ICAOS Training 104-Reporting Behavior Requiring Retaking (Rules 4.109 & 5.103) [Revision 12/1/2017-Includes Rules Effective 3/1/2018] Be Ready for a Test at the End. During this Mini Training we will focus only on Rules 4.109 & 5.103 – some other rules will be discussed briefly, but for more detail training on the other rules either attend the complete two day rules training or other mini trainings directly related to that rule.

10/13/2018 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

Training Objectives Defining “behavior requiring retaking” Receiving State responsibilities Sending State responsibilities Retaking process

Receiving state’s responsibility to supervise compact offenders consistent with local offenders INCLUDING programs, sanction/interventions Do EVERYTHING you would for instate offender EXCEPT extend supervision or revoke Most offenders qualify as resident/resident family: RS is where they live Rule 4.101

“Behavior Requiring Retaking” means an act or pattern of non-compliance with conditions of supervision that could not be successfully addressed through the use of documented corrective action or graduated responses and would result in a request for revocation of supervision in the receiving state. Documented means it is REQUIRED to be explained in ICOTS Rule 1.101 definitions

‘Behavior requiring retaking’ Importance of DOCUMENTATION Incentives & Corrective Action Distinguish between non-compliant behavior and violation Determination driven by LOCAL POLICY! What the offender did + EVERYTHING attempted to bring offender into COMPLIANCE Back it up!

Unsuccessful Supervision Behavior Requiring Retaking “behavior would rise to level of revocation because…”  Non-Compliant Behavior RECEIVING STATE would request revocation RETAKING DOCUMENTED Unsuccessful Supervision Non-Compliant Behavior Sanctions would be applied to address behavior Address behavior/Provide documentation via Progress Report Be sure to distinguish reporting to the court and revocation. If there are avenues available to address the non-compliant behavior, violation report is not appropriate. Rule 1.101 Behavior Requiring Retaking definition

Options to address behavior have been EXHAUSTED! 10/13/2018 Options to address behavior have been EXHAUSTED! Court/Parole Board in your jurisdiction actually revokes for similar behavior RECEIVING STATE would request revocation Revocation is NOT simply reporting a condition violation to the court. Clarification slide for determining whether you WOULD request revocation in your state. Is this behavior requiring retaking. Revocation is likely Revocation: Sentencing authority terminates supervised release and incarcerates the offender

Violation Reporting Considerations The sending state is only going to know what you tell them Use the same detail if reporting to your own authorities Specifics on how the behavior was determined to be revocable Has the option of working with the offender (e.g. intervention) been exhausted?

Violation Report Requiring Retaking Available in ICOTS after NOA and available only to Receiving State.

Violation Type User is prompted for information based on ‘Violation Type’

Behavior Requiring Retaking Report as either: Single Act/Behavior Continued Behavior Combination of Behaviors Within 30 days Use attachment fields below if needed

Attachments Supporting documentation shall be included Police reports Toxicology reports Preliminary findings Additional information regarding the ‘behavior requiring retaking’ All attachments, if not already attached in probation violations should be attached in this section.

Probable Cause Information Provide PC Status PC Training Session Available Establishing Probable Cause per Rule 5.108 when reporting the violation may speed up the retaking process! When there is a possibility of revocation once retaken/returned, the offender has a RIGHT to a PC hearing near where the alleged violations occurred prior to retaking Establishing Probable Cause per Rule 5.108 when reporting the violation may speed up the retaking process! When there is a possibility of revocation once retaken/returned, the offender has a RIGHT to a PC hearing near where the alleged violations occurred. Ensure Hearing Reports meet requirements of Rule 5.108 PC information can be updated/added, via Addendum to Violation Report

Location & Availability Available for retaking? Yes=there is nothing holding the offender in the receiving state Available = there is nothing keeping the offender in the receiving state and if a mandatory retaking situation, the sending state is obligated to start the retaking process and retake within 30 days of getting their warrant per newly amended rule 5.105 Offender is NOT Available if there are pending Violent Crime or Felony Charges unless states mutually agree See Rule 5.101-1

Recommendation If you would request revocation you want something done with that offender and the matter to come before the appropriate authority, this is the same with the ICAOS violation report form. Mention rule you’re invoking (RULE 5.103) and action expected of the sending state. Sending state can still choose option to order to return in lieu of retaking.

Violation Report Checklist Violation reported is revocable behavior “violation would rise to level of revocation because…”  Reported timely Requesting return/retake Availability status accurate Ensure no pending charges exist Supporting documentation included “Story” provided on why supervision is not successful Review offender profile to ensure consistency/accuracy TOTAL PICTURE! DCAs/compact staff are compliance gate keepers Do not transmit without reviewing all information If your compact office questions it, it will be sent back for corrections/additional information.

Addendum to OVR Updates Violation Record; Use for Violation correspondence DO NOT report new violations on an Addendum

Response to Violation A sending state shall respond no later than 10 business days Response shall include: action to be taken date action will begin estimated completion date Rule 4.109 The Response must arrive in the receiving state within 10 days. If you plan to return the offender make sure to add the three listed items. Rule 4.109

Respond by going to your Compact Workload and search the offender. Response to Violation The Response is automatically generated in ICOTS when a Violation is received. This search will also show you the due date. Email notification will be sent by ICOTS if Response is not completed on time. Response to Violation Report – Allows you to respond to an Offender Violation Report Remember this must be done within 10 days of receiving the report for violation. Work from offender profile/workload-this will make sure you choose the correct offender and don’t duplicate information.

Response to Violation Explain: The user has the ability to select one response. If the sending state requests a PC Hearing, the receiving state will be required to provide the results via an Addendum.

Receiving State requests retake &: 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 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 Warrant previously issued per Rule 4.109-2 TOMORROW’S TRAINING Receiving states should seriously consider which offenders they recommend for retake under this This rule, as under Rules 5.102 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 5.101.

Sending State Responsibilities Under: Rule 5.103 1. Order the Return 2. Retake via Warrant Track using return reporting instructions Next Slide Sending State has 30 days to return offender once offender is in custody solely held on the sending state’s warrant. Sending State should ensure Probable Cause per Rule 5.108 is established prior to retaking when REVOCATION is possible Offender can sign a waiver This training is specific to compact rules, but you also need to be knowledgeable on local policy. PC should be requested when the intent is to revoke. Can also have the offender sign a PC waiver that takes the place of a hearing so long as the offender is aware of his or her rights to the hearing and that waiving the hearing subjects them to retake and possible revocation per said violation. Additional Mini-Trainings are or will be available focusing on retaking and PC hearings.

Return of Offenders in Lieu of Retaking Sending State Report date must be within 15 business days Notify victims if needed Must provide Reporting Instructions Submit NOA Issue warrant if offender fails to return as ordered Receiving State RFRI sent within 7 business days of Violation Response Don’t forget to provide REASON in the request! Responsible for offender until departure Submit NOD

Workflow for ALL Returns 10/13/2018 Workflow for ALL Returns Receiving State Request RI's Specify reason for return! 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

“Warrant” Warrant means: Written order commanding law enforcement to arrest an offender SHALL be entered in the NCIC Wanted Person File with a nationwide pick-up radius NO Bond allowed

Addendum to OVR Response Updates Violation Record; Use for Violation correspondence

Close the ICOTS case once offender leaves the state or retaken via warrant The receiving state is responsible for a returned offender until they close the case in ICOTS. It is essential to close the case as soon as the officer learns the offender has left the receiving state. The offender must be out of the state for a valid closure. You will mark “Retaken by Sending State” as closure option. Rule 4.112

How do I Report Behavior NOT Requiring Retaking? Notify State via Progress Report. Non-compliant behavior NOT requiring retaking should be reported on a progress report

Progress Report Supervision Update Ability to add new conditions imposed Documentation on compliant & non- compliant behavior that DOES NOT require retaking Report New Arrest

10/13/2018 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.

Scenario #1 I am supervising an offender for another state, the offender comes into my office and tests positive for cocaine for the second time. For similar circumstances, I would refer an offender sentenced in my state to a 60 day drug treatment program. However, since this is a compact offender I should submit a violation report and require the sending state to address the behavior in their state. True False Answer is False

Scenario #2 An offender under compact supervision has consistently failed to comply with conditions of supervision for several months. In addition, I have applied several sanctions to address the offender’s behavior over the last few months which have not been successful at changing the offender’s behavior. All of which I reported to the sending state via Progress Reports with detailed documentation. I am now at the point where efforts for addressing the behavior while supervised are no longer feasible and I would request revocation of supervision in my state. A detailed and well documented Violation Report would be appropriate. True False Answer is True

Scenario #3 I sent a violation report requiring retaking/return of an offender back to the sending state. The sending state responds with a decision to order the offender to return in lieu of retaking via warrant. Upon receipt of the violation report response, I must request return reporting instructions within: 2 business days 7 business days 15 business days No required timeframe (b) Once the sending state has informed the receiving state of it’s plans to order the return of an offender in lieu of retaking, the receiving state must request return reporting instructions within 7 business days. The receiving state retains authority of the offender until his or her departure to the sending state.

Scenario #4 I am supervising an offender who has been missing appointments, I would not request a revocation in my state. I am concerned about this continued behavior and want the sending state to know about it, plus I plan to give the offender a sanction. I would report this information on a progress report in ICOTS. True False Answer is True

Questions