1. Interstate Compact for Adult Offender Supervision
The Only Way to Go…
Interstate Compact for Adult Offender Supervision
ICAOS Rules Training
Presented by: Breana Beach
& Sarah Payton
[Revision 1/1/2016-Includes Rules Effective March 1, 2016]

2. Training Objectives What triggers the Compact?
Overview of Transfer Process
Supervision Responsibilities
Retaking Reasons & Requirements
Resources

3. 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

4. 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.

5. What Triggers the Compact?
An Offender subject to Supervision who wishes to Relocate to another state

6. “Offender” Adult who commits a criminal offense AND
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“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

7. “Supervision” Has 2 distinct criteria:
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“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.

8. 4/20/2018
“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. 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!

10. 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

11. 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 offense 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

12. 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

13. Transfer Request Copy of signed Offender Application
Instant Offense DETAILS (Narrative)
Photo
Conditions of Supervision
Financial Obligations (order by Court)
Supervision history (only if currently on supervision for more than 30 calendar days)
PSI (if it exists or is not prohibited for distribution)
If Applicable:
Sex offender registration requirements
Orders of restriction
Known protective orders
Known gang affiliation
Prison discipline and mental health history of last 2 years
Rule details the required elements that must be present in a transfer request packet.
Think about what information you would like to have in order to investigate a home plan. What would you like to know? Examples include: the offender is spanish speaking, …….
Rule 3.107

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
>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. 4/20/2018
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. 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
For incarcerated offenders requesting to relocate upon release, applications can be submitted within 120 days prior to the planned release date. If the release date changes or is withdrawn, the sending state is required to notify a receiving state immediately.

18. Investigation Period
45 Calendar days following receipt in the Receiving State’s Compact Office
Rule 3.104

19. Travel Exceptions during Investigation Period
Offender qualifies for Reporting Instructions NEXT SLIDE
Border State Situations-Medical Appointments/Outpatient Treatment or Employment
Must return daily
Travel limited to appointment or employment
Inform via the Transfer Request
Travel is limited to performing job and offender must return to sending state daily
No travel during non-working hours
Transfer request shall include notification to receiving state
Rule , , 3.102, & 3.106

20. Reporting Instructions
Offender must qualify for Reporting Instructions
Pending Transfer Investigation
No Travel to Receiving State
Advisory Opinion & : If an offender is in a receiving state prior to acceptance, the Receiving State can properly reject the request for transfer.

21. 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

22. 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

23. Approved Transfer Reply
Receiving State’s Compact Office Transmits Reply
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
View any comments provided in the Transfer Reply by selecting the Transfer Reply link
No pdf peeking!
If you’re the sending state, once approval, you can send the NOD at this time

24. 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

25. Supervision Responsibilities
Receiving State
Sending State
Determine Length of Supervision (Rule 4.102)
Ensure dates are correct in ICOTS
Determine Degree of Supervision (Rule 4.101)
Consistent with similar in-state offenders
Violations
Special conditions
Impose Conditions-Notify opposite state
(Rule 4.103)
Include w/ Transfer Reply or anytime during supervision
*Notify if unable to enforce sending state condition
Include w/ Transfer Request or anytime during supervision
*Recognize and address violations of conditions imposed by receiving state (Rule )
Offender Registration/DNA Testing (Rule 4.104)
Shall assist the sending state

26. Supervision Responsibilities
Receiving State
Sending State
Impose Application Fee (Rule 4.107)
Check ICAOS website-State Pages
Impose Supervision Fee (Rule 4.107)
AFTER Acceptance
No collection of supervision fees allowed after transfer
Responsible to Collect Financial Obligations (Rule 4.108)
May only notify the offender of non-compliance
Fines
Family support
Restitution
Court costs
Other financial obligations
Progress Reports
(Rule 4.106)
Submit annually
Within 30 calendar days of request
Notify of NON-Significant Violations
Request using specialized CAR

27. Receiving State Supervision
Create activities in ICOTS from the offender profile.

28. Return of Offenders
In Receiving State During Investigation with Approved Reporting Instructions AND Transfer Request Rejected or Failed to submit Complete Transfer Request
Offender’s Request to Return
Based on Violation: Retaking Process
Rule allow return via reporting instructions in lieu of retaking

29. Workflow for ALL Returns
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Workflow for ALL Returns
Receiving State
Request RI's
NOD & CCN upon departure
Supervisory Authority Ends
Sending State
Respond to RFRI (2 days)
NOA confirm arrival
Failed to arrive? Issue Warrant
CCN Response
CASE CLOSED

30. Significant Violation
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.
Non-Significant Violation
To make sure you are reporting a true “Significant Violation” you want to make sure your violation “adds up”. What we mean by that is that the violation committed must be something you would request revocation in your state for and anything you would NOT request revocation for is not considered significant.
Rule Significant Violation definition

31. Use of Violation Report
Report a “significant violation”
Recommending revocation of supervision
Ask for retake/return
Designed to enforce retaking rules
Purpose of Violation Report as currently deigned.
Recommendation should match what action the receiving state would like from the sending state

32. “violation would rise to level of revocation because…”
Violation Reports
Receiving State
Sending State
Submit Violation Report within 30 calendar days of discovery of violation
Include Supporting Documentation
Police reports
Toxicology reports
Preliminary findings
Details/Status of infraction
Provide recommendation for action the Sending State may take
Ensure ‘Availability’ Status is correct
Respond within 10 business days
“violation would rise to level of revocation because…” 
Rule 4.109

33. Be sure to use addendums for ALL subsequent violation correspondence
Violation Reports
Receiving State
Sending State
Be sure to use addendums for ALL subsequent violation correspondence

34. Absconder Violation Responsibilities
Abscond means to be absent from the offender’s approved place of
residence or employment and avoiding supervision
Receiving State
Sending State
Offender not located after at least completing the following activities:
Conducting a field contact at the last known place of residence;
Contacting the last known place of employment; if applicable;
Contacting known family members and collateral contacts.
Submit Violation Report
Submit Case Closure
Issue Warrant upon receipt
Rule

35. Receiving State requests retake &:
Mandatory Retaking
Receiving State requests retake &:
Mandatory Retake?
Sending State Action
Report of 1-2 significant violations No
Respond with action/non-action to be taken
Report of 3rd significant violation
Yes
Issue warrant OR Order offender to return within 15 business days
May ask for PC Hearing
Conviction of new felony or violent crime
Issue warrant
If serving a new sentence of incarceration for the new crime-sending state may hold violation hearing
Requires approval of authority and offender
See Rule
“Absconder” apprehended in receiving state on sending state’s warrant
Warrant previously issued per Rule
Jim: Compact Math
Receiving states should seriously consider which offenders they recommend for retake under this rule after the commission of only one significant violation. This rule, as under Rules and 5.103, start with a “request from the receiving state,” so the request doesn’t always have to be made and all circumstances surrounding the offender and the violation should be considered.
Training Note: Stress the part of this rule that relies on a “conviction” for the retake to be mandatory and that the conviction can be either a misdemeanor or felony and that the “violent crime” will be determined by the receiving state and that this rule applies to all “offenders” who may be convicted of a violent crime, regardless of the instant offense conviction. Again, this rule relies on a “request from a receiving state” and not all circumstances will result in a request to retake. For example, an offender gets convicted of a violent crime while under supervision in the receiving state but receives probation supervision. The receiving state may determine that the offender should remain in the receiving state for the local supervision. The sending state can still be notified of the conviction but not asked to retake. Of course, the sending state can still decide to retake under Rule
In terms of

36. 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 &
Retaking requires a warrant and detainer. You also have the option to order the return of the offender unless the receiving state has asked for you to retake under one of the mandatory retaking reasons.

37. 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

38. 4/20/2018
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.

39. 4/20/2018
Questions