[Federal Register Volume 59, Number 29 (Friday, February 11, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-3251]


[[Page Unknown]]

[Federal Register: February 11, 1994]


_______________________________________________________________________

Part VIII





Department of Justice





_______________________________________________________________________



Office of Juvenile Justice and Delinquency Prevention



_______________________________________________________________________




Delinquency Prevention Program Guidelines; Notice
DEPARTMENT OF JUSTICE

Office of Juvenile Justice and Delinquency Prevention

 
Delinquency Prevention Program Guideline

AGENCY: Office of Justice Programs, Office of Juvenile Justice and 
Delinquency Prevention.

ACTION: Request for public comment on the application guideline for FY 
1994 Title V Delinquency Prevention Program.

-----------------------------------------------------------------------

SUMMARY: The Office of Juvenile Justice and Delinquency Prevention 
(OJJDP) is requesting public comment on the proposed application 
guideline for FY 1994 Title V Delinquency Prevention Program. This 
program is of interest to all Juvenile Justice and Delinquency 
Prevention Act of 1974, as amended, (JJDP Act) formula grantees and all 
units of local government.

DATES: Comments on the proposed guideline must be received by OJJDP not 
later than March 28, 1994.

ADDRESSES: Office of Juvenile Justice and Delinquency Prevention, room 
543, 633 Indiana Avenue NW., Washington, DC 20531.

FOR FURTHER INFORMATION CONTACT: Paul E. Steiner, Social Science 
Program Specialist, State Relations and Assistance Division, Office of 
Juvenile Justice and Delinquency Prevention, at the above address. 
Telephone (202) 307-5924.

SUPPLEMENTARY INFORMATION: Section 504(1) of the JJDP Act directs OJJDP 
to issue ``such rules as are appropriate and necessary to carry out'' 
Title V--Incentive Grants for Local Delinquency Prevention Programs.

Background

    One of the new programs contained in the 1992 Reauthorization of 
the Juvenile Justice and Delinquency Prevention Act of 1974, as 
amended, (hereafter ``the Act'' or ``the JJDP Act'') is Title V, 
Sections 501-506, ``Incentive Grants for Local Delinquency Prevention 
Programs Act.'' For Fiscal Year 1994, Congress appropriated $13 million 
for initial implementation of Title V.
    Prevention has been one of the primary goals of the Act since its 
enactment in 1974. The premise is that preventing delinquent behavior 
is a much more cost-effective means of reducing juvenile crime than 
attempting to rehabilitate adjudicated delinquents. Prevention is also 
a much more cost-effective way to deal with juvenile delinquency. In 
addition to reducing the human and financial losses caused by crime, 
effective delinquency prevention also reduces the need for costly 
juvenile justice system processing and adjudication. Each year, 
juvenile courts handle approximately 1.4 million delinquency and status 
offense cases, resulting in nearly 130,000 out-of-home placements. On 
any given day, approximately 90,000 juveniles are held in juvenile 
detention, correctional and shelter facilities. Nationally, nearly $2 
billion a year is spent operating these facilities. The average annual 
cost of confining a juvenile in a training school exceeds $45,000 in 
many States. The cost for intensive, private residential treatment for 
a serious juvenile offender can run as high as $100,000 per year. The 
cost for construction of secure facilities for juveniles is currently 
about $100,000 per bed.
    In order to be eligible to fully participate in the Formula Grants 
Program of The JJDP Act, States must develop and adhere to policies, 
practices, and laws which deinstitutionalize status offenders and 
nonoffenders, separate adults and juveniles held in secure 
institutions, and eliminate the practice of detaining or confining 
juveniles in adult jails and lockups. In addition, States must address 
efforts to reduce the disproportionate representation of minority 
juveniles in secure facilities, where such condition exists. These four 
goals (desinstitutionalization of status offenders, separation, jail 
removal, and disproportionate minority confinement) are commonly called 
the Formula Grants Program mandates, and have been major focus of 
States' Federally funded efforts since the passage of the Act. In order 
to meet the statutory requirements for compliance, approximately 70% of 
the States at one time or another have devoted 100% of all available 
formula grant funds toward meeting the mandates. Thus, many States have 
been limited in the amount of JJDP Act funds that could be devoted to 
prevention.
    Title V of the JJDP Act is designed to provide States the 
opportunity to fund delinquency prevention and early intervention 
programs for communities, provided that the applicant community is in 
compliance with the JJDP Act mandates.
    Congress has structured the Title V Delinquency Prevention Program 
to support communities that have formulated a community-wide strategy 
to address the prevention of delinquency. A community will be required 
to have a prevention strategy based on assessment of risk factors 
associated with the development of delinquent behavior in the 
community's children.
    Title V authorizes the Administrator of OJJDP to make grants to a 
State, to be transmitted through the State Advisory Group, to units of 
local government for delinquency prevention programming. The State 
agency which administers the JJDP Act Formula Grant in each State will 
be eligible to apply for funding and receive an amount determined by a 
formula based on the State's population of youth under the maximum age 
of original juvenile court delinquency jurisdiction, with a minimum 
allocation of $75,000 per State and $25,000 per Territory.
    States will invite units of local government that meet the 
statutorily mandated eligibility requirements to apply for funding. In 
order to be eligible, local applicants must (1) be certified by the 
State Advisory Group to be in compliance with the JJDP Act Formula 
Grants mandates, (2) designate or convene a local Prevention Policy 
Board, and (3) develop a local, comprehensive delinquency prevention 
plan.

Approach

    Many past delinquency prevention planning and programming efforts, 
while well intentioned, have been unsuccessful because of their 
negative focus on attempting to prevent juveniles from misbehaving. 
Another weakness of past delinquency prevention efforts is their narrow 
scope, generally focusing on only one or two aspects of a child's life 
such as individual behaviors or family problems. Successful delinquency 
prevention strategies must be positive in their orientation and 
comprehensive in their scope.
    Positive approaches that emphasize opportunities for healthy 
social, physical and mental development and take into account 
individual, family, peer group, school, and community influences on a 
child's development have been shown to have a much greater likelihood 
of success.
    Risk-focused delinquency prevention is a comprehensive approach 
based on the premise that in order to prevent a problem from occurring, 
the factors that contribute to the development of that problem must be 
identified and addressed.
    Research conducted over the past half century has clearly 
documented five categories of risk factors for juvenile delinquency: 
(1) Individual characteristics such as alienation, rebelliousness and 
lack of bonding to society; (2) family influences such as parental 
conflict, child abuse, poor family management practices, and family 
history of problem behavior (substance abuse, criminality, teen 
pregnancy, and school dropouts); (3) school experiences such as early 
academic failure and lack of commitment to school; (4) peer group 
influences such as friends who engage in problem behavior (minor 
criminality, drugs, gangs and violence); and (5) neighborhood and 
community factors such as economic deprivation, high rates of substance 
abuse and crime, and neighborhood disorganization.
    To counter these risk factors, protective factors must be 
introduced. Protective factors are qualities or conditions that 
moderate a juvenile's exposure to risk. Research indicates that 
protective factors fall into three basic categories: (1) Individual 
characteristics such as a resilient temperament and a positive social 
orientation; (2) bonding with pro-social family members, teachers, 
adults, and friends; and (3) healthy beliefs and clear standards for 
behavior. While individual characteristics are difficult to change, 
bonding and clear standards for behavior work together and can be 
changed. To increase bonding, children must be provided with: (1) 
Opportunities to contribute to their family, school, peer group and 
community; (2) skills to take advantage of opportunities; and (3) 
recognition for efforts to contribute. At the same time, parents, 
teachers and communities need to set clear standards regarding pro-
social behavior.
    The risk-focused delinquency prevention approach calls on 
communities to identify the risk factors to which their children are 
exposed. Risked-focused delinquency prevention provides communities 
with a conceptual framework for prioritizing the risk factors in their 
community, assessing how their current resources are being used, 
identifying resources which are needed, and choosing specific programs 
and strategies that directly address those risk factors through the 
enhancement of protective factors.
    This approach requires a commitment by and participation of the 
entire community in developing and implementing a comprehensive 
strategy. While the roles of governmental agencies in this strategy 
will vary, it is essential that the citizens of the community create a 
diverse and representative coalition in which public officials and 
agencies are equal members with private citizens and agencies. It is 
this coalition which leads the community's prevention strategy in 
addressing the needs of children and their families at risk.
    Another key component of this approach is the coordination and use 
of existing programs and resources. A community-wide prevention 
strategy must inventory available State, local, private, and Federal 
resources, and develop vehicles for making these resources and programs 
readily accessible to children and families in need. Thus, applicants 
for Title V funds are encouraged to coordinate this prevention effort 
with other Federally funded efforts.

Target Population

    The Title V Delinquency Prevention Program is based on a program 
design which addresses those risk factors which are known to be 
associated with delinquent behavior. The program seeks to address these 
factors at the earliest appropriate stage in each child's development. 
The target population is all at-risk children in a given community. 
Funds awarded under this program will be used to address delinquency 
risk-factors in communities, and as such may be used to fund 
ameliorative services for at-risk children.

Funding Structure

    Title V, Section 505 of the Act, authorizes the Administrator of 
OJJDP to make grants to a State, to be transmitted through the State 
Advisory Group to units of local government.

Technical Assistance

    Because the Title V Delinquency Prevention Program is based on a 
risk-focused program structure, OJJDP will make training and technical 
assistance on this strategy available to representatives of units of 
local government through the State agency administering the program.

Program Goal

    The goal of this program is to reduce delinquency and youth 
violence by supporting communities in providing their children, 
families, neighborhoods, and institutions with the knowledge, skills, 
and opportunities necessary to foster a healthy and nurturing 
environment which supports the growth and development of productive and 
responsible citizens.

Program Objectives

    The objectives of the program are:
    1. To form coalitions within communities to mobilize the community 
and direct delinquency prevention efforts;
    2. To identify those known delinquency risk factors which are 
present in communities;
    3. To identify protective factors which will counteract identified 
risk factors, and develop local comprehensive, delinquency prevention 
plans to strengthen these protective factors;
    4. To develop local comprehensive, delinquency prevention 
strategies which use and coordinate Federal, State, local and private 
resources for establishing a client-centered continuum of services for 
at-risk children and their families;
    5. To implement the delinquency prevention strategies, monitor 
their progress, and modify the plans as needed.

Basic Program Design

    The program will be implemented in two phases: the pre-award 
planning phase and the implementation phase. Applicant units of local 
government may modify or enhance existing delinquency prevention plans 
and efforts to meet the requirements for Title V funding.

Planning Phase

    The planning phase for each local applicant will occur prior to the 
award of funds and consist of the designation or formation of a local 
policy board to direct the project, and the development of a three-year 
delinquency prevention plan. OJJDP will make training and technical 
assistance available to interested potential local applicants during 
this phase. Concurrently, eligible State agencies may apply for and 
receive Title V awards for OJJDP.

Implementation Phase

    The implementation phase will begin with the award of subgrants to 
units of local government. Technical assistance will continue to be 
available to grantees.

Funding Structure and Grantee Qualifications

    Title V authorizes the Administrator of OJJDP to make grants to 
States to be transmitted through the State Advisory Groups (SAGs) to 
qualified units of local government or combinations thereof. The State 
Advisory Group is the board appointed by the chief executive, as 
provided by Section 223(a)(3) of the Act. A unit of local government 
means any city, county, town, borough, parish, village, or other 
general purpose political subdivision of a State, and any Indian tribe 
which performs law enforcement functions as determined by the Secretary 
of the Interior.
    OJJDP will award grants to States based on a formula determined by 
each State's relative population of youth below the age limit for 
original juvenile court delinquency jurisdiction. The States will 
subgrant the funds to qualified units of local government based on a 
competitive process. Jurisdictions that do not have discrete units of 
local government may award funds directly to governmental agencies or 
private nonprofit organizations to implement projects in furtherance of 
their own comprehensive preventive strategy.
    All Title V funds must be matched by the units of local government 
or the State with 50% of the amount of the grant. This match may be 
made in cash or the value of in-kind contributions. States are 
encouraged to supplement Title V funds with Formula Grant funds. 
However, Formula Grant funds cannot be used to meet the 50% match 
requirement for Title V funds.

State Grantee Qualifications

    Each State as defined in Section 103(7) of the Act is eligible to 
apply for Title V funds, provided that it has a State agency designated 
by the chief executive under Section 299(c) of the Act, and a State 
Advisory Group (SAG) appointed pursuant to Section 223(a)(3) of the 
Act. The applicant State agency must provide an assurance that the SAG 
has or will have the sole authority, consistent with State law or 
policy, to approve Title V subgrants to units of local government, 
pursuant to the provisions of this program guideline.

Local Subgrantee Qualifications

    In order for a unit of local government to be eligible to apply for 
Title V funds, such unit, or each unit applying in combination, must be 
certified by the SAG as in compliance with Sections 223(a)(12)(A), 
223(a)(13), 223(a)(14), and 233(a)(23) of the JJDP Act. If a State is 
not currently in full compliance with any of the first three of these 
mandates, i.e. the quantifiable mandates, or is in full compliance with 
de minimis exceptions, only those units of local government which are 
within the de minimis parameters provided in 28 CFR 31.303(f)(6)(i) and 
(f)(6)(iii)(A), based on the locality's most current census data, will 
be deemed in compliance with the mandates of Sections 223(a) (12)(A), 
(13), and (14).
    In order to be in compliance with Section 223(a)(23), the SAG must 
certify that the unit of local government is cooperating in data 
gathering and analysis to determine if disproportionate minority 
confinement exists, or if it is known to exist within the boundaries or 
jurisdiction of the unit of local government, the unit has made or is 
making an adequate effort toward assisting the State to address this 
issue.
    The State Advisory Group will competitively award Title V grants to 
local units of government based on how well competing units meet the 
competitive criteria set forth below under Priority Consideration for 
Funding.

Application Process--Eligible State Agencies

    All State agencies designated by the chief executive under Section 
299(c) of the Act are eligible to apply for Title V funds. A list of 
these agencies may be obtained from OJJDP.

Application Requirements for State Agencies

    State agencies must provide evidence of the SAG's authority to 
approve the award of Title V subgrants. Examples of such authority 
would be an executive order, a statute, a formal resolution of the SAG, 
a formal resolution of the supervisory board which the SAG advises, or 
a written agreement between the State agency and the SAG.
    The application must also include an assurance that the SAG and the 
State agency will establish written subgrantee eligibility criteria as 
described above under Local Subgrantee Qualifications, and competitive 
criteria based on the criteria described below under Priority 
Consideration for Funding. The State may issue additional criteria, 
including criteria designed to focus delinquency prevention efforts 
toward those areas of the State displaying the greatest need of 
comprehensive delinquency prevention planning and programs. 
Furthermore, the application must provide the following administrative 
assurances:
    1. To report on all subgrant awards, within thirty days of award, 
on the OJJDP form, ``Individual Project Report, Part I: Initial Report 
of Funding'';
    2. To monitor and audit subgrants for performance, outcome and 
fiscal integrity, including cash and in-kind match; and
    3. To collect quarterly progress and data reports, and forward 
semi-annual summary reports to OJJDP.
    All awards will be conditioned with additional requirements which 
are standard for recipients of Federal grants.
    State agencies which demonstrate a need to do so may use up to 5% 
of the State's Title V allocation for the costs of administering the 
Title V subgrants and support for SAG activities related to Title V. A 
budget narrative must explain how the administrative funds will be 
spent, including provision of the required match by the State.

State Application Deadline

    State applications are due to OJJDP not later than 60 days after 
the effective date of this guideline.

Technical Assistance Role of State Agency and SAG

    In their capacities as the primary planning vehicles for juvenile 
justice and delinquency prevention programs within the State, the State 
agency and the SAG are encouraged to assume a role as a technical 
assistance resource for local subgrantees, as well as serving as a 
resource and information clearinghouse for all prevention activities in 
the State. The data and strategies developed on the local level should 
be incorporated in the SAG's and State agency's statewide, 
comprehensive planning efforts, as required by Section 223 of the Act. 
To this end, State agencies and SAGs are strongly encouraged to 
participate in risk-focused prevention training and technical 
assistance made available by OJJDP.

Process for Subgrant Award and Administration

    State agency grantees shall use essentially the same process for 
making Title V subawards as that used for Formula Grant awards, with 
the SAG making the final decision on funding. This includes the Request 
for Proposals, competitive review of applications, and award of 
subgrants. Likewise, State agencies will monitor Title V subgrants in a 
similar manner as the Formula Grant subgrants, including the collection 
and reporting of data required by this program guideline.
    In considering applications for awards, SAGs should be sensitive to 
the unique needs of rural areas and Native American tribes, including 
provision of special consideration in the competitive process.
    All subgrants should be awarded within 180 days after receipt of 
the award from OJJDP.

Application Process for Units of Local Government

1. Pre-application Certification of JJDP Act Compliance

    Units of local government must obtain a certification of compliance 
from the State Advisory Group prior to applying for an award of funds.

2. Delinquency Prevention Training

    OJJDP is making training available at up to 45 sites across the 
Nation. The only cost associated with this training for participants 
will be transportation and lodging, if necessary. The facilities for 
the training will also be provided by the States or localities. 
Training is designed to assist communities in preparing the three year 
plans required for Title V funding. The initial training will consist 
of a one day introduction to the theories and strategies of risk-based 
prevention planning. Units of local government considering applying for 
Title V funding are strongly urged to send key community leaders to the 
initial training, A subsequent three day workshop will be held for 
planning teams from local Prevention Policy Boards on risk and resource 
assessment. OJJDP will advise the State agencies on the process for 
units of local government to request this training.

3. Local Three-Year Delinquency Prevention Plan

    Each unit of local government's application to the State agency 
must include a three-year plan describing the extent of risk factors 
identified in the community and how these risk factors will be 
addressed. A written explanation of the risk factors and protective 
factors can be obtained from the State agency grantee. The plan must, 
at a minimum, contain the following elements:
    a. The designation or formation of a local Prevention Polcy Board 
(PPB) consisting of no fewer than 15 and no more than 21 members from 
the community, representing a balance of public agencies, private 
nonprofit organizations serving children, youth, and families, and 
business and industry. Such agencies and organizations may include 
education, health and mental health, juvenile justice, child welfare, 
employment, law enforcement, religion, recreation, child protective 
services, public defenders, prosecutors, and private manufacturing and 
service sectors, and parent, family, and youth associations. A specific 
local agency or entity must have responsibility for support of the PPB;
    b. Evidence of commitment of key community leaders to supporting a 
comprehensive, delinquency prevention effort. Key leaders may include 
public and private individuals in key leadership and policy positions 
who are instrumental in effecting policy changes, controlling 
resources, and mobilizing the community such as the mayor, county 
council chair, school superintendent, chief of police and the presiding 
judge;
    c. Definition of the boundaries of the program's neighborhood or 
community;
    d. An assessment of the readiness of the community or neighborhood 
to adopt a comprehensive delinquency prevention strategy;
    e. An assessment of the prevalence of specfic, identified 
delinquency risk factors in the community, including the establishment 
of baseline data for the risk factors. The assessment of risk factors 
must result in a list of priority risk factors to be addressed, as 
determined and approved by the PPB;
    f. Identification of available resources and promising approaches, 
including Federal, State, local, and private and a description of how 
they address identified risk factors, and an assessment of gaps in 
needed resources and a description of how to address them;
    g. A strategy, including goals, objectives, and a timetable, for 
mobilizing the community to assume responsibility for delinquency 
prevention. This should include ways of involving the private nonprofit 
and business sectors in delinquency prevention activities;
    h. A strategy, including goals, objectives, and a timetable, for 
obtaining and coordinating identified resources which will implement 
the promising approaches that address the priority risk factors. This 
strategy must include a plan for the coordination of services for at-
risk youth and their families;
    i. A description of how awarded funds and matching resources will 
be used to accomplish stated goals and objectives by purchasing of 
services and goods and leveraging other resources. This should include 
a budget which lists planned expenditures;
    j. A description of how the PPB will make recommendations to the 
responsible local agency for the distribution of funds and evaluation 
of funded activities;
    k. A plan for collecting data for the measurement of performance 
and outcome of project activities.

Priority Consideration for Funding

    Only local government applicants certified by the SAG as in 
compliance with the mandates of the Act, that have convened a PPB, and 
have submitted a three year plan will be eligible for funding. In 
considering applications for funding, SAGs will give priority to 
eligible applicants which:
    a. Provide a thorough assessment of risk factors and resources, 
including the quantified measurement of the risk factors which will 
serve as the baseline for determining project performance and outcome;
    b. Identify key community leaders and members of the PPB, describe 
their roles in the comprehensive delinquency prevention strategy, and 
provide evidence of key community leaders support;
    c. Clearly define the boundaries of the program's neighborhood or 
community;
    d. Provide a realistic assessment, including evidence, of the 
readiness of the community or neighborhood to adopt a comprehensive 
delinquency prevention strategy;
    e. Provide a coherent plan, including realistic goals and 
objectives, to mobilize the community and implement a strategy that 
will address priority risk factors, including innovative ways of 
involving the private nonprofit and business sectors in delinquency 
prevention activities;
    f. Provide specific strategies for service and agency coordination, 
including collocation of services at sites readily accessible to 
children and families in need;
    g. Provide a strategy for or evidence of collaborating with other 
units of local government and State agencies to develop or enhance a 
statewide subsidy program to local governments that is dedicated to 
early intervention and delinquency prevention;
    h. Provide a budget outlining the planned expenditures of grant 
funds and matching resources, including a budget narrative justifying 
these expenditures;
    i. Provide a sound plan for collecting data for measuring 
performance and outcome;
    j. Provide written statements of commitment from State or local 
public agencies to match in cash or kind, at least 50% of the funds 
awarded.

Local Application Deadline

    The SAG will determine the application deadline. However, all local 
subgrant awards should be made within 180 days after the date that the 
State agency was awarded Title V funds.

Local Grant Administrative Requirements

    After receipt of the award, local grantees will provide all 
required reports and data to the State agency, describing 
implementation of the program. Technical assistance for program 
implementation will be available upon request through the State agency.

Evaluation

    OJJDP will collect and analyze data collected by each grantee for 
the purpose of developing national summary reports on the performance 
and outcome of the local prevention efforts. This evaluation will 
examine performance in meeting stated objectives as well as the outcome 
of the project's activities. In order for this evaluation to be 
meaningful, it is essential that, to the greatest extent possible, the 
local three year comprehensive delinquency prevention plans contain 
quantified objectives and baseline measurements of the identified risk 
factors.

Allocation of Title V Funds to States

    The Title V Delinquency Prevention Program has a FY 1994 
appropriation of $13 million available for awards to States to support 
programs of units of local government. Allocations are available to 
States based on the number of juveniles in the State who are subject to 
original juvenile court delinquency jurisdiction based on State law, 
with a minimum allocation of $75,000 for States and the District of 
Columbia and $25,000 for Territories and Possessions. A list of the 
allocations for States is available from OJJDP. The allocations for 
States not participating in this program in FY 1994 will be withheld 
for use in FY 1995 pursuant to the Title V Delinquency Prevention 
Program guidelines issued for that year.

Size of Awards to Units of Local Government

    The size of the award to each unit of local government, or 
combinations thereof, and the total number of awards will be determined 
by the SAG, based upon the amount of funds allocated to the State and 
the quality of the local three-year prevention plans.

Duration of Grants and Continuation Funding

    Grants may be awarded for project periods of 12 to 36 months, with 
initial awards for up to one year. Continuation funding will be 
contingent upon satisfactory performance and the availability of funds 
in subsequent fiscal years.
    Future funding is dependent upon Congressional action.

Restrictions on Uses of Funds

    Title V funds cannot be used for construction, land acquisition, or 
supplantation of Federal, State, or local funds supporting existing 
programs or activities.

John J. Wilson,
Acting Administrator, Office of Juvenile Justice and Delinquency 
Prevention.
[FR Doc. 94-3251 Filed 2-10-94; 8:45 am]
BILLING CODE 4410-18-P