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RESEARCH ARTICLE
Juvenile competency to stand trial in criminal court and brain
function
Roni Mayzer
a
*, April R. Bradley
b
, Holly Rusinko
b
and Troy W. Ertelt
b
a
Department of Criminal Justice, University of North Dakota,
Grand Forks, USA;
b
Department of Psychology, University of North Dakota, Grand
Forks, USA
(Received 19 September 2008; final version received 21 May
2009)
Current estimates indicate that approximately 200,000 juveniles
are
transferred to the (adult) criminal court system each year and it
is often
required that the juvenile’s ability to function in adult criminal
proceedings be assessed by a mental health professional. We
review
the literature on the assessment of juvenile competency to stand
trial in
criminal court, adolescent brain development, and related
cognitive
skills. We conclude that integrative developmental theories are
needed
to guide research and provide theoretical pathways to apply
neuropsy-
chological information to juvenile competency behaviors and
the
assessment of these behaviors.
Keywords: adolescence; cognitive functioning; criminal
procedure;
developmental; forensic
Over the past decade an increasing number of juvenile offenders
have been
moved to the American (adult) criminal court system (Snyder &
Sickmund,
1999). While it is difficult to assess the exact number of
transferred children
and adolescents, the best available estimates suggest around
200,000 cases
annually (American Bar Association Criminal Justice Section,
2001).
Unfortunately, research indicates poorer outcomes (i.e., higher
re-arrest
rates) for those moved to criminal court compared to those who
remain in
juvenile court (MacArthur Foundation Research Network,
2006). This has
led to questions about juveniles’ competency to participate in
the trial
process in an adult setting. How much do competence-related
abilities
depend on developmental maturity in cognitive, social, and
underlying
neurological domains? An appreciation of the extent to which
juvenile
offenders demonstrate competence-related abilities is crucial in
order to
engage in a criminal justice process free from coercion and to
design policies
for the adjudication of juveniles appropriate to their
developmental level
(Melton, Petrila, Poythress, & Slobogin, 1997).
*Corresponding author. Email: [email protected]
The Journal of Forensic Psychiatry & Psychology
Vol. 20, No. 6, December 2009, 785–800
ISSN 1478-9949 print/ISSN 1478-9957 online
� 2009 Taylor & Francis
DOI: 10.1080/14789940903174089
http://www.informaworld.com
Increasingly, the field of criminology has also recognized the
importance
of developmental perspectives for understanding the etiology of
crime and
delinquency. Key theorists (e.g., Moffitt, 1993) have proposed
explanations
for life-course-persistent offending which implicate
neuropsychological
impairments in executive and verbal functions. However,
relatively few
studies have included neuropsychological assessments, and
brain imaging
technology has yet to be incorporated into these theory-testing
endeavors.
Do juvenile offenders actually have neurological and
psychosocial deficits
compared to juvenile non-offenders? If so, do these deficits
persist over time
or simply represent delayed rates of maturation? The answer to
these
questions would better inform prevention and intervention
efforts designed
to mitigate involvement in crime and associated risk behaviors
which are
detrimental to health and/or social well-being (e.g., drinking,
reckless
driving, etc.).
Several bodies of literature are relevant to these issues,
covering topics
associated with adjudicative competency; neuropsychological
and neuro-
imaging research on adolescent brain development; and its
relationships
with psychopathology, antisocial behavior, and substance use.
Research
findings suggest that competency is contingent on certain
cognitive skills
which are tied to brain functions that mature over the
developmental course
from childhood through adolescence, into early adulthood.
Unfortunately,
the existing neuropsychological literature is not yet well
integrated into
discussions about juvenile adjudicative competency.
Juvenile adjudicative competency
In the United States, to be considered competent to stand trial in
criminal
court, a defendant must be capable of understanding the charges
against
him or her, be able to consult with his/her attorney, and
understand and
participate in legal proceedings (Dusky v. United States, 1960).
More narrow
criteria for proceeding with trial are utilized by other countries
such as
England (Mackay, 2007) and Canada (O’Shaughnessy, 2007).
When any of these competence criteria are applied to juveniles,
developmental immaturity becomes a complicating factor.
Cognitive and
psychosocial skills are still developing throughout adolescence.
Conse-
quently, many juveniles show broad deficits in understanding
and decision-
making (Grisso et al., 2003; Viljoen & Roesch, 2005). Along
with normal
developmental immaturity, many disorders may interfere with
an adoles-
cent’s ability to fully meet competency criteria in ways
different from adults.
These include deficits associated with attention (e.g., ADHD),
anxiety, and
learning (Grisso, 2005) as well as schizophrenia, bipolar
disorder,
depression, and conduct disorder (Lexcen, 2000).
The American Academy of Psychiatry and Law (AAPL) has
recom-
mended practice guidelines for evaluations of adjudicative
competence
786 R. Mayzer et al.
(Mossman et al., 2007). Despite these guidelines, survey studies
conducted
by Ryba, Cooper, and Zapf (2003a, 2003b) indicate that
methods used in
competency assessments vary widely across mental health
professionals.
However, while methods may vary, most evaluators assess
similar constructs
including current mental status, understanding of charges,
understanding of
trial procedures, ability to utilize attorney’s services, medical
history, mental
illness history, retardation, emotional immaturity, and self
control. (Formal
evaluation methods used in adjudicative competency
assessments are listed
in Table 1).
Before moving on, it is worth emphasizing that considerations
of
competence and developmental immaturity are also relevant to
other stages
of the criminal justice process, not just court proceedings. As
previously
mentioned, decisions about important choices such as
confessing or
accepting a deal in exchange for pleading guilty vary by age
(Grisso et al.,
2003). One particular concern associated with the potential for
adverse
outcomes is the provision of false confession by innocent
individuals under
interrogative pressure from law enforcement officers (see
Gudjonsson, 2003).
False confessions are disproportionately prevalent at younger
ages (Drizin &
Leo, 2004). One reason for these age-related disparities is that
juveniles are
especially susceptible to suggestive questioning, criticism or
negative
feedback, interrogative pressure from authority figures, and use
of
deceptions such claiming to have evidence that does not
actually exist
(Gudjonsson, 2003; Redlich & Goodman, 2003; Scott-Hayward,
2007).
Juveniles may also place greater weight on short-term rewards
(e.g., release)
over the ultimately more profound, long-term consequences of
pleading
guilty (Scott-Hayward, 2007). Despite the relevancy of
developmental status
to fairness and accuracy concerns during interrogation and other
interac-
tions with the police – including recognition of differences
between children,
youth, and adults by law enforcement personnel – different
procedures for
use with juveniles are often neither used nor recognized as
necessary (Meyer
& Reppucci, 2007).
Neuropsychological studies on adolescent brain development
While there are strong theoretical arguments to support the use
of pre-trial
competency assessments, there are currently very few studies
that examine
the correlations between competency and neuropsychological
performance.
Yet it is not surprising that adolescents demonstrate poorer
competence-
related and psychosocial skills on court-related assessment
tools, given that
there are more general and robust neuropsychological substrates
to these
capacities. In particular, early adolescents have not achieved
higher order
executive functions that assist in cognitive efficiency.
Executive functioning is an umbrella term that encompasses a
number of
interrelated sub-skills that may follow different developmental
trajectories
The Journal of Forensic Psychiatry & Psychology 787
Table 1. Standardized and normed test instruments used in
adjudicative
competency assessments.
Assessment area Commonly used test(s) Age range
Achievement (verbal
and mathematical
reasoning)
NEPSY-II 3–16
California Verbal Learning Test –
Children’s Version (CVLT-C)*
5–16
Wide Range Achievement Test – 3
(WRAT-3)
5–75
Wechsler Individual Achievement Test –
II (WIAT-II)*
4–85
Executive
functioning/
neuropsychological
tests
Wechsler Intelligence Scale for Children
(WISC-IV)*
6–16
Kaufman Brief Intelligence Test
(K-BIT)*
4–90
NEPSY-II 3–16
Children’s Category Test (CCT) 5–16
Wisconsin Card Sort Test (WCST)* 6.5–89
Bender Visual Motor Gestalt Test II* 3–85
Controlled Oral Word Association Test 7þ
Delis-Kaplan Executive Functioning
System
8–89
Tower of London 2nd Edition (TOL) 7þ
Trail Making Tests A and B 7þ
Wechsler Adult Intelligence Scale – III
(WAIS-III)*
16–90
Inattention/impulse
control
Conners 3 Parent/Teacher Report 6–17
Conners 3 Self Report 8–17
Conner’s Continuous Performance
Test-II (CPT-II)
6þ
Test of Everyday Attention for Children
(TEA-Ch)
6–16
Behavior problems Child Behavior CheckList – Parent
Report*
2–17
Child Behavior CheckList – Youth Self
Report*
11–18
Memory California Verbal Learning Test –
Children’s Version (CVLT-C)*
5–16
Children’s Memory Scale (CMS) 5–16
Weschler Memory Scales – III
(WMS-III)*
16–89
Rivermead Behavioral Memory Test 16–96
Adjudicative
competency
MacArthur Competence Assessment
Tool – Criminal Adjudication
(MacCAT-CA)*
Adolescent-adult
Fitness Interview Test – Revised* Adolescent-adult
Competence Screening Test (CST)* Adolescent-adult
Competency Assessment for Standing
Trial for Defendants with Mental
Retardation (CAST-MR)*
Adolescent-adult
(continued)
788 R. Mayzer et al.
(Huizinga, Dolan, & van der Molen, 2006). Executive
functioning is
demonstrated when an individual engages in goal-directed
behaviors such as
planning, organizing, strategizing, paying attention to details,
thinking
abstractly, and adapting to novel situations. There is a broad
range of tests
available to measure executive functioning but research in
relation to age
differences and hierarchical development is lacking, especially
across
component domains (Huizinga et al., 2006).
Anderson, Anderson, Northam, Jacobs, and Catroppa (2001)
found a
linear improvement in certain executive function tasks but not
others across
individuals of ages 11–17. Tasks that improved from childhood
through
adolescence included selective attention, working memory and
problem
solving (Anderson et al., 2001). Huizinga et al. (2006) found
that adult levels
of performance on some attention shifting, working memory,
inhibition,
and complexity tasks were not reached until the age of 15 years
with still
others continuing to improve into young adulthood. De Luca et
al. (2003)
found improvements in working memory, planning, and problem
solving at
least through ages 15–19 and peaking between 20 and 29 years.
In a meta-
analysis of studies on the topic published between 1984 and
2004, Romine
and Reynolds (2005) concluded that improvements in executive
perfor-
mance are particularly striking between five and 11 years of
age, with
smaller increases between ages 11 and 14 and thereafter.
Changes continued,
Table 1. (Continued).
Assessment area Commonly used test(s) Age range
Competence to Stand Trial Assessment
Instrument (CAI)*
Adolescent-adult
Psychopathology/
personality
Minnesota Multiphasic Personality
Inventory – Adolescent (MMPI-A)*
14–18
Millon Adolescent Clinical Inventory
(MACI)*
13–19
Millon Pre-Adolescent Clinical
Inventory (M-PACI)
9–12
Rorschach Inkblot Test* All ages
Thematic Apperception Test (TAT)* All ages
Rotter Incomplete Sentences Blank
(RISB)*
High school-adult
Emotional
competence
BarOn Emotional Quotient Inventory
(BarOn EQ-i)
13þ
Psychopathy Hare Psychopathy Checklist: Youth
Version (PCL:YV)
12–18
Suggestibility Gudjonsson Suggestibility Scale (GSS) 12þ
Malingering Paulhus Deception Scales (PDS) 16þ
Victoria Symptom Validity Test (VSVT) 16þ
Test of Memory Malingering (TOMM) 16–84
Note: Tests listed by respondents to the Ryba, Cooper, and Zapf
(2003b) survey are noted
with a*.
The Journal of Forensic Psychiatry & Psychology 789
albeit at a decreased rate, into early adulthood – especially for
higher level
skills such as planning and verbal fluency (Romine & Reynolds,
2005).
Development of the ability to debate pros and cons, the ability
to weigh
long-term and short-term consequences of one’s decisions, and
abstract
thinking are especially relevant to juvenile adjudicative
competency.
Although older adolescents begin to perform more similarly to
adults on
a number of cognitive tasks, they may still make decisions that
vary from
adults’ due to social/emotional immaturity (Grisso, 2005;
Steinberg & Scott,
2003). Adolescents are poorer evaluators of risk (e.g., assigning
different
weights to risks in decision-making), have a limited time
perspective (e.g.,
focusing primarily on short-term consequences), and lack self-
directedness
(e.g., they may rely on others and be unduly influenced by peer,
parents, or
authority figures) (Ryba et al., 2003a; Steinberg & Scott, 2003).
There are also neurological and cognitive underpinnings to
competencies
at other stages of the criminal justice process. For example,
suggestibility-to-
interrogative pressure has been linked to individual differences
associated
with memory processes that can be traced to brain functioning
in specific
cortical areas (Howard & Chaiwutikornwanich, 2006). With
respect to the
phenomenon of falsely confessing to a crime one did not
commit, some
individuals may be more vulnerable to distrusting their own
recollections
and accepting others’ suggestions (e.g., memory distrust
syndrome;
Gudjonsson, 2003).
It is important to note that although age is a convenient marker
when
assessing development, research on many aspects of brain
development have
been linked to puberty – including tasks associated with
executive
functioning (McGivern, Andersen, Byrd, Mutter, & Reilly,
2002). Yet
much of the extant research on cognitive development has
strictly focused on
the participants’ ages. Starting in the 1980s, researchers began
examining
how sex hormones affect cognitive development during
adolescence,
especially during puberty. Pubertal stages are not direct
measurements of
hormone levels in adolescents, but the different stages of
pubertal
development depend on varying levels of sex hormone
secretion. Multiple
animal studies have evaluated the impact of gonadal hormones
on the brain
and behavior (e.g., Novak, Parfit, Sisk, & Smale, 2007; Schulz
et al., 2004)
but fewer have assessed such pubertal effects in humans (Sisk &
Zehr, 2005).
During adolescence, gonadal hormones sculpt and organize the
nervous
system along with other brain restructuring processes. Changes
in density of
gray matter correspond with the onset of puberty, occurring
later in boys
than girls (Sisk & Zehr, 2005). Pathways that regulate mood and
frontal lobe
functioning (i.e., serotonergic, dopaminergic, and noradrenergic
systems) are
influenced by gonadal hormone increases associated with
puberty (Cameron,
2004). These changes have been associated with later
psychopathology
(Walker, Sabuwalla, & Hout, 2004). The effects of puberty
onset and
corresponding increase of gonadal hormones are significant but
there is
790 R. Mayzer et al.
evidence that brain changes also occur through independent
processes during
adolescence, further complicating the picture (Sisk & Foster,
2004).
Davies and Rose (1999) considered pubertal stages when
examining
differences in cognitive abilities charted across adolescence.
There were
minimal differences between male and female adolescents on
tests of
cognitive abilities, with males exhibiting superior performance
in the few
areas that sex differences were observed on tasks that required
the frontal
and parietal lobes (Davies & Rose, 1999). The discrepancies
between male
and female scores occurred most often between the pre-pubertal
and
pubertal stages, with minimal to no differences in the post-
pubertal stage
(Davies & Rose, 1999). This finding supports the idea that
assessing the
pubertal development of the child is crucial for obtaining an
accurate
measure of the adolescent’s cognitive abilities. Males and
females do not
develop all that differently, cognitively, when they are assessed
at the same
pubertal stage. These findings have special bearing on
competency
assessments, given the fact that males typically go through the
pubertal
stages at a later chronological age than their female peers.
Neuroimaging studies on adolescent brain development
Research indicates that the cerebral cortex undergoes changes
throughout
puberty and adolescence that coincide with changes in cognitive
ability and
executive functioning (Gibson, 1991; Goldman-Rakic, 1987;
Huttenlocher,
1994; Stuss & Levine, 2002). Moreover, researchers now
understand that
different prefrontal regions may enable different executive
functions and that
other non-frontal cortical regions likely play supportive roles
(Huizinga et al.,
2006; Stuss & Benson, 1984). Major advances in science and
technology have
allowed researchers to confirm that these neuropsychological
changes are
associated with structural and functional changes in specific
cortical areas, and
that brain maturation continues into early adulthood.
One of the most common of these techniques is magnetic
resonance
imaging (MRI) which has revealed normative patterns of
morphological
change (e.g., Blakemore & Choudhury, 2006; Giedd et al.,
1999; Gogtay
et al., 2004; Lenroot & Giedd, 2006; Sowell, Thompson,
Holmes, Jernigan, &
Toga, 1999). Two changes are particularly striking: the
proliferation and
subsequent pruning of synaptic connections, and axon
myelinization. These
processes improve cognitive speed and efficiency.
Myelinization, in
particular, proceeds from posterior to anterior. This means that
the
prefrontal cortex is one of the last areas to mature yet is
associated with
important cognitive skills – including impulse control, selective
attention,
working memory, planning, and decision-making. The
prefrontal cortex is
also thought to moderate the effects of other brain areas that
become more
active during the adolescent years (Nelson, Leibenluft,
McClure, & Pine,
2005). Barnea-Goraly and colleagues (2005) reviewed MRI and
anatomical
The Journal of Forensic Psychiatry & Psychology 791
scans of 34 six to 19-year olds. They found an increase in the
density of
white matter in the prefrontal cortex, basal ganglia, thalamic
pathways,
ventral visual pathways, and corpus collasum: areas that affect
motor skills,
attention, cognitive ability, and memory. Blakemore and
Choudhury (2006)
found similar increases in white matter through the early 20s. In
addition,
they found that the prefrontal cortex and parietal cortex also
continued to
develop throughout adolescence affecting decision-making,
response inhibi-
tion, attention, and perspective taking (social cognition).
There is neuroimaging evidence to indicate the existence of
gender
differences as well. For example, De Bellis and colleagues
(2001) found, in a
sample of 118 people ages 6–18, that males exhibited greater
decreases in
gray matter and increases in white matter over time.
Neuroimaging studies
have also provided evidence of changes associated with the
increase in
gonadal steroids at puberty. Nelson and colleagues (2005) found
significant
changes in the limbic system after the onset of puberty
including changes in
the cognitive-regulation, affective, and detection nodes of the
Social
Information Processing Network. Development of the prefrontal
cortex
occurs later, which then moderates this increase.
Functional magnetic resonance imaging (fMRI) studies, which
look
beyond structural changes to capture how the brain works, have
verified
systematic changes in brain activity from childhood through
adolescence
(Blakemore & Choudhury, 2006). Similar patterns are reported
from
developmental studies using quantitative
electroencephalographic brain-
mapping technology (e.g., Benninger, Matthis, & Scheffner,
1984; Gasser,
Verleger, Bacher, & Sroka, 1988; John et al., 1980; Somsen,
van’t Klooster,
van der Molen, van Leeuwen, & Licht, 1997; Thatcher, Walker,
& Giudice,
1987). One of the most profound changes is in executive
functioning
modulated by the prefrontal cortex. For example, adolescents
show greater
activation in the limbic system that subserves emotional
responses while
viewing faces with fearful expressions, whereas adults can
engage in
cognitive-regulatory tasks to modulate those responses (Nelson
et al., 2005).
This might help explain why adolescents are often described as
more
emotional, and why they react strongly to certain social stimuli
without
thinking through the consequences or context. These deficits
relative to
adults can have a significant influence on courtroom behavior,
including
difficulty thinking logically rather than emotionally, difficulty
weighing
consequences of decisions, and emotional displays or outbursts.
Indeed, there is a related and expansive body of literature on
brain
substrates to emotion regulation that supports the robustness of
such
observations (e.g., Gross, 2007). Similarly, Hunt (1999) found
that significant
changes in affect were associated with stage of puberty (early
vs middle) and
gender. Girls exhibited greater affective intensity and lability in
early puberty
while boys experienced similar changes in middle puberty.
Given that
emotion regulation may play a key role in decision-making with
regard to
792 R. Mayzer et al.
engaging in precipitating delinquent behaviors as well as
cooperation within
the courtroom, research demonstrating that emotion regulation
is neurally
based and that emotion regulation as well as neural circuitry
becomes more
sophisticated with age speaks to the need to consider emotion
regulation as a
critical variable in assessments of juvenile competency.
Neuropsychology and the etiology of problem behaviors
The relationship between brain function and various psychiatric
disorders is
well documented. Electrophysiological abnormalities have been
observed
for dementias, schizophrenia, unipolar/bipolar depression,
autism, and
alcohol/substance abuse; as well as anxiety, panic, obsessive-
compulsive,
eating, learning, and attention deficit disorders (Bresnahan,
Anderson, &
Barry, 1999; Chabot, di Michele, Prichep, & John, 2001;
Hughes & John,
1999; Pizzagalli et al., 2002; Snyder & Hall, 2006; Vance &
Luk, 2000). Most
of these abnormalities involve the frontal lobes.
Beyond psychiatry and psychology, the relationship between
neuropsy-
chological risks and antisocial behavior has received increasing
attention
within the field of criminology. Brain structures and functions
have been tied
to violent or aggressive behavior (Bufkin & Luttrell, 2005;
Hawkins & Trobst,
2000). Deficits in executive functioning measured by clinical
test batteries also
predict delinquency (Cauffman, Steinberg, & Piquero, 2005;
Moffitt, Caspi,
Rutter, & Silva, 2001; Piquero, 2001; Teichner & Golden,
2000).
A number of other studies have looked at adolescent brain
development
or neuropsychological correlates in relation to drug, alcohol,
and other
problem behaviors (e.g., see Dahl & Spear, 2004). Broadly,
adolescence is
associated with increased sensation-seeking and risk-taking
(Dahl, 2004;
Kelley, Schochet, & Landry, 2004). Developments in prefrontal
cortical
pathways most likely play a major role (Kelley et al., 2004).
Data from
fMRI studies have revealed less efficient response inhibition
among children
and adolescents compared to adults (Luna & Sweeney, 2004),
and research
shows that addicted individuals have impaired inhibitory
controls mediated
by frontal regions of the brain (Lubman, Yucel, & Pantelis,
2004). Poor
response inhibition is predictive of early onset of alcohol use,
alcohol-related
problems, and the use of other illicit drugs by adolescents (Nigg
et al., 2006;
Wong et al., 2006). The rewarding effects of abused drugs,
generally, are
facilitated by brain mechanisms (Wise, Bauco, Carlezon, &
Trojniar, 1992).
Converging evidence for developmental trends in drug-seeking
comes
from rodent studies. Summarized by Kelley et al. (2004, p. 31),
adolescent
rats ‘show increases in novelty seeking and hyperactivity,
altered learning
patterns, greater sensory sensitivity and distractibility, and
altered responses
and sensitivity to drugs such as nicotine and alcohol’.
Adolescent rats
receive greater reward (Leslie et al., 2004) and experience
stronger anxiety-
reducing effects (Torrella, Badanich, Philpot, Kirstein, &
Wecker, 2004)
The Journal of Forensic Psychiatry & Psychology 793
from nicotine – and the rewarding effects of abused drugs
generally are
facilitated by brain mechanisms (Wise et al., 1992). Leslie et al.
(2004, p.
156) concluded that ‘[t]here is increasing evidence that
adolescence is a
period of unique sensitivity of forebrain systems to
environmental stimuli,
including abused drugs’. In addition to weaker inhibitory
controls, then,
adolescents may experience greater physiological, drug- and
alcohol-induced
positive reinforcements associated with the brain’s frontal lobe.
The literature on problem behavior maps onto the brain
development
literature, which in turn is relevant to competency. For example,
the same
neuropsychological causes for drug seeking may make a
juvenile more likely
to seek rapid resolution of a court case (e.g., by taking a plea
bargain that is
not in his or her best interest).
Conclusion
Transferring juveniles to criminal court is controversial.
Debates have been
waged between advocates of more punitive sanctions for serious
offenders,
regardless of age, and critics who contend that processing
juveniles as adults
leads to coercive practices that impede justice as well as higher
recidivism
rates and stigmatization which further entrenches the juvenile’s
self-concept
as an offender outside the bounds of conventional society.
Critics have also
argued that the retributive adult system fails to capitalize on
amenability to
treatment during the adolescent years – and that even when
prosecuted for
the same charges some juveniles may be less culpable than most
adults by
virtue of their psychosocial immaturity.
Although not yet largely incorporated into research on
assessments of
juvenile competency, neuropsychological tests could help
differentiate those
who are mature enough to handle adult criminal proceedings
from those
with questionable levels of preparedness. Based on the dramatic
improve-
ments observed in executive functions during the teen years,
those in mid-
adolescence should be of primary concern. Steinberg and
Cauffman (2001)
suggested that individuals younger than 13 years are,
presumptively, not
proper candidates for transfer to adult court, whereas
individuals older than
16 years most likely have cognitive capabilities not much
different from
adults. For individuals between the ages of 13 and 16 years,
individualized
assessments are needed (Steinberg & Cauffman, 2001). This
converges with
findings from neuroimaging studies, which show that there are
active
changes taking place over the same developmental period. Inter-
individual
variations in ages of initiation and rates of change for social,
cognitive, and
physical (both pubertal and neurological) maturation mean that
it is difficult
to make generalized statements about competency by age.
It is not uncommon to see improvements in scores on
neuropsychological
and competency assessments from early to late adolescence.
Neuropsycho-
logical tests are designed to assess cognitions and capabilities
based on
794 R. Mayzer et al.
cortical regions which continue to develop into young
adulthood, and that
mirror or enable the psychosocial skills associated with
adjudicative
competence. Yet the extant literature on juvenile competency
has stood
largely independent from the neuropsychological literature.
Despite ancillary
nods to the cortical changes that coincide with movement
toward
psychosocial maturity, juvenile competency researchers have
emphasized
psychosocial immaturity without delving into its physical
substrates.
Neuropsychological and neuroimaging research can offer
relevant informa-
tion about what to assess and how to assess it.
It is clear that juvenile competency is a complex issue,
particularly in light
of the normative nature of many delinquent behaviors during
adolescence
(Moffitt, 1993) and the rehabilitative potential of youthful
offenders which
may both be contingent on brain function. Other complicating
factors include
various psychiatric disorders (Grisso, 2005; Hughes & John,
1999; Lexcen,
2000), and co-morbid problem behaviors such as substance
abuse (Dahl &
Spear, 2004) that may compromise the validity of assessments
and have
different consequences for behavior depending on the
defendant’s age.
Pubertal status is another variable (Davies & Rose, 1999) that
might be a more
accurate predictor of maturation than chronological age. More
applied,
theory-driven interdisciplinary research is needed to determine
the most
effective way to assess multiple influences on juvenile
competency.
Competency to stand trial in criminal court assumes an
understanding of
the legal system and adjudication process, ability to recognize
and reason
about legally relevant information, appreciation of the meaning
and
consequences of legal actions, and the ability to knowledgeably
participate
in criminal proceedings. The neuropsychological underpinnings
of these
capabilities are yet to be thoroughly evaluated. With the ever
expanding
literature bases on adolescent brain development and juvenile
competency
assessment, integrative developmental theories are needed to
guide research
and provide theoretical pathways to apply the information to
juvenile
competency behaviors and the assessment of these behaviors.
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RESEARCH ARTICLEJuvenile competency to stand trial in crim.docx

  • 1. RESEARCH ARTICLE Juvenile competency to stand trial in criminal court and brain function Roni Mayzer a *, April R. Bradley b , Holly Rusinko b and Troy W. Ertelt b a Department of Criminal Justice, University of North Dakota, Grand Forks, USA; b Department of Psychology, University of North Dakota, Grand Forks, USA (Received 19 September 2008; final version received 21 May 2009) Current estimates indicate that approximately 200,000 juveniles are transferred to the (adult) criminal court system each year and it is often
  • 2. required that the juvenile’s ability to function in adult criminal proceedings be assessed by a mental health professional. We review the literature on the assessment of juvenile competency to stand trial in criminal court, adolescent brain development, and related cognitive skills. We conclude that integrative developmental theories are needed to guide research and provide theoretical pathways to apply neuropsy- chological information to juvenile competency behaviors and the assessment of these behaviors. Keywords: adolescence; cognitive functioning; criminal procedure; developmental; forensic Over the past decade an increasing number of juvenile offenders have been moved to the American (adult) criminal court system (Snyder & Sickmund, 1999). While it is difficult to assess the exact number of transferred children and adolescents, the best available estimates suggest around 200,000 cases annually (American Bar Association Criminal Justice Section, 2001). Unfortunately, research indicates poorer outcomes (i.e., higher re-arrest rates) for those moved to criminal court compared to those who remain in juvenile court (MacArthur Foundation Research Network, 2006). This has led to questions about juveniles’ competency to participate in
  • 3. the trial process in an adult setting. How much do competence-related abilities depend on developmental maturity in cognitive, social, and underlying neurological domains? An appreciation of the extent to which juvenile offenders demonstrate competence-related abilities is crucial in order to engage in a criminal justice process free from coercion and to design policies for the adjudication of juveniles appropriate to their developmental level (Melton, Petrila, Poythress, & Slobogin, 1997). *Corresponding author. Email: [email protected] The Journal of Forensic Psychiatry & Psychology Vol. 20, No. 6, December 2009, 785–800 ISSN 1478-9949 print/ISSN 1478-9957 online � 2009 Taylor & Francis DOI: 10.1080/14789940903174089 http://www.informaworld.com Increasingly, the field of criminology has also recognized the importance of developmental perspectives for understanding the etiology of crime and delinquency. Key theorists (e.g., Moffitt, 1993) have proposed explanations for life-course-persistent offending which implicate neuropsychological
  • 4. impairments in executive and verbal functions. However, relatively few studies have included neuropsychological assessments, and brain imaging technology has yet to be incorporated into these theory-testing endeavors. Do juvenile offenders actually have neurological and psychosocial deficits compared to juvenile non-offenders? If so, do these deficits persist over time or simply represent delayed rates of maturation? The answer to these questions would better inform prevention and intervention efforts designed to mitigate involvement in crime and associated risk behaviors which are detrimental to health and/or social well-being (e.g., drinking, reckless driving, etc.). Several bodies of literature are relevant to these issues, covering topics associated with adjudicative competency; neuropsychological and neuro- imaging research on adolescent brain development; and its relationships with psychopathology, antisocial behavior, and substance use. Research findings suggest that competency is contingent on certain cognitive skills which are tied to brain functions that mature over the developmental course from childhood through adolescence, into early adulthood. Unfortunately, the existing neuropsychological literature is not yet well integrated into
  • 5. discussions about juvenile adjudicative competency. Juvenile adjudicative competency In the United States, to be considered competent to stand trial in criminal court, a defendant must be capable of understanding the charges against him or her, be able to consult with his/her attorney, and understand and participate in legal proceedings (Dusky v. United States, 1960). More narrow criteria for proceeding with trial are utilized by other countries such as England (Mackay, 2007) and Canada (O’Shaughnessy, 2007). When any of these competence criteria are applied to juveniles, developmental immaturity becomes a complicating factor. Cognitive and psychosocial skills are still developing throughout adolescence. Conse- quently, many juveniles show broad deficits in understanding and decision- making (Grisso et al., 2003; Viljoen & Roesch, 2005). Along with normal developmental immaturity, many disorders may interfere with an adoles- cent’s ability to fully meet competency criteria in ways different from adults. These include deficits associated with attention (e.g., ADHD), anxiety, and learning (Grisso, 2005) as well as schizophrenia, bipolar disorder, depression, and conduct disorder (Lexcen, 2000). The American Academy of Psychiatry and Law (AAPL) has
  • 6. recom- mended practice guidelines for evaluations of adjudicative competence 786 R. Mayzer et al. (Mossman et al., 2007). Despite these guidelines, survey studies conducted by Ryba, Cooper, and Zapf (2003a, 2003b) indicate that methods used in competency assessments vary widely across mental health professionals. However, while methods may vary, most evaluators assess similar constructs including current mental status, understanding of charges, understanding of trial procedures, ability to utilize attorney’s services, medical history, mental illness history, retardation, emotional immaturity, and self control. (Formal evaluation methods used in adjudicative competency assessments are listed in Table 1). Before moving on, it is worth emphasizing that considerations of competence and developmental immaturity are also relevant to other stages of the criminal justice process, not just court proceedings. As previously mentioned, decisions about important choices such as confessing or accepting a deal in exchange for pleading guilty vary by age (Grisso et al.,
  • 7. 2003). One particular concern associated with the potential for adverse outcomes is the provision of false confession by innocent individuals under interrogative pressure from law enforcement officers (see Gudjonsson, 2003). False confessions are disproportionately prevalent at younger ages (Drizin & Leo, 2004). One reason for these age-related disparities is that juveniles are especially susceptible to suggestive questioning, criticism or negative feedback, interrogative pressure from authority figures, and use of deceptions such claiming to have evidence that does not actually exist (Gudjonsson, 2003; Redlich & Goodman, 2003; Scott-Hayward, 2007). Juveniles may also place greater weight on short-term rewards (e.g., release) over the ultimately more profound, long-term consequences of pleading guilty (Scott-Hayward, 2007). Despite the relevancy of developmental status to fairness and accuracy concerns during interrogation and other interac- tions with the police – including recognition of differences between children, youth, and adults by law enforcement personnel – different procedures for use with juveniles are often neither used nor recognized as necessary (Meyer & Reppucci, 2007). Neuropsychological studies on adolescent brain development
  • 8. While there are strong theoretical arguments to support the use of pre-trial competency assessments, there are currently very few studies that examine the correlations between competency and neuropsychological performance. Yet it is not surprising that adolescents demonstrate poorer competence- related and psychosocial skills on court-related assessment tools, given that there are more general and robust neuropsychological substrates to these capacities. In particular, early adolescents have not achieved higher order executive functions that assist in cognitive efficiency. Executive functioning is an umbrella term that encompasses a number of interrelated sub-skills that may follow different developmental trajectories The Journal of Forensic Psychiatry & Psychology 787 Table 1. Standardized and normed test instruments used in adjudicative competency assessments. Assessment area Commonly used test(s) Age range Achievement (verbal and mathematical reasoning) NEPSY-II 3–16
  • 9. California Verbal Learning Test – Children’s Version (CVLT-C)* 5–16 Wide Range Achievement Test – 3 (WRAT-3) 5–75 Wechsler Individual Achievement Test – II (WIAT-II)* 4–85 Executive functioning/ neuropsychological tests Wechsler Intelligence Scale for Children (WISC-IV)* 6–16 Kaufman Brief Intelligence Test (K-BIT)* 4–90 NEPSY-II 3–16 Children’s Category Test (CCT) 5–16 Wisconsin Card Sort Test (WCST)* 6.5–89 Bender Visual Motor Gestalt Test II* 3–85 Controlled Oral Word Association Test 7þ Delis-Kaplan Executive Functioning
  • 10. System 8–89 Tower of London 2nd Edition (TOL) 7þ Trail Making Tests A and B 7þ Wechsler Adult Intelligence Scale – III (WAIS-III)* 16–90 Inattention/impulse control Conners 3 Parent/Teacher Report 6–17 Conners 3 Self Report 8–17 Conner’s Continuous Performance Test-II (CPT-II) 6þ Test of Everyday Attention for Children (TEA-Ch) 6–16 Behavior problems Child Behavior CheckList – Parent Report* 2–17 Child Behavior CheckList – Youth Self Report* 11–18
  • 11. Memory California Verbal Learning Test – Children’s Version (CVLT-C)* 5–16 Children’s Memory Scale (CMS) 5–16 Weschler Memory Scales – III (WMS-III)* 16–89 Rivermead Behavioral Memory Test 16–96 Adjudicative competency MacArthur Competence Assessment Tool – Criminal Adjudication (MacCAT-CA)* Adolescent-adult Fitness Interview Test – Revised* Adolescent-adult Competence Screening Test (CST)* Adolescent-adult Competency Assessment for Standing Trial for Defendants with Mental Retardation (CAST-MR)* Adolescent-adult (continued) 788 R. Mayzer et al. (Huizinga, Dolan, & van der Molen, 2006). Executive
  • 12. functioning is demonstrated when an individual engages in goal-directed behaviors such as planning, organizing, strategizing, paying attention to details, thinking abstractly, and adapting to novel situations. There is a broad range of tests available to measure executive functioning but research in relation to age differences and hierarchical development is lacking, especially across component domains (Huizinga et al., 2006). Anderson, Anderson, Northam, Jacobs, and Catroppa (2001) found a linear improvement in certain executive function tasks but not others across individuals of ages 11–17. Tasks that improved from childhood through adolescence included selective attention, working memory and problem solving (Anderson et al., 2001). Huizinga et al. (2006) found that adult levels of performance on some attention shifting, working memory, inhibition, and complexity tasks were not reached until the age of 15 years with still others continuing to improve into young adulthood. De Luca et al. (2003) found improvements in working memory, planning, and problem solving at least through ages 15–19 and peaking between 20 and 29 years. In a meta- analysis of studies on the topic published between 1984 and 2004, Romine and Reynolds (2005) concluded that improvements in executive
  • 13. perfor- mance are particularly striking between five and 11 years of age, with smaller increases between ages 11 and 14 and thereafter. Changes continued, Table 1. (Continued). Assessment area Commonly used test(s) Age range Competence to Stand Trial Assessment Instrument (CAI)* Adolescent-adult Psychopathology/ personality Minnesota Multiphasic Personality Inventory – Adolescent (MMPI-A)* 14–18 Millon Adolescent Clinical Inventory (MACI)* 13–19 Millon Pre-Adolescent Clinical Inventory (M-PACI) 9–12 Rorschach Inkblot Test* All ages Thematic Apperception Test (TAT)* All ages Rotter Incomplete Sentences Blank
  • 14. (RISB)* High school-adult Emotional competence BarOn Emotional Quotient Inventory (BarOn EQ-i) 13þ Psychopathy Hare Psychopathy Checklist: Youth Version (PCL:YV) 12–18 Suggestibility Gudjonsson Suggestibility Scale (GSS) 12þ Malingering Paulhus Deception Scales (PDS) 16þ Victoria Symptom Validity Test (VSVT) 16þ Test of Memory Malingering (TOMM) 16–84 Note: Tests listed by respondents to the Ryba, Cooper, and Zapf (2003b) survey are noted with a*. The Journal of Forensic Psychiatry & Psychology 789 albeit at a decreased rate, into early adulthood – especially for higher level skills such as planning and verbal fluency (Romine & Reynolds, 2005).
  • 15. Development of the ability to debate pros and cons, the ability to weigh long-term and short-term consequences of one’s decisions, and abstract thinking are especially relevant to juvenile adjudicative competency. Although older adolescents begin to perform more similarly to adults on a number of cognitive tasks, they may still make decisions that vary from adults’ due to social/emotional immaturity (Grisso, 2005; Steinberg & Scott, 2003). Adolescents are poorer evaluators of risk (e.g., assigning different weights to risks in decision-making), have a limited time perspective (e.g., focusing primarily on short-term consequences), and lack self- directedness (e.g., they may rely on others and be unduly influenced by peer, parents, or authority figures) (Ryba et al., 2003a; Steinberg & Scott, 2003). There are also neurological and cognitive underpinnings to competencies at other stages of the criminal justice process. For example, suggestibility-to- interrogative pressure has been linked to individual differences associated with memory processes that can be traced to brain functioning in specific cortical areas (Howard & Chaiwutikornwanich, 2006). With respect to the phenomenon of falsely confessing to a crime one did not commit, some individuals may be more vulnerable to distrusting their own recollections
  • 16. and accepting others’ suggestions (e.g., memory distrust syndrome; Gudjonsson, 2003). It is important to note that although age is a convenient marker when assessing development, research on many aspects of brain development have been linked to puberty – including tasks associated with executive functioning (McGivern, Andersen, Byrd, Mutter, & Reilly, 2002). Yet much of the extant research on cognitive development has strictly focused on the participants’ ages. Starting in the 1980s, researchers began examining how sex hormones affect cognitive development during adolescence, especially during puberty. Pubertal stages are not direct measurements of hormone levels in adolescents, but the different stages of pubertal development depend on varying levels of sex hormone secretion. Multiple animal studies have evaluated the impact of gonadal hormones on the brain and behavior (e.g., Novak, Parfit, Sisk, & Smale, 2007; Schulz et al., 2004) but fewer have assessed such pubertal effects in humans (Sisk & Zehr, 2005). During adolescence, gonadal hormones sculpt and organize the nervous system along with other brain restructuring processes. Changes in density of gray matter correspond with the onset of puberty, occurring later in boys
  • 17. than girls (Sisk & Zehr, 2005). Pathways that regulate mood and frontal lobe functioning (i.e., serotonergic, dopaminergic, and noradrenergic systems) are influenced by gonadal hormone increases associated with puberty (Cameron, 2004). These changes have been associated with later psychopathology (Walker, Sabuwalla, & Hout, 2004). The effects of puberty onset and corresponding increase of gonadal hormones are significant but there is 790 R. Mayzer et al. evidence that brain changes also occur through independent processes during adolescence, further complicating the picture (Sisk & Foster, 2004). Davies and Rose (1999) considered pubertal stages when examining differences in cognitive abilities charted across adolescence. There were minimal differences between male and female adolescents on tests of cognitive abilities, with males exhibiting superior performance in the few areas that sex differences were observed on tasks that required the frontal and parietal lobes (Davies & Rose, 1999). The discrepancies between male and female scores occurred most often between the pre-pubertal and
  • 18. pubertal stages, with minimal to no differences in the post- pubertal stage (Davies & Rose, 1999). This finding supports the idea that assessing the pubertal development of the child is crucial for obtaining an accurate measure of the adolescent’s cognitive abilities. Males and females do not develop all that differently, cognitively, when they are assessed at the same pubertal stage. These findings have special bearing on competency assessments, given the fact that males typically go through the pubertal stages at a later chronological age than their female peers. Neuroimaging studies on adolescent brain development Research indicates that the cerebral cortex undergoes changes throughout puberty and adolescence that coincide with changes in cognitive ability and executive functioning (Gibson, 1991; Goldman-Rakic, 1987; Huttenlocher, 1994; Stuss & Levine, 2002). Moreover, researchers now understand that different prefrontal regions may enable different executive functions and that other non-frontal cortical regions likely play supportive roles (Huizinga et al., 2006; Stuss & Benson, 1984). Major advances in science and technology have allowed researchers to confirm that these neuropsychological changes are associated with structural and functional changes in specific cortical areas, and
  • 19. that brain maturation continues into early adulthood. One of the most common of these techniques is magnetic resonance imaging (MRI) which has revealed normative patterns of morphological change (e.g., Blakemore & Choudhury, 2006; Giedd et al., 1999; Gogtay et al., 2004; Lenroot & Giedd, 2006; Sowell, Thompson, Holmes, Jernigan, & Toga, 1999). Two changes are particularly striking: the proliferation and subsequent pruning of synaptic connections, and axon myelinization. These processes improve cognitive speed and efficiency. Myelinization, in particular, proceeds from posterior to anterior. This means that the prefrontal cortex is one of the last areas to mature yet is associated with important cognitive skills – including impulse control, selective attention, working memory, planning, and decision-making. The prefrontal cortex is also thought to moderate the effects of other brain areas that become more active during the adolescent years (Nelson, Leibenluft, McClure, & Pine, 2005). Barnea-Goraly and colleagues (2005) reviewed MRI and anatomical The Journal of Forensic Psychiatry & Psychology 791 scans of 34 six to 19-year olds. They found an increase in the
  • 20. density of white matter in the prefrontal cortex, basal ganglia, thalamic pathways, ventral visual pathways, and corpus collasum: areas that affect motor skills, attention, cognitive ability, and memory. Blakemore and Choudhury (2006) found similar increases in white matter through the early 20s. In addition, they found that the prefrontal cortex and parietal cortex also continued to develop throughout adolescence affecting decision-making, response inhibi- tion, attention, and perspective taking (social cognition). There is neuroimaging evidence to indicate the existence of gender differences as well. For example, De Bellis and colleagues (2001) found, in a sample of 118 people ages 6–18, that males exhibited greater decreases in gray matter and increases in white matter over time. Neuroimaging studies have also provided evidence of changes associated with the increase in gonadal steroids at puberty. Nelson and colleagues (2005) found significant changes in the limbic system after the onset of puberty including changes in the cognitive-regulation, affective, and detection nodes of the Social Information Processing Network. Development of the prefrontal cortex occurs later, which then moderates this increase. Functional magnetic resonance imaging (fMRI) studies, which
  • 21. look beyond structural changes to capture how the brain works, have verified systematic changes in brain activity from childhood through adolescence (Blakemore & Choudhury, 2006). Similar patterns are reported from developmental studies using quantitative electroencephalographic brain- mapping technology (e.g., Benninger, Matthis, & Scheffner, 1984; Gasser, Verleger, Bacher, & Sroka, 1988; John et al., 1980; Somsen, van’t Klooster, van der Molen, van Leeuwen, & Licht, 1997; Thatcher, Walker, & Giudice, 1987). One of the most profound changes is in executive functioning modulated by the prefrontal cortex. For example, adolescents show greater activation in the limbic system that subserves emotional responses while viewing faces with fearful expressions, whereas adults can engage in cognitive-regulatory tasks to modulate those responses (Nelson et al., 2005). This might help explain why adolescents are often described as more emotional, and why they react strongly to certain social stimuli without thinking through the consequences or context. These deficits relative to adults can have a significant influence on courtroom behavior, including difficulty thinking logically rather than emotionally, difficulty weighing consequences of decisions, and emotional displays or outbursts.
  • 22. Indeed, there is a related and expansive body of literature on brain substrates to emotion regulation that supports the robustness of such observations (e.g., Gross, 2007). Similarly, Hunt (1999) found that significant changes in affect were associated with stage of puberty (early vs middle) and gender. Girls exhibited greater affective intensity and lability in early puberty while boys experienced similar changes in middle puberty. Given that emotion regulation may play a key role in decision-making with regard to 792 R. Mayzer et al. engaging in precipitating delinquent behaviors as well as cooperation within the courtroom, research demonstrating that emotion regulation is neurally based and that emotion regulation as well as neural circuitry becomes more sophisticated with age speaks to the need to consider emotion regulation as a critical variable in assessments of juvenile competency. Neuropsychology and the etiology of problem behaviors The relationship between brain function and various psychiatric disorders is well documented. Electrophysiological abnormalities have been observed
  • 23. for dementias, schizophrenia, unipolar/bipolar depression, autism, and alcohol/substance abuse; as well as anxiety, panic, obsessive- compulsive, eating, learning, and attention deficit disorders (Bresnahan, Anderson, & Barry, 1999; Chabot, di Michele, Prichep, & John, 2001; Hughes & John, 1999; Pizzagalli et al., 2002; Snyder & Hall, 2006; Vance & Luk, 2000). Most of these abnormalities involve the frontal lobes. Beyond psychiatry and psychology, the relationship between neuropsy- chological risks and antisocial behavior has received increasing attention within the field of criminology. Brain structures and functions have been tied to violent or aggressive behavior (Bufkin & Luttrell, 2005; Hawkins & Trobst, 2000). Deficits in executive functioning measured by clinical test batteries also predict delinquency (Cauffman, Steinberg, & Piquero, 2005; Moffitt, Caspi, Rutter, & Silva, 2001; Piquero, 2001; Teichner & Golden, 2000). A number of other studies have looked at adolescent brain development or neuropsychological correlates in relation to drug, alcohol, and other problem behaviors (e.g., see Dahl & Spear, 2004). Broadly, adolescence is associated with increased sensation-seeking and risk-taking (Dahl, 2004; Kelley, Schochet, & Landry, 2004). Developments in prefrontal
  • 24. cortical pathways most likely play a major role (Kelley et al., 2004). Data from fMRI studies have revealed less efficient response inhibition among children and adolescents compared to adults (Luna & Sweeney, 2004), and research shows that addicted individuals have impaired inhibitory controls mediated by frontal regions of the brain (Lubman, Yucel, & Pantelis, 2004). Poor response inhibition is predictive of early onset of alcohol use, alcohol-related problems, and the use of other illicit drugs by adolescents (Nigg et al., 2006; Wong et al., 2006). The rewarding effects of abused drugs, generally, are facilitated by brain mechanisms (Wise, Bauco, Carlezon, & Trojniar, 1992). Converging evidence for developmental trends in drug-seeking comes from rodent studies. Summarized by Kelley et al. (2004, p. 31), adolescent rats ‘show increases in novelty seeking and hyperactivity, altered learning patterns, greater sensory sensitivity and distractibility, and altered responses and sensitivity to drugs such as nicotine and alcohol’. Adolescent rats receive greater reward (Leslie et al., 2004) and experience stronger anxiety- reducing effects (Torrella, Badanich, Philpot, Kirstein, & Wecker, 2004) The Journal of Forensic Psychiatry & Psychology 793
  • 25. from nicotine – and the rewarding effects of abused drugs generally are facilitated by brain mechanisms (Wise et al., 1992). Leslie et al. (2004, p. 156) concluded that ‘[t]here is increasing evidence that adolescence is a period of unique sensitivity of forebrain systems to environmental stimuli, including abused drugs’. In addition to weaker inhibitory controls, then, adolescents may experience greater physiological, drug- and alcohol-induced positive reinforcements associated with the brain’s frontal lobe. The literature on problem behavior maps onto the brain development literature, which in turn is relevant to competency. For example, the same neuropsychological causes for drug seeking may make a juvenile more likely to seek rapid resolution of a court case (e.g., by taking a plea bargain that is not in his or her best interest). Conclusion Transferring juveniles to criminal court is controversial. Debates have been waged between advocates of more punitive sanctions for serious offenders, regardless of age, and critics who contend that processing juveniles as adults leads to coercive practices that impede justice as well as higher
  • 26. recidivism rates and stigmatization which further entrenches the juvenile’s self-concept as an offender outside the bounds of conventional society. Critics have also argued that the retributive adult system fails to capitalize on amenability to treatment during the adolescent years – and that even when prosecuted for the same charges some juveniles may be less culpable than most adults by virtue of their psychosocial immaturity. Although not yet largely incorporated into research on assessments of juvenile competency, neuropsychological tests could help differentiate those who are mature enough to handle adult criminal proceedings from those with questionable levels of preparedness. Based on the dramatic improve- ments observed in executive functions during the teen years, those in mid- adolescence should be of primary concern. Steinberg and Cauffman (2001) suggested that individuals younger than 13 years are, presumptively, not proper candidates for transfer to adult court, whereas individuals older than 16 years most likely have cognitive capabilities not much different from adults. For individuals between the ages of 13 and 16 years, individualized assessments are needed (Steinberg & Cauffman, 2001). This converges with findings from neuroimaging studies, which show that there are
  • 27. active changes taking place over the same developmental period. Inter- individual variations in ages of initiation and rates of change for social, cognitive, and physical (both pubertal and neurological) maturation mean that it is difficult to make generalized statements about competency by age. It is not uncommon to see improvements in scores on neuropsychological and competency assessments from early to late adolescence. Neuropsycho- logical tests are designed to assess cognitions and capabilities based on 794 R. Mayzer et al. cortical regions which continue to develop into young adulthood, and that mirror or enable the psychosocial skills associated with adjudicative competence. Yet the extant literature on juvenile competency has stood largely independent from the neuropsychological literature. Despite ancillary nods to the cortical changes that coincide with movement toward psychosocial maturity, juvenile competency researchers have emphasized psychosocial immaturity without delving into its physical substrates. Neuropsychological and neuroimaging research can offer relevant informa-
  • 28. tion about what to assess and how to assess it. It is clear that juvenile competency is a complex issue, particularly in light of the normative nature of many delinquent behaviors during adolescence (Moffitt, 1993) and the rehabilitative potential of youthful offenders which may both be contingent on brain function. Other complicating factors include various psychiatric disorders (Grisso, 2005; Hughes & John, 1999; Lexcen, 2000), and co-morbid problem behaviors such as substance abuse (Dahl & Spear, 2004) that may compromise the validity of assessments and have different consequences for behavior depending on the defendant’s age. Pubertal status is another variable (Davies & Rose, 1999) that might be a more accurate predictor of maturation than chronological age. More applied, theory-driven interdisciplinary research is needed to determine the most effective way to assess multiple influences on juvenile competency. Competency to stand trial in criminal court assumes an understanding of the legal system and adjudication process, ability to recognize and reason about legally relevant information, appreciation of the meaning and consequences of legal actions, and the ability to knowledgeably participate in criminal proceedings. The neuropsychological underpinnings
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