Guide to Grants

I. Introduction to BJA Grants

What types of funding does BJA have?

BJA administers four types of funding programs: Benefits, Discretionary, Formula, and Payment.

Benefits Programs
Benefits programs provide direct payments to eligible individuals as designated by Congress. Currently, BJA funds one direct benefits program, the Public Safety Officers’ Benefits (PSOB) Program, which includes the Public Safety Officers’ Educational Assistance (PSOEA) Program.

Discretionary Programs
Discretionary grants fund programs for which BJA has some flexibility in selecting topics and grantees. In general, BJA awards discretionary grants to local governments, states, American Indian and Alaska Native tribes and tribal organizations, educational institutions, private nonprofit organizations, and for-profit organizations. Most BJA funds are awarded through formula grant programs.

Some discretionary awards are competitive and make a pool of funds available to a targeted group of applicants. Examples of limited competition programs are the Drug Court Discretionary Grant Program, Gang Resistance Education And Training , Indian Alcohol and Substance Abuse Program, Justice and Mental Health Collaboration Program, Prescription Drug Monitoring Program, Prisoner Reentry Initiative, and Tribal Courts Assistance Program.

Formula Programs
Formula grants are awarded to states and local governments according to legislatively established formulas that often are based on population or crime statistics. Within each local or state jurisdiction, a state administrative agency (SAA) or chief executive officer (such as a mayor) is responsible for administering these funds.

One of BJA’s formula grant program—the Edward Byrne Memorial Justice Assistance Grant (JAG) Program is guided by the principle that federal dollars should support initiatives that work and are backed by the communities they serve. Both programs emphasize local decisionmaking, and they have had a significant impact on the safety of millions of Americans by allowing local communities and states to craft their own responses to local crime and drug problems.

Payment Programs
Payment programs provide funding to participating jurisdictions for designated purposes but do not involve postaward activities. The State Criminal Alien Assistance Program (SCAAP), Bulletproof Vest Partnership (BVP) Program, and Southwest Border Prosecution Initiative are examples of such programs.

What funding opportunities does BJA have?

In FY 2008, BJA has limited discretionary money available. Most BJA funds are awarded through BJA formula programs. Edward Byrne Memorial Justice Assistance Grant (JAG) Program funds are awarded directly to state governments, which then set priorities and allocate funds within their state. For more information on how a state intends to distribute formula grant funds, contact the appropriate State Administering Agency (SAA).

BJA also awards funds to states and units of local government through the JAG Program.

In addition, other OJP bureaus and program offices offer funding opportunities to enhance and improve criminal justice systems and services for crime victims. Visit OJP's Funding Opportunities page for a list of open grant programs.

The Office of Community Oriented Policing Services (COPS) offers funding to advance community policing services. Visit the COPS Funding page for a list of grant programs.

II. Managing Your Grant

A. Award Documents

What do I do with the award documents?

Carefully read the award document and special conditions because this award is a legally binding agreement. If you accept the terms and conditions of the award, have your designated official sign a copy of the award document and special conditions. A "designated official" is the person authorized by your organization to sign awards and may include, but is not limited to, county executives, executive directors, governors, and mayors.

Within 45 days of the award date, you must return the signed award document and special conditions to the Office of the Chief Financial Officer (OCFO) Control Desk:

Office of Justice Programs
Office of the Chief Financial Officer
Attn: Control Desk
810 Seventh Street NW Fifth Floor
Washington, DC 20001

If you do not accept the terms/conditions, contact your BJA program manager immediately.

Note: OJP will not disburse funds unless it has received these signed documents.

What are special conditions?

Special conditions are the terms that must be adhered to during implementation of the project. All awards will include, among others, special conditions concerning (a) compliance with the Office of the Chief Financial Officer Financial Guide, (b) compliance with the Office of Management and Budget audit requirements, and (c) the submission of an Equal Employment Opportunity Plan. Failure to comply with special conditions may result in a withholding of funds or suspension or termination of an award.

Also, by accepting the award, you agree to complete and keep on file the U.S. Citizenship and Immigration Services Employment Eligibility Verification (I-9) form (PDF) for each employee. All U.S. employers are responsible for completing and retaining the I-9 form for each individual they hire for employment in the United States. This includes citizens and noncitizens. On the form, you must verify the employment eligibility and identity documents the employee presented and record the information on the documents.

B. How To Obtain Payments

Why isn’t a check sent with the award document?

Checks are not sent because the U.S. Department of the Treasury has asked all federal agencies to use electronic direct deposit for payments. You must submit an Automated Clearing House (ACH) form that is signed by your financial institution (included in the award package) to the Office of the Chief Financial Officer (OCFO). The form asks for your bank routing number and account information to establish electronic direct deposits. If you have questions about the ACH form, contact the OCFO Customer Service Center:

1-800-458-0786
TDD: 202-616-3867
Fax: 202-353-9279
Email: ask.ocfo@usdoj.gov

How do I get paid?

Generally, you may request funds (this process is called a drawdown) using (1) the Phone Activated Paperless Request System (PAPRS), (2) the Letter-of-Credit Electronic Certification System (LOCES), or (3) the U.S. Department of Treasury's Automated Standard Application for Payments (ASAP) system. If you choose PAPRS, you use a touch-tone telephone to request funds. LOCES requires you to use a modem, personal computer, and specialized software (provided by the Office of the Comptroller (OC)). If you are not currently a LOCES user, you will have access to either PAPRS or ASAP.

Whichever payment method is used, you should request funds based on immediate disbursement requirements. Grant funds are not paid in a lump sum, but rather disbursed over time as costs are incurred or anticipated [with the exception of Bulletproof Vest Partnership (BVP) Program, Local Law Enforcement Block Grant (LLEBG) Program, and State Criminal Alien Assistance Program (SCAAP), each of which is paid in a lump sum]. You should time your drawdown requests to ensure that federal cash on hand is the minimum needed for disbursements to be made immediately or within a few days.

After you complete a drawdown, funds will be electronically deposited into the account designated on the Automated Clearing House (ACH) form. The Office of the Chief Financial Officer (OCFO) Customer Service Center can answer any questions you may have about payments:

1-800-458-0786
TTY: 202-616-3867
Fax: 202-353-9279
Email: ask.ocfo@usdoj.gov

For more information on payments, go to Part III, Chapter 1 of the OCFO Financial Guide. This chapter also provides information about minimum cash on hand.

Note: Exceptions to this payment process include the BVP, LLEBG, and SCAAP programs (each program is addressed elsewhere in this section).

How do I get my Bulletproof Vest Partnership (BVP) funds?

All reimbursements are processed online. You must provide information about the vests you purchased and then submit a request for payment. After you provide this information, the payment is processed and transferred to the designated Automated Clearing House (ACH) account provided to us through your registration. This entire process takes about 3-4 weeks. Only the applying jurisdiction can request payment. If you are a law enforcement agency, you will only be able to report that you received the vests, and the jurisdiction will then need to request payment on your agency’s behalf.

How do I get my State Criminal Alien Assistance Program (SCAAP) payment?

After the SCAAP application period has closed and the Bureau of Immigration and Customs Enforcement (ICE) has reviewed the data, all payments are calculated using a relational formula. All payments are then released simultaneously. These payments are made electronically only to the state’s or unit of local government’s general fund, not to accounts established for any submitting agency or department within the governmental unit.

Each applicant will receive e-mail notification that the payment is ready for acceptance. Payments are made through the Grants Management System (GMS). If you have not previously provided your bank account information to the Office of Justice Programs, you must provide an Automated Clearing House (ACH) form prior to payment. For a copy of the ACH form or for more information, please contact the Office of the Chief Financial Officer (OCFO) Customer Service Center:

1-800-458-0786
TTY: 202-616-3867
Fax: 202-353-9279
Email: askocfo@ojp.usdoj.gov

C. Changes to Your Grant

What is a grant supplement?

A supplement is the name for a grant that continues to fund an existing project with the same organization. A supplement essentially adds money and may add time to a current grant to continue the project with only a slight change, if any, to the scope of the project. The grant number and the start date remain the same. The same grant can have several supplements; the first supplement is designated by (S-1), the second supplement by (S-2), and so on.

For example, ACME, Inc., received a BJA grant of $100,000 to support its crime prevention program. The grant number is 2002-XX-YY-0001. The grant period was 10/01/2001-09/30/2002. ACME, Inc., was later selected to receive a second 12-month grant of $50,000 to support the same program. BJA awarded the new grant as a supplement to the original one. The supplement is designated as grant number 2002-XX-YY-0001 (S-1). The total grant amount is now $150,000 ($100,000 + $50,000), and the grant period is now 10/01/2001-09/30/2003 (extended by 12 months).

BJA, in consultation with the grantee, decides whether to award a grant supplement. Except for the special designation mentioned above (e.g., S-1), supplements are treated the same as all other grants. For the supplement to be awarded, the grantee must submit an application, which includes a detailed budget.

Notes: BJA no longer supplements the Byrne Formula or Violent Offender Incarceration and Truth-in-Sentencing Incentive grants. In addition, Edward Byrne Memorial Justice Assistance Grant (JAG) Program are not supplemented.

What is a no-cost extension, and how do I get one for my grant?

A no-cost extension only extends the time; it does not provide additional money. Most BJA grants can be extended to give the grantee additional time to complete grant-funded activities.

To receive a no-cost extension, you must first submit a written request to your BJA program manager that states why you need an extension to complete the grant-funded activities. You must also indicate how much additional time is required. The letter should also include an estimate of the remaining balance of the grant. Requests should be submitted at least 60 calendar days before the award is scheduled to end.

No-cost extensions are not automatically granted. Your program manager will review the extension request to make sure that your reasons for needing an extension are justified and appropriate. He or she will also check to make sure that you have fulfilled all financial and programmatic requirements for the grant. If you are delinquent in submitting the required reports (e.g., Financial Status Reports) for the grant, your request may not be approved. If your request is approved, you will receive a Grant Adjustment Notice that shows the grant’s new end date.

Please see Part III, Chapter 2 of the Office of the Chief Financial Officer’s (OFCO’s) Financial Guide for additional information.

Note: Local Law Enforcement Block Grants (LLEBG)are never extended. Because of the LLEBG Program’s underlying statute, the recipient jurisdiction has a 24-month combined obligation and expenditure period in which to use its specific fiscal year’s LLEBG funds. Program funds may be neither obligated nor expended before or after the 24-month period. There are no exceptions to this policy.

What is a Grant Adjustment Notice (GAN)?

BJA authorizes changes in grants through a Grant Adjustment Notice (GAN). A GAN officially modifies the grant award and is just as binding as the certifications and conditions issued with the initial award. Examples of circumstances under which GANs are completed include:

Deviations from approved budgets.
Change in scope of grant.
Contracting for or transferring of grant-supported effort.
Date changes.
Name change agreements.
Successor in interest agreements.
Temporary absence of the project director.
Withdrawal of or change in project director.
Change in program manager.
No-cost grant extension.
Grant closeout.

BJA carefully reviews requests for changes to grants, in coordination with the Office of the Chief Financial Officer (OCFO), to make sure they are consistent with OCFO’s Financial Guide and to ensure the grant program’s goals and objectives are addressed. Changes are officially recognized once the GAN has been reviewed and certified by OCFO through the issuance of a GAN date and number. You will receive a copy of the approved GAN for your files.

Please explain the 10-percent budget modification rule.

The 10-percent rule only applies to awards that exceed $100,000 or any award that has a change in scope. If an award is less than $100,000 and the scope of the project does not change, prior approval to modify your budget is not required. However, you still should contact your program manager to inform him or her of the proposed changes and make sure that these changes are allowed under the grant program.

If an award exceeds $100,000 and the cumulative changes between approved budget categories exceed 10 percent of the total grant amount or change the scope of the project, you are required to get BJA’s prior approval. Please check your files or contact your program manager for a copy of the approved budget for the grant (i.e., the Office of the Chief Financial Officer Final Financial Clearance Memorandum or a subsequent Grant Adjustment Notice, if the budget was revised after the award was made). The budget will show the amount of money in each budget category (personnel, fringe benefits, travel, equipment, supplies, consultants/contracts, other costs, and indirect costs).

To obtain a budget modification, you must submit a written request to your program manager. The request should explain the reasons for the budget modification and clearly indicate how the money is being reallocated and for what it will be used. It should also include a chart that shows the new budget. The chart should have four columns (see below). The first will list the names of the budget categories, the second will display the current approved budget as broken down by category, the third will show the difference (plus or minus) by category between the current budget and the revised budget, and the fourth will show the revised budget, again by category. The example below requests the grantee to seek prior approval because the changes exceed 10 percent of the approved budget. For example, 10 percent of the award is $10,000. The cumulative change amounts equal $14,000; therefore, prior approval from BJA is required.

Example:

Category	Current Budget	Change (+/-)	Revised Budget
Personnel	$40,000	$0	$40,000
Fringe Benefits	$15,000	$0	$15,000
Travel	$15,000	($10,000)	$5,000
Equipment	$2,500	$2,500	$5,000
Supplies	$1,500	$1,500	$3,000
Consultants/Contracts	$20,000	$10,000	$30,000
Other Costs	$6,000	($4,000)	$2,000
Total Direct Costs	$100,000	$0	$100,000
Indirect Costs	$0	$0	$0
Total Project Costs	$100,000	$0	$100,000

If your budget modification request is approved, you will receive a Grant Adjustment Notice (GAN) that shows the new approved budget for the grant. You must be current with all programmatic and financial requirements for the budget modification to be approved.

Please see Part III, Chapter 5 of the Office of the Chief Financial Officer’s (OCFO’s) Financial Guide for additional information.

Note: The 10-percent rule does not apply to formula grant programs, such as the Edward Byrne Memorial Justice Assistance Grant (JAG) Program, because BJA does not approve the budgets.

When do I need to notify my program manager?

You should keep in regular contact with your BJA program manager to let him or her know about the status of your grant. Your program manager has a wealth of information that can be valuable to your organization or program. For example, he or she can direct you to funding opportunities, training and technical assistance resources, and other important information that could help you better implement and manage your grant. You should also contact your program manager if you would like him or her to attend any significant grant-related activities or events.

You must notify your program manager if you would like to make changes to the grant that require prior approval from BJA. These changes include no-cost extensions, budget modifications (e.g., the 10 percent rule), consultant fees that exceed $450 per day, and changes to the scope of the project. When in doubt, contact your program manager. He or she is your first point of contact for your grant. You may contact your program manager via telephone, fax, e-mail, or written correspondence.

Note: Under the Edward Byrne Memorial Justice Assistance Grant (JAG) Program, you should communicate with your program manager via the e-mail feature of the Grants Management System (GMS). The authorized user(s) of GMS (the jurisdiction’s chief executive officer and the point of contact) should use this e-mail feature for all JAG-related matters. This will ensure that the online, electronic “grant file” will maintain an accurate record of all communications, both sent and received.

D. Reporting Requirements

What financial reports do I need to submit?

For each grant, you must submit a Financial Status Report (known as SF-269a or FSR) via the OJP Grants Management System. Financial Status Reports are due four times per year:

By May 15, you must submit an SF-269a covering the period January 1-March 31.
By August 14, you must submit an SF-269a covering the period April 1-June 30.
By November 14, you must submit an SF-269a covering the period July 1-September 30.
By February 14, you must submit an SF-269a covering the period October 1-December 31.

For more information on the SF-269a report, go to Part III, Chapter 11 of the OC Financial Guide. If you have questions about how to complete the form, contact the OC Customer Service Center:

1-800-458-0786
TTY: 202-616-3867
Fax: 202-353-9279
E-mail: askoc@ojp.usdoj.gov

Note: State Criminal Alien Assistance Program (SCAAP), Bulletproof Vest Partnership (BVP), and Southwest Border Prosecution Initiative (SWBPI) awards do not require Financial Status Reports.

What program reports do I need to submit?

For discretionary grants, you must submit a semiannual Progress Report (OJP Form 4587/1) via the OJP Grants Management System. In this report, describe what you have accomplished on your grant. Progress reports are due twice a year:

By July 30, you must submit a report covering the period January 1-June 30.
By January 31, you must submit a report covering the period July 1-December 31.

Certain BJA discretionary programs have specific formats. Please see the Grantee Toolbox for a list of those programs. Submit your progress report to the OC Control Desk.

For more information on progress reports, go to Part III, Chapter 11 of the OC Financial Guide.

Do I have to submit an audit report?

Per the OC Financial Guide, "non-federal entities that expend $500,000 or more in federal funds (from all sources including pass-through subawards) in the organization fiscal year (12-month turnaround reporting period) shall have a single organization-wide audit conducted in accordance with the provisions of the Office of Management and Budget's (OMB's) Circular A-133" ("Audits of States, Local Governments, and Non-Profit Organizations").

On June 27, 2003, OMB issued final revisions to Circular A-133. The revision increases the threshold for audits from $300,000 to $500,000 and increases the threshold for cognizant agency for audit from $25 million to $50 million, among other things. The revisions are effective for fiscal years ending after December 31, 2003.

Audits are due no later than nine months after the close of each fiscal year during the term of the award and must be distributed as described in Part III, Chapter 19 of the OC Financial Guide.

E. Program Evaluation

What is program evaluation?

Evaluation involves assessing whether and to what extent you have implemented projects or programs as intended and whether you achieve your goals and objectives, according to our governing statute, the Omnibus Crime Control and Safe Streets Act of 1968, as amended.

Many resources are available to help you evaluate your programs. These resources can be found on the BJA Evaluation web site. The web site provides you with an introduction to evaluation concepts and methodologies, strategies for developing evaluation plans, tools for data collection and analysis, and links to helpful publications.

The National Institute of Justice, the criminal justice research and evaluation arm of the U.S. Department of Justice, receives funding from BJA to evaluate the impact of a limited number of BJA programs. However, BJA grantees are also expected to conduct their own evaluation activities. BJA recognizes that no single strategy for program evaluation suits all programs or projects, but you should keep some basic points in mind. Programs must have clear goals and objectives and a logic so that program activities and interventions have expected results and outcomes. When choosing an evaluation strategy, consider the purpose of the evaluation, the level of confidence that you want to have in the study’s findings, and issues such as time and cost. For example, depending on the nature of the program and the rigor desired, an evaluation can take as little as a few months or as long as several years. Routine compliance monitoring is not a substitute for evaluation.

Evaluation requirements for specific BJA programs may be listed in the grant solicitation, grant special conditions, or program guidelines. At a minimum, every program or project must contain performance measures. These measures offer a way to objectively measure the degree of success a program has had in achieving its stated objectives, goals, and planned program activities. Performance measurement includes systematic collection of data on the level of activities (process), direct products or services delivered by the program (outputs), and the results of those activities (outcomes). For example, the number of clients served, change in attitude, and rearrest rates may all be performance measures. However, unlike formal evaluation studies, performance measurement does not necessarily establish causal connections between the project’s activities and these results.

You may wish to undergo two main types of evaluation: process evaluation and outcome evaluation. Process evaluation focuses on how a program was implemented and how it operates. It identifies what procedures were undertaken and what decisions were made when developing the program. It also describes how the program operates, the services it delivers, and the functions it carries out. Finally, process evaluation addresses whether the program was implemented and is providing services as intended. It focuses on inputs, activities, and outputs. However, by additionally documenting the program’s development and operation, it allows an assessment of the reasons for successful or unsuccessful performance and provides information for potential replication.

Outcome evaluation identifies whether the program caused demonstrable effects. It seeks to answer management’s question, “What difference did the program make?” and provides a statement about the net effects of a program after a specified period of operation. This type of evaluation provides information about (1) the extent to which the problems and needs that gave rise to the program still exist, (2) ways to ameliorate adverse impacts and enhance desirable impacts, and (3) program design adjustments that may be indicated for the future. An impact evaluation is a type of outcome evaluation that focuses on the broad, long-term effects of program activities. For example, an impact evaluation could show that a decrease in a community’s crime rate is the direct result of a program designed to provide community policing.

Are there any resources that can help me?

Many resources are available to help you evaluate your programs. These resources can be found on the BJA Evaluation web site, which provides contact information and links to publications. Of note is the document, Evaluating Drug Control and System Improvement Projects: Guidelines for Projects Supported by the Bureau of Justice Assistance (National Institute of Justice, August 1989, NCJ 118938), which provides basic information about program evaluation. Many other documents that provide how-to information are available on this web site, including the Guide to Frugal Evaluation for Criminal Justice.

Every state has a Statistical Analysis Center (SAC) that collects and analyzes justice systems data for the entire state. In some states, SACs help design or implement evaluations. State administering agencies, who administer BJA’s formula grant programs, can also help. Some states have partnered with universities or have in-house staff who can assist you with evaluation. Universities often can help design or implement an evaluation. Also, some grantees have offered graduate student internships to assist in evaluation activities. Finally, you can review program evaluations that other grantees have already conducted to get information about appropriate evaluation designs. Completed evaluations are available on the BJA Evaluation web site and the National Institute of Justice web site.

F. Administrative Requirements

What kind of files should I maintain for my grant?

BJA recommends that you set up a six-part file for each grant you have been awarded:

Part 1: Application.
Part 2: Correspondence.
Part 3: Award Documents.
Part 4: Grant Adjustment Notices.
Part 5: Financial Status Reports (SF-269as).
Part 6: Progress Reports.

Please note that federal law requires both BJA and grantees to maintain all records and project materials for 3 years from the date of the single audit report covering the entire grant period is closed. (See Part III, Chapter 12 of the Office of the Chief Financial Officer Financial Guide). This requirement ensures that complete information is available if OJP or another oversight agency (e.g., General Accounting Office, Office of the Inspector General) conducts an audit of your grant.

My grant period has ended, and I have completed all of the substantive work. What do I do to close out the grant?

After consulting with you, your program manager will begin the process of closing out the grant. Before a grant can be closed, you must:

(a) Complete all substantive work and grant products (e.g., a publication or training curriculum) identified in your grant award documents.

(b) Make sure you have submitted Financial Status Reports (known as SF-269a or FSR) and Progress Reports (OJP Form 4587/1) for the entire life of the grant.

(c) Submit a final Financial Status Report to the Office of the Chief Financial Officer (OCFO) within 120 days of the grant’s end date, and inform your program manager that you have done so.

(d) Submit a final Progress Report to OC within 120 days of the grant's end date, and inform your program manager that you have done so.

After you have completed and submitted these forms, your program manager will work with OCFO to close your grant. Once the grant is programmatically and financially closed, you will receive a copy of a Grant Adjustment Notice (GAN) from OCFO. If you do not receive a copy of the GAN within a reasonable amount of time, contact your program manager. He or she will be able to update you on the status of the closeout.

Please note that federal law requires both BJA and grantees to maintain all records and project materials for 3 years from the date of the single audit report covering the grant period is closed. (See Part III, Chapter 12 of the OCFO Financial Guide.) This requirement ensures that complete information is available if OJP conducts an audit of your grant.

For further information on grant closeouts, please refer to Part III, Chapter 18 of the OCFO Financial Guide.

III. Program-Specific Q&A

A. Bulletproof Vest Partnership (BVP) Program

Who is eligible to receive funding under the Bulletproof Vest Partnership (BVP) Program?

Eligible jurisdictions include general purpose units of local government (such as cities, counties, parishes, and municipalities), federally recognized American Indian tribes, the 50 states, the District of Columbia, and the 5 territories.

Any vest purchased after March 1, 1999 that meets applicable National Institute of Justice standards (which can be found on the National Law Enforcement and Corrections Technology Center Web site) is eligible for funding. The jurisdiction’s chief executive officer or authorized representative must submit the application. The entire application and payment process takes place over the Internet via the BVP web site.

How are payments determined?

An applicant may request funds to help purchase one vest per officer per year. The chief executive officer of each eligible jurisdiction determines the number of vests its eligible law enforcement agencies need. Funding levels are established using jurisdiction population, available funding, and statutory program set-asides based on jurisdiction size.

Beginning in 2002, federal payments cover 50 percent of the total vest costs for smaller jurisdictions with populations of fewer than 100,000 residents. For larger jurisdictions, the program provides up to 50 percent of the funding; actual percentages will vary depending on each year’s appropriation and statutory funding requirements for smaller jurisdictions.

You can view the jurisdictions funded in FY 2008 on the BVP Web site. Historical BVP funding award information for FY 1999 through FY 2007 is also available online on the BVP Web site.

If we don’t get full funding (50 percent), who determines how much each law enforcement agency gets?

Funding amounts are based on the jurisdiction’s population, amount of available funds, and statutory funding requirements. The chief executive officer of each jurisdiction (or designee) is responsible for determining the process by which the available funding is applied to the needs of the individual law enforcement agency. The chief executive officer is also responsible for ensuring that the law enforcement agency adheres to imposed limits when completing its vest purchasing reports.

How do I get paid?

Where can I find information about eligible vests?

You can find information about eligible vests through the National Law Enforcement and Corrections Technology Center’s online Body Armor Testing Program Database. The database provides the latest list of approved vest models and vest manufacturers.

Where can I find information on vest standards?

You can find information on vest standards through the National Law Enforcement and Corrections Technology Center’s online Body Armor Testing Program Database.

Can I purchase other types of ballistic equipment through this program?

No. This program allows you to purchase only body armor that has been tested and found to comply with the National Institute of Justice’s (NIJ’s) Standard 0101.03 or 0101.04 for the Ballistic Resistance of Police Body Armor, NIJ's New Stab Standard 0115.00, or subsequent versions thereof. It does not cover ballistic helmets, gloves, or any other type of ballistic equipment.

Can I purchase body armor for K-9 units through this program?

No. Vests provided through this program must be tested and found to comply with the applicable National Institute of Justice (NIJ) standard. Vests that have been modified for K-9 units have not been tested by NIJ; therefore, they are not eligible for matching funds.

Are stab-resistant vests eligible now?

Yes. The National Institute of Justice issued the new stab-resistant body armor standard 0115.00 in September 2000. Several dozen vests are now included in the acceptable list, accessible on the National Law Enforcement and Corrections Technology Center Web site.

10.

Are threat level IV vests eligible for funding?

Yes. Threat level I and above vests are eligible for funding. Specific makes and models of all National Institute of Justice-approved level IV vests are online at the National Law Enforcement and Corrections Technology Center Web site.

11.

Can I buy threat level IV vests for our SWAT team?

Yes, as long as your jurisdiction can fund at least 50 percent of the cost, the purchase does not exceed the allowable limits for your jurisdiction, and the vests comply with applicable National Institute of Justice standards.

12.

My agency would like to upgrade the trauma/ballistic plates for vests we already own. Will the Bulletproof Vest Partnership (BVP) Program provide for such an upgrade?

No. Using BVP funds to purchase trauma plates for existing vests is currently not permitted. The program does permit the use of federal funds to offset up to 50 percent of the total vest cost, which includes the cost of the vest; vest carriers; attachments; inserts; covers considered integral or essential for the vest’s proper care, use, and wearability; shipping; handling; fitting charges; and applicable taxes. However, this total cost assumes that the vest is being purchased along with the attachments and inserts.

13.

Can a vest manufacturer or distributor participate in the BVP Program?

Yes, you can participate if you are a manufacturer or distributor of bullet-resistant or stab-resistant vests that have been tested and found to comply with the National Institute of Justice’s (NIJ) voluntary standards. For the latest list of approved vest models and vest manufacturers, visit the National Law Enforcement and Corrections Technology Center’s online Body Armor Testing Program Database.

As a vest manufacturer or distributor, you can register online and be listed in the “yellow pages” of the Bulletproof Vest Partnership Program web site. Manufacturers and distributors have their own instructions (electronic handbook) on the BVP web site. Basic manufacturer information is already preloaded, based on the NIJ database of eligible vests. Distributors may supply vests to eligible jurisdictions regardless of whether they are listed in the NIJ database or the BVP yellow pages.

B. Edward Byrne Memorial State and Local Law Enforcement Assistance Formula Grant Program

Can my city receive Byrne Formula Grant Program funds?

No, cities are not eligible for direct Byrne Formula grants. The 50 states, the District of Columbia, and the 5 territories are eligible to apply for formula grant funds. The chief executive (usually the Governor) of each participating state designates a state office to administer the state’s Byrne Program and to coordinate the distribution of funds. These state offices are referred to as State Administering Agencies (SAAs).

Local jurisdictions may seek funding through subgrants and should contact their designated SAA office to obtain application information. Typically, overall funding plans and funding decisions are made by advisory boards that consist of a community's leading criminal justice officials, including police chiefs, prosecutors, chief justices, and corrections commissioners. Alternatively, in many states, funds are distributed through subgrants to local units of government in block form with decisions made locally on individual projects. In these instances, local practitioners should contact these local agencies and any advisory boards they appoint for application information.

What is the administrative fund requirement?

Up to 10 percent of formula grant funds allocated to a state may be used to pay for costs incurred in administering the formula grant program. Staff that can be supported with these funds include agency heads, planners, fiscal officers, Statistical Analysis Center personnel (if they are part of the State Administering Agency and/or contracted to help it), programmatic monitors/program managers, and clerical staff.

What is the match requirement?

At least 25 percent of the cost of a program or project funded with a formula grant must be paid in cash (not in-kind (e.g., donated services)) with nonfederal funds. These “match” funds must be in addition to funds that would otherwise be made available by the recipient for law enforcement. In other words, grant funds may not be used to supplant existing funding sources.

For more information on match requirements, please go to Part III, Chapter 3 of the Office of the Comptroller's Financial Guide.

Can I use Byrne Formula funds to support federal task forces?

Yes. Byrne Formula funds may be used for purposes related to federal task forces or other federally related functions. After a review and consultation with OJP’s Office of General Counsel, BJA has concluded that funds awarded under the Byrne Formula program may be used to pay the salaries and related expenses for state and local personnel who are cross-designated as prosecutors in both federal and state courts or who are participating in a task force operated by a federal agency or office. In no case should an individual be paid twice for the same work.

Is there a minimum passthrough amount for each state?

Each state must "pass through" (i.e., subgrant) a portion of its award to local government agencies within the state. The minimum passthrough amount for each state is based on the percentage of funds expended for criminal justice purposes by units of local government relative to total state and local criminal justice expenditures in the state. These expenditures must be funded by state and local revenue sources (e.g., taxes, charges and fees, utility revenue, and interest earnings). The requirement only applies to the 50 states. The District of Columbia, because of its designation as a local unit of government, is required to pass through 100 percent. The territories do not have a passthrough requirement because of their single-level government structure.

Because the passthrough percentages are not automatically recalculated each year, they may remain the same over a period of years. Each year, BJA issues the required passthrough percentages for each state as part of its announcement of the due date for that fiscal year's application. The fiscal year 2002 passthrough amounts can be found in the most recent Byrne Formula Grant Program fact sheet.

What are the allowable expenditures under the Byrne Formula Grant Program?

The Byrne Formula Grant Program has 29 authorized purpose areas. Funds can be used to provide additional personnel, equipment, training, technical assistance, and information systems for the apprehension, prosecution, adjudication, and detention and rehabilitation of persons who violate these laws and to assist the victims of crimes.

For more information on allowable and unallowable costs, please refer to Part III, Chapter 7 of the Office of the Comptroller's Financial Guide. This chapter incorporates cost principles and Office of Management and Budget requirements. Information about confidential fund expenditures can be found in Part III, Chapter 8.

Can Byrne funds be used to pay for travel and training costs?

Yes. Travel and training costs are allowable expenses within an approved program under the Byrne Formula Grant Program. You may follow your own established travel rates. However, OJP’s Office of the Comptroller reserves the right to determine the reasonableness of those rates. Subgrantees of states must follow their state’s established travel policy. If a state does not have an established travel policy, the subgrantee must abide by the federal travel rates. Information about the current federal travel policy and per diem rate is available on the General Services Administration (GSA) web site.

What are some of the inappropriate expenditures under Byrne?

Inappropriate expenditures would include awarding subgrants under programs not included as part of the statewide strategy. Each state must develop a statewide strategy, which covers the 4-year grant period and is updated annually, to improve its criminal justice system. Statewide strategies emphasize drug trafficking, violent crime, and serious offenders. Programs or projects funded by Byrne Formula subgrants are limited to 4 years in the aggregate, with the exception of multijurisdictional drug task forces, victims assistance programs, and multijurisdiction gang task forces.

Additionally, using Byrne funds for construction is prohibited, except for the construction of penal and correctional institutions. Acquisition of land with grant funds is prohibited.

Contact your BJA program manager if you have any questions or refer to Part III, Chapter 16 of the Office of the Comptroller's Financial Guide.

Can I use Byrne Formula funds to hire staff?

Yes. Byrne Formula funds can be used to hire additional personnel within an approved program. However, you may not hire relatives or people with whom you do business outside of the grant-paid project. For more information on conflicts of interest, refer to Part I, Chapter 3 of the Office of the Comptroller's Financial Guide.

10.

What are the rules for contracting services for Byrne-funded programs?

A state must follow the same policies and procedures it uses for procurement from its nonfederal funds. Every purchase order or other contract must include any clauses required by federal statutes and executive orders and their implementing regulations. Subrecipients of states must follow their own procurement requirements or those imposed on them by the state.

For more information about contracting and using federal or state regulations, please refer to Part III, Chapter 10 of the Office of the Comptroller Financial Guide.

11.

What are the congressional provisions for the Byrne Formula Program?

There are some congressional mandates with which states are required to comply, and there are other congressional provisions with which states are not required to comply, but noncompliance results in a forfeiture of grant funds.

States are required to comply with the following congressional mandates:

Criminal Justice Records Improvement (CJRI) Plan. States must use at least 5 percent of their formula grant awards for the improvement of criminal justice records. As of FY 2002, states may request approval from BJA to reallocate their CJRI funds for anti-terrorism purposes.

Immigration and Naturalization Plan. States must develop methods to notify the U.S. Immigration and Naturalization Service (INS) of alien convictions and to provide records of those convictions to INS.

States are not required to comply with the following provisions. However, for each provision with which a state is not in compliance, the state forfeits 10 percent of its formula grant.

Human Immunodeficiency Virus (HIV) Testing. States must enact and enforce a law that requires sex offenders to be tested for HIV if the victim requests such testing. FY 2001 HIV penalty redistribution amounts were added to FY 2002 Byrne Formula program allocations.

Jacob Wetterling Act Sex Offender Registration and Community Notification. States must establish both 10-year registration requirements for persons convicted of certain crimes against minors and sexually violent offenses and a more stringent set of registration requirements for a subclass of highly dangerous sex offenders who are characterized as sexually violent predators. You can find more information on the Jacob Wetterling Act here.

The Wetterling Act was amended by the Campus Sex Crimes Prevention Act, which provides special requirements relating to registration and community notification for sex offenders who are enrolled in or work at institutions of higher education. The final guidelines for the Campus Sex Crimes Prevention Act were published in the Federal Register (67 Fed. Reg. 65598) on October 25, 2002.

C. Drug Court Discretionary Grant Program

What training and technical assistance is available?

The National Drug Court Training and Technical Assistance Program (NDCTTAP) supports the Drug Court Program by increasing the knowledge and skills of drug court practitioners so these practitioners can plan, implement, and sustain effective drug court programs. NDCTTAP also builds capacity at the state and local levels to provide comprehensive practitioner-based training and technical assistance. The following are the three components of NDCTTAP:

The Drug Court Planning Initiative (DCPI) provides communities with the knowledge, skills, and tools they need to implement a drug court. Particular emphasis is placed on learning new roles, cross training, and developing both a team and a coordinated strategy across justice and treatment systems.

The following organizations participate in DCPI: the National Drug Court Institute, and the National Council of Juvenile and Family Court Judges.

The Drug Court Training Initiative (DCTI) provides state-of-the-art training on a variety of subjects to operational adult, juvenile, or tribal drug courts and state agencies.

The Drug Court Technical Assistance Initiative (DCTAI) provides technical assistance on a variety of subjects to operational adult, juvenile, or tribal drug courts and state agencies.

Help also is available through the Drug Court Clearinghouse Project. This program provides jurisdictions that are currently implementing drug court programs, as well as those that are considering developing or expanding such programs, with clearinghouse and technical assistance services and other support. Jurisdictions that currently receive funding under the Drug Court Discretionary Grant Program are given priority for onsite services.

I want to set up a computer system to help my drug court operation. Where can I find information?

Using computer technology in drug courts offers many advantages, including access to better information, greater accountability, and improved communications. For information on how to establish your own system, go to www.drugcourttech.org. This web site provides helpful tools, resources, and links. The site also provides a virtual tour of three courts that have implemented computer technology: the Brooklyn Treatment Court System, the Buffalo Drug Court System, and the South Florida High Intensity Drug Trafficking Area (HIDTA) System.

I understand that violent offenders are not eligible for adult drug court programs. What is the definition of a violent offender?

The statute (42 USC 3797(u)) defines a violent offender, for purposes of adult drug courts, family drug courts, and tribal drug courts, as a person who:

Is charged with or convicted of an offense, during the course of which offense or conduct:
1. The person carried, possessed, or used a firearm or dangerous weapon;
2. There occurred the death of, or serious bodily injury to, any person; or
3. There occurred the use of force against the person of another, without regard to whether any of the circumstances described in subparagraph (a) or (b) is an element of the offense or conduct of which or for which the person is charged or convicted;
or
Has one or more prior convictions for a felony crime of violence involving the use or attempted use of force against a person with the intent to cause death or serious bodily harm.

Is an offender eligible for adult drug court programs if he or she has previously been convicted of a misdemeanor offense related to threatened or actual use of force or use, possession, or carrying of a firearm or dangerous weapon?

Yes. The offender is eligible for adult drug court programs, as long as his or her current charge does not fall within the violent offender definition. The statute’s (42 USC 3797(u)) definition of violent offender specifically limits prior offenses that cause a person to be categorized as a violent offender to felony crimes of violence. If a person has a prior misdemeanor conviction, even though threatened or actual use of force or use, possession, or carrying of a firearm or dangerous weapon occurred during the offense, the person is not a violent offender according to the statute.

Is an offender eligible for adult drug court programs if he or she has a prior felony arrest (but not conviction) for an offense related to threatened or actual use of force or use, possession, or carrying of a firearm or dangerous weapon?

Yes. The offender is eligible for adult drug court programs as long as his or her current charge does not fall within the violent offender definition. The statute’s (42 USC 3797(u)) definition of violent offender specifically limits prior offenses that cause a person to be categorized as a violent offender to felony convictions. Prior felony arrests are not included in this definition. If a person has a prior felony arrest, even though it involved threatened or actual use of force or use, possession, or carrying of a firearm or dangerous weapon, the person is not a violent offender according to the statute.

Is an offender eligible for adult drug court programs if a charge that would qualify as a violent offense according to the definition is dropped or reduced to a nonviolent offense?

Yes. If the reduced charge does not qualify as a violent offense, then the offender is eligible. If a charge is dropped or reduced to a nonviolent offense, the offender is eligible for adult drug court programs. Charges that have been dropped cannot be considered when assessing whether an offender falls under the violent offender definition. Reduced charges are subject to the violent offender definition.

If an adult drug court client is charged with a violent crime, as defined by the statute, while in the program, must he or she be removed from the program? Does it matter if the new charge is a misdemeanor or a felony?

Yes. Any new violent charge, as defined by the statute (42 USC 3797(u)), whether a misdemeanor or a felony, prohibits the client from further or continued participation in an adult drug court program that receives BJA funds. The client can reenter the program if and only if the violent charges are dropped or the client is found “not guilty.”

Violent offenders are not eligible for juvenile drug court programs. What is the definition of a violent offender?

A violent offender, for purposes of juvenile drug courts, is defined as a person who has been convicted of, or adjudicated delinquent for, an offense that:

Has an element, the use, the attempted use, or the threatened use of physical force against the person or property of another, or the possession, or use of a firearm; or
By its nature, involves a substantial risk that physical force against the person or property of another may be used in the course of committing the offense.

What is the definition of "physical force" under the statute? Does the physical taking of property, such as shoplifting, or the unauthorized use of a motor vehicle, which is damaged while a juvenile is driving it, involve the use of "physical force"?

The term "physical force" is not defined in the statute (42 USC 3797(u)). Each state should determine whether a juvenile's conduct involves "physical force" and whether the juvenile meets the definition of "violent offender" based on state law.

10.

Are juveniles who are convicted of, or adjudicated delinquent for, conduct that involves pushing and shoving each other in mutual scuffles, or spray painting graffiti on a fence, excluded from participating in a juvenile drug court as "violent offenders"?

Pushing and shoving may or may not constitute "physical force" under the statute (42 USC 3797(u)), depending on relevant state law. If state law contains no definition of "physical force," drug court program officials should consult with cooperating district attorneys' offices to make a reasonable interpretation that is consistent with state law and that is applied consistently within the relevant jurisdiction.

11.

Is an individual charged or convicted in a criminal court for a misdemeanor drug possession eligible to participate in an adult drug court if he has a prior delinquency adjudication that constitutes "a felony crime of violence involving the use or attempted use of force against a person with the intent to cause death or serious bodily harm"?

If under state law, a person who was adjudicated delinquent in juvenile court is considered to be convicted for "a felony crime of violence involving the use or attempted use of force against a person with the intent to cause death or serious bodily harm," the individual would be ineligible to participate in an adult drug court program. The determination should be made on a state-by-state basis.

12.

Is an alleged juvenile offender eligible for a juvenile drug court program if he or she has previously been convicted of, or adjudicated delinquent for, a misdemeanor offense related to threatened or actual use of force, or use, possession, or carrying of a firearm or dangerous weapon?

No. The statute (42 USC 3797(u)) provides that a juvenile who has been convicted of, or adjudicated delinquent for, any violent offense, is not eligible to participate in a juvenile drug court program. The statute makes no distinction between felonies and misdemeanors in rendering a juvenile ineligible based on a prior conviction or adjudication for a covered offense.

13.

Is a juvenile offender eligible for a juvenile drug court program if he or she has a prior arrest (but not a conviction or adjudication) for an offense related to threatened or actual use of force or use, possession, or carrying of a firearm or dangerous weapon?

Yes, under the statute (42 USC 3797(u)), a juvenile who is charged with, but who has not been convicted or adjudicated delinquent for a violent offense, may participate in a juvenile drug court program.

14.

Is an alleged juvenile offender eligible for a juvenile drug court program if the instant charge involves the use, possession, or carrying of a firearm or dangerous weapon?

Yes, for purposes of juvenile drug court eligibility, the nature of the conduct that brings the juvenile into the court system is immaterial, so long as he or she does not have a prior conviction, or adjudication as delinquent, for either a misdemeanor or felony crime that meets the statutory definition of a violent offender. Accordingly, the same conduct that may be disqualifying in a post-adjudication-based juvenile drug court program would not be disqualifying in a pre-adjudication-based juvenile drug court program.

15.

If a 16-year-old defendant is charged with a violent crime in criminal court, can he or she participate in a juvenile drug court program?

Yes. As long as the defendant has not previously been convicted of or adjudicated delinquent for a violent offense, a juvenile who is charged with a violent crime in criminal court can be diverted to a pre-adjudication juvenile drug court program. [Under the statute (42 USC 3797(u)), neither a juvenile nor an adult who is charged with a violent crime is eligible to participate in an adult drug court program.]

16.

If a juvenile is charged with a violent crime while participating in a juvenile drug court program, must he be removed from the program? Does it matter if the new charge is a misdemeanor or a felony?

No. A juvenile drug court client who is charged with a violent crime can remain in the program unless and until he or she is convicted of or adjudicated delinquent for an offense that meets the definition for "violent offender," regardless of whether he or she is charged with a misdemeanor or a felony.

17.

If a violent offender is admitted, inadvertently or otherwise, to a drug court program (adult, family, tribal, and juvenile), is it possible for the grant to be rescinded or canceled?

Yes. Per the statute (42 USC 3797(u)), if it is discovered that a violent offender is inadvertently participating in a drug court program, the federally funded portion of the program will be suspended pending the removal of the violent offender from the program. If the program fails to remove the violent offender, funding must be rescinded or canceled, because the statute provides that no violent offenders will be permitted to participate in a federally funded drug court program.

18.

Does the degree of violence within a violent offense affect eligibility to participate in an adult or juvenile drug court?

No. The degree of violence within a qualifying offense is irrelevant. If the offender commits a violent offense under the statute (42 USC 3797(u)), he or she is ineligible to participate in a drug court program.

19.

Do the definitions of violent offender include people who legally use, possess, or carry a firearm or dangerous weapon?

No. BJA interprets the definition of violent offender as being restricted to people who illegally use, possess, or carry a firearm or dangerous weapon. Therefore, offenders are not precluded from participation in a drug court for either (1) using a legally licensed firearm or dangerous weapon in a legally justifiable way, such as in circumstances of self-defense, or (2) possessing or carrying an otherwise legally licensed firearm or dangerous weapon.

D. Local Law Enforcement Block Grants (LLEBG) Program

Am I eligible to receive funds under the LLEBG Program?

To be eligible, you must be a “general purpose unit of government”: county, town or township, village, city, parish, American Indian tribe, Alaska Native village, or parish sheriff (in the State of Louisiana). BJA awards grants to units of local government directly when award amounts are at least $10,000. LLEBG funds are allocated by a formula based on Part I Violent Crimes as reported in the Federal Bureau of Investigation’s Uniform Crime Reports.

BJA makes one aggregate award directly to the State Administering Agency for each state, the District of Columbia, and the five territories. The state then distributes LLEBG funds to the state police department that provides law enforcement services to units of local government and to those units of local government whose award is less than $10,000.

Click here to view previous years’ eligibility lists.

What are the program requirements for LLEBG?

Several sources of information about the LLEBG Program are available. The most current information is posted on the BJA web site at www.ojp.usdoj.gov/BJA/grant/llebg_00main.html. You should also read the LLEBG Special Conditions attached to each year’s LLEBG award. You can also call your BJA program manager directly or e-mail him or her via the online Grants Management System (GMS). Finally, you can call the Support Services Helpline at 1-888-549-9901.

What is the match requirement for the LLEBG Program?

Under the LLEBG Program, the federal LLEBG funds you receive may not exceed 90 percent of the total cost of your program. In other words: total program cost = the federal award amount (90 percent) + the local match amount (10 percent). Recipients are required to contribute a local cash match. The amount of the required match can be computed by calculating one-ninth of the federal award amount. The matching requirement is only applicable to the amount of the federal award, not any interest or income that may be earned. The cash match requirement cannot be waived.

Can I use grant funds for travel and/or training? Do I abide by federal or state regulations and travel rates?

Yes, LLEBG Program funds may be used to cover costs associated with travel and training. To be allowable, the travel and training must be associated with or support activities/projects/efforts that are allowable within the parameters of the LLEBG Program and its seven purpose areas.

You may follow your own established travel rates. If no established travel rates are in effect, you must abide by the federal travel rates. The current federal travel policy and per diem rate information is available on the General Services Administration (GSA) web site.

What is an illegal or inappropriate expenditure under LLEBG?

Federal funds cannot be used to supplant (replace) state or local funds appropriated for the same purpose. Federal funds must be used to increase (supplement) the funds otherwise available from state and local sources.

Under the LLEBG Program, you have a 24-month combined obligation and expenditure period. Program funds should not be obligated or expended before or after this 24-month period.

You may not expend LLEBG Program funds to purchase, lease, rent, or acquire tanks or armored personnel carriers, fixed-wing aircraft, limousines, real estate, yachts, consultants, or vehicles not used primarily for law enforcement. In addition, you should reference Part III, Chapter 16 of the Office of the Chief Financial Officer's Financial Guide.

What are the rules for contracting? Do I abide by federal or state regulations?

Under the LLEBG Program, you may not use funds to retain a consultant’s services. However, you may use program funds to enter into a contractual agreement to procure equipment, technology, other materials, and/or training that is directly related to the implementation, support, or evaluation of a project that falls within the parameters of the LLEBG Program’s seven purpose areas. The LLEBG-funded services provided under the terms of the contract may not be solely advisory; the contractual agreement must deliver services or products that result in the tangible support of an approved project/program.

Although exception may be given to a justified sole-source situation, contracts are awarded via competitive processes to procure a product or service. You should abide by your local and state contract/procurement regulations. However, every contract must include any clauses required by federal statutes and executive orders and their implementing regulations. For additional guidance, refer to Part III, Chapter 10 of the Office of the Chief Financial Officer's Financial Guide.

Are there rules that identify who I can hire under my grant?

Yes. You must abide by the legislatively mandated special condition that reads, “. . . if the funds are used for the hiring and employing of new, additional law enforcement officers and/or support personnel, the recipient unit of local government will achieve a net gain in the number of law enforcement officers who perform nonadministrative public safety service.” In other words, LLEBG grant funds may not be used to supplant existing state and local funding sources. You may use LLEBG funds to hire officers and necessary support personnel if they are in addition to staff already budgeted and the additional staff facilitates increased public safety service. Furthermore, in the hiring process, preferences must be given to members of the armed forces.

Who can I contact if I have a question about using LLEBG funds?

Please contact your BJA program manager to discuss proposed uses of LLEBG Program funds and issues of allowable costs. You can also contact your program manager via the online Grant Management System.

Can I find out how other jurisdictions are using their LLEBG funds?

Yes, you can view the LLEBG Jurisdiction Allocations & Project Details system, which we also refer to as “Clicky Map,” on the BJA web site.

E. Residential Substance Abuse Treatment (RSAT) for State Prisoners

Can funds be used to treat offenders who abuse alcohol?

Yes. Substance abuse refers to both alcohol and drug abuse.

Can Residential Substance Abuse Treatment (RSAT) funds be used to implement local programs?

Yes. Although the program title indicates that the funds are for programs that treat state prisoners, the funds may also be used to treat inmates in local jails, provided the program meets the RSAT Program requirements.

May local programs serve only state prisoners held in local facilities?

No. Programs in local facilities may serve local inmates as long as these inmates are held long enough to participate in the residential program for 6-12 months.

Are the states required to allocate any portion of the formula grant funds as subawards to local units of government?

No. All of the funds may be used for state-level programs, or the state may choose to pass through all or a portion of the funds to local units of government, provided that the program meets the Residential Substance Abuse Treatment Program requirements.

Can grant funds be used to provide substance abuse treatment in juvenile facilities?

Yes, provided that the program meets the Residential Substance Abuse Treatment Program requirements.

The program purpose indicates that funds can be used for programs “in which prisoners are incarcerated for a period of time sufficient to permit substance abuse treatment.” What constitutes a sufficient period of time?

The program must be 6-12 months long, which is the amount of time research studies show to be the optimal time in treatment. A grant-funded program should accept only inmates who can participate in the residential phase of the program for 6-12 months.

Can a grant-funded project comprise multiple phases, such as an intensive treatment phase and a transitional phase?

Yes, as long as the total program meets Residential Substance Abuse Treatment Program requirements. If the multiple program phases constitute an integrated treatment experience in which the offender participates for 6-12 months and if the offender remains housed in a placement that meets the RSAT requirements, then the different phases may be combined into a single RSAT-funded program.

What types of services can we provide with grant funds?

Grant funds may be used for services directly related to substance abuse treatment. This includes the services of treatment staff, consultant therapists, physicians, and others, according to the program’s treatment curriculum and the offender’s individual needs. Programs that address co-occurring disorders of substance abuse and mental illness may be grant funded as long as the primary focus, and the reason for placement in the program, is the offender’s substance abuse. Grant funds may not be used for services routinely available to all offenders, such as medical or dental care.

Must the program be located within a prison or jail?

No. The residential treatment may be provided in conventional prison and jail facilities, boot camps, halfway houses, residential community corrections programs, and other similar types of residential correctional facilities, provided that the program meets the Residential Substance Abuse Treatment Program requirements. The program must, however, be located in a state-recognized correctional facility.

10.

If all or a portion of the Residential Substance Abuse Treatment (RSAT) program is based in the community to assist offenders with their transition back into the neighborhood, can the offenders spend several nights per week, especially just prior to release, in the community with their families?

No. The RSAT Program must be a residential program. Although offenders may leave the program during the day to work or attend school, they must reside in the program, and nonwork/school waking hours primarily must focus on activities regarding substance abuse treatment.

11.

Can Residential Substance Abuse Treatment (RSAT) funds be used for aftercare costs?

Yes. As of the FY 2002 awards, up to 10 percent of your RSAT award may be used to help offenders with their transition back into the neighborhood and for community substance abuse treatment for offenders. The aftercare program must be directly related to and complement an existing RSAT Program or a program that would meet all of the RSAT requirements.

BJA also encourages you to look at how the RSAT Program may be coordinated with the reentry strategy being developed in your state. For example, 49 states, the District of Colombia, and the U.S. Virgin Islands received funding through the Prisoner Reentry Initiative.

12.

The guidelines indicate that the states are “required to give preference to subgrant applicants who will provide aftercare services to program participants.” Does this mean that a state could fund a program without an aftercare component?

Yes. Although states are required to give preference to programs that provide aftercare, research shows that programs are much more effective if they provide aftercare services.

13.

If an offender returns to the general prison population after completing a grant-funded substance abuse treatment program, can grant funds be used to provide followup care within the prison facility?

No. Residential Substance Abuse Treatment (RSAT) grant funds can be used only for programs that meet the RSAT statutory requirements. Grant funds cannot be used for any treatment or drug testing for offenders who do not reside in a treatment program that meets the requirements.

14.

Can grant funds be used to pay staff who provide services to inmates in residential treatment programs and the general corrections population?

Yes. Grant and match funds can be used to pay staff costs for services they provide within the residential treatment program. However, staff whose salaries are paid completely with grant and match funds cannot spend a portion of their time providing services to inmates in locations or situations that do not meet the Residential Substance Abuse Treatment statutory requirements. If such services are provided, other funds must be used to pay for the staff time devoted to these services.

15.

Must an offender be sentenced to prison or jail to qualify for participation in a grant-funded treatment program?

No. The offender may reside in a prison, jail, boot-camp, or residential facility in the community, such as a halfway house. Residential Substance Abuse Treatment (RSAT) funds also can be used to pay for residential programs for pretrial detainees or probation or parole violators who are confined to a residential placement for sufficient time to meet the RSAT requirements.

16.

Can the courts sentence offenders directly to a community-based residential treatment program or must the offender be sentenced to and placed by the Department of Corrections?

Yes. Grant funds may be used to support residential substance abuse treatment programs in alternative correctional facilities that accept offenders directly from the courts.

17.

Can grant funds be used to establish a community-based residential treatment program as an intermediate sanction for probation or parole violators rather than sending or returning them to prison?

Yes, as long as the program meets the other Residential Substance Abuse Treatment criteria.

18.

May grant funds be used to implement the Residential Substance Abuse Treatment (RSAT) drug testing requirement?

Yes, but RSAT grant funds may only pay for the costs associated with testing offenders while they are in the RSAT grant-funded program. States may use up to 10 percent of their Violent Offender Incarceration and Truth-in-Sentencing (VOI/TIS) Incentive Program funds to implement the drug testing VOI/TIS requirement. Grant funds may not be used to supplant existing nonfederal funding. If the state is already testing offenders in residential substance abuse treatment, RSAT funds may not replace the state funds dedicated to this purpose. Similarly, if RSAT funds are used to expand an existing program, grant funds can be used only to pay for testing of the additional, RSAT-funded participants.

19.

If the state allocates subawards of the RSAT grant to local units of government, is the local unit of government required to implement drug testing for individuals in the grant-funded program?

Yes. All Residential Substance Abuse Treatment Program requirements apply to any funded program.

20.

May grant funds be used to expand or enhance an existing treatment program?

Yes. However, grant funds may not be used to supplant or replace existing nonfederal funds.

21.

Can Residential Substance Abuse Treatment (RSAT) funds be used to continue a project currently funded by another federal grant program?

Yes. Although the intent of this program is to increase the availability of treatment programs for offenders, these funds could be used to continue a program currently funded by another federal grant program. However, the rules that relate to supplanting other funding would apply to the continuation of programs currently funded with state or local funds. Programs initiated with other federal funds must meet or be modified to meet the RSAT Program requirements.

22.

Can grant funds be used to buy slots or pay for services for offenders in a private treatment facility?

Yes, as long as the offender is in state custody. Aftercare may be covered, although overall expenditures for aftercare may not exceed 10 percent.

23.

Could a correctional agency use grant funds to contract with a private entity to provide services within a correctional facility?

Yes.

24.

Can Residential Substance Abuse Treatment (RSAT) funds be used to pay for a residential treatment program in a privately run correctional facility?

Yes. A state or a unit of local government could use RSAT funds to operate a residential substance abuse treatment program in a private correctional facility that houses its inmates. The program must meet all of the RSAT Program requirements and be housed in a correctional facility, and the inmates must be under the public correctional agency’s jurisdiction.

25.

Can Residential Substance Abuse Treatment (RSAT) grant funds be used to construct a new unit for an RSAT Program?

No. RSAT funds may not be used to construct a new facility or unit. However, existing facilities may be renovated if the renovations are minor and necessary to implement a substance abuse treatment program. Consult your program manager to see if your situation qualifies.

26.

May a state correctional agency use its Residential Substance Abuse Treatment (RSAT) funds to pay for drug testing that offenders undergo to comply with the Violent Offender Incarceration and Truth-in-Sentencing (VOI/TIS) drug testing requirements?

No. States are statutorily required to implement or continue to require urinalysis and/or other proven reliable forms of drug and alcohol testing of individuals assigned to the RSAT Program. RSAT funds may not, however, be used to implement drug testing of the general population. The statutory language was changed through the FY 1999 appropriation process to allow states, beginning in FY 1999, to use up to 10 percent of their VOI/TIS Incentive Program award for costs associated with implementing their approved drug testing, sanctions, and treatment policy.

27.

Can Residential Substance Abuse Treatment funds be used to purchase specialized uniforms designed to differentiate this program from the general population or phases within the program?

Yes.

28.

Can a state correctional agency use a portion of Residential Substance Abuse Treatment (RSAT) funds to equip a facility that will be set apart from the general population?

Yes. Grant funds may be used to purchase equipment and materials that are necessary to the operation of a drug treatment program and/or to establish a unit that is set apart from the general population. RSAT grant funds may not be used to provide equipment and furnishings that are available and provided to the general offender population. Any planned equipment purchases should be reviewed by BJA prior to implementation.

29.

May Residential Substance Abuse Treatment (RSAT) funds be used to pay for an evaluation of an RSAT-funded program?

Yes. You may use a portion of grant funds to evaluate your program. Because the purpose of the funds is to increase the availability of treatment services, the amount of funds used for administrative purposes should be modest and justified.

30.

Could an agency that currently operates a small 30-bed therapeutic community program expand the program to 120 beds and use Residential Substance Abuse Treatment (RSAT) funds to pay the operating costs of the entire expanded program?

No. RSAT funds could be used for treatment program costs related to the 90 new slots in the expanded program but could not be used to replace agency funds for the operation of an existing program. The agency should continue to pay the costs associated with the original 30-bed program. If the original program’s services are enhanced to meet RSAT Program requirements, then grant funds may be used to pay for those enhancements.

31.

Will states receive the grant money in a lump sum or the normal advance/reimbursement method?

You will receive your grant dollars in the advance/reimbursement method.

32.

How long is the Residential Substance Abuse Treatment Program’s grant period?

Beginning in FY 2003, the grant awards for each fiscal year will be made for the year of the appropriation plus three, for a total of 4 years. This award period will generally give the state sufficient time to request and review applications and to implement programs with the funds.

A new award will be made annually as funds become available. Therefore, a state may have more than one award active at any one time. This will enable some states with small awards to use funds from two or more fiscal years to implement a single project.

33.

What is the match requirement for the Residential Substance Abuse Treatment (RSAT) Program?

The RSAT match requirement is 25 percent of the total project cost and may be in cash or in-kind. The federal grant funds can be used to pay up to 75 percent of the costs of a project or project enhancement. The remaining costs must be paid with nonfederal funds. An exception to this is funds received under the State Criminal Alien Assistance Program (SCAAP). Because SCAAP awards partially cover state expenses related to the incarceration of criminal aliens and do not retain their federal properties, they may be used as match funds. Only allowable project costs can be paid with grant and match funds, and match funds cannot be used to pay costs that are not allowable under the grant program.

For more information on match requirements, please go to Part III, Chapter 3 of the Office of the Chief Financial Officer (OCFO) Financial Guide.

F. Prisoner Reentry Initiative

Will the funds be provided in a single award or through multiple awards?

Under the Prisoner Reentry Initiative, the funds will be provided in a single award but may be expended over a period of up to 3 years.

Are state or local matching funds required?

No. This initiative does not have any matching-fund requirements. However, BJA anticipates that grantees will identify sufficient federal, state, and local existing resources to operate and sustain the program and only use the discretionary grant funds for “one-time” items or temporary funding needs.

Are other funding resources available?

Yes, other federal agencies may have funding available for the reentry initiative. For more information, go to www.reentry.gov/learn.html.

What technical assistance is available?

Please visit the Technical Assistance page of the Prisoner Reentry Initiative web site to see what technical assistance is available.

For federal and national resources, please go to www.reentry.gov/fnr/welcome.html to obtain additional information.

For upcoming events on reentry, including conferences and training, please go to www.reentry.gov/calendar.html.

Are there any publications available that could help me?

Yes. Please go to the Publications page of the Prisoner Reentry Initiative web site. This page lists documents that relate to each phase of the reentry process and, when available, links to the full text.

You also may want to visit the National Criminal Justice Reference Service (NCJRS) at www.ncjrs.gov to see if a particular publication interests you.

Do some communities already have reentry programs in place?

Yes. You can see what other communities are doing by visiting the State Activities and Resources page of the Prisoner Reentry Initiative web site.

Can funds from the Violent Offender Incarceration and Truth-in-Sentencing (VOI/TIS) Incentive Program and Residential Substance Abuse Treatment for State Prisoners (RSAT) Formula Grant Program be used for the reentry initiative?

Yes. The initial two phases of this initiative—institution-based programs and community-based transition programs—can use both VOI/TIS and RSAT funds for housing and rehabilitation for substance abusers.

Can funding be used for research on treatment outcomes?

Yes. However, select sites will be involved in a national process and impact evaluation. If you decide to fund a separate evaluation with the grant money, you must first ensure that sufficient funds/resources are available for all of the operational components of the program. The evaluation should be secondary to the activities that compose each phase of the program. In addition, a separate evaluation would ideally be compatible with the design of the national evaluation. If all of the preceding criteria are met, a grantee may either conduct the research with in-agency resources or contract the work out to an independent evaluator.

G. State Criminal Alien Assistance Program (SCAAP)

How do I get my State Criminal Alien Assistance Program (SCAAP) payment?

After the SCAAP application period has closed and the Immigration and Naturalization Service has reviewed all of the data, all payments are calculated using a relational formula. All payments are then released simultaneously. Payments are made electronically only to the state or unit of local government’s general fund, not to accounts established for any submitting agency or department within the governmental unit.

Each applicant will be notified via e-mail when the payment is ready for acceptance. Payments are made through the Grants Management System (GMS). If you have not previously provided the Office of Justice Programs with bank account information, you must submit an Automated Clearing House (ACH) form prior to payment. For a copy of the ACH form or for more information, please contact the Office of the Chief Financial Officer (OCFO) Customer Service Center:

askocfo@ojp.usdoj.gov

What reports do I need to submit?

None. Because the State Criminal Alien Assistance Program is a payment program and payments are based on data already submitted, grantees are not required to submit a Financial Status Report or a Categorical Progress Report.

How are State Criminal Alien Assistance Program (SCAAP) payments determined?

SCAAP payments are calculated using a formula that provides a relative share of funding to jurisdictions that apply and is based on the number of eligible criminal aliens, as determined by the Department of Homeland Security. See the SCAAP section of the BJA site to learn more.

What is the definition of "correctional officer"?

A correctional officer is any full- or part-time permanent and contractual member of the custody staff, deputies, and any dispatchers who have direct interaction with the inmate population. Correctional officers may include, but are not limited to, the following:

First-line correctional officers.
First-line supervisors (correctional sergeants).
First-line managers (correctional lieutenants).
Wardens (chief executive officers).

For the purposes of the State Criminal Alien Assistance Program, correctional officers do not include clerical, educational, commissary, administrative, medical, or other such facility staff.

Who can apply for State Criminal Alien Assistance Program (SCAAP) payments?

SCAAP legislation (8 U.S.C. Part 1231(i)) very specifically states that only states or political subdivisions of states (counties, cities, towns) are eligible to apply for and receive SCAAP funds. Each individual jurisdiction is responsible for filing its own application. Only an official employee of a jurisdiction (i.e., a government employee or elected official, not a consultant or contract employee) can submit the application because of the binding nature of the Assurances and Certifications that each jurisdiction is required to make when it submits the application.

Regional jails/corrections facilities and authorities/boards of regional facilities do not qualify as political subdivisions of states; therefore, they are not eligible to apply for or receive SCAAP funds. Each member jurisdiction that houses inmates at a regional facility is eligible to apply for SCAAP funds, based on its own costs of housing any qualifying, undocumented aliens in the regional facility during the current SCAAP application reporting period.

Regional facilities may not submit SCAAP applications on behalf of individual jurisdictions, and they may not submit one application for all member jurisdictions, using one jurisdiction’s name as the recipient. BJA verifies the authenticity of all applications submitted by jurisdictions that are associated with regional facilities.

H. Violent Offender Incarceration and Truth-in-Sentencing (VOI/TIS) Incentive Program

For the purposes of the VOI/TIS Incentive Program, what do "build" and "expand" mean?

“Build” means (1) to erect, acquire, renovate, repair, remodel, or expand on new or existing buildings or other physical facilities and (2) to acquire or install fixed furnishings and equipment. It includes facility planning, prearchitectural programming, architectural design, construction administration, construction management, or project management. “Build” does not include the use of funds to purchase land.

“Expand” means adding (building) new beds to, remodeling, or retrofitting existing facilities, or privatizing facilities to increase bed space for violent offenders or freeing existing prison space to confine people convicted of Part 1 violent crimes. The types of costs allowed under the definition of “build” apply to expanding, remodeling, or retrofitting facilities.

For purposes of the Truth-in-Sentencing Incentive Grant Program, how are sentence length and time served defined?

Sentence length is the term of incarceration set by the court at the time of sentencing or, for indeterminate sentencing states, set by a parole authority based on sentencing and release guidelines.

Time served includes only the actual time an offender is committed to the care and custody of the correctional agency. It does not include any administrative or statutory time credits such as reductions for good behavior, earned time, meritorious conduct, or population control releases. It also does not include a suspended portion of a sentence. The computation can include jail time served and time served in community and reintegration placements, but not probation and parole time.

If an offender is sentenced to concurrent or consecutive terms, the offender would have to serve 85 percent of the total of the two consecutive sentences or the longer of the two concurrent sentences if both crimes are Part 1 violent crimes (i.e., homicide, forcible rape, robbery, aggravated assault, burglary, larceny-theft, motor vehicle theft, and arson). If only one of the crimes is a Part 1 violent crime, the time served is based on the sentence for the Part 1 violent crime only.

If a state imposes mandatory minimum sentences for Part 1 violent crimes but does not use sentencing and release guidelines, the mandatory minimum sentence may not be used as the basis for measuring the actual time served.

Does the requirement that violent offenders on average serve at least 85 percent of the imposed sentence apply to individual offenses or the average of all violent offenses?

Yes. The requirement applies to individuals within an offense type and/or to the various types of offenses.

For example, if some individuals sentenced to prison for robbery serve less than 85 percent of the sentence imposed and others serve more than 85 percent, the state must demonstrate that the average of the time served is not less than 85 percent. Likewise, if the average time served by offenders convicted of aggravated assault is less than 85 percent of the sentence imposed but the actual time served for one or more of the other Part 1 violent crimes exceeds 85 percent, the state may still qualify for funds.

It should be noted that the average will be applied to time served by individuals sentenced to prison for Part 1 violent crimes. Therefore, if the average time served for an offense for which a large number of individuals are sentenced to prison is less than 85 percent, the overall average may drop below 85 percent even though the average time served is higher for one or more other crimes for which fewer offenders are sentenced to prison.

Can a state change its definition of “violent offender” during the life of the grant program?

No. A state that receives funding from the Violent Offender Incarceration Grant Program must use the same definition from one year to the next unless a statute changes the state’s definition. The state must notify the Bureau of Justice Assistance (BJA) if the definition changes. A state that receives funds from the Truth-in-Sentencing Incentive Grant Program may modify its definition of violent crime, subject to BJA approval.

Funds can be used to build or expand temporary or permanent correctional facilities to free existing prison space for those who commit Part 1 violent crimes. Does "build or expand" include acquiring and/or repairing these facilities?

Yes. The state may use grant funds (federal and match) to acquire an existing building or structure to increase bed space for violent offenders. The grant funds may not be used to purchase land, including the land that an existing structure sits on or land that will be used to build a new facility. Initial repairs that ready a newly acquired facility for use as a correctional facility are allowable expenses, including upgrades to a facility's security level (e.g., moving from medium to maximum security), but ongoing repairs and maintenance are not allowable.

States may not use grant funds to replace a facility that will be closed. In general, grant funds can only be used to pay for new beds that would be added to the system. However, if the existing facility is condemned or the correctional agency is under court order to close a facility whose capacity would be lost regardless of federal funding, grant funds may be used to maintain that capacity. If a replacement facility will have more beds than the original structure, grant funds may be used to construct the additional capacity and a proportionate share of support space. Although the Bureau of Justice Assistance (BJA) does not require that specific construction projects get preapproved, BJA does require that the state provide it with written justification and receive prior approval to replace an existing facility using grant funds.

If funds are used to build or expand local jails, do they need to be used to increase bed capacity for violent offenders?

No. These funds are given to ease the burden imposed on local jails because of the state’s efforts to incarcerate more violent offenders and/or implement the Truth-in-Sentencing Incentive Grant Program. Such efforts cause nonviolent offenders, who were previously sentenced to prison, to serve their sentence in a local jail.

How may grant funds be applied to juvenile, community-based, reception and diagnostic, and infirmary types of facilities?

Juvenile facilities: Funds may be used to build or expand juvenile facilities; however, prior to using funds for facilities for nonviolent juvenile offenders, the state must declare exigent circumstances that indicate a need for such facilities.

Community-based facilities: Community-based facilities—such as a community corrections facility or a transitional program for violent offenders, which frees up conventional space for violent offenders—are considered to be correctional facilities. Therefore, grant funds can be used for their construction or expansion.

Reception and diagnostic centers: Grant funds may be used to construct or expand reception and diagnostic centers as long as the state can demonstrate that the center will expand or free up bed space for violent offenders.

Infirmaries: Grantees may use funds to build or expand infirmaries for long-term care of terminally ill inmates as long as the infirmary permanently places these inmates, and the state can demonstrate that the infirmary will expand or free up bed space for violent offenders. Grant funds may not be used to build or expand an infirmary that is used for sick call or short-term stays, unless it is part of a total construction project to add or free up beds for violent offenders.

How can grant funds be used in the preparation and planning phases of construction?

Because the program's definition of construction includes facility planning, prearchitectural programming, and architectural design, VOI/TIS funds may be used for a capacity study of a state’s corrections system to provide projections of bed space needs, an analysis of existing physical structures, operational and architectural programming for each custody level and facility type, recommendations for siting new construction, and cost projections, as a preliminary step in developing a capital improvement program. Studies of this type focus on capital improvement; therefore, these activities fall within this definition and can be paid for with VOI/TIS funds.

It is important to note that a corrections master plan or study that explores issues such as developing community-based alternatives (even if they free up space for violent offenders), establishing sentencing guidelines, and/or restructuring the inmate classification system goes beyond the allowable focus on capital improvement. Likewise, establishing a data collection or an automated information system to provide data for the study, or to do ongoing prison population projects, would not be allowed.

Grant funds also may not be used to offset any costs associated with financing the project, such as paying bond, counsel, and financial advisor costs related to the issuance of bonds.

How may grant funds be applied to construction projects with regard to labor and maintenance?

If a state plans to use inmate labor to construct a new facility, grant funds may be used to pay for additional correctional or contract personnel required to train, supervise, and/or guard the inmates and to secure the site during the construction process. Grant funds also may be used for overtime costs that have been justified as reasonable and necessary and to pay inmates working on the construction project (grant funds can be used to pay inmates only to the extent that the wages exceed those that would have been paid by the state had the inmate not been assigned to this project). Grant funds may not be used to supplant state or local funds that would have been available to pay existing personnel assigned to these activities or work crews that would have been available to work on the construction project.

VOI/TIS funds cannot be set aside for future maintenance costs at new facilities. Maintenance costs are considered operating costs; therefore, they may not be paid with grant funds. Likewise, grant funds may not be used to upgrade or replace an existing facility’s boiler, kitchen, or water or sewer lines, even if these changes will ensure that the facility will remain open and will continue to provide space for violent offenders. These types of costs are maintenance or operating costs, and they do not increase bed space for violent offenders. Such costs would be allowed only if upgrades to the infrastructure or service areas are needed to increase or free bed space for violent offenders. For example, if adding beds to a facility means the kitchen needs to be expanded to prepare meals for the additional inmates, then expanding the kitchen facilities would be an allowable expense.

If by the time a new facility is built and ready to open, the circumstances in the state have changed and the state cannot honor its commitment to operate the facility, BJA will review the circumstances and determine if the state acted in good faith when it accepted the federal funds. Future awards could be withheld and/or the state could be required to return funds if BJA’s determination is unfavorable.

10.

Can grant funds be used to lease facilities if the state operates them?

Yes. Grant funds can be used to enter into a long-term lease or a lease purchase arrangement to obtain a building from another unit of government or from the private sector, if the state operates the facility and the arrangement adds or frees up beds for violent offenders. Such expenses can be considered capital expenses. Short-term leases, however, would be considered operating expenses; therefore, grant funds may not be used.

A state may also lease beds from a private entity for use by Part 1 violent offenders, or to free up space for violent offenders. The lease arrangement can include the operating and program costs associated with housing offenders in these leased beds. However, because the purpose of the VOI/TIS program is to expand prison beds for Part 1 violent offenders, the state should consider whether leasing a relatively small number of beds in a high-cost, specialized program is the best way to meet the state’s demand for additional space for Part 1 violent offenders.

11.

Can the state use Violent Offender Incarceration and Truth-in-Sentencing (VOI/TIS) funds to comply with drug testing guidelines?

Yes. Based on a change made as of FY 1999 in the statutory language, up to 10 percent of a state’s VOI/TIS award for the year may be applied to the cost of offender drug testing and intervention programs during periods of incarceration and post-incarceration criminal justice supervision and/or for costs related to providing the state with a baseline report on its prison drug abuse problem.

12.

Given the change in statutory language in FY 1999 that made compliance voluntary, why should a state remain in compliance with the drug testing guidelines?

If a state wishes to use any of its FY 1999 or subsequent awards for drug testing, sanctions, or treatment programs—as allowed under the 10-percent provision—the state must remain in compliance with the drug testing guidelines.

Beginning in FY 1999, states may use up to 10 percent of their annual VOI/TIS award for the cost of offender drug testing and intervention programs during periods of incarceration and post-incarceration criminal justice supervision and for costs related to providing the required baseline report of in-prison drug use. States may also use a portion of the 10-percent funds to interdict and suppress the flow of drugs in their prisons as long as the effort is a part of the states' approved drug testing, sanctions, and intervention policy and procedures.

Please note, however, that this 10-percent is limited to funds received in FY 1999 and subsequent years. The state must track the amount of funds it received from the federal FY 1999 and subsequent appropriations and use no more than 10 percent of that amount for implementation of its policy.

13.

If a state is using all or most of its funds for juvenile and/or local facilities, do the drug testing requirements also apply to juvenile and local jail inmates?

No. Although states are encouraged to implement drug testing, sanctions, and treatment for appropriate offenders throughout their criminal justice system, these drug testing requirements apply only to adult offenders while they are incarcerated in state prisons and following release into the community while they continue to be under the custody or supervision of the state.

14.

What must a state do to comply with the inmate death reporting requirement?

Since 1997, all states have been required to provide the requested information on inmate deaths to the Bureau of Justice Statistics through the Census of State and Federal Adult Correctional Facilities. The census collects aggregate data on prison inmates who have died due to illnesses/natural causes (excluding AIDS), AIDS, suicides, accidental injury to self, death caused by another person, executions, and unspecified causes.

If a state does not or cannot collect the required information and is unable to complete the census, the state will be encouraged to provide the best data available.

15.

If using grant funds at the state level to add beds for violent offenders will relieve the burden on local jurisdictions, can the state spend the entire grant award for construction at the state level?

Yes. The statute requires each state to reserve up to 15 percent for counties and other units of local government. The 15 percent is the maximum amount that can be awarded to local governments, with one exception as described below. No statutory minimum exists; therefore, the state can decide how much to reserve for local governments. States are encouraged to make this decision in consultation with, or based on input from, local jurisdictions. If the state determines that implementing the Violent Offender Incarceration and Truth-in-Sentencing Incentive Program will not have an impact on local governments, or that the burden can be reduced more effectively by expanding capacity at the state level, the state can use the entire award for state-level projects.

Exception to 15-Percent Limit: Any amount of the state’s total award can be used to build or expand local correctional facilities if a state declares that exigent circumstances exist that require the state to expend funds to build or expand facilities to confine juvenile offenders other than juvenile offenders adjudicated delinquent for an act which, if committed by an adult, would be a Part 1 violent crime (including pretrial detention centers and boot camps).

16.

Can VOI/TIS funds be used for other purposes, besides building or expanding long-term, medium-to-maximum-security correctional facilities?

Yes, VOI/TIS funds can be used for other purposes, such as community-based correctional options and parole centers. Click here for more information.

17.

How can local jurisdictions use their awarded funds?

Counties and other units of local government can use their subawards to construct, develop, expand, modify, or improve jails and other correctional facilities or to build or expand locally operated community-based facilities such as work release or community corrections facilities—so long as they do not exceed 15 percent of the total state award.

Units of local government may also use grant funds to improve or upgrade the facility to respond to the burden placed on the facility due to the state’s implementation of the Violent Offender Incarceration and Truth-in-Sentencing Incentive Program. Such changes can include upgrading security, improving infrastructure, and/or adding program space to hold more offenders, more violent offenders, or offenders for longer periods of time. The grant funds cannot be used for furnishings unless the furnishings are fixed furnishings that become a part of the jail structure.

18.

Are grants used for juvenile facilities restricted to the same purposes as those for adults?

No. In addition to building or expanding correctional facilities for the same purposes as adult facilities, if a state certifies that exigent circumstances exist that require the state to expend funds to build or expand facilities to confine juvenile offenders other than juvenile offenders adjudicated delinquent for an act which, if committed by an adult would be a Part 1 violent crime, it can use grant funds to build or expand juvenile correctional facilities. This includes pretrial detention facilities and boot camps that increase the capacity for confining such nonviolent juvenile offenders.

Exigent circumstances are those that require the state to expand capacity for nonviolent juvenile offenders, which can include an increase in juvenile crime prosecutions, overcrowding of juvenile correctional facilities, and so on.

19.

Can new juvenile facilities be state or local?

Yes. They could be either, but the 15-percent limit on funds for local facilities limits the total awards that can be made for local juvenile facilities. However, if the state declares that exigent circumstances exist that require the state to expend funds to build or expand facilities to confine juvenile offenders other than juvenile offenders adjudicated delinquent for an act which, if committed by an adult, would be a Part 1 violent crime, it may exceed the 15-percent cap and pass through additional funds for local facilities. All local facilities built with funds in excess of the 15-percent cap must be limited to use for nonviolent juvenile offenders.

20.

What rules apply to engaging private entities to build, expand, or manage a correctional facility on state-owned land?

Grant funds may be used to engage a private entity to build or expand a correctional facility on state-owned land as long as ownership of the completed facility resides with the state. Grant funds may not be used to engage a private entity to build or expand a correctional facility that will be privately owned. Ownership of facilities built or expanded with grant funds must reside with the public agency.

For the purposes of this program, privatization is defined as the private sector management and operation of a correctional facility that is owned by the state, the leasing of beds from a private entity, or the construction of a state correctional facility by a private entity to increase bed space for Part 1 violent offenders or free existing prison space to confine people convicted of Part 1 violent crimes. (Although a state can use grant funds to privatize a facility or lease beds for adult or juvenile offenders, the privatization provisions do not apply to the 15 percent that can be made available to units of local government.)

For example, states are allowed to use VOI/TIS funds to buy facilities that will increase or free up bed space for Part 1 violent offenders, which will facilitate a more permanent increase in prison capacity (this applies to structures only, not the land a facility sits on). States may also use VOI/TIS funds to pay private companies to operate such facilities. Another example of such privatization would be a state contracting with a private vendor to operate a state correctional facility that meets VOI/TIS requirements.

However, states are not allowed to use grant funds to enter into a contract or lease with a private entity to provide specific services, such as medical services, food service, or drug treatment programs. The expenditures for privatization must result in an increase in bed space for violent offenders or must free space for violent offenders. These costs may, however, be included in a general contract to operate a facility or in the cost of leasing beds from a private entity that results in an increase in beds for violent offenders.

In addition, units of local government may not use VOI/TIS grant funds received from the state under this program for privatization. As currently written, the statute permits only states to use the grant funds for privatization.

21.

A state can use grant funds to privatize facilities to carry out the purposes of this program. Does the definition also allow a state to contract for beds provided in state or local correctional facilities operated by the department of corrections in another state or for jail beds in local jurisdictions?

No. Privatization of facilities extends only to the private sector and does not permit states to contract for beds in state prison facilities operated by departments of corrections in other states. Congress, in passing the current statute, prohibits using grant funds to operate a prison unless such operations are through privatization. In light of the statute, accompanying legislative history, and the definition of privatization, grant funds cannot be expended to contract for beds in state or local correctional facilities in other states. Likewise, a state may not expend grant funds to contract for jail beds in local jurisdictions regardless of whether the beds are operated by the county or an established private entity.

22.

Could a state use grant funds to lease a facility from a county that would then be operated by the state under the statutory provision that allows the funds to be used to build or expand temporary or permanent correctional facilities, including facilities on military bases, prison barges, and boot camps?

Yes. The long-term leasing of a facility from another public entity is one way of expanding capacity, in addition to constructing or purchasing a facility. However, the grant funds may not be used to pay for the operation of the facility or to lease beds from another public agency where the cost of the beds includes operating costs. Contracting with a private entity is the only way grant funds may be used to pay operating costs.

23.

If a state is currently leasing beds from a private entity, can grant funds be used to continue these efforts?

No. Using the grant funds to continue current efforts is unallowable for two reasons: (1) to do so may be supplanting state funds with federal funds, and (2) the federal funds must be used to expand the state’s capacity for violent offenders. States that have been leasing beds with state funds must continue to provide both the same level of funding and the same number of beds with state funds before the grant funds can be used for this purpose.

24.

Can a state use Violent Offender Incarceration and Truth-in-Sentencing (VOI/TIS) grant funds to pay for the same leased beds from a private entity, from year to year, for the life of the grant?

Yes. Under the privatization provision of the VOI/TIS statute, a state can lease beds from a private entity to increase or free up beds for violent offenders. The lease costs can include the operating costs associated with housing and providing offenders placed in those beds with services. The VOI/TIS statute does not limit the amount of time for which grant funds can be used to lease beds.

25.

Is a state required to submit an individual project report (IPR) for each state project or just for each subgrant?

Yes. An IPR should be submitted for each project implemented with grant funds, regardless of whether the project is being managed by the state agency administering the grant or by a subgrantee. It is not necessary that an IPR be submitted for the subgrant award itself, but an IPR must be submitted for each project financed by the subgrant. An annual IPR should also be submitted by the administering agency to show how funds were allocated for program administration.

26.

If a state department of labor issues wage rates for various kinds of building projects, which a contractor must meet or exceed, may the state use these rates or is it bound by the federal wage rates because federal grant funds are being used for the project?

The state’s wage rates should be used. The Davis-Bacon Act, which imposes prevailing wage payment requirements on certain contractors, does not apply to this program. The Davis-Bacon Act applies only to contracts to which the United States is a party. Because the Federal Government will not be a party to any contracts on projects constructed with Violent Offender Incarceration and Truth-in-Sentencing grant funds, states are not required to use the federal wage rates. Similarly, these projects are not subject to the standards set by the Contract Work Hours and Safety Standards Act.

27.

What types of projects are subject to National Environmental Policy Act (NEPA) requirements?

All proposals for legislation and other major federal actions that significantly affect the quality of the human environment are subject to NEPA. This would apply to all Violent Offender Incarceration and Truth-in-Sentencing projects (including projects on tribal lands) that involve construction, renovation, facility planning, site selection, site preparation, and security or facility upgrades. It would not apply to projects that involve leasing existing beds from a private vendor unless the private sector is building a facility with the understanding that the state will use federal grant funds to lease the beds. In some cases, NEPA requirements could apply to the construction of a private prison being built in anticipation of a grant-funded contract for beds. For NEPA review purposes, a project is defined as "the construction and long-term operation of the prison facilities and related components, such as all offsite projects needed to accommodate the prison project, road and utility construction or expansion, projects offered to the affected community as incentive to accept the prison construction or expansion, and other reasonably foreseeable actions, regardless of what agency or third party undertakes such action." Reasonably foreseeable actions include future phases of prison construction, especially when either current acreage requirements or design capacities for utilities are based on needs stemming from future phases.

28.

Are there other federal environmental requirements similar to the National Environmental Policy Act’s (NEPA’s) that apply to federally funded projects?

Yes. Other federal environmental requirements that apply to federally funded construction projects include:

National Historic Preservation Act
Clean Air Act
Safe Drinking Water Act
Federal Water Pollution Control Act
Endangered Species Act
Wild and Scenic Rivers Act
Wilderness Act
Executive Order on Floodplain Management
Executive Order on Wetland Protection
Coastal Zone Management Act
Coastal Barrier Resources Act
Farmland Protection Policy Act
Executive Order on Environmental Justice

These requirements are generally incorporated into the NEPA process. For example, one category of environmental impact that must be addressed in a NEPA analysis is any potential effect on historic properties. The National Historic Preservation Act also contains federal requirements for addressing the impact of federal actions on historic properties. To avoid duplicate compliance procedures, the NEPA document traditionally becomes the guide for meeting the requirements of both laws.

29.

What are the National Environmental Policy Act (NEPA) requirements?

NEPA requires that (1) an environmental assessment (EA) be prepared to determine if the project will have a significant effect on the environment and/or (2) an environmental impact statement (EIS) be prepared if the federal action results in significant impact.

An EA is a concise public document that briefly provides sufficient evidence and analysis for determining whether to prepare an environmental impact statement or a finding of no significant impact. It also facilitates the preparation of an EIS when one is necessary. An EA shall include a brief discussion of the need for the proposal, of alternatives, of the environmental impact of the proposed action and alternatives, and a list of agencies and persons consulted.

An environmental impact statement serves as an action-forcing device to ensure that the policies and goals of NEPA are infused into the program/project. An EIS provides a full and fair discussion of any significant environmental impact and shall inform decisionmakers and the public of the reasonable alternatives that would avoid or minimize adverse impact or enhance the quality of the human environment. Statements shall be concise, clear, and to the point, and evidence demonstrating that the agency has made the necessary environmental analyses shall support those statements.

NEPA environmental impact documents are public documents, and the procedures require that the public be provided with an opportunity to review and comment on them. The procedures also require coordination with agencies that have jurisdiction over or special expertise in the identified environmental impact.

The Council on Environmental Quality (CEQ) has published governmentwide regulations for implementing NEPA. These regulations are found at Parts 1500 through 1508 of Title 40 of the Code of Federal Regulations. The U.S. Department of Justice (DOJ) also has published NEPA procedures that incorporate the CEQ regulations. (Part 61 of Title 28 of the Code of Federal Regulations). Consistent with the CEQ and DOJ requirements, the Bureau of Justice Assistance (BJA) has prepared specific guidance for the application of NEPA to BJA-administered programs.

30.

Does each Violent Offender Incarceration and Truth-in-Sentencing (VOI/TIS) project require an environmental impact statement?

No. Many VOI/TIS projects will not have a significant impact on the environment. Examples of projects that are likely to have minimal impact on the environment include projects that involve (1) renovations of an existing facility, (2) an expansion of an existing prison, (3) smaller scale new construction projects, and (4) new facilities within an existing prison complex. An environmental impact statement (EIS) would be required if the environmental assessment (EA) finds that the project is likely to result in a significant environmental impact.

An EIS would be required for projects that are likely to have a significant impact on the environment, such as large construction projects at a new site. An EIS can be initiated early in the project planning process without preparing an EA first.

The Bureau of Justice Assistance, as the federal agency sponsoring the major federal action, will determine if an EIS will be required or if a finding of no significant impact can be determined based on an EA. VOI/TIS grant funds may be used to pay for the preparation of the environmental assessment and/or the environmental impact statement and for compliance with the National Environmental Policy Act process.

31.

Who is responsible for developing the environmental assessment (EA) or environmental impact statement (EIS)?

The federal agency always remains responsible for compliance with the National Environmental Policy Act (NEPA) but must work closely with the state or local agency responsible for implementing the project. For EAs, the Council on Environmental Quality regulations allow the implementing agency to play a major role in their preparation. For EISs, the preparer cannot have a stake in the outcome. Consequently, the federal agency or a third-party expert under the direction of the federal agency prepares the EIS. As an exception to this latter provision, NEPA was specifically amended to allow a state agency with statewide jurisdiction and responsibility for the action to prepare the EIS as long as the responsible federal agency furnishes guidance and participates in the preparation and independently evaluates the EIS prior to its approval and adoption.

In accordance with BJA’s general policy of providing the states with the maximum amount of control and flexibility over the use of formula grant funds, states will receive the formula grant award for which they qualify and will be responsible for developing, or in the case of an EIS, contracting, for the environmental documents. The state may use formula grant funds to pay for the preparation of these documents and to implement mitigating actions to reduce any negative impact on the environment.

32.

What are the Bureau of Justice Assistance’s (BJA’s) and states’ roles in the National Environmental Policy Act (NEPA) process?

BJA will:

Issue guidance on the preparation of environmental documents and the NEPA process.

Review all draft documents.

Be involved in notifying state and federal agencies and the public and participate in public hearings.

Prepare a written assessment of any environmental impact that another state or federal land management agency believes has not been adequately addressed through the NEPA process.
Monitor implementation by the states.

Enter into a contract with one or more private firms to assist with the review of draft and final copies of documents submitted by the states, and attend public meetings, when appropriate.

Prepare a sample statement of work that states who choose to use their own contractor can use to ensure that the services provided meet the requirements.

The grantee agency will:

Prepare the environmental documents and follow the NEPA process, with the Bureau of Justice Assistance’s (BJA’s) full participation. Grant funds may be used to pay the costs associated with compliance with these requirements.

Issue the documents for public comment jointly with BJA.

Solicit comment from other state and federal agencies, interested organizations, and the public.

Not begin construction on any project until all environmental work has been completed.

Complete a Project Status Report form for all projects under construction or completed prior to notification of the NEPA requirements.

Ensure that appropriate environmental analysis (as determined by BJA) is completed for all projects and that appropriate mitigation measures are implemented to reduce the impact of any identified environmental impact.

The grantee agency is responsible for ensuring that subgrantees are notified of the NEPA requirements and BJA is notified at the start of the construction planning phase so that the NEPA process can begin early enough in the grantee’s site selection process to make informed decisions. The grantee, as an agency with statewide authority, will serve as a state lead agency and will work closely with BJA to develop and review environmental documents. As such, the grantee could contract with one of the approved private organizations for the preparation of an environmental assessment (EA) or environmental impact statement (EIS). The grantee also would be responsible for providing document preparers with information on the project and for participating in any public meetings.

If delegated by the grantee, the implementing agency may develop (if required expertise exists) or contract for the development of an EA and submit it through the grantee to BJA for review. BJA will then decide whether to issue a finding of no significant impact (FONSI) or to require an EIS. If BJA issues a draft FONSI, the implementing agency will make it and the EA available for public comment.

If an EIS is required, the implementing agency can serve as a cooperating agency and be responsible for providing requested information on the project, the alternative sites for the project, and the agency’s preferred alternative. The grantee agency and BJA would be responsible for the joint release of the EIS documents for public review and for participating in any public meetings.

IV. Grantee Products

How do I submit grant deliverables?

Your grant deliverables should be submitted to your BJA program manager (identified on your award document) for review and approval through the various stages of development and in accordance with your time/task plan. If this coincides with your biannual Progress Report, you may submit the deliverable as an addendum to your report.

As part of my grant, I am preparing a publication, video, or web product. What do I do with it when it is finished?

Grantee products, such as publications or training videos, should be identified at the outset of a grant in the grant award documents. It is important that both BJA and you know with certainty what products you will produce, what purpose the products will serve, and when you will produce the products. It is imperative that you and your program manager discuss expected products at the outset in some detail. What type of publication will be produced, how long should it be, when will a draft be ready, and for what audience should it be written? Also, will you or BJA publish it? Answering these basic questions and including the answers in the grant file in writing will avoid confusion after the product is submitted for review.

During the grant period, you should provide regular updates to your BJA program manager on your progress toward completing the product. If you encounter delays or serious problems while preparing the product, tell your program manager as soon as possible. Delays and problems are sometimes unavoidable, and BJA will do everything possible to help you get back on track.

When a publication draft or other product is nearing completion, notify your program manager. Your program manager will then notify BJA’s communications staff, which is responsible for coordinating the review and comment on grantee products. BJA must review all grantee products produced under BJA grants, including material posted to web sites, before they are released to the public.

Submit your draft or product to your program manager in the format that you and your program manager have agreed on. Please note that your submission of a draft does not automatically mean that BJA will publish, release, or promote the product. We must first review it to ensure that it is useful and appropriate for its audience. We must also decide if the publication or other deliverable is best released as a (1) BJA product, (2) grantee product with BJA approval, or (3) grantee product without BJA approval.

Release as a BJA Product. The draft you submit will be edited, formatted, and released as a BJA publication or other product. BJA will provide a timeline for this process, seek your input on documents that require substantive editing and rewriting, and work with you to distribute the product to critical audiences via print and the Internet.
Release as a Grantee Product With BJA Approval. In some instances, we will decide that the product would best be produced and released by you. In these cases, we may require you to include the BJA logo on the cover. We may also place the publication or product on the BJA web site or assist you with distribution.
Release as a Grantee Product Without BJA Approval. In some instances, BJA may decide not to produce or promote your product. The draft or product will then be returned to you for your use. In this case, you may release the product, but you may not use BJA’s, OJP’s, or DOJ’s logo or in any way, and you must not explicitly or implicitly suggest that the product received BJA approval.

You may only publish a product using grant funds if you have received prior approval from your BJA program manager.

If you release a product, with or without BJA approval, you must include the following disclaimer:

"[Project Name or Grantee Name] was supported by grant number xxxx-xx-xx-xxxx, awarded by the Bureau of Justice Assistance. Opinions or points of view in this document are those of the author and do not necessarily represent the official position or policies of the U.S. Department of Justice."

You can find more information on grantee development of publications in Part III, Chapter 7 of the Office of the Chief Financial Officer’s Financial Guide.

V. Site Visits

Why was my program/project selected for a monitoring visit?

BJA staff conduct desk reviews to assist them in determining which grantees need more assistance and require a monitoring visit. Desk reviews involve a thorough review of the Grants Management System (GMS) and the grant file. Desk reviews are conducted in order to: (1) ensure that grantee files are complete and the documents they contain were properly executed, (2) determine if the grantee is in compliance with the program guidelines, (3) determine if grant special conditions are being implemented and properly cleared, (4) assess the progress of the program and identify any problems encountered, and (5) assess the level of monitoring needed.

The desk review identifies key factors associated with the performance and compliance of a specific grantee and grant program. The main areas assessed are (1) award, (2) prior monitoring, (3) compliance, and (4) performance. Several factors are considered under these areas to determine the need for a monitoring visit. Assessments of the status, progress, and performance of BJA grantees are used to ensure grant funds are being used properly and effectively. Assessments will allow BJA to provide corrective action to grantees who are at risk of managing their grant in a manner that is not consistent with the goals and requirements of the grant program.

Factors that are considered include:

Award amount.
Prior onsite monitoring date (if known).
Status of submission of financial reporting.
Status of submission of progress reports.
Compliance with special conditions.
Compliance with program guidelines
First time grantee
Confidential funds.
Type of applicant.
Number of subgrantees.
Potential best practices model.
Prior concerns from desk reviews/monitoring.
Technical assistance required.
Multiple BJA grants.
Other significant issues as determined by BJA staff.

BJA staff cannot visit 100% of active grantees. For those sites that are not visited, and in addition to desk reviews, BJA will contact grantees via telephone and/or e-mail to discuss grant activities and project status.

What information do I need to prepare for the monitoring visit?

Before BJA performs a monitoring visit, your state policy advisor will contact you to set up a mutually convenient time for the visit and will go over what issues will be discussed and what aspects of the program are going to be reviewed. In addition to meeting with you, the state policy advisor may want to meet with the financial and accounting staff responsible for reviewing invoices and preparing Financial Status Reports (SF-269s) and any project personnel who manage onsite project activities. The state policy advisor may also ask to meet with the agency director.

The monitoring visit consists primarily of the following activities: (1) review of materials, processes, and procedures related to grant administration; (2) review and discussion of programmatic issues related to implementation of the project(s) outlined in the approved grant application; (3) visiting local projects/programs; and (4) an exit interview. In order to satisfy general program monitoring standards, BJA staff will review several documents that will be outlined in your previsit letter. For example, BJA staff may review the following:

At least one Byrne subgrantee and one LLEBG subgrantee (if applicable).
Program changes, if any, and significant issues or problems in program implementation and corrective action taken.
Status of compliance with the Jacob Wetterling Act (if applicable).
Records maintained for formula grants administration, including Byrne, LLEBG, and RSAT subgrantee files (if applicable) or records maintained for discretionary grant administration.
Staffing for the Byrne and RSAT formula grant programs, including time allocations on BJA formula grants and other programs (if applicable).
Technical assistance and other grantee needs.
Status of BJA required reports and documents, i.e., performance/progress reports and financial status reports (SF-269s).
Status of the Byrne program (or other applicable program) in the state, including an update of the current program strategy.
The agency’s organizational chart.

In order to facilitate this process, grantees must forward program descriptions and the most recent progress reports for the programs to be visited, as well as a tentative site-visit agenda by the due date identified in the previsit letter from BJA. Grantees must allocate sufficient time for the entrance conference, exit interview, and other meetings between key local officials and BJA staff to discuss progress, performance, and other issues relating to the funded program(s). Grantees must provide complete, accurate, and up-to-date information as requested by BJA. The program site visit will conclude with an exit interview to review progress and discuss any issues discovered during the site visit.

What are BJA’s monitoring objectives?

BJA's policy is to ensure the programmatic integrity and accountability of its grantees through a proactive monitoring program.

Objectives:

Ensure that grantees adhere to the administrative requirements and special conditions of the grants as defined by statutes, program guidelines, financial regulations, and certified assurances.
Ensure that the programs/projects initiated by grantees are carried out in a manner consistent with the program goals, its policy guidelines, and applicable rules and regulations.
Provide guidance to grantees on BJA policies and procedures, grant program requirements, and basic programmatic and financial reporting requirements.
Identify and resolve problems that may impede the effective implementation of programs.
Document successful implementation of projects for possible transfer of knowledge to other jurisdictions.
Provide the necessary assistance that serves the needs of the grantees and strengthens collaborative relationships.
Assist grantees in enhancing and sustaining current programs funded by BJA.

What will the BJA state policy advisor do when he or she comes for an onsite visit?

Periodically, BJA staff will perform an onsite monitoring visit that involves both a programmatic and administrative review of a grant.

Programmatic review addresses the content and substance of the program. It is a qualitative review to determine grant performance, innovation, and contributions to the field. Programmatic monitoring assesses whether grant activities are consistent with the grant implementation plan and the project’s stated goals and objectives.

Administrative review involves reviewing compliance with grant terms and conditions, reporting requirements, and completeness of documentation in the official grant file. Although state policy advisors do not monitor or audit financial records, administrative monitoring requires that program managers conduct a cursory review of records to ensure that expenditures are in line with the approved and authorized budget and verify that matching requirements of the program are being met. The OJP Office of the Chief Financial Officer (OCFO) conducts full financial monitoring that includes an analysis of the accounting system to ensure that it can account for receipts, obligations, and expenditures by grant.

Grantees should be aware of the top 11 findings made during a financial monitoring visit, conducted by OCFO:

Substandard accounting procedures (includes instances of no written procedures.)
Untimely financial reports.
Questioned costs.
Untimely audit reports (includes instances of no submission).
Unsupported financial reports.
Program/interest income/expenditures not reported.
Grant documentation lacking.
Excess cash.
Insufficient match (includes instances of no match).
Award expired, action needed.
Inaccurate financial status reports.
See the sixth question in this section for more information about OCFO financial monitoring.

In general, your state policy advisor will review your grant files to ensure that all information (e.g., SF-269s, progress reports) is current, determine how grant obligations and payments are approved, and review the special conditions of the grant to ensure that they have been satisfied or that progress has been made toward satisfying them. The state policy advisor also will look to see that grant expenditures are consistent with approved budget categories and stated program goals.

Your state policy advisor also will visit the site of the grant-funded project to see how the project’s goals, objectives, and timelines are progressing. During a project-site visit for formula grant programs, BJA staff also may observe selected subgrant operations, but BJA staff do not officially monitor subgrants.

At the conclusion of the site visit, your state policy advisor will conduct an exit interview with the grntee point of contact and the agency head to discuss any findings or recommendations. The exit interview is your opportunity to ask your state policy advisor questions. It also is an opportunity to summarize the issues and ensure that you and project staff are in agreement with the state policy advisor about the identified issues, needs for technical assistance, and the strategy for following up on items that cannot be resolved during the monitoring visit.

What should I expect after the monitoring visit?

After the monitoring, the state policy advisor will prepare a letter, which will indicate any findings or recommendations (if appropriate). Recommendations for corrective action will be specific and will include a timeline for bringing your program into compliance. The letter will outline: (1) critical findings, (2) required corrective actions, (3) timeline, (4) recommendations, (5) items that could be improved but are not required, and (6) positive feedback about successful or innovative projects or programs. An official response from the grantee is due within 60 days of receipt of the letter.

If you requested technical assistance, the state policy advisor will outline a plan for providing the assistance.

What does the Office of the Chief Financial Officer (OCFO) do during an onsite monitoring visit?

The Monitoring Division (MD) of the Office of the Chief Financial Officer (OCFO) conducts onsite reviews and indepth analyses of grantee financial management systems and financial records. Prior to the visit, you will be notified by telephone and in writing to schedule the visit. While these reviews may feel like an audit, they are designed to help you avoid audit findings and provide technical (financial) assistance, as needed. The objectives of these reviews is to ensure that you are properly accounting for the receipt, obligation, and expenditure of grant funds. An onsite review begins with a complete examination of your grant file at OJP, in coordination with BJA's program manager, and includes an analysis of your:

Financial and administrative controls, such as:
1. Administrative structure (e.g., chain of approval and separation of duties);
2. Subrecipient monitoring policy, plans, and records;
3. Documentation (e.g., accounting/administrative policies and procedures, transactions, and approvals);
4. The ability of your accounting system to record incurred costs in approved budget categories and support financial reporting (e.g., auditable financial statements and Financial Status Reports;
5. Procurement, inventory, and property management controls; and
6. Time and attendance controls.
Accounting system, such as:

The adequacy of your chart of accounts;

The system's ability to separately record and report on the receipt, obligation, and expenditure of funds by federal award, including proper and accurate reporting of passthrough, program income, and matching expenditures; and

Reconciling your accounting system/supporting records to award, drawdown, obligation, and expenditure data on file at OJP.

Timely/accurate submission of quarterly Financial Status Reports.

Cash management policy and procedures relating to drawdown of grant funds and an analysis of excess cash on hand.

Grant-related transactions, including tracing a sample of transactions to source documents and testing to determine if they are supported, allowable, allocable, and reasonable.

Federally Negotiated Indirect Cost Rates and related application and reporting.

Resolution and closure of findings contained in Single Audit Reports and other external audit reports.

The monitoring visits conclude with an exit conference and followup correspondence in which findings and recommendations are identified. Monitoring Division staff will track the findings, advise BJA of your progress, and provide assistance as needed until you have addressed (closed) all issues identified. When unallowable expenditures are identified, MD staff will assist you in your efforts to adjust future expenditures reporting and requests for reimbursement to correct these unallowable costs. MD staff will also assist you in offsetting unallowable costs with allowable costs, or if necessary, submit a refund. In the event of supplanting issues, MD staff will coordinate with BJA and OJP's Office of General Counsel.

For your information, the top 10 monitoring findings include:

Untimely submission of Financial Status Reports.

Inadequate accounting procedures.

Questioned expenditures.

Delinquent Single Audit Reports.

Inaccurate Financial Status Reports.

Unreconcilable Financial Status Reports.

Delinquent progress reports.

Excess cash on hand.

Inadequate monitoring of subrecipients.

Inadequate internal controls.

VI. Training/Technical Assistance

I just got a BJA grant. Can someone help me implement my program?

Your BJA program manager is your first source of technical assistance for difficulties with implementing your program or project. Contact your program manager as soon as possible and discuss your concerns. The program manager may also refer you to the BJA technical assistance manager, who can direct you to an appropriate technical assistance provider.

I’m halfway through my project, and I’m stuck. Who can help me?

Contact your BJA program manager, who is your primary contact in BJA. Your program manager will help you directly or refer you to the BJA technical assistance manager, who can direct you to an appropriate technical assistance provider.

Where can I go for information on available training and technical assistance?

In addition to your BJA program manager, several online sources are available to help you find training and technical assistance:

For BJA-sponsored training and technical assistance, visit the Training and Technical Assistance section.

Law enforcement practitioners should visit the BJA Law Enforcement Training database, a catalog of all federally funded and supported training available to state and local law enforcement officials.

BJA also provides drug court grantees with technical assistance through the National Drug Court Training and Technical Assistance Program (NDCTTAP). One element of this program is the Drug Court Planning Initiative (DCPI),which provides communities with the knowledge, skills, and tools they need to implement a drug court. Particular emphasis is placed on learning new roles, cross training, and developing both a team and a coordinated strategy across justice and treatment systems.

For information on other training and technical assistance available through the Office of Justice Programs, visit www.ojp.usdoj.gov/training/training.htm.

Where can I go for information on financial management training?

The Office of Justice Programs’ (OJP’s) Office of the Chief Financial Officer (OCFO), in cooperation with the National Criminal Justice Association (NCJA), sponsors a series of Regional Financial Management Training Seminars.

The Regional Financial Management Training Seminars are designed specifically for persons responsible for the financial administration of formula and/or discretionary grants awarded from federal grant programs that are administered by OJP bureaus and offices.

While there is no registration fee, attendees are responsible for all costs associated with their participation in the seminar, including transportation, lodging, and meals.

VII. Earmark Process

I have an earmark. What happens now?

You must complete some standard steps before you receive and start spending the funds.

After the federal appropriation is enacted into law, BJA reviews the appropriation to identify the congressional earmarks and the recipient organizations. Each earmark is assigned to a BJA State Policy Advisor, who in turn contacts the organization to begin the application process. Identifying the recipient organizations, especially those that are new to BJA, is sometimes difficult. You are welcome to contact BJA directly to expedite the process.

The grant application and approval process is the same for earmarks as it is for all other grants. You are required to submit an application that conforms to BJA requirements and adequately explains your proposed program. The application must contain a detailed budget that shows the anticipated costs of the program. Your application must be submitted via the OJP Grants Management System (GMS). Your BJA State Policy Advisor is available to answer any questions you may have as you prepare your application. Please keep in mind that you do not have a grant, and therefore do not have the money, until the application is fully approved by BJA and you receive the award documents. Although we are working to simplify and streamline the grant process, it often takes several months to complete.

As with all other BJA-funded projects, grants that result from a congressional earmark must comply with the statutory, programmatic, and financial requirements governing the grant program under which they are being funded. All BJA grants must be used for projects that relate to criminal or juvenile justice program authority. Two good resources for you are the Guidelines and Regulations section of the BJA Guide to Grants and the Office of the Chief Financial Officer’s Financial Guide.

Please talk to your BJA program manager about your proposed program to make sure BJA can fund it. We will work with you to develop the best program possible that complies with the grant program requirements.

Also, please be aware that sometimes an earmark ends up in BJA’s Byrne appropriation, but we may administratively transfer the project to a sister agency for award and administration so that like projects are kept together. For example, if BJA has a congressional earmark for a juvenile delinquency program, we may transfer the earmark to the Office of Juvenile Justice and Delinquency Prevention.

VIII. Faith-Based Initiatives

Are faith-based organizations eligible for federal funding?

On December 12, 2002, then-President George W. Bush signed Executive Order 13279 calling for equal treatment of faith-based and community groups that apply for federal funding. This order was aimed at providing faith and community groups with opportunities to receive federal funds without compromising their beliefs or autonomy.

It is OJP policy that faith-based and community organizations that statutorily qualify as eligible applicants under OJP programs are invited and encouraged to apply for assistance awards. Faith-based and community organizations will be considered for an award on the same basis as any other eligible applicants and, if they receive assistance awards, will be treated on an equal basis with non faith-based and community organizations grantees in the administration of such awards. No eligible applicant or grantee will be discriminated against on the basis of its religious character or affiliation, religious name, or the religious composition of its board of directors or persons working in the organization.

What BJA funding opportunities are available for faith-based groups?

Many programs within BJA offer faith-based and community organizations opportunities for funding through grants, subgrants, service contracts, or technical assistance services. These programs include:

Edward Byrne Memorial Justice Assistance Grant (JAG) Program

Mental Health Courts Program

Prisoner Reentry Initiative

Residential Substance Abuse Treatment Program

Drug Court Discretionary Grant Program

Where can I learn more about faith-based activities and funding opportunities?

Other resources for faith-based activity and funding opportunity information include:

Substance Abuse and Mental Health Services Administration Faith-Based & Community Programs

U.S. Department of Labor Center for Faith-Based & Community Initiatives

IX. Contact Information

How do I contact BJA?

Bureau of Justice Assistance
Office of Justice Programs
810 Seventh Street NW.
Fourth Floor
Washington, DC 20531
202-616-6500
Fax: 202-305-1367
E-mail: AskBJA@ojp.usdoj.gov
Web: www.ojp.usdoj.gov/BJA

Who is my BJA program manager?

Click here for a state-by-state listing of BJA contacts.

Who is my State Administering Agency (SAA)?

In each state, the governor designates a State Administering Agency (SAA) to handle the subgranting of federal formula funds to local and state criminal justice operations.

To obtain your SAA's contact information, click here.

Who is my State Single Point of Contact (SPOC)?

SPOCs are responsible for the coordination and review of proposed federal financial assistance and direct federal development. If your state has established a process for the review of federal programs and activities eligible under Executive Order 12372, “Intergovernmental Review of Federal Programs,” you must submit a copy of your application to your SPOC before or at the same time that you submit your application to BJA. Additional information about this requirement is contained in individual grant program announcements.

Click here to access SPOC contact information.

Who can help me with a technical problem (e.g., GMS, SCAAP systems)?

Call the BJA Support Services Line at 1-888-549-9901 and select option #3 for technical problems. For user ID and password problems, select option #5.

X. Links to Grant Resources

Where can I find information about BJA guidelines?

Bulletproof Vest Partnership (BVP) Program Resources

Byrne: Jacob Wetterling Act Resource Guide

Byrne: Campus Sex Crimes Prevention Act, Final Guidelines

Comprehensive Approaches to Sex Offender Management (CASOM)

Correctional Facilities on Tribal Lands Program

Denial of Federal Benefits (DFB): Overview of the DFB Program

Drug Court Discretionary Grant Program

Edward Byrne Memorial Justice Assistance Grant (JAG) Program

Public Safety Officers’ Benefits Program (Fact Sheet) PDF or ASCII

Public Safety Officers’ Educational Assistance Program (Fact Sheet) PDF or ASCII

Residential Substance Abuse Treatment for State Prisoners (RSAT) Program

Southwest Border Prosecution Initiative (SWBPI): Guidelines

FY 2002 State Criminal Alien Assistance Program (Fact Sheet) PDF or ASCII

Violent Offender Incarceration and Truth-in-Sentencing (VOI/TIS)

How can I access Office of Justice Programs (OJP) forms, regulations, and resources?

Standard Forms & Instructions

State Administering Agencies (SAAs)

Office for Civil Rights: Equal Employment Opportunity Plans (EEOPs)

Office for Civil Rights: Filing a Civil Rights Complaint Against Recipients of Financial Assistance From OJP

Office for Civil Rights: Limited English Proficient Individuals

Office for Civil Rights: Statutes & Regulations

Office of Justice Programs: Resource Guide

Office of the General Counsel: Freedom of Information Act

Is Office of the Chief Financial Officer (OCFO) financial guidance available online?

See the OCFO Financial Guide 2008.

What other Federal Government forms, regulations, and resources are relevant to grant projects?

General Services Administration: Travel on Government Business

Office of Management and Budget: Circulars: Federal Financial Management Documents

Office of Management and Budget: State Single Point of Contact (SPOC)

How can I learn about the National Environmental Policy Act (NEPA)?

Program Guidance on Environmental Protection Requirements PDF or ASCII

Environmental Impact Review Procedures for the VOI/TIS Grant Program: Interim Final Rule PDF or ASCII

Sample Statement of Work for an Environmental Impact Statement PDF or ASCII

Sample Outline for an Environmental Assessment PDF or ASCII

Does the Office of Justice Programs have other funding opportunities?

The Bureau of Justice Assistance (BJA) is a component of the Office of Justice Programs, U.S. Department of Justice, which also includes the Bureau of Justice Statistics, the National Institute of Justice, the Office of Juvenile Justice and Delinquency Prevention, and the Office for Victims of Crime. Each of these components provides opportunities to enhance and improve criminal justice systems and services for crime victims. Visit OJP's Funding Opportunities page for a list of open grant programs.

Do other agencies within the U.S. Department of Justice have funding available?

The Office of Community Oriented Policing Services (COPS) offers funding to advance community policing services. Visit the COPS Funding page for a list of grant programs.

How do I find out about other federal funding?

Several other sources of information about Federal Government funding are available:

USA.Gov, a searchable web site designed to give users a centralized place to find information from local, state, and Federal Government agency web sites.

Catalog of Federal Domestic Assistance (CFDA), a searchable database of all federal programs available to state and local governments; federally recognized tribal governments; U.S. territories; domestic public, quasi-public, and private profit and nonprofit organizations and institutions; and individuals.

Federal Register, a daily legal publication that provides information on opportunities for funding and federal benefits; rules, proposed rules, and notices of federal agencies and organizations; and Executive Orders and other presidential documents.

XI. Guidelines and Regulations

What is the difference between legislative, programmatic, financial, and administrative requirements?

Legislative requirements are those mandated by law. To view the legislative authority and requirements for BJA-funded programs, go to the Office of the Chief Financial Officer's (OCFO) Financial Guide, as well as the appropriations act for each fiscal year.

Specific programmatic requirements are stated in the grant solicitation or program guidelines and also may be included in the special conditions of the grant award. To find the requirements for a BJA-funded program, click here and select a program name.

Financial requirements are stated in the OCFO Financial Guide. The OCFO Financial Guide is the basic reference source and guide for all financial issues regarding the management of OJP grant programs.

Administrative requirements mean those matters common to grants in general, such as financial management, types and frequency of reports, and retention of records. Administrative requirements are generally stated in the terms and conditions of the award and also are addressed in the OCFO Financial Guide.

The Office of Management and Budget (OMB) circulars provide the governmentwide common rules applicable to grants and cooperative agreements. For additional information on grants management and access to OMB circulars, click here.

How do I find out the requirements for my program?

Specific program requirements are stated in the grant solicitation or program guidelines and also may be included in the special conditions of the grant award. To find the requirements for a BJA-funded program, go to the BJA Programs page and click on the program name. You can also contact your BJA program manager.

What is a DUNS number?

On June 27, 2003, the Office of Management and Budget (OMB) issued a policy directive to implement the requirement for grant applicants to provide a Dun and Bradstreet (D&B) Data Universal Numbering System (DUNS) number when applying for federal grants or cooperative agreements on or after October 1, 2003.

The DUNS number will be required when an applicant is applying online for an OJP grant via the Grants Management System (GMS). Organizations should verify that they have a DUNS number, or take the steps needed to obtain one as soon as possible if there is a possibility that they will be applying for federal grants or cooperative agreements on or after October 1. Organizations can receive a DUNS number at no cost by calling the dedicated toll-free DUNS Number request line at 866-705-5711. Individuals who might receive a grant or cooperative agreement award from the federal government are exempt from this requirement.

For more information, read the Federal Register notice.

What are the requirements for providing matching funds?

Match funds must be in addition to funds that would otherwise be made available by the recipient. In other words, grant funds may not be used to supplant existing funding sources.

For the Edward Byrne Memorial State and Local Law Enforcement Assistance Formula Grant Program (Byrne Formula Grant Program), at least 25 percent of the cost of a program or project funded with a formula grant must be paid in cash (not in-kind) with nonfederal funds.

Under the Local Law Enforcement Block Grants (LLEBG) Program, the federal LLEBG funds awarded may not exceed 90 percent of the total cost of your program. In other words: total program cost = the federal award amount (90 percent) + the local match amount (10 percent).

LLEBG recipients are required to contribute a local cash match. The amount of the required match can be computed by calculating one-ninth of the federal award amount. The matching requirement is only applicable to the amount of the federal award, not any interest or income that may be earned. The cash match requirement cannot be waived.

Under the Residential Substance Abuse Treatment for State Prisoners (RSAT) Formula Grant Program, the federal share of a grant-funded project may not exceed 75 percent of the total costs of the project. The 25 percent matching funds may be in the form of cash or in-kind contributions.

Under the Violent Offender Incarceration and Truth-in-Sentencing (VOI/TIS) Incentive Formula Grant Program, the federal share of the grant-funded project may not exceed 90 percent of the total costs of the project. The 10 percent matching funds must be in cash.

For more information on match requirements, please go to Part III, Chapter 3 of the Office of the Chief Financial Officer (OCFO) Financial Guide.

Some BJA discretionary grant programs also require a match, which is described in the grant solicitation. To find the match requirements for specific discretionary programs, go to www.ojp.usdoj.gov/BJA/grant/index.html and click on the program name.

What is supplanting?

Per the Office of the Chief Financial Officer (OCFO) Financial Guide, “Supplanting is to deliberately reduce State or local funds because of the existence of Federal funds. For example, when State funds are appropriated for a stated purpose and Federal funds are awarded for that same purpose, the State replaces its State funds with the Federal funds, thereby reducing the total amount available for the stated purpose” (taken from the OCFO Financial Guide Glossary of Terms). In other words, grant funds may not be used to replace existing state and local funding sources.

For example, under the Local Law Enforcement Block Grants (LLEBG) Program, you may use LLEBG funds to hire officers or support personnel if they are in addition to staff already included in the budget.

Can grant funds be used for lobbying activities?

No. OJP must first give approval.

The Anti-Lobbying Act (18 U.S.C. § 1913) recently was amended to expand significantly the restriction on use of appropriated funding for lobbying. This expansion also makes the anti-lobbying restrictions enforceable via large civil penalties, with civil fines between $10,000 and $100,000 per each individual occurrence of lobbying activity. These restrictions are in addition to the anti-lobbying and lobbying disclosure restrictions imposed by 31 U.S.C. § 1352.

The Office of Management and Budget (OMB) is currently in the process of amending the OMB cost circulars and the common rule (codified at 28 C.F.R. Part 69 for Department of Justice grantees) to reflect these modifications. However, in the interest of full disclosure, all applicants must understand that no federally appropriated funding made available under OJP grant programs may be used, either directly or indirectly, to support the enactment, repeal, modification or adoption of any law, regulation, or policy, at any level of government, without the express approval by OJP. Any violation of this prohibition is subject to a minimum $10,000 fine for each occurrence. This prohibition applies to all activity, even if currently allowed within the parameters of the existing OMB circulars.