Massachusetts Trial Court Grant Policy
Fiscal Department

MASSACHUSETTS TRIAL COURT
GRANT POLICY

PURPOSE

It is the purpose of this policy to support creativity and innovation in identifying and addressing problems that cannot be resolved with existing resources, but might be suitable areas for seeking grant funds. It is important to emphasize the need for adequate planning and quality control in all activities relating to administering grants that involve the resources and personnel of the Trial Court.

GENERAL POLICY

Projects funded in whole or in part with grant money are not independent of court operations and should not be created simply in reaction to a notice of availability of funds, whatever the source. It is the policy of the Trial Court to be proactive in its pursuit of any supplemental funding sources. Trial Court personnel should identify problems that cannot be solved with current resources, engage in broad-based planning to address those problems, and carefully consider whether grants are an appropriate resource to pursue, given their temporary nature.

For the purposes of this policy, a grant is an award of financial assistance for which the Trial Court, or a subdivision thereof, has made application to a public or private entity and is subject to requirements imposed by the awarding agency. These requirements include, but may not be limited to, implementing an agreed upon program, being accountable for the use of those funds to accomplish a court-related purpose, and providing cash or in-kind matching funds or other contribution of court resources.

The Administrative Office of the Trial Court will be the fiscal agent through which all accounts must be established and all transactions processed for all grants where a court or administrative office is the applicant and court personnel are the primary participants in the planned project. The only exception to this may be projects in which the court is one of several partners or, where the court, because of its status as a government entity, is not the most appropriate applicant for a particular funding source. Such exceptions will be considered on a case-by-case basis, however, exceptions will be granted only in instances where court personnel and resources are not the primary implementers of a project.

The existence of grant funds does not exempt court personnel or project staff from conducting project activities in accordance with Trial Court policies and procedures which govern fiscal processes, hiring of personnel, employee travel, etc. Regulations and reporting requirements of the funding agency are in addition to, not a replacement for, Trial Court policies and procedures.

The AOTC recognizes the additional effort that must go into grant projects at all stages of the process to ensure their proper implementation and ultimate success. This policy and the procedures that follow are intended to clarify and streamline that process where possible.

Court personnel are encouraged to take advantage of the expertise now available in the AOTC Planning and Development Department by contacting Grant Specialist Sandy Souza as early in the grant program planning as possible.

SPECIFIC RESPONSIBILITIES

A. The Grant Specialist is responsible for:
•serving as a facilitator in project planning and implementation
•seeking out appropriate grant funding sources
•notifying departments and appropriate individuals of specific funding opportunities
•assisting in preparing applications, meeting the funding agency's requirements and maximizing the court's potential for receiving funding
•serving as a clearinghouse for information on all grant programs
•providing training in grant writing and grant management
•ensuring that grant requirements are met by reviewing all progress reports and evaluations
•serving as a liaison to Fiscal Affairs, Legal, Human Resources and other AOTC departments
•providing guidance in following the necessary Trial Court fiscal, legal, contractual, human resources and information technology procedures for grant related expenditures
•filing applications for projects initiated by AOTC departments on time and in accordance with the funding agency's instructions
•providing a timely response for any necessary approvals

B. The initiating Court Department, Division or Office is responsible for:
•identifying problem areas that might be addressed using grant funds
•engaging in broad-based planning that will ensure that the operational personnel and cooperating agencies essential to implementing the program are involved at the earliest stages
•informing the Grant Specialist of needs and project plans
•designing projects in such a way that activities can be institutionalized in the future should they result in successful programs, since grants are usually a source of temporary funding or for primarily starting or testing new initiatives
•working with the Grant Specialist throughout the planning, application and implementation process
•developing partnerships that strengthen the project, but with careful awareness of potential conflicts
•assigning a Project Director as the primary contact person
•filing applications on time and in accordance with the funding agency's instructions
•providing a copy of the final grant application to the Grant Specialist and the Administrative Office of the appropriate department
•managing grant funds in accordance with the same policies and procedures as those required of state funds
•managing the project in accordance with regulations and deadlines of the funding agency
•providing copies of all progress reports and evaluations to the Grant Specialist when filed with the funding agency

C. The Administrative Office of each Department is responsible for:
•setting up an internal mechanism for distributing information on funding opportunities
•approving the content/direction of a grant initiative to ensure that it is in keeping with the goals of the department, especially in areas where there are no over- arching guidelines, and to verify that there are sufficient court resources (e.g. staff, space) to accomplish the project
•providing a timely response for approvals to the AOTC and to the initiating Court Department, Division or Office

D. The AOTC is responsible for:
•developing overall policies supporting specific programs or national initiatives and communicating these to all departments
•approving applications recommended or submitted by Departmental Administrative Offices, Office of the Jury Commissioner and Office of the Commissioner of Probation
•acting as the fiscal agent for all grant projects that involve court personnel except in circumstances noted in the General Policy above
•providing a timely response for any necessary approvals

PROCEDURES

To make the most effective use of the grant expertise available to Trial Court personnel, the Grant Specialist shall be notified of project planning as early in the process as possible, especially when a source of potential funding has not been identified.

A. Application Process

1. Notify the Grant Specialist of plans by completing the attached "Grant Intent Notification" and mailing, faxing or e-mailing as an attachment to: Sandy Souza, Grant Specialist, Planning and Development, AOTC, Two Center Plaza, Boston, MA 02108; Fax: 617-227-9738; souza_s2@jud.state.ma.us.

2. If a specific grant program has been identified as a potential funding source, attach description of funding agency, grant requirements, eligibility statements, deadlines, etc.

3. Obtain approval of Administrative Office of Department, as appropriate, and attach letter of approval with signature of Chief Justice.

4. Schedule planning meeting(s) as appropriate with the Grant Specialist to review drafts of application and budget.

5. Budget information for technology must be requested from and meet configuration requirements of the Trial Court's Information Technology Department.

6. Budgets for all grants must include Indirect Costs on all personnel and contractual expenses (Subsidiaries AA, CC, JJ, HH, MM) at a rate of 10%. Fringe benefits for any personnel must be included at the rate determined each fiscal year by the Commonwealth.

7. Send copy of final, signed application to the Grant Specialist. Where application is filed online, an electronic copy may be sent either on disk or by e-mail to souza_s2@jud.state.ma.us.

B. Award Process

1. Send copy of award letter, acceptance requirements and/or other notification to the Grant Specialist or, if application is not funded, send copy of any response from the funding agency regarding review results.

2. Send copy of any special conditions, regulations, contracts, report forms, revised budgets or other requirements of the funding agency to the Grant Specialist.

3. The Grant Specialist distributes copies of award information to appropriate Department, Division or Office.

4. AOTC Fiscal Affairs assigns account number and sets up account for each grant. No expenses may be incurred until an account is in place. This process will vary depending upon the source of grant funds:

a) federal funds directly from a U.S. government agency
•the Grant Specialist files "Notification of Intent to Apply for a Federal Grant" with the Massachusetts Legislature with a copy of the application initiating a 30-day review period by the Legislature before the account can be created
•grantee's budget analyst processes ASTA and AA forms to set up the account on MMARS
•grantee accesses funds via PAPRS ( Phone Activated Paperless Request System) and notifies Grant Specialist when a request for draw down of funds is made

b) federal or state funds from another state agency
•funding agency submits ISA (Intergovernmental Service Agreement) and ASTA form to AOTC for signature and assignment of allocation account number by AOTC Fiscal Affairs Dept.
•funding agency completes AC form to fund the account
•a new ISA and AC must be completed should grant activities extend into another state fiscal year

c) from a private entity
•AOTC Fiscal Affairs submits letter and grant award information to the Office of the State Comptroller to establish a trust account
•if funds are received by check, it must be payable to the Commonwealth of Massachusetts and submitted to grantee's budget analyst for processing into grant account

C. Grant Implementation

Fiscal

1. A BCR (Budgetary Control Register) and other fiscal records must be maintained at court or office site of grantee.

2. All encumbrances, purchases and payments are processed and submitted in accordance with the same Trial Court fiscal procedures as are in effect for state funds.

3. Authorized signature forms must be completed and filed for all MMARS and payroll documents for all grant related activities.

4. All grants will be subject to audits by the Trial Court Internal Audit staff and any audits which the funding agency may require.

5. Any revenue collection received in conjunction with the grant must be paid into the General Fund of the Commonwealth in accordance with Section 3 of Chapter 29A of the General Laws.

Human Resources

1. Positions for any personnel to be hired with grant funds must be posted and filled according to the Trial Court's Personnel Policies and Procedures and the Trial Court's Affirmative Action Policy.

2. Personnel must be advised that grant-funded positions are only funded for the duration of the grant funding.

Information Technology (IT)

1. All computer related equipment and software purchases must be approved by AOTC's IT Department and conform to IT Department specifications.

2. The grantee's First Justice (or other department head, as appropriate) must submit a completed "Request and Competitive Bid Form Equipment Purchase" (PDF) and a letter to the IT Department stating what equipment is being requested and its purpose and software needs, as well as the networking connections that will be required. The letter must specify the Purchase Order number to be billed, the shipping location, and the individual who should receive the invoice for payment.

3. Equipment will be ordered by the IT Department with approximately 3-4 weeks for delivery, and arrangements made for installation.

Contracts for Services

1. All contracts must follow the contract procedures outlined in the AOTC Fiscal Affairs Department Budget and Operating Procedures.

2. The Project Director must submit a description of services to be provided, any deliverables required of the vendor or contractor, any other project specific requirements, and a completed "Request and Competitive Bid Form Contractual Agreement" (PDF) to the Contract Log within Fiscal Affairs.

3. The AOTC Legal Department will review the contract as submitted or draft one, as necessary, and ensure that applicable state and/or federal requirements are included.

4. After final review by the Legal Department and verification that funds are available by Fiscal Affairs, the contract is sent to the vendor or consultant for execution and then to the grantee for the signature of the appropriate authority.

5. One original of the fully executed contract will be returned to the vendor or consultant and a copy returned to the grantee.

Reporting

1. Programmatic and fiscal reporting are the responsibility of the grantee and must be filed in accordance with the funding agency's format, content requirements and deadlines.

2. Evaluations are to be submitted by the grantee in accordance with the funding agency's requirements.

3. Copies of all reports, budget revisions and evaluations must be sent to the Grant Specialist when submitted to the funding agency.

June 2000