Notice2022-21814
Grant Guideline; Notice
Primary source
Metadata and text below are from the Federal Register, a public-domain U.S. government work. Always verify the official published version before relying on it for any legal matter.
Published
October 7, 2022
Issuing agencies
State Justice Institute
Abstract
This guideline sets forth the administrative, programmatic, and financial requirements attendant to Fiscal Year 2023 State Justice Institute grants.
Full Text
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<title>Federal Register, Volume 87 Issue 194 (Friday, October 7, 2022)</title>
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[Federal Register Volume 87, Number 194 (Friday, October 7, 2022)]
[Notices]
[Pages 61116-61132]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2022-21814]
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STATE JUSTICE INSTITUTE
Grant Guideline; Notice
AGENCY: State Justice Institute.
ACTION: Grant guideline for FY 2023.
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SUMMARY: This guideline sets forth the administrative, programmatic,
and financial requirements attendant to Fiscal Year 2023 State Justice
Institute grants.
DATES: October 7, 2022.
ADDRESSES: State Justice Institute, 12700 Fair Lakes Circle, Suite 340,
Fairfax, VA 22033.
FOR FURTHER INFORMATION CONTACT: Jonathan Mattiello, Executive
Director, State Justice Institute, 703-660-4979,
<a href="/cdn-cgi/l/email-protection#600a0f0e011408010e4e0d01141409050c0c0f20130a094e070f16"><span class="__cf_email__" data-cfemail="c1abaeafa0b5a9a0afefaca0b5b5a8a4adadae81b2aba8efa6aeb7">[email protected]</span></a>.
SUPPLEMENTARY INFORMATION: Pursuant to the State Justice Institute Act
of 1984 (42 U.S.C. 10701 et seq.), the State Justice Institute is
authorized to award grants, cooperative agreements, and contracts to
State and local courts, nonprofit organizations, and others for the
purpose of improving the quality of justice in the State courts of the
United States.
The following Grant Guideline is adopted by the State Justice
Institute for FY 2023.
Table of Contents
I. Eligibility
II. Grant Application Deadlines
III. The Mission of the State Justice Institute
IV. Grant Types
V. Application and Submission Information
VI. How To Apply
VII. Post-Award Reporting Requirements
VIII. Compliance Requirements
IX. Financial Requirements
X. Grant Adjustments
I. Eligibility
Pursuant to the State Justice Institute Act of 1984 (42 U.S.C.
10701 et seq.), the State Justice Institute (SJI) is authorized to
award grants, cooperative agreements, and contracts to State and local
courts, national nonprofit organizations, and others for the purpose of
improving the quality of justice in the State courts of the United
States. SJI is authorized by Congress to award grants, cooperative
agreements,
[[Page 61117]]
and contracts to the following entities and types of organizations:
<bullet> State and local courts and their agencies (42 U.S.C.
10705(b)(1)(A)).
<bullet> 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)).
<bullet> 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:
[ssquf] the principal purpose or activity of the applicant is to
provide education and training to State and local judges and court
personnel; and
[ssquf] the applicant demonstrates a record of substantial
experience in the field of judicial education and training.
<bullet> Other eligible grant recipients (42 U.S.C. 10705 (b)(2)(A)
through (D)).
[ssquf] Provided that the objectives of the project can be served
better, SJI is also authorized to make awards to:
[cir] Nonprofit organizations with expertise in judicial
administration
[cir] Institutions of higher education
[cir] Individuals, partnerships, firms, corporations (for-profit
organizations must waive their fees)
[cir] Private agencies with expertise in judicial administration
[ssquf] SJI may also make awards to State or local agencies and
institutions other than courts for services that cannot be adequately
provided through nongovernmental arrangements (42 U.S.C. 10705(b)(3)).
SJI is prohibited from awarding grants to Federal, tribal, and
international courts.
II. Grant Application Deadlines
The SJI Board of Directors makes awards on a Federal fiscal year
quarterly basis. Applications may be submitted at any time but will be
considered for award based only on the timetable below.
Table 1--Application Deadlines by Federal Fiscal Year Quarter
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Federal fiscal year quarter Application due date
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1......................................... November 1.
2......................................... February 1.
3......................................... May 1.
4......................................... August 1.
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To be considered timely, an application must be submitted by the
application deadline noted above. Applicants must use the SJI Grants
Management System (GMS) to submit all applications and post-award
documents. The SJI GMS is accessible at <a href="https://gms.sji.gov">https://gms.sji.gov</a>. SJI urges
applicants to submit applications at least 72 hours prior to the
application due date to allow time for the applicant to receive an
application acceptance message and to correct in a timely fashion any
problems that may arise, such as missing or incomplete forms.
Questions related to the SJI Grant Program or the SJI GMS should be
directed to <a href="/cdn-cgi/l/email-protection#beddd1d0cadfddcafecdd4d790d9d1c8"><span class="__cf_email__" data-cfemail="2e4d41405a4f4d5a6e5d444700494158">[email protected]</span></a>.
III. The Mission of the State Justice Institute
The State Justice Institute Authorization Act of 1984 (42 U.S.C.
10701 et seq.) established SJI to improve the administration of justice
in the State courts of the United States. Incorporated in the State of
Virginia as a private, nonprofit corporation, SJI is charged, by
statute, with the responsibility to:
<bullet> direct a national program of financial assistance designed
to ensure that each citizen of the United States is provided ready
access to a fair and effective system of justice;
<bullet> foster coordination and cooperation with the Federal
judiciary;
<bullet> promote recognition of the importance of the separation of
powers doctrine to an independent judiciary; and
<bullet> encourage education for judges and support personnel of
State court systems through national and State organizations.
To accomplish these broad objectives, SJI is authorized to provide
funding to State courts, national organizations that 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.
Through the award of grants, contracts, and cooperative agreements,
SJI is authorized to perform the following activities:
<bullet> support technical assistance, demonstrations, special
projects, research, and training to improve the administration of
justice in the State courts;
<bullet> provide for the preparation, publication, and
dissemination of information regarding State judicial systems;
<bullet> participate in joint projects with Federal agencies and
other private grantors;
<bullet> evaluate or provide for the evaluation of programs and
projects to determine their impact upon the quality of criminal, civil,
and juvenile justice and the extent to which they have contributed to
improving the quality of justice in the State courts;
<bullet> encourage and assist in furthering judicial education; and
<bullet> encourage, assist, and serve in a consulting capacity
State and local courts in the development, maintenance, and
coordination of criminal, civil, and juvenile justice programs and
services.
SJI is supervised by a Board of Directors appointed by the U.S.
President, with the advice and consent of the U.S. Senate. The SJI
Board of Directors is statutorily composed of six judges; a State court
administrator; and four members of the public, no more than two of the
same political party. Additional information about SJI, including a
list of members of the SJI Board of Directors, is available at <a href="https://www.sji.gov">https://www.sji.gov</a>.
a. Priority Investment Areas
The SJI Board of Directors has established Priority Investment
Areas for grant funding. SJI will allocate significant financial
resources through grant-making for these Priority Investment Areas. The
Priority Investment Areas are applicable to all grant types. SJI
strongly encourages potential grant applicants to consider projects
addressing one or more of these Priority Investment Areas and to
integrate the following factors into each proposed project:
<bullet> evidence-based, data-driven decision-making;
<bullet> cross-sector collaboration;
<bullet> systemic approaches (as opposed to standalone programs);
<bullet> institutionalization of new court processes and
procedures;
<bullet> ease of replication; and
<bullet> sustainability.
For FY 2023, the Priority Investment Areas are listed below in no
specific order.
1. Opioids and Other Dangerous Drugs, and Behavioral Health Responses
<bullet> Behavioral Health Disparities--Research indicates that
justice-involved persons have significantly greater proportions of
mental, substance use, and co-occurring disorders than are found in the
public. SJI supports cross-sector collaboration and information sharing
that emphasizes policies and practices designed to improve court
responses to justice-involved persons with behavioral health and other
co-occurring needs.
<bullet> Trauma-Informed Approaches--Judges, court staff, system
stakeholders, and court-involved persons (defendants, respondents, and
victims) alike may be
[[Page 61118]]
impacted by prior trauma. This is particularly, but not exclusively,
true for those with mental illness and/or substance use disorders. SJI
supports trauma-informed training, policies, and practices in all
aspects of the judicial process.
2. Promoting Access to Justice and Procedural Fairness
<bullet> Self-Represented Litigation--SJI promotes court-based
solutions to address increases in self-represented litigants; helps
make courts more user-friendly by simplifying court forms; provides
one-on-one assistance; develops guides, handbooks, and instructions on
how to proceed; develops court-based self-help centers; and uses
internet technologies to increase access. These projects are improving
outcomes for litigants and saving valuable court resources.
<bullet> Language Access--SJI supports language access in the State
courts through remote interpretation (outside the courtroom),
interpreter training and certification, courtroom services (plain
language forms, websites, etc.), and addressing the requirements of
Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d et seq.) and
the Omnibus Crime Control and Safe Streets Act (34 U.S.C. 10101 et
seq.).
<bullet> Procedural Fairness--A fundamental role of courts is to
ensure fair processes and just outcomes for litigants. SJI promotes the
integration of research-based procedural fairness principles, policies,
and practices into State court operations to increase public trust and
confidence in the court system, reduce recidivism, and increase
compliance with court orders.
3. Reducing Disparities and Protecting Victims, Underserved, and
Vulnerable Populations
<bullet> Disparities in Justice--SJI supports research and data-
driven approaches that examine statutory requirements, policies, and
practices that result in disparities for justice-involved persons.
These disparities can be because of inequities in socioeconomic,
racial, ethnic, gender, age, health, or other factors. In addition to
identifying disparities, SJI promotes systemic approaches to reducing
disparities.
<bullet> Human Trafficking--SJI addresses the impact of Federal and
State human trafficking laws on the State courts, and the challenges
faced by State courts in dealing with cases involving trafficking
victims and their families. These efforts are intended to empower State
courts to identify victims, link them with vital services, and hold
traffickers accountable.
<bullet> Rural Justice--Rural areas and their justice systems
routinely have fewer resources and more barriers than their urban
counterparts, such as unavailability of services, lack of
transportation, and smaller workforces. Programs and practices that are
effective in urban areas are often inappropriate and/or lack supported
research for implementation in rural areas. SJI supports rural courts
by identifying promising and best practices, and promoting resources,
education, and training opportunities uniquely designed for rural
courts and court users.
<bullet> Guardianship, Conservatorship, and Elder Issues--SJI
assists courts in improving court oversight of guardians and
conservators for the elderly and incapacitated adults through visitor
programs, electronic reporting, and training.
4. Advancing Justice Reform
<bullet> Criminal Justice Reform--SJI assists State courts in
taking a leadership role in reviewing fines, fees, and bail practices
to ensure processes are fair and access to justice is assured;
implements alternative forms of sanction; develops processes for
indigency review; promotes transparency, governance, and structural
reforms that promote access to justice, accountability, and oversight;
and implements innovative diversion and reentry programs that serve to
improve outcomes for justice-involved persons and the justice system.
<bullet> Juvenile Justice Reform--SJI supports innovative projects
that advance best practices in handling dependency and delinquency
cases; promote effective court oversight of juveniles in the justice
system; address the impact of trauma on juvenile behavior; assist the
courts in identification of appropriate provision of services for
juveniles; and address juvenile reentry.
<bullet> Family and Civil Justice Reform--SJI promotes court-based
solutions for the myriad of civil case types, such as domestic
relations, housing, employment, and debt collection, which are
overwhelming court dockets.
5. Transforming Courts
<bullet> Emergency Response and Recovery--Courts must be prepared
for natural disasters and public health emergencies and
institutionalize the most effective and efficient practices and
processes that evolve during response and recovery. SJI supports
projects that look to the future of judicial service delivery by
identifying and replicating innovations and alternate means of
conducting court business due to public health emergencies such as
pandemics and natural disasters such as hurricanes, earthquakes, and
wildfires.
<bullet> Cybersecurity--Courts must also be prepared for
cyberattacks on court systems, such as denial of service and ransomware
attacks on court case management systems, websites, and other critical
information technology infrastructure. SJI supports projects that
assist courts in preparing for and responding to these attacks, and
share lessons learned to courts across the United States.
<bullet> Technology--Courts must integrate technological advances
into daily judicial processes and proceedings. SJI supports projects
that institutionalize the innovative technology that has successfully
advanced the use of electronic filing and payment systems, online
dispute resolution, remote work, and virtual court proceedings. SJI
promotes projects that streamline case filing and management processes,
thereby reducing time and costs to litigants and the courts; provide
online access to courts to litigants so that disputes can be resolved
more efficiently; and make structural changes to court services that
enable them to evolve into an online environment.
<bullet> Strategic Planning--Courts must rely on a deliberate
process to determine organizational values, mission, vision, goals, and
objectives. SJI promotes structured planning processes and
organizational assessments to assist courts in setting priorities,
allocating resources, and identifying areas for ongoing improvements in
efficiency and effectiveness. Strategic planning includes elements of
court governance, data collection, management, analysis, sharing, and
sustainable court governance models that drive decision-making.
Strategic plans and outcomes must be communicated to judges, court
staff, justice partners, and the public.
<bullet> Training, Education, and Workforce Development--State
courts require a workforce that is adaptable to public demands for
services. SJI supports projects that focus on the tools needed to
enable judges, court managers, and staff to be innovative, forward-
thinking court leaders.
IV. Grant Types
SJI supports five types of grants: Project, Technical Assistance
(TA), Curriculum Adaptation and Training (CAT), Strategic Initiatives
Grants (SIG) Program, and the Education Support Program (ESP). A brief
description of each type of grant is below.
[[Page 61119]]
a. Project Grant
Project Grants are intended to support innovative education and
training, research and evaluation, demonstration, and technical
assistance projects that can improve the administration of justice in
State courts locally or nationwide. State court and national nonprofit
applicants may request up to $300,000 for 36 months. Local court
applicants may request up to $200,000 for 24 months. Examples of
expenses not covered by Project Grants include the salaries, benefits,
or travel of full- or part-time court employees. Funding may not be
used for the ordinary, routine operations of court systems.
All applicants for Project Grants must contribute a cash match
greater than or equal to the SJI award amount. This means that grant
awards by SJI must be matched at least dollar for dollar by grant
applicants. For example, an applicant seeking a $300,000 Project Grant
must provide a cash match of at least $300,000. Applicants may
contribute the required cash match directly or in cooperation with
third parties. Funding from other Federal departments or agencies may
not be used for a cash match.
b. TA Grant
TA Grants are intended to provide State or local courts, or
regional court associations, with sufficient support to obtain expert
assistance to diagnose a problem, develop a response to that problem,
and implement any needed changes. TA Grants may not exceed $75,000 or
12 months in duration. In calculating project duration, applicants are
cautioned to fully consider the time required to issue a request for
proposals, negotiate a contract with the selected provider, and execute
the project. Funds may not be used for salaries, benefits, or travel of
full- or part-time court employees.
Applicants for TA Grants are required to contribute a total match
(cash and in-kind) of not less than 50 percent of the SJI award amount,
of which 20 percent must be cash. For example, an applicant seeking a
$75,000 TA Grant must provide a $37,500 match, of which up to $30,000
can be in-kind and not less than $7,500 must be cash. Funding from
other Federal departments and agencies may not be used for a cash
match.
c. CAT Grant
CAT Grants are intended to: (1) enable courts or national court
associations to modify and adapt model curricula, course modules, or
conference programs to meet States' or local jurisdictions' educational
needs; train instructors to present portions or all of the curricula;
and pilot-test them to determine their appropriateness, quality, and
effectiveness; or (2) conduct judicial branch education and training
programs, led by either expert or in-house personnel, designed to
prepare judges and court personnel for innovations, reforms, and/or new
technologies recently adopted by grantee courts. CAT Grants may not
exceed $40,000 or 12 months in duration. Examples of expenses not
covered by CAT Grants include the salaries, benefits, or travel of
full- or part-time court employees.
Applicants for CAT Grants are required to contribute a total match
(cash and in-kind) of not less than 50 percent of the SJI award amount,
of which 20 percent must be cash. For example, an applicant seeking a
$40,000 CAT Grant must provide a $20,000 match, of which up to $16,000
can be in-kind and not less than $4,000 must be cash. Funding from
other Federal departments and agencies may not be used for a cash
match.
d. SIG Program
The SIG Program provides SJI with the flexibility to address
national court issues as they occur and develop solutions to those
problems. This is an innovative approach where SJI uses its expertise
and the expertise and knowledge of its grantees to address key issues
facing State courts across the United States.
The funding is used for grants or contractual services and is
handled at the discretion of the SJI Board of Directors and staff. SJI
requires the submission of a concept paper prior to the full
application process. Only applicants that submit an approved concept
paper will be invited to submit a full application for funding.
Potential applicants are strongly encouraged to contact SJI prior to
submitting a concept paper for guidance on this initial step.
e. ESP for Judges and Court Managers
The ESP is intended to enhance the skills, knowledge, and abilities
of State court judges and court managers by enabling them to attend
out-of-State, or to enroll in online educational and training programs
sponsored by national and State providers they could not otherwise
attend or take online because of limited State, local, and personal
budgets. The program covers only the cost of tuition up to a maximum of
$1,000 per course.
The ESP is administered by the National Judicial College (NJC) and
the National Center for State Courts (NCSC)/Institute for Court
Management (ICM), in partnership with SJI. For NJC courses, register
online at <a href="https://www.judges.org/courses">https://www.judges.org/courses</a>. For ICM courses, register
online at <a href="https://www.ncsc.org/education-and-careers/icm-courses">https://www.ncsc.org/education-and-careers/icm-courses</a>.
During the respective registration processes, each website will ask
whether a scholarship is needed to participate. Follow the online
instructions to request tuition assistance.
V. Application and Submission Information
This section describes in detail what an application must include.
An applicant should anticipate that if it fails to submit an
application that contains all the specified project components, it may
negatively affect the review of the application. Applicants must use
the SJI GMS to submit all applications and post-award documents. The
SJI GMS is accessible at <a href="https://gms.sji.gov">https://gms.sji.gov</a>.
a. Application Components
Applicants for SJI grants must submit the following forms and/or
documents via the SJI GMS:
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 SJI. It also requires the signature of an individual
authorized to certify on behalf of the applicant that the information
contained in the application is true and complete; submission of the
application has been authorized by the applicant; and, 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 in section V.A.4, Assurances (Form D) of this
guideline.
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 State court
administrator. The signature denotes that the proposed project has been
approved by the State's highest court or the agency or council it has
designated. Further, the signature denotes, if applicable, a cash match
reduction has been requested, and that if SJI approves funding for the
project, the court or the specified designee will receive, administer,
and be accountable for the awarded funds.
3. Budget Form (Form C)
Applicants must provide a detailed budget and a budget narrative
providing
[[Page 61120]]
an explanation of the basis for the amounts in each budget category. If
funds from other sources are required to conduct the project, either as
a 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)
Form D lists the statutory, regulatory, and policy requirements
with which recipients of SJI funds must comply.
5. Disclosure of Lobbying Activities (Form E)
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.
6. Project Abstract
The abstract must highlight the purposes, goals, methods, and
anticipated benefits of the proposed project. It must not exceed one
single-spaced page and must be uploaded on the ``Attachments'' tab in
the SJI GMS.
7. Program Narrative
The program narrative for an application may not exceed 25 double-
spaced pages on 8\1/2\- by 11-inch paper with 1-inch margins, using a
standard 12-point font. The pages must be numbered. This page limit
does not include the forms, the abstract, the budget narrative, or any
additional attachments. The program narrative must address the
following, noting any specific areas to address by grant type:
i. Statement of Need. Applicants must explain the critical need
they are facing, and how SJI funds will enable them to meet this
critical need. The applicants must also explain why State or local
resources are not sufficient to fully support the costs of the project.
Applicants must provide a verified source for the data that supports
the statement of the problem (i.e., Federal, State, and local
databases). The discussion must include specific references to the
relevant literature and to the experience in the field. SJI continues
to make all grant reports and most grant products available online
through the NCSC Library and Digital Archive. Applicants are required
to conduct a search of the NCSC Library and Digital Archive on the
topic areas they are addressing. This search must include SJI-funded
grants and previous projects not supported by SJI. Searches for SJI
grant reports and other State court resources begin with the NCSC
Library section. Applicants must discuss the results of their research,
how they plan to incorporate the previous work into their proposed
project, and if the project will differ from prior work.
ii. Project Grants. If the project is to be conducted in any
specific location(s), applicants must discuss the particular needs of
the project site(s) the project would address and why existing
programs, procedures, services, or other resources do not meet those
needs. If the project is not site-specific, the applicants must discuss
the problems that the proposed project would address, and why existing
programs, procedures, services, or other resources cannot adequately
resolve those problems. In addition, applicants must describe how, if
applicable, the project will be sustained in the future through
existing resources.
iii. TA Grants. Applicants must explain why State or local
resources are unable to fully support the modification and presentation
of the model curriculum. The applicants must also describe 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. In addition, applicants must describe how, if applicable,
the project will be sustained in the future through existing resources.
iv. CAT Grants (curriculum adaptation). Applicants must explain why
State or local resources are unable to fully support the modification
and presentation of the model curriculum. The applicants must also
describe 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.
v. CAT Grants (training). Applicants must describe the court reform
or initiative prompting the need for training. Applicants must also
discuss how the proposed training will help them implement planned
changes at the court, and why State or local resources are not
sufficient to fully support the costs of the required training.
vi. SIGs. Applicants must detail the origin of the project (i.e.,
requested by SJI or a request to SJI) and provide a detailed
description of the issue of national impact the proposed project will
address, including any evaluations, reports, resolutions, or other data
to support the need statement.
b. Project Description and Objectives
The applicants must include a clear, concise statement of what the
proposed project is intended to accomplish and how those objectives
will be met. Applicants must delineate the tasks to be performed in
achieving the project objectives and the methods to be used for
accomplishing each task.
Applicants must describe how the proposed project addresses one or
more Priority Investment Areas. If the project does not address one or
more Priority Investment Areas, the applicants must provide an
explanation as to the reason.
1. Application Details by Project Type
i. Project Grants. The applicants must include detailed
descriptions of tasks, methods, and evaluations. For example:
<bullet> Research and evaluation projects. The applicants must
include the data sources, data collection strategies, variables to be
examined, and analytic procedures to be used for conducting the
research or evaluation and ensuring the validity and general
applicability of the results. For projects involving human subjects,
the discussion of methods must address the procedures for obtaining
respondents' informed consent, ensuring the respondents' privacy and
freedom from risk or harm, and protecting others who are not the
subjects of research but would be affected by the research. If the
potential exists for risk or harm to human subjects, a discussion must
be included that explains the value of the proposed research and the
methods to be used to minimize or eliminate such risk. Refer to section
VIII.R.3, Human Subject Protection of this guideline for additional
information.
<bullet> Education and training projects. The applicants must
include the adult education techniques to be used in designing and
presenting the program, including the teaching and learning objectives
of the educational design, the teaching methods to be used, and the
opportunities for structured interaction among the participants. The
opportunities applicants must include are: how faculty would be
recruited, selected, and trained; the proposed number and length of the
conferences, courses, seminars, or workshops to be conducted and the
estimated number of persons who would attend them; the materials to be
provided and how they would be developed; and the cost to participants.
<bullet> Demonstration projects. The applicants must include the
demonstration sites and the reasons they were selected or, if the sites
have not been chosen, how they would be identified; how the applicants
would obtain the cooperation of demonstration sites; and how the
program or procedures would be implemented and monitored.
[[Page 61121]]
<bullet> Technical assistance projects. The applicants must explain
the types of assistance that would be provided, the particular issues
and problems for which assistance would be provided, the type of
assistance determined, how suitable providers would be selected and
briefed, and how reports would be reviewed.
ii. TA Grants. Applicants must identify which organization or
individual will be hired to provide the assistance, and how the
consultant was selected. The applicants must describe the tasks the
consultant will perform, and how the tasks will be accomplished.
If a consultant has not yet been identified, the applicants must
describe the procedures and criteria that will be used to select the
consultant (applicants are expected to follow their jurisdictions'
normal procedures for procuring consultant services).
If the consultant has been identified, the applicants must 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 timeframe and for the
proposed cost. The consultant must agree to submit a detailed written
report to the court and SJI upon completion of the technical
assistance. Applicants must then describe the steps that have been or
will be taken to facilitate implementation of the consultant's
recommendations upon completion of the technical assistance.
The applicants must then address the following questions:
<bullet> What specific tasks will the consultant and court staff
undertake?
<bullet> What is the schedule for completion of each required task
and the entire project?
<bullet> How will the applicant oversee the project and provide
guidance to the consultant, and who at the court or regional court
association would be responsible for coordinating all project tasks and
submitting Quarterly Progress and Financial Status Reports?
iii. CAT Grants (curriculum adaptation). The applicants must
provide the title of the curriculum that will be adapted and identify
the entity that originally developed the curriculum. Applicants must
allow at least 90 days between the potential award date and the date of
the proposed program to allow sufficient time for planning. This period
of time should be reflected in the project timeline. The applicants
must also address the following questions:
<bullet> Why is this education program needed at the present time?
<bullet> What are the project's goals?
<bullet> What are the learning objectives of the adapted
curriculum?
<bullet> What program components would be implemented, and what
types of modifications, if any, are anticipated in length, format,
learning objectives, teaching methods, or content?
<bullet> Who would be responsible for adapting the model
curriculum?
<bullet> Who would the participants be, how many would there be,
how would they be recruited, and from where would they come (e.g., from
a single local jurisdiction, from across the State, from a multistate
region, from across the nation)?
The applicants must also provide the proposed timeline, including
the project start and end dates, the date(s) the judicial branch
education program will be presented, and the process that will be used
to modify and present the program. Applicants must also identify who
will serve as faculty, and how they will be selected, in addition to
the measures taken to facilitate subsequent presentations of the
program.
iv. CAT Grants (training). The applicants must identify the tasks
the trainer will be expected to perform, which organization or
individual will be hired, and, if in-house personnel are not the
trainer, how the trainer will be selected.
If a trainer has not yet been identified, the applicants must
describe the procedures and criteria that will be used to select the
trainer.
If the trainer has been identified, the applicants must provide a
letter from that individual or organization documenting interest in and
availability for the project, as well as the trainer's ability to
complete the assignment within the proposed timeframe and for the
proposed cost.
In addition, the applicants must address the following questions:
<bullet> What specific tasks would the trainer and court staff or
regional court association members undertake?
<bullet> What presentation methods will be used?
<bullet> What is the schedule for completion of each required task
and the entire project?
<bullet> How will the applicant oversee the project and provide
guidance to the trainer, and who at the court or affiliated with the
regional court association would be responsible for coordinating all
project tasks and submitting Quarterly Progress and Financial Status
Reports?
<bullet> The applicant must explain what steps have been or will be
taken to coordinate the implementation of the training. For example, if
the support or cooperation of specific court, regional court
association officials, committees, other agencies, funding bodies,
organizations, or a court other than the applicant will be needed to
adopt the reform and initiate the proposed training, how will the
applicant secure their involvement in the development and
implementation of the training?
v. SIGs. The applicants should expand upon the project description
and objectives described in the approved concept paper. Any and all
feedback and questions submitted by the SJI Board of Directors and
staff during the review of the concept paper should also be
incorporated into the project design.
2. Dissemination Plan
The application must: (1) explain how and to whom the products
would be disseminated; describe how they would benefit the State
courts, including how they could be used by judges and court personnel;
(2) identify development, production, and dissemination costs covered
by the project budget; and (3) present the basis on which products and
services developed or provided under the grant would be offered to the
court community and the public at large (i.e., whether products would
be distributed at no cost to recipients, or if costs are involved, the
reason for charging recipients and the estimated price of the product).
Ordinarily, applicants must schedule all product preparation and
distribution activities within the project period.
The type of product to be prepared depends on the nature of the
project. For example, in most instances, the products of a research,
evaluation, or demonstration project must include: (1) an article
summarizing the project findings that is publishable in a journal
serving the courts community nationally, (2) an executive summary that
would be disseminated to the project's primary audience, or (3) both an
article and executive summary. Applicants proposing to conduct
empirical research or evaluation projects with national import must
describe how they would make their data available for secondary
analysis after the grant period.
The curricula and other products developed through education and
training projects must be designed for use by others and again by the
original participants in the course of their duties. Applicants
proposing to develop web-based products must provide for sending a
notice and description of the document to the appropriate audiences to
alert them to the availability of the website or electronic product
(i.e., a written report with a reference to the website).
[[Page 61122]]
Applicants must submit a final draft of all written grant products
to SJI for review and approval at least 30 days before the products are
submitted for publication or reproduction. For products in website or
multimedia format, applicants must provide for SJI review of the
product at the treatment, script, rough-cut, and final stages of
development, or their equivalents. No grant funds may be obligated for
publication or reproduction of a final grant product without the
written approval of SJI. Project products should be submitted to SJI
electronically in HTML or PDF format.
Applicants must also include in all project products a prominent
acknowledgment that SJI provided support and a disclaimer paragraph
such as, ``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.'' The
``SJI'' logo must appear on the front cover of a written product or in
the opening frames of a website or other multimedia products, unless
SJI approves another placement. The SJI logo can be downloaded from
SJI's website at the bottom of the ``Grants'' page.
3. Staff Capability and Organizational Capacity
An applicant that is not a State or local court and has not
received a grant from SJI within the past 3 years must indicate whether
it is either: (1) a national nonprofit organization controlled by,
operating in conjunction with, and serving the judicial branches of
State governments, or (2) a national nonprofit organization for the
education and training of State court judges and support personnel. If
the applicant is a nonjudicial unit of Federal, State, or local
government, it must explain whether the proposed services could be
adequately provided by nongovernmental entities.
Applicants that have not received a grant from SJI within the past
3 years must include a statement describing their capacity to
administer grant funds, including the financial systems used to monitor
project expenditures (and income, if any), a summary of their past
experience in administering grants, and any resources or capabilities
they have that would particularly assist in the successful completion
of the project.
Unless requested otherwise, an applicant that has received a grant
from SJI within the past 3 years must describe only the changes in its
organizational capacity, tax status, or financial capability that may
affect its capacity to administer a grant. If the applicant is a
nonprofit organization (other than a university), it must also provide
documentation of its 501(c)(3) tax-exempt status as determined by the
Internal Revenue Service and a copy of a current certified audit
report. For the purpose of this requirement, ``current'' means no
earlier than 2 years prior to the present calendar year.
The applicant must include a summary of key staff members' and
consultants' training and experience that qualify them to conduct and
manage the proposed project. Resumes of identified staff should be
attached to the application. If one or more key staff members and
consultants are not known at the time of the application, a description
of the criteria that would be used to select persons for these
positions should be included. The applicant must also identify the
person who would be responsible for managing and reporting on the
financial aspects of the proposed project.
4. Evaluation
Projects must include an evaluation plan to determine whether the
project met its objectives. The evaluation must be designed to provide
an objective and independent assessment of the effectiveness or
usefulness of the training or services provided; the impact of the
procedures, technology, or services tested; or the validity and
applicability of the research conducted. The evaluation plan must be
appropriate to the type of project proposed considering the nature,
scope, and magnitude of the project.
5. Sustainability
Describe how the project will be sustained after SJI assistance
ends. The sustainability plan must describe how current collaborations
and evaluations will be used to leverage ongoing resources. SJI
encourages applicants to ensure sustainability by coordinating with
local, State, and other Federal resources.
c. Budget and Matching State Contribution
Applicants must complete a budget in the SJI GMS and upload a
budget narrative. The budget narrative must provide the basis for all
project-related costs and the sources of any match, as required. The
budget narrative must thoroughly and clearly describe every category of
expense listed. SJI expects proposed budgets to be complete, cost
effective, and allowable (i.e., reasonable, allocable, and necessary
for project activities).
1. Prohibited Uses of SJI Funds. To ensure that funds made
available are used to supplement and improve the operation of State
courts, rather than to support basic court services, funds shall not be
used:
<bullet> 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 that is part of the court's normal operations).
<bullet> To construct court facilities or structures.
<bullet> Solely to purchase equipment.
Examples of basic court services include:
<bullet> Hiring of personnel
<bullet> Purchase and/or maintenance of equipment
<bullet> Purchase of software and/or licenses
<bullet> Purchase of internet access or service
<bullet> Supplies to support the day-to-day operations of courts
The final determination of what constitutes basic court services is
made by SJI and is not negotiable.
Meals and refreshments are generally not allowable costs unless the
applicant or grantee obtains prior written approval from SJI. This
applies to all awards, including contracts, grants, and cooperative
agreements. In general, SJI may approve such costs only in very rare
instances where:
<bullet> sustenance is not otherwise available (e.g., in extremely
remote areas);
<bullet> the size of the event and nearby food and/or beverage
vendors would make it impractical to not provide meals and/or
refreshments; and/or
<bullet> a special presentation at a conference requires a plenary
address where there is no other time for sustenance to be obtained.
Trinkets (items such as hats, mugs, portfolios, t-shirts, coins,
gift bags, gift cards, etc.) may not be purchased with SJI grant
funding.
2. Justification of Personnel Compensation. The applicants must set
forth the amount of time the individuals who would staff the proposed
project would devote, the annual salary of each of those persons, and
the number of workdays per year used to calculate the amount of time or
daily rates of those individuals. The applicants must explain any
deviations from current rates or established written organizational
policies. No grant funds or cash match may be used to pay the salary
and related costs for a current or
[[Page 61123]]
new employee of a court or other unit of government because such funds
would constitute a supplantation of State or local funds in violation
of 42 U.S.C. 10706(d)(1); this includes new employees hired
specifically for the project. The salary and any related costs for a
current or new employee of a court or other unit of government may only
be accepted as an in-kind match.
3. Fringe Benefit Computation. For nongovernmental entities,
applicants must 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.
4. Consultant/Contractual Services and Honoraria. The applicants
must 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. Prior written SJI approval is
required for any consultant rate in excess of $800 per day; SJI funds
may not be used to pay a consultant more than $1,100 per day.
Honorarium payments must be justified in the same manner as consultant
payments.
5. Travel. Transportation costs and per diem rates must comply with
the policies of the applicant organization. If the applicant does not
have an established travel policy, then travel rates must be consistent
with those established by the Federal Government. The budget narrative
must include an explanation of the rate used, including the components
of the per diem rate and the basis for the estimated transportation
expenses. The purpose of the travel must also be included in the
narrative.
6. Equipment. Grant funds may be used to purchase only the
equipment necessary to demonstrate a new technological application in a
court or that is otherwise essential to accomplishing the objectives of
the project. In other words, grant funds cannot be used strictly for
the purpose of purchasing equipment. Equipment purchases to support
basic court operations will not be approved. Applicants must 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 must clearly identify which equipment is to
be leased and which is to be purchased. The method of procurement must
also be described.
7. Supplies. Applicants must provide a general description of the
supplies necessary to accomplish the goals and objectives of the grant.
In addition, the applicants must provide the basis for the amount
requested for this expenditure category.
8. Construction. Construction expenses are prohibited.
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 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 must be
included in the budget narrative, along with the bases used to
calculate these estimates.
11. Indirect Costs. Indirect costs are only applicable to
organizations that are not State courts or government agencies.
Recoverable indirect costs are limited to no more than 75 percent of a
grantee's direct personnel costs (i.e., salaries plus fringe benefits).
Applicants must 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 applicants should specify that
these costs are not included within their approved indirect cost rate.
If an 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. Matching Requirements. SJI grants require a match, which is the
portion of project costs not borne by SJI and includes both cash and
in-kind matches as outlined in this paragraph. A cash match is the
direct outlay of funds by the grantee or a third party to support the
project. Other Federal department and agency funding may not be used
for a cash match. An in-kind match consists of contributions of time
and/or services of current staff members, new employees, space,
supplies, etc., made to the project by the grantee or others (e.g.,
advisory board members) working directly on the project. An in-kind
match can also consist of that portion of the grantee's federally
approved indirect cost rate that exceeds the limit of permitted charges
(75 percent of salaries and benefits).
The grantee is responsible for ensuring that the total amount of
the match proposed is contributed. If a proposed contribution is not
fully met, SJI may reduce the award amount accordingly, to maintain the
ratio originally provided for in the award agreement. The match should
be expended at the same rate as SJI funding.
i. Project Grants. Applicants for Project Grants must contribute a
cash match greater than or equal to the SJI award amount. This means
that grant awards by SJI must be matched at least dollar for dollar by
grant applicants. For example, an applicant seeking a $300,000 Project
Grant must provide a cash match of at least $300,000. Applicants may
contribute the required cash match directly or in cooperation with
third parties.
ii. TA Grants. Applicants for TA Grants are required to contribute
a total match (cash and in-kind) of not less than 50 percent of the SJI
award amount, of which 20 percent must be cash. For example, an
applicant seeking a $75,000 TA Grant must provide a $37,500 match, of
which up to $30,000 can be in-kind and not less than $7,500 must be
cash.
iii. CAT Grants. Applicants for CAT Grants are required to
contribute a total match (cash and in-kind) of not less than 50 percent
of the SJI award amount, of which 20 percent must be cash. For example,
an applicant seeking a $40,000 CAT Grant must provide a $20,000 match,
of which up to $16,000 can be in-kind and not less than $4,000 must be
cash. Funding from other Federal departments and agencies may not be
used for a cash match.
iv. SIGs. State and local courts and non-court units of government
must provide a dollar-for-dollar cash match for SIG projects. Matching
funds may not be required for SIG projects that are awarded to non-
court or nongovernmental entities.
13. Letters of Support. Written assurances of support or
cooperation should accompany the application letter 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. Applicants may also submit memorandums of
agreement or understanding, as appropriate.
14. Project Timeline. A project timeline detailing each project
objective, activity, expected completion date, and responsible person
or organization should be included. The plan should include the
starting and completion date for each task; the time commitments to
[[Page 61124]]
the project of key staff and their responsibilities regarding each
project task; and the procedures that would ensure that all tasks are
performed on time, within budget, and at the highest level of quality.
In preparing the project timeline, applicants must make certain that
all project activities, including publication or reproduction of
project products and their initial dissemination, would occur within
the proposed project period. The project timeline must also provide for
the submission of Quarterly Progress and Financial Status Reports
within 30 days after the close of each calendar quarter, as well as
submission of all final closeout documents. The project timeline may be
included in the program narrative or provided as a separate attachment.
15. Other Attachments. Resumes of key project staff may also be
included. 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.
d. Application Review Information
1. Selection Criteria. In addition to the criteria detailed below,
SJI will consider whether the applicant is a State or local court, a
national court support or education organization, a non-court unit of
government, or other type of entity eligible to receive grants under
SJI's enabling legislation; the availability of financial assistance
from other sources for the project; the diversity of subject matter;
geographic diversity; the level and nature of the match that would be
provided; reasonableness of the proposed budget; the extent to which
the proposed project would also benefit the Federal courts or help
State or local courts enforce Federal constitutional and legislative
requirements; and the level of appropriations available to SJI in the
current year and the amount expected to be available in succeeding
fiscal years, when determining which projects to support.
2. Project Grant Applications. Project Grant applications will be
rated based on the criteria set forth below:
<bullet> Soundness of the methodology.
<bullet> Demonstration of need for the project.
<bullet> Appropriateness of the proposed evaluation design.
<bullet> If applicable, the key findings and recommendations of the
most recent evaluation and the proposed responses to those findings and
recommendations.
<bullet> Applicant's management plan and organizational
capabilities.
<bullet> Qualifications of the project's staff.
<bullet> 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.
<bullet> Degree to which the findings, procedures, training,
technology, or other results of the project can be transferred to other
jurisdictions.
<bullet> Reasonableness of the proposed budget.
<bullet> Demonstration of cooperation and support of other agencies
that may be affected by the project.
3. TA Grant Applications. TA Grant applications will be rated based
on the following criteria:
<bullet> Whether the assistance would address a critical need of
the applicant.
<bullet> Soundness of the technical assistance approach to the
problem.
<bullet> Qualifications of the consultant(s) to be hired or the
specific criteria that will be used to select the consultant(s).
<bullet> Commitment of the court or association to act on the
consultant's recommendations.
<bullet> Reasonableness of the proposed budget.
4. CAT Grant Applications. CAT Grant applications will be rated
based on the following criteria:
<bullet> Goals and objectives of the proposed project.
<bullet> How the training would address a critical need of the
court or association.
<bullet> Need for outside funding to support the program.
<bullet> Soundness of the approach in achieving the project's
educational or training objectives.
<bullet> Integration of distance learning and technology in project
design and delivery.
<bullet> Qualifications of the trainer(s) to be hired or the
specific criteria that will be used to select the trainer(s) (training
project only).
<bullet> Likelihood of effective implementation and integration of
the modified curriculum into the State or local jurisdiction's ongoing
educational programming (curriculum adaptation project only).
<bullet> Commitment of the court or association to the training
program (training project only).
<bullet> Expressions of interest by judges and/or court personnel,
as demonstrated by letters of support.
5. SIG Applications. SIG applications will be rated based on the
following criteria:
<bullet> Goals and objectives of the proposed project.
<bullet> Demonstration of need for the project.
<bullet> Degree to which the project addresses a current national
court issue.
<bullet> Level of innovation in addressing the identified need.
<bullet> Potential impact on the court community.
<bullet> Qualifications of the consultant(s) engaged to manage the
project.
6. Review Process. SJI reviews the application to make sure that
the information presented is reasonable, understandable, measurable,
and achievable, as well as consistent with this guideline. Applications
must meet basic minimum requirements. Although specific requirements
may vary by grant type, the following are common requirements
applicable to all SJI grant applications:
<bullet> Must be submitted by an eligible type of applicant.
<bullet> Must request funding within funding constraints of each
grant type (if applicable).
<bullet> Must be within statutorily allowable expenditures.
<bullet> Must include all required forms and documents.
<bullet> The SJI Board of Directors reviews all applications and
makes final funding decisions. The decision to fund a project is solely
that of the SJI Board of Directors.
7. Notification of SJI Board of Directors Decision. The Chairman of
the Board signs grant awards on behalf of SJI. SJI will notify
applicants regarding the SJI Board of Directors' decisions to award,
defer, or deny their respective applications. If requested, SJI conveys
the key issues and questions that arose during the review process. A
decision by the SJI Board of Directors to deny an application may not
be appealed, but it does not prohibit resubmission of a proposal in a
subsequent funding cycle.
8. Response to Notification of Award. Grantees have 30 days from
the date they were notified about their award to respond to any
revisions requested by the SJI Board of Directors. If the requested
revisions (or a reasonable schedule for submitting such revisions) have
not been submitted to SJI within 30 days after notification, the award
may be rescinded, and the application presented to the SJI Board of
Directors for reconsideration. Special conditions, in the form of
incentives or sanctions, may also be used in other situations.
VI. How To Apply
Applicants must use the SJI GMS to submit all applications and
post-award documents. SJI urges applicants to submit applications at
least 72 hours prior to the application due date in order to allow time
for the applicant to receive an application acceptance message, and to
correct in a timely fashion any problems that may arise,
[[Page 61125]]
such as missing or incomplete forms. Files must be in .doc, .docx,
.xls, .xlsx, .pdf, .jpg, or .png format. Individual file size cannot
exceed 5 MB.
a. Submission Steps
Applicants (except for ESP) must register with the SJI GMS to
submit applications for funding consideration. Below are the basic
steps for submission:
1. Access the SJI GMS and complete the information required to
create an account.
2. If you already have an account, log in and create a new
application.
3. Complete all required forms and upload all required documents:
<bullet> Application Form.
<bullet> Certificate of State Approval.
<bullet> Budget and Budget Narrative.
<bullet> Assurances.
<bullet> Disclosure of Lobbying Activities.
<bullet> Project Abstract.
<bullet> Program Narrative.
<bullet> Attachments.
[ssquf] Letters of Support.
[ssquf] Project Timeline.
[ssquf] Resumes.
[ssquf] Indirect Cost Approval.
[ssquf] Other Attachments.
4. Certify and submit the application to SJI for review.
VII. Post-Award Reporting Requirements
All required reports and documents must be submitted via the SJI
GMS.
a. Quarterly Reporting Requirements
Recipients of SJI funds must submit Quarterly Progress and
Financial Status Reports within 30 days after the close of each
calendar quarter (that is, no later than January 30, April 30, July 30,
and October 30).
1. Program Progress Reports. Program Progress Reports must include
a narrative description of project activities during the calendar
quarter; the relationship between those activities, the task schedule,
and objectives set forth in the approved application or an approved
adjustment thereto; any significant problem areas that have developed
and how they will be resolved; and the activities scheduled during the
next reporting period. Failure to comply with the requirements of this
provision could result in the termination of a grantee's award.
2. Financial Reporting. A Financial Status Report is required from
all grantees for each active quarter on a calendar-quarter basis. This
report is due within 30 days after the close of the calendar quarter.
It is designed to provide financial information relating to SJI funds,
State and local matching shares, project income, and any other sources
of funds for the project, as well as information on obligations and
outlays.
b. Request for Reimbursement of Funds
Awardees will receive funds on a reimbursable, U.S. Department of
the Treasury check-issued or electronic funds transfer (EFT) basis.
Upon receipt, review, and approval of a Request for Reimbursement by
SJI, payment will be issued directly to the grantee or its designated
fiscal agent. Requests for reimbursements, along with the instructions
for their preparation, and the SF 3881 Automated Clearing House (ACH/
Miscellaneous Payment Enrollment Form for EFT) are available in the SJI
GMS.
1. Accounting System. Awardees are responsible for establishing and
maintaining an adequate system of accounting and internal controls.
Awardees are also responsible for ensuring that an adequate system
exists for each of their subgrantees and contractors. An acceptable and
adequate accounting system:
<bullet> 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).
<bullet> Assures that expended funds are applied to the appropriate
budget category included within the approved grant.
<bullet> Presents and classifies historical costs of the grant as
required for budgetary and evaluation purposes.
<bullet> Provides cost and property controls to assure optimal use
of grant funds.
<bullet> 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.
<bullet> Meets the prescribed requirements for periodic financial
reporting of operations.
<bullet> Provides financial data for planning, control,
measurement, and evaluation of direct and indirect costs.
c. Final Progress Report
The Final Progress Report must describe the project activities
during the final calendar quarter of the project and the close-out
period, including to whom project products have been disseminated;
provide a summary of activities during the entire project; specify
whether all the objectives set forth in the approved application or an
approved adjustment have been met and, if any of the objectives have
not been met, explain why not; and discuss what, if anything, could
have been done differently that might have enhanced the impact of the
project or improved its operation. In addition, grantees are required
to submit electronic copies of the final products related to the
project (e.g., reports, curriculum, etc.). These reporting requirements
apply at the conclusion of every grant.
VIII. Compliance Requirements
a. Advocacy
No funds made available by SJI 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)).
b. Approval of Key Staff
If the qualifications of an employee or consultant assigned to a
key project staff position are not adequately described in the
application or if there is a change of a person assigned to such a
position, the recipient must submit a description of the qualifications
of the newly assigned person to SJI. Prior written approval of the
qualifications of the new person assigned to a key staff position must
be received from SJI before the salary or consulting fee of that person
and associated costs may be paid or reimbursed from grant funds.
c. Audit
Recipients of SJI grants must provide for an annual fiscal audit,
which includes an opinion on whether the financial statements of the
grantee fairly present its financial position and its financial
operations in accordance with generally accepted accounting principles.
If requested, a copy of the audit report must be made available
electronically to SJI.
d. Budget Revisions
Budget revisions among direct cost categories that: (1) transfer
grant funds to an unbudgeted cost category, or (2) individually or
cumulatively exceed 5 percent of the approved original budget or the
most recently approved revised budget require prior SJI approval. Refer
to section X, Grant Adjustments, of this guideline for additional
details about the process for modifying the project budget.
e. Conflict of Interest
Personnel and other officials connected with SJI-funded programs
must adhere to the following requirements:
[[Page 61126]]
<bullet> Officials or employees of a recipient court or
organization must not participate personally through decision,
approval, disapproval, recommendation, the rendering of advice,
investigation, or otherwise, in any proceeding, application, request
for a ruling or other determination, contract, grant, cooperative
agreement, claim, controversy, or other particular matter in which SJI
funds are used, where, to their knowledge, they or their immediate
family; partners; organization other than a public agency in which they
are serving as officer, director, trustee, partner, or employee; or any
person or organization with whom they are negotiating or have any
arrangement concerning prospective employment, have a financial
interest.
<bullet> In the use of SJI project funds, an official or employee
of a recipient court or organization must avoid any action which might
result in or create the appearance of:
[ssquf] using an official position for private gain; or
[ssquf] affecting adversely the confidence of the public in the
integrity of the SJI program.
<bullet> Requests for proposals or invitations for bids issued by a
recipient of SJI 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.
f. Inventions and Patents
If any patentable items, patent rights, processes, or inventions
are produced during the course of SJI-sponsored work, such fact must be
promptly and fully reported to SJI. Unless there is a prior agreement
between the grantee and SJI on the disposition of such items, SJI will
determine whether protection of the invention or discovery must be
sought.
g. Lobbying
Funds awarded to recipients by SJI must not be used, indirectly or
directly, to influence Executive orders or similar promulgations by
Federal, State, or local agencies; or to influence the passage or
defeat of any legislation by Federal, State, or local legislative
bodies (42 U.S.C. 10706(a)).
It is the policy of the SJI Board of Directors to award funds only
to support applications submitted by organizations that would carry out
the objectives of their applications in an unbiased manner. Consistent
with this policy and the provisions of 42 U.S.C. 10706, SJI will not
knowingly award a grant to an applicant that has, directly or through
an entity that is part of the same organization as the applicant,
advocated a position before Congress on the specific subject matter of
the application.
h. Matching Requirements
All grant recipients are required to provide a match. A match is
the portion of project costs not borne by SJI. A match includes both
cash and in-kind contributions. A cash match is the direct outlay of
funds by the grantee or a third party to support the project. An in-
kind match for State and local courts or other units of government
consists of contributions of time and/or services of current staff
members, new employees, space, supplies, etc., made to the project by
the grantee or others (e.g., advisory board members) working directly
on the project. Generally, these same items are considered cash matches
for nongovernmental entities. For nongovernmental entities, a federally
approved indirect cost rate may be used as an in-kind match for that
portion of the rate that exceeds the limit of permitted charges for
indirect costs (75 percent of salaries and benefits).
Under normal circumstances, an allowable match may be incurred only
during the project period. The amount and nature of the required match
depends on the type of grant. Refer to section V.C.12, Matching
Requirements, of this guideline for details by grant type.
The grantee is responsible for ensuring that the total amount of
the match proposed is contributed. If a proposed contribution is not
fully met, SJI may reduce the award amount accordingly, to maintain the
ratio originally provided for in the award agreement. The match should
be expended at the same rate as SJI funding.
The SJI Board of Directors looks favorably upon any unrequired
match contributed by applicants when making grant decisions. The match
requirement may be waived in exceptionally rare circumstances upon the
request of the chief justice of the highest court in the State or the
highest ranking official in the requesting organization, and approval
by the SJI Board of Directors (42 U.S.C. 10705(d)). The SJI Board of
Directors encourages all applicants to provide the maximum amount of
cash and in-kind match possible, even if a waiver is approved. The
amount and nature of the match are criteria in the grant selection
process.
Other Federal department and agency funding may not be used for a
cash match.
i. Nondiscrimination
No person may, on the basis of race, sex, national origin,
disability, color, or creed, be excluded from participation in, denied
the benefits of, or otherwise subjected to discrimination under any
program or activity supported by SJI funds. Recipients of SJI funds
must take any measures necessary to effectuate this provision
immediately.
j. Political Activities
No recipient may contribute or make available SJI funds, program
personnel, or equipment to any political party or association or the
campaign of any candidate for public or party office. Recipients are
also prohibited from using funds in advocating or opposing any ballot
measure, initiative, or referendum. Officers and employees of
recipients must not intentionally identify SJI or recipients with any
partisan or nonpartisan political activity associated with a political
party or association or the campaign of any candidate for public or
party office (42 U.S.C. 10706(a)).
k. Products
1. Acknowledgment, Logo, and Disclaimer. Recipients of SJI funds
must acknowledge prominently on all products developed with grant funds
that support was received from SJI. The SJI logo must appear on the
front cover of a written product, or in the opening frames of a
multimedia product, unless another placement is approved in writing by
SJI. This includes final products printed or otherwise reproduced
during the grant period, as well as reprintings or reproductions of
those materials following the end of the grant period. The SJI logo can
be downloaded from SJI's website at the bottom of the ``Grants'' page.
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.''
i. Project Grants. In addition to other required grant products and
reports, recipients must provide a one-page executive summary of the
project. The summary should include a background on the project, the
tasks undertaken, and
[[Page 61127]]
the outcome. In addition, the summary should provide the performance
metrics that were used during the project, and how performance will be
measured in the future.
ii. TA Grants. Grantees must submit a final report that explains
how they intend to act on the consultant's recommendations, as well as
a copy of the consultant's written report. Both should be submitted in
electronic format.
iii. CAT Grants. Grantees must submit an electronic version of the
agenda or schedule, an outline of presentations and/or relevant
instructor's notes; copies of overhead transparencies, Microsoft
PowerPoint presentations, or other visual aids; exercises, case
studies, and other background materials; hypotheticals, quizzes, and
other materials involving the participants; manuals, handbooks,
conference packets, and evaluation forms; and suggestions for
replicating the program, including possible faculty or the preferred
qualifications or experience of those selected as faculty, developed
under the grant after the grant period, along with a final report that
includes any evaluation results and explains how the grantee intends to
present the educational program in the future, as well as the
consultant's or trainer's report. All items should be submitted in
electronic format.
2. Charges for Grant-Related Products/Recovery of Costs. SJI's
mission is to support improvements in the quality of justice and foster
innovative, efficient solutions to common issues faced by all courts.
SJI has recognized and established procedures for supporting research
and development of grant products (e.g., a report, curriculum, video,
software, database, or website) through competitive grant awards based
on the merit reviews of proposed projects. To ensure that all grants
benefit the entire court community, projects SJI considers worthy of
support (in whole or in part) are required to be disseminated widely
and to be available for public consumption. This includes open-source
software and interfaces. Costs for development, production, and
dissemination are allowable as direct costs to SJI.
Applicants must disclose their intent to sell grant-related
products in the application. Grantees must obtain SJI's prior written
approval 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 should
also include a detailed itemization of costs that will be recovered and
a certification that the costs were not supported by either SJI grant
funds or grantee matching contributions.
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
SJI-funded project or other purposes consistent with the State Justice
Institute Act that have been approved by SJI.
l. Copyrights
Except as otherwise provided in the terms and conditions of an SJI
award, a recipient is free to copyright any books, publications, or
other copyrightable materials developed in the course of an SJI-
supported project. SJI must 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.
m. Due Date
All products and, for TA and CAT Grants, consultant and/or trainer
reports are to be completed and distributed not later than the end of
the award period, not the 90-day closeout period. The 90-day closeout
period is intended only for grantee final reporting and to liquidate
obligations.
n. Distribution
In addition to the distribution specified in the grant application,
grantees must send an electronic version of all products in HTML or PDF
format to SJI.
o. Original Material
All products prepared as the result of SJI-supported projects must
be originally developed material unless otherwise specified in the
award documents. Material not originally developed that is included in
such products must be properly identified, whether the material is in a
verbatim or extensive paraphrase format.
p. Prohibition Against Litigation Support
No funds made available by SJI may be used directly or indirectly
to support legal assistance for parties in litigation, including cases
involving capital punishment.
q. Reporting Requirements
All reports must be submitted via the SJI GMS as detailed below:
1. Quarterly Progress and Financial Status Reports. Recipients of
SJI funds must submit Quarterly Progress and Financial Status Reports
within 30 days after the close of each calendar quarter (that is, no
later than January 30, April 30, July 30, and October 30). The
Quarterly Progress Reports must include a narrative description of
project activities during the calendar quarter; the relationship
between those activities, the task schedule, and objectives set forth
in the approved application or an approved adjustment thereto; any
significant problem areas that have developed and how they will be
resolved; and the activities scheduled during the next reporting
period. Failure to comply with the requirements of this provision could
result in the termination of a grantee's award.
2. Quarterly Financial Reporting. The Quarterly Financial Report
must be submitted in accordance with section VII.A.2, Financial
Reporting, of this guideline. A Final Progress Report and Financial
Status Report must be submitted within 90 days after the end of the
grant period.
r. Research
1. Availability of Research Data for Secondary Analysis. Upon
request, grantees must make available for secondary analysis backup
files containing research and evaluation data collected under an SJI
grant and the accompanying code manual. Grantees may recover the actual
cost of duplicating and mailing, or otherwise transmitting, the dataset
and manual from the person or organization requesting the data.
Grantees may provide the requested dataset in the format in which it
was created and analyzed.
2. 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 will be immune from legal process and must 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
[[Page 61128]]
judicial, legislative, or administrative proceedings.
3. Human Subject Protection. Human subjects are defined as
individuals who are participants in an experimental procedure or who
are asked to provide information about themselves, their attitudes,
feelings, opinions, and/or experiences through an interview,
questionnaire, or other data collection technique. All research
involving human subjects must be conducted with the informed consent of
those subjects and in a manner that will ensure their privacy and
freedom from risk or harm and the protection of persons who are not
subjects of the research but would be affected by it--unless such
procedures and safeguards would make the research impractical. In such
instances, SJI must approve procedures designed by the grantee to
provide human subjects with relevant information about the research
after their involvement and minimize or eliminate risk or harm to those
subjects due to their participation.
4. Prohibited Uses of SJI Funds. To ensure that SJI funds are used
to supplement and improve the operation of State courts, rather than to
support basic court services, SJI funds must not be used for the
following purposes:
<bullet> 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).
<bullet> To construct court facilities or structures.
<bullet> Solely to purchase equipment.
Examples of basic court services include:
<bullet> Hiring of personnel
<bullet> Purchase and/or maintenance of equipment
<bullet> Purchase of software and/or licenses
<bullet> Purchase of internet access or service
<bullet> Supplies to support the day-to-day operations of courts
The final determination of what constitutes basic court services is
made by SJI and is not negotiable.
Meals and refreshments are generally not allowable costs unless the
applicant or grantee obtains prior written approval from SJI. This
applies to all awards, including contracts, grants, and cooperative
agreements. In general, SJI may approve such costs only in very rare
instances where:
<bullet> sustenance is not otherwise available (e.g., in extremely
remote areas);
<bullet> the size of the event and nearby food and/or beverage
vendors would make it impractical to not provide meals and/or
refreshments; and/or
<bullet> a special presentation at a conference requires a plenary
address where there is no other time for sustenance to be obtained.
Trinkets (items such as hats, mugs, portfolios, t-shirts, coins,
gift bags, gift cards, etc.) may not be purchased with SJI grant
funding.
5. Suspension or Termination of Funding. After providing a
recipient reasonable notice and opportunity to submit written
documentation demonstrating why fund termination or suspension should
not occur, SJI may terminate or suspend funding of a project that fails
to comply substantially with the Act, the Grant Guideline, or the terms
and conditions of the award (42 U.S.C. 10708(a)).
6. Title to Property. At the conclusion of the project, title to
all expendable and nonexpendable personal property purchased with SJI
funds must vest in the recipient court, organization, or individual
that purchased the property if certification is made to and approved by
SJI that the property will continue to be used for the authorized
purposes of the SJI-funded project or other purposes consistent with
the State Justice Institute Act. If such certification is not made or
SJI disapproves of such certification, title to all such property with
an aggregate or individual value of $1,000 or more must vest in SJI,
which will direct the disposition of the property.
IX. Financial Requirements
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:
<bullet> Complying with the statutory requirements for the award,
disbursement, and accounting of funds.
<bullet> Complying with regulatory requirements of SJI for the
financial management and disposition of funds.
<bullet> Generating financial data to be used in planning,
managing, and controlling projects.
<bullet> Facilitating an effective audit of funded programs and
projects.
a. Supervision and Monitoring Responsibilities
All grantees receiving awards from SJI are responsible for the
management and fiscal control of all funds. Responsibilities include
accounting for receipts and expenditures, maintaining adequate
financial records, and refunding expenditures disallowed by audits. If
the project includes subawards, the grantees' responsibilities also
include:
1. Reviewing Financial Operations. The grantee or its designee must
be familiar with, and periodically monitor, its subgrantee's 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, must be recorded in the financial records of the grantee or
its designee in summary form. Subgrantee expenditures must 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 must likewise be recorded, as should any project income
resulting from program operations.
3. Budgeting and Budget Review. The grantee or its designee must
ensure that each subgrantee prepares an adequate budget as the basis
for its award commitment. The State supreme court must maintain the
details of each project budget on file.
4. Accounting for Match. The grantee or its designee will ensure
that subgrantees comply with the match requirements specified in this
guideline.
5. Audit Requirement. The grantee or its designee is required to
ensure that subgrantees meet the necessary audit requirements set forth
by SJI.
6. Reporting Irregularities. The grantee, its designees, and its
subgrantees are responsible for promptly reporting to SJI the nature
and circumstances surrounding any financial irregularities discovered.
b. 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:
<bullet> 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.
<bullet> Assures that expended funds are applied to the appropriate
budget category included within the approved grant.
<bullet> Presents and classifies historical costs of the grant as
required for budgetary and evaluation purposes.
[[Page 61129]]
<bullet> Provides cost and property controls to assure optimal use
of grant funds.
<bullet> 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.
<bullet> Meets the prescribed requirements for periodic financial
reporting of operations.
<bullet> Provides financial data for planning, control,
measurement, and evaluation of direct and indirect costs.
c. Total Cost Budgeting and Accounting
Accounting for all funds awarded by SJI must be structured and
executed on a total-project-cost basis. That is, total project costs,
including SJI funds, State and local matching shares, and any other
fund sources included in the approved project budget, serve as the
foundation for fiscal administration and accounting. Grant applications
and financial reports require budget and cost estimates based on total
costs.
1. Timing of Matching Contributions. Matching contributions should
be applied at the same time as the obligation of SJI funds. Ordinarily,
the full matching share must be obligated during the award period;
however, with the written permission of SJI, contributions made
following approval of the grant by the SJI Board of Directors but
before the beginning of the grant may be counted as a match. If a
proposed cash or in-kind match is not fully met, SJI may reduce the
award amount accordingly to maintain the ratio of grant funds to
matching funds stated in the award agreement.
2. Records for Match. All grantees must maintain records that
clearly show the source, amount, and timing of all matching
contributions. In addition, if a project has included, within its
approved budget, contributions that exceed the required matching
portion, the grantee must maintain records of those contributions in
the same manner as it does SJI funds and required matching shares. For
all grants made to State and local courts, the State supreme court has
primary responsibility for grantee/subgrantee compliance with the
requirements of this section.
3. 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 3 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.
4. 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 must include the time and attendance reports for all
individuals reimbursed under a grant, subgrant, or contract, whether
they are employed full-time or part-time. Time and effort reports are
required for consultants.
5. Retention Period. The 3-year retention period starts from the
date of the submission of the final expenditure report.
6. 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 or subgrantee's principal office, a written index of
the location of stored records should be on hand, and ready access
should be assured.
7. Access. Grantees and subgrantees must give any authorized
representative of SJI access to and the right to examine all records,
books, papers, and documents related to an SJI grant.
8. Project-Related Income. Records of the receipt and disposition
of project-related income must be maintained by the grantee in the same
manner as required for the project funds that gave rise to the income
and must be reported to SJI (see section VII.A.2, Financial Reporting,
of this guideline). The policies governing the disposition of the
various types of project-related income are listed below.
i. Interest. A State and any agency or instrumentality of a State,
including institutions of higher education and hospitals, will 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 must ensure minimum balances
in their respective grant cash accounts.
ii. Royalties. The grantee or 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.
iii. Registration and Tuition Fees. Registration and tuition fees
may be considered as a cash match with prior written approval from SJI.
Estimates of registration and tuition fees, and any expenses to be
offset by the fees, should be included in the application budget forms
and narrative.
iv. Income from the Sale of Grant Products. If the sale of products
occurs during the project period, the income may be treated as a cash
match with the prior written approval of SJI. The costs and income
generated by the sales must be reported on the Quarterly Progress and
Financial Status Reports and documented in an auditable manner.
Whenever possible, the intent to sell a product should be disclosed in
the application or reported to SJI in writing once a decision to sell
products has been made. The grantee must request approval to recover
its product development, reproduction, and dissemination costs (see
section VIII.K.2, Charges for Grant-Related Products/Recovery of Costs,
of this guideline).
v. Other. Other project income will be treated in accordance with
disposition instructions set forth in the grant's terms and conditions.
d. Payments and Financial Reporting Requirements
The procedures and regulations set forth below are applicable to
all SJI grant funds and grantees.
1. Request for Reimbursement of Funds. Grantees will receive funds
on a reimbursable, U.S. Department of the Treasury check-issued or EFT
basis. Upon receipt, review, and approval of a Request for
Reimbursement (Form R) by SJI, payment will be issued directly to the
grantee or its designated fiscal agent. The Form R, along with the
instructions for its preparation, and the SF 3881 Automated Clearing
House (ACH/Miscellaneous Payment Enrollment Form for EFT), are
available for download and submission in the SJI GMS.
2. Financial Reporting
i. General Requirements. To obtain financial information concerning
the use of funds, SJI requires that grantees/subgrantees submit timely
reports for review.
[[Page 61130]]
ii. Due Dates and Contents. A Financial Status Report is required
from all grantees for each active quarter on a calendar-quarter basis.
This report is due within 30 days after the close of the calendar
quarter. It is designed to provide financial information relating to
SJI funds, State and local matching shares, project income, and any
other sources of funds for the project, as well as information on
obligations and outlays. The Financial Status Report (Form F), along
with instructions, is accessible in the SJI GMS. If a grantee requests
substantial payment for a project prior to the completion of a given
quarter, SJI may request a brief summary of the amount requested, by
object class, to support the Request for Reimbursement.
iii. Consequences of Noncompliance with Submission Requirement.
Failure of the grantee to submit required Progress and Financial Status
Reports may result in suspension or termination of grant reimbursement.
e. Allowability of Costs
1. Costs Requiring Prior Approval
i. Pre-Agreement Costs. The written prior approval of SJI is
required for costs considered necessary but which occur prior to the
start date of the project period.
ii. 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 SJI is required when: (1)
the amount of automated data processing equipment to be purchased or
leased exceeds $10,000 or (2) the amount of software to be purchased
exceeds $3,000.
iii. Consultants. The written prior approval of SJI is required
when the rate of compensation to be paid to a consultant exceeds $800 a
day. SJI funds may not be used to pay a consultant more than $1,100 per
day.
iv. Budget Revisions. Budget revisions among direct-cost categories
that: (1) transfer grant funds to an unbudgeted cost category or (2)
individually or cumulatively exceed 5 percent of the approved original
budget or the most recently approved revised budget require prior SJI
approval.
2. 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 U.S. General Services Administration.
Grant funds may not be used to cover the transportation or per diem
costs for a member of a national organization to attend an annual or
other regular meeting, or conference of that organization.
3. Indirect Costs. Indirect costs are only applicable to
organizations that are not State courts or government agencies. These
are costs of an organization that are not readily assignable to a
particular project but are necessary to the operation of the
organization and the performance of the project. The costs of operating
and maintaining facilities, depreciation, and administrative salaries
are examples of the types of costs that are usually treated as indirect
costs. Although SJI's policy requires all costs to be budgeted
directly, it will accept indirect costs if a grantee has an indirect
cost rate approved by a Federal agency. However, recoverable indirect
costs are limited to no more than 75 percent of a grantee's direct
personnel costs (salaries plus fringe benefits).
i. Approved Plan Available
<bullet> A copy of an indirect cost rate agreement or allocation
plan approved for a grantee during the preceding 2 years by any Federal
granting agency on the basis of allocation methods substantially in
accord with those set forth in the applicable cost circulars must be
submitted to SJI.
<bullet> 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.
f. Audit Requirements
1. Implementation. Grantees 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. Audits conducted
using generally accepted auditing standards in the United States 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. The audit report
must be made available to SJI electronically, if requested.
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:
<bullet> Following up.
<bullet> Maintaining a record of the actions taken on
recommendations and time schedules.
<bullet> Responding to and acting on audit recommendations.
<bullet> Submitting periodic reports to SJI on recommendations and
actions taken.
3. Consequences of Non-Resolution of Audit Issues. Ordinarily, SJI
will not make a subsequent grant award to an applicant that has an
unresolved audit report involving SJI awards. Failure of the grantee to
resolve audit questions may also result in the suspension or
termination of payments for active SJI grants to that organization.
g. Closeout of Grants
1. Grantee Closeout Requirements. Within 90 days after the end date
of the grant or any approved extension thereof, the following documents
must be submitted to SJI by grantees:
i. Financial Status Report. The final report of expenditures must
have no unliquidated obligations and must indicate the exact balance of
unobligated funds. Any unobligated or unexpended funds will be de-
obligated from the award by SJI. Final payment requests for obligations
incurred during the award period must be submitted to SJI prior to the
end of the 90-day closeout period.
ii. Final Progress Report. This report should describe the project
activities during the final calendar quarter of the project and the
closeout period, including to whom project products have been
disseminated; provide a summary of activities during the entire
project; specify whether all the objectives set forth in the approved
application or an approved adjustment have been met and, if any of the
objectives have not been met, explain why not; and discuss what, if
anything, could have been done differently that might have enhanced the
impact of the project or improved its operation. These reporting
requirements apply at the conclusion of every grant.
2. Extension of Closeout Period. Upon the written request of the
grantee, SJI may extend the closeout period to assure completion of the
grantee's closeout requirements. Requests for an extension must be
submitted at least 14 days before the end of the closeout period and
must explain why the extension is necessary, and what steps will be
taken to assure that all the grantee's responsibilities will be met by
the end of the extension period. Extensions must be submitted via the
SJI GMS as Grant Adjustments.
[[Page 61131]]
X. Grant Adjustments
All requests for programmatic or budgetary adjustments requiring
SJI approval must be submitted by the project director in a timely
manner (ordinarily 30 days prior to the implementation of the
adjustment being requested). All requests for changes from the approved
application will be carefully reviewed for both consistency with this
guideline and the enhancement of grant goals and objectives. Failure to
submit adjustments in a timely manner may result in the termination of
a grantee's award.
a. Grant Adjustments Requiring Prior Written Approval
The following Grant Adjustments require the prior written approval
of SJI:
<bullet> Budget revisions among direct cost categories that (1)
transfer grant funds to an unbudgeted cost category or (2) individually
or cumulatively exceed 5 percent of the approved original budget or the
most recently approved revised budget.
<bullet> A change in the scope of work to be performed or the
objectives of the project.
<bullet> A change in the project site.
<bullet> A change in the project period, such as an extension of
the grant period or extension of the Final Financial Report or Final
Progress Report deadline.
<bullet> Satisfaction of special conditions, if required.
<bullet> A change in or temporary absence of the project director.
<bullet> The assignment of an employee or consultant to a key staff
position whose qualifications were not described in the application, or
a change in a person assigned to a key project staff position.
<bullet> A change in or temporary absence of the person responsible
for managing and reporting on the grant's finances.
<bullet> A change in the name of the grantee organization.
<bullet> A transfer or contracting out of grant-supported
activities.
<bullet> A transfer of the grant to another recipient.
<bullet> Pre-agreement costs.
<bullet> The purchase of Americans with Disabilities Act (ADA)
equipment and software.
<bullet> Consultant rates.
<bullet> A change in the nature or number of the products to be
prepared or the way a product would be distributed.
b. Requests for Grant Adjustments
All grantees must promptly notify SJI, in writing, of events or
proposed changes that may require adjustments to the approved project
design. In requesting an adjustment, the grantee must set forth the
reasons and basis for the proposed adjustment and any other information
the program manager determines would help SJI's review. All requests
for Grant Adjustments must be submitted via the SJI GMS.
c. Notification of Approval or Disapproval
If the request is approved, the grantee will be sent a Grant
Adjustment signed by the SJI Executive Director. If the request is
denied, the grantee will be sent a written explanation of the reasons
for the denial.
d. Changes in the Scope of the Grant
Major changes in scope, duration, training methodology, or other
significant areas must be approved in advance by SJI. A grantee may
make minor changes to methodology, approach, or other aspects of the
grant to expedite achievement of the grant's objectives with subsequent
notification to SJI.
e. Date Changes
A request to change or extend the grant period must be made at
least 30 days in advance of the end date of the grant. A revised task
plan must accompany a request for an extension of the grant period,
along with a revised budget if shifts among budget categories will be
needed. A request to change or extend the deadline for the Final
Financial Report or Final Progress Report must be made at least 14 days
in advance of the report deadline.
f. Temporary Absence of the Project Director
Whenever an absence of the project director is expected to exceed a
continuous period of 1 month, the plans for the conduct of the project
director's duties during such absence must be approved in advance by
SJI. This information must be provided in a letter signed by an
authorized representative of the grantee or subgrantee at least 30 days
before the departure of the project director or as soon as it is known
that the project director will be absent. The grant may be terminated
if arrangements are not approved in advance by SJI.
g. Withdrawal of or Change in Project Director
If the project director relinquishes or expects to relinquish
active direction of the project, SJI must be notified immediately. In
such cases, if the grantee or subgrantee wishes to terminate the
project, SJI will forward procedural instructions upon notification of
such intent. If the grantee wishes to continue the project under the
direction of another individual, a statement of the candidate's
qualifications should be sent to SJI for review and approval. The grant
may be terminated if the qualifications of the proposed individual are
not approved in advance by SJI.
h. Transferring or Contracting Out of Grant-Supported Activities
No principal activity of a grant-supported project may be
transferred or contracted out to another organization without specific
prior approval by SJI. All such arrangements must be formalized in a
contract or other written agreement between the parties involved.
Copies of the proposed contract or agreement must be submitted for
prior approval to SJI at the earliest possible time. The contract or
agreement must state, at a minimum, the activities to be performed, the
time schedule, the policies and procedures to be followed, the dollar
limitation of the agreement, and the cost principles to be followed in
determining what costs, both direct and indirect, will be allowed. The
contract or other written agreement must not affect the grantee's
overall responsibility for the direction of the project and
accountability to SJI.
State Justice Institute Board of Directors
Hon. John Minton (Chair), Chief Justice, Supreme Court of Kentucky,
Frankfort, KY
Daniel Becker (Vice Chair), State Court Administrator (ret.), Utah
Administrative Office of the Courts, Salt Lake City, UT
Hon. Gayle A. Nachtigal (Secretary), Circuit Court Judge (ret.),
Washington County Circuit Court, Hillsboro, OR
Hon. David Brewer (Treasurer), Justice (ret.), Supreme Court of Oregon,
Salem, OR
Hon. Jonathan Lippman, Chief Judge of the State of New York (ret.); Of
Counsel, Latham & Watkins, LLP, New York, NY
Hon. Chase Rogers, Chief Justice (ret.), Supreme Court of Connecticut;
Partner, Day Pitney, LLP, Hartford, CT
Hon. Wilfredo Martinez, Senior Judge, Ninth Judicial Circuit of
Florida, Orlando, FL
Hon. Hernan D. Vera, Judge, Los Angeles County Superior Court, Monterey
Park, CA
Marsha J. Rabiteau, President & CEO, Center for Human Trafficking Court
Solutions, Bloomfield, CT
Isabel Framer, President, Language Access Consultants LLC, Copley, OH
[[Page 61132]]
Jonathan D. Mattiello, Executive Director (ex officio)
Jonathan D. Mattiello,
Executive Director.
[FR Doc. 2022-21814 Filed 10-6-22; 8:45 am]
BILLING CODE 6820-SC-P
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</html>Indexed from Federal Register on October 7, 2022.
This is legal information, not legal advice. Laws vary by jurisdiction and change frequently. Always verify current law with official sources and consult a licensed attorney in your jurisdiction for advice on your specific situation.