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Ray S. Kim, Ph.D.
 The rule that an individual must be
competent to undergo the criminal process
can be traced back to the 17th century.
 Issue of fitness to stand trial originated from
a concern that subjecting certain types of
individuals to trial was simply unfair.
 The trial of a defendant who
cannot adequately participate
in their own defense was deemed
inappropriate and irrational.
 In 1960, the U.S. Supreme Court
set forth a definition of fitness to
stand trial, which has come to be
the standard in federal court and
most state jurisdictions.
 “The test must be whether the defendant has
sufficient present ability to consult with his
attorney with a reasonable degree of rational
understanding and a rational as well as factual
understanding of proceedings against him.”
 Two prongs to the fitness test: (1) Capacity to
understand the court process, and (2) Ability to
adequately assist counsel in the preparation of a
defense.
 Section 104-10. Presumption
of Fitness. Fitness Standard.
 “A defendant is presumed to be fit to stand
trial or to plead, and be sentenced. A
defendant is unfit if, because of his mental
or physical condition, he is unable to
understand the nature and purpose of the
proceedings against him or to assist in his
defense.”
 Section 104-11.
 “The issue of the defendant’s fitness for
trial, to plead, or to be sentenced may be
raised by the defense, the State, or the
court at any appropriate time before a plea
is entered or before, during, or after trial.
When a bona fide doubt of
the defendant’s fitness is
raised, the court shall order
a determination of the issue
before proceeding further.”
 Section 104-13.
 “When the issue of fitness involves the
defendant’s mental condition, the court shall
order an examination of the defendant by
one or more licensed physicians, clinical
psychologists, or psychiatrists chosen by the
court.”
 Section 104-15.
 “The person or persons conducting an
examination of the defendant shall submit a
written report to the court, the State, and the
defense within 30 days of the date of the
order.”
 “The report shall include:
1. A diagnosis and an explanation as to how it
was reached,
2. A description of the defendant’s mental or
physical disability, and
3. An opinion as to the likelihood of the
defendant attaining fitness within one year
if provided with a course of treatment.”
 Section 104-16.
 “The court shall conduct
a hearing to determine the
issue of the defendant’s
fitness within 45 days of receipt of the final
written report of the person or persons
conducting the examination.”
 “On the basis of the evidence before it, the
court or jury shall determine whether the
defendant is unfit to stand trial or to plead.”
 Section 104-17.
 “If the defendant is eligible to be or has
been released on bail or on his own
recognizance, the court shall select the least
physically restrictive form of treatment
therapeutically appropriate and consistent
with the treatment plan.”
 “The placement may be ordered either on an
inpatient or an outpatient basis.”
 Section 104-17.
 “Within 30 days of entry of an
order to undergo treatment,
the person supervising the
defendant’s treatment shall
file with the court, the State,
and the defense a report assessing the
facility’s capacity to provide appropriate
treatment for the defendant. If the report
indicates that there is a substantial
probability that the defendant will attain
fitness, the treatment supervisor shall also
file a treatment plan.”
 Section 104-18.
 “The treatment supervisor shall submit a written
progress report to the court, the State, and the
defense:
1. At least 7 days prior to the date for any
hearing on the issue of the defendant’s
fitness;
2. Whenever he believes that the defendant
has attained fitness;
3. Whenever he believes that there is not a
substantial probability that the defendant
will attain fitness, with treatment, within
one year from the date of the original
finding of unfitness.”
 Section 104-20.
 “Upon entry or continuation of any order to
undergo treatment, the court shall set a date
for hearing to reexamine the issue of the
defendant’s fitness not more than 90 days
thereafter.”
 “The court shall determine:
1. Whether the defendant is fit to stand
trial or to plead; and if not,
2. Whether the defendant is making
progress under treatment toward
attainment of fitness.”
 Section 104-20.
 “If the court finds the
defendant to be fit pursuant
to this Section, the court
shall set the matter for trial.”
 “If the court finds that the
defendant is still unfit but
that he is making progress
toward attaining fitness, the
court may continue or modify
its original treatment order.”
 Section 104-20.
 “If the court finds that the defendant is still
unfit and that he is not making progress
toward attaining fitness such that there is
not a substantial probability that he will
attain fitness within one year from the date
of the original finding of unfitness, the court
shall proceed pursuant to Section 104-23.”
 Section 104-23.
 “Upon a determination that there is not a
substantial probability that the defendant
will attain fitness within one year from the
original finding of unfitness, a defendant or
the attorney for the defendant may move for
a discharge hearing.”
 Section 104-25.
 “If the evidence does not prove the
defendant guilty beyond a reasonable doubt,
the court shall enter a judgment of
acquittal.” – Not Guilty
 Section 104-25.
 “If the defendant is found not guilty by
reason of insanity, the court shall enter a
judgment of acquittal and the proceedings
after acquittal by reason of insanity under
Section 5-2-4 of the Unified Code of
Corrections shall apply.” - NGRI
 Section 104-25.
 “If the discharge hearing does not result in
an acquittal of the charge, the defendant
may be remanded for further treatment
and the one year time limit set forth in
Section 104-23 shall be extended.” - Not
Not Guilty
Fitness Hearing
Unfit to Stand
Trial
Remanded to
DHS
Fit in 1 year Go to Trial
Not Fit in 1
year
Discharge
Hearing
Fit to Stand
Trial
Go to Trial
Not Guilty Released
Not Guilty by
Reason of
Insanity
Remanded to
DHS
Guilty Sentenced
Guilty But
Mentally Ill
Sentenced
along with Tx
 Clinical stabilization is the initial
goal of treatment.
 Medication compliance is a
significant predictor for attainment
of fitness.
 Participation in recommended treatment groups
is beneficial.
 Fitness education can be conducted in both
individual and group formats.
 Ongoing assessment of stability, cooperation,
and understanding of court process is necessary.
 Seeking a consensus of treatment team
regarding fitness.
Fitness.2015

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Fitness.2015

  • 1. Ray S. Kim, Ph.D.
  • 2.
  • 3.  The rule that an individual must be competent to undergo the criminal process can be traced back to the 17th century.  Issue of fitness to stand trial originated from a concern that subjecting certain types of individuals to trial was simply unfair.  The trial of a defendant who cannot adequately participate in their own defense was deemed inappropriate and irrational.
  • 4.  In 1960, the U.S. Supreme Court set forth a definition of fitness to stand trial, which has come to be the standard in federal court and most state jurisdictions.  “The test must be whether the defendant has sufficient present ability to consult with his attorney with a reasonable degree of rational understanding and a rational as well as factual understanding of proceedings against him.”  Two prongs to the fitness test: (1) Capacity to understand the court process, and (2) Ability to adequately assist counsel in the preparation of a defense.
  • 5.  Section 104-10. Presumption of Fitness. Fitness Standard.  “A defendant is presumed to be fit to stand trial or to plead, and be sentenced. A defendant is unfit if, because of his mental or physical condition, he is unable to understand the nature and purpose of the proceedings against him or to assist in his defense.”
  • 6.
  • 7.
  • 8.  Section 104-11.  “The issue of the defendant’s fitness for trial, to plead, or to be sentenced may be raised by the defense, the State, or the court at any appropriate time before a plea is entered or before, during, or after trial. When a bona fide doubt of the defendant’s fitness is raised, the court shall order a determination of the issue before proceeding further.”
  • 9.  Section 104-13.  “When the issue of fitness involves the defendant’s mental condition, the court shall order an examination of the defendant by one or more licensed physicians, clinical psychologists, or psychiatrists chosen by the court.”
  • 10.  Section 104-15.  “The person or persons conducting an examination of the defendant shall submit a written report to the court, the State, and the defense within 30 days of the date of the order.”  “The report shall include: 1. A diagnosis and an explanation as to how it was reached, 2. A description of the defendant’s mental or physical disability, and 3. An opinion as to the likelihood of the defendant attaining fitness within one year if provided with a course of treatment.”
  • 11.  Section 104-16.  “The court shall conduct a hearing to determine the issue of the defendant’s fitness within 45 days of receipt of the final written report of the person or persons conducting the examination.”  “On the basis of the evidence before it, the court or jury shall determine whether the defendant is unfit to stand trial or to plead.”
  • 12.  Section 104-17.  “If the defendant is eligible to be or has been released on bail or on his own recognizance, the court shall select the least physically restrictive form of treatment therapeutically appropriate and consistent with the treatment plan.”  “The placement may be ordered either on an inpatient or an outpatient basis.”
  • 13.  Section 104-17.  “Within 30 days of entry of an order to undergo treatment, the person supervising the defendant’s treatment shall file with the court, the State, and the defense a report assessing the facility’s capacity to provide appropriate treatment for the defendant. If the report indicates that there is a substantial probability that the defendant will attain fitness, the treatment supervisor shall also file a treatment plan.”
  • 14.  Section 104-18.  “The treatment supervisor shall submit a written progress report to the court, the State, and the defense: 1. At least 7 days prior to the date for any hearing on the issue of the defendant’s fitness; 2. Whenever he believes that the defendant has attained fitness; 3. Whenever he believes that there is not a substantial probability that the defendant will attain fitness, with treatment, within one year from the date of the original finding of unfitness.”
  • 15.  Section 104-20.  “Upon entry or continuation of any order to undergo treatment, the court shall set a date for hearing to reexamine the issue of the defendant’s fitness not more than 90 days thereafter.”  “The court shall determine: 1. Whether the defendant is fit to stand trial or to plead; and if not, 2. Whether the defendant is making progress under treatment toward attainment of fitness.”
  • 16.  Section 104-20.  “If the court finds the defendant to be fit pursuant to this Section, the court shall set the matter for trial.”  “If the court finds that the defendant is still unfit but that he is making progress toward attaining fitness, the court may continue or modify its original treatment order.”
  • 17.  Section 104-20.  “If the court finds that the defendant is still unfit and that he is not making progress toward attaining fitness such that there is not a substantial probability that he will attain fitness within one year from the date of the original finding of unfitness, the court shall proceed pursuant to Section 104-23.”
  • 18.  Section 104-23.  “Upon a determination that there is not a substantial probability that the defendant will attain fitness within one year from the original finding of unfitness, a defendant or the attorney for the defendant may move for a discharge hearing.”
  • 19.  Section 104-25.  “If the evidence does not prove the defendant guilty beyond a reasonable doubt, the court shall enter a judgment of acquittal.” – Not Guilty
  • 20.  Section 104-25.  “If the defendant is found not guilty by reason of insanity, the court shall enter a judgment of acquittal and the proceedings after acquittal by reason of insanity under Section 5-2-4 of the Unified Code of Corrections shall apply.” - NGRI
  • 21.  Section 104-25.  “If the discharge hearing does not result in an acquittal of the charge, the defendant may be remanded for further treatment and the one year time limit set forth in Section 104-23 shall be extended.” - Not Not Guilty
  • 22. Fitness Hearing Unfit to Stand Trial Remanded to DHS Fit in 1 year Go to Trial Not Fit in 1 year Discharge Hearing Fit to Stand Trial Go to Trial Not Guilty Released Not Guilty by Reason of Insanity Remanded to DHS Guilty Sentenced Guilty But Mentally Ill Sentenced along with Tx
  • 23.
  • 24.  Clinical stabilization is the initial goal of treatment.  Medication compliance is a significant predictor for attainment of fitness.  Participation in recommended treatment groups is beneficial.  Fitness education can be conducted in both individual and group formats.  Ongoing assessment of stability, cooperation, and understanding of court process is necessary.  Seeking a consensus of treatment team regarding fitness.