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OREGON HEALTH AUTHORITY
ADDICTIONS AND MENTAL HEALTH DIVISION
MENTAL HEALTH SERVICES
Division 90
Forensic Mental Health Evaluators and Evaluations
309-090-0010
Purpose and Scope
These rules establish minimum standards for the certification of psychiatrists and licensed
psychologists related to performing forensic examinations and evaluations as described in
Oregon Revised Statutes (ORS) 161.309, 161.365 and 419C.524. The rules are intended
to insure that forensic evaluations meet consistent quality standards and are conducted by
qualified and trained evaluators. The Oregon Health Authority (OHA) shall provide training,
certify qualified applicants and maintain a list of certified forensic evaluators for statewide
use.
Statutory Authority:
Statutes Implemented:
309-090-0020
Definitions
(1) “Authority” means the Oregon Health Authority.
(2) “Board” means the Oregon Board of Medical Examiners.
(3) “Competence” is defined according to ORS 161.360
(4) “Conditional Certification” means a psychologist or psychiatrist is temporarily Court-
appointed as a certified evaluator as defined in OAR 309-090-0030(a).
(5) “Criminal Responsibility” is defined according to ORS 161.295
(6) "Dangerousness". A person is a substantial danger to self or others if the person is
demonstrating intentional, knowing, reckless or criminally negligent behavior which places
self or others at risk of physical injury, as defined in OAR 859-010-0005 (7).
(7) “Division” means the Addictions and Mental Health (AMH) Division of the Authority.
(8) “Evaluator” means a psychiatrist or psychologist certified by the Authority to perform
forensic evaluations.
(9) “Forensic Psychiatric or Psychological Evaluation” means the assessment of a
defendant in which the certified forensic evaluator opines on a specific psycho-legal referral
question related to ORS 161.360 or ORS 161.295, and is ordered by the Court or requested
by associated attorneys.
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(10) “Full Certification” means a psychiatrist or licensed psychologist in the state of Oregon
satisfying the requirements of this chapter as defined in OAR 309-090-0030 (a).
(11) “Psychiatrist” means a psychiatrist licensed by the Board pursuant to ORS 677.010
through 677.450 and who has completed an approved residence training program in
psychiatry.
(12) “Licensed Psychologist” means a psychologist licensed pursuant to ORS 675.110
through 675.065 by the Board of Psychologist Examiners.
(13) “Mental Defect” means mental retardation, brain damage or other biological dysfunction
that is associated with distress or disability causing symptoms or impairment in at lease one
important area of an individuals functioning, as defined in the current Diagnostic and
Statistical Manual of Mental Disorders Fourth Edition; Text Revised (DSM-IV-TR) or hereto
forward editions of the DSM of the American Psychiatric Association. –
(14) “Mental Disease” means any diagnosis of mental disorder which is a significant
behavioral or psychological syndrome or pattern that is associated with distress or disability
causing symptoms or impairment in at lease one important area of an individual’s
functioning, as defined in the current Diagnostic and Statistical Manual of Mental Disorders
Fourth Edition; Text Revised (DSM-IV-TR) or hereto forward editions of the DSM of the
American Psychiatric Association. –
(a) The term "mental disease or defect" does not include an abnormality manifested solely
by repeated or criminal or otherwise antisocial conduct;
(b) For offenses committed on or after January 1, 1984, the term "mental disease or defect"
does not include any abnormality constituting solely a personality disorder.
(15) “Oregon Forensic Evaluator Training Program” means a training program approved by
the Authority to teach psychiatrists and psychologists the knowledge and skills required to
perform forensic evaluations and testimony for the state courts.
(16)”Provisional Certification” means a psychiatrist or licensed psychologist in the state of
Oregon satisfying the requirements as defined in OAR 309-090-0030 (b).
(17) “Temporary Certification” means a psychiatrist or licensed psychologist in the state of
Oregon satisfying the requirements as defined in OAR 309-090-030 (c)
(17) “Testimony” means a declaration, usually made orally by a witness under oath in
response to interrogation by a lawyer or authorized public official.
Statutory Authority:
Statutes Implemented:
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309-090-0030
Forensic Certification Types and Requirements
(1) Psychiatrists and psychologists must be certified by the Authority to submit evaluations
and testimony to the court for the purpose of determining competency or criminal
responsibility as required in ORS 161.309, 161.365 and 419C.524.
(2) There are four types of certifications, as follows:
(a) Full Certification:
(A) A psychiatrist must have a current license to practice in Oregon and:
(i) Be board eligible or certified by the American Board of Psychiatry and Neurology in the
sub-specialty of Forensic Psychiatry or
(ii) Have completed a fellowship in forensic psychiatry, accredited by the Accreditation
Council for Graduate Medical Education (ACGME) and have experience in conducting
competence to stand trail and criminal responsibility evaluations
(B) A licensed psychologist must have a current Oregon license to practice and the
following:
(I) A diplomate in Forensic Psychology by the American Board of Professional Psychology
or
(ii) 2000 documented supervised hours of pre or post-doctoral training in a forensic setting,
which included the conduction of competence to stand trial and criminal responsibility
evaluations.
(C) A juvenile psychiatrist or licensed psychologist must:
(i)Have completed a two year of Accreditation Council for Graduate Medical Education
(ACGME) - fellowship training in child and adolescent psychiatry or 12 consecutive months
of supervised clinical experience with Children and Adolescents, after completion of a
general Psychiatry program; or
(ii)A Licensed Psychologist must have 1000 hours of pre- or post doctorate supervised
clinical experience with children and adolescents.
(D) Participation in and successful completion of Oregon Forensic Evaluator Training.
(E) Full Certification has a maximum duration of 24 months from certification date.
(F) Completion of the Provisional Certification requirements.
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(b) Provisional Certification
(A) A Psychiatrist who has board eligibility or certification in general psychiatry, or
(B) A Licensed Psychologist who has a current license to practice psychology in the State of
Oregon and
(C) Provisional certification will allow a Psychiatrist or licensed Psychologist to perform
evaluations for competency and criminal responsibility; criminal responsibility evaluations for
ballot measure 11 crimes are excluded at this certification level; and:
(D) Upon request of the Authority the psychiatrist or psychologist must make available for
review 3 redacted copies of forensic evaluations completed in forensic settings in the
previous 24 months. These reports will be subject to peer review and must meet or exceed
minimum quality standards determined by the Authority.
(E) If no work samples are available an applicant may perform evaluations of those charged
with misdemeanors for up to one year, for the purpose of generating reports to the Authority
for peer review. The applicant must notify the Authority at the time of application that they
will be doing evaluations for this purpose and a Temporary Certification will be issued.
(F) Participation in and successful completion of Oregon Forensic Evaluator Training
Program.
(G) Provisional Certification will have a maximum duration of 24 months;
(c) Temporary Certification
(A) Forensic Evaluator Applicants who meet the requirements for full or provisional
certification will be granted a Temporary Certification until participation in and successful
completion of the Oregon Forensic Evaluator Training for the time period between January
1, 2012 and expiring on July 1, 2012.
(B) Forensic Evaluator Applicants who meet requirements for full or provisional certification
and applying after July 1, 2012 will be granted a Temporary Certification until participation in
and successful completion of the Oregon Forensic Evaluator Training. Training must be
completed at the next available training date and temporary certification is non-renewable.
(d) Conditional Certification
(A) A psychiatrist or licensed psychologist may be granted conditional certification by the
court if not meeting the requirements of Certification or Provisional Certification, if exigent
circumstances exist such as an out of state expert evaluation being sought, or an unusual
expertise is required. The court will notify the Authority of the granting of a conditional
certification. Conditional Certification ends at the disposition of the particular case for which
the conditional certification was granted.
Statutory Authority:
Statutes Implemented
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309-090-0040
Application Requirements and Process
(1) Applications must be submitted to the Authority using a form and in a manner prescribed
by the Authority.
(2) The application must be accompanied by:
(a) Evidence satisfactory to the Authority that the applicant is a psychiatrist or licensed
psychologist;
(b) Proof of the forensic training and experience used to qualify as an evaluator;
(c) If requested, work samples of redacted forensic evaluations of competency or criminal
responsibility; and
(d) A non-refundable application fee of $250.00.
(3) After a complete application packet is received the Authority will:
(a) Evaluate the materials to determine whether the psychiatrist or psychologist is qualified
for Full, Provisional, or Temporary Certification;
(b) Grant, deny or place conditions on a certification and
(c) Issue a written statement to the applicant of its determination.
(4) An application may be denied for any of the following reasons:
(a) The applicant attempted to procure a certification through fraud, misrepresentation or
deceit;
(b) The applicant submitted to the Authority any notice, state or other document required for
certification which is false or untrue, or contains any material misstatement or omission of
fact;
(c) The applicant has been convicted of a felony or
(d) The applicant fails to meet the requirements for receiving certification.
(5) Certification may be revoked for any of the following reasons:
(a) The evaluator fails to meet any of the applicable requirements of these rules;
(b) The evaluator receives a finding of confirmed client abuse or loses his or her
professional license for any other reason;
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(c) The Authority received two or more substantiated and serious written complaints
regarding the quality of written reports; from the parties to the criminal proceedings or other
certified evaluators during the prior two year period, regarding the evaluator’s reports or
conduct;
(d) If certification is denied or revoked the applicant may request reconsideration by the
Director of the Authority; or
(e) The Authority shall provide the applicant with written notice of the applicant’s right to
appeal, pursuant to the provisions of ORS 183.
309-090-0050
Recertification Requirements
(1) An evaluator must request recertification using a form, and in a manner prescribed by
the Authority.
(2) The minimum requirements for recertification are:
(a) Proof of Licensure by the State of Oregon, as a Psychiatrist or Psychologist.
(b) Participation and successful completion every two years, of the Oregon Forensic
Evaluator training program approved by the Authority,
(c) Proof of participation and successful completion of a minimum of 8 hours (CEU’s)
continuing education in forensic related issues
(d) Review and approval by the Authority of a minimum 3 sample of redacted forensic
evaluations authored by the applicant in the last 24 months. These reports will be subject to
peer review and must meet or exceed minimum quality standards identified by the Authority
as listed in OAR 309-090-0060; and
(e) A non-refundable application fee of $250.00.
(3) Failure to reapply shall constitute a forfeiture of certification which may be restored only
upon written application accepted by the Authority.
309-090-0060
Content of Written Evaluations Assessing Competency and Criminal Responsibility
(1) At minimum each forensic evaluation shall include the following:
(a) Identifying information of the defendant, a description of the forensic examination,
criminal charges, the referral source and the referral question;
(b) The evaluative procedure, techniques and tests used in the examination and the
purpose for each, informed consent and limits of confidentiality;
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(c) Background information, relevant history of mental and physical illnesses, substance use
and treatment histories, medications, hospital or jail course, and current setting.
(d) Summary of a mental status examination;
(e) A substantiated multi-axial diagnosis in the terminology of the American Psychiatric
Association's current edition of the Diagnostic and Statistical Manual;
(f) A consideration of malingering must be present in every evaluation; and
(g) A summary of relevant records reviewed for the evaluation.
(2) In addition to 309-090-0060(1), when the defendant’s competency is in question, the
evaluation shall also include, at a minimum, opinions and explanations related to the
defendant’s:
(a) Understanding of his or her charges, the possible verdicts and the possible penalties;
(b) Understanding of the trial participants and the trial process;
(c) Ability to assist counsel in preparing and implementing a defense;
(d) Ability to make relevant decisions autonomously;
(e) If determined incapacitated:
(i) an opinion regarding current dangerousness to self or others as a result of mental
disease or defect; and
(ii) a recommendation of treatment and other services necessary for the defendant to gain
or restore capacity.
(3) In addition to 309-090-0060(1), related to the question of criminal responsibility, the
evaluation shall also include, at a minimum, opinions and explanations addressing:
(a) The defendant’s account of the alleged offense(s) including thoughts, feelings and
behavior;
(b) Summary of relevant records; including police reports,
(c) an expert opinion regarding the role of substance use in the alleged offense;
(d) The defendant’s mental state at the time of the alleged offense(s) and
(e) An expert opinion regarding whether the defendant, as a result of mental disease or
defect at the time of engaging in the alleged criminal conduct, lacked substantial capacity
either to appreciate the criminality of the conduct or to conform the conduct to the
requirements of law.
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(f) An expert opinion regarding; if the individual is determined guilty except for insanity of a
misdemeanor is the individual a substantial danger to others.
309-090-0070
Forensic Evaluation Peer Review Panel
(1) The Forensic Evaluation Peer Review Panel shall be appointed by the Director of
Addictions and Mental Health and will consist of two Psychiatrist nominated by the
Oregon Psychiatric Association, two Licensed Psychologists nominated by the Oregon
Psychological Association, one defense attorney nominated by the Oregon Criminal
Defense Association and one prosecuting attorney nominated by the Oregon District
Attorney’s Association. These individuals shall be experienced in the criminal justice
system and have familiarity with the issues of competency and criminal responsibility.
(2) Members shall serve overlapping two-year terms commencing on January 1, of the
appointment year. Vacancies occurring during a member’s term shall be filled
immediately for the remainder of the unexpired term. Members are eligible for
reappointment.
(3) Members not otherwise employed full-time by the state shall be reimbursed on a per
diem basis for each day during which the member is engaged in the performance of
official duties.
309-090-0080
Peer Review Process
(1) Four members of the Peer Review Panel will meet at least monthly to review all
submitted evaluations received in the prior 30 days, unless there are no evaluations to
review.
(2) Redacted evaluations will be reviewed by two panel members with different professional
backgrounds to determine whether the evaluator has met the requirements of form and
content.
(3) If agreement is not reached a third panel member will review to provide the deciding
opinion.
(4) Deciding members will issue a report with feedback to the forensic evaluator within thirty
days of submission.
309-090-0090
Forensic Evaluator Training Program
(1) The Authority will establish a course of training for persons desiring the issuance of a
certificate. At a minimum the training will include instruction on:
(a) The Oregon statutes and case law applicable to the issues of competency and criminal
responsibility;
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(b) Clinical testing related to assessing competency and criminal responsibility;
(c) The required contents of a report;
(e) The ethical standards and considerations relevant to an evaluation of competency and
criminal responsibility;
(f) The elements of expert witness testimony;
(g) Assessment of risk to others and recommendations for treatment and services
(2) Additional specialized training shall be required for evaluators desiring to perform
evaluations on children younger than age 15 and other specialized populations.
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