ICAOS Training
104-Reporting Significant
Violations & Retaking
(Rules 4.109 & 5.103)
[Revision 1/1/2016-Includes Rules Effective March 1, 2016]
Be Ready for a Test at the End.
ICAOS Training Series
• 101-Transfer & Reporting Instructions Eligibility
• 102-Transferring Supervision
• 103-Supervision in the Receiving State
• 104-Reporting Significant Violations & Retaking
105-Mandatory Retaking for New Violent or
Felony Crimes & Absconders apprehended in
the Receiving State
• 106-Probable Cause Hearings
Training Objectives
• Define “significant violation”
• Receiving State responsibilities
• Sending State responsibilities
• Retaking
“Significant Violation”
• means an offender‘s failure to comply with
the terms or conditions of supervision that,
if occurring in the receiving state, would
result in a request for revocation of
supervision.
How to Determine Significant
Violation
Committed
I Would
Request
Revocation
in my
State.
Significant
Violation
Violation
Committed
I Would
NOT
Request
Revocation
in my State.
NonSignificant
Violation
Violation Reporting
Considerations
• The sending state is only going to know
what you tell them
• Use the same detail if reporting to your
own authorities
• Specifics on how the behavior was
determined to be ‘significant’
• Has the option of working with the offender
(e.g. intervention) been exhausted?
Reporting Significant Violations
Available in ICOTS after NOA and
available only to Receiving State.
Violation Type
• User is prompted for information based
on ‘Violation Type’
Violation of Conditions
Within 30 days
Report as either:
• Single Behavior
• Continued Behavior
• Combination of
Behaviors
Attachments
Supporting documentation
shall be included
•Police reports
•Toxicology reports
•Preliminary findings
Probable Cause Information
• Provide PC Status
• PC Training Session Available
PC information can be
updated/added, if a hearing is
requested by the sending state
using an Addendum to Violation
Report
New Arrest
Progress Report should be used
to notify the Sending State when
arrest does NOT meet the
definition of significant violation.
New Arrest
I Would
Request
Revocation
in my
State.
Significant
Violation
Location & Availability
Available for retaking?
Yes=there is nothing
holding the offender
in the receiving state
Offender is NOT Available if there are pending Violent Crime or
Felony Charges unless states mutually agree
See Rule 5.101-1
Recommendation
Checklist
 Violation reported is “significant”
“violation would rise to level of revocation because…”
 Reported timely
 Requesting return/retake
 Availability status accurate
Ensure no pending charges exist
 Supporting documentation included
 “Story” provided on why supervision is not
successful
 Review offender profile to ensure
consistency/accuracy
Addendum to OVR
Updates Violation Record; Use for Violation correspondence
DO NOT report new violations on an Addendum
Response to Violation
•
A sending state shall respond no later
than 10 business days
•
Response shall include:
1. action to be taken
2. date action will begin
3. estimated completion date
Rule 4.109
Response to Violation
Respond by going to
your Compact
Workload and search
the offender.
• The Response is automatically generated in ICOTS
when a Violation is received.
• This search will also show you the due date.
• Email notification will be sent by ICOTS if Response
is not completed on time.
Response to Violation
Mandatory Retaking
Receiving State
requests retake &:
Report of 1-2 significant
violations
Report of
violation
3rd
significant
Mandatory Retake?
No
Yes
Sending State Action
Respond with action/non-action
to be taken
Issue warrant OR Order offender
to return within 15 business days
 May ask for PC Hearing
Conviction of new felony
Yes
Issue warrant
Conviction of new violent
crime
Yes
Issue warrant
Yes
Warrant previously issued per
Rule 4.109-2
 May ask for PC Hearing
“Absconder”
apprehended in receiving
state on sending state’s
warrant
• Each Violation
–
–
–
–
Considered significant independently
Receiving state requests retaking/return
Separate incident
Usually reported on separate violation reports
• When reporting multiple violations on a single violation
report, confirm each is significant
Sending State Responsibilities
Under: Rule 5.103
1. Order the Return
2. Retake via Warrant
• Track using return
reporting instructions
• Sending State has 30 days to
return offender once offender
is in custody solely held on
the sending state’s warrant.
• Sending State can request
Probable Cause Hearing
– Next Slide
– Offender can sign a waiver
Return of Offenders in Lieu of Retaking
• Receiving State
– RFRI sent within 7
business days of
Violation Response
– Responsible for
offender until
departure
– Submit NOD
• Sending State
– Report date must be
within 15 business
days
– Notify victims if
needed
– Must provide
Reporting Instructions
– Submit NOA
• Issue warrant if
offender fails to return
as ordered
Workflow for ALL Returns
Receiving State
Sending State
– Request RI's
– Respond to RFRI (2 days)
– NOD & CCN upon
departure
• Supervisory Authority
Ends
– NOA confirm arrival
• Failed to arrive? Issue
Warrant-no later than
10 business days
– CCN Response
CASE CLOSED
Warrant
– 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 Bond allowed
Addendum to OVR Response
Updates Violation Record; Use for Violation correspondence
Close the ICOTS case once offender
leaves the state or retaken via warrant
Rule 4.112
How do I Report a NonSignificant Violation?
• Notify State via Progress Report.
Non-Significant Violations will not
enact mandatory retaking rules.
Enter Non-Significant Violation Here, if applicable this is where
Sanction information is documented. Can also attach Sanction
sheet below.
Liability
• 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.
Scenario #1
1. I am supervising an offender for another
state, the offender comes into my office and
tests positive for cocaine for the second time
which is a significant violation in my state. I
submit a violation report and the sending
state replies asking me to continue to
supervise. I can just tell the offender to go
back and close the case.
a) True
b) False
Scenario #2
2. An offender under compact supervision comes
into my office and reports he was terminated from
treatment for arriving intoxicated and was later
seen at a local bar after curfew. I can submit a
violation report to the sending state mandating
they return this offender because he had three
significant violations for being intoxicated at
treatment, termination from treatment and
violation of curfew.
a) True
b) False
Scenario #3
3. I sent a report of a significant violation
requesting retake/return of an offender back to
the sending state. The sending state responds
with a decision to order the offender to return in
lieu of retaking via warrant. Upon receipt of the
violation report response, I must request return
reporting instructions within:
a) 2 business days
b) 7 business days
c) 15 business days
d) No required timeframe
Scenario #4
4. I am supervising an offender who has been
missing appointments, I would not request a
revocation in my state. I am concerned about
this continued behavior and want the sending
state to know about it, plus I plan to give the
offender a sanction. I would report this
information on a progress report in ICOTS.
a) True
b) False
Questions