Transcript Slide 1

The Only Way to Go…
Interstate Compact for Adult Offender Supervision
ICAOS Rules
Training
Presented by:
Objectives
• What triggers the Compact?
• Overview of Transfer Process
• Supervision Responsibilities
• Retaking Reasons & Requirements
• Resources
Purpose of ICAOS
• Promote Public Safety
• Protect the Rights of Victims
• Effective Supervision/Rehabilitation
• Control Movement of Offenders
• Provide for Effective Tracking
The Interstate Compact for Adult
Offender Supervision
• Courts, Parole Boards, Community
Corrections & other Executive Agencies
– subject to ICAOS rules
– MUST enforce & effectuate the Compact
Do you know your
state’s statute?
ICAOS Impacts
• How offenders are:
– Transferred to another state
– Supervised over state lines
– Returned to a sending state when in violation.
What Triggers the Compact?
An Offender subject to
Supervision who wishes to
Relocate to another state
“Offender”
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
“Supervision”
• 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.
“Relocate”
– “Relocate” means to remain in another
state for more than 45 consecutive
days in any 12 month period.
Rule 1.101 definitions-Rule 2.110
Cycle of a Compact Case
Transfer
Request
Notice of
Arrival
Supervision in
Receiving
State
Transfer
Reply
Notice of
Departure
Case is
closed
Eligible Offender Must Transfer to Relocate
Eligible Offenders
All Felons
Certain Misdemeanants (Rule 2.105)
Non-eligible Offenders
Certain Misdemeanants (Rule 2.105)
Next Slide
Deferred Sentences (Rule 2.106)
• Is there a finding of guilt?
• Has a plea been entered?
• Given up the right to trial?
Those on work-release (Rule 2.107)
• Or released under furlough
• Or on a pre-parole program
• Those on a Pre-Trial Intervention
Programs
“Unsupervised” Offenders requiring
monitoring
• Bench Probation
Offenders released on bail
Eligible Misdemeanants
Sentence = 1+ years of supervision
AND
Instant Offense includes one or more:
 Person incurred direct or
threatened physical or
psychological harm.
 2nd or subsequent offense of
driving while impaired by drugs
or alcohol
 Use or possession of a firearm
involved.
 Sex offense requiring registration
in the sending state
Rule 2.105
Transfer Requirements
 Application for Transfer-Includes Waiver of
Extradition
 90 days + remaining on supervision
 Offender in substantial compliance
 Reason for Transfer
 Justification w/ Plan for Supervision
 Documentation must be provided with Transfer
Request-Rule 3.107
 Victim Notification-ICOTS VINE Watch
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
Discretionary Transfers
• Provide sufficient documentation to justify the requested
transfer.
• The receiving state has the discretion to accept or reject
the transfer of supervision in a manner consistent with
the purpose of the compact
– Public Safety
– Rehabilitation of Offenders
Rule 3.101-2
Transfer Acceptance
• Mandatory – if the offender meets the criteria to
transfer, the receiving state MUST accept supervision
– Most transferring offenders are residents of receiving state or
have resident family
• Discretionary –
• Offenders not eligible for mandatory transfer
• Sending state must justify “WHY”
• Receiving state has the discretion to accept or
reject supervision
Transfer Request
Copy of signed Offender Application
Instant Offense DETAILS (Narrative)
Photo
If Applicable:
Conditions of Supervision
• Sex offender registration
requirements
Financial Obligations (order by Court)
• Orders of restriction
• Known protective orders
• Known gang affiliation
Supervision history (only if currently on
• Prison discipline and mental
supervision for more than 30 calendar days)
health history of last 2 years
PSI (if it exists or is not prohibited for distribution)
Rule 3.107
Transfer Request
#1 Add criminal
case information
#2 Add offenses
to case
NCIC code or
use drop-down
#3 Attach details
of offense
Transfer Request
“Sex Offender”
• Eligible “Offender” by Compact definition
– Subject to supervision
• Required to register in EITHER the
sending state or receiving state
Transfer Request-Sex Offender
If Available:
• Assessment Information
• Social History
• Information relevant to the offender’s criminal
sexual behavior
• Law Enforcement Report
• Victim Information
• Demographics
• Statement
• Supervision/Treatment plan - current or
recommended
Rule 3.101-3
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
Transfer Request
Last Chance
to Delete
Transfer Request
Email is sent to
Supervisor for review
Transfer Request
Check activity status using the Compact
Workload
Per Rule 3.104 a Transfer Request must be responded
to within 45 days
Investigation Period
• 45 Calendar days following receipt in the
Receiving State’s Compact Office
Rule 3.104
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
Exceptions
• Offender’s employed in the receiving state at the time
the request is submitted.
(i.e. Border States)
• Inform via the Transfer Request
• Offender qualifies for reporting instructions NEXT
SLIDE
Rule 3.101-1, 3.101-3, 3.102, 3.103 & 3.106
Reporting Instructions
Offender must qualify for Reporting Instructions
Pending Transfer
Investigation
No Travel to
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.
Reporting Instructions
Offender must qualify for Reporting Instructions
Living in Receiving State vs.
Compact Definition of Resident
Mandatory RI’s for Living in
Receiving State
• The offender currently lives in
the receiving state when
sentenced to probation in the
sending state and needs to go
home after sentencing.
Mandatory Transfer for
‘Resident’
• The offender must have lived in
the receiving state for at least
one continuous year prior to
committing the offense in the
sending state
Reporting Instructions for Sex Offenders
Living in the Receiving State at the
Time of Sentencing
• Rule 3.103 applies except for the following:
– 5 business days to respond
• Invalid residence – may deny Reporting
Instructions
– Travel permits are NOT permitted w/o
approved Reporting Instructions
Rule 3.101-3
Reporting Instruction Timeframes
Sending State
Receiving State
Send timely Transfer Request
2 business days to respond to all
• 7 business days after approved
RFRIs
expedited reporting instructions
5 business days for sex offender
• 15 business days after probationer
living in receiving state at the time
living in receiving state at the time of
of sentencing
sentencing
Rule 3.101-3, 3.103, 3.106
Transfer Request Reply
Email is sent to
user assigned
Access activity from Assistants, Compact Workload or Offender Profile
Transfer Request Reply
Offender Profile: Action Items
Transfer Request Reply
Transfer Request Reply
Accepted
-Valid for 120
calendar days
Rejected
-Be specific
Rule 3.104-1
Reject an Incomplete Transfer
Request
• Be specific on what is missing from the Transfer
Request.
•
Offenders in the receiving state with approved reporting instructions may
remain there if a new Transfer Request is submitted within 15 business days
Rule 3.104
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)
Transfer Request Reply
Transfer Request Reply
Approved Transfer Reply
• Receiving State’s Compact Office Transmits
Reply
– Email is generated to sending state users
• Compact Office, PO Supervisor & PO
– Activity History (Offender Profile) reflects the decision
of the Transfer Reply
– Sending state should be sure to review the pdf and
attachments for details
Additional Document Requests
Receiving State
May request documents necessary
for supervision upon acceptance
• Transfer Reply or
• Compact Action Request
Sending State
Must provide documents within 30
calendar days
Rule 3.107
Notices of Departure & Arrival
• Fastest Processes in ICOTS!
Sending State
Receiving State
Notice of Arrival when offender arrives and reports as instructed.
• Officer becomes the ‘supervising user’ in ICOTS
NOD when offender
departs
Notice of Failure to Report if offender failed to report within 5
business days after departing sending state.
Rule 3.104-1 & 4.105
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
Victim Special Status
Notification to Victims
• Both States’ responsibility
• Change in Offender Status
1.
2.
3.
4.
Commits a significant violation.
Changes address.
Returns to the sending state where victim resides.
Departs receiving state under approved plan in subsequent
receiving state.
5. Issued a temporary travel permit in a victim sensitive case.
• Requests for status information
– 5 business days
Rule 3.108(b)
Supervision Responsibilities
Receiving State
Determine Length of
Supervision (Rule 4.102)
Determine Degree of
Supervision (Rule 4.101)
Impose Conditions-Notify
opposite state
(Rule 4.103)
Offender Registration/DNA
Testing (Rule 4.104)
Sending State
Ensure dates are
correct in ICOTS
Consistent with similar
in-state offenders
• Violations
• Special conditions
Include w/ Transfer
Reply or anytime during
supervision
*Notify if unable to
enforce sending state
condition
Shall assist the sending
state
Include w/ Transfer
Request or anytime
during supervision
*Recognize and
address violations of
conditions imposed
by receiving state
(Rule 4.103-1)
Supervision Responsibilities
Receiving State
Impose Application Fee
(Rule 4.107)
Impose Supervision Fee
(Rule 4.107)
Responsible to Collect
Financial Obligations (Rule
4.108)
Progress Reports
(Rule 4.106)
Sending State
Check ICAOS
website-State Pages
AFTER Acceptance
Check ICAOS websiteState Pages
May only notify the
offender of noncompliance
•
•
•
Submit annually
Within 30 calendar
days of request
Notify of NONSignificant Violations
No collection of
supervision fees
allowed after transfer
•
•
•
•
•
Fines
Family support
Restitution
Court costs
Other financial
obligations
Request using specialized CAR
Receiving State Supervision
Return of Offenders
Reason Offender Returning
1. Offenders in Receiving State
with Approved Reporting
Instructions During Investigation
AND
Transfer Request Rejected or
Failed to submit Complete
Transfer Request
2. Offender Requesting to Return
to Sending State
3. Based on Violation
Receiving State
Retains authority to supervise
until directed departure date
or issuance of sending state’s
warrant
Request Reporting
Instructions
Sending State
Direct offender to return-15
business days
Failed to Return-Issue Warrant
Issue Reporting Instructions
- 2 Business Days
- Notify Victim (if applicable)
Retaking Process
Rule 3.103, Rule 3.106 & 4.111
Significant Violations
“violation would rise to level of revocation because…”
Violation
Committed
I Would
Request
Revocation
in my
State.
Significant
Violation
Violation
Committed
I Would
NOT
Request
Revocation
in my State.
NonSignificant
Violation
Rule 1.101 Significant Violation definition
Use of Violation Report
• Report a “significant violation”
– Recommending revocation of supervision
• Ask for retake/return
• Designed to enforce retaking rules
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
Discretionary Retaking
• Sending State retains authority to retake or order
the return of an offender 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
“Warrant”
• Issued by either the sending or receiving
state
• SHALL be entered in the NCIC Wanted
Person File with a national pick-up radius
No Bail or Other Release Conditions
Rule 5.111
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
www.interstatecompact.org
Interstate Compact Resource
Courts
Jail
Administrators
Parole Boards
Community
Corrections
Interstate
Compact
Office
Other
Executive
Agencies
State Compact Offices
• Process & review managed compact activities
–
–
–
–
Transfer Requests
Reporting Instructions
Violations
Replies
• Training Resource
– Officers, Prosecutors, Judges, Jails, Parole Boards
Rule 2.101
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
Training & Help
ICAOS Website
www.interstatecompact.org
• ICOTS LIVE
– Sign up with a ICAOS
website user account
• Knowledge Base
– FAQ
– How-to’s
ICOTS Knowledgebase FAQs
Training Opportunities
ICAOS Training Series
• 101-Transfer & Reporting Instructions Eligibility
• 102-Transferring Supervision
• 103-Supervision in the Receiving State
• 104-Mandatory Retaking for Significant
Violations
• 105-Mandatory Retaking for New Violent or
Felony Crimes & Absconders apprehended in
the Receiving State
• 106-Probable Cause Hearings