[Federal Register Volume 60, Number 240 (Thursday, December 14, 1995)]
[Notices]
[Pages 64192-64236]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-30363]



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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 1996 State Justice 
Institute grants, cooperative agreements, and contracts.

EFFECTIVE DATE: December 14, 1995.

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

SUPPLEMENTARY INFORMATION: Pursuant to the State Justice Institute Act 
of 1984, 42 U.S.C. 10701, et seq., as amended, the Institute is 
authorized to award grants, cooperative agreements, and contracts to 
State and local courts, nonprofit organizations, and others for the 
purpose of improving the administration of justice in the State courts 
of the United States.

[[Page 64193]]


Changes in the Final Guideline

    On August 29, 1995, the Institute published its proposed FY 1996 
Grant Guideline in the Federal Register for public comment. 60 FR 
44936. At the time the proposed Guideline was published, SJI's FY 1996 
appropriation was uncertain; the Guideline accordingly cautioned that 
the proposed grant program was contingent on the availability of FY 
1996 appropriations at about the same $13.55 million level that SJI 
received from Congress each year from FY 1992 to 1995.
    On November 29, 1995, the House and Senate conference committee 
responsible for determining SJI's appropriation set the Institute's FY 
1996 funding level at $5 million. If this amount is approved by 
Congress and the President, the Institute anticipates the availability 
of $6-9 million in grants in FY 1996 (after adding grant funds expected 
to be available from prior years and reserving funds for the 
administration of the program). This Guideline is contingent on the 
availability of $5 million in FY 1996 appropriations.
    As a result of the anticipated reduction in SJI's appropriation, 
the Board of Directors has made several significant changes in the 
final Grant Guideline. They include:
    Eliminating the Concept Paper Requirement. In order to facilitate 
the review and disposition of FY 1996 funding requests, the Board has 
eliminated the concept paper requirement for new proposals this fiscal 
year. All applicants will be required to submit formal applications for 
project grants no later than February 14, 1996. See section VII. for 
application requirements.
    Reducing the Number of Special Interest Categories. The number of 
Special Interest, i.e., high priority, funding categories has been 
reduced from 13 in the proposed Guideline to 7 in the final Guideline. 
The seven categories are: Improving Public Confidence in the Courts; 
Education and Training for Judges and Other Key Court Personnel; 
Children and Families in Court; Application of Technology; Improving 
the Courts' Response to Gender-Related Crimes of Violence; the 
Relationship Between State and Federal Courts; and Conference 
Implementation Projects. See section II.B.2.
    Within the constraints of the limited funding expected to be 
available in FY 1996, the Board of Directors also remains interested in 
proposals seeking to implement projects under the six Special Interest 
categories that were dropped from last year's Guideline: Dispute 
Resolution and the Courts; Planning and Managing the Future of the 
Courts; Resolution of Current Evidentiary Issues; Substance Abuse; 
Eliminating Race and Ethnic Bias in the Courts; and Assessing the 
Impact of Health Care-Related Issues on the State Courts, as well as a 
new category included in the Proposed Guideline, Proving the Security 
of Courthouses, Judges, Jurors, and Witnesses.
    Changing the Types and Amounts of Grants Available. The final Grant 
Guideline eliminates package grants and reduces the amounts allocated 
to several other grant programs. As discussed more fully below, the 
amount allocated for Technical Assistance grants has been reduced from 
$600,000 in the proposed Guideline to $400,000 in the final Guideline; 
the amount allocated for Curriculum Adaptation grants has been reduced 
from $350,000 to $175,000; and the amount allocated for the Scholarship 
Program has been reduced from $250,000 to $175,000. In addition, the 
maximum amount contemplated for any single project grant has been 
reduced from $300,000 to $200,000, and the maximum duration of a 
project grant has been reduced from 24 months to 15 months.
    The types of grants available in FY 1996 and the funding cycles for 
each program are discussed more fully below:
    Project Grants. These grants are awarded to support education, 
research, evaluation, demonstration, and technical assistance projects 
to improve the administration of justice in the State courts. With 
limited exceptions (see sections II.B.2.b.ii. and II.C.), project 
grants are intended to support innovative projects of lasting national 
significance. As noted above, FY 1996 project grants may be made in 
amounts up to $200,000, but grants in excess of $150,000 will be 
awarded only to support projects likely to have a significant national 
impact.
    The FY 1996 mailing deadline for project grant applications is 
February 14, 1996. Papers must be postmarked or bear other evidence of 
submission by that date. All applications will be considered at the 
Board's June 1996 meeting.
    Technical Assistance Grants. Under this program, a State or local 
court 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. The Guideline allocates up to 
$400,000 in FY 1996 funds to support technical assistance grants. See 
section II.C. The deadlines for submitting letters of application for 
Technical Assistance grants are December 22, 1995; March 29, 1996; June 
17, 1996; and, subject to the availability of sufficient appropriations 
in FY 1997, September 30, 1996.
    Curriculum Adaptation Grants. A grant of up to $20,000 may be 
awarded to a State or local court to replicate or modify a model 
training program developed with SJI funds. The Guideline allocates up 
to $175,000 for these grants in FY 1996. See section II.B.2.b.ii.
    Letters requesting Curriculum Adaptation grants may be submitted at 
any time during the fiscal year. However, in order to permit the 
Institute sufficient time to evaluate these proposals, letters must be 
submitted no later than 90 days before the projected date of the 
training program. See section II.B.2.b.ii.(c).
    Scholarships. The Guideline allocates up to $175,000 of FY 1996 
funds for scholarships to enable judges and court managers to attend 
out-of-State education and training programs. See section II.B.2.b.iii.
    The Guideline establishes three deadlines for scholarship requests: 
February 1, 1996 for programs beginning between April 13 and July 12, 
1996; April 15, 1996 for programs beginning between July 13 and 
September 30, 1996; and, subject to the availability of FY 1997 
appropriations, July 15, 1996 for programs beginning between October 1 
and December 31, 1996.
    Renewal Grants. There are two types of renewal grants available 
from SJI: Continuation grants (see section IX.A.) and On-going support 
grants (see section IX.B.). Continuation grants are intended to support 
limited duration projects that involve the same type of activities as 
the original project. On-going support grants may be awarded for up to 
a three-year period to support national-scope projects that provide the 
State courts with critically needed services, programs, or products.
    The Guideline establishes a target for renewal grants of no more 
than $2 million in FY 1996. Grantees should accordingly be aware that 
the award of a grant to support a project does not constitute a 
commitment to provide either continuation funding or on-going support.
    An applicant for a continuation or on-going support 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 renewal grant application. See section IX.

[[Page 64194]]


Recommendations to Grant Writers

    Over the past 9 years, Institute staff have reviewed approximately 
3,000 concept papers and 1,400 applications. On the basis of those 
reviews, inquiries from applicants, and the views of the Board, the 
Institute offers the following recommendations to help potential 
applicants present workable, understandable proposals that can meet the 
funding criteria set forth in this Guideline.
    The Institute suggests that applicants make certain that they 
address the questions and issues set forth below when preparing an 
application.
    Applications should, however, be presented in the formats specified 
in section VII. of the guideline.
    1. What is the subject or problem you wish to address? Describe the 
subject or problem and how it affects the courts and the public. 
Discuss how your approach will improve the situation or advance the 
state of the art or knowledge, and explain why it is the most 
appropriate to take. When statistics or research findings are cited to 
support a statement or position, the source of the citation should be 
referenced in a footnote or a reference list.
    2. What do you want to do? Explain the goal(s) of the project in 
simple, straightforward terms. The goals should describe the intended 
consequences or expected overall effect of the proposed project (e.g., 
to enable judges to sentence drug-abusing offenders more effectively, 
or to dispose of civil cases within 24 months), rather than the tasks 
or activities to be conducted (e.g., hold 3 training sessions, or 
install a new computer system).
    To the greatest extent possible, an applicant should avoid a 
specialized vocabulary that is not readily understood by the general 
public. Technical jargon does not enhance a paper.
    3. How will you do it? Describe the methodology carefully so that 
what you propose to do and how you would do it are clear. All proposed 
tasks should be set forth so that a reviewer can see a logical 
progression of tasks and relate those tasks directly to the 
accomplishment of the project's goal(s). When in doubt about whether to 
provide a more detailed explanation or to assume a particular level of 
knowledge or expertise on the part of the reviewers, provide the 
additional information. A description of project tasks also will help 
identify necessary budget items. All staff positions and project costs 
should relate directly to the tasks described. The Institute encourages 
applicants to attach letters of cooperation and support from the courts 
and related agencies that will be involved in or directly affected by 
the proposed project.
    4. How will you know it works? Include an evaluation component that 
will determine whether the proposed training, procedure, service, or 
technology accomplished the objectives it was designed to meet. 
Applications should present the criteria that will be used to evaluate 
the project's effectiveness, identify program elements which will 
require further modification and describe how the evaluation will be 
conducted, when it will occur during the project period, who will 
conduct it, and what specific measures will be used. In most instances, 
the evaluation should be conducted by persons not connected with the 
implementation of the procedure, training, service, or technique, or 
the administration of the project.
    The Institute has also prepared a more thorough list of 
recommendations to grant writers regarding the development of project 
evaluation plans. Those recommendations are available from the 
Institute upon request.
    5. How will others find out about it? Include a plan to disseminate 
the results of the training, research, or demonstration beyond the 
jurisdictions and individuals directly affected by the project. The 
plan should identify the specific methods which will be used to inform 
the field about the project, such as the publication of law review or 
journal articles, or the distribution of key materials. A statement 
that a report or research findings ``will be made available to'' the 
field is not sufficient. The specific means of distribution or 
dissemination as well as the types of recipients should be identified. 
Reproduction and dissemination costs are allowable budget items.
    6. What are the specific costs involved? The budget should be 
presented clearly. Major budget categories such as personnel, benefits, 
travel, supplies, equipment, and indirect costs should be identified 
separately. The components of ``Other'' or ``Miscellaneous'' items 
should be specified in the application budget narrative, and should not 
include set-asides for undefined contingencies.
    7. What, if any, match is being offered? Courts and other units of 
State and local government (not including publicly-supported 
institutions of higher education) are required by the State Justice 
Institute Act to contribute a match (cash, non-cash, or both) of not 
less than 50 percent of the grants funds requested from the Institute. 
All other applicants also are encouraged to provide a matching 
contribution to assist in meeting the costs of a project.
    The match requirement works as follows: If, for example, the total 
cost of a project is anticipated to be $150,000, a State or local court 
or executive branch agency may request up to $100,000 from the 
Institute to implement the project. The remaining $50,000 (50% of the 
$100,000 requested from SJI) must be provided as match.
    Cash match includes funds directly contributed to the project by 
the applicant, or by other public or private sources. It does not 
include income generated from tuition fees or the sale of project 
products. Non-cash match refers to in-kind contributions by the 
applicant, or other public or private sources. This includes, for 
example, the monetary value of time contributed by existing personnel 
or members of an advisory committee (but not the time spent by 
participants in an educational program attending program sessions). 
When match is offered, the nature of the match (cash or in-kind) should 
be explained and, at the application stage, the tasks and line items 
for which costs will be covered wholly or in part by match should be 
specified.
    8. Which of the two budget forms should be used? Section VII.A.3. 
of the SJI Grant Guideline encourages use of the spreadsheet format of 
Form C1 if the funding request exceeds $100,000. Form C1 also works 
well for projects with discrete tasks, regardless of the dollar value 
of the project. Form C, the tabular format, is preferred for projects 
lacking a number of discrete tasks, or for projects requiring less than 
$100,000 of Institute funding. Generally, use the form that best lends 
itself to representing most accurately the budget estimates for the 
project.
    9. How much detail should be included in the budget narrative? The 
budget narrative of an application should provide the basis for 
computing all project-related costs, as indicated in section VII.D. of 
the SJI Grant Guideline. To avoid common shortcomings of application 
budget narratives, include the following information:
    <bullet> Personnel estimates that accurately provide the amount of 
time to be spent by personnel involved with the project and the total 
associated costs, including current salaries for the designated 
personnel (e.g., Project Director, 50% for one year, annual salary of 
$50,000=$25,000). If salary costs are computed using an hourly or daily 
rate, the annual salary and number of hours or days in a work-year 
should be shown.
    <bullet> Estimates for supplies and expenses supported by a 
complete description of 

[[Page 64195]]
the supplies to be used, nature and extent of printing to be done, 
anticipated telephone charges, and other common expenditures, with the 
basis for computing the estimates included (e.g., 100 reports  x  75 
pages each  x  .05/page = $375.00). Supply and expense estimates 
offered simply as ``based on experience'' are not sufficient.
    In order to expedite Institute review of the budget, make a final 
comparison of the amounts listed in the budget narrative with those 
listed on the budget form. In the rush to complete all parts of the 
application on time, there may be many last-minute changes; 
unfortunately, when there are discrepancies between the budget 
narrative and the budget form or the amount listed on the application 
cover sheet, it is not possible for the Institute to verify the amount 
of the request. A final check of the numbers on the form against those 
in the narrative will preclude such confusion. The Institute will 
provide an illustrative budget and budget form upon request.
    10. What travel regulations apply to the budget estimates? 
Transportation costs and per diem rates must comply with the policies 
of the applicant organization, and a copy of the applicant's travel 
policy should be submitted as an appendix to the application. If the 
applicant does not have a travel policy established in writing, 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 state which 
regulations are in force for the project and should include the 
estimated fare, the number of persons traveling, the number of trips to 
be taken, and the length of stay. The estimated costs of travel, 
lodging, ground transportation, and other subsistence should be listed 
separately. When combined, the subtotals for these categories should 
equal the months after the project start date to submit the indirect 
cost proposal to the Institute for approval. An indirect cost rate 
worksheet on computer diskette is available from the Institute upon 
request.
    11. May grant funds be used to purchase equipment? Generally, grant 
funds may be used to purchase only the equipment that is 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 budget narrative must list the equipment to be 
purchased and explain why the equipment is necessary to the success of 
the project. Written prior approval of the Institute is required when 
the amount of computer hardware to be purchased or leased exceeds 
$10,000, or the software to be purchased exceeds $3,000.
    12. To what extent may indirect costs be included in the budget 
estimates? It is the policy of the Institute that all costs should be 
budgeted directly; however, if an applicant has an indirect cost rate 
that has been approved by a Federal agency within the last two years, 
an indirect cost recovery estimate may be included in the budget. A 
copy of the approved rate agreement should be submitted as an appendix 
to the application.
    If an applicant does not have an approved rate agreement, an 
indirect cost rate proposal should be prepared in accordance with 
Section XI.H.4 of the Grant Guideline, based on the applicant's audited 
financial statements for the prior fiscal year. (Applicants lacking an 
audit should budget all project costs directly.) If an indirect cost 
rate proposal is to be submitted, the budget should reflect estimates 
based on that proposal. Obviously, this requires that the proposal be 
completed at the time of application so that the appropriate estimates 
may be included; however, grantees have until three months after the 
project start date to submit the indirect cost proposal to the 
Institute for approval. An indirect cost rate worksheet on computer 
diskette is available from the Institute upon request.
    13. Does the budget truly reflect all costs required to complete 
the project? After preparing the program narrative portion of the 
application, applicants may find it helpful to list all the major tasks 
or activities required by the proposed project, including the 
preparation of products, and note the individual expenses, including 
personnel time, related to each. This will help to ensure that, for all 
tasks described in the application (e.g., development of a videotape, 
research site visits, distribution of a final report), the related 
costs appear in the budget and are explained correctly in the budget 
narrative.

Recommendations to Grantees

    The Institutes staff works with grantees to help assure the smooth 
operation of the project and compliance with the SJI Guidelines. On the 
basis of monitoring more than 1000 grants, the Institute staff offers 
the following suggestions to aid grantees in meeting the administrative 
and substantive requirements of their grants.
    1. After the grant has been awarded, when are the first quarterly 
reports due? Quarterly Progress Reports and Financial Status Reports 
must be submitted within 30 days after the end of every calendar 
quarter--i.e. no later than January 30, April 30, July 30, and October 
30--regardless of the project's start date. The reporting periods 
covered by each quarterly report end 30 days before the respective 
deadline for the report. When an award period begins December 1, for 
example, the first Quarterly Progress Report describing project 
activities between December 1 and December 31 will be due on January 
30. A Financial Status Report should be submitted even if funds have 
not been obligated or expended.
    By documenting what has happened over the past three months, 
Quarterly Progress Reports provide an opportunity for project staff and 
Institute staff to resolve any questions before they become problems, 
and make any necessary changes in the project time schedule, budget 
allocations, etc. Thus, the Quarterly Project Report should describe 
project activities, their relationship to the approved timeline, and 
any problems encountered and how they were resolved, and outline the 
tasks scheduled for the coming quarter. It is helpful to attach copies 
of relevant memos, draft products, or other requested information. An 
original and one copy of a Quarterly Progress Report and attachments 
should be submitted to the Institute.
    Additional Quarterly Progress Report on Financial Status Report 
forms may be obtained from the grantee's Program Manager at SJI, or 
photocopies may be made from the supply received with the award.
    2. Do reporting requirements differ for renewal grants or package 
grants? Recipients of a continuation, on-going support, or package 
grant are required to submit quarterly progress and financial status 
reports on the same schedule and with the same information as 
recipients of a grant for a single new project.
    A continuation grant and each yearly grant under an on-going 
support award should be considered as a separate phase of the project. 
The reports should be numbered on a grant rather than project basis. 
Thus, the first quarterly report filed under a continuation grant or a 
yearly increment of an on-going support award should be designated as 
number one, the second as number two, and so on, through the final 
progress and financial status reports due within 90 days after the end 
of the grant period.
    3. What information about project activities should be communicated 
to SJI? In general, grantees should provide 

[[Page 64196]]
prior notice of critical project events such as advisory board meetings 
or training sessions so that the Institute Program Manager can attend 
if possible. If methodological, schedule, staff, budget allocations, or 
other significant changes become necessary, the grantee should contact 
the Program Manager prior to implementing any of these changes, so that 
possible questions may be addressed in advance. Questions concerning 
the financial requirements section of the Guideline, quarterly 
financial reporting or payment requests, should be addressed to the 
Grants Financial Manager listed in the award letter.
    It is helpful to include the grant number assigned to the award on 
all correspondence to the Institute.
    4. Why is it important to address the special conditions that are 
attached to the award document? In some instances, a list of special 
conditions is attached to the award document. The special conditions 
are imposed to establish a schedule for reporting certain key 
information, to assure that the Institute has an opportunity to offer 
suggestions at critical stages of the project, and to provide reminders 
of some, but not all of the requirements contained in the Grant 
Guidelines. Accordingly, it is important for grantees to check the 
special conditions carefully and discuss with their Program Manager any 
questions or problems they may have with the conditions. Most concerns 
about timing, response time, and the level of detail required can be 
resolved in advance through a telephone conversation. The Institute's 
primary concern is to work with grantees to assure that their projects 
accomplish their objectives, not to enforce rigid bureaucratic 
requirements. However, if a grantee fails to comply with a special 
condition or with other grant requirements, the Institute may, after 
proper notice, suspend payment of grant funds or terminate the grant.
    Sections X., XI., and XII. of the Grant Guideline contain the 
Institute's administrative and financial requirements. Institute 
Finance and Management Division staff are always available to answer 
questions and provide assistance regarding these provisions.
    5. What is a Grant Adjustment? A Grant Adjustment is the 
Institute's form for acknowledging the satisfaction of special 
conditions, or approving changes in grant activities, schedule, 
staffing, sites, or budget allocations requested by the project 
director. It also may be used to correct errors in grant documents, add 
small amounts to a grant award, or deobligate funds from the grant.
    6. What schedule should be followed in submitting requests for 
reimbursements or advance payments? Requests for reimbursements or 
advance payments may be made at any time after the project start date 
and before the end of the 90-day close-out period. However, the 
Institute follows the U.S. Treasury's policy limiting advances to the 
minimum amount required to meet immediate cash needs. Given normal 
processing time, grantees should not seek to draw down funds for 
periods greater than 30 days from the date of the request.
    7 Do procedures for submitting requests for reimbursement or 
advance payment differ for renewal grants? The basic procedures are the 
same for any grant. A continuation grant or the yearly grant under an 
on-going support award should be considered as a separate phase of the 
project. Payment requests should be numbered on a grant rather than a 
project basis. Thus, the first request for funds from a continuation 
grant or a yearly increment under an on-going support award should be 
designated as number one, the second as number two, and so on through 
the final payment request for that grant.
    8. If things change during the grant period, can funds be 
reallocated from one budget category to another? The Institute 
recognizes that some flexibility is requires in implementing a project 
design and budget. Thus, grantees may shift funds among direct cost 
budget categories. When any one reallocation or the cumulative total of 
reallocations are expected to exceed five percent of the approved 
project budget, a grantee must specify the proposed changes, explain 
the reasons for the changes, and request Institute approval.
    The same standard applies to renewal grants. In addition, prior 
written Institute approval is required to shift leftover funds from the 
original award to cover activities to be conducted under the renewal 
award, or to use renewal grant monies to cover costs incurred during 
the original grant period.
    9. What is the 90-day close-out period? Following the last day of 
the grant, a 90-day period is provided to allow for all grant-related 
bills to be received and posted, and grant funds drawn down to cover 
these expenses. No obligations of grant funds may be incurred during 
this period. The last day on which an expenditure of grant funds can be 
obligated is the end date of the grant period. Similarly, the 90-day 
period is not intended as an opportunity to finish and disseminate 
grant products. This should occur before the end of the grant period.
    Starting the day after the end of the award period, and during the 
following 90 days, all monies that have been obligated should be 
expended. All payment requests must be received by the end of the 90-
day ``close-out-period.'' Any unexpended monies held by the grantee 
that remain after the 90-day follow-up period must be returned to the 
Institute. Any funds remaining in the grant that have not been drawn 
down by the grantee will be deobligated.
    10. Are funds granted by SJI ``Federal funds? The State Justice 
Institute Act provides that, except for purposes unrelated to this 
question, ``the Institute shall not be considered a department, agency, 
or instrumentality of the Federal Government.'' 42 U.S.C. 
Sec. 1070(c)(1). Because SJI receives appropriations from Congress, 
some grantees auditors have reported SJI funds as ``Other Federal 
Assistance.'' This classification is acceptable to SJI but is not 
required.
    11. If SJI is not a Federal Agency, do OMB circulars apply with 
respect to audits? Except to the extent that they are inconsistent with 
the express provisions of the SJI Grant Guideline, Office of Management 
and Budget (OMB) Circulars A-110, A-21, A-87, A-88, A-102, A-122, A-128 
and A-133 are incorporated into the Grant Guideline by reference. 
Because the Institute's enabling legislation specifically requires the 
Institute to ``conduct, or require each recipient to provide for, an 
annual fiscal audit'' [see 42 U.S.C. 10711(c)(1)], the Grant Guideline 
sets forth options for grantees to comply with this statutory 
requirement. (See Section XI.J.)
    Prior to FY 1994, the Institute did not require grantees to comply 
with the audit-related provisions of OMB circulars A-110, A-128, or A-
133, but did require that grantees, lacking an audit report prepared 
for a Federal agency, conduct an independent audit in compliance with 
generally accepted auditing standards established by the American 
Institute of Certified Public Accountants.
    The current Guideline makes it clear that SJI will accept audits 
conducted in accordance with the Single Audit Act of 1984 and OMB 
Circulars A-128, or A-133, in satisfaction of the annual fiscal audit 
requirement. Grantees who are required to undertake these audits in 
conjunction with Federal grants may include SJI funds as part of the 
audit even if the receipt of SJI funds would not require such audits. 
This approach gives grantees an option to fold SJI funds into the 
governmental audit rather 

[[Page 64197]]
than to undertake a separate audit to satisfy SJI's Guidelines 
requirements.
    In sum, educational and nonprofit organizations that receive 
payments from the Institute that are sufficient to meet the 
applicability thresholds of OMB Circular A-133 must have their annual 
audit conducted in accordance with Government Auditing Standards issued 
by the Comptroller General of the United States rather than with 
generally accepted auditing standards. Grantees in this category that 
receive amounts below the minimum threshold referenced in Circular A-
133 must also submit an annual audit to SJI, but they would have the 
option to conduct an audit of the entire grantee organization in 
accordance with generally accepted auditing standards; include SJI 
funds in an audit of Federal funds conducted in accordance with the 
Single Audit Act of 1984 and OMB Circulars A-128 or A-133; or conduct 
an audit of only the SJI funds in accordance with generally accepted 
auditing standards. (See Guideline Section XI.J.) A copy of the above-
noted circulars may be obtained by calling OMB at (202) 395-7250.
    12. Does SJI have a CFDA number? Auditors often request that a 
grantee provide the Institute's Catalog of Federal Domestic Assistance 
(CFDA) number for guidance in conducting an audit in accordance with 
Government Accounting Standards. Because SJI is not a Federal agency, 
it has not been issued such a number, and there are no additional 
compliance tests to satisfy under the Institute's audit requirements 
beyond those of a standard governmental audit.
    Moreover, because SJI is not a Federal agency, SJI funds should not 
be aggregated with Federal funds to determine if the applicability 
threshold of Circular A-133 has been reached. For example, if in fiscal 
year 1996 grantee ``X'' received $10,000 in Federal funds from a 
Department of Justice (DOJ) grant program and $20,000 in grant funds 
from SJI, the minimum A-133 threshold would not be met. The same 
distinction would preclude an auditor from considering the additional 
SJI funds in determining what Federal requirements apply to the DOJ 
funds.
    Grantees that are required to satisfy either the Single Audit Act, 
OMB Circulars A-128, or A-133 and who include SJI grant funds in those 
audits, need to remember that because of its status as a private non-
profit corporation, SJI is not on routing lists of cognizant Federal 
agencies. Therefore, the grantee needs to submit a copy of the audit 
report prepared for such a cognizant Federal agency directly to SJI. 
The Institute's audit requirements may be found in Section XI.J. of the 
Grant Guideline.
* * * * *
    The following Grant Guideline is adopted by the State Justice 
Institute for FY 1996:

State Justice Institute Grant Guideline

Table of Contents

Summary

I. Background
II. Scope of the program
III. Definitions
IV. Eligibility for award
V. Types of projects and grants; size of awards
VI. Suspension of concept paper submission requirement
VII. Application requirements for new projects
VIII. Application review procedures
IX. Renewal funding procedures and requirements
X. Compliance requirements
XI. Financial requirements
XII. Grant adjustments
Appendix I List of State contacts regarding administration of 
institute grants to State and local Courts
Appendix II SJI libraries: Designated sites and contacts
Appendix III Illustrative list of model curricula
Appendix IV Judicial education scholarship application forms (Forms 
S1 and S2)
Appendix V Curriculum adaptation and technical assistance grant 
budget form (Form E)
Appendix VI Certificate of State approval form (Form B)
Appendix VII Application package (Forms A, C, C-1, D and Disclosure 
of Lobbying Activities)

Summary

    This Guideline sets forth the programmatic, financial, and 
administrative requirements of grants, cooperative agreements, and 
contracts awarded by the State Justice Institute. The Institute, a 
private, nonprofit corporation established by an Act of Congress, is 
authorized to award grants, cooperative agreements and contracts to 
improve the administration and quality of justice in the State courts.
    Grants may be awarded to State and local courts and their agencies; 
national nonprofit organizations controlled by, operating in 
conjunction with, and serving the judicial branch of State governments; 
and national nonprofit organizations for the education and training of 
judges and support personnel of the judicial branch of State 
governments. The Institute may also award grants to other nonprofit 
organizations with expertise in judicial administration; institutions 
of higher education; individuals, partnerships, firms, or corporations, 
and private agencies with expertise in judicial administration if the 
objectives of the funded program can be better served by such an 
entity. Funds may be awarded, as well to Federal, State or local 
agencies and institutions other than courts for services that cannot be 
provided adequately through nongovernmental arrangements. In addition, 
the Institute may provide financial assistance in the form of 
interagency agreements with other grantors.
    The Institute will consider applications for funding support that 
address any of the areas specified in its enabling legislation, as 
amended. However, the Board of Directors of the Institute has 
designated certain program categories as being of special interest.
    The Institute has established one round of competition for FY 1996 
funds. The application submission deadline is February 14, 1996, (See 
section II.B.2.g) It is anticipated that approximately $6-9 million 
will be available for award. This Guideline applies to all concept 
papers and applications submitted, as well as grants awarded in FY 
1996.
    The awards made by the State Justice Institute are governed by the 
requirements of this Guideline and the authority conferred by Pub. L. 
98-620, Title II, 42 U.S.C. 10701, et seq., as amended.

I. Background

    The Institute was established by Pub. L. 98-620 to improve the 
administration of justice in the State courts in the United States. 
Incorporated in the State of Virginia as a private, nonprofit 
corporation, the Institute is charged, by statute, with the 
responsibility to:
    A. 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;
    B. Foster coordination and cooperation with the Federal judiciary;
    C. Promote recognition of the importance of the separation of 
powers doctrine to an independent judiciary; and
    D. 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.

[[Page 64198]]

    The Institute is supervised by an 11-member Board of Directors 
appointed by the President, by and with the consent of the Senate. The 
Board is statutorily composed of six judges, a State court 
administrator, and four members of the public, no more than two of whom 
can be of the same political party.
    Through the award of grants, contracts, and cooperative agreements, 
the Institute is authorized to perform the following activities:
    A. Support research, demonstrations, special projects, technical 
assistance, and training to improve the administration of justice in 
the State courts;
    B. Provide for the preparation, publication and dissemination of 
information regarding State judicial systems;
    C. Participate in joint projects with Federal agencies and other 
private grantors;
    D. Evaluate or provide for the evaluation of programs and projects 
funded by the Institute to determine their impact upon the quality of 
criminal, civil, and juvenile justice and the extent to which they have 
contributed to improving the quality of justice in the State courts;
    E. Encourage and assist in furthering judicial education;
    F. Encourage, assist, and serve in a consulting capacity to State 
and local justice system agencies in the development, maintenance, and 
coordination of criminal, civil, and juvenile justice programs and 
services; and
    G. Be responsible for the certification of national programs that 
are intended to aid and improve State judicial systems.

II. Scope of the Program

    During FY 1996, the Institute will consider applications for 
funding support that address any of the areas specified in its enabling 
legislation. The Board, however, has designated certain program 
categories as being of ``special interest.'' See section II.B.

A. Authorized Program Areas

    The Institute is authorized to fund projects addressing one or more 
of the following program areas listed in the State Justice Institute 
Act, the Battered Women's Testimony Act of 1992, the Judicial Training 
and Research for Child Custody Litigation Act of 1992, and the 
International Parental Kidnapping Crime Act of 1993.
    1. Assistance to State and local court systems in establishing 
appropriate procedures for the selection and removal of judges and 
other court personnel and in determining appropriate levels of 
compensation;
    2. Education and training programs for judges and other court 
personnel for the performance of their general duties and for 
specialized functions, and national and regional conferences and 
seminars for the dissemination of information on new developments and 
innovative techniques;
    3. Research on alternative means for using judicial and nonjudicial 
personnel in court decisionmaking activities, implementation of 
demonstration programs to test such innovative approaches and 
evaluations of their effectiveness;
    4. Studies of the appropriateness and efficacy of court 
organizations and financing structures in particular States, and 
support to States to implement plans for improved court organization 
and financing;
    5. Support for State court planning and budgeting staffs and the 
provision of technical assistance in resource allocation and service 
forecasting techniques;
    6. Studies of the adequacy of court management systems in State and 
local courts, and implementation and evaluation of innovative responses 
to records management, data processing, court personnel management, 
reporting and transcription of court proceedings, and juror utilization 
and management;
    7. Collection and compilation of statistical data and other 
information on the work of the courts and on the work of other agencies 
which relate to and affect the work of courts;
    8. Studies of the causes of trial and appellate court delay in 
resolving cases, and establishing and evaluating experimental programs 
for reducing case processing time;
    9. Development and testing of methods for measuring the performance 
of judges and courts and experiments in the use of such measures to 
improve the functioning of judges and the courts;
    10. Studies of court rules and procedures, discovery devices, and 
evidentiary standards to identify problems with the operation of such 
rules, procedures, devices, and standards; and the development of 
alternative approaches to better reconcile the requirements of due 
process with the need for swift and certain justice, and testing of the 
utility of those alternative approaches;
    11. Studies of the outcomes of cases in selected areas to identify 
instances in which the substance of justice meted out by the courts 
diverges from public expectations of fairness, consistency, or equity; 
and the development, testing and evaluation of alternative approaches 
to resolving cases in such problem areas;
    12. Support for programs to increase court responsiveness to the 
needs of citizens through citizen education, improvement of court 
treatment of witnesses, victims, and jurors, and development of 
procedures for obtaining and using measures of public satisfaction with 
court processes to improve court performance;
    13. Testing and evaluating experimental approaches to provide 
increased citizen access to justice, including processes which reduce 
the cost of litigating common grievances and alternative techniques and 
mechanisms for resolving disputes between citizens;
    14. Collection and analysis of information regarding the 
admissibility and quality of expert testimony on the experiences of 
battered women offered as part of the defense in criminal cases under 
State law, as well as sources of and methods to obtain funds to pay 
costs incurred to provide such testimony, particularly in cases 
involving indigent women defendants;
    15. Development of training materials to assist battered women, 
operators of domestic violence shelters, battered women's advocates, 
and attorneys to use expert testimony on the experiences of battered 
women in appropriate cases, and individuals with expertise in the 
experience of battered women to develop skills appropriate to providing 
such testimony;
    16. Research regarding State judicial decisions relating to child 
custody litigation involving domestic violence;
    17. Development of training curricula to assist State courts to 
develop an understanding of, and appropriate responses to child custody 
litigation involving domestic violence;
    18. Dissemination of information and training materials and 
provision of technical assistance regarding the issues listed in 
paragraphs 14-17 above;
    19. Development of national, regional, and in-State training and 
educational programs dealing with criminal and civil aspects of 
interstate and international parental child abduction;
    20. Other programs, consistent with the purposes of the State 
Justice Institute Act, as may be deemed appropriate by the Institute, 
including projects dealing with the relationship between Federal and 
State court systems in areas where there is concurrent State-Federal 
jurisdiction and where Federal courts, directly or indirectly, review 
State court proceedings.
    Funds will not be made available for the ordinary, routine 
operation of court 

[[Page 64199]]
systems or programs in any of these areas.

B. Special Interest Program Categories

1. General Description
    The Institute is interested in funding both innovative programs and 
programs of proven merit that can be replicated in other jurisdictions. 
Although applications in any of the statutory program areas are 
eligible for funding in FY 1996, the Institute is especially interested 
in funding those projects that:
    a. Formulate new procedures and techniques, or creatively enhance 
existing arrangements to improve the courts;
    b. Address aspects of the State judicial systems that are in 
special need of serious attention;
    c. Have national significance in terms of their impact or 
replicability in that they develop products, services, and techniques 
that may be used in other States; and
    d. 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 (1) it falls within the 
scope of the ``special interest'' program areas designated below, or 
(2) information coming to the attention of the Institute from the State 
courts, their affiliated organizations, the research literature, or 
other sources demonstrates that the project responds to another special 
need or interest of the State courts.
    Applications which address a ``Special Interest'' category will be 
accorded a preference in the rating process. (See the selection 
criteria listed in section VIII.B., ``Application Review Procedures.'')
2. Specific Categories
    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. Improving Public Confidence in the Courts. This category 
includes research, demonstration, evaluation and education projects 
designed to improve the responsiveness of courts to public concerns 
regarding the fairness, accessibility, timeliness, and 
comprehensibility of the court process, and to test innovative methods 
for increasing the public's confidence in the State courts.
    i. The Institute is particularly interested in supporting 
innovative projects that examine, develop, and test methods that trial 
or appellate courts may use to:
    <bullet> Improve service to individual litigants and trial 
participants, including innovative methods for handling cases involving 
unrepresented litigants fairly and effectively;
    <bullet> Test methods for more clearly and effectively 
communicating decisions and the reasons for them to litigants and the 
public;
    <bullet> Address court-community problems resulting from the influx 
of legal and illegal immigrants, including projects to define the 
impact of immigration on State courts; design and assess procedures for 
use in custody, visitation, and other domestic relations cases when key 
family members or property are outside the United States; facilitate 
communication with Federal authorities when illegal aliens are involved 
in State court proceedings; and develop protocols to facilitate service 
of process, the enforcement of orders of judgment, and the disposition 
of criminal and juvenile cases when a non-U.S. citizen or corporation 
is involved; and
    <bullet> Increase public understanding of jury decisions and the 
juror selection and service process; foster positive attitudes toward 
jury service; and enhance the attractiveness of juror service through, 
e.g., incentives to participate, modifications of terms of service, 
and/or juror orientation and education programs.
    Institute funds may not be used to directly or indirectly support 
legal representation of individuals in specific cases. In addition, it 
is unlikely that the Institute will continue to support development or 
testing of additional automated kiosks such as those being used by the 
courts in Arizona, California, Florida and New York.
    ii. The Institute also is interested in supporting projects 
designed to improve the quality of justice including those testing 
methods for improving court operations based on the research examining 
``procedural'' and ``distributive'' justice, and those assessing the 
impact of live television coverage of trials on court proceedings, 
public understanding, and fairness to litigants.
    In addition, the Institute is interest in supporting projects to 
follow up on the issues, recommendations, and action plans resulting 
from the National Town Hall Meeting on Improving Public Confidence in 
the Courts. (See section II.B.2.g., Conference Implementation 
Projects.)
    Previous SJI-supported projects that address these issues include: 
evaluation of an experimental community court in New York City; 
development of a manual for management of court interpretation services 
and materials for training and assisting court interpreters; 
development of interpreter certification tests in Russian and Hmong; 
development of touchscreen computer systems, videotapes, and written 
materials to assist pro se litigants; a demonstration of the use of 
volunteers to monitor guardianship; studies of effective and efficient 
methods for providing legal representation to indigent parties in 
criminal and family cases and the applicability of various dispute 
resolution procedures to different cultural groups; guidelines for 
court-annexed day care systems; and development of a manual for 
implementing innovations in jury selection, use, and management; 
technical assistance and training to facilitate implementation of the 
Standards on Jury Management; development of a guide for making juries 
accessible to persons with disabilities.
    b. Education and Training for Judges and Other Key Court Personnel. 
The Institute continues to be interested in supporting an array of 
projects to strengthen and broaden the availability of court education 
programs at the State, regional, and national levels. Accordingly, this 
category is divided into three subsections: (i) Development of 
Innovative Educational Programs; (ii) Curriculum Adaptation Projects; 
and (iii) Scholarships. All Institute-supported education and training 
programs should be accessible to persons with disabilities in 
accordance with the Americans with Disabilities Act.
    i. Development of Innovative Educational Programs. This category 
includes support for the development and testing of educational 
programs for judges or court personnel that address key substantive and 
administrative issues of concern to the nation's courts, or assist 
local courts or State court systems to develop or enhance their 
capacity to deliver quality continuing education. Programs may be 
designed for presentation at the local, State, regional, or national 
level. Ordinarily, court education programs should be based on some 
form of assessment of the needs of the target audience; include clearly 
stated learning objectives that delineate the new knowledge or skills 
that participants will acquire; incorporate adult education principles 
and varying teaching/learning methods; 

[[Page 64200]]
and result in the development of a curriculum as defined in section 
III.K
    The Institute is particularly interested in the development of 
education programs that:
    <bullet> Offer or comprise a portion of a comprehensive course of 
study that includes seminars or materials for judges or court personnel 
at various stages of their careers;
    <bullet> Include self-directed learning packages such as those 
using interactive computer-programs, videos, or other visual media 
supported by written materials or manuals, or distance-learning 
approaches that could help local courts in creating organization-wide 
continuing learning opportunities and assist those who do not have 
ready access to classroom-centered programs;
    <bullet> Are interdisciplinary or involve collaboration between the 
judicial and other branches of government or between courts within a 
metropolitan area or multi-State region;
    <bullet> Develop judicial leadership abilities, improve teamwork 
within a court, and enhance service to the public by a court;
    <bullet> Familiarize faculty with the effective use of technology 
in presenting information; or
    <bullet> Incorporate the findings from SJI-supported demonstration, 
evaluation, or research projects.
    ii. Curriculum Adaptation Projects
    (a) Description of the Program. The Board is reserving up to 
$175,000 to provide support for adaptation and implementation of model 
curricula and/or model training programs previously developed with SJI 
support. The exact amount to be awarded for curriculum adaptation 
grants will depend on the number and quality of the applications 
submitted in this category and other categories of the Guideline.
    The goal of the Curriculum Adaptation Program is to provide State 
and local courts with sufficient support to prepare and test a model 
curriculum, course module, national or regional conference program, or 
other model education program developed with SJI funds by any other 
State or national organization which has been modified to meet a 
State's or local jurisdiction's educational needs. Generally, it is 
anticipated that the adapted curriculum would become part of the 
grantee's ongoing educational offerings, and that local instructors 
would receive the training needed to enable them to make future 
presentations of the curriculum. An illustrative list of the curricula 
that may be appropriate for the adaptation is contained in Appendix 
III.
    Only State or local courts may apply for Curriculum Adaptation 
funding. Grants to support adaptation of educational programs 
previously developed with SJI funds are limited to no more than $20,000 
each. As with other awards to State of local courts, cash or in-kind 
match must be provided equal to at least 50% of the grant amount 
requested.
    (b) Review Criteria. Curriculum Adaptation grants will be awarded 
on the basis of criteria including: the goals and objectives of the 
proposed project; the need for outside funding to support the program; 
the likelihood of effective implementation; the appropriateness of the 
educational approach in achieving the project's educational objectives; 
the likelihood of effective implementation and integration into the 
State's or local jurisdiction's ongoing educational programming; and 
expressions of interest by the judges and/or court personnel who would 
be directly involved in or affected by the project. In making 
implementation awards. the Institute will also consider factors such as 
the reasonableness of the amount requested, compliance with the 
statutory 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.
    (c) Application Procedures. In lieu of formal applications, 
applicants for Curriculum Adaptation grants may submit, at any time, a 
detailed letter, and three photocopies. Although there is no prescribed 
form for the letter nor a minimum or maximum page limit, letters of 
application should include the following information to assure that 
each of the criteria for evaluating applications is addressed:
    <bullet>Project Description. What are the project's goals and 
learning objectives? What is the title of the model curriculum to be 
tried? Who developed it? What program components would be implemented, 
and what benefits would be derived from this test? Why is this 
education program needed at the present time? Who will be responsible 
for adapting the model curriculum, and what types of modifications, if 
any, in length, format, and content are anticipated? Who will the 
participants be, how will they be recruited, and from where will they 
come (e.g., from across the State, from a single local jurisdiction, 
from a multi-State region)? How many participants are anticipated?
    <bullet>Need for Funding. Why cannot State or local resources fully 
support the modification and presentation of the model curriculum? What 
is the potential for replicating or integrating the program in the 
future using State or local funds, once it has been successfully 
adapted and tested?
    <bullet>Likelihood of Implementation. What is the proposed timeline 
for modifying and presenting the program? Who would serve as faculty 
and how were they selected? How will the presentation of the program be 
evaluated and by whom? (Ordinarily, an outside evaluation is not 
necessary; however, the results of any participant evaluation should be 
included in the final report.) What measures will be taken to 
facilitate subsequent presentations of the adapted program?
    <bullet>Expressions of Interest By Judges and/or Court Personnel. 
Does the proposed program have the support of the court system 
leadership, and of judges, court managers, and judicial education 
personnel who are expected to attend? (This may be demonstrated by 
attaching letters of support.)
    <bullet>Budget and Matching State Contribution. Applicants should 
attach a copy of budget Form E (see Appendix V) and a budget narrative 
(see Section VII.B) that describes the basis for the computation of all 
project-related costs and the source of the match offered.
    <bullet>Local courts should attach a concurrence signed by the 
Chief Justice of the State or his or her designee. (See Form B, 
Appendix VI.)
    Letters of application may be submitted at any time. However, 
applicants should allow at least 90 days between the date of submission 
and the date of the proposed program to allow sufficient time for 
needed planning. The Board of Directors has delegated its authority to 
approve Curriculum Adaptation grants to its Judicial Education 
Committee. The committee anticipates acting upon applications within 45 
days after receipt. Formal grant awards will be made only after 
committee approval and negotiation of the final terms of the grant.
    (d) Grantee Responsibilities. A recipient of a Curriculum 
Adaptation grant must:
    (1) Comply with the same quarterly reporting requirements as other 
Institute grantees (see Section X.L., infra);
    (2) Include in each grant product a prominent acknowledgment that 
support was received from the Institute, along with the ``SJI'' logo, 
and a disclaimer paragraph based on the example provided in section 
X.Q. of the Guideline; and
    (3) Submit two copies of the manuals, handbooks, or conference 
packets developed under the grant at the conclusion of the grant 
period, along with a final report that includes evaluation results and 
explains how it 

[[Page 64201]]
intends to replicate the program in the future.
    Applicants seeking other types of funding for developing and 
testing educational programs must comply with the requirements 
applications set forth in Section VII or the requirements for renewal 
applications set forth in Section IX.
    iii. Scholarships for Judges and Court Personnel. The Institute is 
reserving up to $175,000 to support a scholarship program for State 
court judges and court managers.
    (a) Program Description/Scholarship Amounts. The purposes of the 
Institute scholarship program are to: enhance the knowledge, skills, 
and abilities of judges and court managers; enable State court judges 
and court managers to attend out-of-State educational programs 
sponsored by national and State providers that they could not otherwise 
attend because of limited State, local and personal budgets; and 
provide States, judicial educators, and the Institute with evaluation 
information on a range of judicial and court-related education 
programs.
    Scholarships will be granted to individuals only for the purpose of 
attending an out-of-State educational program within the United States. 
The annual or midyear 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.
    A scholarship may cover the cost of tuition and travel up to a 
maximum total of $1,500 per scholarship. Transportation expenses 
include round-trip coach airfare or train fare. Recipients who drive to 
the site of the program may receive $.30/mile up to the amount of the 
advanced purchase round-trip airfare between their home and the program 
site. Funds to pay tuition and transportation expenses in excess of 
$1,500, and other costs of attending the program such as lodging, 
meals, materials, and local transportation (including rental cars) at 
the site of the education program, must be obtained from other sources 
or be borne by the scholarship recipient.
    Scholarship recipients are encouraged to check with their tax 
advisor to determine whether the scholarship constitutes taxable income 
under Federal and State law.
    (b) Eligibility Requirements. Because of the limited amount of 
funds available, scholarships can be awarded only to full-time judges 
of State or local trial and appellate courts; to full-time 
professional, State or local court personnel with management 
responsibilities; and to supervisory and management probation personnel 
in judicial branch probation offices. Senior judges, part-time judges, 
quasi-judicial hearing officers, State administrative law judges, staff 
attorneys, law clerks, line staff, law enforcement officers, and other 
executive branch personnel will not be eligible to receive a 
scholarship.
    (c) Application Procedures. Judges and court managers interested in 
receiving a scholarship must submit the Institute's Judicial Education 
Scholarship Application Form (Form S1, see Appendix IV). Applications 
must be submitted by:
    February 1, 1996, for programs beginning between April 13 and July 
12, 1996; and
    April 15, 1996, for programs beginning between July 13 and 
September 30, 1996; and, July 15, 1996, for programs beginning between 
October 1, and December 31, 1996.
    No exceptions or extensions will be granted.
    (d) Concurrence Requirement. All scholarship applicants must obtain 
the written concurrence of the Chief Justice of his or her State's 
Supreme Court (or the Chief Justice's designee) on the Institute's 
Judicial Education Scholarship Concurrence form (Form S2, see Appendix 
IV). Court managers, other than elected clerks of court, also should 
submit a letter of support from their supervisor. The Concurrence form 
(Form S2) may accompany the applications or be sent separately. 
However, the original signed Concurrence form must be received by the 
Institute within two weeks after the appropriate application mailing 
deadline (i.e. by February 15, or April 30, or July 30, 1996). No 
application will be reviewed if a signed Concurrence has not been 
received by the required date.
    (e) Review Procedures/Selection Criteria. The Board of Directors 
has delegated the authority to approve or deny scholarships to its 
Judicial Education Committee. The Institute intends to notify each 
applicant whose scholarship has been approved within 60 days after the 
relevant application deadline. The Committee will reserve sufficient 
funds each quarter to assure the availability of scholarships 
throughout the year.
    The factors that the Institute will consider in selecting 
scholarship recipients are:
    <bullet> The applicant's need for training in the particular course 
subject and how the applicant would apply the information/skills 
gained;
    <bullet> The benefits to the applicant's court or the State's court 
system that would be derived from the applicant's participation in the 
specific educational program, including a description of current legal, 
procedural, administrative, or other problems affecting the State's 
courts, related to topics to be addressed at the educational program 
(in addition to submission of a signed Form S2);
    <bullet> The absence of educational programs in the applicant's 
State addressing the particular topic;
    <bullet> How the applicant will disseminate the knowledge gained 
(e.g., by developing/teaching a course or providing inservice training 
for judges or court personnel at the State or local level);
    <bullet> The length of time that the applicant intends to serve as 
a judge or court manager, assuming reelection or reappointment, where 
applicable;
    <bullet> The likelihood that the applicant would be able to attend 
the program without a scholarship;
    <bullet> The unavailability of State or local funds to cover the 
costs of attending the program;
    <bullet> The quality of the educational program to be attended as 
demonstrated by the sponsoring organization's experience in judicial 
education, evaluations by participants or other professionals in the 
field, or prior SJI support for this or other programs sponsored by the 
organization;
    <bullet> Geographic balance;
    <bullet> The balance of scholarships among types of applicants and 
courts;
    <bullet> The balance of scholarships among educational programs; 
and
    <bullet> The level of appropriations available to the Institute in 
the current year and the amount expected to be available in succeeding 
fiscal years.
    (f) Responsibilities of Scholarship Recipients. In order 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, and a transportation fare receipt (or 
statement of the driving mileage to and from the recipient's home to 
the site of the educational program). Recipients also must submit to 
the Institute a certificate of attendance at the program and an 
evaluation of the educational program they attended. A copy of the 
evaluation also must be sent to the Chief Justice of their State.
    A State or a local jurisdiction may impose additional requirements 
on scholarship recipients that are consistent with SJI's criteria and 
requirements, e.g., a requirement to 

[[Page 64202]]
serve as faculty on the subject at a State- or locally-sponsored 
judicial education program.
    c. Children and Families in Court. This category includes 
education, evaluation, technical assistance, and research projects to 
identify and inform judges of innovative, appropriate, and effective 
approaches for handling cases involving children and families. The 
Institute is particularly interested in projects to:
    i. Assist the courts in addressing the special needs of children in 
cases involving family violence including the development and testing 
of innovative protocols, procedures, educational programs, and other 
measures for improving the capacity of courts to:
    <bullet> Adjudicate child custody cases in which family violence 
may be involved;
    <bullet> Determine and address the service needs of children 
exposed to family violence including the short- and long-term effects 
on children of exposure to family violence and the methods for 
mitigating those effects when issuing protection, custody, visitation, 
or other orders;
    <bullet> Adjudicate and monitor child abuse and neglect litigation 
and reconcile the need to protect the child with the requirement to 
make reasonable efforts to maintain or reunite the family.
    ii. Enhance the fairness and effectiveness of the process used to 
file, hear, and dispose of cases involving family violence, including 
projects to:
    <bullet> Determine when it may be appropriate to refer a case 
involving family violence for mediation, and what procedures and 
safeguards should be employed;
    <bullet> Assess the impact of family violence coordinating councils 
in improving the procedures and practices used by and the services 
available to courts in family violence cases, in order to identify 
techniques and procedures for improving their operation and 
effectiveness;
    <bullet> Evaluate the effectiveness of the innovative programs, 
procedures, and strategies used by courts to improve their 
responsiveness to the needs of victims of family violence, and the fair 
and effective adjudication and disposition of cases involving family 
violence.
    iii. Improve the effectiveness and operating efficiency of juvenile 
and family courts, including projects to:
    <bullet> Develop information for judges and court staff on, and 
appropriate special procedures for determining release, protecting 
witnesses, adjudicating, and developing dispositions in cases involving 
gang members;
    <bullet> Assess the rule and effectiveness of courts with 
jurisdiction over juveniles and families in light of the upcoming 100th 
anniversary of the establishment of the first juvenile court, and 
identify the changes that may be needed as these courts enter the 21st 
century;
    <bullet> Define the rules, enhance the training, and assure the 
effective use of guardians ad litem;
    <bullet> Develop and test educational materials and curricula to 
assist judges in determining the best interest of a child when an 
adoption is contested;
    <bullet> Improve the capacity of courts, regardless of structure, 
to expeditiously coordinate multiple cases involving members of the 
same family, and obtain and appropriately use social and psychological 
information gathered in one case involving a family member in a case 
involving another family member; and
    <bullet> Improve the handling of the criminal and civil aspects of 
interstate and international parental child abductions.
    In previous funding cycles, the Institute supported a national and 
a State symposium on courts, children, and the family; the development 
of protocols and a benchbook on the questioning of child witnesses; the 
preparation of educational materials on making reasonable efforts to 
preserve families, adjudicating allegations of child sexual abuse when 
custody is in dispute, child victimization, handling child abuse and 
neglect cases when parental substance abuse is involved, and on 
children as the silent victims of spousal abuse; and examinations of 
supervised visitation programs, effective court responses when domestic 
violence and custody disputes coincide, and foster care review 
procedures.
    The Institute has also supported a national and several State 
conferences on family violence and the courts, as well as projects 
supporting the action plans developed at those conferences; preparation 
of descriptions of innovative court practices in family violence cases; 
evaluations of the use of court-order treatment for domestic violence 
offenders, alternatives to adjudication in child abuse and neglect 
cases, and the use of a court-enforced treatment program for batterers 
who are also substance abusers; the exploration of the policy issues 
related to the mediation of domestic relations cases involving 
allegations of family violence; the preparation of educational 
materials for judges on family violence issues; and the testing of 
videotapes and other educational programs for the parties in divorce 
actions and their children.
    Finally, the Institute has supported a national symposium on 
enhancing coordination of cases involving the same family that are 
being heard in different courts; examinations to document the nature 
and extent of the coordination problem and demonstrations of innovative 
approaches for improving intra-court coordination; technical assistance 
to States considering establishment of a family court; development of a 
State-based training program for guardians ad litem; examination of the 
authority of the juvenile court to enforce treatment orders and the 
role of juvenile court judges; and development of innovative approaches 
for coordinating services for children and youth.
    d. Application of Technology. 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 
untesting applications of technology in the courts that include a 
structured evaluation of the impact of the technology in terms of 
costs, benefits, and staff workload, and an educational component to 
assure that the staff is appropriately informed regarding the purpose 
and use of the new technology. In this context, ``untested'' refers to 
novel applications of technology developed for the private sector and 
other fields that have not previously been applied to the courts.
    The Institute is particularly interested in supporting efforts to 
determine what benefits and problems may occur as a result of courts 
entering the ``information superhighway,'' including projects to 
establish standards for judicial electronic data interchange (EDI); and 
local, Statewide, and/or interstate demonstrations of the courts' use 
of EDI (i.e., the exchange of documents or data in a computerized 
format that enables courts to process or perform work electronically on 
the documents received) beyond simply image transfer (facsimile or 
computer-imaging). In addition, the Institute is interested in 
demonstrations and evaluation of the effective use of management 
information systems to monitor, assess, and predict evolving court 
needs; and innovative information system links between courts and 
criminal justice, social service, and treatment agencies.
    Ordinarily, the Institute will not provide support for the purchase 
of equipment or software in order to implement a technology that has 
been 

[[Page 64203]]
thoroughly tested in other jurisdictions such as the establishment of 
videolinks between courts and jails, the use of optical imaging for 
recordkeeping, and the creation of an automated management information 
system. (See section XI.H.2.b. regarding other limits on the use of 
grant funds to purchase equipment and software.)
    In previous funding cycles, grants have been awarded to support:
    Demonstration and evaluation of communications technology, e.g., 
interactive computerized information systems to assist pro se 
litigants; the use of FAX technology by courts; a multi-user ``system 
for judicial interchange'' designed to link disparate automated 
information systems and share court information among judicial system 
offices throughout a State without replacement of the various hardware 
and software environments which support individual courts; a 
computerized voice information system permitting parties to access by 
telephone information pertaining to their cases, an automated public 
information directory of courthouse facilities and services; an 
automated appellate court bulletin board; and a computer-integrated 
courtroom that provides full access to the judicial system for hearing-
impaired jurors, witnesses, crime victims, litigants, attorneys, and 
judges.
    Demonstration and evaluation of records technology, including: the 
development of a court management information display system; the 
integration of bar-coding technology with an existing automated case 
management system; an on-bench automated system for generating and 
processing court orders; an automated judicial education management 
system; testing of a document management system for small courts that 
uses imaging technology, and of automated telephone docketing for 
circuit-riding judges; and evaluation of the use of automated teller 
machines for paying jurors.
    Court technology assistance services, e.g., circulation of a court 
technology bulletin designed to inform judges and court managers about 
the latest developments in court-related technologies; creation of a 
court technology laboratory to provide judges and court managers with 
the opportunity to test automated court-related systems; enhancement of 
a data base documenting automated systems currently in use in courts 
across the country; establishment of a technical information service to 
respond to specific inquiries concerning court-related technologies; 
development of court automation performance standards; and an 
assessment of programs that allow public access to electronically 
stored court information.
    Grants also provided support for national court technology 
conferences; preparation of guidelines on privacy and public access to 
electronic court information and on court access to the information 
superhighway; the testing of a computerized citizen intake and referral 
service; development of an ``analytic judicial desktop system'' to 
assist judges in making sentencing decisions; implementation and 
evaluation of a Statewide automated integrated case docketing and 
record-keeping system; a prototype computerized benchbook using 
hypertext technology; and computer simulation models to assist State 
courts in evaluating potential strategies for improving civil caseflow.
    e. Improving the Court's Response to Gender-Related Crimes of 
Violence. This category includes the development, testing, 
presentation, and dissemination of education programs for State; and 
local court judges and court personnel on:
    <bullet> The effective use and enforcement of protective orders and 
the implications of mutual orders of protection;
    <bullet> Evidentiary issues arising in gender-related criminal 
cases, including the use of expert testimony and the application of 
rape shield laws and their limits on the introduction of evidence of 
the cross-examination of witnesses;
    <bullet> The use of self-defense and provocation defenses by 
alleged victims of gender-related violence accused of assaulting or 
killing their alleged abusers; and
    <bullet> Sentencing decision-making in cases involving gender-
related crimes of violence.
    Institute funds may not be used to provide operational support to 
programs offering direct services or compensation to victims of crimes.
    In previous funding cycles, the Institute supported a national 
conference on family violence and the courts, and follow-up conferences 
and technical assistance in several States; development of curricula 
for judges on handling stranger and non-stranger rape and sexual 
assault cases and on family violence; evaluation of the effectiveness 
of court-ordered treatment for family violence offenders; a 
demonstration of ways to improve court processing of injunctions for 
protection and a study of ways to improve the effectiveness of civil 
protection orders for family violence victims; an examination of state-
of-the-art court practices for handling family violence cases and of 
ways to improve access to rural courts for victims of family violence; 
and preparation of an analysis of the issues related to the use of 
expert testimony in criminal cases involving domestic violence.
    f. The Relationship Between State and Federal Courts. This category 
includes education, research, demonstration, and evaluation projects 
designed to facilitate appropriate and effective communication, 
cooperation, and coordination between State and Federal courts. The 
Institute is particularly interested in innovative education, 
evaluation, demonstration, technical assistance, and research projects 
that:
    i. Build upon the findings and recommendations made at the 
Institute-supported National Conference on the Management of Mass Tort 
Cases held in November, 1994. (A summary of the recommendations and 
findings from the conference was published in the Winter 1995 issue of 
SJI NEWS.)
    ii. Develop and test curricula and other educational materials to:
    <bullet> illustrate effective methods being used at the trial 
court, State, and Circuit levels to coordinate cases and administrative 
activities; and
    <bullet> conduct regional conferences replicating the 1992 National 
Conference on State/Federal Judicial Relationships.
    iii. Develop and test new approaches to:
    <bullet> handle capital habeas corpus cases fairly and efficiently;
    <bullet> coordinate related State and Federal criminal cases;
    <bullet> coordinate cases that may be brought under the Violence 
Against Women Act;
    <bullet> exchange information and coordinate calendars among State 
and Federal courts; and
    <bullet> share jury pools, alternative dispute resolution programs, 
and court services.
    <bullet> In previous funding cycles, the Institute has supported 
national and regional conferences on State-Federal judicial 
relationships, a national conference on mass tort litigation, and the 
Chief Justices' Special Committee on Mass Tort Litigation. In addition, 
the Institute has supported projects developing judicial impact 
statement procedures for national legislation affecting State courts, 
and projects examining methods of State and Federal court cooperation; 
procedures for facilitating certification of questions of law; the 
impact on the State courts of diversity cases and cases brought under 
section 1983; the procedures used in Federal habeas corpus review of 
State court criminal cases; the factors that 

[[Page 64204]]
motivate litigants to select Federal or State courts; and the 
mechanisms for transferring cases between Federal and State courts, as 
well as the methods for effectively consolidating, deciding, and 
managing complex litigation. The Institute has also supported a test of 
assigning specialized law clerks to trial courts hearing capital cases 
in order to improve the fairness and efficiency of death penalty 
litigation at the trial level, a clearinghouse of information on State 
constitutional law decisions, educational programs for State judges on 
coordination of Federal bankruptcy cases with State litigation, and a 
seminar examining the implications of the ``Federalization'' of crime.
    g. Conference Implementation Projects. In 1995, the Institute 
sponsored four national conferences on issues of critical importance to 
the State courts:
    <bullet> The National Conference on Eliminating Race and Ethnic 
Bias in the Courts held march 2-5, 1995 in Albuquerque, NM;
    <bullet> The National Interbranch Conference on Funding the State 
Courts held September 28-October 1, 1995 in Minneapolis, MN;
    <bullet> The National Town Hall Meeting on Improving Public 
Confidence in the Courts convened, via a videoconference, in 11 sites 
across the country on October 13-14, 1995; and
    <bullet> The National Symposium on the Implementation and Operation 
of Drug Courts to be held on December 2-5, 1995 in Portland, OR.
    The Institute is interested in supporting education, demonstration, 
technical assistance, research, and evaluation projects to address the 
issues or implement the recommendations and State action plans 
resulting from these conferences. The Institute is particularly 
interested in supporting:
    i. The National Conference on Eliminating Race and Ethnic Bias in 
the Courts--Innovative national, regional, and State projects 
addressing the non-State specific issues discussed during the 
Conference, and projects to implement the action plans developed by 
teams from jurisdictions which were unable to meet the previously 
announced special October 6, 1995, deadline for concept papers. (For 
further information about the Conference, contact SJI Program Manager 
Cheryl D. Reynolds at 703-684-6100, or John Richardson, Research 
Associate, National Center for State Courts, P.O. Box 7898, 
Williamsburg, VA 23187-8798, 804-253-2000.)
    In previous funding cycles, the Institute has supported several 
projects to prepare and test curricula and other materials for judges, 
court personnel, and judicial education faculty on diversity and 
related issues; and provide information regarding the American justice 
system for non-English speakers, and improve the quality of court 
interpreting.
    ii. The National Interbranch Conference on Funding the State 
Courts--Innovative projects to develop and test methods for linking 
assessments of effectiveness, such as the Trial Court Performance 
Standards, to fiscal planning and budgeting, including service efforts 
and accomplishments approaches (SEA), performance audits, and 
performance budgeting; and test innovative programs and procedures for 
providing clear and open interbranch communications at the State and 
local levels. (For further information about this conference, contact 
SJI Deputy Director, Richard Van Duizend 703-684-6100 or Robert Tobin, 
Senior Research Associate, National Center for State Courts, 1700 N. 
Moore Street, Suite 1710, Arlington, VA 22209 703-841-0200.)
    In previous funding cycles, the Institute has supported projects 
that examined State court expenditures and staffing; documented methods 
for determining judgeship needs; prepared a trial court financial 
management guide; analyzed differing methods for financing court 
facilities; evaluated techniques for improving collection and 
administration of monetary penalties and assessments; and presented 
regional conferences on improving relations between the judicial and 
legislative branches of government.
    iii. The National Town Hall Meeting on Improving Public Confidence 
in the Courts--Innovative projects to implement the findings, 
recommendations, strategies, and action plans developed by the local 
receiving sites as well as at the national broadcast site. (For further 
information about the National Town Hall meeting, contact SJI Program 
Manager Cheryl D. Reynolds, 703-684-6100; Dr. Pamela Casey, Senior 
Research Associate, National Center for State Courts P.O. Box 8798, 
Williamsburg, VA 23187-8798, 804-253-2000; or Kathleen Sampson, 
Director, Information and Program Services, American Judicature 
Society, 25 E. Washington Street, Suite 1600, Chicago, IL 60602, 312-
558-6900).
    For a list of previously funded projects on topics related to the 
National Town Hall Meeting, see section 11.B.2.a.
    iv. National Symposium on the Implementation and Operation of Drug 
Courts--Innovative projects that address the issues, findings, and 
recommendations resulting from the Symposium, including, but not 
limited to:
    <bullet> The development and testing of educational programs for 
judges and court personnel concerning the management of treatment-based 
drug court programs;
    <bullet> The examination of the judicial ethics concerns that may 
be involved in operating a treatment-based drug court program;
    <bullet> The preparation of measures, forms, and other tools for 
self-evaluation of a treatment-based drug court program;
    <bullet> The development and testing of innovative information 
systems to facilitate the efficient sharing of information between the 
court and the agencies and services involved in the operation of an 
effective treatment-base drug court program; and
    <bullet> The evaluation of the applicability of court-enforced 
treatment programs to substance abuse-related cases involving juveniles 
and cases requiring treatment services in addition to substance abuse 
treatment (e.g., spousal abuse, child abuse, or mental health cases).
    (For further information contact SJI Program Manager Janice 
Munsterman 703-684-6100 or Caroline Cooper, Justice Programs Office, 
The American University, 4400 Massachusetts Avenue NW, Brandywine-Suite 
660, Washington, DC 20016-8159, 202-885-2875.)
    The Institute will not fund projects focused on developing 
additional assessment tools, establishing court-enforced treatment 
programs for adult substance abusers, or providing support for basic 
court or treatment services.
    In previous funding cycles, the Institute has sponsored a National 
Conference on Substance Abuse and the Courts, and State efforts to 
implement the plans developed at that Conference. It has also helped to 
support projects to provide technical assistance to State and local 
courts; identify successful drug case management strategies; conduct 
seminars on drug case management; and develop a guidebook for 
implementing drug case processing initiatives; as well as to conduct 
regional training programs for State judges and legislators on 
substance abuse treatment. In addition, SJI has supported the 
evaluation of: court-enforced treatment programs initiated by the Dade 
County, Florida, Pulaski County, Arkansas, and New York City courts; 
special court-ordered programs for women offenders, and other court-
based alcohol and drug assessment programs; replication of the Dade 
County program in non-urban sites; assessments of the impact of 
legislation and court decisions dealing 

[[Page 64205]]
with drug-affected infants, and strategies for coping with increasing 
caseload pressures; development of a benchbook and other educational 
materials to assist judges in child abuse and neglect cases involving 
parental substance abuse and in developing appropriate sentences for 
pregnant substance abusers; tests of the use of a dual diagnostic 
treatment model for domestic violence cases in which substance abuse 
was a factor; and presentation of local and regional educational 
programs for judges and other court personnel on substance abuse and 
its treatment.

C. Technical Assistance Grants

    1. Description of the Program. The Board will set aside up to 
$400,000 of Fiscal Year 1996 funds to support the provision of 
technical assistance to State and local courts. The exact amount to be 
awarded for these grants will depend on the number and quality of the 
applications submitted in this category and other categories of the 
Guideline. It is anticipated, however, that at least $100,000 will be 
available each quarter to support Technical Assistance grants. 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 initiate implementation of any needed 
changes.
    Technical Assistance grants are limited to no more than $30,000 
each, and may cover the cost of obtaining the services of expert 
consultants, travel by a team of officials from one court to examine a 
practice, program, or facility in another jurisdiction that the 
applicant court is interested in replicating, or both. Technical 
assistance grant funds ordinarily may not be used to support production 
of a videotape. Normally, the technical assistance must be completed 
within 12 months after the start-date of the grant.
    2. Eligibility for Technical Assistance Grants. Only a State or 
local court may apply for a Technical Assistance grant. As with other 
awards to State or local courts, cash or in-kind match must be provided 
equal to at least 50% of the grant amount.
    3. Review Criteria. Technical Assistance grants will be awarded on 
the basis of criteria including: whether the assistance would address a 
critical need of the court; the soundness of the technical assistance 
approach to the problem; the qualifications of the consultant(s) to be 
hired, or the specific criteria that will be used to select the 
consultant(s); commitment on the part of the court to act on the 
consultant's recommendations; and 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, and the level of appropriations available 
to the Institute in the current year and the amount expected to be 
available in succeeding fiscal years.
    The Board has delegated its authority to approve these grants to 
its Technical Assistance Committee.
    4. Application Procedures. 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 and addressing the issues listed below. 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.
    Although there is no prescribed form for the letter nor a minimum 
or maximum page limit, letters of application should include the 
following information to assure that each of the criteria is addressed:
    a. Need for Funding. What is the critical need facing the court? 
How will the proposed technical assistance help the court to 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? Who (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 jurisdiction's normal 
procedures for procuring consultant services.) What is the time frame 
for completion of the technical assistance? How would the court oversee 
the project and provide guidance to the consultant, and who at the 
court would be responsible for coordinating all project tasks and 
submitting quarterly progress and financial status reports?
    If the consultant has been identified, 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 period and for the proposed cost 
should accompany the applicant's letter. 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/will 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 will 
be needed to adopt the changes recommended by the consultant and 
approved by the court, how will they be involved in the review of the 
recommendations and development of the implementation plan?
    d. Budget and Matching State Contribution. A completed Form E, 
``Preliminary Budget'' (see Appendix V to the Grant Guideline), must be 
included with the applicant's letter requesting technical assistance. 
Please note that 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 (e.g., number of days per task times the requested daily 
consultant rate). In addition, the budget should provide for submission 
of two copies of the consultant's final report to the Institute.
    e. Support for the Project from the State Supreme Court or its 
Designated Agency or Council. Written concurrence on the need for the 
technical assistance must be submitted. This concurrence may be a copy 
of SJI Form B (see Appendix VI) 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.
    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 between September 30 and 
December 22, 1995 will be notified of the Board's decision by March 22, 
1996; those submitting letters between December 23, 1995 and March 29, 
1996 will be notified by July 

[[Page 64206]]
1, 1996. Notification of the Board's decisions concerning letters 
mailed between March 30 and June 17, 1996 will be made by August 31, 
1996. Subject to the availability of sufficient appropriations for 
fiscal year 1997, applicants submitting letters between June 18 and 
September 30, 1996 will be notified by December 17, 1996.
    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 must 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 
Committee, letters sent under separate cover must be received not less 
than two weeks prior to the Board meeting at which the technical 
assistance requests will be considered (i.e., by February 14, 1996; May 
29, 1996, and July 11, 1996).
    5. Grantee Responsibilities. Technical Assistance grant recipients 
are subject to the same quarterly reporting requirements as other 
Institute grantees. At the conclusion of the grant period, a Technical 
Assistance grant recipient must complete a Technical Assistance 
Evaluation Form. The grantee also must submit to the Institute two 
copies 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.

III. Definitions

    The following definitions apply for the purposes of this guideline:

A. Institute

    The State Justice Institute.

B. 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 
shall mean 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.

C. 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 
funds and to receive, administer, and be accountable for those funds.

D. 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.

E. Subgrantee

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

F. Match

    The portion of project costs not borne by the Institute. Match 
includes both in-kind and cash contributions. Cash match is the direct 
outlay of funds by the grantee to support the project. In-kind match 
consists of contributions of time, services, space, supplies, etc., 
made to the project by the grantee or others (e.g., advisory board 
members) working directly on the project. Under normal circumstances, 
allowable match may be incurred only during the project period. When 
appropriate, and with the prior written permission of the Institute, 
match may be incurred from the date of the Institute Board of 
Directors' approval of an award. Match does not include project-related 
income such as tuition or revenue from the sale of grant products, or 
the time of participants attending an education program. Amounts 
contributed as cash or in-kind match may not be recovered through the 
sale of grant products during or following the grant period.

G. Continuation Grant

    A grant of no more than 24 months to permit completion of 
activities initiated under an existing Institute grant or enhancement 
of the programs or services produced or established during the prior 
grant period.

H. On-going Support Grant

    A grant of up to 36 months to support a project that is national in 
scope and that provides the State courts with services, programs or 
products for which there is a continuing important need.

I. 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(s).

J. 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 other 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.

K. Products

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

IV. Eligibility for Award

    In awarding funds to accomplish these objectives and purposes, the 
Institute has been authorized by Congress to award grants, cooperative 
agreements, and contracts to State and local courts and their agencies 
(42 U.S.C. 10705(b)(1)(A)); 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)); and 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 will be 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.
    The Institute also is authorized to make awards to other nonprofit 
organizations with expertise in judicial administration, institutions 
of higher education, individuals, partnerships, firms, corporations, 
and private agencies with expertise in judicial administration, 
provided that the objectives of the relevant program area(s) can be 
served better. In making this judgment, the Institute will consider the 
likely replicability of the projects' methodology and results in 

[[Page 64207]]
other jurisdictions. For profit organizations are also eligible for 
grants and cooperative agreements; however, they must waive their fees.
    The Institute may also make awards to Federal, State or local 
agencies and institutions other than courts for services that cannot be 
adequately provided through nongovernmental arrangements.
    In addition, the Institute may enter into inter-agency agreements 
with other public or private funders to support projects consistent 
with the purpose of the State Justice Institute Act.
    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 
XI.B.2. of this Guideline. A list of persons to contact in each State 
regarding approval of applications from State and local courts and 
administration of Institute grants to those courts is contained in 
Appendix I.

V. Types of Projects and Grants; Size of Awards

A. Types of Projects

    Except as expressly provided in section II.B.2.b. and II.C. above, 
the Institute has placed no limitation on the overall number of awards 
or the number of awards in each special interest category. The general 
types of projects are:
    1. Education and training;
    2. Research and evaluation;
    3. Demonstration; and
    4. Technical assistance.

B. Types of Grants

    The Institute has established the following types of grants:
    1. New grants (See sections VI. and VII.).
    2. Continuation grants (See sections III.H. and IX.A).
    3. On-going Support grants (See sections III.I. and IX.B.).
    4. Technical Assistance grants (See section II.C.).
    5. Curriculum Adaptation grants (See section II.B.2.b.ii.).
    6. Scholarships (See section II.B.2.b.iii).

C. Maximum Size of Awards

    1. Except as specified below, applications for new projects and 
applications for continuation grants may request funding in amounts up 
to $200,000, although new and continuation awards in excess of $150,000 
are likely to be rare and to be made, if at all, only for highly 
promising proposals that will have a significant impact nationally.
    2. Applications for on-going support grants may request funding in 
amounts up to $600,000. At the discretion of the Board, the funds for 
on-going support grants may be awarded either entirely from the 
Institute's appropriations for the fiscal year of the award or from the 
Institute's appropriations for successive fiscal years beginning with 
the fiscal year of the award. When funds to support the full amount of 
an on-going support grant are not awarded from the appropriations for 
the fiscal year of award, funds to support any subsequent years of the 
grant will be made available upon (1) the satisfactory performance of 
the project as reflected in the quarterly Progress Reports required to 
be filed and grant monitoring, and (2) the availability of 
appropriations for that fiscal year.
    3. Applications for technical assistance grants may request funding 
in amounts up to $30,000.
    4. Applications for curriculum adaptation grants may request 
funding in amounts up to $20,000.
    5. Applications for scholarships may request funding in amounts up 
to $1,500.

D. Length of Grant Periods

    1. Grant periods for all new and continuation projects ordinarily 
will not exceed 15 months.
    2. Grant periods for on-going support grants ordinarily will not 
exceed 36 months.
    3. Grant periods for technical assistance grants and curriculum 
adaptation grants ordinarily will not exceed 12 months.

VI. Suspension of the Concept Paper Submission Requirement

    Because of its reduced appropriation for FY 1996, the Institute is 
not using concept papers as part of its funding process this year, 
except for the special funding cycle announced previously to follow up 
on the National Conference on Eliminating Race and Ethnic Bias in the 
Courts. Courts, organizations, and individuals seeking a new grant to 
support a project must file a full application meeting the requirements 
set forth in Chapter VII. of this Guideline, unless the applicant is 
seeking a grant under the Institute's Curriculum Adaptation, 
Scholarship, or Technical Assistance grant programs. (See sections 
II.B.2.b. ii and iii, and section II.C., respectively)

VII. Application Requirements for New Projects

    An application for Institute funding support must include an 
application form; budget forms (with appropriate documentation); a 
project abstract and program narrative; a disclosure of lobbying form, 
when applicable; and certain certifications and assurances. These 
required application forms are described below and are included in 
Appendix VII. They also may be requested via E-mail (<a href="/cdn-cgi/l/email-protection" class="__cf_email__" data-cfemail="a9fae3e0e9cac5c8dbc287c7ccdd">[email protected]</a>) or 
by calling the Institute and requesting a copy (703-684-6100). 
Applicants may photocopy the forms to make completion easier.

A. Forms

1. Application Form (FORM A)
    The application form requests basic information regarding the 
proposed project, the applicant, and the total amount of funding 
support requested from the Institute. It also requires the signature of 
an individual authorized to certify on behalf of the applicant that the 
information contained in the application is true and complete, that 
submission of the application has been authorized by the applicant, and 
that if funding for the proposed project is approved, the applicant 
will comply with the requirements and conditions of the award, 
including the assurances set forth in Form D.
2. Certificate of State Approval (FORM B)
    An application from a State or local court must include a copy of 
FORM B signed by the State's Chief Justice or Chief Judge, the director 
of the designated agency, or the head of the designated council. The 
signature denotes that the proposed project has been approved by the 
State's highest court or the agency or council it has designated. It 
denotes further that if funding for the project is approved by the 
Institute, the court or the specified designee will receive, 
administer, and be accountable for the awarded funds.
3. Budget Forms (FORM C or C1)
    Applicants may submit the proposed project budget either in the 
tabular format of FORM C or in the spreadsheet format of FORM C1. 
Applicants requesting $100,000 or more are strongly encouraged to use 
the spreadsheet format. If the proposed project period is for more than 
a year, a separate form should be submitted for each year or portion of 
a year for which grant support is requested.
    In addition to FORM C or C1, applicants must provide a detailed 

[[Page 64208]]
    budget narrative providing an explanation of the basis for the 
estimates in each budget category. (See section VII.D.)
    If funds from other sources are required to conduct the project, 
either as match or to support other aspects of the project, the source, 
current status of the request, and anticipated decision date must be 
provided.
4. Assurances (FORM D)
    This form lists the statutory, regulatory, and policy requirements 
and conditions with which recipients of Institute funds must comply.
5. Disclosure of Lobbying Activities
    This form requires applicants other than units of State or local 
government 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 X.D.)

B. Project Abstract

    The abstract should highlight the purposes, goals, methods and 
anticipated benefits of the proposed project. It should not exceed one 
single-spaced page on 8\1/2\ by 11 inch paper.

C. Program Narrative

    The program narrative for an application proposing a single project 
should not exceed 25 double-spaced pages on 8\1/2\ by 11 inch paper. 
Margins must not be less than 1 inch, and type no smaller than 12-point 
and 12 cpi must be used. The page limit does not include the forms, the 
abstract, the budget narrative, and any appendices containing resumes 
and letters of cooperation or endorsement. Additional background 
material should be attached only if it is essential to impart a clear 
understanding of the proposed project. Numerous and lengthy appendices 
are strongly discouraged.
    The program narrative should address the following topics:
1. 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).
2. Program Areas to be Covered
    The applicant should list the Special Interest Category(ies) that 
is(are) addressed by the proposed project (see section II.B.). If the 
proposed project does not fall within one of the Institute's Special 
Interest Categories, the applicant should list the Statutory Program 
Area(s) that is(are) addressed by the proposed project. (See section 
II.A.).
3. Need for the Project
    If the project is to be conducted in a 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 materials, programs, procedures, services 
or other resources.
    If the project is not site-specific, the applicant should discuss 
the problems that the proposed project would address, and why existing 
materials, programs, procedures, services or other resources do not 
adequately resolve those problems. The discussion should include 
specific references to the relevant literature and to the experience in 
the field.
4. Tasks, Methods and Evaluation
    a. 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:
    i. 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 for risk or harm, and the protection of others who are not the 
subjects of research but would be affected by the research. If the 
potential exists for risk or harm to the 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.
    ii. 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 will be recruited, selected, and trained; the proposed number 
and length of the conferences, courses, seminars or workshops to be 
conducted; the materials to be provided and how they will be developed; 
and the cost to participants.
    iii. 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 will be identified and their cooperation 
obtained; and how the program or procedures will be implemented and 
monitored.
    iv. For technical assistance projects, the applicant should explain 
the types of assistance that will be provided; the particular issues 
and problems for which assistance will be provided; how requests will 
be obtained and the type of assistance determined; how suitable 
providers will be selected and briefed; how reports will be reviewed; 
and the cost to recipients.
    b. Evaluation. Every project design 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 on-going or periodic feed back on the effectiveness or 
utility of particular programs, educational offerings, or achievements 
which can then be further refined as a result of the evaluation 
process. The plan should present the qualifications of the 
evaluator(s); describe the criteria, related to the project's 
programmatic objectives, that will be used to evaluate the project's 
effectiveness; explain how the evaluation will be conducted, including 
the specific data collection and analysis techniques to be used; 
discuss why this approach is 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:
    i. 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 

[[Page 64209]]
should be comprised of independent researchers and practitioners 
representing the perspectives affected by the proposed project.
    ii. The most valuable approaches to evaluating educational or 
training programs will serve to 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 on 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 verbal as well as 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.
    iii. 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? 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? what benefits resulted from the 
program?); and the replicability of the program or components of the 
program.
    iv. For technical assistance projects, applicants should explain 
how the quality, timeliness, and impact of the assistance provided will 
be determined, and should develop a mechanism for feedback from both 
the users and providers of the technical assistance.
    v. 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 the protection of others who are not the subjects of 
evaluation but would be affected by it. Other than the provision of 
confidentiality to respondents, human subjects protection issues 
ordinarily are not applicable to participants evaluating an education 
program.
5. 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 will be used to 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 will occur within the proposed project period. The 
management plan must also provide for the submission of Quarterly 
Progress and Financial Reports within 30 days after the close of each 
calendar quarter (i.e., no later than January 30, April 30, July 30, 
and October 30).
    Applicants should be aware that the Institute is unlikely to 
approve more than one limited extension of the grant period. Therefore, 
the management plan should be as realistic as possible and fully 
reflect the time commitments of the proposed project staff and 
consultants.
6. Products
    The application should contain a description of the products to be 
developed by the project (e.g., training curricula and materials, 
videotapes, articles, manuals, or handbooks), including when they will 
be submitted to the Institute.
    a. Dissemination Plan. The application must explain how and to whom 
the products will be disseminated; describe how they will benefit the 
State courts including how they can 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 will be offered to 
the courts community and the public at large (i.e. whether products 
will 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 X.V.) Ordinarily, applicants should schedule all 
product preparation and distribution activities within the project 
period. Applicants also must submit a diskette containing a one-page 
abstract summarizing the products resulting from a project in Word, 
WordPerfect or ASCII. The abstract should include the grant number and 
the name of a contact person together with that individual's address, 
telephone number, and e-mail address (if applicable).
    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 II.) To facilitate 
their use, all videotaped products should be distributed in VHS format.
    Twenty copies of all project products, must be submitted to the 
Institute. A master copy of each videotape, in addition to 20 copies of 
each videotape product, must also be provided to the Institute.
    b. Types of Products, The type of products to be prepared depend 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 will 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 will make their 
data available for secondary analysis after the grant period. (See 
section X.W.)
    The curricula and other products developed by education and 
training projects should be designed for use outside the classroom so 
that they may be used again by original participants and others in the 
course of their duties.
    c. Institute Review. Applicants must provide for submitting a final 
draft of written grant product(s) to the Institute for review and 
approval at least 30 days before the product(s) are submitted for 
publication or reproduction. For products in a videotape or CD-ROM 
format, applicants must provide for incremental 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.
    d. Acknowledgment, Disclaimer, and Logo. Applicants must also 
provide for including 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 X.Q. of 
the Guideline. The ``SJI'' logo must appear on the front cover of a 
written product, or in the opening frames of a video product, unless 
the Institute approves another placement.

[[Page 64210]]

7. Applicant Status
    An applicant that is not a State or local court and has not 
received a grant from the Institute within the past two years should 
state whether it is either a national non-profit organization 
controlled by, operating in conjunction with, and serving the judicial 
branches of State governments; or a national non-profit organization 
for the education and training of State court judges and support 
personnel. See section IV. If the applicant is a nonjudicial unit of 
Federal, State, or local government, it must explain whether the 
proposed services could be adequately provided by non-governmental 
entities.
8. 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 will be used to select persons for 
these positions should be included.
9. Organizational Capacity
    Applicants that have not received a grant from the Institute within 
the past two years should include a statement describing the capacity 
of the applicant to administer grant funds including the financial 
systems used to monitor project expenditures (and income, if any) and a 
summary of the applicant's past experience in administering grants, as 
well as any resources or capabilities that the applicant has that will 
particularly assist in the successful completion of the project.
    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 current 
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.
    Unless requested otherwise, an applicant that has received a grant 
from the Institute within the past two years should describe only the 
changes in its organizational capacity, tax status, or financial 
capability that may affect its capacity to administer a grant.
10. Statement of Lobbying Activities
    Non-governmental applicants must submit the Institute's Disclosure 
of Lobbying Activities Form that requires them to state 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.
11. Letters of Support for the Project
    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. In 
order to ensure that there is sufficient time to bring them to the 
Board's attention, letters of support sent under separate cover must be 
received at least four weeks before the meeting of the Board of 
Directors at which the application will be considered (i.e., no later 
than February 1, 1996, May 16, 1996, June 28, 1996, or August 22, 1996, 
respectively).
D. Budget Narrative
    The budget narrative should provide the basis for the computation 
of all project-related costs. Additional background 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 pay for coffee breaks 
during seminars or meetings, or to purchase alcoholic beverages.
1. Justification of Personnel Compensation
    The applicant should set forth the percentages of time to be 
devoted by the individuals who will serve as the staff of 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 rate of those individuals. The applicant should explain any 
deviations from current rates or established written organization 
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 will be supporting only the portion of the employee's 
time that will be dedicated to new or additional duties related to the 
project.
2. Fringe Benefit Computation
    The applicant should provide a description of the fringe benefits 
provided to employees. If percentages are used, the authority for such 
use should be presented as well as a description of the elements 
included in the determination of the percentage rate.
3. Consultant/Contractual Services and Honoraria
    The applicant should describe the tasks each consultant will 
perform, the estimated total amount to be paid to each consultant, the 
basis for compensation rates (e.g., number of days  x  the daily 
consultant rates), and the method for selection. Rates for consultant 
services must be set in accordance with section XI.H.2.c. Honorarium 
payments must be justified in the same manner as other consultant 
payments.
4. Travel
    Transporation 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 shall 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 for travel should also 
be included in the narrative.
5. Equipment
    Grant funds many be used to purchase only the equipment that is 
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 

[[Page 64211]]
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 for automatic data processing equipment must 
comply with section XI.H.2.b.
6. Supplies
    The applicant should provide a general description of the supplies 
necessary to accomplish the goals and objectives of the grant. In 
addition, the applicant should provide the basis for the amount 
requested for this expenditure category.
7. Construction
    Construction expenses are prohibited except for the limited 
purposes set forth in section X.H.2. Any allowable construction or 
renovation expense should be described in detail in the budget 
narrative.
8. Telephone
    Applicants should include anticipated telephone charges, 
distinguishing between monthly charges and long distance charges in the 
budget narrative. Also, applicants should provide the basis used in 
developing the monthly and long distance estimates.
9. Postage
    Anticipated postage costs for project-related mailings 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 justification material.
10. Printing/Photocopying
    Anticipated costs for printing or photocopying should be included 
in the budget narrative. Applicants should provide the details 
underlying these estimates in support of the request.
11. Indirect Costs
    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 product activities), the applicant should specify 
that these costs are not included within their approved indirect cost 
rate. These rates must be established in accordance with section 
XI.H.4. If the applicant has an indirect cost rate or allocation plan 
approved by any Federal granting agency, a copy of the approved rate 
agreement should be attached to the application.
12. Match
    The applicant should describe the source of any matching 
contribution and the nature of the match provided. Any additional 
contributions to the project should be described in this section of the 
budget narrative as well. If in-kind match is to be provided, the 
applicant should describe how the amount and value of the time, 
services or materials actually contributed will be documented 
sufficiently clearly to permit them to be included in an audit of the 
grant. Applicants should be aware that the time spent by participants 
in education courses does not qualify as in-kind match. (Samples of 
forms used by current grantees to track in-kind match are available 
from the Institute upon request.
    Applicants that do not contemplate making machine 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 will be made. (See sections III.F., VIII.B., 
X.B. and XI.D.1.)

E. Submission Requirements

    1. An application package containing the application, an original 
signature on FORM A (and on FORM B, if the application is from a State 
or local court, or on the Disclosure of Lobbying Form if the applicant 
is not a unit of State or local government), and four photocopies of 
the application package must be sent by first class or overnight mail, 
or by courier no later than February 14, 1996. A postmark or courier 
receipt will constitute evidence of the submission date. Please mark 
APPLICATION on all application package envelopes and send to: State 
Justice Institute, 1650 King Street, Suite 600, Alexandria, Virginia 
22314.
    Receipt of each proposal will be acknowledged in writing. 
Extensions of the deadline for receipt of applications will not be 
granted. See section VII.C.11. for receipt deadlines for letters of 
support.
    2. Applicants submitting more than one application may include 
material that would be identical in each application in a cover letter, 
and incorporate that material by reference in each application. The 
incorporated material will be counted against the 25-page limit for the 
program narrative. A copy of the cover letter should be attached to 
each copy of each application.

VIII. 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. All applications will be rated on the basis of the criteria set 
forth below. The Institute will accord the greatest weight to the 
following criteria:
    a. The soundness of the methodology;
    b. The demonstration of need for the project;
    c. The appropriateness of the proposed evaluation design;
    d. The applicant's management plan and organizational capabilities;
    e. The qualifications of the project's staff;
    f. 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;
    g. The degree to which the findings, procedures, training, 
technology, or other results of the project can be transferred to other 
jurisdictions.
    h. The reasonableness of the proposed budget;
    i. The demonstration of cooperation and support of other agencies 
that may be affected by the project; and
    j. The proposed project's relationship to one of the ``Special 
Interest'' categories set forth in section II.B.
    2. In determining which applicants to fund, 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 42 U.S.C. 10705(6) (as amended) and Section 
IV above); the availability of financial assistance from other sources 
for the project; the amount and nature (cash or in-kind) of the 
applicant's match; the extent to which the proposed project would also 
benefit the Federal courts or help State courts enforce Federal 
constitutional and legislative requirements; and the level of 
appropriations available to the Institute in the current year and the 
amount expected to be available in succeeding fiscal years.

C. Review and Approval Process

    Applications will be reviewed competitively by the Board of 
Directors. The Institute staff will prepare a narrative summary of each 
application, 

[[Page 64212]]
and a rating sheet assigning points for each relevant selection 
criterion. When necessary, applications may also be reviewed by outside 
experts. Committees of the Board will review applications within 
assigned program categories and prepare recommendations to the full 
Board. The full Board of Directors will then decide which applications 
to approve for a grant. The decision to award a grant is solely that of 
the Board of Directors.
    Awards approved by the Board will be signed by the Chairman of the 
Board on behalf of the Institute.

D. Return Policy

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

E. Notification of Board Decision

    The Institute will send written notice to applicants concerning all 
Board decisions to approve or deny their respective applications and 
the key issues and questions that arose during the review process. A 
decision by the Board to deny and application may not be appealed, but 
does not prohibit resubmission of a proposal based on that application 
in a subsequent round of funding. The Institute will also notify the 
designated State contact listed in Appendix I when grants are approved 
by the Board to support projects that will be conducted by or involve 
courts in their State.

F. Response to Notification of Approval

    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 will be automatically rescinded and the application presented 
to the Board for reconsideration.

IX. Renewal Funding Procedures and Requirements

    The Institute recognizes two types of renewal funding as described 
below--``continuation grants'' and ``on-going support grants.'' The 
award of an initial grant to support a project does not constitute a 
commitment by the Institute to renew funding. The Board of Directors 
anticipates allocating no more than $2 million of available FY 1996 
grant funds for renewal grants. In reviewing applications for renewal 
grants, the Board will consider a number of factors in addition to the 
criteria set forth in section VIII.B., including whether continuing the 
project would provide assistance in finding solutions to current court 
problems; whether the project has national impact; whether the project 
is being run in an efficient and cost-effective manner; and whether the 
project could operate in the future or its products could be 
implemented without additional SJI grant assistance.

A. Continuation Grants

1. Purpose and Scope
    Continuation grants are intended to support projects with a limited 
duration that involve the same type of activities as the previous 
project. They are intended to enhance the specific program or service 
produced or established during the prior grant period. They may be 
used, for example, when a project is divided into two or more 
sequential phases, for secondary analysis of data obtained in an 
Institute-supported research project, or for more extensive testing of 
an innovative technology, procedure, or program developed with SJI 
grant support.
    In order for a project to be considered for continuation funding, 
the grantee must have completed the 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.
2. Application Procedures--Letters of Intent
    Unless specifically invited to submit a renewal application by the 
Institute, 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 renewal 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 must 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 scope, 
focus or audience of the project.
    b. Letters of intent will not be reviewed competitively. Institute 
staff will review the proposed activities for the next project period 
and, within 30 days of receiving a letter of intent, inform the grantee 
of specific issues to be addressed in the continuation application and 
the date by which the application for a continuation grant must be 
submitted.
3. Application Format
    An application for a continuation grant must include an application 
form, budget forms (with appropriate documentation), a project abstract 
conforming to the format set forth in section VII.B., a program 
narrative, a budget narrative, a disclosure of lobbying form (from 
applicants other than units of State or local government), and certain 
certifications and assurances.
    The program narrative should conform to the length and format 
requirements set forth in section VII.C. However, rather than the 
topics listed in section VII.C., the program narrative of an 
application for a continuation grant 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 will benefit the participating courts 
or the courts community generally. That is, to what extent will the 
original goals and objectives of the project be unfulfilled if the 
project is not continued, and conversely, how will the findings or 
results of the project be enhanced by continuing the project?
    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 they are available, and how they will be addressed 
during the proposed continuation. If the findings are not yet 
available, applicants should provide the date by which they will 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 will be disseminated, as well as any changes in 

[[Page 64213]]
the assigned staff or the grantee's organizational capacity. Applicants 
should include, in addition, the criteria and methods by which the 
proposed continuation project would be evaluated.
    f. Task Schedule. The applicant should present a detailed task 
schedule and timeline for the next project period.
    g. Other Sources of Support. The applicant should indicate why 
other sources of support are inadequate, inappropriate or unavailable.
4. Budget and Budget Narrative
    The applicant should provide a complete budget and budget narrative 
conforming to the requirements set forth in paragraph VII.D. 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.
5. References to Previously Submitted Material
    An application for a continuation grant 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.
6. Submission Requirements, Review and Approval Process, and 
Notification of Decision
    The submission requirements set forth in section VII.E., other than 
the deadline for mailing, apply to applications for a continuation 
grant. Such applications will be rated on the selection criteria set 
forth in section VIII.B. and the factors listed at the beginning of 
this Chapter. The key findings and recommendations resulting from an 
evaluation of the project and the proposed response to those findings 
and recommendations will also be considered. The review and approval 
process, return policy, and notification procedures are the same as 
those for new projects set forth in sections VIII.C.-VIII.E.

B. On-Going Support Grants

1. Purpose and Scope
    On-going support grants are intended to support projects that are 
national in scope and that provide the State courts with services, 
programs or products for which there is a continuing important need. An 
on-going support grant may also be used to fund longitudinal research 
that directly benefits the State courts. On-going support grants are 
subject to the limits on size and duration set forth in V.C.2. and 
V.D.2. A project is eligible for consideration for an on-going support 
grant if:
    a. The project is supported by and has been evaluated under a grant 
from the Institute;
    b. The project is national in scope and provides a significant 
benefit to the State courts;
    c. There is a continuing important need for the services, programs 
or products provided by the project as indicated by the level of use 
and support by members of the court community;
    d. The project is accomplishing its objectives in an effective and 
efficient manner; and
    e. It is likely that the service or program provided by the project 
would be curtailed or significantly reduced without Institute support.
    Each project supported by an on-going support grant must include an 
evaluation component assessing its effectiveness and operation 
throughout the grant period. The evaluation should be independent, but 
may be designed collaboratively by the evaluator and the grantee. The 
design should call for regular feedback from the evaluator to the 
grantee throughout the project period concerning recommendations for 
mid-course corrections or improvement of the project, as well as 
periodic reports to the Institute at relevant points in the project.
    An interim evaluation report must be submitted 18 months into the 
grant period. The decision to obligate Institute funds to support the 
third year of the project will be based on the interim evaluation 
findings and the applicant's response to any deficiencies noted in the 
report.
    A final evaluation assessing the effectiveness, operation of, and 
continuing need for the project must be submitted 90 days before the 
end of the 3-year project period.
    In addition, a detailed annual task schedule must be submitted not 
later than 45 days before the end of the first and second years of the 
grant period, along with an explanation of any necessary revisions in 
the projected costs for the remainder of the project period. (See also 
sections IX.B.3.f. and IX.B.4.)
2. Application Procedures--Letters of Intent
    The Board will consider awarding an on-going support grant for a 
period of up to 36 months. The total amount of the grant will be fixed 
at the time of the initial award. Funds ordinarily will be made 
available in annual increments as specified in section V.C.2.
    Unless specifically invited to submit a renewal application by the 
Institute, a grantee seeking an on-going support grant must inform the 
Institute, by letter, of its intent to submit an application for such 
funding as soon as the need for renewal funding becomes apparent but no 
less than 120 days before the end of the current grant period. The 
letter of intent should be in the same format as that prescribed for 
continuation grants in section IX.A.2.a.
3. Application Procedures and Format
    An application for an on-going support grant must include an 
application form, budget forms (with appropriate documentation), a 
project abstract conforming to the format set forth in section VII.B., 
a program narrative, a budget narrative, and certain certifications and 
assurances.
    The program narrative should conform to the length and format 
requirements set forth in section VII.C. However, rather than the 
topics listed in section VII.C., the program narrative of applications 
for on-going support grants should address:
    a. Description of Need for and Benefits of the Project. The 
applicant should provide a detailed discussion of the benefits provided 
by the project to the State courts around the country, including the 
degree to which State courts, State court judges, or State court 
managers and personnel are using the services or programs provided by 
the project.
    b. Demonstration of Court Support. The applicant should demonstrate 
support for the continuation of the project from the courts community.
    c. Report on Current Project Activities. The applicant should 
discuss the extent to which the project has met its goals and 
objectives, identify any activities that have not been completed, and 
explain why.
    d. Evaluation Findings. The applicant should attach a copy of the 
final evaluation report regarding the effectiveness, impact, and 
operation of the project, specify the key findings or recommendations 
resulting from the evaluation, and explain how they will be addressed 
during the proposed renewal period. Ordinarily, the Board will not 
consider an application for on-going support until the Institute has 
received the evaluator's report.
    e. Objectives, Tasks, Methods, Staff and Grantee Capability. The 
applicant should describe fully any changes in the objectives; tasks to 
be performed; the methods to be used; the products of the project; how 
and to whom those products will be disseminated; the assigned staff; 
and the grantee's organizational capacity.
    f. Task Schedule. The applicant should present a general schedule 
for 

[[Page 64214]]
the full proposed project period and a detailed task schedule for the 
first year of the proposed new project period as part of the 
application. If an on-going support grant is awarded, a detailed annual 
task plan must be submitted no later than 45 days before the end of 
years one and two of the grant. (See section IX.B.1.)
    g. Other Sources of Support. The applicant should indicate why 
other sources of support are inadequate, inappropriate or unavailable.
4. Budget and Budget Narrative
    The applicant should provide a complete three-year budget and 
budget narrative conforming to the requirements set forth in paragraph 
VII.D. A complete budget narrative should be provided for each year, or 
portion of a year, for which grant support is requested. The budget 
should provide for realistic cost-of-living and staff salary increases 
over the course of the requested project period.
    If an on-going support grant is awarded, an updated budget and 
explanatory narrative for the next grant year should be submitted no 
later than 45 days before the end of the first and second grant years. 
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. Applicants should be aware that the Institute 
is unlikely to approve a supplemental budget increase for an on-going 
support grant in the absence of well-documented, unanticipated factors 
that clearly justify the requested increase.
5. References to Previously Submitted Material
    An application for an on-going support grant 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.
6. Submission Requirements, Review and Approval Process, and 
Notification of Decision
    The submission requirements set forth in section VII.E., other than 
the deadline for mailing, apply to applications for an on-going support 
grant. Such applications will be rated on the selection criteria set 
forth in section VIII.B and the factors listed at the beginning of this 
Chapter. The key findings and recommendations resulting from an 
evaluation of the project and the proposed response to those findings 
and recommendations will also be considered. The review and approval 
process, return policy, and notification procedures are the same as 
those for new projects set forth in sections VIII.C.-VIII.E.

X. Compliance Requirements

    The State Justice Institute Act contains limitations and conditions 
on grants, contracts and cooperative agreements of which applicants and 
recipients should be aware. In addition to eligibility requirements 
which must be met to be considered for an award from the Institute, all 
applicants should be aware of and all recipients will be responsible 
for ensuring compliance with the following:

A. State and Local Court Systems

    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). Appendix I to 
this Guideline lists the persons to contact in each State regarding the 
administration of Institute grants to State and local courts.

B. Matching Requirements

    1. All awards to courts or other units of State or local government 
(not including publicly supported institutions of higher education) 
require a match from private or public sources of not less than 50% of 
the total amount of the Institute's award. For example, if the total 
cost of a project is anticipated to be $150,000, a State court or 
executive branch agency may request up to $100,000 from the Institute 
to implement the project. The remaining $50,000 (50% of the $100,000 
requested from SJI) must be provided as a match. A cash match, non-cash 
match, or both may be provided, but the Institute will give preference 
to those applicants who provide a cash match to the Institute's award. 
(For a further definition of match, see section III.F.)
    The requirement to provide match may be waived in exceptionally 
rare circumstances upon approval of the Chief Justice of the highest 
court in the State and a majority of the Board of Directors. 42 U.S.C. 
10705(d).
    2. Other eligible recipients of Institute funds are not required to 
provide a match, but are encouraged to contribute to meeting the costs 
of the project. In instances where match is proposed, the grantee is 
responsible for ensuring that the total amount 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 sections VIII.B. 
above and XI.D.).

C. Conflict of Interest

    Personnel and other officials connected with Institute-funded 
programs shall adhere to the following requirements:
    1. 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/her knowledge he/she or his/her immediate family, 
partners, organization other than a public agency in which he/she is 
serving as officer, director, trustee, partner, or employee or any 
person or organization with whom he/she is negotiating or has any 
arrangement concerning prospective employment, has a financial 
interest.
    2. 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:
    a. Using an official position for private gain; or
    b. Affecting adversely the confidence of the public in the 
integrity of the Institute program.
    3. 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.

D. Lobbying

    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).
    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 

[[Page 64215]]
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.

E. Political Activities

    No recipient shall contribute or make available Institute funds, 
program personnel, or equipment to any political party or association, 
or the campaign of any candidate for public or party office. Recipients 
are also prohibited from using funds in advocating or opposing any 
ballot measure, initiative, or referendum. Finally, 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).

F. 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).

G. 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.

H. 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:
    1. 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);
    2. 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
    3. Solely to purchase equipment.

I. 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.

J. Human Research 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 of harm to those subjects due to their participation.

K. 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 measures necessary to effectuate 
this provision.

L. Reporting Requirements

    Recipients of Institute funds, other than scholarships awarded 
under section II.B.2.b.iii., shall submit Quarterly Progress and 
Financial Reports within 30 days of the close of each calendar quarter 
(that is, no later than January 30, April 30, July 30, and October 30). 
Two copies of each report must be sent. The Quarterly Progress Reports 
shall include a narrative description of project activities during the 
calendar quarter, the relationship between those activities and the 
task schedule and objectives set forth in the approved application or 
an approved adjustment thereto, any significant problems areas that 
have developed and how they will be resolved, and the activities 
scheduled during the next reporting period.
    The quarterly financial status report shall be submitted in 
accordance with section XI.G.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 
XI.K.2. of this Guideline.

M. Audit

    Each recipient must provide for an annual fiscal audit which shall 
include an opinion on whether the financial statements of the grantee 
present fairly its financial position and financial operations are in 
accordance with generally accepted accounting principles. (See section 
XI.J. of the Guideline for the requirements of such audits.)

N. Suspension 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, 
Institute Guideline, or the terms and conditions of the award. 42 
U.S.C. 10708(a).

O. 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 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, as approved by the Institute. 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.

P. 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.

[[Page 64216]]


Q. Acknowledgment and Disclaimer

    Recipients of Institute funds shall 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 project, 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.
    Recipients also shall 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 Sate 
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.''

R. Institute Approval of Grant Products

    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. These drafts shall 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 agreed upon by the grantee and 
the Institute. Grantees shall provide for timely review by the 
Institute of videotape or CD-ROM products at the treatment, script, 
rough cut, and final stages of development or their equivalents, prior 
to initiating the next stage of product development.

S. Distribution of Grant Products

    In addition to the distribution specified in the grant application, 
grantees shall send:
    1. Twenty copies of each final product developed with grant funds 
to the Institute, unless the product was developed under either a 
curriculum adaptation or a technical assistance grant, in which case 
submission of 2 copies is required.
    2. A master copy of each videotape produced with grant funds to the 
Institute.
    3. A one-page abstract to the Institute summarizing the products 
produced during the project for posting on the Internet together with a 
diskette containing the abstract in Word, WordPerfect, or ASCII. The 
abstract should include the grant number, a contact name, address, 
telephone numbers, and e-mail address (if applicable).
    4. 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 these libraries is contained in Appendix 
II. Labels for these libraries are available from the Institute upon 
request.) Recipients of curriculum adaptation and technical assistance 
grants are not required to submit final products to State libraries.

T. 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.

U. 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).

V. Charges for Grant-Related Products/Recovery of Costs

    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.
    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 $25.00, 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.
    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.F. and XI.F. for requirements regarding project-related 
income realized during the project period.

W. 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.

X. 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, a recipient 
shall submit a description of 

[[Page 64217]]
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.

XI. Financial Requirements

A. Accounting Systems and Financial Records

    All grantees, subgrantees, contractors, and other organizations 
directly or indirectly receiving Institute funds are required to 
establish and maintain accounting systems and financial records to 
accurately account for funds they receive. These records shall include 
total program costs, including Institute funds, State and local 
matching shares, and any other fund sources included in the approved 
project budget.
1. Purpose
    The purpose of this section is to establish accounting system 
requirements and to offer guidance on procedures which will assist all 
grantees/subgrantees in:
    a. Complying with the statutory requirements for the awarding, 
disbursement, and accounting of funds;
    b. Complying with regulatory requirements of the Institute for the 
financial management and disposition of funds;
    c. Generating financial data which can be used in the planning, 
management and control of programs; and
    d. Facilitating an effective audit of funded programs and projects.
2. References
    Except where inconsistent with specific provisions of this 
Guideline, the following regulations, directives and reports are 
applicable to Institute grants and cooperative agreements under the 
same terms and conditions that apply to Federal grantees. These 
materials supplement the requirements of this section for accounting 
systems and financial recordkeeping and provide additional guidance on 
how these requirements may be satisfied. (Circulars may be obtained 
from OMB by calling 202-395-7250.)
    a. Office of Management and Budget (OMB) Circular A-21, Cost 
Principles for Educational Institutions.
    b. Office of Management and Budget (OMB) Circular A-87, Cost 
Principles for State and Local Governments.
    c. Office of Management and Budget (OMB) Circular A-88 (revised), 
Indirect Cost Rates, Audit and Audit Follow-up at Educational 
Institutions.
    d. Office of Management and Budget (OMB) Circular A-102, Uniform 
Administrative Requirements for Grants-in-Aid to State and Local 
Governments.
    e. Office of Management and Budget (OMB) Circular A-110, Grants and 
Agreements with Institutions of Higher Education, Hospitals and other 
Non-Profit Organizations.
    f. Office of Management and Budget (OMB) Circular A-128, Audits of 
State and Local Governments.
    g. Office of Management and Budget (OMB) Circular A-122, Cost 
Principles for Non-profit Organizations.
    h. Office of Management and Budget (OMB) Circular A-133, Audits of 
Institutions of Higher Education and Other Non-profit Institutions.

B. Supervision and Monitoring Responsibilities

1. Grantee Responsibilities
    All grantees receiving direct 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
    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 State Supreme Court or its designee shall receive all Institute 
funds awarded to such courts; shall be responsible for assuring proper 
administration of Institute funds; and shall be responsible for all 
aspects of the project, including proper accounting and financial 
recordkeeping by the subgrantee. These responsibilities include:
    a. 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.
    b. 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. Non-Institute 
contributions applied to projects by subgrantees should likewise be 
recorded, as should any project income resulting from program 
operations.
    c. 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 detail of each project 
budget should be maintained on file by the State Supreme Court.
    d. Accounting for Non-Institute Contributions. The State Supreme 
Court or its designee will ensure, in those instances where subgrantees 
are required to furnish non-Institute matching funds, that the 
requirements and limitations of this guideline are applied to such 
funds.
    e. Audit Requirement. The State Supreme Court or its designee is 
required to ensure that subgrantees have met the necessary audit 
requirements as set forth by the Institute (see sections X.M. and 
XI.J).
    f. 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.

C. Accounting System

    The grantee is responsible for establishing and maintaining an 
adequate system of accounting and internal controls for itself and for 
ensuring that an adequate system exists for each of its subgrantees and 
contractors. An acceptable and adequate accounting system is considered 
to be one which:
    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 with the approved grant;
    3. Presents and classifies historical costs of the grant as 
required for budgetary and evaluation purposes;
    4. Provides cost and property controls to assure optimal use of 
grant funds;
    5. Is integrated with a system of internal controls adequate to 
safeguard the funds and assets covered, check the accuracy and 
reliability of the accounting data, promote operational efficiency, and 
assure conformance with any general or special conditions of the grant;

[[Page 64218]]

    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.

D. Total Cost Budgeting and Accounting

    Accounting for all funds awarded by the Institute shall 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 shall be 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. However, the full matching share must be 
obligated during the award period, except that with the prior written 
permission of the Institute, contributions made following approval of 
the grant by the Institute's Board 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. In instances where a proposed cash match 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.
2. Records for Match
    All grantees must maintain records which 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 the 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 XI.B.2.)

E. Maintenance and Retention of Records

    All financial records, supporting documents, statistical records 
and all other records pertinent to grants, subgrants, cooperative 
agreements or contracts under grants shall 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 chapter.
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 will 
be required for consultants.
2. Retention Period
    The three-year retention period starts from the date of the 
submission of the final expenditure report or, for grants which are 
renewed annually, from the date of submission of the annual 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.

F. 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. 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 
State institutions of higher education and State 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 
direct grantees must refund any interest earned. Grantees shall order 
their affairs so as to 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 project provide 
otherwise.
3. Registration and Tuition Fees
    Registration and tuition fees shall be used to pay project-related 
costs not covered by the grant, or to reduce the amount of grant funds 
needed to support the project. Registration and tuition fees may be 
used for other purposes only 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

    When grant funds fully cover the cost of producing and 
disseminating a limited number of copies of a product, the grantee may, 
with the written prior approval of the Institute, sell additional 
copies reproduced at its expense only at a price intended to recover 
actual reproduction and distribution costs that were not covered by 
Institute grant funds or grantee matching contributions to the project. 
When grant funds only partially cover the costs of developing, 
producing and disseminating a product, the grantee may, with the 
written prior approval of the Institute, recover costs for developing, 
reproducing, and disseminating the material to the extent that those 
costs were not covered by Institute grant funds or grantee matching 
contributions. If the grantee recovers its costs in this manner, then 

[[Page 64219]]
amounts expended by the grantee to develop, produce, and disseminate 
the material may not be considered match.
    If the sale of products occurs during the project period, 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 X.V.
5. Other
    Other project income shall be treated in accordance with 
disposition instructions set forth in the project's terms and 
conditions.

G. 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 and On-Going Support Awards. For purposes of 
submitting Requests for Advance or Reimbursement, recipients of 
continuation and on-going support grants should treat each grant as a 
new project and number their requests accordingly (i.e. on a grant 
rather than a project basis). For example, the first request for 
payment from a continuation grant or each year of an on-going support 
would be number 1, the second number 2, etc. (See Recommendations to 
Grantees in the Introduction for further guidance.)
    c. Termination of Advance and Reimbursement Funding. When a grantee 
organization receiving cash advances from the Institute:
    i. 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;
    ii. Engages in the improper award and administration of subgrants 
or contracts; or
    iii. 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 reserves the right to suspend 
reimbursement payments until the deficiencies are corrected.
    d. Principle of Minimum Cash on Hand. Recipient organizations 
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. Idle funds in the hands of subgrantees will impair the goals of 
good cash management.
2. Financial Reporting
    a. General Requirements. In order to obtain financial information 
concerning the use of funds, the Institute requires that grantees/
subgrantees of these funds submit timely reports for review.
    Three copies of the Financial Status Report are required from all 
grantees, other than recipients of scholarships under section 
II.B.2.b.iii., 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, and any other fund 
sources included in the approved project budget. The report contains 
information on obligations as well as outlays. A copy of the Financial 
Status Report, along with instructions for its preparation, will be 
included in the official Institute Award package. In circumstances 
where an organization 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, in support of the 
Request for Advance or Reimbursement.
    b. Additional Requirements for Renewal Grants. Grantees receiving a 
continuation or on-going support grant 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 or each 
year of an on-going support award should be number 1, the second number 
2, etc.
3. Consequences of Non-Compliance With Submission Requirements
    Failure of the grantee organization to submit required financial 
and program reports may result in a suspension of grant payments or 
revocation of the grant award.

H. Allowability of Costs

1. General
    Except as may be otherwise provided in the conditions of a 
particular grant, cost allowability shall be determined in accordance 
with the principles set forth in OMB Circulars A-87, Cost Principles 
for State and Local Governments; A-21, Cost Principles Applicable to 
Grants and Contracts with Educational Institutions; and A-122, Cost 
Principles for Non-Profit Organizations. No costs may be recovered to 
liquidate obligations which are incurred after the approved grant 
period. Copies of these circulars may be obtained from OMB by calling 
(202) 395-7250.
2. Costs Requiring Prior Approval
    a. Preagreement Costs. The written prior approval of the Institute 
is required for costs which are considered necessary to the project but 
occur prior to the award date of the grant.
    b. Equipment. Grant funds may be used to purchase or lease only 
that equipment which is 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 the 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.
3. Travel Costs
    Transporation and per diem rates must comply with the policies of 
the applicant organization. If the applicant does not have an 
established written travel policy, then travel rates shall be 
consistent with those established by the Institute or the Federal 
Government. Institute funds shall 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 

[[Page 64220]]
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. It is 
the policy of the Institute that all costs should be budgeted directly; 
however, if a recipient has an indirect cost rate approved by a Federal 
agency as set forth below, the Institute will accept that rate.
    a. Approved Plan Available.
    i. The Institute will accept an indirect cost rate 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. A copy of the approved agreement must be submitted to the 
Institute.
    ii. 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 and 
occupancy and maintenance, etc., as direct costs.
    iii. Organizations with an approved indirect cost rate, utilizing 
total direct costs as the base, usually exclude contracts under grants 
from any overhead recovery. The negotiated agreement will stipulate 
that contracts are excluded from the base for overhead recovery.
    b. Establishment of Indirect Cost Rates. In order to be reimbursed 
for indirect costs, a grantee or organization 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. The 
proposal must be submitted within three months after the start of the 
grant period to assure recovery of the full amount of allowable 
indirect costs, and it must be developed in accordance with principles 
and procedures appropriate to the type of grantee institution involved 
as specified in the applicable OMB Circular. Copies of OMB Circulars 
may be obtained directly from OMB by calling (202) 395-7250.
    c. No Approved Plan. If an indirect cost proposal for recovery of 
actual 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. This policy is effective for all 
grant awards.

I. Procurement and Property Management Standards

1. Procurement Standards
    For State and local governments, the Institute is adopting 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 shall be applicable to all grantees and 
subgrantees of Institute funds except as provided in section X.O.
    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.

J. Audit Requirements

1. Implementation
    Each non-scholarship grantee (including a State or local court 
receiving a subgrant from the State Supreme Court) shall provide for an 
annual fiscal audit. The audit may be of the entire grantee 
organization (e.g., a university) 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 shall be conducted by 
an independent Certified Public Accountant, or a State or local agency 
authorized to audit government agencies.
    Grantees who receive funds from a Federal agency and who satisfy 
audit requirements of the cognizant Federal agency, should submit a 
copy of the audit report prepared for that Federal agency to the 
Institute in order to satisfy the provisions of this section. Cognizant 
Federal agencies do not send reports to the Institute. Therefore, each 
grantee must send this report directly to the Institute.
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 
grant recipient shall 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
    It is the general policy of the State Justice Institute not to make 
new grant awards to an applicant having an unresolved audit report 
involving Institute awards. Failure of the grantee organization to 
resolve audit questions may also result in the suspension of payments 
for active Institute grants to that organization.

K. Close-Out of Grants

1. Definition
    Close-out is a process by which the Institute determines that all 
applicable administrative and financial actions and all required work 
of the grant have been completed by both the grantee and the Institute.
2. Grantee Close-Out Requirements
    Within 90 days after the end date of the grant or any approved 
extension thereof (revised end date), the following documents must be 
submitted to the Institute by the grantee other than a recipient of a 
scholarship under section II.B.2.b.iii. These reporting requirements 
apply at the conclusion of any non-scholarship grant, even when the 
project will receive renewal funding through a continuation or on-going 
support grant.
    a. Financial State 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 90-day close-out period. Grantees on a check-issued 
basis, which 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 

[[Page 64221]]
summary of activities during the entire project; specify whether all 
the objectives set forth in the approved application or an approved 
adjustment thereto have been met and, if any of the objectives have not 
been met, explain the reasons therefor; and discuss what, if anything, 
could have been done differently that might have enhanced the impact of 
the project or improved its operation.

3. Extension of Close-Out Period

    Upon the written request of the grantee, the Institute may extend 
the close-out period to assure completion of the Grantee's close-out 
requirements. Requests for an extension must be submitted at least 14 
days before the end of the close-out period and must explain why the 
extension is necessary and what steps will be taken to assure that all 
the grantee's responsibilities will be met by the end of the extension 
period.

XII. Grant Adjustments

    All requests for program or budget adjustments requiring Institute 
approval must be submitted in a timely manner by the project director. 
All requests for changes from the approved application will be 
carefully reviewed for both consistency with this Guideline and the 
enhancement of grant goals and objectives.

A. Grant Adjustments Requiring Prior Written Approval

    There are several types of grant adjustments which require the 
prior written approval of the Institute. Examples of these adjustments 
include:
    1. Budget revisions among direct cost categories which, 
individually or in the aggregate, exceed or are expected to exceed five 
percent of the approved original budget or the most recently approved 
revised budget. For the purposes of this section, the Institute will 
view budget revisions cumulatively.
    For continuation and on-going support grants, funds from the 
original award may be used during the renewal grant period and funds 
awarded by a continuation or on-going support 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 section XII.D.).
    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 section XII.E.).
    5. Satisfaction of special conditions, if required.
    6. A change in or temporary absence of the project director (see 
sections XII.F. and G.).
    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 X.X.).
    8. A change in the name of the grantee organization.
    9. A transfer or contracting out of grant-supported activities (see 
section XII.H.).
    10. A transfer of the grant to another recipient.
    11. Preagreement costs, the purchase of automated data processing 
equipment and software, and consultant rates, as specified in section 
XI.H.2.
    12. A change in the nature or number of the products to be prepared 
or the manner in which a product would be distributed.

B. Request for Grant Adjustments

    All grantees and subgrantees must promptly notify their SJI program 
manager, in writing, of events or proposed changes which may require an 
adjustment to the approved application. In requesting an adjustment, 
the grantee must set forth the reasons and basis for the proposed 
adjustment and any other information the SJI program managers determine 
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 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

    A grantee/subgrantee 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. Major changes in scope, duration, training methodology, or 
other significant areas must be approved in advance by the Institute.

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. The reasons why 
the change is necessary and the steps being taken to avoid further 
delays should be explained in detail. A revised task plan should 
accompany requests 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 XI.K.3.). Grantees should 
be aware that the Institute is unlikely to approve more than one 
limited extension of the grant period.

F. Temporary Absence of the Project Director

    Whenever 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

    A principal activity of the grant-supported project shall not be 
transferred or contracted out to another organization without specific 
prior approval by the Institute. All such arrangements should 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 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 

[[Page 64222]]
be followed, the dollar limitation of the agreement, and the cost 
principles to be followed in determining what costs, both direct and 
indirect, are to 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

David A. Brock, Co-Chairman, Chief Justice, Supreme Court of New 
Hampshire, Concord, New Hampshire
John F. Daffron, Jr., Co-Chairman, Judge, Twelfth Judicial Circuit, 
Chesterfield, Virginia
Sandra A. O'Connor, Secretary, States Attorney of Baltimore County, 
Towson, Maryland
Terrence B. Adamson, Esq., Executive Committee Member, Kaye, 
Scholer, Fierman, Hays, and Handler, Washington, DC
Joseph F. Baca, Chief Justice, Supreme Court of New Mexico, 
Albuquerque, New Mexico
Robert N. Baldwin, State Court Administrator, Supreme Court of 
Virginia, Richmond, Virginia
Carlos R. Garza, Administrative Judge (ret.), Vienna, Virginia
Janice L. Gradwohl, Judge (ret.), County Courts, Lincoln, Nebraska
Keith McNamara, Esq., McNamara and McNamara, Columbus, Ohio
Florence Murray, Justice, Rhode Island Supreme Court, Providence, 
Rhode Island
Janie L. Shores, Justice, Supreme Court of Alabama, Montgomery, 
Alabama
David I. Tevelin, Executive Director (ex officio)
David I. Tevelin,
Executive Director.

Appendix I.--List of State Contacts Regarding Administration of 
Institute Grants to State and Local Courts

Mr. Frank Gregory, Administrative Director, Administrative Office of 
the Courts, 817 South Court Street, Montgomery, Alabama 36130, (205) 
834-7990
Mr. Arthur H. Snowden II, Administrative Director, Alaska Court 
System, 303 K Street, Anchorage, Alaska 99501, (907) 264-0547
Mr. David K. Byers, Administrative Director, Supreme Court of 
Arizona, 1501 West Washington Street, Suite 411, Phoenix, Arizona 
85007-3330, (602) 542-9301
Mr. James D. Gingerich, Director, Administrative Office of the 
Courts, 625 Marshall, Little Rock, Arkansas 72201-1078, (501) 376-
6655
Mr. William C. Vickrey, State Court Administrator, Administrative 
Office of the Courts, 303 Second Street, South Tower, San Francisco, 
California 94107, (415) 396-9100
Mr. Steven V. Berson, State Court Administrator, Colorado Judicial 
Department, 1301 Pennsylvania Street, Suite 300, Denver, Colorado 
80203-2416, (303) 861-1111, ext. 585
Ms. Faith P. Arkin, Director, External Affairs, Office of the Chief 
Court Administrator, Drawer N, Station A, Hartford, Connecticut 
06106, (203) 566-8210
Mr. Lowell Groundland, Director, Administrative Office of the 
Courts, Carvel State Office Building, 820 N. French Street, 
Wilmington, Delaware 19801, (302) 571-2480
Mr. Ulysses Hammond, Executive Officer, Courts of the District of 
Columbia, 500 Indiana Avenue, N.W., Washington, D.C. 20001, (202) 
879-1700
Mr. Kenneth Palmer, State Courts Administrator, Florida State Courts 
System, Supreme Court Building, Tallahassee, Florida 32399-1900, 
(904) 922-5081
Mr. Robert L. Doss, Jr., Director, Administrative Office of the 
Georgia Courts, The Judicial Council of Georgia, 244 Washington 
Street, S.W., Suite 500, Atlanta, Georgia 30334-5900, (404) 656-5171
Mr. Perry C. Taitano, Administrative Director, Superior Court of 
Guam, Judiciary Building, 110 West O'Brien Drive, Agana, Guam 96920, 
011 (671) 472-8961 through 8968
Sharon Miyoshiro, Administrative Director of the Courts, Office of 
the Administrative Director, Post Office Box 2560, Honolulu, Hawaii 
96813, (808) 539-4900
Honorable Charles F. McDevitt, Chief Justice, Idaho Supreme Court, 
451 West State Street, Boise, Idaho 83720, (208) 334-3464
Mr. Robert E. Davison, Director, Administrative Office of the 
Courts, 840 S. Spring Street, Springfield, Illinois 62704, (312) 
793-3250
Mr. Bruce A. Kotzan, Executive Director, Supreme Court of Indiana, 
State House, Room 323, Indianapolis, Indiana 46204, (317) 232-2542
Mr. William J. O'Brien, State Court Administrator, Supreme Court of 
Iowa, State House, Des Moines, Iowa 50319, (515) 281-5241
Dr. Howard P. Schwartz, Judicial Administrator, Kansas Judicial 
Center, 301 West 10th Street, Topeka, Kansas 66612, (923) 296-4873
Ms. Laura Stammel, Assistant Director, Administrative Office of the 
Courts, 100 Mill Creek Park, Frankfort, Kentucky 40601, (502) 564-
2350
Dr. Hugh M. Collins, Judicial Administrator, Supreme Court of 
Louisiana, 301 Loyola Avenue, Room 109, New Orleans, Louisiana 
70112-1887, (504) 568-5747
Mr. James T. Glessner, State Court Administrator, Administrative 
Office of the Courts, P.O. Box 4820, Downtown Station, Portland, 
Maine 04112, (207) 822-0792
Ms. Deborah A. Unitus, Assistant State Court Administrator, 
Administrative Office of the Courts, Rowe Boulevard and Taylor 
Avenue, Annapolis, Maryland 21401, (301) 974-2141
Honorable John J. Irwin, Jr., Chief Justice for Administration and 
Management, The Trial Court, Administrative Office of the Trial 
Court, Two Center Plaza, Suite 540, Boston, Massachusetts 02108, 
(617) 742-8575
Ms. Marilyn K. Hall, State Court Administrator, Michigan Supreme 
Court, P.O. Box 30048, 611 West Ottawa Street, Lansing, Michigan 
48909, (517) 373-0136
Ms. Sue K. Dosal, State Court Administrator, Supreme Court of 
Minnesota, 230 State Capitol, St. Paul, Minnesota 55155, (617) 296-
2474
Honorable Leslie Johnson, Director, Center for Court Education and 
Continuing Studies, P.O. Box 879, Oxford, Mississippi 38677, (601) 
232-5955
Mr. Ron Larkin, State Court Administrator, 1105 R Southwest Blvd., 
Jefferson City, Missouri 65109, (314) 751-3585
Mr. Patrick A. Chenovick, State Court Administrator, Montana Supreme 
Court, Justice Building, Room 315, 215 North Sanders, Helena, 
Montana 59620-3001, (406) 444-2621
Mr. Joseph C. Steele, State Court Administrator, Supreme Court of 
Nebraska, State Capitol Building, Room 1220, Lincoln, Nebraska 
68509, (404) 471-2643
Mr. Donald J. Mello, Court Administrator, Administrative Office of 
the Courts, Capitol Complex, Carson City, Nevada 89710, (702) 885-
5076
Mr. Donald Goodnow, State Court Administrator, Supreme Court of New 
Hampshire, Frank Rowe Kenison Building, Concord, New Hampshire 
03301, (603) 271-2419
Mr. Robert Lipscher, Administrative Director, Administrative Office 
of the Courts, CN-037, RJH Justice Complex, Trenton, New Jersey 
08625, (609) 984-0275
Honorable E. Leo Milonas, Chief Administrative Judge, Office of 
Court Administration, 270 Broadway, New York, New York 10007, (212) 
587-2004
Ms. Deborah Kanter, State Court Administrator, Administrative Office 
of the Courts, Supreme Court of New Mexico, Supreme Court Building, 
Room 25, Sante Fe, New Mexico 87503, (505) 827-4800
Hon. Jack Cozort, Acting Administrative Director, Administrative 
Office of the Courts, P.O. Box 2448, Raleigh, North Carolina 27602, 
(919) 733-7106/7107
Mr. Keithe E. Nelson, State Court Administrator, Supreme Court of 
North Dakota, State Capitol Building, Bismarck, North Dakota 58505, 
(701) 224-4216
Mr. Stephan W. Stover, Administrative Director of the Courts, 
Supreme Court of Ohio, State Office Tower, 30 East Broad Street, 
Columbus, Ohio 43266-0419, (614) 466-2653
Mr. Howard W. Conyers, Administrative Director, Administrative 
Office of the Courts, 1925 N. Stiles, Suite 305, Oklahoma City, 
Oklahoma 73105, (405) 521-2450
Ms. Kingsley Click, State Court Administrator, Supreme Court of 
Oregon, Supreme Court Building, Salem, Oregon 97310, (503) 986-5500
Mr. Thomas B. Darr, Director for Legislative Affairs, Communications 
and Administration, 5035 Ritter Road, Mechanicsburg, Pennsylvania 
17055, (717) 795-2000
Dr. Robert C. Harrall, State Court Administrator, Supreme Court of 
Rhode Island, 250 Benefit Street, Providence, Rhode Island 02903, 
(401) 277-3266
Mr. George A. Markert, Director, South Carolina Court 
Administration, P.O. Box 

[[Page 64223]]
50447, Columbia, South Carolina 29250, (803) 734-1800.
Honorable Robert A. Miller, Chief Justice, Supreme Court of South 
Dakota, 500 East Capitol Avenue, Pierre, South Dakota 57501, (605) 
773-4885
Mr. Charles E. Ferrell, Executive Secretary, Supreme Court of 
Tennessee, Supreme Court Building, Room 422, Nashville Tennessee 
37219, (615) 741-2687
Mr. Jerry L. Benedict, Administrative Director, Office of Court 
Administration of the Texas Judicial System, P.O. Box 12066, Austin, 
Texas 78711, (512) 463-1625
Mr. Daniel Becker, State Court Administrator, Administrative Office 
of the Courts, 230 South 500 East, Salt Lake City, Utah 84102, (801) 
533-6371
Mr. Lee Suskin, Acting Court Administrator, Supreme Court of 
Vermont, 111 State Street, Montpelier, Vermont 05602, (802) 828-3281
Ms. Viola E. Smith, Clerk of the Court/Administrator, Territorial 
Court of the Virgin Islands, P.O. Box 70, Charlotte Amalie, St. 
Thomas, Virgin Islands 00801, (809) 774-6680, ext 248
Mr. Robert N. Baldwin, Executive Secretary, Supreme Court of 
Virginia, Administrative Offices, 100 North Ninth Street, 3rd Floor, 
Richmond, Virginia 23219, (804) 786-6455
Ms. Mary C. McQueen, Administrator for the Courts, Supreme Court of 
Washington, Highways-Licensing Building, 6th Floor, 12th & 
Washington, Olympia, Washington 98504, (206) 753-5780
Mr. Ted J. Philyaw, Administrative Director of the Courts, 
Administrative Office, 402-E State Capitol, Charleston, West 
Virginia 25305, (304) 348-0145
Mr. J. Denis Moran, Director of State Courts, P.O. Box 1688, 
Madison, Wisconsin 53701-1688, (608) 266-6828
Mr. Robert L. Duncan, Court Coordinator, Supreme Court Building, 
Cheyenne, Wyoming 82002, (307) 777-7581

Appendix II.--SJI Libraries Designated Sites and Contacts (August 
1995)

State: Alabama
Location: Supreme Court Library
Contact: Mr. William C. Younger, State Law Librarian, Alabama 
Supreme Court Bldg., 445 Dexter Avenue, Montgomery, Alabama 36130, 
(205) 242-4347

State: Alaska
Location: Anchorage Law Library
Contact: Ms. Cynthia S. Petumenos, State Law Librarian, Alaska Court 
Libraries, 303 K Street, Anchorage, Alaska 99501, (907) 264-0583

State: Arizona
Location: State Law Library
Contact: Ms. Sharon Womack, Director, Department of Library & 
Archives, State Capitol, 1700 West Washington, Phoenix, Arizona 
85007, (602) 542-4035

State: Arkansas
Location: Administrative Office of the Courts
Contact: Mr. James D. Gingerich, Director, Supreme Court of 
Arkansas, Administrative Office of the Courts, Justice Building, 625 
Marshall, Little Rock, Arkansas 72201-1078, (501) 376-6655

State: California
Location: Administrative Office of the Courts
Contact: Mr. William C. Vickrey, State Court Administrator, 
Administrative Office of the Courts, 303 Second Street, South Tower, 
San Francisco, California 94107, (415) 396-9100

State: Colorado
Location: Supreme Court Library
Contact: Ms. Frances Campbell, Supreme Court Law Librarian, Colorado 
State Judicial Building, 2 East 14th Avenue, Denver, Colorado 80203, 
(303) 837-3720

State: Connecticut
Location: State Library
Contact: Mr. Richard Akeroyd, State Librarian, 231 Capital Avenue, 
Hartford, Connecticut 06106, (203) 566-4301

State: Delaware
Location: Administrative Office of the Courts
Contact: 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, Delaware 19801, (302) 
571-2480

State: District of Columbia
Location: Executive Office, District of Columbia Courts
Contact: Mr. Ulysses Hammond, Executive Officer, Courts of the 
District of Columbia, 500 Indiana Avenue, N.W., Washington, D.C. 
20001, (202) 879-1700

State: Florida
Location: Administrative Office of the Courts
Contact: Mr. Kenneth Palmer, State Court Administrator, Florida 
State Courts System, Supreme Court Building, Tallahassee, Florida 
32399-1900, (904) 488-8621

State: Georgia
Location: Administrative Office of the Courts
Contact: Mr. Robert L. Doss, Jr., Director, Administrative Office of 
the Courts, The Judicial Council of Georgia, 244 Washington Street, 
S.W., Suite 550, Atlanta, Georgia 30334, (404) 656-5171

State: Hawaii
Location: Supreme Court Library
Contact: Ms. Ann Koto, Acting Law Librarian, Supreme Court Law 
Library, P.O. Box 2560, Honolulu, Hawaii 96804, (808) 548-4605

State: Idaho
Location: AOC Judicial Education Library/State Law Library in Boise
Contact: Ms. Laura Pershing, State Law Librarian, Idaho State Law 
Library, Supreme Court Building, 451 West State Street, Boise, Idaho 
83720, (208) 334-3316

State: Illinois
Location: Supreme Court Library
Contact: Ms. Brenda I. Larison, Supreme Court Library, Supreme Court 
Building, Springfield, Illinois 62701-1791, (217) 782-2424

State: Indiana
Location: Supreme Court Library
Contact: Ms. Constance Matts, Supreme Court Librarian, Supreme Court 
Library, State House, Indianapolis, Indiana 46204, (317) 232-2557

State: Iowa
Location: Administrative Office of the Court
Contact: Mr. Jerry K. Beatty, Executive Director, Judicial Education 
& Planning, Administrative Office of the Courts, State Capital 
Building, Des Moines, Iowa 50319, (515) 281-8279

State: Kansas
Location: Supreme Court Library
Contact: Mr. Fred Knecht, Law Librarian, Kansas Supreme Court 
Library, 301 West 10th Street, Topeka, Kansas 66614, (913) 296-3257

State: Kentucky
Location: State Law Library
Contact: Ms. Sallie Howard, State Law Librarian, State Law Library, 
State Capital, Room 200-A, Frankfort, Kentucky 40601, (502) 564-4848

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

State: Maine
Location: State Law and Legislative Reference Library
Contact: Ms. Lynn E. Randall, State Law Librarian, State House 
Station 43, Augusta, Maine 04333, (207) 289-1600

State: Maryland
Location: State Law Library
Contact: Mr. Michael S. Miller, Director, Maryland State Law 
Library, Court of Appeal Building, 361 Rowe Boulevard, Annapolis, 
Maryland 21401, (301) 974-3395

State: Massachusetts
Location: Middlesex Law Library
Contact: Ms. Sandra Lindheimer, Librarian, Middlesex Law Library, 
Superior Court House, 40 Thorndike Street, Cambridge, Massachusetts 
02141, (617) 494-4148

State: Michigan
Location: Michigan Judicial Institute
Contact: Mr. Dennis W. Catlin, Executive Director, Michigan Judicial 
Institute, 222 Washington Square North, P.O. Box 30205, Lansing, 
Michigan 48909, (517) 334-7804

State: Minnesota
Location: State Law Library (Minnesota Judicial Center)
Contact: Mr. Marvin R. Anderson, State Law Librarian, Supreme Court 
of Minnesota, 25 Constitution Avenue, St. Paul, Minnesota 55155, 
(612) 297-2084

State: Mississippi
Location: Mississippi Judicial College
Contact: Mr. Rick D. Patt, Staff Attorney, Mississippi Judicial 
College, 6th Floor, 3825 Ridgewood, Jackson, Mississippi 39211, 
(601) 982-6590

State: Montana
Location: State Law Library
Contact: Ms. Judith Meadows, State Law Librarian, State Law Library 
of Montana, Justice Building, 215 North Sanders, Helena, Montana 
59620, (406) 444-3660

State: Nebraska
Location: Administrative Office of the Courts
Contact: Mr. Joseph C. Steele, State Court Administrator, Supreme 
Court of Nebraska, Administrative Office of the Courts, P.O. Box 
98910, Lincoln, Nebraska 68509-8910, (402) 471-3730


[[Page 64224]]

State: Nevada
Location: National Judicial College
Contact: Dean V. Robert Payant, National Judicial College, Judicial 
College Building, University of Nevada, Reno, Nevada 89550, (702) 
784-6747

State: New Jersey
Location: New Jersey State Library
Contact: Mr. Robert L. Bland, Law Coordinator, State of New Jersey, 
Department of Education, State Library, 185 West State Street, 
CN520, Trenton, New Jersey 08625, (609) 292-6230

State: New Mexico
Location: Supreme Court Library
Contact: Mr. Thaddeus Bejnar, Librarian, Supreme Court Library, Post 
Office Drawer L, Santa Fe, New Mexico 87504, (505) 827-4850

State: New York
Location: Supreme Court Library
Contact: Ms. Susan M. Wood, Esq., Principal Law Librarian, New York 
State Supreme Court Law Library, Onondaga County Court House, 
Syracuse, New York 13202, (315) 435-2063

State: North Carolina
Location: Supreme Court Library
Contact: Ms. Lousie Stafford, Librarian, North Carolina Supreme 
Court Library, P.O. Box 26806 (by courier), 500 Justice Building, 2 
East Morgan Street, Raleigh, North Carolina 27601, (919) 733-3425

State: North Dakota
Location: Supreme Court Library
Contact: Ms. Marcella Kramer, Assistant Law Librarian, Supreme Court 
Law Library, 600 East Boulevard Avenue, 2nd Floor, Judicial Wing, 
Bismarck, North Dakota 58505-0530, (701) 224-2229

State: Northern Mariana Islands
Location: Supreme Court of the Northern Mariana Islands
Contact: Mr. Honorable Jose S. Delta Cruz, Chief Justice, Supreme 
Court of the Northern Mariana Islands, P.O. Box 2165, Saipan, MP 
96950, (670) 234-5275

State: Ohio
Location: Supreme Court Library
Contact: Mr. Paul S. Fu, Law Librarian, Supreme Court Law Library, 
Supreme Court of Ohio, 30 East Broad Street, Columbus, Ohio 43266-
0419, (614) 466-2044

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

State: Oregon
Location: Administrative Office of the Courts
Contact: Ms. Kingsley Click, State Court Administrator, Supreme 
Court of Oregon, Supreme Court Building, Salem, Oregon 97310, (503) 
378-6046

State: Pennsylvania
Location: State Library of Pennsylvania
Contact: Ms. Betty Lutz, Head, Acquisitions Section, State Library 
of Pennsylvania, Technical Services, G46 Forum Building, Harrisburg, 
Pennsylvania 17105, (717) 787-4440

State: Puerto Rico
Location: Office of Court Administration
Contact: Mr. Alfredo Rivera-Mendoza, Esq., Director, Area of 
Planning and Management, Office of Court Administration, P.O. Box 
917, Hato Rey, Puerto Rico 00919

State: Rhode Island
Location: Roger Williams Law School Library
Contact: Ms. Gail Winson, Director, Roger Williams Law School, 10 
Metacom Ave., Bristol, RI 02809-5171, (401) 254-4546

State: South Carolina
Location: Coleman Karesh Law Library (University of South Carolina 
School of Law)
Contact: Mr. Bruce S. Johnson, Law Librarian, Associate, Professor 
of Law, Coleman Karesh Law Library, U.S.C. Law Center, University of 
South Carolina, Columbia, South Carolina 29208, (803) 777-5944

State: Tennessee
Location: Tennessee State Law Library
Contact: Ms. Donna C. Wair, Librarian, Tennessee State Law Library, 
Supreme Court Building, 401 Seventh Avenue N, Nashville, Tennessee 
37243-0609, (615) 741-2016

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

State: U.S. Virgin Islands
Location: Library of the Territorial Court of the Virgin Islands 
(St. Thomas)
Contact: Librarian, The Library, Territorial Court of the Virgin 
Islands, Post Office Box 70, Charlotte Amalie, St Thomas, U.S. 
Virgin Islands 00804

State: Utah
Location: Utah State Judicial Administration Library
Contact: Ms. Jennifer Bullock, Librarian, Utah State Judicial, 
Administration Library, 230 South 500 East, Suite 300, Salt Lake 
City, Utah 84102, (801) 533-6371

State: Vermont
Location: Supreme Court of Vermont
Contact: Mr. Thomas J. Lehner, Court Administrator, Supreme Court of 
Vermont, 111 State Street, c/o Pavilion Office Building, Montpelier, 
Vermont 05602, (802) 828-3278

State: Virginia
Location: Administrative Office of the Courts
Contact: Mr. Robert N. Baldwin, Executive Secretary, Supreme Court 
of Virginia, Administrative Offices, 100 North Ninth Street, Third 
Floor, Richmond, Virginia 23219, (804) 786-6455

State: Washington
Location: Washington State Law Library
Contact: Ms. Deborah Norwood, State Law Librarian, Washington State 
Law Library, Temple of Justice, Mail Stop AV-02, Olympia, Washington 
98504-0502, (206) 357-2146

State: West Virginia
Location: Administrative Office of the Courts
Contact: Mr. Richard H. Rosswurm, Deputy Administrative Director for 
Judicial Education, West Virginia Supreme, Court of Appeals, State 
Capitol, Capitol E-400, Charleston, West Virginia 25305, (304) 348-
0145

State: Wisconsin
Location: State Law Library
Contact: Ms. Marcia Koslov, State Law Librarian, State Law Library, 
310E State Capitol, P.O. Box 7881, Madison, Wisconsin 53707, (608) 
266-1424

State: Wyoming
Location: Wyoming State Law Library
Contact: Ms. Kathy Carlson, Law Librarian, Wyoming State Law 
Library, Supreme Court Building, Cheyenne, Wyoming 82002, (307) 777-
7509

National: American Judicature Society
Contact: Ms. Clara Wells, Assistant for Information and Library 
Services, 25 East Washington Street, Suite 1600, Chicago, Illinois 
60602, (312) 558-6900

National: National Center for State Courts
Contact: Ms. Peggy Rogers, Acquisitions/Serials Librarian, 300 
Newport Avenue, Williamsburg, Virginia 23187-8798, (804) 253-2000

National: Michigan State University
Contact: Dr. John K. Hudzik, Project Director, Judicial Education, 
Reference, Information and Technical Transfer Project (JERITT), 
Michigan State University, 560 Baker Hall, East Lansing, Michigan 
48824, (517) 353-8603

Appendix III--Illustrative List of Model Curricula

    The following list includes examples of curricula that have been 
developed with support from SJI, and that might be--or in some cases 
have been--successfully adapted for State-based education programs 
for judges and other court personnel. A list of all SJI-supported 
education projects is available from the Institute. Please also 
check with the JERITT project (517/353-8603) and with your State 
SJI-designated Library (see Appendix II) for information on other 
curricula that may be appropriate for your State's needs.

``Manual for Judicial Writing Workshop for Trial Judges'' 
(University of Georgia/Colorado Judicial Department: SJI-87-018/019)
``Judicial Education Curriculum: Teaching Guides on Court Security, 
and Jury Management and Impanelment'' (Institute for Court 
Management/National Center for State Courts: SJI-88-053)
``Caseflow Management Principles and Practices'' (Institute for 
Court Management/National Center for State Courts: SJI-87-056)
``Adjudication of Farm Credit Issues'' (Rural Justice Center: SJI-
87-059)
``A National Program for Reporting on the Courts and the Law'' 
(American Judicature Society: SJI-88-014)
``Model Judicial Mediation Training Program'' (American Arbitration 
Association: SJI-88-078)
``Domestic Violence: A Curriculum for Rural Courts'' from ``A 
Project to Improve Access to Rural Courts for Victims of Domestic 
Violence'' (Rural Justice Center: SJI-88-081)
``Career Writing Program for Appellate Judges'' (American Academy of 
Judicial Education: SJI-88-086-P92-1)

[[Page 64225]]

``Judges Media Relations Seminar'' from ``A Statewide Program for 
Improving Media and Judicial Relations'' (Minnesota Supreme Court: 
SJI-89-024)
``Minding the Courts into the Twentieth Century'' (Michigan Judicial 
Institute: SJI-89-029)
``Innovative Juvenile and Family Court Training'' (Youth Law Center: 
SJI-87-060, SJI-89-039)
``Troubled Families, Troubled Judges'' (Brandeis University: SJI-89-
071)
``Judicial Settlement Manual'' from ``Judicial Settlement: 
Development of a New Course Module, Film, and Instructional Manual'' 
(National Judicial College: SJI-89-089)
``Judicial Training Materials on Spousal Support'', ``Family 
Violence: Effective Judicial Intervention''; ``Judicial Training 
Materials on Child Custody and Visitation'' from ``Enhancing Gender 
Fairness in the State Courts'' (Women Judges' Fund for Justice: SJI-
89-062)
``Introduction to the Jurisprudence of Victims' Rights'' from 
``Victim Rights and the Judiciary: A Training and Implementation 
Project'' (National Organization for Victim Assistance: SJI-89-083)
``Fundamental Skills Training Curriculum for Juvenile Probation 
Officers'' (National Council of Juvenile and Family Court Judges: 
(SJI-90-017)
``Pre-Bench Training for New Judges'' (American Judicature Society` 
SJI-90-028)
``A Manual for Workshops on Processing Felony Dispositions in 
Limited Jurisdiction Courts'' (National Center for State Courts: 
SJI-90-052)
``The Crucial Nature of Attitudes and Values in Judicial Education'' 
(National Council of Juvenile and Family Court Judges: SJI-90-058)
``Policy Alternatives and Current Court Practices in the Special 
Problem Areas of Jurisdiction Over the Family'' from ``Juvenile and 
Family Court Key Issues Curriculum Enhancement Project'' (National 
Council of Juvenile and Family Court Judges: SJI-90-066)
``Gender Fairness Faculty Development Workshops'' (National Judicial 
College: SJI-90-077)
``A Unified Orientation and Mentoring Program for New Judges of All 
Arizona Trial Courts'' (Arizona Supreme Court: SJI-90-078)
``National Guardianship Monitoring Program'' from ``AARP Volunteers: 
A Resource for State Guardianship Services'' (Association for the 
Advancement of Retired Persons: SJI-91-013)
``Medicine, Ethics, and the Law: Preconception to Birth'' (Women 
Judges Fund for Justice: SJI-89-062, SJI-91-019)
``The Leadership Institute in Judicial Education'' and ``The 
Advanced Leadership Institute in Judicial Education'' (Appalachian 
State University: SJI-91-021)
``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)
``Faculty Development Instructional Program'' from ``Curriculum 
Review'' (National Judicial College: SJI-91-039)
``Legal Institute for Special and Limited Jurisdiction Judges'' 
(National Judicial College: SJI-89-043, SJI-91-040)
``Managerial Budgeting in the Courts''; ``Performance Appraisal in 
the Courts''; ``Managing Changes in the Courts''; all three from 
``Broadening Educational Opportunities for Judges and Other Key 
Court Personnel'' (Institute for Court Management/National Center 
for State Courts: SJI-91-043)
``An Approach to Long-Range Strategic Planning in the Courts'' 
(Center for Public Policy Studies: SJI-91-045)
``Implementing the Court-Related Needs of Older People and Persons 
with Disabilities: An Instructional Guide'' (National Judicial 
College: SJI-91-054)
``National Judicial Response to Domestic Violence: Civil and 
Criminal Curricula'' (Family Violence Prevention Fund: SJI-87-061, 
SJI-89-070, SJI-91-055)
``Access to Justice: The Impartial Jury and the Justice System'' and 
``When Justice is Up to You'' from ``Pre-Juror Education Project'' 
(Consortium of Universities of the Washington Metropolitan Area: 
SJI-91-071)
``Judicial Review of Administrative Agency Decisions'' (National 
Judicial College: SJI-91-080)
``Strengthening Rural Courts of Limited Jurisdiction'' and ``Team 
Training for Judges and Clerks'' from ``Rural Limited Jurisdiction 
Court Curriculum Project'' (Rural Justice Center: SJI-90-014, SJI-
91-082)
``Medical/Legal Issues in Juvenile and Family Courts'' (National 
Council for Juvenile and Family Court Judges: SJI-91-091)
``Good Times, Bad Times: Drugs, Youth, and the Judiciary'' 
(Professional Development and Training Center, Inc.: SJI-91-095)
``Judicial Response to Stranger and Nonstranger Rape and Sexual 
Assault'' (National Judicial Education Program to Promote Equality 
for Women and Men: SJI-92-003)
``Interbranch Relations Workshop'' (Ohio Judicial Conference: SJI-
92-079)
``Legal Institute for Non-Law Trained Judges'' (Arizona Supreme 
Court: SJI-92-146)
``New Employee Orientation Facilitators Guide'' from ``The Minnesota 
Comprehensive Curriculum Design and Training Program for Court 
Personnel'' (Minnesota Supreme Court: SJI-92-155)
``Magistrates Correspondence Course'' (Alaska Court System: SJI-92-
156)
``Southwestern Judges' Conference on Environmental Law'' (University 
of New Mexico: SJI-92-162)
``Cultural Diversity Awareness in Nebraska Courts'' from ``Native 
American Alternatives to Incarceration Project'' (Nebraska Urban 
Indian Health Coalition: SJI-93-028)
``A Videotape Training Program in Ethics and Professional Conduct 
for Nonjudicial Court Personnel'' (American Judicature Society: SJI-
93-068)
``Integrating Trial Management and Caseflow Management'' (Justice 
Management Institute: SJI-93-214)
``Civil and Criminal Procedural Innovations for Appellate Courts'' 
(National Center for State Courts: SJI-94-002)
``Comprehensive ADR Curriculum for Judges'' (American Bar 
Association: SJI-95-002)

BILLING CODE 6820-SC-M

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BILLING CODE 6820-SC-C

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State Justice Institute

Assurances

    The applicant hereby assures and certifies that it possesses legal 
authority to apply for the award, and that if funds are awarded by the 
State Justice Institute pursuant to this application, it will comply 
with all applicable provisions of law and the regulations, policies, 
guidelines and requirements of the Institute as they relate to the 
acceptance and use of Institute funds pursuant to this application. The 
applicant further assures and certifies with respect to this 
application, that:

    1. No person will, 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, and that 
the applicant will immediately take any measures necessary to 
effectuate this assurance.
    2. In accordance with 42 U.S.C. 10706(a), funds awarded to the 
applicant by the Institute will not be used, directly or indirectly, 
to influence the issuance, amendment, or revocation of any Executive 
order or similar promulgation by Federal, State or local agencies, 
or to influence the passage or defeat of any legislation or 
constitutional amendment by any Federal, State or local legislative 
body.
    3. In accordance with 42 U.S.C. 10706(a) and 10707(c):
    a. It will not contribute or make available Institute funds, 
project personnel, or equipment to any political party or 
association, to the campaign of any candidate for public or party 
office, or to influence the passage of defeat of any ballot measure, 
initiative, or referendum;
    b. No officer or employee of the applicant will intentionally 
identify the Institute or the applicant with any partisan or 
nonpartisan political activity or the campaign of any candidate for 
public or party office; and,
    c. No officer or employee of the applicant will engage in 
partisan political activity while engaged in work supported in whole 
or in part by the Institute.
    4. In accordance with 42 U.S.C. 10706(b), no funds awarded by 
the Institute will be used to support or conduct training programs 
for the purpose of advocating particular nonjudicial public policies 
or encouraging nonjudicial political activities.
    5. In accordance with 42 U.S.C. 10706(d), no funds awarded by 
the Institute will be used to supplant State or local funds 
supporting a program or activity; 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 to solely purchase 
equipment for a court system.
    6. It will provide for an annual fiscal audit of the project.
    7. It will give the Institute, through any authorized 
representative, access to and the right to examine all records, 
books, papers, or documents related to the award.
    8. In accordance with 42 U.S.C. 10708(b) (as amended), research 
or statistical information that is furnished during the course of 
the project and that is identifiable to any specific individual, 
shall not be used or revealed for any purpose other than the purpose 
for which it was obtained. Such information and copies thereof shall 
be immune from legal process, and shall not be offered as evidence 
or used for any purpose in any action suit, or other judicial, 
legislative, or administrative proceeding without the consent of the 
person who furnished the information.
    9. All research involving human subjects will 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 of harm to those subjects due to 
their participation.
    10. All products prepared as the result of the project will be 
originally-developed material unless otherwise specifically provided 
for in the award documents, and that material not originally 
developed that is included in such projects must be properly 
identified, whether the material is in a verbatim or extensive 
paraphrase format.
    11. No funds will be obligated for publication or reproduction 
of a final product developed with Institute funds without the 
written approval of the Institute. The recipient will submit a final 
draft of each such product to the Institute for review and approval 
prior to submitting that product for publication or reproduction.
    12. The following statement will be prominently displayed on all 
products prepared as a result of the project:
    This [document, film, videotape, etc.] was developed under a 
[grant, cooperative agreement, contract] from the State Justice 
Institute. Points of review expressed herein are those of the 
[author(s), filmmaker(s), etc.] and do not necessarily represent the 
official position or policies of the State Justice Institute.
    13. The ``SJI'' log will appear on the front cover of a written 
product or in the opening frames of a video production produced with 
SJI funds, unless another placement is approved in writing by the 
Institute.
    14. Except as otherwise provided in the terms and conditions of 
an Institute award, the 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, non-exclusive and irrevocable right to 
reproduce, publish, or other wise use, and to authorize others to 
use, the materials for purposes consistent with the State Justice 
Institute Act.
    15. It will submit quarterly progress and financial reports 
within 30 days of the close of each calendar quarter during the 
funding period (that is, no later than January 30, April 30, July 
30, and October 30); that progress reports will 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; and that financial 
reports will contain the information requested on the financial 
report form included in the award documents.
    16. At the conclusion of the project, title to all expendable 
and nonexpendable personal property purchased with Institute funds 
shall vest in the court, organization or individual that purchased 
the property if certification is made to the Institute that the 
property will continue to be used for the authorized purposes of 
Institute-funded project or other purposes consistent with the State 
Justice Institute Act, as approved by the Institute. 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.
    17. The person signing the application is authorized to do so on 
behalf of the applicant and to obligate the applicant to comply with 
the assurances enumerated above.

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Instructions--Form A

    1. (a)-(g) Legal Name of Applicant court, entity or individual; 
Name of The Organizational Unit, if any, that will conduct the 
project; Complete Address of applicant; Name and telephone number of 
a Contact Person who can provide further information about this 
application.
    2. (a) State or Local Court includes all appellate, general 
jurisdiction, limited jurisdiction, and special jurisdiction courts. 
Agencies of State and local courts include all governmental offices 
that are supervised by or report for administrative purposes to the 
chief or presiding justice or judge, or his or her designee.
    (b) National State Court Support Organization include national 
non-profit organizations controlled by, operating in conjunction 
with, and serving the State courts.
    (c) National State Court Education/Training Organizations 
include national non-profit organizations for the education and 
training of judges and support personnel of the judicial branch of 
State government.
    (d) College or University includes all institutions of higher 
education.
    (e) Other Non-profit Organization or Agency includes those non-
profit organizations and private agencies with expertise in judicial 
administration not included in sub-paragraphs (b)-(d).
    (f) Individual means a person not applying in conjunction with 
or on behalf of an entity identified in one of the other categories.
    (g) Corporation or Partnership includes for-profit and not-for-
profit entities not falling within one of the other categories.
    (h) Other Unit of Government includes any governmental agency, 
office, or organization that is not a State or local court.
    3. Employer Identification Number as assigned by the Internal 
Revenue Service.
    4. (a)-(f) Entity to Receive Funds is the court or organization 
that will receive, administer, and account for any moneys awarded. 
For example, if the applicant is a State or local court, the entity 
to receive funds would be the State's Supreme Court or its 
designated agency or council in accordance with 42 U.S.C. 
10705(b)(4). If the applicant is a special university program, the 
responsible entity may be the university's structure. Applicants 
should complete this block only if the entity that will receive the 
funds is different from the applicant.
    5. (a)-(e) Circle the letter of the Type of activities that best 
characterizes the project. If project funds will be substantially 
divided among two or more activities, circle the letters for each of 
those activities.
    6. (a) New refers to the first award of State Justice Institute 
funds for a particular project, whether or not the applicant has 
received previous awards for different projects from the Institute.
    (b) Supplement refers to the award of additional funds to permit 
an existing project to complete the task originally proposes or to 
augment the scope of the project within the current project period.
    (c) Continuation refers to an extension for an additional 
funding period.
    (d) Ongoing Support refers to an SJI-funded project for which 
there is a continuing important national need.
    7. The Title of the Proposed Project shall reflect the 
objectives of the activities to be conducted.
    8. The Proposed Start Date of the project should be the earliest 
feasible date on which the applicant will be able to begin project 
activities following the date of award. An explanation should be 
provided in the Program Narrative if the proposed start date is more 
than 90 days after the estimated award date set forth in the 
Application Review Procedures section of the current Grant 
Guideline.
    9. Project Duration refers to the number of months the applicant 
estimates will be needed to complete all project tasks after the 
proposed start date.
    10. (a) Insert the Amount Requested from the State Justice 
Institute to conduct the project.
    (b) The Amount of Match is the amount, if any, to be contributed 
to the project by the applicant, by a unit of State or local 
governments, by a Federal agency, or by private sources. See 42 
U.S.C. 10705(d).
    Cash Match refers to funds directly contributed by the 
applicant, a unit of State or local government, a Federal agency, or 
private sources to support the project.
    Non-cash Match refers to in-kind contributions by the applicant, 
a unit of State or local government, or private sources to support 
the project. The applicant should describe in detail, both the value 
it assigns to in-kind contributions and the basis for determining 
that value.
    Total Match refers to the sum of the cash and in-kind 
contributions to the project.
    (c) Total Project Cost represents the sum of the amount 
requested from the Institute and all match contributions to the 
project.
    11. If this application or an application requesting support for 
the same project or an essentially similar project has been 
Previously Submitted to another funding source (Federal or private), 
the name of the source, the date of the previous submission, the 
amount of funding sought, and the disposition (if any) should be 
entered.
    12. Enter the number of the applicant's Congressional District 
and the name of the applicant's Representative and the number of the 
Congressional district(s) in which most of the project activities 
will take place and the name(s) of the Representatives from those 
districts. If the project activities are not site-specific, for 
example a series of training workshops that will bring together 
participants from around the State, the country, or from a 
particular region, enter Statewide, National, or Regional, as 
appropriate, in the space provided.

Instructions--Form B

    The State Justice Institute Act requires that:
    Each application for funding by a State or local court shall be 
approved, consistent with State law, by the State's Supreme Court, 
or its designated agency or council, which shall receive, 
administer, and be accountable for all funds awarded by the 
Institute to such courts. 42 U.S.C. 10705(b)(4).
    FORM B should be signed by the Chief Judge or Chief Justice of 
the State Supreme Court, or by the director of the designated agency 
or chair of the designated council. If the designated agency or 
council differs from the designee listed in Appendix I to the State 
Justice Institute Grant Guideline, evidence of the new or additional 
designation should be attached.
    The term ``State Supreme Court'' refers to the court of last 
resort of a State. ``Designated agency or council'' refers to the 
office or judicial body which is authorized under State law or by 
delegation from the State Supreme Court to approve applications for 
funds and to receive, administer shall be accountable for those 
funds.

Instructions--Forms C and C1

    Applicants may submit the proposed project budgets either in the 
tabular format of Form C or in a spreadsheet format similar to Form 
C1. Applicants requesting more than $100,000 are encouraged to use 
the spreadsheet format. If the proposed project period is for more 
than 12 months, separate totals should be submitted for each 
succeeding twelve-month period or portion thereof beyond 12.
    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 Guidelines section VII.D). If 
the applicant is requesting indirect costs and has an indirect cost 
rate that has been approved by a Federal agency, the basis for that 
rate together with a copy of the letter or other official document 
stating that it has been approved should be attached.
    If funds from other sources have been requested 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.
    COLUMN HEADINGS: For Budget Form C1 columns should be labeled 
consecutively by tasks, e.g., TASK #1, TASK #2, etc. At the end of 
each twelve month period or portion thereof beyond month 12 the 
following four columns must be included: SJI FUNDS; MATCH; OTHER; 
TOTAL. Entries in these columns should include the line-item totals 
by source of funding per the column headings.

[FR Doc. 95-30363 Filed 12-13-95; 8:45 am]
BILLING CODE 6820-SC-M

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