[Federal Register Volume 69, Number 198 (Thursday, October 14, 2004)]
[Notices]
[Pages 61088-61126]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-22845]



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Part II





State Justice Institute





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Grant Guideline; Notice

  Federal Register / Vol. 69, No. 198 / Thursday, October 14, 2004 / 
Notices  

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STATE JUSTICE INSTITUTE


Grant Guideline

AGENCY: State Justice Institute.

ACTION: Proposed grant Guideline.

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SUMMARY: This Guideline sets forth the administrative, programmatic, 
and financial requirements attendant to Fiscal Year 2005 State Justice 
Institute grants, cooperative agreements, and contracts.

DATES: The Institute invites public comment on the Guideline until 
November 15, 2004.

ADDRESSES: Comments should be mailed to the State Justice Institute, 
1650 King St. (Suite 600), Alexandria, VA 22314 or e-mailed to 
[email protected].

FOR FURTHER INFORMATION CONTACT: David I. Tevelin, Executive Director, 
or Kathy Schwartz, Deputy Director, State Justice Institute, 1650 King 
St. (Suite 600), Alexandria, VA 22314, (703) 684-6100.

SUPPLEMENTARY INFORMATION: Pursuant to the State Justice Institute Act 
of 1984, 42 U.S.C. 10701 et seq., as amended, the Institute is 
authorized to award grants, cooperative agreements, and contracts to 
State and local courts, nonprofit organizations, and others for the 
purpose of improving the quality of justice in the State courts of the 
United States.
    Pending appropriations legislation passed by the House (HR 4754) 
would appropriate $2.227 million to SJI in FY 2005; the Senate 
Appropriations Committee proposes to appropriate $3 million. An 
Interagency Agreement (IAA) with the Department of Justice's Office on 
Violence Against Women will provide up to $420,000 to support projects 
aimed at educating judges about rape and sexual assault. Other sources 
of funds available to SJI in FY 2005 are expected to include an IAA 
with the Department of Justice's Bureau of Justice Assistance, under 
which up to $4 million may be transferred to SJI to support several 
specific projects, and amounts deobligated from expired grants, which 
are not expected to exceed $100,000.
    After deducting the Institute's modest administrative expenses, and 
amounts allocated for SJI's three small grant programs--Technical 
Assistance ($300,000), Judicial Branch Education Technical Assistance 
($100,000) and Scholarships ($200,000)--SJI anticipates that little, if 
any, money will be available in FY 2005 to support Project Grants other 
than those within the scope of the IAA's noted above and continuations 
of existing Project Grants. As a result, the Institute's Board of 
Directors proposes to dedicate the amount available for Project Grants 
this fiscal year to continuing the most important Project Grants 
currently assisting courts nationwide. To the extent that additional 
funding becomes available over the course of the fiscal year, the Board 
of Directors may identify other projects of interest and invite 
selected applicants to apply for grants to carry them out. If 
additional funding does not become available, SJI proposes to award no 
new Project Grants in FY 2005 other than those that may be awarded 
within the scope of the Interagency Agreements noted above.
    The Board of Directors invites comment on this approach as well as 
other possible approaches that would maximize the potential benefit of 
the limited grant funds available to SJI.

Types of Grants Available and Funding Schedules

    SJI proposes to offer four types of grants in FY 2005: Continuation 
Grants, Technical Assistance (TA) Grants, Judicial Branch Education 
Technical Assistance (JBE TA) grants, and Scholarships. As noted above, 
to the extent sufficient additional funding becomes available, the 
Institute may also offer selected applicants the opportunity to apply 
for new Project Grants.
    Continuation Grants. Continuation Grants (see sections II.A., 
III.D., V.B.1., and VI.A.) are intended to enhance the specific program 
or service begun during an earlier Project Grant period. An applicant 
for a Continuation Grant must submit a letter notifying the Institute 
of its intent to seek such funding no later than 120 days before the 
end of the current grant period. The Institute will then notify the 
applicant of the deadline for its Continuation Grant application.
    Technical Assistance Grants. Section II.B. reserves up to $300,000 
for Technical Assistance Grants. Under this program, a State or local 
court or court association may receive a grant of up to $30,000 to 
engage outside experts to provide technical assistance to diagnose, 
develop, and implement a response to a jurisdiction's problems. Court 
associations' eligibility for TA grants is new this fiscal year.
    Letters of application for a Technical Assistance Grant may be 
submitted at any time. Applicants submitting letters by January 7, 
2005, will be notified by April 8, 2005; those submitting letters 
between January 8 and February 25, 2005, will be notified by June 10, 
2005; those submitting letters between February 26 and June 3, 2005, 
will be notified by August 19, 2005; and those submitting letters 
between June 4 and September 23, 2005, will be notified of the Board's 
decision by December 2, 2005. See section VI.B. for Technical 
Assistance Grant application procedures.
    Judicial Branch Education Technical Assistance Grants. Section 
II.C. of the Guideline allocates up to $100,000 for grants under the 
JBE TA grant program this year. Grants of up to $20,000 are available 
to: (1) Enable a State or local court to adapt and deliver an education 
program that was previously developed and evaluated under an SJI 
project grant (i.e., curriculum adaptation); and/or (2) support expert 
consultation in planning, developing, and administering State judicial 
branch education programs.
    Letters requesting JBE TA Grants may be submitted at any time. The 
grant cycles for JBE TA Grants are the same as the grant cycles for TA 
Grants:
    Applicants submitting letters by January 7, 2005, will be notified 
by April 8, 2005; those submitting letters between January 8 and 
February 25, 2005, will be notified by June 10, 2005; those submitting 
letters between February 26 and June 3, 2005, will be notified by 
August 19, 2005; and those submitting letters between June 4 and 
September 23, 2005, will be notified of the Board's decision by 
December 2, 2005. See section VI.C. for JBE TA Grant application 
procedures.
    Scholarships. Section II.D. of the Guideline allocates up to 
$200,000 of FY 2005 funds for scholarships to enable judges and court 
managers to attend out-of-State education and training programs. A 
scholarship of up to $1,500 may be awarded to pay for a recipient's 
tuition, travel, and lodging costs.
    Scholarships for eligible applicants are approved largely on a 
``first come, first served'' basis, although the Institute may approve 
or disapprove scholarship requests in order to achieve appropriate 
balances on the basis of geography, program provider, and type of court 
or applicant (e.g., trial judge, appellate judge, trial court 
administrator). Scholarships will be approved only for programs that 
either (1) enhance the skills of judges and court managers; or (2) are 
part of a graduate degree program for judges or court personnel.
    The Proposed Guideline would also limit recipients to no more than 
one scholarship in a three-year period.
    Applicants interested in obtaining a scholarship for a program 
beginning between January 1 and March 31, 2005, must submit their 
applications and documents between October 4 and

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November 29, 2004. For programs beginning between April 1 and June 30, 
2005, applicants must submit their applications and documents between 
January 3 and February 28, 2005. For programs beginning between July 1 
and September 30, 2005, the applications and documents must be 
submitted between April 1 and May 27, 2005. For programs beginning 
between October 1 and December 31, 2005, the applications and documents 
must be submitted between July 5 and August 29, 2005. For programs 
beginning between January 1 and March 31, 2006, the applications and 
documents must be submitted between October 3 and November 28, 2005. 
See section VI.D. for scholarship application procedures.
    Project Grants. If additional funds become available in FY 2005, 
the Institute may invite applications for Project Grants to support 
innovative education, research, demonstration, and technical assistance 
projects that can improve the administration of justice in State courts 
nationwide. SJI may also invite applications for ``think piece'' 
Project Grants to support the development of essays of publishable 
quality that explore emerging issues that could result in significant 
changes in court processes or judicial administration. ``Think pieces'' 
are limited to no more than $10,000. SJI will inform potential 
applicants of the application requirements for these grants in their 
invitation letters.

Matching Requirements

    With the exception of JBE TA grantees, other grantees that can 
demonstrate a financial hardship, and scholarship recipients, all 
grantees must provide match, including cash match, for any Institute 
grant. The matching requirements are summarized in sections III.L. and 
VIII.A.8. of the Guideline.
    The following Grant Guideline is proposed by the State Justice 
Institute for FY 2005:

Table of Contents

I. The Mission of the State Justice Institute
II. Scope of the Program
III. Definitions
IV. Eligibility for Award
V. Types of Projects and Grants; Size of Awards
VI. Applications
VII. Application Review Procedures
VIII. Compliance Requirements
IX. Financial Requirements
X. Grant Adjustments
Appendix A--SJI Libraries: Designated Sites and Contacts
Appendix B--Illustrative List of Technical Assistance Grants
Appendix C--Illustrative List of Model Curricula
Appendix D--Grant Application Forms (Forms A, B, C, C1, D, and 
Disclosure of Lobbying Activities)
Appendix E--Line-Item Budget Form (Form E)
Appendix F--Scholarship Application Forms (Forms S1 and S2)

I. The Mission of the State Justice Institute

    The Institute was established by Pub. L. 98-620 to improve the 
administration of justice in the State courts of the United States. 
Incorporated in the State of Virginia as a private, nonprofit 
corporation, the Institute is charged, by statute, with the 
responsibility to:
     Direct a national program of financial assistance designed 
to assure that each citizen of the United States is provided ready 
access to a fair and effective system of justice;
     Foster coordination and cooperation with the Federal 
judiciary;
     Promote recognition of the importance of the separation of 
powers doctrine to an independent judiciary; and
     Encourage education for judges and support personnel of 
State court systems through national and State organizations, including 
universities.
    To accomplish these broad objectives, the Institute is authorized 
to provide funds to State courts, national organizations which support 
and are supported by State courts, national judicial education 
organizations, and other organizations that can assist in improving the 
quality of justice in the State courts.
    The Institute is supervised by a Board of Directors appointed by 
the President, with the consent of the Senate. The Board is statutorily 
composed of six judges; a State court administrator; and four members 
of the public, no more than two of whom can be of the same political 
party.
    Through the award of grants, contracts, and cooperative agreements, 
the Institute is authorized to perform the following activities:
    A. Support research, demonstrations, special projects, technical 
assistance, and training to improve the administration of justice in 
the State courts;
    B. Provide for the preparation, publication, and dissemination of 
information regarding State judicial systems;
    C. Participate in joint projects with Federal agencies and other 
private grantors;
    D. Evaluate or provide for the evaluation of programs and projects 
funded by the Institute to determine their impact upon the quality of 
criminal, civil, and juvenile justice and the extent to which they have 
contributed to improving the quality of justice in the State courts;
    E. Encourage and assist in furthering judicial education;
    F. Encourage, assist, and serve in a consulting capacity to State 
and local justice system agencies in the development, maintenance, and 
coordination of criminal, civil, and juvenile justice programs and 
services; and
    G. Be responsible for the certification of national programs that 
are intended to aid and improve State judicial systems.

II. Scope of the Program

    As set forth in Section I., the Institute is authorized to fund 
projects addressing a broad range of program areas. However, during FY 
2005, the Institute will consider funding only the following:

A. Continuation Grants

    This category includes critical SJI-supported Project Grants of 
proven merit to courts nationwide. These projects must have:
    1. Developed products, services, and techniques that may be used in 
States across the country; and
    2. Created and disseminated products that effectively transfer the 
information and ideas developed to relevant audiences in State and 
local judicial systems, or provide technical assistance to facilitate 
the adaptation of effective programs and procedures in other State and 
local jurisdictions.
    The application procedures for Continuation Grants may be found in 
section VI.A.

B. Technical Assistance Grants

    The Board is reserving up to $300,000 to support the provision of 
technical assistance to State and local courts and court associations. 
The program is designed to provide State and local courts with 
sufficient support to obtain technical assistance to diagnose a 
problem, develop a response to that problem, and implement any needed 
changes. The Institute will reserve sufficient funds each quarter to 
assure the availability of Technical Assistance Grants throughout the 
year.
    Technical Assistance Grants are limited to no more than $30,000 
each, and may cover the cost of obtaining the services of expert 
consultants; travel by a team of officials from one court to examine a 
practice, program, or facility in another jurisdiction that the 
applicant court is interested in

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replicating; or both. Normally, the technical assistance must be 
completed within 12 months after the start date of the grant.
    Only a State or local court or court association may apply for a 
Technical Assistance grant. The application procedures may be found in 
section VI.B.

C. Judicial Branch Education Technical Assistance Projects

    The Board is reserving up to $100,000 to support technical 
assistance and on-site consultation in planning, developing, and 
administering comprehensive and specialized State judicial branch 
education programs, as well as the adaptation of model curricula 
previously developed with SJI funds. Judicial Branch Education 
Technical Assistance Grants are limited to no more than $20,000 each.
    The goals of the Judicial Branch Education Technical Assistance 
Program (JBE TA) in FY 2005 are to:
    1. Provide State and local courts and court associations with the 
opportunity to access expert strategic assistance to enable them to 
maintain judicial branch education programming during the current 
budget crisis; and
    2. Enable courts and court associations to modify a model 
curriculum, course module, or conference program developed with SJI 
funds to meet a particular State's or local jurisdiction's educational 
needs; train instructors to present portions or all of the curriculum; 
and pilot-test it to determine its appropriateness, quality, and 
effectiveness. An illustrative but non-inclusive list of the curricula 
that may be appropriate for adaptation is contained in Appendix C.
    Only State or local courts or court associations may apply for JBE 
TA funding. Application procedures may be found in section VI.C. 
Applicants are not required to contribute cash match to JBE TA grants.

D. Scholarships for Judges and Court Managers

    The Institute is reserving up to $200,000 to support a scholarship 
program for State judges and court managers. The purposes of the 
scholarship program are to:
    1. Enhance the skills, knowledge, and abilities of judges and court 
managers;
    2. Enable State court judges and court managers to attend out-of-
State educational programs sponsored by national and State providers 
that they could not otherwise attend because of limited State, local, 
and personal budgets; and
    3. Provide States, judicial educators, and the Institute with 
evaluative information on a range of judicial and court-related 
education programs.
    Scholarships will be granted to individuals only for the purpose of 
attending an out-of-State educational program within the United States. 
Application procedures may be found in Section VI.D.

III. Definitions

    The following definitions apply for the purposes of this Guideline:

A. Acknowledgment of SJI Support

    The prominent display of the SJI logo on the front cover of a 
written product or in the opening frames of a videotape developed with 
Institute support, and inclusion of a brief statement on the inside 
front cover or title page of the document or the opening frames of the 
videotape identifying the grant number. See section VIII.A.11.a.(2) for 
the precise wording of the statement.

B. Application

    A formal request for an Institute grant. A complete application 
consists of: Form A--Application; Form B--Certificate of State Approval 
(for applications from local trial or appellate courts or agencies); 
Form C--Project Budget/Tabular Format or Form C1--Project Budget/
Spreadsheet Format; Form D--Assurances; Disclosure of Lobbying 
Activities; a detailed description, not to exceed 25 pages, of the need 
for the project and all related tasks, including the time frame for 
completion of each task, and staffing requirements; and a detailed 
budget narrative that provides the basis for all costs. See section VI. 
for a complete description of application submission requirements. See 
Appendix D for the application forms.

C. Close-out

    The process by which the Institute determines that all applicable 
administrative and financial actions and all required grant work have 
been completed by both the grantee and the Institute.

D. Continuation Grant

    A grant lasting no longer than 15 months to permit completion of 
activities initiated under an existing Institute grant or enhancement 
of the products or services produced during the prior grant period. See 
section VI.A. for a complete description of Continuation Grant 
application requirements.

E. Curriculum

    The materials needed to replicate an education or training program 
developed with grant funds including, but not limited to: the learning 
objectives; the presentation methods; a sample agenda or schedule; an 
outline of presentations and relevant instructors' notes; copies of 
overhead transparencies or other visual aids; exercises, case studies, 
hypotheticals, quizzes, and other materials for involving the 
participants; background materials for participants; evaluation forms; 
and suggestions for replicating the program, including possible faculty 
or the preferred qualifications or experience of those selected as 
faculty.

F. Designated Agency or Council

    The office or judicial body which is authorized under State law or 
by delegation from the State Supreme Court to approve applications for 
SJI grant funds and to receive, administer, and be accountable for 
those funds.

G. Disclaimer

    A brief statement that must be included at the beginning of a 
document or in the opening frames of a videotape produced with 
Institute support that specifies that the points of view expressed in 
the document or tape do not necessarily represent the official position 
or policies of the Institute. See section VIII.A.11.a.(2) for the 
precise wording of this statement.

H. Grant Adjustment

    A change in the design or scope of a project from that described in 
the approved application, acknowledged in writing by the Institute. See 
section X.A for a list of the types of changes requiring a formal grant 
adjustment. Ordinarily, changes requiring a Grant Adjustment (including 
budget reallocations between direct cost categories that individually 
or cumulatively exceed five percent of the approved original budget) 
should be requested at least 30 days in advance of the implementation 
of the requested change.

I. Grantee

    The organization, entity, or individual to which an award of 
Institute funds is made. For a grant based on an application from a 
State or local court, grantee refers to the State Supreme Court or its 
designee.

J. Human Subjects

    Individuals who are participants in an experimental procedure or 
who are asked to provide information about themselves, their attitudes, 
feelings,

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opinions, and/or experiences through an interview, questionnaire, or 
other data collection technique.

K. Judicial Branch Education Technical Assistance (JBE TA) Grant

    A grant of up to $20,000 awarded to a State or local court or court 
association to support expert assistance in designing or delivering 
judicial branch education programming, and/or the adaptation of an 
education program based on an SJI-supported curriculum that was 
previously developed and evaluated under an SJI Project Grant. See 
section VI.C. for a complete description of JBE TA Grant application 
requirements.

L. Match

    The portion of project costs not borne by the Institute. Match 
includes both in-kind and cash contributions. Cash match is the direct 
outlay of funds by the grantee to support the project. Examples of cash 
match are the dedication of funds to support a new employee or purchase 
new equipment to carry out the project; that portion of the grantee's 
Federally approved indirect cost rate that exceeds the Guideline's 
limit of permitted charges (75% of salaries and benefits); any other 
reduction in the indirect cost rate to be charged to the grant; and the 
application of project income (e.g., tuition or the proceeds of sales 
of grant products) generated during the grant period to grant costs.
    In-kind match consists of contributions of time and/or services of 
current staff members, space, supplies, etc., made to the project by 
the grantee or others (e.g., advisory board members) working directly 
on the project.
    Under normal circumstances, allowable match may be incurred only 
during the project period. When appropriate, and with the prior written 
permission of the Institute, match may be incurred from the date of the 
Board of Directors' approval of an award. Match does not include the 
time of participants attending an education program.
    See section VIII.A.8. for the Institute's matching requirements.

M. Products

    Tangible materials resulting from funded projects including, but 
not limited to: Curricula; monographs; reports; books; articles; 
manuals; handbooks; benchbooks; guidelines; videotapes; audiotapes; 
computer software; and CD-ROM disks.

N. Project Grant

    An initial grant lasting up to 15 months to support an innovative 
education, research, demonstration, or technical assistance project 
that can improve the administration of justice in State courts 
nationwide. Ordinarily, a project grant may not exceed $150,000 a year; 
however, a grant in excess of $100,000 is likely to be rare and awarded 
only to support highly promising projects that will have a significant 
national impact.

O. Project-Related Income

    Interest, royalties, registration and tuition fees, proceeds from 
the sale of products, and other earnings generated as a result of an 
Institute grant. Registration and tuition fees, and proceeds from the 
sale of products generated during the grant period may be counted as 
match. For a more complete description of different types of project-
related income, see section IX.G.

P. Scholarship

    A grant of up to $1,500 awarded to a judge or court manager to 
cover the cost of tuition, transportation, and reasonable lodging to 
attend an out-of-State educational program within the United States. 
See section VI.D. for a complete description of scholarship application 
requirements.

Q. Special Condition

    A requirement attached to a grant award that is unique to a 
particular project.

R. State Supreme Court

    The highest appellate court in a State, or, for the purposes of the 
Institute program, a constitutionally or legislatively established 
judicial council that acts in place of that court. In States having 
more than one court with final appellate authority, State Supreme Court 
means that court which also has administrative responsibility for the 
State's judicial system. State Supreme Court also includes the office 
of the court or council, if any, it designates to perform the functions 
described in this Guideline.

S. Subgrantee

    A State or local court which receives Institute funds through the 
State Supreme Court.

T. Technical Assistance Grant

    A grant, lasting up to 12 months, of up to $30,000 to a State or 
local court or court association to support outside expert assistance 
in diagnosing a problem and developing and implementing a response to 
that problem. See section VI.B. for a complete description of Technical 
Assistance Grant application requirements.

IV. Eligibility for Award

    The Institute is authorized by Congress to award grants, 
cooperative agreements, and contracts to the following entities and 
types of organizations:
    A. State and local courts and their agencies (42 U.S.C. 
10705(b)(1)(A)). Each application for funding from a State or local 
court must be approved, consistent with State law, by the State's 
Supreme Court or its designated agency or council. The latter shall 
receive all Institute funds awarded to such courts and be responsible 
for assuring proper administration of Institute funds, in accordance 
with section IX.C.2. of this Guideline.
    B. National nonprofit organizations controlled by, operating in 
conjunction with, and serving the judicial branches of State 
governments (42 U.S.C. 10705(b)(1)(B)).
    C. National nonprofit organizations for the education and training 
of judges and support personnel of the judicial branch of State 
governments (42 U.S.C. 10705(b)(1)(C)). An applicant is considered a 
national education and training applicant under section 10705(b)(1)(C) 
if:
    1. The principal purpose or activity of the applicant is to provide 
education and training to State and local judges and court personnel; 
and
    2. the applicant demonstrates a record of substantial experience in 
the field of judicial education and training.
    D. Other eligible grant recipients (42 U.S.C. 10705 (b)(2)(A)-(D)).
    1. Provided that the objectives of the project can be served 
better, the Institute is also authorized to make awards to:
    a. Nonprofit organizations with expertise in judicial 
administration;
    b. Institutions of higher education;
    c. Individuals, partnerships, firms, corporations (for-profit 
organizations must waive their fees); and
    d. Private agencies with expertise in judicial administration.
    2. The Institute may also make awards to State or local agencies 
and institutions other than courts for services that cannot be 
adequately provided through nongovernmental arrangements (42 U.S.C. 
10705(b)(3)).
    E. Inter-agency Agreements. The Institute may enter into inter-
agency agreements with Federal agencies (42 U.S.C. 10705(b)(4)) and 
private funders to support projects consistent with the

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purposes of the State Justice Institute Act.

V. Types of Projects and Grants; Size of Awards

A. Types of Projects

    The Institute supports the following general types of projects:
    1. Education and training;
    2. Research and evaluation;
    3. Demonstration; and
    4. Technical assistance.

B. Types of Grants

    In FY 2005, the Institute will support the following types of 
grants:
1. Continuation Grants
    See sections II.A., III.D. and VI.A. In FY 2005, the Institute 
anticipates allocating all of the funds available to support Project 
Grants to Continuation Grants.
2. Technical Assistance Grants
    See sections II.B., III.T., and VI.B. In FY 2005, the Institute is 
reserving up to $300,000 for these grants.
3. Judicial Branch Education Technical Assistance Grants
    See sections II.C., III.K., and VI.C. In FY 2005, the Institute is 
reserving up to $100,000 for Judicial Branch Education Technical 
Assistance Grants.
4. Scholarships
    See sections II.D., III.P., and VI.D. In FY 2005, the Institute is 
reserving up to $200,000 for scholarships for judges and court 
managers.

C. Maximum Size of Awards

    1. Applicants for continuation grants may request funding in 
amounts up to $150,000 for 15 months.
    2. Applicants for Technical Assistance Grants may request funding 
in amounts up to $30,000.
    3. Applicants for Judicial Branch Education Technical Assistance 
Grants may request funding in amounts up to $20,000.
    4. Applicants for scholarships may request funding in amounts up to 
$1,500.

D. Length of Grant Periods

    1. Grant periods for continuation projects ordinarily may not 
exceed 15 months. Absent extraordinary circumstances, no grant will 
continue for more than five years.
    2. Grant periods for Technical Assistance Grants and Judicial 
Branch Education Technical Assistance Grants ordinarily may not exceed 
12 months.

VI. Applications

A. Continuation Grants

1. Purpose
    Continuation grants are intended to support projects that carry out 
the same type of activities performed under a previous grant. They are 
intended to maintain or enhance the specific program or service 
produced or established during the prior grant period.
2. Limitations
    The award of an initial grant to support a project does not 
constitute a commitment by the Institute to continue funding. For a 
project to be considered for continuation funding, the grantee must 
have completed all project tasks and met all grant requirements and 
conditions in a timely manner, absent extenuating circumstances or 
prior Institute approval of changes to the project design. Continuation 
grants are not intended to provide support for a project for which the 
grantee has underestimated the amount of time or funds needed to 
accomplish the project tasks. Absent extraordinary circumstances, no 
grant will continue for more than five years.
3. Letters of Intent
    A grantee seeking a continuation grant must inform the Institute, 
by letter, of its intent to submit an application for such funding as 
soon as the need for continued funding becomes apparent but no less 
than 120 days before the end of the current grant period.
    a. A letter of intent must be no more than 3 single-spaced pages on 
8\1/2\ by 11 inch paper and contain a concise but thorough explanation 
of the need for continuation; an estimate of the funds to be requested; 
and a brief description of anticipated changes in the scope, focus, or 
audience of the project.
    b. Within 30 days after receiving a letter of intent, Institute 
staff will review the proposed activities for the next project period 
and inform the grantee of specific issues to be addressed in the 
continuation application and the date by which the application must be 
submitted.
4. Application Format
    An application for a continuation grant must include an application 
form, budget forms (with appropriate documentation), a project 
abstract, a program narrative, a budget narrative, a Certificate of 
State Approval--FORM B (if the applicant is a State or local court), a 
Disclosure of Lobbying Activities form (from applicants other than 
units of State or local government), and any necessary appendices. See 
Appendix D for the application forms. A continuation application should 
not repeat information contained in a previously approved application 
or other previously submitted materials, but should provide specific 
references to such materials where appropriate.
    For a summary of the application process, visit the Institute's Web 
site (http://www.statejustice.org) and click on On-Line Tutorials, then 
Continuation Grant.
a. Forms
(1) Application Form (FORM A)
    The application form requests basic information regarding the 
proposed project, the applicant, and the total amount of funding 
requested from the Institute. It also requires the signature of an 
individual authorized to certify on behalf of the applicant that the 
information contained in the application is true and complete; that 
submission of the application has been authorized by the applicant; and 
that if funding for the proposed project is approved, the applicant 
will comply with the requirements and conditions of the award, 
including the assurances set forth in FORM D.
(2) Certificate of State Approval (FORM B)
    An application from a State or local court must include a copy of 
FORM B signed by the State's Chief Justice or Chief Judge, the director 
of the designated agency, or the head of the designated council. The 
signature denotes that the proposed project has been approved by the 
State's highest court or the agency or council it has designated. It 
denotes further that if the Institute approves funding for the project, 
the court or the specified designee will receive, administer, and be 
accountable for the awarded funds.
(3) Budget Forms (FORM C or C1)
    Applicants may submit the proposed project budget either in the 
tabular format of FORM C or in the spreadsheet format of FORM C1. 
Applicants requesting $100,000 or more are strongly encouraged to use 
the spreadsheet format. If the proposed project period is for more than 
a year, a separate form should be submitted for each year or portion of 
a year for which grant support is requested, as well as for the total 
length of the project.
    In addition to FORM C or C1, applicants must provide a detailed 
budget narrative providing an explanation of the basis for the 
estimates in each budget category. (See section VI.A.4.d. below.)

[[Page 61093]]

    If funds from other sources are required to conduct the project, 
either as match or to support other aspects of the project, the source, 
current status of the request, and anticipated decision date must be 
provided.
(4) Assurances (FORM D)
    This form lists the statutory, regulatory, and policy requirements 
with which recipients of Institute funds must comply.
(5) Disclosure of Lobbying Activities
    Applicants other than units of State or local government are 
required to disclose whether they, or another entity that is part of 
the same organization as the applicant, have advocated a position 
before Congress on any issue, and to identify the specific subjects of 
their lobbying efforts. (See section VIII.A.7. and the Disclosure of 
Lobbying Activities form in Appendix D.)
b. Project Abstract
    The abstract should highlight the purposes, goals, methods, and 
anticipated benefits of the proposed project. It should not exceed 1 
single-spaced page on 8\1/2\ by 11 inch paper.
c. Program Narrative
    The program narrative for a continuation grant application may not 
exceed 25 double-spaced pages on 8\1/2\ by 11 inch paper. Margins must 
be at least 1 inch, and type size must be at least 12-point and 12 cpi. 
The pages should be numbered. This page limit does not include the 
forms, the abstract, the budget narrative, and any appendices 
containing resumes and letters of cooperation or endorsement. 
Additional background material should be attached only if it is 
essential to impart a clear understanding of the proposed project. 
Numerous and lengthy appendices are strongly discouraged.
    The program narrative should describe the following:
    (1) Project Objectives. The applicant should clearly and concisely 
state what the continuation project is intended to accomplish.
    (2) Need for Continuation. The applicant should explain why 
continuation of the project is necessary to achieve the goals of the 
project, and how the continuation would benefit the participating 
courts or the courts community generally, by explaining, for example, 
how the original goals and objectives of the project would be 
unfulfilled if it were not continued; or how the value of the project 
would be enhanced by its continuation.
    (3) Report of Current Project Activities. The applicant should 
discuss the status of all activities conducted during the previous 
project period. Applicants should identify any activities that were not 
completed, and explain why.
    (4) Evaluation Findings. The applicant should present the key 
findings, impact, or recommendations resulting from the evaluation of 
the project, if available, and how they would be addressed during the 
proposed continuation. If the findings are not yet available, the 
applicant should provide the date by which they would be submitted to 
the Institute. Ordinarily, the Board will not consider an application 
for continuation funding until the Institute has received the 
evaluator's report.
    (5) Tasks, Methods, Staff, and Grantee Capability. The applicant 
should fully describe any changes in the tasks to be performed, the 
methods to be used, the products of the project, and how and to whom 
those products would be disseminated, as well as any changes in the 
assigned staff or the grantee's organizational capacity. Applicants 
should include, in addition, the criteria and methods by which the 
proposed continuation project would be evaluated.
    (6) Task Schedule. The applicant should present a detailed task 
schedule and timeline for the next project period.
    (7) Other Sources of Support. The applicant should indicate why 
other sources of support would be inadequate, inappropriate, or 
unavailable.
d. Budget Narrative
    The budget narrative should provide the basis for the computation 
of all project-related costs. When the proposed project would be 
partially supported by grants from other funding sources, applicants 
should make clear what costs would be covered by those other grants. 
Additional background information or schedules may be attached if they 
are essential to obtaining a clear understanding of the proposed 
budget. Numerous and lengthy appendices are strongly discouraged.
    The budget narrative should cover the costs of all components of 
the project and clearly identify costs attributable to the project 
evaluation. Changes in the funding level from prior years should be 
discussed in terms of corresponding increases or decreases in the scope 
of activities or services to be rendered. In addition, the applicant 
should estimate the amount of grant funds that would remain unobligated 
at the end of the current grant period.
(1) Justification of Personnel Compensation
    The applicant should set forth the percentages of time to be 
devoted by the individuals who would staff the proposed project, the 
annual salary of each of those persons, and the number of work days per 
year used for calculating the percentages of time or daily rates of 
those individuals. The applicant should explain any deviations from 
current rates or established written organizational policies. If grant 
funds are requested to pay the salary and related costs for a current 
employee of a court or other unit of government, the applicant should 
explain why this would not constitute a supplantation of State or local 
funds in violation of 42 U.S.C. 10706(d)(1). An acceptable explanation 
may be that the position to be filled is a new one established in 
conjunction with the project or that the grant funds would support only 
the portion of the employee's time that would be dedicated to new or 
additional duties related to the project.
(2) Fringe Benefit Computation
    The applicant should provide a description of the fringe benefits 
provided to employees. If percentages are used, the authority for such 
use should be presented, as well as a description of the elements 
included in the determination of the percentage rate.
(3) Consultant/Contractual Services and Honoraria
    The applicant should describe the tasks each consultant would 
perform, the estimated total amount to be paid to each consultant, the 
basis for compensation rates (e.g., the number of days multiplied by 
the daily consultant rates), and the method for selection. Rates for 
consultant services must be set in accordance with section IX.I.2.c. 
Prior written Institute approval is required for any consultant rate in 
excess of $300 per day; Institute funds may not be used to pay a 
consultant more than $900 per day. Honorarium payments must be 
justified in the same manner as consultant payments.
(4) Travel
    Transportation costs and per diem rates must comply with the 
policies of the applicant organization. If the applicant does not have 
an established travel policy, then travel rates must be consistent with 
those established by the Institute or the Federal Government. (A copy 
of the Institute's travel policy is available upon request.) The budget 
narrative should include an explanation of the rate used, including the 
components of the per diem rate and the

[[Page 61094]]

basis for the estimated transportation expenses. The purpose of the 
travel should also be included in the narrative.
(5) Equipment
    Grant funds may be used to purchase only the equipment necessary to 
demonstrate a new technological application in a court or that is 
otherwise essential to accomplishing the objectives of the project. 
Equipment purchases to support basic court operations ordinarily will 
not be approved. The applicant should describe the equipment to be 
purchased or leased and explain why the acquisition of that equipment 
is essential to accomplish the project's goals and objectives. The 
narrative should clearly identify which equipment is to be leased and 
which is to be purchased. The method of procurement should also be 
described. Purchases of automated data processing equipment must comply 
with section IX.I.2.b.
(6) Supplies
    The applicant should provide a general description of the supplies 
necessary to accomplish the goals and objectives of the grant. In 
addition, the applicant should provide the basis for the amount 
requested for this expenditure category.
(7) Construction
    Construction expenses are prohibited except for the limited 
purposes set forth in section VIII.A.16.b. Any allowable construction 
or renovation expense should be described in detail in the budget 
narrative.
(8) Telephone
    Applicants should include anticipated telephone charges, 
distinguishing between monthly charges and long distance charges in the 
budget narrative. Also, applicants should provide the basis used to 
calculate the monthly and long distance estimates.
(9) Postage
    Anticipated postage costs for project-related mailings, including 
distribution of the final product(s), should be described in the budget 
narrative. The cost of special mailings, such as for a survey or for 
announcing a workshop, should be distinguished from routine operational 
mailing costs. The bases for all postage estimates should be included 
in the budget narrative.
(10) Printing/Photocopying
    Anticipated costs for printing or photocopying project documents, 
reports, and publications should be included in the budget narrative, 
along with the bases used to calculate these estimates.
(11) Indirect Costs
    Recoverable indirect costs are limited to no more than 75% of a 
grantee's direct personnel costs (salaries plus fringe benefits). 
Grantees may apply unrecoverable indirect costs to meet their required 
matching contributions, including the required level of cash match. See 
sections III.L. and IX.I.4.
    Applicants should describe the indirect cost rates applicable to 
the grant in detail. If costs often included within an indirect cost 
rate are charged directly (e.g., a percentage of the time of senior 
managers to supervise project activities), the applicant should specify 
that these costs are not included within its approved indirect cost 
rate. These rates must be established in accordance with section 
IX.I.4. If the applicant has an indirect cost rate or allocation plan 
approved by any Federal granting agency, a copy of the approved rate 
agreement must be attached to the application.
(12) Match
    State and local units of government must provide match equaling at 
least 50% of the amount provided by the Institute in the first year of 
the project, 60% in the second year, 75% in the third year, 90% in the 
fourth year, and 100% in the fifth year.
    For example, if the Institute awards a State court $100,000 for the 
first year of a grant, the court would be required to provide $50,000 
in match. If the second-year grant is also $100,000, the court would be 
required to provide $60,000 in match. A State or local unit of 
government would have to provide at least 20% of the required match in 
the form of cash rather than in-kind support (e.g., the value of staff 
time contributed to the project).
    All other grantees must provide match equaling at least 25% of the 
amount provided by the Institute in the first year of the project, 30% 
in the second year, 37.5% in the third year, 45% in the fourth year, 
and 50% in the fifth year. For example, if the Institute awards a non-
profit organization $100,000 for the first year of a grant, the 
organization would be required to provide $25,000 in match. If the 
second year grant is also $100,000, the court would be required to 
provide $30,000 in match. A non-profit organization must provide at 
least 10% of the required match in the form of cash.
    Applicants that do not contemplate making matching contributions 
continuously throughout the course of the project or on a task-by-task 
basis must provide a schedule within 30 days after the beginning of the 
project period indicating at what points during the project period the 
matching contributions would be made. (See sections III.L., VIII.A.8., 
and IX.E.1.)
    The Institute may waive the match and cash match requirements in 
certain circumstances. See section VIII.A.8.b.
e. Letters of Cooperation or Support
    If the cooperation of courts, organizations, agencies, or 
individuals other than the applicant is required to conduct the 
project, the applicant should attach written assurances of cooperation 
and availability to the application, or send them under separate cover.
f. Submission Requirements
    Every applicant must submit an original and three copies of the 
application package consisting of FORM A; FORM B, if the application is 
from a State or local court, or a Disclosure of Lobbying Form, if the 
applicant is not a unit of State or local government; the Budget Forms 
(either FORM C or C-1); the Application Abstract; the Program 
Narrative; the Budget Narrative; and any necessary appendices.
    The Institute will notify applicants of the submission deadline 
when it responds to their letters of intent. A postmark or courier 
receipt will constitute evidence of the submission date. Please mark 
Continuation Application on the application package envelope and send 
it to: State Justice Institute, 1650 King Street, Suite 600, 
Alexandria, VA 22314.
    Receipt of each application will be acknowledged in writing. 
Extensions of the deadline for submission of applications will not be 
granted without good cause.

B. Technical Assistance Grants

1. Purpose and Scope
    Technical Assistance Grants are awarded to State and local courts 
and court associations to obtain the assistance of outside experts in 
diagnosing, developing, and implementing a response to a particular 
problem in a jurisdiction.
2. Application Procedures.
    For a summary of the application procedures for Technical 
Assistance Grants, visit the Institute's Web site 
(www.statejustice.org) and click On-Line Tutorials, then Technical 
Assistance Grant.
    In lieu of formal applications, applicants for Technical Assistance 
Grants may submit, at any time, an

[[Page 61095]]

original and three copies of a detailed letter describing the proposed 
project. Letters from an individual trial or appellate court must be 
signed by the presiding judge or manager of that court. Letters from 
the State court system must be signed by the Chief Justice or State 
Court Administrator. Letters from court associations must be signed by 
the president of the association.
3. Application Format
    Although there is no prescribed form for the letter, or a minimum 
or maximum page limit, letters of application should include the 
following information:
    a. Need for Funding. What is the critical need facing the 
applicant? How would the proposed technical assistance help the 
applicant meet this critical need? Why cannot State or local resources 
fully support the costs of the required consultant services?
    b. Project Description. What tasks would the consultant be expected 
to perform, and how would they be accomplished? Which organization or 
individual would be hired to provide the assistance, and how was this 
consultant selected? If a consultant has not yet been identified, what 
procedures and criteria would be used to select the consultant? 
(Applicants are expected to follow their jurisdictions' normal 
procedures for procuring consultant services.) What specific tasks 
would the consultant(s) and court staff undertake? What is the schedule 
for completion of each required task and the entire project? How would 
the applicant oversee the project and provide guidance to the 
consultant, and who at the court or association would be responsible 
for coordinating all project tasks and submitting quarterly progress 
and financial status reports?
    If the consultant has been identified, the applicant should provide 
a letter from that individual or organization documenting interest in 
and availability for the project, as well as the consultant's ability 
to complete the assignment within the proposed time frame and for the 
proposed cost. The consultant must agree to submit a detailed written 
report to the court and the Institute upon completion of the technical 
assistance.
    c. Likelihood of Implementation. What steps have been or would be 
taken to facilitate implementation of the consultant's recommendations 
upon completion of the technical assistance? For example, if the 
support or cooperation of specific court officials or committees, other 
agencies, funding bodies, organizations, or a court other than the 
applicant would be needed to adopt the changes recommended by the 
consultant and approved by the court, how would they be involved in the 
review of the recommendations and development of the implementation 
plan?
    d. Support for the Project from the State Supreme Court or its 
Designated Agency or Council. If a State or local court submits a 
request for technical assistance, it must include written concurrence 
on the need for the technical assistance. This concurrence may be a 
copy of SJI Form B (see Appendix D) signed by the Chief Justice of the 
State Supreme Court or the Chief Justice's designee, or a letter from 
the State Chief Justice or designee. The concurrence may be submitted 
with the applicant's letter or under separate cover prior to 
consideration of the application. The concurrence also must specify 
whether the State Supreme Court would receive, administer, and account 
for the grant funds, if awarded, or would designate the local court or 
a specified agency or council to receive the funds directly.
4. Budget and Matching State Contribution
    A completed Form E, Line-Item Budget Form (see Appendix E), and 
budget narrative must be included with the letter requesting technical 
assistance. The estimated cost of the technical assistance services 
should be broken down into the categories listed on the budget form 
rather than aggregated under the Consultant/Contractual category.
    The budget narrative should provide the basis for all project-
related costs, including the basis for determining the estimated 
consultant costs, if compensation of the consultant is required (e.g., 
the number of days per task times the requested daily consultant rate). 
Applicants should be aware that consultant rates above $300 per day 
must be approved in advance by the Institute, and that no consultant 
will be paid more than $900 per day from Institute funds. In addition, 
the budget should provide for submission of two copies of the 
consultant's final report to the Institute.
    As with other awards to State or local courts, match must be 
provided in an amount equal to at least 50% of the grant amount 
requested, and 20% of the match provided must be cash. The Institute 
may waive the match and cash match requirements in certain 
circumstances. See section VIII.A.8.b.
    Recipients of Technical Assistance Grants do not have to submit an 
audit report but must maintain appropriate documentation to support 
expenditures. (See section VIII.A.3.)
5. Submission Requirements
    Letters of application may be submitted at any time; however, all 
of the letters received during a calendar quarter will be considered at 
one time. Applicants submitting letters by January 7, 2005, will be 
notified of the Institute's decision by April 8, 2005; those submitting 
letters between January 8 and February 25, 2005, will be notified by 
June 10, 2005; those submitting letters between February 26 and June 3, 
2005, will be notified by August 19, 2005; and those submitting letters 
between June 4 and September 23, 2005, will be notified by December 2, 
2005.
    If the support or cooperation of agencies, funding bodies, 
organizations, or courts other than the applicant would be needed in 
order for the consultant to perform the required tasks, written 
assurances of such support or cooperation should accompany the 
application letter. Support letters also may be submitted under 
separate cover; however, to ensure that there is sufficient time to 
bring them to the attention of the Board's Technical Assistance Grant 
Committee, letters sent under separate cover must be received not less 
than three weeks prior to the Board meeting at which the technical 
assistance requests will be considered (i.e., by February 16, April 21, 
June 30, and October 13, 2005).

C. Judicial Branch Education Technical Assistance Grants

1. Purpose and Scope
    Judicial Branch Education Technical Assistance (JBE TA) Grants are 
awarded to State and local courts and court associations to support: 
(1) The provision of expert strategic assistance designed to enable 
them to present judicial branch education programs; and/or (2) 
replication or modification of a model training program originally 
developed with Institute funds. Ordinarily, the Institute will support 
the adaptation of a specific curriculum once (i.e., with one grant) in 
a given State.
    JBE TA Grants may support consultant assistance in maintaining or 
developing systematic or innovative judicial branch educational 
programming. The assistance might include expert consultation in 
developing strategic plans to ensure the continued provision of 
judicial branch education programming despite fiscal constraints; 
development of improved methods for assessing the need for, and 
evaluating the quality and impact of, court education programs and 
their

[[Page 61096]]

administration by State or local courts; faculty development; and/or 
topical program presentations. Such assistance may be tailored to 
address the needs of a particular State or local court or specific 
categories of court employees throughout a State or in a region.
2. Application Procedures
    For a summary of the application procedures for Judicial Branch 
Education Technical Assistance Grants, visit the Institute's Web site 
(http://www.statejustice.org) and click on On-Line Tutorials, then 
Judicial Branch Education Technical Assistance Grant.
    In lieu of formal applications, applicants should submit an 
original and three photocopies of a detailed letter.
Application Format
    Although there is no prescribed format for the letter, or a minimum 
or maximum page limit, letters of application should include the 
following information:
    a. For on-site consultant assistance:
    (1) Need for Funding. What is the critical judicial branch 
educational need facing the court or association? How would the 
proposed technical assistance help the applicant meet this critical 
need? Why cannot State or local resources fully support the costs of 
the required consultant services?
    (2) Project Description. What tasks would the consultant be 
expected to perform, and how would they be accomplished? Which 
organization or individual would be hired to provide the assistance, 
and how was this consultant selected? If a consultant has not yet been 
identified, what procedures and criteria would be used to select the 
consultant? (Applicants are expected to follow their jurisdictions' 
normal procedures for procuring consultant services.) What specific 
tasks would the consultant(s) and court staff or association members 
undertake? What is the schedule for completion of each required task 
and the entire project? How would the applicant oversee the project and 
provide guidance to the consultant, and who at the court or affiliated 
with the association would be responsible for coordinating all project 
tasks and submitting quarterly progress and financial status reports?
    If the consultant has been identified, the applicant should provide 
a letter from that individual or organization documenting interest in 
and availability for the project, as well as the consultant's ability 
to complete the assignment within the proposed time frame and for the 
proposed cost. The consultant must agree to submit a detailed written 
report to the court and the Institute upon completion of the technical 
assistance.
    (3) Likelihood of Implementation. What steps have been or would be 
taken to facilitate implementation of the consultant's recommendations 
upon completion of the technical assistance? For example, if the 
support or cooperation of specific court or association officials or 
committees, other agencies, funding bodies, organizations, or a court 
other than the applicant would be needed to adopt the changes 
recommended by the consultant and approved by the applicant, how would 
they be involved in the review of the recommendations and development 
of the implementation plan?
    (4) Support for the Project from the State Supreme Court or its 
Designated Agency or Council. If a State or local court submits an 
application, it must include written concurrence on the need for the 
technical assistance. This concurrence may be a copy of SJI Form B (see 
Appendix D) signed by the Chief Justice of the State Supreme Court or 
the Chief Justice's designee, or a letter from the State Chief Justice 
or designee. The concurrence may be submitted with the applicant's 
letter or under separate cover prior to consideration of the 
application. The concurrence also must specify whether the State 
Supreme Court would receive, administer, and account for the grant 
funds, if awarded, or would designate the local court or a specified 
agency or council to receive the funds directly.
    b. For adaptation of a curriculum:
    (1) Project Description. What is the title of the model curriculum 
to be adapted and who originally developed it with Institute funding? 
Why is this education program needed at the present time? What are the 
project's goals? What are the learning objectives of the adapted 
curriculum? What program components would be implemented, and what 
types of modifications, if any, are anticipated in length, format, 
learning objectives, teaching methods, or content? Who would be 
responsible for adapting the model curriculum? Who would the 
participants be, how many would there be, how would they be recruited, 
and from where would they come (e.g., from across the State, from a 
single local jurisdiction, from a multi-State region)?
    (2) Need for Funding. Why are sufficient State or local resources 
unavailable to fully support the modification and presentation of the 
model curriculum? What is the potential for replicating or integrating 
the adapted curriculum in the future using State or local funds, once 
it has been successfully adapted and tested?
    (3) Likelihood of Implementation. What is the proposed timeline, 
including the project start and end dates? On what date(s) would the 
judicial branch education program be presented? What process would be 
used to modify and present the program? Who would serve as faculty, and 
how were they selected? What measures would be taken to facilitate 
subsequent presentations of the program? (Ordinarily, an independent 
evaluation of a curriculum adaptation project is not required; however, 
the results of any evaluation should be included in the final report.)
    (4) Expressions of Interest by Judges and/or Court Personnel. Does 
the proposed program have the support of the court system or 
association leadership, and of judges, court managers, and judicial 
branch education personnel who are expected to attend? (Applicants may 
demonstrate this by attaching letters of support.)
    (5) Chief Justice's Concurrence. Local courts should attach a 
concurrence form signed by the Chief Justice of the State or his or her 
designee. (See Appendix D, FORM B.)
4. Budget and Matching State Contribution
    Applicants should attach a copy of budget Form E (see Appendix E) 
and a budget narrative (see A.4.d. in this section) that describes the 
basis for the computation of all project-related costs and the source 
of the match offered. As with other awards to State or local courts, 
match must be provided in an amount equal to at least 50% of the grant 
amount requested. Recipients of JBE TA grants are not required to 
provide a cash match. The Institute may waive the match requirements in 
certain circumstances. See section VIII.A.8.b.
5. Submission Requirements
    Letters of application may be submitted at any time; however, all 
of the letters received during a calendar quarter will be considered at 
one time. Applicants submitting letters by January 7, 2005, will be 
notified of the Institute's decision by April 8, 2005; those submitting 
letters between January 8 and February 25, 2005, will be notified by 
June 10, 2005; those submitting letters between February 26 and June 3, 
2005, will be notified by August 19, 2005; and those submitting letters 
between June 4 and September 23, 2005, will be notified by December 2, 
2005.
    For curriculum adaptation requests, applicants should allow at 
least 60 days between the notification deadline and

[[Page 61097]]

the date of the proposed program to allow sufficient time for needed 
planning. For example, a court that plans to conduct an education 
program in June 2005 should submit its application no later than 
January 7, 2005, in time for the Board's decision by April 8, 2005.

D. Scholarships

1. Purpose and Scope
    The purposes of the Institute's scholarship program are to enhance 
the skills, knowledge, and abilities of judges and court managers; 
enable State court judges and court managers to attend out-of-State 
educational programs sponsored by national and State providers that 
they could not otherwise attend because of limited State, local, and 
personal budgets; and provide States, judicial educators, and the 
Institute with evaluative information on a range of judicial and court-
related education programs.
    Scholarships will be granted to individuals only for the purpose of 
attending an educational program in another State. An applicant may 
apply for a scholarship for only one educational program during any one 
application cycle.
    Scholarship funds may be used only to cover the costs of tuition, 
transportation, and reasonable lodging expenses (not to exceed $150 per 
night, including taxes). Transportation expenses may include round-trip 
coach airfare or train fare. Scholarship recipients are strongly 
encouraged to take advantage of excursion or other special airfares 
(e.g., reductions offered when a ticket is purchased 21 days in advance 
of the travel date) when making their travel arrangements. Recipients 
who drive to a program site may receive $.375/mile up to the amount of 
the advanced-purchase round-trip airfare between their homes and the 
program sites. Funds to pay tuition, transportation, and lodging 
expenses in excess of $1,500 and other costs of attending the program--
such as meals, materials, transportation to and from airports, and 
local transportation (including rental cars)--at the program site must 
be obtained from other sources or borne by the scholarship recipient. 
Scholarship applicants are encouraged to check other sources of 
financial assistance and to combine aid from various sources whenever 
possible.
    A scholarship is not transferable to another individual. It may be 
used only for the course specified in the application unless the 
applicant's request to attend a different course that meets the 
eligibility requirements is approved in writing by the Institute. 
Decisions on such requests will be made within 30 days after the 
receipt of the request letter.
2. Eligibility Requirements
    For a summary of the scholarship award process, visit the 
Institute's Web site at http://www.statejustice.org and click on On-
Line Tutorials, then Scholarship.
    a. Recipients. Scholarships can be awarded only to full-time judges 
of State or local trial and appellate courts; full-time professional, 
State, or local court personnel with management responsibilities; and 
supervisory and management probation personnel in judicial branch 
probation offices. Senior judges, part-time judges, quasi-judicial 
hearing officers including referees and commissioners, administrative 
law judges, staff attorneys, law clerks, line staff, law enforcement 
officers, and other executive branch personnel are not eligible to 
receive a scholarship.
    b. Courses. A scholarship can be awarded only for a course 
presented in a State other than the one in which the applicant resides 
or works. The course must be designed to enhance the skills of new or 
experienced judges and court managers; or be offered by a recognized 
graduate program for judges or court managers. The annual or mid-year 
meeting of a State or national organization of which the applicant is a 
member does not qualify as an out-of-State educational program for 
scholarship purposes, even though it may include workshops or other 
training sessions.
    Applicants are encouraged not to wait for the decision on a 
scholarship to register for an educational program they wish to attend.
    c. Limitation. Applicants may not receive more than one scholarship 
in a three-year period.
3. Forms
a. Scholarship Application--FORM S1 (Appendix F)
    The Scholarship Application requests basic information about the 
applicant and the educational program the applicant would like to 
attend. It also addresses the applicant's commitment to share the 
skills and knowledge gained with local court colleagues and to submit 
an evaluation of the program the applicant attends. The Scholarship 
Application must bear the original signature of the applicant. Faxed or 
photocopied signatures will not be accepted.
b. Scholarship Application Concurrence--FORM S2 (Appendix F)
    Judges and court managers applying for scholarships must submit the 
written concurrence of the Chief Justice of the State's Supreme Court 
(or the Chief Justice's designee) on the Institute's Judicial Education 
Scholarship Concurrence form (see Appendix F). The signature of the 
presiding judge of the applicant's court cannot be substituted for that 
of the Chief Justice or the Chief Justice's designee. Court managers, 
other than elected clerks of court, also must submit a letter of 
support from their immediate supervisors.
4. Submission Requirements
    Scholarship applications must be submitted during the periods 
specified below:
    October 4 and November 29, 2004, for programs beginning between 
January 1 and March 31, 2005;
    January 3 and February 28, 2005, for programs beginning between 
April 1 and June 30, 2005;
    April 1 and May 27, 2005, for programs beginning between July 1 and 
September 30, 2005;
    July 5 and August 29, 2005, for programs beginning between October 
1 and December 31, 2005; and
    October 3 and November 28, 2005, for programs beginning between 
January 1 and March 31, 2006.
    No exceptions or extensions will be granted. Applications sent 
prior to the beginning of an application period will be treated as 
having been sent one week after the beginning of that application 
period. All the required items must be received for an application to 
be considered. If the Concurrence form or letter of support is sent 
separately from the application, the postmark date of the last item to 
be sent will be used in applying the above criteria.
    All applications should be sent by mail or courier (not fax or e-
mail) to: Scholarship Program Coordinator, State Justice Institute, 
1650 King Street, Suite 600, Alexandria, VA 22314.

VII. Application Review Procedures

A. Preliminary Inquiries

    The Institute staff will answer inquiries concerning application 
procedures. The staff contact will be named in the Institute's letter 
acknowledging receipt of the application.

B. Selection Criteria

1. Continuation Grant Applications
    a. Continuation Grant applications will be rated on the basis of 
the criteria

[[Page 61098]]

set forth below. The Institute will accord the greatest weight to the 
following criteria:
    (1) The soundness of the methodology;
    (2) The demonstration of need for the project;
    (3) The appropriateness of the proposed evaluation design;
    (4) The key findings and recommendations of the most recent 
evaluation and the proposed responses to those findings and 
recommendations;
    (5) The applicant's management plan and organizational 
capabilities;
    (6) The qualifications of the project's staff;
    (7) The products and benefits resulting from the project, including 
the extent to which the project will have long-term benefits for State 
courts across the nation;
    (8) The degree to which the findings, procedures, training, 
technology, or other results of the project can be transferred to other 
jurisdictions;
    (9) The reasonableness of the proposed budget; and
    (10) The demonstration of cooperation and support of other agencies 
that may be affected by the project.
    b. In determining which projects to support, the Institute will 
also consider whether the applicant is a State court, a national court 
support or education organization, a non-court unit of government, or 
other type of entity eligible to receive grants under the Institute's 
enabling legislation (see section IV.); the availability of financial 
assistance from other sources for the project; the amount and nature 
(cash and in-kind) of the applicant's match; the extent to which the 
proposed project would also benefit the Federal courts or help State 
courts enforce Federal constitutional and legislative requirements; and 
the level of appropriations available to the Institute in the current 
year and the amount expected to be available in succeeding fiscal 
years.
2. Technical Assistance Grant Applications
    Technical Assistance Grant applications will be rated on the basis 
of the following criteria:
    a. Whether the assistance would address a critical need of the 
applicant;
    b. The soundness of the technical assistance approach to the 
problem;
    c. The qualifications of the consultant(s) to be hired, or the 
specific criteria that will be used to select the consultant(s);
    d. The commitment of the court or association to act on the 
consultant's recommendations; and
    e. The reasonableness of the proposed budget.
    The Institute also will consider factors such as the level and 
nature of the match that would be provided, diversity of subject 
matter, geographic diversity, the level of appropriations available to 
the Institute in the current year, and the amount expected to be 
available in succeeding fiscal years.
3. Judicial Branch Education Technical Assistance Grant Applications
    Judicial Branch Education Technical Assistance Grant applications 
will be rated on the basis of the following criteria:
    a. For on-site consultant assistance:
    (1) Whether the assistance would address a critical need of the 
court or association;
    (2) The soundness of the technical assistance approach to the 
problem;
    (3) The qualifications of the consultant(s) to be hired, or the 
specific criteria that will be used to select the consultant(s);
    (4) The commitment of the court or association to act on the 
consultant's recommendations; and
    (5) The reasonableness of the proposed budget.
    b. For curriculum adaptation projects:
    (1) The goals and objectives of the proposed project;
    (2) The need for outside funding to support the program;
    (3) The appropriateness of the approach in achieving the project's 
educational objectives;
    (4) The likelihood of effective implementation and integration of 
the modified curriculum into ongoing educational programming; and
    (5) Expressions of interest by the judges and/or court personnel 
who would be directly involved in or affected by the project.
    The Institute will also consider factors such as the reasonableness 
of the amount requested, compliance with match requirements, diversity 
of subject matter, geographic diversity, the level of appropriations 
available in the current year, and the amount expected to be available 
in succeeding fiscal years.
4. Scholarships
    Scholarships will be awarded on the basis of:
    a. The date on which the application and concurrence (and support 
letter, if required) were sent;
    b. The unavailability of State or local funds to cover the costs of 
attending the program or scholarship funds from another source;
    c. The absence of educational programs in the applicant's State 
addressing the topic(s) covered by the educational program for which 
the scholarship is being sought;
    d. Geographic balance among the recipients;
    e. The balance of scholarships among educational programs;
    f. The balance of scholarships among the types of courts 
represented; and
    g. The level of appropriations available to the Institute in the 
current year and the amount expected to be available in succeeding 
fiscal years.
    The postmark or courier receipt will be used to determine the date 
on which the application form and other required items were sent.

C. Review and Approval Process

1. Continuation Grant Applications
    The Institute's Board of Directors will review the applications 
competitively. The Institute staff will prepare a narrative summary and 
a rating sheet assigning points for each relevant selection criterion. 
The staff will present the narrative summaries and rating sheets to the 
Board for its review. The Board will review all application summaries 
and decide which projects it will fund. The decision to fund a project 
is solely that of the Board of Directors.
    The Chairman of the Board will sign approved awards on behalf of 
the Institute.
2. Technical Assistance and Judicial Branch Education Technical 
Assistance Grant Applications
    The Institute staff will prepare a narrative summary of each 
application and a rating sheet assigning points for each relevant 
selection criterion. The Board of Directors has delegated its authority 
to approve Technical Assistance and Judicial Branch Education Technical 
Assistance Grants to the committee established for each program. The 
committee will review the applications competitively.
    The Chairman of the Board will sign approved awards on behalf of 
the Institute.
3. Scholarships
    A committee of the Institute's Board of Directors will review 
scholarship applications quarterly. The Board of Directors has 
delegated its authority to approve scholarships to the committee 
established for the program. The committee will review the applications 
competitively.
    The Chairman of the Board will sign approved awards on behalf of 
the Institute.

[[Page 61099]]

D. Return Policy

    Unless a specific request is made, unsuccessful applications will 
not be returned. Applicants are advised that Institute records are 
subject to the provisions of the Federal Freedom of Information Act, 5 
U.S.C. 552.

E. Notification of Board Decision

    1. The Institute will send written notice to applicants concerning 
all Board decisions to approve, defer, or deny their respective 
applications. For all applications (except scholarships), the Institute 
also will convey the key issues and questions that arose during the 
review process. A decision by the Board to deny an application may not 
be appealed, but it does not prohibit resubmission of a proposal based 
on that application in a subsequent funding cycle. The Institute will 
also notify the State court administrator when grants are approved by 
the Board to support projects that will be conducted by or involve 
courts in that State.
    2. The Institute intends to notify each scholarship applicant of 
the Board committee's decision within 30 days after the close of the 
relevant application period.

F. Response to Notification of Approval

    With the exception of those approved for scholarships, applicants 
have 30 days from the date of the letter notifying them that the Board 
has approved their application to respond to any revisions requested by 
the Board. If the requested revisions (or a reasonable schedule for 
submitting such revisions) have not been submitted to the Institute 
within 30 days after notification, the approval may be rescinded and 
the application presented to the Board for reconsideration.

VIII. Compliance Requirements

    The State Justice Institute Act contains limitations and conditions 
on grants, contracts, and cooperative agreements awarded by the 
Institute. The Board of Directors has approved additional policies 
governing the use of Institute grant funds. These statutory and policy 
requirements are set forth below.

A. Recipients of Project and Continuation Grants

1. Advocacy
    No funds made available by the Institute may be used to support or 
conduct training programs for the purpose of advocating particular 
nonjudicial public policies or encouraging nonjudicial political 
activities. 42 U.S.C. 10706(b).
2. Approval of Key Staff
    If the qualifications of an employee or consultant assigned to a 
key project staff position are not described in the application or if 
there is a change of a person assigned to such a position, the 
recipient must submit a description of the qualifications of the newly 
assigned person to the Institute. Prior written approval of the 
qualifications of the new person assigned to a key staff position must 
be received from the Institute before the salary or consulting fee of 
that person and associated costs may be paid or reimbursed from grant 
funds.
3. Audit
    Recipients of project and continuation grants must provide for an 
annual fiscal audit which includes an opinion on whether the financial 
statements of the grantee present fairly its financial position and its 
financial operations are in accordance with generally accepted 
accounting principles. (See section IX.K. of the Guideline for the 
requirements of such audits.) Scholarship recipients, Judicial Branch 
Education Technical Assistance Grants, and Technical Assistance Grants 
are not required to submit an audit, but they must maintain appropriate 
documentation to support all expenditures.
4. Budget Revisions
    Budget revisions among direct cost categories that (a) transfer 
grant funds to an unbudgeted cost category or (b) individually or 
cumulatively exceed five percent of the approved original budget or the 
most recently approved revised budget require prior Institute approval.
5. Conflict of Interest
    Personnel and other officials connected with Institute-funded 
programs must adhere to the following requirements:
    a. No official or employee of a recipient court or organization 
shall participate personally through decision, approval, disapproval, 
recommendation, the rendering of advice, investigation, or otherwise in 
any proceeding, application, request for a ruling or other 
determination, contract, grant, cooperative agreement, claim, 
controversy, or other particular matter in which Institute funds are 
used, where, to his or her knowledge, he or she or his or her immediate 
family, partners, organization other than a public agency in which he 
or she is serving as officer, director, trustee, partner, or employee 
or any person or organization with whom he or she is negotiating or has 
any arrangement concerning prospective employment, has a financial 
interest.
    b. In the use of Institute project funds, an official or employee 
of a recipient court or organization shall avoid any action which might 
result in or create the appearance of:
    (1) Using an official position for private gain; or
    (2) affecting adversely the confidence of the public in the 
integrity of the Institute program.
    c. Requests for proposals or invitations for bids issued by a 
recipient of Institute funds or a subgrantee or subcontractor will 
provide notice to prospective bidders that the contractors who develop 
or draft specifications, requirements, statements of work, and/or 
requests for proposals for a proposed procurement will be excluded from 
bidding on or submitting a proposal to compete for the award of such 
procurement.
6. Inventions and Patents
    If any patentable items, patent rights, processes, or inventions 
are produced in the course of Institute-sponsored work, such fact shall 
be promptly and fully reported to the Institute. Unless there is a 
prior agreement between the grantee and the Institute on disposition of 
such items, the Institute shall determine whether protection of the 
invention or discovery shall be sought. The Institute will also 
determine how the rights in the invention or discovery, including 
rights under any patent issued thereon, shall be allocated and 
administered in order to protect the public interest consistent with 
``Government Patent Policy'' (President's Memorandum for Heads of 
Executive Departments and Agencies, February 18, 1983, and statement of 
Government Patent Policy).
7. Lobbying
    a. Funds awarded to recipients by the Institute shall not be used, 
indirectly or directly, to influence Executive Orders or similar 
promulgations by Federal, State or local agencies, or to influence the 
passage or defeat of any legislation by Federal, State or local 
legislative bodies. 42 U.S.C. 10706(a).
    b. It is the policy of the Board of Directors to award funds only 
to support applications submitted by organizations that would carry out 
the objectives of their applications in an unbiased manner. Consistent 
with this policy and the provisions of 42 U.S.C. 10706, the Institute 
will not knowingly award a grant to an applicant that has, directly or 
through an entity that is part of the same organization as the 
applicant, advocated a position before Congress on

[[Page 61100]]

the specific subject matter of the application.
8. Matching Requirements
    All grantees other than scholarship recipients and individuals who 
receive ``think piece'' grants are required to provide match. See 
section III.L. for the definition of match. The amount and nature of 
required match depends on the type of organization receiving the grant 
and the duration of the Institute's support.
    The grantee is responsible for ensuring that the total amount of 
match proposed is actually contributed. If a proposed contribution is 
not fully met, the Institute may reduce the award amount accordingly, 
in order to maintain the ratio originally provided for in the award 
agreement (see section IX.E.1.).
    The Board of Directors considers the amount and nature of 
unrequired match contributed by applicants in making grant decisions. 
Cash match and non-cash match may be provided, subject to the 
requirements of subsection a. below.
a. Continuation Grants
    All grantees are required to assume a greater share of project 
support over time.
    (1) State and local units of government. State and local units of 
government are required to provide match equaling at least 50% of the 
amount provided by SJI in the first year of the project, 60% in the 
second year, 75% in the third year, 90% in the fourth year, and 100% in 
the fifth year. For example, if SJI awards a State court $100,000 for 
the first year of a grant, the court would be required to provide 
$50,000 in match. If the second-year grant is also $100,000, the court 
is required to provide $60,000 in match. A court that wishes to limit 
its second-year contribution to $50,000 may ask the Institute for a 
reduced amount, i.e., $83,333, in order to meet the 60% requirement.
    (2) All other grantees. All other grantees are required to provide 
match equaling at least 25% of the amount provided by the Institute in 
the first year of the project, 30% in the second year, 37.5% in the 
third year, 45% in the fourth year, and 50% in the fifth year. For 
example, if the Institute awards a non-profit organization $100,000 for 
the first year of a grant, the organization must provide $25,000 in 
match. If the second-year grant is also $100,000, the grantee is 
required to provide $30,000 in match. An organization that wishes to 
limit its second-year contribution to $25,000 may ask the Institute for 
a reduced amount, i.e., $83,333, in order to meet the 30% requirement.
b. Waiver
    (1) Match generally.
    (a) The match requirement for State and local units of government 
may be waived in exceptionally rare circumstances upon the request of 
the Chief Justice of the highest court in the State and approval by the 
Board of Directors. 42 U.S.C. 10705(d).
    (b) The match requirement for all other grantees required to 
provide match may be waived in exceptionally rare circumstances upon 
the request of an appropriate official and approval by the Board of 
Directors.
    (2) Cash match. For all grantees required to provide cash match, 
the requirement may be waived upon the applicant's demonstration that 
providing the required cash match will cause the applicant a financial 
hardship.
    (3) The Board of Directors encourages all applicants to provide the 
maximum amount of in-kind and cash match possible, even if a waiver is 
approved. The amount and nature of match are criteria in the grant 
selection process. See section VII.B.1.b.
9. Nondiscrimination
    No person may, on the basis of race, sex, national origin, 
disability, color, or creed be excluded from participation in, denied 
the benefits of, or otherwise subjected to discrimination under any 
program or activity supported by Institute funds. Recipients of 
Institute funds must immediately take any measures necessary to 
effectuate this provision.
10. Political Activities
    No recipient may contribute or make available Institute funds, 
program personnel, or equipment to any political party or association, 
or the campaign of any candidate for public or party office. Recipients 
are also prohibited from using funds in advocating or opposing any 
ballot measure, initiative, or referendum. Officers and employees of 
recipients shall not intentionally identify the Institute or recipients 
with any partisan or nonpartisan political activity associated with a 
political party or association, or the campaign of any candidate for 
public or party office. 42 U.S.C. 10706(a).
11. Products
a. Acknowledgment, Logo, and Disclaimer
    (1) Recipients of Institute funds must acknowledge prominently on 
all products developed with grant funds that support was received from 
the Institute. The ``SJI'' logo must appear on the front cover of a 
written product, or in the opening frames of a video product, unless 
another placement is approved in writing by the Institute. This 
includes final products printed or otherwise reproduced during the 
grant period, as well as reprintings or reproductions of those 
materials following the end of the grant period. A camera-ready logo 
sheet is available from the Institute upon request.
    (2) Recipients also must display the following disclaimer on all 
grant products: ``This [document, film, videotape, etc.] was developed 
under [grant/cooperative agreement] number SJI-[insert number] from the 
State Justice Institute. The points of view expressed are those of the 
[author(s), filmmaker(s), etc.] and do not necessarily represent the 
official position or policies of the State Justice Institute.''
b. Charges for Grant-Related Products/Recovery of Costs
    (1) When Institute funds fully cover the cost of developing, 
producing, and disseminating a product (e.g., a report, curriculum, 
videotape, or software), the product should be distributed to the field 
without charge. When Institute funds only partially cover the 
development, production, or dissemination costs, the grantee may, with 
the Institute's prior written approval, recover its costs for 
developing, producing, and disseminating the material to those 
requesting it, to the extent that those costs were not covered by 
Institute funds or grantee matching contributions.
    (2) Applicants should disclose their intent to sell grant-related 
products in the application. Grantees must obtain the written prior 
approval of the Institute of their plans to recover project costs 
through the sale of grant products. Written requests to recover costs 
ordinarily should be received during the grant period and should 
specify the nature and extent of the costs to be recouped, the reason 
that such costs were not budgeted (if the rationale was not disclosed 
in the approved application), the number of copies to be sold, the 
intended audience for the products to be sold, and the proposed sale 
price. If the product is to be sold for more than $25, the written 
request also should include a detailed itemization of costs that will 
be recovered and a certification that the costs were not supported by 
either Institute grant funds or grantee matching contributions.

[[Page 61101]]

    (3) In the event that the sale of grant products results in 
revenues that exceed the costs to develop, produce, and disseminate the 
product, the revenue must continue to be used for the authorized 
purposes of the Institute-funded project or other purposes consistent 
with the State Justice Institute Act that have been approved by the 
Institute. See sections III.O. and IX.G. for requirements regarding 
project-related income realized during the project period.
c. Copyrights
    Except as otherwise provided in the terms and conditions of an 
Institute award, a recipient is free to copyright any books, 
publications, or other copyrightable materials developed in the course 
of an Institute-supported project, but the Institute shall reserve a 
royalty-free, nonexclusive and irrevocable right to reproduce, publish, 
or otherwise use, and to authorize others to use, the materials for 
purposes consistent with the State Justice Institute Act.
d. Distribution
    In addition to the distribution specified in the grant application, 
grantees shall send:
    (1) Fifteen (15) copies of each final product developed with grant 
funds to the Institute, unless the product was developed under either a 
Technical Assistance or a Judicial Branch Education Technical 
Assistance grant, in which case submission of 2 copies is required;
    (2) An electronic version of the product in .html or .pdf format to 
the Institute; and
    (3) One copy of each final product developed with grant funds to 
the library established in each State to collect materials prepared 
with Institute support. (A list of the libraries is contained in 
Appendix A. Labels for these libraries are available on the Institute's 
Web site, http://www.statejustice.org.) Grantees that develop web-based 
electronic products must send a hard-copy document to the SJI-
designated libraries and other appropriate audiences to alert them to 
the availability of the Web site or electronic product. Recipients of 
Judicial Branch Education Technical Assistance and Technical Assistance 
Grants are not required to submit final products to State libraries.
    (4) A press release describing the project and announcing the 
results to a list of national and State judicial branch organizations 
provided by the Institute.
e. Institute Approval
    No grant funds may be obligated for publication or reproduction of 
a final product developed with grant funds without the written approval 
of the Institute. Grantees shall submit a final draft of each written 
product to the Institute for review and approval. The draft must be 
submitted at least 30 days before the product is scheduled to be sent 
for publication or reproduction to permit Institute review and 
incorporation of any appropriate changes required by the Institute. 
Grantees must provide for timely reviews by the Institute of videotape 
or CD-ROM products at the treatment, script, rough cut, and final 
stages of development or their equivalents.
f. Original Material
    All products prepared as the result of Institute-supported projects 
must be originally-developed material unless otherwise specified in the 
award documents. Material not originally developed that is included in 
such products must be properly identified, whether the material is in a 
verbatim or extensive paraphrase format.
12. Prohibition Against Litigation Support
    No funds made available by the Institute may be used directly or 
indirectly to support legal assistance to parties in litigation, 
including cases involving capital punishment.
13. Reporting Requirements
    a. Recipients of Institute funds other than scholarships must 
submit Quarterly Progress and Financial Status Reports within 30 days 
of the close of each calendar quarter (that is, no later than January 
30, April 30, July 30, and October 30). Two copies of each report must 
be sent. The Quarterly Progress Reports shall include a narrative 
description of project activities during the calendar quarter, the 
relationship between those activities and the task schedule and 
objectives set forth in the approved application or an approved 
adjustment thereto, any significant problem areas that have developed 
and how they will be resolved, and the activities scheduled during the 
next reporting period.
    b. The quarterly Financial Status Report must be submitted in 
accordance with section IX.H.2. of this Guideline. A final project 
Progress Report and Financial Status Report shall be submitted within 
90 days after the end of the grant period in accordance with section 
IX.L.1. of this Guideline.
14. Research
a. Availability of Research Data for Secondary Analysis
    Upon request, grantees must make available for secondary analysis a 
diskette(s) or data tape(s) containing research and evaluation data 
collected under an Institute grant and the accompanying code manual. 
Grantees may recover the actual cost of duplicating and mailing or 
otherwise transmitting the data set and manual from the person or 
organization requesting the data. Grantees may provide the requested 
data set in the format in which it was created and analyzed.
b. Confidentiality of Information
    Except as provided by Federal law other than the State Justice 
Institute Act, no recipient of financial assistance from SJI may use or 
reveal any research or statistical information furnished under the Act 
by any person and identifiable to any specific private person for any 
purpose other than the purpose for which the information was obtained. 
Such information and copies thereof shall be immune from legal process, 
and shall not, without the consent of the person furnishing such 
information, be admitted as evidence or used for any purpose in any 
action, suit, or other judicial, legislative, or administrative 
proceedings.
c. Human Subject Protection
    All research involving human subjects shall be conducted with the 
informed consent of those subjects and in a manner that will ensure 
their privacy and freedom from risk or harm and the protection of 
persons who are not subjects of the research but would be affected by 
it, unless such procedures and safeguards would make the research 
impractical. In such instances, the Institute must approve procedures 
designed by the grantee to provide human subjects with relevant 
information about the research after their involvement and to minimize 
or eliminate risk or harm to those subjects due to their participation.
15. State and Local Court Applications
    Each application for funding from a State or local court must be 
approved, consistent with State law, by the State's Supreme Court, or 
its designated agency or council. The Supreme Court or its designee 
shall receive, administer, and be accountable for all funds awarded on 
the basis of such an application. 42 U.S.C. 10705(b)(4).

[[Page 61102]]

16. Supplantation and Construction
    To ensure that funds are used to supplement and improve the 
operation of State courts, rather than to support basic court services, 
funds shall not be used for the following purposes:
    a. To supplant State or local funds supporting a program or 
activity (such as paying the salary of court employees who would be 
performing their normal duties as part of the project, or paying rent 
for space which is part of the court's normal operations);
    b. To construct court facilities or structures, except to remodel 
existing facilities or to demonstrate new architectural or 
technological techniques, or to provide temporary facilities for new 
personnel or for personnel involved in a demonstration or experimental 
program; or
    c. Solely to purchase equipment.
17. Suspension or Termination of Funding
    After providing a recipient reasonable notice and opportunity to 
submit written documentation demonstrating why fund termination or 
suspension should not occur, the Institute may terminate or suspend 
funding of a project that fails to comply substantially with the Act, 
the Guideline, or the terms and conditions of the award. 42 U.S.C. 
10708(a).
18. Title to Property
    At the conclusion of the project, title to all expendable and 
nonexpendable personal property purchased with Institute funds shall 
vest in the recipient court, organization, or individual that purchased 
the property if certification is made to and approved by the Institute 
that the property will continue to be used for the authorized purposes 
of the Institute-funded project or other purposes consistent with the 
State Justice Institute Act. If such certification is not made or the 
Institute disapproves such certification, title to all such property 
with an aggregate or individual value of $1,000 or more shall vest in 
the Institute, which will direct the disposition of the property.

B. Recipients of Judicial Branch Education Technical Assistance and 
Technical Assistance Grants

    Recipients of Judicial Branch Education Technical Assistance and 
Technical Assistance Grants must comply with the requirements listed in 
section VIII.A. (except the requirements pertaining to audits in 
section VIII.A.3. and product dissemination and approval in section 
VIII.A.11.d. and e.) and the reporting requirements below:
1. Judicial Branch Education Technical Assistance Grant Reporting 
Requirements
    Recipients of Judicial Branch Education Technical Assistance Grants 
must submit one copy of the manuals, handbooks, conference packets, or 
consultant's report developed under the grant at the conclusion of the 
grant period, along with a final report that includes any evaluation 
results and explains how the grantee intends to present the educational 
program in the future and/or implement the consultant's 
recommendations, as well as two copies of the consultant's report.
2. Technical Assistance Grant Reporting Requirements
    Recipients of Technical Assistance Grants must submit to the 
Institute one copy of a final report that explains how it intends to 
act on the consultant's recommendations, as well as two copies of the 
consultant's written report.

C. Scholarship Recipients

    1. Scholarship recipients are responsible for disseminating the 
information received from the course to their court colleagues locally 
and, if possible, throughout the State (e.g., by developing a formal 
seminar, circulating the written material, or discussing the 
information at a meeting or conference).
    Recipients also must submit to the Institute a certificate of 
attendance at the program, an evaluation of the educational program 
they attended, and a copy of the notice of any scholarship funds 
received from other sources. A copy of the evaluation must be sent to 
the Chief Justice of the scholarship recipient's State. A State or 
local jurisdiction may impose additional requirements on scholarship 
recipients.
    2. To receive the funds authorized by a scholarship award, 
recipients must submit a Scholarship Payment Voucher (Form S3) together 
with a tuition statement from the program sponsor, a transportation 
fare receipt (or statement of the driving mileage to and from the 
recipient's home to the site of the educational program), and a lodging 
receipt.
    Scholarship Payment Vouchers should be submitted within 90 days 
after the end of the course which the recipient attended.
    3. Scholarship recipients are encouraged to check with their tax 
advisors to determine whether the scholarship constitutes taxable 
income under Federal and State law.

IX. Financial Requirements

A. Purpose

    The purpose of this section is to establish accounting system 
requirements and offer guidance on procedures to assist all grantees, 
subgrantees, contractors, and other organizations in:
    1. Complying with the statutory requirements for the award, 
disbursement, and accounting of funds;
    2. Complying with regulatory requirements of the Institute for the 
financial management and disposition of funds;
    3. Generating financial data to be used in planning, managing, and 
controlling projects; and
    4. Facilitating an effective audit of funded programs and projects.

B. References

    Except where inconsistent with specific provisions of this 
Guideline, the following circulars are applicable to Institute grants 
and cooperative agreements under the same terms and conditions that 
apply to Federal grantees. The circulars supplement the requirements of 
this section for accounting systems and financial record-keeping and 
provide additional guidance on how these requirements may be satisfied. 
(Circulars may be obtained on the OMB Web site at http://www.whitehouse.gov/omb.)

    1. Office of Management and Budget (OMB) Circular A-21, Cost 
Principles for Educational Institutions.
    2. Office of Management and Budget (OMB) Circular A-87, Cost 
Principles for State and Local Governments.
    3. Office of Management and Budget (OMB) Circular A-88, Indirect 
Cost Rates, Audit and Audit Follow-up at Educational Institutions.
    4. Office of Management and Budget (OMB) Circular A-102, Uniform 
Administrative Requirements for Grants-in-Aid to State and Local 
Governments.
    5. Office of Management and Budget (OMB) Circular A-110, Grants 
and Agreements with Institutions of Higher Education, Hospitals and 
Other Non-Profit Organizations.
    6. Office of Management and Budget (OMB) Circular A-122, Cost 
Principles for Non-profit Organizations.
    7. Office of Management and Budget (OMB) Circular A-128, Audits 
of State and Local Governments.
    8. Office of Management and Budget (OMB) Circular A-133, Audits 
of Institutions of Higher Education and Other Non-profit 
Institutions.


[[Page 61103]]



C. Supervision and Monitoring Responsibilities

1. Grantee Responsibilities
    All grantees receiving awards from the Institute are responsible 
for the management and fiscal control of all funds. Responsibilities 
include accounting for receipts and expenditures, maintaining adequate 
financial records, and refunding expenditures disallowed by audits.
2. Responsibilities of State Supreme Court
    a. Each application for funding from a State or local court must be 
approved, consistent with State law, by the State's Supreme Court, or 
its designated agency or council. (See section III.F.)
    b. The State Supreme Court or its designee shall receive all 
Institute funds awarded to such courts; be responsible for assuring 
proper administration of Institute funds; and be responsible for all 
aspects of the project, including proper accounting and financial 
record-keeping by the subgrantee. These responsibilities include:
    (1) Reviewing Financial Operations. The State Supreme Court or its 
designee should be familiar with, and periodically monitor, its 
subgrantees' financial operations, records system, and procedures. 
Particular attention should be directed to the maintenance of current 
financial data.
    (2) Recording Financial Activities. The subgrantee's grant award or 
contract obligation, as well as cash advances and other financial 
activities, should be recorded in the financial records of the State 
Supreme Court or its designee in summary form. Subgrantee expenditures 
should be recorded on the books of the State Supreme Court or evidenced 
by report forms duly filed by the subgrantee. Matching contributions 
provided by subgrantees should likewise be recorded, as should any 
project income resulting from program operations.
    (3) Budgeting and Budget Review. The State Supreme Court or its 
designee should ensure that each subgrantee prepares an adequate budget 
as the basis for its award commitment. The State Supreme Court should 
maintain the details of each project budget on file.
    (4) Accounting for Match. The State Supreme Court or its designee 
will ensure that subgrantees comply with the match requirements 
specified in this Guideline (see section VIII.A.8.).
    (5) Audit Requirement. The State Supreme Court or its designee is 
required to ensure that subgrantees meet the necessary audit 
requirements set forth by the Institute (see sections K. below and 
VIII.A.3.)
    (6) Reporting Irregularities. The State Supreme Court, its 
designees, and its subgrantees are responsible for promptly reporting 
to the Institute the nature and circumstances surrounding any financial 
irregularities discovered.

D. Accounting System

    The grantee is responsible for establishing and maintaining an 
adequate system of accounting and internal controls and for ensuring 
that an adequate system exists for each of its subgrantees and 
contractors. An acceptable and adequate accounting system:
    1. Properly accounts for receipt of funds under each grant awarded 
and the expenditure of funds for each grant by category of expenditure 
(including matching contributions and project income);
    2. Assures that expended funds are applied to the appropriate 
budget category included within the approved grant;
    3. Presents and classifies historical costs of the grant as 
required for budgetary and evaluation purposes;
    4. Provides cost and property controls to assure optimal use of 
grant funds;
    5. Is integrated with a system of internal controls adequate to 
safeguard the funds and assets covered, check the accuracy and 
reliability of the accounting data, promote operational efficiency, and 
assure conformance with any general or special conditions of the grant;
    6. Meets the prescribed requirements for periodic financial 
reporting of operations; and
    7. Provides financial data for planning, control, measurement, and 
evaluation of direct and indirect costs.

E. Total Cost Budgeting and Accounting

    Accounting for all funds awarded by the Institute must be 
structured and executed on a total project cost basis. That is, total 
project costs, including Institute funds, State and local matching 
shares, and any other fund sources included in the approved project 
budget serve as the foundation for fiscal administration and 
accounting. Grant applications and financial reports require budget and 
cost estimates on the basis of total costs.
1. Timing of Matching Contributions
    Matching contributions need not be applied at the exact time of the 
obligation of Institute funds. Ordinarily, the full matching share must 
be obligated during the award period; however, with the written 
permission of the Institute, contributions made following approval of 
the grant by the Institute's Board of Directors but before the 
beginning of the grant may be counted as match. Grantees that do not 
contemplate making matching contributions continuously throughout the 
course of a project, or on a task-by-task basis, are required to submit 
a schedule within 30 days after the beginning of the project period 
indicating at what points during the project period the matching 
contributions will be made. If a proposed cash or in-kind match is not 
fully met, the Institute may reduce the award amount accordingly to 
maintain the ratio of grant funds to matching funds stated in the award 
agreement.
2. Records for Match
    All grantees must maintain records that clearly show the source, 
amount, and timing of all matching contributions. In addition, if a 
project has included, within its approved budget, contributions which 
exceed the required matching portion, the grantee must maintain records 
of those contributions in the same manner as it does Institute funds 
and required matching shares. For all grants made to State and local 
courts, the State Supreme Court has primary responsibility for grantee/
subgrantee compliance with the requirements of this section. (See 
section IX.C.2. above.)

F. Maintenance and Retention of Records

    All financial records, including supporting documents, statistical 
records, and all other information pertinent to grants, subgrants, 
cooperative agreements, or contracts under grants, must be retained by 
each organization participating in a project for at least three years 
for purposes of examination and audit. State Supreme Courts may impose 
record retention and maintenance requirements in addition to those 
prescribed in this section.
1. Coverage
    The retention requirement extends to books of original entry, 
source documents supporting accounting transactions, the general 
ledger, subsidiary ledgers, personnel and payroll records, canceled 
checks, and related documents and records. Source documents include 
copies of all grant and subgrant awards, applications, and required 
grantee/subgrantee financial and narrative reports. Personnel and 
payroll records shall include the time and attendance reports for all 
individuals reimbursed under a grant, subgrant or contract, whether 
they are

[[Page 61104]]

employed full-time or part-time. Time and effort reports are required 
for consultants.
2. Retention Period
    The three-year retention period starts from the date of the 
submission of the final expenditure report.
3. Maintenance
    Grantees and subgrantees are expected to see that records of 
different fiscal years are separately identified and maintained so that 
requested information can be readily located. Grantees and subgrantees 
are also obligated to protect records adequately against fire or other 
damage.
    When records are stored away from the grantee's/subgrantee's 
principal office, a written index of the location of stored records 
should be on hand, and ready access should be assured.
4. Access
    Grantees and subgrantees must give any authorized representative of 
the Institute access to and the right to examine all records, books, 
papers, and documents related to an Institute grant.

G. Project-Related Income

    Records of the receipt and disposition of project-related income 
must be maintained by the grantee in the same manner as required for 
the project funds that gave rise to the income and must be reported to 
the Institute. (See section IX.H.2. below.) The policies governing the 
disposition of the various types of project-related income are listed 
below.
1. Interest
    A State and any agency or instrumentality of a State, including 
institutions of higher education and hospitals, shall not be held 
accountable for interest earned on advances of project funds. When 
funds are awarded to subgrantees through a State, the subgrantees are 
not held accountable for interest earned on advances of project funds. 
Local units of government and nonprofit organizations that are grantees 
must refund any interest earned. Grantees shall ensure minimum balances 
in their respective grant cash accounts.
2. Royalties
    The grantee/subgrantee may retain all royalties received from 
copyrights or other works developed under projects or from patents and 
inventions, unless the terms and conditions of the grant provide 
otherwise.
3. Registration and Tuition Fees
    Registration and tuition fees may be considered as cash match with 
the prior written approval of the Institute. Estimates of registration 
and tuition fees, and any expenses to be offset by the fees, should be 
included in the application budget forms and narrative.
4. Income from the Sale of Grant Products
    If the sale of products occurs during the project period, the 
income may be treated as cash match with the prior written approval of 
the Institute. The costs and income generated by the sales must be 
reported on the Quarterly Financial Status Reports and documented in an 
auditable manner. Whenever possible, the intent to sell a product 
should be disclosed in the application or reported to the Institute in 
writing once a decision to sell products has been made. The grantee 
must request approval to recover its product development, reproduction, 
and dissemination costs as specified in section VIII.A.11.b.
5. Other
    Other project income shall be treated in accordance with 
disposition instructions set forth in the grant's terms and conditions.

H. Payments and Financial Reporting Requirements

1. Payment of Grant Funds
    The procedures and regulations set forth below are applicable to 
all Institute grant funds and grantees.
    a. Request for Advance or Reimbursement of Funds. Grantees will 
receive funds on a ``check-issued'' basis. Upon receipt, review, and 
approval of a Request for Advance or Reimbursement by the Institute, a 
check will be issued directly to the grantee or its designated fiscal 
agent. A request must be limited to the grantee's immediate cash needs. 
The Request for Advance or Reimbursement, along with the instructions 
for its preparation, will be included in the official Institute award 
package.
    b. Continuation Grants. For purposes of submitting Requests for 
Advance or Reimbursement, recipients of continuation grants should 
treat each grant as a new project and number the requests accordingly 
(i.e., on a grant rather than a project basis). For example, the first 
request for payment from a continuation grant would be number 1, the 
second number 2, etc.
    c. Termination of Advance and Reimbursement Funding. When a grantee 
organization receiving cash advances from the Institute:
    (1) Demonstrates an unwillingness or inability to attain program or 
project goals, or to establish procedures that will minimize the time 
elapsing between cash advances and disbursements, or cannot adhere to 
guideline requirements or special conditions;
    (2) Engages in the improper award and administration of subgrants 
or contracts; or
    (3) Is unable to submit reliable and/or timely reports; the 
Institute may terminate advance financing and require the grantee 
organization to finance its operations with its own working capital. 
Payments to the grantee shall then be made by check to reimburse the 
grantee for actual cash disbursements. In the event the grantee 
continues to be deficient, the Institute may suspend reimbursement 
payments until the deficiencies are corrected.
    d. Principle of Minimum Cash on Hand. Grantees should request funds 
based upon immediate disbursement requirements. Grantees should time 
their requests to ensure that cash on hand is the minimum needed for 
disbursements to be made immediately or within a few days.
2. Financial Reporting
    a. General Requirements. To obtain financial information concerning 
the use of funds, the Institute requires that grantees/subgrantees 
submit timely reports for review.
    b. Two copies of the Financial Status Report are required from all 
grantees, other than scholarship recipients, for each active quarter on 
a calendar-quarter basis. This report is due within 30 days after the 
close of the calendar quarter. It is designed to provide financial 
information relating to Institute funds, State and local matching 
shares, project income, and any other sources of funds for the project, 
as well as information on obligations and outlays. A copy of the 
Financial Status Report, along with instructions for its preparation, 
is included in each official Institute Award package. If a grantee 
requests substantial payments for a project prior to the completion of 
a given quarter, the Institute may request a brief summary of the 
amount requested, by object class, to support the Request for Advance 
or Reimbursement.
    c. Additional Requirements for Continuation Grants. Grantees 
receiving continuation grants should number their quarterly Financial 
Status Reports on a grant rather than a project basis. For example, the 
first quarterly report for a continuation grant award should be number 
1, the second number 2, etc.

[[Page 61105]]

3. Consequences of Non-Compliance With Submission Requirement
    Failure of the grantee to submit required financial and progress 
reports may result in suspension or termination of grant payments.

I. Allowability of Costs

1. General
    Except as may be otherwise provided in the conditions of a 
particular grant, cost allowability is determined in accordance with 
the principles set forth in OMB Circulars A-21, Cost Principles 
Applicable to Grants and Contracts with Educational Institutions; A-87, 
Cost Principles for State and Local Governments; and A-122, Cost 
Principles for Non-profit Organizations. No costs may be recovered to 
liquidate obligations incurred after the approved grant period. 
Circulars may be obtained on the OMB Web site at http://www.whitehouse.gov/omb.
2. Costs Requiring Prior Approval
    a. Pre-agreement Costs. The written prior approval of the Institute 
is required for costs considered necessary but which occur prior to the 
start date of the project period.
    b. Equipment. Grant funds may be used to purchase or lease only 
that equipment essential to accomplishing the goals and objectives of 
the project. The written prior approval of the Institute is required 
when the amount of automated data processing (ADP) equipment to be 
purchased or leased exceeds $10,000 or software to be purchased exceeds 
$3,000.
    c. Consultants. The written prior approval of the Institute is 
required when the rate of compensation to be paid a consultant exceeds 
$300 a day. Institute funds may not be used to pay a consultant more 
than $900 per day.
    d. Budget Revisions. Budget revisions among direct cost categories 
that (i) transfer grant funds to an unbudgeted cost category or (ii) 
individually or cumulatively exceed five percent (5%) of the approved 
original budget or the most recently approved revised budget require 
prior Institute approval. See section X.A.1.
3. Travel Costs
    Transportation and per diem rates must comply with the policies of 
the grantee. If the grantee does not have an established written travel 
policy, then travel rates must be consistent with those established by 
the Institute or the Federal Government. Institute funds may not be 
used to cover the transportation or per diem costs of a member of a 
national organization to attend an annual or other regular meeting of 
that organization.
4. Indirect Costs
    These are costs of an organization that are not readily assignable 
to a particular project but are necessary to the operation of the 
organization and the performance of the project. The cost of operating 
and maintaining facilities, depreciation, and administrative salaries 
are examples of the types of costs that are usually treated as indirect 
costs. Although the Institute's policy requires all costs to be 
budgeted directly, it will accept indirect costs if a grantee has an 
indirect cost rate approved by a Federal agency as set forth below. 
However, recoverable indirect costs are limited to no more than 75% of 
a grantee's direct personnel costs (salaries plus fringe benefits). 
Grantees may apply unrecoverable indirect costs to meet their required 
matching contributions, including the required level of cash match. See 
sections III.L. and VI.A.4.d.(11).
    a. Approved Plan Available. (1) A copy of an indirect cost rate 
agreement or allocation plan approved for a grantee during the 
preceding two years by any Federal granting agency on the basis of 
allocation methods substantially in accord with those set forth in the 
applicable cost circulars must be submitted to the Institute.
    (2) Where flat rates are accepted in lieu of actual indirect costs, 
grantees may not also charge expenses normally included in overhead 
pools, e.g., accounting services, legal services, building occupancy 
and maintenance, etc., as direct costs.
    b. Establishment of Indirect Cost Rates. To be reimbursed for 
indirect costs, a grantee must first establish an appropriate indirect 
cost rate. To do this, the grantee must prepare an indirect cost rate 
proposal and submit it to the Institute within three months after the 
start of the grant period to assure recovery of the full amount of 
allowable indirect costs. The rate must be developed in accordance with 
principles and procedures appropriate to the type of grantee 
institution involved as specified in the applicable OMB Circular.
    c. No Approved Plan. If an indirect cost proposal for recovery of 
indirect costs is not submitted to the Institute within three months 
after the start of the grant period, indirect costs will be irrevocably 
disallowed for all months prior to the month that the indirect cost 
proposal is received.

J. Procurement and Property Management Standards

1. Procurement Standards
    For State and local governments, the Institute has adopted the 
standards set forth in Attachment O of OMB Circular A-102. Institutions 
of higher education, hospitals, and other non-profit organizations will 
be governed by the standards set forth in Attachment O of OMB Circular 
A-110.
2. Property Management Standards
    The property management standards as prescribed in Attachment N of 
OMB Circulars A-102 and A-110 apply to all Institute grantees and 
subgrantees except as provided in section VIII.A.18. All grantees/
subgrantees are required to be prudent in the acquisition and 
management of property with grant funds. If suitable property required 
for the successful execution of projects is already available within 
the grantee or subgrantee organization, expenditures of grant funds for 
the acquisition of new property will be considered unnecessary.

K. Audit Requirements

1. Implementation
    Each recipient of a Project or Continuation Grant must provide for 
an annual fiscal audit. This requirement also applies to a State or 
local court receiving a subgrant from the State Supreme Court. The 
audit may be of the entire grantee or subgrantee organization or of the 
specific project funded by the Institute. Audits conducted in 
accordance with the Single Audit Act of 1984 and OMB Circular A-128, or 
OMB Circular A-133, will satisfy the requirement for an annual fiscal 
audit. The audit must be conducted by an independent Certified Public 
Accountant, or a State or local agency authorized to audit government 
agencies. Grantees must send two copies of the audit report to the 
Institute. Grantees that receive funds from a Federal agency and 
satisfy audit requirements of the cognizant Federal agency must submit 
two copies of the audit report prepared for that Federal agency to the 
Institute in order to satisfy the provisions of this section.
2. Resolution and Clearance of Audit Reports
    Timely action on recommendations by responsible management 
officials is an integral part of the effectiveness of an audit. Each 
grantee must have policies and procedures for acting on audit 
recommendations by designating officials responsible for: follow-up; 
maintaining a record of the actions

[[Page 61106]]

taken on recommendations and time schedules; responding to and acting 
on audit recommendations; and submitting periodic reports to the 
Institute on recommendations and actions taken.
3. Consequences of Non-Resolution of Audit Issues
    Ordinarily, the Institute will not make a subsequent grant award to 
an applicant that has an unresolved audit report involving Institute 
awards. Failure of the grantee to resolve audit questions may also 
result in the suspension or termination of payments for active 
Institute grants to that organization.

L. Close-Out of Grants

1. Grantee Close-Out Requirements
    Within 90 days after the end date of the grant or any approved 
extension thereof (see section IX.L.2. below), the following documents 
must be submitted to the Institute by grantees (other than scholarship 
recipients):
    a. Financial Status Report. The final report of expenditures must 
have no unliquidated obligations and must indicate the exact balance of 
unobligated funds. Any unobligated/unexpended funds will be deobligated 
from the award by the Institute. Final payment requests for obligations 
incurred during the award period must be submitted to the Institute 
prior to the end of the 90-day close-out period. Grantees on a check-
issued basis, who have drawn down funds in excess of their obligations/
expenditures, must return any unused funds as soon as it is determined 
that the funds are not required. In no case should any unused funds 
remain with the grantee beyond the submission date of the final 
Financial Status Report.
    b. Final Progress Report. This report should describe the project 
activities during the final calendar quarter of the project and the 
close-out period, including to whom project products have been 
disseminated; provide a summary of activities during the entire 
project; specify whether all the objectives set forth in the approved 
application or an approved adjustment have been met and, if any of the 
objectives have not been met, explain why not; and discuss what, if 
anything, could have been done differently that might have enhanced the 
impact of the project or improved its operation.
    These reporting requirements apply at the conclusion of every grant 
other than a scholarship, even when the project will continue under a 
Continuation Grant.
2. Extension of Close-Out Period
    Upon the written request of the grantee, the Institute may extend 
the close-out period to assure completion of the grantee's close-out 
requirements. Requests for an extension must be submitted at least 14 
days before the end of the close-out period and must explain why the 
extension is necessary and what steps will be taken to assure that all 
the grantee's responsibilities will be met by the end of the extension 
period.

X. Grant Adjustments

    All requests for programmatic or budgetary adjustments requiring 
Institute approval must be submitted by the project director in a 
timely manner (ordinarily 30 days prior to the implementation of the 
adjustment being requested). All requests for changes from the approved 
application will be carefully reviewed for both consistency with this 
Guideline and the enhancement of grant goals and objectives.

A. Grant Adjustments Requiring Prior Written Approval

    The following grant adjustments require the prior written approval 
of the Institute:
    1. Budget revisions among direct cost categories that (a) transfer 
grant funds to an unbudgeted cost category or (b) individually or 
cumulatively exceed five percent (5%) of the approved original budget 
or the most recently approved revised budget. See section IX.I.2.d.
    For Continuation Grants, funds from the original award may be used 
during the new grant period and funds awarded through a continuation 
grant may be used to cover project-related expenditures incurred during 
the original award period, with the prior written approval of the 
Institute.
    2. A change in the scope of work to be performed or the objectives 
of the project (see D. below in this section).
    3. A change in the project site.
    4. A change in the project period, such as an extension of the 
grant period and/or extension of the final financial or progress report 
deadline (see E. below).
    5. Satisfaction of special conditions, if required.
    6. A change in or temporary absence of the project director (see F. 
and G. below).
    7. The assignment of an employee or consultant to a key staff 
position whose qualifications were not described in the application, or 
a change of a person assigned to a key project staff position (see 
section VIII.A.2.).
    8. A change in or temporary absence of the person responsible for 
managing and reporting on the grant's finances.
    9. A change in the name of the grantee organization.
    10. A transfer or contracting out of grant-supported activities 
(see H. below).
    11. A transfer of the grant to another recipient.
    12. Preagreement costs (see section IX.I.2.a.).
    13. The purchase of automated data processing equipment and 
software (see section IX.I.2.b.).
    14. Consultant rates (see section IX.I.2.c.).
    15. A change in the nature or number of the products to be prepared 
or the manner in which a product would be distributed.

B. Requests for Grant Adjustments

    All grantees must promptly notify their SJI program managers, in 
writing, of events or proposed changes that may require adjustments to 
the approved project design. In requesting an adjustment, the grantee 
must set forth the reasons and basis for the proposed adjustment and 
any other information the program manager determines would help the 
Institute's review.

C. Notification of Approval/Disapproval

    If the request is approved, the grantee will be sent a Grant 
Adjustment signed by the Executive Director or his or her designee. If 
the request is denied, the grantee will be sent a written explanation 
of the reasons for the denial.

D. Changes in the Scope of the Grant

    Major changes in scope, duration, training methodology, or other 
significant areas must be approved in advance by the Institute. A 
grantee may make minor changes in methodology, approach, or other 
aspects of the grant to expedite achievement of the grant's objectives 
with subsequent notification of the SJI program manager.

E. Date Changes

    A request to change or extend the grant period must be made at 
least 30 days in advance of the end date of the grant. A revised task 
plan should accompany a request for a no-cost extension of the grant 
period, along with a revised budget if shifts among budget categories 
will be needed. A request to change or extend the deadline for the 
final financial report or final progress report must be made at least 
14 days in advance of the report deadline (see section IX.L.2.).

[[Page 61107]]

F. Temporary Absence of the Project Director

    Whenever an absence of the project director is expected to exceed a 
continuous period of one month, the plans for the conduct of the 
project director's duties during such absence must be approved in 
advance by the Institute. This information must be provided in a letter 
signed by an authorized representative of the grantee/subgrantee at 
least 30 days before the departure of the project director, or as soon 
as it is known that the project director will be absent. The grant may 
be terminated if arrangements are not approved in advance by the 
Institute.

G. Withdrawal of/Change in Project Director

    If the project director relinquishes or expects to relinquish 
active direction of the project, the Institute must be notified 
immediately. In such cases, if the grantee/subgrantee wishes to 
terminate the project, the Institute will forward procedural 
instructions upon notification of such intent. If the grantee wishes to 
continue the project under the direction of another individual, a 
statement of the candidate's qualifications should be sent to the 
Institute for review and approval. The grant may be terminated if the 
qualifications of the proposed individual are not approved in advance 
by the Institute.

H. Transferring or Contracting Out of Grant-Supported Activities

    No principal activity of a grant-supported project may be 
transferred or contracted out to another organization without specific 
prior approval by the Institute. All such arrangements must be 
formalized in a contract or other written agreement between the parties 
involved. Copies of the proposed contract or agreement must be 
submitted for prior approval of the Institute at the earliest possible 
time. The contract or agreement must state, at a minimum, the 
activities to be performed, the time schedule, the policies and 
procedures to be followed, the dollar limitation of the agreement, and 
the cost principles to be followed in determining what costs, both 
direct and indirect, will be allowed. The contract or other written 
agreement must not affect the grantee's overall responsibility for the 
direction of the project and accountability to the Institute.

State Justice Institute Board of Directors

    Robert A. Miller, Chairman, Chief Justice (ret.), Supreme Court 
of South Dakota, Pierre, SD.
    Joseph F. Baca, Vice-Chairman, Chief Justice (ret.), New Mexico 
Supreme Court, Albuquerque, NM.
    Sandra A. O'Connor, Secretary, States Attorney of Baltimore 
County, Towson, MD.
    Keith McNamara, Esq., Executive Committee Member, McNamara & 
McNamara, Columbus, OH.
    Terrence B. Adamson, Esq., Executive Vice-President, The 
National Geographic Society, Washington, DC.
    Robert N. Baldwin, State Court Administrator, Supreme Court of 
Virginia, Richmond, VA.
    Carlos R. Garza, Esq., Administrative Judge (ret.), Round Rock, 
TX.
    Sophia H. Hall, Administrative Presiding Judge, Circuit Court of 
Cook County, Chicago, IL.
    Tommy Jewell, Presiding Children's Court Judge, Albuquerque, NM.
    Arthur A. McGiverin, Chief Justice (ret.), Supreme Court of 
Iowa, Ottumwa, IA.
    David I. Tevelin, Executive Director (ex officio).

David I. Tevelin,
Executive Director.

Appendix A--SJI Libraries: Designated Sites and Contacts

Alabama

Supreme Court Library

Mr. Timothy A. Lewis, State Law Librarian, Alabama Supreme Court 
Bldg., 300 Dexter Avenue, Montgomery, AL 36104, (334) 242-4347.

Alaska

Anchorage Law Library

Ms. Cynthia S. Fellows, State Law Librarian, Alaska Court Libraries, 
820 W. Fourth Ave., Anchorage, AK 99501, (907) 264-0583.

Arizona

Supreme Court Library

Ms. Lani Orosco, Arizona Supreme Court, Supreme Court Library, 1501 
W. Washington, Suite 445, Phoenix, AZ 85007, (602) 542-5028, e-mail: 
[email protected].

Arkansas

Administrative Office of the Courts

Mr. James D. Gingerich, Director, Administrative Office of the 
Courts, Supreme Court of Arkansas, Justice Building, Little Rock, AR 
72201, (501) 682-9400.

California

Administrative Office of the Courts

Mr. William C. Vickrey, Administrative Director of the Courts, 
Administrative Office of the Courts, 455 Golden Gate Avenue, San 
Francisco, CA 94107, (415) 865-4200.

Colorado

Supreme Court Library

Ms. Linda Gruenthal, Deputy Supreme Court Law Librarian, Colorado 
State Judicial Building, 2 East 14th Avenue, Denver, CO 80203, (303) 
864-4522.

Connecticut

State Library

Ms. Denise D. Jernigan, State Librarian, Connecticut State Library, 
231 Capital Avenue, Hartford, CT 06106, (860) 566-2516.

Delaware

Administrative Office of the Courts

Mr. Michael E. McLaughlin, Deputy Director, Administrative Office of 
the Courts, Carvel State Office Building, 820 North French Street, 
11th Floor, P.O. Box 8911, Wilmington, DE 19801, (302) 577-8481.

District of Columbia

Executive Office, District of Columbia Courts

Ms. Anne B. Wicks, Executive Officer, District of Columbia Courts, 
500 Indiana Avenue, N.W., Suite 1500, Washington, D.C. 20001, (202) 
879-1700.

Florida

Administrative Office of the Courts

Ms. Elisabeth H. Goodner, State Courts Administrator, Florida 
Supreme Court Building, 500 South Duval Street, Tallahassee, FL 
32399-1900, (850) 922-5081, e-mail: [email protected].

Georgia

Administrative Office of the Courts

Mr. David Ratley, Director, Administrative Office of the Courts, 47 
Trinity Avenue, Suite 414, Atlanta, GA 30334, (404) 656-5171.

Hawaii

Supreme Court Library

Ms. Ann Koto, State Law Librarian, The Supreme Court Law Library, 
417 South King St., Room 119, Honolulu, HI 96813, (808) 539-4965.

Idaho

AOC Judicial Education Library/State Law Library

Ms. Beth Peterson, State Law Librarian, Idaho State Law Library, 
Supreme Court Building, 451 West State St., Boise, ID 83720, (208) 
334-3316.

Illinois

Supreme Court Library

Ms. Brenda Larison, Supreme Court of Illinois Library, 200 East 
Capitol Avenue, Springfield, IL 62701-1791, (217) 782-2425.

Indiana

Supreme Court Library

Mr. Dennis Lager, Supreme Court Librarian, Supreme Court Library, 
State House, Room 316, Indianapolis, IN 46204, (317) 232-2557.

Iowa

Administrative Office of the Court

Dr. Jerry K. Beatty, Executive Director, Judicial Education & 
Planning, Office of the State Court Administrator, State Capital 
Building, Des Moines, IA 50319-0001, (515) 281-8279.

[[Page 61108]]

Kansas

Supreme Court Library

Mr. Fred Knecht, Law Librarian, Kansas Supreme Court Library, 301 
West 10th Street, Topeka, KS 66612, (913) 296-3257.

Kentucky

State Law Library

Ms. Marge Jones, State Law Librarian, State Law Library, State 
Capital, Room 200-A, Frankfort, KY 40601, (502) 564-4848.

Louisiana

State Law Library

Ms. Carol Billings, Director, Louisiana Law Library, 301 Loyola 
Avenue, New Orleans, LA 70112, (504) 568-5705.

Maine

State Law and Legislative Reference Library

Ms. Lynn E. Randall, State Law Librarian, 43 State House Station, 
Augusta, ME 04333, (207) 287-1600.

Maryland

State Law Library

Mr. Michael S. Miller, Director, Maryland State Law Library, Court 
of Appeal Building, 361 Rowe Boulevard, Annapolis, MD 21401, (410) 
260-1430.

Massachusetts

Middlesex Law Library

Ms. Sandra Lindheimer, Librarian, Middlesex Law Library, Superior 
Court House, 40 Thorndike Street, Cambridge, MA 02141, (617) 494-
4148.

Michigan

Michigan Judicial Institute

Dawn F. McCarty, Director, Michigan Judicial Institute, 222 
Washington Square North, P.O. Box 30205, Lansing, MI 48909, (517) 
334-7805.

Minnesota

State Law Library (Minnesota Judicial Center)

Mr. Marvin R. Anderson, State Law Librarian, Supreme Court of 
Minnesota, 25 Constitution Avenue, St. Paul, MN 55155, (612) 297-
2084.

Mississippi

Mississippi Judicial College

Mr. Leslie Johnson, Director, University of Mississippi, P.O. Box 
8850, University, MS 38677, (601) 232-5955.

Montana

State Law Library

Ms. Judith Meadows, State Law Librarian, State Law Library of 
Montana, 215 North Sanders, Helena, MT 59620, (406) 444-3660.

Nebraska

Administrative Office of the Courts

Mr. Frank E. Goodroe, State Court Administrator, Administrative 
Office of the Courts/Probation, State Capitol Building, Room 1220, 
Post Office Box 98910, Lincoln, NE 68509-8910, (402) 471-2755.

Nevada

National Judicial College

Mr. Randall Snyder, Law Librarian, National Judicial College, 
Judicial College Building, University of Nevada, Reno, NV 89550, 
(775) 784-6747.

New Hampshire

New Hampshire Law Library

Ms. Christine Swan, Law Librarian, New Hampshire Law Library, 
Supreme Court Building, One Noble Drive, Concord, NH 03301-6160, 
(603) 271-3777.

New Jersey

New Jersey State Library

Ms. Marjorie Garwig, Supervising Law Librarian, New Jersey State Law 
Library, 185 West State Street, P.O. Box 520, Trenton, NJ 08625-
0250, (609) 292-6230.

New Mexico

Supreme Court Library

Mr. Thaddeus Bejnar, Librarian, Supreme Court Library, Post Office 
Drawer L, Santa Fe, NM 87504, (505) 827-4850.

New York

Supreme Court Library

Ms. Barbara Briggs, Principal Law Librarian, New York State Supreme 
Court Law Library, Onondaga County Court House, 401 Montgomery 
Street, Syracuse, NY 13202, (315) 435-2063.

North Carolina

Supreme Court Library

Mr. Thomas P. Davis, Librarian, North Carolina Supreme Court 
Library, P.O. Box 28006, 2 East Morgan Street, Raleigh, NC 27601, 
(919) 733-3425.

North Dakota

Supreme Court Library

Ms. Marcella Kramer, Assistant Law Librarian, Supreme Court Law 
Library, 600 East Boulevard Avenue, Dept. 182, 2nd Floor, Judicial 
Wing, Bismarck, ND 58505-0540, (701) 328-2229.

Northern Mariana Islands

Supreme Court of the Northern Mariana Islands

Honorable Miguel Sablan Demapan, Chief Justice, Supreme Court of the 
Commonwealth of the Northern Mariana Islands, P.O. Box 2165 CK, 
Saipan, MP 96950, (670) 236-9700.

Ohio

Supreme Court Library

Mr. Ken Kozlowski, Director, Law Library, Supreme Court of Ohio, 65 
South Front Street, 11th Floor, Columbus, OH 43215-3431, (614) 387-
9666.

Oklahoma

Administrative Office of the Courts

Mr. Howard W. Conyers, Administrative Director of the Courts, 1915 
North Stiles, Suite 305, Oklahoma City, OK 73105, (405) 521-2450.

Oregon

Administrative Office of the Courts

Ms. Kingsley W. Click, State Court Administrator, Office of the 
State Court Administrator, Supreme Court Building, Salem, OR 97310, 
(503) 986-5900.

Pennsylvania

State Library of Pennsylvania

Ms. Barbara Miller, Collection Management Librarian, State Library 
of Pennsylvania, Office of Commonwealth Libraries, Bureau of State 
Library -- Collection Management, 333 Market Street, Harrisburg, PA 
17126-1745, (717) 787-5718, [email protected].

Puerto Rico

Office of Court Administration

Alfredo Rivera-Mendoza, Esq., Director, Area of Planning and 
Management, Office of Court Administration, P.O. Box 917, Hato Rey, 
PR 00919.

Rhode Island

Roger Williams University

Ms. Gail Winson, Director of the Library, Roger Williams University, 
School of Law Library, 10 Metacom Avenue, Bristol, RI 02809,

South Carolina

Coleman Karesh Law Library (University of South Carolina School of Law)

Mr. Steve Hinckley, Library Director, Coleman Karesh Law Library, U. 
S. C. Law Center, University of South Carolina, Columbia, SC 29208, 
(803) 777-5944.

South Dakota

State Law Library

Librarian, 500 East Capitol, Pierre, South Dakota 57501, (605) 773-
4898.

Tennessee

Tennessee State Law Library

Honorable Cornelia A. Clark, Director, Administrative Office of the 
Courts, Tennessee Supreme Court, 511 Union, Nashville, TN 37243-
0607, (615) 741-2687.

Texas

State Law Library

Ms. Kay Schleuter, Director, State Law Library, P.O. Box 12367, 
Austin, TX 78711, (512) 463-1722.

U.S. Virgin Islands

Library of the Territorial Court of the Virgin Islands (St. Thomas)

Librarian, The Library, Territorial Court of the Virgin Islands, 
Post Office Box 70, Charlotte Amalie, St. Thomas, U.S. Virgin 
Islands 00804.

Utah

Utah State Judicial Administration Library

Ms. Debbie Christiansen, Utah State Judicial Administration Library, 
Administrative Office of the Courts, 450 South State, P.O. Box 
140241, Salt Lake City, UT 84114-0241, (801) 533-6371.

[[Page 61109]]

Vermont

Supreme Court of Vermont

Mr. Paul J. Donovan, Law Librarian, Department of Libraries, 109 
State Street, Montpelier, VT 05609, (802) 828-3278.

Virginia

Administrative Office of the Courts

Mr. Robert N. Baldwin, State Court Administrator, Supreme Court of 
Virginia, 100 North Ninth Street, 3rd Floor, Richmond, VA 23219, 
(804) 786-6455.

Washington

Washington State Law Library

Ms. Deborah Norwood, State Law Librarian, Washington State Law 
Library, Temple of Justice, P.O. Box 40751, Olympia, WA 98504-0751, 
(360) 357-2136.

West Virginia

Administrative Office of the Courts

Ms. Kathleen Gross, Deputy Director of Judicial Education, West 
Virginia Supreme Court of Appeals State Capitol, 1900 Kanawha 
Boulevard East, Building 1, Room E-100, Charleston, WV 25305, (304) 
558-0145.

Wisconsin

State Law Library

Ms. Jane Colwin, Director of Public Services, State Law Library, 310 
E. State Capitol, P.O. Box 7881, Madison, WI 53707, (608) 261-2340.

Wyoming

Wyoming State Law Library

Ms. Kathleen B. Carlson, Law Librarian, Wyoming State Law Library, 
Supreme Court Building, 2301 Capitol Avenue, Cheyenne, WY 82002, 
(307) 777-7509.

National

American Judicature Society

Mr. John Edwards, Opperman Hall, Drake University Law School, 2507 
University Avenue, Des Moines, IA 50311-4504, (515) 271-2141, e-
mail: [email protected]

National Center for State Courts

Ms. Peggy Rogers, Acquisitions/Serials Librarian, 300 Newport 
Avenue, Williamsburg, VA 23187-8798, (757) 259-1857.

JERITT

Dr. Maureen E. Conner, Executive Director, The JERITT Project, 1407 
S. Harrison, Suite 330 Nisbet, East Lansing, MI 48823-5239, (517) 
353-8603, (517) 432-3965 (fax), e-mail: [email protected], website: 
http://jeritt.msu.edu.

Appendix B--Illustrative List of Technical Assistance Grants

    The following list presents examples of the types of technical 
assistance for which State and local courts can request Institute 
funding. Please check with the JERITT project (http://jeritt.msu.org 
or 517/353-8603) for more information about these and other SJI-
supported technical assistance projects.

Application of Technology

Technology Plan (Office of the South Dakota State Court 
Administrator: SJI-99-066)

Children and Families in Court

Expanded Unified Family Court (Ventura County, CA, Superior Court: 
SJI-01-122)
Trial Court Performance Standards for the Unified Family Court of 
Delaware (Family Court of Delaware: SJI-98-205)

Court Planning, Management, and Financing

Job Classification and Pay Study of the New Hampshire Courts (New 
Hampshire Administrative Office of the Courts: SJI-98-011)
A Model for Building and Institutionalizing Judicial Branch 
Strategic Planning (12th Judicial Circuit, Sarasota, FL: SJI-98-266)
Strategic Planning (Fourth Judicial District Court, Hennepin County, 
MN: SJI-99-221)
Differentiated Case Management for the Improvement of Civil Case 
Processing in the Trial Courts of Texas (Texas Office of Court 
Administration: SJI-99-222)

Dispute Resolution and the Courts

Evaluating the New Mexico Court of Appeals Mediation Program (New 
Mexico Supreme Court: SJI-00-122)

Improving Public Confidence in the Courts

Mississippi Task Force on Gender Fairness in the Courts (Mississippi 
Administrative Office of the Courts: SJI-00-108)
Analysis of the Juror Debriefing Project (King County, WA, Superior 
Court: SJI-00-049)

Improving the Court's Response to Family Violence

New Hampshire Fatality Reviews (New Hampshire Administrative Office 
of the Courts: SJI-99-142)

Education and Training for Judges and Other Court Personnel

Iowa Supreme Court Advisory Committee on Judicial Branch Education 
(Iowa State Court Administrator's Office: SJI-01-200)

Appendix C--Illustrative List of Model Curricula

    The following list includes examples of model SJI-supported 
curricula that State judicial educators may wish to adapt for 
presentation in education programs for judges and other court 
personnel with the assistance of a Judicial Branch Education 
Technical Assistance Grant. Please refer to section VI.C. for 
information on submitting a letter application for a Judicial Branch 
Education Technical Assistance Grant. A list of all SJI-supported 
education projects is available on the SJI web site (http://www.statejustice.org). Please also check with the JERITT project 
(http://jeritt.msu.edu or 517/353-8603) and your State SJI-
designated library (see Appendix A) for more information about these 
and other SJI-supported curricula that may be appropriate for in-
State adaptation.

Alternative Dispute Resolution

Judicial Settlement Manual (National Judicial College: SJI-89-089)
Improving the Quality of Dispute Resolution (Ohio State University 
College of Law: SJI-93-277)
Comprehensive ADR Curriculum for Judges (American Bar Association: 
SJI-95-002)
Domestic Violence and Custody Mediation (American Bar Association: 
SJI-96-038)

Court Coordination

Bankruptcy Issues for State Trial Court Judges (American Bankruptcy 
Institute: SJI-91-027)
Intermediate Sanctions Handbook: Experiences and Tools for 
Policymakers (Center for Effective Public Policy: IAA-88-NIC-001)
Regional Conference Cookbook: A Practical Guide to Planning and 
Presenting a Regional Conference on State-Federal Judicial 
Relationships (U.S. Court of Appeals for the 9th Circuit: SJI-92-
087)
Bankruptcy Issues and Domestic Relations Cases (American Bankruptcy 
Institute: SJI-96-175)

Court Management

Managing Trials Effectively: A Program for State Trial Judges 
(National Center for State Courts/National Judicial College: SJI-87-
066/067, SJI-89-054/055, SJI-91-025/026)
Caseflow Management Principles and Practices (Institute for Court 
Management/National Center for State Courts: SJI-87-056)
A Manual for Workshops on Processing Felony Dispositions in Limited 
Jurisdiction Courts (National Center for State Courts: SJI-90-052)
Managerial Budgeting in the Courts; Performance Appraisal in the 
Courts; Managing Change in the Courts; Court Automation Design; Case 
Management for Trial Judges; Trial Court Performance Standards 
(Institute for Court Management/National Center for State Courts: 
SJI-91-043)
Strengthening Rural Courts of Limited Jurisdiction and Team Training 
for Judges and Clerks (Rural Justice Center: SJI-90-014, SJI-91-082)
Integrating Trial Management and Caseflow Management (Justice 
Management Institute: SJI-93-214)
Leading Organizational Change (California Administrative Office of 
the Courts: SJI-94-068)
Managing Mass Tort Cases (National Judicial College: SJI-94-141)
Employment Responsibilities of State Court Judges (National Judicial 
College: SJI-95-025)
Caseflow Management; Resources, Budget, and Finance; Visioning and 
Strategic Planning; Leadership; Purposes and Responsibilities of 
Courts; Information Management Technology; Human Resources 
Management; Education, Training, and Development; Public Information 
and the Media from ``NACM Core Competency Curriculum Guidelines'' 
(National Association for Court Management: SJI-96-148)
Dealing with the Common Law Courts: A Model Curriculum for Judges 
and Court Staff (Institute for Court Management/ National Center for 
State Courts: SJI-96-159)

[[Page 61110]]

Caseflow Management from ``Innovative Educational Programs for 
Judges and Court Managers'' (Justice Management Institute: SJI-98-
041)

Courts and Communities

Reporting on the Courts and the Law (American Judicature Society: 
SJI-88-014)
Victim Rights and the Judiciary: A Training and Implementation 
Project (National Organization for Victim Assistance: SJI-89-083)
National Guardianship Monitoring Project: Trainer and Trainee's 
Manual (American Association of Retired Persons: SJI-91-013)
Access to Justice: The Impartial Jury and the Justice System and 
When Implementing the Court-Related Needs of Older People and 
Persons with Disabilities: An Instructional Guide (National Judicial 
College: SJI-91-054)
You Are the Court System: A Focus on Customer Service (Alaska Court 
System: SJI-94-048)
Serving the Public: A Curriculum for Court Employees (American 
Judicature Society: SJI-96-040)
Courts and Their Communities: Local Planning and the Renewal of 
Public Trust and Confidence: A California Statewide Conference 
(California Administrative Office of the Courts: SJI-98-008)
Charting the Course of Public Trust and Confidence in Our Courts 
(Mid-Atlantic Association for Court Management: SJI-98-208)
Trial Court Judicial Leadership Program: Judges and Court 
Administrators Serving the Courts and Community (National Center for 
State Courts: SJI-98-268)
Public Trust and Confidence (Arizona Courts Association: SJI-99-063)

Diversity, Values, and Attitudes

Troubled Families, Troubled Judges (Brandeis University: SJI-89-071)
The Crucial Nature of Attitudes and Values in Judicial Education 
(National Council of Juvenile and Family Court Judges: SJI-90-058)
Enhancing Diversity in the Court and Community (Institute for Court 
Management/National Center for State Courts: SJI-91-043)
    Cultural Diversity Awareness in Nebraska Courts from Native 
American Alternatives to Incarceration Project (Nebraska Urban 
Indian Health Coalition: SJI-93-028)
Race Fairness and Cultural Awareness Faculty Development Workshop 
(National Judicial College: SJI-93-063)
A Videotape Training Program in Ethics and Professional Conduct for 
Nonjudicial Court Personnel and The Ethics Fieldbook: Tool For 
Trainers (American Judicature Society: SJI-93-068)
Court Interpreter Training Course for Spanish Interpreters 
(International Institute of Buffalo: SJI-93-075)
Doing Justice: Improving Equality Before the Law Through Literature-
Based Seminars for Judges and Court Personnel (Brandeis University: 
SJI-94-019)
Multi-Cultural Training for Judges and Court Personnel (St. 
Petersburg Junior College: SJI-95-006)
Ethical Standards for Judicial Settlement: Developing a Judicial 
Education Module (American Judicature Society: SJI-95-082)
Code of Ethics for the Court Employees of California (California 
Administrative Office of the Courts: SJI 95-245)
Workplace Sexual Harassment Awareness and Prevention (California 
Administrative Office of the Courts: SJI 96-089)
Just Us On Justice: A Dialogue on Diversity Issues Facing Virginia 
Courts (Virginia Supreme Court: SJI-96-150)
When Bias Compounds: Insuring Equal Treatment for Women of Color in 
the Courts (National Judicial Education Program: SJI 96-161)
When Judges Speak Up: Ethics, the Public, and the Media (American 
Judicature Society: SJI-96-152)

Family Violence and Gender-Related Violent Crime

National Judicial Response to Domestic Violence: Civil and Criminal 
Curricula (Family Violence Prevention Fund: SJI-87-061, SJI-89-070, 
SJI-91-055).
Domestic Violence: A Curriculum for Rural Courts (Rural Justice 
Center: SJI-88-081)
Judicial Training Materials on Spousal Support; Judicial Training 
Materials on Child Custody and Visitation (Women Judges' Fund for 
Justice: SJI-89-062)
Understanding Sexual Violence: The Judicial Response to Stranger and 
Nonstranger Rape and Sexual Assault (National Judicial Education 
Program: SJI-92-003, SJI-98-133 [video curriculum])
Domestic Violence & Children: Resolving Custody and Visitation 
Disputes (Family Violence Prevention Fund: SJI-93-255)
Adjudicating Allegations of Child Sexual Abuse When Custody Is In 
Dispute (National Judicial Education Program: SJI 95-019)
Handling Cases of Elder Abuse: Interdisciplinary Curricula for 
Judges and Court Staff (American Bar Association: SJI-93-274)

Health and Science

A Judge's Deskbook on the Basic Philosophies and Methods of Science: 
Model Curriculum (University of Nevada, Reno: SJI-97-030)

Judicial Education for Appellate Court Judges

Career Writing Program for Appellate Judges (American Academy of 
Judicial Education: SJI-88-086)
Civil and Criminal Procedural Innovations for Appellate Courts 
(National Center for State Courts: SJI-94-002)

Judicial Branch Education: Faculty and Program Development

The Leadership Institute in Judicial Education and The Advanced 
Leadership Institute in Judicial Education (University of Memphis: 
SJI-91-021)
``Faculty Development Instructional Program'' from Curriculum Review 
(National Judicial College: SJI-91-039)
Resource Manual and Training for Judicial Education Mentors 
(National Association of State Judicial Educators: SJI-95-233)
Institute for Faculty Excellence in Judicial Education (National 
Council of Juvenile and Family Court Judges: SJI-96-042; University 
of Memphis: SJI-01-202)

Orientation, Mentoring, and Continuing Professional Education of 
Judges and Court Personnel

Legal Institute for Special and Limited Jurisdiction Judges 
(National Judicial College: SJI-89-043, SJI-91-040)
Pre-Bench Training for New Judges (American Judicature Society: SJI-
90-028)
A Unified Orientation and Mentoring Program for New Judges of All 
Arizona Trial Courts (Arizona Supreme Court: SJI-90-078)
Court Organization and Structure (Institute for Court Management/
National Center for State Courts: SJI-91-043)
New Employee Orientation Facilitators Guide (Minnesota Supreme 
Court: SJI-92-155)
Magistrates Correspondence Course (Alaska Court System: SJI-92-156)
Bench Trial Skills and Demeanor: An Interactive Manual (National 
Judicial College: SJI 94-058)
Ethical Issues in the Election of Judges (National Judicial College: 
SJI-94-142)
Caseflow Management; Resources, Budget, and Finance; Visioning and 
Strategic Planning; Leadership; Purposes and Responsibilities of 
Courts; Information Management Technology; Human Resources 
Management; Education, Training, and Development; Public Information 
and the Media from ``NACM Core Competency Curriculum Guidelines'' 
(National Association for Court Management: SJI-96-148)
Innovative Approaches to Improving Competencies of General 
Jurisdiction Judges (National Judicial College: SJI-98-001)
Caseflow Management from ``Innovative Educational Programs for 
Judges and Court Managers'' (Justice Management Institute: SJI-98-
041

Juveniles and Families in Court

Fundamental Skills Training Curriculum for Juvenile Probation 
Officers (National Council of Juvenile and Family Court Judges: SJI-
90-017)
Child Support Across State Lines: The Uniform Interstate Family 
Support Act from Uniform Interstate Family Support Act: Development 
and Delivery of a Judicial Training Curriculum (ABA Center on 
Children and the Law: SJI 94-321)
Juvenile Justice at the Crossroads: Literature-Based Seminars for 
Judges, Court Personnel, and Community Leaders (Brandeis University: 
SJI-99-150)

Strategic and Futures Planning

Minding the Courts into the Twentieth Century (Michigan Judicial 
Institute: SJI-89-029)
An Approach to Long-Range Strategic Planning in the Courts (Center 
for Public Policy Studies: SJI-91-045)

[[Page 61111]]

Substance Abuse

Good Times, Bad Times: Drugs, Youth, and the Judiciary (Professional 
Development and Training Center, Inc.: SJI-91-095)
Gaining Momentum: A Model Curriculum for Drug Courts (Florida Office 
of the State Courts Administrator: SJI-94-291)
Judicial Response to Substance Abuse: Children, Adolescents, and 
Families (National Council of Juvenile and Family Court Judges: SJI-
95-030)
Judicial Education on Substance Abuse (American Judges Association 
and National Center for State Courts: SJI-01-210)

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[FR Doc. 04-22845 Filed 10-13-04; 8:45 am]
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