Interstate Compact for
Juveniles
Judicial Training
Revised April 2014
Interstate Compact for Juveniles
• The original Interstate Compact for Juveniles
was established in 1955
• Designed to:
– Bring order to the interstate movement of juvenile
delinquents and status offenders
– Ensure that proper supervision services were provided to
these juveniles
• Problems with original Compact:
−
−
−
−
Not designed to handle increasing population
Limited ability to enforce compliance
Did not delegate governmental authority
Inconsistent adoption of subsequent amendments
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Interstate Compact for Juveniles,
cont.
• Revised compact enacted in 2008
– Ensures effective monitoring of juvenile offenders moving
across state lines
– Provides for the welfare and protection of juveniles and the
public
– Resolves discrepancies between states
– Provides enhanced accountability, enforcement, visibility,
and communication
• Serves as the only legal process for returning
runaways
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Legal Status of Interstate Compacts
• Compacts have the characteristics of both
statutory law and contractual agreements
• A state cannot unilaterally repeal the Compact
• All member states must meet their contractual
obligations by complying with and enforcing the
Compact and its rules
• The Commission has rulemaking authority which
has force and effect of federal law
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Authority of the Compact
Crime Control Act, 4 U.S.C. Section 112
(1965)
• Authorizes and encourages states to form cooperative
efforts and mutual assistance in the prevention of crime
• A state law, court rule, or regulation that contradicts the
rules of the Commission is invalid to the extent of the
conflict
• All courts and executive agencies are subject to the
Interstate Compact for Juveniles
Article I,V, & VII
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National Structure
State Council Structure
• Provides a mechanism for
empowerment of
Compact process
Executive
Representative
Legislative
Representative
• Assists in developing
Compact policy
• Determines qualifications
for membership on
Council
State Council
• Appoints designee in
Commissioner’s absence
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Judicial
Representative
Victim’s
Advocate
Compact
Administrator /
Commissioner
7
Transfer of Supervision
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Transfer of Supervision - Overview
Supervision in the ICJ
• “Supervision” has 3 components:
1. Oversight exercised over a juvenile determined by a
court or appropriate authority for a period of time
2. Requires a juvenile to report to or be monitored by
appropriate authorities
3. Regulations and conditions are imposed on the
juvenile
• Supervision solely for monetary conditions is not
applicable under the ICJ
Rule 1-101
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Supervision and the ICJ, cont.
• Transferring supervision does not relinquish the
sending state’s jurisdiction
– Jurisdiction remains with sending state
• Violations of the conditions of supervision may
be handled by the receiving state unless the
sending state seeks return of the juvenile
– When the violations constitute new delinquency or
status offense under the laws of the receiving state,
that state retains the right to prosecute before the
juvenile’s return to the sending state
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Supervision and the ICJ, cont.
• Both the sending and receiving states have authority
to enforce the terms of supervision
– May include detention time in the receiving state
– Costs incurred from any enforcement sanctions shall be the
responsibility of the state seeking to impose such sanctions
• ICJ Advisory Opinion 1-2010
– The supervising state may impose graduated sanctions if
such standards are also applied to its own delinquent
juveniles
• The type of incarceration is determined by the
receiving state’s laws on the age of majority
Rule 5-101
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Eligibility Criteria for Juveniles
• Persons Eligible for Transfer of Supervision:
– A person classified as a “juvenile” by the sending state and is
under the jurisdiction of a court or appropriate authority
– Adjudicated delinquents
– Adjudicated status offenders
– Juveniles with deferred adjudication
• Length of Supervision Restrictions:
– Must relocate for 90 consecutive days in receiving state
– Have 90 days or more of supervision remaining
– Must meet residential criteria
Rule 4-101
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Eligibility Criteria for Juveniles, cont.
• Juveniles eligible for transfer must meet the
following residential criteria:
– Reside with a parent, legal guardian, relative, non-relative
or independently
– Be enrolled as a full-time student at an accredited
secondary school or accredited university, college, or
licensed specialized training program
• Juveniles moving into residential facilities are
not eligible for transfer under ICJ
Rule 4-101
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Eligibility Restrictions
• If a child is placed pursuant to the ICJ and is also
subject to the ICPC, placement and supervision
through ICPC would not be precluded
• A receiving state can deny supervision if:
–
–
Proposed placement is unsuitable, or
Juvenile is not in substantial compliance
• ICJ Rules allow an override of receiving state’s
authority to deny placement when there is no
custodial parent or guardian in the sending state
and a custodial parent or guardian does reside in
the receiving state
Rules 4-101, 4-104
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Sending and Receiving Referrals
Sending State
45 Days from Start to
Finish
Approval or Denial
Sent
Home Study & Other
Documents to ICJ
Office in Receiving
State
ICJ Office in
Receiving State
Local Offices for
Home Study
30 Days
Sending and Receiving Referrals,
cont.
• If a paroled juvenile or juvenile sex offender
requires out-of-state placement prior to
acceptance of supervision, the sending state
shall determine if the circumstances of the
juvenile’s immediate placement justify the use of
a travel permit, including appropriateness of
placement.
• The receiving state determines whether to
expedite the referral
Rule 4-103
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Accepting Referrals
• The receiving state shall accept supervision when:
1. The juvenile has no custodial parent/legal guardian
remaining in the sending state; and
2. The juvenile does have a custodial parent/legal guardian
residing in the receiving state
• If the placement in the receiving state fails, the
sending state retakes the juvenile within 5 business
days
– If a legal custodian remains in the sending state
Rule 4-104
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Home Evaluations – Overview
• Conduct home evaluation within 30 calendar
days of receipt
– Use Form VIII: Home Evaluation
• Within 45 calendar days of receipt, the receiving
state forwards the completed Form VIII to the
sending state
– Form is signed by appropriate authority
– The receiving state may deny an unsuitable placement
– Required to provide an explanation if there is a delay in
forwarding the home evaluation
• Receiving state must ensure a juvenile sex offender
complies with local policies or laws during the
home evaluation
Rules 4-102, 4-104
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Transferring Juvenile Sex Offenders
• May not travel into receiving state unless:
– Request for transfer is approved
– Receiving state issues reporting instructions
– Transfer request qualifies for expedited transfer status
Items included in referral packet:
• Parole or Probation Documents
(listed in Rule 4-102)
• Risk Assessment
• Safety Plan Specific Assessments
(if available)
•
•
•
•
Legal/Social History
Victim Information
Treatment Plan
Petition/Arrest Reports
• Sending state responsible for victim notification
Rules 4-103, 2-105
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Travel Permits
• Mandatory for juveniles traveling out-of-state in excess
of 24 consecutive hours AND who have committed,
been adjudicated or case circumstances include:
–
–
–
–
–
–
–
–
Sex related offense;
Violent offense resulting in personal injury or death;
Offense with a weapon;
State committed juveniles;
Juveniles who are testing placement and subject to ICJ;
Juveniles returning to the sending state;
Juveniles transferring to a subsequent state(s);
Victim notification laws, policies, and practices apply.
Rule 8-101
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Travel Permits, cont.
• Maximum length of a permit is 90 calendar days
• May be used, but are not required, for juveniles under
probation/parole traveling to out-of-state residential
treatment facilities
• Authorized Travel Permit is provided and received
prior to the juvenile's movement
• The supervising state forwards the Travel Permit to
jurisdiction of visit
• The sending state is responsible for meeting victim
notification requirements in a timely manner
Rule 8-101
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Travel Permits, cont.
• If used to test placement, the receiving state
must receive referral packet within 30 calendar
days
– The issuing state shall instruct juvenile to report any change
of status during that period
– If Travel Permit exceeds 30 calendar days, sending state
provides reporting instruction to juvenile to maintain contact
with supervising agency
Rule 8-101
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Travel Permits, cont.
• Authorization for out-of-state travel is approved at
the discretion of the supervising person
− Exception: When sending state notifies receiving state
that sending state appropriate authority must approve
travel
• Permit should be provided and received prior to the
juvenile’s movement
• The receiving state is responsible for disseminating
information according to law, policy, practice, or
procedure in the receiving state
• Victim notification still applies
Rule 8-101
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New Violations in the Receiving State
• The ICJ does not prohibit officials in a receiving
state from filing new charges
• A juvenile may be charged in a receiving state
without violating or interfering in the jurisdiction of
the sending state
• Officials in a receiving state have two possible
courses of action:
– Demand the sending state return the juvenile; or
– Advise the sending state that they intend to proceed with
new charges
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Returning Juveniles
Situations Requiring Return of Juvenile
• A non-delinquent juvenile runs away to another
state
• A juvenile is an escapee, absconder, or
accused delinquent and flees to another state
• A placement fails for a juvenile under Compact
supervision
• Return can be voluntary or non-voluntary
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Non-Delinquent Runaways
• Within 24 hours of detainment, authorities may
release a runaway to a parent or legal guardian
without applying Rule 6-102
– Except where instances of abuse/neglect is suspected
– After 24 hours, holding authorities contact the holding state
• Runaways are held in secure facilities if detained
longer than 24 hours or they are endangering
themselves or others
– OJJDP Exclusion
• Juveniles held pursuant to the ICJ are excluded from the
deinstitutionalization of status offenders requirements. See, Notice of
Clarification of OJJDP Policy on Secure Detention of Runaways
Rule 6-101
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Voluntary Return of Runaways
• Judge conducts a hearing informing juvenile of rights
– May use ICJ Juvenile Rights Form
– The court may appoint counsel or guardian ad litem
• The juvenile and the judge sign the ICJ Form III
• Holding state forwards the completed ICJ Form III to
the home/demanding state within 5 business days
• For voluntary return of runaways who allege
abuse/neglect:
– The Form III must indicate who will be assuming responsibility
for the juvenile
Rules 6-101, 6-102
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Non-Voluntary Returns - Overview
• The non-voluntary return process is divided into
two distinct processes:
1. Returning non-delinquent runaways; and
2. Returning juveniles who are escapees, absconders,
or accused delinquents
• Home/demanding state prepares a requisition
within 60 calendar days of notification that:
– The juvenile refuses to return; or
– Request the juvenile be taken into custody
Rule 6 -103, 6-103A
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Initial Process For All Non-Voluntary
Returns
• If the juvenile refuses to return voluntarily, the
appropriate authority in the home/demanding
state shall prepare a written requisition within 60
calendar days of notification.
• The appropriate authority may also request that a
court take into custody a juvenile that is allegedly
located in their jurisdiction.
Rule 6-103
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Non-Delinquent Returns
• The parent, legal guardian, or custodial agency must
petition the court in the home/demanding state for a
requisition.
Items included in petition:
• Juvenile’s name and date of • His/her location if known at the
birth
time application is made
• Name of the petitioner
• Other facts that show the
• Basis of entitlement to the
juvenile is endangering his/her
juvenile’s custody
welfare or others and is not an
• Circumstances of his/her
emancipated minor
running away
• Verified by affidavit and accompanied by a certified
copy of documents showing entitlement to juvenile.
Rule 6-103
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Non-Delinquent Returns, cont.
• The home/demanding state's appropriate
authority begins the requisition process when:
–
–
–
Notified by the holding state’s ICJ Office that a nondelinquent juvenile refuses to return voluntarily;
The parent or legal guardian is unable or refuses to
initiate the requisition; or
There are allegations of abuse or neglect and
appropriate authorities in the home/demanding state
determine that the juvenile will not be returning to a
parent or legal guardian
Rules 6-101, 6-103
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Non-Delinquent Returns, cont.
• The judge in the home/demanding state
determines if:
The petitioner
is entitled to
legal custody
The juvenile
ran away
without
consent
The juvenile is
an
emancipated
minor
It is in the best
interest of the
juvenile to
return
• If the judge determines the juvenile should return, the
judge signs the Form I.
Rule 6-103
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Escapee, Absconder, or Accused
Delinquent Return Process
• The appropriate authority presents Form II to the
court where the juvenile is allegedly located.
Items included in requisition:
• Judgment
• Order of adjudication
• Order of commitment
• Petition alleging delinquency
• Other applicable affidavits
• Verified by affidavit and accompanied by a certified
copy of documents showing entitlement to juvenile.
Rule 6-103A
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Escapee, Absconder, or Accused
Delinquent Return Process (cont.)
• The home/demanding state’s ICJ Office ensures
the packets are in order.
– ICJ Office will use JIDS to submit requisition packets
• Holding state may request and shall be entitled to originals
or certified copies of any legal documents
• If not already detained, the court shall order the
juvenile be held pending a hearing to determine
if the requisition is in order.
Rule 6-103A
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Maximum Detention Time
• 90 calendar days – pending the non-voluntary
return of the juvenile to the home/demanding
state.
– The home/demanding state maintains contact with
the authorities preparing the requisition to ensure
accuracy and minimize detention time
Rule 6-103A
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Hearings for Non-Voluntary Returns
• Within 30 days of receipt of a requisition - hearing
shall occur in the state where the juvenile is
located.
– The juvenile may elect to have counsel or guardian ad
litem
If Requisition is IN
ORDER:
• Judge orders
juvenile’s return
If Requisition is
DENIED:
• Judge shall issue
written findings
detailing the
denial
Rule 6-103, 6-103A
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Non-Voluntary Returns – Last Steps
The court forwards order
to the holding state’s ICJ
Office
• Holding state’s ICJ Office
forwards order to the
home/demanding state’s ICJ
Office
Home/demanding state
returns the juvenile within
5 business days of the
receipt of the order
granting requisition
• Requisitioned juveniles shall be
accompanied
Officers shall transport
such juveniles through all
member states without
interference
Rule 6-103, 6-103A
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Retaking and Failed Placements
• Officers are authorized to enter any member state to
retake a juvenile
– Unless the juvenile is suspected of having committed an
offense/ act of juvenile delinquency
• The sending state may not retake the juvenile without prior
consent from authorities in the receiving state
• Officers need only establish their authority and the
identity of the juvenile
• The receiving state shall honor any warrant
– The sending state returns the juvenile within 5 business days
upon receiving notice of a failed placement
Rule 5-103
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Waiver of Extradition: Form IA/VI
• If Form IA/VI is signed, the sending state may
retake without further court procedures
• Challenges to similar waiver provisions in other
compacts have not been successful
Rule 5-103
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Absconder Under ICJ Supervision
• Upon finding/apprehending the juvenile the
sending state:
– Decides if the juvenile returns to the sending state or
requests that supervision resume in the receiving state
• The receiving state may close the case:
– Upon notification that sending state issued a warrant, or
– The juvenile has been on absconder status for 10 business
days
Rule 5-102
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Transporting Juveniles
• The home/demanding state is responsible for
the costs of transportation and for making
transportation arrangements
• If the juvenile is a safety risk, they are to be
accompanied on their return
• Requisitioned juveniles are accompanied unless
both ICJ Offices determine otherwise
Rule 6-103, 6-103A, 7-101, 7-102
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Closing an ICJ Case
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Special Judicial Interests
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UCERA Considerations
• The Uniform Criminal Extradition and Rendition Act
(UCERA) can affect the procedures for returning a
fugitive
• Several courts have recognized that an interstate
compact is an appropriate alternative procedure
– States may return individuals without complying with the
UCERA
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Warrants
• All warrants must be entered into the National
Crime Information Center (NCIC)
– Holding state honors all warrants
– The holding state notifies the home/demanding state
by the next business day that the juvenile is in custody
– The home/demanding state has 2 business days to
decide if they will return the juvenile
• “No bond/bail warrants”
– A juvenile remains in custodial detention regardless of
individual state statute
– Juvenile to be held in secure detention
– Juvenile has opportunity for a hearing
Rule 7-104
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Judicial Sentencing Practices
• The Revised ICJ should be viewed as a
supervision transfer mechanism
– It does not limit the sentencing authority of a judge
• The Revised ICJ applies to all dispositional
outcomes
– Deferred adjudication, treatment options, custodial
placements, etc. do not restrict the application of the
Compact
• Deferred prosecutions do not exempt a state
from complying with the Revised ICJ
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Hearings
• U.S. Supreme Court cases may affect the process
for return of juveniles
– See, e.g., Morrissey v. Brewer, 408 U.S. 471 (1972); Gagnon v.
Scarpelli, 411 U.S. 778 (1973); Carchman v. Nash, 473 U.S. 716
(1985)
• Under the Revised ICJ Rules, a state is not
obligated to provide counsel in circumstances of
revocation or retaking
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Hearings, cont.
• If the sending state will not revoke the juvenile’s
supervision, the juvenile is not entitled to a
probable cause (PC) hearing
• A juvenile must be afforded a PC hearing where:
– Retaking is for a purpose other than the commission of a new
felony offense; and
– Revocation of conditional release by the sending state is likely
• A variety of persons can fulfill the requirement of a
neutral and detached authority
– Officials qualified to handle revocation proceedings may
preside over PC hearings in the receiving state
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Liability and Immunity
within the ICJ
Liability
• All Compact member states can be held liable for
circumventing or violating the ICJ rules
• There is a legal obligation to follow and enforce the
ICJ rules as written
• ICJ Liability for Commissioners/Designees does not
exceed the limits of liability set forth under the
Constitution and laws of that state for state officials,
employees, and agents
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Liability – General Considerations
• Public employees are immune from suit for
discretionary acts
– The decision to parole someone is usually a discretionary act
– The conduct must not violate the principle of
reasonableness or statutory / constitutional rights
– Defined with words like “may” and “can”
– These acts are not mandatory duties
• Public employees are not immune from suit for failing
to fulfill a ministerial act
– May be personally liable
– Defined most often by “shall” or “must”
– These acts impose a mandatory duty without regard to
discretion
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Negligent Supervision
• Some factors a court may consider in determining
whether a state official is liable for negligent
supervision are:
–
–
–
–
Misconduct
Existence of special custodial or other
The foreseeability of an offender’s actions
Negligent hiring and supervision
• The obligation to fulfill ministerial acts generally
gives rise to liability
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Defense & Indemnification
Section 2 – Defense
• The Commission will defend a Commissioner/representative in a
civil action seeking to impose liability, on the condition that the
alleged act or error did not result from gross negligence or
intentional wrongdoing on behalf of that person
Section 3 – Indemnification
• The Commission indemnifies the Commissioner and representative
employees harmless in the amount of any settlement arising from
such alleged act that occurred within the scope of Commission
employment; provided that the person had reasonable basis for
their actions and did not result from gross negligence or
intentional wrongdoing
ICJ By-laws
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Judicial Immunity
• Important only in the context of probation
– Generally no application to the parole setting
• Judicial immunity provides judicial officers with
immunity for their judicial actions
• Not even judges have absolute judicial immunity for
non-judicial, administrative actions
4
42 U.S.C. 1983
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Judicial Immunity & Probation Officers
• Probation officers may have qualified judicial
immunity in preparing a pre-sentence investigation
report
– Integral for a judge exercising judicial power in a case
• Acevedo v. Pima City. Adult Probation, 142 Ariz 319 (1984)
• Determining if immunity applies depends on
– 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
must show that such exemption is justified by
overriding considerations of public policy
• Forester v. White, 484 U.S. 219 (1988)
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Qualified Immunity
• A state official may be covered by qualified immunity
where they:
1. Carry out a statutory duty
2. Act according to procedures dictated by statute and
superiors, and
3. Act reasonably
• Parole and probation officers may enjoy qualified
immunity
– If their actions are in furtherance of a statutory duty and
– Actions are in substantial compliance with the directives of
superiors and relevant statutory or regulatory guidelines
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42 USC 1983 Liability
• Creates a state or federal cause of action for
damages arising out of the acts of state officials that
violate an individual’s civil rights while acting under
color of state law
• Courts have held that compacts do not create a
federally enforceable right under 42 U.S.C. § 1983
– Absent a clear intent by Congress to establish a federal
cause of action
• Doe v. Pennsylvania Board of Probation and Parole, 513 F.3d
95 (3rd Cir. 2008)
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Judicial
Implications
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Question #1
What gives the Interstate Compact for
Juveniles its authority to regulate the
interstate movement of juveniles?
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Question #2
What if my state/jurisdiction has policies or
laws that may potentially conflict with the
ICJ and its rules?
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Question #3
• Transferring juveniles through the ICJ
appears to be a complicated process:
Does a judge or parole board have the
authority to bypass the transfer of
supervision procedures within the ICJ?
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Question #4
Does the ICJ limit a judge’s ability to
extradite a juvenile fugitive?
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Contact Information
• Commission Chair
– Traci Marchand
• Executive Director
– Ashley H. Lippert
• General Counsel for ICJ
– Richard L. Masters, Esq.
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ICJ Website
•
•
•
•
•
•
•
•
•
Forms (PDF and Word)
Rules (PDF and HTML step-by-step)
By-laws
Presentations
Manuals
Advisory Opinions
Legal Memorandums
Compact Office Directory
Meeting Announcements
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Contact Information
National Office
Interstate Commission for Juveniles
836 Euclid Avenue, Suite 322
Lexington, KY 40502
(859) 721-1063
(859) 721-1059 fax
www.juvenilecompact.org
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Questions?