Notice: Reports and Guidance Documents Availability, Etc.: Grants, Cooperative Agreements, and Contracts, Guidelines

Thursday,
September 7, 2006
Part III
State Justice Institute

Grant Guideline; Notice
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52920 Federal Register / Vol. 71, No. 173 / Thursday, September 7, 2006 / Notices
STATE JUSTICE INSTITUTE • Direct a national program of following entities and types of
financial assistance designed to assure organizations:
Grant Guideline that each citizen of the United States is A. State and local courts and their
provided ready access to a fair and agencies (42 U.S.C. 10705(b)(1)(A)).
AGENCY: State Justice Institute.
effective system of justice; Each application for funding from a
ACTION: Proposed Grant Guideline.
• Foster coordination and State or local court must be approved,
SUMMARY: This Guideline sets forth the cooperation with the Federal judiciary; consistent with State law, by the State’s
administrative, programmatic, and • Promote recognition of the Supreme Court or its designated agency
financial requirements attendant to importance of the separation of powers or council. The latter shall receive all
Fiscal Year 2007 State Justice Institute doctrine to an independent judiciary; Institute funds awarded to such courts
grants, cooperative agreements, and and and be responsible for assuring proper
contracts. • Encourage education for judges and administration of Institute funds, in
support personnel of State court systems accordance with section VII.C.2. of this
DATES: September 7, 2006.
through national and State Guideline.
FOR FURTHER INFORMATION CONTACT: B. National nonprofit organizations
Kevin Linskey, Executive Director, State organizations, including universities.
To accomplish these broad objectives, controlled by, operating in conjunction
Justice Institute, 1650 King St. (Suite with, and serving the judicial branches
600), Alexandria, VA 22314, (703) 684– the Institute is authorized to provide
funds to State courts, national of State governments (42 U.S.C.
6100 X201. 10705(b)(1)(B)).
organizations which support and are
SUPPLEMENTARY INFORMATION: Pursuant C. National nonprofit organizations
supported by State courts, national
to the State Justice Institute Act of 1984, for the education and training of judges
judicial education organizations, and
42 U.S.C. 10701, et seq., as amended, and support personnel of the judicial
other organizations that can assist in
the Institute is authorized to award branch of State governments (42 U.S.C.
improving the quality of justice in the
grants, cooperative agreements, and 10705(b)(1)(C)). An applicant is
State courts.
contracts to State and local courts, considered a national education and
nonprofit organizations, and others for The Institute is supervised by a Board
of Directors appointed by the President, training applicant under section
the purpose of improving the quality of 10705(b)(1)(C) if:
justice in the State courts of the United with the consent of the Senate. The
Board is statutorily composed of six 1. The principal purpose or activity of
States. the applicant is to provide education
Pending appropriations legislation judges; a State court administrator; and
four members of the public, no more and training to State and local judges
passed by the House (H.R. 5672) would and court personnel; and
appropriate $2,000,000 for SJI in fiscal than two of whom can be of the same
political party. 2. The applicant demonstrates a
year (FY) 2007; the Senate-passed record of substantial experience in the
version of the bill proposes to Through the award of grants,
contracts, and cooperative agreements, field of judicial education and training.
appropriate $4,500,000. D. Other eligible grant recipients (42
Regardless of the final amount the Institute is authorized to perform the
U.S.C. 10705 (b)(2)(A)–(D)).
provided to SJI for FY 2007, the following activities:
1. Provided that the objectives of the
Institute’s Board of Directors intends to A. Support research, demonstrations,
project can be served better, the Institute
solicit grant applications across the special projects, technical assistance,
is also authorized to make awards to:
range of grant programs available. and training to improve the a. Nonprofit organizations with
The following Grant Guideline is administration of justice in the State expertise in judicial administration;
adopted by the State Justice Institute for courts; b. Institutions of higher education;
FY 2007: B. Provide for the preparation, c. Individuals, partnerships, firms,
publication, and dissemination of corporations (for-profit organizations
Table of Contents information regarding State judicial must waive their fees); and
I. The Mission of the State Justice Institute systems; d. Private agencies with expertise in
II. Eligibility for Award C. Participate in joint projects with judicial administration.
III. Scope of the Program Federal agencies and other private
IV. Applications
2. The Institute may also make awards
grantors; to State or local agencies and
V. Application Review Procedures
VI. Compliance Requirements D. Evaluate or provide for the institutions other than courts for
VII. Financial Requirements evaluation of programs and projects to services that cannot be adequately
VIII. Grant Adjustments determine their impact upon the quality provided through nongovernmental
Appendix A SJI Libraries: Designated Sites of criminal, civil, and juvenile justice arrangements (42 U.S.C. 10705(b)(3)).
and Contacts and the extent to which they have E. Inter-agency Agreements. The
Appendix B Grant Application Forms (Forms contributed to improving the quality of Institute may enter into inter-agency
A, B, C, D, and Disclosure of Lobbying justice in the State courts;
Activities)
agreements with Federal agencies (42
Appendix C Line-Item Budget Form (Form E) E. Encourage and assist in furthering U.S.C. 10705(b)(4)) and private funders
Appendix D Scholarship Application Forms judicial education; and, to support projects consistent with the
(Forms S1 and S2) F. Encourage, assist, and serve in a purposes of the State Justice Institute
consulting capacity to State and local Act.
I. The Mission of the State Justice justice system agencies in the
Institute development, maintenance, and III. Scope of the Program
The Institute was established by Pub. coordination of criminal, civil, and SJI is offering five types of grants in
L. 98–620 to improve the administration juvenile justice programs and services. FY 2007: Project Grants, Technical
of justice in the State courts of the Assistance (TA) Grants, Curriculum

United States. Incorporated in the State II. Eligibility for Award Adaptation and Training (CAT) Grants,
of Virginia as a private, nonprofit The Institute is authorized by Scholarships, and Partner Grants.
corporation, the Institute is charged, by Congress to award grants, cooperative Effective immediately, SJI will no longer
statute, with the responsibility to: agreements, and contracts to the award Continuation Grants to extend
Federal Register / Vol. 71, No. 173 / Thursday, September 7, 2006 / Notices 52921
previous or future Project or Partner and ideas developed to relevant related cases. The Institute is
Grants. audiences in State and local judicial particularly interested in projects that
systems, or provide technical assistance would develop and evaluate judicial
A. Project Grants
to facilitate the adaptation of effective branch education programs addressing
Project Grants are intended to support programs and procedures in other State elder law and related issues.
innovative education and training, and local jurisdictions. d. Performance Standards and
research and evaluation, demonstration, A project will be identified as a Outcome Measures. This category
and technical assistance projects that Special Interest project if it meets the includes projects that will develop and
can improve the administration of four criteria set forth above and it falls measure performance standards and
justice in State courts nationwide. within the scope of the Board- outcomes for all aspects of court
Project Grants may ordinarily not designated Special Interest program operations. The Institute is particularly
exceed $300,000; however, grants in categories listed below. interested in projects that take the
excess of $200,000 are apt to be rare, The order of listing does not imply National Center for State Courts’
and awarded only to support projects any ordering of priorities among the ‘‘CourTools’’ to the next level. Other
likely to have a significant national categories. initiatives designed to further
impact. Grant periods for Project Grants a. Court Budgeting. Unlike the professionalize court staff and
ordinarily may not exceed 36 months. legislative and executive branches, the operations, or to objectively evaluate the
No Continuation Grants will be judiciary seems to weather regular costs and benefits and cost-effectiveness
awarded. periods of budgetary feast and famine. of problem solving courts, are also
Applicants for Project Grants will be This has proven very disruptive to court welcome.
required to contribute a cash match of staffing, services, technology e. Defending the Institution. The
not less than 50% of the total cost of the investment, and professional education perils facing courts today include
proposed project. In other words, grant and development. The Institute is attacks on our system of justice and
awards by SJI must be matched at least interested in pursuing ‘‘how to’’ projects judges and catastrophes natural and
dollar for dollar by grant applicants. that focus on ‘‘best practices’’ regarding manmade. The Institute is seeking
Applicants may contribute the required budget structure and formulation, proposals to address each.
cash match directly or in cooperation sources of revenue, inter-branch Attacks on courts and judges have
with third parties. relations, and other methods that increased. These attacks are often not
Prospective applicants should contribute to stabilizing court budgets scrutinized because many citizens in
carefully review Section VI.8. (matching and improving their long-term financial this country lack education or
requirements) and Section VI.16.a. (non- prospects. knowledge about the role of the courts
supplantation) of the guidelines prior to b. Courts and the Media. Recent in our system of government. The
beginning the application process. If repeated public attacks on courts have Institute remains interested in
questions arise, applicants are strongly gone largely unanswered, because supporting the creation of public
encouraged to consult with the Institute. judges were unwilling and/or courts education projects that would develop
As set forth in Section I., the Institute were unable to respond effectively. No and test materials that judges and court
is authorized to fund projects one is better prepared than a judge to leaders can use to inform community
addressing a broad range of program describe decision-making on the bench groups and constituencies about the
areas. Though the Board is likely to within the law and the Constitution. nature and importance of Federalism,
favor Project Grant applications focused The Institute is interested in projects separation and balance of powers, and
on the Special Interest program that explore the role of judge as public judicial independence. In addition, as
categories described below, potential commentator within ethical and mentioned above, projects that would
applicants are also encouraged to bring professional bounds. The Institute is improve the relationship between courts
to the attention of the Institute also interested in judicial education or and the media are encouraged.
innovative projects outside those other programs that prepare judges and Catastrophes, natural and manmade,
categories. Funds will not be made court officials to serve as spokesmen in can destroy the ability of our courts to
available for the ordinary, routine short notice, high profile circumstances, help provide law and order. The Board
operation of court systems or programs especially in situations where courts is interested in: (1) Continuity of
in any of these areas. lack dedicated press secretaries. Finally, operations proposals that go beyond
the Institute is interested in promoting planning and table top exercises to
1. Special Interest Program Categories initiatives that improve relations include ‘‘no notice’’ drills and ‘‘red
The Institute is interested in funding between the judiciary and the media, team’’ exercises involving all personnel
both innovative programs and programs since much of the recent rancor between integral to court operations, including
of proven merit that can be replicated in the two seems based on unfamiliarity those from outside agencies such as
other jurisdictions. The Institute is with one another’s duties, sheriffs’ offices, (2) innovative and
especially interested in funding projects responsibilities, and limitations. In secure court security information-
that: particular, the Institute is interested in sharing projects that piggyback on, or
• Formulate new procedures and proposals that focus on cultivating trust otherwise exploit, existing capabilities
techniques, or creatively enhance and open communication between the and technologies (because new
existing procedures and techniques; Third Branch and the Fourth Estate on resources for new systems are apt to be
• Address aspects of the State judicial a day-to-day basis, because dialogue limited), and (3) piloting a low cost
systems that are in special need of between strangers is rarely started and ‘‘virtual’’ 24/7 threat center netting
serious attention; never sustained in a crisis. Federal, State, and local court security
• Have national significance by c. Elder Issues. This category includes first responders with analysts
developing products, services, and research, demonstration, evaluation, conducting real-time threat assessments
techniques that may be used in other and education projects designed to (replacing costly ‘‘bricks and mortar’’
States; and improve management of guardianship, proposals).
• Create and disseminate products probate, fraud, Americans with Though ‘‘Managing Self-Represented
that effectively transfer the information Disability Act, and other types of elder- Litigation’’, ‘‘Application of Technology
in the Courts’’, and ‘‘Children and house personnel, designed to prepare extraordinary circumstances, no grant
Families in Court’’ are no longer listed judges and court personnel for recently will continue for more than five years.
as Special Interest program categories, adopted innovations, reforms, and/or Partner Grants are subject to the same
the SJI Board retains a keen interest in new technologies by grantee courts. cash match requirement as Project
these areas and would welcome ground CAT Grants may not exceed $20,000. Grants. In other words, grant awards by
breaking proposals in all three. Grant periods for CAT Grants ordinarily SJI must be matched at least dollar for
Project Grant application procedures may not exceed 12 months. The SJI dollar. Applicants may contribute the
can be found in section IV.A. Board intends to reserve up to $100,000 required cash match directly or in
B. Technical Assistance (TA) Grants for CAT Grants. cooperation with third parties (note: a
Applicants for CAT Grants will be Federal third party may contribute no
TA Grants are intended to provide required to contribute a match of not more than 49% of the total cost of a
State or local courts, particularly small, less than 50% of the grant amount project and only to purchase a service,
rural, or impoverished urban courts or requested, of which 20% must be cash. not as a grantee’s match).
regional court associations, with In other words, a grantee seeking a Partner Grant application procedures
sufficient support to obtain expert can be found in section IV.E.
$20,000 CAT grant must provide a
assistance to diagnose a problem,
$10,000 match, of which up to $8,000 IV. Applications
develop a response to that problem, and
can be in-kind and not less than $2,000
implement any needed changes. TA A. Project Grants
must be cash. Applicants considering
Grants may not exceed $30,000, and
cash matches well in excess of $2,000 An application for a Project Grant
shall only cover the cost of obtaining the
should consider applying for Project must include an application form;
services of expert consultants. Examples
Grants and are strongly urged to consult budget forms (with appropriate
of expenses not covered by TA Grants
with the Institute prior to applying. The documentation); a project abstract and
include the salaries, benefits, travel, or
Institute may waive the match and cash program narrative; a disclosure of
training costs of full- or part-time court
match requirements in extraordinary lobbying form, when applicable; and
employees. Grant periods for TA Grants
circumstances (see section VI.A.8.). certain certifications and assurances
ordinarily may not exceed 24 months. In
calculating project duration, applicants CAT Grant application procedures (see below). See Appendix B for the
are cautioned to fully consider the time can be found in section IV.C. Project Grant application forms. For a
required to issue a request for proposals, D. Scholarships for Judges and Court summary of the application process,
negotiate a contract with the selected Managers visit the Institute’s Web site
provider, and execute the project. The (www.statejustice.org) and click on On-
SJI Board intends to reserve up to Scholarships are intended to enhance Line Tutorials, then Project Grant.
$250,000 for TA Grants. Sufficient funds the skills, knowledge, and abilities of
State court judges and court managers 1. Forms
will be reserved each quarter to assure
the availability of TA Grants throughout by enabling them to attend out-of-State, a. Application Form (Form A). The
the year. or to enroll in online, educational and application form requests basic
Applicants for TA Grants will be training programs sponsored by national information regarding the proposed
required to contribute a match of not and State providers that they could not project, the applicant, and the total
less than 50% of the grant amount otherwise attend or take online because amount of funding requested from the
requested, of which 20% must be cash. of limited State, local, and personal Institute. It also requires the signature of
In other words, a grantee seeking a budgets. Scholarships may not exceed an individual authorized to certify on
$30,000 TA grant must provide a $1,500. The SJI Board intends to reserve behalf of the applicant that the
$15,000 match, of which up to $12,000 up to $250,000 for scholarships. information contained in the
can be in-kind and not less than $3,000 Sufficient funds will be reserved each application is true and complete; that
must be cash. Applicants considering quarter to assure the availability of submission of the application has been
cash matches well in excess of $3,000 scholarships throughout the year. authorized by the applicant; and that if
should consider applying for Project Scholarship application procedures funding for the proposed project is
Grants and are strongly urged to consult can be found in section IV.D. approved, the applicant will comply
with the Institute prior to applying. The with the requirements and conditions of
E. Partner Grants
Institute may waive the match and cash the award, including the assurances set
match requirements in extraordinary Partner Grants are intended to allow forth in Form D.
circumstances (see section VI.A.8.). SJI and Federal, State, or local agencies b. Certificate of State Approval (Form
TA Grant application procedures can or foundations, trusts, or other private B). An application from a State or local
be found in section IV.B. entities to combine financial resources court must include a copy of Form B
in pursuit of common interests. Though signed by the State’s Chief Justice or
C. Curriculum Adaptation and Training many, if not most, Partner Grants will Chief Judge, the director of the
(CAT) Grants fall under the Special Interest program designated agency, or the head of the
CAT Grants are intended to: (1) categories cited in section III.A., designated council. The signature
Enable courts and regional or national proposals addressing other emerging or denotes that the proposed project has
court associations to modify and adapt high priority court-related problems will been approved by the State’s highest
model curricula, course modules, or be considered on a case-by-case basis. court or the agency or council it has
conference programs to meet States’ or SJI and its financial partners may set designated. It denotes further that if the
local jurisdictions’ educational needs; any level for Partner Grants, subject to Institute approved funding for the
train instructors to present portions or the entire amount of the grant being project, the court or the specified
all of the curricula; and pilot-test them available at the time of the award; designee will receive, administer, and
to determine their appropriateness, applicants for Partner Grants may be accountable for the awarded funds.
quality, and effectiveness, or (2) conduct request any amount of funding. Grant c. Budget Form (Form C). Applicants
judicial branch education and training periods for Partner Grants ordinarily must submit a Form C. In addition to
programs, led by either expert or in- may not exceed 36 months. Absent Form C, applicants must provide a
detailed budget narrative providing an c. Need for the Project. If the project not been chosen, how they would be
explanation of the basis for the is to be conducted in any specific identified and their cooperation
estimates in each budget category (see location(s), the applicant should discuss obtained; and how the program or
subsection A.4. below). the particular needs of the project site(s) procedures would be implemented and
If funds from other sources are to be addressed by the project and why monitored.
required to conduct the project, either as those needs are not being met through (d) For technical assistance projects,
match or to support other aspects of the the use of existing programs, the applicant should explain the types
project, the source, current status of the procedures, services, or other resources. of assistance that would be provided;
request, and anticipated decision date If the project is not site-specific, the the particular issues and problems for
must be provided. applicant should discuss the problems which assistance would be provided;
d. Assurances (Form D). This form that the proposed project would how requests would be obtained and the
lists the statutory, regulatory, and policy address, and why existing programs, type of assistance determined; how
requirements with which recipients of procedures, services, or other resources suitable providers would be selected
Institute funds must comply. cannot adequately resolve those and briefed; how reports would be
e. Disclosure of Lobbying Activities. problems. The discussion should reviewed; and the cost to recipients.
Applicants other than units of State or include specific references to the (2) Evaluation. Every project must
local government are required to relevant literature and to the experience include an evaluation plan to determine
disclose whether they, or another entity in the field. whether the project met its objectives.
that is part of the same organization as d. Tasks, Methods and Evaluations. The evaluation should be designed to
the applicant, have advocated a position (1) Tasks and Methods. The applicant provide an objective and independent
before Congress on any issue, and to should delineate the tasks to be assessment of the effectiveness or
identify the specific subjects of their performed in achieving the project usefulness of the training or services
lobbying efforts (see section VI.A.7.). objectives and the methods to be used provided; the impact of the procedures,
for accomplishing each task. For technology, or services tested; or the
2. Project Abstract example: validity and applicability of the research
The abstract should highlight the (a) For research and evaluation conducted. In addition, where
purposes, goals, methods, and projects, the applicant should include appropriate, the evaluation process
anticipated benefits of the proposed the data sources, data collection should be designed to provide ongoing
project. It should not exceed 1 single- strategies, variables to be examined, and or periodic feedback on the
spaced page on 81⁄2 by 11 inch paper. analytic procedures to be used for effectiveness or utility of the project in
conducting the research or evaluation order to promote its continuing
3. Program Narrative and ensuring the validity and general improvement. The plan should present
The program narrative for an applicability of the results. For projects the qualifications of the evaluator(s);
application may not exceed 25 double- involving human subjects, the describe the criteria that would be used
spaced pages on 81⁄2 by 11 inch paper. discussion of methods should address to evaluate the project’s effectiveness in
Margins must be at least 1 inch, and the procedures for obtaining meeting its objectives; explain how the
type size must be at least 12-point and respondents’ informed consent, evaluation would be conducted,
12 cpi. The pages should be numbered. ensuring the respondents’ privacy and including the specific data collection
This page limit does not include the freedom from risk or harm, and and analysis techniques to be used;
forms, the abstract, the budget narrative, protecting others who are not the discuss why this approach would be
and any appendices containing resumes subjects of research but would be appropriate; and present a schedule for
and letters of cooperation or affected by the research. If the potential completion of the evaluation within the
endorsement. Additional background exists for risk or harm to human proposed project period.
material should be attached only if it is subjects, a discussion should be The evaluation plan should be
essential to impart a clear included that explains the value of the appropriate to the type of project
understanding of the proposed project. proposed research and the methods to proposed. For example:
Numerous and lengthy appendices are be used to minimize or eliminate such (a) An evaluation approach suited to
strongly discouraged. risk. many research projects is a review by an
The program narrative should address (b) For education and training advisory panel of the research
the following topics: projects, the applicant should include methodology, data collection
a. Project Objectives. The applicant the adult education techniques to be instruments, preliminary analyses, and
should include a clear, concise used in designing and presenting the products as they are drafted. The panel
statement of what the proposed project program, including the teaching/ should be comprised of independent
is intended to accomplish. In stating the learning objectives of the educational researchers and practitioners
objectives of the project, applicants design, the teaching methods to be used, representing the perspectives affected
should focus on the overall and the opportunities for structured by the proposed project.
programmatic objective (e.g., to enhance interaction among the participants; how (b) The most valuable approaches to
understanding and skills regarding a faculty would be recruited, selected, evaluating educational or training
specific subject, or to determine how a and trained; the proposed number and programs reinforce the participants’
certain procedure affects the court and length of the conferences, courses, learning experience while providing
litigants) rather than on operational seminars, or workshops to be conducted useful feedback on the impact of the
objectives (e.g., provide training for 32 and the estimated number of persons program and possible areas for
judges and court managers, or review who would attend them; the materials to improvement. One appropriate
data from 300 cases). be provided and how they would be evaluation approach is to assess the
b. Program Areas to Be Covered. The developed; and the cost to participants. acquisition of new knowledge, skills,
applicant should note the Special (c) For demonstration projects, the attitudes, or understanding through
Interest category or categories that are applicant should include the participant feedback on the seminar or
addressed by the proposed project (see demonstration sites and the reasons training event. Such feedback might
section III.A.). they were selected, or if the sites have include a self-assessment of what was
learned along with the participant’s proposed project period. The (2) Types of Products and Press
response to the quality and effectiveness management plan must also provide for Releases. The type of product to be
of faculty presentations, the format of the submission of Quarterly Progress prepared depends on the nature of the
sessions, the value or usefulness of the and Financial Reports within 30 days project. For example, in most instances,
material presented, and other relevant after the close of each calendar quarter the products of a research, evaluation,
factors. Another appropriate approach (i.e., no later than January 30, April 30, or demonstration project should include
would be to use an independent July 30, and October 30). an article summarizing the project
observer who might request both verbal Applicants should be aware that the findings that is publishable in a journal
and written responses from participants Institute is unlikely to approve a limited serving the courts community
in the program. When an education extension of the grant period without nationally, an executive summary that
project involves the development of very good cause. Therefore, the would be disseminated to the project’s
curricular materials, an advisory panel management plan should be as realistic primary audience, or both. Applicants
of relevant experts can be coupled with as possible and fully reflect the time proposing to conduct empirical research
a test of the curriculum to obtain the commitments of the proposed project or evaluation projects with national
reactions of participants and faculty as staff and consultants. import should describe how they would
indicated above. f. Products. The program narrative in make their data available for secondary
(c) The evaluation plan for a the application should contain a analysis after the grant period (see
demonstration project should description of the products to be section VI.A.14.a.).
encompass an assessment of program developed (e.g., training curricula and The curricula and other products
effectiveness (e.g., how well did it materials, audiotapes, videotapes, developed through education and
work?); user satisfaction, if appropriate; DVDs, computer software, CD–ROM training projects should be designed for
the cost-effectiveness of the program; a disks, articles, guidelines, manuals, use outside the classroom so that they
process analysis of the program (e.g., reports, handbooks, benchbooks, or may be used again by the original
was the program implemented as books), including when they would be participants and others in the course of
designed, and/or did it provide the submitted to the Institute. The budget their duties.
services intended to the targeted In addition, recipients of project
should include the cost of producing
population?); the impact of the program grants must prepare a press release
and disseminating the product to each
(e.g., what effect did the program have describing the project and announcing
in-State SJI library (see Appendix A),
on the court, and/or what benefits the results, and distribute the release to
State chief justice, State court
resulted from the program?); and the a list of national and State judicial
administrator, and other appropriate
replicability of the program or branch organizations. SJI will provide
judges or court personnel.
components of the program. press release guidelines and a list of
(d) For technical assistance projects, (1) Dissemination Plan. The recipients to grantees at least 30 days
applicants should explain how the application must explain how and to before the end of the grant period.
quality, timeliness, and impact of the whom the products would be (3) Institute Review. Applicants must
assistance provided would be disseminated; describe how they would submit a final draft of all written grant
determined, and develop a mechanism benefit the State courts, including how products to the Institute for review and
for feedback from both the users and they could be used by judges and court approval at least 30 days before the
providers of the technical assistance. personnel; identify development, products are submitted for publication
Evaluation plans involving human production, and dissemination costs or reproduction. For products in a
subjects should include a discussion of covered by the project budget; and videotape or CD–ROM format,
the procedures for obtaining present the basis on which products and applicants must provide for Institute
respondents’ informed consent, services developed or provided under review of the product at the treatment,
ensuring the respondents’ privacy and the grant would be offered to the courts script, rough-cut, and final stages of
freedom from risk or harm, and community and the public at large (i.e., development, or their equivalents. No
protecting others who are not the whether products would be distributed grant funds may be obligated for
subjects of the evaluation but would be at no cost to recipients, or if costs are publication or reproduction of a final
affected by it. Other than the provision involved, the reason for charging grant product without the written
of confidentiality to respondents, recipients and the estimated price of the approval of the Institute (see section
human subject protection issues product) (see section VI.A.11.b.). VI.A.11.e.).
ordinarily are not applicable to Ordinarily, applicants should schedule (4) Acknowledgment, Disclaimer, and
participants evaluating an education all product preparation and distribution Logo. Applicants must also include in
program. activities within the project period. all project products a prominent
e. Project Management. The applicant A copy of each product must be sent acknowledgment that support was
should present a detailed management to the library established in each State received from the Institute and a
plan, including the starting and to collect the materials developed with disclaimer paragraph based on the
completion date for each task; the time Institute support (see Appendix A). example provided in section
commitments to the project of key staff Applicants proposing to develop web- VI.A.11.a.2. of the Guideline. The ‘‘SJI’’
and their responsibilities regarding each based products should provide for logo must appear on the front cover of
project task; and the procedures that sending a hard-copy document to the a written product, or in the opening
would ensure that all tasks are SJI-designated libraries and other frames of a video, unless the Institute
performed on time, within budget, and appropriate audiences to alert them to approves another placement.
at the highest level of quality. In the availability of the Web site or g. Applicant Status. An applicant that
preparing the project time line, Gantt electronic product (i.e., a written report is not a State or local court and has not
Chart, or schedule, applicants should with a reference to the Web site). received a grant from the Institute
make certain that all project activities, Fifteen (15) copies of all project within the past three years should state
including publication or reproduction of products must be submitted to the whether it is either a national non-profit
project products and their initial Institute, along with an electronic organization controlled by, operating in
dissemination, would occur within the version in .html or .pdf format. conjunction with, and serving the
judicial branches of State governments, Lobbying Activities Form, which would be dedicated to new or additional
or a national non-profit organization for documents whether they, or another duties related to the project.
the education and training of State court entity that is a part of the same b. Fringe Benefit Computation. The
judges and support personnel (see organization as the applicant, have applicant should provide a description
section II.). If the applicant is a advocated a position before Congress on of the fringe benefits provided to
nonjudicial unit of Federal, State, or any issue, and identifies the specific employees. If percentages are used, the
local government, it must explain subjects of their lobbying efforts (see authority for such use should be
whether the proposed services could be Appendix B). presented, as well as a description of the
adequately provided by non- k. Letters of Cooperation or Support. elements included in the determination
governmental entities. If the cooperation of courts, of the percentage rate.
h. Staff Capability. The applicant organizations, agencies, or individuals c. Consultant/Contractual Services
should include a summary of the other than the applicant is required to and Honoraria. The applicant should
training and experience of the key staff conduct the project, the applicant describe the tasks each consultant
members and consultants that qualify should attach written assurances of would perform, the estimated total
them for conducting and managing the cooperation and availability to the amount to be paid to each consultant,
proposed project. Resumes of identified application, or send them under the basis for compensation rates (e.g.,
staff should be attached to the separate cover. To ensure sufficient time the number of days multiplied by the
application. If one or more key staff to bring them to the Board’s attention, daily consultant rates), and the method
members and consultants are not known letters of support sent under separate for selection. Rates for consultant
at the time of the application, a cover must be received by the deadlines services must be set in accordance with
description of the criteria that would be set below in subsection A.5. section VII.I.2.c. Prior written Institute
used to select persons for these approval is required for any consultant
4. Budget Narrative rate in excess of $800 per day; Institute
positions should be included. The
applicant also should identify the The budget narrative should provide funds may not be used to pay a
person who would be responsible for the basis for the computation of all consultant more than $1,100 per day.
managing and reporting on the financial project-related costs. When the Honorarium payments must be justified
aspects of the proposed project. proposed project would be partially in the same manner as consultant
i. Organizational Capacity. supported by grants from other funding payments.
Applicants that have not received a sources, applicants should make clear d. Travel. Transportation costs and
grant from the Institute within the past what costs would be covered by those per diem rates must comply with the
three years should include a statement other grants. Additional background policies of the applicant organization. If
describing their capacity to administer information or schedules may be the applicant does not have an
grant funds, including the financial attached if they are essential to established travel policy, then travel
systems used to monitor project obtaining a clear understanding of the rates must be consistent with those
expenditures (and income, if any), and proposed budget. Numerous and established by the Institute or the
a summary of their past experience in lengthy appendices are strongly Federal Government (a copy of the
administering grants, as well as any discouraged. Institute’s travel policy is available
resources or capabilities that they have The budget narrative should cover the upon request). The budget narrative
that would particularly assist in the costs of all components of the project should include an explanation of the
successful completion of the project. and clearly identify costs attributable to rate used, including the components of
Unless requested otherwise, an the project evaluation. Under OMB the per diem rate and the basis for the
applicant that has received a grant from grant guidelines incorporated by estimated transportation expenses. The
the Institute within the past three years reference in this Guideline, grant funds purpose of the travel should also be
should describe only the changes in its may not be used to purchase alcoholic included in the narrative.
organizational capacity, tax status, or beverages. e. Equipment. Grant funds may be
financial capability that may affect its a. Justification of Personnel used to purchase only the equipment
capacity to administer a grant. Compensation. The applicant should set necessary to demonstrate a new
If the applicant is a non-profit forth the percentages of time to be technological application in a court or
organization (other than a university), it devoted by the individuals who would that is otherwise essential to
must also provide documentation of its staff the proposed project, the annual accomplishing the objectives of the
501(c) tax-exempt status as determined salary of each of those persons, and the project. Equipment purchases to support
by the Internal Revenue Service and a number of work days per year used for basic court operations ordinarily will
copy of a current certified audit report. calculating the percentages of time or not be approved. The applicant should
For purposes of this requirement, daily rates of those individuals. The describe the equipment to be purchased
‘‘current’’ means no earlier than two applicant should explain any deviations or leased and explain why the
years prior to the present calendar year. from current rates or established written acquisition of that equipment is
If a current audit report is not organizational policies. If grant funds essential to accomplish the project’s
available, the Institute will require the are requested to pay the salary and goals and objectives. The narrative
organization to complete a financial related costs for a current employee of should clearly identify which
capability questionnaire, which must be a court or other unit of government, the equipment is to be leased and which is
signed by a Certified Public Accountant. applicant should explain why this to be purchased. The method of
Other applicants may be required to would not constitute a supplantation of procurement should also be described.
provide a current audit report, a State or local funds in violation of 42 Purchases of automated data processing
financial capability questionnaire, or U.S.C. 10706(d)(1). An acceptable equipment must comply with section
both, if specifically requested to do so explanation may be that the position to VII.I.2.b.

by the Institute. be filled is a new one established in f. Supplies. The applicant should
j. Statement of Lobbying Activities. conjunction with the project or that the provide a general description of the
Non-governmental applicants must grant funds would support only the supplies necessary to accomplish the
submit the Institute’s Disclosure of portion of the employee’s time that goals and objectives of the grant. In
addition, the applicant should provide application package consisting of Form perform, and how would they be
the basis for the amount requested for A; Form B, if the application is from a accomplished? Which organization or
this expenditure category. State or local court, or a Disclosure of individual would be hired to provide
g. Construction. Construction Lobbying Form, if the applicant is not the assistance, and how was this
expenses are prohibited except for the a unit of State or local government; consultant selected? If a consultant has
limited purposes set forth in section Form C; the Application Abstract; the not yet been identified, what procedures
VI.A.16.b. Any allowable construction Program Narrative; the Budget and criteria would be used to select the
or renovation expense should be Narrative; and any necessary consultant (applicants are expected to
described in detail in the budget appendices. follow their jurisdictions’ normal
narrative. Letters of application may be procedures for procuring consultant
h. Telephone. Applicants should submitted at any time. Applications will services)? What specific tasks would the
include anticipated telephone charges, be considered on a rolling basis. consultant(s) and court staff undertake?
distinguishing between monthly charges Applications received less than 30 days What is the schedule for completion of
and long distance charges in the budget before a quarterly Board meeting will be each required task and the entire
narrative. Also, applicants should considered at the next Board meeting. project? How would the applicant
provide the basis used to calculate the Please mark Project Application on the oversee the project and provide
monthly and long distance estimates. application package envelope and send guidance to the consultant, and who at
i. Postage. Anticipated postage costs it to: State Justice Institute, 1650 King the court or regional court association
for project-related mailings, including Street, Suite 600, Alexandria, VA 22314. would be responsible for coordinating
distribution of the final product(s), Receipt of each application will be all project tasks and submitting
should be described in the budget acknowledged by letter or email. quarterly progress and financial status
narrative. The cost of special mailings, b. Applicants submitting more than reports?
such as for a survey or for announcing one application may include material If the consultant has been identified,
a workshop, should be distinguished that would be identical in each the applicant should provide a letter
from routine operational mailing costs. application in a cover letter. This from that individual or organization
The bases for all postage estimates material will be incorporated by documenting interest in and availability
should be included in the budget reference into each application and for the project, as well as the
narrative. counted against the 25-page limit for the consultant’s ability to complete the
j. Printing/Photocopying. Anticipated program narrative. A copy of the cover assignment within the proposed time
costs for printing or photocopying letter should be attached to each copy frame and for the proposed cost. The
project documents, reports, and of the application. consultant must agree to submit a
publications should be included in the B. Technical Assistance (TA) Grants detailed written report to the court and
budget narrative, along with the bases the Institute upon completion of the
used to calculate these estimates. 1. Application Procedures technical assistance.
k. Indirect Costs. Recoverable indirect For a summary of the application c. Likelihood of Implementation.
costs are limited to no more than 75% procedures for TA Grants, visit the What steps have been or would be taken
of a grantee’s direct personnel costs, i.e. Institute’s Web site to facilitate implementation of the
salaries plus fringe benefits (see section (www.statejustice.org) and click On-Line consultant’s recommendations upon
VII.I.4.). Tutorials, then Technical Assistance completion of the technical assistance?
Applicants should describe the Grant. For example, if the support or
indirect cost rates applicable to the In lieu of formal applications, cooperation of specific court officials or
grant in detail. If costs often included applicants for TA Grants may submit, at committees, other agencies, funding
within an indirect cost rate are charged any time, an original and three copies of bodies, organizations, or a court other
directly (e.g., a percentage of the time of a detailed letter describing the proposed than the applicant would be needed to
senior managers to supervise project project. Letters from individual trial or adopt the changes recommended by the
activities), the applicant should specify appellate courts must be signed by the consultant and approved by the court,
that these costs are not included within presiding judge or manager of that court. how would they be involved in the
its approved indirect cost rate. These Letters from State court systems must be review of the recommendations and
rates must be established in accordance signed by the Chief Justice or State development of the implementation
with section VII.I.4. If the applicant has Court Administrator. Letters from plan?
an indirect cost rate or allocation plan regional court associations must be d. Support for the Project from the
approved by any Federal granting signed by the president of the State Supreme Court or its Designated
agency, a copy of the approved rate association. Agency or Council. If a State or local
agreement must be attached to the court submits a request for technical
application. 2. Application Format assistance, it must include written
l. Match. Applicants that do not Although there is no prescribed form concurrence on the need for the
contemplate making matching for the letter, or a minimum or technical assistance. This concurrence
contributions continuously throughout maximum page limit, letters of may be a copy of SJI Form B (see
the course of the project or on a task-by- application should include the Appendix B) signed by the Chief Justice
task basis must provide a schedule following information: of the State Supreme Court or the Chief
within 30 days after the beginning of the a. Need for Funding. What is the Justice’s designee, or a letter from the
project period indicating at what points critical need facing the applicant? How State Chief Justice or designee. The
during the project period the matching would the proposed technical assistance concurrence may be submitted with the
help the applicant meet this critical applicant’s letter or under separate
contributions would be made (see

sections VI.A.8., and VII.E.1.). need? Why cannot State or local cover prior to consideration of the
resources fully support the costs of the application. The concurrence also must
5. Submission Requirements required consultant services? specify whether the State Supreme
a. Every applicant must submit an b. Project Description. What tasks Court would receive, administer, and
original and three copies of the would the consultant be expected to account for the grant funds, if awarded,
or would designate the local court or a (www.statejustice.org) and click on On- (5) Chief Justice’s Concurrence. Local
specified agency or council to receive Line Tutorials, then Curriculum courts should attach a concurrence form
the funds directly. Adaptation and Training Grant. signed by the Chief Justice of the State
In lieu of formal applications, or his or her designee. (See Appendix B,
3. Budget and Matching State applicants should submit an original Form B.)
Contribution and three photocopies of a detailed b. For training assistance:
A completed Form E, ‘‘Line-Item letter. (1) Need for Funding. What is the
Budget Form’’ (see Appendix C), and 2. Application Format court reform or initiative prompting the
budget narrative must be included with need for training? How would the
the letter requesting technical Although there is no prescribed proposed training help the applicant
assistance. The estimated cost of the format for the letter, or a minimum or implement planned changes at the
technical assistance services should be maximum page limit, letters of court? Why cannot State or local
broken down into the categories listed application should include the resources fully support the costs of the
on the budget form rather than following information: a. For adaptation required training?
aggregated under the Consultant/ of a curriculum:
(1) Project Description. What is the (2) Project Description. What tasks
Contractual category. would the trainer(s) be expected to
The budget narrative should provide title of the model curriculum to be
adapted and who originally developed perform, and how would they be
the basis for all project-related costs, accomplished? Which organization or
including the basis for determining the it? Why is this education program
needed at the present time? What are individual would be hired, if in-house
estimated consultant costs, if personnel are not the trainers, to
compensation of the consultant is the project’s goals? What are the
learning objectives of the adapted provide the training, and how was the
required (e.g., the number of days per trainer selected? If a trainer has not yet
task times the requested daily curriculum? What program components
would be implemented, and what types been identified, what procedures and
consultant rate). Applicants should be criteria would be used to select the
of modifications, if any, are anticipated
aware that consultant rates above $800 trainer? [Note: Applicants are expected
in length, format, learning objectives,
per day must be approved in advance by to follow their jurisdictions’ normal
teaching methods, or content? Who
the Institute, and that no consultant will procedures for procuring consultant
would be responsible for adapting the
be paid more than $1,100 per day from services.] What specific tasks would the
model curriculum? Who would the
Institute funds. In addition, the budget trainer and court staff or regional court
participants be, how many would there
should provide for submission of two association members undertake? What
be, how would they be recruited, and
copies of the consultant’s final report to presentation methods will be used?
from where would they come (e.g., from
the Institute. What is the schedule for completion of
a single local jurisdiction, from across
Recipients of TA Grants do not have each required task and the entire
the State, from a multi-State region,
to submit an audit report but must project? How would the applicant
from across the nation)?
maintain appropriate documentation to oversee the project and provide
(2) Need for Funding. Why are
support expenditures (see section guidance to the trainer, and who at the
sufficient State or local resources
VI.A.3.). court or affiliated with the regional
unavailable to fully support the
4. Submission Requirements modification and presentation of the court association would be responsible
model curriculum? What is the potential for coordinating all project tasks and
Letters of application may be submitting quarterly progress and
submitted at any time. Applications will for replicating or integrating the adapted
curriculum in the future using State or financial status reports?
be considered on a rolling basis. If the trainer has been identified, the
Applications received less than 30 days local funds, once it has been
successfully adapted and tested? applicant should provide a letter from
before a quarterly Board meeting will be that individual or organization
(3) Likelihood of Implementation.
considered at the next Board meeting. documenting interest in and availability
What is the proposed timeline,
If the support or cooperation of for the project, as well as the trainer’s
including the project start and end
agencies, funding bodies, organizations, ability to complete the assignment
dates? On what date(s) would the
or courts other than the applicant would within the proposed time frame and for
judicial branch education program be
be needed in order for the consultant to the proposed cost. The trainer must
presented? What process would be used
perform the required tasks, written agree to submit a detailed written report
to modify and present the program?
assurances of such support or to the court and the Institute upon
Who would serve as faculty, and how
cooperation should accompany the completion of the technical assistance.
were they selected? What measures
application letter. Support letters also (3) Likelihood of Implementation.
would be taken to facilitate subsequent
may be submitted under separate cover; What steps have been or would be taken
presentations of the program? [Note:
however, to ensure that there is to coordinate the implementation of the
Ordinarily, an independent evaluation
sufficient time to bring them to the new reform, initiative, etc. and the
of a curriculum adaptation project is not
attention of the Board’s Technical training to support the same? For
required; however, the results of any
Assistance Grant Committee, letters sent example, if the support or cooperation
evaluation should be included in the
under separate cover must be received of specific court or regional court
final report.]
by the same date as the technical (4) Expressions of Interest by Judges association officials or committees,
assistance request being supported. and/or Court Personnel. Does the other agencies, funding bodies,
C. Curriculum Adaptation and Training proposed program have the support of organizations, or a court other than the
(CAT) Grants the court system or association applicant would be needed to adopt the
leadership, and of judges, court reform and initiate the training

1. Application Procedures managers, and judicial branch education proposed, how would they be involved
For a summary of the application personnel who are expected to attend? in the review of the recommendations
procedures for CAT Grants, visit the [Note: Applicants may demonstrate this and development of the implementation
Institute’s Web site by attaching letters of support.] plan?
(4) Support for the Project from the including taxes). Transportation organization of which the applicant is a
State Supreme Court or its Designated expenses may include round-trip coach member does not qualify as an out-of-
Agency or Council. If a State or local airfare or train fare. Scholarship State educational program for
court submits an application, it must recipients are strongly encouraged to scholarship purposes, even though it
include written concurrence on the take advantage of excursion or other may include workshops or other
need for the technical assistance. This special airfares (e.g., reductions offered training sessions.
concurrence may be a copy of SJI Form when a ticket is purchased 21 days in Applicants are encouraged not to wait
B (see Appendix B) signed by the Chief advance of the travel date) when making for the decision on a scholarship to
Justice of the State Supreme Court or the their travel arrangements. Recipients register for an educational program they
Chief Justice’s designee, or a letter from who drive to a program site may receive wish to attend.
the State Chief Justice or designee. The $.445/mile up to the amount of the
3. Forms
concurrence may be submitted with the advanced-purchase round-trip airfare
applicant’s letter or under separate between their homes and the program a. Scholarship Application—Form S1
cover prior to consideration of the sites. Funds to pay tuition, (Appendix D). The Scholarship
application. The concurrence also must transportation, and lodging expenses in Application requests basic information
specify whether the State Supreme excess of $1,500 and other costs of about the applicant and the educational
Court would receive, administer, and attending the program—such as program the applicant would like to
account for the grant funds, if awarded, conference fees, meals, materials, attend. It also addresses the applicant’s
or would designate the local court or a transportation to and from airports, and commitment to share the skills and
specified agency or council to receive local transportation (including rental knowledge gained with local court
the funds directly. cars)—at the program site must be colleagues and to submit an evaluation
obtained from other sources or borne by of the program the applicant attends.
4. Budget and Matching State the scholarship recipient. Scholarship The Scholarship Application must bear
Contribution applicants are encouraged to check the original signature of the applicant.
Applicants should attach a copy of other sources of financial assistance and Faxed or photocopied signatures will
budget Form E (see Appendix C) and a to combine aid from various sources not be accepted.
budget narrative (see subsection A.4. whenever possible. b. Scholarship Application
above) that describes the basis for the A scholarship is not transferable to Concurrence—Form S2 (Appendix D).
computation of all project-related costs another individual. It may be used only Judges and court managers applying for
and the source of the match offered. for the course specified in the scholarships must submit the written
application unless the applicant’s concurrence of the Chief Justice of the
5. Submission Requirements request to attend a different course that State’s Supreme Court (or the Chief
Letters of application may be meets the eligibility requirements is Justice’s designee) on the Institute’s
submitted at any time. Applications will approved in writing by the Institute. Judicial Education Scholarship
be considered on a rolling basis. Decisions on such requests will be made Concurrence form (see Appendix D).
Applications received less than 30 days within 30 days after the receipt of the The signature of the presiding judge of
before a quarterly Board meeting will be request letter. the applicant’s court cannot be
considered at the next Board meeting. 2. Eligibility Requirements substituted for that of the Chief Justice
For curriculum adaptation requests, or the Chief Justice’s designee. Court
applicants should allow at least 60 days For a summary of the scholarship managers, other than elected clerks of
between the Board meeting and the date award process, visit the Institute’s Web court, also must submit a letter of
of the proposed program to allow site at www.statejustice.org and click on support from their immediate
sufficient time for needed planning. For On-Line Tutorials, then Scholarship. supervisors.
a. Recipients. Scholarships can be
example, a court that plans to conduct 4. Submission Requirements
awarded only to full-time judges of State
an education program in June 2007
or local trial and appellate courts; full- Scholarship applications must be
should submit its application no later
time professional, State, or local court submitted during the periods specified
than 30 days before the Board’s winter
personnel with management below:
(March) meeting.
responsibilities; and supervisory and January 1 and February 23, 2007, for
D. Scholarships management probation personnel in programs beginning between April 1
judicial branch probation offices. Senior and June 30, 2007;
1. Limitations
judges, part-time judges, quasi-judicial April 2 and May 25, 2007 for
An applicant may apply for a hearing officers including referees and programs beginning between July 1 and
scholarship for only one educational commissioners, administrative law September 30, 2007;
program during any given application judges, staff attorneys, law clerks, line July 2 and August 24, 2007 for
cycle. Applicants may not receive more staff, law enforcement officers, and programs beginning between October 1
than one scholarship in a three-year other executive branch personnel are and December 31, 2007; and
period unless the course specifically not eligible to receive a scholarship. October 1 and November 30, 2007 for
assumes multi-year participation or the b. Courses. A scholarship can be programs beginning between January 1
course is part of a graduate degree awarded only for: (1) A course and March 31, 2008.
program in judicial studies in which the presented in a State other than the one No exceptions or extensions will be
applicant is currently enrolled (neither in which the applicant resides or works, granted. Applications sent prior to the
exception should be taken as a or (2) an online course. The course must beginning of an application period will
commitment on the part of the SJI Board be designed to enhance the skills of new be treated as having been sent one week
to approve serial scholarships). or experienced judges and court after the beginning of that application
Scholarship funds may be used only managers; or be offered by a recognized period. All the required items must be
to cover the costs of tuition, graduate program for judges or court received for an application to be
transportation, and reasonable lodging managers. The annual or mid-year considered. If the Concurrence form or
expenses (not to exceed $150 per night, meeting of a State or national letter of support is sent separately from
the application, the postmark date of the (10) The demonstration of cooperation (5) Expressions of interest by the
last item to be sent will be used in and support of other agencies that may judges and/or court personnel who
applying the above criteria. be affected by the project. would be directly involved in or
All applications should be sent by (11) The proposed project’s affected by the project.
mail or courier (not fax or e-mail) to: relationship to one of the Special b. For training assistance:
Scholarship Program Coordinator, State Interest categories set forth in section (1) Whether the training would
Justice Institute, 1650 King Street, Suite III.A. address a critical need of the court or
600, Alexandria, VA 22314. b. In determining which projects to association;
support, the Institute will also consider (2) The soundness of the training
E. Partner Grants whether the applicant is a State court, approach to the problem;
SJI and its funding partners may a national court support or education (3) The qualifications of the trainer(s)
meld, pick and choose, or waive their organization, a non-court unit of to be hired, or the specific criteria that
application procedures, grant cycles, or government, or other type of entity will be used to select the trainer(s);
grant requirements to expedite the eligible to receive grants under the (4) The commitment of the court or
award of jointly-funded grants targeted Institute’s enabling legislation (see association to the training program; and
at emerging or high priority problems section II.); the availability of financial (5) The reasonableness of the
confronting State and local courts. As assistance from other sources for the proposed budget.
often as not, SJI may solicit brief project; the amount of the applicant’s The Institute will also consider factors
proposals from potential grantees to match; the extent to which the proposed such as the reasonableness of the
shop among fellow financial partners as project would also benefit the Federal amount requested, compliance with
a first step. Should SJI be chosen as the courts or help State courts enforce match requirements, diversity of subject
lead grant manager, Project Grant Federal constitutional and legislative matter, geographic diversity, the level of
application procedures will apply to the requirements; and the level of appropriations available in the current
proposed Partner Grant. As with Project appropriations available to the Institute year, and the amount expected to be
Grants, Partner Grants will be targeted at in the current year and the amount available in succeeding fiscal years.
initiatives likely to have a significant expected to be available in succeeding
fiscal years. 4. Scholarships
national impact.
Scholarships will be approved only
V. Application Review Procedures 2. Technical Assistance (TA) Grant
for programs that either (1) enhance the
Applications
A. Preliminary Inquiries skills of judges and court managers; or
TA Grant applications will be rated (2) are part of a graduate degree program
The Institute staff will answer on the basis of the following criteria: for judges or court personnel.
inquiries concerning application a. Whether the assistance would Scholarships will be awarded on the
procedures. The staff contact will be address a critical need of the applicant; basis of:
named in the Institute’s letter or e-mail b. The soundness of the technical a. The date on which the application
acknowledging receipt of the assistance approach to the problem; and concurrence (and support letter, if
application. c. The qualifications of the required) were sent (‘‘first come, first
consultant(s) to be hired, or the specific serve’’);
B. Selection Criteria criteria that will be used to select the b. The unavailability of State or local
1. Project Grant Applications consultant(s); funds or scholarship funds from another
d. The commitment of the court or
a. Project Grant applications will be source to cover the costs of attending
association to act on the consultant’s
rated on the basis of the criteria set forth the program, or participating online;
recommendations; and
below. The Institute will accord the e. The reasonableness of the proposed c. The absence of educational
greatest weight to the following criteria: budget. programs in the applicant’s State
(1) The soundness of the The Institute also will consider factors addressing the topic(s) covered by the
methodology; such as the level and nature of the educational program for which the
(2) The demonstration of need for the match that would be provided, diversity scholarship is being sought;
project; of subject matter, geographic diversity, d. Geographic balance among the
(3) The appropriateness of the the level of appropriations available to recipients;
proposed evaluation design; the Institute in the current year, and the e. The balance of scholarships among
(4) If applicable, the key findings and amount expected to be available in educational providers and programs;
recommendations of the most recent succeeding fiscal years. f. The balance of scholarships among
evaluation and the proposed responses the types of courts and court personnel
to those findings and recommendations; 3. Curriculum Adaptation and Training (trial judge, appellate judge, trial court
(5) The applicant’s management plan (CAT) Grant Applications administrator) represented; and
and organizational capabilities; CAT Grant applications will be rated g. the level of appropriations available
(6) The qualifications of the project’s on the basis of the following criteria: to the Institute in the current year and
staff; a. For curriculum adaptation projects: the amount expected to be available in
(7) The products and benefits (1) The goals and objectives of the succeeding fiscal years.
resulting from the project, including the proposed project; The postmark or courier receipt will
extent to which the project will have (2) The need for outside funding to be used to determine the date on which
long-term benefits for State courts across support the program; the application form and other required
the nation; (3) The appropriateness of the items were sent.
(8) The degree to which the findings, approach in achieving the project’s
procedures, training, technology, or 5. Partner Grants

educational objectives;
other results of the project can be (4) The likelihood of effective It seems probable that the selection
transferred to other jurisdictions; implementation and integration of the criteria for Partner Grants will be driven
(9) The reasonableness of the modified curriculum into ongoing by the collective priorities of the
proposed budget; and educational programming; and ‘‘bankers’ roundtable’’ that forms
around this grant-making opportunity partner’s procedures, a mix of both, or additional policies governing the use of
and the collective assessments of entirely unique procedures. All Partner Institute grant funds. These statutory
roundtable participants regarding the Grants will have to be approved by the and policy requirements are set forth
needs and capabilities of court and Board of Directors on whatever schedule below.
court-related organizations. Having makes sense at the time. A. Recipients of Project Grants
settled on priorities, SJI and its financial
partners will likely contact the courts or D. Return Policy 1. Advocacy
court-related organizations most Unless a specific request is made, No funds made available by the
acceptable as pilots, laboratories, unsuccessful applications will not be Institute may be used to support or
consultants, or the like. Should SJI be returned. Applicants are advised that conduct training programs for the
chosen as the lead grant manager, Institute records are subject to the purpose of advocating particular
Project Grant application review provisions of the Federal Freedom of nonjudicial public policies or
procedures will apply to the proposed Information Act, 5 U.S.C. 552. encouraging nonjudicial political
Partner Grant. E. Notification of Board Decision activities (42 U.S.C. 10706(b)).
C. Review and Approval Process 1. The Institute will send written 2. Approval of Key Staff
1. Project Grant Applications notice to applicants concerning all If the qualifications of an employee or
Board decisions to approve, defer, or consultant assigned to a key project staff
The Institute’s Board of Directors will
deny their respective applications. For position are not described in the
review the applications competitively.
all applications (except scholarships), application or if there is a change of a
The Institute staff will prepare a
the Institute also will convey the key person assigned to such a position, the
narrative summary and a rating sheet
issues and questions that arose during recipient must submit a description of
assigning points for each relevant
the review process. A decision by the the qualifications of the newly assigned
selection criterion. The staff will present
Board to deny an application may not be person to the Institute. Prior written
the narrative summaries and rating
sheets to the Board for its review. The appealed, but it does not prohibit approval of the qualifications of the new
Board will review all application resubmission of a proposal based on person assigned to a key staff position
summaries and decide which projects it that application in a subsequent funding must be received from the Institute
will fund. The decision to fund a project cycle. The Institute will also notify the before the salary or consulting fee of
is solely that of the Board of Directors. State court administrator when grants that person and associated costs may be
The Chairman of the Board will sign are approved by the Board to support paid or reimbursed from grant funds.
approved awards on behalf of the projects that will be conducted by or
involve courts in that State. 3. Audit
Institute.
2. The Institute intends to notify each Recipients of project and continuation
2. Technical Assistance (TA) and scholarship applicant of the Board grants must provide for an annual fiscal
Curriculum Adaptation and Training committee’s decision within 30 days audit which includes an opinion on
(CAT) Grant Applications after the close of the relevant whether the financial statements of the
The Institute staff will prepare a application period. grantee present fairly its financial
narrative summary of each application F. Response to Notification of Approval position and its financial operations are
and a rating sheet assigning points for in accordance with generally accepted
each relevant selection criterion. The With the exception of those approved accounting principles (see section VII.K.
Board of Directors has delegated its for scholarships, applicants have 30 for the requirements of such audits).
authority to approve TA and CAT days from the date of the letter notifying Scholarship recipients, Curriculum
Grants to the committee established for them that the Board has approved their Adaptation and Training Grants, and
each program. The committee will application to respond to any revisions Technical Assistance Grants are not
review the applications competitively. requested by the Board. If the requested required to submit an audit, but they
The Chairman of the Board will sign revisions (or a reasonable schedule for must maintain appropriate
approved awards on behalf of the submitting such revisions) have not documentation to support all
Institute. been submitted to the Institute within expenditures.
30 days after notification, the approval
3. Scholarships may be rescinded and the application 4. Budget Revisions
A committee of the Institute’s Board presented to the Board for Budget revisions among direct cost
of Directors will review scholarship reconsideration. In the event an issue categories that: (a) Transfer grant funds
applications quarterly. The Board of will only be resolved after award, such to an unbudgeted cost category, or (b)
Directors has delegated its authority to as the selection of a consultant, the final individually or cumulatively exceed
approve scholarships to the committee award document will include a Special five percent of the approved original
established for the program. The Condition that will require additional budget or the most recently approved
committee will review the applications grantee reporting and Institute review revised budget require prior Institute
competitively. In the event of a tie vote, and approval. Special Conditions, in the approval. Failure to comply with these
the Chairman will serve as the tie- form of incentives or sanctions, may requirements could result in the
breaker. also be used in situations where past termination of a grantee’s award.
The Chairman of the Board will sign poor performance by a grantee
approved awards on behalf of the necessitates increased grant oversight. 5. Conflict of Interest
Institute. Personnel and other officials
VI. Compliance Requirements connected with Institute-funded
4. Partner Grants The State Justice Institute Act programs must adhere to the following
SJI’s internal process for the review contains limitations and conditions on requirements:
and approval of Partner Grants will grants, contracts, and cooperative a. No official or employee of a
depend upon negotiations with fellow agreements awarded by the Institute. recipient court or organization shall
financiers. SJI may use its procedures, a The Board of Directors has approved participate personally through decision,
approval, disapproval, recommendation, the passage or defeat of any legislation The match requirement may be
the rendering of advice, investigation, or by Federal, State or local legislative waived in exceptionally rare
otherwise in any proceeding, bodies (42 U.S.C. 10706(a)). circumstances upon the request of the
application, request for a ruling or other b. It is the policy of the Board of Chief Justice of the highest court in the
determination, contract, grant, Directors to award funds only to support State or the highest ranking official in
cooperative agreement, claim, applications submitted by organizations the requesting organization and
controversy, or other particular matter that would carry out the objectives of approval by the Board of Directors (42
in which Institute funds are used, their applications in an unbiased U.S.C. 10705(d)). The Board of Directors
where, to his or her knowledge, he or manner. Consistent with this policy and encourages all applicants to provide the
she or his or her immediate family, the provisions of 42 U.S.C. 10706, the maximum amount of cash and in-kind
partners, organization other than a Institute will not knowingly award a match possible, even if a waiver is
public agency in which he or she is grant to an applicant that has, directly approved. The amount and nature of
serving as officer, director, trustee, or through an entity that is part of the match are criteria in the grant selection
partner, or employee or any person or same organization as the applicant, process (see section V.B.1.b.).
organization with whom he or she is advocated a position before Congress on
the specific subject matter of the 9. Nondiscrimination
negotiating or has any arrangement
concerning prospective employment, application. No person may, on the basis of race,
has a financial interest. sex, national origin, disability, color, or
8. Matching Requirements creed be excluded from participation in,
b. In the use of Institute project funds,
an official or employee of a recipient All grantees other than scholarship denied the benefits of, or otherwise
court or organization shall avoid any recipients are required to provide a subjected to discrimination under any
action which might result in or create match. A match is the portion of project program or activity supported by
the appearance of: costs not borne by the Institute. Match Institute funds. Recipients of Institute
(1) Using an official position for includes both cash and in-kind funds must immediately take any
private gain; or contributions. Cash match is the direct measures necessary to effectuate this
(2) affecting adversely the confidence outlay of funds by the grantee or a third provision.
of the public in the integrity of the party to support the project. Examples
of cash match are the dedication of 10. Political Activities
Institute program.
c. Requests for proposals or funds to support a new employee or No recipient may contribute or make
invitations for bids issued by a recipient purchase new equipment to carry out available Institute funds, program
of Institute funds or a subgrantee or the project or the application of project personnel, or equipment to any political
subcontractor will provide notice to income (e.g., tuition or the proceeds of party or association, or the campaign of
prospective bidders that the contractors sales of grant products) generated any candidate for public or party office.
who develop or draft specifications, during the grant period to grant costs. Recipients are also prohibited from
requirements, statements of work, and/ In-kind match consists of using funds in advocating or opposing
or requests for proposals for a proposed contributions of time and/or services of any ballot measure, initiative, or
procurement will be excluded from current staff members, space, supplies, referendum. Officers and employees of
bidding on or submitting a proposal to etc., made to the project by the grantee recipients shall not intentionally
compete for the award of such or others (e.g., advisory board members) identify the Institute or recipients with
procurement. working directly on the project or that any partisan or nonpartisan political
portion of the grantee’s Federally activity associated with a political party
6. Inventions and Patents approved indirect cost rate that exceeds or association, or the campaign of any
If any patentable items, patent rights, the Guideline’s limit of permitted candidate for public or party office (42
processes, or inventions are produced in charges (75% of salaries and benefits). U.S.C. 10706(a)).
the course of Institute-sponsored work, Under normal circumstances,
such fact shall be promptly and fully allowable match may be incurred only 11. Products
reported to the Institute. Unless there is during the project period. When a. Acknowledgment, Logo, and
a prior agreement between the grantee appropriate, and with the prior written Disclaimer. (1) Recipients of Institute
and the Institute on disposition of such permission of the Institute, match may funds must acknowledge prominently
items, the Institute shall determine be incurred from the date of the Board on all products developed with grant
whether protection of the invention or of Directors’ approval of an award. funds that support was received from
discovery shall be sought. The Institute Match does not include the time of the Institute. The ‘‘SJI’’ logo must
will also determine how the rights in participants attending an education appear on the front cover of a written
the invention or discovery, including program. The amount and nature of product, or in the opening frames of a
rights under any patent issued thereon, required match depends on the type video product, unless another
shall be allocated and administered in grant (see section III.). placement is approved in writing by the
order to protect the public interest The grantee is responsible for Institute. This includes final products
consistent with ‘‘Government Patent ensuring that the total amount of match printed or otherwise reproduced during
Policy’’ (President’s Memorandum for proposed is actually contributed. If a the grant period, as well as reprintings
Heads of Executive Departments and proposed contribution is not fully met, or reproductions of those materials
Agencies, February 18, 1983, and the Institute may reduce the award following the end of the grant period. A
statement of Government Patent Policy). amount accordingly, in order to camera-ready logo sheet is available
maintain the ratio originally provided from the Institute upon request.
7. Lobbying for in the award agreement (see section (2) Recipients also must display the
a. Funds awarded to recipients by the VII.E.1.). following disclaimer on all grant

Institute shall not be used, indirectly or The Board of Directors looks favorably products: ‘‘This [document, film,
directly, to influence Executive Orders upon any unrequired match contributed videotape, etc.] was developed under
or similar promulgations by Federal, by applicants when making grant [grant/cooperative agreement] number
State or local agencies, or to influence decisions. SJI-[insert number] from the State
Justice Institute. The points of view others to use, the materials for purposes properly identified, whether the
expressed are those of the [author(s), consistent with the State Justice material is in a verbatim or extensive
filmmaker(s), etc.] and do not Institute Act. paraphrase format.
necessarily represent the official d. Distribution. In addition to the
distribution specified in the grant 12. Prohibition Against Litigation
position or policies of the State Justice
application, grantees shall send: Support
Institute.’’
b. Charges for Grant-Related (1) Fifteen (15) copies of each final No funds made available by the
Products/Recovery of Costs. (1) When product developed with grant funds to Institute may be used directly or
Institute funds fully cover the cost of the Institute, unless the product was indirectly to support legal assistance to
developing, producing, and developed under either a Technical parties in litigation, including cases
disseminating a product (e.g., a report, Assistance or a Curriculum Adaptation involving capital punishment.
curriculum, videotape, or software), the and Training Grant, in which case
13. Reporting Requirements
product should be distributed to the submission of 2 copies is required;
field without charge. When Institute (2) An electronic version of the a. Recipients of Institute funds other
funds only partially cover the product in .html or .pdf format to the than scholarships must submit
development, production, or Institute; and Quarterly Progress and Financial Status
dissemination costs, the grantee may, (3) One copy of each final product Reports within 30 days of the close of
with the Institute’s prior written developed with grant funds to the each calendar quarter (that is, no later
approval, recover its costs for library established in each State to than January 30, April 30, July 30, and
developing, producing, and collect materials prepared with Institute October 30). The Quarterly Progress
disseminating the material to those support. A list of the libraries is Reports shall include a narrative
requesting it, to the extent that those contained in Appendix A. Labels for description of project activities during
costs were not covered by Institute these libraries are available on the the calendar quarter, the relationship
funds or grantee matching Institute’s Web site, between those activities and the task
contributions. www.statejustice.org. schedule and objectives set forth in the
(2) Applicants should disclose their (4) Bound copies of products, rather approved application or an approved
intent to sell grant-related products in than hard copies in ring binders, to SJI adjustment thereto, any significant
the application. Grantees must obtain depository libraries, where possible and problem areas that have developed and
the written prior approval of the cost-effective. Grantees that develop how they will be resolved, and the
Institute of their plans to recover project web-based electronic products must activities scheduled during the next
costs through the sale of grant products. send a hard-copy document to the SJI- reporting period. Failure to comply with
Written requests to recover costs designated libraries and other the requirements of this provision could
ordinarily should be received during the appropriate audiences to alert them to result in the termination of a grantee’s
grant period and should specify the the availability of the Web site or award.
nature and extent of the costs to be electronic product. Recipients of b. The quarterly Financial Status
recouped, the reason that such costs Technical Assistance and Curriculum Report must be submitted in accordance
were not budgeted (if the rationale was Adaptation and Training Grants are not with section VII.H.2. of this Guideline.
not disclosed in the approved required to submit final products to A final project Progress Report and
application), the number of copies to be State libraries. Financial Status Report shall be
sold, the intended audience for the (5) A press release describing the submitted within 90 days after the end
products to be sold, and the proposed project and announcing the results to a of the grant period in accordance with
sale price. If the product is to be sold list of national and State judicial branch section VII.L.1. of this Guideline.
for more than $25, the written request organizations provided by the Institute.
e. Institute Approval. No grant funds 14. Research
also should include a detailed
itemization of costs that will be may be obligated for publication or a. Availability of Research Data for
recovered and a certification that the reproduction of a final product Secondary Analysis. Upon request,
costs were not supported by either developed with grant funds without the grantees must make available for
Institute grant funds or grantee written approval of the Institute. secondary analysis a diskette(s) or data
matching contributions. Grantees shall submit a final draft of tape(s) containing research and
(3) In the event that the sale of grant each written product to the Institute for evaluation data collected under an
products results in revenues that exceed review and approval. The draft must be Institute grant and the accompanying
the costs to develop, produce, and submitted at least 30 days before the code manual. Grantees may recover the
disseminate the product, the revenue product is scheduled to be sent for actual cost of duplicating and mailing or
must continue to be used for the publication or reproduction to permit otherwise transmitting the data set and
authorized purposes of the Institute- Institute review and incorporation of manual from the person or organization
funded project or other purposes any appropriate changes required by the requesting the data. Grantees may
consistent with the State Justice Institute. Grantees must provide for provide the requested data set in the
Institute Act that have been approved by timely reviews by the Institute of format in which it was created and
the Institute (see section VII.G.). videotape, DVD or CD–ROM products at analyzed.
c. Copyrights. Except as otherwise the treatment, script, rough cut, and b. Confidentiality of Information.
provided in the terms and conditions of final stages of development or their Except as provided by Federal law other
an Institute award, a recipient is free to equivalents. than the State Justice Institute Act, no
copyright any books, publications, or f. Original Material. All products recipient of financial assistance from SJI
other copyrightable materials developed prepared as the result of Institute- may use or reveal any research or
in the course of an Institute-supported supported projects must be originally- statistical information furnished under
project, but the Institute shall reserve a developed material unless otherwise the Act by any person and identifiable
royalty-free, nonexclusive and specified in the award documents. to any specific private person for any
irrevocable right to reproduce, publish, Material not originally developed that is purpose other than the purpose for
or otherwise use, and to authorize included in such products must be which the information was obtained.
Such information and copies thereof 17. Suspension or Termination of the preferred qualifications or
shall be immune from legal process, and Funding experience of those selected as faculty,
shall not, without the consent of the After providing a recipient reasonable developed under the grant at the
person furnishing such information, be notice and opportunity to submit conclusion of the grant period, along
admitted as evidence or used for any written documentation demonstrating with a final report that includes any
purpose in any action, suit, or other why fund termination or suspension evaluation results and explains how the
judicial, legislative, or administrative should not occur, the Institute may grantee intends to present the
proceedings. terminate or suspend funding of a educational program in the future, as
c. Human Subject Protection. Human project that fails to comply substantially well as two copies of the consultant’s or
subjects are defined as individuals who with the Act, the Guideline, or the terms trainer’s report.
are participants in an experimental and conditions of the award (42 U.S.C. C. Scholarship Recipients
procedure or who are asked to provide 10708(a)).
information about themselves, their 1. Scholarship recipients are
18. Title to Property responsible for disseminating the
attitudes, feelings, opinions, and/or
experiences through an interview, At the conclusion of the project, title information received from the course to
questionnaire, or other data collection to all expendable and nonexpendable their court colleagues locally and, if
technique. All research involving personal property purchased with possible, throughout the State (e.g., by
human subjects shall be conducted with Institute funds shall vest in the recipient developing a formal seminar, circulating
the informed consent of those subjects court, organization, or individual that the written material, or discussing the
and in a manner that will ensure their purchased the property if certification is information at a meeting or conference).
privacy and freedom from risk or harm made to and approved by the Institute Recipients also must submit to the
and the protection of persons who are that the property will continue to be Institute a certificate of attendance at
not subjects of the research but would used for the authorized purposes of the the program, an evaluation of the
be affected by it, unless such procedures Institute-funded project or other educational program they attended, and
and safeguards would make the research purposes consistent with the State a copy of the notice of any scholarship
impractical. In such instances, the Justice Institute Act. If such certification funds received from other sources. A
Institute must approve procedures is not made or the Institute disapproves copy of the evaluation must be sent to
designed by the grantee to provide such certification, title to all such the Chief Justice of the scholarship
human subjects with relevant property with an aggregate or individual recipient’s State. A State or local
information about the research after value of $1,000 or more shall vest in the jurisdiction may impose additional
their involvement and to minimize or Institute, which will direct the requirements on scholarship recipients.
eliminate risk or harm to those subjects disposition of the property. 2. To receive the funds authorized by
due to their participation. B. Recipients of Technical Assistance a scholarship award, recipients must
(TA) and Curriculum Adaptation and submit a Scholarship Payment Voucher
15. State and Local Court Applications (Form S3) together with a tuition
Training (CAT) Grants
statement from the program sponsor, a
Each application for funding from a Recipients of TA and CAT Grants transportation fare receipt (or statement
State or local court must be approved, must comply with the requirements of the driving mileage to and from the
consistent with State law, by the State’s listed in section VI.A. (except the recipient’s home to the site of the
Supreme Court, or its designated agency requirements pertaining to audits in educational program), and a lodging
or council. The Supreme Court or its subsection A.3. above and product receipt.
designee shall receive, administer, and dissemination and approval in Scholarship Payment Vouchers must
be accountable for all funds awarded on subsection A.11.d. and e. above) and the be submitted within 90 days after the
the basis of such an application (42 reporting requirements below: end of the course which the recipient
U.S.C. 10705(b)(4)).
1. Technical Assistance (TA) Grant attended.
16. Supplantation and Construction Reporting Requirements 3. Scholarship recipients are
encouraged to check with their tax
To ensure that funds are used to Recipients of TA Grants must submit
advisors to determine whether the
supplement and improve the operation to the Institute one copy of a final report
scholarship constitutes taxable income
of State courts, rather than to support that explains how it intends to act on
under Federal and State law.
basic court services, funds shall not be the consultant’s recommendations, as
used for the following purposes: well as two copies of the consultant’s D. Partner Grants
a. To supplant State or local funds written report. The compliance requirements for
supporting a program or activity (such 2. Curriculum Adaptation and Training Partner Grant recipients will depend
as paying the salary of court employees (CAT) Grant Reporting Requirements upon the agreements struck between the
who would be performing their normal grant financiers and between lead
Recipients of CAT Grants must submit
duties as part of the project, or paying financiers and grantees. Should SJI be
one copy of the agenda or schedule,
rent for space which is part of the the lead, the compliance requirements
outline of presentations and/or relevant
court’s normal operations); for Project Grants will apply.
instructor’s notes, copies of overhead
b. To construct court facilities or transparencies, power point VII. Financial Requirements
structures, except to remodel existing presentations, or other visual aids,
facilities or to demonstrate new exercises, case studies and other A. Purpose
architectural or technological background materials, hypotheticals, The purpose of this section is to
techniques, or to provide temporary quizzes, and other materials involving establish accounting system
facilities for new personnel or for the participants, manuals, handbooks, requirements and offer guidance on
personnel involved in a demonstration conference packets, evaluation forms, procedures to assist all grantees,
or experimental program; or and suggestions for replicating the subgrantees, contractors, and other
c. Solely to purchase equipment. program, including possible faculty or organizations in:
1. Complying with the statutory financial records, and refunding D. Accounting System
requirements for the award, expenditures disallowed by audits. The grantee is responsible for
disbursement, and accounting of funds; establishing and maintaining an
2. Responsibilities of State Supreme
2. Complying with regulatory adequate system of accounting and
Court
requirements of the Institute for the internal controls and for ensuring that
financial management and disposition a. Each application for funding from an adequate system exists for each of its
of funds; a State or local court must be approved, subgrantees and contractors. An
3. Generating financial data to be used consistent with State law, by the State’s acceptable and adequate accounting
in planning, managing, and controlling Supreme Court, or its designated agency system:
projects; and or council. 1. Properly accounts for receipt of
4. Facilitating an effective audit of funds under each grant awarded and the
b. The State Supreme Court or its
funded programs and projects. expenditure of funds for each grant by
designee shall receive all Institute funds
B. References awarded to such courts; be responsible category of expenditure (including
for assuring proper administration of matching contributions and project
Except where inconsistent with
Institute funds; and be responsible for income);
specific provisions of this Guideline, the
all aspects of the project, including 2. Assures that expended funds are
following circulars are applicable to
proper accounting and financial record- applied to the appropriate budget
Institute grants and cooperative
keeping by the subgrantee. These category included within the approved
agreements under the same terms and
responsibilities include: grant;
conditions that apply to Federal
(1) Reviewing Financial Operations. 3. Presents and classifies historical
grantees. The circulars supplement the
The State Supreme Court or its designee costs of the grant as required for
requirements of this section for
should be familiar with, and budgetary and evaluation purposes;
accounting systems and financial
periodically monitor, its subgrantees’ 4. Provides cost and property controls
record-keeping and provide additional
financial operations, records system, to assure optimal use of grant funds;
guidance on how these requirements
and procedures. Particular attention 5. Is integrated with a system of
may be satisfied (circulars may be
should be directed to the maintenance internal controls adequate to safeguard
obtained on the OMB Web site at
of current financial data. the funds and assets covered, check the
www.whitehouse.gov/omb).
accuracy and reliability of the
1. Office of Management and Budget (2) Recording Financial Activities. accounting data, promote operational
(OMB) Circular A–21, Cost Principles The subgrantee’s grant award or contract efficiency, and assure conformance with
for Educational Institutions. obligation, as well as cash advances and
2. Office of Management and Budget any general or special conditions of the
other financial activities, should be grant;
(OMB) Circular A–87, Cost Principles recorded in the financial records of the
for State and Local Governments. 6. Meets the prescribed requirements
State Supreme Court or its designee in for periodic financial reporting of
3. Office of Management and Budget summary form. Subgrantee expenditures
(OMB) Circular A–88, Indirect Cost operations; and
should be recorded on the books of the 7. Provides financial data for
Rates, Audit and Audit Follow-up at State Supreme Court or evidenced by
Educational Institutions. planning, control, measurement, and
report forms duly filed by the evaluation of direct and indirect costs.
4. Office of Management and Budget subgrantee. Matching contributions
(OMB) Circular A–102, Uniform provided by subgrantees should E. Total Cost Budgeting and Accounting
Administrative Requirements for likewise be recorded, as should any Accounting for all funds awarded by
Grants-in-Aid to State and Local project income resulting from program the Institute must be structured and
Governments. operations. executed on a Total Project Cost basis.
5. Office of Management and Budget
(3) Budgeting and Budget Review. The That is, total project costs, including
(OMB) Circular A–110, Grants and
State Supreme Court or its designee Institute funds, State and local matching
Agreements with Institutions of Higher
should ensure that each subgrantee shares, and any other fund sources
Education, Hospitals and Other Non-
prepares an adequate budget as the basis included in the approved project budget
Profit Organizations.
for its award commitment. The State serve as the foundation for fiscal
Supreme Court should maintain the administration and accounting. Grant
(OMB) Circular A–122, Cost Principles
details of each project budget on file. applications and financial reports
for Non-profit Organizations.
(4) Accounting for Match. The State require budget and cost estimates on the
Supreme Court or its designee will basis of total costs.
(OMB) Circular A–128, Audits of State
and Local Governments. ensure that subgrantees comply with the 1. Timing of Matching Contributions
8. Office of Management and Budget match requirements specified in this
Guideline (see section VI.A.8.). Matching contributions need not be
(OMB) Circular A–133, Audits of applied at the exact time of the
Institutions of Higher Education and (5) Audit Requirement. The State obligation of Institute funds. Ordinarily,
Other Non-profit Institutions. Supreme Court or its designee is the full matching share must be
C. Supervision and Monitoring required to ensure that subgrantees meet obligated during the award period;
Responsibilities the necessary audit requirements set however, with the written permission of
forth by the Institute (see sections K. the Institute, contributions made
1. Grantee Responsibilities below and VI.A.3.). following approval of the grant by the
All grantees receiving awards from (6) Reporting Irregularities. The State Institute’s Board of Directors but before
the Institute are responsible for the Supreme Court, its designees, and its the beginning of the grant may be
management and fiscal control of all subgrantees are responsible for counted as match. Grantees that do not
funds. Responsibilities include promptly reporting to the Institute the contemplate making matching
accounting for receipts and nature and circumstances surrounding contributions continuously throughout
expenditures, maintaining adequate any financial irregularities discovered. the course of a project, or on a task-by-
task basis, are required to submit a 3. Maintenance 4. Income From the Sale of Grant
schedule within 30 days after the Products
beginning of the project period Grantees and subgrantees are
expected to see that records of different If the sale of products occurs during
indicating at what points during the the project period, the income may be
project period the matching fiscal years are separately identified and
maintained so that requested treated as cash match with the prior
contributions will be made. If a written approval of the Institute. The
proposed cash or in-kind match is not information can be readily located.
Grantees and subgrantees are also costs and income generated by the sales
fully met, the Institute may reduce the must be reported on the Quarterly
award amount accordingly to maintain obligated to protect records adequately
against fire or other damage. When Financial Status Reports and
the ratio of grant funds to matching documented in an auditable manner.
funds stated in the award agreement. records are stored away from the
grantee’s/subgrantee’s principal office, a Whenever possible, the intent to sell a
2. Records for Match written index of the location of stored product should be disclosed in the
records should be on hand, and ready application or reported to the Institute
All grantees must maintain records
access should be assured. in writing once a decision to sell
that clearly show the source, amount,
products has been made. The grantee
and timing of all matching
4. Access must request approval to recover its
contributions. In addition, if a project
product development, reproduction,
has included, within its approved Grantees and subgrantees must give and dissemination costs as specified in
budget, contributions which exceed the any authorized representative of the section VI.A.11.b.
required matching portion, the grantee Institute access to and the right to
must maintain records of those examine all records, books, papers, and 5. Other
contributions in the same manner as it documents related to an Institute grant. Other project income shall be treated
does Institute funds and required in accordance with disposition
matching shares. For all grants made to G. Project-Related Income
instructions set forth in the grant’s terms
State and local courts, the State and conditions.
Records of the receipt and disposition
Supreme Court has primary
of project-related income must be H. Payments and Financial Reporting
responsibility for grantee/subgrantee
maintained by the grantee in the same Requirements
compliance with the requirements of
manner as required for the project funds
this section (see subsection C.2. above). 1. Payment of Grant Funds
that gave rise to the income and must be
F. Maintenance and Retention of reported to the Institute (see subsection The procedures and regulations set
Records H.2. below). The policies governing the forth below are applicable to all
All financial records, including disposition of the various types of Institute grant funds and grantees.
supporting documents, statistical project-related income are listed below. a. Request for Advance or
records, and all other information Reimbursement of Funds. Grantees will
1. Interest
pertinent to grants, subgrants, receive funds on a ‘‘check-issued’’ basis.
cooperative agreements, or contracts A State and any agency or Upon receipt, review, and approval of a
under grants, must be retained by each instrumentality of a State, including Request for Advance or Reimbursement
organization participating in a project institutions of higher education and by the Institute, a check will be issued
for at least three years for purposes of hospitals, shall not be held accountable directly to the grantee or its designated
examination and audit. State Supreme for interest earned on advances of fiscal agent. A request must be limited
Courts may impose record retention and project funds. When funds are awarded to the grantee’s immediate cash needs.
maintenance requirements in addition to subgrantees through a State, the The Request for Advance or
to those prescribed in this section. subgrantees are not held accountable for Reimbursement, along with the
interest earned on advances of project instructions for its preparation, will be
1. Coverage included in the official Institute award
funds. Local units of government and
The retention requirement extends to nonprofit organizations that are grantees package.
books of original entry, source must refund any interest earned. b. Termination of Advance and
documents supporting accounting Grantees shall ensure minimum Reimbursement Funding. When a
transactions, the general ledger, balances in their respective grant cash grantee organization receiving cash
subsidiary ledgers, personnel and accounts. advances from the Institute:
payroll records, canceled checks, and (1) Demonstrates an unwillingness or
related documents and records. Source 2. Royalties inability to attain program or project
documents include copies of all grant goals, or to establish procedures that
The grantee/subgrantee may retain all will minimize the time elapsing
and subgrant awards, applications, and
royalties received from copyrights or between cash advances and
required grantee/subgrantee financial
other works developed under projects or disbursements, or cannot adhere to
and narrative reports. Personnel and
from patents and inventions, unless the guideline requirements or special
payroll records shall include the time
terms and conditions of the grant conditions;
and attendance reports for all
provide otherwise. (2) Engages in the improper award
individuals reimbursed under a grant,
subgrant or contract, whether they are 3. Registration and Tuition Fees and administration of subgrants or
employed full-time or part-time. Time contracts; or
and effort reports are required for Registration and tuition fees may be (3) Is unable to submit reliable and/
considered as cash match with the prior or timely reports; the Institute may
consultants.
written approval of the Institute. terminate advance financing and require
2. Retention Period Estimates of registration and tuition the grantee organization to finance its
The three-year retention period starts fees, and any expenses to be offset by operations with its own working capital.
from the date of the submission of the the fees, should be included in the Payments to the grantee shall then be
final expenditure report. application budget forms and narrative. made by check to reimburse the grantee
for actual cash disbursements. In the 2. Costs Requiring Prior Approval during the preceding two years by any
event the grantee continues to be a. Pre-agreement Costs. The written Federal granting agency on the basis of
deficient, the Institute may suspend prior approval of the Institute is allocation methods substantially in
reimbursement payments until the required for costs considered necessary accord with those set forth in the
deficiencies are corrected. In extreme but which occur prior to the start date applicable cost circulars must be
cases, grants may be terminated. of the project period. submitted to the Institute.
c. Principle of Minimum Cash on b. Equipment. Grant funds may be (2) Where flat rates are accepted in
Hand. Grantees should request funds used to purchase or lease only that lieu of actual indirect costs, grantees
based upon immediate disbursement equipment essential to accomplishing may not also charge expenses normally
requirements. Grantees should time the goals and objectives of the project. included in overhead pools, e.g.,
their requests to ensure that cash on The written prior approval of the accounting services, legal services,
hand is the minimum needed for Institute is required when the amount of building occupancy and maintenance,
disbursements to be made immediately automated data processing (ADP) etc., as direct costs.
or within a few days. equipment to be purchased or leased
b. Establishment of Indirect Cost
2. Financial Reporting exceeds $10,000 or software to be
Rates. To be reimbursed for indirect
purchased exceeds $3,000.
a. General Requirements. To obtain costs, a grantee must first establish an
c. Consultants. The written prior
financial information concerning the appropriate indirect cost rate. To do
approval of the Institute is required
use of funds, the Institute requires that this, the grantee must prepare an
when the rate of compensation to be
grantees/subgrantees submit timely indirect cost rate proposal and submit it
paid a consultant exceeds $800 a day.
reports for review. to the Institute within three months
Institute funds may not be used to pay
b. Due Dates and Contents. A after the start of the grant period to
a consultant more than $1,100 per day.
Financial Status Report is required from assure recovery of the full amount of
d. Budget Revisions. Budget revisions
all grantees, other than scholarship allowable indirect costs. The rate must
among direct cost categories that (i)
recipients, for each active quarter on a be developed in accordance with
transfer grant funds to an unbudgeted
calendar-quarter basis. This report is principles and procedures appropriate
cost category or (ii) individually or
due within 30 days after the close of the to the type of grantee institution
cumulatively exceed five percent (5%)
calendar quarter. It is designed to involved as specified in the applicable
of the approved original budget or the
provide financial information relating to OMB Circular.
most recently approved revised budget
Institute funds, State and local matching
require prior Institute approval (see c. No Approved Plan. If an indirect
shares, project income, and any other
section VIII.A.1.). cost proposal for recovery of indirect
sources of funds for the project, as well
as information on obligations and 3. Travel Costs costs is not submitted to the Institute
outlays. A copy of the Financial Status within three months after the start of the
Transportation and per diem rates grant period, indirect costs will be
Report, along with instructions for its must comply with the policies of the
preparation, is included in each official irrevocably disallowed for all months
grantee. If the grantee does not have an prior to the month that the indirect cost
Institute Award package. If a grantee established written travel policy, then
requests substantial payments for a proposal is received.
travel rates must be consistent with
project prior to the completion of a those established by the Institute or the J. Procurement and Property
given quarter, the Institute may request Federal Government. Institute funds Management Standards
a brief summary of the amount may not be used to cover the
requested, by object class, to support the 1. Procurement Standards
transportation or per diem costs of a
Request for Advance or Reimbursement. member of a national organization to For State and local governments, the
3. Consequences of Non-Compliance attend an annual or other regular Institute has adopted the standards set
With Submission Requirement meeting of that organization. forth in Attachment O of OMB Circular
Failure of the grantee to submit 4. Indirect Costs A–102. Institutions of higher education,
required financial and progress reports hospitals, and other non-profit
These are costs of an organization that organizations will be governed by the
may result in suspension or termination are not readily assignable to a particular
of grant payments. standards set forth in Attachment O of
project but are necessary to the OMB Circular A–110.
I. Allowability of Costs operation of the organization and the
performance of the project. The cost of 2. Property Management Standards
1. General operating and maintaining facilities,
Except as may be otherwise provided depreciation, and administrative The property management standards
in the conditions of a particular grant, salaries are examples of the types of as prescribed in Attachment N of OMB
cost allowability is determined in costs that are usually treated as indirect Circulars A–102 and A–110 apply to all
accordance with the principles set forth costs. Although the Institute’s policy Institute grantees and subgrantees
in OMB Circulars A–21, Cost Principles requires all costs to be budgeted except as provided in section VI.A.18.
Applicable to Grants and Contracts with directly, it will accept indirect costs if All grantees/subgrantees are required to
Educational Institutions; A–87, Cost a grantee has an indirect cost rate be prudent in the acquisition and
Principles for State and Local approved by a Federal agency as set management of property with grant
Governments; and A–122, Cost forth below. However, recoverable funds. If suitable property required for
Principles for Non-profit Organizations. indirect costs are limited to no more the successful execution of projects is
No costs may be recovered to liquidate than 75% of a grantee’s direct personnel already available within the grantee or
obligations incurred after the approved costs (salaries plus fringe benefits). subgrantee organization, expenditures of
grant period. Circulars may be obtained a. Approved Plan Available. (1) A grant funds for the acquisition of new
on the OMB Web site at copy of an indirect cost rate agreement property will be considered
www.whitehouse.gov/omb. or allocation plan approved for a grantee unnecessary.
K. Audit Requirements indicate the exact balance of A. Grant Adjustments Requiring Prior
unobligated funds. Any unobligated/ Written Approval
1. Implementation
unexpended funds will be deobligated
Each recipient of a Project Grant must The following grant adjustments
from the award by the Institute. Final
provide for an annual fiscal audit. This require the prior written approval of the
payment requests for obligations
requirement also applies to a State or Institute:
incurred during the award period must
local court receiving a subgrant from the be submitted to the Institute prior to the 1. Budget revisions among direct cost
State Supreme Court. The audit may be end of the 90-day close-out period. categories that (a) transfer grant funds to
of the entire grantee or subgrantee Grantees on a check-issued basis, who an unbudgeted cost category or (b)
organization or of the specific project have drawn down funds in excess of individually or cumulatively exceed
funded by the Institute. Audits their obligations/expenditures, must five percent (5%) of the approved
conducted in accordance with the return any unused funds as soon as it is original budget or the most recently
Single Audit Act of 1984 and OMB determined that the funds are not approved revised budget (see section
Circular A–128, or OMB Circular A–133, required. In no case should any unused VII.I.2.d.).
will satisfy the requirement for an funds remain with the grantee beyond 2. A change in the scope of work to
annual fiscal audit. The audit must be the submission date of the final be performed or the objectives of the
conducted by an independent Certified Financial Status Report. project (see subsection D. below).
Public Accountant, or a State or local 3. A change in the project site.
agency authorized to audit government b. Final Progress Report. This report
should describe the project activities 4. A change in the project period,
agencies. Grantees must send two copies such as an extension of the grant period
of the audit report to the Institute. during the final calendar quarter of the
project and the close-out period, and/or extension of the final financial or
Grantees that receive funds from a progress report deadline (see subsection
Federal agency and satisfy audit including to whom project products
have been disseminated; provide a E. below).
requirements of the cognizant Federal
summary of activities during the entire 5. Satisfaction of special conditions, if
agency must submit two copies of the
project; specify whether all the required.
audit report prepared for that Federal
agency to the Institute in order to satisfy objectives set forth in the approved 6. A change in or temporary absence
the provisions of this section. application or an approved adjustment of the project director (see subsections
have been met and, if any of the F. and G. below).
2. Resolution and Clearance of Audit objectives have not been met, explain 7. The assignment of an employee or
Reports why not; and discuss what, if anything, consultant to a key staff position whose
Timely action on recommendations could have been done differently that qualifications were not described in the
by responsible management officials is might have enhanced the impact of the application, or a change of a person
an integral part of the effectiveness of an project or improved its operation. assigned to a key project staff position
audit. Each grantee must have policies These reporting requirements apply at (see section VI.A.2.).
and procedures for acting on audit the conclusion of every grant other than 8. A change in or temporary absence
recommendations by designating a scholarship. of the person responsible for managing
officials responsible for: (1) Follow-up, and reporting on the grant’s finances.
(2) maintaining a record of the actions 2. Extension of Close-Out Period 9. A change in the name of the grantee
taken on recommendations and time organization.
schedules, (3) responding to and acting Upon the written request of the
grantee, the Institute may extend the 10. A transfer or contracting out of
on audit recommendations, and (4) grant-supported activities (see
submitting periodic reports to the close-out period to assure completion of
the grantee’s close-out requirements. subsection H. below).
Institute on recommendations and
Requests for an extension must be 11. A transfer of the grant to another
actions taken.
submitted at least 14 days before the recipient.
3. Consequences of Non-Resolution of end of the close-out period and must 12. Preagreement costs (see section
Audit Issues explain why the extension is necessary VII.I.2.a.).
Ordinarily, the Institute will not make and what steps will be taken to assure 13. The purchase of automated data
a subsequent grant award to an that all the grantee’s responsibilities processing equipment and software (see
applicant that has an unresolved audit will be met by the end of the extension section VII.I.2.b.).
report involving Institute awards. period. 14. Consultant rates (see section
Failure of the grantee to resolve audit VII.I.2.c.).
VIII. Grant Adjustments
questions may also result in the 15. A change in the nature or number
suspension or termination of payments All requests for programmatic or of the products to be prepared or the
for active Institute grants to that budgetary adjustments requiring manner in which a product would be
organization. Institute approval must be submitted by distributed.
L. Close-Out of Grants the project director in a timely manner
B. Requests for Grant Adjustments
(ordinarily 30 days prior to the
1. Grantee Close-Out Requirements implementation of the adjustment being All grantees must promptly notify
Within 90 days after the end date of requested). All requests for changes their SJI program managers, in writing,
the grant or any approved extension from the approved application will be of events or proposed changes that may
thereof (see subsection L.2. below), the carefully reviewed for both consistency require adjustments to the approved
following documents must be submitted with this Guideline and the project design. In requesting an
to the Institute by grantees (other than enhancement of grant goals and adjustment, the grantee must set forth
scholarship recipients): objectives. Failure to submit the reasons and basis for the proposed
a. Financial Status Report. The final adjustments in a timely manner may adjustment and any other information
report of expenditures must have no result in the termination of a grantee’s the program manager determines would
unliquidated obligations and must award. help the Institute’s review.
C. Notification of Approval/Disapproval qualifications of the proposed Kevin Linskey, Executive Director (ex
If the request is approved, the grantee individual are not approved in advance officio).
will be sent a Grant Adjustment signed by the Institute.
Kevin Linskey,
by the Executive Director or his or her H. Transferring or Contracting Out of Executive Director.
designee. If the request is denied, the Grant-Supported Activities
grantee will be sent a written Appendix A—SJI Libraries: Designated
explanation of the reasons for the No principal activity of a grant- Sites and Contacts
denial. supported project may be transferred or Alabama
D. Changes in the Scope of the Grant contracted out to another organization
Supreme Court Library
without specific prior approval by the
Major changes in scope, duration, Mr. Timothy A. Lewis, State Law Librarian,
Institute. All such arrangements must be
training methodology, or other Alabama Supreme Court, Judicial Building,
significant areas must be approved in formalized in a contract or other written
300 Dexter Avenue, Montgomery, AL
advance by the Institute. A grantee may agreement between the parties involved. 36104, (334) 242–4347,
make minor changes in methodology, Copies of the proposed contract or director@alalinc.net
approach, or other aspects of the grant agreement must be submitted for prior
Alaska
to expedite achievement of the grant’s approval of the Institute at the earliest
objectives with subsequent notification possible time. The contract or agreement Anchorage Law Library
of the SJI program manager. must state, at a minimum, the activities Ms. Cynthia S. Fellows, State Law Librarian,
to be performed, the time schedule, the Alaska State Court Law Library, 303 K
E. Date Changes Street, Anchorage, AK 99501, (907) 264–
policies and procedures to be followed,
A request to change or extend the the dollar limitation of the agreement, 0583, cfellows@courts.state.ak.us
grant period must be made at least 30 and the cost principles to be followed in Arizona
days in advance of the end date of the determining what costs, both direct and
grant. A revised task plan should Supreme Court Library
indirect, will be allowed. The contract
accompany a request for an extension of or other written agreement must not Ms. Lani Orosco, Staff Assistant, Arizona
the grant period, along with a revised Supreme Court, Staff Attorney’s Office,
affect the grantee’s overall responsibility
budget if shifts among budget categories Library, 1501 W. Washington, Suite 445,
for the direction of the project and Phoenix, AZ 85007, (602) 542–5028,
will be needed. A request to change or
extend the deadline for the final accountability to the Institute. lorosco@supreme.sp.state.az.us
financial report or final progress report State Justice Institute Board of Arkansas
must be made at least 14 days in Directors
advance of the report deadline (see Administrative Office of the Courts
section VII.L.2.). Robert A. Miller, Chairman, Chief Mr. James D. Gingerich, Director,
Justice (ret.), Supreme Court of South Administrative Office of the Courts,
F. Temporary Absence of the Project Supreme Court of Arkansas, Justice
Director Dakota, Pierre, SD.
Building, 625 Marshall Street, Little Rock,
Whenever an absence of the project Joseph F. Baca, Vice-Chairman, Chief AR 72201, (501) 682–9400,
director is expected to exceed a Justice (ret.), New Mexico Supreme jd.gingerich@mail.state.ar.us
continuous period of one month, the Court, Albuquerque, NM.
California
plans for the conduct of the project Sandra A. O’Connor, Secretary, States
Administrative Office of the Courts
director’s duties during such absence Attorney of Baltimore County,
must be approved in advance by the Towson, MD. Mr. William C. Vickrey, Administrative
Institute. This information must be Director of the Courts, Administrative
Keith McNamara, Esq., Executive Office of the Courts, 455 Golden Gate
provided in a letter signed by an Committee Member, McNamara & Avenue, San Francisco, CA 94102, (415)
authorized representative of the grantee/
McNamara, Columbus, OH. 865–4235, william.vickrey@jud.ca.gov
subgrantee at least 30 days before the
departure of the project director, or as Terrence B. Adamson, Esq., Executive Colorado
soon as it is known that the project Vice-President, The National
director will be absent. The grant may Geographic Society, Washington, DC.
Ms. Linda Gruenthal, Deputy Supreme Court
be terminated if arrangements are not Robert N. Baldwin, Executive Vice Law Librarian, 2 East 14th Avenue, Denver,
approved in advance by the Institute. President and General Counsel, CO 80203, (303) 837–3720,
G. Withdrawal of/Change in Project National Center for State Courts, cscltech@state.co.us
Director Richmond, VA. Connecticut
If the project director relinquishes or Carlos R. Garza, Esq., Administrative
State Library
expects to relinquish active direction of Judge (ret.), Round Rock, TX.
Ms. Denise D. Jernigan, Law Librarian,
the project, the Institute must be Sophia H. Hall, Administrative Connecticut State Library, 231 Capitol
notified immediately. In such cases, if Presiding Judge, Circuit Court of Cook Avenue, Hartford, CT 06106, (860) 757–
the grantee/subgrantee wishes to County, Chicago, IL. 6598, djernigan@cslib.org
terminate the project, the Institute will
forward procedural instructions upon Tommy Jewell, Presiding Children’s Delaware
notification of such intent. If the grantee Court Judge (ret.), Albuquerque, NM.
wishes to continue the project under the Arthur A. McGiverin, Chief Justice (ret.),
Mr. Michael E. McLaughlin, Deputy Director,

direction of another individual, a Supreme Court of Iowa, Ottumwa, IA. Administrative Office of the Courts, Carvel
statement of the candidate’s State Office Building, 820 North French
qualifications should be sent to the Street, 11th Floor, P.O. Box 8911,
Institute for review and approval. The Wilmington, DE 19801, (302) 577–8481
grant may be terminated if the michael.mclaughlin@state.de.us
District of Columbia Kentucky the Courts/Probation, 521 South 14th St.,

Suite 200, Lincoln, NE 68508–2707, (402)
Executive Office, District of Columbia Courts State Law Library 471–3072 (office)/(402) 471–3071 (fax),
Ms. Anne B. Wicks, Executive Officer, Ms. Vida Vitagliano, Cataloging and Research pgould@nsc.state.ne.us
District of Columbia Courts, 500 Indiana Librarian, Kentucky Supreme Court
Library, 700 Capitol Avenue, Suite 200, Nevada
Avenue, NW., Suite 1500, Washington, DC
20001, (202) 879–1700, Wicksab@dcsc.gov Frankfort, KY 40601, (502) 564–4185, National Judicial College
vidavitagliano@mail.aoc.state.ky.us
Florida Mr. Randall Snyder, Law Librarian, National
Louisiana Judicial College, Judicial College Building,
Administrative Office of the Courts MS 358, Reno, NV 89557, (775) 327–8278,
State Law Library snyder@judges.org
Ms. Elisabeth H. Goodner, State Courts
Ms. Carol Billings, Director, Louisiana Law
Administrator, Office of the State Courts New Hampshire
Library, Louisiana Supreme Court
Administrator, Florida Supreme Court, Building, 400 Royal Street, New Orleans,
Supreme Court Building, 500 South Duval New Hampshire Law Library
LA 70130, (504) 310–2401,
Street, Tallahassee, FL 32399, (850) 922– Ms. Mary Searles, Technical Services Law
cbillings@lasc.org
5081, goodnerl@flcourts.org Librarian, New Hampshire Law Library,
Maine Supreme Court Building, One Noble Drive,
Georgia Concord, NH 03301–6160, (603) 271–3777,
State Law and Legislative Reference Library msearles@courts.state.nh.us
Ms. Lynn E. Randall, State Law Librarian, 43
Mr. David Ratley, Director, Administrative State House Station, Augusta, ME 04333, New Jersey
Office of the Courts, 244 Washington (207) 287–1600, New Jersey State Library
Street, S.W., Suite 300, Atlanta, GA 30334, lynn.randall@legislature.maine.gov
Mr. Thomas O’Malley, Supervising Law
(404) 656–5171, ratleydl@gaaoc.us
Maryland Librarian, New Jersey State Law Library,
Hawaii 185 West State Street, P.O. Box 520,
State Law Library Trenton, NJ 08625–0250, (609) 292–6230,
Supreme Court Library Mr. Steve Anderson, Director, Maryland State tomalley@njstatelib.org
Ms. Ann Koto, State Law Librarian, The Law Library, Court of Appeal Building, 361
Rowe Boulevard, Annapolis, MD 21401, New Mexico
Supreme Court Law Library, 417 South
King St., Room 119, Honolulu, HI 96813, (410) 260–1430, Supreme Court Library
(808) 539–4964, steve.anderson@courts.state.md.us
Mr. Thaddeus Bejnar, Librarian, Supreme
Ann.S.Koto@courts.state.hi.us Massachusetts Court Library, Post Office Drawer L, Santa
Idaho Fe, NM 87504, (505) 827–4850
Middlesex Law Library
Ms. Linda Hom, Librarian, Middlesex Law New York
AOC Judicial Education Library/State Law
Library Library, Superior Court House, 40 Supreme Court Library
Mr. Richard Visser, State Law Librarian, Thorndike Street, Cambridge, MA 02141,
Ms. Barbara Briggs, Law Librarian, Syracuse
(617) 494–4148, midlawlib@yahoo.com
Idaho State Law Library, Supreme Court Supreme Court Law Library, 401
Building, 451 West State St., Boise, ID Michigan Montgomery Street, Syracuse, NY 13202,
83720, (208) 334–3316, (315) 671–1150, bbriggs@courts.state.ny.us
Michigan Judicial Institute
lawlibrary@isc.state.id.us North Carolina
Dawn F. McCarty, Director, Michigan Judicial
Illinois Institute, P.O. Box 30205, Lansing, MI Supreme Court Library
Supreme Court Library 48909, (517) 373–7509,
Mr. Thomas P. Davis, Librarian, North
mccartyd@courts.mi.gov
Ms. Brenda Larison, Supreme Court of Carolina Supreme Court Library, 500
Illinois Library, 200 East Capitol Avenue, Minnesota Justice Building, 2 East Morgan Street,
Springfield, IL 62701–1791, (217) 782– Raleigh, NC 27601, (919) 733–3425,
State Law Library (Minnesota Judicial Center) tpd@sc.state.nc.us
2425, blarison@court.state.il.us
Ms. Barbara L. Golden, State Law Librarian,
Indiana G25 Minnesota Judicial Center, 25 Rev. Dr. North Dakota
Martin Luther King Jr. Boulevard, St. Paul, Supreme Court Library
MN 55155, (612) 297–2089,
Ms. Terri L. Ross, Supreme Court Librarian, Ms. Marcella Kramer, Assistant Law
barb.golden@courts.state.mn.us
Librarian, Supreme Court Law Library, 600
Supreme Court Library, State House, Room
Mississippi East Boulevard Avenue, Dept. 182, 2nd
316, Indianapolis, IN 46204, (317) 232–
Floor, Judicial Wing, Bismarck, ND 58505–
2557, tross@courts.state.in.us Mississippi Judicial College 0540, (701) 328–2229,
Iowa Hon. Leslie G. Johnson, Executive Director, mkramer@ndcourts.com
Mississippi Judicial College, P.O. Box
Administrative Office of the Court 8850, University, MS 38677, (662) 915– Northern Mariana Islands
Dr. Jerry K. Beatty, Director of Judicial 5955, lwleslie@olemiss.edu Supreme Court of the Northern Mariana
Branch Education, Iowa Judicial Branch, Montana Islands
Iowa Judicial Branch Building, 1111 East Ms. Margarita M. Palacios, Director of Courts,
Court Avenue, Des Moines, IA 50319, (515) State Law Library Supreme Court of the Commonwealth of
242–0190, jerry.beatty@jb.state.ia.us Ms. Judith Meadows, State Law Librarian, the Northern Mariana Islands, P.O. Box
Kansas State Law Library of Montana, P.O. Box 502165, Saipan, MP 96950, (670) 235–
203004, Helena, MT 59620, (406) 444– 9700, supremecourt@saipan.com
3660, jmeadows@state.mt.us
Ohio
Mr. Fred Knecht, Law Librarian, Kansas Nebraska
Supreme Court Library, Kansas Judicial Supreme Court Library
Center, 301 S.W. 10th Avenue, Topeka, KS Administrative Office of the Courts Mr. Ken Kozlowski, Director, Law Library,
66612, (785) 296–3257, Mr. Philip D. Gould, Director, Judicial Supreme Court of Ohio, 65 South Front
knechtf@kscourts.org Branch Education, Administrative Office of Street, 11th Floor, Columbus, OH 43215–
3431, (614) 387–9666, 57501, (605) 773–4898, 98504–0751, (360) 357–2136

kozlowsk@sconet.state.oh.us donnis.deyo@ujs.state.sd.ud kay.newman@courts.wa.gov
Oklahoma Tennessee West Virginia
Administrative Office of the Courts Tennessee State Law Library Supreme Court of Appeals Library
Mr. Howard W. Conyers, State Court Hon. Cornelia A. Clark, Executive Director, Ms. Kaye Maerz, State Law Librarian, West
Administrator, Administrative Office of the Administrative Office of the Courts, 511
Courts, 1915 North Stiles Avenue, Suite Virginia Supreme Court of Appeals
Union Street, Suite 600, Nashville, TN
305, Oklahoma City, OK 73105, (405) 521– Library, 1900 Kanawha Boulevard East,
37219 (615) 741–2687,
2450, conyersh@oscn.net cclark@tscmail.state.tn.us Building 1, Room E–404, Charleston, WV
25305 (304) 558–2607,
Oregon Texas klm@courts.state.wv.us
Administrative Office of the Courts State Law Library Wisconsin
Ms. Kingsley W. Click, State Court Mr. Marcelino A. Estrada, Director, State Law
Administrator, Oregon Judicial Library, P.O. Box 12367, Austin, TX 78711, State Law Library
Department, Supreme Court Building, 1163 (512) 463–1722, Ms. Jane Colwin, State Law Librarian, State
State Street, Salem, OR 97301, (503) 986– tony.estrada@sll.state.tx.us Law Library, 120 M.L.K. Jr. Boulevard,
5500, kingsley.w.click@ojd.state.or.us
U.S. Virgin Islands Madison, WI 53703, (608) 261–2340,
Pennsylvania jane.colwin@wicourts.gov
Library of the Territorial Court of the Virgin
State Library of Pennsylvania Islands (St. Thomas) Wyoming
Ms. Kathleen Kline, Collection Management Librarian, The Library, Territorial Court of
Librarian, State Library of Pennsylvania, Wyoming State Law Library
the Virgin Islands, Post Office Box 70,
Bureau of State Library, 333 Market Street, Ms. Kathy Carlson, Law Librarian, Wyoming
Charlotte Amalie, St. Thomas, Virgin
Harrisburg, PA 17126–1745, (717) 787– State Law Library, Supreme Court
Islands 00804
5718, kakline@state.pa.us Building, 2301 Capitol Avenue, Cheyenne,
Utah WY 82002 (307) 777–7509,
Puerto Rico
Utah State Judicial Administration Library Kcarls@state.wy.us
Office of Court Administration
Alfredo Rivera-Mendoza, Esq., Director, Area Ms. Jessica Van Buren, Utah State Library, National
of Planning and Management, Office of 450 South State Street, P.O. Box 140220,
Salt Lake City, UT 84114–0220, (801) 238– American Judicature Society
Court Administration, P.O. Box 917, Hato
Rey, PR 00919 7991 jessicavb@e-mail.utcourts.gov Ms. Deborah Sulzbach, Acquisitions
Vermont Librarian, Drake University, Law Library,
Rhode Island
Opperman Hall, 2507 University Avenue,
Roger Williams University Supreme Court of Vermont Des Moines, IA 50311–4505, (515) 271–
Ms. Gail Winson, Director of Law Library/ Mr. Paul J. Donovan, Law Librarian, Vermont 3784, deborah.sulzbach@drake.edu
Associate Professor of Law, Roger Williams Department of Libraries, 109 State Street,
Pavilion Office Building, Montpelier, VT National Center for State Courts
University, School of Law Library, 10
Metacom Avenue, Bristol, RI 02809, 401/ 05609, (802) 828–3268 Ms. Joan Cochet, Library Specialist, National
254–4531, gwinson@law.rwu.edu paul.donovan@dol.state.vt.us Center for State Courts, 300 Newport
South Carolina Virginia Avenue, Williamsburg, VA 23185–4147,
(757) 259–1826 library@ncsc.dni.us
Coleman Karesh Law Library (University of Administrative Office of the Courts
South Carolina School of Law) Ms. Gail Warren, State Law Librarian, JERITT
Mr. Steve Hinckley, Director, Coleman Virginia State Law Library, Supreme Court Dr. Maureen E. Conner, Executive Director,
Karesh Law Library, University of South of Virginia, 100 North Ninth Street, 2nd The JERITT Project, Michigan State
Carolina, Main and Green Streets, Floor Richmond, VA 23219–2335 (804) University, 1407 S. Harrison Road, Suite
Columbia, SC 29208, (803) 777–5944, 786–2075, gwarren@courts.state.va.us 330 Nisbet, East Lansing, MI 48823–5239,
hinckley@law.sc.edu (517) 353–8603, (517) 432–3965 (fax),
Washington
South Dakota connerm@msu.edu Web site: http://
Washington State Law Library
jeritt.msu.edu
State Law Library Ms. Kay Newman, State Law Librarian, BILLING CODE 6820–SC–P
Librarian, South Dakota State Law Library, Washington State Law Library, Temple of
500 East Capitol, Pierre, South Dakota Justice, P.O. Box 40751, Olympia, WA
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[FR Doc. 06–7398 Filed 9–6–06; 8:45 am]

BILLING CODE 6820–SC–C
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Notice: Reports and Guidance Documents Availability, Etc.: Grants, Cooperative Agreements, and Contracts, Guidelines

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Thursday,

State Justice Institute

of justice in the State courts of the Assistance (TA) Grants, Curriculum

both, if specifically requested to do so explanation may be that the position to VII.I.2.b.

contributions would be made (see

leadership, and of judges, court reform and initiate the training

procedures, training, technology, or 5. Partner Grants

a. Funds awarded to recipients by the VII.E.1.). following disclaimer on all grant

Mr. Michael E. McLaughlin, Deputy Director,

District of Columbia Kentucky the Courts/Probation, 521 South 14th St.,

3431, (614) 387–9666, 57501, (605) 773–4898, 98504–0751, (360) 357–2136

[FR Doc. 06–7398 Filed 9–6–06; 8:45 am]

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