[Federal Register Volume 70, Number 189 (Friday, September 30, 2005)]
[Notices]
[Pages 57384-57426]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 05-19439]



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Part III





State Justice Institute





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Grant Guideline; Notice

  Federal Register / Vol. 70, No. 189 / Friday, September 30, 2005 / 
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 2006 State Justice 
Institute grants, cooperative agreements, and contracts.

DATES: September 30, 2005.

FOR FURTHER INFORMATION CONTACT: Kevin Linskey, Executive 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 (H.R. 2862) 
would appropriate $2.0 million to SJI in fiscal year 2006; the Senate-
passed version of the bill proposes to appropriate $5.0 million. 
Additional funds may be made available to SJI either through 
Congressional action or agreements with the Department of Justice.
    Regardless of the final amount provided to SJI for fiscal year 
2006, the Institute's Board of Directors intends to solicit project 
grant applications for certain strategic priorities, discussed further 
below, to invite selected applicants to apply for grants in key areas, 
and to continue the most important project grants currently assisting 
courts nationwide.

Types of Grants Available and Funding Schedules

    SJI is offering five types of grants in FY 2006: Project Grants, 
Continuation Grants, Technical Assistance (TA) Grants, Judicial Branch 
Education Technical Assistance (JBE TA) grants, and Scholarships.
    Project Grants. Project Grants (see sections II.B., III.N., V.B.1., 
VI.A., VII.B.1., and VIII.A.) are intended to support innovative 
education, research, demonstration, and technical assistance projects 
that can improve the administration of justice in State courts 
nationwide. As provided in section III.N. of the Guideline, Project 
Grants may ordinarily not exceed $300,000; however, grants in excess of 
$200,000 are likely to be rare, and awarded only to support projects 
likely to have a significant national impact.
    The deadline for submitting a Project Grant application is February 
13, 2006. The Board of Directors will meet in May 2006 to approve grant 
awards. See section VI. for Project Grant application procedures.
    Applicants for Project Grants will be required to contribute a cash 
match of not less than 50% of the total cost of the proposed project, 
either directly or in cooperation with third parties.
    Continuation Grants. Continuation Grants (see sections II.B., 
III.D., V.B.2., VI.B., VII.B.1., VIII.A., and IX.5.H.1.b.) 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.
    Applicants for Continuation Grants will be required to contribute a 
cash match of not less than 50% of the total cost of the ongoing 
project, either directly or in cooperation with third parties.
    Technical Assistance Grants. Section II.C. 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.
    Letters of application for a Technical Assistance Grant may be 
submitted at any time. Applicants submitting letters by January 6, 2006 
will be notified by April 7, 2006; those submitting letters between 
January 9 and February 24, 2006 will be notified by June 9, 2006; those 
submitting letters between February 24 and June 2, 2006 will be 
notified by September 15, 2006; and those submitting letters between 
June 5 and September 22, 2006 will be notified of the Board's decision 
by December 1, 2006. See section VI.B. for Technical Assistance Grant 
application procedures.
    Judicial Branch Education Technical Assistance Grants. Section 
II.D. 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 6, 2006 will be notified 
by April 7, 2006; those submitting letters between January 9 and 
February 24, 2006 will be notified by June 9, 2006; those submitting 
letters between February 24 and June 2, 2006 will be notified by 
September 15, 2006; and those submitting letters between June 5 and 
September 22, 2006 will be notified of the Board's decision by December 
1, 2006. See section VI.D. for JBE TA Grant application procedures.
    Scholarships. Section II.E. of the Guideline allocates up to 
$200,000 for scholarships this year 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.
    Starting this year, scholarships can also be used to cover the 
costs of enrolling in on-line classes that meet the criteria for 
acceptable programs as described below.
    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.
    As before, recipients are limited to no more than one scholarship 
in a three-year period, unless the course specifically assumes multi-
year participation.
    Applicants interested in obtaining a scholarship for a program 
beginning between April 1 and June 30, 2006, must submit their 
applications and documents between January 2 and February 27, 2006. For 
programs beginning between July 1 and September 30, 2006, the 
applications and documents must be submitted between March 30 and May 
26, 2006. For programs beginning between October 1 and December 31, 
2006, the applications and documents must be submitted between July 3 
and August 25, 2006. For programs beginning between January 1 and March 
31, 2007, the applications and documents must be submitted between 
October 2 and

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December 1, 2006. See section VI.E. for scholarship application 
procedures.

Matching Requirements

    With the exception of JBE TA grantees and scholarship recipients, 
all grantees must provide a 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 adopted by the State Justice 
Institute for FY 2006:

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

A. Project Grants

    As set forth in Section I., the Institute is authorized to fund 
projects addressing a broad range of program areas. Though the Board is 
likely to favor Project Grant applications focused on the Special 
Interest program categories described below, potential applicants are 
also encouraged to bring to the attention of the Institute innovative 
projects outside those categories. Funds will not be made available for 
the ordinary, routine operation of court systems or programs in any of 
these areas.
1. Special Interest Program Categories
    The Institute is interested in funding both innovative programs and 
programs of proven merit that can be replicated in other jurisdictions. 
The Institute is especially interested in funding projects that:
     Formulate new procedures and techniques, or creatively 
enhance existing procedures and techniques;
     Address aspects of the State judicial systems that are in 
special need of serious attention;
     Have national significance by developing products, 
services, and techniques that may be used in other States; and
     Create and disseminate 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.
    A project will be identified as a Special Interest project if it 
meets the four criteria set forth above and it falls within the scope 
of the Special Interest program categories designated below.
    The Board has designated the areas set forth below as Special 
Interest program categories. The order of listing does not imply any 
ordering of priorities among the categories.
a. Managing Self-Represented Litigation
    This category includes research, demonstration, evaluation, and 
education projects designed to improve the management of self-
represented (pro se) litigation.
    The Institute is particularly interested in supporting innovative 
projects that:
     Implement the next generation of innovations identified at 
the Summit on the Future of Self-Represented Litigation held in Chicago 
in March 2005;
     Compile and disseminate information on promising practices 
to assist people who come to court without lawyers; and,
     Test and evaluate approaches permitting self-represented 
litigants to file pleadings, responses, and other forms electronically.
b. Application of Technology in the Courts
    This category includes the testing of innovative applications of 
technology to improve the operation of court management systems and 
judicial practices at both the trial and appellate court levels. The 
Institute seeks to support local experiments with promising but 
untested applications of technology in the courts that include an 
evaluation of the impact of the technology in terms of costs, benefits, 
and staff workload, and a training

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component to assure that staff is appropriately educated about the 
purpose and use of the new technology. In this context, ``untested'' 
includes novel applications of technology developed for the private 
sector that have not previously been applied in the courts.
    The Institute is particularly interested in supporting efforts to 
test and evaluate technologies that would:
     Compile promising practices for coordinating and 
controlling the use of multiple technologies to enhance court 
processes.
c. Children and Families in Court
    This category includes research, demonstration, evaluation, 
technical assistance, and education projects to identify and inform 
judges of innovative, effective approaches for handling cases involving 
children and families. The Institute is particularly interested in 
projects that would:
     Implement the ``next steps'' identified for courts at the 
National Leadership Summit for Child Protection held in Minneapolis on 
September 20-23, 2005.
d. Performance Standards and Outcome Measures
    This category includes projects that will develop and measure 
performance standards and outcomes for all aspects of court operations. 
The Institute is particularly interested in projects that would:
     Develop and test performance and outcome measures to 
assess the effectiveness of problem-solving courts.
e. Elder Issues
    This category includes research, demonstration, evaluation, and 
education projects designed to improve management of guardianship, 
probate, fraud, Americans with Disability Act, and other types of 
elder-related cases. The Institute is particularly interested in 
projects that would:
     Develop and evaluate judicial branch education programs 
addressing elder law and related issues.
f. Relationship Between State and Federal Courts
    This category includes research, demonstration, evaluation, and 
education projects designed to facilitate appropriate and effective 
communication, cooperation, and coordination between State and federal 
courts and the courts, the legislative and executive branches, and the 
people. The Institute is particularly interested in projects that 
would:
     Develop and test materials that judges and court leaders 
could use to educate community groups and constituencies about the 
importance of judicial independence.

B. 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.B.

C. 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 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.C.

D. 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) 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.D. 
Applicants are not required to contribute cash match to JBE TA grants.

E. 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, or to enroll in online, educational programs sponsored by 
national and State providers that they could not otherwise attend or 
take online 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.
    Priority will be given to scholarship applications for attendance 
at out-of-State educational programs within the United States. 
Application procedures may be found in Section VI.E.

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 or DVD 
developed with Institute support, and inclusion of a brief statement on 
the inside front cover or title page of the document or the

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opening frames of the videotape or DVD 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.B. 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 
theapproved application, acknowledged in writing by the Institute. See 
section X.A for a list of the types of changes requiring a formal grant 
adjustment. Changes requiring a Grant Adjustment (including budget 
reallocations between direct cost categories that individually or 
cumulatively exceed five percent of the approved original budget) must 
be requested at least 30 days in advance of the implementation of the 
requested change, except in the most extraordinary circumstances.

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, 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.D. 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 cash and in-kind contributions. Cash match is the direct 
outlay of funds by the grantee or a third party 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 or 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 or 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).
    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; DVDs; 
audiotapes; computer software; and CD-ROM disks.

N. Project Grant

    An initial grant lasting up to 36 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 $300,000 a year; 
however, a grant in excess of $200,000 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.

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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 or 
to participate in an online course. See section VI.E. 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.C. 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 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 2006, the Institute will support the following types of 
grants:
1. Project Grants
    See sections II.A., III.N., VI.A., VII.B. and C., and VIII.A. 
Project Grants will be limited to only the Special Interest categories 
listed in section II.A. Should an insufficient number of qualifying 
applications be received, the Board reserves the right to solicit 
applications for projects spanning topics beyond those listed in 
section II.A.
2. Continuation Grants
    See sections II.B., III.D. and VI.B.
3. Technical Assistance Grants
    See sections II.C., III.T., and VI.C. In FY 2006, the Institute is 
reserving up to $300,000 for these grants.
4. Judicial Branch Education Technical Assistance Grants
    See sections II.D., III.K., and VI.D. In FY 2006, the Institute is 
reserving up to $100,000 for Judicial Branch Education Technical 
Assistance Grants.
5. Scholarships
    {See sections II.E., III.P., and VI.E.--check this{time}  In FY 
2006, the Institute is reserving up to $200,000 for scholarships for 
judges and court managers.

C. Maximum Size of Awards

    1. Applicants for Project Grants may request funding for amounts up 
to $300,000.
    2. Applicants for Continuation Grants may request funding for 
amounts up to $150,000.
    3. Applicants for Technical Assistance Grants may request funding 
for amounts up to $30,000.
    4. Applicants for Judicial Branch Education Technical Assistance 
Grants may request funding for amounts up to $20,000.
    5. Applicants for scholarships may request funding for amounts up 
to $1,500.

D. Length of Grant Periods

    1. Grant periods for Project Grants ordinarily may not exceed 36 
months. Absent extraordinary circumstances, no grant will continue for 
more than five years.
    2. Grant periods for Continuation Grants ordinarily may not exceed 
15 months.
    3. Grant periods for Technical Assistance Grants and Judicial 
Branch Education Technical Assistance Grants ordinarily may not exceed 
12 months.

VI. Applications

A. Project Grants

    An application for a Project Grant must include an application 
form; budget forms (with appropriate documentation); a project abstract 
and program narrative; a disclosure of lobbying form, when applicable; 
and certain certifications and assurances (see below). See Appendix D 
for the Project Grant application forms. For a summary of the 
application process, visit the Institute's Web site (http://www.statejustice.org) and click on On-Line Tutorials, then Project 
Grant.

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1. Forms
a. 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.
b. 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 approved funding for the project, 
the court or the specified designee will receive, administer, and be 
accountable for the awarded funds.
c. 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. below.)
    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.
d. Assurances (FORM D)
    This form lists the statutory, regulatory, and policy requirements 
with which recipients of Institute funds must comply.
e. 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.)
2. 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.
3. Program Narrative
    The program narrative for an 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 address the following topics:
a. Project Objectives
    The applicant should include a clear, concise statement of what the 
proposed project is intended to accomplish. In stating the objectives 
of the project, applicants should focus on the overall programmatic 
objective (e.g., to enhance understanding and skills regarding a 
specific subject, or to determine how a certain procedure affects the 
court and litigants) rather than on operational objectives (e.g., 
provide training for 32 judges and court managers, or review data from 
300 cases).
b. Program Areas to Be Covered
    The applicant should note the Special Interest category or 
categories that are addressed by the proposed project see section II.A.
c. Need for the Project
    If the project is to be conducted in any specific location(s), the 
applicant should discuss the particular needs of the project site(s) to 
be addressed by the project and why those needs are not being met 
through the use of existing programs, procedures, services, or other 
resources.
    If the project is not site-specific, the applicant should discuss 
the problems that the proposed project would address, and why existing 
programs, procedures, services, or other resources cannot adequately 
resolve those problems. The discussion should include specific 
references to the relevant literature and to the experience in the 
field.
d. Tasks, Methods and Evaluations
    (1) Tasks and Methods. The applicant should delineate the tasks to 
be performed in achieving the project objectives and the methods to be 
used for accomplishing each task. For example:
    (a) For research and evaluation projects, the applicant should 
include the data sources, data collection strategies, variables to be 
examined, and analytic procedures to be used for conducting the 
research or evaluation and ensuring the validity and general 
applicability of the results. For projects involving human subjects, 
the discussion of methods should address the procedures for obtaining 
respondents' informed consent, ensuring the respondents' privacy and 
freedom from risk or harm, and protecting others who are not the 
subjects of research but would be affected by the research. If the 
potential exists for risk or harm to human subjects, a discussion 
should be included that explains the value of the proposed research and 
the methods to be used to minimize or eliminate such risk.
    (b) For education and training projects, the applicant should 
include the adult education techniques to be used in designing and 
presenting the program, including the teaching/learning objectives of 
the educational design, the teaching methods to be used, and the 
opportunities for structured interaction among the participants; how 
faculty would be recruited, selected, and trained; the proposed number 
and length of the conferences, courses, seminars, or workshops to be 
conducted and the estimated number of persons who would attend them; 
the materials to be provided and how they would be developed; and the 
cost to participants.
    (c) For demonstration projects, the applicant should include the 
demonstration sites and the reasons they were selected, or if the sites 
have not been chosen, how they would be identified and their 
cooperation obtained; and how the program or procedures would be 
implemented and monitored.
    (d) For technical assistance projects, the applicant should explain 
the types of assistance that would be provided; the particular issues 
and problems for

[[Page 57390]]

which assistance would be provided; how requests would be obtained and 
the type of assistance determined; how suitable providers would be 
selected and briefed; how reports would be reviewed; and the cost to 
recipients.
    (2) Evaluation. Every project must include an evaluation plan to 
determine whether the project met its objectives. The evaluation should 
be designed to provide an objective and independent assessment of the 
effectiveness or usefulness of the training or services provided; the 
impact of the procedures, technology, or services tested; or the 
validity and applicability of the research conducted. In addition, 
where appropriate, the evaluation process should be designed to provide 
ongoing or periodic feedback on the effectiveness or utility of the 
project in order to promote its continuing improvement. The plan should 
present the qualifications of the evaluator(s); describe the criteria 
that would be used to evaluate the project's effectiveness in meeting 
its objectives; explain how the evaluation would be conducted, 
including the specific data collection and analysis techniques to be 
used; discuss why this approach would be appropriate; and present a 
schedule for completion of the evaluation within the proposed project 
period.
    The evaluation plan should be appropriate to the type of project 
proposed. For example:
    (a) Research. An evaluation approach suited to many research 
projects is a review by an advisory panel of the research methodology, 
data collection instruments, preliminary analyses, and products as they 
are drafted. The panel should be comprised of independent researchers 
and practitioners representing the perspectives affected by the 
proposed project.
    (b) Education and Training. The most valuable approaches to 
evaluating educational or training programs reinforce the participants' 
learning experience while providing useful feedback on the impact of 
the program and possible areas for improvement. One appropriate 
evaluation approach is to assess the acquisition of new knowledge, 
skills, attitudes, or understanding through participant feedback on the 
seminar or training event. Such feedback might include a self-
assessment of what was learned along with the participant's response to 
the quality and effectiveness of faculty presentations, the format of 
sessions, the value or usefulness of the material presented, and other 
relevant factors. Another appropriate approach would be to use an 
independent observer who might request both verbal and written 
responses from participants in the program. When an education project 
involves the development of curricular materials, an advisory panel of 
relevant experts can be coupled with a test of the curriculum to obtain 
the reactions of participants and faculty as indicated above.
    (c) Demonstration. The evaluation plan for a demonstration project 
should encompass an assessment of program effectiveness (e.g., how well 
did it work?); user satisfaction, if appropriate; the cost-
effectiveness of the program; a process analysis of the program (e.g., 
was the program implemented as designed, and/or did it provide the 
services intended to the targeted population?); the impact of the 
program (e.g., what effect did the program have on the court, and/or 
what benefits resulted from the program?); and the replicability of the 
program or components of the program.
    (d) Technical Assistance. For technical assistance projects, 
applicants should explain how the quality, timeliness, and impact of 
the assistance provided would be determined, and develop a mechanism 
for feedback from both the users and providers of the technical 
assistance.
    Evaluation plans involving human subjects should include a 
discussion of the procedures for obtaining respondents' informed 
consent, ensuring the respondents' privacy and freedom from risk or 
harm, and protecting others who are not the subjects of the evaluation 
but would be affected by it. Other than the provision of 
confidentiality to respondents, human subject protection issues 
ordinarily are not applicable to participants evaluating an education 
program.
e. Project Management
    The applicant should present a detailed management plan, including 
the starting and completion date for each task; the time commitments to 
the project of key staff and their responsibilities regarding each 
project task; and the procedures that would ensure that all tasks are 
performed on time, within budget, and at the highest level of quality. 
In preparing the project time line, Gantt Chart, or schedule, 
applicants should make certain that all project activities, including 
publication or reproduction of project products and their initial 
dissemination, would occur within the proposed project period. The 
management plan must also provide for the submission of Quarterly 
Progress and Financial Reports within 30 days after the close of each 
calendar quarter (i.e., no later than January 30, April 30, July 30, 
and October 30).
    Applicants should be aware that the Institute is unlikely to 
approve more than one limited extension of the grant period. Therefore, 
the management plan should be as realistic as possible and fully 
reflect the time commitments of the proposed project staff and 
consultants.
f. Products
    The program narrative in the application should contain a 
description of the products to be developed (e.g., training curricula 
and materials, videotapes, articles, manuals, or handbooks), including 
when they would be submitted to the Institute. The budget should 
include the cost of producing and disseminating the product to each in-
State SJI library (See Appendix A), State chief justice, State court 
administrator, and other appropriate judges or court personnel.
    (1) Dissemination Plan. The application must explain how and to 
whom the products would be disseminated; describe how they would 
benefit the State courts, including how they could be used by judges 
and court personnel; identify development, production, and 
dissemination costs covered by the project budget; and present the 
basis on which products and services developed or provided under the 
grant would be offered to the courts community and the public at large 
(i.e., whether products would be distributed at no cost to recipients, 
or if costs are involved, the reason for charging recipients and the 
estimated price of the product) (see section VIII.A.11.b.). Ordinarily, 
applicants should schedule all product preparation and distribution 
activities within the project period.
    A copy of each product must be sent to the library established in 
each State to collect the materials developed with Institute support. 
(A list of these libraries is contained in Appendix A.) Applicants 
proposing to develop web-based products should provide for sending 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 (i.e., a written report with a reference to the 
Web site).
    Fifteen (15) copies of all project products must be submitted to 
the Institute, along with an electronic version in .html or .pdf 
format.
    (2) Types of Products and Press Releases. The type of product to be 
prepared depends on the nature of the project. For example, in most 
instances, the products of a research, evaluation, or demonstration 
project should include

[[Page 57391]]

an article summarizing the project findings that is publishable in a 
journal serving the courts community nationally, an executive summary 
that would be disseminated to the project's primary audience, or both. 
Applicants proposing to conduct empirical research or evaluation 
projects with national import should describe how they would make their 
data available for secondary analysis after the grant period. (See 
section VIII.A.14.a.).
    The curricula and other products developed through education and 
training projects should be designed for use outside the classroom so 
that they may be used again by the original participants and others in 
the course of their duties.
    In addition, recipients of project grants must prepare a press 
release describing the project and announcing the results, and 
distribute the release to a list of national and State judicial branch 
organizations. SJI will provide press release guidelines and a list of 
recipients to grantees at least 30 days before the end of the grant 
period.
    (3) Institute Review. Applicants must submit a final draft of all 
written grant products to the Institute for review and approval at 
least 30 days before the products are submitted for publication or 
reproduction. For products in a videotape or CD-ROM format, applicants 
must provide for Institute review of the product at the treatment, 
script, rough-cut, and final stages of development, or their 
equivalents. No grant funds may be obligated for publication or 
reproduction of a final grant product without the written approval of 
the Institute. (See section VIII.A.11.e.)
    (4) Acknowledgment, Disclaimer, and Logo. Applicants must also 
include in all project products a prominent acknowledgment that support 
was received from the Institute and a disclaimer paragraph based on the 
example provided in section VIII.A.11.a.2. of the Guideline. The 
``SJI'' logo must appear on the front cover of a written product, or in 
the opening frames of a video, unless the Institute approves another 
placement.
g. Applicant Status
    An applicant that is not a State or local court and has not 
received a grant from the Institute within the past three years should 
state whether it is either a national non-profit organization 
controlled by, operating in conjunction with, and serving the judicial 
branches of State governments, or a national non-profit organization 
for the education and training of State court judges and support 
personnel. See section IV. If the applicant is a nonjudicial unit of 
Federal, State, or local government, it must explain whether the 
proposed services could be adequately provided by non-governmental 
entities.
h. Staff Capability
    The applicant should include a summary of the training and 
experience of the key staff members and consultants that qualify them 
for conducting and managing the proposed project. Resumes of identified 
staff should be attached to the application. If one or more key staff 
members and consultants are not known at the time of the application, a 
description of the criteria that would be used to select persons for 
these positions should be included. The applicant also should identify 
the person who would be responsible for managing and reporting on the 
financial aspects of the proposed project.
i. Organizational Capacity
    Applicants that have not received a grant from the Institute within 
the past three years should include a statement describing their 
capacity to administer grant funds, including the financial systems 
used to monitor project expenditures (and income, if any), and a 
summary of their past experience in administering grants, as well as 
any resources or capabilities that they have that would particularly 
assist in the successful completion of the project.
    Unless requested otherwise, an applicant that has received a grant 
from the Institute within the past three years should describe only the 
changes in its organizational capacity, tax status, or financial 
capability that may affect its capacity to administer a grant.
    If the applicant is a non-profit organization (other than a 
university), it must also provide documentation of its 501(c) tax-
exempt status as determined by the Internal Revenue Service and a copy 
of a current certified audit report. For purposes of this requirement, 
``current'' means no earlier than two years prior to the present 
calendar year.
    If a current audit report is not available, the Institute will 
require the organization to complete a financial capability 
questionnaire, which must be signed by a Certified Public Accountant. 
Other applicants may be required to provide a current audit report, a 
financial capability questionnaire, or both, if specifically requested 
to do so by the Institute.
j. Statement of Lobbying Activities
    Non-governmental applicants must submit the Institute's Disclosure 
of Lobbying Activities Form, which documents whether they, or another 
entity that is a part of the same organization as the applicant, have 
advocated a position before Congress on any issue, and identifies the 
specific subjects of their lobbying efforts. See Appendix D.
k. 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. 
To ensure sufficient time to bring them to the Board's attention, 
letters of support sent under separate cover must be received by 
February 17, 2006.
4. 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. Under OMB grant guidelines incorporated by reference in 
this Guideline, grant funds may not be used to purchase alcoholic 
beverages.
a. 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

[[Page 57392]]

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.
b. 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.
c. 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.
d. 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 basis for the estimated 
transportation expenses. The purpose of the travel should also be 
included in the narrative.
e. 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.
f. 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.
g. 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.
h. 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.
i. 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.
j. 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.
k. Indirect Costs
    Recoverable indirect costs are limited to no more than 75% of a 
grantee's direct personnel costs (salaries plus fringe benefits). 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.
l. Match
    Applicants for Project Grants must provide a cash match equaling at 
least 50% of the total cost of the project, 60% in the second year, 65% 
in the third year, 70% in the fourth year, and 75% in the fifth year.
    For example, if the Institute awards an applicant $100,000 for the 
first year of a grant, the applicant, possibly in combination with a 
third party, would be required to provide $100,000 in cash match. If 
the second-year grant is also $100,000, the applicant and/or third 
party would be required to provide $120,000 in cash match (Note: a 
federal third party may contribute no more than 49% of the total cost 
of a project).
    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 cash match requirements only in the 
most extraordinary circumstances. See section VIII.A.8.b.
5. Submission Requirements
    a. 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.
    All applications must be sent by first class or overnight mail or 
by courier no later than February 13, 2006. A postmark or courier 
receipt will constitute evidence of the submission date. Please mark 
PROJECT 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. Applicants submitting more than one application may include 
material that would be identical in each application in a cover letter. 
This material will be incorporated by

[[Page 57393]]

reference into each application and counted against the 25-page limit 
for the program narrative. A copy of the cover letter should be 
attached to each copy of the application.

B. 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.
    The program narrative should conform to the length and format 
requirements set forth in section VI.A.3. However, rather than the 
topics listed there, the program narrative of a continuation 
application should include:
    a. Project Objectives. The applicant should clearly and concisely 
state what the continuation project is intended to accomplish.
    b. 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.
    c. 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.
    d. 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.
    e. 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.
    f. Task Schedule. The applicant should present a detailed task 
schedule and timeline for the next project period.
    g. Other Sources of Support. The applicant should indicate why 
other sources of support would be inadequate, inappropriate, or 
unavailable.
5. Budget and Budget Narrative
a. Institute Funds
    The applicant should provide a complete budget and budget narrative 
conforming to the requirements set forth in section VI.A.4. above. 
Changes in the funding level requested 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.
b. Matching Contribution
    i. Applicants for Continuation Grants must provide a cash match 
that, depending upon the duration of the original project grant, is 
appropriate for the continuation grant award period (see section 
VI.A.4.l for the year by year cash match requirements).
    For example, if the Institute awards an applicant a one-year 
continuation of a grant of one year's duration, then, if the applicant 
was seeking $100,000 from SJI, it would be required to provide $120,000 
in cash match.
    ii. The Institute may waive the cash match requirements in 
extraordinary circumstances. See section VIII.A.8.c.
6. References to Previously Submitted Material
    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.
7. Submission Requirements
    The submission requirements set forth in section VI.A.5., other 
than the mailing deadline, apply to continuation applications.

C. 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.

[[Page 57394]]

2. Application Procedures.
    For a summary of the application procedures for Technical 
Assistance Grants, visit the Institute's Web site (http://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 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.
    A 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 
extraordinary 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 6, 2006 will be 
notified of the Institute's decision by April 7, 2006; those submitting 
letters between January 9 and February 24, 2006 will be notified by 
June 9, 2006; those submitting letters between February 24 and June 2, 
2006 will be notified by September 15, 2006; and those submitting 
letters between June 5 and September 22, 2006 will be notified by 
December 1, 2006.
    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 by the 
same date as the technical assistance request being supported.

D. 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

[[Page 57395]]

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 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.
3. 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 
extraordinary 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 6, 2006 will be 
notified of the Institute's decision by April 7, 2006; those submitting 
letters between January 9 and February 24, 2006 will be notified by 
June 9, 2006; those submitting letters

[[Page 57396]]

between February 24 and June 2, 2006 will be notified by September 15, 
2006; and those submitting letters between June 5 and September 22, 
2006 will be notified by December 1, 2006.
    For curriculum adaptation requests, applicants should allow at 
least 60 days between the notification deadline and 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 
2006 should submit its application no later than January 6, 2006, in 
time for the Board's Spring meeting.

E. 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; allow State court judges and court managers to enroll 
and participate in online courses; 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 purposes 
of attending an educational program in another State or enrolling in an 
online educational program. 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 $.485/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 or online. 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 unless the course specifically assumes multi-
year participation.
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. The Institute anticipates 
switching to an electronic scholarship application process sometime 
during fiscal year 2006.
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:
    January 2 and February 27, 2006, for programs beginning between 
April 1 and June 30, 2006;
    March 30 and May 26, 2006, for programs beginning between July 1 
and September 30, 2006;
    July 3 and August 25, 2006 for programs beginning between October 1 
and December 31, 2006; and
    October 2 and December 1, 2006 for programs beginning between 
January 1 and March 31, 2007.
    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.

[[Page 57397]]

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. Project and Continuation Grant Applications
    a. Project and Continuation Grant applications will be rated on the 
basis of the criteria 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) If applicable, 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.
    (11) The proposed project's relationship to one of the Special 
Interest categories set forth in section II.A.
    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 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 or scholarship funds 
from another source to cover the costs of attending the program, or 
participating online;
    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. Project and 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

[[Page 57398]]

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. In the event of a tie vote, the Chairman will serve as 
the tie-breaker.
    The Chairman of the Board will sign approved awards on behalf of 
the Institute.

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. 
Failure to comply with these requirements could result in the 
termination of a grantee's award.
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

[[Page 57399]]

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 the specific subject 
matter of the application.
8. Matching Requirements
    All grantees other than scholarship recipients are required to 
provide a match. See section III.L. for the definition of match. The 
amount and nature of required match depends on the type 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 looks favorably upon any unrequired match 
contributed by applicants when making grant decisions. Cash match and 
non-cash match may be provided, subject to the requirements of 
subsection a. below.
a. Project and Continuation Grants
    All grantees are required to assume a greater share of project 
support over time.
    All grantees are required to provide a cash match equaling at least 
50% of the total project cost in the first year of the project, 60% in 
the second year, 65% in the third year, 70% in the fourth year, and 75% 
in the fifth year. For example, if SJI awards a grantee $100,000 for 
the first year of a grant, the grantee would be required to provide 
$100,000 in cash match. If the second-year grant is also $100,000, 
regardless of whether it is the second year of a project grant or the 
first year of a continuation grant, the grantee is required to provide 
$120,000 in cash match. A court that wishes to limit its second-year 
contribution to $50,000 may ask the Institute for a reduced amount, 
i.e., $33,333, in order to meet the 60% requirement.
b. Waiver
    (1) The match requirement may be waived in exceptionally rare 
circumstances upon the request of the Chief Justice of the highest 
court in the State or the highest ranking official in the requesting 
organization and approval by the Board of Directors. 42 U.S.C. 
10705(d).
    (2) The Board of Directors encourages all applicants to provide the 
maximum amount of cash and in-kind 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.
    (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

[[Page 57400]]

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, www.statejustice.org.) Where possible and cost-effective, 
hard copies of products sent to SJI depository libraries should be 
bound rather than put in a ring binder. 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.
    (5) 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, 
DVD 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). 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. Failure to comply with the 
requirements of this provision could result in the termination of a 
grantee's award.
    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).
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:

[[Page 57401]]

    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 must 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.

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.

[[Page 57402]]

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 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

[[Page 57403]]

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. In extreme cases, grants 
may be terminated.
    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. A Financial Status Report is 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.
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

[[Page 57404]]

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). 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 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.

[[Page 57405]]

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. Failure to 
submit adjustments in a timely manner may result in the termination of 
a grantee's award.

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.).

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.

[[Page 57406]]

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, D.C.
Robert N. Baldwin, Executive Vice President and General Counsel, 
National Center for State Courts, 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 (ret.), Albuquerque, NM
Arthur A. McGiverin, Chief Justice (ret.), Supreme Court of Iowa, 
Ottumwa, IA
Kevin Linskey, Executive Director (ex officio)

Kevin Linskey,
Executive Director.

Appendix A--SJI Libraries: Designated Sites and Contacts

Alabama

Supreme Court Library

Mr. Timothy A. Lewis
State Law Librarian
Alabama Supreme Court
Judicial Building 300 Dexter Avenue
Montgomery, AL 36104
(334) 242-4347
[email protected]

Alaska

Anchorage Law Library

Ms. Cynthia S. Fellows
State Law Librarian
Alaska State Court Law Library
303 K Street
Anchorage, AK 99501
(907) 264-0583
[email protected]

Arizona

Supreme Court Library

Ms. Lani Orosco
Staff Assistant
Arizona Supreme Court
Staff Attorney's Office
Library
1501 W. Washington, Suite 445
Phoenix, AZ 85007
(602) 542-5028
[email protected]

Arkansas

Administrative Office of the Courts

Mr. James D. Gingerich
Director
Administrative Office of the Courts
Supreme Court of Arkansas
Justice Building
625 Marshall Street
Little Rock, AR 72201
(501) 682-9400
[email protected]

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 94102
(415) 865-4235
[email protected]

Colorado

Supreme Court Library

Ms. Linda Gruenthal
Deputy Supreme Court Law Librarian
2 East 14th Avenue
Denver, CO 80203
(303) 837-3720
[email protected]

Connecticut

State Library

Ms. Denise D. Jernigan
Law Librarian
Connecticut State Library
231 Capitol Avenue
Hartford, CT 06106
(860) 757-6598
[email protected]

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
[email protected]

District of Columbia

Executive Office, District of Columbia Courts

Ms. Anne B. Wicks
Executive Officer
District of Columbia Courts
500 Indiana Avenue, NW., Suite 1500
Washington, D.C. 20001
(202) 879-1700
[email protected]

Florida

Administrative Office of the Courts

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

Georgia

Administrative Office of the Courts

Mr. David Ratley
Director
Administrative Office of the Courts
244 Washington Street, SW., Suite 300
Atlanta, GA 30334
(404) 656-5171
[email protected]

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) 539-4964
[email protected]

[[Page 57407]]

Idaho

AOC Judicial Education Library/State Law Library

Mr. Richard Visser
State Law Librarian
Idaho State Law Library
Supreme Court Building
451 West State St.
Boise, ID 83720
(208) 334-3316
[email protected]

Illinois

Supreme Court Library

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

Indiana

Supreme Court Library

Ms. Terri L. Ross
Supreme Court Librarian
Supreme Court Library
State House, Room 316
Indianapolis, IN 46204
(317) 232-2557
[email protected]

Iowa

Administrative Office of the Court

Dr. Jerry K. Beatty
Director of Judicial Branch Education
Iowa Judicial Branch
Iowa Judicial Branch Building
1111 East Court Avenue
Des Moines, IA 50319
(515) 242-0190
[email protected]

Kansas

Supreme Court Library

Mr. Fred Knecht
Law Librarian
Kansas Supreme Court Library
Kansas Judicial Center
301 S.W. 10th Avenue
Topeka, KS 66612
(785) 296-3257
[email protected]

Kentucky

State Law Library

Ms. Vida Vitagliano
Cataloging and Research Librarian
Kentucky Supreme Court Library
700 Capitol Avenue, Suite 200
Frankfort, KY 40601
(502) 564-4185
[email protected]

Louisiana

State Law Library

Ms. Carol Billings
Director
Louisiana Law Library
Louisiana Supreme Court Building
400 Royal Street
New Orleans, LA 70130
(504) 310-2401
[email protected]

Maine

State Law and Legislative Reference Library

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

Maryland

State Law Library

Mr. Steve Anderson
Director
Maryland State Law Library
Court of Appeal Building
361 Rowe Boulevard
Annapolis, MD 21401
(410) 260-1430
[email protected]

Massachusetts

Middlesex Law Library

Ms. Linda Hom
Librarian
Middlesex Law Library
Superior Court House
40 Thorndike Street
Cambridge, MA 02141
(617) 494-4148
[email protected]

Michigan

Michigan Judicial Institute

Dawn F. McCarty
Director
Michigan Judicial Institute
P.O. Box 30205
Lansing, MI 48909
(517) 373-7509
[email protected]

Minnesota

State Law Library (Minnesota Judicial Center)

Ms. Barbara L. Golden
State Law Librarian
G25 Minnesota Judicial Center
25 Rev. Dr. Martin Luther King Jr. Boulevard
St. Paul, MN 55155
(612) 297-2089
[email protected]

Mississippi

Mississippi Judicial College

Hon. Leslie G. Johnson
Executive Director
Mississippi Judicial College
P.O. Box 8850
University, MS 38677
(662) 915-5955
[email protected]

Montana

State Law Library

Ms. Judith Meadows
State Law Librarian
State Law Library of Montana
P.O. Box 203004
Helena, MT 59620
(406) 444-3660
[email protected]

Nebraska

Administrative Office of the Courts

Mr. Philip D. Gould, Director
Judicial Branch Education
Administrative Office of the Courts/Probation
521 South 14th St., Suite 200
Lincoln, NE 68508-2707
(402) 471-3072 (office)/(402)471-3071 (fax)
[email protected]

Nevada

National Judicial College

Mr. Randall Snyder
Law Librarian
National Judicial College
Judicial College Building, MS 358
Reno, NV 89557
(775) 327-8278
[email protected]

New Hampshire

New Hampshire Law Library

Ms. Mary Searles
Technical Services Law Librarian
New Hampshire Law Library
Supreme Court Building
One Noble Drive
Concord, NH 03301-6160
(603) 271-3777
[email protected]

 New Jersey

 New Jersey State Library Mr. Thomas O'Malley

Supervising Law Librarian
New Jersey State Law Library
185 West State Street
P.O. Box 520
Trenton, NJ 08625-0250
(609) 292-6230
[email protected]

 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
Law Librarian
Syracuse Supreme Court Law Library
401 Montgomery Street
Syracuse, NY 13202
(315) 671-1150
[email protected]

 North Carolina

 Supreme Court Library

Mr. Thomas P. Davis
Librarian
North Carolina Supreme Court Library
500 Justice Building
2 East Morgan Street
Raleigh, NC 27601
(919) 733-3425
[email protected]

[[Page 57408]]

 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
[email protected]

 Northern Mariana Islands

 Supreme Court of the Northern Mariana Islands

Ms. Margarita M. Palacios
Director of Courts
Supreme Court of the Commonwealth of the Northern Mariana Islands
P.O. Box 502165
Saipan, MP 96950
(670) 235-9700
[email protected]

 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
[email protected]

 Oklahoma

 Administrative Office of the Courts

Mr. Howard W. Conyers
State Court Administrator
Administrative Office of the Courts
1915 North Stiles Avenue, Suite 305
Oklahoma City, OK 73105
(405) 521-2450
[email protected]

 Oregon

 Administrative Office of the Courts

Ms. Kingsley W. Click
State Court Administrator
Oregon Judicial Department
Supreme Court Building
1163 State Street
Salem, OR 97301
(503) 986-5500
[email protected]

 Pennsylvania

 State Library of Pennsylvania

Ms. Barbara Miller
Collection Management Librarian
State Library of Pennsylvania
Bureau of State Library
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 Law Library/Associate Professor of Law
Roger Williams University
School of Law Library
10 Metacom Avenue
Bristol, RI 02809
401/254-4531
[email protected]

 South Carolina

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

Mr. Steve Hinckley
Director
Coleman Karesh Law Library
University of South Carolina
Main and Green Streets
Columbia, SC 29208
(803) 777-5944
[email protected]

 South Dakota

 State Law Library

Librarian
South Dakota State Law Library
500 East Capitol
Pierre, South Dakota 57501
(605) 773-4898
[email protected]

 Tennessee

 Tennessee State Law Library

Hon. Cornelia A. Clark
Executive Director
Administrative Office of the Courts
511 Union Street, Suite 600
Nashville, TN 37219
(615) 741-2687
[email protected]

 Texas

 State Law Library

Mr. Marcelino A. Estrada
Director, State Law Library
P.O. Box 12367
Austin, TX 78711
(512) 463-1722
[email protected]

 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
Virgin Islands 00804

 Utah

 Utah State Judicial Administration Library

Ms. Jessica Van Buren
Utah State Library
450 South State Street
P.O. Box 140220
Salt Lake City, UT 84114-0220
(801) 238-7991
[email protected]

Vermont

Supreme Court of Vermont

Mr. Paul J. Donovan
Law Librarian
Vermont Department of Libraries
109 State Street
Pavilion Office Building
Montpelier, VT 05609
(802) 828-3268
[email protected]

Virginia

Administrative Office of the Courts

Ms. Gail Warren
State Law Librarian
Virginia State Law Library
Supreme Court of Virginia
100 North Ninth Street, 2nd Floor
Richmond, VA 23219-2335
(804) 786-2075
[email protected]

Washington

Washington State Law Library

Ms. Kay Newman
State Law Librarian
Washington State Law Library
Temple of Justice
P.O. Box 40751
Olympia, WA 98504-0751
(360) 357-2136
[email protected]

West Virginia

Supreme Court of Appeals Library

Ms. Kaye Maerz
State Law Librarian
West Virginia Supreme Court of Appeals Library
1900 Kanawha Boulevard East
Building 1, Room E-404
Charleston, WV 25305
(304) 558-2607
[email protected]

Wisconsin

State Law Library

Ms. Jane Colwin
State Law Librarian
State Law Library
120 M.L.K. Jr. Boulevard
Madison, WI 53703
(608) 261-2340
[email protected]

Wyoming

Wyoming State Law Library

Ms. Kathy Carlson
Law Librarian
Wyoming State Law Library
Supreme Court Building
2301 Capitol Avenue
Cheyenne, WY 82002
(307) 777-7509
[email protected]

National

American Judicature Society

Ms. Deborah Sulzbach
Acquisitions Librarian
Drake University
Law Library, Opperman Hall
2507 University Avenue

[[Page 57409]]

Des Moines, IA 50311-4505
(515) 271-3784
e-mail: [email protected]

National Center for State Courts

Ms. Joan Cochet
Library Specialist
National Center for State Courts
300 Newport Avenue
Williamsburg, VA 23185-4147
(757) 259-1826
[email protected]

JERITT

Dr. Maureen E. Conner
Executive Director
The JERITT Project
Michigan State University
1407 S. Harrison Road
Suite 330 Nisbet
East Lansing, MI 48823-5239
(517) 353-8603
(517) 432-3965 (fax)
[email protected]
Web site: 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

Collaboration: A Training Curriculum to Enhance the Effectiveness of 
Criminal Justice Teams (Center for Effective Public Policy: SJI-99-
039)
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)
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)

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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)

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. 05-19439 Filed 9-29-05; 8:45 am]
BILLING CODE 6820-SC-C