1. ICAOS Compact Staff Training
7/21/2018
ICAOS Compact Staff Training
November 2016
Anne, so pleased with turnout for amendment training want to extend to all compact staff this type of training
Expose compact staff to the big picture
Interstate is all we do, but a small piece of what a field officer does.

2. Training Objectives Approved Amendments & Implementation Plans
7/21/2018
Training Objectives
Approved Amendments & Implementation Plans
Reviewing Violation Reports
Review of last year amendments:
Discretionary Rejections
Return RIs
Resources
New Training Module for Compact Staff
Top topic based on registration

3. Impact for Amendments Promotes single standard of supervision
Affirms the authority of a receiving state to impose conditions, supervise and sanction
Requires documentation of supervision practices and justification for retaking
Sustain violations in the sending state
Supports EBP and behavioral change
Tracy

4. Amendment Overview Rule 1.101 Rule 3.108 Rule 4.101 Rule 4.103
ICOTS impact $133k
New data elements-increase reporting capabilities for supervision techniques
Offender Application for Interstate Compact Transfer
Offender Violation Report
Progress Report – redesign as a ‘managed process’
Tracy
These will not be presented in order but rather by topic
Behavior requiring retaking
Conditions
Supervision responsibility
Progress Report
Violation Report-Retaking
ICOTS changes

5. Highlights for Amendments
7/21/2018
Highlights for Amendments
Effective Date: TBD (tentative May/June 2017)
Nov Training
Introduce Amendments and Training Plans
Upcoming Training
Regional DCA meetings
Compact Staff Training
ICOTS Training (4-6 weeks prior to implementation)
Keep conversation going
ICOTS piece will be easy. Screens will require and prompt for more documentation

6. Highlights for Amendments
7/21/2018
Highlights for Amendments
Share what your state is doing to prepare
Most concepts can be implemented now
Better documentation
Describe what actions taken to address non-compliant behavior
Incentives & Sanctions
Get in touch with your field!
Ask a few states to talk about positive experiences when talking with stakeholders about the revisions. More in line with what field is doing

7. NC Scenario Offender from IN supervised by NC in Aug 2015
Crime: Property damage (3years probation)
Sept 2015-Offender is testing positive – refer for SA assessment.
Oct. -missed a few appointments, not complying with CS hrs, not working – PO can impose quick dip (2-3 days in jail)
Nov/Jan-continued technical non-compliance – more quick dips
Feb 2016 – continued technical non-compliance -NC decides to report non-compliance to their NC court
All of the case/supervision details are provided to the court who imposes the sanction
NC court orders IN offender to CRV (Behavior Mod Program)
Up to 90 days confinement (sanction, not revocation!)

8. Practice, Reinforce, Require
7/21/2018
NC Scenario
NC PO send a Progress Report to Indiana informing them the offender is being sanctioned with all the details and the sanctioning consists of jail time making the offender unavailable for supervision
May 2016-CRV complete & offender is released.
(during this time, PO is still imposing additional sanctions)
Jul Continues to not comply, court orders a 2nd CRV
Oct 2016-CRV complete & offender is released.
Continues not to comply, CRV is no longer an option. (both 90 day periods of confinement are used)
OVR to sending state for retake and recommendation for revocation-w/ comprehensive DOCUMENTATION!
Practice, Reinforce, Require

9. Rule 4.101
Receiving state’s responsibility to supervise compact offenders consistent with local offenders
Most offenders qualify as resident/resident family: RS is where they live

10. Offender Application/Waiver
Transfer is a privilege
Manner of supervision determined by the receiving state

11. Rule Definitions
‘Behavior requiring retaking’ replaces ‘significant violation’

12. ‘Behavior requiring retaking’
Lack of consistency for violation reporting
Importance of DOCUMENTATION
Incentives & Corrective Action
Distinguish between non-compliant behavior and violation
Rules Victim notification and 5.108, simple definition replacement

13. Rule Definitions
It’s not about ‘Special conditions’…..

14. Progress Report
Progress Reports sent for a purpose rather than fulfilling a due date!
Ability to add new conditions imposed
Documentation on compliant & non-compliant behavior that DOES NOT require retaking
Report New Arrest

15. Rule 4.109-Violation Report Requiring Retaking
Documentation
Including incentives, corrective actions and graduated responses (supervision techniques)
Discovery or determination
Confirmed or established responses are exhausted-supported by documentation when applying the rule
TOTAL PICTURE!

16. Violation Report Requiring Retaking
Replaces ONLY ‘significant violation’
Document non-compliant behavior LEADING UP TO the behavior requiring retaking
Will only change ‘significant violation’ section. Absconder and new conviction remain the same

17. Violation Report Review

18. 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?
If states implement these in their review processes now, transition easier

19. 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

20. Transfer Request Formal acceptance 7/21/2018
Receiving state----responsible for maintaining ‘plan of supervision’

21. Reason & Justification
7/21/2018
Reason & Justification
Reason
Justification
Mandatory
Resident or Resident Family 99% of Mandatory Transfers
Discretionary
Successful Completion of Supervision
Public Safety
Rehabilitation of Offenders
Protect Rights of Victims
Valid Plan of Supervision
Why is the offender going to be more successful in the Receiving State
Describe support system
Means of support
Living situation
Verified Information
Sending State Be sure information is VERIFIED…..”Offender says” is not verification!
Ensure appropriate reason is selected
Not sure?? If the offender truly needs to be in the RS, GO ‘Discretionary’ and FULLY explain!
Sending back to the field for adjustments is a training opportunity

22. Outgoing Transfer Review
7/21/2018
Outgoing Transfer Review
Good Review/Justifications = Less Rejections!!
Review the offenses between ICOTS and your in-house database
Open EACH attachment & Review the PROFILE
Is the TR/RI reason legitimate under the rules? 
Are they really a resident?  
Is the application/waiver signed & populated? 
*Review the offenses between ICOTS and your in-house database to make sure the offenses are listed correctly and none have been missed.
*Open each attachment to make sure it pertains to the offender in question
*Is the TR/RI reason legitimate under the rules?  Are they really a resident?  
*Is the application/waver signed?  Address/name/phone populated in paragraph #1?
*TR/RI rejections - is the reason for the rejection legitimate?

23. Training Tips Sending State Field Staff Compact Office Receiving State
Emphasize importance of good justifications
Incorporate purposes of the compact
Compact Office
Review, Review, Review!!
Justification warrants an acceptance?
Receiving State
Field Staff
Reject with detailed reasons for rejection
Compact Staff
Review, Review, Review!!
Make sure rejections are detailed specifying the deficiencies of the justification.
Discretionary assessments show that states which do a good job reviewing outgoing disc transfers and only send transfers with good justifications have a much higher acceptance rate

24. Denial MUST address deficiencies in the justification. BE SPECIFIC!
7/21/2018
Rejections
Denial MUST address deficiencies in the justification. BE SPECIFIC!
Incomplete
Users are asked ‘Yes’ or ‘No’ Questions when adding attachments such as PSI, Supervision History, etc.
Sending states should make sure the details are there. If a document doesn’t exist, information can always be typed in. For example, explaining crime details, justification for transfer, etc. Some states however truly don’t complete PSI’s and should not be required to explain that on every transfer. The user is asked the questions and the receiving state should take into consideration that not all information is going to be the same from every state. You can always double check using a CAR associated with the TR, but avoid the back and forth of automatic rejections.
Receiving State obligated to REVIEW all REJECTIONS!
Clarification needed?
CALL or user CARs!!
DO NOT ‘Send Back’
Reject with detail

25. Discretionary Assessment
7/21/2018
Discretionary Assessment
In FY2015, the states processed 10,496 discretionary transfers. The national acceptance rate for discretionary transfers is 57% (6,032). Included in the accepted cases are 745 cases (7%) which were initially rejected and the sending state resubmitted resulting in a subsequent acceptance. The national number of rejected cases was 4,464 (43%).

26. 7/21/2018

27. Reporting Instructions Returning to Sending State
Request to return
Rejected transfer request after approved reporting instructions
Do not request when it is appropriate for the offender to remain in the receiving state pending resubmission of a new transfer request
Returning in lieu of retaking for violation

28. 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
Request within 7 business days of event triggering the return: Rejection, Violation Response indicating return in lieu of retaking
CASE CLOSED

29. Enhanced Tracking
Tracks return for ALL offenders on active supervision to the sending state
Using same ICOTS functionality
CONTINUOUS Supervision!
Emphasizes communication
Both states know where the offender is leaving from and going to
RFRI tip: If unsuccessful in obtaining offender address, RS may enter the SS local field office.
The SS’s response should provide specific reporting/return instructions.
Being party to the compact ALL states are responsible in promoting public safety, tracking offender movement
Tracking offender movement is everyone’s job involved!

30. 7/21/2018
DCA Mentoring Program
New Commissioner request to resolve issues or technical & training assistance
Pre-program online assessment
streamlined process
Identify goals on the front end

31. 7/21/2018
Resources
Mindy

32. 7/21/2018
ICAOS Support

33. Compact Office Training Module
7/21/2018
Compact Office Training Module
9 topics so users can customize ICOTS training for compact offices and administrators

34. 7/21/2018
Questions