The Commission’s rules can affect the time between the final disposition of a case and the supervised individual’s ability to relocate to another state. Even when the supervised individual is eligible for transfer under the Compact, a court cannot authorize relocation until the receiving state has accepted supervision and issued reporting instructions in accordance with the rules. Accordingly, the supervised individual must remain subject to the authority of the sending state during the investigation and transfer process. Transfer requires investigation, acceptance, and the issuance of reporting instructions, even when the individual is a resident of the receiving state.
Rule 3.102 requires the sending state to send a transfer application and all pertinent information prior to allowing the supervised individual to relocate to the receiving state. Under Rule 3.104, the receiving state has up to 45 days to investigate and respond to a sending state’s transfer request. There are provisions for emergency transfers to expedite reporting instructions. See Rule 3.103-2. As noted, Rule 3.103 provides limited exceptions when sentenced immediately to supervision or after a short jail sentence followed by supervision to restrictions on transfer prior to acceptance. In general, however, a probationer or parolee is not allowed to travel to a receiving state (unless for employment or medical purposes previously established prior to the transfer request) until the receiving state has investigated, accepted the transfer of the supervised individual, and issued reporting instructions. See Rule 3.102.
Rule 3.102 requires the sending state to submit a complete transfer application and all relevant case information to the receiving state before permitting a supervised individual to leave the sending state. Under Rule 3.104, the receiving state has up to 45 days to investigate and respond to the transfer request.
Rules 3.103, 3.103-1 and 3.103-2 provide narrow exceptions to the 45-day period in Rule 3.104. Rule 3.103-2 provides for expedited reporting instructions in limited circumstances where the sending state and receiving state agree that emergency circumstances exist. Rule 3.103 requires an expedited process for supervised individuals who live in the receiving state at the time of sentencing or after the disposition of a violation or revocation proceeding. These expedited transfers are discussed below in sections 3.4.1.1 and 3.4.1.2.
In the event the sending state fails to provide all needed information as required by Rule 3.107, the receiving state must reject the request and provide specific reason(s) for rejection. See Rule 3.104(b). Therefore, failure to transmit all necessary information when requesting a transfer may substantially delay the processing of the transfer request and such insufficiencies may result in a denial of a transfer by the receiving state.
For incarcerated individuals seeking to transfer their supervision upon release, Rule 3.105 stipulates that the sending state must submit a completed transfer request no earlier than 120 days before the individual’s scheduled release from a correctional facility. This rule has been interpreted to mean that “the process for transferring parole to a sister state cannot be commenced until the inmate is given a release date.” In re Sauers, (No H034179, 2010 WL 290584 at *9 n.6 (Cal. Ct. App. Jan 26, 2010). Although this case is unpublished, the commission concurs with this interpretation.
Rule 3.108 requires the sending state to notify known victims of a supervised individual of their right to be heard and comment when a transfer request is submitted to a receiving state. Pursuant to Rule 3.108-1, within one (1) business day of receiving reporting instructions or acceptance of transfer, the sending state shall initiate victim notification procedures in accordance with applicable state law informing the victim that the transfer will occur. Rule 3.108 further establishes procedures by which victims may request the opportunity to be heard regarding a transfer or return request. The rule also outlines how victim comments are to be handled and recognizes the authority of the sending state to impose appropriate supervision conditions to address victim-related concerns.
In addition, Rule 3.109 requires a supervised individual seeking transfer under the compact to execute a written waiver of extradition as part of the transfer application. By signing the application for transfer, the supervised individual knowingly and voluntarily waives extradition from any state to which the individual may abscond while under supervision. The executed transfer application itself constitutes the required waiver.
Rule 3.109 further provides that compacting states waive all formal extradition requirements for supervised individuals who are fugitives from justice. Courts should recognize that a supervised individual’s signed application for transfer, which includes the required waiver of extradition under Rule 3.109, satisfies the Compact’s extradition provisions. Where a valid waiver has been executed pursuant to the Compact, neither a separate gubernatorial warrant nor additional formal extradition proceedings are required.