[Federal Register: October 14, 2004 (Volume 69, Number 198)]
[Notices]
[Page 61087-61126]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
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Part II
State Justice Institute
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Grant Guideline; Notice
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STATE JUSTICE INSTITUTE
Grant Guideline
AGENCY: State Justice Institute.
ACTION: Proposed grant Guideline.
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SUMMARY: This Guideline sets forth the administrative, programmatic,
and financial requirements attendant to Fiscal Year 2005 State Justice
Institute grants, cooperative agreements, and contracts.
DATES: The Institute invites public comment on the Guideline until
November 15, 2004.
ADDRESSES: Comments should be mailed to the State Justice Institute,
1650 King St. (Suite 600), Alexandria, VA 22314 or e-mailed to
kschwartz@statejustice.org.
FOR FURTHER INFORMATION CONTACT: David I. Tevelin, Executive Director,
or Kathy Schwartz, Deputy Director, State Justice Institute, 1650 King
St. (Suite 600), Alexandria, VA 22314, (703) 684-6100.
SUPPLEMENTARY INFORMATION: Pursuant to the State Justice Institute Act
of 1984, 42 U.S.C. 10701 et seq., as amended, the Institute is
authorized to award grants, cooperative agreements, and contracts to
State and local courts, nonprofit organizations, and others for the
purpose of improving the quality of justice in the State courts of the
United States.
Pending appropriations legislation passed by the House (HR 4754)
would appropriate $2.227 million to SJI in FY 2005; the Senate
Appropriations Committee proposes to appropriate $3 million. An
Interagency Agreement (IAA) with the Department of Justice's Office on
Violence Against Women will provide up to $420,000 to support projects
aimed at educating judges about rape and sexual assault. Other sources
of funds available to SJI in FY 2005 are expected to include an IAA
with the Department of Justice's Bureau of Justice Assistance, under
which up to $4 million may be transferred to SJI to support several
specific projects, and amounts deobligated from expired grants, which
are not expected to exceed $100,000.
After deducting the Institute's modest administrative expenses, and
amounts allocated for SJI's three small grant programs--Technical
Assistance ($300,000), Judicial Branch Education Technical Assistance
($100,000) and Scholarships ($200,000)--SJI anticipates that little, if
any, money will be available in FY 2005 to support Project Grants other
than those within the scope of the IAA's noted above and continuations
of existing Project Grants. As a result, the Institute's Board of
Directors proposes to dedicate the amount available for Project Grants
this fiscal year to continuing the most important Project Grants
currently assisting courts nationwide. To the extent that additional
funding becomes available over the course of the fiscal year, the Board
of Directors may identify other projects of interest and invite
selected applicants to apply for grants to carry them out. If
additional funding does not become available, SJI proposes to award no
new Project Grants in FY 2005 other than those that may be awarded
within the scope of the Interagency Agreements noted above.
The Board of Directors invites comment on this approach as well as
other possible approaches that would maximize the potential benefit of
the limited grant funds available to SJI.
Types of Grants Available and Funding Schedules
SJI proposes to offer four types of grants in FY 2005: Continuation
Grants, Technical Assistance (TA) Grants, Judicial Branch Education
Technical Assistance (JBE TA) grants, and Scholarships. As noted above,
to the extent sufficient additional funding becomes available, the
Institute may also offer selected applicants the opportunity to apply
for new Project Grants.
Continuation Grants. Continuation Grants (see sections II.A.,
III.D., V.B.1., and VI.A.) are intended to enhance the specific program
or service begun during an earlier Project Grant period. An applicant
for a Continuation Grant must submit a letter notifying the Institute
of its intent to seek such funding no later than 120 days before the
end of the current grant period. The Institute will then notify the
applicant of the deadline for its Continuation Grant application.
Technical Assistance Grants. Section II.B. reserves up to $300,000
for Technical Assistance Grants. Under this program, a State or local
court or court association may receive a grant of up to $30,000 to
engage outside experts to provide technical assistance to diagnose,
develop, and implement a response to a jurisdiction's problems. Court
associations' eligibility for TA grants is new this fiscal year.
Letters of application for a Technical Assistance Grant may be
submitted at any time. Applicants submitting letters by January 7,
2005, will be notified by April 8, 2005; those submitting letters
between January 8 and February 25, 2005, will be notified by June 10,
2005; those submitting letters between February 26 and June 3, 2005,
will be notified by August 19, 2005; and those submitting letters
between June 4 and September 23, 2005, will be notified of the Board's
decision by December 2, 2005. See section VI.B. for Technical
Assistance Grant application procedures.
Judicial Branch Education Technical Assistance Grants. Section
II.C. of the Guideline allocates up to $100,000 for grants under the
JBE TA grant program this year. Grants of up to $20,000 are available
to: (1) Enable a State or local court to adapt and deliver an education
program that was previously developed and evaluated under an SJI
project grant (i.e., curriculum adaptation); and/or (2) support expert
consultation in planning, developing, and administering State judicial
branch education programs.
Letters requesting JBE TA Grants may be submitted at any time. The
grant cycles for JBE TA Grants are the same as the grant cycles for TA
Grants:
Applicants submitting letters by January 7, 2005, will be notified
by April 8, 2005; those submitting letters between January 8 and
February 25, 2005, will be notified by June 10, 2005; those submitting
letters between February 26 and June 3, 2005, will be notified by
August 19, 2005; and those submitting letters between June 4 and
September 23, 2005, will be notified of the Board's decision by
December 2, 2005. See section VI.C. for JBE TA Grant application
procedures.
Scholarships. Section II.D. of the Guideline allocates up to
$200,000 of FY 2005 funds for scholarships to enable judges and court
managers to attend out-of-State education and training programs. A
scholarship of up to $1,500 may be awarded to pay for a recipient's
tuition, travel, and lodging costs.
Scholarships for eligible applicants are approved largely on a
``first come, first served'' basis, although the Institute may approve
or disapprove scholarship requests in order to achieve appropriate
balances on the basis of geography, program provider, and type of court
or applicant (e.g., trial judge, appellate judge, trial court
administrator). Scholarships will be approved only for programs that
either (1) enhance the skills of judges and court managers; or (2) are
part of a graduate degree program for judges or court personnel.
The Proposed Guideline would also limit recipients to no more than
one scholarship in a three-year period.
Applicants interested in obtaining a scholarship for a program
beginning between January 1 and March 31, 2005, must submit their
applications and documents between October 4 and
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November 29, 2004. For programs beginning between April 1 and June 30,
2005, applicants must submit their applications and documents between
January 3 and February 28, 2005. For programs beginning between July 1
and September 30, 2005, the applications and documents must be
submitted between April 1 and May 27, 2005. For programs beginning
between October 1 and December 31, 2005, the applications and documents
must be submitted between July 5 and August 29, 2005. For programs
beginning between January 1 and March 31, 2006, the applications and
documents must be submitted between October 3 and November 28, 2005.
See section VI.D. for scholarship application procedures.
Project Grants. If additional funds become available in FY 2005,
the Institute may invite applications for Project Grants to support
innovative education, research, demonstration, and technical assistance
projects that can improve the administration of justice in State courts
nationwide. SJI may also invite applications for ``think piece''
Project Grants to support the development of essays of publishable
quality that explore emerging issues that could result in significant
changes in court processes or judicial administration. ``Think pieces''
are limited to no more than $10,000. SJI will inform potential
applicants of the application requirements for these grants in their
invitation letters.
Matching Requirements
With the exception of JBE TA grantees, other grantees that can
demonstrate a financial hardship, and scholarship recipients, all
grantees must provide match, including cash match, for any Institute
grant. The matching requirements are summarized in sections III.L. and
VIII.A.8. of the Guideline.
The following Grant Guideline is proposed by the State Justice
Institute for FY 2005:
Table of Contents
I. The Mission of the State Justice Institute
II. Scope of the Program
III. Definitions
IV. Eligibility for Award
V. Types of Projects and Grants; Size of Awards
VI. Applications
VII. Application Review Procedures
VIII. Compliance Requirements
IX. Financial Requirements
X. Grant Adjustments
Appendix A--SJI Libraries: Designated Sites and Contacts
Appendix B--Illustrative List of Technical Assistance Grants
Appendix C--Illustrative List of Model Curricula
Appendix D--Grant Application Forms (Forms A, B, C, C1, D, and
Disclosure of Lobbying Activities)
Appendix E--Line-Item Budget Form (Form E)
Appendix F--Scholarship Application Forms (Forms S1 and S2)
I. The Mission of the State Justice Institute
The Institute was established by Pub. L. 98-620 to improve the
administration of justice in the State courts of the United States.
Incorporated in the State of Virginia as a private, nonprofit
corporation, the Institute is charged, by statute, with the
responsibility to:
Direct a national program of financial assistance designed
to assure that each citizen of the United States is provided ready
access to a fair and effective system of justice;
Foster coordination and cooperation with the Federal
judiciary;
Promote recognition of the importance of the separation of
powers doctrine to an independent judiciary; and
Encourage education for judges and support personnel of
State court systems through national and State organizations, including
universities.
To accomplish these broad objectives, the Institute is authorized
to provide funds to State courts, national organizations which support
and are supported by State courts, national judicial education
organizations, and other organizations that can assist in improving the
quality of justice in the State courts.
The Institute is supervised by a Board of Directors appointed by
the President, with the consent of the Senate. The Board is statutorily
composed of six judges; a State court administrator; and four members
of the public, no more than two of whom can be of the same political
party.
Through the award of grants, contracts, and cooperative agreements,
the Institute is authorized to perform the following activities:
A. Support research, demonstrations, special projects, technical
assistance, and training to improve the administration of justice in
the State courts;
B. Provide for the preparation, publication, and dissemination of
information regarding State judicial systems;
C. Participate in joint projects with Federal agencies and other
private grantors;
D. Evaluate or provide for the evaluation of programs and projects
funded by the Institute to determine their impact upon the quality of
criminal, civil, and juvenile justice and the extent to which they have
contributed to improving the quality of justice in the State courts;
E. Encourage and assist in furthering judicial education;
F. Encourage, assist, and serve in a consulting capacity to State
and local justice system agencies in the development, maintenance, and
coordination of criminal, civil, and juvenile justice programs and
services; and
G. Be responsible for the certification of national programs that
are intended to aid and improve State judicial systems.
II. Scope of the Program
As set forth in Section I., the Institute is authorized to fund
projects addressing a broad range of program areas. However, during FY
2005, the Institute will consider funding only the following:
A. Continuation Grants
This category includes critical SJI-supported Project Grants of
proven merit to courts nationwide. These projects must have:
1. Developed products, services, and techniques that may be used in
States across the country; and
2. Created and disseminated products that effectively transfer the
information and ideas developed to relevant audiences in State and
local judicial systems, or provide technical assistance to facilitate
the adaptation of effective programs and procedures in other State and
local jurisdictions.
The application procedures for Continuation Grants may be found in
section VI.A.
B. Technical Assistance Grants
The Board is reserving up to $300,000 to support the provision of
technical assistance to State and local courts and court associations.
The program is designed to provide State and local courts with
sufficient support to obtain technical assistance to diagnose a
problem, develop a response to that problem, and implement any needed
changes. The Institute will reserve sufficient funds each quarter to
assure the availability of Technical Assistance Grants throughout the
year.
Technical Assistance Grants are limited to no more than $30,000
each, and may cover the cost of obtaining the services of expert
consultants; travel by a team of officials from one court to examine a
practice, program, or facility in another jurisdiction that the
applicant court is interested in
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replicating; or both. Normally, the technical assistance must be
completed within 12 months after the start date of the grant.
Only a State or local court or court association may apply for a
Technical Assistance grant. The application procedures may be found in
section VI.B.
C. Judicial Branch Education Technical Assistance Projects
The Board is reserving up to $100,000 to support technical
assistance and on-site consultation in planning, developing, and
administering comprehensive and specialized State judicial branch
education programs, as well as the adaptation of model curricula
previously developed with SJI funds. Judicial Branch Education
Technical Assistance Grants are limited to no more than $20,000 each.
The goals of the Judicial Branch Education Technical Assistance
Program (JBE TA) in FY 2005 are to:
1. Provide State and local courts and court associations with the
opportunity to access expert strategic assistance to enable them to
maintain judicial branch education programming during the current
budget crisis; and
2. Enable courts and court associations to modify a model
curriculum, course module, or conference program developed with SJI
funds to meet a particular State's or local jurisdiction's educational
needs; train instructors to present portions or all of the curriculum;
and pilot-test it to determine its appropriateness, quality, and
effectiveness. An illustrative but non-inclusive list of the curricula
that may be appropriate for adaptation is contained in Appendix C.
Only State or local courts or court associations may apply for JBE
TA funding. Application procedures may be found in section VI.C.
Applicants are not required to contribute cash match to JBE TA grants.
D. Scholarships for Judges and Court Managers
The Institute is reserving up to $200,000 to support a scholarship
program for State judges and court managers. The purposes of the
scholarship program are to:
1. Enhance the skills, knowledge, and abilities of judges and court
managers;
2. Enable State court judges and court managers to attend out-of-
State educational programs sponsored by national and State providers
that they could not otherwise attend because of limited State, local,
and personal budgets; and
3. Provide States, judicial educators, and the Institute with
evaluative information on a range of judicial and court-related
education programs.
Scholarships will be granted to individuals only for the purpose of
attending an out-of-State educational program within the United States.
Application procedures may be found in Section VI.D.
III. Definitions
The following definitions apply for the purposes of this Guideline:
A. Acknowledgment of SJI Support
The prominent display of the SJI logo on the front cover of a
written product or in the opening frames of a videotape developed with
Institute support, and inclusion of a brief statement on the inside
front cover or title page of the document or the opening frames of the
videotape identifying the grant number. See section VIII.A.11.a.(2) for
the precise wording of the statement.
B. Application
A formal request for an Institute grant. A complete application
consists of: Form A--Application; Form B--Certificate of State Approval
(for applications from local trial or appellate courts or agencies);
Form C--Project Budget/Tabular Format or Form C1--Project Budget/
Spreadsheet Format; Form D--Assurances; Disclosure of Lobbying
Activities; a detailed description, not to exceed 25 pages, of the need
for the project and all related tasks, including the time frame for
completion of each task, and staffing requirements; and a detailed
budget narrative that provides the basis for all costs. See section VI.
for a complete description of application submission requirements. See
Appendix D for the application forms.
C. Close-out
The process by which the Institute determines that all applicable
administrative and financial actions and all required grant work have
been completed by both the grantee and the Institute.
D. Continuation Grant
A grant lasting no longer than 15 months to permit completion of
activities initiated under an existing Institute grant or enhancement
of the products or services produced during the prior grant period. See
section VI.A. for a complete description of Continuation Grant
application requirements.
E. Curriculum
The materials needed to replicate an education or training program
developed with grant funds including, but not limited to: the learning
objectives; the presentation methods; a sample agenda or schedule; an
outline of presentations and relevant instructors' notes; copies of
overhead transparencies or other visual aids; exercises, case studies,
hypotheticals, quizzes, and other materials for involving the
participants; background materials for participants; evaluation forms;
and suggestions for replicating the program, including possible faculty
or the preferred qualifications or experience of those selected as
faculty.
F. Designated Agency or Council
The office or judicial body which is authorized under State law or
by delegation from the State Supreme Court to approve applications for
SJI grant funds and to receive, administer, and be accountable for
those funds.
G. Disclaimer
A brief statement that must be included at the beginning of a
document or in the opening frames of a videotape produced with
Institute support that specifies that the points of view expressed in
the document or tape do not necessarily represent the official position
or policies of the Institute. See section VIII.A.11.a.(2) for the
precise wording of this statement.
H. Grant Adjustment
A change in the design or scope of a project from that described in
the approved application, acknowledged in writing by the Institute. See
section X.A for a list of the types of changes requiring a formal grant
adjustment. Ordinarily, changes requiring a Grant Adjustment (including
budget reallocations between direct cost categories that individually
or cumulatively exceed five percent of the approved original budget)
should be requested at least 30 days in advance of the implementation
of the requested change.
I. Grantee
The organization, entity, or individual to which an award of
Institute funds is made. For a grant based on an application from a
State or local court, grantee refers to the State Supreme Court or its
designee.
J. Human Subjects
Individuals who are participants in an experimental procedure or
who are asked to provide information about themselves, their attitudes,
feelings,
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opinions, and/or experiences through an interview, questionnaire, or
other data collection technique.
K. Judicial Branch Education Technical Assistance (JBE TA) Grant
A grant of up to $20,000 awarded to a State or local court or court
association to support expert assistance in designing or delivering
judicial branch education programming, and/or the adaptation of an
education program based on an SJI-supported curriculum that was
previously developed and evaluated under an SJI Project Grant. See
section VI.C. for a complete description of JBE TA Grant application
requirements.
L. Match
The portion of project costs not borne by the Institute. Match
includes both in-kind and cash contributions. Cash match is the direct
outlay of funds by the grantee to support the project. Examples of cash
match are the dedication of funds to support a new employee or purchase
new equipment to carry out the project; that portion of the grantee's
Federally approved indirect cost rate that exceeds the Guideline's
limit of permitted charges (75% of salaries and benefits); any other
reduction in the indirect cost rate to be charged to the grant; and the
application of project income (e.g., tuition or the proceeds of sales
of grant products) generated during the grant period to grant costs.
In-kind match consists of contributions of time and/or services of
current staff members, space, supplies, etc., made to the project by
the grantee or others (e.g., advisory board members) working directly
on the project.
Under normal circumstances, allowable match may be incurred only
during the project period. When appropriate, and with the prior written
permission of the Institute, match may be incurred from the date of the
Board of Directors' approval of an award. Match does not include the
time of participants attending an education program.
See section VIII.A.8. for the Institute's matching requirements.
M. Products
Tangible materials resulting from funded projects including, but
not limited to: Curricula; monographs; reports; books; articles;
manuals; handbooks; benchbooks; guidelines; videotapes; audiotapes;
computer software; and CD-ROM disks.
N. Project Grant
An initial grant lasting up to 15 months to support an innovative
education, research, demonstration, or technical assistance project
that can improve the administration of justice in State courts
nationwide. Ordinarily, a project grant may not exceed $150,000 a year;
however, a grant in excess of $100,000 is likely to be rare and awarded
only to support highly promising projects that will have a significant
national impact.
O. Project-Related Income
Interest, royalties, registration and tuition fees, proceeds from
the sale of products, and other earnings generated as a result of an
Institute grant. Registration and tuition fees, and proceeds from the
sale of products generated during the grant period may be counted as
match. For a more complete description of different types of project-
related income, see section IX.G.
P. Scholarship
A grant of up to $1,500 awarded to a judge or court manager to
cover the cost of tuition, transportation, and reasonable lodging to
attend an out-of-State educational program within the United States.
See section VI.D. for a complete description of scholarship application
requirements.
Q. Special Condition
A requirement attached to a grant award that is unique to a
particular project.
R. State Supreme Court
The highest appellate court in a State, or, for the purposes of the
Institute program, a constitutionally or legislatively established
judicial council that acts in place of that court. In States having
more than one court with final appellate authority, State Supreme Court
means that court which also has administrative responsibility for the
State's judicial system. State Supreme Court also includes the office
of the court or council, if any, it designates to perform the functions
described in this Guideline.
S. Subgrantee
A State or local court which receives Institute funds through the
State Supreme Court.
T. Technical Assistance Grant
A grant, lasting up to 12 months, of up to $30,000 to a State or
local court or court association to support outside expert assistance
in diagnosing a problem and developing and implementing a response to
that problem. See section VI.B. for a complete description of Technical
Assistance Grant application requirements.
IV. Eligibility for Award
The Institute is authorized by Congress to award grants,
cooperative agreements, and contracts to the following entities and
types of organizations:
A. State and local courts and their agencies (42 U.S.C.
10705(b)(1)(A)). Each application for funding from a State or local
court must be approved, consistent with State law, by the State's
Supreme Court or its designated agency or council. The latter shall
receive all Institute funds awarded to such courts and be responsible
for assuring proper administration of Institute funds, in accordance
with section IX.C.2. of this Guideline.
B. National nonprofit organizations controlled by, operating in
conjunction with, and serving the judicial branches of State
governments (42 U.S.C. 10705(b)(1)(B)).
C. National nonprofit organizations for the education and training
of judges and support personnel of the judicial branch of State
governments (42 U.S.C. 10705(b)(1)(C)). An applicant is considered a
national education and training applicant under section 10705(b)(1)(C)
if:
1. The principal purpose or activity of the applicant is to provide
education and training to State and local judges and court personnel;
and
2. the applicant demonstrates a record of substantial experience in
the field of judicial education and training.
D. Other eligible grant recipients (42 U.S.C. 10705 (b)(2)(A)-(D)).
1. Provided that the objectives of the project can be served
better, the Institute is also authorized to make awards to:
a. Nonprofit organizations with expertise in judicial
administration;
b. Institutions of higher education;
c. Individuals, partnerships, firms, corporations (for-profit
organizations must waive their fees); and
d. Private agencies with expertise in judicial administration.
2. The Institute may also make awards to State or local agencies
and institutions other than courts for services that cannot be
adequately provided through nongovernmental arrangements (42 U.S.C.
10705(b)(3)).
E. Inter-agency Agreements. The Institute may enter into inter-
agency agreements with Federal agencies (42 U.S.C. 10705(b)(4)) and
private funders to support projects consistent with the
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purposes of the State Justice Institute Act.
V. Types of Projects and Grants; Size of Awards
A. Types of Projects
The Institute supports the following general types of projects:
1. Education and training;
2. Research and evaluation;
3. Demonstration; and
4. Technical assistance.
B. Types of Grants
In FY 2005, the Institute will support the following types of
grants:
1. Continuation Grants
See sections II.A., III.D. and VI.A. In FY 2005, the Institute
anticipates allocating all of the funds available to support Project
Grants to Continuation Grants.
2. Technical Assistance Grants
See sections II.B., III.T., and VI.B. In FY 2005, the Institute is
reserving up to $300,000 for these grants.
3. Judicial Branch Education Technical Assistance Grants
See sections II.C., III.K., and VI.C. In FY 2005, the Institute is
reserving up to $100,000 for Judicial Branch Education Technical
Assistance Grants.
4. Scholarships
See sections II.D., III.P., and VI.D. In FY 2005, the Institute is
reserving up to $200,000 for scholarships for judges and court
managers.
C. Maximum Size of Awards
1. Applicants for continuation grants may request funding in
amounts up to $150,000 for 15 months.
2. Applicants for Technical Assistance Grants may request funding
in amounts up to $30,000.
3. Applicants for Judicial Branch Education Technical Assistance
Grants may request funding in amounts up to $20,000.
4. Applicants for scholarships may request funding in amounts up to
$1,500.
D. Length of Grant Periods
1. Grant periods for continuation projects ordinarily may not
exceed 15 months. Absent extraordinary circumstances, no grant will
continue for more than five years.
2. Grant periods for Technical Assistance Grants and Judicial
Branch Education Technical Assistance Grants ordinarily may not exceed
12 months.
VI. Applications
A. Continuation Grants
1. Purpose
Continuation grants are intended to support projects that carry out
the same type of activities performed under a previous grant. They are
intended to maintain or enhance the specific program or service
produced or established during the prior grant period.
2. Limitations
The award of an initial grant to support a project does not
constitute a commitment by the Institute to continue funding. For a
project to be considered for continuation funding, the grantee must
have completed all project tasks and met all grant requirements and
conditions in a timely manner, absent extenuating circumstances or
prior Institute approval of changes to the project design. Continuation
grants are not intended to provide support for a project for which the
grantee has underestimated the amount of time or funds needed to
accomplish the project tasks. Absent extraordinary circumstances, no
grant will continue for more than five years.
3. Letters of Intent
A grantee seeking a continuation grant must inform the Institute,
by letter, of its intent to submit an application for such funding as
soon as the need for continued funding becomes apparent but no less
than 120 days before the end of the current grant period.
a. A letter of intent must be no more than 3 single-spaced pages on
8\1/2\ by 11 inch paper and contain a concise but thorough explanation
of the need for continuation; an estimate of the funds to be requested;
and a brief description of anticipated changes in the scope, focus, or
audience of the project.
b. Within 30 days after receiving a letter of intent, Institute
staff will review the proposed activities for the next project period
and inform the grantee of specific issues to be addressed in the
continuation application and the date by which the application must be
submitted.
4. Application Format
An application for a continuation grant must include an application
form, budget forms (with appropriate documentation), a project
abstract, a program narrative, a budget narrative, a Certificate of
State Approval--FORM B (if the applicant is a State or local court), a
Disclosure of Lobbying Activities form (from applicants other than
units of State or local government), and any necessary appendices. See
Appendix D for the application forms. A continuation application should
not repeat information contained in a previously approved application
or other previously submitted materials, but should provide specific
references to such materials where appropriate.
For a summary of the application process, visit the Institute's Web
site (http://www.statejustice.org) and click on On-Line Tutorials, then
Continuation Grant.
a. Forms
(1) Application Form (FORM A)
The application form requests basic information regarding the
proposed project, the applicant, and the total amount of funding
requested from the Institute. It also requires the signature of an
individual authorized to certify on behalf of the applicant that the
information contained in the application is true and complete; that
submission of the application has been authorized by the applicant; and
that if funding for the proposed project is approved, the applicant
will comply with the requirements and conditions of the award,
including the assurances set forth in FORM D.
(2) Certificate of State Approval (FORM B)
An application from a State or local court must include a copy of
FORM B signed by the State's Chief Justice or Chief Judge, the director
of the designated agency, or the head of the designated council. The
signature denotes that the proposed project has been approved by the
State's highest court or the agency or council it has designated. It
denotes further that if the Institute approves funding for the project,
the court or the specified designee will receive, administer, and be
accountable for the awarded funds.
(3) Budget Forms (FORM C or C1)
Applicants may submit the proposed project budget either in the
tabular format of FORM C or in the spreadsheet format of FORM C1.
Applicants requesting $100,000 or more are strongly encouraged to use
the spreadsheet format. If the proposed project period is for more than
a year, a separate form should be submitted for each year or portion of
a year for which grant support is requested, as well as for the total
length of the project.
In addition to FORM C or C1, applicants must provide a detailed
budget narrative providing an explanation of the basis for the
estimates in each budget category. (See section VI.A.4.d. below.)
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If funds from other sources are required to conduct the project,
either as match or to support other aspects of the project, the source,
current status of the request, and anticipated decision date must be
provided.
(4) Assurances (FORM D)
This form lists the statutory, regulatory, and policy requirements
with which recipients of Institute funds must comply.
(5) Disclosure of Lobbying Activities
Applicants other than units of State or local government are
required to disclose whether they, or another entity that is part of
the same organization as the applicant, have advocated a position
before Congress on any issue, and to identify the specific subjects of
their lobbying efforts. (See section VIII.A.7. and the Disclosure of
Lobbying Activities form in Appendix D.)
b. Project Abstract
The abstract should highlight the purposes, goals, methods, and
anticipated benefits of the proposed project. It should not exceed 1
single-spaced page on 8\1/2\ by 11 inch paper.
c. Program Narrative
The program narrative for a continuation grant application may not
exceed 25 double-spaced pages on 8\1/2\ by 11 inch paper. Margins must
be at least 1 inch, and type size must be at least 12-point and 12 cpi.
The pages should be numbered. This page limit does not include the
forms, the abstract, the budget narrative, and any appendices
containing resumes and letters of cooperation or endorsement.
Additional background material should be attached only if it is
essential to impart a clear understanding of the proposed project.
Numerous and lengthy appendices are strongly discouraged.
The program narrative should describe the following:
(1) Project Objectives. The applicant should clearly and concisely
state what the continuation project is intended to accomplish.
(2) Need for Continuation. The applicant should explain why
continuation of the project is necessary to achieve the goals of the
project, and how the continuation would benefit the participating
courts or the courts community generally, by explaining, for example,
how the original goals and objectives of the project would be
unfulfilled if it were not continued; or how the value of the project
would be enhanced by its continuation.
(3) Report of Current Project Activities. The applicant should
discuss the status of all activities conducted during the previous
project period. Applicants should identify any activities that were not
completed, and explain why.
(4) Evaluation Findings. The applicant should present the key
findings, impact, or recommendations resulting from the evaluation of
the project, if available, and how they would be addressed during the
proposed continuation. If the findings are not yet available, the
applicant should provide the date by which they would be submitted to
the Institute. Ordinarily, the Board will not consider an application
for continuation funding until the Institute has received the
evaluator's report.
(5) Tasks, Methods, Staff, and Grantee Capability. The applicant
should fully describe any changes in the tasks to be performed, the
methods to be used, the products of the project, and how and to whom
those products would be disseminated, as well as any changes in the
assigned staff or the grantee's organizational capacity. Applicants
should include, in addition, the criteria and methods by which the
proposed continuation project would be evaluated.
(6) Task Schedule. The applicant should present a detailed task
schedule and timeline for the next project period.
(7) Other Sources of Support. The applicant should indicate why
other sources of support would be inadequate, inappropriate, or
unavailable.
d. Budget Narrative
The budget narrative should provide the basis for the computation
of all project-related costs. When the proposed project would be
partially supported by grants from other funding sources, applicants
should make clear what costs would be covered by those other grants.
Additional background information or schedules may be attached if they
are essential to obtaining a clear understanding of the proposed
budget. Numerous and lengthy appendices are strongly discouraged.
The budget narrative should cover the costs of all components of
the project and clearly identify costs attributable to the project
evaluation. Changes in the funding level from prior years should be
discussed in terms of corresponding increases or decreases in the scope
of activities or services to be rendered. In addition, the applicant
should estimate the amount of grant funds that would remain unobligated
at the end of the current grant period.
(1) Justification of Personnel Compensation
The applicant should set forth the percentages of time to be
devoted by the individuals who would staff the proposed project, the
annual salary of each of those persons, and the number of work days per
year used for calculating the percentages of time or daily rates of
those individuals. The applicant should explain any deviations from
current rates or established written organizational policies. If grant
funds are requested to pay the salary and related costs for a current
employee of a court or other unit of government, the applicant should
explain why this would not constitute a supplantation of State or local
funds in violation of 42 U.S.C. 10706(d)(1). An acceptable explanation
may be that the position to be filled is a new one established in
conjunction with the project or that the grant funds would support only
the portion of the employee's time that would be dedicated to new or
additional duties related to the project.
(2) Fringe Benefit Computation
The applicant should provide a description of the fringe benefits
provided to employees. If percentages are used, the authority for such
use should be presented, as well as a description of the elements
included in the determination of the percentage rate.
(3) Consultant/Contractual Services and Honoraria
The applicant should describe the tasks each consultant would
perform, the estimated total amount to be paid to each consultant, the
basis for compensation rates (e.g., the number of days multiplied by
the daily consultant rates), and the method for selection. Rates for
consultant services must be set in accordance with section IX.I.2.c.
Prior written Institute approval is required for any consultant rate in
excess of $300 per day; Institute funds may not be used to pay a
consultant more than $900 per day. Honorarium payments must be
justified in the same manner as consultant payments.
(4) Travel
Transportation costs and per diem rates must comply with the
policies of the applicant organization. If the applicant does not have
an established travel policy, then travel rates must be consistent with
those established by the Institute or the Federal Government. (A copy
of the Institute's travel policy is available upon request.) The budget
narrative should include an explanation of the rate used, including the
components of the per diem rate and the
[[Page 61094]]
basis for the estimated transportation expenses. The purpose of the
travel should also be included in the narrative.
(5) Equipment
Grant funds may be used to purchase only the equipment necessary to
demonstrate a new technological application in a court or that is
otherwise essential to accomplishing the objectives of the project.
Equipment purchases to support basic court operations ordinarily will
not be approved. The applicant should describe the equipment to be
purchased or leased and explain why the acquisition of that equipment
is essential to accomplish the project's goals and objectives. The
narrative should clearly identify which equipment is to be leased and
which is to be purchased. The method of procurement should also be
described. Purchases of automated data processing equipment must comply
with section IX.I.2.b.
(6) Supplies
The applicant should provide a general description of the supplies
necessary to accomplish the goals and objectives of the grant. In
addition, the applicant should provide the basis for the amount
requested for this expenditure category.
(7) Construction
Construction expenses are prohibited except for the limited
purposes set forth in section VIII.A.16.b. Any allowable construction
or renovation expense should be described in detail in the budget
narrative.
(8) Telephone
Applicants should include anticipated telephone charges,
distinguishing between monthly charges and long distance charges in the
budget narrative. Also, applicants should provide the basis used to
calculate the monthly and long distance estimates.
(9) Postage
Anticipated postage costs for project-related mailings, including
distribution of the final product(s), should be described in the budget
narrative. The cost of special mailings, such as for a survey or for
announcing a workshop, should be distinguished from routine operational
mailing costs. The bases for all postage estimates should be included
in the budget narrative.
(10) Printing/Photocopying
Anticipated costs for printing or photocopying project documents,
reports, and publications should be included in the budget narrative,
along with the bases used to calculate these estimates.
(11) Indirect Costs
Recoverable indirect costs are limited to no more than 75% of a
grantee's direct personnel costs (salaries plus fringe benefits).
Grantees may apply unrecoverable indirect costs to meet their required
matching contributions, including the required level of cash match. See
sections III.L. and IX.I.4.
Applicants should describe the indirect cost rates applicable to
the grant in detail. If costs often included within an indirect cost
rate are charged directly (e.g., a percentage of the time of senior
managers to supervise project activities), the applicant should specify
that these costs are not included within its approved indirect cost
rate. These rates must be established in accordance with section
IX.I.4. If the applicant has an indirect cost rate or allocation plan
approved by any Federal granting agency, a copy of the approved rate
agreement must be attached to the application.
(12) Match
State and local units of government must provide match equaling at
least 50% of the amount provided by the Institute in the first year of
the project, 60% in the second year, 75% in the third year, 90% in the
fourth year, and 100% in the fifth year.
For example, if the Institute awards a State court $100,000 for the
first year of a grant, the court would be required to provide $50,000
in match. If the second-year grant is also $100,000, the court would be
required to provide $60,000 in match. A State or local unit of
government would have to provide at least 20% of the required match in
the form of cash rather than in-kind support (e.g., the value of staff
time contributed to the project).
All other grantees must provide match equaling at least 25% of the
amount provided by the Institute in the first year of the project, 30%
in the second year, 37.5% in the third year, 45% in the fourth year,
and 50% in the fifth year. For example, if the Institute awards a non-
profit organization $100,000 for the first year of a grant, the
organization would be required to provide $25,000 in match. If the
second year grant is also $100,000, the court would be required to
provide $30,000 in match. A non-profit organization must provide at
least 10% of the required match in the form of cash.
Applicants that do not contemplate making matching contributions
continuously throughout the course of the project or on a task-by-task
basis must provide a schedule within 30 days after the beginning of the
project period indicating at what points during the project period the
matching contributions would be made. (See sections III.L., VIII.A.8.,
and IX.E.1.)
The Institute may waive the match and cash match requirements in
certain circumstances. See section VIII.A.8.b.
e. Letters of Cooperation or Support
If the cooperation of courts, organizations, agencies, or
individuals other than the applicant is required to conduct the
project, the applicant should attach written assurances of cooperation
and availability to the application, or send them under separate cover.
f. Submission Requirements
Every applicant must submit an original and three copies of the
application package consisting of FORM A; FORM B, if the application is
from a State or local court, or a Disclosure of Lobbying Form, if the
applicant is not a unit of State or local government; the Budget Forms
(either FORM C or C-1); the Application Abstract; the Program
Narrative; the Budget Narrative; and any necessary appendices.
The Institute will notify applicants of the submission deadline
when it responds to their letters of intent. A postmark or courier
receipt will constitute evidence of the submission date. Please mark
Continuation Application on the application package envelope and send
it to: State Justice Institute, 1650 King Street, Suite 600,
Alexandria, VA 22314.
Receipt of each application will be acknowledged in writing.
Extensions of the deadline for submission of applications will not be
granted without good cause.
B. Technical Assistance Grants
1. Purpose and Scope
Technical Assistance Grants are awarded to State and local courts
and court associations to obtain the assistance of outside experts in
diagnosing, developing, and implementing a response to a particular
problem in a jurisdiction.
2. Application Procedures.
For a summary of the application procedures for Technical
Assistance Grants, visit the Institute's Web site
(http://www.statejustice.org) and click On-Line Tutorials, then Technical
Assistance Grant.
In lieu of formal applications, applicants for Technical Assistance
Grants may submit, at any time, an
[[Page 61095]]
original and three copies of a detailed letter describing the proposed
project. Letters from an individual trial or appellate court must be
signed by the presiding judge or manager of that court. Letters from
the State court system must be signed by the Chief Justice or State
Court Administrator. Letters from court associations must be signed by
the president of the association.
3. Application Format
Although there is no prescribed form for the letter, or a minimum
or maximum page limit, letters of application should include the
following information:
a. Need for Funding. What is the critical need facing the
applicant? How would the proposed technical assistance help the
applicant meet this critical need? Why cannot State or local resources
fully support the costs of the required consultant services?
b. Project Description. What tasks would the consultant be expected
to perform, and how would they be accomplished? Which organization or
individual would be hired to provide the assistance, and how was this
consultant selected? If a consultant has not yet been identified, what
procedures and criteria would be used to select the consultant?
(Applicants are expected to follow their jurisdictions' normal
procedures for procuring consultant services.) What specific tasks
would the consultant(s) and court staff undertake? What is the schedule
for completion of each required task and the entire project? How would
the applicant oversee the project and provide guidance to the
consultant, and who at the court or association would be responsible
for coordinating all project tasks and submitting quarterly progress
and financial status reports?
If the consultant has been identified, the applicant should provide
a letter from that individual or organization documenting interest in
and availability for the project, as well as the consultant's ability
to complete the assignment within the proposed time frame and for the
proposed cost. The consultant must agree to submit a detailed written
report to the court and the Institute upon completion of the technical
assistance.
c. Likelihood of Implementation. What steps have been or would be
taken to facilitate implementation of the consultant's recommendations
upon completion of the technical assistance? For example, if the
support or cooperation of specific court officials or committees, other
agencies, funding bodies, organizations, or a court other than the
applicant would be needed to adopt the changes recommended by the
consultant and approved by the court, how would they be involved in the
review of the recommendations and development of the implementation
plan?
d. Support for the Project from the State Supreme Court or its
Designated Agency or Council. If a State or local court submits a
request for technical assistance, it must include written concurrence
on the need for the technical assistance. This concurrence may be a
copy of SJI Form B (see Appendix D) signed by the Chief Justice of the
State Supreme Court or the Chief Justice's designee, or a letter from
the State Chief Justice or designee. The concurrence may be submitted
with the applicant's letter or under separate cover prior to
consideration of the application. The concurrence also must specify
whether the State Supreme Court would receive, administer, and account
for the grant funds, if awarded, or would designate the local court or
a specified agency or council to receive the funds directly.
4. Budget and Matching State Contribution
A completed Form E, Line-Item Budget Form (see Appendix E), and
budget narrative must be included with the letter requesting technical
assistance. The estimated cost of the technical assistance services
should be broken down into the categories listed on the budget form
rather than aggregated under the Consultant/Contractual category.
The budget narrative should provide the basis for all project-
related costs, including the basis for determining the estimated
consultant costs, if compensation of the consultant is required (e.g.,
the number of days per task times the requested daily consultant rate).
Applicants should be aware that consultant rates above $300 per day
must be approved in advance by the Institute, and that no consultant
will be paid more than $900 per day from Institute funds. In addition,
the budget should provide for submission of two copies of the
consultant's final report to the Institute.
As with other awards to State or local courts, match must be
provided in an amount equal to at least 50% of the grant amount
requested, and 20% of the match provided must be cash. The Institute
may waive the match and cash match requirements in certain
circumstances. See section VIII.A.8.b.
Recipients of Technical Assistance Grants do not have to submit an
audit report but must maintain appropriate documentation to support
expenditures. (See section VIII.A.3.)
5. Submission Requirements
Letters of application may be submitted at any time; however, all
of the letters received during a calendar quarter will be considered at
one time. Applicants submitting letters by January 7, 2005, will be
notified of the Institute's decision by April 8, 2005; those submitting
letters between January 8 and February 25, 2005, will be notified by
June 10, 2005; those submitting letters between February 26 and June 3,
2005, will be notified by August 19, 2005; and those submitting letters
between June 4 and September 23, 2005, will be notified by December 2,
2005.
If the support or cooperation of agencies, funding bodies,
organizations, or courts other than the applicant would be needed in
order for the consultant to perform the required tasks, written
assurances of such support or cooperation should accompany the
application letter. Support letters also may be submitted under
separate cover; however, to ensure that there is sufficient time to
bring them to the attention of the Board's Technical Assistance Grant
Committee, letters sent under separate cover must be received not less
than three weeks prior to the Board meeting at which the technical
assistance requests will be considered (i.e., by February 16, April 21,
June 30, and October 13, 2005).
C. Judicial Branch Education Technical Assistance Grants
1. Purpose and Scope
Judicial Branch Education Technical Assistance (JBE TA) Grants are
awarded to State and local courts and court associations to support:
(1) The provision of expert strategic assistance designed to enable
them to present judicial branch education programs; and/or (2)
replication or modification of a model training program originally
developed with Institute funds. Ordinarily, the Institute will support
the adaptation of a specific curriculum once (i.e., with one grant) in
a given State.
JBE TA Grants may support consultant assistance in maintaining or
developing systematic or innovative judicial branch educational
programming. The assistance might include expert consultation in
developing strategic plans to ensure the continued provision of
judicial branch education programming despite fiscal constraints;
development of improved methods for assessing the need for, and
evaluating the quality and impact of, court education programs and
their
[[Page 61096]]
administration by State or local courts; faculty development; and/or
topical program presentations. Such assistance may be tailored to
address the needs of a particular State or local court or specific
categories of court employees throughout a State or in a region.
2. Application Procedures
For a summary of the application procedures for Judicial Branch
Education Technical Assistance Grants, visit the Institute's Web site
(http://www.statejustice.org) and click on On-Line Tutorials, then
Judicial Branch Education Technical Assistance Grant.
In lieu of formal applications, applicants should submit an
original and three photocopies of a detailed letter.
Application Format
Although there is no prescribed format for the letter, or a minimum
or maximum page limit, letters of application should include the
following information:
a. For on-site consultant assistance:
(1) Need for Funding. What is the critical judicial branch
educational need facing the court or association? How would the
proposed technical assistance help the applicant meet this critical
need? Why cannot State or local resources fully support the costs of
the required consultant services?
(2) Project Description. What tasks would the consultant be
expected to perform, and how would they be accomplished? Which
organization or individual would be hired to provide the assistance,
and how was this consultant selected? If a consultant has not yet been
identified, what procedures and criteria would be used to select the
consultant? (Applicants are expected to follow their jurisdictions'
normal procedures for procuring consultant services.) What specific
tasks would the consultant(s) and court staff or association members
undertake? What is the schedule for completion of each required task
and the entire project? How would the applicant oversee the project and
provide guidance to the consultant, and who at the court or affiliated
with the association would be responsible for coordinating all project
tasks and submitting quarterly progress and financial status reports?
If the consultant has been identified, the applicant should provide
a letter from that individual or organization documenting interest in
and availability for the project, as well as the consultant's ability
to complete the assignment within the proposed time frame and for the
proposed cost. The consultant must agree to submit a detailed written
report to the court and the Institute upon completion of the technical
assistance.
(3) Likelihood of Implementation. What steps have been or would be
taken to facilitate implementation of the consultant's recommendations
upon completion of the technical assistance? For example, if the
support or cooperation of specific court or association officials or
committees, other agencies, funding bodies, organizations, or a court
other than the applicant would be needed to adopt the changes
recommended by the consultant and approved by the applicant, how would
they be involved in the review of the recommendations and development
of the implementation plan?
(4) Support for the Project from the State Supreme Court or its
Designated Agency or Council. If a State or local court submits an
application, it must include written concurrence on the need for the
technical assistance. This concurrence may be a copy of SJI Form B (see
Appendix D) signed by the Chief Justice of the State Supreme Court or
the Chief Justice's designee, or a letter from the State Chief Justice
or designee. The concurrence may be submitted with the applicant's
letter or under separate cover prior to consideration of the
application. The concurrence also must specify whether the State
Supreme Court would receive, administer, and account for the grant
funds, if awarded, or would designate the local court or a specified
agency or council to receive the funds directly.
b. For adaptation of a curriculum:
(1) Project Description. What is the title of the model curriculum
to be adapted and who originally developed it with Institute funding?
Why is this education program needed at the present time? What are the
project's goals? What are the learning objectives of the adapted
curriculum? What program components would be implemented, and what
types of modifications, if any, are anticipated in length, format,
learning objectives, teaching methods, or content? Who would be
responsible for adapting the model curriculum? Who would the
participants be, how many would there be, how would they be recruited,
and from where would they come (e.g., from across the State, from a
single local jurisdiction, from a multi-State region)?
(2) Need for Funding. Why are sufficient State or local resources
unavailable to fully support the modification and presentation of the
model curriculum? What is the potential for replicating or integrating
the adapted curriculum in the future using State or local funds, once
it has been successfully adapted and tested?
(3) Likelihood of Implementation. What is the proposed timeline,
including the project start and end dates? On what date(s) would the
judicial branch education program be presented? What process would be
used to modify and present the program? Who would serve as faculty, and
how were they selected? What measures would be taken to facilitate
subsequent presentations of the program? (Ordinarily, an independent
evaluation of a curriculum adaptation project is not required; however,
the results of any evaluation should be included in the final report.)
(4) Expressions of Interest by Judges and/or Court Personnel. Does
the proposed program have the support of the court system or
association leadership, and of judges, court managers, and judicial
branch education personnel who are expected to attend? (Applicants may
demonstrate this by attaching letters of support.)
(5) Chief Justice's Concurrence. Local courts should attach a
concurrence form signed by the Chief Justice of the State or his or her
designee. (See Appendix D, FORM B.)
4. Budget and Matching State Contribution
Applicants should attach a copy of budget Form E (see Appendix E)
and a budget narrative (see A.4.d. in this section) that describes the
basis for the computation of all project-related costs and the source
of the match offered. As with other awards to State or local courts,
match must be provided in an amount equal to at least 50% of the grant
amount requested. Recipients of JBE TA grants are not required to
provide a cash match. The Institute may waive the match requirements in
certain circumstances. See section VIII.A.8.b.
5. Submission Requirements
Letters of application may be submitted at any time; however, all
of the letters received during a calendar quarter will be considered at
one time. Applicants submitting letters by January 7, 2005, will be
notified of the Institute's decision by April 8, 2005; those submitting
letters between January 8 and February 25, 2005, will be notified by
June 10, 2005; those submitting letters between February 26 and June 3,
2005, will be notified by August 19, 2005; and those submitting letters
between June 4 and September 23, 2005, will be notified by December 2,
2005.
For curriculum adaptation requests, applicants should allow at
least 60 days between the notification deadline and
[[Page 61097]]
the date of the proposed program to allow sufficient time for needed
planning. For example, a court that plans to conduct an education
program in June 2005 should submit its application no later than
January 7, 2005, in time for the Board's decision by April 8, 2005.
D. Scholarships
1. Purpose and Scope
The purposes of the Institute's scholarship program are to enhance
the skills, knowledge, and abilities of judges and court managers;
enable State court judges and court managers to attend out-of-State
educational programs sponsored by national and State providers that
they could not otherwise attend because of limited State, local, and
personal budgets; and provide States, judicial educators, and the
Institute with evaluative information on a range of judicial and court-
related education programs.
Scholarships will be granted to individuals only for the purpose of
attending an educational program in another State. An applicant may
apply for a scholarship for only one educational program during any one
application cycle.
Scholarship funds may be used only to cover the costs of tuition,
transportation, and reasonable lodging expenses (not to exceed $150 per
night, including taxes). Transportation expenses may include round-trip
coach airfare or train fare. Scholarship recipients are strongly
encouraged to take advantage of excursion or other special airfares
(e.g., reductions offered when a ticket is purchased 21 days in advance
of the travel date) when making their travel arrangements. Recipients
who drive to a program site may receive $.375/mile up to the amount of
the advanced-purchase round-trip airfare between their homes and the
program sites. Funds to pay tuition, transportation, and lodging
expenses in excess of $1,500 and other costs of attending the program--
such as meals, materials, transportation to and from airports, and
local transportation (including rental cars)--at the program site must
be obtained from other sources or borne by the scholarship recipient.
Scholarship applicants are encouraged to check other sources of
financial assistance and to combine aid from various sources whenever
possible.
A scholarship is not transferable to another individual. It may be
used only for the course specified in the application unless the
applicant's request to attend a different course that meets the
eligibility requirements is approved in writing by the Institute.
Decisions on such requests will be made within 30 days after the
receipt of the request letter.
2. Eligibility Requirements
For a summary of the scholarship award process, visit the
Institute's Web site at http://www.statejustice.org and click on On-
Line Tutorials, then Scholarship.
a. Recipients. Scholarships can be awarded only to full-time judges
of State or local trial and appellate courts; full-time professional,
State, or local court personnel with management responsibilities; and
supervisory and management probation personnel in judicial branch
probation offices. Senior judges, part-time judges, quasi-judicial
hearing officers including referees and commissioners, administrative
law judges, staff attorneys, law clerks, line staff, law enforcement
officers, and other executive branch personnel are not eligible to
receive a scholarship.
b. Courses. A scholarship can be awarded only for a course
presented in a State other than the one in which the applicant resides
or works. The course must be designed to enhance the skills of new or
experienced judges and court managers; or be offered by a recognized
graduate program for judges or court managers. The annual or mid-year
meeting of a State or national organization of which the applicant is a
member does not qualify as an out-of-State educational program for
scholarship purposes, even though it may include workshops or other
training sessions.
Applicants are encouraged not to wait for the decision on a
scholarship to register for an educational program they wish to attend.
c. Limitation. Applicants may not receive more than one scholarship
in a three-year period.
3. Forms
a. Scholarship Application--FORM S1 (Appendix F)
The Scholarship Application requests basic information about the
applicant and the educational program the applicant would like to
attend. It also addresses the applicant's commitment to share the
skills and knowledge gained with local court colleagues and to submit
an evaluation of the program the applicant attends. The Scholarship
Application must bear the original signature of the applicant. Faxed or
photocopied signatures will not be accepted.
b. Scholarship Application Concurrence--FORM S2 (Appendix F)
Judges and court managers applying for scholarships must submit the
written concurrence of the Chief Justice of the State's Supreme Court
(or the Chief Justice's designee) on the Institute's Judicial Education
Scholarship Concurrence form (see Appendix F). The signature of the
presiding judge of the applicant's court cannot be substituted for that
of the Chief Justice or the Chief Justice's designee. Court managers,
other than elected clerks of court, also must submit a letter of
support from their immediate supervisors.
4. Submission Requirements
Scholarship applications must be submitted during the periods
specified below:
October 4 and November 29, 2004, for programs beginning between
January 1 and March 31, 2005;
January 3 and February 28, 2005, for programs beginning between
April 1 and June 30, 2005;
April 1 and May 27, 2005, for programs beginning between July 1 and
September 30, 2005;
July 5 and August 29, 2005, for programs beginning between October
1 and December 31, 2005; and
October 3 and November 28, 2005, for programs beginning between
January 1 and March 31, 2006.
No exceptions or extensions will be granted. Applications sent
prior to the beginning of an application period will be treated as
having been sent one week after the beginning of that application
period. All the required items must be received for an application to
be considered. If the Concurrence form or letter of support is sent
separately from the application, the postmark date of the last item to
be sent will be used in applying the above criteria.
All applications should be sent by mail or courier (not fax or e-
mail) to: Scholarship Program Coordinator, State Justice Institute,
1650 King Street, Suite 600, Alexandria, VA 22314.
VII. Application Review Procedures
A. Preliminary Inquiries
The Institute staff will answer inquiries concerning application
procedures. The staff contact will be named in the Institute's letter
acknowledging receipt of the application.
B. Selection Criteria
1. Continuation Grant Applications
a. Continuation Grant applications will be rated on the basis of
the criteria
[[Page 61098]]
set forth below. The Institute will accord the greatest weight to the
following criteria:
(1) The soundness of the methodology;
(2) The demonstration of need for the project;
(3) The appropriateness of the proposed evaluation design;
(4) The key findings and recommendations of the most recent
evaluation and the proposed responses to those findings and
recommendations;
(5) The applicant's management plan and organizational
capabilities;
(6) The qualifications of the project's staff;
(7) The products and benefits resulting from the project, including
the extent to which the project will have long-term benefits for State
courts across the nation;
(8) The degree to which the findings, procedures, training,
technology, or other results of the project can be transferred to other
jurisdictions;
(9) The reasonableness of the proposed budget; and
(10) The demonstration of cooperation and support of other agencies
that may be affected by the project.
b. In determining which projects to support, the Institute will
also consider whether the applicant is a State court, a national court
support or education organization, a non-court unit of government, or
other type of entity eligible to receive grants under the Institute's
enabling legislation (see section IV.); the availability of financial
assistance from other sources for the project; the amount and nature
(cash and in-kind) of the applicant's match; the extent to which the
proposed project would also benefit the Federal courts or help State
courts enforce Federal constitutional and legislative requirements; and
the level of appropriations available to the Institute in the current
year and the amount expected to be available in succeeding fiscal
years.
2. Technical Assistance Grant Applications
Technical Assistance Grant applications will be rated on the basis
of the following criteria:
a. Whether the assistance would address a critical need of the
applicant;
b. The soundness of the technical assistance approach to the
problem;
c. The qualifications of the consultant(s) to be hired, or the
specific criteria that will be used to select the consultant(s);
d. The commitment of the court or association to act on the
consultant's recommendations; and
e. The reasonableness of the proposed budget.
The Institute also will consider factors such as the level and
nature of the match that would be provided, diversity of subject
matter, geographic diversity, the level of appropriations available to
the Institute in the current year, and the amount expected to be
available in succeeding fiscal years.
3. Judicial Branch Education Technical Assistance Grant Applications
Judicial Branch Education Technical Assistance Grant applications
will be rated on the basis of the following criteria:
a. For on-site consultant assistance:
(1) Whether the assistance would address a critical need of the
court or association;
(2) The soundness of the technical assistance approach to the
problem;
(3) The qualifications of the consultant(s) to be hired, or the
specific criteria that will be used to select the consultant(s);
(4) The commitment of the court or association to act on the
consultant's recommendations; and
(5) The reasonableness of the proposed budget.
b. For curriculum adaptation projects:
(1) The goals and objectives of the proposed project;
(2) The need for outside funding to support the program;
(3) The appropriateness of the approach in achieving the project's
educational objectives;
(4) The likelihood of effective implementation and integration of
the modified curriculum into ongoing educational programming; and
(5) Expressions of interest by the judges and/or court personnel
who would be directly involved in or affected by the project.
The Institute will also consider factors such as the reasonableness
of the amount requested, compliance with match requirements, diversity
of subject matter, geographic diversity, the level of appropriations
available in the current year, and the amount expected to be available
in succeeding fiscal years.
4. Scholarships
Scholarships will be awarded on the basis of:
a. The date on which the application and concurrence (and support
letter, if required) were sent;
b. The unavailability of State or local funds to cover the costs of
attending the program or scholarship funds from another source;
c. The absence of educational programs in the applicant's State
addressing the topic(s) covered by the educational program for which
the scholarship is being sought;
d. Geographic balance among the recipients;
e. The balance of scholarships among educational programs;
f. The balance of scholarships among the types of courts
represented; and
g. The level of appropriations available to the Institute in the
current year and the amount expected to be available in succeeding
fiscal years.
The postmark or courier receipt will be used to determine the date
on which the application form and other required items were sent.
C. Review and Approval Process
1. Continuation Grant Applications
The Institute's Board of Directors will review the applications
competitively. The Institute staff will prepare a narrative summary and
a rating sheet assigning points for each relevant selection criterion.
The staff will present the narrative summaries and rating sheets to the
Board for its review. The Board will review all application summaries
and decide which projects it will fund. The decision to fund a project
is solely that of the Board of Directors.
The Chairman of the Board will sign approved awards on behalf of
the Institute.
2. Technical Assistance and Judicial Branch Education Technical
Assistance Grant Applications
The Institute staff will prepare a narrative summary of each
application and a rating sheet assigning points for each relevant
selection criterion. The Board of Directors has delegated its authority
to approve Technical Assistance and Judicial Branch Education Technical
Assistance Grants to the committee established for each program. The
committee will review the applications competitively.
The Chairman of the Board will sign approved awards on behalf of
the Institute.
3. Scholarships
A committee of the Institute's Board of Directors will review
scholarship applications quarterly. The Board of Directors has
delegated its authority to approve scholarships to the committee
established for the program. The committee will review the applications
competitively.
The Chairman of the Board will sign approved awards on behalf of
the Institute.
[[Page 61099]]
D. Return Policy
Unless a specific request is made, unsuccessful applications will
not be returned. Applicants are advised that Institute records are
subject to the provisions of the Federal Freedom of Information Act, 5
U.S.C. 552.
E. Notification of Board Decision
1. The Institute will send written notice to applicants concerning
all Board decisions to approve, defer, or deny their respective
applications. For all applications (except scholarships), the Institute
also will convey the key issues and questions that arose during the
review process. A decision by the Board to deny an application may not
be appealed, but it does not prohibit resubmission of a proposal based
on that application in a subsequent funding cycle. The Institute will
also notify the State court administrator when grants are approved by
the Board to support projects that will be conducted by or involve
courts in that State.
2. The Institute intends to notify each scholarship applicant of
the Board committee's decision within 30 days after the close of the
relevant application period.
F. Response to Notification of Approval
With the exception of those approved for scholarships, applicants
have 30 days from the date of the letter notifying them that the Board
has approved their application to respond to any revisions requested by
the Board. If the requested revisions (or a reasonable schedule for
submitting such revisions) have not been submitted to the Institute
within 30 days after notification, the approval may be rescinded and
the application presented to the Board for reconsideration.
VIII. Compliance Requirements
The State Justice Institute Act contains limitations and conditions
on grants, contracts, and cooperative agreements awarded by the
Institute. The Board of Directors has approved additional policies
governing the use of Institute grant funds. These statutory and policy
requirements are set forth below.
A. Recipients of Project and Continuation Grants
1. Advocacy
No funds made available by the Institute may be used to support or
conduct training programs for the purpose of advocating particular
nonjudicial public policies or encouraging nonjudicial political
activities. 42 U.S.C. 10706(b).
2. Approval of Key Staff
If the qualifications of an employee or consultant assigned to a
key project staff position are not described in the application or if
there is a change of a person assigned to such a position, the
recipient must submit a description of the qualifications of the newly
assigned person to the Institute. Prior written approval of the
qualifications of the new person assigned to a key staff position must
be received from the Institute before the salary or consulting fee of
that person and associated costs may be paid or reimbursed from grant
funds.
3. Audit
Recipients of project and continuation grants must provide for an
annual fiscal audit which includes an opinion on whether the financial
statements of the grantee present fairly its financial position and its
financial operations are in accordance with generally accepted
accounting principles. (See section IX.K. of the Guideline for the
requirements of such audits.) Scholarship recipients, Judicial Branch
Education Technical Assistance Grants, and Technical Assistance Grants
are not required to submit an audit, but they must maintain appropriate
documentation to support all expenditures.
4. Budget Revisions
Budget revisions among direct cost categories that (a) transfer
grant funds to an unbudgeted cost category or (b) individually or
cumulatively exceed five percent of the approved original budget or the
most recently approved revised budget require prior Institute approval.
5. Conflict of Interest
Personnel and other officials connected with Institute-funded
programs must adhere to the following requirements:
a. No official or employee of a recipient court or organization
shall participate personally through decision, approval, disapproval,
recommendation, the rendering of advice, investigation, or otherwise in
any proceeding, application, request for a ruling or other
determination, contract, grant, cooperative agreement, claim,
controversy, or other particular matter in which Institute funds are
used, where, to his or her knowledge, he or she or his or her immediate
family, partners, organization other than a public agency in which he
or she is serving as officer, director, trustee, partner, or employee
or any person or organization with whom he or she is negotiating or has
any arrangement concerning prospective employment, has a financial
interest.
b. In the use of Institute project funds, an official or employee
of a recipient court or organization shall avoid any action which might
result in or create the appearance of:
(1) Using an official position for private gain; or
(2) affecting adversely the confidence of the public in the
integrity of the Institute program.
c. Requests for proposals or invitations for bids issued by a
recipient of Institute funds or a subgrantee or subcontractor will
provide notice to prospective bidders that the contractors who develop
or draft specifications, requirements, statements of work, and/or
requests for proposals for a proposed procurement will be excluded from
bidding on or submitting a proposal to compete for the award of such
procurement.
6. Inventions and Patents
If any patentable items, patent rights, processes, or inventions
are produced in the course of Institute-sponsored work, such fact shall
be promptly and fully reported to the Institute. Unless there is a
prior agreement between the grantee and the Institute on disposition of
such items, the Institute shall determine whether protection of the
invention or discovery shall be sought. The Institute will also
determine how the rights in the invention or discovery, including
rights under any patent issued thereon, shall be allocated and
administered in order to protect the public interest consistent with
``Government Patent Policy'' (President's Memorandum for Heads of
Executive Departments and Agencies, February 18, 1983, and statement of
Government Patent Policy).
7. Lobbying
a. Funds awarded to recipients by the Institute shall not be used,
indirectly or directly, to influence Executive Orders or similar
promulgations by Federal, State or local agencies, or to influence the
passage or defeat of any legislation by Federal, State or local
legislative bodies. 42 U.S.C. 10706(a).
b. It is the policy of the Board of Directors to award funds only
to support applications submitted by organizations that would carry out
the objectives of their applications in an unbiased manner. Consistent
with this policy and the provisions of 42 U.S.C. 10706, the Institute
will not knowingly award a grant to an applicant that has, directly or
through an entity that is part of the same organization as the
applicant, advocated a position before Congress on
[[Page 61100]]
the specific subject matter of the application.
8. Matching Requirements
All grantees other than scholarship recipients and individuals who
receive ``think piece'' grants are required to provide match. See
section III.L. for the definition of match. The amount and nature of
required match depends on the type of organization receiving the grant
and the duration of the Institute's support.
The grantee is responsible for ensuring that the total amount of
match proposed is actually contributed. If a proposed contribution is
not fully met, the Institute may reduce the award amount accordingly,
in order to maintain the ratio originally provided for in the award
agreement (see section IX.E.1.).
The Board of Directors considers the amount and nature of
unrequired match contributed by applicants in making grant decisions.
Cash match and non-cash match may be provided, subject to the
requirements of subsection a. below.
a. Continuation Grants
All grantees are required to assume a greater share of project
support over time.
(1) State and local units of government. State and local units of
government are required to provide match equaling at least 50% of the
amount provided by SJI in the first year of the project, 60% in the
second year, 75% in the third year, 90% in the fourth year, and 100% in
the fifth year. For example, if SJI awards a State court $100,000 for
the first year of a grant, the court would be required to provide
$50,000 in match. If the second-year grant is also $100,000, the court
is required to provide $60,000 in match. A court that wishes to limit
its second-year contribution to $50,000 may ask the Institute for a
reduced amount, i.e., $83,333, in order to meet the 60% requirement.
(2) All other grantees. All other grantees are required to provide
match equaling at least 25% of the amount provided by the Institute in
the first year of the project, 30% in the second year, 37.5% in the
third year, 45% in the fourth year, and 50% in the fifth year. For
example, if the Institute awards a non-profit organization $100,000 for
the first year of a grant, the organization must provide $25,000 in
match. If the second-year grant is also $100,000, the grantee is
required to provide $30,000 in match. An organization that wishes to
limit its second-year contribution to $25,000 may ask the Institute for
a reduced amount, i.e., $83,333, in order to meet the 30% requirement.
b. Waiver
(1) Match generally.
(a) The match requirement for State and local units of government
may be waived in exceptionally rare circumstances upon the request of
the Chief Justice of the highest court in the State and approval by the
Board of Directors. 42 U.S.C. 10705(d).
(b) The match requirement for all other grantees required to
provide match may be waived in exceptionally rare circumstances upon
the request of an appropriate official and approval by the Board of
Directors.
(2) Cash match. For all grantees required to provide cash match,
the requirement may be waived upon the applicant's demonstration that
providing the required cash match will cause the applicant a financial
hardship.
(3) The Board of Directors encourages all applicants to provide the
maximum amount of in-kind and cash match possible, even if a waiver is
approved. The amount and nature of match are criteria in the grant
selection process. See section VII.B.1.b.
9. Nondiscrimination
No person may, on the basis of race, sex, national origin,
disability, color, or creed be excluded from participation in, denied
the benefits of, or otherwise subjected to discrimination under any
program or activity supported by Institute funds. Recipients of
Institute funds must immediately take any measures necessary to
effectuate this provision.
10. Political Activities
No recipient may contribute or make available Institute funds,
program personnel, or equipment to any political party or association,
or the campaign of any candidate for public or party office. Recipients
are also prohibited from using funds in advocating or opposing any
ballot measure, initiative, or referendum. Officers and employees of
recipients shall not intentionally identify the Institute or recipients
with any partisan or nonpartisan political activity associated with a
political party or association, or the campaign of any candidate for
public or party office. 42 U.S.C. 10706(a).
11. Products
a. Acknowledgment, Logo, and Disclaimer
(1) Recipients of Institute funds must acknowledge prominently on
all products developed with grant funds that support was received from
the Institute. The ``SJI'' logo must appear on the front cover of a
written product, or in the opening frames of a video product, unless
another placement is approved in writing by the Institute. This
includes final products printed or otherwise reproduced during the
grant period, as well as reprintings or reproductions of those
materials following the end of the grant period. A camera-ready logo
sheet is available from the Institute upon request.
(2) Recipients also must display the following disclaimer on all
grant products: ``This [document, film, videotape, etc.] was developed
under [grant/cooperative agreement] number SJI-[insert number] from the
State Justice Institute. The points of view expressed are those of the
[author(s), filmmaker(s), etc.] and do not necessarily represent the
official position or policies of the State Justice Institute.''
b. Charges for Grant-Related Products/Recovery of Costs
(1) When Institute funds fully cover the cost of developing,
producing, and disseminating a product (e.g., a report, curriculum,
videotape, or software), the product should be distributed to the field
without charge. When Institute funds only partially cover the
development, production, or dissemination costs, the grantee may, with
the Institute's prior written approval, recover its costs for
developing, producing, and disseminating the material to those
requesting it, to the extent that those costs were not covered by
Institute funds or grantee matching contributions.
(2) Applicants should disclose their intent to sell grant-related
products in the application. Grantees must obtain the written prior
approval of the Institute of their plans to recover project costs
through the sale of grant products. Written requests to recover costs
ordinarily should be received during the grant period and should
specify the nature and extent of the costs to be recouped, the reason
that such costs were not budgeted (if the rationale was not disclosed
in the approved application), the number of copies to be sold, the
intended audience for the products to be sold, and the proposed sale
price. If the product is to be sold for more than $25, the written
request also should include a detailed itemization of costs that will
be recovered and a certification that the costs were not supported by
either Institute grant funds or grantee matching contributions.
[[Page 61101]]
(3) In the event that the sale of grant products results in
revenues that exceed the costs to develop, produce, and disseminate the
product, the revenue must continue to be used for the authorized
purposes of the Institute-funded project or other purposes consistent
with the State Justice Institute Act that have been approved by the
Institute. See sections III.O. and IX.G. for requirements regarding
project-related income realized during the project period.
c. Copyrights
Except as otherwise provided in the terms and conditions of an
Institute award, a recipient is free to copyright any books,
publications, or other copyrightable materials developed in the course
of an Institute-supported project, but the Institute shall reserve a
royalty-free, nonexclusive and irrevocable right to reproduce, publish,
or otherwise use, and to authorize others to use, the materials for
purposes consistent with the State Justice Institute Act.
d. Distribution
In addition to the distribution specified in the grant application,
grantees shall send:
(1) Fifteen (15) copies of each final product developed with grant
funds to the Institute, unless the product was developed under either a
Technical Assistance or a Judicial Branch Education Technical
Assistance grant, in which case submission of 2 copies is required;
(2) An electronic version of the product in .html or .pdf format to
the Institute; and
(3) One copy of each final product developed with grant funds to
the library established in each State to collect materials prepared
with Institute support. (A list of the libraries is contained in
Appendix A. Labels for these libraries are available on the Institute's
Web site, http://www.statejustice.org.) Grantees that develop web-based
electronic products must send a hard-copy document to the SJI-
designated libraries and other appropriate audiences to alert them to
the availability of the Web site or electronic product. Recipients of
Judicial Branch Education Technical Assistance and Technical Assistance
Grants are not required to submit final products to State libraries.
(4) A press release describing the project and announcing the
results to a list of national and State judicial branch organizations
provided by the Institute.
e. Institute Approval
No grant funds may be obligated for publication or reproduction of
a final product developed with grant funds without the written approval
of the Institute. Grantees shall submit a final draft of each written
product to the Institute for review and approval. The draft must be
submitted at least 30 days before the product is scheduled to be sent
for publication or reproduction to permit Institute review and
incorporation of any appropriate changes required by the Institute.
Grantees must provide for timely reviews by the Institute of videotape
or CD-ROM products at the treatment, script, rough cut, and final
stages of development or their equivalents.
f. Original Material
All products prepared as the result of Institute-supported projects
must be originally-developed material unless otherwise specified in the
award documents. Material not originally developed that is included in
such products must be properly identified, whether the material is in a
verbatim or extensive paraphrase format.
12. Prohibition Against Litigation Support
No funds made available by the Institute may be used directly or
indirectly to support legal assistance to parties in litigation,
including cases involving capital punishment.
13. Reporting Requirements
a. Recipients of Institute funds other than scholarships must
submit Quarterly Progress and Financial Status Reports within 30 days
of the close of each calendar quarter (that is, no later than January
30, April 30, July 30, and October 30). Two copies of each report must
be sent. The Quarterly Progress Reports shall include a narrative
description of project activities during the calendar quarter, the
relationship between those activities and the task schedule and
objectives set forth in the approved application or an approved
adjustment thereto, any significant problem areas that have developed
and how they will be resolved, and the activities scheduled during the
next reporting period.
b. The quarterly Financial Status Report must be submitted in
accordance with section IX.H.2. of this Guideline. A final project
Progress Report and Financial Status Report shall be submitted within
90 days after the end of the grant period in accordance with section
IX.L.1. of this Guideline.
14. Research
a. Availability of Research Data for Secondary Analysis
Upon request, grantees must make available for secondary analysis a
diskette(s) or data tape(s) containing research and evaluation data
collected under an Institute grant and the accompanying code manual.
Grantees may recover the actual cost of duplicating and mailing or
otherwise transmitting the data set and manual from the person or
organization requesting the data. Grantees may provide the requested
data set in the format in which it was created and analyzed.
b. Confidentiality of Information
Except as provided by Federal law other than the State Justice
Institute Act, no recipient of financial assistance from SJI may use or
reveal any research or statistical information furnished under the Act
by any person and identifiable to any specific private person for any
purpose other than the purpose for which the information was obtained.
Such information and copies thereof shall be immune from legal process,
and shall not, without the consent of the person furnishing such
information, be admitted as evidence or used for any purpose in any
action, suit, or other judicial, legislative, or administrative
proceedings.
c. Human Subject Protection
All research involving human subjects shall be conducted with the
informed consent of those subjects and in a manner that will ensure
their privacy and freedom from risk or harm and the protection of
persons who are not subjects of the research but would be affected by
it, unless such procedures and safeguards would make the research
impractical. In such instances, the Institute must approve procedures
designed by the grantee to provide human subjects with relevant
information about the research after their involvement and to minimize
or eliminate risk or harm to those subjects due to their participation.
15. State and Local Court Applications
Each application for funding from a State or local court must be
approved, consistent with State law, by the State's Supreme Court, or
its designated agency or council. The Supreme Court or its designee
shall receive, administer, and be accountable for all funds awarded on
the basis of such an application. 42 U.S.C. 10705(b)(4).
[[Page 61102]]
16. Supplantation and Construction
To ensure that funds are used to supplement and improve the
operation of State courts, rather than to support basic court services,
funds shall not be used for the following purposes:
a. To supplant State or local funds supporting a program or
activity (such as paying the salary of court employees who would be
performing their normal duties as part of the project, or paying rent
for space which is part of the court's normal operations);
b. To construct court facilities or structures, except to remodel
existing facilities or to demonstrate new architectural or
technological techniques, or to provide temporary facilities for new
personnel or for personnel involved in a demonstration or experimental
program; or
c. Solely to purchase equipment.
17. Suspension or Termination of Funding
After providing a recipient reasonable notice and opportunity to
submit written documentation demonstrating why fund termination or
suspension should not occur, the Institute may terminate or suspend
funding of a project that fails to comply substantially with the Act,
the Guideline, or the terms and conditions of the award. 42 U.S.C.
10708(a).
18. Title to Property
At the conclusion of the project, title to all expendable and
nonexpendable personal property purchased with Institute funds shall
vest in the recipient court, organization, or individual that purchased
the property if certification is made to and approved by the Institute
that the property will continue to be used for the authorized purposes
of the Institute-funded project or other purposes consistent with the
State Justice Institute Act. If such certification is not made or the
Institute disapproves such certification, title to all such property
with an aggregate or individual value of $1,000 or more shall vest in
the Institute, which will direct the disposition of the property.
B. Recipients of Judicial Branch Education Technical Assistance and
Technical Assistance Grants
Recipients of Judicial Branch Education Technical Assistance and
Technical Assistance Grants must comply with the requirements listed in
section VIII.A. (except the requirements pertaining to audits in
section VIII.A.3. and product dissemination and approval in section
VIII.A.11.d. and e.) and the reporting requirements below:
1. Judicial Branch Education Technical Assistance Grant Reporting
Requirements
Recipients of Judicial Branch Education Technical Assistance Grants
must submit one copy of the manuals, handbooks, conference packets, or
consultant's report developed under the grant at the conclusion of the
grant period, along with a final report that includes any evaluation
results and explains how the grantee intends to present the educational
program in the future and/or implement the consultant's
recommendations, as well as two copies of the consultant's report.
2. Technical Assistance Grant Reporting Requirements
Recipients of Technical Assistance Grants must submit to the
Institute one copy of a final report that explains how it intends to
act on the consultant's recommendations, as well as two copies of the
consultant's written report.
C. Scholarship Recipients
1. Scholarship recipients are responsible for disseminating the
information received from the course to their court colleagues locally
and, if possible, throughout the State (e.g., by developing a formal
seminar, circulating the written material, or discussing the
information at a meeting or conference).
Recipients also must submit to the Institute a certificate of
attendance at the program, an evaluation of the educational program
they attended, and a copy of the notice of any scholarship funds
received from other sources. A copy of the evaluation must be sent to
the Chief Justice of the scholarship recipient's State. A State or
local jurisdiction may impose additional requirements on scholarship
recipients.
2. To receive the funds authorized by a scholarship award,
recipients must submit a Scholarship Payment Voucher (Form S3) together
with a tuition statement from the program sponsor, a transportation
fare receipt (or statement of the driving mileage to and from the
recipient's home to the site of the educational program), and a lodging
receipt.
Scholarship Payment Vouchers should be submitted within 90 days
after the end of the course which the recipient attended.
3. Scholarship recipients are encouraged to check with their tax
advisors to determine whether the scholarship constitutes taxable
income under Federal and State law.
IX. Financial Requirements
A. Purpose
The purpose of this section is to establish accounting system
requirements and offer guidance on procedures to assist all grantees,
subgrantees, contractors, and other organizations in:
1. Complying with the statutory requirements for the award,
disbursement, and accounting of funds;
2. Complying with regulatory requirements of the Institute for the
financial management and disposition of funds;
3. Generating financial data to be used in planning, managing, and
controlling projects; and
4. Facilitating an effective audit of funded programs and projects.
B. References
Except where inconsistent with specific provisions of this
Guideline, the following circulars are applicable to Institute grants
and cooperative agreements under the same terms and conditions that
apply to Federal grantees. The circulars supplement the requirements of
this section for accounting systems and financial record-keeping and
provide additional guidance on how these requirements may be satisfied.
(Circulars may be obtained on the OMB Web site at http://www.whitehouse.gov/omb.
)
1. Office of Management and Budget (OMB) Circular A-21, Cost
Principles for Educational Institutions.
2. Office of Management and Budget (OMB) Circular A-87, Cost
Principles for State and Local Governments.
3. Office of Management and Budget (OMB) Circular A-88, Indirect
Cost Rates, Audit and Audit Follow-up at Educational Institutions.
4. Office of Management and Budget (OMB) Circular A-102, Uniform
Administrative Requirements for Grants-in-Aid to State and Local
Governments.
5. Office of Management and Budget (OMB) Circular A-110, Grants
and Agreements with Institutions of Higher Education, Hospitals and
Other Non-Profit Organizations.
6. Office of Management and Budget (OMB) Circular A-122, Cost
Principles for Non-profit Organizations.
7. Office of Management and Budget (OMB) Circular A-128, Audits
of State and Local Governments.
8. Office of Management and Budget (OMB) Circular A-133, Audits
of Institutions of Higher Education and Other Non-profit
Institutions.
[[Page 61103]]
C. Supervision and Monitoring Responsibilities
1. Grantee Responsibilities
All grantees receiving awards from the Institute are responsible
for the management and fiscal control of all funds. Responsibilities
include accounting for receipts and expenditures, maintaining adequate
financial records, and refunding expenditures disallowed by audits.
2. Responsibilities of State Supreme Court
a. Each application for funding from a State or local court must be
approved, consistent with State law, by the State's Supreme Court, or
its designated agency or council. (See section III.F.)
b. The State Supreme Court or its designee shall receive all
Institute funds awarded to such courts; be responsible for assuring
proper administration of Institute funds; and be responsible for all
aspects of the project, including proper accounting and financial
record-keeping by the subgrantee. These responsibilities include:
(1) Reviewing Financial Operations. The State Supreme Court or its
designee should be familiar with, and periodically monitor, its
subgrantees' financial operations, records system, and procedures.
Particular attention should be directed to the maintenance of current
financial data.
(2) Recording Financial Activities. The subgrantee's grant award or
contract obligation, as well as cash advances and other financial
activities, should be recorded in the financial records of the State
Supreme Court or its designee in summary form. Subgrantee expenditures
should be recorded on the books of the State Supreme Court or evidenced
by report forms duly filed by the subgrantee. Matching contributions
provided by subgrantees should likewise be recorded, as should any
project income resulting from program operations.
(3) Budgeting and Budget Review. The State Supreme Court or its
designee should ensure that each subgrantee prepares an adequate budget
as the basis for its award commitment. The State Supreme Court should
maintain the details of each project budget on file.
(4) Accounting for Match. The State Supreme Court or its designee
will ensure that subgrantees comply with the match requirements
specified in this Guideline (see section VIII.A.8.).
(5) Audit Requirement. The State Supreme Court or its designee is
required to ensure that subgrantees meet the necessary audit
requirements set forth by the Institute (see sections K. below and
VIII.A.3.)
(6) Reporting Irregularities. The State Supreme Court, its
designees, and its subgrantees are responsible for promptly reporting
to the Institute the nature and circumstances surrounding any financial
irregularities discovered.
D. Accounting System
The grantee is responsible for establishing and maintaining an
adequate system of accounting and internal controls and for ensuring
that an adequate system exists for each of its subgrantees and
contractors. An acceptable and adequate accounting system:
1. Properly accounts for receipt of funds under each grant awarded
and the expenditure of funds for each grant by category of expenditure
(including matching contributions and project income);
2. Assures that expended funds are applied to the appropriate
budget category included within the approved grant;
3. Presents and classifies historical costs of the grant as
required for budgetary and evaluation purposes;
4. Provides cost and property controls to assure optimal use of
grant funds;
5. Is integrated with a system of internal controls adequate to
safeguard the funds and assets covered, check the accuracy and
reliability of the accounting data, promote operational efficiency, and
assure conformance with any general or special conditions of the grant;
6. Meets the prescribed requirements for periodic financial
reporting of operations; and
7. Provides financial data for planning, control, measurement, and
evaluation of direct and indirect costs.
E. Total Cost Budgeting and Accounting
Accounting for all funds awarded by the Institute must be
structured and executed on a total project cost basis. That is, total
project costs, including Institute funds, State and local matching
shares, and any other fund sources included in the approved project
budget serve as the foundation for fiscal administration and
accounting. Grant applications and financial reports require budget and
cost estimates on the basis of total costs.
1. Timing of Matching Contributions
Matching contributions need not be applied at the exact time of the
obligation of Institute funds. Ordinarily, the full matching share must
be obligated during the award period; however, with the written
permission of the Institute, contributions made following approval of
the grant by the Institute's Board of Directors but before the
beginning of the grant may be counted as match. Grantees that do not
contemplate making matching contributions continuously throughout the
course of a project, or on a task-by-task basis, are required to submit
a schedule within 30 days after the beginning of the project period
indicating at what points during the project period the matching
contributions will be made. If a proposed cash or in-kind match is not
fully met, the Institute may reduce the award amount accordingly to
maintain the ratio of grant funds to matching funds stated in the award
agreement.
2. Records for Match
All grantees must maintain records that clearly show the source,
amount, and timing of all matching contributions. In addition, if a
project has included, within its approved budget, contributions which
exceed the required matching portion, the grantee must maintain records
of those contributions in the same manner as it does Institute funds
and required matching shares. For all grants made to State and local
courts, the State Supreme Court has primary responsibility for grantee/
subgrantee compliance with the requirements of this section. (See
section IX.C.2. above.)
F. Maintenance and Retention of Records
All financial records, including supporting documents, statistical
records, and all other information pertinent to grants, subgrants,
cooperative agreements, or contracts under grants, must be retained by
each organization participating in a project for at least three years
for purposes of examination and audit. State Supreme Courts may impose
record retention and maintenance requirements in addition to those
prescribed in this section.
1. Coverage
The retention requirement extends to books of original entry,
source documents supporting accounting transactions, the general
ledger, subsidiary ledgers, personnel and payroll records, canceled
checks, and related documents and records. Source documents include
copies of all grant and subgrant awards, applications, and required
grantee/subgrantee financial and narrative reports. Personnel and
payroll records shall include the time and attendance reports for all
individuals reimbursed under a grant, subgrant or contract, whether
they are
[[Page 61104]]
employed full-time or part-time. Time and effort reports are required
for consultants.
2. Retention Period
The three-year retention period starts from the date of the
submission of the final expenditure report.
3. Maintenance
Grantees and subgrantees are expected to see that records of
different fiscal years are separately identified and maintained so that
requested information can be readily located. Grantees and subgrantees
are also obligated to protect records adequately against fire or other
damage.
When records are stored away from the grantee's/subgrantee's
principal office, a written index of the location of stored records
should be on hand, and ready access should be assured.
4. Access
Grantees and subgrantees must give any authorized representative of
the Institute access to and the right to examine all records, books,
papers, and documents related to an Institute grant.
G. Project-Related Income
Records of the receipt and disposition of project-related income
must be maintained by the grantee in the same manner as required for
the project funds that gave rise to the income and must be reported to
the Institute. (See section IX.H.2. below.) The policies governing the
disposition of the various types of project-related income are listed
below.
1. Interest
A State and any agency or instrumentality of a State, including
institutions of higher education and hospitals, shall not be held
accountable for interest earned on advances of project funds. When
funds are awarded to subgrantees through a State, the subgrantees are
not held accountable for interest earned on advances of project funds.
Local units of government and nonprofit organizations that are grantees
must refund any interest earned. Grantees shall ensure minimum balances
in their respective grant cash accounts.
2. Royalties
The grantee/subgrantee may retain all royalties received from
copyrights or other works developed under projects or from patents and
inventions, unless the terms and conditions of the grant provide
otherwise.
3. Registration and Tuition Fees
Registration and tuition fees may be considered as cash match with
the prior written approval of the Institute. Estimates of registration
and tuition fees, and any expenses to be offset by the fees, should be
included in the application budget forms and narrative.
4. Income from the Sale of Grant Products
If the sale of products occurs during the project period, the
income may be treated as cash match with the prior written approval of
the Institute. The costs and income generated by the sales must be
reported on the Quarterly Financial Status Reports and documented in an
auditable manner. Whenever possible, the intent to sell a product
should be disclosed in the application or reported to the Institute in
writing once a decision to sell products has been made. The grantee
must request approval to recover its product development, reproduction,
and dissemination costs as specified in section VIII.A.11.b.
5. Other
Other project income shall be treated in accordance with
disposition instructions set forth in the grant's terms and conditions.
H. Payments and Financial Reporting Requirements
1. Payment of Grant Funds
The procedures and regulations set forth below are applicable to
all Institute grant funds and grantees.
a. Request for Advance or Reimbursement of Funds. Grantees will
receive funds on a ``check-issued'' basis. Upon receipt, review, and
approval of a Request for Advance or Reimbursement by the Institute, a
check will be issued directly to the grantee or its designated fiscal
agent. A request must be limited to the grantee's immediate cash needs.
The Request for Advance or Reimbursement, along with the instructions
for its preparation, will be included in the official Institute award
package.
b. Continuation Grants. For purposes of submitting Requests for
Advance or Reimbursement, recipients of continuation grants should
treat each grant as a new project and number the requests accordingly
(i.e., on a grant rather than a project basis). For example, the first
request for payment from a continuation grant would be number 1, the
second number 2, etc.
c. Termination of Advance and Reimbursement Funding. When a grantee
organization receiving cash advances from the Institute:
(1) Demonstrates an unwillingness or inability to attain program or
project goals, or to establish procedures that will minimize the time
elapsing between cash advances and disbursements, or cannot adhere to
guideline requirements or special conditions;
(2) Engages in the improper award and administration of subgrants
or contracts; or
(3) Is unable to submit reliable and/or timely reports; the
Institute may terminate advance financing and require the grantee
organization to finance its operations with its own working capital.
Payments to the grantee shall then be made by check to reimburse the
grantee for actual cash disbursements. In the event the grantee
continues to be deficient, the Institute may suspend reimbursement
payments until the deficiencies are corrected.
d. Principle of Minimum Cash on Hand. Grantees should request funds
based upon immediate disbursement requirements. Grantees should time
their requests to ensure that cash on hand is the minimum needed for
disbursements to be made immediately or within a few days.
2. Financial Reporting
a. General Requirements. To obtain financial information concerning
the use of funds, the Institute requires that grantees/subgrantees
submit timely reports for review.
b. Two copies of the Financial Status Report are required from all
grantees, other than scholarship recipients, for each active quarter on
a calendar-quarter basis. This report is due within 30 days after the
close of the calendar quarter. It is designed to provide financial
information relating to Institute funds, State and local matching
shares, project income, and any other sources of funds for the project,
as well as information on obligations and outlays. A copy of the
Financial Status Report, along with instructions for its preparation,
is included in each official Institute Award package. If a grantee
requests substantial payments for a project prior to the completion of
a given quarter, the Institute may request a brief summary of the
amount requested, by object class, to support the Request for Advance
or Reimbursement.
c. Additional Requirements for Continuation Grants. Grantees
receiving continuation grants should number their quarterly Financial
Status Reports on a grant rather than a project basis. For example, the
first quarterly report for a continuation grant award should be number
1, the second number 2, etc.
[[Page 61105]]
3. Consequences of Non-Compliance With Submission Requirement
Failure of the grantee to submit required financial and progress
reports may result in suspension or termination of grant payments.
I. Allowability of Costs
1. General
Except as may be otherwise provided in the conditions of a
particular grant, cost allowability is determined in accordance with
the principles set forth in OMB Circulars A-21, Cost Principles
Applicable to Grants and Contracts with Educational Institutions; A-87,
Cost Principles for State and Local Governments; and A-122, Cost
Principles for Non-profit Organizations. No costs may be recovered to
liquidate obligations incurred after the approved grant period.
Circulars may be obtained on the OMB Web site at http://www.whitehouse.gov/omb
.
2. Costs Requiring Prior Approval
a. Pre-agreement Costs. The written prior approval of the Institute
is required for costs considered necessary but which occur prior to the
start date of the project period.
b. Equipment. Grant funds may be used to purchase or lease only
that equipment essential to accomplishing the goals and objectives of
the project. The written prior approval of the Institute is required
when the amount of automated data processing (ADP) equipment to be
purchased or leased exceeds $10,000 or software to be purchased exceeds
$3,000.
c. Consultants. The written prior approval of the Institute is
required when the rate of compensation to be paid a consultant exceeds
$300 a day. Institute funds may not be used to pay a consultant more
than $900 per day.
d. Budget Revisions. Budget revisions among direct cost categories
that (i) transfer grant funds to an unbudgeted cost category or (ii)
individually or cumulatively exceed five percent (5%) of the approved
original budget or the most recently approved revised budget require
prior Institute approval. See section X.A.1.
3. Travel Costs
Transportation and per diem rates must comply with the policies of
the grantee. If the grantee does not have an established written travel
policy, then travel rates must be consistent with those established by
the Institute or the Federal Government. Institute funds may not be
used to cover the transportation or per diem costs of a member of a
national organization to attend an annual or other regular meeting of
that organization.
4. Indirect Costs
These are costs of an organization that are not readily assignable
to a particular project but are necessary to the operation of the
organization and the performance of the project. The cost of operating
and maintaining facilities, depreciation, and administrative salaries
are examples of the types of costs that are usually treated as indirect
costs. Although the Institute's policy requires all costs to be
budgeted directly, it will accept indirect costs if a grantee has an
indirect cost rate approved by a Federal agency as set forth below.
However, recoverable indirect costs are limited to no more than 75% of
a grantee's direct personnel costs (salaries plus fringe benefits).
Grantees may apply unrecoverable indirect costs to meet their required
matching contributions, including the required level of cash match. See
sections III.L. and VI.A.4.d.(11).
a. Approved Plan Available. (1) A copy of an indirect cost rate
agreement or allocation plan approved for a grantee during the
preceding two years by any Federal granting agency on the basis of
allocation methods substantially in accord with those set forth in the
applicable cost circulars must be submitted to the Institute.
(2) Where flat rates are accepted in lieu of actual indirect costs,
grantees may not also charge expenses normally included in overhead
pools, e.g., accounting services, legal services, building occupancy
and maintenance, etc., as direct costs.
b. Establishment of Indirect Cost Rates. To be reimbursed for
indirect costs, a grantee must first establish an appropriate indirect
cost rate. To do this, the grantee must prepare an indirect cost rate
proposal and submit it to the Institute within three months after the
start of the grant period to assure recovery of the full amount of
allowable indirect costs. The rate must be developed in accordance with
principles and procedures appropriate to the type of grantee
institution involved as specified in the applicable OMB Circular.
c. No Approved Plan. If an indirect cost proposal for recovery of
indirect costs is not submitted to the Institute within three months
after the start of the grant period, indirect costs will be irrevocably
disallowed for all months prior to the month that the indirect cost
proposal is received.
J. Procurement and Property Management Standards
1. Procurement Standards
For State and local governments, the Institute has adopted the
standards set forth in Attachment O of OMB Circular A-102. Institutions
of higher education, hospitals, and other non-profit organizations will
be governed by the standards set forth in Attachment O of OMB Circular
A-110.
2. Property Management Standards
The property management standards as prescribed in Attachment N of
OMB Circulars A-102 and A-110 apply to all Institute grantees and
subgrantees except as provided in section VIII.A.18. All grantees/
subgrantees are required to be prudent in the acquisition and
management of property with grant funds. If suitable property required
for the successful execution of projects is already available within
the grantee or subgrantee organization, expenditures of grant funds for
the acquisition of new property will be considered unnecessary.
K. Audit Requirements
1. Implementation
Each recipient of a Project or Continuation Grant must provide for
an annual fiscal audit. This requirement also applies to a State or
local court receiving a subgrant from the State Supreme Court. The
audit may be of the entire grantee or subgrantee organization or of the
specific project funded by the Institute. Audits conducted in
accordance with the Single Audit Act of 1984 and OMB Circular A-128, or
OMB Circular A-133, will satisfy the requirement for an annual fiscal
audit. The audit must be conducted by an independent Certified Public
Accountant, or a State or local agency authorized to audit government
agencies. Grantees must send two copies of the audit report to the
Institute. Grantees that receive funds from a Federal agency and
satisfy audit requirements of the cognizant Federal agency must submit
two copies of the audit report prepared for that Federal agency to the
Institute in order to satisfy the provisions of this section.
2. Resolution and Clearance of Audit Reports
Timely action on recommendations by responsible management
officials is an integral part of the effectiveness of an audit. Each
grantee must have policies and procedures for acting on audit
recommendations by designating officials responsible for: follow-up;
maintaining a record of the actions
[[Page 61106]]
taken on recommendations and time schedules; responding to and acting
on audit recommendations; and submitting periodic reports to the
Institute on recommendations and actions taken.
3. Consequences of Non-Resolution of Audit Issues
Ordinarily, the Institute will not make a subsequent grant award to
an applicant that has an unresolved audit report involving Institute
awards. Failure of the grantee to resolve audit questions may also
result in the suspension or termination of payments for active
Institute grants to that organization.
L. Close-Out of Grants
1. Grantee Close-Out Requirements
Within 90 days after the end date of the grant or any approved
extension thereof (see section IX.L.2. below), the following documents
must be submitted to the Institute by grantees (other than scholarship
recipients):
a. Financial Status Re