Federal Register, Volume 70 Issue 232 (Monday, December 5, 2005)

[Federal Register Volume 70, Number 232 (Monday, December 5, 2005)]
[Notices]
[Pages 72510-72553]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 05-23542]

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Part II

State Justice Institute

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Grant Guideline; Notice

Federal Register / Vol. 70 , No. 232 / Monday, December 5, 2005 /
Notices

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STATE JUSTICE INSTITUTE

Grant Guideline

AGENCY: State Justice Institute.

ACTION: Final 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: December 5, 2005.

FOR FURTHER INFORMATION CONTACT: Kevin Linskey, Executive Director,
State Justice Institute, 1650 King St. (Suite 600), Alexandria, VA
22314, (703) 684-6100 X214.

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.
The fiscal year 2006 Science, State, Justice, and Commerce
appropriations subcommittee conference report (H. Rept. 109-272/H.R.
2862) made available $3.5 million for the State Justice Institute
(SJI), less a modest across-the-board rescission.
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 six types of grants in FY 2006: Project Grants,
Continuation Grants, Technical Assistance (TA) Grants, Judicial Branch
Education Technical Assistance (JBE TA) grants, Scholarships, and
Partner Grants.
Project Grants. Project Grants (see sections II.B., III.O., 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.
In other words, grant awards by SJI must be matched at least dollar for
dollar by grant applicants. Applicants may contribute the required cash
match 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 specific programs or services begun during earlier Project
Grants. 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. In other words, grant awards by SJI must be matched at least
dollar for dollar by grant applicants. Applicants may contribute the
required cash match 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 regional 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

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between January 1 and March 31, 2007, the applications and documents
must be submitted between October 2 and December 1, 2006. See section
VI.E. for scholarship application procedures.
Partner Grants. Partner Grants (see sections II.F., III.M., V.,
VI.F., VII., and VIII.D.) are intended to allow SJI and federal, State,
or local agencies or foundations, trusts, or other private entities to
combine financial resources in pursuit of common interests. SJI and its
funding partners may meld, pick and choose, or waive their grant
requirements, application procedures, or grant cycles to expedite the
award of jointly-funded grants targeted at emerging or high priority
problems confronting State and local courts. Like Project Grants,
Partner Grants will be awarded only to support initiatives likely to
have a significant national impact.

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 who 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

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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 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.
Develop low cost methods for measuring performance.

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
federalism and the courts and 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 regional 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 shall only cover the cost of obtaining the services of expert
consultants. Examples of expenses not covered Technical Assistance
Grants include the salaries, benefits, travel, or training costs of
full- or part-time court employees. Normally, the technical assistance
must be completed within 12 months after the start date of the grant.
Only a State or local court or regional 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

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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.

F. Partner Grants

Though many, if not most, Partner Grants will fall under the
Special Interest program categories cited in section II.A., proposals
addressing other emerging or high priority court-related problems will
be considered on a case-by-case basis. The amount of funds reserved by
the Board for these grants will depend upon the partnering
opportunities available. Any organization described in section IV.
shall be eligible to apply for, or receive, a Partner Grant.

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 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
the approved application, acknowledged in writing by the Institute. See
section X.A for a list of the types of changes requiring a formal grant
adjustment. 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.

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M. Partner Grant

A flexible, loosely defined grant that maximizes the ability of SJI
to pair with other government or philanthropic organizations to channel
pooled financial resources to the most pressing dilemmas confronting
State and local courts. The amount and duration of these grants will be
determined on a case-by-case basis. The grant guidelines under which
grantees will operate is likely to be an amalgam of the grant
management best practices of SJI and its partner financiers.

N. 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.

O. 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.

P. 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.

Q. 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.

R. Special Condition

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

S. 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.

T. Subgrantee

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

U. Technical Assistance Grant

A grant, lasting up to 12 months, of up to $30,000 to a State or
local court or regional 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.O., 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.U., 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.

[[Page 72515]]

5. Scholarships
See sections II.E., III.Q., and VI.E. In FY 2006, the Institute is
reserving up to $200,000 for scholarships for judges and court
managers.
6. Partner Grants
See sections II.F., III.M., V., VI.F., VII., and VIII.D.

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.
6. SJI and its financial partners may set any level of funding for
Partner Grants, subject to the entire amount of the grant being
available at the time of award; applicants for Partner Grants may
request any amount of funding.

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.
4. Grant periods for Partner Grants will be limited as necessary by
SJI and its financial partners.

VI. Applications

A. Project Grants

An application for a Project Grant must include an application
form; budget forms (with appropriate documentation); a project
abstract, program narrative, and budget 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 (www.statejustice.org) and click on On-Line
Tutorials, then Project Grant.
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
r[eacute]sum[eacute]s 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

[[Page 72516]]

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 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

[[Page 72517]]

(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, DVDs, 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 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 non-judicial 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

[[Page 72518]]

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 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

[[Page 72519]]

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.
For example, if the Institute awards an applicant $100,000 for a
grant, the applicant, possibly in combination with a third party, would
be required to provide a $100,000 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 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 (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.

[[Page 72520]]

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
equaling at least 50% of the total cost of the project.
For example, if the Institute awards an applicant $100,000 for a
continuation grant, the applicant, possibly in combination with a third
party, would be required to provide a $100,000 cash match (note: a
federal third party may contribute no more than 49% of the total cost
of a project).
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 regional court associations to obtain the assistance of outside
experts in diagnosing, developing, and implementing a response to a
particular problem in a jurisdiction.
2. Application Procedures.
For a summary of the application procedures for Technical
Assistance Grants, visit the Institute's Web site
(www.statejustice.org) and click On-Line Tutorials, then Technical
Assistance Grant.
In lieu of formal applications, applicants for Technical Assistance
Grants may submit, at any time, an 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 regional 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.).

[[Page 72521]]

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 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
(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

[[Page 72522]]

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 TA grants to State or local courts, a
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 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 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

[[Page 72523]]

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.

F. Partner Grants

1. Purpose and Scope
The purpose of the Institute's Partner Grants is to marry
government and philanthropic organizations rich in financial resources
with courts and court-related organizations that are long on talent but
short on cash. These grants are a direct response to the
Congressionally mandated 50 percent cash match applied to Project and
Continuation Grants. SJI realizes that many worthy potential applicants
will not be able to make the cash match requirement. Therefore, it is
incumbent upon SJI to attempt to actively bring resources, needs, and
capabilities together to further the interests of all. The terms and
conditions of Partner Grants have been loosely defined to maximize
participation by potential financial partners. SJI anticipates that
many awards under this program will be one of a kind and will require
unique grant application and management procedures.
Therefore, the application procedures for Partner Grants will be
determined by SJI and its financial partners on a case-by-case basis.

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;
(10) The demonstration of cooperation and support of other agencies
that may be affected by the project; and,
(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,

[[Page 72524]]

(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.
5. Partner Grants
It seems probable that the selection criteria for Partner Grants
will be driven by the collective priorities of the ``bankers'
roundtable'' that forms around this grant-making opportunity and the
collective assessments of roundtable participants regarding the needs
and capabilities of court and court-related organizations. Having
settled on priorities, SJI and its financial partners will likely
contact the courts or court-related organizations most acceptable as
pilots, laboratories, consultants, or the like.

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 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.
4. Partner Grants
SJI's internal process for the review and approval of Partner
Grants will depend upon negotiations with fellow financiers. SJI may
use its procedures, a partner's procedures, a mix of both, or entirely
unique procedures. All Partner Grants will have to be approved by the
Board of Directors on whatever schedule makes sense at the time.

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).

[[Page 72525]]

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 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 provide a cash match equaling at least
50% of the total project cost. For example, if SJI awards a grantee
$100,000, the grantee would be required to provide $100,000 in cash
match.

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

[[Page 72526]]

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 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.).
(4) 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

[[Page 72527]]

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:
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

[[Page 72528]]

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.

D. Recipients of Partner Grants

Compliance requirements for Partner Grants will likely be
determined no later than the time of award, will depend upon the best
judgments of SJI and its financial partners, and likely will be unique
to each grant.

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,
with the possible exception of Partner Grant 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 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.
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

[[Page 72529]]

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 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.

[[Page 72530]]

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. Due Dates and Contents. 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 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 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.

[[Page 72531]]

(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.

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. A request for an extension must be received by the
Institute 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. If a grantee fails to submit a request
for extension in a timely manner, or such request is denied, the
Institute will not, under any circumstances, accept requests for
payment after the 90-day close-out period, even for costs legitimately
incurred and properly documented during the project 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.

[[Page 72532]]

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.

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, State's Attorney of Baltimore County,
Towson, MD.
Keith McNamara, Esq., Executive Committee Member, McNamara & McNamara,
Columbus, OH.
Terrence B. Adamson, Esq., Executive Vice-President, The National
Geographic Society, Washington, DC.
Robert N. Baldwin, 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.

[[Page 72533]]

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]

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 SW. 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

[[Page 72534]]

[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

To be determined--

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]

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

State Court Administrator
Administrative Office of the Courts
1915 North Stiles Avenue, Suite 305
Oklahoma City, OK 73105
(405) 521-2450

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

[[Page 72535]]

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 Law Library
450 South State, W-13
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
Des Moines, IA 50311-4505
(515) 271-3784
e-mail: [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]
website: http://jeritt.msu.edu

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]

National Judicial College

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

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).

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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).
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).

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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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