1. ICAOS Training 101-Transfer & Reporting Instructions Eligibility
4/13/2018
ICAOS Training
101-Transfer &
Reporting Instructions Eligibility
[Revision 5/1/2017-Includes Rules Effective 6/1/2017]
Be Ready for a Test at the End.

2. 4/13/2018
ICAOS Training Series
101-Transfer & Reporting Instructions Eligibility
102-Transferring Supervision
103-Supervision in the Receiving State
104-Reporting Behavior Requiring Retaking
105-Mandatory Retaking for New Violent or Felony Crimes & Absconders apprehended in the Receiving State
106-Probable Cause Hearings

3. 1st Step: Determine Eligibility &
Cycle of a Compact Case
Transfer Request
Transfer Reply
Notice of Departure
Notice of Arrival
Supervision in Receiving State
Case is closed
1st Step: Determine Eligibility &
Reason for Transfer!
Today’s training covers the ‘pre-work’ for a compact case. Prior to requesting transfer of supervision to another state, the sending state determines if the offender is eligible for transfer and the reason for transfer. Today’s session covers ICAOS rules for eligibility and reasons for transfer and qualifications for reporting instructions.

4. Training Objectives Eligibility Criteria
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Training Objectives
Eligibility Criteria
Definition of ‘Offender’
Definition of ‘Supervision’
Offenses covered
Mandatory versus Discretionary Acceptance
Reporting Instructions Criteria
Offenders must qualify for reporting instructions

5. Purpose of ICAOS Promote Public Safety Protect the Rights of Victims
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Purpose of ICAOS
Promote Public Safety
Protect the Rights of Victims
Effective Supervision/Rehabilitation
Control Movement of Offenders
Provide for Effective Tracking

6. The Interstate Compact for Adult Offender Supervision
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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?
All jurisdictions including the Courts, Parole Boards, community corrections & other criminal justice agencies are subject to ICAOS Rules.

7. What Triggers the Compact?
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What Triggers the Compact?
No state shall permit an offender who is eligible for transfer under this compact to relocate to another state except as provided by these rules.
Rule 2.110
No State Shall permit an offender who is eligible for transfer under this compact to relocate to another state except as provided by these rules.
The clear meaning of this rule is if an offender meets the eligibility criteria of the compact they SHALL NOT relocate to another state without the receiving states permission.
No offender has the right to transfer. It is always at the discretion of the sending state.

8. 4/13/2018
“Relocate”
“Relocate” means to remain in another state for more than 45 consecutive days in any 12 month period.
Rule definitions-Rule 2.110
Relocate is defined by ICAOS Rules as “to remain in another state for more than 45 Consecutive days in any 12 month period.”
Rule makes a clear statement that any offender under supervision that moves across a state line and remains there for more than 45 consecutive days in any 12 month period must be transferred under the compact.

9. “Offender” Adult who commits a criminal offense AND
4/13/2018
“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
An offender is someone subject to supervision and meets the eligibility requirements

10. “Supervision” Has 2 distinct criteria:
4/13/2018
“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.
The current definition of supervision has been interpreted to require transfer of certain offenders whom the sentencing courts have clearly not intended to be subject to “supervision” as it has been traditionally understood. These include offenders placed on probation as a means to preserve jurisdiction while the offenders pay court-ordered fees, fines, court costs and restitution. BASICALLY: UNSUPERVISED OFFENDERS WHO ONLY OWE MONEY
Since the monitoring and collection of outstanding monies is the sending state’s responsibility under Rule 4.108, regardless of the offender’s location, there is no benefit in requiring transfer of cases, when the only conditions to be satisfied are monetary.

11. Eligible Offender Must Transfer to Relocate
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Eligible Offender Must Transfer to Relocate
Eligible Offenders
Non-eligible Offenders
All Felons
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

12. Eligible Misdemeanants
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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 conviction of driving while impaired by drugs or alcohol
Use or possession of a firearm involved.
Sex offense requiring registration in the sending state
The Compact Rules also address misdemeanants eligible for transfer.
The rule requires that an offender convicted of a misdemeanor must first meet the eligibility requirements of Rule and be sentenced for one year or more of supervision.
In addition, their current offense must meet one of the following conditions:
1.) An offense in which a person incurred direct or threatened physical or psychological harm;
2.) An offense that involves the use or possession of a firearm;
3.) A second or subsequent misdemeanor conviction of driving while impaired by drugs or alcohol;
4.) A sexual offense that requires the offender to resister as a sex offender in the sending state.
Rule 2.105

13. Transfer Requirements
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Transfer Requirements
Decision to transfer is solely at the discretion of the sending state. An Offender shall be eligible and the receiving state shall accept transfer, if the offender:
Has more than 90 days of supervision remaining; and
Has a valid plan of supervision; and
Is in substantial compliance in the sending state; and
Is a Resident of the Receiving State; or
(1) has resident family in receiving state who are willing to assist and have the ability to assist. and,
(2) can obtain employment or has means of support
Rule 3.101
Discretion of Sending State
90 days of supervision remaining
Substantial compliance as determined by the sending state
Valid plan of supervision
Residence
Financial support
Terms and conditions of supervision
Reason & Justification for transfer

14. 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
>>Subject to supervision due to the commission of a felony or certain misdemeanants (See ICAOS rule 2.105) and meets one of the following transfer criteria:
> Resident living in the receiving state at least 1 year prior to the offense & has not intended to establish new residency in another state during that year by remaining in another state for 6 months or longer. This would not apply if offender is incarcerated or on active military deployment.
> Resident Family lives in the receiving state for at least 6 months & has means of support/employment (offender does not have to live with the family member to meet resident family criteria)
>Military deployment (or live with family deployed by the military)
> Involuntary employment transfer to another state as a condition of maintaining employment (or live with family who's employment transfers involuntarily)
> NEW-Veterans referred for medical or mental health services
>Other: Considered at the discretion of the receiving state provided sufficient documentation justifies the transfer
Rule 3.101, &

15. Discretionary Transfers
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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
Successful Completion of Supervision
Public Safety
Rehabilitation of Offenders
Protect Rights of Victims
Rule
Acceptances are likely when information provided supports the purpose of the compact. Good justifications = higher rate of acceptances.

16. 4/13/2018
Transfer Acceptance
Mandatory – if the offender meets the criteria to transfer, the receiving state MUST accept supervision
Discretionary –
Offenders not eligible for mandatory transfer
Sending state must justify “WHY”
Receiving state has the discretion to accept or reject supervision
Rejections must include specific reasons for rejection
Remind again that no offender has the right to transfer.
(with specific reason for rejection)

17. Is there a difference between the criteria for a Transfer Request and the criteria for Reporting Instructions?

18. Reporting Instructions
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Reporting Instructions
Offender must qualify for Reporting Instructions
The receiving state shall request reporting instructions, unless offender is under active criminal investigation or is charged with a new criminal offense.
The offender shall remain in the receiving state until receipt of reporting instructions.
The sending state shall grant the request and provide reporting instructions no later than two business days
In victim sensitive case, provisions of Rule (Victim notification) must be followed prior to granting reporting instructions.
No travel pending approval or RIs with the exception of (living in the RS at sentencing, daily commuting for existing job, medical/treatment appts)-the 102 transferring supervision talks more about this

19. Reporting Instructions for Sex Offenders
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Reporting Instructions for Sex Offenders
5 business days to respond
Invalid residence – may deny Reporting Instructions
Travel permits are NOT permitted w/o approved Reporting Instructions
This rule allows for the receiving state time to investigate the residence and reduce rejections of transfer requests due to residence violations and invalid plans of supervision.
Rule

20. Living in Receiving State vs. Compact Definition of Resident
Mandatory RI’s for Living in Receiving State
Mandatory Transfer for ‘Resident’
The offender currently lives in the receiving state when sentenced to probation in the sending state and needs to go home after sentencing.
The offender must have lived in the receiving state for at least one continuous year prior to committing the offense in the sending state

21. Notices of Departure & Arrival
Fastest Processes in ICOTS!
Sending State
Receiving State
NOD when offender departs
Notice of Arrival when offender arrives and reports as instructed.
Officer becomes the ‘supervising user’ in ICOTS
Notice of Failure to Report if offender failed to report within 5 business days after departing sending state.
A receiving state may withdraw its reporting instructions if the offender does not report to receiving state as directed and shall immediately notify sending state
Rule & 4.105

22. 4/13/2018
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.

23. Transfer of Offenders Advisory Opinion 3-2004 Advisory Opinion 9-2006
4/13/2018
Transfer of Offenders
Advisory Opinion
Once an application has been made under the Compact an offender may not travel to the Receiving State without the Receiving State’s permission.
Advisory Opinion
States which allow eligible offenders to transfer to the receiving state prior to the investigation being completed are in violation of the Compact Rule 3.102(b) & Rule 2.110
ICAOS Advisory Opinion addresses the issue of travel pending a reply to a transfer request. Once a transfer application has been submitted, the sending state shall not allow the offender to travel to the receiving state without permission via approved reporting instructions.
The only exception to Rule is if an offender meets the criteria under Rule or Rule which are discussed in the Transfer of Supervision Module.
Line officers should know that when they allow an offender who meets the eligibility criteria under the compact to travel to another state prior to the receiving state conducting an investigation and submitted an acceptance they are in violation of the rules of the Compact unless the offender meets the exception criteria under Rule or Rule
These rules have statutory authority and take precedence over any conflicting state law. Violations could place the officer at risk for potential liability.

24. 4/13/2018
Scenario #1
The sentencing court in my state has sentenced an offender to “informal probation” (bench probation) on a felony conviction for POSSESSION OF A CONTROLLED SUBSTANCE which includes conditions of community service work and counseling. Because the offender has been placed on informal probation to the court, this case does not fall under the transfer requirements of the Interstate Compact.
True
False
False- highlight the definition of offender and supervision for eligibility requirements.

25. 4/13/2018
Scenario #2
I am the supervising officer for a felony offender that has been court ordered to attend substance abuse treatment in an out-of-state treatment facility. Since the program is only three months long and the court has ordered the treatment, I may give him a travel permit that allows him attend the program without triggering the rules of the compact.
True
False
False, highlight “relocate” definition and the 45 consecutive days limit and the fact that court orders of this sort are not valid and in violation of the copmact.

26. 4/13/2018
Scenario #3
An offender commits a crime in the sending state and then moves to another state with the court’s permission during the sentencing process. The offender returns to the sending state for sentencing and receives three years probation. The sending state can mark “resident” as the reason for transfer on the transfer request.
True
False
False. Explain why the offender may qualify for reporting instructions but that does not mean that they also meet the compact definition of resident for purposes of transfer.

27. 4/13/2018
Scenario #4
An offender convicted and sentenced to a three year term of supervision for a misdemeanor DUI/DWI who has a prior misdemeanor DUI/DWI conviction from five years ago, is subject to the Interstate Compact rules.
True
False
True – highlights Rule and the fact that there isn’t a time frame associated between the first and second or subsequent convictions for DUI/DWI

28. 4/13/2018
Scenario #5
Following approved reporting instructions and/or an approved transfer request, the offender departs and the sending state submits a notice of departure in ICOTS. Should the offender fail to report in the receiving state as instructed, the receiving state should:
Submit a compact action request to the sending state advising that the offender has failed to report as instructed.
Submit a Notice of Arrival to the sending state, indicating the failure to report.
Keep the case open until the offender shows up and reports to their officer in the receiving state.
Do nothing. The offender will show up when he is good and ready. B

29. 4/13/2018
Questions