FY15 COURT IMPROVEMENT FUNDING AGREEMENT.PDF

Arizona Supreme Court
Administrative Office of the Courts
Court Improvement Program
FUNDING AGREEMENT
Maricopa County
Fiscal Year 2015
This Agreement is entered into by and between the Arizona Supreme Court, Administrative
Office of the Courts, ("AOC"), and the Maricopa County Superior Court ("Grantee").
1. TERM AND PROGRAM REQUIREMENTS
This Agreement becomes effective upon execution by the parties, and shall remain in
effect through June 30, 2015.
a. Dependency Process Requirements
The purpose of this agreement is to provide funding to the Grantee to implement the
Court Improvement (CI) requirements listed below.
1) Preliminary Protective Hearings in every case where the child is removed from the
home and a dependency petition is filed shall be held within five (5) to seven (7)
business days of removal.
2) Pre-Hearing Conference shall be conducted immediately preceding the in-court
Preliminary Protective Hearing.
3) A Settlement Conference or Mediation shall be held prior to an Adjudication
Hearing in a dependency matter, if a parent does not admit or submit to the
dependency petition.
4) An Adjudication Hearing shall be held within ninety (90) days of service of a
dependency petition.
5) A Disposition Hearing shall be held at the same time or no later than thirty (30)
days after the Adjudication Hearing.
6) A Review Hearing shall be held within six (6) months of the initial Disposition
Hearing.
7) A Permanency Hearing shall be held:
a) within thirty (30) days of disposition, if Court orders that reunification
services are not to be offered;
b) within six (6) months of removal for a child less than three (3) years of
age;
c) within one year of removal, if reunification services are not discontinued
by court order.
8) The Court shall make specific and factual findings as to the extraordinary
circumstances which brought about the continuance of any dependency hearing.
9) If the Court determines that termination of parental rights or guardianship is in the
best interest of the child, the Court shall order the department or the child's
attorney or guardian ad litem to file within ten (10) days of the Permanency
Hearing a motion alleging grounds for termination or guardianship. The Initial
Termination or Initial Guardianship Hearing shall be held within thirty (30) days
Court Improvement Funding Agreement — Page 1

of the Permanency hearing.
b. Primary Budget Considerations
In order to accomplish the time lines and procedures outlined in the Dependency Process
Requirements, there are certain personnel and operational considerations that are
fundamental and must be a priority for your budget expenditures. Grantee must ensure
that there is/are:
1) Sufficient judicial hearing officers to hear all dependency proceedings.
2) An individual(s) responsible for facilitating Pre-Hearing Conferences.
3) An individual(s) responsible for handling mediations.
4) A Court Improvement (multi-disciplinary) team which meets regularly to ensure
efficiency in the dependency process.
5) Juvenile court dependency data tracking system that is accessible to court
personnel involved in dependency cases.
6) An individual(s) identified in your county to collect and input dependency case
data into the juvenile court dependency data tracking system. Key individuals
involved in the data collection process should participate in regularly scheduled
Users Group meetings sponsored by the AOC.
7) Collaboration with the County Clerk's Office to ensure that the County Clerk's
Office is adequately staffed and equipped to manage its responsibilities in the
dependency process.
c. Dependency Data Tracking System Requirements
1) The Grantee shall provide all equipment, hardware and software necessary to
enable access for all court personnel responsible for entering dependency data into
the juvenile court dependency data tracking system. The Grantee shall establish a
security matrix for use of the juvenile court dependency data tracking system.
2) The Grantee agrees to: (a) utilize the juvenile court dependency data tracking
system including, but not limited to, the input of data in a timely and accurate
manner and the providing of reports as requested by the AOC; and (b) participate
in any applicable outcome studies.
3) Dependency data entry for each month must be entered into the juvenile court
dependency data tracking system by the fifteenth (15 th) day of the following
4) month. Dependency Exception Reports will be run by the eighteenth (18th) day of the
following month. The exceptions shall be corrected by the end of the same
month. If exceptions cannot be corrected, the Grantee will contact the AOC for
resolution.
2. MODIFICATION AND TERMINATION
This Agreement may be modified or terminated by the AOC if in its judgment such action
is necessary due to: (a) lack of funding; (b) statutory or administrative changes in the program;
(c) Grantee's failure to implement or operate this Funding Agreement; (d) Grantee's non-
compliance with this Agreement or other program requirements, (e) Grantee's failure to expend
funds in accordance with Addendum A or (f) other circumstances necessitating such action.
Either party may terminate this Agreement upon a thirty (30) day written notice to the other party
by certified mail.
Court Improvement Funding Agreement — Page 2

3. FUND ACCOUNTING
Funds distributed to Grantee shall be deposited in a special revenue account established
for the execution of this Agreement. Any interest earned on these monies while in the possession
of Grantee shall accrue to the fund for use by Grantee in accordance with this Funding
Agreement. Funds disbursed to Grantee for reimbursement of approved expenses do not have to
be deposited into a special revenue account.
4. EXPENDITURES
a. Distribution of Funds. The AOC may retain all or any portion of the funds allocated
to Grantee for the performance of this Funding Agreement and may authorize direct expenditures
for the benefit of Grantee. The specific amounts to be retained by the AOC for direct
expenditures for the benefit of Grantee and to be disbursed to the Grantee are set forth in the
Addendum A to this Agreement. The AOC may periodically modify the distribution of funds
contained in the Addendum A based on its determination of Grantee's need for and usage of the
funds.
b. Reporting Requirements. Grantee shall submit a Semi Annual Progress Report and
Financial Statement to the AOC on or before January 31, 2015. Grantee shall also submit a
Closing Report and Financial Statement to the AOC on or before August 31, 2015. An inventory
of all equipment purchased with CI funds, including serial numbers, location and intended use,
shall accompany the Closing Report and Financial Statement. Report forms will be provided by
the AOC.
c. Unexpended Funds. Funds unencumbered as of June 30, 2015 and unexpended as of
July 31, 2015, plus all unexpended interest accrued on such funds while in the possession of
Grantee, shall be submitted with the Closing Report and Financial Statement to the AOC for
reversion no later than August 31, 2015.
d. Inappropriate Expenditures. Grantee shall expend funds only for the purposes and
uses specified in the Funding Agreement and Addendum A. Grantee agrees to reimburse the
AOC for any unauthorized or inappropriate expenditures which are not in compliance with the
Addendum A and this Agreement. Funds shall not be used to pay county or city administrative
costs for services associated with receipt of those funds including, but not limited to, the cost of:
accounting, payroll, data processing, purchasing, personnel, and building use. All equipment
purchased solely with AOC funds shall be used solely for purposes outlined in the Funding
Agreement unless written permission is received from the AOC.
e. Budget Modifications. The Court shall not shift funds from, to, or within budgeted
categories described in Addendum A without prior written authorization from the AOC. All
budget modifications shall be in accordance with the AOC Budget Modification Policy. Budget
modification forms may be acquired from the AOC.
f. Termination of Funding. In the event that this Agreement is terminated prior to June
30, 2015, all unexpended funds in the possession of Grantee shall be returned to the AOC within
30 days of such termination, along with, but not limited to: (1) a closing financial statement; (2)
a final report outlining the program achievements; and (3) an inventory, including serial
numbers, location and intended use, of all equipment purchased with grant funds. If termination
is due to failure of Grantee to comply with this Funding Agreement, the AOC may require return
of equipment and supplies purchased with grant funds.
Court Improvement Funding Agreement — Page 3

5. BOOKS AND RECORDS
a. Financial Records and Examination. Grantee shall maintain and shall require its
subcontractors to maintain acceptable accounting systems, records, and documents to properly
reflect all funds expended in the performance of this Funding Agreement. All books, records and
other documents relevant to this Agreement shall be retained by Grantee and its subcontractors
for a period of five (5) years after the final payment has been made, or until after the resolution of
any audit questions or contract disputes, whichever is longer. AOC, state, or federal auditors, as
applicable, and any other persons duly authorized by the AOC shall have full access to, and the
right to examine, audit, copy and make use of any and all said materials. All subcontracts shall
include a provision acknowledging the authority of the AOC to conduct such audits or
examinations.
b. Program Records and Evaluation. The AOC monitors and evaluates the
implementation of Arizona Revised Statutes, Title 8, Chapter 10, Articles 2, 3 and 4, known as
Court Improvement to determine its effectiveness. As a condition of receipt of grant funds,
Grantee and any subcontractor agree to maintain and provide to the AOC such data and statistics
as may be required for purposes of evaluation. Grantee further agrees that authorized agents of
the AOC shall have the right to conduct on-site visits for purposes of compliance monitoring and
program evaluation. All subcontracts shall include a provision acknowledging the authority of
the AOC to conduct such inspections and evaluations.
6. INVENTORY
Equipment purchased with funds received pursuant to this Agreement shall become the
property of Grantee, and Grantee shall maintain written inventory and property control policies
and procedures covering the equipment. Grantee may use its existing inventory system, but must
at a minimum maintain the information required by AOC policies and procedures.
7. USE, LOSS AND DISPOSITION OF EQUIPMENT
Equipment must be used as required by this Funding Agreement for three (3) years,
unless written permission is given by the AOC. After this time, purchased equipment may be
transferred upon approval of the presiding juvenile judge. Grantee is responsible for any
maintenance, loss or damage to the equipment and the AOC makes no assurances regarding its
repair or replacement. Purchased equipment which is no longer needed or usable shall be placed
in surplus as required by this Agreement. If no such requirements are included in the Agreement,
then local surplus property procedures may be utilized. Leased equipment will follow the
guidelines of the lease.
8. SANCTIONS
In addition to any other remedy available pursuant to this Agreement, Grantee may be
placed on financial sanction status for deficiencies including but not limited to, delinquent
submissions, delinquent reports, inaccurate reporting of statistics, inaccurate reporting of
dependency statistics, untimely and consistently inaccurate input of data into the dependency data
tracking system, untimely and consistently inaccurate correction of identified issues on the
quality assurance reports, inadequate records, expenditures outside of the approved budget and
non-compliance with this Funding Agreement for this or any other grant. During the period of
sanction status, the AOC may take any appropriate action including:
a. Written warning with request for immediate compliance.
b. Withholding all or any portion of future program fund or equipment disbursements.
c. Withholding all disbursements from all program funds.
Court Improvement Funding Agreement — Page 4

d. Requiring monthly submission of expenses prior to disbursement.
e. Requiring monthly submission of expenses for reimbursement of actual costs incurred.
f. Recovery of funds or equipment already disbursed.
To receive reimbursement while in sanction status, Grantee shall submit a monthly request to the
AOC detailing expenses in funding categories as delineated on Addendum A. State funds shall
not be used for any adverse financial costs or interest charged or incurred due to Grantee's
financial sanction status.
9. ASSIGNMENT OF INTELLECTUAL PROPERTY RIGHTS
Any reports or information developed during the course of implementing the
requirements of this agreement will be the joint property/ownership of the Grantee and the AOC.
The Grantee and the AOC shall have full and complete rights to reproduce, duplicate, disclose,
perform and otherwise use all information prepared under this Agreement.
10. PERFORMANCE LIABILITY
Except as otherwise provided by law, in the performance of this Agreement and Grantee's
Funding Agreement both parties hereto are acting in their individual governmental capacities and
not as agents, employees, partners, joint ventures, or associates of each other. The employees,
agents, or subcontractors of one party shall not be deemed or construed to be the employees or
agents of the other party. Each party is solely responsible for the actions of its employees under
this Agreement.
Maricopa County Superior Court Arizona Supreme Court, Administrative
Office of the Courts
By: By J1/(04
riorable Judge Colleen 1V1Wa11y Mike Baumstark, Deputy Director
Presiding Juvenile Judge Administrative Office of the Courts
Date: 6 30 Date: cGliq
Court Improvement Funding Agreement — Page 5