Corrections Standards Authority
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Overview And Purpose Of Manual
This manual (sixth edition, effective February 2002) is to assist counties in the precontractual and contractual management of their state and/or federal funded, adult and/or juvenile detention facility, construction grant received from the Board of Corrections (Board). It contains procedures, instructions and forms to manage the grant, and describes major components of the initial grant award and the encumbrance of funds.
Also included are precontractual assurances/submittals and contracting, invoicing, reporting, record keeping, accounting, and auditing requirements. It is designed as a companion document to be used with project descriptions and timelines contained in Board-approved county proposals and in concert with provisions of county-specific grant contracts/budgets. In the event of any inconsistencies, precedence shall be given to the provisions of county-specific grant contracts/budgets and applicable law and regulation.
The general scope of work (including timetable) submitted by counties in response to the Request for Proposals (RFP) formed the basis of the Board grant award. This must be translated by counties into formal architectural drawings, detailed construction plans, and ultimate completion of the construction project within approved timelines. Counties are considered Grantees and have the performance obligation to successfully complete the proposed construction project (on time, built to code and regulations, and within budget). The Board cannot increase grant amounts after award if counties receive higher construction bids than expected. Counties are solely responsible for higher than expected costs, or any cost overruns, that may occur in meeting the approved scope of work during the construction project.
The Board assigns a designated field representative to each county (project). The Board-assigned field representative is the state contact person. To effectively manage the construction project locally, counties must delineate responsibilities and establish clear lines of communication between county construction administrators, local project managers, county financial officers, local contractors/subcontractors, and county contact persons. The Board requires that county communication (including county assurances/submittals, progress reports and fiscal invoices, project questions, etc.) with state field representatives be done by designated county officials, not county contractors or consultants.
Quick Reference of Key Submittals
The following list of key submittals to the Board highlights typical benchmarks in translating construction concepts to "bricks-and-mortar" reality and complying with grant requirements. It is not an exhaustive list, but is designed as a quick reference to assist county project managers. Events and submittals are explained more fully throughout the guide. Some events/submittals may not be applicable depending on the nature of the project. Read the entire guide and appendices, and consult with your Board-assigned field representative if you have questions.
2) Construction schedule, management plan, and names/roles of key personnel.
3) Summary of official county arrangements to pay its portion of project costs including copy of appropriation schedule and identification of the source of cash match; estimated grant and cash match expenditure schedule; and reserves for cash flow during construction.
1) Adherence to terms and conditions of the grant contract.
2) Grant funds and cash match do not supplant funds that were dedicated or appropriated for the same construction activities.
3) The county has approved the facility staffing plan and agrees to fully and safely staff and operate the facility within 90 days of project completion consistent with T-15 CCR.
Any outstanding submittals/resolutions must accompany the signed grant contract to the Board.
Federal Law and Regulation
The Violent Offender Incarceration Grant Program is the source of federal construction grants administered by the Board. It operates pursuant to federal law under the administration of the U. S. Department of Justice, Office of Justice Programs, Corrections Programs Office, in Washington, DC, and pursuant to state appropriation law (Chapter 282, Statutes of 1997; Chapter 324, Statutes of 1998; Chapter 50, Statutes of 1999; Chapter 52, Statutes of 2000; and Chapter 106, Statutes of 2001). Formula grants are available to all states for designated prison, jail, or detention facility construction activities related to the state and local confinement of adult and juvenile offenders. Under current federal law, up to 15 percent (15%) of a state's formula grant may be made available to units of local government, and additional funds beyond 15 percent (15%) may be made available to units of local government for juvenile facility construction if the state declares that "exigent circumstances" exist.
Federal guidelines identify three different sets of rules for use of federal funds under this program for: 1) state facility construction; 2) local facility construction with up to 15 percent (15%) funds; and 3) local juvenile facility construction with exigent circumstances funds.
Funds for state facility construction must be used to increase capacity to confine adult or juvenile violent offenders. Fifteen percent (15%) funds to units of local government may be used for less restrictive purposes to construct, develop, expand, modify, or improve jails and does not require an increase in capacity. Exigent circumstances funds to units of local government are more restrictive than 15 percent (15%) funds and are limited to juvenile facilities only; they must be used to increase capacity to confine juvenile nonviolent offenders (pre-adjudicated or adjudicated) or pre-adjudicated juvenile detainees of any type, nonviolent or violent charges. Exigent circumstances funds cannot be used at the local level for confinement of adjudicated juvenile violent offenders pursuant to federal requirements.
State Law and Regulation
The state General Fund is the source of state construction grants administered by the Board for disbursement to units of local government for juvenile facility construction. Funds can be used for a wide variety of projects including construction, reconstruction, deferred maintenance, and renovation of juvenile facilities. Grants can be used to build new facilities or improve the functional use or extend the functional life of existing facilities (Section 749.3 et seq, Welfare and Institutions Code).
Allowable Projects
Allowable projects and use of funds described in this guide reflect an amalgamation of federal law and guidelines, state appropriation law requirements, and Board policy direction on the use of funds. All construction funded under this program must enable facilities to maintain compliance with minimum facility operational standards as contained in Title 15, CCR; fire safety standards as contained in Title 19, CCR; and construction standards (including fire safety standards) as contained in Title 24, CCR.
Board of Corrections
The Board is a state-level agency in the executive branch of government, operating under the Youth and Adult Correctional Agency (YACA). The Board is composed of 15 members and staff. Pursuant to Penal Code Section 6025, twelve members are appointed by the Governor and three members are permanent (Secretary of YACA as Chair; Director of the state Department of Corrections and Director of the state Youth Authority). The Board sets all regulation and policy direction and makes all grant awards. Scheduled Board meetings are held at various locations in the state and interested parties are encouraged to attend.
Originally established more than 50 years ago as part of the reorganization of the state prison system, the Board's focus is on three main divisional areas which primarily impact units of local government: 1) the Facility Standards and Operations (FSO) Division sets minimum standards for the operation and construction of local adult and juvenile detention facilities, conducts biennial inspections and reports on compliance; 2) the Standards and Training for Corrections (STC) Division sets minimum standards for selection and training of corrections officers, probation officers, and juvenile counselors working in local jails, probation departments, and juvenile halls and camps, and administers a decentralized, statewide training delivery system; and 3) the Corrections Planning and Programs (CPP) Division conducts research, administers various state and federal grant programs pursuant to applicable law, regulation, and policy direction.
CPP and FSO Division staff are assigned to provide project monitoring and technical assistance activities for this grant program. The CPP staff is responsible for fiscal, grant contract and administrative assistance, and project monitoring. The FSO staff, including a state Fire Marshal located at the Board, is responsible for conducting architectural and technical plan reviews to ensure that projects are in compliance with Titles 15, 19, and 24, CCR (operational, fire, and construction standards).
The Board has extensive experience in facility construction activities. During the past 22 years, the Board has managed state- and federal-funded county construction contracts in 57 of California's 58 counties, totaling nearly $2 billion in state bond funds and state and federal grant funds dedicated to units of local government.
Grant Award and Encumbrance of Funds
All grant awards are made by the Board at regularly scheduled public meetings. Upon the date of a grant award, funds are encumbered by the state for future disbursement to counties. Grant funds, cash (hard) match, and in-kind (soft) match can only be used for approved expenditures identified in the state grant contract. Disbursement can only be made after counties (also known as Grantees) meet all precontractual requirements identified in the next section of this manual and are formally under state grant contract with the Board. All grant funds are disbursed on a quarterly reimbursement basis upon Grantee submittal of a Quarterly Fiscal Invoice and Progress/Final Report (Appendix A). At the end of the project, any unexpended grant funds revert to the Board for reallocation or return to the state or federal government.