Rule3-411. Grant management.
To establish the policy and proceduresfor applying for grant funds.
To delineate the responsibility forthe assessment and administration of grant funds, including compliance andrenewal.
This Rule shall apply to all grants where the courts are theapplicant, sub-recipient, or pass-through recipient of public or private grantfunds. Applicability of this Rule concerning letters of support, or similarnon-financial collaborations with external partners, is specified in Section(13).
This Rule applies broadlyto encompass all agreements precedent to the potential receipt of grant fundseither directly or indirectly. Agreements include, but are not limited to,memoranda of understanding (MOU) and any agreements for which the courts arecontributing material resources or incurring risk, express or implied.
The Grant Application Proposal and approval process isalso governed by Rule 3-105 (Administration of the Judiciary). Judicial Councilreview of Grant Application Proposals is governed by and subject to Rule 2-103(Open and closed meetings) and Rule 2-104 (Recording meetings).
Statementof the Rule:
(1)(A) ?Grantor? means theorganization providing the funds or the state agency distributing the funds tothe courts.
(1)(B) ?Grant Application Proposal?(GAP) is the form maintained in the Accounting Manual used to request authorizationto pursue grant funding.
(1)(C) ?Grant Administering Unit?(GAU) is the Council, committee, court, board of judges, department, or courtemployee that intends to apply for and administer the grant or grant funds.
(1)(D) ?Grant Coordinator? is theindividual responsible for facilitating, monitoring, and executing theassessment and administration of Grant Application Proposals ensuringcompliance with this Rule and all other applicable state rules, statutes, andfederal requirements. Accounting Manual Section 11-07.00(D)(1)further delineates roles and responsibilities.
(1)(E) ?Grant Manager? is theindividual identified by the GAU or Grant Coordinator to manage the grant forthe GAU. Accounting Manual Section 11-07.00(D)(2)further delineates roles and responsibilities.
(1)(F) ?Governing Bodies? withoversight of the grant process refer to Boards of Appellate, District, Justice,and Juvenile Court Judges, the Judicial Council, the Budget and FiscalManagement Committee, the Judicial Council Management Committee, the appropriatecourt-level administrator and trial court executives, and any court committee(standing or ad hoc) vested with authority to direct the affairs of implicated courtareas and operations. Judicial Council is the ultimate approving body for thegrants process, preceded by the Budget and Fiscal Management Committee?s priorrecommendation. Additional Governing Bodies are specific to the implicated courtareas. The Grant Coordinator will confirm and may assist the GAU/Grant Managerwith identifying the appropriate Governing Bodies. Determinations concerningthe exclusive authority reserved by the Supreme Court and Judicial Council aregoverned by Rule 3-105.
(1)(G) ?Notice of Award? (NOA) is thedocument notifying the applicant that an award has been issued and that fundsare available to be accepted. This document contains the terms and conditionsof the grant.
(1)(H) ?Quorum? is defined in Rule1-101(1)(S) as ?a majority of the members of theJudicial Council, Board, committee or other body.?
(2) Purpose. The purpose of the grants policy is to facilitate theprudent pursuit of grant funds that further the courts? mission to provide anopen, fair, efficient, and independent system for the advancement of justiceunder the law.
(3) Grant Application Proposals.To apply for a grant, the person who would serve as the Grant Manager shallcomplete the steps set forth in the Accounting Manual Section 11-07.00(E)(2). The following requirements set forth in 11-07.00(E)(2) are incorporated into this Rule:
(3)(A) The Grant Coordinator, or theirdesignee, must be notified of the applicant?s intent to apply a minimum of8-weeks prior to the grant submission deadline established by the Grantor.
(4)(A) The Grant Coordinator willconduct a collaborative assessment of the incremental impacts the grant mayhave on the courts, with particular emphasis on IT Department resources. TheGrant Coordinator must consider:
(4)(A)(i) the capacity of each impacted area to support the grant atcurrent staffing levels; and
(4)(A)(ii) whetherany incremental impacts would continue when grant funds cease.
(4)(B) Following the assessment, theGAU must incorporate adjustments identified by the Grant Coordinator in theGrant Application Proposal before circulating it for approval.
(5) Approval of Grant Application Proposals
(5)(A) The GAU and Grant Coordinatorwill present Grant Application Proposals to all Governing Bodies within thecourt that may benefit from or be impacted by the grant. All Grant ApplicationProposals must be reviewed and recommended by the Budget and Fiscal ManagementCommittee (?BFMC?) prior to review and vote by the Judicial Council. GrantApplication Proposals that do not receive approval from a Governing Body willnot be advanced.
(5)(B) No Grant Application Proposalor grant shall be approved unless it is first presented for approval in aregularly scheduled meeting of the Judicial Council as provided in the annualJudicial Council Meeting Schedule and in compliance with Rule 2-103 and Rule2-104. ?Urgent? requests (GAPs with less than an 8-week period between noticeand application due date) must also comply with paragraph (5)(A) and may beconsidered only if the grant funds are non-federal, do not exceed $150,000inclusive of matching funds, and do not include the hiring of new employees.For an urgent request to be approved it must (1) secure a three-quarterssupermajority vote among a Quorum of the Judicial Council in a regular meetingas provided in the Judicial Council Annual Meeting Schedule ? ad hoc convenings will not be considered for the purpose of grantor Grant Application Proposal review, and (2) the urgency of the matter mustnot be precipitated by an ?emergency of one?s own causing.?
(5)(C) The GAU must incorporate adjustmentsidentified by a Governing Body in the Grant Application Proposal before it iscirculated for re-consideration.
(5)(D) The Grant Coordinator willprovide a synopsis of Grant Application Proposals that did not receive approvalfrom a Governing Body to the BFMC.
(5)(E) When evaluating GrantApplication Proposals, the BFMC and Judicial Council will consider thefollowing:
(5)(E)(i)Does the grant contribute to accomplishing the mission of the courts?
(5)(E)(ii) Does the grant add valuewhen compared with the burden on existing and future resources, both during thegrant project completion phase and thereafter?
(5)(E)(iii) Does the grant providemeasurable benefits to marginalized, minority, pro se, or similar under-servedindividuals or communities?
(5)(E)(iv) Doesthe grant assist the courts in solving problems and promoting innovations thatcannot be accomplished with existing resources?
(5)(E)(v) Does the grant requireactions or implementation of policy not in conformity with the mission of thecourts or in conformity with policies previously established by the JudicialCouncil, Supreme Court, or the Utah Constitution?
(5)(E)(vi) Doesthe grant expose the courts to potential long-term, unfunded financialobligations?
(5)(F) If a Grant Application Proposalor grant implicates both the Supreme Court's and the Judicial Council'sexclusive authority, the Supreme Court and the Judicial Council shall complywith Rule 3-105 before making application for the grant or accepting grantfunds.
(6) Submission and tracking of approved applications. The tracking ofapproved submissions will follow the steps set forth in the Accounting ManualSection 11-07.00(E)(5).
(7) Notice of Award and accepting grant funds
(7)(A) Upon receipt of a Notice ofAward, the Grant Coordinator will ensure the notice is consistent with theGrant Application Proposal as approved by the Judicial Council.?
(7)(B) In accordance with Utah Code,as detailed in the Accounting Manual Section 11-07.00 Exhibit A, if approved bythe Judicial Council, the Grant Coordinator will either:
(7)(B)(i) notify the Executive Appropriations Committee (EAC);
(7)(B)(ii) obtain?review and recommendation? from the EAC; or
(7)(B)(iii) obtainapproval from the Legislature.?
If approval from the Legislature isrequired, the Grant Coordinator will ensure grant funds are not accepted untilLegislative approval is obtained.
(7)(C) If not approved by the JudicialCouncil, no funds shall be accepted from the grant and the Grant Coordinatorand Grant Manager will notify the Grantor of the Judicial Council?s decisionnot to accept grant funds.?
(7)(D) If grant funds may only beaccepted with remedial steps, the Grant Coordinator and Grant Manager willcommunicate those steps in writing to the Grantor. The Grant Coordinator andGrant Manager will work with the State Court Administrator to ensureremediation has been accomplished and to determine whether the grant can beresubmitted for Judicial Council approval.
(8) Grant implementation. Grant implementation will follow the stepsset forth in the Accounting Manual Section 11-07.00(E)(7).The following requirements in 11-07.00(E)(7) areincorporated into this Rule:
(8)(A) Judicial Council. Grant funds shall only be used to hire permanentfull-time or part-time employees if approved by the Judicial Council and inaccordance with Utah Code.
(8)(B) Judicial/Quasi?Judicial duties. If impacted by the grant, thepresiding judge(s) of each district shall supervise any judicial orquasi-judicial duties required by the grant.
(9) Grant reporting requirements. Grant reporting to the Grantor willfollow the steps set forth in the Accounting Manual Section 11-07.00(E)(8). The following requirements in 11-07.00(E)(8) are incorporated into this Rule:
(9)(A) Judicial Council
(9)(A)(i)Annually, the Grant Coordinator will complete a compliance self-assessment forall grants in the courts? active portfolio and report the results to the BFMC,Audit Director, and Judicial Council.
(9)(A)(ii) Quarterly, the GrantCoordinator will prepare a summary of:
(9)(A)(ii)(1) allexisting court grants;
(9)(A)(ii)(2) apipeline of potential future grants inclusive of all grants-in-progress underparagraphs (5) and (6); and
(9)(A)(ii)(3) alist of potential grants denied under paragraph (5)(A).
(10) Changes in budget or scope
(10)(A) Any changes to a grant must bedocumented with a grant amendment, whether or not the Grantor requires suchdocumentation. Changes include, but are not limited to:
(10)(A)(i) revisions to the scope or objectives of the overall grant orany portion thereof;
(10)(A)(ii) transfersof funds between different cost categories with no overall budget impact;
(10)(A)(iii) extensionsof time to complete grant spending;
(10)(A)(iv) revisionsto the amount of funds needed; or
(10)(A)(v) changesin key personnel named in the grant.
(10)(B) Changes may not be implementeduntil Grantor approval is obtained in writing and executed between the parties.
(10)(C) The Grant Manager and GrantCoordinator will work together to prepare grant amendments.?
(10)(D) Grant amendments described inparagraph (12)(B) must be approved by the JudicialCouncil. All other amendments must be reviewed by General Counsel staff and signed by the State Court Administrator ordesignee.
(11) Closing out the grant. ?Proceduresto close out a grant will follow the steps set forth in the Accounting ManualSection 11-07.00(E)(10).
(12) Renewing the grant
(12)(A) Judicial Council approval isrequired for grant renewal, even when there are no changes to scope, purpose,employees, matching, funding amount, or other areas, or when the priorassessment and/or Legislature approvals will not need to be revised. With appropriatedocumentation and the recommendation of BFMC, the Management Committee mayreview and confirm the grant renewal for Judicial Council approval in theconsent calendar.
(12)(B) If a grant renewal involves achange that requires a new incremental assessment, or a change to the number ofpermanent full or part-time employees, or a grant amount requiring a differentapproval level than previously obtained, the Grant Coordinator will perform thesteps in paragraphs (4) and (5). If the grant qualifies, the Grant Coordinatorwill resubmit the grant to the BFMC and Judicial Council for approval.
(13) Letters of support and other non-financial collaborations
(13)(A) External partners pursuingtheir own grant opportunities (?principal applicant?) may request the supportof the courts as a stakeholder and explicit non-financial collaborator (NFC).Such collaborations are low-risk and provide documented reasonable assurancesthat no risk nor grant obligations will transfer tothe courts directly or indirectly from the principal applicant. Letters ofsupport or similar contributions to grant applications pursued by externalpartners must (1) be time-limited, (2) not entail the exchange of funds, (3) benon-binding, (4) not include the hiring of court employees, and (5) not commitor otherwise impose financial obligations on the courts.
(13)(A)(i)Agreements meeting all of the criteria in (13)(A) maybe referred to the Grant Coordinator who will perform and document a riskassessment to be delivered to the State Court Administrator. If approved by theState Court Administrator or their designee, the Grant Coordinator shall retaina copy of the approval and notify the initiating party of the decision.
(13)(B) If approval is not granted, and assuming sufficient time to comply with thisRule, the State Court Administrator may recommend the request be modified toundergo the full process for Grant Application Proposals, or, withdrawn fromall consideration.
(13)(C) All agreements approved orrejected in this process will be documented in the Grant Coordinator?s monthlyupdates to the Budget and Fiscal Management Committee and Judicial Council.
EffectiveNovember 22, 2021