Organize, Maintain, and Secure Caseload Flashcards
Caseload
consists of all cases of offenders under supervision assigned to a probation officer as determined by Department policy
some offender cases are specific in nature, such as violent offender and community control cases
you are responsible for maintaining the security of all offender information in your caseload by preventing unlawful access to case files, OBIS, and other work resources
Offender information gathered from these databases is confidential, and it is your responsibility to secure this information properly, following Department policy.
Case File Contents
Section 945.25, F.S., requires the Department of Corrections to obtain and maintain documentation on every offender under supervision. The required information and documents can include:
• a copy of the indictment or sentencing information
• a complete statement of the facts of the crime an offender committed
• the court or sentencing authority in which an offender was sentenced
• the terms of an offender’s sentence
• the name of the presiding judge, prosecuting officers, investigating officers, and attorneys of the convicted offender
• a copy of all probation reports
• any social, physical, mental, psychiatric, or criminal records
• a copy of other related court or sentencing authority minutes and other records
• a copy of the seriousness-of-offense
• a copy of the favorable-supervision-outcome scores
• a list of factors and information to establish a presumptive parole release date
Organize a Case File
Proper case file organization facilitates easy and prompt retrieval of offender information, increasing your efficiency and productivity. Apply a systematic, orderly, and structured organization when managing offenders’ case information and documents. Organize an offender case file in a six-part or a two-part file system, following the Department-approved Offender File Organization Sheet guidelines.
Organize a Case File:
two-part file system
file documents into two separate sections by placing the legal and investigative documents on the left-hand side of the file and all other remaining documents on the right-hand side of the file
Organize a Case File:
six-part file system
file documents into the following six, separate sections:
• legal data
• supervision data
• monetary obligations
• monetary payments
• structured treatment programs
• supplemental information
Approaches for organizing case files can include:
• in alphabetical order
• by offender supervision level, status, or type
• using offender case investigation deadlines
• by geographic region of an offender
• by importance of event, such as a violation hearing, deposition, or trial.
Organize a Case File:
Prompt Filing and Confidential Information
It is your responsibility to file all received and gathered documents promptly, including confidential information relating to an offender.
Prompt filing of documents will avoid overflow of paperwork, misplacing offender information and documents, or exposing documents to unauthorized people such as offenders and visitors.
Proper filing will assist with easy access to information for various planning and monitoring activities of offenders
Offender File Organization Sheet:
Six-Part Files
- Legal Data:
Orders of Supervision
Affidavits/Warrants/Motions and Notices of Hearings
Warrant Request for Revocation Hearing (old DC3-231)
Any document signed by a judge/Parole Commission/Court
Commitment/Handling/Disposition Sheet
Modification/Revocation Orders/Other Orders
Pre-trial Intervention Program Status
PSI/Post Investigation/State Attorney Information or Indictment/Other Investigations include Bond or PTI
Pre-Plea Release DC3-232
Sentencing Scoresheets
Violation Reports, Technical Violation Notification (TVN) letter, or notification of un-willful non-compliance
Probable Cause Affidavits, DC3-2015 or DC3-295
Offender’s Application for Interstate Compact Transfer
Interstate Warrant DC3-120 or DC3-121
- Supervision:
All non-legal or non-treatment related letters
Violation Review Report DC3-189
Case Sheet (DC4-921 A & B old blue case sheets) – Filed Chronologically
Community Control Offender Schedule/Daily Log-DC3-207
Electronic Monitoring Assignment Rules DC3-260
Electronic Monitoring Equipment Victim DC3-264
Community Corrections Report of Force Used DC3-210
Community Corrections Report of Force Supplement DC3-211
Search Report DC3-233
Recommendation to Early Terminate Probation or Community Control DC3-272
Closing Summary Report (prior 11/12/04)
Address Information Request
Electronic Messages/Memos
Victim forms including DC3-280, DC3-283, DC3-284, DC3-2017, DC3-2018, and Zero Tolerance Victimization
Job Lists or Job Search Forms DC3-2004
Termination Letter
Intrastate Transfer Requests DC3-237
Interstate Compact Transfer Material (ICAOS forms and/or screens printed from ICOTS)
App. for Compact Services and Agreement to Return DC3-122 (older case material)
Interstate Information DC3-125 (older case material)
Travel Permits and Waiver of Extradition DC3-220
Written Monthly Reports DC3-268
Supervision Review DC3-285
Offender Digitized Photograph (which remains as the bottom document of the section, prior to 4/09)
- Monetary Obligations:
COPS Change DC3-251/Input Forms DC3-221
COPS Printouts
Offender Payment History (prior 11/12/04)
Offender Financial Obligation Agreement (OFOA)
SSI/SSD/AFDC Information
Waivers/COS Statutory Exemption Sheet DC3-252
- Monetary Payments:
Receipts - Including all Receipts as well as Receipts from the Clerk’s Office (prior 11/12/04)
- Structured Treatment Programs:
Individualized Supervision Plan (Effective 01/15/09 ‒Maintain on top)
Sexual Offender Checklist DC3-209 (Older on top)
DHSMV Drivers License Sexual Offender or Career Offender Registration letter (formerly DC3-227)
Sex Offender Probation Driving Log DC3-244
Notification Electronic Monitoring Not Imposed as Condition of Supervision (JLA-post 09/01/ 05)
Notice of Responsibilities DC3-203A and DC3-203B
Career Offender Notice of Responsibilities DC3-2001A and DC3-2001B
Sexual Predator Registration DC3-203
Sexual Offender Address Verification (older DC3-208)
Intake Investigation Entry Transaction Register DC3-212 (Always on Top)
Case Assessment (DC3-265) and Classification Reassessment (DC3-266) (older case material)
Case Reviews (Case Review Summary Report) (older case material)
Felony Disposition and Sentence Data DC3-236
Offender Information Sheet and Reporting DC3-297
Initial Reporting Instructions DC3-298
Initial 60-Day Review (IT60) DC3-242 or Sex Offender Initial 60-Day Review DC3-2018
Instructions to the Offender DC3-246
Investigative Supporting Documents (i.e. older ITS sheets or Investigative Worksheet [Form 1] DC3-213)
Offense Report
Consent to Provide Specimens for DNA DC3-292
Verification HIV Testing Results
Campus Sex Crimes Prevention Act Notice Letter
Request for Sexual Predator Designation
Attendance Information relating to Alcoholics or Narcotics Anonymous DC3-2005
Client Management Classifications (older case material)
Drug Test Results or Special Test Request DC5-405
Positive Drug Urinalysis Statement DC3-289
Public Service Work forms DC3-204, DC3-205, DC3-206 (prior 11/12/04 as to DC3-206 only)
Referrals for Treatment DC5-404
Structured Treatment Plans (older case material)
Substance Abuse Treatment Correspondence including evaluation, progress reports, polygraph reports, and discharge notices
- Supplemental Information:
Intake Investigation Entry Transaction Register DC3-212 (Always on Top)
Case Assessment (DC3-265) and Classification Reassessment (DC3-266) (older case material)
Case Reviews (Case Review Summary Report) (older case material)
Felony Disposition and Sentence Data DC3-236
Offender Information Sheet and Reporting DC3-297
Initial Reporting Instructions DC3-298
Initial 60-Day Review (IT60) DC3-242 or Sex Offender Initial 60-Day Review DC3-2018
Instructions to the Offender DC3-246
Investigative Supporting Documents (i.e. older ITS sheets or Investigative Worksheet [Form 1] DC3-213)
Offense Report
Pre-Termination Review DC3-243
Signed Authorization & Release DC3-214, DC4-711B
Notice of Privacy Practices (older DC3-2006)
Notice Placement of Ineligible Offender on CC (older case material)
Miscellaneous Documents
Offender File Organization Sheet:
Two-Part Files
Left side of file‒legal/investigative documents (filed chronologically)
• Orders of Supervision
• Court Commitment/Handling/Disposition Sheet
• Offense Report/Circumstances of Offense
• State Attorney Information/Indictment
• Presentence Investigation or Other Investigation, for example, Bond or PTI
• “Pre-Plea Release,” DC3-232
• Modification/Revocation Orders or other documents signed by Judge/Commission
• Motions and Notices of Hearings
• Affidavits/Warrants, Warrant Request for Revocation Hearing, or Probable Cause Affidavits
• Violation Reports or “Violation Review Report,” DC3-299
• Technical Violation Notification (TVN) letters or Notification to FPC of Un-willful Non-Compliance
• “Recommendation to Early Terminate Probation or Community Control,” DC3-272
• Request for Sexual Predator Designation
• Pre-trial Investigation Program Status letter
• Sentencing Guidelines/Criminal Punishment Code Scoresheets
Right side of file‒all other case material (filed chronologically)
Secure paper and electronic documents
Secure hard copy documents relating to an offender under supervision in a case file; save electronic information in OBIS. Keep all case files confidential and secure in filing cabinets or a file room where they will not be accessible to unauthorized people.
Computers assigned to officers are Department property; you must secure your computer within your workspace or office at all times. Secure and store all your computer login information following Department policy and Criminal Justice Information Services (CJIS) requirements.
You must not share login information with other officers, staff, or unauthorized people. Do not leave a computer logged on and walk away from it
Position computer monitor
Position your computer monitor facing away from a door, window, and the view of offenders and other unauthorized people, following Department policy and CJIS requirements.
Proper positioning of your computer in your work area protects the confidentiality and integrity of all electronic records relating to an offender.
Avoid conducting warrant and detainer queries in front of an offender to avoid unapproved individuals from reading over your shoulder or memorizing keystrokes to re-create your password
Organized workspace and case files
It helps to keep your workspace, case files, and notes in a well-organized, manageable, and professional setting. When you are finished working in an offender case file, refile it immediately.
Organize any paperwork in order of priority and file when processed. Maintain a “To Do” list or calendar of deadlines in lieu of many different pieces of paper.
An organized and professional looking office will convey to offenders that you take your job seriously and that they should expect the same level of job commitment when supervising offenders
Manage Tasks and Time Frames
The Department of Corrections has an Investigative Tracking Statistics (ITS) system within OBIS that allows supervisors and officers to track generated tasks and associated deadlines. It displays the type of pending tasks, including beginning and completion dates. Common ITS system-generated tasks can include:
• Initial 60-day Review (IT60) investigations
• investigations of offender new violations
• monetary obligation discrepancies
• Pre-Termination Reviews
• Re-Review investigations (REVW)
• Presentence Investigations (PSI)
Organizing Tasks
Use the ITS system daily to prioritize offender supervision and investigative tasks based on the level of importance and associated deadlines in compliance with Department policy. Develop effective appointment scheduling, time management, and multi-tasking skills to assist in managing caseloads and meeting task deadlines
Establish Realistic Time Frames
Review the Open Investigation screen in OBIS regularly and develop reasonable time frames to complete generated tasks. If multiple tasks have the same deadline, develop realistic time frames for completing each of the tasks before the deadline date.
When circumstances exist that may justify a delay in completing a particular task on its due date, notify a supervisor with reasons for the delay and an estimated date for completing the task. Always consult your supervisor when facing unexpected circumstances in managing your caseload
Calendar
Use a calendar to manage office and fieldwork, including task deadlines and appointments, following the guidelines established in the Correctional Probation Officer Schedule. Common tasks requiring a calendar for scheduling appointments and monitoring task deadlines can include:
• office work hours
• office visits by offender
• investigation deadlines
• court or sentencing authority hearing dates and times
• attendance for in-service training courses
• approved leave
• fieldwork hours
• home field supervision tasks
• community control activities
