[Title 28 CFR 31]
[Code of Federal Regulations (annual edition) - July 1, 2002 Edition]
[Title 28 - JUDICIAL ADMINISTRATION]
[Chapter I - DEPARTMENT OF JUSTICE]
[Part 31 - OJJDP GRANT PROGRAMS]
[From the U.S. Government Printing Office]


28JUDICIAL ADMINISTRATION12002-07-012002-07-01falseOJJDP GRANT PROGRAMS31PART 31JUDICIAL ADMINISTRATIONDEPARTMENT OF JUSTICE
PART 31--OJJDP GRANT PROGRAMS--Table of Contents




                        Subpart A--Formula Grants

                           General Provisions

Sec.
31.1  General.
31.2  Statutory authority.
31.3  Formula grant plan and applications.

                           Eligible Applicants

31.100  Eligibility.
31.101  Designation of State agency.
31.102  State agency structure.
31.103  Membership of supervisory board.

                          General Requirements

31.200  General.
31.201  Audit.
31.202  Civil rights.
31.203  Open meetings and public access to records.

                    Juvenile Justice Act Requirements

31.300  General.
31.301  Funding.
31.302  Applicant State agency.
31.303  Substantive requirements.
31.304  Definitions.

                    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.

        Subpart B--Juvenile Accountability Incentive Block Grants

31.500  Program purposes
31.501  Eligible applicants
31.502  Assurances and plan information
31.503  Notice of proposed use of funds

    Authority: 42 U.S.C. 5601 et seq.; Pub. L. 105-119, 111 Stat. 2440.

    Source: 60 FR 28440, May 31, 1995, unless otherwise noted.



                        Subpart A--Formula Grants

                           General Provisions



Sec. 31.1  General.

    This subpart 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.

[60 FR 28440, May 31, 1995, as amended at 64 FR 19676, Apr. 21, 1999]



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.).

[[Page 446]]



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.

                           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

[[Page 447]]

Administrator and will require, at a minimum, ``balanced 
representation'' of juvenile justice interests.

                          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.

[60 FR 28440, May 31, 1995, as amended at 64 FR 19676, Apr. 21, 1999]



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 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.

                    Juvenile Justice Act Requirements



Sec. 31.300  General.

    This subpart sets forth specific JJDP Act requirements for 
application and receipt of formula grants.

[60 FR 28440, May 31, 1995, as amended at 64 FR 19676, Apr. 21, 1999]



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

[[Page 448]]

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 (iii) 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.

[[Page 449]]

    (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 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

[[Page 450]]

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 includes any physical or sustained sight or 
sound contact between juvenile offenders in a secure custody status and 
incarcerated adults, including inmate trustees. A juvenile offender in a 
secure custody status is one who is physically detained or confined in a 
locked room or other area set aside or used for the specific purpose of 
securely detaining persons who are in law enforcement custody. Secure 
detention or confinement may result either from being placed in such a 
room or area and/or from being physically secured to a cuffing rail or 
other stationary object. Sight contact is defined as clear visual 
contact between incarcerated adults and juveniles within close proximity 
to each other. Sound contact is defined as direct oral communication 
between incarcerated adults and juvenile offenders. Separation must be 
accomplished architecturally or through policies and procedures in all 
secure areas of the facility which include, but are not limited to, such 
areas as admissions, sleeping, and shower and toilet areas. Brief and 
inadvertent or accidental contact between juvenile offenders in a secure 
custody status and incarcerated adults in secure areas of a facility 
that are not dedicated to use by juvenile offenders and which are 
nonresidential, which may include dining, recreational, educational, 
vocational, health care, sally ports or other entry areas, and 
passageways (hallways), would not require a facility or the

[[Page 451]]

State to document or report such contact as a violation. However, any 
contact in a dedicated juvenile area, including any residential area of 
a secure facility, between juveniles in a secure custody status and 
incarcerated adults would be a reportable violation.
    (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 delinquents are not reclassified 
administratively and transferred to an adult (criminal) correctional 
authority to avoid the intent of separating juveniles from adult 
criminals in jails or correctional facilities. A State is not prohibited 
from placing or transferring an alleged or adjudicated delinquent who 
reaches the State's age of full criminal responsibility to an adult 
facility when required or authorized by State law. However, the 
administrative transfer, without statutory direction or authorization, 
of a juvenile offender to an adult correctional authority, or a transfer 
within a mixed juvenile and adult facility for placement with adult 
criminals, either before or after a juvenile reaches the age of full 
criminal responsibility, is prohibited. A State is also precluded from 
transferring adult offenders to a juvenile correctional authority for 
placement in a juvenile facility. This neither prohibits nor restricts 
the waiver or transfer of a juvenile to criminal court for prosecution, 
in accordance with State law, for a criminal felony violation, nor the 
detention or confinement of a waived or transferred criminal felony 
violator in an adult facility.
    (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 that a State faces in removing all 
juveniles from adult jails and lockups. This requirement excepts only 
those alleged or adjudicated juvenile delinquents placed in a jail or a 
lockup for up to six hours from the time they enter a secure custody 
status or immediately before or after a court appearance, 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 absent compliance with criteria 
established in paragraphs (e)(3)(i)(C)(1) through (4) of this section.
    (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

[[Page 452]]

sewer), or the specialized services that are allowable under paragraph 
(e)(3)(i)(C)(3) of this section.
    (B) The State must determine whether a collocated facility qualifies 
as a separate juvenile detention facility under the four criteria set 
forth in paragraphs (e)(3)(i)(C) (1) through (4) of this section for the 
purpose of monitoring compliance with section 223(a) (12)(A), (13) and 
(14) of the JJDP Act.
    (C) 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) Separation between juveniles and adults such that there could be 
no sustained sight or sound contact between juveniles and incarcerated 
adults in the facility. Separation can be achieved architecturally or 
through time-phasing of common use nonresidential areas; and
    (2) Separate juvenile and adult programs, including recreation, 
education, vocation, counseling, dining, sleeping, and general living 
activities. There must be an independent and comprehensive operational 
plan for the juvenile detention facility which provides for a full range 
of separate program services. No program activities may be shared by 
juveniles and incarcerated adults. Time-phasing of common use 
nonresidential areas is permissible to conduct program activities. 
Equipment and other resources may be used by both populations subject to 
security concerns; and
    (3) Separate staff for the juvenile and adult populations, including 
management, security, and direct care staff. Staff providing specialized 
services (medical care, 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, OJJDP encourages States to 
establish administrative requirements that authorize the State to review 
the facility's physical plant, staffing patterns, and programs in order 
to approve the collocated facility based on prevailing national juvenile 
detention standards.
    (ii) The State must determine that the four criteria are fully met. 
It is incumbent upon the State to make the 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 in paragraphs 
(e)(3)(i)(C) (1) through (4) of this section.
    (iii) Collocated juvenile detention facilities approved by the State 
and concurred with by OJJDP before December 10, 1996 may be reviewed by 
the State against the regulatory criteria and OJJDP policies in effect 
at the time of the initial approval and concurrence or against the 
regulatory criteria set forth herein, as the State determines. 
Facilities approved on or after the effective date of this regulation 
shall be reviewed against the regulatory criteria set forth herein. 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)(C)(3) of this section.
    (iv) 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. The 
purpose of the annual review is to determine if compliance with the 
criteria set forth in paragraphs (e)(3)(i)(C) (1) through (4) of this 
section is being maintained.

[[Page 453]]

    (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 nonoffenders, or used for 
the lawful custody of accused or convicted adult criminal offenders. 
Accused status offenders or nonoffenders in lawful custody can be held 
in a secure juvenile detention facility for up to twenty-four hours, 
exclusive of weekends and holidays, prior to an initial court appearance 
and for an additional twenty-four hours, exclusive of weekends and 
holidays, following an initial court appearance.
    (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

[[Page 454]]

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;
    (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 the placement 
of a status offender 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 obtain and review a written 
report 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).
    (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;

[[Page 455]]

    (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;
    (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; and
    (vi) Pursuant to section 223(a)(14) of the JJDP Act, the nonMSA (low 
population density) exception to the jail and lockup removal requirement 
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 hour 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 hour initial court 
appearance standard required by paragraph (f)(4)(i) of this section.
    (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 
(which prohibits the possession of a handgun by a juvenile), or a 
similar State law. A juvenile who violates this statute, or a similar 
state law, is excepted from the deinstitutionalization of status 
offenders requirement;
    (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).

[[Page 456]]

    (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;
    (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 State approved juvenile detention centers 
located within the same building or on the same grounds as an adult jail 
or lockup, including a list of such facilities;
    (F) The total number of juveniles detained in State approved 
collocated facilities 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 approved by the State, including a list of such 
facilities; and
    (H) The total number of juveniles detained in collocated facilities 
not approved by the State 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 unapproved collocated 
facilities 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 unapproved collocated 
facilities for less than six hours for purposes other than 
identification, investigations, 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 unapproved collocated 
facilities in excess of six hours prior to or following a court 
appearance or for any length of time not related to a court appearance;
    (I) The total number of accused and adjudicated status offenders 
(including valid court order violators) and nonoffenders held securely 
in adult jails, lockups and unapproved collocated facilities for any 
length of time;
    (J) The total number of adult jails, lockups, and unapproved 
collocated facilities 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 unapproved collocated facilities pursuant to the 
``removal exception''

[[Page 457]]

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 unapproved collocated facilities 
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 unapproved 
collocated facilities, 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) Full compliance with section 223(a)(12)(A) is achieved when a 
State has removed 100 percent of status offenders and nonoffenders 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 (copies are 
available from the Office of General Counsel, Office of Justice 
Programs, 633 Indiana Ave. NW., Washington, DC 20531).
    (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 were in violation of section 223(a)(13); or
    (B)(1) The instances of noncompliance reported in the last submitted 
monthly report do not indicate a pattern or practice but rather 
constitute isolated instances; and
    (2)(i) Where all instances of noncompliance reported were in 
violation of or departure from State law, rule, or policy that clearly 
prohibits the incarceration of all juvenile offenders in circumstances 
that would be in violation of section 223(a)(13), existing enforcement 
mechanisms are such that the instances of noncompliance are unlikely to 
recur in the future; or
    (ii) An acceptable plan has been developed to eliminate the 
noncompliant incidents.
    (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

[[Page 458]]

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

[[Page 459]]

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 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

[[Page 460]]

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. The purpose of the statute and the regulation in 
this part is to encourage States to address, programmatically, any 
features of its justice system, and related laws and policies, that may 
account for the disproportionate detention or confinement of minority 
juveniles in secure detention facilities, secure correctional 
facilities, jails, and lockups. The disproportionate minority 
confinement core requirement neither establishes nor requires numerical 
standards or quotas in order for a State to achieve or maintain 
compliance. 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

[[Page 461]]

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 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.

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    (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.

[60 FR 28440, May 31, 1995, as amended at 61 FR 65138, Dec. 10, 1996]



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.

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    (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 provides program services 
within an identifiable unit or a combination of units of general local 
government.

                    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.



        Subpart B--Juvenile Accountability Incentive Block Grants

    Source: 64 FR 19676, Apr. 21, 1999, unless otherwise noted.



Sec. 31.500  Program purposes.

    Funds are available under the Juvenile Accountability Incentive 
Block Grants (JAIBG) in FY 1998, FY 1999, and each subsequent fiscal 
year as funds are made available, for State and local grants to support 
the following program purposes:
    (a) Program purpose no. 1: Building, expanding, renovating, or 
operating temporary or permanent juvenile correction or detention 
facilities, including the training of correctional personnel;

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    (b) Program purpose no. 2: Developing and administering 
accountability-based sanctions for juvenile offenders;
    (c) Program purpose no. 3: Hiring additional juvenile judges, 
probation officers, and court-appointed defenders, and funding pre-trial 
services for juveniles, to ensure the smooth and expeditious 
administration of the juvenile justice system;
    (d) Program purpose no. 4: Hiring additional prosecutors, so that 
more cases involving violent juvenile offenders can be prosecuted and 
backlogs reduced;
    (e) Program purpose no. 5: Providing funding to enable prosecutors 
to address drug, gang, and youth violence more effectively;
    (f) Program purpose no. 6: Providing funding for technology, 
equipment, and training to assist prosecutors in identifying and 
expediting the prosecution of violent juvenile offenders;
    (g) Program purpose no. 7: Providing funding to enable juvenile 
courts and juvenile probation offices to be more effective and efficient 
in holding juvenile offenders accountable and reducing recidivism;
    (h) Program purpose no. 8: The establishment of court-based juvenile 
justice programs that target young firearms offenders through the 
establishment of juvenile gun courts for the adjudication and 
prosecution of juvenile firearms offenders;
    (i) Program purpose no. 9: The establishment of drug court programs 
for juveniles so as to provide continuing judicial supervision over 
juvenile offenders with substance abuse problems and to provide the 
integrated administration of other sanctions and services;
    (j) Program purpose no. 10: Establishing and maintaining interagency 
information sharing programs that enable the juvenile and criminal 
justice system, schools, and social services agencies to make more 
informed decisions regarding the early identification, control, 
supervision, and treatment of juveniles who repeatedly commit serious 
delinquent or criminal acts;
    (k) Program purpose no. 11: Establishing and maintaining 
accountability-based programs that work with juvenile offenders who are 
referred by law enforcement agencies, or which are designed, in 
cooperation with law enforcement officials, to protect students and 
school personnel from drug, gang, and youth violence; and,
    (l) Program purpose no. 12: Implementing a policy of controlled 
substance testing for appropriate categories of juveniles within the 
juvenile justice system.



Sec. 31.501  Eligible applicants.

    (a) Eligible applicants. Eligible applicants in FY 1998, FY 1999, 
and each subsequent fiscal year as funds are made available, are States 
whose Governor (or other Chief Executive Officer for the eligible 
jurisdictions that are not one of the 50 States but defined as such for 
purposes of this program) certifies, consistent with guidelines 
established by the Attorney General in consultation with Congress and 
incorporated into OJJDP's Program Guidance Manual, that the State is 
actively considering (or already has in place), or will consider within 
one year from the date of such certification, legislation, policies, or 
practices which, if enacted, would qualify the State for a grant. 
Specific information regarding qualifications can be found in the JAIBG 
Program Guidance Manual.
    (b) Qualifications. Each State Chief Executive Officer must 
designate a state agency to apply for, receive, and administer JAIBG 
funds.



Sec. 31.502  Assurances and plan information.

    (a) In its application for a Juvenile Accountability Incentive Block 
Grant (JAIBG), each State must provide assurances to the Office of 
Juvenile Justice and Delinquency Prevention (OJJDP), absent a waiver as 
provided in the JAIBG Program Guidance Manual, that:
    (1) The State will subgrant at least 75% of the State's allocation 
of funds to eligible units of local government to implement authorized 
programs at the local level; and
    (2) The State, and each unit of local government applying for a 
subgrant from the State, will expend not less than 45% of any grant 
provided to such State or unit of local government, other than funds set 
aside for administration, for program purposes 3-9 in

[[Page 465]]

Sec. 31.500 (c) through (i) of this subpart, and will not spend less 
than 35% for program purposes 1, 2, and 10 in Sec. 31.500 (a), (b), and 
(j) of this subpart, unless the State certifies to OJJDP, or the unit of 
local government certifies to the State, that the interests of public 
safety and juvenile crime control would be better served by expending 
the grant award for purposes set forth in the twelve program areas in a 
different ratio. Such certification shall provide information concerning 
the availability of existing structures or initiatives within the 
intended areas of expenditure (or the availability of alternative 
funding sources for those areas), and the reasons for the State or unit 
of local government's alternative use.
    (b) Following award of JAIBG funds to a State by OJJDP, but prior to 
obligation of program funds by the State or of subgrant funds by a unit 
of local government for any authorized program purpose, a State 
administering JAIBG funds must provide to OJJDP information that 
demonstrates that the State, or a unit of local government that receives 
JAIBG funds, has established a coordinated enforcement plan for reducing 
juvenile crime, developed by a Juvenile Crime Enforcement Coalition 
(JCEC).
    (c) State coordinated enforcement plans must be developed by a 
Juvenile Crime Enforcement Coalition consisting of representatives of 
law enforcement and social service agencies involved in juvenile crime 
prevention. To assist in developing the State's coordinated enforcement 
plan, States may choose to utilize members of the State Advisory Group 
(SAG) established by the State's Chief Executive under section 223(a)(3) 
of Part B of the Juvenile Justice and Delinquency Prevention (JJDP) Act 
of 1974, as amended, codified at 42 U.S.C. 5633(a)(3), if appropriate 
membership exists, or use or establish another planning group that 
constitutes a coalition of law enforcement and social service agencies.
    (d) When establishing a local Juvenile Crime Enforcement Coalition 
(JCEC), units of local government must include, unless impracticable, 
individuals representing:
    (1) Police,
    (2) Sheriff,
    (3) Prosecutor,
    (4) State or local probation services,
    (5) Juvenile court,
    (6) Schools,
    (7) Business, and
    (8) Religious affiliated, fraternal, nonprofit, or social service 
organizations involved in crime prevention.
    (e) Units of local government may utilize members of Prevention 
Policy Boards established pursuant to section 505(b)(4) of Title V of 
the JJDP Act, codified at 42 U.S.C. 5784(b)(4), to meet the JCEC 
requirement, provided that each JCEC meets the membership requirements 
listed in paragraph (d) of this section.



Sec. 31.503  Notice of proposed use of funds.

    The mechanism for a State to report on the proposed use of funds by 
the State or by a subgrantee unit of local government is by electronic 
submission of a ``Follow Up Information Form'' to be provided to each 
participating State. The purpose of this report is for the State to 
provide assurances to OJJDP that funds expended by the State and its 
subgrantee units of local government will be used for authorized program 
purpose areas. Although no actual program descriptions will be required, 
information about the distribution of funds among the authorized program 
purpose areas must be provided. Upon receipt and review of the ``Follow 
Up Information Form'' by OJJDP, States may obligate program funds 
retained for expenditure at the State level. Similarly, the State shall 
require that each recipient unit of local government submit its proposed 
use of non-administrative funds to the State prior to drawdown of 
subgrant funds to implement local programs and projects. Upon receipt 
and review of the local unit of government's proposed fund use, the 
State shall authorize the local unit of government to obligate local 
subgrant funds. The State shall electronically submit a copy of the 
local subgrant information to OJJDP, as provided in the award package, 
within 30 days of the date that the local unit of government is 
authorized to obligate program funds under its subgrant award.

[[Page 466]]