 15 years
22
30.1
31
more than 15 years
43
58.9
31
25 35 years
3
4
33
36 45 years
30
40
43
46 55 years
23
30.7
13
over 55 years
19
24.3
3
Bachelor1s
0
4
Master1s
3
4
56
Specialist
0
0
Doctorate
72
96
34
_CSAOs_CUMULATIVE
Percent N Percent N Percent
4.3 2 2.2 8 3.1
29 7 7.7 40 15.6
33.3 29 31.9 82 31.9
33.3 53 58.2 127 49.4
35.9 10 11 46 17.8
46.7 44 48.4 117 45.4
14.1 30 33 66 25.6
3.3 7 7.7 28 10.9
4.3 0 --- 4 1.5
59.2 26 28.6 85 32.7
1 1.1 1 .4
36.2 64 70.3 170 65.4
I
CO
I


-48-
21. Revise programs on the basis of evaluation data
22. Recognize and analyze interpersonal problems
V. Environmental and Organizational Management
23. Develop and administer a budget
24. Organize resources (people, material) to carry out program
activities
25. Understand institutional mission, objectives, and
expectations
26. Know and utilize effective decision making strategies
27. Accept authority and responsibility and delegate as
appropriate
28. Identify and utilize available financial resources
29. Mediate conflict among students, campus, and/or community
groups
30. Recognize and accept the ethical consequences of personal
and professional behavior
31. Select, train, and supervise staff
32. Manage physical resources and facilities
33. Adjudicate student conduct matters effectively
An instrument including these competencies and categories was
developed for use in this study. Part I of the instrument requested
common demographic information from respondents; age, highest earned
degree, length of time in current position, length of time in the field
of student affairs, type of institution where employed, institutional
enrollment, the field(s) in which advanced degrees were earned, and
membership in professional associations. Those responding to the
practitioner instrument were asked to indicate the number of their
professional staff who have been hired in a first professional student
job since they have served at their current position level (at their
current institution and any previous institutions) and how many such


102
Questions for Investigation
This study was designed to answer the following questions:
1. Do recent graduates of master's level preparation programs
in student personnel administration enter the field of student affairs with training in entry level competencies as a result of their preparation programs?
2. Do chief student affairs officers (CSAOs), director's of
housing (DOHs), and faculty (FTs) have similar perceptions of the training recent master's degree graduates of preparation programs in student personnel administration receive for the identified entry level competencies?
3. Is it important for recent master's degree graduates from
preparation programs in student personnel administration to have acquired these competencies prior to full time entry into the student affairs field?
4. Do CSAOs, DOHs, and FTs have similar perceptions of the
importance of these entry level competencies?
Justification for the Study
The literature in the field of student affairs has identified concern for issues of standards, quality, and excellence. These issues have been significant in that they represented outcomes which more professionals believed the field of student affairs needed in the preparation of those about to enter the field. LaBarre (1949) indicated that there was a need for basic work standards in the student affairs field. She believed preparation programs provided the logical place to identify criteria upon which professional standards might be based.
Penn (1973) described the key to excellence in terms of quality programs and defined standards of acceptable performance. He noted that professional competence in the field of student affairs was related to knowledge and specific skills, learned in preparation programs.


TABLE 29 (Continued)
FTsa
COMPETENCY_POSSESSION IMPORTANCE POSSESSION_IMPORTANCE POSSESSION IMPORTANCE
29. Mediate Conflict Community Groups 3.046 3.369 2.906 3.329 2.819 3.410
30. Recognize and Accept Consequences
. Behavior 3.600 3.754 2.777 3.635 3.036 3.627
31. Select, Train, and Supervise Staff 2.892 3.339 3.000 3.741 2.735 3.337
32. Manage Physical Resources and
Facilities 2.754 3.046 2.412 3.165 2.578 3.145

33. Adjudicate Student Conduct
Effectively 2.769 3.123 2.788 3.341 2.663 3.337
D0Hsb CSA0s
a
n=75
b
n=85
n=83


philosophy, psychology, sociology, and the humanities as well as in management and administration (Crane, 1965).
Useem (1964) has observed that the difference between an occupation and a profession lies in the degree to which its cluster of skills is backed by a consistent body of theories and principles. She believed that student personnel administration was a "professionalizing" occupation in the sense there was an increasing attention to the theoretical principles out of which should flow the skilled performance. This observation of "professionalizing" of occupations was also observed by Wilensky (1964) who noted that the label was loosely applied to increasing specialization and transferability of skill; the proliferation of objective standards of work; the spread of tenure arrangements, licensing or certification; and the growth of service occupations.
Concern for the recognition of student personnel administration as a profession has been widely expressed in the literature (Cowley, 1936; Wrenn and Darley, 1949; American Council on Education, 1949; Lloyd-Jones, 1949; Feder, 1959; Mueller, 1959; Penny, 1969; Penn, 1974; Stamatakos, 1981). Wrenn and Darley have provided perhaps the best and most widely accepted criteria to determine whether student personnel work deserves identity as a profession.
1. The application of standards of selection and training.
2. The definition of job titles and functions.
3. The possession of specialized knowledge and skills.
4. The development of a professional consciousness and
professional group.
5. The self imposition of standards of admission and
performance.


-38-
Rhatigan, 1978). There has been a strong endorsement for a sharper focus on organizational development (Blaesser, 1978; McDaniel, 1972). A study by Yates (1977) of the perceptions of chief student personnel administrators and coordinaters of preparation programs regarding intended learning outcomes of doctoral programs supports this. Yates (1977) found that respondents believe there is a need for greater emphasis on the development of management skills in preparation programs.
Trueblood (1966) recommended 1) that preparation programs be open to modification based upon varying training needs, 2) that preparation programs select qualified people for training, and 3) that preparation programs develop learning expectations which reflect the demands of professional positions. The results of a study by Tracey (1971) showed that a higher priority must be given to the evaluation of and improvement of existing preparation programs.
Professional Competency
Competency results when an individual exhibits behavior that enables him to perform a particular administrative task in the most desirable manner (Southern States Cooperative Program in Educational Administration, 1955). A competency must be judged in reference to purpose and must be concerned with quality (p. 45).
No group can claim professional standing without explicit statements about what constitutes competence in the field and the means by which competence has been the beginning step in a total competency based program (McCleary, 1973).


-94-
III Communication
9. Analyze and write memos and reports
10. Make effective use of verbal and nonverbal skills in group
presentations
11. Perceive and accurately interpret attitudes, beliefs, and
needs of others
12. Represent student concerns to other campus groups
13. Recognize and define confidentiality practices and procedures
14. Determining usage of office management procedures (i.e.
secretarial services, business machine operations, print and non-print media
Mean scores for each of the three research groups on possession and importance for the category of Communication are provided in Table 20. These means were used in the analysis summarized in Table
21.
TABLE 20
MEAN SCORES FOR GROUPS ON POSSESSION AND
IMPORTANCE OF COMMUNICATION
Group N Possession Importance
FTs 75 3.020 3.341
DOHs 94 2.692 3.287
CSAOs 91 2.744 3.412
TABLE 21
MULTIVARIATE ANALYSIS, COMMUNICATION DF = 2,257 ALPHA = .05
F-Value P>F Implication
Possession 18.77 .0001 Significant
Importance 2.74 .0662 Not Significant
A significant difference among the three groups on extent of agreement that recent master's graduates of preparation programs


UNIVERSITY OF FLORIDA Gainesville, 326 11
VICE PRESIOENT FOR STUDENT AFFAIRS
1 23 Tl GERT H 90 4 392-126
May 16, 1983
Dear Col 1eague:
You
are invited to participate in a study of professional graduate
student affairs administration.
preparation programs in student affairs administration. This study is being conducted by Randy Hyman, Assistant Director of Housing at the University of Florida for his Ph.D. degree in Higher Education. Specifically, the study examines the entry level professional competencies that are addressed in graduate training programs.
Your participation in this study is very important, as the results may be of value to those planning professional preparation programs, and to those who hire entry level staff. The results, of course, will not identify either individuals or specific institutions, and your responses will remain confidential.
As the institutional contact for the professional preparation program in college student personnel at your institution (according to the Directory of Graduate Preparation Programs in College Student Personnel, ACPA, 1980) we are requesting that you complete one of the enclosed instruments and select another member of the preparation faculty to complete the other. The instrument is brief and a recently conducted pilot test, revealed an average completion time of 12 minutes. Two self-addressed envelopes have been enclosed for the convenience of yourself and your identified colleague.
Thank you for your participation and cooperation. We would request that the enclosed instruments be completed and returned to Randy Hyman by May 30, I983.
Sincerely,
Arthur Sandeen Vice President for Student Affairs and Professor, Educa-t i ona1 Adm i n i s t ra t i on
Randy Hyman Assistant Director of Housing
EQUAL EMPLOYMENT OPPORTUNITY / AFFIRMA T|VE ACTION EMPLOYER


43
2. Do chief student affairs officers (CSAOs), directors of
housing (DOH) and faculty (FTs) have similar perceptions of the training recent master's degree graduates of preparation programs in student personnel administration receive for the identified entry level competencies?
3. Is it important for recent master's degree graduates from
student personnel administration preparation programs to have acquired these competencies prior to full time entry into the student affairs field?
4. Do CSAOs, DOHs, and FTs, have similar perceptions of the
importance of these entry level competencies?
Research Population The research population for this study included selected samples of chief student affairs officers (CSAOs) and directors of housing (DOHs) at four year public and private post secondary educational institutions and faculty (FTs) employed at institutions with departments offering graduate programs in student personnel administration leading to a Master's degree. A random sample of 150 CSAOs was selected from the voting delegate directory of the National Association of Student Personnel Administrators (NASPA). One hundred and forty-one DOHs at institutions which house 3000 or more students in university-operated residential facilities were selected from the directory of the Association of College and University Housing Officers International (ACUHO-I). One hundred and sixty-two FTs were selected from the Directory of Graduate Preparation Programs in College Student Personnel (American College Personnel Association
1980).
No studies have been reported in the literature which investigated the perceptions of both student affairs practitioners and faculty trainers regarding training in preparation programs for specified professional competencies. Indeed, there is no published research to


competencies in areas of goal setting, assessment, instruction, consultation, milieu management, and evaluation. Delworth and Hanson (1980) indicated that acquisition of critical competencies in similar areas of assessment and evaluation, instruction, counseling, and consultation should be the primary focus of preparation programs.
Preparation Program Assessments
Cowley (1957) noted the tendency to make appointments to key personnel positions for reasons having little to do with preparation for such duties (Hill and Green, 1960). Stamatakos (1981) made reference to the 1200 "crossovers" entering over field every year from other faculty positions, business, industry, the military, the clergy; all with little or no previous training or experience in student affairs work. Upcraft (1971) concluded that formal preparation has little effect on the student affairs practitioners1 perception of their work.
At present preparation programs are administered through departments of counseling and guidance, psychology, educational psychology, higher education, or educational administration. When a separate program exists it is interdisciplinary in nature, involving
course offerings from a wide range of departments with direct affiliation to counseling or higher education (Greenleaf, 1977). Cosby (1965) perceived the heavy emphasis on counseling as a source of role conflict for student affairs practitioners heavily engaged in administration. A study by Commission V of the National Association of Student Personnel Administrators (NASPA) of the attitudes of behavioral scientists toward the training and responsibilities of student personnel administrators revealed that a significant number of


TABLE 34
GENERAL LINEAR MODELS PROCEDURE MULTIVARIATE ANALYSIS OF VARIANCE OF COMPETENCIES IN CATEGORY
OF ENVIRONMENTAL AND ORGANIZATIONAL MANAGEMENT
FOR FTs (n=65), AND DOHs (n=85) CSAOs (n=83) DF = 2,230 ALPHA = 0.05
POSSESSION IMPORTANCE
V. 1 Environmental and Organizational
Management Competencies F-Value P>F Implication F-Value P>F 0 Implication
23. Develop and Administer a Budget 13.98 .0001 Significant 5.91 .0031 Significant
24. Organize Resources Program
Activities 9.23 .0001 Significant 2.73 .0671 N.S.
25. Understand Institutional Mission
Expectations 12.37 .0001 Significant 9.80 .0001 Significant
26. Know and Utilize Strategies 15.15 .0001 Significant 1.04 .3548 N.S.
27. Accept Authority Delegate as
Appropriate 7.10 .0010 Significant 1.11 .3304 N.S.
28. Identify and Utilize Resources 6.54 .0017 Significant 5.99 .0029 Significant
29. Mediate Conflict Community Groups 2.91 .0562 N.S. .41 .6648 N.S.
30. Recognize and Accept Consequences
Behavior 33.59 .0001 Significant 1.48 .2293 N.S.
31. Select, Train, and Supervise Staff 3.78 .0241 Significant 12.41 .0001 Significant
32. Manage Physical Resources and Facilities 5.03 .0073 Significant .79 .4545 N.S.
33. Adjudicate Student Conduct Effectively 1.10 .3344 N.S. 3.12 .0459 Significant
Note. DF = Degrees of Freedom
N.S. means not significant at .05 alpha level


41
preparation programs, and the identification and measurement of competencies identified in the literature.
The next chapter describes the methodology and design developed and utilized in implementing this study.


TABLE 6
MEAN SCORES AND STANDARD DEVIATIONS FOR FACULTY (FTs),
DIRECTORS OF HOUSING (DOH s) AND CHIEF STUDENT AFFAIRS OFFICERS (CSAOs)
ON EXTENT OF AGREEMENT WITH POSSESSION OF COMPETENCIES
IN THE CATEGORY OF COMMUNICATION
FT3 b DOH c CSAO
CATEGORY/COMPETENCY MEAN SD MEAN SD MEAN SD
III. Communication 3.020 .387 2.692 .371 2.744 .341
9. Analyze and Write Means and
Reports 2.838 .663 2.479 .699 2.604 .664
10. Make Effective Use of Verbal and Nonverbal Skills in Group
Presentations 3.320 .524 2.862 .541 2.846 .536
11. Perceive and Accurately Interpret Attitudes, Beliefs, and
Needs of Others 3.200 .615 2.798 .540 2.791 .483
12. Represent Student Concerns to
Other Campus Groups 3.054 .660 2.872 .533 2.868 .521
13. Recognize and Define Confidentiality Practices and
Procedures 3.307 .636 2.946 .697 3.044 .598
14. Determining Usage of Office
Management Procedures 2.411 .663 2.193 .612 2.279 .567
b c n=75 n=94 n=91


APPENDIX D
LETTER OF ENDORSEMENT FROM RESEARCH AND INFORMATION COMMITTEE


APPENDIX G
TABLES LISTING MULTIVARIATE ANALYSIS OF VARIANCE FOR GROUPS BY CATEGORY


CHAPTER IV PRESENTATION OF THE DATA
The data presented in this chapter were collected from a research instrument administered to three groups of student affairs professionals; faculty (FTs) at institutions offering master's degree programs in student personnel administration, directors of housing (DOHs), and chief student affairs officers (CSAOs) at four year public and private post secondary educational institutions. The instrument was developed from an extensive review of the literature including previous studies of competencies determined to be necessary for entry level student affairs staff. The instrument included 33 entry level, professional competencies, organized into five categories. The primary purpose of the study was to determine if professional preparation programs in student personnel administration educated for the

development of these competencies. Specifically, the study sought to provide answers to the following questions for investigation:
1. Do recent graduates of master's level preparation programs in
student personnel administration enter the field of student affairs with training in entry level competencies as a result of their preparation programs?
2. Do chief student affairs officers (CSAOs), directors of housing
(DOHs) and faculty (FTs) have similar perceptions of the training recent master's degree graduates of preparation programs in student personnel administration receive for the identified entry level competencies?
55



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