Form CAPSA - 1A CAPSA - 1A 2014 Census of Adult Probation Supervising Agencies Publ

CAPSA-1A

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

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 65 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 of Bureau of
Justice Statistics, 810 Seventh Street, NW, Washington, DC 20531; and to the Office of Management
and Budget, OMB No 1121-0339, Washington, DC 20503.

Purpose of Census
The Census of Adult Probation Supervising Agencies (CAPSA) is designed to identify
and enumerate adult probation supervising agencies in the United States and obtain
information about their organizational structures, authority, functions, and populations
supervised. Most questions asked in the census focus on the agency's practices; only a
few questions ask for numerical information—specifically, aggregate counts of
probationers and supervision officers.
This census focuses on adult probation. However, there are some questions that
reference other populations your agency may supervise. As you answer each question,
please consider only adult probation unless instructed otherwise.
Click on the “Next” button to view information on how to move through the survey and
report your answers. Throughout the survey, you may click on the “Glossary” button to
view definitions of terms used in this census.

2

Instructions
Answering Questions
You can move through the survey by clicking the “Next” button. Your answers will be saved
automatically when you click the “Next” button. Return to the previous question to view or change
your answers by clicking the “Back” button. Do not use the back button on your browser; this will
not save your data to the survey system.
Please provide a response to each item. Blank items will be interpreted as “unknown.” If the
answer to a question is “zero,” select “None” on the question screen.
If you select “Other,” as the answer to a question, please make sure to name or describe your
answer in the corresponding open text box.
If you leave a question screen or close the window in your browser without clicking on the “Next”
or “Back” button, any answers you have just entered will be lost.
You can access the glossary of definitions to key items by clicking on the “Glossary” button found
at the bottom of each screen. To return to the survey, please click the “Back” button.
You may enter or change answers to questions at any time prior to submission.
Completing the Survey Later
You can stop your work on the survey at any time - just be sure to click the “Next” button before
you leave the survey.
When you come back, after you login, you will be able to resume your work beginning from the
first unanswered question.
Submitting the Completed Survey
After completing the survey, you must click on the “Submit Survey” button on the last screen.
When we receive the survey, we will review your responses and contact you if we need to clarify
any information.
Please complete this questionnaire online by August 31, 2014.
To revise a response after you have clicked “Submit Survey,” please contact Westat at
bjscapsa@westat.com or call the CAPSA Agency Support Team at 1-888-329-8124.
Providing Additional Information
If you indicate you will be providing lists of correctional residential facilities, private companies, or
missing probation agencies by email or fax, please remember to send that information after
completing the survey, and please include your login PIN along with the list(s) so that we know
the information is being provided by your agency.
Assistance Answering Questions
If you need assistance or have any questions, please contact us at bjscapsa@westat.com or call
the CAPSA Agency Support Team at 1-888-329-8124.

3

Key Definitions
As you answer each question, please consider only adult probation, unless instructed
otherwise. A copy of these definitions was provided along with your login PIN.
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 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 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.
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 agency's definitions and practices.
Because CAPSA is a national data collection, we ask all agencies to use these
standardized definitions.

4

GLOSSARY
The terms below are defined in the questionnaire; they are italicized and indicated by the heading
“►DEFINITION.” Definitions and question wording are standardized for this national census and
may not match your agency’s definitions and practices. Because CAPSA is a national data
collection, we ask all agencies to use these standardized definitions. There is a comment field at
the end of the survey; 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.

Key Definitions
Probation
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 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
Persons who are subject to the authority of an adult criminal court or 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.
Your agency
In this survey, you will be asked questions about NAME, ADDRESS. The survey will use
“NAME” and the term “your agency” interchangeably.
Because CAPSA is a national data collection, we ask all agencies to use the same
approach to determine the scope of their agency (for example, whether to consider field
or satellite probation offices) when completing the survey. The first questions focus on
the role NAME has in establishing probation policies or defining probation procedures for
adult probation supervision. Your answers to these first questions will be used to define
your agency for the purpose of this census.
Please consider only adult probation, unless instructed otherwise in specific questions,
even if your agency supervises other correctional populations.

5

Other Definitions
Administrative functions
Personnel management, or similar clerical or management activities, record storage and
maintenance, or budget preparation.
Authority
The ability to make decisions regarding policies and procedures governing adult probation.
For the purpose of this census, statutes are not considered to be policies or procedures.
Correctional residential facilities
Community-based facilities operated exclusively for correctional populations. Residents
may be provided programs and services, and may be allowed extensive contact with the
community, such as for employment, work, or attending school, but all residents are
obligated to occupy the premises at night. Examples include, but are not limited to, halfway
houses, restitution centers, detention centers, and prerelease or work release centers.
Electronic monitoring
Supervision conducted using 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.
Electronic supervision
Supervision conducted using 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.
Face-to-face supervision
Supervision conducted through in-person visits such as office or field visits.
Fees
Money 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.
Field or satellite probation office
A probation office that is operated by a larger agency/department. It may actually
manage/supervise adult probationers, but it does not establish any policies or define any
procedures for adult probation for itself.
Fines
Monetary penalties paid by probationers. Fines include but are not limited to, day fines,
violation fines, and restitution.
Intensive supervision probation (ISP)
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.
Non-reporting probation
Supervision where the adult probationer is never required, during any period of the
probation term, to report to a court or correctional authority on a regular basis either through
face-to-face visits, mail, telephone, interactive voice recognition (IVR), or kiosks.

6

Operational responsibility
The responsibility for implementing decisions related to the established policies and defined
procedures of adult probation.
Pre-sentencing investigations
Activities to inform case processing decisions (associated with but not limited to sentencing
decisions); activities include collecting and reporting information related to adult
probationers’ criminal histories, housing, employment, and family circumstances.
Reporting activities
Data collection or reporting, for example the preparation of monthly or annual reports.
Staffing
The hiring, terminating, re-assigning, or promoting of staff.
Supervision officers
Full- and part-time staff who spend any amount of time supervising adult probationers,
regardless of their position or the amount of time they spend conducting activities in addition
to adult probation supervision. Some agencies may refer to these staff as officers, agents,
or caseworkers.
Supervisory functions
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.

7

SECTION A. Contact Information
1.

Please provide the contact information for the person completing this questionnaire.
Contact Name: ____________________________________________
Title: ____________________________________________________
Agency Name:_____________________________________________
Address: _________________________________________________
_____________________________________________________
Telephone: _____________________

Extension: _____________

Email: ___________________________________________________

SECTION B. Organizational Structure
One of the goals of CAPSA is to develop a comprehensive listing of adult probation supervising
agencies in the United States. Throughout this questionnaire, the term “your agency” will be used
to identify NAME, ADDRESS.
Characteristics of your agency will be used to help determine which questions in this survey are
the most appropriate for you to answer. The first questions in this section ask about the role your
agency has in establishing probation policies or defining probation procedures for adult probation
supervision. When answering these questions:



2.

Do not consider statutes/laws enacted by a legislative entity such as state
legislatures, county boards, and city councils.
Do not consider implementing established policies or defined procedures. Your
agency’s role in implementation will be addressed in later questions.

Which one of the following best describes NAME? Please mark “Yes” or “No” for each
item a-c below.
Yes
a.
b.

c.

NAME is an agency that establishes all probation policies and
defines all probation procedures for itself ..................................... 1
NAME is an agency that establishes some probation policies
or defines some probation procedures for itself, with other
policies or procedures being set by a higher level
agency/department ...................................................................... 1
NAME is a field or satellite probation office
►DEFINITION: A field or satellite probation office is operated
by a larger agency/department. It may actually
manage/supervise adult probationers, but it does not
establish any policies or define any procedures for adult
probation for itself ........................................................................ 1

8

No

2

2

2

The next questions ask if NAME has any role in establishing probation policies or defining
probation procedures for another probation office. When answering these questions,



3.

Do not consider any private company that might be responsible for
supervising adult probationers on behalf of NAME.
Do not consider any government entity that might be responsible for providing
programs/services to adult probationers on behalf of NAME, but is not a
probation office.

Does NAME establish all probation policies and define all probation procedures for a field
or satellite probation office?
►DEFINITION: A field or satellite probation office is operated by a larger
agency/department. It may actually manage/supervise adult probationers, but it does
not establish any or define any policies for adult probation for itself.
1
2

4.

Yes
No

Does NAME establish any probation policies or define any probation procedures for any
probation office other than a field or satellite probation office(s) — where that office(s) can
also establish some probation policies or define some probation procedures for itself?
►INSTRUCTION:
 Consider only a probation office(s) that can establish some probation policies or
define some probation practices for itself.
1
2

Yes
No

9

IF 2a IS YES AND (2b, 2c, 3 AND 4) ARE NOT YES:
As you complete this questionnaire, the term your agency will be used to refer to NAME. Please
report for NAME when answering all questions.
IF 2b IS YES AND (2a, 2c, 3 AND 4) ARE NOT YES:
As you complete this questionnaire, the term your agency will be used to refer to NAME. Please
report for only NAME when answering all questions; do not consider the higher level
agency/department in your answers.
IF 2c IS YES:
Please contact us at bjscapsa@westat.com or call the CAPSA Agency Support Team at 1-888329-8124 before proceeding with this questionnaire.
IF MORE THAN ONE IN (2a, 2b, 2c) IS YES:
Please contact us at bjscapsa@westat.com or call the CAPSA Agency Support Team at 1-888329-8124 before proceeding with this questionnaire.
IF NONE IN (2a, 2b, 2c) IS YES:
Please contact us at bjscapsa@westat.com or call the CAPSA Agency Support Team at 1-888329-8124 before proceeding with this questionnaire.
IF 2a AND 3 ARE YES AND 4 IS NOT YES:
As you complete this questionnaire, the term your agency will be used to refer to NAME. Please
report for NAME and any field or satellite probation office(s) when answering all questions. The
field or satellite office(s) will not be asked to report separately on CAPSA. Do not consider any
other type of probation office(s) in your answers.
IF 2a AND 4 ARE YES AND 3 IS NOT YES:
As you complete this questionnaire, the term your agency will be used to refer to NAME. Please
report for only NAME when answering all questions; do not consider any other type of probation
office(s) in your answers. The other probation office(s) will be asked to report separately on
CAPSA.
IF 2b AND 3 ARE YES AND 4 IS NOT YES:
As you complete this questionnaire, the term your agency will be used to refer to NAME. Please
report for NAME and any field or satellite probation office(s) when answering all questions. The
field or satellite office(s) will not be asked to report separately on CAPSA. Do not consider the
higher level agency/department or other type of probation office(s) in your answers.
IF 2b AND 4 ARE YES AND 3 IS NOT YES:
As you complete this questionnaire, the term your agency will be used to refer to NAME. Please
report for only NAME when answering all questions; do not consider any other type of probation
office(s) or the higher level agency/department in your answers.

10

Also, as you continue with this questionnaire, please report on only adult probation, unless
instructed otherwise in specific questions, even if NAME supervises other correctional
populations.
5.

Does NAME have responsibility for any policies, procedures, or activities related to adult
probation?
1
2

6.

Yes
No

Does NAME conduct supervisory functions of adult probation?
►DEFINITION: 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.
1
2

7.

Yes
No →SKIP TO TAILORED AGENCY DEFINITION BEFORE QUESTION 8.

Does NAME conduct non-reporting probation for adult supervision?
►DEFINITION: Non-reporting probation is where the adult probationer is never
required, during any period of the probation term, to report to a court or correctional
authority on a regular basis either in person, by telephone or mail, or through
electronic supervision.
1
2

7a.

Yes
No → SKIP TO TAILORED AGENCY DEFINITION BEFORE QUESTION 8.

On June 30, 2014, did your agency’s total adult probation population consist only
of probationers on non-reporting probation?
1
2

Yes →SKIP TO SECTION G.
No

11

TAILORED AGENCY DEFINITION INSTRUCTION (to be inserted as described throughout
questionnaire):
IF 2a IS YES AND (2b, 2c, 3 AND 4) ARE NOT YES:
Please remember, the term your agency is used to refer to NAME. Please report for NAME when
answering these questions.
IF 2b IS YES AND (2a, 2c, 3 AND 4) ARE NOT YES:
Please remember, the term your agency is used to refer to NAME. Please report for only NAME
when answering these questions; do not consider the higher level agency/department in your
answers.
IF 2c IS YES:
Please contact us at bjscapsa@westat.com or call the CAPSA Agency Support Team at 1-888329-8124 before proceeding with this questionnaire.
IF MORE THAN ONE IN (2a, 2b, 2c) IS YES:
Please contact us at bjscapsa@westat.com or call the CAPSA Agency Support Team at 1-888329-8124 before proceeding with this questionnaire.
IF NONE IN (2a, 2b, 2c) IS YES:
Please contact us at bjscapsa@westat.com or call the CAPSA Agency Support Team at 1-888329-8124 before proceeding with this questionnaire.
IF 2a AND 3 ARE YES AND 4 IS NOT YES:
Please remember, the term your agency is used to refer to NAME. Please report for NAME and
any field or satellite probation office(s) when answering these questions. The field or satellite
office(s) will not be asked to report separately on CAPSA. Do not consider any other type of
probation office(s) in your answers.
IF 2a AND 4 ARE YES AND 3 IS NOT YES:
Please remember, the term your agency is used to refer to NAME. Please report for only NAME
when answering these questions; do not consider any other type of probation office(s) in your
answers. The other probation office(s) will be asked to report separately on CAPSA.
IF 2b AND 3 ARE YES AND 4 IS NOT YES:
Please remember, the term your agency is used to refer to NAME. Please report for NAME and
any field or satellite probation office(s) when answering these questions. The field or satellite
office(s) will not be asked to report separately on CAPSA. Do not consider the higher level
agency/department or other type of probation office(s) in your answers.
IF 2b AND 4 ARE YES AND 3 IS NOT YES:
Please remember, the term your agency is used to refer to NAME. Please report for only NAME
when answering all questions; do not consider any other type of probation office(s) or the higher
level agency/department in your answers.

12

8.

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

b.
c.
d.

e.

f.

9.

Administrative functions, such as personnel management, or
similar clerical or management activities, record storage and
maintenance, or budget preparation ............................................ 1
Reporting activities, such as data collection or reporting, for
example the preparation of monthly or annual reports ................. 1
Training or certification of supervision officers .............................. 1
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 ....................................... 1
Provision of programs and services, either directly by your
agency or through a third party (e.g., community-based
service provider, private contractor) ............................................. 1
Other............................................................................................ 1
f1. Please describe the other functions performed by your
agency. ________________________________________
_______________________________________________

What is the geographic jurisdiction served by NAME?
1
2
3
4
5
6

District/Circurt
Multiple counties
Entire single county
Other local entity (e.g., city or town)
Statewide
Other (Please describe) _______________________________
__________________________________________________

10.

Which branch of government is NAME located in?
►INSTRUCTION:
 If NAME is a private entity, check “Private.”
1
2
3
4
5
6
7
8
9

Federal judicial branch
State executive branch
State judicial branch
County executive branch
County judicial branch
Other local executive branch
Other local judicial branch
Private→SKIP TO PRIVATE EXIT.
Other (Please describe) _______________________________
__________________________________________________
13

No

2

2
2

2

2
2

PRIVATE EXIT:
Based on the information you have provided, it appears that your agency or company
should complete a different survey designed especially for private entities. A member of
the CAPSA Agency Support Team will contact you in the next few days. In the meantime,
if you have questions about the CAPSA, you can contact the team at
bjscapsa@westat.com or call 1-888-329-8124.
Thank you for providing this information and for your support of the 2014 Census Adult
Probation Supervising Agencies.
IF 8a-f ALL = NO, SKIP TO SECTION G.

SECTION C. Authority and Operational Responsibility
The next questions ask you to identify who has authority and operational responsibility for various
aspects of adult probation.
►DEFINITION: Authority refers to the ability to make decisions regarding policies and
procedures governing adult probation. For the purpose of this census, statutes are not
considered to be policies or procedures.
►DEFINITION: Operational responsibility refers to the responsibility for implementing
decisions related to the established policies and defined procedures of adult probation.
PRESENT TAILORED AGENCY DEFINITION INSTRUCTION
11.

Who has authority to set the budget for NAME? Please mark “Yes” or “No” for each item
a-d below.
►INSTRUCTION:
 Providing recommendations about the amount of your agency’s budget is not
considered setting your agency’s budget.
Yes
a.
b.
c.
d.

Legislative entity such as a state legislature, county board, or
city council ................................................................................... 1
Higher level entity other than your agency or a legislative
entity ............................................................................................ 1
Your agency, the entity for which you are reporting ...................... 1
Other............................................................................................ 1
d1. Please name/describe ____________________________

14

No
2

2
2
2

12.

Once your agency’s budget has been set, who has responsibility for operations spending
for NAME? Please mark “Yes” or “No” for each item a-e below.
Yes
a.
b.
c.
d.
e.

13.

Legislative entity such as a state legislature, county board, or
city council ................................................................................... 1
Higher level entity other than your agency or a legislative
entity ............................................................................................ 1
Your agency, the entity for which you are reporting ...................... 1
Lower level entity than your agency, that is not part of your
agency ......................................................................................... 1
Other............................................................................................ 1
e1. Please name/describe ____________________________

No
2

2
2

2
2

Who has authority to set the number of full-time equivalent (FTE) or part-time equivalent
(PTE) positions for NAME? Please mark “Yes” or “No” for each item a-d below.
►INSTRUCTION:
 Providing recommendations about the number of FTE or PTE positions for
your agency is not considered setting the number of positions.
Yes
a.
b.
c.
d.

14.

Legislative entity such as a state legislature, county board, or
city council ................................................................................... 1
Higher level entity other than your agency or a legislative
entity ............................................................................................ 1
Your agency, the entity for which you are reporting ...................... 1
Other............................................................................................ 1
d1. Please name/describe ____________________________

No
2

2
2
2

Once the numbers of FTE and PTE positions are set, who has responsibility for staffing at
NAME? Please mark “Yes” or “No” for each item a-e below.
►DEFINITION: Staffing is defined as at least one of the following: hiring, terminating,
re-assigning, or promoting of staff.
Yes
a.
b.
c.
d.
e.

Legislative entity such as a state legislature, county board, or
city council ................................................................................... 1
Higher level entity other than your agency or a legislative
entity ............................................................................................ 1
Your agency, the entity for which you are reporting ...................... 1
Lower level entity than your agency, that is not part of your
agency ......................................................................................... 1
Other............................................................................................ 1
e1. Please name/describe ____________________________

15

No
2

2
2

2
2

The next questions ask about establishing policies, defining procedures, and implementing
procedures for adult probation. These may address issues such as levels of supervision, use of
risk assessments, or the type and frequency of contact. Sometimes policies and procedures are
set to meet adult probation standards which may be established by your agency or a higher level
agency or court system.
►INSTRUCTION:
 In some states an entity, such as an administrative office of the courts, might establish
adult probation standards but not actually establish policies or define procedures. For the
purpose of this census, issuing such standards is not considered establishing policies or
defining procedures.
PRESENT TAILORED AGENCY DEFINITION INSTRUCTION
15.

Who has the authority to establish policies for the supervision of adult probationers in
NAME? Please mark “Yes” or “No” for each item a-d below.
Yes
a.
b.
c.
d.

16.

Legislative entity such as a state legislature, county board, or
city council ................................................................................... 1
Higher level entity other than your agency or a legislative
entity ............................................................................................ 1
Your agency, the entity for which you are reporting ...................... 1
Other............................................................................................ 1
d1. Please name/describe ____________________________

No
2

2
2
2

Once policies are established, who has responsibility for defining procedures for the
supervision of adult probationers at NAME? Please mark “Yes” or “No” for each item a-e
below.
Yes
a.
b.
c.
d.
e.

Legislative entity such as a state legislature, county board, or
city council ................................................................................... 1
Higher level entity other than your agency or a legislative
entity ............................................................................................ 1
Your agency, the entity for which you are reporting ...................... 1
Lower level entity than your agency, that is not part of your
agency ......................................................................................... 1
Other............................................................................................ 1
e1. Please name/describe ____________________________

16

No
2

2
2

2
2

17.

Once procedures are defined for NAME, who has responsibility for implementing
procedures for the supervision of adult probationers? Please mark “Yes” or “No” for each
item a-e below.
Yes
a.
b.
c.
d.
e.

Legislative entity such as a state legislature, county board, or
city council ................................................................................... 1
Higher level entity other than your agency or a legislative
entity ............................................................................................ 1
Your agency, the entity for which you are reporting ...................... 1
Lower level entity than your agency, that is not part of your
agency ......................................................................................... 1
Other............................................................................................ 1
e1. Please name/describe ____________________________

No
2

2
2

2
2

The next question ask about funding sources for adult probation.
18.

From July 1, 2013 to June 30, 2014, did your agency use funding from any of the following
sources for adult probation? Please mark “Yes” or “No” for each item a-j below.
Yes
a.
b.
c.
d.
e.
f.
g.
h.
i.
j.

Federal grant ............................................................................... 1
Federal sources other than federal grants ................................... 1
State grant ................................................................................... 1
State sources other than state grants (include any regular
allocation) .................................................................................... 1
County sources (include any regular allocation) ........................... 1
City or municipal sources (include any regular allocation) ............ 1
Court costs paid by adult probationers ......................................... 1
Fines paid by adult probationers .................................................. 1
Fees paid by adult probationers ................................................... 1
Any other sources ........................................................................ 1
j1. Please identify the other sources: ____________________
_______________________________________________

IF 6 = NO, SKIP TO QUESTION 38.

17

No
2
2
2

2
2
2
2
2
2
2

19.

Does your agency collect fines from any adult probationers either directly or through a
third party?
► DEFINITION: Fines are monetary penalties paid by probationers. Fines include,
but are not limited to, day fines, violation fines, and restitution.
1
2
3
4

20.

No fines are collected
Collected directly by agency
Collected through a third party
Collected both directly and through a third party

Does your agency collect fees from any adult probationers either directly or through a third
party?
► DEFINITION: Fees are paid by probationers to cover the cost of operations and
include, but are not limited to, supervision fees, program fees, drug testing fees, presentence investigation (PSI) report fees, and risk or needs assessment fees.
1
2
3
4

No fees are collected
Collected directly by agency
Collected through a third party
Collected both directly and through a third party

SECTION D. Functions of Supervision
The next questions ask about supervision activities that may be conducted directly by your agency
or through a third party such as a private company, non-profit organization, or different
government agency. When answering, please think about who performs the activity, regardless
of who owns any equipment that might be used to perform the activity.
PRESENT TAILORED AGENCY DEFINITION INSTRUCTION
Also, please consider only adult probation, unless instructed otherwise in specific questions, even
if your agency supervises other correctional populations.
21.

Does your agency use the following methods of reporting to conduct supervision of any
adult probationers, either directly or through a third party? Please mark “Yes” or “No” for
each item a-d below.
a.
b.
c.
d.

Yes

No

1

2

Mail ..............................................................................................
Telephone .................................................................................... 1
Text.............................................................................................. 1
Email............................................................................................ 1

18

2
2
2

22.

At entry to probation, does your agency conduct an initial face-to-face visit with all (or
nearly all) adult probationers, either directly or through a third party?
► DEFINITION: Face-to-face supervision is conducted through in-person visits such
as office or field visits.
1
2
3
4

23.

No face-to-face visit is done at entry
Done directly by agency
Done through a third party
Done both directly and through a third party

Excluding an initial visit at entry to probation, does your agency conduct face-to-face
supervision with any adult probationers, either directly or through a third party?
► DEFINITION: Face-to-face supervision is conducted through in-person visits such
as office or field visits.
1
2
3
4

24.

No face-to-face supervision is done
Done directly by agency
Done through a third party
Done both directly and through a third party

Does your agency conduct intensive supervision (ISP) of any adult probationers, either
directly or through a third party?
► DEFINITION: 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.
1
2
3
4

25.

No ISP is done
Done directly by agency
Done through a third party
Done both directly and through a third party

Does your agency use electronic monitoring for the supervision of any adult probationers,
either directly or through a third party?
► DEFINITION: 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.
1
2
3
4

No electronic monitoring is done
Done directly by agency
Done through a third party
Done both directly and through a third party

19

26.

Does your agency use electronic supervision for routine reporting of any adult
probationers, either directly or through a third party?
► DEFINITION: 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.
1
2
3
4

27.

No electronic supervision is done
Done directly by agency
Done through a third party
Done both directly and through a third party

Which of the following assessment tools are used by your agency to determine level, type,
or conditions of supervision for any adult probationers? Please mark “Yes” or “No” for each
item a-i below.
Yes
a.
b.
c.
d.
e.
f.
g.
h.
i.

28.

2
2
2
2
2

2
2
2
2

Does your agency rely on staff (e.g., officer, agent, or caseworker) judgment of risks and
needs to determine level, type, or conditions of supervision for any adult probationers?
1
2

29.

Static Risk and Offender Needs Guide (STRONG) ...................... 1
Ohio Risk Assessment (ORAS) .................................................... 1
Wisconsin Risk Assessment ........................................................ 1
Level of Service/Case Management Inventory (LS/CMI) .............. 1
Level of Service Inventory-Revised (LSI-R).................................. 1
Correctional Offender Management Profiling for Alternative
Sanctions (COMPAS) .................................................................. 1
Global Appraisal of Individual Needs (GAIN) ................................ 1
Correctional Assessment and Intervention System (CAIS) ........... 1
An assessment tool developed by your agency............................ 1

No

Yes
No

Does your agency rely on any other tools to determine level, type, or conditions of
supervision for any adult probationers?
1
2

Yes, please describe: _________________________________
No

20

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 has been assigned to a specialized caseload.
30.

Does your agency supervise specialized caseloads of sex offenders on adult probation or
adult probationers with mental health problems, either directly or through a third party?
Please mark “Yes” or “No” for each item a-b below.
Yes
a.
b.

31.

2

2

Does your agency provide any specialized services or programs to address the unique
risks or needs of sex offenders on adult probation?
1
2
3
4

32.

Specialized caseloads of sex offenders ....................................... 1
Specialized caseloads of adult probationers with mental
health problems ........................................................................... 1

No

No electronic monitoring is done
Done directly by agency
Done through a third party
Done both directly and through a third party

Does your agency provide any specialized services or programs to address the unique
risks or needs of adult probationers with mental health problems?
1
2
3
4

No electronic monitoring is done
Done directly by agency
Done through a third party
Done both directly and through a third party

The next questions ask about your agency’s role in setting terms and conditions of supervision.
PRESENT TAILORED AGENCY DEFINITION INSTRUCTION
Also, please consider only adult probation, unless instructed otherwise in specific questions, even
if your agency supervises other correctional populations.
33.

Can your agency impose standard or special conditions of probation for any type of adult
probationers? Imposing conditions includes amending or removing conditions as well as
adding new conditions. Please mark “Yes” or “No” for each item a-d below.
a.
b.
c.
d.

Yes

No

1

2

Remove existing standard conditions ...........................................
Impose new or amend existing standard conditions ..................... 1
Remove existing special conditions.............................................. 1
Impose new or amend existing special conditions ........................ 1

21

2
2
2

34.

Can your agency grant an early positive discharge to any type of adult probationer prior
to the scheduled expiration of their sentence without prior approval by a judge or court?
This type of discharge may be granted in response to the satisfaction of conditions, earned
time credits, or in accordance with agency policy.
1
2

35.

Can your agency extend any type of adult probationer’s period of supervision beyond the
court imposed sentence without prior approval by a judge or court?
1
2

35a.

2

Yes
No

Can your agency impose a period of incarceration for any type of adult probationer without
prior approval by a judge or court? Incarceration may be imposed in response to a violation
of conditions or a revocation and may vary in duration.
1
2

37.

Yes
No→SKIP TO QUESTION 36.

Can your agency only extend an adult probationer’s period of supervision if the
probationer has not yet satisfied the terms of their court imposed sentence (e.g., a
sentence of one year on probation and completion of drug treatment, but drug
treatment has not yet been completed) without prior approval by a judge or court?
1

36.

Yes
No

Yes
No

The next questions ask about your agency’s use of correctional residential facilities.
► DEFINITION: Correctional residential facilities are community-based facilities
operated exclusively for correctional populations. Residents may be provided
programs and services, and may be allowed extensive contact with the community,
such as for employment, work, or attending school, but all residents are obligated to
occupy the premises at night. Examples include, but are not limited to, halfway
houses, restitution centers, detention centers, and prerelease or work release
centers.
Does your agency use correctional residential facilities to hold any adult probationers?
1
2

Yes
No

22

38.

(Excluding any correctional residential facilities that your agency uses), are you aware of
any correctional residential facilities used to hold adult probationers in your state?
1
2

Yes
No

ROUTING #1.
IF 37 = NO AND 38 = NO, SKIP TO ROUTING #3.
IF 37 = BLANK AND 38 = NO, SKIP TO ROUTING #3.
ELSE, CONTINUE WITH QUESTION 39.
39.

Who operates correctional residential facilities in your state? Please mark “Yes” or “No”
for each item a-e below.
Yes
a.
b.
c.
d.
e.

40.

Federal entity ...............................................................................
State entity ...................................................................................
Local entity...................................................................................
Joint state and local entities .........................................................
Private entity ................................................................................

No

1

2

1

2

1

2

1

2

1

2

We would like to know the name of each correctional residential facility and, if possible,
the county in which each is located in your state. Please indicate if you would prefer to
provide this information by email, fax, or if you would like to enter the information at this
time. If sending information by email or fax, please be sure to include your login PIN.
1
2

3
4

Email → SEND THE INFORMATION TO bjscapsa@westat.com
Fax→ FAX THE INFORMATION TO THE CAPSA AGENCY SUPPORT
TEAM AT XXX-XXX-XXXX
Enter information now
I cannot provide this information

ROUTING #2.
IF 40 = ENTER INFORMATION NOW, CONTINUE WITH QUESTION 41.
ELSE, SKIP TO ROUTING #3.
41.

Please provide the name and county in which each correctional residential facility is
located.
Name of correctional residential facility
County/Counties

Name of correctional residential facility
County/Counties
23

ROUTING #3.
IF 6 = NO AND ANY 8a-f = YES, GO TO QUESTION 57.
ELSE, CONTINUE.

SECTION E. Supervision Officers
The next questions ask about supervision officers in your agency.
► DEFINITION: Supervision officers are full- and part-time staff who spend any
amount of time supervising adult probationers, regardless of their position or the
amount of time they spend conducting activities in addition to adult probation
supervision. Some agencies may refer to these staff as officers, agents, or
caseworkers.
PRESENT TAILORED AGENCY DEFINITION INSTRUCTION
42.

Are none, some or all of the supervision officers in your agency authorized to carry
firearms?
1
2
3

42a.

How many of the supervision officers who carry firearms are required to do so?
1
2
3

43.

None → SKIP TO QUESTION 43.
Some
All

None
Some
All

Do none, some or all of your supervision officers have the authority to arrest adult
probationers supervised by your agency?
1
2
3

None
Some
All

24

44.

On June 30, 2014, how many full- and part-time supervision officers worked in your
agency? Please remember to include all full- and part-time staff who spend any amount
of time supervising adult probationers, regardless of their position, or the amount of time
they spend conducting activities in addition to adult probation supervision. If your agency
did not have any supervision officers on June 30, 2014, mark (X) “None.”
__________ Supervision officers
None

IF 44 > 0, CONTINUE.
ELSE, SKIP TO QUESTION 45.
44a.

Is this an exact count or an estimate?
1
2

45.

Exact count
Estimate

Did none, some or all of the supervision officers in your agency supervise populations
other than adult probationers?
1
2
3

None
Some
All

25

SECTION F. Populations Supervised
The next questions ask about populations that may be supervised by your agency.
PRESENT TAILORED AGENCY DEFINITION INSTRUCTION
46.

From July 1, 2013 and June 30, 2014, what type(s) of populations was your agency
responsible for supervising? Please mark “Yes” or “No” for each item a-g below.
►INSTRUCTION:
 Some persons under your agency’s supervision may have multiple sentences or
correctional statuses, and may be supervised by your agency and another
correctional agency. When answering this question, only report the types of
populations that your agency was responsible for supervising.
Yes
a.
b.

c.
d.
e.
f.
g.

Adults awaiting trial ...................................................................... 1
Adults whose criminal proceedings have been suspended
pending a period of supervision in the community and prior to
adjudication, conviction, or sentencing ......................................... 1
IF 46b=YES: Did this include adults whose criminal
proceedings were suspended prior to:
b1. Adjudication ....................................................................... 1
b2. Conviction ............................................................................. 1
b3. Sentencing ......................................................................... 1
Adults on probation for a misdemeanor (or gross
misdemeanor) .............................................................................. 1
Adults on probation for a felony .................................................... 1
Adults on parole or other type of post-custody conditional
release ......................................................................................... 1
Juveniles ...................................................................................... 1
Other populations......................................................................... 1
g1. Please describe the other populations: ________________
_______________________________________________

ROUTING #4.
IF (46a-b AND 46e-g) = SKIP TO ROUTING #5.
ELSE, CONTINUE.

26

No
2

2

2
2
2

2
2

2
2
2

The next questions ask for aggregate counts of populations supervised by your agency.
47.

On June 30, 2014, what was the total number of individuals supervised by your agency?
►INSTRUCTIONS:
 Include persons supervised by your agency regardless of their supervision or
reporting status.


Include persons supervised by your agency for which legal responsibility was
retained by another jurisdiction or agency, such as through an interstate compact
agreement



Exclude persons for which your agency was legally responsible but were
supervised outside of your jurisdiction or by another agency, such as through an
interstate compact agreement.



Exclude persons for which your agency was legally responsible but were
supervised by a private company or other correctional entity, such as a prison, jail,
or correctional residential facility.



Your answer to this question should reflect the total of all population types
represented in your answer to the previous question, if they were supervised on
June 30, 2014. To review the previous question, press the BACK button.



If your agency did not supervise any individuals on June 30, 2014, mark (X) “None.”

__________ Total population
None
IF 47 > 0, CONTINUE.
ELSE, SKIP TO ROUTING #5.
47a.

Is this an exact count or an estimate?
1
2

Exact count
Estimate

ROUTING #5.
IF 47 = BLANK, SKIP TO PRESENTATION OF TAILORED AGENCY DEFINITION
INSTRUCTION.
IF 47 = 0, SKIP TO QUESTION 57.
ELSE, CONTINUE.

27

PRESENT TAILORED AGENCY DEFINITION INSTRUCTION
Also, focus only on adult probation supervision, even if your agency supervises other populations.
The next questions ask for the number of adult probationers supervised by your agency.
►INSTRUCTIONS:
 Provide counts of individual probationers, not counts of cases.

48.



Include only adult probationers regardless of whether your agency supervised other
populations.



Include all adult probationers regardless of their supervision or reporting status.



Include all adult probationers supervised by your agency for which legal
responsibility was retained by another jurisdiction or agency, such as through an
interstate compact agreement.



Exclude adult probationers for which your agency was legally responsible but were
supervised outside of your jurisdiction or by another agency, such as through an
interstate compact agreement.



Exclude adult probationers for which your agency was legally responsible but were
supervised by a private company or other correctional entity, such as a prison, jail
or correctional residential facility.

On June 30, 2014, what was the total number of adult probationers supervised by your
agency? Include all adults on probation for a felony, misdemeanor (or gross
misdemeanor), and any other offense. If your agency did not supervise any adult
probationers on June 30, 2014, mark (X) “None.”
__________ Adult probationers
None

IF 48 > 0, CONTINUE.
ELSE, SKIP TO ROUTING #6.
48a.

Is this an exact count or an estimate?
1
2

Exact count
Estimate

ROUTING #6.
IF 46c = NO AND 46d = NO, SKIP TO QUESTION 52.
IF 46c = NO, SKIP TO QUESTION 50.
IF 46d = NO, SKIP TO QUESTION 51.
ELSE, CONTINUE.

28

The next questions ask for the number of adult probationers supervised by your agency, by most
serious offense—specifically, felony, misdemeanor, and other. Some persons under your
agency’s supervision may have multiple sentences or correctional statuses, and may be
supervised by your agency and another correctional agency. When answering these questions,
classify probationers based on the most serious offense for which they are being supervised by
your agency.
49.

Are you able to provide the number (or estimate) of adult probationers supervised for a
felony separately from the number supervised for a misdemeanor?
1
2

50.

Yes
No → SKIP TO QUESTION 52.

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

IF 50 > 0, CONTINUE.
ELSE,
IF 46c = NO, SKIP TO QUESTION 52.
ELSE, SKIP TO QUESTION 51.
50a.

Is this an exact count or an estimate?
1
2

Exact count
Estimate

IF 46c = NO, SKIP TO QUESTION 52.
51.

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

IF 51 > 0, CONTINUE.
ELSE, SKIP TO QUESTION 52.
51a.

Is this an exact count or an estimate?
1
2

Exact count
Estimate

29

52.

On June 30, 2014, did the adult probation population supervised by your agency include
probationers who had as their most serious offense something other than a felony or
misdemeanor?
1
2

Yes
No

ROUTING #7.
IF 7 = YES, ASK QUESTION 53.
ELSE, SKIP TO ROUTING #8.
53.

On June 30, 2014, what was the total number of adults on non-reporting probation that
were supervised by your agency? If your agency did not supervise any adults on nonreporting probation on June 30, 2014, mark (X) “None.”
►DEFINITION: Non-reporting probation is where the adult probationer is never
required, during any period of the probation term, to report to a court or correctional
authority on a regular basis either in person, by telephone or mail, or through
electronic supervision.
__________ Adults on non-reporting probation
None

IF 53 > 0, CONTINUE.
ELSE, SKIP TO ROUTING #8.
53a.

Is this an exact count or an estimate?
1
2

Exact count
Estimate

ROUTING #8.
IF 37 = YES (USED CRF), ASK QUESTION 54.
OTHERWISE, SKIP TO QUESTION 55.
54.

On June 30, 2014, how many adult probationers for which your agency was legally
responsible were held in a correctional residential facility? (Note: This type of probationer
should have been excluded from any counts that you provided elsewhere in this
questionnaire.) If your agency did not have any adult probationers held in a correctional
residential facility on June 30, 2014, mark (X) “None.”
__________ Probationers held in a correctional residential facility
None

IF 54 > 0, CONTINUE.
ELSE, SKIP TO QUESTION 55.
54a.

Is this an exact count or an estimate?
1
2

Exact count
Estimate
30

55.

From July 1, 2013 to June 30, 2104, did your agency ever use private companies to
supervise any adult probationers?
1
2

56.

Yes
No → SKIP TO QUESTION 57.

On June 30, 2014, how many adult probationers for which your agency was legally
responsible were supervised by a private company? (Note: This type of probationer should
have been excluded from any counts that you provided elsewhere in this questionnaire.)
If your agency did not have any adult probationers assigned to supervision by a private
company on June 30, 2014, mark (X) “None.”
__________ Probationers supervised by a private company
None

IF 56 > 0, CONTINUE.
ELSE, SKIP TO QUESTION 57.
56a.

Is this an exact count or an estimate?
1
2

57.

Exact count
Estimate

(Excluding any private company that your agency has used), are you aware of any (other)
private companies that are responsible for any function of adult felony or misdemeanant
probation in your state?
1
2

Yes
No

ROUTING #9.
IF 55 = NO AND 57 = NO, SKIP TO SECTION G.
IF 55 = BLANK AND 57 = NO, SKIP TO SECTION G.
ELSE, CONTINUE WITH QUESTION 58.

31

58.

We would like to know the name of any private companies and, if possible, the county in
which each is responsible for any function of adult felony or misdemeanant probation in
your state. Please indicate if you would prefer to provide this information by email, fax, or
if you would like to enter the information at this time. If sending information by email or fax,
please be sure to include your login PIN.
1
2

3
4

Email → SEND THE INFORMATION TO bjscapsa@westat.com
Fax→ FAX THE INFORMATION TO THE CAPSA AGENCY SUPPORT
TEAM AT XXX-XXX-XXXX
Enter information now
I cannot provide this information

ROUTING #10.
IF 58 = ENTER INFORMATION NOW, CONTINUE WITH QUESTION 59.
ELSE, SKIP TO SECTION G.
59.

Please provide the name of each private company that operates in your state, and county
(or counties) in which each is located.
Name of private company
County/Counties

Name of private company
County/Counties

SECTION G. Other Probation Agencies
60.

CAPSA is designed to identify and enumerate adult probation supervising agencies in the
United States. Please review the list of agencies responsible for adult probation
supervision throughout your state that was sent with the PIN you used to access this
survey. If you need a copy of the list, you can contact the CAPSA Agency Support Team
at bjscapsa@westat.com or call 1-888-329-8124.

`

Not counting any agency that you might have already reported on this survey, are you
aware of any other agencies responsible for any administrative, reporting, or supervisory
functions of adult probation in your state that are missing from the list?
1
2

Yes
No

ROUTING #10.
IF 60 = NO, SKIP TO SECTION H.
ELSE, CONTINUE WITH QUESTION 61.

32

61.

We would like to know the name of any missing agency and, if possible, county in which
it is located. Please indicate if you would prefer to provide this information by email, fax,
or if you would like to enter the information at this time. If sending information by email or
fax, please be sure to include your login PIN.
1
2

3
4

Email → SEND THE INFORMATION TO bjscapsa@westat.com
Fax→ FAX THE INFORMATION TO THE CAPSA AGENCY SUPPORT
TEAM AT XXX-XXX-XXXX
Enter information now
I cannot provide this information

ROUTING #11
IF 61 = ENTER INFORMATION NOW, CONTINUE WITH QUESTION 62.
ELSE, SKIP TO SECTION H.

62.

Please provide the name and county in which each agency is located.
Name of agency
County/Counties

Name of agency
County/Counties

33

SECTION H. Planned Population Changes
PRESENT TAILORED AGENCY DEFINITION INSTRUCTION
63.

In the next 12 months, are any changes expected to take place affecting the types of adult
probationers supervised by your agency?
Yes

No

IF 46d=YES, SKIP TO QUESITON 66b ROUTING.
a. Agency will begin to supervise adults on probation for a felony .... 1
IF 46d=NO, SKIP TO QUESTION 63c ROUTING.

2

b. Agency will stop supervising adults on probation for a felony ....... 1
IF 46c=YES, SKIP TO QUESTION 63d ROUTING.

2

c.

Agency will begin to supervise adults on probation for a
misdemeanor (or gross misdemeanor) ........................................ 1
IF 46c=NO, SKIP TO QUESITON 63e.
d.
e.

Agency will stop supervising adults on probation for a
misdemeanor (or gross misdemeanor) ........................................ 1
Other change is planned .............................................................. 1
e1. Please describe the other change: ___________________
_______________________________________________

2

2
2

SECTION I. Comments
64.

Definitions and questions are standardized for this national census and may not match
your agency’s definitions and practices. Please describe any instances where you were
unable to apply the census definition when answering a question.

65.

Please provide any general comments about the census or other comments that would be
important to interpreting your responses.

34