compliance reports - interstate compact · web viewa compact case is considered active on an...

Interstate Commission for Adult Offender SupervisionICOTS External Reports

External ICOTS data is used in the development of Compliance Reports (also available for dashboard reporting), Activity Due Date Reports, Activity History Reports and Administrative Reports (e.g. stats on active offenders, cases, etc.). Listed below are reports available on the ICAOS website https://www.interstatecompact.org/icaos-dashboards

Please note, there are reports in ICOTS (non-external) that are important in managing compliance for your state. Those non-external reports are outlined in the last section of this document.

Compliance Reports

1. Compliance Home/SummaryType: Compliance

Description: At-a-glance reports look at overall compliance for your state for the six detailed compliance areas within a specified time-frame.

Purpose: These reports provide a dashboard view of a state’s compliance with comparison to national averages for each compliance area displayed.

Who can run: State responsible for submitting compact activity

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https://www.interstatecompact.org/icaos-dashboards

2. Case Closure ComplianceType: Compliance

ICAOS Rule: Rule 4.112 - Closing of supervision by the receiving state (a)(1) & (c). This rule requires the receiving state to transmit a case closure notice within ten business days of the supervision end date.

Description: The closure report provides a list of cases in which a case closure notice was due within the specified date range. The case closure due date, case closure transmit date and days overdue are included for each case. Reports can be filtered on supervision type, receiving state user, receiving state supervisor or receiving state user’s county. Various charts and graphs depict a breakdown of case closure notices by supervision type as well as monthly compliance over the selected date range. Lists of the worst performing PO’s & Supervisors are also displayed.

Purpose: Submission of a case closure notice indicates the receiving state has ceased supervision under the terms of the compact. This report displays a state’s overall compliance as well as details on user performance and individual compliance.

Who can run: Receiving State

3. Case Closure Reply ComplianceType: Compliance

ICAOS Rule: Rule 4.112 - Closing of supervision by the receiving state (d). The rule requires the sending state transmit a case closure notice reply within ten business days of receipt of the case closure notice.

Description: The closure reply compliance report lists cases in which a closure notice reply was due within the specified date range. The case closure reply due date, case closure reply transmit date and days overdue are included for each case. This report filters on supervision type, sending state user, sending state supervisor or sending state user’s county. Various charts and graphs depict a breakdown of case closure notice replies by supervision type as well as monthly compliance over the selected date range. Lists of

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the poorest performing PO’s & Supervisors are also displayed in the report.

Purpose: Submission of a case closure notice reply indicates the sending state has acknowledged the case closure notice transmitted by the receiving state, ceasing supervision under the terms of the compact. This report displays a state’s overall compliance and provides details on user performance as well as individual compliance.

Who can run: Sending State

4. Requested Progress Report ComplianceType: Compliance

ICAOS Rule: Rule 4.106 (a) - A receiving state shall submit a progress report to the sending state within 30 calendar days of receiving a request.

Description: This report lists cases in which a requested progress report was due within the specified date range. The progress report due date, progress report transmit date and days overdue are included for each case. The report can be filtered on supervision type, sending state user, sending state supervisor or sending state user’s county. Various charts and graphs depict a breakdown of requested progress reports by supervision type as well as monthly compliance over the selected date range. Lists of the poorest performing PO’s & Supervisors are also displayed.

Purpose: Receiving states are required to provide a timely progress report documenting the offender’s compliant and non-compliant behavior when requested by the sending state. This report displays states’ overall compliance, provides details on user performance, and demonstrates individual compliance.


5. Request for Reporting Instructions Reply ComplianceType: Compliance

ICAOS Rules: 3.101-1 (b), 3.101-3 (c)(1), 3.103 (a)(2) & 3.106 (a)(2)(A)-Response to reporting instructions requests shall be submitted within two business days/five days for sex offenders.

Description: This report lists cases in which an RFRI transmission date is within the specified date range. The RFRI sent date, RFRI reply transmit date and business days to transmit are included for each case. The report can be

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filtered on supervision type, sex offender status, receiving state user, receiving state supervisor or receiving state user’s county. Various charts and graphs depict a breakdown of RFRI replies by supervision type as well as monthly compliance over the selected date range. Lists of the worst performing POs and Supervisors are also displayed. Note: Most states respond to RFRI’s at the compact office level.

Purpose: Issuance of reporting instructions allows an offender to proceed to a receiving state pending a transfer investigation due to a qualifying emergency reason. Timely response is required so an offender can proceed, it shifts supervision responsibilities to the receiving state upon the offender’s arrival providing a continuum of supervision. This report displays states’ overall compliance, as well as provides details on user performance and individual compliance.


6. Transfer Reply ComplianceType: Compliance

ICAOS Rule: 3.104 (a)-Receiving state must complete its investigation and respond to a transfer request within 45 calendar days.

Description: This report lists cases in which a transfer reply due date is within a specified date range. The transfer request sent date, transfer reply transmit date and days to transmit are included for each case. The dashboard can be filtered on supervision type, receiving state user, receiving state supervisor or receiving state user’s county. Various charts and graphs depict a breakdown of transfer replies by supervision type and monthly compliance over the selected date range. Lists of the poorest performing PO’s & Supervisors are also displayed.

Purpose: Response to a transfer request provides the formal decision on whether supervision transfers to a receiving state. This report displays a state’s overall compliance and provides details on user performance, as well as individual compliance.


7. Violation Response ComplianceType: Compliance

ICAOS Rule: 4.109 (c)(1)-Upon receipt of a violation report requiring retaking, the sending state is required to respond with action to be taken within ten business days.

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Description: This report lists cases in which a violation response was due within a specified date range. The violation report sent date, violation response transmit date and days to transmit are included for each case. The dashboard can be filtered on supervision type, sending state user, sending state supervisor or sending state user’s county. Various charts and graphs depict a breakdown of violation responses by supervision type as well as monthly compliance over the selected date range. Lists of the poorest performing POs and Supervisors are also displayed.

Purpose: Violation reports requiring retake indicate supervision has failed in the receiving state and the offender must be retaken. Receiving states rely on sending states’ timely responses indicating required direction and action while the sending state is in process of retaking or returning the offender. Note: Compliance reports DO NOT include responses to addendums. https://support.interstatecompact.org/entries/39322888-Offender-Violation-Report-Workflow

Who can run: Sending State

Activity History Reports

8. Arrival Notices TransmittedType: Activity History

ICAOS Rule: 4.105 (b) – transmittal of arrival notices

Description: This report lists all notice of arrivals transmitted within the selected date range. The dashboard can be filtered on supervision type, arrival type, returning to sending state, receiving state user, or offender last name.

Purpose: The report shows offenders arriving pursuant to an approved transfer request or request for reporting instructions within a defined period. It may be useful to ensure adherence to proper intake procedures for offenders transferred from another state.

Who can run: Receiving State & Sending State (for returning offenders)

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Quick Tip: Be familiar with ICOTS generated email notifications. Additional reminders may be necessary from the compact office to improve compliance. https://support.interstatecompact.org/entries/20678378-Email-Notification-Time-Frames

https://support.interstatecompact.org/entries/20678378-Email-Notification-Time-Frames

https://support.interstatecompact.org/entries/20678378-Email-Notification-Time-Frames

https://support.interstatecompact.org/entries/39322888-Offender-Violation-Report-Workflow

https://support.interstatecompact.org/entries/39322888-Offender-Violation-Report-Workflow

9. Last Activity Transmitted (Incoming & Outgoing)Type: Activity History

ICAOS Rule: N/A

Description: The report lists the last transmitted compact activity on active incoming/outgoing cases. Compact cases are considered active with a transmitted accepted transfer reply and a successful notice of arrival sent from the receiving state. The dashboard can be filtered on supervision type, activity type, or receiving state user. Shows activity type (e.g. Progress Report, Compact Action Request, etc.) and transmission date including Case Notes.

Purpose: It ensures regular documentation is made on active ICOTS records.

Who can run: Sending or Receiving State

10. Transmitted Activities (Incoming & Outgoing)Type: Activity History

ICAOS Rule: N/A

Description: The report is a list of compact activities on incoming cases transmitted within a selected date range.

Incoming- The dashboard may be filtered on Incoming Activities that would come from the sending state or Outgoing Activities that were transmitted by the receiving state.

Outgoing- The dashboard may be filtered on Incoming Activities from the receiving state or Outgoing Activities as transmitted by the sending state.

The dashboard can also be filtered on date range, supervision type, activity type, receiving user email, or offender last name.

Purpose: The report provides statistics, it generates data for export and filter by special status (e.g. sex offenders), date range and activity. It also provides detailed reports and summary reports (if you just need the numbers). Common examples include:

Who can run: Sending (Outgoing Cases) or Receiving State (Incoming Cases)

11. Violation Summary (Incoming & Outgoing)Type: Activity History

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Outgoing Activities for Incoming Cases

How many investigations your state completed this year, this

ICAOS Rule: N/A

Description: The report is a list of violation reports displaying various violation data (e.g. violation type, recommendation, latest response, etc.) transmitted within a selected date range.

Incoming- The dashboard displays violation reports your state transmitted to other states.

Outgoing- The dashboard displays violation reports your state responded to from other states.

The dashboard can be filtered on date range and supervision type.

Purpose: The report provides statistics on violations and violation responses. It is useful in providing historical impact of rule changes (specifically the June 2017 amendment replacing ‘significant violation’ with ‘behavior requiring retaking,’) tracking cases that require retaking warrants and ensuring addendums are used when PC hearings are requested by the sending state. The detailed data can be export in csv format to further analyze in Excel.

*Note: The detailed table in this report uses a pivot table so USE the CSV export option, not the Excel export option.

Administrative Reports

12. Active Cases with Returning RFRI’s (Incoming & Outgoing)Type: Administrative

ICAOS Rule: 4.111

Description: This dashboard lists active cases with reporting instructions marked ‘Transferred Offender Returning to Sending State’ in the receiving state (incoming) or sending state (outgoing). It provides departure notice and arrival notice management for returning offenders. The dashboard can be filtered on supervision type, reason for transfer, NOD sent, or NOA sent.

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Purpose: The report provides information on returning offenders. It specifically ensures that when a request for an offender to return is made and approved, NOD/NOAs are submitted appropriately and cases are closed in a timely fashion. Note: This report may display user generated data entry errors [e.g. sending state incorrectly choosing ‘transferred offender returning,’ failure to transmit CCN after return,’ and ’offenders changing mind after NOD/NOA prematurely sent,’ etc.]


13. Active Compact Cases (Incoming & Outgoing)Type: Administrative

ICAOS Rule: N/A

Description: This report lists all active compact cases in the receiving state (incoming) or sending state (outgoing). A compact case is considered active on an accepted transfer case with a transmitted notice of arrival in the receiving state. The various charts and graphs breakdown the active cases by supervision type, sex offender status, and gender. The dashboard can be filtered on supervision type, receiving/sending state user, or offender last name.

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Quick Tip: Although there are various reasons why an offender returns to a sending state, procedures for returning are the same and require a request for reporting instructions to be initiated by the RECEIVING STATE. See Training Bulletin 1-2016i for more information. https://support.interstatecompact.org/hc/en-us/articles/224742767

https://support.interstatecompact.org/hc/en-us/articles/224742767


Purpose: It provides stats and may be used for comparison against a local database. Information provided at a glance shows information such as number of cases, top sending/receiving state, and reason for transfer, etc.


14. Active Compact Cases with Offense Details (Incoming & Outgoing)Type: Administrative

ICAOS Rule: N/A

Description: The report lists all active compact cases and their associated offense details in the receiving/sending state. Offense details include NCIC offense code, NCIC description and NCIC type. A compact case is considered active an accepted transfer case with a transmitted notice of arrival in the receiving state. The various charts and graphs breakdown the top five offenses as well as the specific treemap of NCIC offense types. The dashboard can be filtered on supervision type, sex offender status, gender, NCIC type, or NCIC offense.

Purpose: It provides statistical data or may be used to compare to local databases. Treemap provides at a glance information on the top 25 offenses for active compact cases.


15. User ListType: Administrative

ICAOS Rule: N/A; See ICOTS Privacy Policy/User Agreement.

Description: The report lists all ICOTS users with information on state, role, supervisor, supervisor email, active status, workflow status, created date and last login date. Charts give a breakdown of user accounts requiring attention, number of active accounts, as well as number of accounts with certain user roles. The dashboard can filter on active status, workflow status, user roles, specific emails, or specific counties.

Purpose: It supplements the ICOTS User List report and provides additional information such as last login as well as quick user management information. State administrators responsible for auditing user accounts should be familiar with this report. Most common uses include:

Identify active accounts; Determine last login date (users with active ICOTS cases should be

logging in regularly);

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Verify user roles, and supervisor assignments; Assist with login issues(logins are case sensitive and note each

user has capabilities to change user name).

Who can run: N/A

16. Offenders Awaiting Retaking (Incoming & Outgoing)Type: Administrative

ICAOS Rule: 5.105- A sending state shall retake an offender within 30 calendar days after the offender has been taken into custody on the sending state’s warrant and the offender is held solely on the sending state’s warrant.

Description: The report lists active cases in the receiving state with a violation report requiring retaking (mandatory) and availability marked as ‘Yes.’ It includes relevant transmission dates and information such as latest violation response, location (e.g. in custody/not in custody), violation type, and PC status. The dashboard can filter on supervision type, current status, in custody, probable cause status, or violation type.

Purpose: This report is supplemental to the ICOTS report for ‘Offenders Awaiting Retaking-30 days.’ It provides a detailed account of the offender’s statuses when awaiting mandatory retaking. Note: This report may display user generated data entry errors. For cases appearing on the report that are ‘not awaiting retaking,’ use the addendum to violation report and ensure the case is marked ‘not available.’


17. Offenders Retaken then Re-transferred (Incoming & Outgoing)Type: Administrative

ICAOS Rules: Various; See Chapters 3 & 5 of the ICAOS Rules

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Description: This report lists offenders to/from the sending state with prior cases closed by reason ‘retaken’ with a subsequent approved case transferred in ICOTS. The dashboard may filter on the date a new case was created, supervision type, transfer reason, RFRI reason, case status, sending state user, or offender last name.

Purpose: It provides statistical information on offenders retaken for violating behavior but subsequently transferred back to the receiving state. This report provides reasons for transfer and reporting instructions to illustrate at a glance why an offender whose supervision was deemed unsuccessful in the receiving state was subsequently allowed to transfer back to the receiving state.


18. Possible Duplicate Offender ListType: Administrative


Description: The report lists ICOTS offenders who have been identified as possible duplicate records based on matches with first name, last name and date of birth or social security number. Also includes an indicator for whether there already exists a pending merge, delete or move case request. CAUTION: There are some possible duplicates that match on first and last name as well as date of birth that are not actually duplicates.

Purpose: Supplemental to the ICOTS Duplicate Offender Report (which is real-time), this external report provides an exportable format as well as summary information for an ICOTS administrator to manage duplicate offender profiles.

Who can run: N/A

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19. Rejected Cases Returning vs Awaiting New Transfer (Incoming & Outgoing)Type: Administrative

ICAOS Rules: 3.104 & 4.111- For offenders in the receiving state with approved reporting instructions and a rejected transfer, the offender must return to the sending state or the offender may remain if the receiving state determines the transfer request is incomplete or an alternate plan of supervision exists. Upon that decision and notification on the rejection, the sending state must submit a new transfer request within 15 business days.

Description: The report lists incoming/outgoing rejected cases where an offender is in the receiving state with approved RIs and has a rejected transfer request. Cases are distinguished by whether an offender is remaining in the receiving state pending a new transfer request or is returning via reporting instructions, providing relevant transmission dates for those activities. The dashboard can be filtered on supervision type, new transfer pending, or returning RFRI transmitted.

Purpose: It serves as a management tool to ensure activities are completed when an offender is either required to return or if the receiving state decides the offender may remain pending a new transfer request.


20. Return in Lieu of Retaking (Incoming & Outgoing)Type: Administrative

ICAOS Rules: 5.103 (b) If the offender is ordered to return in lieu of retaking, the receiving state shall request reporting instructions per Rule 4.111 within seven business days following the receipt of the violation report response.

Description: This report lists active cases in the receiving state with a violation requiring retake and a violation response ordering the offender to return. Charts distinguish cases between those with or without a transmitted returning RFRI. The dashboard can be filtered on supervision type and returning RFRI status.

Purpose: It serves as a management tool to ensure activities, particularly reporting instructions, are requested by the receiving state, and completed when an offender is ordered to return for behavior requiring retaking.


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Due Date Reports

21. Overdue Transfer Replies (Incoming & Outgoing)Type: Due Date


Description: The report list all compact cases in the receiving state (or from the sending state) that have a Transfer Reply overdue as of the last data upload. Case details include sending state, receiving state, probation, parole, receiving user, receiving supervisor, due date and days overdue. A Transfer Reply is considered overdue if it has been more than 45 days since the corresponding Transfer Request was transmitted to the receiving state. The list can filter on supervision type and reason for transfer.

Purpose: It supplements the ICOTS ‘Overdue Replies to Transfer Requests’ report by providing the reasons for transfer for each request that is overdue. Two reports exist for states to see overdue incoming and outgoing requests.


22. Supervision End Dates (Incoming & Outgoing)Type: Due Date

ICAOS Rule: Rule 4.112 - Closing of supervision by the receiving state (a)(1) & (c). The rule requires the receiving state transmit a case closure notice within ten business days of the supervision end date

Description: This report lists all active offenders in the receiving state with a supervision end date in the selected date range. An offender is considered active with an accepted transfer case with a transmitted notice of arrival in the receiving state. The dashboard can be filtered on date range, supervision type, and receiving user email.

Purpose: It supplements ICOTS email notifications for case closure notices to be sent when supervision ceases in the receiving state or when a supervision end date approaches. Be sure to set supervision end date criteria for the future (e.g. next 90 days) to see what case closures are coming due. Two reports exist for states to see both incoming and outgoing cases.

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23. Transfer Reply Due Dates (Incoming & Outgoing)Type: Due Date


Description: List of all compact cases in the receiving state that have a Transfer Reply due within the selected date range of the last data upload. Case details include sending state, receiving state, probation, parole, receiving user, receiving supervisor, due date, and TREP transmission date (if applicable). List can be filtered on whether a transfer reply was already sent, supervision type and reason for transfer.

Purpose: It supplements ICOTS email notifications and the Compact Workload to manage due dates for Transfer Requests. Two reports exist for states to see incoming and outgoing requests.


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Quick Tip: As a sending state (outgoing), verify SED’s are accurate or use the report to conduct a case review rather than communicating after the fact via denial of Case Closure Notice (e.g. any monies owed are paid, conditions completed if your state’s policy requires this before supervision officially expires). Need a Progress Report? Request one!

Other important reports available in ICOTS (non-external)

1. Duplicate Offender List & Pending Merges and Deletions of OffendersType: Administrative


Description: The reports provide real-time information related to clean-up efforts for duplicate offender record management.

Purpose: Regardless of which state created the duplicate offender record, all associated states must approve changes, deletions, merges, or moves where their state is affiliated with the record.

Who can run: N/A

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2. Cases in Need of Notice of DepartureType: Activity Management

ICAOS Rule: Rule 4.105 (a) - At the time of an offender’s departure from any state pursuant to a transfer of supervision or the granting of reporting instructions, the state from which the offender departs shall notify the intended receiving state.

Description: This report provides a list of offenders with approved reporting instructions (and/or approved transfer request) in which no Notice of Departure has been transmitted. The report provides offender identifiers, sending and receiving state as well as approval dates from the request for reporting instructions (if applicable) and/or transfer request. Note: Some cases appear on this report in error. This is a known issue. Generally, ignore the cases when blanks appear in the R2RFRI & TREP column. https://support.interstatecompact.org/hc/en-us/articles/224743607-Case-shows-needing-NOD-incorrectly

Purpose: This is a management report that displays offenders awaiting departure from the sending state. Upon transmission of the notice of departure, the case should no longer appear on this report; but, it will appear on the Cases in Need of a Notice of Arrival report to assist in the tracking of the offender’s movement. Note: An ‘intended departure date’ is captured on RFRI’s or the Transfer request to assist the sending state in managing

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Quick Tip: STOP!!! Move, merge and delete are PERMANENT . Be sure you have a full understanding of managing duplicate offender records prior to action. Not sure whether to move, merge or delete? See the Compact Staff ICOTS training and articles in the ICAOS support site. https://support.interstatecompact.org/entries/20047423-Merge-Move-and-Delete-Case-Requests

https://support.interstatecompact.org/hc/en-us/articles/224743607-Case-shows-needing-NOD-incorrectly

https://support.interstatecompact.org/hc/en-us/articles/224743607-Case-shows-needing-NOD-incorrectly

https://support.interstatecompact.org/entries/20047423-Merge-Move-and-Delete-Case-Requests

https://support.interstatecompact.org/entries/20047423-Merge-Move-and-Delete-Case-Requests

notices of departures. This date may be updated at any time from the offender’s profile screen.


3. Cases in Need of Notice of ArrivalType: Activity Management

ICAOS Rule: Rule 4.105 (b) & 3.104-1 (b) & (e)- At the time of an offender’s arrival in any state pursuant to a transfer of supervision or the granting of reporting instructions or upon the failure of an offender to arrive as instructed, the intended receiving state shall immediately notify the state from which the offender departed. A receiving state may withdraw its acceptance or approval of reporting instruction if the offender fails to report within five business days of departure from the receiving state.

Description: The report provides a list of offenders with approved reporting instructions (and/or approved transfer request) in which a Notice of Departure has been transmitted, notifying of the offender’s departure from the sending state. This report provides offender identifiers, sending and receiving state, approval dates from the request for reporting instructions (if applicable), transfer requests, date to report, and transmission date of the notice of departure.

Purpose: This is a management report to promote seamless supervision as the offender departs the sending state and arrives in the receiving state. It

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assists the receiving state by showing offenders who are expected for arrival. Once the offender arrives and a notice of arrival (or failure to arrive) is transmitted, the case no longer shows on the report. Anytime an offender fails to arrive as instructed, the sending state is required to issue a nation-wide warrant.


4. Rejected Cases Requiring AttentionType: Administrative

ICAOS Rule: Rule 3.104 – The receiving state must reply to a transfer request within 45 calendar days of providing its decision. For offenders in the receiving state with approved reporting instructions, those instructions may remain in effect if the receiving state’s rejection indicates the transfer request was either incomplete or an alternate plan of supervision exists for investigation.

Description: The report displays all cases in which the current case status is ‘rejected.’

Purpose: Action is required when a case is rejected. Location of the offender and expected subsequent action is important to consider when analyzing the information provided on the report. See ICAOS support article for more information. https://support.interstatecompact.org/hc/en-us/articles/224746947

In the Sending State (two possible courses of action):o Sending state must WITHDRAW the Compact Cases to

move the case to historical; OR,o Resubmit a new transfer request for investigation.

In the Receiving State (two possible courses of action) See external reports for administrative tools in managing activities related to returning offenders:

o Receiving state has rejected informing the sending state either that the transfer request was incomplete or that a possible alternate plan of supervision exists. Sending state is required to resubmit a new transfer request within 15

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business days of the rejection and reporting instructions remain in effect (Receiving state remains responsible for supervision); OR,

o Receiving state initiates return reporting instructions within seven business days of the rejection and sending state upon receipt must provide a ‘report date’ for the offender to return by the 15th business day following the receipt of reporting instructions.

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compliance reports - interstate compact · web viewa compact case is considered active on an...

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