Understanding Mental Competency Evaluations Under New York CPL § 730

In New York State, when there is doubt about a criminal defendant’s mental capacity to understand the proceedings or assist in their own defense, the court may order a mental competency evaluation pursuant to Criminal Procedure Law (CPL) § 730. This process ensures that a defendant’s due process rights are protected and that they are fit to stand trial. Here’s an overview of the procedure, possible placements, and timelines associated with a CPL § 730 evaluation.

What Triggers a CPL § 730 Evaluation?

A competency evaluation under CPL § 730 is typically initiated when a judge, defense attorney, or prosecutor expresses concern that a defendant may be “incapacitated”—meaning that due to mental illness or developmental disability, the defendant lacks the capacity to:

• Understand the nature of the criminal proceedings, or
• Assist meaningfully in their own defense.

The court will issue an order for an evaluation by two qualified psychiatric examiners, at least one of whom must be a physician. The other may be a psychologist certified to perform such evaluations.

The Evaluation Process

1. Initial Examinations:
   • Examiners conduct interviews, review records, and prepare reports.
   • Examinations may take place at the courthouse, jail, or a psychiatric facility, depending on the defendant’s condition and location.
2. Findings:
   • If both examiners agree that the defendant is competent, the court generally resumes the criminal proceedings.
   • If both find the defendant incompetent, the court will order a formal hearing.
   • If examiners disagree, the judge decides whether to hold a hearing to resolve the issue.
3. Competency Hearing:
   • A judge (not a jury) hears testimony from the examiners and any other relevant witnesses.
   • The burden is on the state to prove that the defendant is competent by a preponderance of the evidence.
   • If found incompetent, the defendant is deemed an “incapacitated person.”

Placement of an Incapacitated Defendant

When a defendant is found incompetent to stand trial, they are typically committed to the custody of the Commissioner of the Office of Mental Health (OMH) or the Office for People With Developmental Disabilities (OPWDD), depending on their diagnosis.

Defendants are usually placed in one of the following:

• Secure psychiatric centers (e.g., Kirby Forensic Psychiatric Center in NYC or Mid-Hudson Forensic Psychiatric Center upstate),
• Civil psychiatric hospitals, if less security is deemed sufficient,
• Or, in some cases, outpatient treatment settings (though this is rare for felony-level charges).

Duration of Commitment and Reevaluation

• Felony Charges: Defendants may be held for up to one year initially, with periodic reviews.
• Misdemeanor Charges: The maximum period of confinement is 90 days.
• Extension: If the defendant remains incompetent, the court may extend the period of commitment in six-month increments, up to two-thirds the maximum sentence for the top charge.

During confinement, the defendant receives treatment aimed at restoring competency. Progress is reviewed regularly by the psychiatric facility and reports are submitted to the court.

Restoration to Competency and Return to Court

Once a facility determines that the defendant has regained competency:

• A report is sent to the court.
• A hearing may be held to confirm restoration.
• If restored, the defendant returns to criminal court and the case resumes.

If restoration is deemed unlikely within a reasonable period, the criminal charges may be dismissed, and civil commitment proceedings under Mental Hygiene Law Article 9 (involuntary psychiatric hospitalization) may begin.

Conclusion

The CPL § 730 process is a critical safeguard in the criminal justice system, balancing public safety, the rights of the accused, and the ethical imperative not to prosecute individuals who cannot understand or participate in their own defense. Though the timeline and placement can vary depending on the severity of the charges and the individual’s mental health status, the goal remains consistent: ensure fairness in the legal process while providing appropriate mental health care.

If your loved has been arrested and may be suffering from severe mental illness, you should strongly consider engaging Matthew Galluzzo. Mr. Galluzzo is an experienced criminal defense attorney and former Manhattan prosecutor with experience representing people suffering from mental illness, and may be able to assist you.