[Federal Register Volume 74, Number 199 (Friday, October 16, 2009)]
[Notices]
[Pages 53332-53365]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E9-24852]



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Part II





State Justice Institute





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Grant Guideline; Notice

  Federal Register / Vol. 74, No. 199 / Friday, October 16, 2009 / 
Notices  

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STATE JUSTICE INSTITUTE


Grant Guideline, Notice

AGENCY: State Justice Institute.

ACTION: Proposed Grant Guideline for 2010.

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SUMMARY: This Guideline sets forth the administrative, programmatic, 
and financial requirements attendant to Fiscal Year 2010 State Justice 
Institute grants, cooperative agreements, and contracts.

DATES: October 16, 2009.

FOR FURTHER INFORMATION CONTACT: Janice Munsterman, Executive Director, 
State Justice Institute, 1650 King St. (Suite 600), Alexandria, VA 
22314, (703) 684-6100 X202, [email protected]

SUPPLEMENTARY INFORMATION: Pursuant to the State Justice Institute Act 
of 1984, 42 U.S.C. 10701, et seq., as amended, the Institute is 
authorized to award grants, cooperative agreements, and contracts to 
State and local courts, nonprofit organizations, and others for the 
purpose of improving the quality of justice in the State courts of the 
United States.
    Final appropriations legislation for fiscal year (FY) 2010 is still 
pending. The House, Commerce, Justice and Science (CJS) Appropriations 
Bill (H.R. 2847) provides $5,131,000 for the Institute in FY 2010; the 
Senate Appropriations Committee CJS Mark provides $5,000,000.
    Regardless of the final amount provided to the Institute for FY 
2010, the Institute's Board of Directors intends to solicit grant 
applications across the range of grant programs available.
    The following Grant Guideline is adopted by the State Justice 
Institute for FY 2010.

Table of Contents

I. The Mission of the State Justice Institute
II. Eligibility for Award
III. Scope of the Program
IV. Applications
V. Application Review Procedures
VI. Compliance Requirements
VII. Financial Requirements
VIII. Grant Adjustments
 Appendix A SJI Libraries: Designated Sites and Contacts
 Appendix B Grant Application Forms
    [cir] Form A--Application and Application Instructions
    [cir] Form B--Certificate of State Approval and Instructions
    [cir] Form C--Project Budget and Instructions
    [cir] Form D--Assurances
    [cir] Disclosure of Lobbying Activities
    [cir] Form E--Disclosure of Lobbying Activities
 Appendix C Scholarship Application Forms (Forms S1 and S2)

I. The Mission of the State Justice Institute

    The Institute was established by State Justice Institute 
Authorization Act of 1984 (42 U.S.C. 10701 et seq.) to improve the 
administration of justice in the state courts of the United States. 
Incorporated in the State of Virginia as a private, nonprofit 
corporation, the Institute is charged, by statute, with the 
responsibility to:
     Direct a national program of financial assistance designed 
to assure that each citizen of the United States is provided ready 
access to a fair and effective system of justice;
     Foster coordination and cooperation with the federal 
judiciary;
     Promote recognition of the importance of the separation of 
powers doctrine to an independent judiciary; and
     Encourage education for judges and support personnel of 
state court systems through national and state organizations, including 
universities.
    To accomplish these broad objectives, the Institute is authorized 
to provide funds to state courts, national organizations which support 
and are supported by state courts, national judicial education 
organizations, and other organizations that can assist in improving the 
quality of justice in the state courts. The Institute is supervised by 
a Board of Directors appointed by the President, with the advice and 
consent of the Senate. The Board is statutorily composed of six judges; 
a state court administrator; and four members of the public, no more 
than two can be of the same political party.
    Through the award of grants, contracts, and cooperative agreements, 
the Institute is authorized to perform the following activities:
    A. Support technical assistance, demonstrations, special projects, 
research and training to improve the administration of justice in the 
state courts;
    B. Provide for the preparation, publication, and dissemination of 
information regarding state judicial systems;
    C. Participate in joint projects with federal agencies and other 
private grantors;
    D. Evaluate or provide for the evaluation of programs and projects 
to determine their impact upon the quality of criminal, civil, and 
juvenile justice and the extent to which they have contributed to 
improving the quality of justice in the state courts;
    E. Encourage and assist in furthering judicial education; and,
    F. Encourage, assist, and serve in a consulting capacity to state 
and local justice system agencies in the development, maintenance, and 
coordination of criminal, civil, and juvenile justice programs and 
services.

II. Eligibility for Award

    The Institute is authorized by Congress to award grants, 
cooperative agreements, and contracts to the following entities and 
types of organizations:
    A. State and local courts and their agencies (42 U.S.C. 
10705(b)(1)(A)).
    B. National nonprofit organizations controlled by, operating in 
conjunction with, and serving the judicial branches of state 
governments (42 U.S.C. 10705(b)(1)(B)).
    C. National nonprofit organizations for the education and training 
of judges and support personnel of the judicial branch of state 
governments (42 U.S.C. 10705(b)(1)(C)). An applicant is considered a 
national education and training applicant under section 10705(b)(1)(C) 
if:
    1. The principal purpose or activity of the applicant is to provide 
education and training to state and local judges and court personnel; 
and
    2. The applicant demonstrates a record of substantial experience in 
the field of judicial education and training.
    D. Other eligible grant recipients (42 U.S.C. 10705 (b)(2)(A)-(D)).
    1. Provided that the objectives of the project can be served 
better, the Institute is also authorized to make awards to:
    a. Nonprofit organizations with expertise in judicial 
administration;
    b. Institutions of higher education;
    c. Individuals, partnerships, firms, corporations (for-profit 
organizations must waive their fees); and
    d. Private agencies with expertise in judicial administration.
    2. The Institute may also make awards to state or local agencies 
and institutions other than courts for services that cannot be 
adequately provided through nongovernmental arrangements (42 U.S.C. 
10705(b)(3)).
    E. Inter-agency Agreements. The Institute may enter into inter-
agency agreements with Federal agencies (42 U.S.C. 10705(b)(4)) and 
private funders to support projects consistent with the purposes of the 
State Justice Institute Act.

III. Scope of the Program

    SJI is offering six types of grants in FY 2010: Project Grants, 
Technical Assistance (TA) Grants, Curriculum Adaptation and Training 
(CAT) Grants, Partner Grants, Strategic Initiative Grants and 
Scholarships. SJI does not

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award Continuation Grants except for Strategic Initiative Projects.

A. Project Grants

    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. Project Grants may ordinarily not 
exceed $300,000. Grant periods for Project Grants ordinarily may not 
exceed 36 months.
    Applicants for Project Grants will be required to contribute a cash 
match of not less than 50 percent of the total cost of the proposed 
project. In other words, grant awards by SJI must be matched at least 
dollar for dollar by grant applicants. Applicants may contribute the 
required cash match directly or in cooperation with third parties. 
Prospective applicants should carefully review Section VI.8. (matching 
requirements) and Section VI.16.a. (non-supplantation) of the Guideline 
prior to beginning the application process. If questions arise, 
applicants are strongly encouraged to consult the Institute.
    Beginning in FY 2010, a temporary reduced cash match process is 
available for state courts submitting Project Grant applications. The 
use of this cash match reduction authority is intended to help the 
state courts in this climate of severe budget reductions. The process 
requires the state court to formally request a reduced cash match, and 
that the request be certified by the chief justice of that state. The 
state court must explain in detail how it is facing budgetary cutbacks 
that will result in significant reductions in other services, and why 
it will be unable to undertake the project without a cash match 
reduction. This must be described in detail in the application and 
verified by the chief justice of that state. Only state courts may 
apply for a cash match reduction.
    Applicants should examine their projected project costs closely, 
and if they are unable to cover half the costs of the project, they may 
apply for a reduction in cash match. Applicants are strongly encouraged 
to provide as much cash match as possible in their application, as some 
cash match contribution is still required.
    Applicants are also encouraged to provide the percentage of budget 
reductions in their court(s), and the measures that have been taken by 
the jurisdiction/state to handle the budget shortfalls in FY 2009 and 
FY 2010. This may include staff reductions, as well as reductions in 
services and programs. Some cash contribution is still required for 
Project Grants, and should be reflected in the budget proposal for the 
project. For example, if the total cost of the proposed project is 
$100,000, the normal cash match would be $50,000. However, if the 
applicant is unable to provide $50,000 for the activities, but is able 
to contribute $25,000, the budget should show the request to SJI 
totaling $75,000, with the cash match of $25,000. This is a temporary 
program only available to the state courts, and it will be re-evaluated 
at the end of FY 2010.
    As set forth in Section I., the Institute is authorized to fund 
projects addressing a broad range of program areas. However, the Board 
is likely to favor Project Grant applications focused on the Special 
Interest program categories described below. Potential applicants are 
also encouraged to bring to the attention of the Institute innovative 
projects outside those categories. Funding will not be made available 
for the ordinary, routine operations of court systems.
1. Special Interest Program Criteria and Categories
    The Institute is interested in funding both innovative programs and 
programs of proven merit that can be replicated in other jurisdictions. 
The Institute is especially interested in funding projects that:
     Formulate new procedures and techniques, or creatively 
enhance existing procedures and techniques;
     Address aspects of the State judicial systems that are in 
special need of serious attention;
     Have national significance by developing products, 
services, and techniques that may be used in other states; and
     Create and disseminate products that effectively transfer 
the information and ideas developed to relevant audiences in state and 
local judicial systems, or provide technical assistance to facilitate 
the adaptation of effective programs and procedures in other states and 
local jurisdictions.
    Projects do not have to be in the Special Interest Categories given 
below, however, these topics are of special interest and such 
applications get extra points in the review process. It should be 
noted, however, that all projects impacting the court system will be 
considered. A project will be identified as a Special Interest project 
if it meets the four criteria set forth above and it falls within the 
scope of the Board-designated Special Interest program categories 
listed below. The order of listing does not imply any ranking of 
priorities among the categories.
a. Immigration Issues
    Recent immigration growth is having a significant impact on state 
and local courts. Courts along the Southwest Border, and other areas of 
the United States with large immigrant populations, are contending with 
issues such as how to provide culturally appropriate services; 
increases in gang-crime cases involving immigrants; and the impact of 
federal and state immigration policies on court operations. The 
Institute is interested in projects that highlight the issues state and 
local courts face in addressing the demands of increased immigration, 
and potential solutions to those issues. The Institute is also 
interested in judicial education or other programs that prepare judges 
and court officials to address immigration issues in their courts, and 
the development of plans of action to improve service delivery, build 
community coalitions, and accommodate federal and state immigration 
policies.
b. Courts and the Media
    Recent repeated public attacks on courts have gone largely 
unanswered, because judges were unwilling and/or courts were unable to 
respond effectively. No one is better prepared than a judge to describe 
decision-making on the bench within the law and the Constitution. The 
Institute is interested in projects that explore the role of judge as 
public commentator within ethical and professional bounds. The 
Institute is also interested in judicial education or other programs 
that prepare judges and court officials to serve as spokesmen in short 
notice, high profile circumstances, especially in situations where 
courts lack dedicated press secretaries. Finally, the Institute is 
interested in promoting initiatives that improve relations between the 
judiciary and the media, since much of the recent rancor between the 
two seems based on unfamiliarity with one another's duties, 
responsibilities, and limitations. In particular, the Institute is 
interested in proposals that focus on cultivating trust and open 
communication between the Third Branch and the Fourth Estate on a day-
to-day basis, because dialogue between strangers is rarely started and 
never sustained in a crisis.
c. Elder Issues
    This category includes research, demonstration, evaluation, and 
education projects designed to improve management of guardianship, 
probate, fraud, Americans with Disability Act, and other types of 
elder-related cases. The Institute is particularly interested in

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projects that would develop and evaluate judicial branch education 
programs addressing elder law and related issues.
d. Performance Standards and Outcome Measures
    This category includes projects that will develop and measure 
performance standards and outcomes for all aspects of court operations. 
The Institute is particularly interested in projects that take the 
National Center for State Courts' ``CourTools'' to the next level. 
Other initiatives designed to further professionalize court staff and 
operations, or to objectively evaluate the costs and benefits and cost-
effectiveness of problem solving courts, are also welcome.
e. Court Budgeting
    Recent economic downturns have caused major budgetary issues for 
many states and the state courts. These shortfalls have proven very 
disruptive to court staffing, services, technology investment, and 
professional education and development. The Institute is interested in 
pursuing ``how to'' projects that focus on ``best practices'' regarding 
budget structure and formulation, sources of revenue, inter-branch 
relations and other methods that contribute to stabilizing court 
budgets and improving their long-term financial prospects.
f. Relationship Between State and Federal Courts
    This category includes research, demonstration, evaluation, and 
education projects designed to facilitate appropriate and effective 
communication, cooperation, and coordination between state and federal 
courts. The Institute is also interested in projects that improve 
relationships between the courts, the legislative and executive 
branches, and the public. However, all SJI grants must be awarded to 
the state court system.

B. Technical Assistance (TA) Grants

    TA Grants are intended to provide state or local courts, or 
regional court associations, with sufficient support to obtain expert 
assistance to diagnose a problem, develop a response to that problem, 
and implement any needed changes. TA Grants may not exceed $50,000, and 
shall only cover the cost of obtaining the services of expert 
consultants. Examples of expenses not covered by TA Grants include the 
salaries, benefits, or travel of full-or part-time court employees. 
Grant periods for TA Grants ordinarily may not exceed 24 months. In 
calculating project duration, applicants are cautioned to fully 
consider the time required to issue a request for proposals, negotiate 
a contract with the selected provider, and execute the project.
    Applicants for TA Grants will be required to contribute a total 
match of not less than 50 percent of the grant amount requested, of 
which 20 percent must be cash. In other words, an applicant seeking a 
$50,000 TA grant must provide a $25,000 match, of which up to $20,000 
can be in-kind and not less than $5,000 must be cash. TA Grant 
application procedures can be found in section IV.B.

C. Curriculum Adaptation and Training (CAT) Grants

    CAT Grants are intended to: (1) Enable courts and regional or 
national court associations to modify and adapt model curricula, course 
modules, or conference programs to meet states' or local jurisdictions' 
educational needs; train instructors to present portions or all of the 
curricula; and pilot-test them to determine their appropriateness, 
quality, and effectiveness, or (2) conduct judicial branch education 
and training programs, led by either expert or 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 $30,000. Grant periods for CAT Grants 
ordinarily may not exceed 12 months.
    Applicants for CAT Grants will be required to contribute a match of 
not less than 50 percent of the grant amount requested, of which 20 
percent must be cash. In other words, an applicant seeking a $30,000 
CAT grant must provide a $15,000 match, of which up to $12,000 can be 
in-kind and not less than $3,000 must be cash. CAT Grant application 
procedures can be found in section IV.C.

D. Partner Grants

    Partner Grants are intended to allow the Institute and federal, 
state, or local agencies or foundations, trusts, or other private 
entities to combine financial resources in pursuit of common interests. 
Though many, if not most, Partner Grants will fall under the Special 
Interest program categories cited in section III.A., proposals 
addressing other emerging or high priority court-related problems will 
be considered on a case-by-case basis. The Institute and its financial 
partners may set any level for Partner Grants, subject to the entire 
amount of the grant being available at the time of the award; 
applicants for Partner Grants may request any amount of funding. Grant 
periods for Partner Grants ordinarily may not exceed 36 months.
    Partner Grants are subject to the same cash match requirement as 
Project Grants. In other words, grant awards by the Institute must be 
matched at least dollar-for-dollar. Applicants may contribute the 
required cash match directly or in cooperation with third parties. 
Partner Grants are coordinated by the funding organizations. Applicants 
considering Partner Grants are encouraged to contact Institute staff to 
discuss the potential of this mechanism for project funding. Partner 
Grant application procedures can be found in section IV.E.

E. Strategic Initiatives Grants

    The Strategic Initiatives Grants (SIG) program provides the 
Institute with the flexibility to address national court issues as they 
occur, and develop solutions to those problems. This is an innovative 
approach where the Institute uses its expertise and the expertise and 
knowledge of its grantees to address key issues facing State courts 
across the United States.
    The funding is used for grants or contractual services, and any 
remaining balance not used for the SIG program will become available 
for the Institute's other grant programs. The program is handled at the 
discretion of the Institute's Board of Directors and staff outside the 
normal grant application process (i.e., the Institute will initiate the 
project) and there is no cash match requirement.

F. Scholarships for Judges and Court Managers

    Scholarships are intended to enhance the skills, knowledge, and 
abilities of state court judges and court managers by enabling them to 
attend out-of-state, or to enroll in online, educational and training 
programs sponsored by national and state providers that they could not 
otherwise attend or take online because of limited state, local, and 
personal budgets. Scholarships may not exceed $1,500. The Institute's 
Board of Directors intends to reserve up to $175,000 for scholarships 
in FY 2010. Scholarship application procedures can be found in section 
IV.D.

IV. Applications

A. Project Grants

    An application for a Project Grant must include an application 
form; budget forms (with appropriate documentation); a project abstract 
and program narrative; a disclosure of lobbying form, when applicable; 
and

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certain certifications and assurances (see below). See Appendix B for 
the Project Grant application forms.
1. Forms
a. Application Form (Form A)
    The application form requests basic information regarding the 
proposed project, the applicant, and the total amount of funding 
requested from the Institute. It also requires the signature of an 
individual authorized to certify on behalf of the applicant that the 
information contained in the application is true and complete; that 
submission of the application has been authorized by the applicant; and 
that if funding for the proposed project is approved, the applicant 
will comply with the requirements and conditions of the award, 
including the assurances set forth in Form D.
b. Certificate of State Approval (Form B)
    An application from a State or local court must include a copy of 
Form B signed by the State's Chief Justice or Chief Judge, the director 
of the designated agency, or the head of the designated council. The 
signature denotes that the proposed project has been approved by the 
State's highest court or the agency or council it has designated. It 
denotes further that, if applicable, a cash match reduction has been 
requested, and that if the Institute approves funding for the project, 
the court or the specified designee will receive, administer, and be 
accountable for the awarded funds.
c. Budget Form (Form C)
    Applicants must submit a Form C. In addition, applicants must 
provide a detailed budget narrative providing an explanation of the 
basis for the estimates in each budget category (see subsection A.4. 
below).
    If funds from other sources are required to conduct the project, 
either as match or to support other aspects of the project, the source, 
current status of the request, and anticipated decision date must be 
provided.
d. Assurances (Form D)
    This form lists the statutory, regulatory, and policy requirements 
with which recipients of Institute funds must comply.
e. Disclosure of Lobbying Activities
    Applicants other than units of state or local government are 
required to disclose whether they, or another entity that is part of 
the same organization as the applicant, have advocated a position 
before Congress on any issue, and to identify the specific subjects of 
their lobbying efforts (see section VI.A.7.).
2. Project Abstract
    The abstract should highlight the purposes, goals, methods, and 
anticipated benefits of the proposed project. It should not exceed 1 
single-spaced page on 8\1/2\ by 11 inch paper.
3. Program Narrative
    The program narrative for an application may not exceed 25 double-
spaced pages on 8\1/2\ by 11 inch paper. Margins must be at least 1 
inch, and type size must be at least 12-point and 12 cpi. The pages 
should be numbered. This page limit does not include the forms, the 
abstract, the budget narrative, and any appendices containing resumes 
and letters of cooperation or endorsement. Additional background 
material should be attached only if it is essential to impart a clear 
understanding of the proposed project. Numerous and lengthy appendices 
are strongly discouraged.
    The program narrative should address the following topics:
a. Project Objectives
    The applicant should include a clear, concise statement of what the 
proposed project is intended to accomplish. In stating the objectives 
of the project, applicants should focus on the overall programmatic 
objective (e.g., to enhance understanding and skills regarding a 
specific subject, or to determine how a certain procedure affects the 
court and litigants) rather than on operational objectives (e.g., 
provide training for 32 judges and court managers, or review data from 
300 cases).
b. Program Areas To Be Covered
    The applicant should note the Special Interest criteria and 
category addressed by the proposed project when appropriate (see 
section III.A.), although it is not necessary for a project to be in a 
specific Special Interest Category.
c. Need for the Project
    If the project is to be conducted in any specific location(s), the 
applicant should discuss the particular needs of the project site(s) to 
be addressed by the project and why those needs are not being met 
through the use of existing programs, procedures, services, or other 
resources.
    If the project is not site-specific, the applicant should discuss 
the problems that the proposed project would address, and why existing 
programs, procedures, services, or other resources cannot adequately 
resolve those problems. The discussion should include specific 
references to the relevant literature and to the experience in the 
field.
d. Tasks, Methods and Evaluations
    (1) Tasks and Methods. The applicant should delineate the tasks to 
be performed in achieving the project objectives and the methods to be 
used for accomplishing each task. For example:
    (a) For research and evaluation projects, the applicant should 
include the data sources, data collection strategies, variables to be 
examined, and analytic procedures to be used for conducting the 
research or evaluation and ensuring the validity and general 
applicability of the results. For projects involving human subjects, 
the discussion of methods should address the procedures for obtaining 
respondents' informed consent, ensuring the respondents' privacy and 
freedom from risk or harm, and protecting others who are not the 
subjects of research but would be affected by the research. If the 
potential exists for risk or harm to human subjects, a discussion 
should be included that explains the value of the proposed research and 
the methods to be used to minimize or eliminate such risk.
    (b) For education and training projects, the applicant should 
include the adult education techniques to be used in designing and 
presenting the program, including the teaching/learning objectives of 
the educational design, the teaching methods to be used, and the 
opportunities for structured interaction among the participants; how 
faculty would be recruited, selected, and trained; the proposed number 
and length of the conferences, courses, seminars, or workshops to be 
conducted and the estimated number of persons who would attend them; 
the materials to be provided and how they would be developed; and the 
cost to participants.
    (c) For demonstration projects, the applicant should include the 
demonstration sites and the reasons they were selected, or if the sites 
have not been chosen, how they would be identified and their 
cooperation obtained; and how the program or procedures would be 
implemented and monitored.
    (d) For technical assistance projects, the applicant should explain 
the types of assistance that would be provided; the particular issues 
and problems for which assistance would be provided; the type of 
assistance determined; how suitable providers would be selected and 
briefed; and how reports would be reviewed.

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    (2) Evaluation. Projects should include an evaluation plan to 
determine whether the project met its objectives. The evaluation should 
be designed to provide an objective and independent assessment of the 
effectiveness or usefulness of the training or services provided; the 
impact of the procedures, technology, or services tested; or the 
validity and applicability of the research conducted. The evaluation 
plan should be appropriate to the type of project proposed.
e. Project Management
    The applicant should present a detailed management plan, including 
the starting and completion date for each task; the time commitments to 
the project of key staff and their responsibilities regarding each 
project task; and the procedures that would ensure that all tasks are 
performed on time, within budget, and at the highest level of quality. 
In preparing the project time line, Gantt Chart, or schedule, 
applicants should make certain that all project activities, including 
publication or reproduction of project products and their initial 
dissemination, would occur within the proposed project period. The 
management plan must also provide for the submission of Quarterly 
Progress and Financial Reports within 30 days after the close of each 
calendar quarter (i.e., no later than January 30, April 30, July 30, 
and October 30), per section VI.A.13.
    Applicants should be aware that the Institute is unlikely to 
approve a limited extension of the grant period without very good 
cause. Therefore, the management plan should be as realistic as 
possible and fully reflect the time commitments of the proposed project 
staff and consultants.
f. Products
    The program narrative in the application should contain a 
description of the product(s) to be developed (e.g., training curricula 
and materials, Web sites or other electronic multimedia, articles, 
guidelines, manuals, reports, handbooks, benchbooks, or books), 
including when they would be submitted to the Institute. The budget 
should include the cost of producing and disseminating the product to 
each in-state SJI library (see Appendix A), state chief justice, state 
court administrator, and other appropriate judges or court personnel. 
If final products involve electronic formats, the applicant should 
indicate how the product would be made available to other courts. 
Dissemination to the in-state libraries may not be required for such 
products. Discussion of this dissemination process should occur between 
the grantee and staff at SJI prior to the final selection of the 
dissemination process to be used.
    (1) Dissemination Plan. The application must explain how and to 
whom the products would be disseminated; describe how they would 
benefit the state courts, including how they could be used by judges 
and court personnel; identify development, production, and 
dissemination costs covered by the project budget; and present the 
basis on which products and services developed or provided under the 
grant would be offered to the court community and the public at large 
(i.e., whether products would be distributed at no cost to recipients, 
or if costs are involved, the reason for charging recipients and the 
estimated price of the product) (see section VI.A.11.b.). Ordinarily, 
applicants should schedule all product preparation and distribution 
activities within the project period.
    A copy of each written product must be sent to the library 
established in each state to collect the materials developed with 
Institute support (see Appendix A). Applicants proposing to develop 
Web-based products should provide for sending a notice and description 
of the document to the SJI-designated libraries and other appropriate 
audiences to alert them to the availability of the Web site or 
electronic product (i.e., a written report with a reference to the Web 
site).
    Five (5) copies of all project products should be submitted to the 
Institute, along with an electronic version in .html or .pdf format. 
Discussions of final product dissemination should be conducted with SJI 
staff prior to the end of the grant period.
    (2) Types of Products and Press Releases. The type of product to be 
prepared depends on the nature of the project. For example, in most 
instances, the products of a research, evaluation, or demonstration 
project should include an article summarizing the project findings that 
is publishable in a journal serving the courts community nationally, an 
executive summary that would be disseminated to the project's primary 
audience, or both. Applicants proposing to conduct empirical research 
or evaluation projects with national import should describe how they 
would make their data available for secondary analysis after the grant 
period (see section VI.A.14.a.).
    The curricula and other products developed through education and 
training projects should be designed for use by others and again by the 
original participants in the course of their duties.
    (3) Institute Review. Applicants must submit a final draft of all 
written grant products to the Institute for review and approval at 
least 30 days before the products are submitted for publication or 
reproduction. For products in website or multimedia format, applicants 
must provide for Institute review of the product at the treatment, 
script, rough-cut, and final stages of development, or their 
equivalents. No grant funds may be obligated for publication or 
reproduction of a final grant product without the written approval of 
the Institute (see section VI.A.11.f.).
    (4) Acknowledgment, Disclaimer, and Logo. Applicants must also 
include in all project products a prominent acknowledgment that support 
was received from the Institute and a disclaimer paragraph based on the 
example provided in section VI.A.11.a.2. in the Guideline. The ``SJI'' 
logo must appear on the front cover of a written product, or in the 
opening frames of a website or other multimedia product, unless the 
Institute approves another placement.
g. Applicant Status
    An applicant that is not a state or local court and has not 
received a grant from the Institute within the past three years should 
indicate whether it is either a national non-profit organization 
controlled by, operating in conjunction with, and serving the judicial 
branches of State governments, or a national non-profit organization 
for the education and training of State court judges and support 
personnel (see section II). If the applicant is a non-judicial unit of 
Federal, State, or local government, it must explain whether the 
proposed services could be adequately provided by non-governmental 
entities.
h. Staff Capability
    The applicant should include a summary of the training and 
experience of the key staff members and consultants that qualify them 
for conducting and managing the proposed project. Resumes of identified 
staff should be attached to the application. If one or more key staff 
members and consultants are not known at the time of the application, a 
description of the criteria that would be used to select persons for 
these positions should be included. The applicant also should identify 
the person who would be responsible for managing and reporting on the 
financial aspects of the proposed project.
i. Organizational Capacity
    Applicants that have not received a grant from the Institute within 
the past

[[Page 53337]]

three years should include a statement describing their capacity to 
administer grant funds, including the financial systems used to monitor 
project expenditures (and income, if any), and a summary of their past 
experience in administering grants, as well as any resources or 
capabilities that they have that would particularly assist in the 
successful completion of the project.
    Unless requested otherwise, an applicant that has received a grant 
from the Institute within the past three years should describe only the 
changes in its organizational capacity, tax status, or financial 
capability that may affect its capacity to administer a grant.
    If the applicant is a non-profit organization (other than a 
university), it must also provide documentation of its 501(c) tax-
exempt status as determined by the Internal Revenue Service and a copy 
of a current certified audit report. For purposes of this requirement, 
``current'' means no earlier than two years prior to the present 
calendar year.
    If a current audit report is not available, the Institute will 
require the organization to complete a financial capability 
questionnaire, which must be signed by a Certified Public Accountant. 
Other applicants may be required to provide a current audit report, a 
financial capability questionnaire, or both, if specifically requested 
to do so by the Institute.
j. Statement of Lobbying Activities
    Non-governmental applicants must submit the Institute's Disclosure 
of Lobbying Activities Form, which documents whether they, or another 
entity that is a part of the same organization as the applicant, have 
advocated a position before Congress on any issue, and identifies the 
specific subjects of their lobbying efforts (see Appendix B).
k. Letters of Cooperation or Support
    If the cooperation of courts, organizations, agencies, or 
individuals other than the applicant is required to conduct the 
project, the applicant should attach written assurances of cooperation 
and availability to the application, or send them under separate cover.
4. Budget Narrative
    The budget narrative should provide the basis for the computation 
of all project-related costs. When the proposed project would be 
partially supported by grants from other funding sources, applicants 
should make clear what costs would be covered by those other grants. 
Additional background information or schedules may be attached if they 
are essential to obtaining a clear understanding of the proposed 
budget. Numerous and lengthy appendices are strongly discouraged.
    The budget narrative should cover the costs of all components of 
the project and clearly identify costs attributable to the project 
evaluation. Under OMB grant guidelines incorporated by reference in 
this Guideline, grant funds may not be used to purchase alcoholic 
beverages.
a. Justification of Personnel Compensation
    The applicant should set forth the percentages of time to be 
devoted by the individuals who would staff the proposed project, the 
annual salary of each of those persons, and the number of work days per 
year used for calculating the percentages of time or daily rates of 
those individuals. The applicant should explain any deviations from 
current rates or established written organizational policies. No grant 
funds or cash match may be used to pay the salary and related costs for 
a current or new employee of a court or other unit of government 
because such funds would constitute a supplantation of state or local 
funds in violation of 42 U.S.C. 10706(d)(1); this includes new 
employees hired specifically for the project. The salary and any 
related costs for a current or new employee of a court or other unit of 
government may only be accepted as in-kind match.
b. Fringe Benefit Computation
    For non-governmental entities, the applicant should provide a 
description of the fringe benefits provided to employees. If 
percentages are used, the authority for such use should be presented, 
as well as a description of the elements included in the determination 
of the percentage rate.
c. Consultant/Contractual Services and Honoraria
    The applicant should describe the tasks each consultant would 
perform, the estimated total amount to be paid to each consultant, the 
basis for compensation rates (e.g., the number of days multiplied by 
the daily consultant rates), and the method for selection. Rates for 
consultant services must be set in accordance with section VII.I.2.c. 
Prior written Institute approval is required for any consultant rate in 
excess of $800 per day; Institute funds may not be used to pay a 
consultant more than $1,100 per day. Honorarium payments must be 
justified in the same manner as consultant payments.
d. Travel
    Transportation costs and per diem rates must comply with the 
policies of the applicant organization. If the applicant does not have 
an established travel policy, then travel rates must be consistent with 
those established by the federal government. The budget narrative 
should include an explanation of the rate used, including the 
components of the per diem rate and the basis for the estimated 
transportation expenses. The purpose of the travel should also be 
included in the narrative.
e. Equipment
    Grant funds may be used to purchase only the equipment necessary to 
demonstrate a new technological application in a court or that is 
otherwise essential to accomplishing the objectives of the project. In 
other words, grant funds cannot be used strictly for the purpose of 
purchasing equipment. Equipment purchases to support basic court 
operations ordinarily will not be approved. The applicant should 
describe the equipment to be purchased or leased and explain why the 
acquisition of that equipment is essential to accomplish the project's 
goals and objectives. The narrative should clearly identify which 
equipment is to be leased and which is to be purchased. The method of 
procurement should also be described. Purchases of automated data 
processing equipment must comply with section VII.I.2.b.
f. Supplies
    The applicant should provide a general description of the supplies 
necessary to accomplish the goals and objectives of the grant. In 
addition, the applicant should provide the basis for the amount 
requested for this expenditure category.
g. Construction
    Construction expenses are prohibited except for the limited 
purposes set forth in section VI.A.16.b. Any allowable construction or 
renovation expense should be described in detail in the budget 
narrative.
h. Telephone
    Applicants should include anticipated telephone charges, 
distinguishing between monthly charges and long distance charges in the 
budget narrative. Also, applicants should provide the basis used to 
calculate the monthly and long distance estimates.
i. Postage
    Anticipated postage costs for project-related mailings, including 
distribution

[[Page 53338]]

of the final product(s), should be described in the budget narrative. 
The cost of special mailings, such as for a survey or for announcing a 
workshop, should be distinguished from routine operational mailing 
costs. The bases for all postage estimates should be included in the 
budget narrative.
j. Printing/Photocopying
    Anticipated costs for printing or photocopying project documents, 
reports, and publications should be included in the budget narrative, 
along with the bases used to calculate these estimates.
k. Indirect Costs
    Indirect costs are only applicable to organizations that are not 
state courts or government agencies. Recoverable indirect costs are 
limited to no more than 75 percent of a grantee's direct personnel 
costs, i.e. salaries plus fringe benefits (see section VII.I.4.).
    Applicants should describe the indirect cost rates applicable to 
the grant in detail. If costs often included within an indirect cost 
rate are charged directly (e.g., a percentage of the time of senior 
managers to supervise project activities), the applicant should specify 
that these costs are not included within its approved indirect cost 
rate. These rates must be established in accordance with section 
VII.I.4. If the applicant has an indirect cost rate or allocation plan 
approved by any Federal granting agency, a copy of the approved rate 
agreement must be attached to the application.
l. Match
    Applicants who do not contemplate making matching contributions 
continuously throughout the course of the project or on a task-by-task 
basis must provide a schedule within 30 days after the beginning of the 
project period indicating at what points during the project period the 
matching contributions would be made (see sections VI.A.8, and 
VII.E.1.).
5. Submission Requirements
    a. Every applicant must submit an original and three copies of the 
application package consisting of Form A; Form B, if the application is 
from a state or local court, or a Disclosure of Lobbying Form (Form E), 
if the applicant is not a unit of state or local government; Form C; 
the Application Abstract; the Program Narrative; the Budget Narrative; 
and any necessary appendices.
    Letters of application may be submitted at any time. Applications 
received by the first day of the second month in a calendar quarter 
will be considered at the next Board meeting for that quarter. Please 
mark PROJECT APPLICATION on the application package envelope and send 
it to: State Justice Institute, 1650 King Street, Suite 600, 
Alexandria, VA 22314.
    Receipt of each application will be acknowledged by letter or e-
mail.
    b. Applicants submitting more than one application may include 
material that would be identical in each application in a cover letter. 
This material will be incorporated by reference into each application 
and counted against the 25-page limit for the program narrative. A copy 
of the cover letter should be attached to each copy of the application.

B. Technical Assistance (TA) Grants

1. Application Procedures
    Applicants for TA Grants may submit an original and three copies of 
a detailed letter describing the proposed project, as well as a Form A, 
``State Justice Institute Application'' (see Appendix B) and Form B, 
Certificate of State Approval from the State Supreme Court, or its 
designated agency and Form C, ``Project Budget in Tabular Format.'' 
Letters from regional court associations must be signed by the 
president of the association. The applications received by the first 
day of the second month in a calendar quarter will be reviewed in the 
Board meeting for that quarter.
2. Application Format
    Although there is no prescribed form for the letter, or a minimum 
or maximum page limit, letters of application should include the 
following information:
    a. Need for Funding. What is the critical need facing the 
applicant? How would the proposed technical assistance help the 
applicant meet this critical need? Why are state or local resources not 
sufficient to fully support the costs of the required consultant 
services?
    b. Project Description. What tasks would the consultant be expected 
to perform, and how would they be accomplished? Which organization or 
individual would be hired to provide the assistance, and how was this 
consultant selected? If a consultant has not yet been identified, what 
procedures and criteria would be used to select the consultant 
(applicants are expected to follow their jurisdictions' normal 
procedures for procuring consultant services)? What specific tasks 
would the consultant(s) and court staff undertake? What is the schedule 
for completion of each required task and the entire project? How would 
the applicant oversee the project and provide guidance to the 
consultant, and who at the court or regional court association would be 
responsible for coordinating all project tasks and submitting quarterly 
progress and financial status reports?
    If the consultant has been identified, the applicant should provide 
a letter from that individual or organization documenting interest in 
and availability for the project, as well as the consultant's ability 
to complete the assignment within the proposed time frame and for the 
proposed cost. The consultant must agree to submit a detailed written 
report to the court and the Institute upon completion of the technical 
assistance.
    c. Likelihood of Implementation. What steps have been or would be 
taken to facilitate implementation of the consultant's recommendations 
upon completion of the technical assistance? For example, if the 
support or cooperation of specific court officials or committees, other 
agencies, funding bodies, organizations, or a court other than the 
applicant would be needed to adopt the changes recommended by the 
consultant and approved by the court, how would they be involved in the 
review of the recommendations and development of the implementation 
plan?
3. Budget and Matching State Contribution
    A completed Form C ``Project Budget, Tabular Format'' and budget 
narrative must be included with the letter requesting technical 
assistance. It should be noted that the maximum grant for Technical 
Assistance projects is raised to $50,000 in Fiscal Year 2010.
    The budget narrative should provide the basis for all project-
related costs, including the basis for determining the estimated 
consultant costs, if compensation of the consultant is required (e.g., 
the number of days per task times the requested daily consultant rate). 
Applicants should be aware that consultant rates above $800 per day 
must be approved in advance by the Institute, and that no consultant 
will be paid more than $1,100 per day from Institute funds. In 
addition, the budget should provide for submission of two copies of the 
consultant's final report to the Institute.
    Recipients of TA Grants do not have to submit an audit report but 
must maintain appropriate documentation to support expenditures (see 
section VI.A.3.).

[[Page 53339]]

4. Submission Requirements
    Letters of application should be received by the first day of the 
second month of a calendar quarter in order to be reviewed at the Board 
meeting for that quarter.
    If the support or cooperation of agencies, funding bodies, 
organizations, or courts other than the applicant would be needed in 
order for the consultant to perform the required tasks, written 
assurances of such support or cooperation should accompany the 
application letter. Support letters also may be submitted under 
separate cover; however, to ensure that there is sufficient time to 
bring them to the attention of the Institute's Board of Directors, 
letters sent under separate cover should be received by the same date 
as the technical assistance request being supported.

C. Curriculum Adaptation and Training (CAT) Grants

1. Application Procedures
    In lieu of formal applications, applicants should submit an 
original and three photocopies of a detailed letter as well as a Form 
A, ``State Justice Institute Application;'' Form B, ``Certificate of 
State Approval;'' and Form C, ``Project Budget, Tabular Format'' (see 
Appendices). It should be noted that in FY 2010 the maximum amount for 
a CAT grant is raised to $30,000.
2. Application Format
    Although there is no prescribed format for the letter, or a minimum 
or maximum page limit, letters of application should include the 
following information.
    a. For adaptation of a curriculum:
    (1) Project Description. What is the title of the model curriculum 
to be adapted and who originally developed it? Why is this education 
program needed at the present time? What are the project's goals? What 
are the learning objectives of the adapted curriculum? What program 
components would be implemented, and what types of modifications, if 
any, are anticipated in length, format, learning objectives, teaching 
methods, or content? Who would be responsible for adapting the model 
curriculum? Who would the participants be, how many would there be, how 
would they be recruited, and from where would they come (e.g., from a 
single local jurisdiction, from across the state, from a multi-state 
region, from across the nation)?
    (2) Need for Funding. Why are sufficient state or local resources 
unavailable to fully support the modification and presentation of the 
model curriculum? What is the potential for replicating or integrating 
the adapted curriculum in the future using state or local funds, once 
it has been successfully adapted and tested?
    (3) Likelihood of Implementation. What is the proposed timeline, 
including the project start and end dates? On what date(s) would the 
judicial branch education program be presented? What process would be 
used to modify and present the program? Who would serve as faculty, and 
how were they selected? What measures would be taken to facilitate 
subsequent presentations of the program? Ordinarily, an independent 
evaluation of a curriculum adaptation project is not required; however, 
the results of any evaluation should be included in the final report.
    (4) Expressions of Interest by Judges and/or Court Personnel. Does 
the proposed program have the support of the court system or 
association leadership, and of judges, court managers, and judicial 
branch education personnel who are expected to attend? Applicants may 
demonstrate this by attaching letters of support.
    b. For training assistance:
    (1) Need for Funding. What is the court reform or initiative 
prompting the need for training? How would the proposed training help 
the applicant implement planned changes at the court? Why are state or 
local resources not sufficient to fully support the costs of the 
required training?
    (2) Project Description. What tasks would the trainer(s) be 
expected to perform? Which organization or individual would be hired, 
if in-house personnel are not the trainers, to provide the training, 
and how was the trainer selected? If a trainer has not yet been 
identified, what procedures and criteria would be used to select the 
trainer? [Note: Applicants are expected to follow their jurisdictions' 
normal procedures for procuring consultant services.] What specific 
tasks would the trainer and court staff or regional court association 
members undertake? What presentation methods will be used? What is the 
schedule for completion of each required task and the entire project? 
How would the applicant oversee the project and provide guidance to the 
trainer, and who at the court or affiliated with the regional court 
association would be responsible for coordinating all project tasks and 
submitting quarterly progress and financial status reports?
    If the trainer has been identified, the applicant should provide a 
letter from that individual or organization documenting interest in and 
availability for the project, as well as the trainer's ability to 
complete the assignment within the proposed time frame and for the 
proposed cost.
    (3) Likelihood of Implementation. What steps have been or would be 
taken to coordinate the implementation of the new reform, initiative, 
etc. and the training to support the same? For example, if the support 
or cooperation of specific court or regional court association 
officials or committees, other agencies, funding bodies, organizations, 
or a court other than the applicant would be needed to adopt the reform 
and initiate the training proposed, how would they be involved in the 
review of the recommendations and development of the implementation 
plan?
3. Budget and Matching State Contribution
    Applicants should attach a copy of budget Form C and a budget 
narrative (see subsection A.4. above) that describes the basis for the 
computation of all project-related costs and the source of the match 
offered.
4. Submission Requirements
    Letters of application will be considered on a quarterly rolling 
basis. Applications should be received by the first day of the second 
month of a calendar quarter in order to be reviewed at the Board 
meeting for that quarter.
    For curriculum adaptation requests, applicants should allow at 
least 90 days between the Board meeting and the date of the proposed 
program to allow sufficient time for needed planning. Applicants are 
encouraged to call SJI staff to discuss concerns about timing of 
submissions.

D. Partner Grants

    The Institute and its funding partners may meld, pick and choose, 
or waive their application procedures, grant cycles, or grant 
requirements to expedite the award of jointly-funded grants targeted at 
emerging or high priority problems confronting state and local courts. 
The Institute may solicit brief proposals from potential grantees to 
fellow financial partners as a first step. Should the Institute be 
chosen as the lead grant manager, Project Grant application procedures 
will apply to the proposed Partner Grant. As with Project Grants, 
Partner Grants will be targeted at initiatives likely to have a 
significant national impact.

[[Page 53340]]

E. Scholarships

1. Limitations
    Applicants may not receive more than one scholarship in a two-year 
period unless the course specifically assumes multi-year participation, 
or the course is part of a graduate degree program in judicial studies 
in which the applicant is currently enrolled (neither exception should 
be taken as a commitment on the part of the Institute's Board of 
Directors to approve serial scholarships). Attendance at annual or mid-
year meetings or conferences of a state or national organization does 
not qualify as an out-of-state educational program for scholarship 
purposes, even though it may include workshops or other training 
sessions.
    Scholarship funds may be used only to cover the costs of tuition, 
transportation, and reasonable lodging expenses (not to exceed the GSA 
approved lodging rate for the location of the program, excluding 
taxes). Transportation expenses may include round-trip coach airfare or 
train fare. Scholarship recipients are strongly encouraged to take 
advantage of excursion or other special airfares (e.g., reductions 
offered when a ticket is purchased 21 days in advance of the travel 
date) when making their travel arrangements. Recipients who drive to a 
program site may receive the accepted GSA rate for mileage up to the 
amount of the advanced-purchase round-trip airfare between their homes 
and the program sites. Funds to pay tuition, transportation, and 
lodging expenses in excess of $1,500 and other costs of attending the 
program--such as meals, materials, transportation to and from airports, 
and local transportation (including rental cars)--at the program site 
must be obtained from other sources or borne by the scholarship 
recipient. Furthermore, lodging costs for non-training days must be 
borne by the scholarship recipient, with the exception of the day prior 
to the beginning of the training and the last day of training. 
Scholarship applicants are encouraged to check other sources of 
financial assistance and to combine aid from various sources whenever 
possible. A scholarship is not transferable to another individual. It 
may be used only for the course specified in the application unless the 
applicant's request to attend a different course that meets the 
eligibility requirements is approved in writing by the Institute. 
Decisions on such requests will be made within 30 days after the 
receipt of the request letter.
2. Eligibility Requirements
    a. Recipients. Scholarships can be awarded only to full-time judges 
of state or local trial and appellate courts; full-time professional, 
State, or local court personnel with management responsibilities; and 
supervisory and management probation personnel in judicial branch 
probation offices. Senior judges, part-time judges, quasi-judicial 
hearing officers including referees and commissioners, administrative 
law judges, staff attorneys, law clerks, line staff, law enforcement 
officers, and other executive branch personnel are not eligible to 
receive a scholarship.
    b. Courses. A scholarship can be awarded only for: (1) A course 
presented in a state other than the one in which the applicant resides 
or works, or (2) an online course. The course must be designed to 
enhance the skills of new or experienced judges and court managers; or 
be offered by a recognized graduate program for judges or court 
managers.
    Applicants are encouraged not to wait for the decision on a 
scholarship to register for an educational program they wish to attend. 
The Institute does not submit the names of scholarship recipients to 
educational organizations, nor provide the funds to the educational 
organization. Scholarship funds are provided as reimbursements to the 
scholarship recipient.
3. Forms
    a. Scholarship Application--Form S1 (Appendix D). The Scholarship 
Application requests basic information about the applicant and the 
educational program the applicant would like to attend. It also 
addresses the applicant's commitment to share the skills and knowledge 
gained with local court colleagues. The Scholarship Application must 
bear the original signature of the applicant. Faxed or photocopied 
signatures will not be accepted. Please be sure to indicate whether the 
state will be providing funds for the project and, if so, how much. The 
Institute will not supplant state funds for these scholarships: It can 
only provide funding above the amount to be covered by the State.
    b. Scholarship Application Concurrence--Form S2 (Appendix D). 
Judges and court managers applying for scholarships must submit the 
original written concurrence of the Chief Justice of the State's 
Supreme Court (or the Chief Justice's designee) on the Institute's 
Judicial Education Scholarship Concurrence form (see Appendix D). The 
signature of the presiding judge of the applicant's court may not be 
substituted for that of the State's Chief Justice or the Chief 
Justice's designee. Court managers, other than elected clerks of court, 
also must submit a letter of support from their immediate supervisors.
4. Submission Requirements
    Scholarship applications may be submitted at any time but will be 
reviewed on a quarterly basis. This means scholarships will be awarded 
on a ``first come, first considered'' basis. The dates for applications 
to be received by the Institute for consideration in FY 10 are November 
1, February 1, May 1, and August 1. (These are not mailing deadlines. 
The applications must be received by the Institute by each of these 
dates.) No exceptions or extensions will be granted. All the required 
items must be received for an application to be considered. If the 
Concurrence form or letter of support is sent separately from the 
application, the postmark date of the last item sent will be used in 
determining the review date.
    All applications should be sent by mail or courier (not fax or e-
mail) to: Scholarship Program Coordinator, State Justice Institute, 
1650 King Street, Suite 600, Alexandria, VA 22314.

V. Application Review Procedures

A. Preliminary Inquiries

    The Institute staff will answer inquiries concerning application 
procedures.

B. Selection Criteria

1. Project Grant Applications
    a. Project Grant applications will be rated on the basis of the 
criteria set forth below. The Institute will accord the greatest weight 
to the following criteria:
    (1) The soundness of the methodology;
    (2) The demonstration of need for the project;
    (3) The appropriateness of the proposed evaluation design;
    (4) If applicable, the key findings and recommendations of the most 
recent evaluation and the proposed responses to those findings and 
recommendations;
    (5) The applicant's management plan and organizational 
capabilities;
    (6) The qualifications of the project's staff;
    (7) The products and benefits resulting from the project, including 
the extent to which the project will have long-term benefits for state 
courts across the nation;
    (8) The degree to which the findings, procedures, training, 
technology, or other results of the project can be transferred to other 
jurisdictions;

[[Page 53341]]

    (9) The reasonableness of the proposed budget; and
    (10) The demonstration of cooperation and support of other agencies 
that may be affected by the project.
    (11) The proposed project's relationship to one of the Special 
Interest Criteria and Categories set forth in section III.A.
    b. In determining which projects to support, the Institute will 
also consider whether the applicant is a state court, a national court 
support or education organization, a non-court unit of government, or 
other type of entity eligible to receive grants under the Institute's 
enabling legislation (see section II.); the availability of financial 
assistance from other sources for the project; the amount of the 
applicant's match; the extent to which the proposed project would also 
benefit the federal courts or help state courts enforce federal 
constitutional and legislative requirements; and the level of 
appropriations available to the Institute in the current year and the 
amount expected to be available in succeeding fiscal years.
2. Technical Assistance (TA) Grant Applications
    TA Grant applications will be rated on the basis of the following 
criteria:
    a. Whether the assistance would address a critical need of the 
applicant;
    b. The soundness of the technical assistance approach to the 
problem;
    c. The qualifications of the consultant(s) to be hired or the 
specific criteria that will be used to select the consultant(s);
    d. The commitment of the court or association to act on the 
consultant's recommendations; and
    e. The reasonableness of the proposed budget.
    The Institute also will consider factors such as the level and 
nature of the match that would be provided, diversity of subject 
matter, geographic diversity, the level of appropriations available to 
the Institute in the current year, and the amount expected to be 
available in succeeding fiscal years.
3. Curriculum Adaptation and Training (CAT) Grant Applications
    CAT Grant applications will be rated on the basis of the following 
criteria:
    a. For curriculum adaptation projects:
    (1) The goals and objectives of the proposed project;
    (2) The need for outside funding to support the program;
    (3) The appropriateness of the approach in achieving the project's 
educational objectives;
    (4) The likelihood of effective implementation and integration of 
the modified curriculum into ongoing educational programming; and
    (5) Expressions of interest by the judges and/or court personnel 
who would be directly involved in or affected by the project.
    b. For training assistance:
    (1) Whether the training would address a critical need of the court 
or association;
    (2) The soundness of the training approach to the problem;
    (3) The qualifications of the trainer(s) to be hired or the 
specific criteria that will be used to select the trainer(s);
    (4) The commitment of the court or association to the training 
program; and
    (5) The reasonableness of the proposed budget.
    The Institute will also consider factors such as the reasonableness 
of the amount requested, compliance with match requirements, diversity 
of subject matter, geographic diversity, the level of appropriations 
available in the current year, and the amount expected to be available 
in succeeding fiscal years.
4. Partner Grants
    The selection criteria for Partner Grants will be driven by the 
collective priorities of the Institute and other organizations and 
their collective assessments regarding the needs and capabilities of 
court and court-related organizations. Having settled on priorities, 
the Institute and its financial partners will likely contact the courts 
or court-related organizations most acceptable as pilots, laboratories, 
consultants, or the like.
5. Scholarships
    Scholarships will be approved only for programs that either: (1) 
Enhance the skills of judges and court managers; or (2) are part of a 
graduate degree program for judges or court personnel. Scholarships 
will be awarded on the basis of:
    a. The date on which the application and concurrence (and support 
letter, if required) were sent (``first come, first considered'');
    b. The unavailability of state or local funds or scholarship funds 
from another source to cover the costs of attending the program, or 
participating online;
    c. The absence of educational programs in the applicant's state 
addressing the topic(s) covered by the educational program for which 
the scholarship is being sought;
    d. Geographic balance among the recipients;
    e. The balance of scholarships among educational providers and 
programs;
    f. The balance of scholarships among the types of courts and court 
personnel (trial judge, appellate judge, trial court administrator) 
represented; and
    g. The level of appropriations available to the Institute in the 
current year and the amount expected to be available in succeeding 
fiscal years.
    The postmark or courier receipt will be used to determine the date 
on which the application form and other required items were sent.

C. Review and Approval Process

1. Project Grant Applications
    The Institute's Board of Directors will review the applications 
competitively. The Institute staff will prepare a narrative summary and 
a rating sheet assigning points for each relevant selection criterion. 
The staff will present the narrative summaries and rating sheets to the 
Board for its review. The Board will review all application summaries 
and decide which projects it will fund. The decision to fund a project 
is solely that of the Board of Directors.
    The Chairman of the Board will sign approved awards on behalf of 
the Institute.
2. Technical Assistance (TA) and Curriculum Adaptation and Training 
(CAT) Grant Applications
    The Institute staff will prepare a narrative summary of each 
application and a rating sheet assigning points for each relevant 
selection criterion. The Board of Directors may delegate its authority 
to approve TA and CAT Grants to the committee established for each 
program. The Board or the committee will review the applications 
competitively.
    The Chairman of the Board will sign approved awards on behalf of 
the Institute.
3. Scholarships
    A committee of the Institute's Board of Directors will review 
scholarship applications quarterly. The Board of Directors has 
delegated its authority to approve scholarships to the committee 
established for the program. The committee will review the applications 
competitively. In the event of a tie vote, the Chairman will serve as 
the tie-breaker. The Chairman of the Board will sign approved awards on 
behalf of the Institute.
4. Partner Grants
    The Institute's internal process for the review and approval of 
Partner Grants will depend upon negotiations with fellow financiers. 
The Institute may use its procedures, a partner's procedures, a mix of 
both, or entirely unique procedures. All Partner Grants will be 
approved by the Board of Directors on

[[Page 53342]]

whatever schedule makes sense at the time.

D. Return Policy

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

E. Notification of Board Decision

    The Institute will send written notice to applicants concerning all 
Board decisions to approve, defer, or deny their respective 
applications. For all applications (except scholarships), if requested 
the Institute will convey the key issues and questions that arose 
during the review process. A decision by the Board to deny an 
application may not be appealed, but it does not prohibit resubmission 
of a proposal based on that application in a subsequent funding cycle. 
The Institute will also notify the State Court Administrator when 
grants are approved by the Board to support projects that will be 
conducted by or involve courts in that State.

F. Response to Notification of Approval

    With the exception of those approved for scholarships, applicants 
have 30 days from the date of the letter notifying them that the Board 
has approved their application to respond to any revisions requested by 
the Board. If the requested revisions (or a reasonable schedule for 
submitting such revisions) have not been submitted to the Institute 
within 30 days after notification, the approval may be rescinded and 
the application presented to the Board for reconsideration. In the 
event an issue will only be resolved after award, such as the selection 
of a consultant, the final award document will include a Special 
Condition that will require additional grantee reporting and Institute 
review and approval. Special Conditions, in the form of incentives or 
sanctions, may also be used in situations where past poor performance 
by a grantee necessitates increased grant oversight.

VI. Compliance Requirements

    The State Justice Institute Act contains limitations and conditions 
on grants, contracts, and cooperative agreements awarded by the 
Institute. The Board of Directors has approved additional policies 
governing the use of Institute grant funds. These statutory and policy 
requirements are set forth below.

A. Recipients of Project Grants

1. Advocacy
    No funds made available by the Institute may be used to support or 
conduct training programs for the purpose of advocating particular non-
judicial public policies or encouraging non-judicial political 
activities (42 U.S.C. 10706(b)).
2. Approval of Key Staff
    If the qualifications of an employee or consultant assigned to a 
key project staff position are not described in the application or if 
there is a change of a person assigned to such a position, the 
recipient must submit a description of the qualifications of the newly 
assigned person to the Institute. Prior written approval of the 
qualifications of the new person assigned to a key staff position must 
be received from the Institute before the salary or consulting fee of 
that person and associated costs may be paid or reimbursed from grant 
funds (see section VIII.A.7.).
3. Audit
    Recipients of project grants must provide for an annual fiscal 
audit which includes an opinion on whether the financial statements of 
the grantee present fairly its financial position and its financial 
operations are in accordance with generally accepted accounting 
principles (see section VII.K. for the requirements of such audits). 
Scholarship recipients, Curriculum Adaptation and Training Grants, and 
Technical Assistance Grants are not required to submit an audit, but 
they must maintain appropriate documentation to support all 
expenditures (see section VIII.K.).
4. Budget Revisions
    Budget revisions among direct cost categories that: (a) Transfer 
grant funds to an unbudgeted cost category, or (b) individually or 
cumulatively exceed five percent of the approved original budget or the 
most recently approved revised budget require prior Institute approval 
(see section VIII.A.1.).
5. Conflict of Interest
    Personnel and other officials connected with Institute-funded 
programs must adhere to the following requirements:
    a. No official or employee of a recipient court or organization 
shall participate personally through decision, approval, disapproval, 
recommendation, the rendering of advice, investigation, or otherwise in 
any proceeding, application, request for a ruling or other 
determination, contract, grant, cooperative agreement, claim, 
controversy, or other particular matter in which Institute funds are 
used, where, to his or her knowledge, he or she or his or her immediate 
family, partners, organization other than a public agency in which he 
or she is serving as officer, director, trustee, partner, or employee 
or any person or organization with whom he or she is negotiating or has 
any arrangement concerning prospective employment, has a financial 
interest.
    b. In the use of Institute project funds, an official or employee 
of a recipient court or organization shall avoid any action which might 
result in or create the appearance of:
    (1) Using an official position for private gain; or
    (2) Affecting adversely the confidence of the public in the 
integrity of the Institute program.
    c. Requests for proposals or invitations for bids issued by a 
recipient of Institute funds or a subgrantee or subcontractor will 
provide notice to prospective bidders that the contractors who develop 
or draft specifications, requirements, statements of work, and/or 
requests for proposals for a proposed procurement will be excluded from 
bidding on or submitting a proposal to compete for the award of such 
procurement.
6. Inventions and Patents
    If any patentable items, patent rights, processes, or inventions 
are produced in the course of Institute-sponsored work, such fact shall 
be promptly and fully reported to the Institute. Unless there is a 
prior agreement between the grantee and the Institute on disposition of 
such items, the Institute shall determine whether protection of the 
invention or discovery shall be sought. The Institute will also 
determine how the rights in the invention or discovery, including 
rights under any patent issued thereon, shall be allocated and 
administered in order to protect the public interest consistent with 
``Government Patent Policy'' (President's Memorandum for Heads of 
Executive Departments and Agencies, February 18, 1983, and statement of 
Government Patent Policy).
7. Lobbying
    a. Funds awarded to recipients by the Institute shall not be used, 
indirectly or directly, to influence Executive Orders or similar 
promulgations by federal, state or local agencies, or to influence the 
passage or defeat of any legislation by federal, state or local 
legislative bodies (42 U.S.C. 10706(a)).
    b. It is the policy of the Board of Directors to award funds only 
to support

[[Page 53343]]

applications submitted by organizations that would carry out the 
objectives of their applications in an unbiased manner. Consistent with 
this policy and the provisions of 42 U.S.C. 10706, the Institute will 
not knowingly award a grant to an applicant that has, directly or 
through an entity that is part of the same organization as the 
applicant, advocated a position before Congress on the specific subject 
matter of the application.
8. Matching Requirements
    All grantees other than scholarship recipients are required to 
provide a match. A match is the portion of project costs not borne by 
the Institute. Match includes both cash and in-kind contributions. Cash 
match is the direct outlay of funds by the grantee or a third party to 
support the project. In-kind match consists of contributions of time 
and/or services of current staff members, new employees, space, 
supplies, etc., made to the project by the grantee or others (e.g., 
advisory board members) working directly on the project or that portion 
of the grantee's Federally approved indirect cost rate that exceeds the 
Guideline's limit of permitted charges (75 percent of salaries and 
benefits).
    Under normal circumstances, allowable match may be incurred only 
during the project period. When appropriate, and with the prior written 
permission of the Institute, match may be incurred from the date of the 
Board of Directors' approval of an award. The amount and nature of 
required match depends on the type of grant (see section III.).
    The grantee is responsible for ensuring that the total amount of 
match proposed is actually contributed. If a proposed contribution is 
not fully met, the Institute may reduce the award amount accordingly, 
in order to maintain the ratio originally provided for in the award 
agreement (see section VII.E.1.).
    The Board of Directors looks favorably upon any unrequired match 
contributed by applicants when making grant decisions. The match 
requirement may be waived in exceptionally rare circumstances upon the 
request of the Chief Justice of the highest court in the State or the 
highest ranking official in the requesting organization and approval by 
the Board of Directors (42 U.S.C. 10705(d)). The Board of Directors 
encourages all applicants to provide the maximum amount of cash and in-
kind match possible, even if a waiver is approved. The amount and 
nature of match are criteria in the grant selection process (see 
section V.B.1.b.).
9. Nondiscrimination
    No person may, on the basis of race, sex, national origin, 
disability, color, or creed be excluded from participation in, denied 
the benefits of, or otherwise subjected to discrimination under any 
program or activity supported by Institute funds. Recipients of 
Institute funds must immediately take any measures necessary to 
effectuate this provision.
10. Political Activities
    No recipient may contribute or make available Institute funds, 
program personnel, or equipment to any political party or association, 
or the campaign of any candidate for public or party office. Recipients 
are also prohibited from using funds in advocating or opposing any 
ballot measure, initiative, or referendum. Officers and employees of 
recipients shall not intentionally identify the Institute or recipients 
with any partisan or nonpartisan political activity associated with a 
political party or association, or the campaign of any candidate for 
public or party office (42 U.S.C. 10706(a)).
11. Products
a. Acknowledgment, Logo, and Disclaimer.
    (1) Recipients of Institute funds must acknowledge prominently on 
all products developed with grant funds that support was received from 
the Institute. The ``SJI'' logo must appear on the front cover of a 
written product, or in the opening frames of a multimedia product, 
unless another placement is approved in writing by the Institute. This 
includes final products printed or otherwise reproduced during the 
grant period, as well as re-printings or reproductions of those 
materials following the end of the grant period. A camera-ready logo 
sheet is available on the Institute's Web site: http://www.sji.gov/forms.
    (2) Recipients also must display the following disclaimer on all 
grant products: ``This [document, film, videotape, etc.] was developed 
under [grant/cooperative agreement] number SJI-[insert number] from the 
State Justice Institute. The points of view expressed are those of the 
[author(s), filmmaker(s), etc.] and do not necessarily represent the 
official position or policies of the State Justice Institute.''
b. Charges for Grant-Related Products/Recovery of Costs
    (1) When Institute funds fully cover the cost of developing, 
producing, and disseminating a product (e.g., a report, curriculum, 
videotape, or software), the product should be distributed to the field 
without charge. When Institute funds only partially cover the 
development, production, or dissemination costs, the grantee may, with 
the Institute's prior written approval, recover its costs for 
developing, producing, and disseminating the material to those 
requesting it, to the extent that those costs were not covered by 
Institute funds or grantee matching contributions.
    (2) Applicants should disclose their intent to sell grant-related 
products in the application. Grantees must obtain the written prior 
approval of the Institute of their plans to recover project costs 
through the sale of grant products. Written requests to recover costs 
ordinarily should be received during the grant period and should 
specify the nature and extent of the costs to be recouped, the reason 
that such costs were not budgeted (if the rationale was not disclosed 
in the approved application), the number of copies to be sold, the 
intended audience for the products to be sold, and the proposed sale 
price. If the product is to be sold for more than $25, the written 
request also should include a detailed itemization of costs that will 
be recovered and a certification that the costs were not supported by 
either Institute grant funds or grantee matching contributions.
    (3) In the event that the sale of grant products results in 
revenues that exceed the costs to develop, produce, and disseminate the 
product, the revenue must continue to be used for the authorized 
purposes of the Institute-funded project or other purposes consistent 
with the State Justice Institute Act that have been approved by the 
Institute (see section VII.G.).
c. Copyrights
    Except as otherwise provided in the terms and conditions of an 
Institute award, a recipient is free to copyright any books, 
publications, or other copyrightable materials developed in the course 
of an Institute-supported project, but the Institute shall reserve a 
royalty-free, nonexclusive and irrevocable right to reproduce, publish, 
or otherwise use, and to authorize others to use, the materials for 
purposes consistent with the State Justice Institute Act.
d. Due Date
    All products and, for TA and CAT grants, consultant and/or trainer 
reports (see section VI.B.1 & 2) are to be completed and distributed 
(see below)

[[Page 53344]]

not later than the end of the award period, not the 90-day close out 
period. The latter is only intended for grantee final reporting and to 
liquidate obligations (see section VII.L.).
e. Distribution
    In addition to the distribution specified in the grant application, 
grantees shall send:
    (1) Five (5) copies of each final product developed with grant 
funds to the Institute, unless the product was developed under either a 
Technical Assistance or a Curriculum Adaptation and Training Grant, in 
which case submission of 2 copies is required;
    (2) An electronic version of the product in .html or .pdf format to 
the Institute; and
    (3) One copy of each final product developed with grant funds to 
the library established in each State to collect materials prepared 
with Institute support. A list of the libraries is contained in 
Appendix A. Labels for these libraries are available on the Institute's 
Web site, http://www.SJI.org.
    (4) Bound copies of products, where possible and cost-effective, 
rather than hard copies in ring binders, to SJI depository libraries. 
Grantees that develop Web-based electronic products must send an 
announcement/description of the document and indicate where it may be 
obtained to the SJI-designated libraries and other appropriate 
audiences to alert them to the availability of the Web site or 
electronic product. Recipients of Technical Assistance and Curriculum 
Adaptation and Training Grants are not required to submit final 
products to State libraries.
f. Institute Approval
    No grant funds may be obligated for publication or reproduction of 
a final product developed with grant funds without the written approval 
of the Institute. Grantees shall submit a final draft of each written 
product to the Institute for review and approval. The draft must be 
submitted at least 30 days before the product is scheduled to be sent 
for publication or reproduction to permit Institute review and 
incorporation of any appropriate changes required by the Institute. 
Grantees must provide for timely reviews by the Institute of Web site 
or other multimedia products at the treatment, script, rough cut, and 
final stages of development or their equivalents.
g. Original Material
    All products prepared as the result of Institute-supported projects 
must be originally developed material unless otherwise specified in the 
award documents. Material not originally developed that is included in 
such products must be properly identified, whether the material is in a 
verbatim or extensive paraphrase format.
12. Prohibition Against Litigation Support
    No funds made available by the Institute may be used directly or 
indirectly to support legal assistance to parties in litigation, 
including cases involving capital punishment.
13. Reporting Requirements
    a. Recipients of Institute funds other than scholarships must 
submit Quarterly Progress and Financial Status Reports within 30 days 
of the close of each calendar quarter (that is, no later than January 
30, April 30, July 30, and October 30). The Quarterly Progress Reports 
shall include a narrative description of project activities during the 
calendar quarter, the relationship between those activities and the 
task schedule and objectives set forth in the approved application or 
an approved adjustment thereto, any significant problem areas that have 
developed and how they will be resolved, and the activities scheduled 
during the next reporting period. Failure to comply with the 
requirements of this provision could result in the termination of a 
grantee's award.
    b. The quarterly Financial Status Report must be submitted in 
accordance with section VII.H.2. of this Guideline. A final project 
Progress Report and Financial Status Report shall be submitted within 
90 days after the end of the grant period in accordance with section 
VII.L.1. of this Guideline.
14. Research
a. Availability of Research Data for Secondary Analysis:
    Upon request, grantees must make available for secondary analysis a 
diskette(s) or data tape(s) containing research and evaluation data 
collected under an Institute grant and the accompanying code manual. 
Grantees may recover the actual cost of duplicating and mailing or 
otherwise transmitting the data set and manual from the person or 
organization requesting the data. Grantees may provide the requested 
data set in the format in which it was created and analyzed.
b. Confidentiality of Information
    Except as provided by federal law other than the State Justice 
Institute Act, no recipient of financial assistance from SJI may use or 
reveal any research or statistical information furnished under the Act 
by any person and identifiable to any specific private person for any 
purpose other than the purpose for which the information was obtained. 
Such information and copies thereof shall be immune from legal process, 
and shall not, without the consent of the person furnishing such 
information, be admitted as evidence or used for any purpose in any 
action, suit, or other judicial, legislative, or administrative 
proceedings.
c. Human Subject Protection
    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 shall be conducted 
with the informed consent of those subjects and in a manner that will 
ensure their privacy and freedom from risk or harm and the protection 
of persons who are not subjects of the research but would be affected 
by it, unless such procedures and safeguards would make the research 
impractical. In such instances, the Institute must approve procedures 
designed by the grantee to provide human subjects with relevant 
information about the research after their involvement and to minimize 
or eliminate risk or harm to those subjects due to their participation.
15. State and Local Court Applications
    Each application for funding from a State or local court must be 
approved, consistent with State law, by the State's Supreme Court, or 
its designated agency or council. The Supreme Court or its designee 
shall receive, administer, and be accountable for all funds awarded on 
the basis of such an application (42 U.S.C. 10705(b)(4)). See section 
VII.C.2.
16. Supplantation and Construction
    To ensure that Institute funds are used to supplement and improve 
the operation of state courts, rather than to support basic court 
services, Institute funds shall not be used for the following purposes:
    a. To supplant State or local funds supporting a program or 
activity (such as paying the salary of court employees who would be 
performing their normal duties as part of the project, or paying rent 
for space which is part of the court's normal operations);
    b. To construct court facilities or structures, except to remodel 
existing facilities or to demonstrate new

[[Page 53345]]

architectural or technological techniques, or to provide temporary 
facilities for new personnel or for personnel involved in a 
demonstration or experimental program; or
    c. Solely to purchase equipment.
17. Suspension or Termination of Funding
    After providing a recipient reasonable notice and opportunity to 
submit written documentation demonstrating why fund termination or 
suspension should not occur, the Institute may terminate or suspend 
funding of a project that fails to comply substantially with the Act, 
the Guideline, or the terms and conditions of the award (42 U.S.C. 
10708(a)).
18. Title to Property
    At the conclusion of the project, title to all expendable and 
nonexpendable personal property purchased with Institute funds shall 
vest in the recipient court, organization, or individual that purchased 
the property if certification is made to and approved by the Institute 
that the property will continue to be used for the authorized purposes 
of the Institute-funded project or other purposes consistent with the 
State Justice Institute Act. If such certification is not made or the 
Institute disapproves such certification, title to all such property 
with an aggregate or individual value of $1,000 or more shall vest in 
the Institute, which will direct the disposition of the property.

B. Recipients of Technical Assistance (TA) and Curriculum Adaptation 
and Training (CAT) Grants

    Recipients of TA and CAT Grants must comply with the requirements 
listed in section VI.A. (except the requirements pertaining to audits 
in subsection A.3. above and product dissemination and approval in 
subsection A.11.e. and f. above) and the reporting requirements below:
1. Technical Assistance (TA) Grant Reporting Requirements
    Recipients of TA Grants must submit to the Institute one copy of a 
final report that explains how it intends to act on the consultant's 
recommendations, as well as two copies of the consultant's written 
report.
2. Curriculum Adaptation and Training (CAT) Grant Reporting 
Requirements
    Recipients of CAT Grants must submit one copy of the agenda or 
schedule, outline of presentations and/or relevant instructor's notes, 
copies of overhead transparencies, power point presentations, or other 
visual aids, exercises, case studies and other background materials, 
hypotheticals, quizzes, and other materials involving the participants, 
manuals, handbooks, conference packets, evaluation forms, and 
suggestions for replicating the program, including possible faculty or 
the preferred qualifications or experience of those selected as 
faculty, developed under the grant at the conclusion of the grant 
period, along with a final report that includes any evaluation results 
and explains how the grantee intends to present the educational program 
in the future, as well as two copies of the consultant's or trainer's 
report.

C. Scholarship Recipients

    1. Scholarship recipients are responsible for disseminating the 
information received from the course to their court colleagues locally 
and, if possible, throughout the State.
    Recipients also must submit to the Institute a certificate of 
attendance at the program and a copy of the notice of any scholarship 
funds received from other sources. A State or local jurisdiction may 
impose additional requirements on scholarship recipients.
    2. To receive the funds authorized by a scholarship award, 
recipients must submit a Scholarship Payment Voucher (Form S3) together 
with a tuition statement from the program sponsor, a transportation 
fare receipt (or statement of the driving mileage to and from the 
recipient's home to the site of the educational program), and a lodging 
receipt.
    Scholarship Payment Vouchers must be submitted within 90 days after 
the end of the course, which the recipient attended.
    3. Scholarship recipients are encouraged to check with their tax 
advisors to determine whether the scholarship constitutes taxable 
income under Federal and State law.

D. Partner Grants

    The compliance requirements for Partner Grant recipients will 
depend upon the agreements struck between the grant financiers and 
between lead financiers and grantees. Should SJI be the lead, the 
compliance requirements for Project Grants will apply, unless specific 
arrangements are determined by the Partners.

VII. Financial Requirements

A. Purpose

    The purpose of this section is to establish accounting system 
requirements and offer guidance on procedures to assist all grantees, 
subgrantees, contractors, and other organizations in:
    1. Complying with the statutory requirements for the award, 
disbursement, and accounting of funds;
    2. Complying with regulatory requirements of the Institute for the 
financial management and disposition of funds;
    3. Generating financial data to be used in planning, managing, and 
controlling projects; and
    4. Facilitating an effective audit of funded programs and projects.

B. References

    Except where inconsistent with specific provisions of this 
Guideline, the following circulars are applicable to Institute grants 
and cooperative agreements under the same terms and conditions that 
apply to Federal grantees. The circulars supplement the requirements of 
this section for accounting systems and financial record-keeping and 
provide additional guidance on how these requirements may be satisfied 
(circulars may be obtained on the OMB Web site at http://www.whitehouse.gov/omb).
    1. Office of Management and Budget (OMB) Circular A-21, Cost 
Principles for Educational Institutions.
    2. Office of Management and Budget (OMB) Circular A-87, Cost 
Principles for State and Local Governments.
    3. Office of Management and Budget (OMB) Circular A-102, Uniform 
Administrative Requirements for Grants-in-Aid to State and Local 
Governments.
    4. Office of Management and Budget (OMB) Circular A-110, Grants and 
Agreements with Institutions of Higher Education, Hospitals and Other 
Non-Profit Organizations.
    5. Office of Management and Budget (OMB) Circular A-122, Cost 
Principles for Non-profit Organizations.
    6. Office of Management and Budget (OMB) Circular A-133, Audits of 
States, Local Governments and Non-profit Organizations.

C. Supervision and Monitoring Responsibilities

1. Grantee Responsibilities
    All grantees receiving awards from the Institute are responsible 
for the management and fiscal control of all funds. Responsibilities 
include accounting for receipts and expenditures, maintaining adequate 
financial records, and refunding expenditures disallowed by audits.

[[Page 53346]]

2. Responsibilities of the State Supreme Court
    a. Each application for funding from a State or local court must be 
approved, consistent with State law, by the State's Supreme Court, or 
its designated agency or council.
    b. The State Supreme Court or its designee shall receive all 
Institute funds awarded to such courts; be responsible for assuring 
proper administration of Institute funds; and be responsible for all 
aspects of the project, including proper accounting and financial 
record-keeping by the subgrantee. These responsibilities include:
    (1) Reviewing Financial Operations. The State Supreme Court or its 
designee should be familiar with, and periodically monitor, its 
subgrantees' financial operations, records system, and procedures. 
Particular attention should be directed to the maintenance of current 
financial data.
    (2) Recording Financial Activities. The subgrantee's grant award or 
contract obligation, as well as cash advances and other financial 
activities, should be recorded in the financial records of the State 
Supreme Court or its designee in summary form. Subgrantee expenditures 
should be recorded on the books of the State Supreme Court or evidenced 
by report forms duly filed by the subgrantee. Matching contributions 
provided by subgrantees should likewise be recorded, as should any 
project income resulting from program operations.
    (3) Budgeting and Budget Review. The State Supreme Court or its 
designee should ensure that each subgrantee prepares an adequate budget 
as the basis for its award commitment. The State Supreme Court should 
maintain the details of each project budget on file.
    (4) Accounting for Match. The State Supreme Court or its designee 
will ensure that subgrantees comply with the match requirements 
specified in this Guideline (see section VI.A.8.).
    (5) Audit Requirement. The State Supreme Court or its designee is 
required to ensure that subgrantees meet the necessary audit 
requirements set forth by the Institute (see sections K. below and 
VI.A.3.).
    (6) Reporting Irregularities. The State Supreme Court, its 
designees, and its subgrantees are responsible for promptly reporting 
to the Institute the nature and circumstances surrounding any financial 
irregularities discovered.

D. Accounting System

    The grantee is responsible for establishing and maintaining an 
adequate system of accounting and internal controls and for ensuring 
that an adequate system exists for each of its subgrantees and 
contractors. An acceptable and adequate accounting system:
    1. Properly accounts for receipt of funds under each grant awarded 
and the expenditure of funds for each grant by category of expenditure 
(including matching contributions and project income);
    2. Assures that expended funds are applied to the appropriate 
budget category included within the approved grant;
    3. Presents and classifies historical costs of the grant as 
required for budgetary and evaluation purposes;
    4. Provides cost and property controls to assure optimal use of 
grant funds;
    5. Is integrated with a system of internal controls adequate to 
safeguard the funds and assets covered, check the accuracy and 
reliability of the accounting data, promote operational efficiency, and 
assure conformance with any general or special conditions of the grant;
    6. Meets the prescribed requirements for periodic financial 
reporting of operations; and
    7. Provides financial data for planning, control, measurement, and 
evaluation of direct and indirect costs.

E. Total Cost Budgeting and Accounting

    Accounting for all funds awarded by the Institute must be 
structured and executed on a ``Total Project Cost'' basis. That is, 
total project costs, including Institute funds, State and local 
matching shares, and any other fund sources included in the approved 
project budget serve as the foundation for fiscal administration and 
accounting. Grant applications and financial reports require budget and 
cost estimates on the basis of total costs.
1. Timing of Matching Contributions
    Matching contributions need not be applied at the exact time of the 
obligation of Institute funds. Ordinarily, the full matching share must 
be obligated during the award period; however, with the written 
permission of the Institute, contributions made following approval of 
the grant by the Institute's Board of Directors, but before the 
beginning of the grant, may be counted as match. Grantees that do not 
anticipate making matching contributions continuously throughout the 
course of a project, or on a task-by-task basis, are required to submit 
a schedule within 30 days after the beginning of the project period 
indicating at what points during the project period the matching 
contributions will be made. If a proposed cash or in-kind match is not 
fully met, the Institute may reduce the award amount accordingly to 
maintain the ratio of grant funds to matching funds stated in the award 
agreement.
2. Records for Match
    All grantees must maintain records that clearly show the source, 
amount, and timing of all matching contributions. In addition, if a 
project has included, within its approved budget, contributions which 
exceed the required matching portion, the grantee must maintain records 
of those contributions in the same manner as it does Institute funds 
and required matching shares. For all grants made to State and local 
courts, the State Supreme Court has primary responsibility for grantee/
subgrantee compliance with the requirements of this section (see 
subsection C.2. above).

F. Maintenance and Retention of Records

    All financial records, including supporting documents, statistical 
records, and all other information pertinent to grants, subgrants, 
cooperative agreements, or contracts under grants, must be retained by 
each organization participating in a project for at least three years 
for purposes of examination and audit. State Supreme Courts may impose 
record retention and maintenance requirements in addition to those 
prescribed in this section.
1. Coverage
    The retention requirement extends to books of original entry, 
source documents supporting accounting transactions, the general 
ledger, subsidiary ledgers, personnel and payroll records, canceled 
checks, and related documents and records. Source documents include 
copies of all grant and subgrant awards, applications, and required 
grantee/subgrantee financial and narrative reports. Personnel and 
payroll records shall include the time and attendance reports for all 
individuals reimbursed under a grant, subgrant or contract, whether 
they are employed full-time or part-time. Time and effort reports are 
required for consultants.
2. Retention Period
    The three-year retention period starts from the date of the 
submission of the final expenditure report.
3. Maintenance
    Grantees and subgrantees are expected to see that records of 
different fiscal years are separately identified and

[[Page 53347]]

maintained so that requested information can be readily located. 
Grantees and subgrantees are also obligated to protect records 
adequately against fire or other damage. When records are stored away 
from the grantee's/subgrantee's principal office, a written index of 
the location of stored records should be on hand, and ready access 
should be assured.
4. Access
    Grantees and subgrantees must give any authorized representative of 
the Institute access to and the right to examine all records, books, 
papers, and documents related to an Institute grant.

G. Project-Related Income

    Records of the receipt and disposition of project-related income 
must be maintained by the grantee in the same manner as required for 
the project funds that gave rise to the income and must be reported to 
the Institute (see subsection H.2. below). The policies governing the 
disposition of the various types of project-related income are listed 
below.
1. Interest
    A state and any agency or instrumentality of a State, including 
institutions of higher education and hospitals, shall not be held 
accountable for interest earned on advances of project funds. When 
funds are awarded to subgrantees through a State, the subgrantees are 
not held accountable for interest earned on advances of project funds. 
Local units of government and nonprofit organizations that are grantees 
must refund any interest earned. Grantees shall ensure minimum balances 
in their respective grant cash accounts.
2. Royalties
    The grantee/subgrantee may retain all royalties received from 
copyrights or other works developed under projects or from patents and 
inventions, unless the terms and conditions of the grant provide 
otherwise.
3. Registration and Tuition Fees
    Registration and tuition fees may be considered as cash match with 
the prior written approval of the Institute. Estimates of registration 
and tuition fees, and any expenses to be offset by the fees, should be 
included in the application budget forms and narrative.
4. Income from the Sale of Grant Products
    If the sale of products occurs during the project period, the 
income may be treated as cash match with the prior written approval of 
the Institute. The costs and income generated by the sales must be 
reported on the Quarterly Financial Status Reports and documented in an 
auditable manner. Whenever possible, the intent to sell a product 
should be disclosed in the application or reported to the Institute in 
writing once a decision to sell products has been made. The grantee 
must request approval to recover its product development, reproduction, 
and dissemination costs as specified in section VI.A.11.b.
 5. Other
    Other project income shall be treated in accordance with 
disposition instructions set forth in the grant's terms and conditions.

H. Payments and Financial Reporting Requirements

1. Payment of Grant Funds
    The procedures and regulations set forth below are applicable to 
all Institute grant funds and grantees.
    a. Request for Advance or Reimbursement of Funds. Grantees will 
receive funds on a U.S. Treasury ``check-issued'' or electronic funds 
transfer (EFT) basis. Upon receipt, review, and approval of a Request 
for Advance or Reimbursement by the Institute, payment will be issued 
directly to the grantee or its designated fiscal agent. A request must 
be limited to the grantee's immediate cash needs. The Request for 
Advance or Reimbursement Form R), along with the instructions for its 
preparation, and the SF 3881 Automated Clearing House (ACH/
Miscellaneous Payment Enrollment Form for EFT) are available on the 
Institute's Web site: http://www.sji.gov/forms.php.
    b. Termination of Advance and Reimbursement Funding. When a grantee 
organization receiving cash advances from the Institute:
    (1) Demonstrates an unwillingness or inability to attain program or 
project goals, or to establish procedures that will minimize the time 
elapsing between cash advances and disbursements, or is unable to 
adhere to guideline requirements or special conditions;
    (2) Engages in the improper award and administration of subgrants 
or contracts; or
    (3) Is unable to submit reliable and/or timely reports; the 
Institute may terminate advance financing and require the grantee 
organization to finance its operations with its own working capital. 
Payments to the grantee shall then be made by U.S. Treasury check or 
EFT to reimburse the grantee for actual cash disbursements. In the 
event the grantee continues to be deficient, the Institute may suspend 
reimbursement payments until the deficiencies are corrected. In extreme 
cases, grants may be terminated.
    c. Principle of Minimum Cash on Hand. Grantees should request funds 
based upon immediate disbursement requirements. Grantees should time 
their requests to ensure that cash on hand is the minimum needed for 
disbursements to be made immediately or within a few days.
2. Financial Reporting
    a. General Requirements. To obtain financial information concerning 
the use of funds, the Institute requires that grantees/subgrantees 
submit timely reports for review.
    b. Due Dates and Contents. A Financial Status Report is required 
from all grantees, other than scholarship recipients, for each active 
quarter on a calendar-quarter basis. This report is due within 30 days 
after the close of the calendar quarter. It is designed to provide 
financial information relating to Institute funds, State and local 
matching shares, project income, and any other sources of funds for the 
project, as well as information on obligations and outlays. A copy of 
the Financial Status Report, along with instructions for its 
preparation, are provided on the SJI Web site. If a grantee requests 
substantial payments for a project prior to the completion of a given 
quarter, the Institute may request a brief summary of the amount 
requested, by object class, to support the Request for Advance or 
Reimbursement.
3. Consequences of Non-Compliance with Submission Requirement
    Failure of the grantee to submit required financial and progress 
reports may result in suspension or termination of grant payments.

I. Allowability of Costs

1. General
    Except as may be otherwise provided in the conditions of a 
particular grant, cost allowability is determined in accordance with 
the principles set forth in OMB Circulars A-21, Cost Principles 
Applicable to Grants and Contracts with Educational Institutions; A-87, 
Cost Principles for State and Local Governments; and A-122, Cost 
Principles for Non-profit Organizations.
    No costs may be recovered to liquidate obligations incurred after 
the approved grant period. Circulars may be obtained on the OMB Web 
site at http://www.whitehouse.gov/omb.

[[Page 53348]]

2. Costs Requiring Prior Approval
    a. Pre-agreement Costs. The written prior approval of the Institute 
is required for costs considered necessary but which occur prior to the 
start date of the project period.
    b. Equipment. Grant funds may be used to purchase or lease only 
that equipment essential to accomplishing the goals and objectives of 
the project. The written prior approval of the Institute is required 
when the amount of automated data processing (ADP) equipment to be 
purchased or leased exceeds $10,000 or software to be purchased exceeds 
$3,000.
    c. Consultants. The written prior approval of the Institute is 
required when the rate of compensation to be paid a consultant exceeds 
$800 a day. Institute funds may not be used to pay a consultant more 
than $1,100 per day.
    d. Budget Revisions. Budget revisions among direct cost categories 
that (i) transfer grant funds to an unbudgeted cost category or (ii) 
individually or cumulatively exceed five percent (5%) of the approved 
original budget or the most recently approved revised budget require 
prior Institute approval (see section VIII.A.1.).
3. Travel Costs
    Transportation and per diem rates must comply with the policies of 
the grantee. If the grantee does not have an established written travel 
policy, then travel rates must be consistent with those established by 
the Federal Government. Institute funds may not be used to cover the 
transportation or per diem costs of a member of a national organization 
to attend an annual or other regular meeting, or conference of that 
organization.
4. Indirect Costs
    Indirect costs are only applicable to organizations that are not 
state courts or government agencies. These are costs of an organization 
that are not readily assignable to a particular project but are 
necessary to the operation of the organization and the performance of 
the project. The cost of operating and maintaining facilities, 
depreciation, and administrative salaries are examples of the types of 
costs that are usually treated as indirect costs. Although the 
Institute's policy requires all costs to be budgeted directly, it will 
accept indirect costs if a grantee has an indirect cost rate approved 
by a federal agency as set forth below. However, recoverable indirect 
costs are limited to no more than 75 percent of a grantee's direct 
personnel costs (salaries plus fringe benefits).
    a. Approved Plan Available.
    (1) A copy of an indirect cost rate agreement or allocation plan 
approved for a grantee during the preceding two years by any federal 
granting agency on the basis of allocation methods substantially in 
accord with those set forth in the applicable cost circulars must be 
submitted to the Institute.
    (2) Where flat rates are accepted in lieu of actual indirect costs, 
grantees may not also charge expenses normally included in overhead 
pools, e.g., accounting services, legal services, building occupancy 
and maintenance, etc., as direct costs.
    b. Establishment of Indirect Cost Rates. To be reimbursed for 
indirect costs, a grantee must first establish an appropriate indirect 
cost rate. To do this, the grantee must prepare an indirect cost rate 
proposal and submit it to the Institute within three months after the 
start of the grant period to assure recovery of the full amount of 
allowable indirect costs. The rate must be developed in accordance with 
principles and procedures appropriate to the type of grantee 
institution involved as specified in the applicable OMB Circular.
    c. No Approved Plan. If an indirect cost proposal for recovery of 
indirect costs is not submitted to the Institute within three months 
after the start of the grant period, indirect costs will be irrevocably 
disallowed for all months prior to the month that the indirect cost 
proposal is received.

J. Procurement and Property Management Standards

1. Procurement Standards
    For state and local governments, the Institute has adopted the 
standards set forth in Attachment O of OMB Circular A-102. Institutions 
of higher education, hospitals, and other non-profit organizations will 
be governed by the standards set forth in Attachment O of OMB Circular 
A-110.
2. Property Management Standards
    The property management standards as prescribed in Attachment N of 
OMB Circulars A-102 and A-110 apply to all Institute grantees and 
subgrantees except as provided in section VI.A.18. All grantees/
subgrantees are required to be prudent in the acquisition and 
management of property with grant funds. If suitable property required 
for the successful execution of projects is already available within 
the grantee or subgrantee organization, expenditures of grant funds for 
the acquisition of new property will be considered unnecessary.

K. Audit Requirements

1. Implementation
    Each recipient of a Project Grant must provide for an annual fiscal 
audit. This requirement also applies to a state or local court 
receiving a subgrant from the State Supreme Court. The audit may be of 
the entire grantee or subgrantee organization or of the specific 
project funded by the Institute. Audits conducted in accordance with 
the Single Audit Act of 1984 and OMB Circular A-133, will satisfy the 
requirement for an annual fiscal audit. The audit must be conducted by 
an independent Certified Public Accountant, or a State or local agency 
authorized to audit government agencies. Grantees must send two copies 
of the audit report to the Institute. Grantees that receive funds from 
a Federal agency and satisfy audit requirements of the cognizant 
Federal agency must submit two copies of the audit report prepared for 
that Federal agency to the Institute in order to satisfy the provisions 
of this section.
2. Resolution and Clearance of Audit Reports
    Timely action on recommendations by responsible management 
officials is an integral part of the effectiveness of an audit. Each 
grantee must have policies and procedures for acting on audit 
recommendations by designating officials responsible for: (1) Follow-
up, (2) maintaining a record of the actions taken on recommendations 
and time schedules, (3) responding to and acting on audit 
recommendations, and (4) submitting periodic reports to the Institute 
on recommendations and actions taken.
3. Consequences of Non-Resolution of Audit Issues
    Ordinarily, the Institute will not make a subsequent grant award to 
an applicant that has an unresolved audit report involving Institute 
awards. Failure of the grantee to resolve audit questions may also 
result in the suspension or termination of payments for active 
Institute grants to that organization.

L. Close-Out of Grants

1. Grantee Close-Out Requirements
    Within 90 days after the end date of the grant or any approved 
extension thereof (see subsection L.2. below), the following documents 
must be submitted to the Institute by grantees (other than scholarship 
recipients):
    a. Financial Status Report. The final report of expenditures must 
have no unliquidated obligations and must

[[Page 53349]]

indicate the exact balance of unobligated funds. Any unobligated/
unexpended funds will be deobligated from the award by the Institute. 
Final payment requests for obligations incurred during the award period 
must be submitted to the Institute prior to the end of the 90-day 
close-out period. Grantees who have drawn down funds in excess of their 
obligations/expenditures must return any unused funds as soon as it is 
determined that the funds are not required. In no instance should any 
unused funds remain with the grantee beyond the submission date of the 
final Financial Status Report.
    b. Final Progress Report. This report should describe the project 
activities during the final calendar quarter of the project and the 
close-out period, including to whom project products have been 
disseminated; provide a summary of activities during the entire 
project; specify whether all the objectives set forth in the approved 
application or an approved adjustment have been met and, if any of the 
objectives have not been met, explain why not; and discuss what, if 
anything, could have been done differently that might have enhanced the 
impact of the project or improved its operation.
    These reporting requirements apply at the conclusion of every grant 
other than a scholarship.
2. Extension of Close-out Period
    Upon the written request of the grantee, the Institute may extend 
the close-out period to assure completion of the grantee's close-out 
requirements. Requests for an extension must be submitted at least 14 
days before the end of the close-out period and must explain why the 
extension is necessary and what steps will be taken to assure that all 
the grantee's responsibilities will be met by the end of the extension 
period

VIII. Grant Adjustments

    All requests for programmatic or budgetary adjustments requiring 
Institute approval must be submitted by the project director in a 
timely manner (ordinarily 30 days prior to the implementation of the 
adjustment being requested). All requests for changes from the approved 
application will be carefully reviewed for both consistency with this 
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 the Institute:
    1. Budget revisions among direct cost categories that (a) transfer 
grant funds to an unbudgeted cost category or (b) individually or 
cumulatively exceed five percent (5%) of the approved original budget 
or the most recently approved revised budget (see section VII.I.2.d.).
    2. A change in the scope of work to be performed or the objectives 
of the project (see subsection D. below).
    3. A change in the project site.
    4. A change in the project period, such as an extension of the 
grant period and/or extension of the final financial or progress report 
deadline (see subsection E. below).
    5. Satisfaction of special conditions, if required.
    6. A change in or temporary absence of the project director (see 
subsections F. and G. below).
    7. The assignment of an employee or consultant to a key staff 
position whose qualifications were not described in the application, or 
a change of a person assigned to a key project staff position (see 
section VI.A.2.).
    8. A change in or temporary absence of the person responsible for 
managing and reporting on the grant's finances.
    9. A change in the name of the grantee organization.
    10. A transfer or contracting out of grant-supported activities 
(see subsection H. below).
    11. A transfer of the grant to another recipient.
    12. Pre-agreement costs (see section VII.I.2.a.).
    13. The purchase of automated data processing equipment and 
software (see section VII.I.2.b.).
    14. Consultant rates (see section VII.I.2.c.).
    15. A change in the nature or number of the products to be prepared 
or the manner in which a product would be distributed.

B. Requests for Grant Adjustments

    All grantees must promptly notify SJI, in writing, of events or 
proposed changes that may require adjustments to the approved project 
design. In requesting an adjustment, the grantee must set forth the 
reasons and basis for the proposed adjustment and any other information 
the program manager determines would help the Institute's review.

C. Notification of Approval/Disapproval

    If the request is approved, the grantee will be sent a Grant 
Adjustment signed by the Executive Director, or his or her designee. If 
the request is denied, the grantee will be sent a written explanation 
of the reasons for the denial.

D. Changes in the Scope of the Grant

    Major changes in scope, duration, training methodology, or other 
significant areas must be approved in advance by the Institute. A 
grantee may make minor changes in methodology, approach, or other 
aspects of the grant to expedite achievement of the grant's objectives 
with subsequent notification of the SJI program manager.

E. Date Changes

    A request to change or extend the grant period must be made at 
least 30 days in advance of the end date of the grant. A revised task 
plan should accompany a request for an extension of the grant period, 
along with a revised budget if shifts among budget categories will be 
needed. A request to change or extend the deadline for the final 
financial report or final progress report must be made at least 14 days 
in advance of the report deadline (see section VII.L.2.).

F. Temporary Absence of the Project Director

    Whenever an absence of the project director is expected to exceed a 
continuous period of one month, the plans for the conduct of the 
project director's duties during such absence must be approved in 
advance by the Institute. This information must be provided in a letter 
signed by an authorized representative of the grantee/subgrantee at 
least 30 days before the departure of the project director, or as soon 
as it is known that the project director will be absent. The grant may 
be terminated if arrangements are not approved in advance by the 
Institute.

G. Withdrawal of/Change in Project Director

    If the project director relinquishes or expects to relinquish 
active direction of the project, the Institute must be notified 
immediately. In such cases, if the grantee/subgrantee wishes to 
terminate the project, the Institute will forward procedural 
instructions upon notification of such intent. If the grantee wishes to 
continue the project under the direction of another individual, a 
statement of the candidate's qualifications should be sent to the 
Institute for review and approval. The grant may be terminated if the

[[Page 53350]]

qualifications of the proposed individual are not approved in advance 
by the Institute.

H. Transferring or Contracting Out of Grant-Supported Activities

    No principal activity of a grant-supported project may be 
transferred or contracted out to another organization without specific 
prior approval by the Institute. All such arrangements must be 
formalized in a contract or other written agreement between the parties 
involved. Copies of the proposed contract or agreement must be 
submitted for prior approval of the Institute at the earliest possible 
time. The contract or agreement must state, at a minimum, the 
activities to be performed, the time schedule, the policies and 
procedures to be followed, the dollar limitation of the agreement, and 
the cost principles to be followed in determining what costs, both 
direct and indirect, will be allowed. The contract or other written 
agreement must not affect the grantee's overall responsibility for the 
direction of the project and accountability to the Institute.

State Justice Institute Board of Directors

Robert A. Miller, Chairman, Chief Justice (ret.), Supreme Court of 
South Dakota, Pierre, SD.
Joseph F. Baca, Vice Chairman, Chief Justice (ret.), New Mexico Supreme 
Court, Albuquerque, NM.
Sandra A. O'Connor, Secretary, States Attorney of Baltimore County 
(ret.), Towson, MD.
Keith McNamara, Esq., Executive Committee Member, McNamara & McNamara, 
Columbus, OH.
Terrence B. Adamson, Esq., Executive Vice President, The National 
Geographic Society, Washington, DC.
Robert N. Baldwin, Executive Vice President and General Counsel, 
National Center for State Courts, Richmond, VA.
Sophia H. Hall, Administrative Presiding Judge, Circuit Court of Cook 
County, Chicago, IL
Tommy Jewell, Presiding Children's Court Judge (ret.), Albuquerque, NM.
Arthur A. McGiverin, Chief Justice (ret.), Albuquerque, NM.
Janice T. Munsterman, Executive Director (ex officio).

Janice Munsterman,
Executive Director.

Appendix A--SJI Libraries: Designated Sites and Contacts

Alabama

Supreme Court Library
Mr. Timothy A. Lewis, State Law Librarian, Alabama Supreme Court, 
Judicial Building, 300 Dexter Avenue, Montgomery, AL 36104, (334) 242-
4347, [email protected].

Alaska

Anchorage Law Library
Ms. Cynthia S. Fellows, State Law Librarian, Alaska State Court Law 
Library, 303 K Street, Anchorage, AK 99501, (907) 264-0583, 
[email protected].

Arizona

Supreme Court Library
Ms. Lani Orosco, Staff Assistant, Arizona Supreme Court, Staff 
Attorney's Office Library, 1501 W. Washington, Suite 445, Phoenix, AZ 
85007, (602) 542-5028, [email protected].

Arkansas

Administrative Office of the Courts
Mr. James D. Gingerich, Director, Administrative Office of the Courts, 
Supreme Court of Arkansas, Justice Building, 625 Marshall Street, 
Little Rock, AR 72201, (501) 682-9400, [email protected].

California

Administrative Office of the Courts
Mr. William C. Vickrey, Administrative Director of the Courts, 
Administrative Office of the Courts, 455 Golden Gate Avenue, San 
Francisco, CA 94102, (415) 865-4235, [email protected].

Colorado

Supreme Court Library
Ms. Linda Gruenthal, Deputy Supreme Court Law Librarian, 2 East 14th 
Avenue, Denver, CO 80203, (303) 837-3720, [email protected].

Connecticut

State Library
Ms. Denise D. Jernigan, Law Librarian, Connecticut State Library, 231 
Capitol Avenue, Hartford, CT 06106, (860) 757-6598, 
[email protected].

Delaware

Administrative Office of the Courts
Mr. Michael E. McLaughlin, Deputy Director, Administrative Office of 
the Courts, Carvel State Office Building, 820 North French Street, 11th 
Floor, P.O. Box 8911, Wilmington, DE 19801, (302) 577-8481, 
[email protected].

District of Columbia

Executive Office, District of Columbia Courts
Ms. Anne B. Wicks, Executive Officer, District of Columbia Courts, 500 
Indiana Avenue, NW., Suite 1500, Washington, DC 20001, (202) 879-1700, 
[email protected].

Florida

Administrative Office of the Courts
Ms. Elisabeth H. Goodner, State Courts Administrator, Office of the 
State Courts Administrator, Florida Supreme Court, Supreme Court 
Building, 500 South Duval Street, Tallahassee, FL 32399, (850) 922-
5081, [email protected].

Georgia

Administrative Office of the Courts
Mr. David Ratley, Director, Administrative Office of the Courts, 244 
Washington Street SW., Suite 300, Atlanta, GA 30334, (404) 656-5171, 
[email protected].

Hawaii

Supreme Court Library
Ms. Ann Koto, State Law Librarian, The Supreme Court Law Library, 417 
South King St., Room 119, Honolulu, HI 96813, (808) 539-4964, 
[email protected].

Idaho

AOC Judicial Education Library/State Law Library
Mr. Richard Visser, State Law Librarian, Idaho State Law Library, 
Supreme Court Building, 451 West State St., Boise, ID 83720, (208) 334-
3316, [email protected].

Illinois

Supreme Court Library
Ms. Brenda Larison, Supreme Court of Illinois Library, 200 East Capitol 
Avenue, Springfield, IL 62701-1791, (217) 782-2425, 
[email protected].

[[Page 53351]]

Indiana

Supreme Court Library
Ms. Terri L. Ross, Supreme Court Librarian, Supreme Court Library, 
State House, Room 316, Indianapolis, IN 46204, (317) 232-2557, 
[email protected].

Iowa

Administrative Office of the Court
Dr. Jerry K. Beatty, Director of Judicial Branch Education, Iowa 
Judicial Branch, Iowa Judicial Branch Building, 1111 East Court Avenue, 
Des Moines, IA 50319, (515) 242-0190, [email protected].

Kansas

Supreme Court Library
Mr. Fred Knecht, Law Librarian, Kansas Supreme Court Library, Kansas 
Judicial Center, 301 S.W. 10th Avenue, Topeka, KS 66612, (785) 296-
3257, [email protected].

Kentucky

State Law Library
Ms. Vida Vitagliano, Cataloging and Research Librarian, Kentucky 
Supreme Court Library, 700 Capitol Avenue, Suite 200, Frankfort, KY 
40601, (502) 564-4185, [email protected].

Louisiana

State Law Library
Ms. Carol Billings, Director, Louisiana Law Library, Louisiana Supreme 
Court Building, 400 Royal Street, New Orleans, LA 70130, (504) 310-
2401, [email protected].

Maine

State Law and Legislative Reference Library
Ms. Lynn E. Randall, State Law Librarian, 43 State House Station, 
Augusta, ME 04333, (207) 287-1600, [email protected].

Maryland

State Law Library
Mr. Steve Anderson, Director, Maryland State Law Library, Court of 
Appeal Building, 361 Rowe Boulevard, Annapolis, MD 21401, (410) 260-
1430, [email protected].

Massachusetts

Middlesex Law Library
Ms. Linda Hom, Librarian, Middlesex Law Library, Superior Court House, 
40 Thorndike Street, Cambridge, MA 02141, (617) 494-4148, 
[email protected].

Michigan

Michigan Judicial Institute
Dawn F. McCarty, Director, Michigan Judicial Institute, P.O. Box 30205, 
Lansing, MI 48909, (517) 373-7509, [email protected].

Minnesota

State Law Library (Minnesota Judicial Center)
Ms. Barbara L. Golden, State Law Librarian, G25 Minnesota Judicial 
Center, 25 Rev. Dr. Martin Luther King Jr. Boulevard, St. Paul, MN 
55155, (612) 297-2089, [email protected].

Mississippi

Mississippi Judicial College
Hon. Leslie G. Johnson, Executive Director, Mississippi Judicial 
College, P.O. Box 8850, University, MS 38677, (662) 915-5955, 
[email protected].

Montana

State Law Library
Ms. Judith Meadows, State Law Librarian, State Law Library of Montana, 
P.O. Box 203004, Helena, MT 59620, (406) 444-3660, [email protected].

Nebraska

Administrative Office of the Courts
Mr. Philip D. Gould, Director, Judicial Branch Education, 
Administrative Office of the Courts/Probation, 521 South 14th St., 
Suite 200, Lincoln, NE 68508-2707, (402) 471-3072 (office)/(402) 471-
3071 (fax), [email protected].

Nevada

Ms. Kathleen Harrington, Law Librarian, Nevada Supreme Court Law 
Library, 201 S. Carson Street, Suite 100, Carson City, Nevada 89701-
4702, (775) 684-1715.

New Hampshire

New Hampshire Law Library
Ms. Mary Searles, Technical Services Law Librarian, New Hampshire Law 
Library, Supreme Court Building, One Noble Drive, Concord, NH 03301-
6160, (603) 271-3777, [email protected].

New Jersey

New Jersey State Library
Mr. Thomas O'Malley, Supervising Law Librarian, New Jersey State Law 
Library, 185 West State Street, P.O. Box 520, Trenton, NJ 08625-0250, 
(609) 292-6230, [email protected].

New Mexico

Supreme Court Library
Mr. Thaddeus Bejnar, Librarian, Supreme Court Library, Post Office 
Drawer L, Santa Fe, NM 87504, (505) 827-4850.

New York

Supreme Court Library
Ms. Barbara Briggs, Law Librarian, Syracuse Supreme Court Law Library, 
401 Montgomery Street, Syracuse, NY 13202, (315) 671-1150, 
[email protected].

North Carolina

Supreme Court Library
Mr. Thomas P. Davis, Librarian, North Carolina Supreme Court Library, 
500 Justice Building, 2 East Morgan Street, Raleigh, NC 27601, (919) 
733-3425, [email protected].

North Dakota

Supreme Court Library
Ms. Marcella Kramer, Assistant Law Librarian, Supreme Court Law 
Library, 600 East Boulevard Avenue, Dept. 182, 2nd Floor Judicial Wing, 
Bismarck, ND 58505-0540, (701) 328-2229, [email protected].

Northern Mariana Islands

Supreme Court of the Northern Mariana Islands
Ms. Margarita M. Palacios, Director of Courts, Supreme Court of the 
Commonwealth of the Northern Mariana Islands, P.O. Box 502165, Saipan, 
MP 96950, (670) 235-9700, [email protected].

Ohio

Supreme Court Library
Mr. Ken Kozlowski, Director, Law Library, Supreme Court of Ohio, 65 
South Front Street, 11th Floor, Columbus, OH 43215-3431, (614) 387-
9666, [email protected].

Oklahoma

Administrative Office of the Courts
Mr. Michael D. Evans, State Court Administrator, Administrative Office 
of the Courts, 1915 North Stiles Avenue, Suite 305, Oklahoma City, OK 
73105, (405) 521-2450, [email protected].

[[Page 53352]]

Oregon

Administrative Office of the Courts
Ms. Kingsley W. Click, State Court Administrator, Oregon Judicial 
Department, Supreme Court Building, 1163 State Street, Salem, OR 97301, 
(503) 986-5500, [email protected].

Pennsylvania

State Library of Pennsylvania
Ms. Kathleen Kline, Collection Management Librarian, State Library of 
Pennsylvania, Bureau of State Library, 333 Market Street, Harrisburg, 
PA 17126-1745, (717) 787-5718, [email protected].

Puerto Rico

Office of Court Administration
Alfredo Rivera-Mendoza, Esq., Director, Area of Planning and 
Management, Office of Court Administration, P.O. Box 917, Hato Rey, PR 
00919.

Rhode Island

Roger Williams University
Ms. Gail Winson, Director of Law Library/Associate Professor of Law, 
Roger Williams University, School of Law Library, 10 Metacom Avenue, 
Bristol, RI 02809, 401/254-4531, [email protected].

South Carolina

Coleman Karesh Law Library (University of South Carolina School of Law)
Mr. Steve Hinckley, Director, Coleman Karesh Law Library, University of 
South Carolina, Main and Green Streets, Columbia, SC 29208, (803) 777-
5944, [email protected].

South Dakota

State Law Library
Librarian, South Dakota State Law Library, 500 East Capitol, Pierre, 
South Dakota 57501, (605) 773-4898, [email protected].

Tennessee

Tennessee State Law Library
Hon. Cornelia A. Clark, Executive Director, Administrative Office of 
the Courts, 511 Union Street, Suite 600, Nashville, TN 37219, (615) 
741-2687, [email protected].

Texas

State Law Library
Mr. Marcelino A. Estrada, Director, State Law Library, P.O. Box 12367, 
Austin, TX 78711, (512) 463-1722, [email protected].

U.S. Virgin Islands

Library of the Territorial Court of the Virgin Islands (St. Thomas)
Librarian, The Library, Territorial Court of the Virgin Islands, Post 
Office Box 70, Charlotte Amalie, St. Thomas, Virgin Islands 00804.

Utah

Utah State Judicial Administration Library
Ms. Jessica Van Buren, Utah State Library, 450 South State Street, P.O. 
Box 140220, Salt Lake City, UT 84114-0220, (801) 238-7991, 
[email protected].

Vermont

Supreme Court of Vermont
Mr. Paul J. Donovan, Law Librarian, Vermont Department of Libraries, 
109 State Street, Pavilion Office Building, Montpelier, VT 05609, (802) 
828-3268, [email protected].

Virginia

Administrative Office of the Courts
Ms. Gail Warren, State Law Librarian, Virginia State Law Library, 
Supreme Court of Virginia, 100 North Ninth Street, 2nd Floor, Richmond, 
VA 23219-2335, (804) 786-2075, [email protected].

Washington

Washington State Law Library
Ms. Kay Newman, State Law Librarian, Washington State Law Library, 
Temple of Justice, P.O. Box 40751, Olympia, WA 98504-0751, (360) 357-
2136, [email protected].

West Virginia

Supreme Court of Appeals Library
Ms. Kaye Maerz, State Law Librarian, West Virginia Supreme Court of 
Appeals Library, 1900 Kanawha Boulevard East, Building 1, Room E-404, 
Charleston, WV 25305, (304) 558-2607, [email protected].

Wisconsin

State Law Library
Ms. Jane Colwin, State Law Librarian, State Law Library, 120 M.L.K. Jr. 
Boulevard, Madison, WI 53703, (608) 261-2340, [email protected].

Wyoming

Wyoming State Law Library
Ms. Kathy Carlson, Law Librarian, Wyoming State Law Library, Supreme 
Court Building, 2301 Capitol Avenue, Cheyenne, WY 82002, (307) 777-
7509, [email protected].

National

American Judicature Society
Ms. Deborah Sulzbach, Acquisitions Librarian, Drake University, Law 
Library, Opperman Hall, 2507 University Avenue, Des Moines, IA 50311-
4505, (515) 271-3784, [email protected].
National Center for State Courts
Ms. Joan Cochet, Library Specialist, National Center for State Courts, 
300 Newport Avenue, Williamsburg, VA 23185-4147, (757) 259-1826, 
[email protected].
National Judicial College
Mr. Randall Snyder, Law Librarian, National Judicial College, Judicial 
College Building MS 358, Reno, NV 89557, (775) 327-8278, 
[email protected].
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     Form B 09/09
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     Form D 10/08

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[FR Doc. E9-24852 Filed 10-15-09; 8:45 am]
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