Chapter 11     Reporting Convictions and
               Providing Records of
               Suspected Aliens to the
               Immigration and
               Naturalization Service 

     This chapter addresses the requirements related to reporting of conviction information to
     the Immigration and Naturalization Service (INS).  The status of the State's compliance
     with this requirement must be addressed separately in the application, as discussed more
     in Chapter 3, Section 3.1e(2).


11.1 The INS Requirement

     The Immigration Act of 1990 enacted in November 1990, along with technical
     amendments to the Immigration and Nationality Act enacted in December 1991, changed
     Section 503 of the Omnibus Crime Control and Safe Streets Act to require that criminal
     justice records identify aliens so that conviction records can be shared with the
     Immigration and Naturalization Service (INS).  It requires the States to have a
     coordination plan with INS as a condition for receipt of Edward Byrne Memorial State
     and Local Law Enforcement Assistance Formula Grants.

     The following assurance, which must be signed as part of the application for formula
     grant funds, was added to the ten assurances already required by Section 503 of the Act:

          An assurance that the State has established a plan under which the State will
          provide, without fee to the Immigration and Naturalization Service, within 30
          days of the date of their conviction, notice of conviction of aliens who have been
          convicted of violating the criminal laws of the State and under which the State
          will provide the Service with the certified records of such a conviction within 30
          days of the date of a request by the Service for such record.

     This provision applies to FY 1991 and subsequent formula grant awards.  However,
     because there was inadequate time for BJA and INS to respond fully to this provision
     before formula grant applications were due on January 4, 1991, the States were required
     to assure in their application that they would provide a completed plan, in accordance
     with BJA guidance, within 120 days after the issuance of that guidance.  This date was
     April 9, 1992, for Phase I of the plan as described in this chapter.  The deadline for
     submission of Phase II of the plan was made concurrent with submission of the State's
     CJRI Plan.


11.2 Goals of the INS Requirement

     The implementation of this provision will help INS achieve its Criminal Alien Strategy
     Goals which are to:

          Systematically identify, locate, and remove aliens not authorized to remain in the
          United States because of criminal activity.

          Ensure the expeditious deportation of convicted criminals, consistent with due
          process requirements.


          Create an effective deterrent to aliens seeking to enter the United States to engage
          in criminal activities.

     The achievement of these goals will afford State and local agencies benefits in two ways. 
     First, by deporting aliens upon release from prison, the potential for recidivist behavior is
     reduced.  Second, States should realize a cost savings related to correctional supervision
     (probation/parole) as a result of the prompt deportation of convicted aliens who are not
     incarcerated.  INS estimates that over 10 percent of the inmates in some State prison
     systems are foreign born and may be subject to deportation.




11.3 Implementation of the Requirement

     A number of issues are involved with implementing this requirement.


11.3a     Definitions

     Aliens or suspected aliens are defined as offenders who hold a foreign citizenship or who
     are foreign born.  The State is not required to investigate alien status but should forward
     conviction records for all suspected aliens to INS for verification.  

     For purposes of reporting to INS, conviction is defined as a final criminal conviction of
     aliens or suspected aliens by a court of competent jurisdiction for which the offender has
     been sentenced and all direct appeal rights have been exhausted or waived or the appeal
     period has lapsed.  INS can deport many offenders convicted of felonies or certain
     misdemeanors.  SAA's are not expected to make the determination of which types of
     conviction may lead to deportation; INS will make this determination.  States are required
     to provide information on all felony and misdemeanor convictions for foreign born
     inmates.  States which plan to report to INS through the central repository, but which do
     not collect information on misdemeanors, should address, in their plan, the feasibility of
     collecting information on deportable misdemeanors.


11.3b     Formatting of Information Reported

     There is no set format for reporting this information.  If INS decides to initiate
     deportation proceedings, it may request and receive certified records of conviction from
     the State, without fee.  Documents provided in response to such a request must have a
     certification of authenticity under official seal by the custodian of the records or an
     authorized deputy. 

     States may choose to provide INS with certified records within 30 days of conviction
     rather than using the two-step process of providing notification and then providing
     certified records upon request from INS.  Documents which should be forwarded by the
     State to INS are certified copies of judgement and conviction records and indictment 

     records.  Documents must have a certification of authenticity under official seal by the
     custodian of the records or an authorized deputy.  

     States which have the information required in its criminal history records, maintained by
     the central repository, may provide INS with notification of conviction through printouts
     or electronic transmission from the repository, if a mutual system for electronic reporting
     is established with the INS District Office.  An individual at the central repository may be
     deputized by the appropriate State court/court officer to certify the records of conviction
     as long as the process for transmission of disposition information from the courts to the
     repository provides for a secure system, one not subject to tampering. If INS requires
     additional information regarding a particular conviction, INS officers may request and
     receive, without fee, certified alien criminal records from the court or, if available, from
     the central repository.


11.4 Plan for Reporting Convicted Aliens

     Each State is required to develop a plan for reporting convicted aliens which should
     describe current efforts, if any, to provide INS with certified records of conviction of
     aliens or suspected aliens, a review of alternative methods of reporting, recommendations
     for reporting, and an implementation strategy and schedule.  The plan must indicate
     which agency or agencies will provide the notification of conviction to INS, the method
     of notification, who INS should contact to request certified records (e.g. court of
     jurisdiction, central repository) and the procedures to be used for obtaining the certified
     records. With the agreement of INS, States which cannot comply fully with the
     requirement immediately, have been allowed to implement a two-phased approach.


11.4a     Phase I: Incarcerated Offenders

     This phase should target serious offenders and should be implemented immediately.  At a
     minimum, the State should provide INS with notification of conviction for aliens
     sentenced to prison, including those held in local jails awaiting placement in prison.  If
     INS receives this information when the offender is sentenced or enters prison, the
     deportation hearing can be conducted and arrangements made to deport the offender as
     soon as the sentence has been served.  


11.4 b    Phase II: Non-incarcerated Offenders

     This phase should provide for the establishment of mechanisms and procedures for the
     transfer to INS of records for all aliens or suspected aliens convicted of deportable
     offenses.  During this phase, such issues should be addressed as how aliens will be
     identified, where in the process this will occur (e.g., presentence investigation), and who
     will be responsible for providing the information to INS (e.g., the courts or the central
     repository).  This phase can be addressed as part of the criminal justice records
     improvement plan or separately submitted prior to submission of the CJRI Plan.  


11.5 Compliance Indicators

     The goal of the plan should be that at least 90 percent of the records of convictions
     contain information on the Place of Birth of the offender and, if available, the Citizenship
     and Alien Identification Number and that notification of conviction for aliens or
     suspected aliens will be provided to INS within 30 days of final conviction.


11.6 INS Plan Update

     The application should have a separate section which provides an update of the State's
     implementation of the INS requirement.  All States should have an approved plan for
     Phase I.  If the Phase II plan has not been submitted, the update should give a status
     report and timetable for its submission.  For plans already submitted and approved, the
     application should provide an overview of the status of implementation including
     problems which have arisen (whether or not resolved), coordination with INS, and other
     relevant issues.  To the extent possible, the update should provide data on the number of
     suspected aliens reported to INS, number of records requested or provided, and like data.