1. Session II: State Compliance and Legal Matters Presenters: Rick Masters Pat Pendergast (AL) Mike Lacy (WV) R

2. ICJ Trivia P

3. TRIVIA Which state was the 35 th member of the new Compact? a.) Ohio b.) Illinois c.) Nebraska d.) California Serving Juveniles While Protecting Communities 3 P

4. TRIVIA Over the last 60 years, how many compacts have been joined by all 50 states? a.) Fourteen b.) Four c.) One Serving Juveniles While Protecting Communities 4 P

5. TRIVIA How many total compacts are there? a.) Over 200 b.) Over 300 c.) Over 400 Serving Juveniles While Protecting Communities 5 P

6. TRIVIA According to the By-laws, the Commission’s activities shall include? a.) Promulgate Rules b.) Enforce Rules c.) Provide for dispute resolution d.) Coordinate training e.) All of the above Serving Juveniles While Protecting Communities 6 M

7. TRIVIA According to Article III(K) of the Statute, the Commission shall collect standardized data concerning: a.) The number of trainings offered b.) The interstate movement of juveniles c.) The Commission’s website d.) None of the above Serving Juveniles While Protecting Communities 7 M

8. TRIVIA According to Article IX of the Statute, the State Council must include one representative from: a.) Legislative branch b.) Judicial branch c.) Executive branch d.) Victims group e.) All of the above Serving Juveniles While Protecting Communities 8 M

9. TRIVIA Who was the first Chairperson for ICJ? a.) Ray Wahl b.) Dennis Casarona c.) Donna Bonner d.) Billie Greer Serving Juveniles While Protecting Communities 9 P

10. TRIVIA How many terms does the immediate past chairperson serve? a)One b)Two c)None Serving Juveniles While Protecting Communities 10 P

11. TRIVIA In what year was the Compact language finalized? a)2001 b)2002 c)2008 Serving Juveniles While Protecting Communities 11 P

12. TRIVIA Chair Pendergast is a supporter of which football team? a)University of Alabama b)Alabama State University c)Auburn University Serving Juveniles While Protecting Communities 12 M

13. TRIVIA Which presenter was a minister for 12 years prior to working with the ICJ? a)Pat Pendergast b)Rick Masters c)Mike Lacy Serving Juveniles While Protecting Communities 13 M

14. TRIVIA Where does Treasurer Phil Cox frequently visit? a)Turkey b)Saudi Arabia c)Poland Serving Juveniles While Protecting Communities 14 M

15. TRIVIA Which presenter is a published writer? a)Pat Pendergast b)Rick Masters c)Mike Lacy Serving Juveniles While Protecting Communities 15 P

16. TRIVIA Who from the National Office Staff was a high school teacher? a)Ashley Lippert b)Emma Goode c)Jennifer Adkins Serving Juveniles While Protecting Communities 16 P

17. TRIVIA Who from the National Office Staff is a singer in a band? a)Ashley Lippert b)Morgan Rhodes c)Jennifer Adkins Serving Juveniles While Protecting Communities 17 P

18. Handling Non-Compliance R

19. This training will cover the process for dealing with non-compliance issues, including steps to take and protocol for contacting the Executive Director. Legal Counsel will also review current advisory opinions. Serving Juveniles While Protecting Communities 19 R

20. A Binding Contractual Agreement By entering into this Compact, the member states contractually agree on certain principles and rules. All state officials and courts are required to effectuate the terms of the Compact and ensure compliance with the rules. - ICJ Article VII, Section A.2 Serving Juveniles While Protecting Communities 20 R

21. Power to Enforce Compact Obligations & Impose Sanctions Obligations imposed by an interstate compact commission are enforceable on the states; An interstate compact commission empowered by a compact to do so may impose sanctions on a non- complying state for breach of the compact terms –Alabama v. North Carolina, 560 U.S. 330 (2010) –ICJ Article XI R

22. No State Immunity for Violations of the ICJ or Rules Neither judicial immunity nor qualified immunity generally afforded to prosecutors and other state officials can protect a state from liability to the other member states which arises from violations of the Compact or ICJ rules. The state has bound itself by legislative enactment to comply with the compact and rules which may be enforced by the other member states. See Alabama v. North Carolina, 560 U.S. 330 (2010); Texas v. New Mexico, 462 U.S. 554, 564 (1983) R

23. Enforcement Required Article IV : The Commission is authorized “to enforce compliance with the compact provisions, the rules promulgated by the Interstate Commission and the bylaws, using all necessary and proper means, including but not limited to the use of judicial process.” Article XIII (B.) : “All lawful actions of the Interstate Commission, including all rules and bylaws promulgated by the Interstate Commission are binding upon the compacting states.” R

24. QUESTION What is non-compliance? a.) When a state fails to perform Compact imposed obligations and responsibilities b.) When a state fails to agree with the Compact c.) When a state fails to attend a Region meeting d.) All of the above Serving Juveniles While Protecting Communities 24 M

25. When is a state considered in non-compliance? Serving Juveniles While Protecting Communities 25 M

26. E Examples of non-compliance Failing to apprehend and detain a juvenile for the purpose of retaking and return; Allowing a juvenile sex offender to travel to a receiving state without the receiving state’s approval; The premature termination of the term of a juvenile’s supervision by a sending state for the purpose of avoiding the application or enforcement of an ICJ statutory provision or ICJ Rule Serving Juveniles While Protecting Communities 26 M

27. What initial steps should a state take when another state is not following the rules of the Compact? Serving Juveniles While Protecting Communities 27 M

28. Serving Juveniles While Protecting Communities 28 When informal steps are unsuccessful, contact the National Office. M

29. When does Legal Counsel and/or the Compliance Committee become involved? Serving Juveniles While Protecting Communities 29 P

30. QUESTION What does the Compliance Committee do? a.) Monitor states’ compliance b.) Develop enforcement procedures c.) Handle formal and informal disputes d.) All of the above Serving Juveniles While Protecting Communities 30 P

31. General Enforcement Principles Enforcement tools available to the Commission : Training and technical assistance Alternative dispute resolution, mediation or arbitration Imposing financial penalties Suspension from the Compact Termination from the Compact Litigation to enforce compliance with the Compact (prevailing party entitled to recover all costs litigation including reasonable attorneys fees) (See ICJ Articles IV & XI) Serving Juveniles While Protecting Communities 31 R

32. Two Types of Liability Liability related to offender release or supervision Liability of compact member states for violation of the compact and compact rules R

33. Judicial Immunity & Probation Officers Example, probation officers may have qualified judicial immunity in preparing a pre-sentence investigation report because this is integral to a judge exercising judicial power in a case. Acevedo v. Pima Cty. Adult Probation, 142 Ariz 319 (1984). Whether immunity applies in a particular case must be determined by examining the nature of the function, the class of officials to whom it has been entrusted, and the effect to which exposure to liability would have on the proper exercise of the functions. Officials seeking exemptions from personal liability have the burden of showing that such exemption is justified by overriding considerations of public policy. Forester v. White, 484 U.S. 219 (1988) Generally, probation officers are cloaked with qualified (not absolute) judicial immunity; that is, limited to actions that are integral to the judicial process. R

34. Negligent Supervision Liability arising from the negligent supervision of offenders or delinquents on parole or probation. –Reynolds vs. State, 471 N.E. 2d 776 (Ohio,1984) –Doe vs. Arguelles, 716 P.2d 279 (Utah, 1985) –Hansen vs. Scott, 645 N.W. 2d 223 (ND, 2002) –Tuthill case in Maryland –Small vs. McKennan Hosp. 403 N.W. 2d 410 (SD 1987) R

35. Review Serving Juveniles While Protecting Communities 35 P

36. Reviewing the Steps Level 1 Contact involved Commissioners Level 2 Consult with Executive Director Level 3 Offer technical assistance Level 4 Report to Executive Committee Level 5 Compliance Committee findings and penalty Level 6 Executive Committee considers recommendation Serving Juveniles While Protecting Communities 36 P

37. QUESTION An example of non-compliance is: a.) Failing to send a travel permit for a juvenile going into a residential facility b.) Forwarding a home evaluation 15 days after receiving a referral c.) Allowing a juvenile sex offender to travel into the receiving state without the receiving state’s approval d.) None of the above Serving Juveniles While Protecting Communities 37 P

38. QUESTION What initial steps should a state take when another state is not following the rules of the Compact? a.) Contact the regional representative b.) Contact the National Office c.) Contact the state’s Commissioner Serving Juveniles While Protecting Communities 38 P

39. QUESTION For informal and formal dispute resolutions between states, the Executive Director can ask for the assistance of legal counsel and _________? a.) Compliance Committee b.) Executive Committee c.) Finance Committee Serving Juveniles While Protecting Communities 39 P

40. QUESTION Which of the following penalties can be imposed on a state if they are found in default of the Compact? a.) Fines b.) Training and Technical Assistance c.) Suspension or termination from the Compact d.) All of the above e.) None of the above Serving Juveniles While Protecting Communities 40 P

41. Questions? 41 R

42. TRUE OF FALSE? Advisory Opinions are intended to be a substitute for a rule? a.) True b.) False Serving Juveniles While Protecting Communities 42 R

43. Advisory Opinions Advisory Opinions are written in accordance with how a Rule is currently drafted. They are not intended to be a substitute for a rule or rule amendment, but are a legal interpretation of the proper application of a Compact provision or Compact rule to a specific fact situation. Serving Juveniles While Protecting Communities 43 R

44. Advisory Opinions Sending/Receiving State’s Rights 01-2010 : Receiving state’s ability to sanction juveniles under ICJ Rule 4-104.1 03-2010 : The sending state’s ability to “override” a denial; who has decision making authority to “override” a denial; and, Adam Walsh Act implications (Superseded by rule changes effective January 1, 2011) Serving Juveniles While Protecting Communities 44 R

45. Advisory Opinions Enforcement and Liability 03-2009 : Whether a county violation of the Compact constitutes a state violation of the Compact that would result in potential liability of the County and/or State 04-2010 : Applicability and enforceability of the rules of the Interstate Compact for Juveniles with sovereign tribal nations and reservation lands Serving Juveniles While Protecting Communities 45 R

46. Advisory Opinions Detaining Juveniles 04-2011 : Non-Adjudicated juveniles held in secure detention for a failed placement 03-2012 : Whether the holding state’s laws regarding the age of majority apply when detaining and returning a person serving a juvenile probation or parole sentence that absconds or flees to avoid prosecution and has the status of an adult in the home/demanding state Serving Juveniles While Protecting Communities 46 R

47. QUESTION When was the Health Insurance and Portability Act signed into law? a.) 1990 b.) 1996 c.) 2000 Serving Juveniles While Protecting Communities 47 R

48. Advisory Opinions HIPAA 01-2011 : HIPAA Exemptions for the ICJ 01-2012 : Whether the law enforcement exemptions from the provisions of the Health Insurance and Portability Act of 1996 (“HIPAA”) would apply to transfers and returns of juveniles involving non-member states Serving Juveniles While Protecting Communities 48 R

49. Advisory Opinions Other 03-2011 : Pleas and abeyance cases for non- adjudicated juveniles 02-2012 : Detention and Supervision fees associated with new charges Serving Juveniles While Protecting Communities 49 R

50. Advisory Opinions Other 04-2012 : Issuing a travel permit for a juvenile subject to a delinquency petition but who is not yet adjudicated 05-2012 : Whether adjudicated juvenile delinquents who are referred to residential treatment program in another state, but do not qualify for transfer under the ICPC, may be transferred under the ICJ Serving Juveniles While Protecting Communities 50 R

51. Questions? 51