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Commissioner Training

Updated March 1, 2014

Commission Structure&

Role of the Executive Committee

National Structure

National Commission Duties

• Establish by-laws for the Commission’s governance and for directing the Commission’s actions or conduct.

• Establish rules to effectively and efficiently achieve the purposes of the Compact.

• Monitor compliance and initiate interventions to address and correct noncompliance.

• Coordinate training and education regarding regulations.

• Elect the Executive Committee and establish such other committees as necessary.

State Structure

State Council

Governor Representative

Legislative Representative

Judicial Representative

Victim’s Advocate

Other Appointed Members

• Provide mechanism for empowerment of Compact process;

• Assist in developing Compact policy;

• Determine qualifications for membership on Council;

• Appoint Acting Commissioner when Commissioner is unable to attend.

Ex-Officio Members• Association of Paroling Authorities International• American Probation & Parole Association• National Institute of Corrections• National Governor’s Association• National Association of Attorneys General• National Crime Victim’s Representative• National Conference of State Legislatures• National Chief Justice Representative• Interstate Commission for Juveniles

Ex-Officio Role

• Serve as principal liaison between the Commission and the designating organization

• Serve in an advisory capacity to the Commission• Attend Interstate Commission meetings and

committee meetings• Represent the Commission at functions/events

as requested by the Chair• Participate in Commission and committee

meetings as requested by the Chair

Executive Committee• Serves as:

– Oversight committee for compact operations of the Commission • Without power to amend rules or the Compact

– Board of Trustees to the National Office

• Members include:– Chairperson– Vice-Chairperson– Treasurer– Region Chairs (East, South, Mid-West, & West)– Committee Chairs (Appointed by the Chairperson)

Responsibilities of the Executive Committee

• Manage the Commission in the same manner in which other national not-for-profit organizations are administrated.

• Areas of responsibility include:– Budget– Staff appointments and retention– Physical infrastructure– Long range planning

Officers

• Chairperson– Call and presides at all Commission &

Executive Committee meetings• Vice-Chairperson

– Performs duties of Chairperson in his or her absence

• Treasurer– Acts as custodian of funds and monitors

administration of fiscal policies and procedures with Executive Director

Regional Representatives

• Elected bi-annually by a majority vote of each region.

• Responsible for implementing Mentoring Program in conjunction with National Office.

• Serves as nominating committee for election of Officers.

• Chair Region Meetings

Commissioner/Deputy Compact Administrator Role

& Relationship

Commissioner Ensures…

• Compact mission & purpose are promoted• Appointment is compliant with Statute• State Council is functioning• Adequate Resources are available to the

Compact Office– Staff– Training– Technology Capabilities

Commissioner Ensures…

• Dues are paid• Informal disputes are handled• Working relationships are developed and

maintained with– National Office– Judiciary– State Council Members– Other Commissioners– Compact Office & DCA

Commissioner/DCA Relationship

The relationship between the Commissioner and the DCA(s) in each state should be reciprocal. With the assistance from the DCA(s), Commissioners should be aware of the following:

• How daily operations in the state ICS office are run and how ICOTS impacts local operations or identifies a need for change

• How ICOTS affects field operations for compact cases, who’s not adjusting, and what can be done to assist local operations.

Commissioner/DCA Relationship, Cont’d.

• What the field’s perspective is relative to the supervision of compact cases;

• How complaints from the public are handled especially when the problem is due to a lack of response from the field office;

• What type of support the DCA(s) requires from the Commissioner in order to address problems with field offices, etc. (i.e. lack of response to questions or ICOTS activities;

• What the Commissioner can do to assist the DCA(s) if the compact office is not recognized as the compact authority by the field or other constituents.

ICAOS Committees

Standing Committees

• Training Education & Public Relations:

• Compliance:

• Rules:

• DCA Liaison:

• Information Technology:

• Finance:

Training Committee

• Provides Training

• Develops & Approves Training Materials for Rules & ICOTS– Curriculums/Manuals– Bench book for Judges– Training Bulletins

Requesting Training

• Commissioner contacts National Office – per the Technical & Training Assistance Policy

• National Office consults with Training Chair and then schedules and coordinates the training

Compliance Committee

• Monitors State’s Compliance• Develops Enforcement Procedures

• Draft & propose policy• Initiate interventions to address and correct non-

compliance.• Recommend penalties for defaulting states

– Fines– Remedial training and technical assistance– Suspension and termination of membership in the Compact

Rules Committee• Receive referred proposals from:

– Majority of Commissioners at ABM– Region– Standing Committee

• Provide draft to all Commissioners for review and comment (post on ICAOS website)

• Prepare final draft, based on comments;

Adoption of Rules

• Submit to Commission for consideration “not later than the next annual meeting falling in an odd-numbered year”

• Publish text and notice of public hearing, not later than 30 days prior to scheduled vote

• Interstate Commission shall take final action on the proposal by a majority vote of yes/no.

DCA Liaison Committee

• Increase involvement of DCAs• Spotlight Commissioner/DCA relationship• Support DCAs’ efforts in maximizing

efficiency of Compact operation– Networking/Mentoring Program – Training Institute– Best Practices

Technology Committee

• ICOTS– Implementation– Legacy Records– Enhancement Recommendations– User Agreement/Privacy Policy– User Survey

• ICAOS Website www.interstatecompact.org

Finance Committee

• Chaired by Treasurer

• Monitors:

– Budget

– Financial Practices

ICAOS Budget

• Fiscal year is July 1- June 30.• The Executive Committee approves the

budget presented by the Executive Director.

• The Treasurer presents the budget to the Commission at the annual business meeting for the upcoming fiscal year.

Finance Reports

• The Executive Director shall submit financial reports to the Treasurer and Executive Committee.

• The Commission shall be audited each year.

• The Council of State Government performs all accounting functions for the Commission.

RULE 2.103Current Dues Formula

State PopulationUS Population

Ranking Formula =

+Offenders transferred

In & OutTotal US Offenders

Transferred

2

Commission Dues

• Based on formula developed by CSG.• Executive Director shall submit invoices to the states for

dues prior to the beginning of each state’s fiscal year payable upon.

• State will receive reminder notice 30 days following beginning of signatories’ fiscal cycle. – Interest shall accrue on the balance of the unpaid dues after

thirty (30) days at the rate of one percent (1%) per month not to exceed twelve percent (12%) per annum; which shall begin to accrue on the thirty-first (31st) day after which such dues remain unpaid.

• State will receive delinquent notice 120 days following beginning of signatories’ fiscal cycle.

• Issue will then be referred to Compliance Committee.

National Office

Role of National Office

• Secretary/Clearinghouse to the Commission– Documents– Meeting Minutes– Commission Business

• Resource Center– Technical & Training Assistance– Publications– Website– Directory of States Compact Offices– Legal Assistance/Opinions

Services Provided

#1 Priority is to serve the Commission– Assist Commission, Committees & Regions in

carrying out respective missions/goals– Logistical support

• Teleconference/Web conferences• On-site Meetings/Trainings

Training Assistance

• Materials up-to-date– Presentations– Student Manuals– Supplemental Materials

• WebEx Live• On-demand

– Rules– Judicial– ICOTS

Technical Assistance

• Manage ICOTS project• Use additional technologies

– Surveys– Reports– Utilize WebEx for Special State Meetings– Online Communication Tools

• Blogs• Discussion Forums

Mentoring Program• Region Chair visit• Identify goals, issues and interests of participant• Review the Commissioner’s role• Review expectations of the Compact office• Review the criteria, functions and importance of state

councils• Review advisory opinion and dispute resolution process• Review the roles of committees, officers and region

chairs• Encourage the Commissioner to request a committee

appointment• Discuss services provided by the national office

Best Practices Program

• Constant work in progress

• Purpose is to identify and publish techniques, processes, methods and activities which result in optimum outcomes for Compact activities.

• Current submissions posted on ICAOS website

Self Assessment Program• Voluntary, internal process by which an

agency seeks to achieve, objectively verify, and maintain high quality in their operations through a periodic process of self-evaluations.

• Includes:– Standards– References– Forms– Information specific to ICAOS

ICAOS Website

• #1 communication/resource center• Devoted staff-updated daily• Directory of State Compact Offices• Comments Databases• Discussion Forums

www.interstatecompact.org

National Office Structure

Executive Director

Assistant Director

Training & Audit

Coordinator

Website Analyst

Systems Manager

Logistics Coordinator

Administrative Policy

• Accessing the Executive Director• Accessing Legal Counsel• Advisory Opinion Policy• ICAOS Travel Policy • ICAOS Ex Officio Travel Policy • ICAOS Alcohol Policy• Communicating with Members of the Public • Bench Book Policy for Distribution • Guidelines for Handling Closed Session Minutes

Additional ICAOS Policies

• Responsibility Charting• Compliance Guidelines• Investigating Allegations of Non-Compliance• Dues Enforcement • ICAOS Financial Policy • Training Policy for: Becoming a Certified Trainer • Training Policy for: Training Certification Course• ICOTS Privacy Policy• Technical & Training Assistance Policy

• Interstate Commission for Adult Offender Supervision836 Euclid AvenueLexington KY 40502(859) 721-1050 Phone(859) 721-1059 Fax

• Commission Websitewww.interstatecompact.org

Contact

Legal Foundation

Congressional Consent & ICAOS

• Congressional consent requirement applies to ICAOS, as it did to its predecessor (ICPP), because the compact arguably affects powers delegated to Congress:– Authority to regulate interstate commerce– Authority to regulate extradition– See, e.g. Cuyler v. Adams, 449 U.S. 433, 442 (1981) (Interstate

Agreement of Detainers is an interstate compact within the meaning of Art. I, § 10 because it implicates Congress’s power to legislate in the area of interstate commerce and extradition).

• Consent given under Crime Control Act of 1934 (authorized and encouraged states to form compacts for cooperative efforts in crime prevention)

Rulemaking Power

• Commission rules must be adopted in a manner that is substantially similar to the process of the Administrative Procedures Act.

• Once adopted, the rules have the force and effect of statutory law and supersede any inconsistent state laws.

• Majority of state legislatures can reject a proposed rule.

Enforcement Power

• Commission has authority to enforce the compact and its rules upon the states by: Requiring remedial training Requiring mediation/arbitration of dispute Imposing monetary fines on a state Seeking relief in federal court, most likely by

obtaining an injunction to curtail state action or compel compliance

Compact Statute

Each State has passed similar legislation becoming Signatories to the Interstate Compact.

Each Commissioner should become very familiar with the language of their State Statute.

Liability

Types of Public Acts

Generally two categories:

Discretionary: acts in which the public employee has the freedom to exercise good judgment and care in carrying out an act. These acts are not mandatory in the sense of imposing an affirmative duty.

Ministerial: acts that a public employee is required by law to fulfill. Most often these acts are defined by “shall”; they impose a mandatory duty without regard to discretion.

Judicial Immunity & Probation Officers

• Example, probation officers may have qualified judicial immunity in preparing a pre-sentence investigation report because this is integral to a judge exercising judicial power in a case.

Acevedo v. Pima Cty. Adult Probation, 142 Ariz 319 (1984).

• Whether immunity applies in a particular case must be determined by examining the nature of the function, the class of officials to whom it has been entrusted, and the effect to which exposure to liability would have on the proper exercise of the functions. Officials seeking exemptions from personal liability have the burden of showing that such exemption is justified by overriding considerations of public policy.

Forester v. White, 484 U.S. 219 (1988)

• Generally, probation officers are cloaked with qualified (not absolute) judicial immunity; that is, limited to actions that are integral to the judicial process.

Negligent Release

Negligent release of an offender on parole after which the offender commits a foreseeable crime.

Johnson vs. State, 553 N.W. 2d 40 (Minnesota, 1996)

Pate vs. Alabama Board of Pardons and Paroles, 409 F. Supp 478 (1976)

Martinez vs. California, 444 U.S. 277 (1980)

Negligent Supervision

Liability arising from the negligent supervision of offenders on parole or probation.

Reynolds vs. State, 471 N.E. 2d 776 (Ohio,1984)

Doe vs. Arguelles, 716 P.2d 279 (Utah, 1985)

Hansen vs. Scott, 645 N.W. 2d 223 (ND, 2002)

Tuthill case in Maryland

Small vs. McKennan Hosp. 403 N.W. 2d 410 (SD 1987)

Questions