CAPSA - 1B 2014 Census of Adult Probation Supervising Agencies - Pr

OMB No. 1121-XXXX: Approval Expires XX/XX/XXXX

2014 Census of Adult Probation Supervising Agencies
Data collection agents: Westat and the American Probation and Parole Association

FORM: CAPSA-1B

INSTRUCTIONS
The 2014 Census of Adult Probation Supervising Agencies (CAPSA) is designed to identify and enumerate both public
agencies and private companies that conduct adult probation supervision in the United States and to obtain information
about their organizational structures, functions, and populations supervised. Please read all definitions and questions
carefully. These definitions were developed for the purpose of this census; as such, definitions and question wording are
standardized for this national census and may not match your company’s definitions and practices. Because CAPSA is a
national data collection, we ask all study participants to use these standardized definitions.
Only four questions ask for numerical information: the counts of adults on probation for felonies, adults on probation for
misdemeanors, adults on non-reporting probation, and total number of adults on probation supervised by your company.
All other questions focus on your company’s practices.
Please provide a response to each item. Blank items will be interpreted as “unknown.” If you select “Other” as the answer
to a question, please be sure you name or describe your answer in the corresponding open text box.
Mark

to indicate your answer. If you want to change your answer, darken the box

and mark the correct answer.

You can provide comments at the end of the questionnaire; please describe any instances where you were unable to apply
the census definition when answering a question. The comment field can also be used to provide any other general or
specific comments about this questionnaire.
Thank you.
CONTACT INFORMATION:
Please complete this questionnaire by August 31, 2014. If you have questions, please contact the CAPSA Agency Support
Team at 1-888-329-8124 or by email at [email protected].
Please provide the contact information for the person completing this questionnaire.
Contact Name:
Title:
Company Name:
Address:
City:

State:
Telephone number:

 - 

 - 

Zip:
Extension:

E-mail:
Burden Statement: Under the Paperwork Reduction Act, we cannot ask you to respond to a collection of information unless it displays a currently valid OMB
control number. Public reporting burden for this collection is estimated to average 30 minutes per response, including the time for reviewing instructions,
searching existing data sources, gathering the data needed, and completing and reviewing the collection of information. Send comments regarding this burden
estimate or any aspect of this collection of information, including suggestions for reducing this burden, to the Director, Bureau of Justice Statistics, 810 Seventh
Street, NW, Washington, DC 20531; and to the Office of Management and Budget, OMB No. 1121-XXXX, Washington, DC 20503.

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KEY DEFINITIONS:
The census focuses on adult probation. However, there are some questions that reference other populations your
company may supervise. As you answer each question, please consider only adult probation, unless instructed
otherwise.

} Probation is defined as a disposition or sentence for either a felony or misdemeanor that (1) is imposed by a criminal

court and (2) places the adjudicated person under the control, supervision and care of a public or private correctional
agency. The probation conditions form a contract with the court by which the person must abide in order to remain in the
community, generally in lieu of incarceration. Often, probation entails monitoring or surveillance by a correctional agency,
but in some instances, probation may not involve any reporting requirements.

} Adult probationers are defined as persons who are subject to the authority of an adult criminal court or a public or private

correctional agency. Persons under the age of 18 who were prosecuted as adults in a criminal court are considered adults
for the purpose of this census.

SECTION A. Probation Supervision Responsibilities
1. Does your company conduct supervisory functions of adult probation?

}

Supervisory functions are where staff (e.g., officers, agents, or caseworkers) supervise adult probationers either
through face-to-face visits, mail, telephone, interactive voice recognition (IVR), or kiosks for routine reporting.

Yes

No

2. Does your company conduct non-reporting probation for adult supervision?

}

Non-reporting probation is where the adult probationer is never required, during any period of the probation term,
to report to a court, correctional authority, or your company on a regular basis either through face-to-face visits,
mail, telephone, interactive voice recognition (IVR), or kiosks.

Yes

No Æ GO TO question 3 on the next page.
2a.

On June 30, 2014, did your company’s total adult probation population consist only of adult
probationers on non-reporting probation?

Yes, STOP HERE Æ GO TO page 8 for instructions for returning your questionnaire.

No
2b.

On June 30, 2014, how many adult probationers were on non-reporting probation supervision? If your
company did not conduct non-reporting probation supervision on June 30, 2014, mark (X) “None.”
When an exact number is not available, please provide an estimate and mark (X) in the box to the right
of the figure.
Adults on non-reporting

probation
supervision

This is an estimate

None

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3. Does your company perform any of the following other functions of adult probation? Please mark “Yes” or “No”
for each item a-f below.
Yes

No

a. Administrative functions, such as, personnel management, or similar clerical or
management activities, record storage and maintenance, or budget preparation
b. Reporting activities, such as data collection and reporting, for example the preparation of
monthly or annual reports
c. Training or certification of supervision officers
d. Pre-sentencing investigations to inform case processing decisions (associated with but
not limited to sentencing decisions); activities include collecting and reporting information
related to adults’ criminal history, housing, employment, and family circumstances
e. Provision of programs and services
f. Other functions
f1. Please describe the other adult probation functions performed by your company.

4. On June 30, 2014, in how any states did your company supervise adult probationers?
States
5. From July 1, 2013 to June 30, 2014, from which type(s) of government agency/court did your company receive
adult probationers to supervise?
For each type below, please indicate if your company did not receive any probationers, received from a single
agency/court, or received from more than one agency/court.
Did not receive
from any
agency/court

Type of Agency/Court

Single agency/
court

More than one
agency/court

Federal agency/court
a. Executive branch
b. Judicial branch
c. Other
State agency/court
a. Executive branch
b. Judicial branch
c. Other
Local agency/court
a. Executive branch
b. Judicial branch
c. Other

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6. From July 1, 2013 to June 30, 2014, did any government agency/court from which your company received adults
for probation supervision conduct any of the following types of oversight of your adult probation supervision
activities? Please mark “Yes” or “No” for each item a-d below.

Yes No
a. Require your company to include a description of its policies and procedures for
supervising adult probationers in a contract or memorandum of understanding?
b. Require your company to obtain approval for any modification of its policies and
procedures for supervising adult probationers?
c. Require your company to submit periodic reports on its performance of adult supervision
activities or the status of adult probationers?
d. Perform audits or inspections of your company’s performance in supervising adult
probationers?

SECTION B. Supervision Activities
The next questions ask about supervision activities that may be conducted directly by your company. When
answering, please think about who performs the activity, regardless of who owns any equipment that might be used
to perform the activity.
7. Does your company use the following methods of reporting to conduct supervision of any adult probationers?
Please mark “Yes” or “No” for each item a-e below.

Yes No
a. Face-to-face (conducted through in-person visits such as office or field visits)
b. Mail
c. Telephone
d. Text
e. Email

8. Does your company collect fines from any adult probationers?

} Fines are monetary penalties paid by probationers. Fines include but are not limited to day fines, violation fines,
and restitution.

Yes

No

9. Does your company collect fees from any adult probationers?

} Fees are paid by probationers to cover the cost of operations which include, but are not limited to, supervision

fees, program fees, drug testing fees, pre-sentence investigation (PSI) report fees, and risk or needs assessment
fees.

Yes

No

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10. Does your company conduct intensive supervision (ISP) of any adult probationers?

} ISP is a more rigorous form of supervision than standard probation. It often emphasizes extensive contact,

stringent conditions (e.g., drug testing, curfews, employment, or program engagement), and close monitoring or
surveillance.

Yes

No

11. Does your company use electronic monitoring for the supervision of any adult probationers?

} Electronic monitoring uses electronic devices or systems to monitor or track probationers’ locations, activities, or

behaviors. Examples can include, but are not limited to radio frequency monitoring, Global Position System (GPS)
monitoring, and alcohol monitoring.

Yes

No

12. Does your company use electronic supervision for routine reporting of any adult probationers?

} Electronic supervision uses automated or electronic means, such as interactive voice recognition (IVR) or kiosks
for routine reporting. It does not include electronic monitoring, email, or text reporting.

Yes

No

13. Which of the following assessment tools are used by your company to determine level, type, or conditions of
supervision for any adult probationers? Please mark “Yes” or “No” for each item a-i below.

Yes No
a. Static Risk and Offender Needs Guide (STRONG)
b. Ohio Risk Assessment (ORAS)
c. Wisconsin Risk Assessment
d. Level of Service/Case Management Inventory (LS/CMI)
e. Level of Service Inventory-Revised (LSI-R)
f. Correctional Offender Management Profiling for Alternative Sanctions (COMPAS)
g. Global Appraisal of Individual Needs (GAIN)
h. Correctional Assessment and Intervention System (CAIS)
i. An assessment tool developed by your company or client-agency

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14. Does your company rely on staff (e.g., officer, agent, caseworker) judgment of risks and needs to determine level,
type, or conditions of supervision for any adult probationers?

Yes

No

15. Does your company rely on any other tools to determine level, type, or conditions of supervision for any adult
probationers?

Yes, please describe.

No

The next questions ask about specialized caseloads and specialized services or programs. Note that specialized
services and programs may be offered to any probationer, regardless of whether the person is a member of a
specialized caseload.
16. Does your company supervise specialized caseloads of sex offenders on adult probation or adult probationers
with mental health problems? Please mark “Yes” or “No” for each item a-b below.

Yes No
a. Specialized caseloads of sex offenders on adult probation
b. Specialized caseloads of adult probationers with mental health problems

17. Does your company provide any specialized services or programs to address the unique risks or needs of sex
offenders on adult probation?

Yes

No

18. Does your company provide any specialized services or programs to address the unique risks or needs of adult
probationers with mental health problems?

Yes

No

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SECTION C. Populations Under Supervision
The next questions ask about the types of populations that your company supervises. Some persons under your
company’s supervision may have multiple sentences or correctional statuses, and may be supervised by your
company and another correctional agency. When answering these questions, only report the types of populations
that your company has been responsible for supervising.
19. From July 1, 2013 to June 30, 2014, what type(s) of populations was your company responsible
for supervising? Please mark “Yes” or “No” for each item a-g below.
Yes

No

a. Adults awaiting trial
b. Adults whose criminal proceedings have been suspended pending a period of supervision
in the community and prior to adjudication, conviction, or sentencing.
If yes, did this include adults whose criminal proceedings were suspended prior to:
b1. Adjudication
b2. Conviction
b3. Sentencing
c. Adults on probation for a misdemeanor (or gross misdemeanor)
d. Adults on probation for a felony
e. Adults on parole or other type of post-custody conditional release
f. Juveniles
g. Other populations
g1. Please describe.

The next questions ask for the number of adult probationers supervised by your company. Please provide counts of
individual probationers, not counts of cases. Include only adult probationers regardless of whether your company
supervised other populations. Include all adult probationers regardless of their supervision or reporting status. If you
cannot provide an exact count, please provide an estimate and mark (X) the box to the right of the figure.
20. On June 30, 2014, what was the total number of adult probationers supervised by your company? Include all
adults on probation for a felony, misdemeanor (or gross misdemeanor), and all other offenses. If your company
did not supervise adult probationers on June 30, 2014, mark (X) “None.”
Adult Probationers

This is an estimate

None

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The next questions ask about the number of adult probationers supervised by your company, by most serious
offense—specifically, felony, misdemeanor, and other. Some persons under your company’s supervision may have
multiple sentences or correctional statuses, and may be supervised by your company and another correctional
agency. When answering these questions, classify probationers based on the most serious offense for which they
are being supervised by your company.
21. Are you able to provide the number (or estimate) of adult probationers supervised for a felony separately from
the number supervised for a misdemeanor?

Yes

No Æ GO TO question 24 on this page.

22. On June 30, 2014, how many adult probationers supervised by your company had a felony as their most serious
offense? If your company did not supervise adult felony probationers on June 30, 2014, mark (X) “None.”
Adult Felony
Probationers


This is an estimate

None

23. On June 30, 2014, how many adult probationers supervised by your company had a misdemeanor (or gross
misdemeanor) as their most serious offense? If your company did not supervise adult misdemeanant
probationers on June 30, 2014, mark (X) “None.”
Adult Misdemeanant
Probationers


This is an estimate

None

24. On June 30, 2014, did your company’s adult probation population include adult probationers who had as their
most serious offense something other than a felony or misdemeanor?

Yes

No

25. In the box below, please describe any changes expected to take place affecting the types of adult probationers
supervised by your company in the next 12 months. Examples might include starting or stopping supervision of
particular population types (e.g., misdemeanants, felons) or similar kinds of changes.

Comments?

Thank you for participating in the 2014 Census of Adult Probation Supervising Agencies.
Please keep a copy of this survey for your records.
Please return completed form to:

If you have any questions or comments, contact:

Mail:

Fax:

CAPSA AGENCY SUPPORT TEAM
1-888-329-8124
E-mail: [email protected]

CAPSA (8838)
Westat
1600 Research Boulevard
Rockville, Maryland 20850-3129
301-279-4508

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