Last revised (Transmittal 07-006) April 2, 2013

Last revised (minor technical changes) January 9, 2020

Guide to Judiciary Policy, Volume 7A, Appendix 4A (Community Defender 

Organization: Grant and Conditions)

JUDICIAL CONFERENCE

OF THE UNITED STATES OF AMERICA

AND

COMMUNITY DEFENDER ORGANIZATION

FOR THE ___________ DISTRICT OF ___________ 

FISCAL YEAR 2020 

GRANT AND CONDITIONS 

 The Community Defender Organization (CDO), _______________________________ 

(hereinafter Grantee), operating as a non-profit corporation, has been authorized by the Criminal 

Justice Act Plan of the __________ District of ___________________ to provide representation

and related defense services to eligible persons pursuant to paragraph (g)(2)(B) of the Criminal 

Justice Act, as amended, 18 U.S.C. § 3006A (hereinafter CJA); and 

 

Grantee has submitted the appropriate documentation to the Judicial Conference of the 

United States (hereinafter Conference) via the Administrative Office of the United States Courts 

(AOUSC) (hereinafter Grantor); and

 Grantor provides a grant to grantee, subject to the availability of appropriated funds for 

fiscal year (FY) 2020, commencing on October 1, 2019, and terminating on September 30, 2020. 

The FY 2020 budget will be emailed to the Executive Director and Administrative Officer by 

Grantor on October 1, 2019. In the event that Congress fails to enact an annual appropriations 

act covering expenditures for the judiciary by that date, Grantor will provide Grantee a specific 

amount to continue operations until enactment of the judiciary’s annual appropriations act. 

Grantor will amend this amount in writing as necessary to continue Grantee operations within the 

approved 2020 budget until sufficient budgetary resources are enacted and made available to 

Grantor to provide the amount provided in the final budget. 

 

Pursuant to its authority under subsections (g)(2)(B) and (h) of the CJA, and in 

consideration of this grant, the Conference requires that each expenditure of funds from this

grant comply with the terms and conditions contained in this agreement. Grantor may grant 

exceptions or waivers to any provision in this agreement, as appropriate and consistent with the 

CJA and other federal laws. 

Grantee, by signature of its authorized representative, at the end hereof, signifies its 

acceptance of the terms and conditions set forth below, as well as its agreement to comply with 

the provisions of the CJA, the Guidelines for the Administration of the Criminal Justice Act and 

Related Statutes (CJA Guidelines), Volume 7, Guide to Judiciary Policy, any other relevant 

policies or directives issued by the Conference or by its appropriate committees (e.g., the 
Community Defender Organization: Grant and Conditions Page 2 

Conference’s Defender Services Committee (DSC)), and the CJA plans of the judicial district(s)

and circuit in which Grantee will operate.

 Any question with respect to the interpretation of terms, conditions, or provisions of this 

grant will be resolved by Grantor. 

 A signed copy of this agreement shall be returned to Grantor together with a list of the 

names, addresses, email addresses, and telephone numbers of all current board members.

l. USE OF GRANT FUNDS: Once awarded to Grantee, grant funds will be distributed 

generally pursuant to a schedule promulgated by Grantor. Grant funds are only available for 

expenditures and obligations incurred during FY 2019, and, except as provided in Clause 4, only 

in accordance with and in such amounts as are provided in designated budget categories as 

authorized by the Conference. Grantee will use such funds solely for the purpose of providing 

representation and other appropriate services in accordance with the CJA, the CJA Guidelines, 

and the CJA plans of the appropriate district and circuit courts.

 

2. BANK ACCOUNTS FOR GRANT FUNDS: Grantee will maintain grant funds in 

federally insured interest or credit bearing accounts in accordance with provisions of 31 CFR 202

and will ensure that amounts in excess of federal insurance limits are collateralized before 

depositing the funds. Grant funds, grant-related income, and any non-grant funds will be 

maintained separately and will not be commingled with one another. Credits or interest earned 

on the grant funds account may be used to offset account maintenance fees. Any excess interest 

on grant funds must be returned to Grantor within 60 days of the grant’s expiration. Grantee 

shall submit to Grantor via AOUSC, Finance and Accounting Division, ATTN: Mail Stop FAD 

CR, the actual or estimated amount of grant-related interest. The amount of excess interest 

returned as an estimate will be adjusted, if necessary, following completion of the annual grantor 

audit specified in clause 8.

3. GRANT-RELATED INCOME: Grant-related income means any gross income earned by 

Grantee that is directly generated by a supported activity or earned as a result of the award. 

Grant-related income includes, but is not limited to, income from recovery of fees for services 

performed, the sale of commodities or items fabricated under the award, or interest earned on 

grant-related income. Interest earned on advances of grant funds from Grantor is not grantrelated income and is addressed in clause 2. 

Grant-related income shall be retained by Grantee and shall be used in accordance with 

the CJA and the terms and conditions of this agreement. Grant-related income shall not be 

commingled with any grant or non-grant funds maintained by Grantee. Grantee shall report the 

amount of grant-related income retained by Grantee on or about July 1, each year. 

4. REALLOCATING FUNDS: Subject to such limitations as the DSC may establish, Grantee

may reallocate grant funds between budget categories (i.e., for purposes not specifically 

identified in the funding justification), provided that the aggregate of the amounts transferred 

within the fiscal year does not exceed 15 percent of the organization's total fiscal year grant 
Community Defender Organization: Grant and Conditions Page 3

amount approved by the DSC. Grantor may authorize reallocation between budget categories in 

any amount.

5. ACCOUNTING OF UNOBLIGATED BALANCES: Grantee shall perform a review of 

obligations of grant funds, at the close of the fiscal year, and will make records of this review 

available during the annual audit pursuant to clause 8. Within 60 days of the end of the fiscal 

year, Grantee shall submit to Grantor the actual or estimated amount of all unobligated grant 

funds awarded under this document, excluding any grant-related income, remaining at the end of 

the fiscal year, unless otherwise authorized by Grantor. The grant amount reflected in clause 3

of this agreement will be reduced by the final, prior-year unobligated balance set forth by the

final audit report required under clause 8. Grantee shall include a statement identifying which 

portion of the unobligated balance represents grant funds and excess grant interest pursuant to 

clause 2.

6. ANNUAL REPORTS: In compliance with subsection (g)(2)(B) of the CJA, Grantee must 

submit an Annual Report of Operations setting forth its activities and financial position each

fiscal year. Instructions for completing and submitting the Annual Report of Operations will be 

provided to Grantee by Grantor at least thirty (30) days prior to the submission date.

Other reports must be submitted to Grantor each month, including, but not limited to, the 

electronic status of funds report (ESFR), the monthly staffing and workload report (MWSR), the 

monthly caseload report (JS-50), the Timekeeper report, the dData disposition report, and the 

salary report.

7. GRANT RECORDS AND REPORTS: Grantee shall keep financial records in accordance

with the federal fiscal year unless a waiver is granted by Grantor. Such records shall be 

maintained and submitted in such manner and form as required by Grantor. Such records shall

disclose the amount of grant funds, grant interest, and grant-related income received during the 

fiscal year, as well as the amount of grant funds expended or obligated by budget category and 

the total amount of grant funds expended during the fiscal year.

The record-keeping procedures utilized by Grantee shall provide for the accurate and 

timely recordation and determination of all income and funds received, all expenditures and 

obligations, and the balance of unexpended and unobligated grant funds, grant interest, and 

grant-related income. In addition, Grantee shall maintain the records in such a manner as to 

permit the determination of the propriety of all expenditures and obligations of grant funds and 

the charges to specific budget categories.

Grantee shall maintain records concerning expenditures and obligations of all funds 

subject to audit (as specified in clause 8) in such a manner as to allow the auditor access to said 

records without compromising client files and other attorney-client privileged material. Grantee

is obligated to maintain the confidentiality of information protected by the attorney-client 

privilege or any ethical, constitutional, statutory, or other mandate.
Community Defender Organization: Grant and Conditions Page 4

Grantor may inspect and audit the financial records, bank statements, and other records 

related to the expenditure of grant funds, at any reasonable time upon request. If, because of 

inadequate records, documentation, or explanation, the propriety of an expenditure cannot 

readily be determined, questionable costs and expenditures may be disallowed.

Grantee shall maintain and submit such statistical records and reports as may be required 

by Grantor. Grantee must keep financial and statistical records and reports for a period of at 

least seven years after the expiration of the fiscal year for which the grant was awarded unless 

otherwise authorized by Grantor. If audit issues remain unresolved, records must be retained 

until all such issues have been resolved.

8. AUDITS: Within 120 days of the end of the fiscal year, an auditor (hereafter, “Auditor”) 

contracted and paid for by Grantor will perform an audit of Grantee's financial activities 

occurring during the grant period. Such audit will express an opinion on whether Grantee’s 

financial statements, and notes to the financial statements, present fairly the financial position of 

Grantee. The financial statements shall include a statement of assets, liabilities and net assets; a 

statement of revenue, expenses, and other changes in net assets; and a statement of cash flows.

Grantee shall compile and prepare the required statements and reports and make all 

statements, reports, financial records/books and supporting documents available to the Auditor 

(as specified in clause 7). Incidents of identified fraud, waste or abuse must be disclosed to 

Grantor and reports of those incidents will be made available to the Auditor.

The Auditor will perform the audit in accordance with the Government Auditing 

Standards promulgated by the U.S. Government Accountability Office. In accordance with those 

standards, the Auditor also will report on Grantee’s internal controls over its financial activities 

and Grantee’s compliance with the terms and conditions of the grant and other rules and 

regulations pertinent to the grant. Audits performed by independent certified public accounting 

firms under contract with Grantor are performed in accordance with the American Institute of 

Certified Public Accountants Code of Conduct and integrity and confidentiality standards. Audit 

reports issued by Grantor or its contract audit CPA firms, are intended solely for the information 

and use by Grantor and Grantee, unless otherwise specified by those parties.

Grantee may contract with local accountants for any accounting and financial services 

necessary for the operation of its office, including, but not limited to, the preparation of all 

required federal and state tax returns; payroll, disbursing, and record-keeping services; and any 

additional annual reports required by the board of directors that do not duplicate the audit

conducted under this section. Notwithstanding the foregoing, Grantee may use grant funds to 

contract with an expert for the purpose of responding to a finding of the Auditor in the annual 

audit when authorized in advance to do so by Grantor.

9. GRANTEE STATUS: Neither Grantee nor any of its employees are officers, employees, or 

agents of the United States. The United States shall in no way be obligated under leases, 

contracts, or other agreements entered into by Grantee.
Community Defender Organization: Grant and Conditions Page 5 

10. PROPERTY AND SERVICES: Title to all property, including, but not limited to, real 

property, equipment, and supplies purchased with grant funds or grant-related income shall vest 

in Grantee subject to the condition that Grantee shall use the property for the purposes authorized 

by the CJA and the terms and conditions of this agreement. Grantee may not encumber any title 

to property without the approval of Grantor. Grantee shall maintain insurance, in reasonable 

amounts, to cover the costs of replacing or repairing property acquired with grant funds due to 

damage, loss or theft.

For equipment and real property interests, when property is no longer needed, Grantee

shall request disposition instructions from Grantor except under the following conditions: 

Grantee may sell, assign, transfer, dispose of, or encumber any property of the United 

States, having an acquisition cost of less than $1,000, without the prior approval of Grantor. 

Grantee shall maintain an inventory of all property reflecting the date and cost of 

purchase of such property; the date of receipt by transfer, if applicable; and the date and manner 

of disposition of excess or surplus property. This inventory shall be available to Grantor upon 

request.

Grantee shall (1) provide Grantor with at least 15 working days advance notification of 

its intention to enter into or renew a lease for office space and (2) obtain Grantor approval prior 

to initiating lease negotiations. Advance notification shall include the total number of square 

feet, cost per square foot, the duration of the lease, and certification that at least two other 

competitive proposals were considered. 

All procurement transactions, whether negotiated or competitively bid and without regard 

to dollar value, of all property and all services (other than services under subsection (e) of the 

CJA) shall be conducted in a manner promoting maximum open competition. Grantee must 

maintain and adhere to policies promoting full and open competition in all acquisitions made 

with grant funds. No employer, officer, or agent shall participate in the selection, award, or 

administration of a contract supported by federal funds if a real or apparent conflict of interest 

would be involved. Grantee is the responsible procuring authority. By offering this grant, 

Grantor does not become a responsible party to any contract, lease, or licensing agreement

entered into by Grantee; therefore, any party entering into a contract, lease, or licensing 

agreement with Grantee does so without recourse to Grantor regarding settlement and 

satisfaction of contractual and administrative issues arising out of procurements entered into in 

support of an award or other agreement. 

 Unless otherwise authorized by Grantor, no equipment, furniture, furnishings, or other 

property, and no services (except for services as contemplated under subsection (e) of the CJA, 

leasing of office space, and procurement of liability insurance) shall be obtained with such funds 

at a total cost of more than $100,000 without advance approval of Grantor. In addition, 

hardware and software purchases must be made consistent with the specifications listed on the 

National Hardware and Software Lists and the national defender information technology 

architecture and infrastructure guidelines. 
Community Defender Organization: Grant and Conditions Page 6 

11. DISSOLUTION OF GRANTEE ORGANIZATION OR TERMINATION OF GRANT 

FUNDS: Grantee may dissolve on its own accord in accordance with the laws of the state in 

which it is organized. Grantee shall provide Grantor, chief judge of the district court, and chief 

judge of the court of appeals 90 days advance notice of its intent to dissolve. Additionally, the 

Conference in its discretion may determine to terminate or not renew the grant. The Conference, 

or its authorized representative, shall give written notice to Grantee of an intent to terminate the 

grant at least 60 days prior to taking action. Such notice shall indicate the intended action and 

the reason therefor and shall give Grantee the opportunity to respond in writing and to be heard 

within 30 days of that notice. In either event, unless otherwise authorized by Grantor, Grantee

shall properly inventory and make available for reclamation, all property in the care and custody 

of Grantee purchased with grant funds or related income. Within 75 days of dissolution, the 

Auditor, selected by Grantor, will perform a final financial audit of the grant. The audit will be 

of the same scope as discussed in clause 8. Upon receipt of the report of this audit, Grantee shall

remit to the AOUSC, Finance and Accounting Division, ATTN: Mail Stop FAD-CR, all 

remaining unobligated or unexpended grant funds, grant interest, and grant-related income. The 

United States shall not be responsible for any obligations or debts incurred by Grantee and 

Grantee shall hold the United States harmless for such obligations or debts. 

12. MULTI-SERVICE DEFENDER ORGANIZATIONS: Consistent with clause 2 of this 

agreement, if Grantee is part of a larger defender organization which is not exclusively providing 

services under the CJA, grant funds received from the Conference pursuant to the CJA, grant 

interest, and grant related income may not be commingled with those of the general organization. 

Also, expenses, inventory, payroll, and other records pertaining to CJA funds and operations of 

Grantee must be maintained separately by Grantee unless otherwise approved by Grantor. 

13. TRAVEL, MEALS, AND LODGING: Grantee’s reimbursement policies regarding 

expenses for official travel, meals, and lodging shall be in writing. Grantee shall furnish Grantor 

a current copy of the written policies and all changes thereto. Unless approved by Grantor, 

Grantee’s reimbursement policies for official travel, lodging, and meals shall not exceed the 

maximum allowances to be paid for per diem, actual expenses, and travel prescribed for federal 

judiciary employees. Grantee shall maintain records of travel and reimbursement in a form 

acceptable to Grantor. 

 Grantee must follow the policies and procedures outlined in the archived Federal 

Defenders Operations Manual, Chapter 8, available at https://dweb.fd.org/DSO/OperationsManual (and attached), specifically applicable to CDOs, regarding travel inside and outside the 

district(s) served by Grantee.

14. PERSONNEL: Personnel policies and other terms and conditions of employment shall be 

in writing. Grantor shall be furnished a current copy of such policies, and subsequently, any 

changes to those policies. Grantee shall maintain leave records in a form acceptable to Grantor. 

Grantee shall follow the policies and procedures contained in the Defender Organization 

Classification System (DOCS). No personnel vacancy shall be filled without prior notice to
Community Defender Organization: Grant and Conditions Page 7 

Grantor. Such notice shall include all relevant data concerning the employee candidate, 

including his or her name, position, starting salary (including grade and step for graded 

employees or AD level for assistant defenders), education, experience and compensation history, 

and any annual leave credit for prior experience. Information regarding attorneys must indicate 

the month and year they received their law degree, the month and year they first became a 

member of a bar, and their prior relevant work experience.

Grantee shall conform employee benefit policies on leave, holidays, hours worked, and 

payment of bar dues to those applicable to federal public defender organizations, unless a request 

for a variance is submitted to and approved by the DSC. Grantee shall provide Grantor with 

notice at least 90 business days in advance of any proposed changes to the above referenced 

policies or any other policies that may impact the organization’s current or future costs. 

Grantee’s expenditures for employee benefits shall not exceed 36.53 percent of its expenditures 

of salaries for the fiscal year.1

 If, at any point during the fiscal year, it appears Grantee’s 

expenditures for employee benefits will exceed the percentage authorized Grantee, Grantee shall

submit a written justification to the DSC’s Budget Subcommittee requesting approval to exceed 

the authorized benefit-to-salary ratio. 

15. INVESTIGATIVE, EXPERT, OR OTHER SERVICES: Pursuant to subsection (e) of 

the CJA, and to the extent that they are necessary for adequate representation of a person who is 

financially eligible under the CJA, Grantee may engage and compensate investigators, experts, 

or others from grant funds made available for that purpose. 

16. BUSINESS, ENTERTAINMENT, OR PERSONAL EXPENSES: Grantee may not 

expend grant funds for business or personal entertainment; professional or association dues, 

memberships, or fees; or items of property or services of a personal nature. 

17. TRAINING: Funds for training of employees are provided in the “other services” budget 

category of the grant. Grantees shall submit annual reports of training activities including travel 

and other expenses associated therewith. 

18. EMPLOYMENT: Grantee shall not discriminate against any employee, or applicant for 

employment, on the basis of race, color, national origin, religion, sex, age,2 or disability. 

Grantee shall not hire, promote, or advance within the organization any individual who is a 

relative3 of: (1) the federal defender, (2) any superior of the federal defender, or (3) any member 

of the board of directors. No employee of Grantee shall hire, promote, advance, or advocate the 

hiring, promotion, or advancement of his or her relative by Grantee. 

1 The limit on benefits is calculated by adding three percentage points to the national average federal public defender 

organization benefit-to-salary ratio, based on the most recently completed fiscal year.

2 Judicial Conference policy with respect to age discrimination is that the complainant must have been at least 40 

years of age at the time of the alleged discrimination.

3 For purposes of this clause, the term “relative” is defined in 5 U.S.C. § 3110(a)(3). 
Community Defender Organization: Grant and Conditions Page 8 

Grantee agrees to place in effect a program for providing equal employment to all 

persons regardless of their race, color, national origin, religion, sex, age, or disability. This 

program shall encompass all facets of personnel management including recruitment, hiring, 

promotion, and advancement. The program shall also provide for a system, whereby all 

applicants for employment, and all employees, may seek timely redress of discrimination 

complaints. A copy of Grantee’s program will be filed with Grantor. 

Upon request, Grantee shall submit to Grantor statistical and other reports relating to its 

equal employment opportunity practices. Grantee also agrees to notify Grantor of any equal 

employment opportunity-related grievance or suit filed against the organization or any of its 

employees and of the outcome of all such grievances or suits, and upon request, shall provide 

Grantor with any additional information regarding any such grievance or suit. 

19. OUTSIDE PRACTICE OF LAW: Unless otherwise authorized by Grantor, no employee 

of Grantee organization (including the executive director) may engage in the practice of law 

outside the scope of his or her official duties with Grantee. Notwithstanding this prohibition, an 

employee may act pro se and may, without compensation, give legal advice to and draft or 

review documents for a member of the employee’s family.4

20. LIABILITY INSURANCE: Grantee shall maintain insurance, in reasonable amounts, to 

cover the costs of representation and liability for claims alleging malpractice, negligence, unfair 

personnel practices, and “errors and omissions” of officers, directors, and employees of the 

organization. Upon receiving or amending coverage, Grantee shall notify Grantor of the amount 

of coverage per event, the aggregate limit, the amount of deductible, and the cost for each type of 

insurance obtained, and shall certify that competitive proposals were sought. 

Grantee also agrees to notify Grantor of any such claims filed and their disposition, and 

upon request shall provide Grantor with any additional information regarding any such claim.

21. CODE OF CONDUCT: Grantee must adopt the Model CDO Code of Conduct. Grantee

may seek a variance of one or more of the provisions from Grantor. 

 

A copy of Grantee’s code of conduct and any subsequent revisions must be filed with 

Grantor. Grantee must inform Grantor of significant violations of the code of conduct and, upon 

request, must provide a written report to Grantor. 

22. CHANGES OR MODIFICATIONS: Upon their adoption, Grantee shall forward to 

Grantor any amendment to the articles of incorporation or the by-laws under which Grantee

operates; Grantee shall also notify Grantor of any changes in Grantee's board of directors. 

23. PAYMENTS FROM OR ON BEHALF OF CLIENTS: Except as authorized pursuant to

subsection (f) of the CJA and corresponding provisions in the CJA Guidelines, neither Grantee

nor its employees will take, request, demand, accept, receive, or agree to receive anything of 

4 For purposes of this clause, the term “family” includes all relatives listed in 5 U.S.C. § 3110(a)(3). 
Community Defender Organization: Grant and Conditions Page 9

value from or on behalf of a person who is to be, is being, or has been furnished representation 

by Grantee. Grantee will take appropriate measures to enforce this clause and advise Grantor of 

any violation.

24. NON-ASSIGNABILITY: No obligations or responsibilities of Grantee, and no grant funds 

or benefits accruing under the grant, may be transferred, assigned, sub-contracted, or otherwise 

conveyed without the express written approval of Grantor, except as specifically authorized in 

the Grant and Conditions.

25. FAILURE TO COMPLY WITH TERMS AND CONDITIONS: In the event Grantee

fails to comply substantially with any of the terms or conditions of the grant award set forth 

herein, or it is unable to deliver the representation and other services which are the subject of this 

agreement, Grantor may temporarily reduce or suspend, payments under this grant award as it 

deems appropriate. At the time of a reduction or suspension of payments under this clause, 

Grantor will provide Grantee with a written explanation for its actions. Grantee may seek 

reinstatement of payments by submitting a written response, which may include a request to be

heard within ten days of receipt of Grantor’s explanation. If the request for reinstatement is not

granted based on the written submission, Grantor will provide a conference with Grantor, or 

authorized representative, on this request for reinstatement within five business days of receipt of 

the request. Grantor reserves the right to pursue all remedies, including, but not limited to,

recovery of monetary damages and accrued interest, for Grantee’s failure to comply with any of 

the terms and conditions of the grant award or to deliver the representation and other services 

which are the subject of the agreement.

26. SYSTEM FOR AWARD MANAGEMENT (SAM) REGISTRATION REQUIRED:

Grantee must have an active registration in SAM and ensure that all information in that 

registration is accurate and updated. If Grantee’s SAM registration is not active or accurate, 

Grantor will be unable to disburse grant funds timely in accordance with this agreement.

__________ _________________________________________________________________ 

DATE AUTHORIZED REPRESENTATIVE OF _____________________________

_________________________________________________________________

__________ _________________________________________________________________ 

DATE CHIEF, AO’S DEFENDER SERVICES OFFICE