60206 Federal Register / Vol. 75, No. 188 / Wednesday, September 29, 2010 / Notices 

STATE JUSTICE INSTITUTE 

Grant Guideline; Notice 

AGENCY: State Justice Institute. 

ACTION: Grant Guideline for FY 2011. 

SUMMARY: This Guideline sets forth the 

administrative, programmatic, and 

financial requirements attendant to 

Fiscal Year 2011 State Justice Institute 

grants, cooperative agreements, and 

contracts. 

DATES: September 29, 2010. 

FOR FURTHER INFORMATION CONTACT: 

Jonathan Mattiello, Executive Director, 

State Justice Institute, 1650 King St. 

(Suite 600), Alexandria, VA 22314, (703) 

684– 6100 Ext. 210, 

jonathan.mattiello@sji.gov. 

SUPPLEMENTARY INFORMATION: Pursuant 

to the State Justice Institute Act of 1984, 

42 U.S.C. 10701, et seq., as amended, SJI 

is authorized to award grants, 

cooperative agreements, and contracts to 

state and local courts, nonprofit 

organizations, and others for the 

purpose of improving the quality of 

justice in the state courts of the United 

States. 

Final appropriations legislation for 

fiscal year (FY) 2011 is still pending. 

The House, Commerce, Justice and 

Science (CJS) Subcommittee Mark of the 

FY 2011 CJS Appropriations Bill 

provides $6,273,000 for SJI in FY 2011; 

the Senate Appropriations Committee 

CJS Mark provides $6,300,000. 

Regardless of the final amount 

provided to SJI for FY 2011, SJI’s Board 

of Directors intends to solicit grant 

applications for the range of grant 

programs available. 

The following Grant Guideline is 

adopted by the State Justice Institute for 

FY 2011. 

Table of Contents 

I. The Mission of the State Justice Institute 

II. Eligibility for Award 

III. Scope of the Program 

IV. Applications 

V. Application Review Procedures 

VI. Compliance Requirements 

VII. Financial Requirements 

VIII. Grant Adjustments 

• Appendix A Grant Application Forms 

Æ Form A—Application and Application 

Instructions 

Æ Form B—Certificate of State Approval 

and Instructions 

Æ Form C—Project Budget and Instructions 

Æ Form D—Assurances 

Æ Disclosure of Lobbying Activities 

Æ Form E—Disclosure of Lobbying 

Activities 

• Appendix B Scholarship Application 

Forms (Forms S1 and S2) 

I. The Mission of the State Justice 

Institute 

SJI was established by State Justice 

Institute Authorization Act of 1984 (42 

U.S.C. 10701 et seq.) to improve the 

administration of justice in the state 

courts of the United States. Incorporated 

in the State of Virginia as a private, 

nonprofit corporation, SJI is charged, by 

statute, with the responsibility to: 

• Direct a national program of 

financial assistance designed to assure 

that each citizen of the United States is 

provided ready access to a fair and 

effective system of justice; 

• Foster coordination and 

cooperation with the federal judiciary; 

• Promote recognition of the 

importance of the separation of powers 

doctrine to an independent judiciary; 

and 

• Encourage education for judges and 

support personnel of state court systems 

through national and state 

organizations. 

To accomplish these broad objectives, 

SJI is authorized to provide funding 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. SJI is 

supervised by a Board of Directors 

appointed by the President, with the 

advice and 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 can be of the same political 

party. 

Through the award of grants, 

contracts, and cooperative agreements, 

SJI is authorized to perform the 

following activities: 

A. Support technical assistance, 

demonstrations, special projects, 

research 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 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; and, 

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. 

II. Eligibility for Award 

SJI is authorized by Congress to award 

grants, cooperative agreements, and 

contracts to the following entities and 

types of organizations: 

A. State and local courts and their 

agencies (42 U.S.C. 10705(b)(1)(A)). 

B. National nonprofit organizations 

controlled by, operating in conjunction 

with, and serving the judicial branches 

of state governments (42 U.S.C. 

10705(b)(1)(B)). 

C. National nonprofit organizations 

for the education and training of judges 

and support personnel of the judicial 

branch of state governments (42 U.S.C. 

10705(b)(1)(C)). An applicant is 

considered a national education and 

training applicant under section 

10705(b)(1)(C) if: 

1. The principal purpose or activity of 

the applicant is to provide education 

and training to state and local judges 

and court personnel; and 

2. The applicant demonstrates a 

record of substantial experience in the 

field of judicial education and training. 

D. Other eligible grant recipients (42 

U.S.C. 10705(b)(2)(A)–(D)). 

1. Provided that the objectives of the 

project can be served better, the Institute 

is also authorized to make awards to: 

a. Nonprofit organizations with 

expertise in judicial administration; 

b. Institutions of higher education; 

c. Individuals, partnerships, firms, 

corporations (for-profit organizations 

must waive their fees); and 

d. Private agencies with expertise in 

judicial administration. 

2. SJI may also make awards to state 

or local agencies and institutions other 

than courts for services that cannot be 

adequately provided through 

nongovernmental arrangements (42 

U.S.C. 10705(b)(3)). 

E. Inter-agency Agreements. SJI may 

enter into inter-agency agreements with 

federal agencies (42 U.S.C. 10705(b)(4)) 

and private funders to support projects 

consistent with the purposes of the State 

Justice Institute Act. 

III. Scope of the Program 

SJI is offering six types of grants in FY 

2011: Project Grants, Technical 

Assistance (TA) Grants, Curriculum 

Adaptation and Training (CAT) Grants, 

Partner Grants, Strategic Initiative 

Grants and Scholarships. 

A. Project Grants 

Project Grants are intended to support 

innovative education and training, 


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research and evaluation, demonstration, 

and technical assistance projects that 

can improve the administration of 

justice in state courts locally or 

nationwide. Project Grants may 

ordinarily not exceed $300,000. Grant 

periods for Project Grants ordinarily 

may not exceed 36 months. 

Applicants for Project Grants will be 

required to contribute a cash match of 

not less than 50 percent of the total cost 

of the proposed project. In other words, 

grant awards by SJI must be matched at 

least dollar for dollar by grant 

applicants. Applicants may contribute 

the required cash match directly or in 

cooperation with third parties. 

Prospective applicants should carefully 

review Section VI.8. (matching 

requirements) and Section VI.16.a. (nonsupplantation) of the Guideline prior to 

beginning the application process. If 

questions arise, applicants are strongly 

encouraged to consult SJI. 

A temporary reduced cash match 

process is available for state courts 

submitting Project Grant applications. 

The use of this cash match reduction 

authority is intended to help the state 

courts in this climate of severe budget 

reductions. The process requires the 

state court to formally request a reduced 

cash match, and that the request be 

certified by the chief justice of that state. 

The state court must explain in detail 

how it is facing budgetary cutbacks that 

will result in significant reductions in 

other services, and why it will be unable 

to undertake the project without a cash 

match reduction. This must be 

described in detail in the application 

and verified by the chief justice of that 

state. Only state courts may apply for a 

cash match reduction. 

Applicants should examine their 

projected project costs closely, and if 

they are unable to cover half the costs 

of the project, they may apply for a 

reduction in cash match. Applicants are 

strongly encouraged to provide as much 

cash match as possible in their 

application, as some cash match 

contribution is still required. 

Applicants are also encouraged to 

provide the percentage of budget 

reductions in their court(s), and the 

measures that have been taken by the 

jurisdiction/state to handle the budget 

shortfalls in FY 2010 and FY 2011. This 

may include staff reductions, as well as 

reductions in services and programs. 

Some cash contribution is still required 

for Project Grants, and should be 

reflected in the budget proposal for the 

project. For example, if the total cost of 

the proposed project is $100,000, the 

normal cash match would be $50,000. 

However, if the applicant is unable to 

provide $50,000 for the activities, but is 

able to contribute $25,000, the budget 

should show the request to SJI totaling 

$75,000, with the cash match of 

$25,000. This is a temporary program 

only available to the state courts, and it 

will be re-evaluated at the end of FY 

2011. 

As set forth in Section I., SJI is 

authorized to fund projects addressing a 

broad range of program areas. However, 

the Board is likely to favor Project Grant 

applications focused on the Special 

Interest program categories described 

below. Potential applicants are also 

encouraged to bring to the attention of 

SJI innovative projects outside those 

categories. Funding will not be made 

available for the ordinary, routine 

operations of court systems. 

1. Special Interest Program Criteria and 

Categories 

SJI is interested in funding both 

innovative programs and programs of 

proven merit that can be replicated in 

other jurisdictions. SJI is especially 

interested in funding projects that: 

• Formulate new procedures and 

techniques, or creatively enhance 

existing procedures and techniques; 

• Address aspects of the state judicial 

systems that are in special need of 

serious attention; 

• Have national significance by 

developing products, services, and 

techniques that may be used in other 

states; and 

• Create and disseminate products 

that effectively transfer the information 

and ideas developed to relevant 

audiences in state and local judicial 

systems, or provide technical assistance 

to facilitate the adaptation of effective 

programs and procedures in other states 

and local jurisdictions. 

Projects do not have to be in the 

Special Interest Categories given below, 

however, these topics are of special 

interest and such applications get extra 

points in the review process. It should 

be noted, however, that all projects 

impacting the court system will be 

considered. A project will be identified 

as a Special Interest project if it meets 

the four criteria set forth above and it 

falls within the scope of the Boarddesignated Special Interest program 

categories listed below. The order of 

listing does not imply any ranking of 

priorities among the categories. 

a. Immigration Issues in the State Courts 

Recent immigration growth is having 

a significant impact on state and local 

courts. Courts along the Southwest 

Border, and other areas of the United 

States with large immigrant 

populations, are contending with issues 

such as how to provide culturally 

appropriate services; increases in gangcrime cases involving immigrants; and 

the impact of federal and state 

immigration policies on court 

operations. SJI is interested in projects 

that highlight the issues state and local 

courts face in addressing the demands 

of increased immigration, and potential 

solutions to those issues. SJI is also 

interested in judicial education or other 

programs that prepare judges and court 

officials to address immigration issues 

in their courts, and the development of 

plans of action to improve service 

delivery, build community coalitions, 

and accommodate federal and state 

immigration policies. 

b. Courts and the Media 

Recent repeated public attacks on 

courts have gone largely unanswered, 

because judges were unwilling and/or 

courts were unable to respond 

effectively. No one is better prepared 

than a judge to describe decisionmaking on the bench within the law and 

the Constitution. SJI is interested in 

projects that explore the role of judge as 

public commentator within ethical and 

professional bounds. SJI is also 

interested in judicial education or other 

programs that prepare judges and court 

officials to serve as spokesmen in short 

notice, high profile circumstances, 

especially in situations where courts 

lack dedicated press secretaries. Finally, 

SJI is interested in promoting initiatives 

that improve relations between the 

judiciary and the media, since much of 

the recent rancor between the two seems 

based on unfamiliarity with one 

another’s duties, responsibilities, and 

limitations. In particular, SJI is 

interested in proposals that focus on 

cultivating trust and open 

communication between the state courts 

and the media on a day-to-day basis. 

c. Elder Issues 

This category includes research, 

demonstration, evaluation, and 

education projects designed to improve 

management of guardianship, probate, 

fraud, Americans With Disabilities Act, 

and other types of elder-related cases. 

SJI is particularly interested in projects 

that would develop and evaluate 

judicial branch education programs 

addressing elder law and related issues. 

d. Court Budgeting and Reengineering 

Recent economic downturns have 

caused major budgetary issues for many 

states and the state courts. These 

shortfalls have proven very disruptive to 

court staffing, services, technology 

investment, and professional education 

and development. SJI is interested in 

pursuing ‘‘how to’’ projects that focus on 


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‘‘best practices’’ regarding budget 

structure and formulation, sources of 

revenue, inter-branch relations and 

other methods that contribute to 

stabilizing court budgets and improving 

their long-term financial prospects. 

B. Technical Assistance (TA) Grants 

TA Grants are intended to provide 

state or local courts, or regional court 

associations, with sufficient support to 

obtain expert assistance to diagnose a 

problem, develop a response to that 

problem, and implement any needed 

changes. TA Grants may not exceed 

$50,000, and shall only cover the cost of 

obtaining the services of expert 

consultants. Examples of expenses not 

covered by TA Grants include the 

salaries, benefits, or travel of full-or 

part-time court employees. Grant 

periods for TA Grants ordinarily may 

not exceed 24 months. In calculating 

project duration, applicants are 

cautioned to fully consider the time 

required to issue a request for proposals, 

negotiate a contract with the selected 

provider, and execute the project. 

Applicants for TA Grants will be 

required to contribute a total match of 

not less than 50 percent of the grant 

amount requested, of which 20 percent 

must be cash. In other words, an 

applicant seeking a $50,000 TA grant 

must provide a $25,000 match, of which 

up to $20,000 can be in-kind and not 

less than $5,000 must be cash. TA Grant 

application procedures can be found in 

section IV.B. 

C. Curriculum Adaptation and Training 

(CAT) Grants 

CAT Grants are intended to: (1) 

Enable courts and regional or national 

court associations to modify and adapt 

model curricula, course modules, or 

conference programs to meet states’ or 

local jurisdictions’ educational needs; 

train instructors to present portions or 

all of the curricula; and pilot-test them 

to determine their appropriateness, 

quality, and effectiveness, or (2) conduct 

judicial branch education and training 

programs, led by either expert or inhouse personnel, designed to prepare 

judges and court personnel for 

innovations, reforms, and/or new 

technologies recently adopted by 

grantee courts. CAT Grants may not 

exceed $30,000. Grant periods for CAT 

Grants ordinarily may not exceed 12 

months. 

Applicants for CAT Grants will be 

required to contribute a match of not 

less than 50 percent of the grant amount 

requested, of which 20 percent must be 

cash. In other words, an applicant 

seeking a $30,000 CAT grant must 

provide a $15,000 match, of which up 

to $12,000 can be in-kind and not less 

than $3,000 must be cash. CAT Grant 

application procedures can be found in 

section IV.C. 

D. Partner Grants 

Partner Grants are intended to allow 

SJI and federal, state, or local agencies 

or foundations, trusts, or other private 

entities to combine financial resources 

in pursuit of common interests. Though 

many, if not most, Partner Grants will 

fall under the Special Interest program 

categories cited in section III.A., 

proposals addressing other emerging or 

high priority court-related problems will 

be considered on a case-by-case basis. 

SJI and its financial partners may set 

any level for Partner Grants, subject to 

the entire amount of the grant being 

available at the time of the award; 

applicants for Partner Grants may 

request any amount of funding. Grant 

periods for Partner Grants ordinarily 

may not exceed 36 months. 

Partner Grants are subject to the same 

cash match requirement as Project 

Grants. In other words, grant awards by 

SJI must be matched at least dollar-fordollar. Applicants may contribute the 

required cash match directly or in 

cooperation with third parties. Partner 

Grants are coordinated by the funding 

organizations. Partner Grant application 

procedures can be found in section IV.E. 

E. Strategic Initiatives Grants 

The Strategic Initiatives Grants (SIG) 

program provides SJI with the flexibility 

to address national court issues as they 

occur, and develop solutions to those 

problems. This is an innovative 

approach where SJI uses its expertise 

and the expertise and knowledge of its 

grantees to address key issues facing 

state courts across the United States. 

The funding is used for grants or 

contractual services, and any remaining 

balance not used for the SIG program 

will become available for SJI’s other 

grant programs. The program is handled 

at the discretion of the SJI Board of 

Directors and staff outside the normal 

grant application process (i.e., SJI will 

initiate the project) and there is no cash 

match requirement. 

F. Scholarships for Judges and Court 

Managers 

Scholarships are intended to enhance 

the skills, knowledge, and abilities of 

state court judges and court managers by 

enabling them to attend out-of-state, or 

to enroll in online, educational and 

training programs sponsored by national 

and state providers that they could not 

otherwise attend or take online because 

of limited state, local, and personal 

budgets. Scholarships may not exceed 

$1,500. Scholarship application 

procedures can be found in section 

IV.D. 

IV. Applications 

A. Project Grants 

An application for a Project Grant 

must include an application form; 

budget forms (with appropriate 

documentation); a project abstract and 

program narrative; a disclosure of 

lobbying form, when applicable; and 

certain certifications and assurances 

(see below). See Appendix B for the 

Project Grant application forms. 

1. Forms 

a. Application Form (Form A). 

The application form requests basic 

information regarding the proposed 

project, the applicant, and the total 

amount of funding requested from SJI. It 

also requires the signature of an 

individual authorized to certify on 

behalf of the applicant that the 

information contained in the 

application is true and complete; that 

submission of the application has been 

authorized by the applicant; and that if 

funding for the proposed project is 

approved, the applicant will comply 

with the requirements and conditions of 

the award, including the assurances set 

forth in Form D. 

b. Certificate of State Approval (Form B) 

An application from a state or local 

court must include a copy of Form B 

signed by the state’s chief justice or state 

court administrator. 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 

applicable, a cash match reduction has 

been requested, and that if SJI approves 

funding for the project, the court or the 

specified designee will receive, 

administer, and be accountable for the 

awarded funds. 

c. Budget Form (Form C) 

Applicants must submit a Form C. In 

addition, applicants must provide a 

detailed budget narrative providing an 

explanation of the basis for the 

estimates in each budget category (see 

subsection A.4. below). 

If funds from other sources are 

required to conduct the project, either as 

match or to support other aspects of the 

project, the source, current status of the 

request, and anticipated decision date 

must be provided. 

d. Assurances (Form D) 

This form lists the statutory, 

regulatory, and policy requirements 


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with which recipients of Institute funds 

must comply. 

e. Disclosure of Lobbying Activities 

Applicants other than units of state or 

local government are required to 

disclose whether they, or another entity 

that is part of the same organization as 

the applicant, have advocated a position 

before Congress on any issue, and to 

identify the specific subjects of their 

lobbying efforts (see section VI.A.7.). 

2. Project Abstract 

The abstract should highlight the 

purposes, goals, methods, and 

anticipated benefits of the proposed 

project. It should not exceed 1 singlespaced page on 81⁄2 by 11 inch paper. 

3. Program Narrative 

The program narrative for an 

application may not exceed 25 doublespaced pages on 81⁄2 by 11 inch paper. 

Margins must be at least 1 inch, and 

type size must be at least 12-point and 

12 cpi. The pages should be numbered. 

This page limit does not include the 

forms, the abstract, the budget narrative, 

and any appendices containing resumes 

and letters of cooperation or 

endorsement. Additional background 

material should be attached only if it is 

essential to impart a clear 

understanding of the proposed project. 

Numerous and lengthy appendices are 

strongly discouraged. 

The program narrative should address 

the following topics: 

a. Project Objectives 

The applicant should include a clear, 

concise statement of what the proposed 

project is intended to accomplish. In 

stating the objectives of the project, 

applicants should focus on the overall 

programmatic objective (e.g., to enhance 

understanding and skills regarding a 

specific subject, or to determine how a 

certain procedure affects the court and 

litigants) rather than on operational 

objectives (e.g., provide training for 32 

judges and court managers, or review 

data from 300 cases). 

b. Program Areas To Be Covered 

The applicant should note the Special 

Interest criteria and category addressed 

by the proposed project when 

appropriate (see section III.A.), although 

it is not necessary for a project to be in 

a specific Special Interest Category. 

c. Need for the Project 

If the project is to be conducted in any 

specific location(s), the applicant 

should discuss the particular needs of 

the project site(s) to be addressed by the 

project and why those needs are not 

being met through the use of existing 

programs, procedures, services, or other 

resources. 

If the project is not site-specific, the 

applicant should discuss the problems 

that the proposed project would 

address, and why existing programs, 

procedures, services, or other resources 

cannot adequately resolve those 

problems. The discussion should 

include specific references to the 

relevant literature and to the experience 

in the field. 

d. Tasks, Methods and Evaluations 

(1) Tasks and Methods. The applicant 

should delineate the tasks to be 

performed in achieving the project 

objectives and the methods to be used 

for accomplishing each task. For 

example: 

(a) For research and evaluation 

projects, the applicant should include 

the data sources, data collection 

strategies, variables to be examined, and 

analytic procedures to be used for 

conducting the research or evaluation 

and ensuring the validity and general 

applicability of the results. For projects 

involving human subjects, the 

discussion of methods should address 

the procedures for obtaining 

respondents’ informed consent, 

ensuring the respondents’ privacy and 

freedom from risk or harm, and 

protecting others who are not the 

subjects of research but would be 

affected by the research. If the potential 

exists for risk or harm to human 

subjects, a discussion should be 

included that explains the value of the 

proposed research and the methods to 

be used to minimize or eliminate such 

risk. 

(b) For education and training 

projects, the applicant should include 

the adult education techniques to be 

used in designing and presenting the 

program, including the teaching/ 

learning objectives of the educational 

design, the teaching methods to be used, 

and the opportunities for structured 

interaction among the participants; how 

faculty would be recruited, selected, 

and trained; the proposed number and 

length of the conferences, courses, 

seminars, or workshops to be conducted 

and the estimated number of persons 

who would attend them; the materials to 

be provided and how they would be 

developed; and the cost to participants. 

(c) For demonstration projects, the 

applicant should include the 

demonstration sites and the reasons 

they were selected, or if the sites have 

not been chosen, how they would be 

identified and their cooperation 

obtained; and how the program or 

procedures would be implemented and 

monitored. 

(d) For technical assistance projects, 

the applicant should explain the types 

of assistance that would be provided; 

the particular issues and problems for 

which assistance would be provided; 

the type of assistance determined; how 

suitable providers would be selected 

and briefed; and how reports would be 

reviewed. 

(2) Evaluation. Projects should 

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. The evaluation plan should 

be appropriate to the type of project 

proposed. 

e. Project Management 

The applicant should present a 

detailed management plan, including 

the starting and completion date for 

each task; the time commitments to the 

project of key staff and their 

responsibilities regarding each project 

task; and the procedures that would 

ensure that all tasks are performed on 

time, within budget, and at the highest 

level of quality. In preparing the project 

time line, Gantt Chart, or schedule, 

applicants should make certain that all 

project activities, including publication 

or reproduction of project products and 

their initial dissemination, would occur 

within the proposed project period. The 

management plan must also provide for 

the submission of Quarterly Progress 

and Financial Reports within 30 days 

after the close of each calendar quarter 

(i.e., no later than January 30, April 30, 

July 30, and October 30), per section 

VI.A.13. 

Applicants should be aware that SJI is 

unlikely to approve a limited extension 

of the grant period without strong 

justification. Therefore, the management 

plan should be as realistic as possible 

and fully reflect the time commitments 

of the proposed project staff and 

consultants. 

f. Products 

The program narrative in the 

application should contain a description 

of the product(s) to be developed (e.g., 

training curricula and materials, Web 

sites or other electronic multimedia, 

articles, guidelines, manuals, reports, 

handbooks, benchbooks, or books), 

including when they would be 

submitted to SJI. The budget should 

include the cost of producing and 


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disseminating the product to the state 

chief justice, state court administrator, 

and other appropriate judges or court 

personnel. If final products involve 

electronic formats, the applicant should 

indicate how the product would be 

made available to other courts. 

Discussion of this dissemination process 

should occur between the grantee and 

SJI prior to the final selection of the 

dissemination process to be used. 

(1) Dissemination Plan. The 

application must explain how and to 

whom the products would be 

disseminated; describe how they would 

benefit the state courts, including how 

they could be used by judges and court 

personnel; identify development, 

production, and dissemination costs 

covered by the project budget; and 

present the basis on which products and 

services developed or provided under 

the grant would be offered to the court 

community and the public at large (i.e., 

whether products would be distributed 

at no cost to recipients, or if costs are 

involved, the reason for charging 

recipients and the estimated price of the 

product) (see section VI.A.11.b.). 

Ordinarily, applicants should schedule 

all product preparation and distribution 

activities within the project period. 

Applicants proposing to develop 

Web-based products should provide for 

sending a notice and description of the 

document to the appropriate audiences 

to alert them to the availability of the 

Web site or electronic product (i.e., a 

written report with a reference to the 

Web site). 

Three (3) copies of all project 

products should be submitted to SJI, 

along with an electronic version in 

HTML or PDF format. Discussions of 

final product dissemination should be 

conducted with SJI prior to the end of 

the grant period. 

(2) Types of Products and Press 

Releases. The type of product to be 

prepared depends on the nature of the 

project. For example, in most instances, 

the products of a research, evaluation, 

or demonstration project should include 

an article summarizing the project 

findings that is publishable in a journal 

serving the courts community 

nationally, an executive summary that 

would be disseminated to the project’s 

primary audience, or both. Applicants 

proposing to conduct empirical research 

or evaluation projects with national 

import should describe how they would 

make their data available for secondary 

analysis after the grant period (see 

section VI.A.14.a.). 

The curricula and other products 

developed through education and 

training projects should be designed for 

use by others and again by the original 

participants in the course of their 

duties. 

(3) SJI Review. Applicants must 

submit a final draft of all written grant 

products to SJI for review and approval 

at least 30 days before the products are 

submitted for publication or 

reproduction. For products in Web site 

or multimedia format, applicants must 

provide for SJI 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 SJI (see 

section VI.A.11.f.). 

(4) Acknowledgment, Disclaimer, and 

Logo. Applicants must also include in 

all project products a prominent 

acknowledgment that support was 

received from SJI and a disclaimer 

paragraph based on the example 

provided in section VI.A.11.a.2. in the 

Grant Guideline. The ‘‘SJI’’ logo must 

appear on the front cover of a written 

product, or in the opening frames of a 

Web site or other multimedia product, 

unless SJI approves another placement. 

The SJI logo can be downloaded from 

SJI’s Web site: http://www.sji.gov. 

g. Applicant Status 

An applicant that is not a state or 

local court and has not received a grant 

from SJI within the past three years 

should indicate 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 nonprofit organization for the education and 

training of state court judges and 

support personnel (see section II). If the 

applicant is a non-judicial unit of 

federal, state, or local government, it 

must explain whether the proposed 

services could be adequately provided 

by non-governmental entities. 

h. Staff Capability 

The applicant should include a 

summary of the training and experience 

of the key staff members and 

consultants that qualify them for 

conducting and managing the proposed 

project. Resumes of identified staff 

should be attached to the application. If 

one or more key staff members and 

consultants are not known at the time of 

the application, a description of the 

criteria that would be used to select 

persons for these positions should be 

included. The applicant also should 

identify the person who would be 

responsible for managing and reporting 

on the financial aspects of the proposed 

project. 

i. Organizational Capacity 

Applicants that have not received a 

grant from SJI within the past three 

years should include a statement 

describing their capacity to administer 

grant funds, including the financial 

systems used to monitor project 

expenditures (and income, if any), and 

a summary of their past experience in 

administering grants, as well as any 

resources or capabilities that they have 

that would particularly assist in the 

successful completion of the project. 

Unless requested otherwise, an 

applicant that has received a grant from 

SJI within the past three years should 

describe only the changes in its 

organizational capacity, tax status, or 

financial capability that may affect its 

capacity to administer a grant. 

If the applicant is a non-profit 

organization (other than a university), it 

must also provide documentation of its 

501(c) tax-exempt status as determined 

by the Internal Revenue Service and a 

copy of a current certified audit report. 

For purposes of this requirement, 

‘‘current’’ means no earlier than two 

years prior to the present calendar year. 

If a current audit report is not 

available, SJI will require the 

organization to complete a financial 

capability questionnaire, which must be 

signed by a certified public accountant. 

Other applicants may be required to 

provide a current audit report, a 

financial capability questionnaire, or 

both, if specifically requested to do so 

by the Institute. 

j. Statement of Lobbying Activities 

Non-governmental applicants must 

submit SJI’s Disclosure of Lobbying 

Activities Form, which documents 

whether they, or another entity that is 

a part of the same organization as the 

applicant, have advocated a position 

before Congress on any issue, and 

identifies the specific subjects of their 

lobbying efforts (see Appendix A). 

k. Letters of Cooperation or Support 

If the cooperation of courts, 

organizations, agencies, or individuals 

other than the applicant is required to 

conduct the project, the applicant 

should attach written assurances of 

cooperation and availability to the 

application, or send them under 

separate cover. 

4. Budget Narrative 

In addition to Project Grant 

applications, the following section also 

applies to Technical Assistance and 

Curriculum Adaptation and Training 

grant applications. 

The budget narrative should provide 

the basis for the computation of all 


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project-related costs. When the 

proposed project would be partially 

supported by grants from other funding 

sources, applicants should make clear 

what costs would be covered by those 

other grants. Additional background 

information or schedules may be 

attached if they are essential to 

obtaining a clear understanding of the 

proposed budget. Numerous and 

lengthy appendices are strongly 

discouraged. 

The budget narrative should cover the 

costs of all components of the project 

and clearly identify costs attributable to 

the project evaluation. Under OMB 

grant guidelines incorporated by 

reference in this Grant Guideline, grant 

funds may not be used to purchase 

alcoholic beverages. 

a. Justification of Personnel 

Compensation 

The applicant should set forth the 

percentages of time to be devoted by the 

individuals who would staff the 

proposed project, the annual salary of 

each of those persons, and the number 

of work days per year used for 

calculating the percentages of time or 

daily rates of those individuals. The 

applicant should explain any deviations 

from current rates or established written 

organizational policies. No grant funds 

or cash match may be used to pay the 

salary and related costs for a current or 

new employee of a court or other unit 

of government because such funds 

would constitute a supplantation of 

state or local funds in violation of 42 

U.S.C. 10706(d)(1); this includes new 

employees hired specifically for the 

project. The salary and any related costs 

for a current or new employee of a court 

or other unit of government may only be 

accepted as in-kind match. 

b. Fringe Benefit Computation 

For non-governmental entities, the 

applicant should provide a description 

of the fringe benefits provided to 

employees. If percentages are used, the 

authority for such use should be 

presented, as well as a description of the 

elements included in the determination 

of the percentage rate. 

c. Consultant/Contractual Services and 

Honoraria 

The applicant should describe the 

tasks each consultant would perform, 

the estimated total amount to be paid to 

each consultant, the basis for 

compensation rates (e.g., the number of 

days multiplied by the daily consultant 

rates), and the method for selection. 

Rates for consultant services must be set 

in accordance with section VII.I.2.c. 

Prior written SJI approval is required for 

any consultant rate in excess of $800 per 

day; SJI funds may not be used to pay 

a consultant more than $1,100 per day. 

Honorarium payments must be justified 

in the same manner as consultant 

payments. 

d. Travel 

Transportation costs and per diem 

rates must comply with the policies of 

the applicant organization. If the 

applicant does not have an established 

travel policy, then travel rates must be 

consistent with those established by the 

federal government. The budget 

narrative should include an explanation 

of the rate used, including the 

components of the per diem rate and the 

basis for the estimated transportation 

expenses. The purpose of the travel 

should also be included in the narrative. 

e. Equipment 

Grant funds may be used to purchase 

only the equipment necessary to 

demonstrate a new technological 

application in a court or that is 

otherwise essential to accomplishing the 

objectives of the project. In other words, 

grant funds cannot be used strictly for 

the purpose of purchasing equipment. 

Equipment purchases to support basic 

court operations ordinarily will not be 

approved. The applicant should 

describe the equipment to be purchased 

or leased and explain why the 

acquisition of that equipment is 

essential to accomplish the project’s 

goals and objectives. The narrative 

should clearly identify which 

equipment is to be leased and which is 

to be purchased. The method of 

procurement should also be described. 

Purchases of automated data processing 

equipment must comply with section 

VII.I.2.b. 

f. Supplies 

The applicant should provide a 

general description of the supplies 

necessary to accomplish the goals and 

objectives of the grant. In addition, the 

applicant should provide the basis for 

the amount requested for this 

expenditure category. 

g. Construction 

Construction expenses are prohibited 

except for the limited purposes set forth 

in section VI.A.16.b. Any allowable 

construction or renovation expense 

should be described in detail in the 

budget narrative. 

h. Telephone 

Applicants should include 

anticipated telephone charges, 

distinguishing between monthly charges 

and long distance charges in the budget 

narrative. Also, applicants should 

provide the basis used to calculate the 

monthly and long distance estimates. 

i. Postage 

Anticipated postage costs for projectrelated mailings, including distribution 

of the final product(s), should be 

described in the budget narrative. The 

cost of special mailings, such as for a 

survey or for announcing a workshop, 

should be distinguished from routine 

operational mailing costs. The bases for 

all postage estimates should be included 

in the budget narrative. 

j. Printing/Photocopying 

Anticipated costs for printing or 

photocopying project documents, 

reports, and publications should be 

included in the budget narrative, along 

with the bases used to calculate these 

estimates. 

k. Indirect Costs 

Indirect costs are only applicable to 

organizations that are not state courts or 

government agencies. Recoverable 

indirect costs are limited to no more 

than 75 percent of a grantee’s direct 

personnel costs, i.e. salaries plus fringe 

benefits (see section VII.I.4.). 

Applicants should describe the 

indirect cost rates applicable to the 

grant in detail. If costs often included 

within an indirect cost rate are charged 

directly (e.g., a percentage of the time of 

senior managers to supervise project 

activities), the applicant should specify 

that these costs are not included within 

its approved indirect cost rate. These 

rates must be established in accordance 

with section VII.I.4. If the applicant has 

an indirect cost rate or allocation plan 

approved by any federal granting 

agency, a copy of the approved rate 

agreement must be attached to the 

application. 

5. Submission Requirements 

a. Every applicant must submit an 

original and three copies of the 

application package consisting of Form 

A; Form B, if the application is from a 

state or local court, or a Disclosure of 

Lobbying Form (Form E), if the 

applicant is not a unit of state or local 

government; Form C; the Application 

Abstract; the Program Narrative; the 

Budget Narrative; and any necessary 

appendices. 

Letters of application may be 

submitted at any time. However, 

applicants are encouraged to review the 

grant deadlines available on the SJI Web 

site. Receipt of each application will be 

acknowledged by letter or e-mail. 

b. Applicants submitting more than 

one application may include material 


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that would be identical in each 

application in a cover letter. This 

material will be incorporated by 

reference into each application and 

counted against the 25-page limit for the 

program narrative. A copy of the cover 

letter should be attached to each copy 

of the application. 

B. Technical Assistance (TA) Grants 

1. Application Procedures 

Applicants for TA Grants may submit 

an original and three copies of a 

detailed letter describing the proposed 

project, as well as a Form A, ‘‘State 

Justice Institute Application’’ (see 

Appendix B) and Form B, Certificate of 

State Approval from the State Supreme 

Court, or its designated agency and 

Form C, ‘‘Project Budget in Tabular 

Format.’’ Letters from regional court 

associations must be signed by the 

president of the association. 

2. Application Format 

Although there is no prescribed form 

for the letter, or a minimum or 

maximum page limit, letters of 

application should include the 

following information: 

a. Need for Funding. What is the 

critical need facing the applicant? How 

would the proposed technical assistance 

help the applicant meet this critical 

need? Why are state or local resources 

not sufficient to fully support the costs 

of the required consultant services? 

b. Project Description. What tasks 

would the consultant be expected to 

perform, and how would they be 

accomplished? Which organization or 

individual would be hired to provide 

the assistance, and how was this 

consultant selected? If a consultant has 

not yet been identified, what procedures 

and criteria would be used to select the 

consultant (applicants are expected to 

follow their jurisdictions’ normal 

procedures for procuring consultant 

services)? What specific tasks would the 

consultant(s) and court staff undertake? 

What is the schedule for completion of 

each required task and the entire 

project? How would the applicant 

oversee the project and provide 

guidance to the consultant, and who at 

the court or regional court association 

would be responsible for coordinating 

all project tasks and submitting 

quarterly progress and financial status 

reports? 

If the consultant has been identified, 

the applicant should provide a letter 

from that individual or organization 

documenting interest in and availability 

for the project, as well as the 

consultant’s ability to complete the 

assignment within the proposed time 

frame and for the proposed cost. The 

consultant must agree to submit a 

detailed written report to the court and 

SJI upon completion of the technical 

assistance. 

c. Likelihood of Implementation. 

What steps have been or would be taken 

to facilitate implementation of the 

consultant’s recommendations upon 

completion of the technical assistance? 

For example, if the support or 

cooperation of specific court officials or 

committees, other agencies, funding 

bodies, organizations, or a court other 

than the applicant would be needed to 

adopt the changes recommended by the 

consultant and approved by the court, 

how would they be involved in the 

review of the recommendations and 

development of the implementation 

plan? 

3. Budget and Matching State 

Contribution 

Applicants must follow the same 

guidelines provided under Section 

IV.A.4. A completed Form C ‘‘Project 

Budget, Tabular Format’’ and budget 

narrative must be included with the 

letter requesting technical assistance. 

The budget narrative should provide 

the basis for all project-related costs, 

including the basis for determining the 

estimated consultant costs, if 

compensation of the consultant is 

required (e.g., the number of days per 

task times the requested daily 

consultant rate). Applicants should be 

aware that consultant rates above $800 

per day must be approved in advance by 

SJI, and that no consultant will be paid 

more than $1,100 per day from SJI 

funds. In addition, the budget should 

provide for submission of two copies of 

the consultant’s final report to the SJI. 

Recipients of TA Grants do not have 

to submit an audit report but must 

maintain appropriate documentation to 

support expenditures (see section 

VI.A.3.). 

4. Submission Requirements 

Letters of application should be 

submitted according to the grant 

deadlines provided on the SJI Web site. 

If the support or cooperation of 

agencies, funding bodies, organizations, 

or courts other than the applicant would 

be needed in order for the consultant to 

perform the required tasks, written 

assurances of such support or 

cooperation should accompany the 

application letter. Support letters also 

may be submitted under separate cover; 

however, to ensure that there is 

sufficient time to bring them to the 

attention of the Institute’s Board of 

Directors, letters sent under separate 

cover should be received by the same 

date as the technical assistance request 

being supported. 

C. Curriculum Adaptation and Training 

(CAT) Grants 

1. Application Procedures 

In lieu of formal applications, 

applicants should submit an original 

and three photocopies of a detailed 

letter as well as a Form A, ‘‘State Justice 

Institute Application;’’ Form B, 

‘‘Certificate of State Approval;’’ and 

Form C, ‘‘Project Budget, Tabular 

Format’’ (see Appendices). 

2. Application Format 

Although there is no prescribed 

format for the letter, or a minimum or 

maximum page limit, letters of 

application should include the 

following information. 

a. For adaptation of a curriculum: 

(1) Project Description. What is the 

title of the model curriculum to be 

adapted and who originally developed 

it? Why is this education program 

needed at the present time? What are 

the project’s goals? What are the 

learning objectives of the adapted 

curriculum? What program components 

would be implemented, and what types 

of modifications, if any, are anticipated 

in length, format, learning objectives, 

teaching methods, or content? Who 

would be responsible for adapting the 

model curriculum? Who would the 

participants be, how many would there 

be, how would they be recruited, and 

from where would they come (e.g., from 

a single local jurisdiction, from across 

the state, from a multi-state region, from 

across the nation)? 

(2) Need for Funding. Why are 

sufficient state or local resources 

unavailable to fully support the 

modification and presentation of the 

model curriculum? What is the potential 

for replicating or integrating the adapted 

curriculum in the future using state or 

local funds, once it has been 

successfully adapted and tested? 

(3) Likelihood of Implementation. 

What is the proposed timeline, 

including the project start and end 

dates? On what date(s) would the 

judicial branch education program be 

presented? What process would be used 

to modify and present the program? 

Who would serve as faculty, and how 

were they selected? What measures 

would be taken to facilitate subsequent 

presentations of the program? 

Ordinarily, an independent evaluation 

of a curriculum adaptation project is not 

required; however, the results of any 

evaluation should be included in the 

final report. 

(4) Expressions of Interest by Judges 

and/or Court Personnel. Does the 


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proposed program have the support of 

the court system or association 

leadership, and of judges, court 

managers, and judicial branch education 

personnel who are expected to attend? 

Applicants may demonstrate this by 

attaching letters of support. 

b. For training assistance: 

(1) Need for Funding. What is the 

court reform or initiative prompting the 

need for training? How would the 

proposed training help the applicant 

implement planned changes at the 

court? Why are state or local resources 

not sufficient to fully support the costs 

of the required training? 

(2) Project Description. What tasks 

would the trainer(s) be expected to 

perform? Which organization or 

individual would be hired, if in-house 

personnel are not the trainers, to 

provide the training, and how was the 

trainer selected? If a trainer has not yet 

been identified, what procedures and 

criteria would be used to select the 

trainer? What specific tasks would the 

trainer and court staff or regional court 

association members undertake? What 

presentation methods will be used? 

What is the schedule for completion of 

each required task and the entire 

project? How will the applicant oversee 

the project and provide guidance to the 

trainer, and who at the court or 

affiliated with the regional court 

association would be responsible for 

coordinating all project tasks and 

submitting quarterly progress and 

financial status reports? 

If the trainer has been identified, the 

applicant should provide a letter from 

that individual or organization 

documenting interest in and availability 

for the project, as well as the trainer’s 

ability to complete the assignment 

within the proposed time frame and for 

the proposed cost. 

(3) Likelihood of Implementation. 

What steps have been or will be taken 

to coordinate the implementation of the 

new reform, initiative, and the training 

to support the same? For example, if the 

support or cooperation of specific court 

or regional court association officials or 

committees, other agencies, funding 

bodies, organizations, or a court other 

than the applicant would be needed to 

adopt the reform and initiate the 

training proposed, how would they be 

involved in the review of the 

recommendations and development of 

the implementation plan? 

3. Budget and Matching State 

Contribution 

Applicants must also follow the same 

guidelines provided under Section 

IV.A.4. Applicants should attach a copy 

of budget Form C and a budget narrative 

(see subsection A.4. above) that 

describes the basis for the computation 

of all project-related costs and the 

source of the match offered. 

4. Submission Requirements 

For curriculum adaptation requests, 

applicants should allow at least 90 days 

between the Board meeting and the date 

of the proposed program to allow 

sufficient time for needed planning. 

Applicants are encouraged to call SJI to 

discuss concerns about timing of 

submissions. 

D. Partner Grants 

SJI and its funding partners may 

meld, pick and choose, or waive their 

application procedures, grant cycles, or 

grant requirements to expedite the 

award of jointly-funded grants targeted 

at emerging or high priority problems 

confronting state and local courts. SJI 

may solicit brief proposals from 

potential grantees to fellow financial 

partners as a first step. Should SJI be 

chosen as the lead grant manager, 

Project Grant application procedures 

will apply to the proposed Partner 

Grant. As with Project Grants, Partner 

Grants will be targeted at initiatives 

likely to have a significant national 

impact. 

E. Scholarships 

1. Limitations 

Applicants may not receive more than 

one scholarship in a two-year period 

unless the course specifically assumes 

multi-year participation, or the course is 

part of a graduate degree program in 

judicial studies in which the applicant 

is currently enrolled (neither exception 

should be taken as a commitment on the 

part of the Institute’s Board of Directors 

to approve serial scholarships). 

Attendance at annual or mid-year 

meetings or conferences of a state or 

national organization does not qualify as 

an out-of-state educational program for 

scholarship purposes, even though it 

may include workshops or other 

training sessions. 

Scholarship funds may be used only 

to cover the costs of tuition, 

transportation, and reasonable lodging 

expenses (not to exceed the GSA 

approved lodging rate for the location of 

the program, excluding taxes). 

Transportation expenses may include 

round-trip coach airfare or train fare. 

Scholarship recipients are strongly 

encouraged to take advantage of 

excursion or other special airfares (e.g., 

reductions offered when a ticket is 

purchased 21 days in advance of the 

travel date) when making their travel 

arrangements. Recipients who drive to a 

program site may receive the accepted 

GSA rate for mileage up to the amount 

of the advanced-purchase round-trip 

airfare between their homes and the 

program sites. Funds to pay tuition, 

transportation, and lodging expenses in 

excess of $1,500 and other costs of 

attending the program—such as meals, 

materials, transportation to and from 

airports, and local transportation 

(including rental cars)—at the program 

site must be obtained from other sources 

or borne by the scholarship recipient. 

Furthermore, lodging costs for nontraining days must be borne by the 

scholarship recipient, with the 

exception of the day prior to the 

beginning of the training and the last 

day of training. Scholarship applicants 

are encouraged to check other sources of 

financial assistance and to combine aid 

from various sources whenever possible. 

A scholarship is not transferable to 

another individual. It may be used only 

for the course specified in the 

application unless the applicant’s 

request to attend a different course that 

meets the eligibility requirements is 

approved in writing by SJI. 

2. Eligibility Requirements 

a. Recipients. Scholarships can be 

awarded only to full-time judges of state 

or local trial and appellate courts; fulltime professional, state, or local court 

personnel with management and 

supervisory responsibilities; and 

supervisory and management probation 

personnel in judicial branch probation 

offices. Senior judges, part-time judges, 

quasi-judicial hearing officers including 

referees and commissioners, 

administrative law judges, staff 

attorneys, law clerks, line staff, law 

enforcement officers, and other 

executive branch personnel are not 

eligible to receive a scholarship. 

b. Courses. A scholarship can be 

awarded only for: (1) A course 

presented in a state other than the one 

in which the applicant resides or works, 

or (2) an online course. The course must 

be designed to enhance the skills of new 

or experienced judges and court 

managers; or be offered by a recognized 

graduate program for judges or court 

managers. 

Applicants are encouraged not to wait 

for the decision on a scholarship to 

register for an educational program they 

wish to attend. The Institute does not 

submit the names of scholarship 

recipients to educational organizations, 

nor provide the funds to the educational 

organization. Scholarship funds are 

provided as reimbursements to the 

scholarship recipient. 


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3. Forms 

a. Scholarship Application—Form S1 

(Appendix B). The Scholarship 

Application requests basic information 

about the applicant and the educational 

program the applicant would like to 

attend. It also addresses the applicant’s 

commitment to share the skills and 

knowledge gained with local court 

colleagues. The Scholarship Application 

must bear the original signature of the 

applicant. Faxed or photocopied 

signatures will not be accepted. Please 

be sure to indicate whether the state 

will be providing funds for the project 

and, if so, how much. The Institute will 

not supplant state funds for these 

scholarships: it can only provide 

funding above the amount to be covered 

by the state. 

b. Scholarship Application 

Concurrence—Form S2 (Appendix B). 

Judges and court managers applying for 

scholarships must submit the original 

written concurrence of the chief justice 

of the state’s supreme court (or the chief 

justice’s designee) on SJI’s Judicial 

Education Scholarship Concurrence 

form (see Appendix B). The signature of 

the presiding judge of the applicant’s 

court may not be substituted for that of 

the state’s chief justice or the chief 

justice’s designee. The chief justice or 

state court administrator must notify SJI 

of the designees within the state for 

scholarship purposes. 

4. Submission Requirements 

Scholarship applications may be 

submitted at any time but will be 

reviewed on a quarterly basis. This 

means scholarships will be awarded on 

a ‘‘first-come, first-considered’’ basis. 

The dates for applications to be received 

by the Institute for consideration in FY 

2011 are November 1, February 1, May 

1, and August 1. These are not mailing 

deadlines. The applications must be 

received SJI on or before each of these 

dates. No exceptions or extensions will 

be granted. All the required items must 

be received for an application to be 

considered. If the Concurrence form or 

letter of support is sent separately from 

the application, the postmark date of the 

last item sent will be used in 

determining the review date. All 

applications should be sent by mail or 

courier (not fax or e-mail). 

V. Application Review Procedures 

A. Preliminary Inquiries 

SJI staff will answer inquiries 

concerning application procedures. 

B. Selection Criteria 

1. Project Grant Applications 

a. Project Grant applications will be 

rated on the basis of the criteria set forth 

below. SJI will accord the greatest 

weight to the following criteria: 

(1) The soundness of the 

methodology; 

(2) The demonstration of need for the 

project; 

(3) The appropriateness of the 

proposed evaluation design; 

(4) If applicable, the key findings and 

recommendations of the most recent 

evaluation and the proposed responses 

to those findings and recommendations; 

(5) The applicant’s management plan 

and organizational capabilities; 

(6) The qualifications of the project’s 

staff; 

(7) The products and benefits 

resulting from the project, including the 

extent to which the project will have 

long-term benefits for state courts across 

the nation; 

(8) The degree to which the findings, 

procedures, training, technology, or 

other results of the project can be 

transferred to other jurisdictions; 

(9) The reasonableness of the 

proposed budget; and 

(10) The demonstration of cooperation 

and support of other agencies that may 

be affected by the project. 

(11) The proposed project’s 

relationship to one of the Special 

Interest Criteria and Categories set forth 

in section III.A. 

b. In determining which projects to 

support, SJI 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 SJI’s enabling legislation (see 

section II.); the availability of financial 

assistance from other sources for the 

project; the amount of the applicant’s 

match; the extent to which the proposed 

project would also benefit the federal 

courts or help state courts enforce 

federal constitutional and legislative 

requirements; and the level of 

appropriations available to SJI in the 

current year and the amount expected to 

be available in succeeding fiscal years. 

2. Technical Assistance (TA) Grant 

Applications 

TA Grant applications will be rated 

on the basis of the following criteria: 

a. Whether the assistance would 

address a critical need of the applicant; 

b. The soundness of the technical 

assistance approach to the problem; 

c. The qualifications of the 

consultant(s) to be hired or the specific 

criteria that will be used to select the 

consultant(s); 

d. The commitment of the court or 

association to act on the consultant’s 

recommendations; and 

e. The reasonableness of the proposed 

budget. 

SJI also will consider factors such as 

the level and nature of the match that 

would be provided, diversity of subject 

matter, geographic diversity, the level of 

appropriations available to SJI in the 

current year, and the amount expected 

to be available in succeeding fiscal 

years. 

3. Curriculum Adaptation and Training 

(CAT) Grant Applications 

CAT Grant applications will be rated 

on the basis of the following criteria: 

a. For curriculum adaptation projects: 

(1) The goals and objectives of the 

proposed project; 

(2) The need for outside funding to 

support the program; 

(3) The appropriateness of the 

approach in achieving the project’s 

educational objectives; 

(4) The likelihood of effective 

implementation and integration of the 

modified curriculum into ongoing 

educational programming; and 

(5) Expressions of interest by the 

judges and/or court personnel who 

would be directly involved in or 

affected by the project. 

b. For training assistance: 

(1) Whether the training would 

address a critical need of the court or 

association; 

(2) The soundness of the training 

approach to the problem; 

(3) The qualifications of the trainer(s) 

to be hired or the specific criteria that 

will be used to select the trainer(s); 

(4) The commitment of the court or 

association to the training program; and 

(5) The reasonableness of the 

proposed budget. SJI will also consider 

factors such as the reasonableness of the 

amount requested, compliance with 

match requirements, diversity of subject 

matter, geographic diversity, the level of 

appropriations available in the current 

year, and the amount expected to be 

available in succeeding fiscal years. 

4. Partner Grants 

The selection criteria for Partner 

Grants will be driven by the collective 

priorities of SJI and other organizations 

and their collective assessments 

regarding the needs and capabilities of 

court and court-related organizations. 

Having settled on priorities, SJI and its 

financial partners will likely contact the 

courts or court-related organizations 

most acceptable as pilots, laboratories, 

consultants, or the like. 


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5. Scholarships 

Scholarships will be approved only 

for programs that either: (1) Enhance the 

skills of judges and court managers; or 

(2) are part of a graduate degree program 

for judges or court personnel. 

Scholarships will be awarded on the 

basis of: 

a. The date on which the application 

and concurrence (and support letter, if 

required) were sent (‘‘first-come, firstconsidered’’); 

b. The unavailability of state or local 

funds or scholarship funds from another 

source to cover the costs of attending 

the program, or participating online; 

c. The absence of educational 

programs in the applicant’s state 

addressing the topic(s) covered by the 

educational program for which the 

scholarship is being sought; 

d. Geographic balance among the 

recipients; 

e. The balance of scholarships among 

educational providers and programs; 

f. The balance of scholarships among 

the types of courts and court personnel 

(trial judge, appellate judge, trial court 

administrator) represented; and 

g. The level of appropriations 

available to SJI in the current year and 

the amount expected to be available in 

succeeding fiscal years. 

The postmark or courier receipt will 

be used to determine the date on which 

the application form and other required 

items were sent. 

C. Review and Approval Process 

1. Project Grant Applications 

SJI’s Board of Directors will review 

the applications competitively. SJI staff 

will prepare a narrative summary and a 

rating sheet assigning points for each 

relevant selection criterion. Staff will 

present the narrative summaries and 

rating sheets to the Board for its review. 

The Board will review all application 

summaries and decide which projects it 

will fund. The decision to fund a project 

is solely that of the Board of Directors. 

The Chairman of the Board will sign 

approved awards on behalf of the SJI. 

2. Technical Assistance (TA) and 

Curriculum Adaptation and Training 

(CAT) Grant Applications 

Staff will prepare a narrative 

summary of each application and a 

rating sheet assigning points for each 

relevant selection criterion. The Board 

will review the applications 

competitively. 

The Chairman of the Board will sign 

approved awards on behalf of SJI. 

3. Scholarships 

A committee of the Board of Directors 

will review scholarship applications 

quarterly. The Board of Directors has 

delegated its authority to approve 

scholarships to the committee 

established for the program. The 

committee will review the applications 

competitively. In the event of a tie vote, 

the Chairman will serve as the tiebreaker. The Chairman of the Board will 

sign approved awards on behalf of SJI. 

4. Partner Grants 

The Institute’s internal process for the 

review and approval of Partner Grants 

will depend upon negotiations with 

fellow financiers. The Institute may use 

its procedures, a partner’s procedures, a 

mix of both, or entirely unique 

procedures. All Partner Grants will be 

approved by the Board of Directors on 

whatever schedule makes sense at the 

time. 

D. Return Policy 

Unless a specific request is made, 

unsuccessful applications will not be 

returned. Applicants are advised that SJI 

records are subject to the provisions of 

the Federal Freedom of Information Act, 

5 U.S.C. 552. 

E. Notification of Board Decision 

SJI will send written notice to 

applicants concerning all Board 

decisions to approve, defer, or deny 

their respective applications. For all 

applications (except scholarships), if 

requested SJI will convey the key issues 

and questions that arose during the 

review process. A decision by the Board 

to deny an application may not be 

appealed, but it does not prohibit 

resubmission of a proposal based on 

that application in a subsequent funding 

cycle. 

F. Response to Notification of Approval 

With the exception of those approved 

for scholarships, applicants have 30 

days from the date of the letter notifying 

them that the Board has approved their 

application to respond to any revisions 

requested by the Board. If the requested 

revisions (or a reasonable schedule for 

submitting such revisions) have not 

been submitted to SJI within 30 days 

after notification, the approval may be 

rescinded and the application presented 

to the Board for reconsideration. In the 

event an issue will only be resolved 

after award, such as the selection of a 

consultant, the final award document 

will include a Special Condition that 

will require additional grantee reporting 

and SJI review and approval. Special 

Conditions, in the form of incentives or 

sanctions, may also be used in 

situations where past poor performance 

by a grantee necessitates increased grant 

oversight. 

VI. Compliance Requirements 

The State Justice Institute Act 

contains limitations and conditions on 

grants, contracts, and cooperative 

agreements awarded by SJI. The Board 

of Directors has approved additional 

policies governing the use of SJI grant 

funds. These statutory and policy 

requirements are set forth below. 

A. Recipients of Project Grants 

1. Advocacy 

No funds made available by SJI may 

be used to support or conduct training 

programs for the purpose of advocating 

particular non-judicial public policies 

or encouraging non-judicial political 

activities (42 U.S.C. 10706(b)). 

2. Approval of Key Staff 

If the qualifications of an employee or 

consultant assigned to a key project staff 

position are not described in the 

application or if there is a change of a 

person assigned to such a position, the 

recipient must submit a description of 

the qualifications of the newly assigned 

person to SJI. 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 (see 

section VIII.A.7.). 

3. Audit 

Recipients of project grants must 

provide for an annual fiscal audit which 

includes an opinion on whether the 

financial statements of the grantee 

present fairly its financial position and 

its financial operations are in 

accordance with generally accepted 

accounting principles (see section VII.K. 

for the requirements of such audits). 

Scholarship recipients, Curriculum 

Adaptation and Training Grants, and 

Technical Assistance Grants are not 

required to submit an audit, but they 

must maintain appropriate 

documentation to support all 

expenditures (see section VIII.K.). 

4. Budget Revisions 

Budget revisions among direct cost 

categories that: (a) Transfer grant funds 

to an unbudgeted cost category, or (b) 

individually or cumulatively exceed 

five percent of the approved original 

budget or the most recently approved 

revised budget require prior SJI 

approval (see section VIII.A.1.). 

5. Conflict of Interest 

Personnel and other officials 

connected with SJI-funded programs 


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must adhere to the following 

requirements: 

a. No official or employee of a 

recipient court or organization shall 

participate personally through decision, 

approval, disapproval, recommendation, 

the rendering of advice, investigation, or 

otherwise in any proceeding, 

application, request for a ruling or other 

determination, contract, grant, 

cooperative agreement, claim, 

controversy, or other particular matter 

in which SJI funds are used, where, to 

his or her knowledge, he or she or his 

or her immediate family, partners, 

organization other than a public agency 

in which he or she is serving as officer, 

director, trustee, partner, or employee or 

any person or organization with whom 

he or she is negotiating or has any 

arrangement concerning prospective 

employment, has a financial interest. 

b. In the use of SJI project funds, an 

official or employee of a recipient court 

or organization shall avoid any action 

which might result in or create the 

appearance of: 

(1) Using an official position for 

private gain; or 

(2) Affecting adversely the confidence 

of the public in the integrity of the 

Institute program. 

c. Requests for proposals or 

invitations for bids issued by a recipient 

of Institute funds or a subgrantee or 

subcontractor will provide notice to 

prospective bidders that the contractors 

who develop or draft specifications, 

requirements, statements of work, and/ 

or requests for proposals for a proposed 

procurement will be excluded from 

bidding on or submitting a proposal to 

compete for the award of such 

procurement. 

6. Inventions and Patents 

If any patentable items, patent rights, 

processes, or inventions are produced in 

the course of SJI-sponsored work, such 

fact shall be promptly and fully reported 

to the Institute. Unless there is a prior 

agreement between the grantee and SJI 

on disposition of such items, SJI shall 

determine whether protection of the 

invention or discovery shall be sought. 

SJI will also determine how the rights in 

the invention or discovery, including 

rights under any patent issued thereon, 

shall be allocated and administered in 

order to protect the public interest 

consistent with ‘‘Government Patent 

Policy’’ (President’s Memorandum for 

Heads of Executive Departments and 

Agencies, February 18, 1983, and 

statement of Government Patent Policy). 

7. Lobbying 

a. Funds awarded to recipients by SJI 

shall not be used, indirectly or directly, 

to influence Executive Orders or similar 

promulgations by federal, state or local 

agencies, or to influence the passage or 

defeat of any legislation by federal, state 

or local legislative bodies (42 U.S.C. 

10706(a)). 

b. It is the policy of the Board of 

Directors to award funds only to support 

applications submitted by organizations 

that would carry out the objectives of 

their applications in an unbiased 

manner. Consistent with this policy and 

the provisions of 42 U.S.C. 10706, SJI 

will not knowingly award a grant to an 

applicant that has, directly or through 

an entity that is part of the same 

organization as the applicant, advocated 

a position before Congress on the 

specific subject matter of the 

application. 

8. Matching Requirements 

All grantees other than scholarship 

recipients are required to provide a 

match. A match is the portion of project 

costs not borne by the Institute. Match 

includes both cash and in-kind 

contributions. Cash match is the direct 

outlay of funds by the grantee or a third 

party to support the project. In-kind 

match consists of contributions of time 

and/or services of current staff 

members, new employees, space, 

supplies, etc., made to the project by the 

grantee or others (e.g., advisory board 

members) working directly on the 

project or that portion of the grantee’s 

federally-approved indirect cost rate 

that exceeds the Guideline’s limit of 

permitted charges (75 percent of salaries 

and benefits). 

Under normal circumstances, 

allowable match may be incurred only 

during the project period. When 

appropriate, and with the prior written 

permission of SJI, match may be 

incurred from the date of the Board of 

Directors’ approval of an award. The 

amount and nature of required match 

depends on the type of grant (see 

section III.). 

The grantee is responsible for 

ensuring that the total amount of match 

proposed is actually contributed. If a 

proposed contribution is not fully met, 

SJI may reduce the award amount 

accordingly, in order to maintain the 

ratio originally provided for in the 

award agreement (see section VII.E.1.). 

Match should be expended at the same 

rate as SJI funding. 

The Board of Directors looks favorably 

upon any unrequired match contributed 

by applicants when making grant 

decisions. The match requirement may 

be waived in exceptionally rare 

circumstances upon the request of the 

chief justice of the highest court in the 

state or the highest ranking official in 

the requesting organization and 

approval by the Board of Directors (42 

U.S.C. 10705(d)). The Board of Directors 

encourages all applicants to provide the 

maximum amount of cash and in-kind 

match possible, even if a waiver is 

approved. The amount and nature of 

match are criteria in the grant selection 

process (see section V.B.1.b.). 

9. Nondiscrimination 

No person may, on the basis of race, 

sex, national origin, disability, color, or 

creed be excluded from participation in, 

denied the benefits of, or otherwise 

subjected to discrimination under any 

program or activity supported by SJI 

funds. Recipients of SJI funds must 

immediately take any measures 

necessary to effectuate this provision. 

10. Political Activities 

No recipient may contribute or make 

available SJI funds, program personnel, 

or equipment to any political party or 

association, or the campaign of any 

candidate for public or party office. 

Recipients are also prohibited from 

using funds in advocating or opposing 

any ballot measure, initiative, or 

referendum. Officers and employees of 

recipients shall not intentionally 

identify SJI or recipients with any 

partisan or nonpartisan political activity 

associated with a political party or 

association, or the campaign of any 

candidate for public or party office (42 

U.S.C. 10706(a)). 

11. Products 

a. Acknowledgment, Logo, and 

Disclaimer 

(1) Recipients of SJI funds must 

acknowledge prominently on all 

products developed with grant funds 

that support was received from the SJI. 

The ‘‘SJI’’ logo must appear on the front 

cover of a written product, or in the 

opening frames of a multimedia 

product, unless another placement is 

approved in writing by SJI. This 

includes final products printed or 

otherwise reproduced during the grant 

period, as well as re-printings or 

reproductions of those materials 

following the end of the grant period. A 

camera-ready logo sheet is available on 

SJI’s Web site: http://www.sji.gov/forms. 

(2) Recipients also must display the 

following disclaimer on all grant 

products: ‘‘This [document, film, 

videotape, etc.] was developed under 

[grant/cooperative agreement] number 

SJI-[insert number] from the State 

Justice Institute. The points of view 

expressed are those of the [author(s), 

filmmaker(s), etc.] and do not 

necessarily represent the official 


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position or policies of the State Justice 

Institute.’’ 

b. Charges for Grant-Related Products/ 

Recovery of Costs 

(1) When SJI 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 SJI funds 

only partially cover the development, 

production, or dissemination costs, the 

grantee may, with SJI’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 SJI funds or 

grantee matching contributions. 

(2) Applicants should disclose their 

intent to sell grant-related products in 

the application. Grantees must obtain 

the written prior approval of SJI of their 

plans to recover project costs through 

the sale of grant products. Written 

requests to recover costs ordinarily 

should be received during the grant 

period and should specify the nature 

and extent of the costs to be recouped, 

the reason that such costs were not 

budgeted (if the rationale was not 

disclosed in the approved application), 

the number of copies to be sold, the 

intended audience for the products to be 

sold, and the proposed sale price. If the 

product is to be sold for more than $25, 

the written request also should include 

a detailed itemization of costs that will 

be recovered and a certification that the 

costs were not supported by either SJI 

grant funds or grantee matching 

contributions. 

(3) In the event that the sale of grant 

products results in revenues that exceed 

the costs to develop, produce, and 

disseminate the product, the revenue 

must continue to be used for the 

authorized purposes of SJI-funded 

project or other purposes consistent 

with the State Justice Institute Act that 

have been approved by SJI (see section 

VII.G.). 

c. Copyrights 

Except as otherwise provided in the 

terms and conditions of a SJI award, a 

recipient is free to copyright any books, 

publications, or other copyrightable 

materials developed in the course of a 

SJI-supported project, but SJI shall 

reserve a royalty-free, nonexclusive and 

irrevocable right to reproduce, publish, 

or otherwise use, and to authorize 

others to use, the materials for purposes 

consistent with the State Justice 

Institute Act. 

d. Due Date 

All products and, for TA and CAT 

grants, consultant and/or trainer reports 

(see section VI.B.1 & 2) are to be 

completed and distributed (see below) 

not later than the end of the award 

period, not the 90-day close out period. 

The latter is only intended for grantee 

final reporting and to liquidate 

obligations (see section VII.L.). 

e. Distribution 

In addition to the distribution 

specified in the grant application, 

grantees shall send: 

(1) Three (3) copies of each final 

product developed with grant funds to 

SJI, unless the product was developed 

under either a Technical Assistance or 

a Curriculum Adaptation and Training 

Grant, in which case submission of 2 

copies is required; and 

(2) An electronic version of the 

product in HTML or PDF format to SJI. 

f. Institute Approval 

No grant funds may be obligated for 

publication or reproduction of a final 

product developed with grant funds 

without the written approval of SJI. 

Grantees shall submit a final draft of 

each written product to SJI for review 

and approval. The draft must be 

submitted at least 30 days before the 

product is scheduled to be sent for 

publication or reproduction to permit 

SJI review and incorporation of any 

appropriate changes required by SJI. 

Grantees must provide for timely 

reviews by the SJI of Web site or other 

multimedia products at the treatment, 

script, rough cut, and final stages of 

development or their equivalents. 

g. Original Material 

All products prepared as the result of 

SJI-supported projects must be 

originally-developed material unless 

otherwise specified in the award 

documents. Material not originally 

developed that is included in such 

products must be properly identified, 

whether the material is in a verbatim or 

extensive paraphrase format. 

12. Prohibition Against Litigation 

Support 

No funds made available by SJI may 

be used directly or indirectly to support 

legal assistance to parties in litigation, 

including cases involving capital 

punishment. 

13. Reporting Requirements 

a. Recipients of SJI funds other than 

scholarships must submit Quarterly 

Progress and Financial Status Reports 

within 30 days of the close of each 

calendar quarter (that is, no later than 

January 30, April 30, July 30, and 

October 30). The Quarterly Progress 

Reports shall include a narrative 

description of project activities during 

the calendar quarter, the relationship 

between those activities and the task 

schedule and objectives set forth in the 

approved application or an approved 

adjustment thereto, any significant 

problem areas that have developed and 

how they will be resolved, and the 

activities scheduled during the next 

reporting period. Failure to comply with 

the requirements of this provision could 

result in the termination of a grantee’s 

award. 

b. The quarterly Financial Status 

Report must be submitted in accordance 

with section VII.H.2. of this Guideline. 

A final project Progress Report and 

Financial Status Report shall be 

submitted within 90 days after the end 

of the grant period in accordance with 

section VII.L.1. of this Guideline. 

14. Research 

a. Availability of Research Data for 

Secondary Analysis 

Upon request, grantees must make 

available for secondary analysis a 

diskette(s) or data tape(s) containing 

research and evaluation data collected 

under a SJI grant and the accompanying 

code manual. Grantees may recover the 

actual cost of duplicating and mailing or 

otherwise transmitting the data set and 

manual from the person or organization 

requesting the data. Grantees may 

provide the requested data set in the 

format in which it was created and 

analyzed. 

b. Confidentiality of Information 

Except as provided by federal law 

other than the State Justice Institute Act, 

no recipient of financial assistance from 

SJI may use or reveal any research or 

statistical information furnished under 

the Act by any person and identifiable 

to any specific private person for any 

purpose other than the purpose for 

which the information was obtained. 

Such information and copies thereof 

shall be immune from legal process, and 

shall not, without the consent of the 

person furnishing such information, be 

admitted as evidence or used for any 

purpose in any action, suit, or other 

judicial, legislative, or administrative 

proceedings. 

c. Human Subject Protection 

Human subjects are defined as 

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 


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collection technique. 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, SJI must approve 

procedures designed by the grantee to 

provide human subjects with relevant 

information about the research after 

their involvement and to minimize or 

eliminate risk or harm to those subjects 

due to their participation. 

15. State and Local Court Applications 

Each application for funding from a 

state or local court must be approved, 

consistent with state law, by the state 

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)). See section VII.C.2. 

16. Supplantation and Construction 

To ensure that SJI funds are used to 

supplement and improve the operation 

of state courts, rather than to support 

basic court services, SJI funds shall not 

be used for the following purposes: 

a. To supplant state or local funds 

supporting a program or activity (such 

as paying the salary of court employees 

who would be performing their normal 

duties as part of the project, or paying 

rent for space which is part of the 

court’s normal operations); 

b. To construct court facilities or 

structures, except to remodel existing 

facilities or to demonstrate new 

architectural or technological 

techniques, or to provide temporary 

facilities for new personnel or for 

personnel involved in a demonstration 

or experimental program; or 

c. Solely to purchase equipment. 

17. Suspension or Termination of 

Funding 

After providing a recipient reasonable 

notice and opportunity to submit 

written documentation demonstrating 

why fund termination or suspension 

should not occur, SJI may terminate or 

suspend funding of a project that fails 

to comply substantially with the Act, 

the Guideline, or the terms and 

conditions of the award (42 U.S.C. 

10708(a)). 

18. Title to Property 

At the conclusion of the project, title 

to all expendable and nonexpendable 

personal property purchased with SJI 

funds shall vest in the recipient court, 

organization, or individual that 

purchased the property if certification is 

made to and approved by SJI that the 

property will continue to be used for the 

authorized purposes of the Institutefunded project or other purposes 

consistent with the State Justice 

Institute Act. If such certification is not 

made or SJI disapproves such 

certification, title to all such property 

with an aggregate or individual value of 

$1,000 or more shall vest in SJI, which 

will direct the disposition of the 

property. 

B. Recipients of Technical Assistance 

(TA) and Curriculum Adaptation and 

Training (CAT) Grants 

Recipients of TA and CAT Grants 

must comply with the requirements 

listed in section VI.A. (except the 

requirements pertaining to audits in 

subsection A.3. above and product 

dissemination and approval in 

subsection A.11.e. and f. above) and the 

reporting requirements below: 

1. Technical Assistance (TA) Grant 

Reporting Requirements 

Recipients of TA Grants must submit 

to SJI one copy of a final report that 

explains how it intends to act on the 

consultant’s recommendations, as well 

as two copies of the consultant’s written 

report. 

2. Curriculum Adaptation and Training 

(CAT) Grant Reporting Requirements 

Recipients of CAT Grants must submit 

one copy of the agenda or schedule, 

outline of presentations and/or relevant 

instructor’s notes, copies of overhead 

transparencies, power point 

presentations, or other visual aids, 

exercises, case studies and other 

background materials, hypotheticals, 

quizzes, and other materials involving 

the participants, manuals, handbooks, 

conference packets, evaluation forms, 

and suggestions for replicating the 

program, including possible faculty or 

the preferred qualifications or 

experience of those selected as faculty, 

developed under the grant at the 

conclusion of the grant period, along 

with a final report that includes any 

evaluation results and explains how the 

grantee intends to present the 

educational program in the future, as 

well as two copies of the consultant’s or 

trainer’s report. 

C. Scholarship Recipients 

1. Scholarship recipients are 

responsible for disseminating the 

information received from the course to 

their court colleagues locally and, if 

possible, throughout the state 

Recipients also must submit to SJI a 

certificate of attendance at the program 

and a copy of the notice of any 

scholarship funds received from other 

sources. A state or local jurisdiction 

may impose additional requirements on 

scholarship recipients. 

2. To receive the funds authorized by 

a scholarship award, recipients must 

submit a Scholarship Payment Request/ 

Financial Report (Form S3) together 

with a tuition statement from the 

program sponsor, a transportation fare 

receipt (or statement of the driving 

mileage to and from the recipient’s 

home to the site of the educational 

program), and a lodging receipt. 

Scholarship Payment Requests must 

be submitted within 90 days after the 

end of the course, which the recipient 

attended. 

3. Scholarship recipients are 

encouraged to check with their tax 

advisors to determine whether the 

scholarship constitutes taxable income 

under federal and state law. 

D. Partner Grants 

The compliance requirements for 

Partner Grant recipients will depend 

upon the agreements struck between the 

grant financiers and between lead 

financiers and grantees. Should SJI be 

the lead, the compliance requirements 

for Project Grants will apply, unless 

specific arrangements are determined by 

the Partners. 

VII. Financial Requirements 

A. Purpose 

The purpose of this section is to 

establish accounting system 

requirements and offer guidance on 

procedures to assist all grantees, subgrantees, contractors, and other 

organizations in: 

1. Complying with the statutory 

requirements for the award, 

disbursement, and accounting of funds; 

2. Complying with regulatory 

requirements of SJI for the financial 

management and disposition of funds; 

3. Generating financial data to be used 

in planning, managing, and controlling 

projects; and 

4. Facilitating an effective audit of 

funded programs and projects. 

B. References 

Except where inconsistent with 

specific provisions of this Grant 

Guideline, the following circulars are 

applicable to SJI grants and cooperative 

agreements under the same terms and 

conditions that apply to federal 

grantees. The circulars supplement the 

requirements of this section for 

accounting systems and financial 


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record-keeping and provide additional 

guidance on how these requirements 

may be satisfied (circulars may be 

obtained on the OMB Web site at http: 

//www.whitehouse.gov/omb). 

1. Office of Management and Budget (OMB) 

Circular A–21, Cost Principles for 

Educational Institutions. 

2. Office of Management and Budget (OMB) 

Circular A–87, Cost Principles for State 

and Local Governments. 

3. Office of Management and Budget (OMB) 

Circular A–102, Uniform Administrative 

Requirements for Grants-in-Aid to State 

and Local Governments. 

4. Office of Management and Budget (OMB) 

Circular A–110, Grants and Agreements 

with Institutions of Higher Education, 

Hospitals and Other Non-Profit 

Organizations. 

5. Office of Management and Budget (OMB) 

Circular A–122, Cost Principles for Nonprofit Organizations. 

6. Office of Management and Budget (OMB) 

Circular A–133, Audits of States, Local 

Governments and Non-profit 

Organizations. 

C. Supervision and Monitoring 

Responsibilities 

1. Grantee Responsibilities 

All grantees receiving awards from SJI 

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 the State Supreme 

Court 

a. Each application for funding from 

a state or local court must be approved, 

consistent with state law, by the state 

supreme court, or its designated agency 

or council. 

b. The state supreme court or its 

designee shall receive all SJI funds 

awarded to such courts; be responsible 

for assuring proper administration of SJI 

funds; and be responsible for all aspects 

of the project, including proper 

accounting and financial record-keeping 

by the subgrantee. These responsibilities 

include: 

(1) Reviewing Financial Operations. 

The state supreme court or its designee 

should be familiar with, and 

periodically monitor, its sub-grantee’s 

financial operations, records system, 

and procedures. Particular attention 

should be directed to the maintenance 

of current financial data. 

(2) Recording Financial Activities. 

The sub-grantee’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. Sub-grantee 

expenditures should be recorded on the 

books of the state supreme court or 

evidenced by report forms duly filed by 

the sub-grantee. Matching contributions 

provided by sub-grantees should 

likewise be recorded, as should any 

project income resulting from program 

operations. 

(3) Budgeting and Budget Review. The 

state supreme court or its designee 

should ensure that each sub-grantee 

prepares an adequate budget as the basis 

for its award commitment. The state 

supreme court should maintain the 

details of each project budget on file. 

(4) Accounting for Match. The state 

supreme court or its designee will 

ensure that sub-grantees comply with 

the match requirements specified in this 

Grant Guideline (see section VI.A.8.). 

(5) Audit Requirement. The state 

supreme court or its designee is 

required to ensure that sub-grantees 

meet the necessary audit requirements 

set forth by SJI (see sections K. below 

and VI.A.3.). 

(6) Reporting Irregularities. The state 

supreme court, its designees, and its 

sub-grantees are responsible for 

promptly reporting to SJI the nature and 

circumstances surrounding any 

financial irregularities discovered. 

D. Accounting System 

The grantee is responsible for 

establishing and maintaining an 

adequate system of accounting and 

internal controls and for ensuring that 

an adequate system exists for each of its 

sub-grantees and contractors. An 

acceptable and adequate accounting 

system: 

1. Properly accounts for receipt of 

funds under each grant awarded and the 

expenditure of funds for each grant by 

category of expenditure (including 

matching contributions and project 

income); 

2. Assures that expended funds are 

applied to the appropriate budget 

category included within the approved 

grant; 

3. Presents and classifies historical 

costs of the grant as required for 

budgetary and evaluation purposes; 

4. Provides cost and property controls 

to assure optimal use of grant funds; 

5. Is integrated with a system of 

internal controls adequate to safeguard 

the funds and assets covered, check the 

accuracy and reliability of the 

accounting data, promote operational 

efficiency, and assure conformance with 

any general or special conditions of the 

grant; 

6. Meets the prescribed requirements 

for periodic financial reporting of 

operations; and 

7. Provides financial data for 

planning, control, measurement, and 

evaluation of direct and indirect costs. 

E. Total Cost Budgeting and Accounting 

Accounting for all funds awarded by 

SJI must be structured and executed on 

a ‘‘Total Project Cost’’ basis. That is, total 

project costs, including SJI funds, State 

and local matching shares, and any 

other fund sources included in the 

approved project budget serve as the 

foundation for fiscal administration and 

accounting. Grant applications and 

financial reports require budget and cost 

estimates on the basis of total costs. 

1. Timing of Matching Contributions 

Matching contributions should be 

applied at the same time of the 

obligation of SJI funds. Ordinarily, the 

full matching share must be obligated 

during the award period; however, with 

the written permission of SJI, 

contributions made following approval 

of the grant by the Board of Directors, 

but before the beginning of the grant, 

may be counted as match. If a proposed 

cash or in-kind match is not fully met, 

SJI may reduce the award amount 

accordingly to maintain the ratio of 

grant funds to matching funds stated in 

the award agreement. 

2. Records for Match 

All grantees must maintain records 

that clearly show the source, amount, 

and timing of all matching 

contributions. In addition, if a project 

has included, within its approved 

budget, contributions which exceed the 

required matching portion, the grantee 

must maintain records of those 

contributions in the same manner as it 

does SJI 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 

subsection C.2. above). 

F. Maintenance and Retention of 

Records 

All financial records, including 

supporting documents, statistical 

records, and all other information 

pertinent to grants, sub-grants, 

cooperative agreements, or contracts 

under grants, must be retained by each 

organization participating in a project 

for at least three years for purposes of 

examination and audit. State supreme 

courts may impose record retention and 

maintenance requirements in addition 

to those prescribed in this section. 


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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 sub-grant awards, applications, and 

required grantee/sub-grantee financial 

and narrative reports. Personnel and 

payroll records shall include the time 

and attendance reports for all 

individuals reimbursed under a grant, 

sub-grant or contract, whether they are 

employed full-time or part-time. Time 

and effort reports are required for 

consultants. 

2. Retention Period 

The three-year retention period starts 

from the date of the submission of the 

final expenditure report. 

3. Maintenance 

Grantees and sub-grantees 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 sub-grantees are also 

obligated to protect records adequately 

against fire or other damage. When 

records are stored away from the 

grantee’s/sub-grantee’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 sub-grantees must give 

any authorized representative of SJI 

access to and the right to examine all 

records, books, papers, and documents 

related to a SJI grant. 

G. Project-Related Income 

Records of the receipt and disposition 

of project-related income must be 

maintained by the grantee in the same 

manner as required for the project funds 

that gave rise to the income and must be 

reported to SJI (see subsection H.2. 

below). The policies governing the 

disposition of the various types of 

project-related income are listed below. 

1. Interest 

A state and any agency or 

instrumentality of a state, including 

institutions of higher education and 

hospitals, shall not be held accountable 

for interest earned on advances of 

project funds. When funds are awarded 

to sub-grantees through a state, the subgrantees are not held accountable for 

interest earned on advances of project 

funds. Local units of government and 

nonprofit organizations that are grantees 

must refund any interest earned. 

Grantees shall ensure minimum 

balances in their respective grant cash 

accounts. 

2. Royalties 

The grantee/sub-grantee may retain all 

royalties received from copyrights or 

other works developed under projects or 

from patents and inventions, unless the 

terms and conditions of the grant 

provide otherwise. 

3. Registration and Tuition Fees 

Registration and tuition fees may be 

considered as cash match with the prior 

written approval from SJI. Estimates of 

registration and tuition fees, and any 

expenses to be offset by the fees, should 

be included in the application budget 

forms and narrative. 

4. Income from the Sale of Grant 

Products 

If the sale of products occurs during 

the project period, the income may be 

treated as cash match with the prior 

written approval from SJI. 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 SJI 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 VI.A.11.b. 

5. Other 

Other project income shall be treated 

in accordance with disposition 

instructions set forth in the grant’s terms 

and conditions. 

H. Payments and Financial Reporting 

Requirements 

1. Payment of Grant Funds 

The procedures and regulations set 

forth below are applicable to all SJI 

grant funds and grantees. 

a. Request for Reimbursement of 

Funds Grantees will receive funds on a 

U.S. Treasury ‘‘check-issued’’ or 

electronic funds transfer (EFT) basis. 

Upon receipt, review, and approval of a 

Request for Advance or Reimbursement 

by SJI, payment 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 Reimbursement Form R), 

along with the instructions for its 

preparation, and the SF 3881 

Automated Clearing House (ACH/ 

Miscellaneous Payment Enrollment 

Form for EFT) are available on the 

Institute’s Web site: http://www.sji.gov/ 

forms.php. 

b. Termination Reimbursement 

Funding. When a grantee organization 

receiving cash advances from SJI: 

(1) Demonstrates an unwillingness or 

inability to attain program or project 

goals, or to establish procedures that 

will minimize the time elapsing 

between cash advances and 

disbursements, or is unable to adhere to 

guideline requirements or special 

conditions; 

(2) Engages in the improper award 

and administration of sub-grants or 

contracts; or 

(3) Is unable to submit reliable and/ 

or timely reports; SJI 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 U.S. Treasury check or EFT to 

reimburse the grantee for actual cash 

disbursements. In the event the grantee 

continues to be deficient, SJI may 

suspend reimbursement payments until 

the deficiencies are corrected. In 

extreme cases, grants may be 

terminated. 

c. Principle of Minimum Cash on 

Hand. Grantees should request funds 

based upon immediate disbursement 

requirements. Grantees should time 

their requests to ensure that cash on 

hand is the minimum needed for 

disbursements to be made immediately 

or within a few days. 

2. Financial Reporting 

a. General Requirements. To obtain 

financial information concerning the 

use of funds, the Institute requires that 

grantees/sub-grantees submit timely 

reports for review. 

b. Due Dates and Contents. A 

Financial Status Report is required from 

all grantees, other than scholarship 

recipients, for each active quarter on a 

calendar-quarter basis. This report is 

due within 30 days after the close of the 

calendar quarter. It is designed to 

provide financial information relating to 

SJI funds, state and local matching 

shares, project income, and any other 

sources of funds for the project, as well 

as information on obligations and 

outlays. A copy of the Financial Status 

Report, along with instructions for its 

preparation, are provided on the SJI 

Web site. If a grantee requests 

substantial payments for a project prior 

to the completion of a given quarter, SJI 

may request a brief summary of the 

amount requested, by object class, to 

support the Request for Advance or 

Reimbursement. 


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3. Consequences of Non-Compliance 

With Submission Requirement 

Failure of the grantee to submit 

required financial and progress reports 

may result in suspension or termination 

of grant payments. 

I. Allowability of Costs 

1. General 

Except as may be otherwise provided 

in the conditions of a particular grant, 

cost allowability is determined in 

accordance with the principles set forth 

in OMB Circulars A–21, Cost Principles 

Applicable to Grants and Contracts with 

Educational Institutions; A–87, Cost 

Principles for State and Local 

Governments; and A–122, Cost 

Principles for Non-profit Organizations. 

No costs may be recovered to 

liquidate obligations incurred after the 

approved grant period. Circulars may be 

obtained on the OMB Web site at 

http://www.whitehouse.gov/omb. 

2. Costs Requiring Prior Approval 

a. Pre-agreement Costs. The written 

prior approval of the Institute is 

required for costs considered necessary 

but which occur prior to the start date 

of the project period. 

b. Equipment. Grant funds may be 

used to purchase or lease only that 

equipment essential to accomplishing 

the goals and objectives of the project. 

The written prior approval of the 

Institute is required when the amount of 

automated data processing (ADP) 

equipment to be purchased or leased 

exceeds $10,000 or software to be 

purchased exceeds $3,000. 

c. Consultants. The written prior 

approval from SJI is required when the 

rate of compensation to be paid a 

consultant exceeds $800 a day. SJI funds 

may not be used to pay a consultant 

more than $1,100 per day. 

d. Budget Revisions. Budget revisions 

among direct cost categories that (i) 

transfer grant funds to an unbudgeted 

cost category or (ii) individually or 

cumulatively exceed five percent (5%) 

of the approved original budget or the 

most recently approved revised budget 

require prior SJI approval (see section 

VIII.A.1.). 

3. Travel Costs 

Transportation and per diem rates 

must comply with the policies of the 

grantee. If the grantee does not have an 

established written travel policy, then 

travel rates must be consistent with 

those established by the federal 

government. SJI funds may not be used 

to cover the transportation or per diem 

costs of a member of a national 

organization to attend an annual or 

other regular meeting, or conference of 

that organization. 

4. Indirect Costs 

Indirect costs are only applicable to 

organizations that are not state courts or 

government agencies. These are costs of 

an organization that are not readily 

assignable to a particular project but are 

necessary to the operation of the 

organization and the performance of the 

project. The cost of operating and 

maintaining facilities, depreciation, and 

administrative salaries are examples of 

the types of costs that are usually 

treated as indirect costs. Although SJI’s 

policy requires all costs to be budgeted 

directly, it will accept indirect costs if 

a grantee has an indirect cost rate 

approved by a federal agency as set forth 

below. However, recoverable indirect 

costs are limited to no more than 75 

percent of a grantee’s direct personnel 

costs (salaries plus fringe benefits). 

a. Approved Plan Available. (1) A 

copy of an indirect cost rate agreement 

or allocation plan approved for a grantee 

during the preceding two years by any 

federal granting agency on the basis of 

allocation methods substantially in 

accord with those set forth in the 

applicable cost circulars must be 

submitted to SJI. 

(2) Where flat rates are accepted in 

lieu of actual indirect costs, grantees 

may not also charge expenses normally 

included in overhead pools, e.g., 

accounting services, legal services, 

building occupancy and maintenance, 

etc., as direct costs. 

b. Establishment of Indirect Cost 

Rates. To be reimbursed for indirect 

costs, a grantee must first establish an 

appropriate indirect cost rate. To do 

this, the grantee must prepare an 

indirect cost rate proposal and submit it 

to SJI within three months after the start 

of the grant period to assure recovery of 

the full amount of allowable indirect 

costs. The rate must be developed in 

accordance with principles and 

procedures appropriate to the type of 

grantee institution involved as specified 

in the applicable OMB Circular. 

c. No Approved Plan. If an indirect 

cost proposal for recovery of indirect 

costs is not submitted to SJI within three 

months after the start of the grant 

period, indirect costs will be irrevocably 

disallowed for all months prior to the 

month that the indirect cost proposal is 

received. 

J. Procurement and Property 

Management Standards 

1. Procurement Standards 

For state and local governments, SJI 

has adopted the standards set forth in 

Attachment O of OMB Circular A–102. 

Institutions of higher education, 

hospitals, and other non-profit 

organizations will be governed by the 

standards set forth in Attachment O of 

OMB Circular A–110. 

2. Property Management Standards 

The property management standards 

as prescribed in Attachment N of OMB 

Circulars A–102 and A–110 apply to all 

SJI grantees and sub-grantees except as 

provided in section VI.A.18. All 

grantees/sub-grantees are required to be 

prudent in the acquisition and 

management of property with grant 

funds. If suitable property required for 

the successful execution of projects is 

already available within the grantee or 

subgrantee organization, expenditures of 

grant funds for the acquisition of new 

property will be considered 

unnecessary. 

K. Audit Requirements 

1. Implementation 

Each recipient of a Project Grant must 

provide for an annual fiscal audit. This 

requirement also applies to a state or 

local court receiving a sub-grant from 

the state supreme court. The audit may 

be of the entire grantee or sub-grantee 

organization or of the specific project 

funded by the Institute. Audits 

conducted in accordance with the 

Single Audit Act of 1984 and OMB 

Circular A–133, will satisfy the 

requirement for an annual fiscal audit. 

The audit must be conducted by an 

independent Certified Public 

Accountant, or a state or local agency 

authorized to audit government 

agencies. Grantees must send two copies 

of the audit report to the Institute. 

Grantees that receive funds from a 

federal agency and satisfy audit 

requirements of the cognizant federal 

agency must submit two copies of the 

audit report prepared for that federal 

agency to SJI in order to satisfy the 

provisions of this section. 

2. Resolution and Clearance of Audit 

Reports 

Timely action on recommendations 

by responsible management officials is 

an integral part of the effectiveness of an 

audit. Each grantee must have policies 

and procedures for acting on audit 

recommendations by designating 

officials responsible for: (1) Follow-up, 

(2) maintaining a record of the actions 

taken on recommendations and time 

schedules, (3) responding to and acting 

on audit recommendations, and (4) 

submitting periodic reports to SJI on 

recommendations and actions taken. 


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3. Consequences of Non-Resolution of 

Audit Issues 

Ordinarily, SJI will not make a 

subsequent grant award to an applicant 

that has an unresolved audit report 

involving SJI awards. Failure of the 

grantee to resolve audit questions may 

also result in the suspension or 

termination of payments for active SJI 

grants to that organization. 

L. Close-Out of Grants 

1. Grantee Close-Out Requirements 

Within 90 days after the end date of 

the grant or any approved extension 

thereof (see subsection L.2. below), the 

following documents must be submitted 

to SJI by grantees (other than 

scholarship recipients): 

a. Financial Status Report. The final 

report of expenditures must have no 

unliquidated obligations and must 

indicate the exact balance of 

unobligated funds. Any unobligated/ 

unexpended funds will be deobligated 

from the award by SJI. Final payment 

requests for obligations incurred during 

the award period must be submitted to 

the Institute prior to the end of the 90- 

day close-out period. Grantees who have 

drawn down funds in excess of their 

obligations/expenditures, must return 

any unused funds as soon as it is 

determined that the funds are not 

required. In no instance should any 

unused funds remain with the grantee 

beyond the submission date of the final 

Financial Status Report. 

b. Final Progress Report. This report 

should describe the project activities 

during the final calendar quarter of the 

project and the close-out period, 

including to whom project products 

have been disseminated; provide a 

summary of activities during the entire 

project; specify whether all the 

objectives set forth in the approved 

application or an approved adjustment 

have been met and, if any of the 

objectives have not been met, explain 

why not; and discuss what, if anything, 

could have been done differently that 

might have enhanced the impact of the 

project or improved its operation. 

These reporting requirements apply at 

the conclusion of every grant other than 

a scholarship. 

2. Extension of Close-Out Period 

Upon the written request of the 

grantee, SJI 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. 

VIII. Grant Adjustments 

All requests for programmatic or 

budgetary adjustments requiring 

Institute approval must be submitted by 

the project director in a timely manner 

(ordinarily 30 days prior to the 

implementation of the adjustment being 

requested). All requests for changes 

from the approved application will be 

carefully reviewed for both consistency 

with this Grant Guideline and the 

enhancement of grant goals and 

objectives. Failure to submit 

adjustments in a timely manner may 

result in the termination of a grantee’s 

award. 

A. Grant Adjustments Requiring Prior 

Written Approval 

The following grant adjustments 

require the prior written approval of SJI: 

1. Budget revisions among direct cost 

categories that (a) transfer grant funds to 

an unbudgeted cost category or (b) 

individually or cumulatively exceed 

five percent (5%) of the approved 

original budget or the most recently 

approved revised budget (see section 

VII.I.2.d.). 

2. A change in the scope of work to 

be performed or the objectives of the 

project (see subsection D. below). 

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 subsection 

E. below). 

5. Satisfaction of special conditions, if 

required. 

6. A change in or temporary absence 

of the project director (see subsections 

F. and G. below). 

7. The assignment of an employee or 

consultant to a key staff position whose 

qualifications were not described in the 

application, or a change of a person 

assigned to a key project staff position 

(see section VI.A.2.). 

8. A change in or temporary absence 

of the person responsible for managing 

and reporting on the grant’s finances. 

9. A change in the name of the grantee 

organization. 

10. A transfer or contracting out of 

grant-supported activities (see 

subsection H. below). 

11. A transfer of the grant to another 

recipient. 

12. Pre-agreement costs (see section 

VII.I.2.a.). 

13. The purchase of automated data 

processing equipment and software (see 

section VII.I.2.b.). 

14. Consultant rates (see section 

VII.I.2.c.). 

15. A change in the nature or number 

of the products to be prepared or the 

manner in which a product would be 

distributed. 

B. Requests for Grant Adjustments 

All grantees must promptly notify SJI, 

in writing, of events or proposed 

changes that may require adjustments to 

the approved project design. In 

requesting an adjustment, the grantee 

must set forth the reasons and basis for 

the proposed adjustment and any other 

information the program manager 

determines would help SJI’s review. 

C. Notification of Approval/Disapproval 

If the request is approved, the grantee 

will be sent a Grant Adjustment signed 

by the SJI Executive Director. If the 

request is denied, the grantee will be 

sent a written explanation of the reasons 

for the denial. 

D. Changes in the Scope of the Grant 

Major changes in scope, duration, 

training methodology, or other 

significant areas must be approved in 

advance by SJI. A grantee may make 

minor changes in methodology, 

approach, or other aspects of the grant 

to expedite achievement of the grant’s 

objectives with subsequent notification 

to SJI. 

E. Date Changes 

A request to change or extend the 

grant period must be made at least 30 

days in advance of the end date of the 

grant. A revised task plan should 

accompany a request for an 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 VII.L.2.). 

F. Temporary Absence of the Project 

Director 

Whenever an absence of the project 

director is expected to exceed a 

continuous period of one month, the 

plans for the conduct of the project 

director’s duties during such absence 

must be approved in advance by the 

Institute. This information must be 

provided in a letter signed by an 

authorized representative of the grantee/ 

sub-grantee 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 SJI. 


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G. Withdrawal of/Change in Project 

Director 

If the project director relinquishes or 

expects to relinquish active direction of 

the project, SJI must be notified 

immediately. In such cases, if the 

grantee/sub-grantee wishes to terminate 

the project, SJI 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 SJI for review and approval. The 

grant may be terminated if the 

qualifications of the proposed 

individual are not approved in advance 

by the Institute. 

H. Transferring or Contracting Out of 

Grant-Supported Activities 

No principal activity of a grantsupported project may be transferred or 

contracted out to another organization 

without specific prior approval by SJI. 

All such arrangements must be 

formalized in a contract or other written 

agreement between the parties involved. 

Copies of the proposed contract or 

agreement must be submitted for prior 

approval of SJI at the earliest possible 

time. The contract or agreement must 

state, at a minimum, the activities to be 

performed, the time schedule, the 

policies and procedures to be followed, 

the dollar limitation of the agreement, 

and the cost principles to be followed in 

determining what costs, both direct and 

indirect, will be allowed. The contract 

or other written agreement must not 

affect the grantee’s overall responsibility 

for the direction of the project and 

accountability to SJI. 

State Justice Institute Board of 

Directors 

Robert A. Miller, Chairman, Chief Justice 

(ret.), Supreme Court of South Dakota, 

Pierre, SD 

Joseph F. Baca, Vice Chairman, Chief Justice 

(ret.), New Mexico Supreme Court, 

Albuquerque, NM 

Sandra A. O’Connor, Secretary, States 

Attorney of Baltimore County, (ret.), 

Towson, MD 

Keith McNamara, Esq., Executive Committee 

Member, McNamara & McNamara, 

Columbus, OH 

Terrence B. Adamson, Esq., Executive Vice 

President, The National Geographic 

Society, Washington, DC 

Robert N. Baldwin, Executive Vice President 

and General Counsel, National Center for 

State Courts, Richmond, VA 

Sophia H. Hall, Administrative Presiding 

Judge, Circuit Court of Cook County, 

Chicago, IL 

Tommy Jewell, Presiding Children’s Court 

Judge (ret.), Albuquerque, NM 

Arthur A. McGiverin, Chief Justice (ret.), 

Iowa Supreme Court, Ottumwa, IA 

Jonathan D. Mattiello, Executive Director (ex 

officio) 

Dated: September 22, 2010. 

Jonathan D. Mattiello, 

Executive Director. 


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STATE JUSTICE INSTITUTE 

INSTRUCTIONS FOR APPLICATION 

FORM A 

1. Legal name of applicant (court, entity 

or individual); name of the 

organizational unit, if any, that will 

conduct the project; complete 

address of the applicant, including 

phone and fax numbers and Web 

site addresses; and name, phone 

number, title, and e-mail address of 

a contact person who can provide 

further information about this 

application. 

2. Type of Applicant: 

a. State court includes all appellate, 

general jurisdiction, limited 

jurisdiction, and special 

jurisdiction courts, as well as all 

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 organizations operating 

in conjunction with a state court 

include national non-profit 

organization controlled by, 

operating in conjunction with, and 

serving state courts. 

c. National state court support 

organization include national nonprofit organizations with primary 

mission of supporting, serving, or 

educating judges and other 

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 

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. The proposed start date of the project 

should be the earliest feasible date 

on which applicant will be able to 

begin project activities following 


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the date of award (example: 08/01/ 

2007). 

4. Project duration refers to the number 

of months the applicant estimates 

will be needed to complete all 

project tasks after the proposed start 

date. 

5. The applicant financial contact is the 

court or organization employee that 

will administer and account for any 

funding awarded. 

6. If this application, or an application 

requesting support for the same 

project or a similar project, has been 

previously submitted to another 

funding source (federal or private), 

enter the name of the source, the 

date of submission, the amount of 

funding sought, and the disposition 

(if any) or current status. 

7. Requested funding: 

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, a unit 

of state or local government, or 

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, 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. 

c. Total match refers to the sum of the 

cash and in-kind contributions to 

the project. 

d. Other cash refers to other funds 

that may not serve as a match but 

can be used for a project. 

e. Total project cost represents the 

sum of the amount requested from 

SJI and all other contributions to 

the project. 

8. The title of the proposed project 

should reflect the objectives of the 

activities to be conducted. 

9. Enter the name of the applicant’s 

Congressional Representative and 

the number of the applicant’s 

Congressional district, along with 

the number of the Congressional 

district(s) in which most of the 

project activities will take place and 

the name(s) of the Representative(s) 

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. 

10. Signature and title of a duly 

authorized representative of the 

applicant and the date the 

application was signed. For 

applications from state and local 

courts, Form B, Certificate of State 

Approval, must be attached. 

STATE JUSTICE INSTITUTE 

Certificate of State Approval 

The llllllllllllllll

Name of State Supreme 

Court or Designated 

Agency or Council 

has reviewed the application entitled 

lllllllllllllllllll

prepared by llllllllllll

Name of Applicant 

approves its submission to the State 

Justice Institute, and 

[ ] agrees to receive and administer 

and be accountable for all funds 

awarded by SJI pursuant to the 

application; 

[ ] hereby requests consideration of a 

reduction in cash match as 

requested by the applicant (NOTE: 

only applicable to Project Grant 

applications); 

[ ] designates 

lllllllllllllllllll

Name of Trial 

or Appellate 

Court or Agency 

as the entity to receive, administer, 

and be accountable for all funds 

awarded by SJI pursuant to the 

application. 

lllllllllllllllllll

Signature 

lllllllllllllllllll

Name 

lllllllllllllllllll

Title 

lllllllllllllllllll

Date 

Form B 09/09 

INSTRUCTIONS 

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 SJI 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. 

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 grant 

funding and to receive, administer, and 

be accountable for that funding. 

Form B 09/09 


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Application Budget Instructions 

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 months. 

However, a grand total project budget 

must also be included for multi-year 

projects. In addition to Form C, 

applicants must provide a detailed 

budget narrative that explains the basis 

for the estimates in each budget 

category. 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. 

Recoverable indirect costs are limited to 

no more than 75 percent of personnel 

and fringe benefit costs. If matching 

funds from other sources are being 

sought, the source, current status of the 

request, and anticipated decision date 

must be provided. 

STATE JUSTICE INSTITUTE 

ASSURANCES 

The applicant hereby assures and 

certifies that it possesses legal authority 

to apply for the grant, 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 

SJI as they relate to the acceptance and 

use of SJI 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 SJI 

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 SJI 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 SJI 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 or defeat of any 

ballot measure, initiative, or 

referendum; 

b. No officer or employee of the 

applicant will intentionally identify SJI 

or 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 SJI. 

4. In accordance with 42 U.S.C. 

10706(b), no funds awarded by SJI will 

be used to support or conduct training 

programs for the purpose of advocating 

particular non-judicial public policies 

or encouraging non-judicial political 

activities. 

5. In accordance with 42 U.S.C. 

10706(d), no funds awarded by SJI 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 SJI, 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 


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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, SJI must 

approve procedures designed by the 

grantee to provide human subjects with 

relevant information about the research 

after their involvement and to minimize 

or eliminate risk or harm to those 

subjects due to their participation. 

10. All products prepared as the result 

of the project will be originallydeveloped 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 SJI. The 

recipient will submit a final draft of 

each such product to SJI 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, Web site, film, videotape, 

etc.] was developed under a [grant, 

cooperative agreement, contract] from 

the State Justice Institute. Points of view 

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’’ logo 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 SJI. 

14. Except as otherwise provided in 

the terms and conditions of a SJI award, 

the recipient is free to copyright any 

books, publications, or other 

copyrightable materials developed in 

the course of a SJI-supported project, 

but SJI 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. 

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 

the 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 required. 

16. At the conclusion of the project, 

title to all expendable and nonexpendable personal property 

purchased with SJI funds shall vest in 

the court, organization, or individual 

that purchased the property if 

certification is made to SJI that the 

property will continue to be used for the 

authorized purposes of a SJI-funded 

project or other purposes consistent 

with the State Justice Institute Act, as 

approved by SJI. If such certification is 

not made or SJI disapproves such 

certification, title to all such property 

with an aggregate or individual value of 

$1,000 or more shall vest in SJI, 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. 

Form D 10/08 

DISCLOSURE OF LOBBYING 

ACTIVITIES 

The State Justice Institute Act 

prohibits grantees from using funds 

awarded by SJI to directly or indirectly 

influence the passage or defeat of any 

legislation by Federal, state of local 

legislative bodies (42 U.S.C. 10706 (a)). 

It also is the policy of SJI to award funds 

only to support applications submitted 

by organizations that would carry out 

the objectives of their applications in an 

unbiased manner. 

Consistent with this policy and the 

provisions of 42 U.S.C. 10706 (a), SJI 

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. As a means of 

implementing that prohibition, SJI 

requires organizations submitting 

applications to SJI 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. This form must be submitted 

with your application. 

Name of Applicant: lllllllll

lllllllllllllllllll

Title of Application: lllllllll

lllllllllllllllllll

b Yes b No Has the applicant (or 

an entity that is part of the same 

organization as the applicant) directly or 

indirectly advocated a position before 

Congress on any issue within the past 

five years? 

SPECIFIC SUBJECTS OF LOBBYING 

EFFORTS 

If you answered YES above, please list 

the specific subjects on which your 

organization (or another entity that is 

part of your organization) has directly or 

indirectly advocated a position before 

Congress within the past five years. If 

necessary, you may continue on the 

back of this form or on an attached 

sheet. 

Subject Year 

lllllllllllllll lll 

lllllllllllllll lll 

lllllllllllllll lll 

lllllllllllllll lll 

lllllllllllllll lll 

lllllllllllllll lll 

STATEMENT OF VERIFICATION 

I declare under penalty of perjury that 

the information contained in this 

disclosure statement is correct and that 

I am authorized to make this verification 

on behalf of the applicant. 

Signature llllllllllllll

Name lllllllllllllll

Title llllllllllllllll

Date llllllllllllllll

Form E 10/07 

BILLING CODE P 


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[FR Doc. 2010–24271 Filed 9–28–10; 8:45 am] 

BILLING CODE C 


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