Purpose Of The Hearing Process On Motions To Waive Juvenile Justice Court Jurisdiction And Transfer Jurisdiction To Criminal Court
Prior to this point in the juvenile justice court process, an affidavit and justice petition have been filed, determined legally sufficient by the prosecutor, and formally processed. The youth and parent have been served with a copy of the affidavit and petition. Counsel has been appointed and the first hearing has been held. At the first hearing the petition was read, due process rights were explained, the burden of proof and possible consequences were explained, and the youth and parent signed a statement acknowledging that they understood their rights.
The prosecutor has filed a motion requesting the juvenile justice court waive jurisdiction and transfer the youth’s case to criminal court. Because only the most serious cases are considered for waiver and transfer, it is probable that the youth is in detention. Because discovery and all pre-trial issues were resolved at the initial or detention hearing, discovery delays and disputes, which are a common cause for unnecessary continuances and slow resolution of juvenile justice court cases, have been avoided. The juvenile justice court, by statute and court rule, has specifically defined obligations with regard to discovery. As a result; only under the most unusual circumstances is it necessary for the juvenile justice court to be involved in discovery disputes. The presiding judge over the juvenile justice court has made it clear to all system participants that within these defined obligations disputes and delays will not be tolerated. All of these steps and processes are covered in Chapters 3 and 4. The case is now before the juvenile justice court to determine whether or not to grant the prosecutor’s motion to waive juvenile justice court jurisdiction and transfer the youth to criminal court.
At hearings on motions to waive and transfer, the juvenile justice court has either one or two decisions to make depending on whether the case is a mandatory judicial transfer or a discretionary judicial transfer. In both instances, the court must determine whether there is probable cause to believe the youth has committed the alleged offense. If the juvenile justice court finds probable cause, and the case is a mandatory judicial transfer, the law requires that the case be transferred to criminal court and the juvenile justice court’s role is completed. However, if the juvenile justice court finds probable cause and the case is a discretionary judicial transfer, the court must make a second decision – whether or not the juvenile justice court will retain jurisdiction or waive jurisdiction and transfer the youth to criminal court. Some jurisdictions refer to the second phase as the amenability phase. In order to have adequate information to make the decision as to whether the juvenile justice court should retain or waive jurisdiction, the juvenile justice court must conduct an investigation that includes a social, physical, and forensic examination of the youth.
In most discretionary judicial transfer hearings, the state has the burden of proving that there is probable cause to believe that the juvenile has committed the offense and that the juvenile should not remain under the jurisdiction of the juvenile justice system. The juvenile, through counsel, may contest the waiver motion by challenging or producing evidence to challenge the prosecutor’s evidence, but is not required to do so. If the judicial waiver has a presumptive waiver provision, however, the youth may have the burden of proving that he or she is amenable to rehabilitation in the juvenile justice system.
Timing Of The Hearing Process On Motions To Waive Juvenile Justice Court Jurisdiction And Transfer Jurisdiction To Criminal Court
If the youth is in detention, the process to consider waiver and transfer should be expedited. The goal for the setting of the probable cause hearing should be no more than 10 business days from the detention hearing. If this is a discretionary judicial waiver and a second hearing is needed to determine whether to retain or waive jurisdiction, the goal for the setting of the second hearing should be no more than 10 business days from the probable cause hearing.
On discretionary transfers, some juvenile justice courts set two separate hearings, the first to establish probable cause, and the second to determine whether to retain or waive juvenile justice court jurisdiction. The social, physical, and forensic evaluations are conducted between the first and second hearings. Other juvenile justice court systems use the time between the detention hearing and the probable cause hearing to prepare evidence for probable cause and to conduct the social, physical, and forensic evaluations. This second process requires only one hearing, which is bifurcated into the probable cause phase and the “retain or waive” phase.
The one-hearing system has two advantages. First, the victim and parties have to come to court once instead of twice. Second, the length of time of the process is reduced, which decreases the length of time the youth is detained in the juvenile detention facility. There are also two disadvantages to the one-hearing system. First, if the court does not find probable cause, the social, physical, and forensic evaluations are not needed and resources have been wasted. Second, the amount of time to conduct the social, physical, and forensic evaluation may be reduced. To decide which process is most efficient, juvenile justice courts should look at the percentage of motions to waive juvenile court jurisdiction that do not result in a finding of probable cause, and the amount of time the juvenile justice court needs to produce quality social, physical, and forensic evaluations. If the percentage of motions denied is low, and if the juvenile justice court can produce and distribute quality social, physical, and forensic evaluations in less than four weeks, the one-hearing system should use fewer resources, and therefore is preferable.
Between the detention hearing and probable cause hearing, the prosecutor must arrange for witnesses to be present to testify as to probable cause; and laboratory test results may need to be obtained. Counsel for the youth must become sufficiently knowledgeable of the alleged incident and of the youth’s circumstances in order to be properly prepared for cross-examination and to determine whether or not to call witnesses for the defense.
With regard to the amenability phase, in order to provide evaluation reports to parties three days prior to the hearing, the forensic evaluation must be completed in seven business days. With the proper resources and procedures in place, this timeframe is achievable for most youth for the following reasons:
- Most juveniles considered for waiver to criminal court have extensive juvenile court histories and have a probation officer who has had previous contact with, and knowledge of, the youth and family.
- Most of these youth with extensive histories have had social evaluations and mental health evaluations in the past.
- The probability of finding probable cause when the prosecutor has filed a motion to waive to criminal court is high, if prosecutors are properly screening these petitions.
- If the allegations in the petition are serious enough for a waiver motion to be filed, even if the motion is not granted, the probability of needing current social, physical, and psychological information is extremely high.
- The probation department has two weeks to use productively between the detention hearing and the waiver hearing, in addition to the two weeks between the probable cause hearing and the amenability hearing, to update information and obtain the needed evaluations.
Therefore, in circumstances where the youth has a long court history and is on probation, the probation officer should use the two weeks between the detention hearing and the hearing on the waiver motion to update the social evaluation, school information, mental health service information, and obtain a current physical exam. The probation officer should therefore have current information ready to forward to the forensic examiner on the same day that the juvenile justice court judge finds probable cause and orders the forensic evaluation.
In the juvenile justice court the JUVENILE JUSTICE GUIDELINES aspires to, the court has used its management information system as a planning tool to predict the number of forensic evaluations needed annually and has ensured adequate resources exist to meet the need. It has designed procedures so that the time to conduct these evaluations is available and immediately accessible. Consequently, the forensic evaluation can be completed and the report produced within seven business days. An example of a process that enables the forensic evaluation to begin immediately is:
- The juvenile justice court has available experienced mental health clinicians either employed by the juvenile justice court or contracted through a community mental health agency, and the ability to directly schedule appointments in a timely fashion.
- At the time the prosecutor files a waiver motion on a discretionary waiver, the probation officer discusses the youth and family dynamics with the clinician, determines the type and number of appointments needed for the examination, and schedules the necessary appointments.
- When the court orders the forensic evaluation, the appointments are already scheduled for within the first few days after the order, and the clinician can complete the evaluations and complete the report with enough time to distribute to parties three days prior to the hearing.
There will be circumstances when the juvenile justice court must continue the case beyond the recommended 10 business day period for the second hearing on a discretionary waiver and transfer case, specifically in the relatively small number of cases where the juvenile justice court does not have significant prior knowledge of the youth and family, a social evaluation, school and other information has not been compiled, and prior mental health evaluations have not occurred. In other circumstances, however, if the juvenile justice court finds it necessary to frequently grant continuances beyond 10 business days, the juvenile justice court should carefully review the reasons for needing additional time to ensure that the reasons are valid and not because the juvenile justice court has failed to design and implement expeditious processes. When additional time is requested because each day is being used to perform a process step, and there is no time spent on waiting lists, an extension is probably necessary.
However, when additional time is requested because of waiting lists, the system can be redesigned to eliminate these delays. The juvenile justice court judge should convene representatives from each involved system to design and implement a new process that will eliminate the delays. By tracking the process steps in delays beyond 10 business days, evaluating the reasons for the delays, collecting this information over time, and calculating the costs of the delay, juvenile justice courts can build support for requests for reallocated or additional resources to reduce unnecessary delays.
It should be noted that although these timeframes may seem impossibly short for many juvenile justice courts, current state law mandates even shorter timeframes, which juvenile justice courts are successfully meeting. For instance, California law mandates that under all circumstances the trial must be set by the 15th day of entry into detention. This means that if the juvenile justice court denies the motion to waive and transfer, the trial still must be held by the 15th day. Consequently, decisions on motions to waive and transfer must be made in less than three weeks.
Legal Representation
Even before In re Gault (1967), mandated legal representation throughout the juvenile justice court process, Kent v. United States (1966) required the appointment of counsel in cases where the juvenile justice court was considering waiver of juvenile justice court jurisdiction and transfer to criminal court.
Ideally, counsel should be appointed for the youth prior to the detention or initial hearing. If, this is not possible and an attorney does not represent the youth at the detention or initial hearing, the court must appoint legal representation for the alleged offender prior to the probable cause hearing on a waiver motion.
Because of the very serious potential consequences if the juvenile justice court decides to waive jurisdiction and transfer the youth to the criminal court, including lengthy incarceration, possible physical and sexual victimization in adult jails or prisons, harmful disruptions in social development and identity formation during late adolescence, and fewer treatment or rehabilitative options in adult prisons, it is critical that counsel has the time and resources to prepare for the probable cause hearing. Counsel must understand child and adolescent development, developmental disabilities, victimization and trauma, mental health, developmental delays, and maturity issues, and the treatment services that are available in the juvenile justice system. Counsel must also understand the criminal court system in order to determine whether counsel believes the youth will be better served in juvenile justice court or criminal court.
Prior to the probable cause hearing on a motion to waive juvenile justice court jurisdiction and transfer a case to criminal court, counsel should investigate all circumstances of the case relevant to the appropriateness of transfer. Counsel should also seek disclosure of any reports or other evidence that will be submitted to, or may be considered by, the court in the course of transfer proceedings. If circumstances warrant, counsel should have requested appointment of an investigator or expert witness to aid in the preparation of the defense and any other order necessary to protect the youth’s rights, during pre-trial proceedings. Counsel should also fully explain the nature of the proceedings and the consequences of transfer to the youth and the youth’s parent or legal custodian.
Conducting The Probable Cause Phase On Motions To Waive Juvenile Justice Court Jurisdiction And Transfer Jurisdiction To Criminal Court
Because of the seriousness of hearings on waiver and transfer, juvenile justice courts must be absolutely certain that all statutes are strictly followed, that proper security is in place, and that the courtroom and waiting areas are conducive to safety and respect for witnesses and potentially distraught family members. The juvenile justice court should provide two separate waiting areas, one for the victim and other prosecution witnesses and one for the defense witnesses, if applicable, and the youth’s family.
The juvenile justice court judge should explain and maintain strict courtroom decorum and expectations for all participants, including the attorneys, the public, and the press. The juvenile justice court must be a place where all youth, families, victims, witnesses, and other system participants are treated with respect, dignity, and courtesy. The manner in which the juvenile justice court judge sets the tone in this hearing can have a significant influence on whether the participants perceive the process as fair.
Information the Juvenile Justice Court Should Have
At the start of the probable cause phase, the following information should be available:
- The petition, affidavit, waiver motion, and any other filed motions and reports concerning the alleged law violation;
- A record of the juvenile justice court’s decisions and orders from any prior hearings on the current charges;
- A list of witnesses that the prosecution and defense plan to call; and
- If the youth is on probation or engaged in services, information from the probation officer or service provider regarding any cultural or disability issues that would assist the judge in successfully communicating with the youth and family.
Reading of the Petition, Explanation of Rights, and Explanation of the Hearing Process
To assist the parents and youth to understand the juvenile justice court proceedings, the juvenile justice court judge should begin the hearing by reading the petition that describes the offense the youth is alleged to have committed and reviewing all of the youth’s due process rights. The judge should explain how the court will determine if there is probable cause and how the hearing will proceed. The judge should explain the possible consequences if probable cause is established, including whether the case is a mandatory or discretionary waiver and transfer, and what will occur if the court does or does not make a finding of probable cause.
Presentation of the Prosecutor’s Case for Probable Cause
All testimony presented at the probable cause hearing should be under oath and subject to cross-examination. The prosecutor should be required to present evidence as to the alleged offender’s identity as the perpetrator and of probable cause regarding every element of the alleged offense. The prosecutor should present evidence that is more substantive than the affidavit and petition alone. However, it is not necessary to conduct a full trial. After evidence is presented, whether by written report or witness testimony, counsel for the youth should have the opportunity to challenge or cross-examine.
Unless waived by counsel, the statements of a juvenile or other information or evidence derived directly or indirectly from statements made during the juvenile justice court or detention intake processing of the case should not be admissible for probable cause determination. The reason such statements should not be admissible is that the youth should be encouraged to disclose fully to these professionals to ensure all important information related to immediate needs is disclosed without the concern that the statements might later be used against her or him at trial.
Presentation by Counsel of the Youth’s Case Against Probable Cause
The burden of proof is on the state, and consequently, the youth is not required to present any witnesses or to prove that he or she did not commit the offense. Counsel may choose, however, to present evidence that challenges the evidence of the prosecutor.
As with the prosecutor’s evidence, any evidence presented by counsel should be under oath and subject to cross-examination. After any witness’ testimony on behalf of the youth, the prosecutor should have the opportunity to cross-examine.
At the conclusion of the youth’s case, the prosecutor may present a rebuttal. Then the prosecutor and counsel for the youth may present closing arguments regarding the probable cause phase.
Questions That Must Be Answered During The Probable Cause Phase
In order to ensure that all issues have been covered during the probable cause phase, the juvenile justice court judge should know the answers to all of the following questions before making a decision:
- With whom does the youth live and who has legal custody?
- If a parent or legal custodian is not present, were they properly served and why are they not present?
- Was the issue of competency to stand trial raised, and if not, did the court detect any indicators of competency to stand trial issues that need to be addressed?
- Have all pending motions been identified and addressed?
- Were the prosecutor and counsel prepared for the hearing? Has all appropriate evidence been introduced?
- Is there probable cause to believe that the youth committed the alleged offense?
- Is the offense a mandatory or discretionary judicial waiver?
Additional Information , Questions, And Findings And Orders Related To The Probable Cause Phase
Findings and Orders if the Juvenile Justice Court Does Not Find Probable Cause
If the juvenile justice court judge is not persuaded that there is probable cause to believe that the youth committed the offense, and if no other motions have been filed, the prosecutor’s motion to waive jurisdiction and transfer the case to criminal court should be denied. Because the prosecutor was unable to establish probable cause with regard to the youth’s culpability for the offense, the petition alleging delinquency should be dismissed, and the youth should be immediately released from custody unless there are other charges for which the youth is being detained.
The juvenile justice court’s written findings and orders should be stated in language understandable by the parties and with enough detail to support the court’s actions. The juvenile justice court’s findings and orders should be set out in writing and made available to all legal parties and key participants at the conclusion of the hearing. The findings and orders should include:
- All persons present at the hearing;
- If parties were absent, whether they were provided with appropriate notice;
- A statement of the reason for the hearing, specifically the allegation against the youth, the prosecutor’s motion to waive juvenile justice court jurisdiction and transfer the case to criminal court, that rights and possible consequences were reviewed, and that evidence was presented to determine probable cause;
- A statement that the court did not find probable cause to believe that the youth committed the offense;
- Denial of the prosecutor’s motion;
- Dismissal of the petition; and
- Release of the youth from custody or identification of other pending justice petitions requiring detainment and the date of the next hearing on the pending petitions.
If the Juvenile Justice Court Finds Probable Cause and the Case Is a Mandatory Judicial Waiver
If the juvenile justice court is persuaded that probable cause exists to believe that the youth committed the offense, the juvenile justice court must determine whether state statutes identify the case as a mandatory judicial waiver. If the case meets statutory definitions of offense type, age, and any other requirements for mandatory judicial waiver, the court must transfer the case to the criminal court.
Interlocutory Appellate Review
Although the finding of probable cause is not a final order, because of the potentially serious consequences of a juvenile’s charges being transferred to criminal court, counsel for the youth should have the opportunity to request expedited interlocutory appellate review of the juvenile justice court’s decision if counsel believes that the juvenile justice court judge has made an error in process or judgment. Courts of appeal have discretion to consider appeals from interlocutory orders. This appellate review, however, should be a streamlined and speedy process. Juvenile justice court presiding judges and court administrators should take a leadership role in approaching their appellate court presiding judge and court administrator and, with participation of prosecutors and counsel for youth, design a timely review process for these circumstances. This process should result in the speedy completion of an initial appellate paper review, preferably within 10 business days. This review would determine whether the juvenile justice court should move forward with transfer to the criminal court, or whether there is reason for additional appellate consideration.
Transfer to Criminal Court
If counsel does not file a request for appellate review, or if appellate review has determined that the juvenile justice court should move forward with transfer to the criminal court, the juvenile justice court must forward the case to the criminal court to advise them of the transfer of the offense so that the criminal court can set the arraignment hearing. The juvenile justice court’s finding of probable cause on the justice charge for waiver of jurisdiction and transfer to criminal court does not substitute for the criminal court’s requirement to determine probable cause in most states.
The juvenile justice court must decide whether the youth will continue to be held in the juvenile detention facility, released, or transferred to the criminal jail. The Juvenile Justice Delinquency Prevention Act requires that regardless of whether a youth has been charged as an adult the youth should not be held with adults.
Youth have a constitutional right to reasonable safety, adequate medical and mental health care, rehabilitative treatment, and mandatory education. Unless the juvenile justice court believes that an older youth presents a danger to other youth or staff in the juvenile detention facility and subsequently the court believes that the youth’s rights can be accommodated in the criminal jail, the youth should continue to be held in the juvenile facility. If a juvenile justice court judge is considering the necessity of transferring an older youth to adult jail, the judge should be convinced that adult jail facilities can safely and appropriately accommodate the juvenile with a separate area for youth.
Written Findings and Orders
The juvenile justice court’s written findings and orders should be stated in language understandable by the parents and youth and with enough detail to support the court’s actions. The juvenile justice court’s findings and orders should be set out in writing and made available to all legal parties and key participants at the conclusion of the hearing. The findings and orders should include:
All persons present at the hearing;
- If parties were absent, whether they were provided with appropriate notice;
- A statement of the reason for the hearing, specifically the allegation against the youth, the prosecutor’s motion to waive juvenile justice court jurisdiction and transfer the case to criminal court, that rights and possible consequences were reviewed, and that evidence was presented to determine probable cause;
- A statement that the court found probable cause to believe that the youth committed the offense;
- A description of how the case meets the statutory requirements for a mandatory judicial waiver;
- Granting of the prosecutor’s motion to waive juvenile justice court jurisdiction and transfer the case to criminal court as a mandatory judicial waiver; and
Orders that arrangements be made to notify the criminal court of the transfer and, if necessary, orders that arrangements be made to transfer the youth from juvenile custody to criminal custody.
If a representative of the applicable law enforcement agency is not present at the hearing, the juvenile justice court should send timely written notice of the waiver decision to law enforcement.
If the Juvenile Justice Court Finds Probable Cause and the Case Is a Discretionary Judicial Waiver
Once the juvenile justice court judge has determined probable cause on a discretionary judicial waiver and made the necessary written findings (see end of this section), the court must move to the second phase of the process – the determination of whether the juvenile justice court should retain jurisdiction or transfer the case to criminal court. In order to determine the answer to this question, the juvenile justice court needs physical, social, and forensic evaluations. If these evaluations have been completed, the juvenile justice court is ready to move into the second phase of the process and to determine whether to retain or waive jurisdiction. This phase is described in Section H of this chapter.
If the evaluations are not completed, the juvenile justice court judge continues the case for a second hearing. If the recommendations described in Section B of this chapter have been followed, and if the youth has had an extensive history with the juvenile justice court, the physical and social evaluations have been completed and appointments for the forensic evaluation have been set. Under these circumstances, the hearing should be set within 10 business days of the determination of probable cause. However, if the youth is new to the juvenile justice court, additional time may be required to gather all information the forensic examiner will need to complete the forensic evaluation. Under these circumstances, a continuance not to exceed four weeks may be required.
Information Needed and Questions that Need To Be Answered
- If the youth is in detention or on probation, did the detention screening instrument(s), youth’s behavior, or probation information indicate any physical or mental issues that need to be immediately addressed, and if so, are they being addressed?
- If the youth is in detention, or if the juvenile justice court is considering detaining a youth not previously placed in detention, is there reliable information to support a determination that the youth needs to be in secure detention, placed in a residential detention alternative, or can the youth be released with or without restrictions? Issues that should be considered in making this decision include:
- Is there reason to believe the youth might present a danger to the physical safety of the community or to reoffend upon release?
- Is there reason to believe the youth might have contact with the alleged victim or potential witnesses upon release?
- Is there reason to believe that the youth may not appear for court proceedings, attend probation meetings or other obligations, or otherwise fail to comply with the court’s orders?
- Does the youth have a history of engaging in behaviors that will endanger himself or herself, or has the youth made statements leading to a reasonable belief that he or she will engage in such behaviors?
- Does the youth have any medical, physical, or mental health issues, including a trauma history, that place the youth’s safety in question in a detention setting?
- Is detention necessary to hold the youth accountable for violations of probation or other court orders?
- Is there an environment adequately structured by family, community, school, or other support systems to enable the youth to avoid harmful behaviors and associations? In considering this question, the juvenile justice court must ensure that racial and ethnic disparities are not an unintended result of a negative determination. The court should ensure that family group conferencing and other means are used to identify all available family members and to create a supervision plan, and that appropriate resources exist to provide support to families when detaining the youth is not in the youth’s best interest.
- If the youth will continue to be detained, have the parent’s or legal guardian’s questions about detention, including visitation, been answered?
- Is there a possibility that Title IV-E funded services may need to be continued or required if the juvenile justice court decides to retain jurisdiction?
Written Findings and Orders
The juvenile justice court’s written findings and orders should be stated in language understandable by the parties and with enough detail to support the court’s actions. The juvenile justice court’s findings and orders should be set out in writing and made available to all legal par- ties and key participants at the conclusion of the hearing. The findings and orders should include:
- All persons present at the hearing;
- If parties were absent, whether they were provided with appropriate notice;
- A statement of the reason for the hearing, specifically the allegation against the youth, the prosecutor’s motion to waive juvenile justice court jurisdiction and transfer the case to criminal court, that rights and possible consequences were reviewed, and that evidence was presented to determine probable cause;
- A statement that the court found probable cause to believe the youth committed the offense; and
- Description of how the case meets the statutory requirements for a discretionary judicial waiver.
If a second hearing will be required, the findings and orders must also include:
- Orders that arrangements be made to complete the necessary evaluations, including designating who has responsibility for ensuring completion, what qualified practitioners will conduct the evaluations, and any dates that have already been set;
- If the youth is in detention, either the reasons why it is necessary to continue to detain the youth, or an order to release the youth specifying any restrictions;
- If the youth is not in detention, description of any restrictions placed on the youth until the next hearing;
- If the juvenile justice court believes there is any possibility that Title IV-E funds will be used for the youth’s placement or services, or if Title IV-E funds are currently being used for the youth’s placement or services that may continue to be needed if the court decides to retain jurisdiction, a determination as to what reasonable efforts were and are being made to keep the youth in the home or to return the youth to the home;
- A date for the next hearing within 10 business days if the youth is known to the juvenile justice court or not more than 20 business days if the youth is new to the juvenile justice court; and
- The date when the evaluations will be provided to the prosecutor and youth’s counsel for review prior to the next hearing.
The Evaluative Process for the Juvenile Justice Court to Decide Whether to Retain Jurisdiction or Waive Jurisdiction and Transfer to the Criminal Court on a Discretionary Waiver
Factors That Should Be Considered in the Decision to Retain or Waive Jurisdiction
Juvenile justice court judges have the difficult task of determining whether a youth will remain in the juvenile justice system where rehabilitation is the stated focus or whether he or she will be sent to criminal court where crime control and punishment are central aims. State statutes vary on the extent to which they explicitly outline the factors that should be considered in decisions to waive juvenile justice court jurisdiction and transfer a youth to criminal court. Although juveniles are transferred to criminal court who have been charged with property, drug, and public order offenses, the juveniles most likely to be judicially waived and transferred are those who have long court histories or those who injure victims. Recent studies have found that three broad factors capture the types of information juvenile justice courts should consider when making decisions as to whether the court should retain or waive jurisdiction. They are:
- Dangerousness — Research indicates that committing extremely violent crimes and having a prior history of frequent violence are related to a youth’s continued violence and severe antisocial behavior. Although only a very small fraction of youth with delinquent histories are chronically violent. Indicators of the degree of dangerousness include:
- The degree of violence involved in the current offense, including whether the juvenile used a weapon and the degree of injury suffered by any victims;
- The degree of violence involved in past offenses;
- The extent to which violence was unprovoked;
- The extent to which the offense was planned and premeditated; and
- Whether the incident was gang-related.
- Sophistication/Maturity — Whether or not the youth is perceived to be mature reflects the degree to which the youth understands the nature and consequences of the behavior. Higher levels of sophistication and maturity would be factors weighing in favor of transfer of jurisdiction. Factors frequently considered in weighing the degree of sophistication/maturity include:
- Whether the youth knew the norms of the behavior, was able to identify alternative actions, but still engaged in premeditated and sophisticated crimes;
- Whether there were co-offenders and if so, the relative involvement of the juvenile to the seriousness of the offense and the relative age of the youth to the co-offenders;
- Whether the youth is physically or developmentally immature;
- Whether there is a history of trauma that may have impaired or arrested the youth’s development. Trauma includes victimization, exposure to violence in the home, school, or community, witnessing suicides or homicides, and witnessing residential fires or other disasters; and
- Whether the youth has some degree of developmental delays or developmental disabilities.
- Amenability to Treatment — Does the juvenile justice court believe the youth can benefit from treatment available in the juvenile justice system, considering the time the youth remains under the jurisdiction of the juvenile justice court and the level of security needed to provide a reasonable assurance of community safety? Indicators of the degree to which the youth would be amenable to treatment within the juvenile justice system include:
- Whether the youth has a prior record of serious adjudicated justice offenses and appropriate service interventions that have or have not been successful in changing offending behavior;
- Whether there are appropriate services and disposition alternatives available in the criminal justice system for dealing with the youth’s problems;
- Whether the youth has a mental illness or trauma history that can benefit from mental health treatment;
- Whether the youth has a substance abuse problem that can benefit from substance abuse treatment;
- Whether the youth acknowledges his or her involvement in prior adjudicated offenses, takes responsibility for the actions, and exhibits a desire to change; and
- Whether the youth’s prior behavior shows indicators of consideration and tolerance of others and involvement in prosocial behaviors.
The comprehensiveness of these three factors, and the need for physical, social, and forensic evaluations to provide adequate information to identify and weigh the factors in favor of transfer as opposed to the factors against transfer, require that each individual case be carefully and individually assessed.
Evaluations Needed To Provide Information to the Juvenile Justice Court Regarding the Factors that Should Be Considered in the Decision to Retain or Waive Jurisdiction
Three evaluations are necessary to provide the needed information to the juvenile justice court judge so that the judge can make the decision to retain jurisdiction or to waive jurisdiction and transfer to criminal court. These evaluations are a social evaluation, a physical evaluation, and a forensic evaluation.
- The Social Evaluation — Unless this is the youth’s first offense, it is probable that the youth has already been active with probation services, and a social evaluation (also called a social history) has already been completed. It is important that the individual completing the social evaluation identifies prior information, including prior mental health evaluations, and that this information is included in the background information provided for the forensic evaluation. Components of a social evaluation include:
- Description of the family situation in which the youth resides, including the family’s court history, strengths and problems of the situation, and whether there is any history of trauma;
- Description of the situation of any parent or sibling with whom the youth does not reside and the strengths and problems of the situation, including whether there is any history of trauma;
- Description of any other significant individuals of influence in the youth’s life, both positive and negative, including peer groups and gang membership;
- Description of current and prior offenses;
- Description of the youth’s school history and current status including any special strengths, problems, or learning needs;
- Description of past and current problems of the youth including substance abuse, mental health issues, developmental delays, medical problems, education problems, trauma history, etc.;
- Description of any prosocial activities with which the youth is or has been involved;
- Description of services, both non-residential and residential, that the youth is or has been involved in, whether they were or were not court ordered, and the youth’s response to those services;
- Description of the youth’s adjustment to the detention environment, if applicable;
- Whether the youth has been involved with the neglect or abuse jurisdiction of the juvenile justice court and if so, a summary as to the reason for the involvement, a description of services and placements provided, the youth and family’s responses, and the current reunification or permanency, if applicable; and
- Any other information that would assist the mental health examiner and the court in assessing the youth’s level of dangerousness, sophistication/maturity, and amenability to treatment in the juvenile justice system.
The designated juvenile justice system staff, usually a probation officer, should review all prior social evaluations and add any supplemental information that has occurred since the last social evaluation was completed. The purpose of the social evaluation is to provide information regarding the issues listed above. The evaluation should not recommend whether or not the youth should be transferred to criminal court.
- The Physical Evaluation — Since the youth is probably in juvenile detention due to the degree of severity of the offense, the youth should have had a physical examination at the time of the detention admission. If the admission examination was not comprehensive or not conducted by a physician, an additional examination will be needed. This examination, conducted by a physician, along with any other pertinent medical information included in the social evaluation, should present a current and complete picture of the youth’s physical condition, including any physical maturity issues and any current medical issues or needs.
- The Forensic Evaluation — The final evaluation necessary to provide information to the juvenile justice court concerning the decision to waive and transfer is the forensic evaluation. Although a mental health screen was done at the time of detention intake, and a mental health evaluation may have been completed in the past, the forensic mental health evaluation is much more in-depth. The social and physical evaluations should be provided in advance to the examiner who will conduct the forensic evaluation.
The mental health professional conducting the forensic evaluation examines the youth in the context of the specific factors that the court must consider in deciding whether to retain jurisdiction or waive jurisdiction and transfer to criminal court, specifically dangerousness, sophistication/maturity, and amenability to treatment in the juvenile justice system. Whether the issue of competency to stand trial has or has not been raised, the evaluation should determine the degree to which the youth understands the charges and is competent to stand trial. The role of the clinician is to address all of these specific issues, not to recommend whether the youth should or should not be transferred to criminal court.
The mental health professional performing this evaluation must have experience in the field of forensic evaluations and in child/adolescent evaluations. The clinician must be knowledgeable about the structure of the juvenile justice system, adolescent offenders, and relevant laws. The clinician must understand child and adolescent development and psychopathology, cultural influences, if appropriate, and the impact of environmental factors such as victimization or other trauma, educational opportunities, and family dynamics. The evaluator must know the services and environments that exist in both the juvenile justice system and the adult system (although it is important to note that a juvenile should never be waived to the adult system because the resource is not, but should be, available in the juvenile justice system). The evaluator must understand the factors that the juvenile justice court judge must consider in making the decision and be able to communicate the evaluation results with regard to these factors so that adequate detail is presented to the judge, the prosecutor, and defense counsel. If a youth exhibits cognitive deficits or learning disorders, and if the evaluator does not have experience in these particular fields, additional evaluative resources may be necessary so that the impact of the deficits on behavioral and emotional functioning can be determined.
Juvenile justice court judges should not allow these evaluations to be conducted in a rote fashion for all youth. They should require that the individual’s circumstances and history determine the components of the forensic evaluation and that forensic evaluators are well-informed regarding current research.
Conducting the Second Phase of the Process to Decide Whether to Retain Juvenile Justice Court Jurisdiction or Waive Jurisdiction and Transfer to Criminal Court
Prior to this point, the juvenile justice court has held the probable cause phase on the prosecutor’s motion to waive juvenile justice court jurisdiction and has determined probable cause on an offense that qualifies for a discretionary judicial waiver. Social, physical, and forensic evaluations have been completed and provided to the court, the prosecutor, and counsel for the youth in advance of the hearing. The second and final phase regarding whether to retain juvenile justice court jurisdiction or to waive jurisdiction and transfer the case to criminal court is ready to proceed. Based on the evidence presented during this phase, the juvenile justice court judge must look at the factors weighing for and against the prosecutor’s motion to waive juvenile justice court jurisdiction and decide whether to grant or deny the prosecutor’s motion to transfer the case to criminal court. The judge must decide this question using a standard of clear and convincing evidence.
Presentation of the Social, Physical, and Forensic Evaluations
The evaluation reports should be provided to the prosecutor and counsel for the youth not less than three days before the hearing. It is recommended that the social and physical evaluations be provided to the prosecutor and counsel for youth prior to the forensic evaluation in order to provide as much review and preparation time as possible. It is important that the prosecutor and youth’s counsel have sufficient time to determine whether they will stipulate to the evaluations or whether they wish to challenge the conclusions by either questioning the evaluator or presenting additional information through written reports or testimony. If they plan to question the evaluator, subpoenas must be issued in sufficient time for the witnesses to be present to testify. If additional written reports are to be presented by the prosecutor or youth’s counsel, they should similarly have been provided to all parties prior to the hearing.
The judge may request the probation officer or other individual who prepared the social evaluation to summarize the information presented in the three evaluations. If so, the prosecutor and counsel for the youth should have the opportunity to question the preparer.
Presentation of the Prosecutor’s Case in Support of the Motion to Waive and Transfer Juvenile Justice Court Jurisdiction
All testimony presented at the waiver hearing should be under oath and subject to cross-examination. Only evidence that would be admissible in a juvenile justice court disposition hearing should be admissible in the hearing to determine whether to waive or retain jurisdiction.
If the parties have stipulated to the evaluation reports, the prosecutor may not need to present any additional evidence. If the evaluation reports do not support the prosecutor’s motion, the prosecutor may call additional witnesses at this time to challenge the conclusions of the evaluations. The prosecutor should have discussed with the victim whether she or he wishes to testify, and if so, the prosecutor should call the victim at this time. After each witness’ testimony, the defense should have the opportunity to cross-examine.
Presentation Through Counsel of the Youth’s Case Against the Motion to Waive and Transfer Juvenile Justice Court Jurisdiction
As with the prosecutor’s evidence, any evidence presented by counsel for the youth should be under oath and subject to cross-examination. Only evidence that would be admissible in a juvenile justice court disposition hearing should be admissible in the waiver hearing. After any witness’ testimony on behalf of the youth, the prosecutor should have the opportunity to cross-examine.
If the parties have stipulated to the evaluation conclusions, there may be no additional evidence to present. If there is evidence that counsel for the youth can present to defend his or her client against waiver, or to challenge the information in the evaluations, it should be presented at this time. Counsel should present an alternative plan for the court to consider that would continue juvenile justice court jurisdiction.
The therapeutic jurisprudence model recommends that the youth prepare, with appropriate assistance, a rehabilitation plan to present to the prosecutor and to the court that articulates why he or she is amenable to juvenile rehabilitation. The plan would include definition of behaviors that need to be changed, history of how the behavior developed, and what the youth believes is necessary to assist him or her in changing the behavior, including relapse prevention interventions. Developing the plan provides the youth an opportunity to reflect on and define the problem and is a useful tool for the court to use in assessing the youth’s amenability to treatment in the juvenile justice system.
At the conclusion of the youth’s case, the prosecutor may present a rebuttal. The prosecutor and counsel for the youth may present closing arguments.
Questions That Must Be Answered During the Retain or Waive Phase
In order to ensure that all issues have been covered at the hearing to determine whether to retain jurisdiction or waive jurisdiction and transfer to criminal court, the juvenile justice court judge should know the answers to the following questions before making the decision:
- With whom does the youth live and who has legal custody
- If a parent or legal custodian is not present, were they properly served? If so, why are they not present?
- Have all pending motions been identified and addressed?
- Were the prosecutor and counsel prepared for the hearing? Has all appropriate evidence been introduced?
- Has the prosecutor presented clear and convincing evidence that the case should be transferred to the criminal court, considering the youth’s dangerousness, sophistication/maturity, and amenability to treatment in the juvenile justice system?
- Are the immediate needs of the youth being addressed?
Written Findings and Orders Related to the Second Phase of the Process
The juvenile justice court’s written findings and orders should be stated in language understandable by the parties and with enough detail to support the court’s actions. The court’s findings and orders should be set out in writing and made available to all parties and key participants at the conclusion of the hearing. If the judge needs further time to review the evidence in order to make a decision, the case should be continued for no more than three business days, at which time the court renders its decision.
1. If the Juvenile Justice Court Denies the Motion To Waive Juvenile Justice Court Jurisdiction and Transfer the Case to Criminal Court
If the juvenile justice court denies the motion, the juvenile justice court judge should proceed to take a plea on the petition. If the youth denies the offense, pre-trial issues should be addressed. The judge should determine whether to continue to hold the youth in detention or release the youth with or without restrictions. If the youth is released, and if the victim is not in court when this decision is made, the prosecutor or probation officer should notify the victim of the youth’s release. The judge should set the case for trial no later than 10 business days if the youth remains in detention, and no later than 20 business days if the youth is released from detention.
If the juvenile justice court believes there is any possibility that Title IV-E funds will be used for the youth’s placement or services, or if Title IV-E funds are currently being used for the youth’s placement or services that may continue to be needed, a determination as to what reasonable efforts were, and are being made to keep the youth in the home or to return the youth to the home must be made in order to retain Title IV-E eligibility for funding.
If the youth through counsel admits all counts of all petitions, the youth should complete and sign a plea petition that, in addition to listing rights, has a statement of admission and describes what occurred. The youth should recite the facts of the offense, and the court should accept the admission and adjudicate the youth. Since social, physical, and mental evaluations have already occurred, it is likely that the juvenile justice court can immediately move to the disposition phase. The probation officer that prepared the evaluative information for the waiver hearing should include a disposition recommendation if the court decides to retain jurisdiction.
If disposition cannot be made at this time, the disposition hearing should be set for a future date. Prior to setting the disposition hearing, the juvenile justice court judge must decide whether the youth should continue to be detained because he or she is a danger to self or others or at risk of absconding, or whether the youth should be released with or without restrictions pending the disposition hearing. If the youth is held, the disposition hearing should be set as soon as possible within five business days. If additional information is needed that will take a longer period to obtain, then the hearing should be set within 10 business days.
If the youth is not detained, the disposition hearing should be set as soon as possible within 10 business days, unless additional information will take a longer period to obtain. Under no circumstances should the disposition hearing be set for a period longer than 20 business days.
The written findings and orders, if the juvenile justice court denies the motion to waive jurisdiction, should include:
- All persons present at the hearing;
- If parties were absent, whether they were provided with appropriate notice;
- A statement of the reason for the hearing, specifically the allegation against the youth, that probable cause has been established, and that the prosecutor has filed a motion to waive juvenile justice court jurisdiction and transfer the case to criminal court;
- Either the reasons why it is necessary to continue to detain the youth or an order to release the youth specifying any restrictions placed on the youth until the next hearing;
- If the court believes there is any possibility that Title IV-E funds will be used for the youth’s placement or services, or if Title IV-E funds are currently being used for the youth’s placement or services, findings of fact as to what reasonable efforts were, and are being made to keep the youth in his or her home;
- Any evaluations or services that the youth needs prior to the next hearing and who is responsible to obtain them; and
- If the youth denies the offense:
A description of the pre-trial issues that were addressed, identification of any pre-trial issues that still need to be addressed, and the expectation of how these remaining issues will be resolved, as well as the date and time for the trial and any additional pre-trial hearing if necessary. - If the youth admits the offense, either the court’s disposition orders (See Chapter 7: The Disposition Hearing) or the date and time for the disposition hearing.
2. If the Juvenile Justice Court Grants the Motion To Waive Juvenile Justice Court Jurisdiction and Transfer the Case to Criminal Court
The written findings and orders, if the juvenile justice court denies the motion to waive jurisdiction, should include:
- All persons present at the hearing;
- If parties were absent, whether they were provided with appropriate notice;
- A statement of the reason for the hearing, specifically the allegation against the youth, that probable cause has been established, and that the prosecutor has filed a motion to waive juvenile justice court jurisdiction and transfer the case to criminal court;
- All persons present at the hearing;
- If parties were absent, whether they were provided with appropriate notice;
- A statement of the reason for the hearing, specifically the allegation against the youth, that probable cause has been established on the prosecutor’s motion to waive juvenile justice court jurisdiction and transfer the case to criminal court, and that the purpose of the hearing was to determine whether to waive and transfer;
- A statement that the court has granted the motion and the specific reasons for the court’s finding; and
- Orders that arrangements be made to notify the criminal court of the transfer and if necessary, orders that arrangements be made to transfer the youth from juvenile custody to criminal custody.
If a representative of the applicable law enforcement agency is not present at the hearing, the prosecutor should send timely written notice of the waiver decision to law enforcement. If the victim of the offense did not attend the hearing, the prosecutor or probation officer should notify the victim of the juvenile justice court’s decision.