1. ICAOS Training
104-Reporting Behavior Requiring Retaking (Rules & 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 & – 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.

2. 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

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

4. 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

5. “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 definitions

6. ‘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!

7. 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 Behavior Requiring Retaking definition

8. 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

9. 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?

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

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

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

13. 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.

14. Probable Cause Information
Provide PC Status
PC Training Session Available
Establishing Probable Cause per Rule 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 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

15. 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

16. 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.

17. 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.

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

19. 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

20. 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.
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.

21. 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.

22. 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
“Absconder” apprehended in receiving state on sending state’s warrant
Warrant previously issued per Rule
TOMORROW’S TRAINING
Receiving states should seriously consider which offenders they recommend for retake under this 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

23. 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 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.

24. 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

25. 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

26. “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

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

28. 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

29. 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

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

31. 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.

32. 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

33. 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

34. 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.

35. 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

36. Questions