ARIZONA JUVEN1I;E TRANSFER STUDY:
JCrVENILES TRANSFERRED TO ADULT COURT 1994
Elizabeth W. McNulty, Ph.D.
Arizona Supreme Court
Administrative Office of the Courts
Adult Services Division, Suite 344
Juvenile Justice Services Division, Suite 337
1501 West Washington
Phoenix, Arizona 85007
February 1996
Acknowledgments
This project could not have been conducted without the data provided by all fifteen
Arizona County Juvenile Courts and Adult Probation Departments. This information
was central to the execution of this study. In particular, we are grateful to the staff of
each county's Adult Probation Department for the extensive work involved in data
collection. Additionally, we appreciate the efforts of Cindy Poe and Margaret Warren
for data entry and Steve Stilwell and Neil Russell for assistance with database
management. Special thanks to Michelle Kusrnider for the preparation of the
manuscript and all graphic presentations.
ARIZONA JUVENILE TRANSFER STUDY:
JUVENILES TRANSFERRED TO ADULT COURT 1994
TABLE OF CONTENTS
Page
ExecutiveSummary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Background
The Transfer of Juveniles to Adult Court . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
TransferinArizona . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
Increases in Juveniles Transferred . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
ResearchDesign . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
Limitations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Juvenile Court Information: Juveniles Transferred to Adult Court 1994 . . . . . . . . . 9
Profiles of Transferred Juveniles: Demographics . . . . . . . . . . . . . . . . . . . 10
Profiles of Transferred Juveniles: Offense Severity . . . . . . . . . . . . . . . . . 12
Profiles of Transferred Juveniles: Criminal and Court History . . . . . . . . . . 16
Summary of Juvenile Court Information . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
Adult Court Information: Sentencing
Sentences Received . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
Who Receives lncarcerative Sentences? . . . . . . . . . . . . . . . . . . . . . . . . . 24
Summary of Sentencing Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
Adult Court Information: Juveniles Placed on Probation
How Effective is Adult Probation for Transferred Juveniles? . . . . . . . . . . . 28
Treatment Ordered and Received . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
Summary of Adult Probation Information . . . . . . . . . . . . . . . . . . . . . . . . . . 34
Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34
Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40
Appendix . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42
ARIZONA JUVENILE TRANSFER STUDY:
JUVENILES TRANSFERRED TO ADULT COURT 1994
LIST OF TABLES
Page
Tabled: Age . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Table2: Gender . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Table 3: Ethnicity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Table4: County . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
Table 5: Offense Severity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
Table 6: Prior Referrals to Juvenile Court . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
Table 7: Prior Diversions to PIC-ACT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
Table 8: Prior Dispositions to Juvenile Probation . . . . . . . . . . . . . . . . . . . . . . . . . 19
Table 9: Prior Dispositions to
Juvenile Intensive Probation Supervision (JIPS) . . . . . . . . . . . . . . . . . . 19
Table 1 0: Prior Dispositions to
Arizona Department of Juvenile Corrections (AD JC) . . . . . . . . . . . . . . 19
Table 1 1 : Use of Continuum of Juvenile Court-related Services
(PIC-ACT, Probation, JIPS, ADJC) . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
ARIZONA JUVENILE TRANSFER STUDY:
JUVENILES TRANSFERRED TO ADULT COURT 1994
UST OF FIGURES
Page
Figure 1: Offense SeveritybyAge.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
Figure 2: Offense Severity by Ethnicity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Figure 3: Prior Juvenile Court Referrals by Ethnicity . . . . . . . . . . . . . . . . . . . . . . 17
Figure 4: Adult Court Sentences of Transferred Juveniles 1994 . . . . . . . . . . . . . 23
Figure 5: Status of Transferred Juveniles Sentenced to Probation,
IPSandShock . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
Figure 6: Treatment Ordered and Received by Juveniles
Sentenced to Probation, IPS or Shock 1994 . . . . . . . . . . . . . . . . . . . . 3 1
Figure 7: Comparison of Status of Transferred Juveniles Sentenced to Probation:
Treatment Ordered & Received vs.
Treatment Ordered & Not Received . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
Figure 8: Comparison of Status of Transferred Juveniles Sentenced to IPS:
Treatment Ordered & Received vs.
Treatment Ordered & Not Received . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
ARIZONA JUVENILE TRANSFER STUDY:
JUVENILES TRANSFERRED TO ADULT COURT 1994
Executive Summary
This report of the Arizona Juvenile Transfer Study documents findings from a
comprehensive study of the 530 juveniles transferred to adult court in 1994. The
study examines the transfer process and its impact. The report provides
descn'ptive information obtained from juvenile court records and examines the
results of adult court sentencing and the performance of juvenile offenders while
under the supervision of adult probation.
Descri~tivein formation on 1994 transferred juveniles includes:
0 Predominately male and over age 16;
0 Minority youth over-represented-more evident in some offense categories;
0 Fifty-six percent with more than 5 prior referrals to juvenile court;
0 More than 8 out of 10 with prior use of at least one juvenile court-related
service (PIC-ACT, juvenile probation, JIPS, ADJC);
0 Few with full use of the continuum of juvenile court-related services;
O High percentage of females with no prior use of any service.
The sentences received in adult court include:
33% Standard probation;
32% Department of Corrections (DOC);
16% Intensive Probation Supervision (IPS);
8% Dismissal, acquittal or deferred prosecution;
7% Shock incarceration;
5% Jail.
Analysis of adult court sentencing:
0 Points to criminal history, offense-related and demographic characteristics that
impact sentencing decisions;
0 Further research recommended to examine underlying dimensions of identified
variables.
Transferred iuveniles placed under the supemision of adult probation:
O Similar percentages of juveniles on standard probation (59%) and IPS (62%)
still currently under supervision at least 8 months after sentencing;
0 Smaller percentage of juveniles sentenced to shock (48.4%) still currently under
supervision in a similar time period.
0 68% of transferred juveniles placed on adult probation had treatment
ordered at time of sentencing;
0 Half of these juveniles received treatment.
Of those with treatment ordered:
O A higher percentage of transferred juveniles on standard probation who
received treatment were still cull-ently under supervision than those who did not
receive treatment;
O An even larger difference seen between the status of IPS transferred juveniles
who received treatment and those who did not.
ARIZONA JUVENILE TRANSFER STUDY:
JUVENILES TRANSFERRED TO ADULT COURT 1994
Introduction
This study examines 530 Arizona juveniles transferred to adult (criminal) court
for sentencing in 1994. The study incorporates information from juvenile court and
adult court to describe and analyze various aspects of the process. The report centers
on three topics:
Q Comparative profiles of juvenile offenders transferred to adult court;
Q Adult court sentencing of juvenile offenders;
D Progress of transferred juveniles placed on adult probation.
The report begins with an overview of the transfer process in general, followed
by a description of Arizona procedures. This is followed by information on juveniles
transferred to adult court in 1994 drawn from selected demographic, offense, criminal
history and court history data from the juvenile court. Included in this section are
comparisons of offense and history information by gender, age and ethnicity. The next
section focuses on information subsequent to transfer, beginning with sentences
received in adult court. Incorporated into this section are the results of an analysis of
characteristics more likely to result in an incarcerative sentence. The next section
addresses issues related to juveniles placed under the supervision of Adult Probation
Departments. Here, the analysis looks at how well juveniles on adult probation fare.
Specifically, consideration is given to the relationship between treatment and probation.
Background
The Transfer of Juveniles to Adult Court
Criteria used to qualify juveniles for transfer and the available mechanisms for
transfer vary from state to state, although the scope of both has expanded in recent
years (Chanen 1995). Currently, the criteria of age, offense and criminal history, alone
or in combination, legitimate the transfer of juvenile offenders to adult court.
Traditionally, age 18 marked the dividing line between juvenile and adult jurisdiction
in most states. In recent years, eleven states have moved this dividing line back-eight
states to age 17 and three states to age 16. Similar variation exists in the range of
qualifying offenses.
Judicial waivers, permitted in 47 states and the District of Columbia, continue
to be the most common mechanism for transfer (Feld 1987; Snyder and Sickmund
1995). In Kent v. United States (1966), the U.S. Supreme Court held that judicial
waivers carry with them certain procedural safeguards. These include "the right to a
hearing, representation by counsel, access to information considered in reaching the
decision to waive jurisdiction, and a statement of reasons for the waiver" (Bishop and
Frazier 1991, p. 284). Additional criteria, such as, the seriousness of the offense,
maturity, rehabilitative potential of the juvenile and community safety, are meant to be
considered as well.
Additional mechanisms by which a juvenile can be transferred to criminal court
include legislative waiver and prosecutorial waiver. Thirty-seven states currently permit
legislative waiver. This vehicle establishes age and offense parameters by statute that
are excluded from juvenile court jurisdiction. However, critics argue that legislative
waiver merely shifts discretion from juvenile justice officials to criminal justice officials
(Singer 1993; Zimring 1991 ).
Prosecutorial waiver, also called "direct file", is permitted in 10 states, where the
juvenile and adult courts have concurrent jurisdiction. As such, prosecutors decide the
venue for filing. Feld (1987) notes that prosecutors are more likely to "emphasize
retributive considerations over rehabilitative ones, and, as adversaries, less likely to
consider the welfare of the accused" (p. 514).
Transfer in Arizona
The Arizona Rules of Procedure for the Juvenile Court (Rules 12, 13, 14)
prescribe the process for transfer. Accordingly, although the juvenile court normally
retains jurisdiction until age 18, county attorneys may request that the juvenile court
transfer selected juveniles to adult (criminal) court. The resulting transfer hearing
involves both the determination of probable cause and the determination of transfer.
Following the establishment of probable cause, the juvenile court considers selected
criteria related to the offense, the juvenile's delinquent history and the potential for
rehabilitation within the juvenile system, in light of public safety.'
A recent amendment to the Rules of Procedure establishes "presumptive"
transfer for juveniles ages 16 or older who commit violent, serious or repetitive offenses
(Arizona Supreme Court Rules of Procedure for the Juvenile Court, Rule 14, effective
December 1, 1994). Offenses which qualify for presumptive transfer include: first and
second degree murder, aggravated assault involving a deadly weapon causing serious
physical harm, sexual assault involving a deadly weapon or a felony following four or
more delinquency adjudications. In addition, "transfer deferral" allows for the delay of
the transfer decision while probation or treatment are attempted within the juvenile
court (Rule 14.1).
Increases in Juveniles Transferred
A recent report by the Office of Juvenile Justice and Delinquency Prevention
found a sixty-eight percent increase nationwide in the number of juveniles transferred
to adult court through judicial waivers between 1988 and 1992 (Snyder and Sickmund,
1995). In Arizona, the number of juveniles transferred in the two largest counties
(Maricopa and Pima, containing 73% of the ages 8-17 year old population) between
1989 and 1993 increased s~bstantially.~H owever, as with the national data, it is not
known whether these increases reflect a similar increase in transfer requests or merely
an increase in the proportion of requests for transfer that are granted. Similarly, it is
not known to what extent increases in the at-risk juvenile population have affected this
increase.
Research Design
Juvenile court records indicate that 530 Arizona juveniles were transferred to
adult court during fiscal year 1994 (July 1, 1993-June 30, 1994). Data on these
juveniles were obtained from both the juvenile courts and adult probation departments.
Criminal history, demographic and offense information was obtained from each
county's Juvenile On-Line Tracking System (JOLTS), an automated juvenile court
information management system, operational statewide since 1994.
In February 1995, all fifteen county Adult Probation Departments were sent a
letter requesting their participation in a research project on transferred youth (See
Appendix). Each department was asked to provide selected information on the
transferred juveniles from their county. In order to facilitate the process, each
department was provided with a worksheet that identified all county juveniles who were
transferred to adult court during 1994 (See Appendix). Each department was asked
to supply the following information on each listed juvenile: adult court sentence(s),
current status of juvenile3, treatment services ordered at time of sentencing and
treatment services received at the time of data collection. This information was
provided by all departments within 60 days, entered into a database and merged with
the existing juvenile court database.
At the time of this subsequent data collection from adult court, the sentences
of 10.9% (N=58) of these cases were unknown, because the cases were still pending
prosecution in adult court. Thus, descriptive information is provided on all 530
transferred youth, while analysis following adult court sentencing is limited to the 472
juveniles for whom the sentence in adult court was known.
Limitations
Previous research indicates that not all cases considered for transfer actually
result in a transfer to adult court. Some requests for transfer are later withdrawn, while
other requests are denied by the juvenile court judge. In Arizona, Bortner (1 992) found
that the majority of youth (approximately 65%) considered for transfer during 1990 were
not, in fact, transferred. Currently, the statewide juvenile court automated data system
does not allow for the identification of transfer requests with their subsequent results.
Thus, there is no attempt in this report to consider the differences between the two
groups.
The variable "offense severity" references the severity of the most serious
offense that the juvenile was charged with in juvenile court. Although a juvenile may
be charged with more than one offense, charges for less serious offenses are not
represented here. A complete list of all offenses (and the number of juveniles with
each offense) included in each of the four severity categories used in these analyses
can be found at the end of the text4 It is important to note that the offense severity
category of "violent, crimes against personsn used in these analyses likely includes
more offenses than categories of "violent" used in other research.
Finally, while information is included on the number of prior referrals to juvenile
court that transferred juveniles received, information was not available on the severity
of these prior referrals.
Juvenile Court Information: Juveniles Transferred to Adult Court 1994
This section describes the population of juveniles transferred to adult court,
beginning with demographics-age, gender, ethnicity and county. Next, the
distribution of the severity of offense categories is listed, along with information on
any differences observed in these categories by gender, age and ethnicity. This is
followed by distributions of criminal and court history for this group of juvenile
offenders. Specifically displayed are the number of prior referrals to the juvenile court,
and, for those juveniles with prior referrals, the number of prior court diversions to
PIC-ACP (Progressively Increasing Consequence ~ c t ) , as well as, prior court
dispositions to: juvenile probation, JIPS (Juvenile Intensive Probation Supervision) and
ADJe(Arizona Department of Juvenile Corrections). Information is also provided on
the utilization of the continuum of these court-related services, looking at the number
of different services that were utilized by each previously referred juvenile prior to
transfer. Differences in these distributions by gender, ethnicity and age are reported
to illustrate dissimilar patterns within these groups.
Protiles of Transferred Juveniles: Demographics
Table 1 : Age
Table 2: Gender
Table 3: Ethnicity
Table 4: Counfy
The demographics of the juveniles transferred in Arizona are consistent with
those found in a recent study by the U.S. General Accounting Office (1 995). Table 1
shows that the majority of transferred juveniles were older-almost three-quarters of
them were 17. Table 2 demonstrates that the population was overwhelmingly male.
Table 3 displays the ethnic distribution, which varies considerably from the
ethnic distribution of Arizona's juvenile (ages 8-1 7) population: Hispanic 29%; Anglo
58%; African American 4%; Native American 8%; AsianIPacific Islander 2%; Other <I %
(Arizona Supreme Court, Administrative Office of the Courts 1994) .
Finally, Table 4 provides the county distribution of the transferred population.
This varies somewhat from the general juvenile (ages 8-17) population county
distribution8. A variety of county policies and procedures could contribute to this
variation.
Profiles of Transferred Juveniles: Offense Severify
Table 5: Offense Severity
Analyses were conducted to determine whether males and females, different
age groups and different ethnic groups had similar distributions within these offense
severity categories. There were only slight differences in the offense severities of
males and females and these differences were not statistically significant.
The following two charts display statistically significant differences in the four
severity categories for different age groups and ethnic groups. As shown in
Figure 1: Offense Severity by Age, three out of the four young offenders (age 14) had
offenses in the category "violent, crimes against personsn, compared to less than half
(44%) of the older offenders (age 17) with offenses in this category. Also, a higher
percentage of older offenders was seen in the category of property crime offenses
(pc.05).
Figure 2: Offense Severity by Ethnicity shows distinct differences in the
distribution of the offense severity categories attributed to each ethnic group (pc.005).
For example, the percentage of Anglo youth with property crimes was highest when
compared to other ethnic groups. The percentage of African-American juveniles with
offenses in the category of "violent, crimes against personsn was highest when
compared to other ethnic groups. Finally, the percentage of Hispanic youth with "drugn
offenses was highest when compared to the other ethnic groups.
Figure 1 : Offense Severity by Age
Other Drugs
Grand Theft, Crimes against property Violent, Crimes against person
I
Age 15
N=33
I
Age 16
N=104
I
Age 17
N=389
Juvenile Transfer Study
AOC/ASD/JJSD February 1996
Fieure 2: Offense Severitv bv Ethnicitv
Other Drugs \
Grand Theft, Crimes against property - Violent, Crimes against person
I
Anglo
N=197
Hispanic
N=23 5
A frian American Native American
N=75 N=22
Juvenile Transfer Study
AOCIASDIJJSD Febmry 1996
Profiles of Transferred Juveniles: Criminal and Court History
The distribution of prior referrals in Table 6 below shows that the majority of
transferred juveniles had numerous prior referrals. Less than one out of ten (8.7%,
N=46) had no previous history with the juvenile court (almost half of these (44%) were
charged within the offense severity category "violent, crimes against personsn). More
than half (56%, N=297) of the transferred juveniles had six or more prior referrals. .
Table 6: Prior Referrals to Juvenile Court
There was little variation in the gender distribution and the age distribution within
the categories of number of prior juvenile court referrals. However, there were
statistically significant differences by ethnicity (pc.01). In Figure 3: Prior Juvenile Court
Referrals by Ethnicity, a different pattern of prior referral distributions can be seen
between ethnic group. Anglo youth have the lowest percentage of numerous prior
referrals (6 or more), while the percentage of Native American youth with numerous
prior referrals is the highest. Also notable is the finding that a very small percentage
of African-American youth had no prior referrals-less than half the percentage of Anglo
youth, the group with the next highest percentage.
Figure 3: Prior Juvenile Court Referrals by Ethnicity
- ---
, 6 or more Prior Referrals I - 5 Prior Referrals No Prior Referrals
Anglo
N=197
Hispanic
N=23 5
African American
N =75
Native American
N=22
Juvenile Transfer Study
AOCIASDIJJSD February 1996
Tables 7-1 0 display use of court-related services by juveniles with prior referrals
(N=484). These include: PIC-ACT, juvenile probation, JIPS and ADJC. It is not known
to what extent eligibility requirements precluded the diversion or disposition of some
of these juveniles to these services following prior referrals. For a description of these
eligibility requirements, see Juveniles Processed in the Arizona Court System FY 95.
In particular, most of the transferred juveniles (73%, N=354) had no prior
dispositions to JIPS. Similarly, more than half (54%, N=262) had not received a prior
disposition to ADJC. Table 11 summarizes prior use of the continuum of juvenile court-related
services by displaying the number of previously referred juveniles with prior
dispositions to "nonen, "somen, or "alln of these services9. While most of these juveniles
with prior referrals to the juvenile court had received at least one of the above services,
some (1 3%, N=65) had received no services and only approximately one out of ten had
received all services. Together the tables show that, despite the perception that
transferred juveniles have exhausted the continuum of services of the juvenile court,
the data do not confirm this.
Table 7: Prior Diversions to PIC-ACT
Table 8: Prior Dispositions to Juvenile Probation
Table 9: Prior Dispositions to Juvenile Intensive Probation Supervision (JIPS)
Table 10: Prior Dispositions to Arizona Department of Juvenile Corrections (ADJC)
Table 1 1 : Use of Continuum of Juvenile Coutt-related Services
(PIC-A C T, Juvenile Probation, JIPS, AD JC)
With one exception, there were little differences by gender in each of the prior
court-related services for those with prior referrals. In each case, a slightly higher
percentage of males had prior use of PIC-ACT, juvenile probation and ADJC, than the
percentage of females, although these differences were not statistically significant.
However, the differences in prior use of JIPS by males and females was significant.
Less than 5% of the females had a previous disposition to JIPS, compared to 28% of
the males (p<.05).
There were no statistically significant differences between age groups in the
prior use of each of the court-related services. However, the expected pattern of older
offenders having more prior use was not apparent.
There were no significant differences by ethnicity in the prior usage of PIC-ACT,
juvenile probation or JIPS. However, there was a difference for prior commitments to
ADJC. The percentage of each ethnic group with prior commitments to ADJC were:
Anglo 38%; Hispanic 48%; African-American 50%; Native American 70% (pc.05).
When examining the use of the continuum of prior court-related services, there
, PRIOR, SERVICES
NONE
ONE, TWO OR 'THREE
ALL SERVICES
TOTAL
, NUMBER 1 PERCENT -
65
365
54
484
13.4
75.4
11.2
100
were no statistically significant differences by age or ethnicity. However, the difference
in usage by gender was significant (pc.05). Almost one out of three females (29%) had
no prior services (compared to 13% of the males), and none of the females (0%) had
used all of the prior services (compared to 12% of the males).
Summary of Juvenile Court Information
The preceding descriptive information on the demographics, offense severity
and criminal and court history of Arizona's transferred juveniles is consistent with past
research, local and nationwide. Demographics of the transferred population identify
this as an overwhelmingly male population. Not surprisingly, a high percentage of
juveniles transferred were 17 years old. While this could suggest that the perception
of limited time for rehabilitation andlor punishment plays a major role in constituting the
transfer population, previous research in Arizona suggests otherwise. Specifically,
Bortner (1992) found that although 84% of those transferred were 17, slightly more
than half of the 17 year olds who were considered for transfer were not transferred.
Similar to earlier research in Arizona, these data show that minority youth are
over-represented in the transfer population (Bortner et al, 1990). In addition, this over-representation
is more evident within selected offense categories.
While many transferred juveniles had utilized one or more prior services through
the juvenile court, analysis suggests that, despite the perception that transferred
juveniles have exhausted the continuum of services of the juvenile court, the data do
not confirm this. This is particularly evident in the small female cohort.
Adult Court Information: Sentencing
Sentences Received
At the time of data collection, the sentences received by 472 transferred
juveniles were known. As can be seen in Figure 4: Adult Court Sentences of
Transferred Juveniles 1994, thirty-three percent (N=156) were placed on standard
probation, thirty-two percent (N=150) were sentenced to the Department of Corrections
(DOC), sixteen percent (N=76) were placed on Intensive Probation Supervision (IPS),
seven percent (N=31) received shock incarceration" and five percent (N=22) were
sentenced to jail. The outcome for the remaining 7.8% (N=37) included dismissal
(N=34), acquittal (N=l) and deferred prosecution (N=2).
Figure 4: Adult Court Sentences of Transferred Juveniles- 1994
IPS
Shock
6.6%
Probation
33.1 %
Jail '
4.7%
Deferred Prosecution
' Probation
Shock
DOC 1 Dismissed
IPS
Jail rn Deferred Prosecution I
Juvenile Transfer Study
AOCIASDIJJSD February 1996
Who Receives lncarcerative Sentences?
This section considers the question of which juveniles were more likely to
receive an incarcerative sentence following transfer. The analysis focuses on the
relationship of selected demographic, criminal history and offense variables to
sentencing patterns of juveniles in adult court. For this analysis, a distinction was
made between "incarcerative sentencesn, which included DOC or jail, and a "probation
sentencen, which included standard probation, IPS and shock." Using this distinction,
the majority of transferred juveniles received either an incarcerative sentence (43%,
N=203), or a probation sentence (49.2%, N=232).
The purpose of the analysis was to identify elements that affected the likelihood
of receiving an incarcerative sentence in adult court, while simultaneously controlling
for all other included independent variables. Logistic regression was employed to
determine the likelihood of receiving an incarcerative sentence, compared to any other
sentence.12 This statistical procedure considers the effects of various elements
together, by essentially "controlling for" the combined effects of other variables. The
results consider changes in the "oddsn of a transferred juvenile receiving an
incarcerative sentence in adult court associated with each variable, while controlling
for the simultaneous effects of the additional independent variables included in the
analysis.
Five variables significantly altered the likelihood of similarly situated transferred
youth receiving an incarcerative sentence in adult court. The results of logistic
regression analysis show that, when the listed variables were considered together, the
likelihood of receiving an incarcerative sentence increased when a juvenile: was
charged with a "violent, crimes against personsn offense; had a previous transfer
to adult court; was a minority; and had more prior referrals to the juvenile court. On
the other hand, age decreased the likelihood of receiving an incarcerative sentence
(with older juveniles less likely). Although prior services through the juvenile court
(PIC-ACT, juvenile probation, JlPS and ADJC) were also considered, they did not
significantly change the odds of receiving an incarcerative sentence. Because the
transfer population was overwhelmingly male (95.5%, N=527), gender was not included
as an independent variable in this analysis. Specific information follows on the
predicted change associated with each variable.
While controlling for the other included variables, the single most important
predictor was the severity of the offense. Juveniles who were charged with "violent,
crimes against personsn offenses were almost three times as likely to receive an
incarcerative sentence as those not charged within this offense category.
A small percentage (8.5%, N=40) of these juveniles had previously been
transferred to adult court, although the results of these previous transfers are not
known. Not surprisingly, juveniles with a previous transfer were 2.7 times more likely
to receive an incarcerative sentence as those with no previous transfer.
Although data limitations preclude further expansion of this finding (as discussed
below), African-American transferred juveniles were approximately three times more
likely to receive incarcerative sentences than Anglo juveniles. Similarly, Hispanic youth
were almost twice as likely to receive an incarcerative sentence as Anglo youth.
Prior referrals to juvenile court slightly increased the odds of receiving an
incarcerative sentence-the odds were multiplied by a factor of 1.07 when prior
referrals to the juvenile court were included. Finally, the odds of receiving an
incarcerative sentence were decreased somewhat with age. Specifically, each
additional age increment decreased the odds by a factor of .6681 .I2
While this analysis identifies the importance of these selected variables, much
information remains unknown regarding adult court sentencing of transferred juveniles.
Most importantly, limitations in both the availability of seemingly important variables
and the scope of several included variables suggest the need for caution in
interpretation. For example (as noted in the earlier section on Limitations), the
category of "violent, crimes against personsn encompasses a wide range of offenses.
Likely the analysis would be enhanced by a more narrow definition, one that could
distinguish dimensions, such as, weapons use. Similarly, the relatively slight impact
that the number of prior referrals had on adult court sentencing likely speaks to the
range of seriousness of these referrals, a dimension not captured in the variable.
Again, further research would benefit from a variable that considered the seriousness
as well as the number of prior referrals to the juvenile court.
Several important variables missing in the analysis limit our understanding of the
unsettling role that ethnicity plays in the process. For example, it is likely that
socioeconomic dimensions correlated with ethnicity are, in large part, responsible for
this finding. However, the significance of socioeconomic variables, such as, types of
representation in adult court, can not be examined with these data. In general,
additional research incorporating social history information is strongly recommended
to discern the underlying components of this variable.
Summary of Sentencing Information
Consistent with research around other aspects of the transfer process, the
results of this analysis point to criminal history, offense-related and demographic
characteristics that impact sentencing decisions. Although data limitations precluded
the examination of several important variables, being charged with a "violent, crimes
against personsn offense, a previous transfer to adult court, ethnicity, prior referrals
in juvenile court, and age changed the likelihood of a similarly situated juvenile
receiving an incarcerative sentence in adult court. The use of prior juvenile court-related
services did not significantly change the likelihood of receiving this sentence
in adult court.
Possible explanations for the differences in adult court sentencing are
speculative at best. Data limitations preclude the addition of potentially important
variables and important distinctions within the variables employed. Continued research
is recommended to address additional dimensions of these variables.
Adult Court Information: Juveniles Placed on Adult Probation
How Effective is Adult Probation for Transferred Juveniles?
Of the 472 juveniles transferred to adult court in 1994, for whom a sentence was
known, 47.6% (N=263) were placed on adult probation, IPS or shock incarceration.
This section presents information on how well transferred juveniles do on adult
probation. Utilizing information provided by each county's Adult Probation Department,
the following chart displays the status of transferred juveniles at least 8 months after
sentencing. Figure 5: Status of Juveniles Sentenced to Probation, IPS and Shock
shows that a similar percentage of juveniles on standard probation (59%) and IPS
(62%) were still currently under supervision at the time of data collection.
In contrast, a smaller percentage of juveniles sentenced to shock (48%) were
still "current" in a similar time period. Several possible explanations exist. It is possible
that program differences between standard probation and IPS vs. shock account for
some of these differences. It is also possible that the selection of juveniles for the
three programs reflects an increase in the risk level, although this argument would be
strengthened by an incremental difference in the status of juveniles in the three
programs. However, this is not the case-the highest percentage of juveniles still
"current" are in IPS. Finally, because the statutorial requirement sets the minimum age
for shock at 18, it is possible that the interim time that the juvenile spends in no
program negates any benefit that shock could offer.
Figure 5: Status of Transferred Juveniles
Sentenced to Probation, IPS and Shock
f Legend
Servingsentence 1 = Revoked& Reinstated
Revoked DOC
/@ Conplete&Re/ease
VOPPmding
Other (D&pofted, Abnded, Unknown)
Probation
N= 156
IPS Shock
Juvenile Transfer Study
AOC/ASD/JJSD February 1996
Treatment Ordered and Received
Information on treatment services was incorporated into the analysis to explore
factors related to the supervision of juveniles on adult probation. Figure 6: Treatment
Ordered and Received by Juveniles Sentenced to Probation, IPS and Shock 1994
shows that treatment services are ordered for the majority (68%) of juveniles placed on
adult probation, but only half received treatment at the time of data collection. Possible
reasons for not receiving treatment include: early revocation of juvenile to DOC before
treatment can be initiated, lack of sufficient funding for treatment services, difficulty
accessing state and federally funded services13 or unavailability of treatment services.
The following section looks at how well transferred juveniles placed on standard
probation and IPS do when treatment is received. It is important to note that it cannot
be determined if receiving treatment affected the status.
Figure 7: Comparison of Status of Transferred Juveniles Sentenced to Probation
shows that a higher percentage of those who had treatment ordered and who had
received treatment were "currentn at the time of data collection than those who had
treatment ordered, but had not received it, although this difference is not statistically
significant.
An even larger difference can be seen in the status of juveniles placed on IPS,
when receiving ordered treatment services is considered. Figure 8: Comparison of
Status of Transferred Juveniles Sentenced to IPS shows that almost twice the
percentage of those receiving treatment were still "currentn compared to those not
receiving treatment. This difference was statistically significant (pc.05).
Figure 7: Comparison of Status of Transferred Juveniles Sentenced to Probation:
Treatment Ordered & Received vs. Treatment Ordered & Not Received
Treatment Ordered & Received
N=45
Treatment Ordered &Not Received
N=44
Serving Sentence, Revoked & Reinstated or Completed & Released '
1 VOP Pending
Revoked DOC
Other (Deported, Absconded, Unknown)
Juvenile Transfer Study
AOCIASDIJJSD February 1995
Figure 8: Comparison of Status of Transferred Juveniles Sen ed to L
Treatment Ordered & Received vs. Treatment Ordered & Not Received
Treatment Ordered & Not Received
N=16
Treatment Ordered & Received
N=34
'r n Serving Sentence, Revoked 6 Reinstated or Compl~fed& Released '
VOP Pending
Revoked DOC r Other (Deported, Absconded, Unknown)
1
Juvenile Transfer Study
AOC/ASD/JJSD February 1996
Summary of Adult Probation Information
More than half of the transferred juveniles placed on standard probation and IPS
were still on probation or IPS at least 8 months following sentencing in adult court.
However, the percentage of those sentenced to shock was somewhat lower. Several
possible explanations address these results.
Treatment services were ordered at the time of sentencing for the majority of
transferred juveniles placed on probation. However, many transferred juveniles did not
receive this treatment following adult court sentencing. The data suggest that
treatment services are one possible factor related to success on standard probation
and IPS. In particular for IPS, there is a notable difference in outcome when ordered
treatment is received and when it is not.
Conclusions
Descriptive information on the demographics, offense severity and criminal and
court history of Arizona's transferred juveniles is consistent with past research, local
and nationwide. While no attempt is made to depict a profile of the "averagen
transferred juvenile, further empirical evidence is offered of several important details.
The over-representation of minority youth was evident, and particularly so in selected
offense categories. While not surprising, most, but not all, transferred juveniles had
extensive prior contact with the juvenile court. While many of these juveniles had
previously either been through a diversion program or received one or another
disposition through the juvenile court (PIC-ACT, juvenile probation, JIPS, ADJC), very
few had utilized this full continuum of services through the juvenile court.
The distribution of sentences received in adult court shows that transferred
juveniles receive a range of sentences. Consistent with research around other
aspects of the transfer process, analysis of adult court sentencing points to criminal
history, offense-related and demographic characteristics that impact sentencing
decisions.
Previous research has demonstrated that younger offenders are least likely to
successfully complete adult probation (Arizona Supreme Court, Administrative Office
of the Courts 1995). Analysis of the status of transferred juveniles who have been
placed on standard probation or IPS suggests that treatment services may play a key
role in their success while on probation. This relationship appears to be particularly
meaningful for transferred juveniles placed on IPS.
Notes
1. Juvenile court judges consider the following factors per Arizona Supreme Court
Rules of Procedure for the Juvenile Court, Rule 14:
1) The seriousness of the alleged offense and whether it was committed in
an aggressive, violent, premeditated or willful manner;
2) Whether the alleged offense was against person or against property;
3) Whether the child used a deadly weapon or dangerous instrument in the
commission of the alleged offense;
4) Whether another person sustained serious physical injury as the result of the
actions of the child;
5) Whether the child committed the alleged offense while participating in,
assisting, promoting or furthering the interests of a criminal street gang, a
criminal syndicate or a racketeering enterprise;
6) The sophistication and maturity of the child as determined by consideration
of the child's age, intelligence, education, environment, emotional attitude, and
pattern of living;
7) The child's physical, mental, and emotional condition;
8) The record and previous history of the child, including previous contacts with
juvenile courts and law enforcement agencies in this and other jurisdictions,
prior periods of probation in any court and their results, and any prior
commitments to juvenile residential placements and secure institutions;
9) Whether the child has been previously committed to the Arizona Department
of Juvenile Corrections for a felony offense and has committed another felony
offense while a ward of that department;
10) Whether the child has previously been transferred for criminal prosecution
in this or other state;
11) The prospects for adequate protection of the public and the likelihood of
reasonable rehabilitation of the child by the use of services and facilities
currently available to juvenile court, and;
12) Any other factors which appear to be relevant to the determination of the
transfer issue.
2. Although the number of juveniles in Maricopa County transferred to adult court
remained small from 1989 (N=102) to 1993 (N=281), this represents a 175%
increase. A similar pattern occurred in Pima County, where there has been a
157% increase in the number of juveniles transferred to adult court from 1989
(N=28) to 1993 (N=72).
3. The juveniles in this cohort were all transferred to adult court in fiscal year 1994
(July 1, 1993-June 30, 1994). Each county Adult Probation Department
provided subsequent information on the transferred juveniles in their county
between March 1, 1995 and April 30, 1995. Thus, the variable "statusn refers
to the status of each of the transferred juveniles on probation at least 8 months
(for a juvenile transferred on the last day of the fiscal year) and, potentially, up
to 20 months (for a juvenile transferred on the first day of the fiscal year)
following transfer. It is not known to what extent length of time on probation
affected "status".
4. The following offenses are included in each severity category (number of
transferred juveniles with this offense):
Violent (Crimes against person) - Homicide (4), murder (30), attempted murder
(1 O), manslaughter (I), negligent homicide (I), armed robbery (55), aggravated
robbery (5), strong arm robbery (5), aggravated assault (72), assault (I),
aggravated assault disfigurement (3), aggravated assault with a deadly weapon
(27), kidnaping (7), sex with minor (4), child molestation (4), sexual abuse (I),
sexual assault (1 O), endangerment (5), arson occupied structure (4), leaving
accident with deathlinjury (2), child abuse (I), ganglsyndicate (2), possession
of firearm (1).
Grand TheR (Crimes against property) - Burglary (79), aggravated criminal
damage (l), criminal damage (5), vehicle theft (58), fraud (l), attempted
burglary (I), forgery (6), stolen property (9), attempted theft (2), theft (29),
criminal syndicate (A), fraudulent schemes (I), unauthorized use of vehicle (1).
Drugs - Possession (22), selling (16), transporting (3), trafficking (8),
sniffing (4) any illegal drug-dangerous or narcotic.
Other- Escape (2), liquor violation (I), unlawful flight (6), theft (3), false report
(I), trespass (2), assault (3), probation violation (A), minor consuming (1),
weapons misconduct (l), conspiracy (3), runaway (I), intimidation (I),
possession of prohibited weapon (2).
5. The "PIC-ACT" program began July 1, 1984 pursuant to ARS §8-230, as
revised. As such, the program provides a diversion from juvenile court activity
or the adjudication process. PIC-ACT provides for first and second time
misdemeanor complaints received on juveniles to be adjusted if the juvenile
completes one or more conditions, such as, community service, counseling,
education, restitution.
6. Formerly, the Department of Youth Treatment and Rehabilitation. Renamed
July 1995.
7. One juvenile was transferred 9 days before his 14th birthday
8. The distribution of the juvenile (ages 8-17) population by county is:
Apache (2.5%); Cochise (2.7%); Coconino (3.0%); Gila (1.0%); Graham (.9%);
Greenlee (.3%); La Paz (.4%); Maricopa (56.6%); Mohave (2.4%); Navajo
(2.9%); Pima (16.8%); Pinal (3.5%); Santa Cruz (1.1 %); Yavapai (2.7%); Yuma
(3.2%).
9. This variable considers the degree to which the continuum of court-related
services were received. It identifies whether a juvenile received none of these
services, one, two or three, or all four of these different services. It does not
reflect the number of times they received the same service.
10. Shock incarceration: 90 days of incarceration while undergoing intensive,
regimented military-style programming, followed by intensive probation.
1 1. A jail sentence could be defined as either "incarcerative" or "probationn because
of the frequent combination of time in jail followed by probation supervision.
Similarly, a sentence to shock incarceration could be defined as either
"incarcerativen or "probationn, because it also includes both. For purposes of
this analysis, the decision was made to define a sentence to jail as
"incarcerativen and a sentence to shock as "probationn. It is possible that a
change in definition of these two sentences could alter the results, although only
a small percentage of offenders received either of these sentences
12. The following table displays the results of the analysis. The logistic coefficient
(B) displays the log of the odds of receiving an incarcerative sentence. The
anti-log (Exp (B)) displays how many more times likely the event is to occur.
Logistic Regression of lncarcerative Sentence in Adult Court for Transferred Juveniles
Variables B Sig Exp( B)
Age
Arizona Department of
Juvenile Corrections
Ethnicitf
Hispanic
African American
Previous JlPS
Previous PIC ACT
Previous Probation
Previous Transfer
Violent Offense
Prior Referrals
Constant 5.5346 .0389
a White juveniles are the reference group
+ p < .10
* p < .05
** p < .01
m p < -001
Using the stated variables to explore the predictability of an incarcerative
sentence, 67.85% of the juveniles were correctly classified. For a full description
of the procedures involved, see McNulty (1 995).
13. There are a variety of state and federal programs that fund various treatment
services for juveniles. Each program has specific eligibility criteria. For
example, youth under age 21 years are eligible for Title 19 funding for treatment
services if they meet both financial and medical eligibility. The fact that a youth
is on Adult Probation does not prohibit them from entitlement, as long as they
are in the community and not in jail.
References
Arizona Supreme Court, Administrative Office of the Courts, Adult Services Division.
Arizona Adult Probation Outcome Study. Phoenix, AZ, May 1995.
Arizona Supreme Court, Administrative Office of the Courts, Juvenile Justice Services
Division. Juveniles Processed in the Arizona Court System FY94. Phoenix, AZ,
December 1994.
Arizona Supreme Court, Administrative Office of the Courts, Juvenile Justice Services
Division. Juveniles Processed in the Arizona Court System F Y95. Phoenix, AZ,
February 1996.
Bishop, Donna M. and Charles E. Frazier. "Transfer of Juveniles to Criminal Court:
A Case Study and Analysis of Prosecutorial Waiver." Notre Dame Journal of
Law, Ethics & Public Policy. Vol5. 1991. pp. 281 -302.
Bortner, M.A. and Anne L. Schneider, Ria Hermann, Lance Christopher Miller and
Maria Cech-Soucy. Black Adolescents & Juvenile Justice, Background Report
to the 1990 Arizona Black Town Hall. Arizona State University. 1990.
Bortner, M.A. 'Transfer of Juveniles to Adult Court. Maricopa and Pima Counties
1990: Juveniles considered for transfer and juveniles transferred." Unpublished
Manuscript. Arizona State University. 1992.
Chanen, Jill Schachner. "Judging the Juvenile Justice System: Is our legal system
guilty of not putting children first? Barrister Magazine. Winter 1995 pp.15-20.
Feld, Barry. 'The Juvenile Court Meets the Principle of the Offense: Legislative
Changes in Juvenile Waiver Statuses.* Journal of Criminal Law and
Criminology. Vol78, No. 3, 1987, pp. 471 -533.
Kent v. United States, 383 U.S. 541 (1 966).
McNulty, Elizabeth W. 'The Transfer of Juvenile Offenders to Adult Court: Panacea
or Problem? Paper presented at the American Society of Criminology Annual
Meeting, Boston MA, November 1995.
Sickmund, Melissa. How Juveniles Get to Criminal Courf. OJJDP Update on Statistics.
October 1994.
Singer, Simon I. "The Automatic Waiver of Juveniles and Substantive Justice."
Crime & Delinquency. Vol 39, No.2, April 1 993. pp 253-261 .
Snyder, Howard N. and Melissa Sickmund. Juvenile Offenders and Victims: A Focus
on Violence Statistics Summary. OJ JDP May 1995.
U . S . General Accounting Ofice. Juvenile Justice: Juveniles Processed in Criminal
Court and Case Dispositions. Washington, D.C. August 1995.
Zimring, Franklin E. 'The Treatment of Hard Cases in American Juvenile Justice:
In Defense of Discretionary Waiver." Notre Dame Journal of Law, Ethics &
Public Policy. Vol 5. 1991. pp. 267-280.
Stanlev G. Feldman STATE OF ARIZONA
ADMINISTRATIVE OFFICE OF THE COURTS
David K. Byers
Mminiatrntlve Difuctor
of the Courts
February 24, 1995
County Adult Probation Department
Dear Chief:
At the recent Adult Manager's Meeting on February 10, 1995, the
importance of gathering information on juveniles transferred to
the adult system was again discussed. This information is
critical for several reasons:
The availability and accessibility of treatment dollars
for remanded youth is unclear.
The impact of current juvenile transfer policy on the
adult system is unknown.
The impact of the proposed automatic transfer
legislation is unknown.
While some of you may have responded to an earlier request for
information on juveniles transferred to the adult system, we are
again asking your help. At this time, we request that you
provide some very specific informa tion on the juveniles
transferred to the adult system in your county during FY94. I
have enclosed worksheets that identify the names of these
juveniles. Also listed on these worksheets are the DOB and their
juvenile court disposition date (transfer date). We need the
following information from you on each of the cases listed*:
I Sentence (For example, Standard Probation, IPS, Shock, DOC,
pending) .
I Status at this time (For example, current, VOP pending,
direct sentence to DOC, revoked to DOC).
I Was treatment ordered at the time of sentence? (Answer yes
or no). I Was treatment ordered? (For example, drug treatment,
residential treatment, counseling) .
Was treatment received? (Answer yes or no).
1501 WEST WASHINGTON STREET PHOENIX. ARIZONA 85007-3327 602-542-9300 CTDD) 6020542-9545
February 24, 1995
Page 2
*In some c a s e s , a juvenile i s remanded more than one t i m e during
FY94. We have l i s t e d each d i s p o s i t i o n t o adult court s e p a r a t e l y
and need the above information on each t r a n s f e r .
Please return the completed worksheet to Betsie McNulty,
Administrative Office of the Courts, 1501 W. Washington, Suite
337, Phoenix, AZ 85007 at your earliest convenience.
Thank you again for your continuing assistance in our research
efforts. If you have any questions regarding this request,
please call me at 542-9553.
Sincerely,
i/
Betsie McNulty, Ph.D.
enclosure
cc: Bob Levy
WORKSHEET FOR INFORMATION ON JUVENILES
REMANDED TO ADULT COURT FY 95
COUNTY NAME
STATUS
[Current, Direct Sentence
to DOC, VOP Pending,
JUVENILE NAME Revoke to DOC]
TRANSFER
DOB DATE
WAS
TREATMENT
ORDERED
p, or Nl
SENTENCE
[Probation, IPS, Shock
DOC, Pending,
Dismissed]
WHAT
TREATMENT
WAS
ORDERED?
WAS
TREATMENT
RECENED?
ry or Nl
