[Federal Register Volume 60, Number 104 (Wednesday, May 31, 1995)]
[Rules and Regulations]
[Pages 28440-28451]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-13046]
[[Page 28439]]
_______________________________________________________________________
Part II
Department of Justice
_______________________________________________________________________
Office of Justice Programs; Office of Juvenile Justice and Delinquency
Prevention
_______________________________________________________________________
28 CFR Part 31
Formula Grants; Final Rule
Federal Register / Vol. 60, No. 104 / Wednesday, May 31, 1995 / Rules
and Regulations
[[Page 28440]]
DEPARTMENT OF JUSTICE
Office of Justice Programs
Office of Juvenile Justice and Delinquency Prevention
28 CFR Part 31
[OJP No. 1000F]
RIN 1121-AA28
Formula Grants
May 22, 1995.
AGENCY: Office of Justice Programs, Office of Juvenile Justice and
Delinquency Prevention, Justice.
ACTION: Republication.
-----------------------------------------------------------------------
SUMMARY: This document is published to consolidate the Formula Grants
Regulation for ease of use by grantees. This document reflects the
consolidation of the revisions to the Formula Grants Regulation
published in the Federal Register on March 10, 1995 and corrections
published on April 21, 1995.
EFFECTIVE DATE: The final regulation became effective on March 10,
1995.
FOR FURTHER INFORMATION CONTACT: Roberta Dorn, Director, State
Relations and Assistance Division, Office of Juvenile Justice and
Delinquency Prevention, 633 Indiana Avenue, NW., Room 543, Washington,
DC 20531; (202) 307-5924.
SUPPLEMENTARY INFORMATION: This document contains the entire text of
the Formula Grants Regulation, 28 CFR Part 31, including recently made
changes and corrections. On March 10, 1995, the Office of Juvenile
Justice and Delinquency Prevention (OJJDP) published in the Federal
Register the final Formula Grants Regulation revising 28 CFR part 31.
The regulation revisions provided clarification and guidance to States
in the formulation, submission and implementation of the State Formula
Grants Program under Part B of Title II of the Juvenile Justice and
Delinquency Prevention Act of 1974, as amended by the Juvenile Justice
and Delinquency Prevention Amendments of 1992 (Pub. L. 102-586,
November 18, 1992). On April 21, 1995 (60 FR 19847), OJJDP published in
the Federal Register corrections to the final Regulation because the
Final Regulation, as published on March 10, 1995 (60 FR 13330), was an
earlier draft version that was materially different from the final
draft that was intended to be published.
The major changes to the Final Regulation made in the March 10,
1995 revision and subsequent April 21, 1995 correction implemented the
1992 reauthorization statutory amendments that impact the Formula
Grants Program. These statutory changes include: a formula grant fund
allocation minimum base for participating States and territories;
elimination of the ``substantial compliance criteria'' with respect to
the deinstitutionalization of status offenders and jail and lockup
removal requirements because full compliance is required; a requirement
that there be separate juvenile and adult staff with respect to
management, security and direct care in juvenile detention facilities
that are collocated with an adult jail or lockup. The final Regulation
includes the requirement that collocated juvenile detention facilities
approved by the State and concurred with by OJJDP on or before June 30,
1995, be reviewed against the regulatory criteria and OJJDP policies in
effect at the time of the initial approval and concurrence. Facilities
approved after the effective date of the Regulation and prior to July
1, 1995, will be reviewed against the regulatory criteria in effect on
the day before the effective date of the Regulation. For collocated
juvenile detention facilities considered after June 30, 1995, OJJDP's
concurrence is limited to one year and, thereafter, will be reviewed on
an annual basis. The Regulation eliminated the requirement that in
order for a collocated juvenile detention facility to receive OJJDP's
initial and subsequent concurrences, the facility could only provide
secure custody for juvenile criminal-type offenders, status offenders
accused of violating a valid court order, and adjudicated delinquents
and valid court order violators who are awaiting disposition hearings
or transfer to a long term juvenile correctional facility.
Executive Order 12866
This final regulation in not a ``significant regulatory action''
for purposes of Executive Order 12866 because it does not result in:
(1) an annual effect on the economy of $100 million or more or
adversely affect in a material way the economy, a sector of the
economy, productivity, competition, jobs, the environment, public
health or safety, or State, local or tribal governments or communities;
(2) create a serious inconsistency or otherwise interfere with action
taken or planned by another agency; (3) materially alter the budgetary
impact of entitlements, grants, user fees, or loan programs or the
rights and obligations of recipients thereof; and (4) does not raise
novel legal or policy issues arising out of legal mandates, the
President's priorities or the principles of Executive Order 12866.
Regulatory Flexibility Act
This final regulation, does not have a ``significant'' economic
impact on a substantial number of small ``entities'', as defined by the
Regulatory Flexibility Act (Pub. L. 96-354).
Paperwork Reduction Act
No collection of information requirements are contained in or
effected by this regulation (See the Paperwork Reduction Act, 44 U.S.C.
3504(h)).
Intergovernmental Review of Federal Programs
In accordance with Executive Order 12372 and the Department of
Justice's implementing regulation 28 CFR Part 31, States must submit
formula grant applications to the State ``Single Point of Contact,'' if
one exists. The State may take up to 60 days from the application date
to comment on the application.
List of Subjects in 28 CFR Part 31
Grant programs--law, Juvenile delinquency, Reporting and
recordkeeping r equirements.
For the reasons set out in the preamble, Title 28, Chapter I, Part
31 of the Code of Federal Regulations is republished for the
convenience of the reader as follows:
PART 31-FORMULA GRANTS
Subpart A--General Provisions
Sec.
31.1 General.
31.2 Statutory authority.
31.3 Formula Grant Plan and Applications.
Subpart B--Eligible Applicants
31.100 Eligibility.
31.101 Designation of State Agency.
31.102 State agency structure.
31.103 Membership of supervisory board.
Subpart C--General Requirements
31.200 General.
31.201 Audit.
31.202 Civil rights.
31.203 Open meetings and public access to records.
Subpart D--Juvenile Justice Act Requirements
31.300 General.
31.301 Funding.
31.302 Applicant State agency.
31.303 Substantive requirements.
31.304 Definitions.
Subpart E--General Conditions and Assurances
31.400 Compliance with statute.
31.401 Compliance with other Federal laws, orders, circulars.
31.402 Application on file.
31.403 Civil rights requirements.
Authority: 42 U.S.C. 5601 et seq. [[Page 28441]]
Subpart A--General Provisions
Sec. 31.1 General.
This part defines eligibility and sets forth requirements for
application for and administration of formula grants to State
governments authorized by part B, subpart I, of the Juvenile Justice
and Delinquency Prevention Act.
Sec. 31.2 Statutory authority.
The Statute establishing the Office of Juvenile Justice and
Delinquency Prevention and giving authority to make grants for juvenile
justice and delinquency prevention improvement programs is the Juvenile
Justice and Delinquency Prevention Act of 1974, as amended (42 U.S.C.
5601 et seq.).
Sec. 31.3 Formula grant plan and applications
Formula Grant Applications for each Fiscal Year should be submitted
to OJJDP by August 1st (60 days prior to the beginning of the fiscal
year) or within 60 days after the States are officially notified of the
fiscal year formula grant allocations. Beginning with FY 1995 and each
subsequent fiscal year, all Formula Grant Applications are due no later
than March 31 of the fiscal year for which the funds are allocated.
Subpart B--Eligible Applicants
Sec. 31.100 Eligibility.
All States as defined by section 103(7) of the JJDP Act.
Sec. 31.101 Designation of State agency.
The Chief Executive of each State which chooses to apply for a
formula grant shall establish or designate a State agency as the sole
agency for supervising the preparation and administration of the plan.
The plan must demonstrate compliance with administrative and
supervisory board membership requirements established by the OJJDP
Administrator pursuant to Section 299 (c) of the JJDP Act. States must
have available for review a copy of the State law or executive order
establishing the State agency and its authority.
Sec. 31.102 State agency structure.
The State agency may be a discrete unit of State government or a
division or other component of an existing State crime commission,
planning agency or other appropriate unit of State government. Details
of organization and structure are matters of State discretion, provided
that the agency:
(a) Is a definable entity in the executive branch with the
requisite authority to carry out the responsibilities imposed by the
JJDP Act;
(b) Has a supervisory board (i.e., a board of directors,
commission, committee, council, or other policy board) which has
responsibility for supervising the preparation and administration of
the plan and its implementation; and
(c) Has sufficient staff and staff capability to carry out the
board's policies and the agency's duties and responsibilities to
administer the program, develop the plan, process applications,
administer grants awarded under the plan, monitor and evaluate programs
and projects, provide administration/support services, and perform such
accountability functions as are necessary to the administration of
Federal funds, such as grant close-out and audit of subgrant and
contract funds. At a minimum, one full-time Juvenile Justice Specialist
must be assigned to the Formula Grants Program by the State agency.
Where the State does not currently provide or maintain a full-time
Juvenile Justice Specialist, the plan must clearly establish and
document that the program and administrative support staff resources
currently assigned to the program will temporarily meet the adequate
staff requirement, and provide an assurance that at least one full-time
Juvenile Justice Specialist will be assigned to the Formula Grants
Program by the end of FY 1995 (September 30, 1995).
Sec. 31.103 Membership of supervisory board.
The State advisory group appointed under section 223(a)(3) may
operate as the supervisory board for the State agency, at the
discretion of the Governor. Where, however, a State has continuously
maintained a broad-based law enforcement and criminal justice
supervisory board (council) meeting all the requirements of section
402(b)(2) of the Justice System Improvement Act of 1979, and wishes to
maintain such a board, such composition shall continue to be acceptable
provided that the board's membership includes the chairman and at least
two additional citizen members of the State advisory group. For
purposes of this requirement a citizen member is defined as any person
who is not a full-time government employee or elected official. Any
executive committee of such a board must include the same proportion of
juvenile justice advisory group members as are included in the total
board membership. Any other proposed supervisory board membership is
subject to case by case review and approval of the OJJDP Administrator
and will require, at a minimum, ``balanced representation'' of juvenile
justice interests.
Subpart C--General Requirements
Sec. 31.200 General.
This subpart sets forth general requirements applicable to formula
grant recipients under the JJDP Act of 1974, as amended. Applicants
must assure compliance or submit necessary information on these
requirements.
Sec. 31.201 Audit.
The State must assure that it adheres to the audit requirements
enumerated in the ``Financial and Administrative Guide for Grants,
Guide Manual 7100.1 (current edition). Chapter 8 of the Manual contains
a comprehensive statement of audit policies and requirements relative
to grantees and subgrantees.
Sec. 31.202 Civil rights.
(a) To carry out the State's Federal civil rights responsibilities
the plan must:
(1) Designate a civil rights contact person who has lead
responsibility in insuring that all applicable civil rights
requirements, assurances, and conditions are met and who shall act as
liaison in all civil rights matters with OJJDP and the OJP Office of
Civil Rights Compliance (OCRC); and
(2) Provide the Council's Equal Employment Opportunity Program
(EEOP), if required to maintain one under 28 CFR 42.301, et seq., where
the application is for $500,000 or more.
(b) The application must provide assurance that the State will:
(1) Require that every applicant required to formulate an EEOP in
accordance with 28 CFR 42.201 et seq., submit a certification to the
State that it has a current EEOP on file, which meets the requirement
therein;
(2) Require that every criminal or juvenile justice agency applying
for a grant of $500,000 or more submit a copy of its EEOP (if required
to maintain one under 28 CFR 42.301, et seq.) to OCRC at the time it
submits its application to the State;
(3) Inform the public and subgrantees of affected persons' rights
to file a complaint of discrimination with OCRC for investigation;
(4) Cooperate with OCRC during compliance reviews of recipients
located within the State; and
(5) Comply, and that its subgrantees and contractors will comply
with the requirement that, in the event that a Federal or State court
or administrative agency makes a finding of
[[Page 28442]] discrimination of the basis of race, color, religion,
national origin, or sex (after a due process hearing) against a State
or a subgrantee or contractor, the affected recipient or contractor
will forward a copy of the finding to OCRC.
Sec. 31.203 Open meetings and public access to records.
The State must assure that the State agency, its supervisory board
established pursuant to section 299(c) and the State advisory group
established pursuant to section 223(a)(3) will follow applicable State
open meeting and public access laws and regulations in the conduct of
meetings and the maintenance of records relating to their functions.
Subpart D--Juvenile Justice Act Requirements
Sec. 31.300 General.
This subpart sets forth specific JJDP Act requirements for
application and receipt of formula grants.
Sec. 31.301 Funding.
(a) Allocation to States. Funds shall be allocated annually among
the States on the basis of relative population of persons under age
eighteen. If the amount allocated for Title II (other than parts D and
E) of the JJDP Act is less than $75 million, the amount allocated to
each State will not be less than $325,000, nor more than $400,000,
provided that no State receives less than its allocation for FY 1992.
The territories will receive not less than $75,000 or more than
$100,000. If the amount appropriated for Title II (other than parts D
and E) is $75 million or more, the amount allocated for each State will
be not less than $400,000, nor more than $600,000, provided that parts
D and E have been funded in the full amounts authorized. For the
Territories, the amount is fixed at $100,000. For each of FY's 1994 and
1995, the minimum allocation is established at $600,000 for States and
$100,000 for Territories.
(b) Funds for Local Use. At least two-thirds of the formula grant
application to the state (other than the section 222(d) State Advisory
Group set aside) must be used for programs by local government, local
private agencies, and eligible Indian tribes, unless the State applies
for and is granted a waiver by the OJJDP. The proportion of pass-
through funds to be made available to eligible Indian tribes shall be
based upon that proportion of the state youth population under 18 years
of age who reside in geographical areas where the tribes perform law
enforcement functions. Pursuant to section 223(a)(5)(C) of the JJDP
Act, each of the standards set forth in paragraphs (b)(1)(i) through
(111) of this section must be met in order to establish the eligibility
of Indian tribes to receive pass through funds:
(1) (i) The tribal entity must be recognized by the Secretary of
the Interior as an Indian tribe that performs law enforcement functions
as defined in paragraph (b) (2) of this section.
(ii) The tribal entity must agree to attempt to comply with the
requirements of section 223(a)(12)(A), (13), and (14) of the JJDP Act;
and
(iii) The tribal entity must identify the juvenile justice needs to
be served by these funds within the geographical area where the tribe
performs law enforcement functions.
(2) ``Law enforcement functions'' are deemed to include those
activities pertaining to the custody of children, including, but not
limited to, police efforts to prevent, control, or reduce crime and
delinquency or to apprehend criminal and delinquent offenders, and/or
activities of adult and juvenile corrections, probation, or parole
authorities.
(3) To carry out this requirement, OJJDP will annually provide each
state with the most recent Bureau of Census statistics on the number of
persons under age 18 living within the state, and the number of persons
under age 18 who reside in geographical areas where Indian tribes
perform law enforcement functions.
(4) Pass-through funds available to tribal entities under section
223(a)(5)(C) shall be made available within states to Indian tribes,
combinations of Indian tribes, or to an organization or organizations
designated by such tribe(s), that meet the standards set forth in
paragraphs (b)(1)(i)-(iii) of this section. Where the relative number
of persons under age 18 within a geographic area where an Indian tribe
performs law enforcement functions is too small to warrant an
individual subgrant or subgrants, the state may, after consultation
with the eligible tribe(s), make pass-through funds available to a
combination of eligible tribes within the state, or to an organization
or organizations designated by and representing a group of qualifying
tribes, or target the funds on the larger tribal jurisdictions within
the state.
(5) Consistent with section 223(a)(4) of the JJDP Act, the state
must provide for consultation with Indian tribes or a combination of
eligible tribes within the state, or an organization or organizations
designated by qualifying tribes, in the development of a state plan
which adequately takes into account the juvenile justice needs and
requests of those Indian tribes within the state.
(c) Match. Formula grants under the JJDP Act shall be 100% of
approved costs, with the exception of planning and administration
funds, which require a 100 percent cash match (dollar for dollar), and
construction projects funded under section 299C(a)(2) which also
require a 100 percent cash match.
(d) Funds for Administration. Not more than ten percent of the
total annual Formula Grant award may be utilized to develop the annual
juvenile justice plan and pay for administrative expenses, including
project monitoring. These funds are to be matched on a dollar for
dollar basis. The State shall make available needed funds for planning
and administration to units of local government on an equitable basis.
Each annual application must identify uses of such funds.
(e) Nonparticipating States. Pursuant to section 223(d), the OJJDP
Administrator shall endeavor to make the fund allotment under section
222(a), of a State which chooses not to participate or loses its
eligibility to participate in the formula grant program, directly
available to local public and private nonprofit agencies within the
nonparticipating State. The funds may be used only for the purpose(s)
of achieving deinstitutionalization of status offenders and
nonoffenders, separation of juveniles from incarcerated adults, removal
of juveniles from adult jails and lockups, and reducing the
disproportionate confinement of minority youth in secure facilities.
Absent a request for extension which demonstrates compelling
circumstances justifying the reallocation of formula grant funds back
to the State to which the funds were initially allocated, or the
proceedings under section 223(d), formula grant funds allocated to a
State which has failed to submit an application, plan, or monitoring
data establishing its eligibility for the funds will, beginning with FY
1995 be reallocated to the nonparticipating State program on September
30 of the fiscal year for which the funds were appropriated.
Reallocated funds will be competitively awarded to eligible recipients
pursuant to program announcements published in the Federal Register.
Sec. 31.302 Applicant State agency.
(a) Pursuant to section 223(a)(1), section 223(a)(2) and section
299(c) of the JJDP Act, the State must assure that the State agency
approved under section 299(c) has been designated as the sole
[[Page 28443]] agency for supervising the preparation and
administration of the plan and has the authority to implement the plan.
(b) Advisory Group. Pursuant to section 223(a)(3) of the JJDP Act,
the Chief Executive:
(1) Shall establish an advisory group pursuant to section 223(a)(3)
of the JJDP Act. The State shall provide a list of all current advisory
group members, indicating their respective dates of appointment and how
each member meets the membership requirements specified in this section
of the Act.
(2) Should consider, in meeting the statutory membership
requirements of section 223(A)(3) (A)-(E), appointing at least one
member who represents each of the following: A locally elected official
representing general purpose local government; a law enforcement
officer; representatives of juvenile justice agencies, including a
juvenile or family court judge, a probation officer, a prosecutor, and
a person who routinely provides legal representation to youth in
juvenile court; a public agency representative concerned with
delinquency prevention and treatment; a representative from a private,
non-profit organization, such as a parents group, concerned with
teenage drug and alcohol abuse; a high school principal; a recreation
director; a volunteer who works with delinquent or at risk youth; a
person with a special focus on the family; a youth worker experienced
with programs that offer alternatives to incarceration; persons with
special competence in addressing programs of school violence and
vandalism and alternatives to expulsion and suspension; and persons
with knowledge concerning learning disabilities, child abuse, neglect,
and youth violence.
(c) The State shall assure that it complies with the Advisory Group
financial support requirement of section 222(d) and the composition and
function requirements of section 223(a)(3) of the JJDP Act.
Sec. 31.303 Substantive requirements.
(a) Assurances. The State must certify through the provision of
assurances that it has complied and will comply (as appropriate) with
sections 223(a)(1), (2), (3), (4), (5), (6), (7), (8), (9), (10), (11),
(16), (17), (18), (19), (20), (21), (22), and (25), and sections 229
and 261(d), in formulating and implementing the State plan. The Formula
Grant Application kit provides a form and guidance for the provision of
assurances. OJJDP interprets the section 223(a)(16) assurance as
satisfied by an affirmation that State law and/or policy clearly
require equitable treatment on the required bases; or by providing in
the State plan that the State agency will require an assurance of
equitable treatment by all Formula Grant subgrant and contract
recipients, and establish as a program goal, in conjunction with the
State Advisory Group, the adoption and implementation of a statewide
juvenile justice policy that all youth in the juvenile justice system
will be treated equitably without regard to gender, race, family
income, and mentally, emotionally, or physically handicapping
conditions. OJJDP interprets the section 223(a)(25) assurance as
satisfied by a provision in the State plan for the State agency and the
State Advisory Group to promulgate policies and budget priorities that
require the funding of programs that are part of a comprehensive and
coordinated community system of services as set forth in section
103(19) of the JJDP Act. This requirement is applicable when a State's
formula grant for any fiscal year exceeds 105 percent of the State's
formula grant for FY 1992.
(b) Serious Juvenile Offender Emphasis. Pursuant to sections
101(a)(10) and 223(a)(10) of the JJDP Act, OJJDP encourages States that
have identified serious and violent juvenile offenders as a priority
problem to allocate formula grant funds to programs designed for
serious and violent juvenile offenders at a level consistent with the
extent of the problem as identified through the State planning process.
Particular attention should be given to improving prosecution,
sentencing procedures, providing resources necessary for effective
rehabilitation, and facilitating the coordination of services between
the juvenile justice and criminal justice systems.
(c) Deinstitutionalization of Status Offenders and Non-Offenders.
Pursuant to section 223(a)(12)(A) of the JJDP Act, the State shall:
(1) Describe its plan, procedure, and timetable covering the three-
year planning cycle, for assuring that the requirements of this section
are met. Refer to Sec. 31.303(f)(3) for the rules related to the valid
court order exception to this Act requirement.
(2) Describe the barriers the State faces in achieving full
compliance with the provisions of this requirement.
(3) Federal Wards. Apply this requirement to alien juveniles under
Federal jurisdiction who are held in State or local facilities.
(4) DSO compliance. Those States which, based upon the most
recently submitted monitoring report, have been found to be in full
compliance with section 223(a)(12)(A) may, in lieu of addressing
paragraphs (c)(1) and (2) of this section, provide an assurance that
adequate plans and resources are available to maintain full compliance.
(5) Submit the report required under section 223(a)(12)(B) of the
Act as part of the annual monitoring report required by section
223(a)(15) of the Act.
(d) Contact with incarcerated adults.
(1) Pursuant to section 223(a)(13) of the JJDP Act the State shall:
(i) Separation. Describe its plan and procedure, covering the
three-year planning cycle, for assuring that the requirements of this
section are met. The term ``contact'' is defined to include any sight
and sound contact between juveniles in a secure custody status and
incarcerated adults, including inmate trustees. Sound contact is
further defined to mean any oral communication between incarcerated
adults and juveniles. Separation must be accomplished in all secure
areas of the facility which include, but are not limited to: sallyports
within the secure perimeter of the facility, other entry areas, all
passageways (hallways), admissions, sleeping, toilet and shower,
dining, recreational, educational, vocational, health care, and other
areas as appropriate.
(ii) In those instances where accused juvenile criminal-type
offenders are authorized to be temporarily detained in facilities where
adults are confined, the State must set forth the procedures for
assuring no sight or sound contact between such juveniles and confined
adults.
(iii) Describe the barriers which may hinder the separation of
alleged or adjudicated criminal type offenders, status offenders and
non-offenders from incarcerated adults in any particular jail, lockup,
detention or correctional facility.
(iv) Those States which, based upon the most recently submitted
monitoring report, have been found to be in compliance with section
223(a)(13) may, in lieu of addressing paragraphs (d)(1)(i), (ii), and
(iii) of this section, provide an assurance that adequate plans and
resources are available to maintain compliance.
(v) Assure that adjudicated offenders are not reclassified
administratively and transferred to an adult (criminal) correctional
authority to avoid the intent of segregating adults and juveniles in
correctional facilities. This does not prohibit or restrict waiver of
juveniles to criminal court for prosecution, according to State law. It
does, however, preclude a State from administratively transferring a
juvenile offender to an adult correctional authority or a transfer
within a mixed [[Page 28444]] juvenile and adult facility for placement
with adult criminals either before or after a juvenile reaches the
statutory age of majority. It also precludes a State from transferring
adult offenders to juvenile correctional authority for placement.
(2) Implementation. The requirement of this provision is to be
planned and implemented immediately by each State.
(e) Removal of Juveniles From Adult Jails and Lockups. Pursuant to
section 223(a)(14)of the JJDP Act, the State shall:
(1) Describe its plan, procedure, and timetable for assuring that
requirements of this section will be met beginning after December 8,
1985. Refer to Sec. 31.303(f)(4) to determine the regulatory exception
to this requirement.
(2) Describe the barriers which the State faces in removing all
juveniles from adult jails and lockups. This requirement excepts only
those juveniles formally waived or transferred to criminal court and
against whom criminal felony charges have been filed, or juveniles over
whom a criminal court has original or concurrent jurisdiction and such
court's jurisdiction has been invoked through the filing of criminal
felony charges.
(3) Collocated facilities.
(i) Determine whether or not a facility in which juveniles are
detained or confined is an adult jail or lockup. The JJDP Act prohibits
the secure custody of juveniles in adult jails and lockups, except as
otherwise provided under the Act and implementing OJJDP regulations.
Juvenile facilities collocated with adult facilities are considered
adult jails or lockups unless the paragraph (e)(3)(i)(D)(1)-(4)
criteria established in this section are complied with and the
determinations and concurrences set forth in paragraph (e)(3)(ii),
(iii), and (iv) of this section have been made.
(A) A collocated facility is a juvenile facility located in the
same building as an adult jail or lockup, or is part of a related
complex of buildings located on the same grounds as an adult jail or
lockup. A complex of buildings is considered ``related'' when it shares
physical features such as walls and fences, or services beyond
mechanical services (heating, air conditioning, water and sewer), or
the specialized services that are allowable under paragraph
(e)(3)(i)(D)(3) of this section.
(B) The State, with OJJDP concurrence, must determine whether a
collocated facility qualifies as a separate juvenile detention facility
under the four criteria set forth in Paragraph (e)(3)(i)(D)(1)-(4) of
this section for the purpose of monitoring compliance with section
223(a)12(A), (13) and (14) of the JJDP Act.
(C) A needs based analysis must precede a jurisdiction's request
for State approval and be included with the request for OJJDP
concurrence that a collocated facility qualifies as a juvenile
detention facility. The needs based analysis should include, but is not
limited to, consideration of such factors as excessive travel time to
an existing juvenile detention center, crowding in an existing facility
(despite the use of objective detention criteria), obsolescence of an
existing facility, and, in areas where there are no juvenile detention
facilities, a measurable increase in the need for juvenile detention
beds. OJJDP's technical assistance provider to the States should be
involved in the needs based analysis (without cost to the State or
local jurisdiction). The needs based analysis must take into
consideration and be coordinated with the State's plans and programs
designed to establish a continuum of detention care and to assist
detention facilities to provide a full range of services for juvenile
offenders.
(D) Each of the following four criteria must be met in order to
ensure the requisite separateness of a juvenile detention facility that
is collocated with an adult jail or lockup:
(1) Total separation between juvenile and adult facility spatial
areas such that there could be no sight or sound contact between
juveniles and incarcerated adults in the facility. Total separation of
spatial areas can be achieved architecturally, and must provide for no
common use areas (time-phasing is not permissible).
(2) Total separation in all juvenile and adult program areas,
including recreation, education, counseling, dining, sleeping, and
general living activities. There must be an independent and
comprehensive operational plan for the juvenile detention center which
provides for a full range of separate program services. No program
activities may be shared by juveniles and incarcerated adults. However,
equipment and other resources may be used by both populations subject
to security concerns and the criterion in paragraph (e)(3)(i)(D)(1) of
this section.
(3) Separate staff for the juvenile and adult populations,
including management, security, and direct care staff. Staff providing
specialized services (food service, laundry, maintenance and
engineering, etc.) who are not normally in contact with detainees, or
whose infrequent contacts occur under conditions of separation of
juveniles and adults, can serve both populations (subject to State
standards or licensing requirements). The day to day management,
security and direct care functions of the juvenile detention center
must be vested in a totally separate staff, dedicated solely to the
juvenile population within the collocated facilities; and
(4) In States that have established standards or licensing
requirements for juvenile detention facilities, the juvenile facility
must meet the standards (on the same basis as a free-standing juvenile
detention center) and be licensed as appropriate. If there are no State
standards or licensing requirements, then the jurisdiction must
cooperate in a preapproval review of its physical plant, staffing
patterns, and programs by an organization selected and compensated by
OJJDP. This review will be based on prevailing national juvenile
detention standards, and will inform the State's approval process and
concurrence by OJJDP.
(ii) The State must initially determine that the four criteria are
fully met. Upon such determination, the State must submit to OJJDP a
request for concurrence with the State's finding that a separate
juvenile detention facility exists. To enable OJJDP to assess the
separateness of the two facilities, sufficient documentation must
accompany the request to demonstrate that each criterion has been met.
It is incumbent upon the State to make the initial determination
through an on-site facility (or full construction and operations plan)
review and, through the exercise of its oversight responsibility, to
ensure that the separate character of the juvenile detention facility
is maintained by continuing to fully meet the four criteria set forth
above in paragraphs (e)(3)(i)(D)(1)-(4) of this section.
(iii) Collocated juvenile detention facilities approved by the
State and concurred with by OJJDP on or before June 30, 1995 are to be
reviewed against the regulatory criteria and OJJDP policies in effect
at the time of the initial approval and concurrence, except that
facilities approved after the effective date of this regulation, but
prior to July 1, 1995, shall be reviewed against the regulatory
criteria in effect on the day before the effective date of this
regulation, and except that all collocated facilities are subject to
the separate staff requirement established by the 1992 Amendments to
the JJDP Act, and set forth in paragraph (e)(3)(i)(D)(3) of this
section. Unless otherwise indicated, review of previously approved
collocated [[Page 28445]] facilities is expected to occur as part of
the State's regularly scheduled monitoring activities.
(iv) OJJDP's concurrence for facilities considered after June 30,
1995 is limited to one year and thereafter, will be reviewed on an
annual basis. An annual on-site review of the facility must be
conducted by the compliance monitoring staff person(s) representing or
employed by the State agency administering the JJDP Act Formula Grants
Program. OJJDP's concurrence is required annually, and may involve on-
site review by OJJDP staff. The purpose of the annual review is to
determine if compliance with the criteria set forth in paragraphs
(e)(3)(i)(D)(1)-(4) of this section is being maintained, and to assess
the continuing need for the collocated facility and the jurisdiction's
long term plan to move to a free-standing facility (single jurisdiction
or regional) or other detention alternative, unless the juvenile
detention center is part of a justice center, in which case the annual
review will look solely at the four regulatory criteria. An example of
a justice center is a building or a set of buildings in which various
agencies are housed, such as law enforcement, courts, State's
attorneys, public defenders, and probation, in addition to an adult
jail or lockup, and a juvenile detention facility.
(4) Those States which, based upon the most recently submitted
monitoring report, have been found to be in full compliance with
section 223(a)(14) may, in lieu of addressing paragraphs (e) (1) and
(2) of this section, provide an assurance that adequate plans and
resources are available to maintain full compliance.
(f) Monitoring of Jails, Detention Facilities and Correctional
Facilities.
(1) Pursuant to section 223(a)(15) of the JJDP Act, and except as
provided by paragraph (f)(7) of this section, the State shall:
(i) Describe its plan, procedure, and timetable for annually
monitoring jails, lockups, detention facilities, correctional
facilities and non-secure facilities. The plan must at a minimum
describe in detail each of the following tasks including the
identification of the specific agency(s) responsible for each task.
(A) Identification of monitoring universe: This refers to the
identification of all residential facilities which might hold juveniles
pursuant to public authority and thus must be classified to determine
if it should be included in the monitoring effort. This includes those
facilities owned or operated by public and private agencies.
(B) Classification of the monitoring universe: This is the
classification of all facilities to determine which ones should be
considered as a secure detention or correctional facility, adult
correctional institution, jail, lockup, or other type of secure or
nonsecure facility.
(C) Inspection of facilities: Inspection of facilities is necessary
to ensure an accurate assessment of each facility's classification and
record keeping. The inspection must include:
(1) A review of the physical accommodations to determine whether it
is a secure or non-secure facility or whether adequate sight and sound
separation between juvenile and adult offenders exists and
(2) a review of the record keeping system to determine whether
sufficient data are maintained to determine compliance with section
223(a) (12), (13) and/or (14).
(D) Data collection and data verification: This is the actual
collection and reporting of data to determine whether the facility is
in compliance with the applicable requirement(s) of section 223(a)
(12), (13) and/or (14). The length of the reporting period should be 12
months of data, but in no case less than 6 months. If the data is self-
reported by the facility or is collected and reported by an agency
other than the State agency designated pursuant to section 223(a)(1) of
the JJDP Act, the plan must describe a statistically valid procedure
used to verify the reported data.
(ii) Provide a description of the barriers which the State faces in
implementing and maintaining a monitoring system to report the level of
compliance with section 223(a) (12), (13), and (14) and how it plans to
overcome such barriers.
(iii) Describe procedures established for receiving, investigating,
and reporting complaints of violation of section 223(a) (12), (13), and
(14). This should include both legislative and administrative
procedures and sanctions.
(2) For the purpose of monitoring for compliance with section
223(a)(12)(A) of the Act a secure detention or correctional facility is
any secure public or private facility used for the lawful custody of
accused or adjudicated juvenile offenders or non-offenders, or used for
the lawful custody of accused or convicted adult criminal offenders.
(3) Valid Court Order. For the purpose of determining whether a
valid court order exists and a juvenile has been found to be in
violation of that valid order all of the following conditions must be
present prior to secure incarceration:
(i) The juvenile must have been brought into a court of competent
jurisdiction and made subject to an order issued pursuant to proper
authority. The order must be one which regulates future conduct of the
juvenile. Prior to issuance of the order, the juvenile must have
received the full due process rights guaranteed by the Constitution of
the United States.
(ii) The court must have entered a judgment and/or remedy in accord
with established legal principles based on the facts after a hearing
which observes proper procedures.
(iii) The juvenile in question must have received adequate and fair
warning of the consequences of violation of the order at the time it
was issued and such warning must be provided to the juvenile and to the
juvenile's attorney and/or legal guardian in writing and be reflected
In the court record and proceedings.
(iv) All judicial proceedings related to an alleged violation of a
valid court order must be held before a court of competent
jurisdiction. A juvenile accused of violating a valid court order may
be held in secure detention beyond the 24-hour grace period permitted
for a noncriminal juvenile offender under OJJDP monitoring policy, for
protective purposes as prescribed by State law, or to assure the
juvenile's appearance at the violation hearing, as provided by State
law, if there has been a judicial determination based on a hearing
during the 24-hour grace period that there is probable cause to believe
the juvenile violated the court order. In such case the juveniles may
be held pending a violation hearing for such period of time as is
provided by State law, but in no event should detention prior to a
violation hearing exceed 72 hours exclusive of nonjudicial days. A
juvenile alleged or found in a violation hearing to have violated a
Valid Court Order may be held only in a secure juvenile detention or
correctional facility, and not in an adult jail or lockup.
(v) Prior to and during the violation hearing the following full
due process rights must be provided:
(A) The right to have the charges against the juvenile in writing
served upon him a reasonable time before the hearing;
(B) The right to a hearing before a court;
(C) The right to an explanation of the nature and consequences of
the proceeding; [[Page 28446]]
(D) The right to legal counsel, and the right to have such counsel
appointed by the court if indigent;
(E) The right to confront witnesses;
(F) The right to present witnesses;
(G) The right to have a transcript or record of the proceedings;
and
(H) The right of appeal to an appropriate court.
(vi) In entering any order that directs or authorizes disposition
of placement in a secure facility, the judge presiding over an initial
probable cause hearing or violation hearing must determine that all the
elements of a valid court order (paragraphs (f)(3) (i), (ii) and (iii)
of this section) and the applicable due process rights (paragraph
(f)(3)(v) of this section) were afforded the juvenile and, in the case
of a violation hearing, the judge must determine that there is no less
restrictive alternative appropriate to the needs of the juvenile and
the community. This determination must be preceded by a written report
to the judge that: reviews the behavior of the juvenile and the
circumstances under which the juvenile was brought before the court and
made subject to such order; determines the reasons for the juvenile's
behavior; and determines whether all dispositions other than secure
confinement have been exhausted or are clearly inappropriate. This
report must be prepared and submitted by an appropriate public agency
(other than a court or law enforcement agency). A multidisciplinary
review team that operates independently of courts or law enforcement
agencies would satisfy this requirement even if some individual members
of the team represent court or law enforcement agencies.
(vii) A non-offender such as a dependent or neglected child cannot
be placed in secure detention or correctional facilities for violating
a valid court order.
(4) Removal exception (section 223(a)(14)). The following
conditions must be met in order for an accused juvenile criminal-type
offender, awaiting an initial court appearance, to be detained up to 24
hours (excluding weekends and holidays) in an adult jail or lockup:
(i) The State must have an enforceable State law requiring an
initial court appearance within 24 hours after being taken into custody
(excluding weekends and holidays);
(ii) The geographic area having jurisdiction over the juvenile is
outside a metropolitan statistical area pursuant to the Bureau of
Census' current designation;
(iii) A determination must be made that there is no existing
acceptable alternative placement for the juvenile pursuant to criteria
developed by the State and approved by OJJDP;
(iv) The adult jail or lockup must have been certified by the State
to provide for the sight and sound separation of juveniles and
incarcerated adults; and
(v) The State must provide documentation that the conditions in
paragraphs(f)(4)(i) through (iv) of this section have been met and
received prior approval from OJJDP. OJJDP strongly recommends that
jails and lockups that incarcerate juveniles be required to provide
youth specific admissions screening and continuous visual supervision
of juveniles incarcerated pursuant to this exception.
(vi) Pursuant to section 223(a)(14) of the JJDP Act, the non-MSA
(low population density) exception to the jail and lockup removal
requirements as described in paragraphs (f)(4)(i) through (v) of this
section shall remain in effect through 1997, and shall allow for secure
custody beyond the twenty four hours period described in paragraph
(f)(4)(i) of this section when the facility is located where conditions
of distance to be traveled or the lack of highway, road, or other
ground transportation do not allow for court appearances within twenty
four hours, so that a brief (not to exceed an additional forty eight
hours) delay is excusable; or the facility is located where conditions
of safety exist (such as severely adverse, life-threatening weather
conditions that do not allow for reasonably safe travel), in which case
the time for an appearance may be delayed until twenty four hours after
the time that such conditions allow for reasonably safe travel. States
may use these additional statutory allowances only where the precedent
requirements set forth in paragraphs (f)(4)(i) through (v) of this
section have been complied with. This may necessitate statutory or
judicial (court rule or opinion) relief within the State from the
twenty four hours initial court appearance standard required by
paragraph (f)(4)(i) of this section. States must document and describe
in their annual monitoring report to OJJDP, the specific circumstances
surrounding each individual use of the distance/ground transportation,
and weather allowances.
(5) Reporting requirement. The State shall report annually to the
Administrator of OJJDP on the results of monitoring for section
223(a)(12),(13), and (14) of the JJDP Act. The reporting period should
provide 12 months of data, but shall not be less than six months. The
report shall be submitted to the Administrator of OJJDP by December 31
of each year.
(i) To demonstrate the extent of compliance with section
223(a)(12)(A) of the JJDP Act, the report must include, at a minimum,
the following information for the current reporting period:
(A) Dates covered by the current reporting period;
(B) Total number of public and private secure detention and
correctional facilities, the total number reporting, and the number
inspected on-site;
(C) The total number of accused status offenders and nonoffenders,
including out-of-State runaways and Federal wards, held in any secure
detention or correctional facility for longer than twenty four hours
(not including weekends or holidays), excluding those held pursuant to
the valid court order provision as set forth in paragraph (f)(3) of
this section or pursuant to section 922(x) of title 18, United States
Code, or a similar State law;
(D) The total number of accused status offenders (including valid
court order violators, out of state runaways, and Federal wards, but
excluding Title 18 922(x) violators) and nonoffenders securely detained
in any adult jail, lockup, or nonapproved collocated facility for any
length of time;
(E) The total number of adjudicated status offenders and
nonoffenders, including out-of-state runaways and Federal wards, held
for any length of time in a secure detention or correctional facility,
excluding those held pursuant to the valid court order provision or
pursuant to title 18 U.S.C. section 922(x);
(F) The total number of status offenders held in any secure
detention or correctional facility pursuant to the valid court order
provision set forth in paragraph (f)(3) of this section; and
(G) The total number of juvenile offenders held pursuant to title
18 U.S.C. section 922(x).
(ii) To demonstrate the extent to which the provisions of section
223(a)(12)(B) of the JJDP Act are being met, the report must include
the total number of accused and adjudicated status offenders and
nonoffenders placed in facilities that are:
(A) Not near their home community;
(B) Not the least restrictive appropriate alternative; and
(C) Not community-based.
(iii) To demonstrate the extent of compliance with section
223(a)(13) of the JJDP Act, the report must include, at a minimum, the
following information for the current reporting period:
(A) Dates covered by the current reporting period; [[Page 28447]]
(B) The total number of facilities used to detain or confine both
juvenile offenders and adult criminal offenders during the past 12
months and the number inspected on-site;
(C) The total number of facilities used for secure detention and
confinement of both juvenile offenders and adult criminal offenders
which did not provide sight and sound separation;
(D) The total number of juvenile offenders and nonoffenders not
separated from adult criminal offenders in facilities used for the
secure detention and confinement of both juveniles and adults;
(E) The total number of juvenile detention centers located within
the same building or on the same grounds as an adult jail or lockup
that have been concurred with by OJJDP, including a list of such
facilities;
(F) The total number of juveniles detained in collocated facilities
concurred with by OJJDP that were not separated from the management,
security or direct care staff of the adult jail or lockup;
(G) The total number of juvenile detention centers located within
the same building or on the same grounds as an adult jail or lockup
that have not been concurred with by OJJDP, including a list of such
facilities; and
(H) The total number of juveniles detained in collocated facilities
not approved by the State and concurred with by OJJDP, that were not
sight and sound separated from adult criminal offenders.
(iv) To demonstrate the extent of compliance with section
223(a)(14) of the JJDP Act, the report must include, at a minimum, the
following information for the current reporting period:
(A) Dates covered by the current reporting period;
(B) The total number of adult jails in the State AND the number
inspected on-site;
(C) The total number of adult lockups in the State AND the number
inspected on-site;
(D) The total number of adult jails holding juveniles during the
past twelve months;
(E) The total number of adult lockups holding juveniles during the
past twelve months;
(F) The total number of accused juvenile criminal-type offenders
held securely in adult jails, lockups, and collocated facilities not
concurred with by OJJDP, in excess of six hours (including those held
pursuant to the ``removal exception'' as set forth in paragraph (f)(4)
of this section);
(G) The total number of accused juvenile criminal-type offenders
held securely in adult jails, lockups and collocated facilities not
concurred with by OJJDP for less than six hours for purposes other than
identification, investigation, processing, release to parent(s),
transfer to court, or transfer to a juvenile facility following initial
custody;
(H) The total number of adjudicated juvenile criminal-type
offenders held securely in adult jails or lockups and collocated
facilities not concurred with by OJJDP for any length of time;
(I) The total number of accused and adjudicated status offenders
(including valid court order violators) and nonoffenders held securely
in adult jails, lockups and collocated facilities not concurred with by
OJJDP, for any length of time;
(J) The total number of adult jails, lockups, and collocated
facilities not concurred with by OJJDP, in areas meeting the ``removal
exception'' as noted in paragraph (f)(4) of this section, including a
list of such facilities and the county or jurisdiction in which each is
located;
(K) The total number of juveniles accused of a criminal-type
offense who were held in excess of six hours but less than 24 hours in
adult jails, lockups and collocated facilities not concurred with by
OJJDP pursuant to the ``removal exception'' as set forth in paragraph
(f)(4) of this section;
(L) The total number of juveniles accused of a criminal-type
offense who were held in excess of 24 hours but not more than an
additional 48 hours in adult jails, lockups and collocated facilities
not concurred with by OJJDP pursuant to the ``removal exception'' as
noted in paragraph (f)(4) of this section, due to conditions of
distance or lack of ground transportation; and
(M) The total number of juveniles accused of a criminal-type
offense who were held in excess of 24 hours, but not more than an
additional 24 hours after the time such conditions as adverse weather
allow for reasonably safe travel, in adult jails, lockups and
collocated facilities not concurred with by OJJDP, in areas meeting the
``removal exception'' as noted in paragraph (f)(4) of this section.
(6) Compliance. The State must demonstrate the extent to which the
requirements of sections 223(a)(12)(A), (13), (14), and (23) of the Act
are met. If the State fails to demonstrate full compliance with
sections 223(a)(12)(A) and (14), and compliance with sections
223(a)(13) and (23) by the end of the fiscal year for any fiscal year
beginning with fiscal year 1994, the State's allotment under Section
222 will be reduced by twenty five percent for each such failure,
provided that the State will lose its eligibility for any allotment
unless: the State agrees to expend all remaining funds (except planning
and administration, State advisory group set-aside funds and Indian
tribe pass-through funds) for the purpose of achieving compliance with
the mandate(s) for which the State is in noncompliance; or the
Administrator makes discretionary determination that the State has
substantially complied with the mandate(s) for which there is
noncompliance and that the State has made through appropriate executive
or legislative action, an unequivocal commitment to achieving full
compliance within a reasonable time. In order for a determination to be
made that a State has substantially complied with the mandate(s), the
State must demonstrate that it has: Diligently carried out the plan
approved by OJJDP; demonstrated significant progress toward full
compliance; submitted a plan based on an assessment of current barriers
to DMC; and provided an assurance that added resources will be
expended, be it formula grants or other funds, to achieve compliance.
Where a State's allocation is reduced, the amount available for
planning and administration and the required pass-through allocation,
other than State advisory group set-aside, will be reduced because they
are based on the reduced allocation.
(i) Substantial compliance with section 223(a)(12)(A) can be used
to demonstrate eligibility for FY 1993 and prior year formula grant
allocations if, within three years of initial plan submission, the
State has achieved a seventy five percent reduction in the aggregate
number of status offenders and nonoffenders held in secure detention or
correctional facilities, or removal of 100 percent of such juveniles
from secure correctional facilities only. In addition, the State must
make an unequivocal commitment, through appropriate executive or
legislative action, to achieving full compliance by FY 1994. Full
compliance is achieved when a State has removed 100 percent of such
juveniles from secure detention and correctional facilities or can
demonstrate full compliance with de minimis exceptions pursuant to the
policy criteria contained in the Federal Register of January 9, 1981
(46 FR 2566-2569).
(ii) Compliance with section 223(a)(13) has been achieved when a
State can demonstrate that:
(A) The last submitted monitoring report, covering a full 12 months
of data, demonstrates that no juveniles were incarcerated in
circumstances that [[Page 28448]] were in violation of section
223(a)(13); or
(B) (1) State law, regulation, court rule, or other established
executive or judicial policy clearly prohibits the incarceration of all
juvenile offenders in circumstances that would be in violation of
section 223(a)(13);
(2) All instances of noncompliance reported in the last submitted
monitoring report were in violation of, or departures from, the State
law, rule, or policy referred to in paragraph (f)(6)(ii)(B)(1) of this
section;
(3) The instances of noncompliance do not indicate a pattern or
practice but rather constitute isolated instances; and
(4) Existing mechanisms for the enforcement of the State law, rule,
or policy referred to in paragraph (f)(6)(ii)(B)(1) of this section are
such that the instances of noncompliance are unlikely to recur in the
future.
(iii) (A) Full compliance is achieved when a state demonstrates
that the last submitted monitoring report, covering 12 months of actual
data, demonstrates that no juveniles were held in adult jails or
lockups in circumstances that were in violation of section 223(a)(14).
(B) Full compliance with de minimis exceptions is achieved when a
State demonstrates that it has met the standard set forth in either of
paragraphs (f)(6)(iii)(B) (1) or (2) of this section:
(1) Substantive De Minimis Standard. To comply with this standard
the State must demonstrate that each of the following requirements have
been met:
(i) State law, court rule, or other statewide executive or judicial
policy clearly prohibits the detention or confinement of all juveniles
in circumstances that would be in violation of section 223(a)(14);
(ii) All instances of noncompliance reported in the last submitted
monitoring reported were in violation of or departures from, the State
law, rule, or policy referred to In paragraph (f)(6)(iii)(B)(1)(i) of
this section;
(iii) The instances of noncompliance do not indicate a pattern or
practice but rather constitute isolated instances;
(iv) Existing mechanisms for the enforcement of the State law, rule
or policy referred to in paragraph (f)(6)(iii)(B)(1)(i) of this section
are such that the instances of noncompliance are unlikely to recur in
the future; and
(v) An acceptable plan has been developed to eliminate the
noncompliant incidents and to monitor the existing mechanism referred
to in paragraph (f)(6)(iii)(B)(1)(iv) of this section.
(2) Numerical De Minimis Standard. To comply with this standard the
State must demonstrate that each of the following requirements under
paragraphs (f)(6)(iii)(B)(2) (i) and (ii) of this section have been
met:
(i) The incidents of noncompliance reported in the State's last
submitted monitoring report do not exceed an annual rate of 9 per
100,000 juvenile population of the State; and
(ii) An acceptable plan has been developed to eliminate the
noncompliant incidents through the enactment or enforcement of State
law, rule, or statewide executive or judicial policy, education, the
provision of alternatives, or other effective means.
(iii) Exception. When the annual rate for a State exceeds 9
incidents of noncompliance per 100,000 juvenile population, the State
will be considered ineligible for a finding of full compliance with de
minimis exceptions under the numerical de minimis standard unless the
State has recently enacted changes in State law which have gone into
effect and which the State demonstrates can reasonably be expected to
have a substantial, significant and positive impact on the state's
achieving full (100%) compliance or full compliance with de minimis
exceptions by the end of the monitoring period immediately following
the monitoring period under consideration.
(iv) Progress. Beginning with the monitoring report due by December
31, 1990, any State whose prior full compliance status is based on
having met the numerical de minimis standard set forth in paragraph
(f)(6)(iii)(B)(2)(i) of this Sec. 31.303, must annually demonstrate, in
its request for a finding of full compliance with de minimis
exceptions, continued and meaningful progress toward achieving full
(100%) compliance in order to maintain eligibility for a continued
finding of full compliance with de minimis exceptions.
(v) Request Submission. Determinations of full compliance and full
compliance with de minimis exceptions are made annually by OJJDP
following submission of the monitoring report due by December 31 of
each calendar year. Any State reporting less than full (100%)
compliance in any annual monitoring report may request a finding of
full compliance with de minimis exceptions under paragraph
(f)(6)(iii)(B) (1) or (2) of this section. The request may be submitted
in conjunction with the monitoring report, as soon thereafter as all
information required for a determination is available, or be included
in the annual State plan and application for the State's formula grant
award.
(C) Waiver. Failure to achieve full compliance as defined in this
section shall terminate any State's eligibility for FY 1993 and prior
year formula grant funds unless the Administrator of OJJDP waives
termination of the State's eligibility. ln order to be eligible for
this waiver of termination, a State must request a waiver and
demonstrate that it meets the standards set forth in paragraphs
(f)(6)(iii)(C) (1)-(7) of this section:
(1) Agrees to expend all of its formula grant award except planning
and administration, advisory group set-aside, and Indian tribe pass-
through funds, to achieve compliance with section 223(a)(14); and
(2) Removed all status and nonoffender juveniles from adult jails
and lockups. Compliance with this standard requires that the last
submitted monitoring report demonstrate that no status offender
(including those accused of or adjudicated for violating a valid court
order) or nonoffender juveniles were securely detained in adult jails
or lock-ups for any length of time; or that all status offenders and
nonoffenders securely detained in adult jails and lock-ups for any
length of time were held in violation of an enforceable State law and
did not constitute a pattern or practice within the State; and
(3) Made meaningful progress in removing juvenile criminal-type
offenders from adult jails and lockups. Compliance with this standard
requires the State to document a significant reduction in the number of
jurisdictions securely detaining juvenile criminal-type offenders in
violation of section 223 (a)(14) of the JJDP Act; or a significant
reduction in the number of facilities securely detaining such
juveniles; or a significant reduction in the average length of time
each juvenile criminal-type offender is securely detained in an adult
jail or lock-up; or State legislation has recently been enacted and
taken effect and which the State demonstrates will significantly impact
the secure detention of juvenile criminal-type offenders in adult jails
and lock-ups; and
(4) Diligently carried out the State's jail and lockup removal plan
approved by OJJDP. Compliance with this standard requires that actions
have been undertaken to achieve the State's jail and lock-up removal
goals and objectives within approved time lines, and that the State
Advisory Group, required by section 223 (a)(3) of the JJDP Act, has
maintained an appropriate involvement in developing and/or implementing
the State's plan; and
(5) Submitted an acceptable plan, based on a assessment of current
jail [[Page 28449]] and lockup removal barriers within the State, to
eliminate noncompliant incidents; and
(6) Achieved compliance with section 223(a)(15) of the JJDP Act;
and
(7) Demonstrates an unequivocal commitment, through appropriate
executive or legislative action, to achieving full compliance.
(D) Waiver Maximum. A State may receive a waiver of termination of
eligibility from the Administrator under paragraph (f)(6)(iii)(C) of
this section for a combined maximum of four Formula Grant Awards
through Fiscal Year 1993. No additional waivers will be granted.
(7) Monitoring report exemption. States which have been determined
by the OJJDP Administrator to have achieved full compliance with
sections 223(a)(12)(A), (a)(14), and compliance with section 223(a)(13)
of the JJDP and wish to be exempted from the annual monitoring report
requirements must submit a written request to the OJJDP Administrator
which demonstrates that:
(i) The State provides for an adequate system of monitoring jails,
law enforcement lockup, detention facilities, to enable an annual
determination of State compliance with sections 223(a)(12)(A), (13),
and (14) of the JJDP Act;
(ii) State legislation has been enacted which conforms to the
requirements of Sections 223(a)(12)(A), (13), and (14) of the JJDP Act;
and
(iii) The enforcement of the legislation is statutorily or
administratively prescribed, specifically providing that:
(A) Authority for enforcement of the statute is assigned;
(B) Time frames for monitoring compliance with the statute are
specified; and
(C) Adequate procedures are set forth for enforcement of the
statute and the imposition of sanctions for violations.
(g) Juvenile crime analysis. Pursuant to section 223(a)(8), the
State must conduct an analysis of juvenile crime problems, including
juvenile gangs that commit crimes, and juvenile justice and delinquency
prevention needs within the State, including those geographical areas
in which an Indian tribe performs law enforcement functions. The
analysis and needs assessment must include educational needs, gender
specific services, delinquency prevention and treatment services in
rural areas, and mental health services available to juveniles in the
juvenile justice system. The analysis should discuss barriers to
accessing services and provide a plan to provide such services where
needed.
(1) Analysis. The analysis must be provided in the multiyear
application. A suggested format for the analysis is provided in the
Formula Grant Application Kit.
(2) Product. The product of the analysis is a series of brief
written problem statements set forth in the application that define and
describe the priority problems.
(3) Programs. Applications are to include descriptions of programs
to be supported with JJDP Act formula grant funds. A suggested format
for these programs is included in the application kit.
(4) Performance Indicators. A list of performance indicators must
be developed and set forth for each program. These indicators show what
data will be collected at the program level to measure whether
objectives and performance goals have been achieved and should relate
to the measures used in the problem statement and statement of program
objectives.
(h) Annual Performance Report. Pursuant to section 223(a) and
section 223(a)(22) the State plan shall provide for submission of an
annual performance report. The State shall report on its progress in
the implementation of the approved programs, described in the three-
year plan. The performance indicators will serve as the objective
criteria for a meaningful assessment of progress toward achievement of
measurable goals. The annual performance report shall describe progress
made in addressing the problem of serious juvenile crime, as documented
in the juvenile crime analysis pursuant to section 223(a)(8)(A). The
annual performance report must be submitted to OJJDP no later than June
30 and address all formula grant activities carried out during the
previous complete calendar year, federal fiscal year, or State fiscal
year for which information is available, regardless of which year's
formula grant funds were used to support the activities being reported
on, e.g., during a reporting period, activities may have been funded
from two or more formula grant awards.
(i) Technical Assistance. States shall include, within their plan,
a description of technical assistance needs. Specific direction
regarding the development and inclusion of all technical assistance
needs and priorities will be provided in the ``Application Kit for
Formula Grants under the JJDPA.''
(j) Minority Detention and Confinement. Pursuant to section
223(a)(23) of the JJDP Act, States must demonstrate specific efforts to
reduce the proportion of juveniles detained or confined in secure
detention facilities, secure correctional facilities, jails and lockups
who are members of minority groups if such proportion exceeds the
proportion such groups represent in the general population, viz., in
most States, youth between ages ten-seventeen are subject to secure
custody. It is essential that States approach this statutory mandate in
a comprehensive manner. Compliance with this provision is achieved when
a State meets the requirements set forth in paragraphs (j)(1) through
(3) of this section:
(1) Identification. Provide quantifiable documentation (State,
county and local level) in the State's FY 1994 Formula Grant Plan (and
all subsequent Multi-Year Plans) Juvenile Crime Analysis and Needs
Assessment to determine whether minority juveniles are
disproportionately detained or confined in secure detention and
correctional facilities, jails and lockups in relation to their
proportion of the State juvenile population. Guidelines are provided in
the OJJDP Disproportionate Minority Confinement Technical Assistance
Manual (see Phase I Matrix). Where quantifiable documentation is not
available to determine if disproportionate minority confinement exists
in secure detention and correctional facilities, jails and lockups, the
State must provide a time-limited plan of action, not to exceed six
months, for developing and implementing a system for the ongoing
collection, analysis and dissemination of information regarding
minorities for those facilities where documentation does not exist.
(2) Assessment. Each State's FY 1994 Formula Grant Plan must
provide a completed assessment of disproportionate minority
confinement. Assessments must, at minimum, identify and explain
differences in arrest, diversion and adjudication rates, court
dispositions other than incarceration, the rates and periods of
prehearing detention in and dispositional commitments to secure
facilities of minority youth in the juvenile justice system, and
transfers to adult court (see Phase II Matrix). If a completed
assessment is not available, the State must submit a time-limited plan
(not to exceed twelve months from submission of the Formula Grant
Application) for completing the assessment.
(3) Intervention. Each State's FY 1995 Formula Grant Plan must,
where disproportionate confinement has been demonstrated, provide a
time-limited plan of action for reducing the disproportionate
confinement of minority juveniles in secure facilities. The
intervention plan shall be based on the results of the assessment, and
must [[Page 28450]] include, but not be limited to the following:
(i) Diversion. Increasing the availability and improving the
quality of diversion programs for minorities who come in contact with
the juvenile justice system, such as police diversion programs;
(ii) Prevention. Providing developmental, operational, and
assessment assistance (financial and/or technical) for prevention
programs in communities with a high percentage of minority residents
with emphasis upon support for community-based organizations (including
non-traditional organizations) that serve minority youth;
(iii) Reintegration. Providing developmental, operational, and
assessment assistance (financial and/or technical) for programs
designed to reduce recidivism by facilitating the reintegration of
minority youth in the community following release from dispositional
commitments to reduce recidivism;
(iv) Policies and procedures. Providing financial and/or technical
assistance that addresses necessary changes in statewide and local,
executive, judicial, and legal representation policies and procedures;
and
(v) Staffing and training. Providing financial and/or technical
assistance that addresses staffing and training needs that will
positively impact the disproportionate confinement of minority youth in
secure facilities.
(4) The time-limited plans of action set forth in paragraphs (j)
(1), (2) and (3) of this section must include a clear indication of
current and future barriers; which agencies, organizations, or
individual(s) will be responsible for taking what specific actions;
when; and what the anticipated outcomes are. The interim and final
outcomes from implementation of the time-limited plan of action must be
reported in each State's Multi-Year Plans and Annual Plan Updates.
Final outcomes for individual project awards are to be included with
each State's annual performance report (See Paragraph (h) of this
Section).
(5) Technical assistance is available through the OJJDP Technical
Assistance Contract to help guide States with the data collection and
analysis, and with programmatic elements of this requirement.
Information from the OJJDP Special Emphasis Initiative on
Disproportionate Minority Confinement pilot sites will be disseminated
as it becomes available.
(6) For purposes of this statutory mandate, minority populations
are defined as: African-Americans, American Indians, Asians, Pacific
Islanders, and Hispanics.
(k) Pursuant to section 223(a)(24) of the JJDP Act, states shall
agree to other terms and conditions as the Administrator may reasonably
prescribe to assure the effectiveness of programs assisted under the
Formula Grant.
Sec. 31.304 Definitions.
(a) Private agency. A private non-profit agency, organization or
institution is:
(1) Any corporation, foundation, trust, association, cooperative,
or accredited institution of higher education not under public
supervision or control; and
(2) Any other agency, organization or institution which operates
primarily for scientific, education, service, charitable, or similar
public purposes, but which is not under public supervision or control,
and no part of the net earnings of which inures or may lawfully inure
to the benefit of any private shareholder or individual, and which has
been held by IRS to be tax-exempt under the provisions of section
501(c)(3) of the 1954 Internal Revenue Code.
(b) Secure. As used to define a detention or correctional facility
this term includes residential facilities which include construction
features designed to physically restrict the movements and activities
of persons in custody such as locked rooms and buildings, fences, or
other physical structures. It does not include facilities where
physical restriction of movement or activity is provided solely through
facility staff.
(c) Facility. A place, an institution, a building or part thereof,
set of buildings or an area whether or not enclosing a building or set
of buildings which is used for the lawful custody and treatment of
juveniles and may be owned and/or operated by public and private
agencies.
(d) Juvenile who is accused of having committed an offense. A
juvenile with respect to whom a petition has been filed In the juvenile
court or other action has occurred alleging that such juvenile is a
juvenile offender, i.e., a criminal-type offender or a status offender,
and no final adjudication has been made by the juvenile court.
(e) Juvenile who has been adjudicated as having committed an
offense. A juvenile with respect to whom the juvenile court has
determined that such juvenile is a juvenile offender, i.e., a criminal-
type offender or a status offender.
(f) Juvenile offender. An individual subject to the exercise of
juvenile court jurisdiction for purposes of adjudication and treatment
based on age and offense limitations by defined as State law, i.e., a
criminal-type offender or a status offender.
(g) Criminal-type offender. A juvenile offender who has been
charged with or adjudicated for conduct which would, under the law of
the jurisdiction in which the offense was committed, be a crime if
committed by an adult.
(h) Status offender. A juvenile offender who has been charged with
or adjudicated for conduct which would not, under the law of the
jurisdiction in which the offense was committed, be a crime if
committed by an adult.
(i) Non-offender. A juvenile who is subject to the jurisdiction of
the juvenile court, usually under abuse, dependency, or neglect
statutes for reasons other than legally prohibited conduct of the
juvenile.
(j) Lawful custody. The exercise of care, supervision and control
over a juvenile offender or non-offender pursuant to the provisions of
the law or of a judicial order or decree.
(k) Other individual accused of having committed a criminal
offense. An individual, adult or juvenile, who has been charged with
committing a criminal offense in a court exercising criminal
jurisdiction.
(l) Other individual convicted of a criminal offense. An
individual, adult or juvenile, who has been convicted of a criminal
offense in court exercising criminal jurisdiction.
(m) Adult jail. A locked facility, administered by State, county or
local law enforcement and correctional agencies, the purpose of which
is to detain adults charged with violating criminal law, pending trial.
Also considered as adult jails are those facilities used to hold
convicted adult criminal offenders sentenced for less than one year.
(n) Adult lockup. Similar to an adult jail except that an adult
lockup is generally a municipal or police facility of a temporary
nature which does not hold persons after they have been formally
charged.
(o) Valid court order. The term means a court order given by a
juvenile court judge to a juvenile who has been brought before the
court and made subject to a court order. The use of the word ``valid''
permits the incarceration of juveniles for violation of a valid court
order only if they received their full due process rights as guaranteed
by the Constitution of the United States.
(p) Local private agency. For the purposes of the pass-through
requirement of section 223(a)(5), a local private agency is defined as
a private non-profit agency or organization that
[[Page 28451]] provides program services within an identifiable unit or
a combination of units of general local government.
Subpart E--General Conditions and Assurances
Sec. 31.400 Compliance with statute.
The applicant State must assure and certify that the State and its
subgrantees and contractors will comply with applicable provisions of
the Omnibus Crime Control and Safe Streets Act of 1968, Pub. L. 90-351,
as amended, and with the provisions of the Juvenile Justice and
Delinquency Prevention Act of 1974, Pub. L. 93-415, as amended, and the
provisions of the current edition of OJP Financial and Administrative
Guide for Grants, M7100.1.
Sec. 31.401 Compliance with other Federal laws, orders, circulars.
The applicant State must further assure and certify that the State
and its subgrantees and contractors will adhere to other applicable
Federal laws, orders and OMB circulars. These general Federal laws and
regulations are described in greater detail in the Financial and
Administrative Guide for Grants, M7100.1, and the Formula Grant
Application Kit.
Sec. 31.402 Application on file.
Any Federal funds awarded pursuant to an application must be
distributed and expended pursuant to and in accordance with the
programs contained in the applicant State's current approved
application. Any departures therefrom, other than to the extent
permitted by current program and fiscal regulations and guidelines,
must be submitted for advance approval by the Administrator of OJJDP.
Sec. 31.403 Civil rights requirements.
The State assures that it will comply, and that subgrantees and
contractors will comply, with all applicable Federal non-discrimination
requirements, including:
(a) Section 809(c) of the Omnibus Crime Control and Safe Streets
Act as 1968, as amended, and made applicable by section 299(A) of the
Juvenile Justice and Delinquency Prevention Act of 1974, as amended;
(b) Title VI of the Civil Rights Act of 1964, as amended;
(c) Section 504 of the Rehabilitation Act of 1973, as amended;
(d) Title IX of the Education Amendments of 1972;
(e) The Age Discrimination Act of 1975;
(f) The Department of Justice NonDiscrimination regulations, 28 CFR
part 42, subparts C, D, E, and G;
(g) The Department of Justice regulations on disability
discrimination, 28 CFR parts 35 and 39; and
(h) Subtitle A, title II of the Americans with Disabilities Act
(ADA) of 1990.
Shay Bilchik,
Administrator, Office of Juvenile Justice and Delinquency Prevention.
[FR Doc. 95-13046 Filed 5-30-95; 8:45 am]
BILLING CODE 4410-18-P