Ensuring public safety for the 21st century

Standard Operating Procedures in ICOTS

What do I do when I received an email stating that I had an action to perform in ICOTS?

  • Email notifications inform you that an offender’s record needs attention, an investigation has been assigned to you or that there are other supervisory responsibilities pending. Login to ICOTS and select the “Compact Workload” tab or go to that offender’s profile to retrieve detailed information.

What is the Compact Workload?

  • Each user in ICOTS, regardless of their role, has a Workload. This is especially a 'to-do list' of action items for a user and a report of his or her assigned offenders.

I completed an action in the ICOTS system (i.e. Transfer Request, Response to Violation Report, Arrival Notice, etc.) and hit submit.

Where did my information go?

  • When an activity is submitted it will enter the “Compact Workload” for the next person in the workflow. If you are a field officer that reports to a supervisor then your supervisor will now have your submitted activity in their “Compact Workload.” In addition, email notifications will be sent to the appropriate parties. You can see the status of your action in the “Compact Workload” tab or on the activity history of the offender's profile.

How and when should I expect a response?

  • The response depends on the action and the rules of the request. The intended recipient of the action has been notified by email that a request is pending and the status of his/her “Compact Workload” indicates a response is expected.
  • Once the recipient has acted on a request, appropriate parties are notified. 
  • More frequent 'reminders' will be sent to the recipient as the timeframe for completion approaches. If the timeline threshold is exceeded, escalation notifications are sent to state compact offices and to the National Office.
  • Statuses and documentation of any activities entered into ICOTS can be accessed via the Compact Cases Tab on the Offender’s Profile.

What is the ICOTS case number and Offender number?

  • These numbers are generated by ICOTS and are used as a standard identifier between states. Each offender in ICOTS has a unique offender number, although can have multiple cases associated with them.

Why can offender can have multiple ICOTS Case numbers?

  • An ICOTS Case number is assigned each time a new request is submitted for an offender; but the ICOTS Offender number will stay constant with that offender.
  • Possible duplicates should be forwarded to your state administrator.

What if I added an offender twice and it seems two records exist that are the same person?

  • Per the ICOTS privacy policy, these errors should be investigated and reported in a timely manner to the Compact Office. Once an offender is added into ICOTS, only state and national administrators can remove records.  It is important that users take appropriate measures and steps to prevent adding an offender who is already in the system.

I am working on a Transfer Request and now I have 2 saved into the system and my workload is stating I have two to complete, how do I merge them into one?

  • Once you enter data into ICOTS and click “Continue” “Save and Continue” or “Submit,” the system saves the data into the system. This includes entering offender data or activity data (Transfer Request, Progress Report, etc). Until you complete an activity and submit for review, you can delete (and only by you) that activity by going to the activity via the workload or the offender profile and selecting the Delete button. This will only delete that activity.
  • If more than one activity is submitted, the one submitted in error may be withdrawn by the submitting user.

In the situation of an outgoing transfer request moving from the PO to the Compact Office, can states take out the supervisory approval step between the PO and Compact Office?

  • ICOTS can be configured so that all work items move directly from the PO to the Compact Office. Upon logging in for the first time all users are required to identify their workflow by naming either the user who should receive managed workflow or the State Compact Office directly.

I have a dual supervision (both probation and parole) case I am attempting to transfer to Indiana and the system will only allow me to enter one type of case on this request.

  • There are several states which have two compact offices, one for probation and one for parole. To request transfer of supervision to one of these cases for a dual supervision case, 2 requests will need to be submitted. Although subject to change, these states include: Arizona, Colorado, Connecticut, Georgia, Hawaii, Illinois, Indiana, Massachusetts, Nebraska, New York, New Jersey, South Dakota.

What is the NCIC modifier field? I see no place to enter anything for this field.

  • Once the NCIC code has been selected you can use this dropdown to provide more information i.e. aid/abet or accessory.

Why isn’t the “Supervision Ends box” a mandatory field? How will the receiving state know when supervision ends?

  • The reason there is no mandatory marker for “supervision ends on” date is because it is conditionally required; either the date must be provided or lifetime supervision must be checked. See also Training Bulletin 5-2008i.

When I return something to the originator why does it still show up in my compact workload?

  • During the design process we were instructed that items that have been sent back should stay on the “radar” a little more than items that the user has resolved.
  • Managed acitivites remain on the workflow until a response is transmitted.

After an offender is set up in ICOTS and their case has been accepted by the receiving state, will the sending state be able to change any offender data such as sending state number, SSN#, or will they be locked out as indicated on the residential info?

  • The supervising officer in the sending state retains permissions to make some changes to the record (basic offender demographics, address, employment, identifying numbers, supervision end dates, others in the home, etc).
  • The supervising state's administrator has additional options to delete and change primary demographic information.

Can users print certain screens for court records? Like the offender application or a violation report?

  • All activities can be printed in a format that is similar to the current forms. It is important to note that the functions must be completed before the system will generate such report.

I’m in the middle of transferring an offender but I don’t have all the information and ICOTS won’t let me go forward. What do I do?

  • ICOTS will not allow you to submit an action or request until all required information has been filled out, because this is not always possible. The ICOTS was designed to save your work until you can get all the information. If you logout or start another offender’s request prior to completing all the information your work will be saved. The next time you login to ICOTS you will be able to resume your work by going to the “Compact Workload” tab. You can do this as many times as it takes to complete the action or request.
  • BE SURE NOT TO CREATE A NEW REQUEST. ICOTS WILL NOT AUTOMATICALLY DELETE DUPLICATE OFFENDERS!

I entered a case note and would like to edit the text. How can I delete or edit that note?

  • Once entered into the system, a case note and all other activities are not delete able or editable. Also, all case notes are viewable by any user of ICOTS.

If a document is returned to the originator because it's filled out wrong and then the officer resends a new one, are they amending the existing document or creating a new one? If they create a new one; is the first one still in the system and can we delete it?

  • When the activity is sent back the existing request is modified and stamped (user, date, time). The original is not preserved.

What if the compact office returns a violation report to the originator because either more documentation is required or the report of non-compliance should rahter be reported on a progress report; what happens to that document in ICOTS?

  • The originator should be notified to withdraw the activity and the activity does not need to be sent back to complete this function. 
  • The option to withdraw the violation report is available up until the violation reply is created. 

Can more than 1 person be assigned to an offender?

  • No one individual in both the sending state and receiving state is assigned a compact case at one time.  PO Supervisors and Compact Office users can reassign cases as needed for another user to complete actions on a case. 

How do I initiate a subsequent state transfer?

  • From the assistants tab, the original receiving state can inform the sending state by selecting Compact Action Request. 
    Training Bulletin 1-2009i

How long do POs have to respond to requests that don't have a specified timeframe? i.e., responses to a Compact Action Request? Will there be a report that we can view that lets us know how quick or slow we are to respond to inquiries?

  • Timelines and due dates were not established for processes not specified in the ICAOS Rules.
  • The national office provides external reporting capabilities for Compact Office Staff to access transmission dates for managed and non-managed activities. 

Can a case be converted to victim sensitive after it's been accepted?

  • The supervising user has the ability to update special status information through the offender’s profile screen. Click on Manage Special Statuses. 

What happens to the offender data after compact interest is closed; does it remain in ICOTS?

  • Once a case is closed or withdrawn it becomes part of the offender’s historical record in ICOTS.

Will the ability to track offenders who have been retaken multiple times ever be added as an enhancement later?

  • You will be able to review the compact history of offenders with the initial release of ICOTS.

A request I sent was rejected and I do not plan to pursue transfer of supervision and resubmit. How do I remove the rejected case from my workload?

  • The case can be withdrawn by the sending state as long as the offender was not previously granted reporting instructions and supervision responsibility assumed by the receiving state with the submission of a successful Notice of Arrival. Also see Withdrawing Rejected Cases.
  • Please note:  For rejected offenders who previously were granted reporting instructions to be supervised in the receiving state pending a transfer investigation and are required to return after a rejection the receiving state is RESPONSIBLE for supervision until the offender's departure.  See Rule 4.111.

How do I reject a case or withdraw (rescind) reporting instructions after accepting the case?

  • The assigned user in the receiving state who completed the Transfer Request reply can withdraw the accepted reply and this action changes the status to rejected.
  • This action is not reversible.  Since there are only specific circumstances that support this function, users should check with a supervisor or their compact to ensure the action is appropriate.

Can I delete a case created in ICOTS?

  • Creating a Request for Reporting Instruction or Transfer Request for an offender creates a case. If the activity has not been submitted, it can be deleted and the user can remove interest (available under the compact cases tab of the offender’s profile) deleting the case from ICOTS if no activities exists for the case. Also see Removing Cases From Workload.

What does the Register Interest button do?

  • If an offender record is created in ICOTS (Offender Profile is created) a Register Interest button is available to all users except for any users currently assigned to a case associated with that offender. Clicking the Register Interest button allows a user not currently assigned a case for that offender to create one from the offender’s record. Although the same action can take place from the Assistant’s screen, the steps to create the case are different. From the Assistant’s screen, the user chooses the activity, then creates or chooses the offender (if already in the system). Registering Interest, the user first chooses the offender, then the activity to create the case.
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