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

Session II: Session II:

State Compliance and State Compliance and Legal MattersLegal Matters

Presenters: Presenters: Rick MastersRick Masters

Pat Pendergast (AL)Pat Pendergast (AL)Mike Lacy (WV)Mike Lacy (WV)

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ICJ TriviaICJ Trivia

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TRIVIA

Which state was the 35th member of the new Compact?

a.) Ohiob.) Illinoisc.) Nebraskad.) California

Serving Juveniles While Protecting Communities

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TRIVIA

Over the last 60 years, how many compacts have been joined by all 50 states?

a.) Fourteenb.) Fourc.) One


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TRIVIA

How many total compacts are there?

a.) Over 200b.) Over 300c.) Over 400


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TRIVIA

According to the By-laws, the Commission’s activities shall include?

a.) Promulgate Rulesb.) Enforce Rulesc.) Provide for dispute resolutiond.) Coordinate traininge.) All of the above


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TRIVIA

According to Article III(K) of the Statute, the Commission shall collect standardized data concerning:

a.) The number of trainings offeredb.) The interstate movement of juvenilesc.) The Commission’s websited.) None of the above


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TRIVIA

According to Article IX of the Statute, the State Council must include one representative from:

a.) Legislative branchb.) Judicial branchc.) Executive branchd.) Victims groupe.) All of the above


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TRIVIA

Who was the first Chairperson for ICJ?

a.) Ray Wahlb.) Dennis Casaronac.) Donna Bonnerd.) Billie Greer


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TRIVIA

How many terms does the immediate past chairperson serve?

a)Oneb)Twoc)None


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TRIVIA

In what year was the Compact language finalized?

a)2001b)2002c)2008


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TRIVIA

Chair Pendergast is a supporter of which football team?

a)University of Alabamab)Alabama State Universityc)Auburn University


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TRIVIA

Which presenter was a minister for 12 years prior to working with the ICJ?

a)Pat Pendergastb)Rick Mastersc)Mike Lacy


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TRIVIA

Where does Treasurer Phil Cox frequently visit?

a)Turkeyb)Saudi Arabiac)Poland


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TRIVIA

Which presenter is a published writer?

a)Pat Pendergastb)Rick Mastersc)Mike Lacy


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TRIVIA

Who from the National Office Staff was a high school teacher?

a)Ashley Lippertb)Emma Goodec)Jennifer Adkins


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TRIVIA

Who from the National Office Staff is a singer in a band?

a)Ashley Lippertb)Morgan Rhodesc)Jennifer Adkins


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Handling Handling Non-ComplianceNon-Compliance

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This training will cover the process fordealing with non-compliance issues, including steps to take and protocol for contacting the

Executive Director.

Legal Counsel will also review current advisory opinions.


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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


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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

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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)

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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.”

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QUESTIONWhat is non-compliance?

a.) When a state fails to perform Compact imposed obligations and responsibilitiesb.) When a state fails to agree with the Compactc.) When a state fails to attend a Region meetingd.) All of the above


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When is a state considered in non-compliance?


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EExamples 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


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What initial steps should a state take when another state is not

following the rules of the Compact?


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When informal steps are unsuccessful, contact the

National Office.

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When does Legal Counsel and/or the Compliance Committee

become involved?


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QUESTION

What does the Compliance Committee do?

a.) Monitor states’ complianceb.) Develop enforcement proceduresc.) Handle formal and informal disputesd.) All of the above


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General Enforcement PrinciplesGeneral 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)


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Two Types of Liability

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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.

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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

Review


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Reviewing the StepsReviewing the Steps


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QUESTION

An example of non-compliance is:

a.) Failing to send a travel permit for a juvenile going into a residential facilityb.) Forwarding a home evaluation 15 days after receiving a referralc.) Allowing a juvenile sex offender to travel into the receiving state without the receiving state’s approvald.) None of the above


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QUESTION

What initial steps should a state take when another state is not following the rules of the Compact?

a.) Contact the regional representativeb.) Contact the National Officec.) Contact the state’s Commissioner


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QUESTION

For informal and formal dispute resolutions between states, the Executive Director can ask for the assistance of legal counsel and _________?

a.) Compliance Committeeb.) Executive Committeec.) Finance Committee


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QUESTION

Which of the following penalties can be imposed on a state if they are found in default of the Compact?

a.) Finesb.) Training and Technical Assistancec.) Suspension or termination from the Compactd.) All of the abovee.) None of the above


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Questions?

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TRUE OF FALSE?Advisory Opinions are intended to be a substitute for a rule?

a.) Trueb.) False


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Advisory OpinionsAdvisory 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.


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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)


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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


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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


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QUESTION

When was the Health Insurance and Portability Act signed into law?

a.) 1990b.) 1996c.) 2000


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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


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Other

•03-2011: Pleas and abeyance cases for non- adjudicated juveniles

•02-2012: Detention and Supervision fees associated with new charges


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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


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Questions?

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Documents

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