ICAOS Rules Training [Revision 1 /1/2017- Includes Rules Effective - PowerPoint Presentation

ICAOS Rules Training[Revision 1/1/2017-Includes Rules Effective 3/1/2018]

Cycle of a Compact Case

Purpose of ICAOSPromote Public SafetyProtect the Rights of VictimsEffective Supervision/RehabilitationControl Movement of OffendersProvide for Effective Tracking

The Interstate Compact for Adult Offender SupervisionCourts, Parole Boards, Community Corrections & other Executive Agenciessubject to ICAOS rulesMUST enforce & effectuate the CompactDo you know your state’s statute?

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

“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

“Offender” Adult who commits a criminal offense ANDIs subject to supervision; Released to the community under jurisdiction of:CourtsParoling AuthoritiesCorrectionsOther Criminal Justice Agencies; ANDmeets eligibility requirementsRule 1.101 definitions

“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. Rule 1.101 definitions

Eligible OffendersNon-eligible OffendersAll FelonsCertain Misdemeanants (Rule 2.105) Next Slide Certain Misdemeanants (Rule 2.105) 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 MisdemeanantsSentence = 1+ years of supervisionAND Instant Offense includes one or more: Person incurred direct or threatened physical or psychological harm. 2 nd 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 Rule 2.105

Transfer RequirementsDecision 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; andIs 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 supportRule 3.101

Reasons & Justification for TransferResident: inhabited one year prior to offenseResident Family: Parent, grandparent, aunt, uncle, adult child, adult sibling, spouse, legal guardian, or step-parentInhabited receiving state for 180 calendar daysEmployment Transfer: At the direction of employer as a condition of maintaining employmentOver 98% of MANDATORY transfers are for Resident or Resident Family! Rule 3.101, 3.101-1 & 3.101-2

Discretionary TransfersProvide 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 compactSuccessful Completion of SupervisionPublic SafetyRehabilitation of Offenders Protect Rights of Victims Rule 3.101-2

Transfer AcceptanceMandatory – if the offender meets the criteria to transfer, the receiving state MUST accept supervisionDiscretionary – Offenders not eligible for mandatory transferSending state must justify “WHY”Receiving state has the discretion to accept or reject supervision Rejections must include specific reasons for rejectionRule 3.101 & 3.101-2

Transfer RequestCopy of signed Offender ApplicationInstant Offense DETAILS (Narrative)PhotoConditions of SupervisionFinancial 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 3.107

MandatoryResident or Resident Family 99% of Mandatory TransfersDiscretionarySuccessful Completion of SupervisionPublic SafetyRehabilitation of Offenders Protect Rights of Victims

Valid Plan of Supervision-Required for ALL Transfers!Why is the offender going to be more successful in the Receiving StateDescribe support systemMeans of supportLiving situationVerified Information

Accurate/RelevantDetailed (no abbreviations)VERFIED!!Use the justification to illustrate how the reason for transfer and plan of supervision in the receiving state was verifiedEnsure information provided is:

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 definitionSubject to supervisionRequired to register in EITHER the sending state or receiving state Rule 1.101 definitions

Transfer Request-Sex OffenderIf Available:Assessment InformationSocial HistoryInformation relevant to the offender’s criminal sexual behaviorLaw Enforcement ReportVictim InformationDemographicsStatementSupervision/Treatment plan - current or recommended Rule 3.101-3

Pre-Release TransferSubmit request within 120 calendar days prior to release dateSending state shall notify receiving state if the planned release date changesor if release date has been withdrawn or denied Rule 3.105

Transfer Request Last Chance to Delete

Transfer RequestEmail is sent to Supervisor for review

Transfer RequestCheck activity status using the Compact Workload Per Rule 3.104 a Transfer Request must be responded to within 45 days

Investigation Period45 Calendar days following receipt in the Receiving State’s Compact OfficeRule 3.104

No Travel Prior to Transfer ReplyThe 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

ExceptionsOffender qualifies for Reporting Instructions NEXT SLIDEBorder State Situations-Medical Appointments/Outpatient Treatment or EmploymentMust return dailyTravel limited to appointment or employmentInform via the Transfer Request Rule 3.101-1, 3.101-3, 3.102, 3.103 & 3.106

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

Offender must qualify for Reporting InstructionsRule 3.101-1 (new documentation requirements!!), 3.101-3, 3.103 & 3.106

Living in Receiving State vs. Compact Definition of ResidentMandatory RI’s for Living in Receiving StateMandatory 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

Reporting Instructions for Sex Offenders5 business days to respondInvalid residence – may deny Reporting Instructions Travel permits are NOT permitted w/o approved Reporting InstructionsRule 3.101-3

Reporting Instruction TimeframesReceiving StateSending State2 business days to respond to all RFRIs5 business days for sex offendersSend timely Transfer Request15 business days 7 business days after approved expedited reporting instructions Rule 3.101-1, 3.101-3, 3.103 & 3.106

Transfer Request Reply Access activity from Assistants, Compact Workload or Offender Profile Email is sent to user assigned

Transfer Request ReplyOffender Profile: Action Items

Transfer Request Reply

Transfer Request ReplyAccepted Rejected Rule 3.104-1 -Valid for 120 calendar days -Be specific

Reject an Incomplete Transfer RequestBe specific on what is missing from the Transfer Request.Sending State caneasily update the TROffenders in the receiving state with approved reporting instructions may remain there if a new Transfer Request is submitted within 15 business days Compact Office Function!!

Improper RejectionsOffenders with disabilities (Rule 2.108)Offenders with pending charges (obtained before or during investigation period; AO 8-2005)Incorrect ICOTS user assignedWrong County/UnitSpecialized OfficerUndocumented immigrant (AO 13-2006)Section 8 housing (AO 2-2007)Discretionary Cases without addressing the justification (3.101-2)

Transfer Request Reply

Transfer Request Reply

Approved Transfer ReplyReceiving State’s Compact Office Transmits ReplyEmail is generated to sending state usersCompact Office, PO Supervisor & POActivity History (Offender Profile) reflects the decision of the Transfer ReplySending state should be sure to review the pdf and attachments for details

Additional Document RequestsReceiving StateSending State May request documents necessary for supervision upon acceptance Transfer Reply or Compact Action Request Must provide documents within 30 calendar days Rule 3.107

Notices of Departure & ArrivalFastest Processes in ICOTS!Sending StateReceiving 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. Rules 3.104-1 & 4.105

15 days official March 1, 2018 (currently 10 biz days)Victim’s Right to be HeardVictim’s can contact Sending State’s compact office.Victim’s have 15 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 VictimsBoth States’ responsibilityChange in Offender StatusEngages in behavior requiring retaking (Violation Report)Changes addressReturns to the sending state where victim residesDeparts receiving state under approved plan in subsequent receiving stateIssued a temporary travel permit in a victim sensitive caseRequests for status information5 business days Rule 3.108

Receiving state’s responsibility to supervise compact offenders consistent with local offendersINCLUDING programs, sanction/interventionsDo EVERYTHING you would for instate offender EXCEPT extend supervision or revoke Rule 4.101

ICAOS Requirements Excerpt from Benchbook ‘Participation in the ICAOS ensures not only the controlled movement of offenders under community supervision, but also that out-of-state offenders will be given the same resources and supervision provided to similar in-state offenders including the use of incentives, corrective actions, graduated responses and other supervision techniques’

Supervision ResponsibilitiesReceiving 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 Conditions Access to rehabilitative programs Impose Conditions- Notify opposite state (Rule 4.103) Include w/ Transfer Reply or anytime during supervision using the Progress Report *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 4.103-1) Offender Registration/DNA Testing (Rule 4.104) Shall assist the sending state

Supervision ResponsibilitiesReceiving StateSending State Impose Application Fee (Rule 4.107) Check ICAOS website-State Pages Impose Supervision Fee (Rule 4.107) AFTER Acceptance Check ICAOS website-State Pages 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) Within 30 calendar days of request Update/Add Conditions of Supervision Notify of compliant & non-compliant behavior Request using specialized CAR

Progress ReportSupervision Update Ability to add new conditions imposedDocumentation on compliant & non-compliant behavior that DOES NOT require retakingReport New Arrest

Managing ConditionsView conditions imposed previouslyAdd new conditions of supervision

Reporting an Arrest or Status of Conditions Report compliance/non-compliance on conditions of supervision Attach documentation

Incentives/Sanctions

Recommendations

Receiving State Supervision

Return of OffendersIn Receiving State During Investigation with Approved Reporting Instructions AND Transfer Request RejectedIf appropriate for offender to remain in receiving state after rejection pending a new Transfer Request DO NOT request return RI’sOffender’s Request to ReturnAfter Violation Report: Retaking Process for behavior requiring retaking (not a new crime!)Rule 5.103 allows return via reporting instructions in lieu of retakingBe sure to include REASON for Return!!

Workflow for ALL ReturnsReceiving StateRequest RI'sSpecify reason for return!NOD & CCN upon departureSupervisory Authority EndsSending StateRespond to RFRI (2 days)NOA confirm arrivalFailed to arrive? Issue WarrantCCN ResponseCASE CLOSED ALWAYS option-Transferred Offender Returning to Sending State!

Reporting ViolationsREQUIRING RetakingViolation Report = Retaking!

Behavior Requiring Retaking“behavior would rise to level of revocation because…”  Rule 1.101 Behavior Requiring Retaking definition

RECEIVING STATE would request revocationRevocation is likely Revocation is NOT simply reporting a condition violation to the court. Revocation: Sentencing authority terminates supervised release and incarcerates the offender Court/Parole Board in your jurisdiction actually revokes for similar behavior Options to address behavior have been EXHAUSTED!

Use of Violation ReportReports “behavior requiring retaking”Recommending revocation of supervisionDOCUMENTATION!Enforces retaking rules

Violation ReportsReceiving StateSending StateSubmit Violation Report within 30 calendar days of discovery or determination supervision is no longer a viable optionInclude Supporting Documentation Police reports Toxicology reports Preliminary findings Details/Status of infraction Incentives/Sanctions applied Ensure ‘Availability’ Status is correct Respond within 10 business days “ behavior would rise to level of revocation because …” Rule 4.109  

Violation Reporting ConsiderationsThe sending state is only going to know what you tell themUse the same detail if reporting to your own authoritiesSpecifics on how the behavior was determined to be revocableHas the option of working with the offender (e.g. intervention) been exhausted?

Violation Report ChecklistViolation reported is revocable behavior “violation would rise to level of revocation because…”  Reported timelyRequiring return/retakeAvailability status accurateEnsure no pending charges existSupporting documentation included“Story” provided on why supervision is not successfulReview offender profile to ensure consistency/accuracy TOTAL PICTURE!

Violation ReportsReceiving StateSending State Be sure to use addendums for ALL subsequent violation correspondence

Absconder Violation ResponsibilitiesReceiving StateSending StateOffender 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 Abscond means to be absent from the offender’s approved place of residence or employment and avoiding supervision Rule 4.109-2

Mandatory Retaking Receiving State requests retake &: Mandatory Retake? Sending State Action Report of ‘Behavior Requiring Retaking’ Yes Issue warrant OR Order offender to return within 15 business days May ask for PC Hearing Conviction of new felony or violent crime Yes 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 5.101-2 “Absconder” apprehended in receiving state on sending state’s warrant Yes Warrant previously issued per Rule 4.109-2 May ask for PC Hearing

Discretionary RetakingSending 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 satisfiedoffender released to supervision for new offensesending and receiving state mutually agree to retake/return Rules 5.101 & 5.101-1

Case Closure NoticeDate of discharge (termination) of supervisionNotice to sending state of the absconding of the offender in the receiving stateOVR must precede closureNotice to sending state of incarceration of offender for 180 calendar days or longer; include:Judgment and sentencing documentsInformation about the offender’s locationNotification of deathReturn to sending stateCannot close during retaking Rule 4.112 The sending state must submit a case closure reply within 10 business days of receipt

Questions