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ICAOS Rules Training Presentation Presented by: [Revision 3//1/2014]. Purpose of ICAOS. Promote Public Safety Protect the Rights of Victims Effective Supervision/Rehabilitation Control Movement of Offenders Provide for Effective Tracking . Interstate Compact Legislation.

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Presentation Transcript
ICAOS Rules Training Presentation

Presented by:

[Revision 3//1/2014]

purpose of icaos
Purpose of ICAOS
  • Promote Public Safety
  • Protect the Rights of Victims
  • Effective Supervision/Rehabilitation
  • Control Movement of Offenders
  • Provide for Effective Tracking
interstate compact legislation
Interstate Compact Legislation
  • Courts, Parole Boards, Community Corrections & other Executive Agencies
      • subject to ICAOS rules
      • MUST enforce & effectuate the Compact

Do you know your

state’s statute?

national governing body
National Governing Body
  • All 50 states, the District of Columbia, Puerto Rico, and the U.S. Virgin Islands are members of the Interstate Compact
    • Rule Making Authority
      • Supersede conflicting state laws
    • Compliance Enforcement
state compact offices
State Compact Offices
  • Process & review managed compact activities
    • Transfer Requests, Reporting Instructions, Violations and replies
  • Training Resource
    • Officers, Prosecutors, Judges, Jails

Rule 2.101

state compact offices1
State Compact Offices
  • Resolves issue with other states
    • i.e. First point of contact for a questionable rejection
  • Ensure compliance with ICAOS rules
  • Develop/recommend in-state ISC standard operating procedures

Rule 2.101

providing offender information
Providing Offender Information
  • Original Forms stay in Sending State
  • DETAILED & ACCURATE Information
      • NO local abbreviations
      • Attach relevant documentation when available
      • Complete TIMELY
      • Follow up if necessary
what triggers the compact
What Triggers the Compact?

Offender subject to supervision wishes to relocate to another state.

“Relocate” means to remain in another state for more than 45 consecutive days in any 12 month period.

Rule 2.110


Adult who commits a criminal offense AND

  • Is subject to supervision;
  • Released to the community under jurisdiction of:
    • Courts
    • Paroling Authorities
    • Corrections
    • Other Criminal Justice Agencies; AND
  • meets eligibility requirements
  • Has 2 distinct criteria:
    • Oversight exercised by a controlling authority, which includes Courts, Parole Boards, etc…
    • Required to monitor regulations or conditions, other than monetary.
reasons justification for transfer
Reasons & Justification for Transfer
  • Resident: inhabited one year prior to offense
  • Resident Family: Parent, grandparent, aunt, uncle, adult child, adult sibling, spouse, legal guardian, or step-parent
    • Inhabited receiving state for 180 calendar days
  • Employment Transfer: At the direction of employer as a condition of maintaining employment

Rule 3.101, 3.101-1 & 3.101-2

pre release transfer
Pre-Release Transfer
  • Submit request within 120 calendar days prior to release date
  • Sending state shall notify receiving state if
    • the planned release date changes
    • or if release date has been withdrawn or denied

Rule 3.105

investigation period
Investigation Period
  • Reject incomplete transfer requests with details.
    • The sending state may resubmit a new Transfer Request based on the rejected Transfer Request & include the missing information.
  • Offenders in the receiving state with approved reporting instructions may remain there if a new Transfer Request is submitted within 15 business days
  • Complete investigation within 45 calendar days of receipt of a complete Transfer Request

Rule 3.104

no travel prior to transfer reply
No Travel Prior to Transfer Reply
  • The offender SHALL NOT proceed to the receiving state.
    • Advisory Opinion 9-2006 & 3-2004: If an offender is in a receiving state prior to acceptance, the Receiving State can properly reject the request for transfer.

Rule 3.102


Rule 3.101-1, 3.101-3, 3.102, 3.103 & 3.106

sex offenders
Sex Offenders
  • No travel permit w/o approved reporting instructions

Rule 1.101 & 3.101-3

reporting instruction timeframes
Reporting Instruction Timeframes

Rule 3.101-3, 3.103, 3.106

transfer request reply
Transfer Request Reply


-Valid for 120 calendar days


-Be specific

Rule 3.104-1

improper rejections
Improper Rejections
  • Offenders with disabilities (Rule 2.108)
  • Offenders with pending charges (obtained before or during investigation period; AO 8-2005)
  • Incorrect ICOTS user assigned
    • Wrong County/Unit
    • Specialized Officer
  • Undocumented immigrant (AO 13-2006)
  • Section 8 housing (AO 2-2007)
notices of departure arrival
Notices of Departure & Arrival
  • Fastest Processes in ICOTS!

Rule 3.104-1 & 4.105

return of offenders
Return of Offenders
  • Rule 3.103, Rule 3.106 & 4.111
transfer to subsequent state
Transfer to Subsequent State

Discretion of Sending State to prepare the transfer request

Training Bulletin 1-2009

Rule 4.110




A=Sending State

B=Initial Receiving State

C=Subsequent Receiving State

victim s right to be heard
Victim’s Right to be Heard
  • Victim’s can contact Sending state’s compact office.
  • Victim’s have 10 business days after notification to give input.
  • Receiving state shall continue to investigate.

Victim’s Comment ALWAYS Confidential

Rule 3.108-1

notification to victims
Notification to Victims
  • Both States’ responsibility
  • Change in Offender Status
      • Commits a significant violation.
      • Changes address.
      • Returns to the sending state where victim resides.
      • Departs receiving state under approved plan in subsequent receiving state.
      • Issued a temporary travel permit in a victim sensitive case.
  • Requests for status information
    • 5 business days

Rule 3.108(b)

significant violations
Significant Violations

Rule 1.101 Significant Violation definition

absconder violation responsibilities
Absconder Violation Responsibilities

Abscond means to be absent from the offender’s approved place of

residence or employment and avoiding supervision

Rule 4.109-2

authority to arrest and detain
Authority to Arrest and Detain
  • An offender in violation of the terms and conditions of supervision may be taken into custody or continued in custody by the receiving state.
    • (Only if you have the authority to arrest in-state offenders without a warrant from the Court.)

Rule 4.109-1

  • Means the act of the sending state physically removing an offender or causing to have an offender removed, from a receiving state.
  • Requires a warrant & detainer
    • Warrant means:
      • Written order commanding law enforcement to arrest an offender
      • SHALL be entered in the NCIC Wanted Person File with a nationwide pick-up radius
  • No bail or other release conditions

Rule 5.101

retaking vs extradition
“Retaking” vs. “Extradition”
  • Offender Application for Transfer (Waiver of Extradition)
    • MUST be signed PRIOR to leaving/transferring
    • States party to this compact waive all legal requirements to extradition of offenders who are fugitives from justice.
    • Rule 3.109
discretionary retaking
Discretionary Retaking
  • Sending State retains authority to retake at ANYTIME unless offender is charged with a new felony or violent crime in the receiving state.
    • Offender charged with a new criminal offense cannot be retaken:
      • until charges have been dismissed
      • sentence has been satisfied
      • offender released to supervision for new offense
      • sending and receiving state mutually agree to retake/return

Rule 5.101 & 5.101-1

violent crime definition
“Violent Crime” Definition

“Violent Crime”means:

Unlawful exertion of physical force with the intent to cause injury or physical harm to a person; OR

Offense in which a person incurred direct or threatened physical or psychological harm as defined by the criminal code of the state in which the crime occurred; OR

Use of a deadly weapon in the commission of a crime; OR

Sex offense requiring registration

retaking responsibilities
Retaking Responsibilities
  • Rule 5.104, 5.105, 5.106, 5.107, 5.108, 5.110 & 5.111
addendum to ovr
Addendum to OVR
  • IF NEEDED Receiving State uses to
    • Update location information
    • Correct data
    • Add PC information
addendum to ovr response
Addendum to OVR Response

IF NEEDED Sending State uses to

  • Update response after PC Hearing
  • Upload warrant
  • Update retaking plans
case closure notice
Case Closure Notice
  • Date of discharge (termination) of supervision
  • Notice to sending state of the absconding of the offender in the receiving state
    • OVR must precede closure
  • Notice to sending state of incarceration of offender for 180 calendar days or longer; include:
    • Judgment and sentencing documents
    • Information about the offender’s location
  • Notification of death
  • Return to sending state
    • Cannot close during retaking

The sending state must submit a case closure reply within 10 business days of receipt

Rule 4.112

  • Liable is defined by Webster as “Legally obligated; responsible…”
  • All compact member states can be held liable for circumventing or violating the ICAOS rules.
  • ICAOS rules are federal law and there is a legal obligation to follow and enforce the rules as written.
types of public acts
Types of Public Acts
  • Discretionary: acts in which the public employee has the freedom to exercise good judgment and care in carrying out an act. Defined with words like “may” and “can”; these acts are not mandatory duties.
  • Ministerial: acts that a public employee is required by law to fulfill. Most often these acts are defined by “shall” or “must”; they impose a mandatory duty without regard to discretion.
negligent supervision
Negligent Supervision

Liability arising from the negligent supervision of offenders on parole or probation.

Reynolds vs. State, 471 N.E. 2d 776 (Ohio,1984)

  • Victim was raped by prisoner released on a work release furlough
  • Action was maintained against the state for personal injuries inflicted by its failure to confine prisoner during non-working hours as required

Hansen vs. Scott, 645 N.W. 2d 223 (ND, 2002)

  • Texas asked North Dakota to supervise Parolee without disclosing known information regarding his violent criminal past
  • Employees in Texas were held liable in wrongful death case brought against them by family of victims

Tuthill case in Maryland

  • Judge ordered offender to Colorado to attend Treatment
  • Maryland did not notify Colorado authorities
  • Family settled with State of Maryland
icaos website
ICAOS Website
  • Directory
    • State Compact Offices for assistance with cases
  • Rules (PDF & Step-by-Step)
  • By-Laws
  • Benchbook for Judges
  • Advisory Opinions
  • Training Modules (Live Webex-On-Demand)
  • Meeting Announcements
on demand training
On-Demand Training

Engaging multimedia presentation with video, audio, slides, and downloads

  • State Compact Office
    • Directory on ICAOS website
  • Commission Website