53332 Federal Register / Vol. 74, No. 199 / Friday, October 16, 2009 / Notices 

STATE JUSTICE INSTITUTE 

Grant Guideline, Notice 

AGENCY: State Justice Institute. 

ACTION: Proposed Grant Guideline for 

2010. 

SUMMARY: This Guideline sets forth the 

administrative, programmatic, and 

financial requirements attendant to 

Fiscal Year 2010 State Justice Institute 

grants, cooperative agreements, and 

contracts. 

DATES: October 16, 2009. 

FOR FURTHER INFORMATION CONTACT: 

Janice Munsterman, Executive Director, 

State Justice Institute, 1650 King St. 

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

684–6100 X202, 

janice.munsterman@sji.gov 

SUPPLEMENTARY INFORMATION: Pursuant 

to the State Justice Institute Act of 1984, 

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

the Institute is authorized to award 

grants, cooperative agreements, and 

contracts to State and local courts, 

nonprofit organizations, and others for 

the purpose of improving the quality of 

justice in the State courts of the United 

States. 

Final appropriations legislation for 

fiscal year (FY) 2010 is still pending. 

The House, Commerce, Justice and 

Science (CJS) Appropriations Bill (H.R. 

2847) provides $5,131,000 for the 

Institute in FY 2010; the Senate 

Appropriations Committee CJS Mark 

provides $5,000,000. 

Regardless of the final amount 

provided to the Institute for FY 2010, 

the Institute’s Board of Directors intends 

to solicit grant applications across the 

range of grant programs available. 

The following Grant Guideline is 

adopted by the State Justice Institute for 

FY 2010. 

Table of Contents 

I. The Mission of the State Justice Institute 

II. Eligibility for Award 

III. Scope of the Program 

IV. Applications 

V. Application Review Procedures 

VI. Compliance Requirements 

VII. Financial Requirements 

VIII. Grant Adjustments 

• Appendix A SJI Libraries: Designated Sites 

and Contacts 

• Appendix B Grant Application Forms 

Æ Form A—Application and Application 

Instructions 

Æ Form B—Certificate of State Approval 

and Instructions 

Æ Form C—Project Budget and Instructions 

Æ Form D—Assurances 

Æ Disclosure of Lobbying Activities 

Æ Form E—Disclosure of Lobbying 

Activities 

• Appendix C Scholarship Application 

Forms (Forms S1 and S2) 

I. The Mission of the State Justice 

Institute 

The Institute was established by State 

Justice Institute Authorization Act of 

1984 (42 U.S.C. 10701 et seq.) to 

improve the administration of justice in 

the state courts of the United States. 

Incorporated in the State of Virginia as 

a private, nonprofit corporation, the 

Institute is charged, by statute, with the 

responsibility to: 

• Direct a national program of 

financial assistance designed to assure 

that each citizen of the United States is 

provided ready access to a fair and 

effective system of justice; 

• Foster coordination and 

cooperation with the federal judiciary; 

• Promote recognition of the 

importance of the separation of powers 

doctrine to an independent judiciary; 

and 

• Encourage education for judges and 

support personnel of state court systems 

through national and state 

organizations, including universities. 

To accomplish these broad objectives, 

the Institute is authorized to provide 

funds to state courts, national 

organizations which support and are 

supported by state courts, national 

judicial education organizations, and 

other organizations that can assist in 

improving the quality of justice in the 

state courts. The Institute is supervised 

by a Board of Directors appointed by the 

President, with the advice and consent 

of the Senate. The Board is statutorily 

composed of six judges; a state court 

administrator; and four members of the 

public, no more than two can be of the 

same political party. 

Through the award of grants, 

contracts, and cooperative agreements, 

the Institute is authorized to perform the 

following activities: 

A. Support technical assistance, 

demonstrations, special projects, 

research and training to improve the 

administration of justice in the state 

courts; 

B. Provide for the preparation, 

publication, and dissemination of 

information regarding state judicial 

systems; 

C. Participate in joint projects with 

federal agencies and other private 

grantors; 

D. Evaluate or provide for the 

evaluation of programs and projects to 

determine their impact upon the quality 

of criminal, civil, and juvenile justice 

and the extent to which they have 

contributed to improving the quality of 

justice in the state courts; 

E. Encourage and assist in furthering 

judicial education; and, 

F. Encourage, assist, and serve in a 

consulting capacity to state and local 

justice system agencies in the 

development, maintenance, and 

coordination of criminal, civil, and 

juvenile justice programs and services. 

II. Eligibility for Award 

The Institute is authorized by 

Congress to award grants, cooperative 

agreements, and contracts to the 

following entities and types of 

organizations: 

A. State and local courts and their 

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

B. National nonprofit organizations 

controlled by, operating in conjunction 

with, and serving the judicial branches 

of state governments (42 U.S.C. 

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

C. National nonprofit organizations 

for the education and training of judges 

and support personnel of the judicial 

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

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

considered a national education and 

training applicant under section 

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

1. The principal purpose or activity of 

the applicant is to provide education 

and training to state and local judges 

and court personnel; and 

2. The applicant demonstrates a 

record of substantial experience in the 

field of judicial education and training. 

D. Other eligible grant recipients (42 

U.S.C. 10705 (b)(2)(A)–(D)). 

1. Provided that the objectives of the 

project can be served better, the Institute 

is also authorized to make awards to: 

a. Nonprofit organizations with 

expertise in judicial administration; 

b. Institutions of higher education; 

c. Individuals, partnerships, firms, 

corporations (for-profit organizations 

must waive their fees); and 

d. Private agencies with expertise in 

judicial administration. 

2. The Institute may also make awards 

to state or local agencies and 

institutions other than courts for 

services that cannot be adequately 

provided through nongovernmental 

arrangements (42 U.S.C. 10705(b)(3)). 

E. Inter-agency Agreements. The 

Institute may enter into inter-agency 

agreements with Federal agencies (42 

U.S.C. 10705(b)(4)) and private funders 

to support projects consistent with the 

purposes of the State Justice Institute 

Act. 

III. Scope of the Program 

SJI is offering six types of grants in FY 

2010: Project Grants, Technical 

Assistance (TA) Grants, Curriculum 

Adaptation and Training (CAT) Grants, 

Partner Grants, Strategic Initiative 

Grants and Scholarships. SJI does not 

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award Continuation Grants except for 

Strategic Initiative Projects. 

A. Project Grants 

Project Grants are intended to support 

innovative education and training, 

research and evaluation, demonstration, 

and technical assistance projects that 

can improve the administration of 

justice in state courts locally or 

nationwide. Project Grants may 

ordinarily not exceed $300,000. Grant 

periods for Project Grants ordinarily 

may not exceed 36 months. 

Applicants for Project Grants will be 

required to contribute a cash match of 

not less than 50 percent of the total cost 

of the proposed project. In other words, 

grant awards by SJI must be matched at 

least dollar for dollar by grant 

applicants. Applicants may contribute 

the required cash match directly or in 

cooperation with third parties. 

Prospective applicants should carefully 

review Section VI.8. (matching 

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

beginning the application process. If 

questions arise, applicants are strongly 

encouraged to consult the Institute. 

Beginning in FY 2010, a temporary 

reduced cash match process is available 

for state courts submitting Project Grant 

applications. The use of this cash match 

reduction authority is intended to help 

the state courts in this climate of severe 

budget reductions. The process requires 

the state court to formally request a 

reduced cash match, and that the 

request be certified by the chief justice 

of that state. The state court must 

explain in detail how it is facing 

budgetary cutbacks that will result in 

significant reductions in other services, 

and why it will be unable to undertake 

the project without a cash match 

reduction. This must be described in 

detail in the application and verified by 

the chief justice of that state. Only state 

courts may apply for a cash match 

reduction. 

Applicants should examine their 

projected project costs closely, and if 

they are unable to cover half the costs 

of the project, they may apply for a 

reduction in cash match. Applicants are 

strongly encouraged to provide as much 

cash match as possible in their 

application, as some cash match 

contribution is still required. 

Applicants are also encouraged to 

provide the percentage of budget 

reductions in their court(s), and the 

measures that have been taken by the 

jurisdiction/state to handle the budget 

shortfalls in FY 2009 and FY 2010. This 

may include staff reductions, as well as 

reductions in services and programs. 

Some cash contribution is still required 

for Project Grants, and should be 

reflected in the budget proposal for the 

project. For example, if the total cost of 

the proposed project is $100,000, the 

normal cash match would be $50,000. 

However, if the applicant is unable to 

provide $50,000 for the activities, but is 

able to contribute $25,000, the budget 

should show the request to SJI totaling 

$75,000, with the cash match of 

$25,000. This is a temporary program 

only available to the state courts, and it 

will be re-evaluated at the end of FY 

2010. 

As set forth in Section I., the Institute 

is authorized to fund projects 

addressing a broad range of program 

areas. However, the Board is likely to 

favor Project Grant applications focused 

on the Special Interest program 

categories described below. Potential 

applicants are also encouraged to bring 

to the attention of the Institute 

innovative projects outside those 

categories. Funding will not be made 

available for the ordinary, routine 

operations of court systems. 

1. Special Interest Program Criteria and 

Categories 

The Institute is interested in funding 

both innovative programs and programs 

of proven merit that can be replicated in 

other jurisdictions. The Institute is 

especially interested in funding projects 

that: 

• Formulate new procedures and 

techniques, or creatively enhance 

existing procedures and techniques; 

• Address aspects of the State judicial 

systems that are in special need of 

serious attention; 

• Have national significance by 

developing products, services, and 

techniques that may be used in other 

states; and 

• Create and disseminate products 

that effectively transfer the information 

and ideas developed to relevant 

audiences in state and local judicial 

systems, or provide technical assistance 

to facilitate the adaptation of effective 

programs and procedures in other states 

and local jurisdictions. 

Projects do not have to be in the 

Special Interest Categories given below, 

however, these topics are of special 

interest and such applications get extra 

points in the review process. It should 

be noted, however, that all projects 

impacting the court system will be 

considered. A project will be identified 

as a Special Interest project if it meets 

the four criteria set forth above and it 

falls within the scope of the Boarddesignated Special Interest program 

categories listed below. The order of 

listing does not imply any ranking of 

priorities among the categories. 

a. Immigration Issues 

Recent immigration growth is having 

a significant impact on state and local 

courts. Courts along the Southwest 

Border, and other areas of the United 

States with large immigrant 

populations, are contending with issues 

such as how to provide culturally 

appropriate services; increases in gangcrime cases involving immigrants; and 

the impact of federal and state 

immigration policies on court 

operations. The Institute is interested in 

projects that highlight the issues state 

and local courts face in addressing the 

demands of increased immigration, and 

potential solutions to those issues. The 

Institute is also interested in judicial 

education or other programs that 

prepare judges and court officials to 

address immigration issues in their 

courts, and the development of plans of 

action to improve service delivery, build 

community coalitions, and 

accommodate federal and state 

immigration policies. 

b. Courts and the Media 

Recent repeated public attacks on 

courts have gone largely unanswered, 

because judges were unwilling and/or 

courts were unable to respond 

effectively. No one is better prepared 

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

the Constitution. The Institute is 

interested in projects that explore the 

role of judge as public commentator 

within ethical and professional bounds. 

The Institute is also interested in 

judicial education or other programs 

that prepare judges and court officials to 

serve as spokesmen in short notice, high 

profile circumstances, especially in 

situations where courts lack dedicated 

press secretaries. Finally, the Institute is 

interested in promoting initiatives that 

improve relations between the judiciary 

and the media, since much of the recent 

rancor between the two seems based on 

unfamiliarity with one another’s duties, 

responsibilities, and limitations. In 

particular, the Institute is interested in 

proposals that focus on cultivating trust 

and open communication between the 

Third Branch and the Fourth Estate on 

a day-to-day basis, because dialogue 

between strangers is rarely started and 

never sustained in a crisis. 

c. Elder Issues 

This category includes research, 

demonstration, evaluation, and 

education projects designed to improve 

management of guardianship, probate, 

fraud, Americans with Disability Act, 

and other types of elder-related cases. 

The Institute is particularly interested in 

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projects that would develop and 

evaluate judicial branch education 

programs addressing elder law and 

related issues. 

d. Performance Standards and Outcome 

Measures 

This category includes projects that 

will develop and measure performance 

standards and outcomes for all aspects 

of court operations. The Institute is 

particularly interested in projects that 

take the National Center for State 

Courts’ ‘‘CourTools’’ to the next level. 

Other initiatives designed to further 

professionalize court staff and 

operations, or to objectively evaluate the 

costs and benefits and cost-effectiveness 

of problem solving courts, are also 

welcome. 

e. Court Budgeting 

Recent economic downturns have 

caused major budgetary issues for many 

states and the state courts. These 

shortfalls have proven very disruptive to 

court staffing, services, technology 

investment, and professional education 

and development. The Institute is 

interested in pursuing ‘‘how to’’ projects 

that focus on ‘‘best practices’’ regarding 

budget structure and formulation, 

sources of revenue, inter-branch 

relations and other methods that 

contribute to stabilizing court budgets 

and improving their long-term financial 

prospects. 

f. Relationship Between State and 

Federal Courts 

This category includes research, 

demonstration, evaluation, and 

education projects designed to facilitate 

appropriate and effective 

communication, cooperation, and 

coordination between state and federal 

courts. The Institute is also interested in 

projects that improve relationships 

between the courts, the legislative and 

executive branches, and the public. 

However, all SJI grants must be awarded 

to the state court system. 

B. Technical Assistance (TA) Grants 

TA Grants are intended to provide 

state or local courts, or regional court 

associations, with sufficient support to 

obtain expert assistance to diagnose a 

problem, develop a response to that 

problem, and implement any needed 

changes. TA Grants may not exceed 

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

obtaining the services of expert 

consultants. Examples of expenses not 

covered by TA Grants include the 

salaries, benefits, or travel of full-or 

part-time court employees. Grant 

periods for TA Grants ordinarily may 

not exceed 24 months. In calculating 

project duration, applicants are 

cautioned to fully consider the time 

required to issue a request for proposals, 

negotiate a contract with the selected 

provider, and execute the project. 

Applicants for TA Grants will be 

required to contribute a total match of 

not less than 50 percent of the grant 

amount requested, of which 20 percent 

must be cash. In other words, an 

applicant seeking a $50,000 TA grant 

must provide a $25,000 match, of which 

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

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

application procedures can be found in 

section IV.B. 

C. Curriculum Adaptation and Training 

(CAT) Grants 

CAT Grants are intended to: (1) 

Enable courts and regional or national 

court associations to modify and adapt 

model curricula, course modules, or 

conference programs to meet states’ or 

local jurisdictions’ educational needs; 

train instructors to present portions or 

all of the curricula; and pilot-test them 

to determine their appropriateness, 

quality, and effectiveness, or (2) conduct 

judicial branch education and training 

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

judges and court personnel for 

innovations, reforms, and/or new 

technologies recently adopted by 

grantee courts. CAT Grants may not 

exceed $30,000. Grant periods for CAT 

Grants ordinarily may not exceed 12 

months. 

Applicants for CAT Grants will be 

required to contribute a match of not 

less than 50 percent of the grant amount 

requested, of which 20 percent must be 

cash. In other words, an applicant 

seeking a $30,000 CAT grant must 

provide a $15,000 match, of which up 

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

than $3,000 must be cash. CAT Grant 

application procedures can be found in 

section IV.C. 

D. Partner Grants 

Partner Grants are intended to allow 

the Institute and federal, state, or local 

agencies or foundations, trusts, or other 

private entities to combine financial 

resources in pursuit of common 

interests. Though many, if not most, 

Partner Grants will fall under the 

Special Interest program categories cited 

in section III.A., proposals addressing 

other emerging or high priority courtrelated problems will be considered on 

a case-by-case basis. The Institute and 

its financial partners may set any level 

for Partner Grants, subject to the entire 

amount of the grant being available at 

the time of the award; applicants for 

Partner Grants may request any amount 

of funding. Grant periods for Partner 

Grants ordinarily may not exceed 36 

months. 

Partner Grants are subject to the same 

cash match requirement as Project 

Grants. In other words, grant awards by 

the Institute must be matched at least 

dollar-for-dollar. Applicants may 

contribute the required cash match 

directly or in cooperation with third 

parties. Partner Grants are coordinated 

by the funding organizations. 

Applicants considering Partner Grants 

are encouraged to contact Institute staff 

to discuss the potential of this 

mechanism for project funding. Partner 

Grant application procedures can be 

found in section IV.E. 

E. Strategic Initiatives Grants 

The Strategic Initiatives Grants (SIG) 

program provides the Institute with the 

flexibility to address national court 

issues as they occur, and develop 

solutions to those problems. This is an 

innovative approach where the Institute 

uses its expertise and the expertise and 

knowledge of its grantees to address key 

issues facing State courts across the 

United States. 

The funding is used for grants or 

contractual services, and any remaining 

balance not used for the SIG program 

will become available for the Institute’s 

other grant programs. The program is 

handled at the discretion of the 

Institute’s Board of Directors and staff 

outside the normal grant application 

process (i.e., the Institute will initiate 

the project) and there is no cash match 

requirement. 

F. Scholarships for Judges and Court 

Managers 

Scholarships are intended to enhance 

the skills, knowledge, and abilities of 

state court judges and court managers by 

enabling them to attend out-of-state, or 

to enroll in online, educational and 

training programs sponsored by national 

and state providers that they could not 

otherwise attend or take online because 

of limited state, local, and personal 

budgets. Scholarships may not exceed 

$1,500. The Institute’s Board of 

Directors intends to reserve up to 

$175,000 for scholarships in FY 2010. 

Scholarship application procedures can 

be found in section IV.D. 

IV. Applications 

A. Project Grants 

An application for a Project Grant 

must include an application form; 

budget forms (with appropriate 

documentation); a project abstract and 

program narrative; a disclosure of 

lobbying form, when applicable; and 

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certain certifications and assurances 

(see below). See Appendix B for the 

Project Grant application forms. 

1. Forms 

a. Application Form (Form A) 

The application form requests basic 

information regarding the proposed 

project, the applicant, and the total 

amount of funding requested from the 

Institute. It also requires the signature of 

an individual authorized to certify on 

behalf of the applicant that the 

information contained in the 

application is true and complete; that 

submission of the application has been 

authorized by the applicant; and that if 

funding for the proposed project is 

approved, the applicant will comply 

with the requirements and conditions of 

the award, including the assurances set 

forth in Form D. 

b. Certificate of State Approval (Form B) 

An application from a State or local 

court must include a copy of Form B 

signed by the State’s Chief Justice or 

Chief Judge, the director of the 

designated agency, or the head of the 

designated council. The signature 

denotes that the proposed project has 

been approved by the State’s highest 

court or the agency or council it has 

designated. It denotes further that, if 

applicable, a cash match reduction has 

been requested, and that if the Institute 

approves funding for the project, the 

court or the specified designee will 

receive, administer, and be accountable 

for the awarded funds. 

c. Budget Form (Form C) 

Applicants must submit a Form C. In 

addition, applicants must provide a 

detailed budget narrative providing an 

explanation of the basis for the 

estimates in each budget category (see 

subsection A.4. below). 

If funds from other sources are 

required to conduct the project, either as 

match or to support other aspects of the 

project, the source, current status of the 

request, and anticipated decision date 

must be provided. 

d. Assurances (Form D) 

This form lists the statutory, 

regulatory, and policy requirements 

with which recipients of Institute funds 

must comply. 

e. Disclosure of Lobbying Activities 

Applicants other than units of state or 

local government are required to 

disclose whether they, or another entity 

that is part of the same organization as 

the applicant, have advocated a position 

before Congress on any issue, and to 

identify the specific subjects of their 

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

2. Project Abstract 

The abstract should highlight the 

purposes, goals, methods, and 

anticipated benefits of the proposed 

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

3. Program Narrative 

The program narrative for an 

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

Margins must be at least 1 inch, and 

type size must be at least 12-point and 

12 cpi. The pages should be numbered. 

This page limit does not include the 

forms, the abstract, the budget narrative, 

and any appendices containing resumes 

and letters of cooperation or 

endorsement. Additional background 

material should be attached only if it is 

essential to impart a clear 

understanding of the proposed project. 

Numerous and lengthy appendices are 

strongly discouraged. 

The program narrative should address 

the following topics: 

a. Project Objectives 

The applicant should include a clear, 

concise statement of what the proposed 

project is intended to accomplish. In 

stating the objectives of the project, 

applicants should focus on the overall 

programmatic objective (e.g., to enhance 

understanding and skills regarding a 

specific subject, or to determine how a 

certain procedure affects the court and 

litigants) rather than on operational 

objectives (e.g., provide training for 32 

judges and court managers, or review 

data from 300 cases). 

b. Program Areas To Be Covered 

The applicant should note the Special 

Interest criteria and category addressed 

by the proposed project when 

appropriate (see section III.A.), although 

it is not necessary for a project to be in 

a specific Special Interest Category. 

c. Need for the Project 

If the project is to be conducted in any 

specific location(s), the applicant 

should discuss the particular needs of 

the project site(s) to be addressed by the 

project and why those needs are not 

being met through the use of existing 

programs, procedures, services, or other 

resources. 

If the project is not site-specific, the 

applicant should discuss the problems 

that the proposed project would 

address, and why existing programs, 

procedures, services, or other resources 

cannot adequately resolve those 

problems. The discussion should 

include specific references to the 

relevant literature and to the experience 

in the field. 

d. Tasks, Methods and Evaluations 

(1) Tasks and Methods. The applicant 

should delineate the tasks to be 

performed in achieving the project 

objectives and the methods to be used 

for accomplishing each task. For 

example: 

(a) For research and evaluation 

projects, the applicant should include 

the data sources, data collection 

strategies, variables to be examined, and 

analytic procedures to be used for 

conducting the research or evaluation 

and ensuring the validity and general 

applicability of the results. For projects 

involving human subjects, the 

discussion of methods should address 

the procedures for obtaining 

respondents’ informed consent, 

ensuring the respondents’ privacy and 

freedom from risk or harm, and 

protecting others who are not the 

subjects of research but would be 

affected by the research. If the potential 

exists for risk or harm to human 

subjects, a discussion should be 

included that explains the value of the 

proposed research and the methods to 

be used to minimize or eliminate such 

risk. 

(b) For education and training 

projects, the applicant should include 

the adult education techniques to be 

used in designing and presenting the 

program, including the teaching/ 

learning objectives of the educational 

design, the teaching methods to be used, 

and the opportunities for structured 

interaction among the participants; how 

faculty would be recruited, selected, 

and trained; the proposed number and 

length of the conferences, courses, 

seminars, or workshops to be conducted 

and the estimated number of persons 

who would attend them; the materials to 

be provided and how they would be 

developed; and the cost to participants. 

(c) For demonstration projects, the 

applicant should include the 

demonstration sites and the reasons 

they were selected, or if the sites have 

not been chosen, how they would be 

identified and their cooperation 

obtained; and how the program or 

procedures would be implemented and 

monitored. 

(d) For technical assistance projects, 

the applicant should explain the types 

of assistance that would be provided; 

the particular issues and problems for 

which assistance would be provided; 

the type of assistance determined; how 

suitable providers would be selected 

and briefed; and how reports would be 

reviewed. 

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(2) Evaluation. Projects should 

include an evaluation plan to determine 

whether the project met its objectives. 

The evaluation should be designed to 

provide an objective and independent 

assessment of the effectiveness or 

usefulness of the training or services 

provided; the impact of the procedures, 

technology, or services tested; or the 

validity and applicability of the research 

conducted. The evaluation plan should 

be appropriate to the type of project 

proposed. 

e. Project Management 

The applicant should present a 

detailed management plan, including 

the starting and completion date for 

each task; the time commitments to the 

project of key staff and their 

responsibilities regarding each project 

task; and the procedures that would 

ensure that all tasks are performed on 

time, within budget, and at the highest 

level of quality. In preparing the project 

time line, Gantt Chart, or schedule, 

applicants should make certain that all 

project activities, including publication 

or reproduction of project products and 

their initial dissemination, would occur 

within the proposed project period. The 

management plan must also provide for 

the submission of Quarterly Progress 

and Financial Reports within 30 days 

after the close of each calendar quarter 

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

July 30, and October 30), per section 

VI.A.13. 

Applicants should be aware that the 

Institute is unlikely to approve a limited 

extension of the grant period without 

very good cause. Therefore, the 

management plan should be as realistic 

as possible and fully reflect the time 

commitments of the proposed project 

staff and consultants. 

f. Products 

The program narrative in the 

application should contain a description 

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

training curricula and materials, Web 

sites or other electronic multimedia, 

articles, guidelines, manuals, reports, 

handbooks, benchbooks, or books), 

including when they would be 

submitted to the Institute. The budget 

should include the cost of producing 

and disseminating the product to each 

in-state SJI library (see Appendix A), 

state chief justice, state court 

administrator, and other appropriate 

judges or court personnel. If final 

products involve electronic formats, the 

applicant should indicate how the 

product would be made available to 

other courts. Dissemination to the instate libraries may not be required for 

such products. Discussion of this 

dissemination process should occur 

between the grantee and staff at SJI prior 

to the final selection of the 

dissemination process to be used. 

(1) Dissemination Plan. The 

application must explain how and to 

whom the products would be 

disseminated; describe how they would 

benefit the state courts, including how 

they could be used by judges and court 

personnel; identify development, 

production, and dissemination costs 

covered by the project budget; and 

present the basis on which products and 

services developed or provided under 

the grant would be offered to the court 

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

whether products would be distributed 

at no cost to recipients, or if costs are 

involved, the reason for charging 

recipients and the estimated price of the 

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

Ordinarily, applicants should schedule 

all product preparation and distribution 

activities within the project period. 

A copy of each written product must 

be sent to the library established in each 

state to collect the materials developed 

with Institute support (see Appendix A). 

Applicants proposing to develop Webbased products should provide for 

sending a notice and description of the 

document to the SJI-designated libraries 

and other appropriate audiences to alert 

them to the availability of the Web site 

or electronic product (i.e., a written 

report with a reference to the Web site). 

Five (5) copies of all project products 

should be submitted to the Institute, 

along with an electronic version in 

.html or .pdf format. Discussions of final 

product dissemination should be 

conducted with SJI staff prior to the end 

of the grant period. 

(2) Types of Products and Press 

Releases. The type of product to be 

prepared depends on the nature of the 

project. For example, in most instances, 

the products of a research, evaluation, 

or demonstration project should include 

an article summarizing the project 

findings that is publishable in a journal 

serving the courts community 

nationally, an executive summary that 

would be disseminated to the project’s 

primary audience, or both. Applicants 

proposing to conduct empirical research 

or evaluation projects with national 

import should describe how they would 

make their data available for secondary 

analysis after the grant period (see 

section VI.A.14.a.). 

The curricula and other products 

developed through education and 

training projects should be designed for 

use by others and again by the original 

participants in the course of their 

duties. 

(3) Institute Review. Applicants must 

submit a final draft of all written grant 

products to the Institute for review and 

approval at least 30 days before the 

products are submitted for publication 

or reproduction. For products in website 

or multimedia format, applicants must 

provide for Institute review of the 

product at the treatment, script, roughcut, and final stages of development, or 

their equivalents. No grant funds may be 

obligated for publication or 

reproduction of a final grant product 

without the written approval of the 

Institute (see section VI.A.11.f.). 

(4) Acknowledgment, Disclaimer, and 

Logo. Applicants must also include in 

all project products a prominent 

acknowledgment that support was 

received from the Institute and a 

disclaimer paragraph based on the 

example provided in section 

VI.A.11.a.2. in the Guideline. The ‘‘SJI’’ 

logo must appear on the front cover of 

a written product, or in the opening 

frames of a website or other multimedia 

product, unless the Institute approves 

another placement. 

g. Applicant Status 

An applicant that is not a state or 

local court and has not received a grant 

from the Institute within the past three 

years should indicate whether it is 

either a national non-profit organization 

controlled by, operating in conjunction 

with, and serving the judicial branches 

of State governments, or a national nonprofit organization for the education and 

training of State court judges and 

support personnel (see section II). If the 

applicant is a non-judicial unit of 

Federal, State, or local government, it 

must explain whether the proposed 

services could be adequately provided 

by non-governmental entities. 

h. Staff Capability 

The applicant should include a 

summary of the training and experience 

of the key staff members and 

consultants that qualify them for 

conducting and managing the proposed 

project. Resumes of identified staff 

should be attached to the application. If 

one or more key staff members and 

consultants are not known at the time of 

the application, a description of the 

criteria that would be used to select 

persons for these positions should be 

included. The applicant also should 

identify the person who would be 

responsible for managing and reporting 

on the financial aspects of the proposed 

project. 

i. Organizational Capacity 

Applicants that have not received a 

grant from the Institute within the past 

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three years should include a statement 

describing their capacity to administer 

grant funds, including the financial 

systems used to monitor project 

expenditures (and income, if any), and 

a summary of their past experience in 

administering grants, as well as any 

resources or capabilities that they have 

that would particularly assist in the 

successful completion of the project. 

Unless requested otherwise, an 

applicant that has received a grant from 

the Institute within the past three years 

should describe only the changes in its 

organizational capacity, tax status, or 

financial capability that may affect its 

capacity to administer a grant. 

If the applicant is a non-profit 

organization (other than a university), it 

must also provide documentation of its 

501(c) tax-exempt status as determined 

by the Internal Revenue Service and a 

copy of a current certified audit report. 

For purposes of this requirement, 

‘‘current’’ means no earlier than two 

years prior to the present calendar year. 

If a current audit report is not 

available, the Institute will require the 

organization to complete a financial 

capability questionnaire, which must be 

signed by a Certified Public Accountant. 

Other applicants may be required to 

provide a current audit report, a 

financial capability questionnaire, or 

both, if specifically requested to do so 

by the Institute. 

j. Statement of Lobbying Activities 

Non-governmental applicants must 

submit the Institute’s Disclosure of 

Lobbying Activities Form, which 

documents whether they, or another 

entity that is a part of the same 

organization as the applicant, have 

advocated a position before Congress on 

any issue, and identifies the specific 

subjects of their lobbying efforts (see 

Appendix B). 

k. Letters of Cooperation or Support 

If the cooperation of courts, 

organizations, agencies, or individuals 

other than the applicant is required to 

conduct the project, the applicant 

should attach written assurances of 

cooperation and availability to the 

application, or send them under 

separate cover. 

4. Budget Narrative 

The budget narrative should provide 

the basis for the computation of all 

project-related costs. When the 

proposed project would be partially 

supported by grants from other funding 

sources, applicants should make clear 

what costs would be covered by those 

other grants. Additional background 

information or schedules may be 

attached if they are essential to 

obtaining a clear understanding of the 

proposed budget. Numerous and 

lengthy appendices are strongly 

discouraged. 

The budget narrative should cover the 

costs of all components of the project 

and clearly identify costs attributable to 

the project evaluation. Under OMB 

grant guidelines incorporated by 

reference in this Guideline, grant funds 

may not be used to purchase alcoholic 

beverages. 

a. Justification of Personnel 

Compensation 

The applicant should set forth the 

percentages of time to be devoted by the 

individuals who would staff the 

proposed project, the annual salary of 

each of those persons, and the number 

of work days per year used for 

calculating the percentages of time or 

daily rates of those individuals. The 

applicant should explain any deviations 

from current rates or established written 

organizational policies. No grant funds 

or cash match may be used to pay the 

salary and related costs for a current or 

new employee of a court or other unit 

of government because such funds 

would constitute a supplantation of 

state or local funds in violation of 42 

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

employees hired specifically for the 

project. The salary and any related costs 

for a current or new employee of a court 

or other unit of government may only be 

accepted as in-kind match. 

b. Fringe Benefit Computation 

For non-governmental entities, the 

applicant should provide a description 

of the fringe benefits provided to 

employees. If percentages are used, the 

authority for such use should be 

presented, as well as a description of the 

elements included in the determination 

of the percentage rate. 

c. Consultant/Contractual Services and 

Honoraria 

The applicant should describe the 

tasks each consultant would perform, 

the estimated total amount to be paid to 

each consultant, the basis for 

compensation rates (e.g., the number of 

days multiplied by the daily consultant 

rates), and the method for selection. 

Rates for consultant services must be set 

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

Prior written Institute approval is 

required for any consultant rate in 

excess of $800 per day; Institute funds 

may not be used to pay a consultant 

more than $1,100 per day. Honorarium 

payments must be justified in the same 

manner as consultant payments. 

d. Travel 

Transportation costs and per diem 

rates must comply with the policies of 

the applicant organization. If the 

applicant does not have an established 

travel policy, then travel rates must be 

consistent with those established by the 

federal government. The budget 

narrative should include an explanation 

of the rate used, including the 

components of the per diem rate and the 

basis for the estimated transportation 

expenses. The purpose of the travel 

should also be included in the narrative. 

e. Equipment 

Grant funds may be used to purchase 

only the equipment necessary to 

demonstrate a new technological 

application in a court or that is 

otherwise essential to accomplishing the 

objectives of the project. In other words, 

grant funds cannot be used strictly for 

the purpose of purchasing equipment. 

Equipment purchases to support basic 

court operations ordinarily will not be 

approved. The applicant should 

describe the equipment to be purchased 

or leased and explain why the 

acquisition of that equipment is 

essential to accomplish the project’s 

goals and objectives. The narrative 

should clearly identify which 

equipment is to be leased and which is 

to be purchased. The method of 

procurement should also be described. 

Purchases of automated data processing 

equipment must comply with section 

VII.I.2.b. 

f. Supplies 

The applicant should provide a 

general description of the supplies 

necessary to accomplish the goals and 

objectives of the grant. In addition, the 

applicant should provide the basis for 

the amount requested for this 

expenditure category. 

g. Construction 

Construction expenses are prohibited 

except for the limited purposes set forth 

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

construction or renovation expense 

should be described in detail in the 

budget narrative. 

h. Telephone 

Applicants should include 

anticipated telephone charges, 

distinguishing between monthly charges 

and long distance charges in the budget 

narrative. Also, applicants should 

provide the basis used to calculate the 

monthly and long distance estimates. 

i. Postage 

Anticipated postage costs for projectrelated mailings, including distribution 

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of the final product(s), should be 

described in the budget narrative. The 

cost of special mailings, such as for a 

survey or for announcing a workshop, 

should be distinguished from routine 

operational mailing costs. The bases for 

all postage estimates should be included 

in the budget narrative. 

j. Printing/Photocopying 

Anticipated costs for printing or 

photocopying project documents, 

reports, and publications should be 

included in the budget narrative, along 

with the bases used to calculate these 

estimates. 

k. Indirect Costs 

Indirect costs are only applicable to 

organizations that are not state courts or 

government agencies. Recoverable 

indirect costs are limited to no more 

than 75 percent of a grantee’s direct 

personnel costs, i.e. salaries plus fringe 

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

Applicants should describe the 

indirect cost rates applicable to the 

grant in detail. If costs often included 

within an indirect cost rate are charged 

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

senior managers to supervise project 

activities), the applicant should specify 

that these costs are not included within 

its approved indirect cost rate. These 

rates must be established in accordance 

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

an indirect cost rate or allocation plan 

approved by any Federal granting 

agency, a copy of the approved rate 

agreement must be attached to the 

application. 

l. Match 

Applicants who do not contemplate 

making matching contributions 

continuously throughout the course of 

the project or on a task-by-task basis 

must provide a schedule within 30 days 

after the beginning of the project period 

indicating at what points during the 

project period the matching 

contributions would be made (see 

sections VI.A.8, and VII.E.1.). 

5. Submission Requirements 

a. Every applicant must submit an 

original and three copies of the 

application package consisting of Form 

A; Form B, if the application is from a 

state or local court, or a Disclosure of 

Lobbying Form (Form E), if the 

applicant is not a unit of state or local 

government; Form C; the Application 

Abstract; the Program Narrative; the 

Budget Narrative; and any necessary 

appendices. 

Letters of application may be 

submitted at any time. Applications 

received by the first day of the second 

month in a calendar quarter will be 

considered at the next Board meeting for 

that quarter. Please mark PROJECT 

APPLICATION on the application 

package envelope and send it to: State 

Justice Institute, 1650 King Street, Suite 

600, Alexandria, VA 22314. 

Receipt of each application will be 

acknowledged by letter or e-mail. 

b. Applicants submitting more than 

one application may include material 

that would be identical in each 

application in a cover letter. This 

material will be incorporated by 

reference into each application and 

counted against the 25-page limit for the 

program narrative. A copy of the cover 

letter should be attached to each copy 

of the application. 

B. Technical Assistance (TA) Grants 

1. Application Procedures 

Applicants for TA Grants may submit 

an original and three copies of a 

detailed letter describing the proposed 

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

Justice Institute Application’’ (see 

Appendix B) and Form B, Certificate of 

State Approval from the State Supreme 

Court, or its designated agency and 

Form C, ‘‘Project Budget in Tabular 

Format.’’ Letters from regional court 

associations must be signed by the 

president of the association. The 

applications received by the first day of 

the second month in a calendar quarter 

will be reviewed in the Board meeting 

for that quarter. 

2. Application Format 

Although there is no prescribed form 

for the letter, or a minimum or 

maximum page limit, letters of 

application should include the 

following information: 

a. Need for Funding. What is the 

critical need facing the applicant? How 

would the proposed technical assistance 

help the applicant meet this critical 

need? Why are state or local resources 

not sufficient to fully support the costs 

of the required consultant services? 

b. Project Description. What tasks 

would the consultant be expected to 

perform, and how would they be 

accomplished? Which organization or 

individual would be hired to provide 

the assistance, and how was this 

consultant selected? If a consultant has 

not yet been identified, what procedures 

and criteria would be used to select the 

consultant (applicants are expected to 

follow their jurisdictions’ normal 

procedures for procuring consultant 

services)? What specific tasks would the 

consultant(s) and court staff undertake? 

What is the schedule for completion of 

each required task and the entire 

project? How would the applicant 

oversee the project and provide 

guidance to the consultant, and who at 

the court or regional court association 

would be responsible for coordinating 

all project tasks and submitting 

quarterly progress and financial status 

reports? 

If the consultant has been identified, 

the applicant should provide a letter 

from that individual or organization 

documenting interest in and availability 

for the project, as well as the 

consultant’s ability to complete the 

assignment within the proposed time 

frame and for the proposed cost. The 

consultant must agree to submit a 

detailed written report to the court and 

the Institute upon completion of the 

technical assistance. 

c. Likelihood of Implementation. 

What steps have been or would be taken 

to facilitate implementation of the 

consultant’s recommendations upon 

completion of the technical assistance? 

For example, if the support or 

cooperation of specific court officials or 

committees, other agencies, funding 

bodies, organizations, or a court other 

than the applicant would be needed to 

adopt the changes recommended by the 

consultant and approved by the court, 

how would they be involved in the 

review of the recommendations and 

development of the implementation 

plan? 

3. Budget and Matching State 

Contribution 

A completed Form C ‘‘Project Budget, 

Tabular Format’’ and budget narrative 

must be included with the letter 

requesting technical assistance. It 

should be noted that the maximum 

grant for Technical Assistance projects 

is raised to $50,000 in Fiscal Year 2010. 

The budget narrative should provide 

the basis for all project-related costs, 

including the basis for determining the 

estimated consultant costs, if 

compensation of the consultant is 

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

task times the requested daily 

consultant rate). Applicants should be 

aware that consultant rates above $800 

per day must be approved in advance by 

the Institute, and that no consultant will 

be paid more than $1,100 per day from 

Institute funds. In addition, the budget 

should provide for submission of two 

copies of the consultant’s final report to 

the Institute. 

Recipients of TA Grants do not have 

to submit an audit report but must 

maintain appropriate documentation to 

support expenditures (see section 

VI.A.3.). 

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4. Submission Requirements 

Letters of application should be 

received by the first day of the second 

month of a calendar quarter in order to 

be reviewed at the Board meeting for 

that quarter. 

If the support or cooperation of 

agencies, funding bodies, organizations, 

or courts other than the applicant would 

be needed in order for the consultant to 

perform the required tasks, written 

assurances of such support or 

cooperation should accompany the 

application letter. Support letters also 

may be submitted under separate cover; 

however, to ensure that there is 

sufficient time to bring them to the 

attention of the Institute’s Board of 

Directors, letters sent under separate 

cover should be received by the same 

date as the technical assistance request 

being supported. 

C. Curriculum Adaptation and Training 

(CAT) Grants 

1. Application Procedures 

In lieu of formal applications, 

applicants should submit an original 

and three photocopies of a detailed 

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

Institute Application;’’ Form B, 

‘‘Certificate of State Approval;’’ and 

Form C, ‘‘Project Budget, Tabular 

Format’’ (see Appendices). It should be 

noted that in FY 2010 the maximum 

amount for a CAT grant is raised to 

$30,000. 

2. Application Format 

Although there is no prescribed 

format for the letter, or a minimum or 

maximum page limit, letters of 

application should include the 

following information. 

a. For adaptation of a curriculum: 

(1) Project Description. What is the 

title of the model curriculum to be 

adapted and who originally developed 

it? Why is this education program 

needed at the present time? What are 

the project’s goals? What are the 

learning objectives of the adapted 

curriculum? What program components 

would be implemented, and what types 

of modifications, if any, are anticipated 

in length, format, learning objectives, 

teaching methods, or content? Who 

would be responsible for adapting the 

model curriculum? Who would the 

participants be, how many would there 

be, how would they be recruited, and 

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

a single local jurisdiction, from across 

the state, from a multi-state region, from 

across the nation)? 

(2) Need for Funding. Why are 

sufficient state or local resources 

unavailable to fully support the 

modification and presentation of the 

model curriculum? What is the potential 

for replicating or integrating the adapted 

curriculum in the future using state or 

local funds, once it has been 

successfully adapted and tested? 

(3) Likelihood of Implementation. 

What is the proposed timeline, 

including the project start and end 

dates? On what date(s) would the 

judicial branch education program be 

presented? What process would be used 

to modify and present the program? 

Who would serve as faculty, and how 

were they selected? What measures 

would be taken to facilitate subsequent 

presentations of the program? 

Ordinarily, an independent evaluation 

of a curriculum adaptation project is not 

required; however, the results of any 

evaluation should be included in the 

final report. 

(4) Expressions of Interest by Judges 

and/or Court Personnel. Does the 

proposed program have the support of 

the court system or association 

leadership, and of judges, court 

managers, and judicial branch education 

personnel who are expected to attend? 

Applicants may demonstrate this by 

attaching letters of support. 

b. For training assistance: 

(1) Need for Funding. What is the 

court reform or initiative prompting the 

need for training? How would the 

proposed training help the applicant 

implement planned changes at the 

court? Why are state or local resources 

not sufficient to fully support the costs 

of the required training? 

(2) Project Description. What tasks 

would the trainer(s) be expected to 

perform? Which organization or 

individual would be hired, if in-house 

personnel are not the trainers, to 

provide the training, and how was the 

trainer selected? If a trainer has not yet 

been identified, what procedures and 

criteria would be used to select the 

trainer? [Note: Applicants are expected 

to follow their jurisdictions’ normal 

procedures for procuring consultant 

services.] What specific tasks would the 

trainer and court staff or regional court 

association members undertake? What 

presentation methods will be used? 

What is the schedule for completion of 

each required task and the entire 

project? How would the applicant 

oversee the project and provide 

guidance to the trainer, and who at the 

court or affiliated with the regional 

court association would be responsible 

for coordinating all project tasks and 

submitting quarterly progress and 

financial status reports? 

If the trainer has been identified, the 

applicant should provide a letter from 

that individual or organization 

documenting interest in and availability 

for the project, as well as the trainer’s 

ability to complete the assignment 

within the proposed time frame and for 

the proposed cost. 

(3) Likelihood of Implementation. 

What steps have been or would be taken 

to coordinate the implementation of the 

new reform, initiative, etc. and the 

training to support the same? For 

example, if the support or cooperation 

of specific court or regional court 

association officials or committees, 

other agencies, funding bodies, 

organizations, or a court other than the 

applicant would be needed to adopt the 

reform and initiate the training 

proposed, how would they be involved 

in the review of the recommendations 

and development of the implementation 

plan? 

3. Budget and Matching State 

Contribution 

Applicants should attach a copy of 

budget Form C and a budget narrative 

(see subsection A.4. above) that 

describes the basis for the computation 

of all project-related costs and the 

source of the match offered. 

4. Submission Requirements 

Letters of application will be 

considered on a quarterly rolling basis. 

Applications should be received by the 

first day of the second month of a 

calendar quarter in order to be reviewed 

at the Board meeting for that quarter. 

For curriculum adaptation requests, 

applicants should allow at least 90 days 

between the Board meeting and the date 

of the proposed program to allow 

sufficient time for needed planning. 

Applicants are encouraged to call SJI 

staff to discuss concerns about timing of 

submissions. 

D. Partner Grants 

The Institute and its funding partners 

may meld, pick and choose, or waive 

their application procedures, grant 

cycles, or grant requirements to expedite 

the award of jointly-funded grants 

targeted at emerging or high priority 

problems confronting state and local 

courts. The Institute may solicit brief 

proposals from potential grantees to 

fellow financial partners as a first step. 

Should the Institute be chosen as the 

lead grant manager, Project Grant 

application procedures will apply to the 

proposed Partner Grant. As with Project 

Grants, Partner Grants will be targeted at 

initiatives likely to have a significant 

national impact. 

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E. Scholarships 

1. Limitations 

Applicants may not receive more than 

one scholarship in a two-year period 

unless the course specifically assumes 

multi-year participation, or the course is 

part of a graduate degree program in 

judicial studies in which the applicant 

is currently enrolled (neither exception 

should be taken as a commitment on the 

part of the Institute’s Board of Directors 

to approve serial scholarships). 

Attendance at annual or mid-year 

meetings or conferences of a state or 

national organization does not qualify as 

an out-of-state educational program for 

scholarship purposes, even though it 

may include workshops or other 

training sessions. 

Scholarship funds may be used only 

to cover the costs of tuition, 

transportation, and reasonable lodging 

expenses (not to exceed the GSA 

approved lodging rate for the location of 

the program, excluding taxes). 

Transportation expenses may include 

round-trip coach airfare or train fare. 

Scholarship recipients are strongly 

encouraged to take advantage of 

excursion or other special airfares (e.g., 

reductions offered when a ticket is 

purchased 21 days in advance of the 

travel date) when making their travel 

arrangements. Recipients who drive to a 

program site may receive the accepted 

GSA rate for mileage up to the amount 

of the advanced-purchase round-trip 

airfare between their homes and the 

program sites. Funds to pay tuition, 

transportation, and lodging expenses in 

excess of $1,500 and other costs of 

attending the program—such as meals, 

materials, transportation to and from 

airports, and local transportation 

(including rental cars)—at the program 

site must be obtained from other sources 

or borne by the scholarship recipient. 

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

scholarship recipient, with the 

exception of the day prior to the 

beginning of the training and the last 

day of training. Scholarship applicants 

are encouraged to check other sources of 

financial assistance and to combine aid 

from various sources whenever possible. 

A scholarship is not transferable to 

another individual. It may be used only 

for the course specified in the 

application unless the applicant’s 

request to attend a different course that 

meets the eligibility requirements is 

approved in writing by the Institute. 

Decisions on such requests will be made 

within 30 days after the receipt of the 

request letter. 

2. Eligibility Requirements 

a. Recipients. Scholarships can be 

awarded only to full-time judges of state 

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

personnel with management 

responsibilities; and supervisory and 

management probation personnel in 

judicial branch probation offices. Senior 

judges, part-time judges, quasi-judicial 

hearing officers including referees and 

commissioners, administrative law 

judges, staff attorneys, law clerks, line 

staff, law enforcement officers, and 

other executive branch personnel are 

not eligible to receive a scholarship. 

b. Courses. A scholarship can be 

awarded only for: (1) A course 

presented in a state other than the one 

in which the applicant resides or works, 

or (2) an online course. The course must 

be designed to enhance the skills of new 

or experienced judges and court 

managers; or be offered by a recognized 

graduate program for judges or court 

managers. 

Applicants are encouraged not to wait 

for the decision on a scholarship to 

register for an educational program they 

wish to attend. The Institute does not 

submit the names of scholarship 

recipients to educational organizations, 

nor provide the funds to the educational 

organization. Scholarship funds are 

provided as reimbursements to the 

scholarship recipient. 

3. Forms 

a. Scholarship Application—Form S1 

(Appendix D). The Scholarship 

Application requests basic information 

about the applicant and the educational 

program the applicant would like to 

attend. It also addresses the applicant’s 

commitment to share the skills and 

knowledge gained with local court 

colleagues. The Scholarship Application 

must bear the original signature of the 

applicant. Faxed or photocopied 

signatures will not be accepted. Please 

be sure to indicate whether the state 

will be providing funds for the project 

and, if so, how much. The Institute will 

not supplant state funds for these 

scholarships: It can only provide 

funding above the amount to be covered 

by the State. 

b. Scholarship Application 

Concurrence—Form S2 (Appendix D). 

Judges and court managers applying for 

scholarships must submit the original 

written concurrence of the Chief Justice 

of the State’s Supreme Court (or the 

Chief Justice’s designee) on the 

Institute’s Judicial Education 

Scholarship Concurrence form (see 

Appendix D). The signature of the 

presiding judge of the applicant’s court 

may not be substituted for that of the 

State’s Chief Justice or the Chief 

Justice’s designee. Court managers, 

other than elected clerks of court, also 

must submit a letter of support from 

their immediate supervisors. 

4. Submission Requirements 

Scholarship applications may be 

submitted at any time but will be 

reviewed on a quarterly basis. This 

means scholarships will be awarded on 

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

The dates for applications to be received 

by the Institute for consideration in FY 

10 are November 1, February 1, May 1, 

and August 1. (These are not mailing 

deadlines. The applications must be 

received by the Institute by each of 

these dates.) No exceptions or 

extensions will be granted. All the 

required items must be received for an 

application to be considered. If the 

Concurrence form or letter of support is 

sent separately from the application, the 

postmark date of the last item sent will 

be used in determining the review date. 

All applications should be sent by 

mail or courier (not fax or e-mail) to: 

Scholarship Program Coordinator, State 

Justice Institute, 1650 King Street, Suite 

600, Alexandria, VA 22314. 

V. Application Review Procedures 

A. Preliminary Inquiries 

The Institute staff will answer 

inquiries concerning application 

procedures. 

B. Selection Criteria 

1. Project Grant Applications 

a. Project Grant applications will be 

rated on the basis of the criteria set forth 

below. The Institute will accord the 

greatest weight to the following criteria: 

(1) The soundness of the 

methodology; 

(2) The demonstration of need for the 

project; 

(3) The appropriateness of the 

proposed evaluation design; 

(4) If applicable, the key findings and 

recommendations of the most recent 

evaluation and the proposed responses 

to those findings and recommendations; 

(5) The applicant’s management plan 

and organizational capabilities; 

(6) The qualifications of the project’s 

staff; 

(7) The products and benefits 

resulting from the project, including the 

extent to which the project will have 

long-term benefits for state courts across 

the nation; 

(8) The degree to which the findings, 

procedures, training, technology, or 

other results of the project can be 

transferred to other jurisdictions; 

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(9) The reasonableness of the 

proposed budget; and 

(10) The demonstration of cooperation 

and support of other agencies that may 

be affected by the project. 

(11) The proposed project’s 

relationship to one of the Special 

Interest Criteria and Categories set forth 

in section III.A. 

b. In determining which projects to 

support, the Institute will also consider 

whether the applicant is a state court, a 

national court support or education 

organization, a non-court unit of 

government, or other type of entity 

eligible to receive grants under the 

Institute’s enabling legislation (see 

section II.); the availability of financial 

assistance from other sources for the 

project; the amount of the applicant’s 

match; the extent to which the proposed 

project would also benefit the federal 

courts or help state courts enforce 

federal constitutional and legislative 

requirements; and the level of 

appropriations available to the Institute 

in the current year and the amount 

expected to be available in succeeding 

fiscal years. 

2. Technical Assistance (TA) Grant 

Applications 

TA Grant applications will be rated 

on the basis of the following criteria: 

a. Whether the assistance would 

address a critical need of the applicant; 

b. The soundness of the technical 

assistance approach to the problem; 

c. The qualifications of the 

consultant(s) to be hired or the specific 

criteria that will be used to select the 

consultant(s); 

d. The commitment of the court or 

association to act on the consultant’s 

recommendations; and 

e. The reasonableness of the proposed 

budget. 

The Institute also will consider factors 

such as the level and nature of the 

match that would be provided, diversity 

of subject matter, geographic diversity, 

the level of appropriations available to 

the Institute in the current year, and the 

amount expected to be available in 

succeeding fiscal years. 

3. Curriculum Adaptation and Training 

(CAT) Grant Applications 

CAT Grant applications will be rated 

on the basis of the following criteria: 

a. For curriculum adaptation projects: 

(1) The goals and objectives of the 

proposed project; 

(2) The need for outside funding to 

support the program; 

(3) The appropriateness of the 

approach in achieving the project’s 

educational objectives; 

(4) The likelihood of effective 

implementation and integration of the 

modified curriculum into ongoing 

educational programming; and 

(5) Expressions of interest by the 

judges and/or court personnel who 

would be directly involved in or 

affected by the project. 

b. For training assistance: 

(1) Whether the training would 

address a critical need of the court or 

association; 

(2) The soundness of the training 

approach to the problem; 

(3) The qualifications of the trainer(s) 

to be hired or the specific criteria that 

will be used to select the trainer(s); 

(4) The commitment of the court or 

association to the training program; and 

(5) The reasonableness of the 

proposed budget. 

The Institute will also consider factors 

such as the reasonableness of the 

amount requested, compliance with 

match requirements, diversity of subject 

matter, geographic diversity, the level of 

appropriations available in the current 

year, and the amount expected to be 

available in succeeding fiscal years. 

4. Partner Grants 

The selection criteria for Partner 

Grants will be driven by the collective 

priorities of the Institute and other 

organizations and their collective 

assessments regarding the needs and 

capabilities of court and court-related 

organizations. Having settled on 

priorities, the Institute and its financial 

partners will likely contact the courts or 

court-related organizations most 

acceptable as pilots, laboratories, 

consultants, or the like. 

5. Scholarships 

Scholarships will be approved only 

for programs that either: (1) Enhance the 

skills of judges and court managers; or 

(2) are part of a graduate degree program 

for judges or court personnel. 

Scholarships will be awarded on the 

basis of: 

a. The date on which the application 

and concurrence (and support letter, if 

required) were sent (‘‘first come, first 

considered’’); 

b. The unavailability of state or local 

funds or scholarship funds from another 

source to cover the costs of attending 

the program, or participating online; 

c. The absence of educational 

programs in the applicant’s state 

addressing the topic(s) covered by the 

educational program for which the 

scholarship is being sought; 

d. Geographic balance among the 

recipients; 

e. The balance of scholarships among 

educational providers and programs; 

f. The balance of scholarships among 

the types of courts and court personnel 

(trial judge, appellate judge, trial court 

administrator) represented; and 

g. The level of appropriations 

available to the Institute in the current 

year and the amount expected to be 

available in succeeding fiscal years. 

The postmark or courier receipt will 

be used to determine the date on which 

the application form and other required 

items were sent. 

C. Review and Approval Process 

1. Project Grant Applications 

The Institute’s Board of Directors will 

review the applications competitively. 

The Institute staff will prepare a 

narrative summary and a rating sheet 

assigning points for each relevant 

selection criterion. The staff will present 

the narrative summaries and rating 

sheets to the Board for its review. The 

Board will review all application 

summaries and decide which projects it 

will fund. The decision to fund a project 

is solely that of the Board of Directors. 

The Chairman of the Board will sign 

approved awards on behalf of the 

Institute. 

2. Technical Assistance (TA) and 

Curriculum Adaptation and Training 

(CAT) Grant Applications 

The Institute staff will prepare a 

narrative summary of each application 

and a rating sheet assigning points for 

each relevant selection criterion. The 

Board of Directors may delegate its 

authority to approve TA and CAT 

Grants to the committee established for 

each program. The Board or the 

committee will review the applications 

competitively. 

The Chairman of the Board will sign 

approved awards on behalf of the 

Institute. 

3. Scholarships 

A committee of the Institute’s Board 

of Directors will review scholarship 

applications quarterly. The Board of 

Directors has delegated its authority to 

approve scholarships to the committee 

established for the program. The 

committee will review the applications 

competitively. In the event of a tie vote, 

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

sign approved awards on behalf of the 

Institute. 

4. Partner Grants 

The Institute’s internal process for the 

review and approval of Partner Grants 

will depend upon negotiations with 

fellow financiers. The Institute may use 

its procedures, a partner’s procedures, a 

mix of both, or entirely unique 

procedures. All Partner Grants will be 

approved by the Board of Directors on 

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whatever schedule makes sense at the 

time. 

D. Return Policy 

Unless a specific request is made, 

unsuccessful applications will not be 

returned. Applicants are advised that 

Institute records are subject to the 

provisions of the Federal Freedom of 

Information Act, 5 U.S.C. 552. 

E. Notification of Board Decision 

The Institute will send written notice 

to applicants concerning all Board 

decisions to approve, defer, or deny 

their respective applications. For all 

applications (except scholarships), if 

requested the Institute will convey the 

key issues and questions that arose 

during the review process. A decision 

by the Board to deny an application may 

not be appealed, but it does not prohibit 

resubmission of a proposal based on 

that application in a subsequent funding 

cycle. The Institute will also notify the 

State Court Administrator when grants 

are approved by the Board to support 

projects that will be conducted by or 

involve courts in that State. 

F. Response to Notification of Approval 

With the exception of those approved 

for scholarships, applicants have 30 

days from the date of the letter notifying 

them that the Board has approved their 

application to respond to any revisions 

requested by the Board. If the requested 

revisions (or a reasonable schedule for 

submitting such revisions) have not 

been submitted to the Institute within 

30 days after notification, the approval 

may be rescinded and the application 

presented to the Board for 

reconsideration. In the event an issue 

will only be resolved after award, such 

as the selection of a consultant, the final 

award document will include a Special 

Condition that will require additional 

grantee reporting and Institute review 

and approval. Special Conditions, in the 

form of incentives or sanctions, may 

also be used in situations where past 

poor performance by a grantee 

necessitates increased grant oversight. 

VI. Compliance Requirements 

The State Justice Institute Act 

contains limitations and conditions on 

grants, contracts, and cooperative 

agreements awarded by the Institute. 

The Board of Directors has approved 

additional policies governing the use of 

Institute grant funds. These statutory 

and policy requirements are set forth 

below. 

A. Recipients of Project Grants 

1. Advocacy 

No funds made available by the 

Institute may be used to support or 

conduct training programs for the 

purpose of advocating particular nonjudicial public policies or encouraging 

non-judicial political activities (42 

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

2. Approval of Key Staff 

If the qualifications of an employee or 

consultant assigned to a key project staff 

position are not described in the 

application or if there is a change of a 

person assigned to such a position, the 

recipient must submit a description of 

the qualifications of the newly assigned 

person to the Institute. Prior written 

approval of the qualifications of the new 

person assigned to a key staff position 

must be received from the Institute 

before the salary or consulting fee of 

that person and associated costs may be 

paid or reimbursed from grant funds 

(see section VIII.A.7.). 

3. Audit 

Recipients of project grants must 

provide for an annual fiscal audit which 

includes an opinion on whether the 

financial statements of the grantee 

present fairly its financial position and 

its financial operations are in 

accordance with generally accepted 

accounting principles (see section VII.K. 

for the requirements of such audits). 

Scholarship recipients, Curriculum 

Adaptation and Training Grants, and 

Technical Assistance Grants are not 

required to submit an audit, but they 

must maintain appropriate 

documentation to support all 

expenditures (see section VIII.K.). 

4. Budget Revisions 

Budget revisions among direct cost 

categories that: (a) Transfer grant funds 

to an unbudgeted cost category, or (b) 

individually or cumulatively exceed 

five percent of the approved original 

budget or the most recently approved 

revised budget require prior Institute 

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

5. Conflict of Interest 

Personnel and other officials 

connected with Institute-funded 

programs must adhere to the following 

requirements: 

a. No official or employee of a 

recipient court or organization shall 

participate personally through decision, 

approval, disapproval, recommendation, 

the rendering of advice, investigation, or 

otherwise in any proceeding, 

application, request for a ruling or other 

determination, contract, grant, 

cooperative agreement, claim, 

controversy, or other particular matter 

in which Institute funds are used, 

where, to his or her knowledge, he or 

she or his or her immediate family, 

partners, organization other than a 

public agency in which he or she is 

serving as officer, director, trustee, 

partner, or employee or any person or 

organization with whom he or she is 

negotiating or has any arrangement 

concerning prospective employment, 

has a financial interest. 

b. In the use of Institute project funds, 

an official or employee of a recipient 

court or organization shall avoid any 

action which might result in or create 

the appearance of: 

(1) Using an official position for 

private gain; or 

(2) Affecting adversely the confidence 

of the public in the integrity of the 

Institute program. 

c. Requests for proposals or 

invitations for bids issued by a recipient 

of Institute funds or a subgrantee or 

subcontractor will provide notice to 

prospective bidders that the contractors 

who develop or draft specifications, 

requirements, statements of work, and/ 

or requests for proposals for a proposed 

procurement will be excluded from 

bidding on or submitting a proposal to 

compete for the award of such 

procurement. 

6. Inventions and Patents 

If any patentable items, patent rights, 

processes, or inventions are produced in 

the course of Institute-sponsored work, 

such fact shall be promptly and fully 

reported to the Institute. Unless there is 

a prior agreement between the grantee 

and the Institute on disposition of such 

items, the Institute shall determine 

whether protection of the invention or 

discovery shall be sought. The Institute 

will also determine how the rights in 

the invention or discovery, including 

rights under any patent issued thereon, 

shall be allocated and administered in 

order to protect the public interest 

consistent with ‘‘Government Patent 

Policy’’ (President’s Memorandum for 

Heads of Executive Departments and 

Agencies, February 18, 1983, and 

statement of Government Patent Policy). 

7. Lobbying 

a. Funds awarded to recipients by the 

Institute shall not be used, indirectly or 

directly, to influence Executive Orders 

or similar promulgations by federal, 

state or local agencies, or to influence 

the passage or defeat of any legislation 

by federal, state or local legislative 

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

b. It is the policy of the Board of 

Directors to award funds only to support 

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applications submitted by organizations 

that would carry out the objectives of 

their applications in an unbiased 

manner. Consistent with this policy and 

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

Institute will not knowingly award a 

grant to an applicant that has, directly 

or through an entity that is part of the 

same organization as the applicant, 

advocated a position before Congress on 

the specific subject matter of the 

application. 

8. Matching Requirements 

All grantees other than scholarship 

recipients are required to provide a 

match. A match is the portion of project 

costs not borne by the Institute. Match 

includes both cash and in-kind 

contributions. Cash match is the direct 

outlay of funds by the grantee or a third 

party to support the project. In-kind 

match consists of contributions of time 

and/or services of current staff 

members, new employees, space, 

supplies, etc., made to the project by the 

grantee or others (e.g., advisory board 

members) working directly on the 

project or that portion of the grantee’s 

Federally approved indirect cost rate 

that exceeds the Guideline’s limit of 

permitted charges (75 percent of salaries 

and benefits). 

Under normal circumstances, 

allowable match may be incurred only 

during the project period. When 

appropriate, and with the prior written 

permission of the Institute, match may 

be incurred from the date of the Board 

of Directors’ approval of an award. The 

amount and nature of required match 

depends on the type of grant (see 

section III.). 

The grantee is responsible for 

ensuring that the total amount of match 

proposed is actually contributed. If a 

proposed contribution is not fully met, 

the Institute may reduce the award 

amount accordingly, in order to 

maintain the ratio originally provided 

for in the award agreement (see section 

VII.E.1.). 

The Board of Directors looks favorably 

upon any unrequired match contributed 

by applicants when making grant 

decisions. The match requirement may 

be waived in exceptionally rare 

circumstances upon the request of the 

Chief Justice of the highest court in the 

State or the highest ranking official in 

the requesting organization and 

approval by the Board of Directors (42 

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

encourages all applicants to provide the 

maximum amount of cash and in-kind 

match possible, even if a waiver is 

approved. The amount and nature of 

match are criteria in the grant selection 

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

9. Nondiscrimination 

No person may, on the basis of race, 

sex, national origin, disability, color, or 

creed be excluded from participation in, 

denied the benefits of, or otherwise 

subjected to discrimination under any 

program or activity supported by 

Institute funds. Recipients of Institute 

funds must immediately take any 

measures necessary to effectuate this 

provision. 

10. Political Activities 

No recipient may contribute or make 

available Institute funds, program 

personnel, or equipment to any political 

party or association, or the campaign of 

any candidate for public or party office. 

Recipients are also prohibited from 

using funds in advocating or opposing 

any ballot measure, initiative, or 

referendum. Officers and employees of 

recipients shall not intentionally 

identify the Institute or recipients with 

any partisan or nonpartisan political 

activity associated with a political party 

or association, or the campaign of any 

candidate for public or party office (42 

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

11. Products 

a. Acknowledgment, Logo, and 

Disclaimer. 

(1) Recipients of Institute funds must 

acknowledge prominently on all 

products developed with grant funds 

that support was received from the 

Institute. The ‘‘SJI’’ logo must appear on 

the front cover of a written product, or 

in the opening frames of a multimedia 

product, unless another placement is 

approved in writing by the Institute. 

This includes final products printed or 

otherwise reproduced during the grant 

period, as well as re-printings or 

reproductions of those materials 

following the end of the grant period. A 

camera-ready logo sheet is available on 

the Institute’s Web site: http:// 

www.sji.gov/forms. 

(2) Recipients also must display the 

following disclaimer on all grant 

products: ‘‘This [document, film, 

videotape, etc.] was developed under 

[grant/cooperative agreement] number 

SJI-[insert number] from the State 

Justice Institute. The points of view 

expressed are those of the [author(s), 

filmmaker(s), etc.] and do not 

necessarily represent the official 

position or policies of the State Justice 

Institute.’’ 

b. Charges for Grant-Related Products/ 

Recovery of Costs 

(1) When Institute funds fully cover 

the cost of developing, producing, and 

disseminating a product (e.g., a report, 

curriculum, videotape, or software), the 

product should be distributed to the 

field without charge. When Institute 

funds only partially cover the 

development, production, or 

dissemination costs, the grantee may, 

with the Institute’s prior written 

approval, recover its costs for 

developing, producing, and 

disseminating the material to those 

requesting it, to the extent that those 

costs were not covered by Institute 

funds or grantee matching 

contributions. 

(2) Applicants should disclose their 

intent to sell grant-related products in 

the application. Grantees must obtain 

the written prior approval of the 

Institute of their plans to recover project 

costs through the sale of grant products. 

Written requests to recover costs 

ordinarily should be received during the 

grant period and should specify the 

nature and extent of the costs to be 

recouped, the reason that such costs 

were not budgeted (if the rationale was 

not disclosed in the approved 

application), the number of copies to be 

sold, the intended audience for the 

products to be sold, and the proposed 

sale price. If the product is to be sold 

for more than $25, the written request 

also should include a detailed 

itemization of costs that will be 

recovered and a certification that the 

costs were not supported by either 

Institute grant funds or grantee 

matching contributions. 

(3) In the event that the sale of grant 

products results in revenues that exceed 

the costs to develop, produce, and 

disseminate the product, the revenue 

must continue to be used for the 

authorized purposes of the Institutefunded project or other purposes 

consistent with the State Justice 

Institute Act that have been approved by 

the Institute (see section VII.G.). 

c. Copyrights 

Except as otherwise provided in the 

terms and conditions of an Institute 

award, a recipient is free to copyright 

any books, publications, or other 

copyrightable materials developed in 

the course of an Institute-supported 

project, but the Institute shall reserve a 

royalty-free, nonexclusive and 

irrevocable right to reproduce, publish, 

or otherwise use, and to authorize 

others to use, the materials for purposes 

consistent with the State Justice 

Institute Act. 

d. Due Date 

All products and, for TA and CAT 

grants, consultant and/or trainer reports 

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

completed and distributed (see below) 

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not later than the end of the award 

period, not the 90-day close out period. 

The latter is only intended for grantee 

final reporting and to liquidate 

obligations (see section VII.L.). 

e. Distribution 

In addition to the distribution 

specified in the grant application, 

grantees shall send: 

(1) Five (5) copies of each final 

product developed with grant funds to 

the Institute, unless the product was 

developed under either a Technical 

Assistance or a Curriculum Adaptation 

and Training Grant, in which case 

submission of 2 copies is required; 

(2) An electronic version of the 

product in .html or .pdf format to the 

Institute; and 

(3) One copy of each final product 

developed with grant funds to the 

library established in each State to 

collect materials prepared with Institute 

support. A list of the libraries is 

contained in Appendix A. Labels for 

these libraries are available on the 

Institute’s Web site, http://www.SJI.org. 

(4) Bound copies of products, where 

possible and cost-effective, rather than 

hard copies in ring binders, to SJI 

depository libraries. Grantees that 

develop Web-based electronic products 

must send an announcement/ 

description of the document and 

indicate where it may be obtained to the 

SJI-designated libraries and other 

appropriate audiences to alert them to 

the availability of the Web site or 

electronic product. Recipients of 

Technical Assistance and Curriculum 

Adaptation and Training Grants are not 

required to submit final products to 

State libraries. 

f. Institute Approval 

No grant funds may be obligated for 

publication or reproduction of a final 

product developed with grant funds 

without the written approval of the 

Institute. Grantees shall submit a final 

draft of each written product to the 

Institute for review and approval. The 

draft must be submitted at least 30 days 

before the product is scheduled to be 

sent for publication or reproduction to 

permit Institute review and 

incorporation of any appropriate 

changes required by the Institute. 

Grantees must provide for timely 

reviews by the Institute of Web site or 

other multimedia products at the 

treatment, script, rough cut, and final 

stages of development or their 

equivalents. 

g. Original Material 

All products prepared as the result of 

Institute-supported projects must be 

originally developed material unless 

otherwise specified in the award 

documents. Material not originally 

developed that is included in such 

products must be properly identified, 

whether the material is in a verbatim or 

extensive paraphrase format. 

12. Prohibition Against Litigation 

Support 

No funds made available by the 

Institute may be used directly or 

indirectly to support legal assistance to 

parties in litigation, including cases 

involving capital punishment. 

13. Reporting Requirements 

a. Recipients of Institute funds other 

than scholarships must submit 

Quarterly Progress and Financial Status 

Reports within 30 days of the close of 

each calendar quarter (that is, no later 

than January 30, April 30, July 30, and 

October 30). The Quarterly Progress 

Reports shall include a narrative 

description of project activities during 

the calendar quarter, the relationship 

between those activities and the task 

schedule and objectives set forth in the 

approved application or an approved 

adjustment thereto, any significant 

problem areas that have developed and 

how they will be resolved, and the 

activities scheduled during the next 

reporting period. Failure to comply with 

the requirements of this provision could 

result in the termination of a grantee’s 

award. 

b. The quarterly Financial Status 

Report must be submitted in accordance 

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

A final project Progress Report and 

Financial Status Report shall be 

submitted within 90 days after the end 

of the grant period in accordance with 

section VII.L.1. of this Guideline. 

14. Research 

a. Availability of Research Data for 

Secondary Analysis: 

Upon request, grantees must make 

available for secondary analysis a 

diskette(s) or data tape(s) containing 

research and evaluation data collected 

under an Institute grant and the 

accompanying code manual. Grantees 

may recover the actual cost of 

duplicating and mailing or otherwise 

transmitting the data set and manual 

from the person or organization 

requesting the data. Grantees may 

provide the requested data set in the 

format in which it was created and 

analyzed. 

b. Confidentiality of Information 

Except as provided by federal law 

other than the State Justice Institute Act, 

no recipient of financial assistance from 

SJI may use or reveal any research or 

statistical information furnished under 

the Act by any person and identifiable 

to any specific private person for any 

purpose other than the purpose for 

which the information was obtained. 

Such information and copies thereof 

shall be immune from legal process, and 

shall not, without the consent of the 

person furnishing such information, be 

admitted as evidence or used for any 

purpose in any action, suit, or other 

judicial, legislative, or administrative 

proceedings. 

c. Human Subject Protection 

Human subjects are defined as 

individuals who are participants in an 

experimental procedure or who are 

asked to provide information about 

themselves, their attitudes, feelings, 

opinions, and/or experiences through an 

interview, questionnaire, or other data 

collection technique. All research 

involving human subjects shall be 

conducted with the informed consent of 

those subjects and in a manner that will 

ensure their privacy and freedom from 

risk or harm and the protection of 

persons who are not subjects of the 

research but would be affected by it, 

unless such procedures and safeguards 

would make the research impractical. In 

such instances, the Institute must 

approve procedures designed by the 

grantee to provide human subjects with 

relevant information about the research 

after their involvement and to minimize 

or eliminate risk or harm to those 

subjects due to their participation. 

15. State and Local Court Applications 

Each application for funding from a 

State or local court must be approved, 

consistent with State law, by the State’s 

Supreme Court, or its designated agency 

or council. The Supreme Court or its 

designee shall receive, administer, and 

be accountable for all funds awarded on 

the basis of such an application (42 

U.S.C. 10705(b)(4)). See section VII.C.2. 

16. Supplantation and Construction 

To ensure that Institute funds are 

used to supplement and improve the 

operation of state courts, rather than to 

support basic court services, Institute 

funds shall not be used for the following 

purposes: 

a. To supplant State or local funds 

supporting a program or activity (such 

as paying the salary of court employees 

who would be performing their normal 

duties as part of the project, or paying 

rent for space which is part of the 

court’s normal operations); 

b. To construct court facilities or 

structures, except to remodel existing 

facilities or to demonstrate new 

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architectural or technological 

techniques, or to provide temporary 

facilities for new personnel or for 

personnel involved in a demonstration 

or experimental program; or 

c. Solely to purchase equipment. 

17. Suspension or Termination of 

Funding 

After providing a recipient reasonable 

notice and opportunity to submit 

written documentation demonstrating 

why fund termination or suspension 

should not occur, the Institute may 

terminate or suspend funding of a 

project that fails to comply substantially 

with the Act, the Guideline, or the terms 

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

10708(a)). 

18. Title to Property 

At the conclusion of the project, title 

to all expendable and nonexpendable 

personal property purchased with 

Institute funds shall vest in the recipient 

court, organization, or individual that 

purchased the property if certification is 

made to and approved by the Institute 

that the property will continue to be 

used for the authorized purposes of the 

Institute-funded project or other 

purposes consistent with the State 

Justice Institute Act. If such certification 

is not made or the Institute disapproves 

such certification, title to all such 

property with an aggregate or individual 

value of $1,000 or more shall vest in the 

Institute, which will direct the 

disposition of the property. 

B. Recipients of Technical Assistance 

(TA) and Curriculum Adaptation and 

Training (CAT) Grants 

Recipients of TA and CAT Grants 

must comply with the requirements 

listed in section VI.A. (except the 

requirements pertaining to audits in 

subsection A.3. above and product 

dissemination and approval in 

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

reporting requirements below: 

1. Technical Assistance (TA) Grant 

Reporting Requirements 

Recipients of TA Grants must submit 

to the Institute one copy of a final report 

that explains how it intends to act on 

the consultant’s recommendations, as 

well as two copies of the consultant’s 

written report. 

2. Curriculum Adaptation and Training 

(CAT) Grant Reporting Requirements 

Recipients of CAT Grants must submit 

one copy of the agenda or schedule, 

outline of presentations and/or relevant 

instructor’s notes, copies of overhead 

transparencies, power point 

presentations, or other visual aids, 

exercises, case studies and other 

background materials, hypotheticals, 

quizzes, and other materials involving 

the participants, manuals, handbooks, 

conference packets, evaluation forms, 

and suggestions for replicating the 

program, including possible faculty or 

the preferred qualifications or 

experience of those selected as faculty, 

developed under the grant at the 

conclusion of the grant period, along 

with a final report that includes any 

evaluation results and explains how the 

grantee intends to present the 

educational program in the future, as 

well as two copies of the consultant’s or 

trainer’s report. 

C. Scholarship Recipients 

1. Scholarship recipients are 

responsible for disseminating the 

information received from the course to 

their court colleagues locally and, if 

possible, throughout the State. 

Recipients also must submit to the 

Institute a certificate of attendance at 

the program and a copy of the notice of 

any scholarship funds received from 

other sources. A State or local 

jurisdiction may impose additional 

requirements on scholarship recipients. 

2. To receive the funds authorized by 

a scholarship award, recipients must 

submit a Scholarship Payment Voucher 

(Form S3) together with a tuition 

statement from the program sponsor, a 

transportation fare receipt (or statement 

of the driving mileage to and from the 

recipient’s home to the site of the 

educational program), and a lodging 

receipt. 

Scholarship Payment Vouchers must 

be submitted within 90 days after the 

end of the course, which the recipient 

attended. 

3. Scholarship recipients are 

encouraged to check with their tax 

advisors to determine whether the 

scholarship constitutes taxable income 

under Federal and State law. 

D. Partner Grants 

The compliance requirements for 

Partner Grant recipients will depend 

upon the agreements struck between the 

grant financiers and between lead 

financiers and grantees. Should SJI be 

the lead, the compliance requirements 

for Project Grants will apply, unless 

specific arrangements are determined by 

the Partners. 

VII. Financial Requirements 

A. Purpose 

The purpose of this section is to 

establish accounting system 

requirements and offer guidance on 

procedures to assist all grantees, 

subgrantees, contractors, and other 

organizations in: 

1. Complying with the statutory 

requirements for the award, 

disbursement, and accounting of funds; 

2. Complying with regulatory 

requirements of the Institute for the 

financial management and disposition 

of funds; 

3. Generating financial data to be used 

in planning, managing, and controlling 

projects; and 

4. Facilitating an effective audit of 

funded programs and projects. 

B. References 

Except where inconsistent with 

specific provisions of this Guideline, the 

following circulars are applicable to 

Institute grants and cooperative 

agreements under the same terms and 

conditions that apply to Federal 

grantees. The circulars supplement the 

requirements of this section for 

accounting systems and financial 

record-keeping and provide additional 

guidance on how these requirements 

may be satisfied (circulars may be 

obtained on the OMB Web site at 

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

1. Office of Management and Budget 

(OMB) Circular A–21, Cost Principles 

for Educational Institutions. 

2. Office of Management and Budget 

(OMB) Circular A–87, Cost Principles 

for State and Local Governments. 

3. Office of Management and Budget 

(OMB) Circular A–102, Uniform 

Administrative Requirements for 

Grants-in-Aid to State and Local 

Governments. 

4. Office of Management and Budget 

(OMB) Circular A–110, Grants and 

Agreements with Institutions of Higher 

Education, Hospitals and Other NonProfit Organizations. 

5. Office of Management and Budget 

(OMB) Circular A–122, Cost Principles 

for Non-profit Organizations. 

6. Office of Management and Budget 

(OMB) Circular A–133, Audits of States, 

Local Governments and Non-profit 

Organizations. 

C. Supervision and Monitoring 

Responsibilities 

1. Grantee Responsibilities 

All grantees receiving awards from 

the Institute are responsible for the 

management and fiscal control of all 

funds. Responsibilities include 

accounting for receipts and 

expenditures, maintaining adequate 

financial records, and refunding 

expenditures disallowed by audits. 

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2. Responsibilities of the State Supreme 

Court 

a. Each application for funding from 

a State or local court must be approved, 

consistent with State law, by the State’s 

Supreme Court, or its designated agency 

or council. 

b. The State Supreme Court or its 

designee shall receive all Institute funds 

awarded to such courts; be responsible 

for assuring proper administration of 

Institute funds; and be responsible for 

all aspects of the project, including 

proper accounting and financial recordkeeping by the subgrantee. These 

responsibilities include: 

(1) Reviewing Financial Operations. 

The State Supreme Court or its designee 

should be familiar with, and 

periodically monitor, its subgrantees’ 

financial operations, records system, 

and procedures. Particular attention 

should be directed to the maintenance 

of current financial data. 

(2) Recording Financial Activities. 

The subgrantee’s grant award or contract 

obligation, as well as cash advances and 

other financial activities, should be 

recorded in the financial records of the 

State Supreme Court or its designee in 

summary form. Subgrantee expenditures 

should be recorded on the books of the 

State Supreme Court or evidenced by 

report forms duly filed by the 

subgrantee. Matching contributions 

provided by subgrantees should 

likewise be recorded, as should any 

project income resulting from program 

operations. 

(3) Budgeting and Budget Review. The 

State Supreme Court or its designee 

should ensure that each subgrantee 

prepares an adequate budget as the basis 

for its award commitment. The State 

Supreme Court should maintain the 

details of each project budget on file. 

(4) Accounting for Match. The State 

Supreme Court or its designee will 

ensure that subgrantees comply with the 

match requirements specified in this 

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

(5) Audit Requirement. The State 

Supreme Court or its designee is 

required to ensure that subgrantees meet 

the necessary audit requirements set 

forth by the Institute (see sections K. 

below and VI.A.3.). 

(6) Reporting Irregularities. The State 

Supreme Court, its designees, and its 

subgrantees are responsible for 

promptly reporting to the Institute the 

nature and circumstances surrounding 

any financial irregularities discovered. 

D. Accounting System 

The grantee is responsible for 

establishing and maintaining an 

adequate system of accounting and 

internal controls and for ensuring that 

an adequate system exists for each of its 

subgrantees and contractors. An 

acceptable and adequate accounting 

system: 

1. Properly accounts for receipt of 

funds under each grant awarded and the 

expenditure of funds for each grant by 

category of expenditure (including 

matching contributions and project 

income); 

2. Assures that expended funds are 

applied to the appropriate budget 

category included within the approved 

grant; 

3. Presents and classifies historical 

costs of the grant as required for 

budgetary and evaluation purposes; 

4. Provides cost and property controls 

to assure optimal use of grant funds; 

5. Is integrated with a system of 

internal controls adequate to safeguard 

the funds and assets covered, check the 

accuracy and reliability of the 

accounting data, promote operational 

efficiency, and assure conformance with 

any general or special conditions of the 

grant; 

6. Meets the prescribed requirements 

for periodic financial reporting of 

operations; and 

7. Provides financial data for 

planning, control, measurement, and 

evaluation of direct and indirect costs. 

E. Total Cost Budgeting and Accounting 

Accounting for all funds awarded by 

the Institute must be structured and 

executed on a ‘‘Total Project Cost’’ basis. 

That is, total project costs, including 

Institute funds, State and local matching 

shares, and any other fund sources 

included in the approved project budget 

serve as the foundation for fiscal 

administration and accounting. Grant 

applications and financial reports 

require budget and cost estimates on the 

basis of total costs. 

1. Timing of Matching Contributions 

Matching contributions need not be 

applied at the exact time of the 

obligation of Institute funds. Ordinarily, 

the full matching share must be 

obligated during the award period; 

however, with the written permission of 

the Institute, contributions made 

following approval of the grant by the 

Institute’s Board of Directors, but before 

the beginning of the grant, may be 

counted as match. Grantees that do not 

anticipate making matching 

contributions continuously throughout 

the course of a project, or on a task-bytask basis, are required to submit a 

schedule within 30 days after the 

beginning of the project period 

indicating at what points during the 

project period the matching 

contributions will be made. If a 

proposed cash or in-kind match is not 

fully met, the Institute may reduce the 

award amount accordingly to maintain 

the ratio of grant funds to matching 

funds stated in the award agreement. 

2. Records for Match 

All grantees must maintain records 

that clearly show the source, amount, 

and timing of all matching 

contributions. In addition, if a project 

has included, within its approved 

budget, contributions which exceed the 

required matching portion, the grantee 

must maintain records of those 

contributions in the same manner as it 

does Institute funds and required 

matching shares. For all grants made to 

State and local courts, the State 

Supreme Court has primary 

responsibility for grantee/subgrantee 

compliance with the requirements of 

this section (see subsection C.2. above). 

F. Maintenance and Retention of 

Records 

All financial records, including 

supporting documents, statistical 

records, and all other information 

pertinent to grants, subgrants, 

cooperative agreements, or contracts 

under grants, must be retained by each 

organization participating in a project 

for at least three years for purposes of 

examination and audit. State Supreme 

Courts may impose record retention and 

maintenance requirements in addition 

to those prescribed in this section. 

1. Coverage 

The retention requirement extends to 

books of original entry, source 

documents supporting accounting 

transactions, the general ledger, 

subsidiary ledgers, personnel and 

payroll records, canceled checks, and 

related documents and records. Source 

documents include copies of all grant 

and subgrant awards, applications, and 

required grantee/subgrantee financial 

and narrative reports. Personnel and 

payroll records shall include the time 

and attendance reports for all 

individuals reimbursed under a grant, 

subgrant or contract, whether they are 

employed full-time or part-time. Time 

and effort reports are required for 

consultants. 

2. Retention Period 

The three-year retention period starts 

from the date of the submission of the 

final expenditure report. 

3. Maintenance 

Grantees and subgrantees are 

expected to see that records of different 

fiscal years are separately identified and 

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maintained so that requested 

information can be readily located. 

Grantees and subgrantees are also 

obligated to protect records adequately 

against fire or other damage. When 

records are stored away from the 

grantee’s/subgrantee’s principal office, a 

written index of the location of stored 

records should be on hand, and ready 

access should be assured. 

4. Access 

Grantees and subgrantees must give 

any authorized representative of the 

Institute access to and the right to 

examine all records, books, papers, and 

documents related to an Institute grant. 

G. Project-Related Income 

Records of the receipt and disposition 

of project-related income must be 

maintained by the grantee in the same 

manner as required for the project funds 

that gave rise to the income and must be 

reported to the Institute (see subsection 

H.2. below). The policies governing the 

disposition of the various types of 

project-related income are listed below. 

1. Interest 

A state and any agency or 

instrumentality of a State, including 

institutions of higher education and 

hospitals, shall not be held accountable 

for interest earned on advances of 

project funds. When funds are awarded 

to subgrantees through a State, the 

subgrantees are not held accountable for 

interest earned on advances of project 

funds. Local units of government and 

nonprofit organizations that are grantees 

must refund any interest earned. 

Grantees shall ensure minimum 

balances in their respective grant cash 

accounts. 

2. Royalties 

The grantee/subgrantee may retain all 

royalties received from copyrights or 

other works developed under projects or 

from patents and inventions, unless the 

terms and conditions of the grant 

provide otherwise. 

3. Registration and Tuition Fees 

Registration and tuition fees may be 

considered as cash match with the prior 

written approval of the Institute. 

Estimates of registration and tuition 

fees, and any expenses to be offset by 

the fees, should be included in the 

application budget forms and narrative. 

4. Income from the Sale of Grant 

Products 

If the sale of products occurs during 

the project period, the income may be 

treated as cash match with the prior 

written approval of the Institute. The 

costs and income generated by the sales 

must be reported on the Quarterly 

Financial Status Reports and 

documented in an auditable manner. 

Whenever possible, the intent to sell a 

product should be disclosed in the 

application or reported to the Institute 

in writing once a decision to sell 

products has been made. The grantee 

must request approval to recover its 

product development, reproduction, 

and dissemination costs as specified in 

section VI.A.11.b. 

5. Other 

Other project income shall be treated 

in accordance with disposition 

instructions set forth in the grant’s terms 

and conditions. 

H. Payments and Financial Reporting 

Requirements 

1. Payment of Grant Funds 

The procedures and regulations set 

forth below are applicable to all 

Institute grant funds and grantees. 

a. Request for Advance or 

Reimbursement of Funds. Grantees will 

receive funds on a U.S. Treasury 

‘‘check-issued’’ or electronic funds 

transfer (EFT) basis. Upon receipt, 

review, and approval of a Request for 

Advance or Reimbursement by the 

Institute, payment will be issued 

directly to the grantee or its designated 

fiscal agent. A request must be limited 

to the grantee’s immediate cash needs. 

The Request for Advance or 

Reimbursement Form R), along with the 

instructions for its preparation, and the 

SF 3881 Automated Clearing House 

(ACH/Miscellaneous Payment 

Enrollment Form for EFT) are available 

on the Institute’s Web site: http:// 

www.sji.gov/forms.php. 

b. Termination of Advance and 

Reimbursement Funding. When a 

grantee organization receiving cash 

advances from the Institute: 

(1) Demonstrates an unwillingness or 

inability to attain program or project 

goals, or to establish procedures that 

will minimize the time elapsing 

between cash advances and 

disbursements, or is unable to adhere to 

guideline requirements or special 

conditions; 

(2) Engages in the improper award 

and administration of subgrants or 

contracts; or 

(3) Is unable to submit reliable and/ 

or timely reports; the Institute may 

terminate advance financing and require 

the grantee organization to finance its 

operations with its own working capital. 

Payments to the grantee shall then be 

made by U.S. Treasury check or EFT to 

reimburse the grantee for actual cash 

disbursements. In the event the grantee 

continues to be deficient, the Institute 

may suspend reimbursement payments 

until the deficiencies are corrected. In 

extreme cases, grants may be 

terminated. 

c. Principle of Minimum Cash on 

Hand. Grantees should request funds 

based upon immediate disbursement 

requirements. Grantees should time 

their requests to ensure that cash on 

hand is the minimum needed for 

disbursements to be made immediately 

or within a few days. 

2. Financial Reporting 

a. General Requirements. To obtain 

financial information concerning the 

use of funds, the Institute requires that 

grantees/subgrantees submit timely 

reports for review. 

b. Due Dates and Contents. A 

Financial Status Report is required from 

all grantees, other than scholarship 

recipients, for each active quarter on a 

calendar-quarter basis. This report is 

due within 30 days after the close of the 

calendar quarter. It is designed to 

provide financial information relating to 

Institute funds, State and local matching 

shares, project income, and any other 

sources of funds for the project, as well 

as information on obligations and 

outlays. A copy of the Financial Status 

Report, along with instructions for its 

preparation, are provided on the SJI 

Web site. If a grantee requests 

substantial payments for a project prior 

to the completion of a given quarter, the 

Institute may request a brief summary of 

the amount requested, by object class, to 

support the Request for Advance or 

Reimbursement. 

3. Consequences of Non-Compliance 

with Submission Requirement 

Failure of the grantee to submit 

required financial and progress reports 

may result in suspension or termination 

of grant payments. 

I. Allowability of Costs 

1. General 

Except as may be otherwise provided 

in the conditions of a particular grant, 

cost allowability is determined in 

accordance with the principles set forth 

in OMB Circulars A–21, Cost Principles 

Applicable to Grants and Contracts with 

Educational Institutions; A–87, Cost 

Principles for State and Local 

Governments; and A–122, Cost 

Principles for Non-profit Organizations. 

No costs may be recovered to 

liquidate obligations incurred after the 

approved grant period. Circulars may be 

obtained on the OMB Web site at http:// 

www.whitehouse.gov/omb. 

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2. Costs Requiring Prior Approval 

a. Pre-agreement Costs. The written 

prior approval of the Institute is 

required for costs considered necessary 

but which occur prior to the start date 

of the project period. 

b. Equipment. Grant funds may be 

used to purchase or lease only that 

equipment essential to accomplishing 

the goals and objectives of the project. 

The written prior approval of the 

Institute is required when the amount of 

automated data processing (ADP) 

equipment to be purchased or leased 

exceeds $10,000 or software to be 

purchased exceeds $3,000. 

c. Consultants. The written prior 

approval of the Institute is required 

when the rate of compensation to be 

paid a consultant exceeds $800 a day. 

Institute funds may not be used to pay 

a consultant more than $1,100 per day. 

d. Budget Revisions. Budget revisions 

among direct cost categories that (i) 

transfer grant funds to an unbudgeted 

cost category or (ii) individually or 

cumulatively exceed five percent (5%) 

of the approved original budget or the 

most recently approved revised budget 

require prior Institute approval (see 

section VIII.A.1.). 

3. Travel Costs 

Transportation and per diem rates 

must comply with the policies of the 

grantee. If the grantee does not have an 

established written travel policy, then 

travel rates must be consistent with 

those established by the Federal 

Government. Institute funds may not be 

used to cover the transportation or per 

diem costs of a member of a national 

organization to attend an annual or 

other regular meeting, or conference of 

that organization. 

4. Indirect Costs 

Indirect costs are only applicable to 

organizations that are not state courts or 

government agencies. These are costs of 

an organization that are not readily 

assignable to a particular project but are 

necessary to the operation of the 

organization and the performance of the 

project. The cost of operating and 

maintaining facilities, depreciation, and 

administrative salaries are examples of 

the types of costs that are usually 

treated as indirect costs. Although the 

Institute’s policy requires all costs to be 

budgeted directly, it will accept indirect 

costs if a grantee has an indirect cost 

rate approved by a federal agency as set 

forth below. However, recoverable 

indirect costs are limited to no more 

than 75 percent of a grantee’s direct 

personnel costs (salaries plus fringe 

benefits). 

a. Approved Plan Available. 

(1) A copy of an indirect cost rate 

agreement or allocation plan approved 

for a grantee during the preceding two 

years by any federal granting agency on 

the basis of allocation methods 

substantially in accord with those set 

forth in the applicable cost circulars 

must be submitted to the Institute. 

(2) Where flat rates are accepted in 

lieu of actual indirect costs, grantees 

may not also charge expenses normally 

included in overhead pools, e.g., 

accounting services, legal services, 

building occupancy and maintenance, 

etc., as direct costs. 

b. Establishment of Indirect Cost 

Rates. To be reimbursed for indirect 

costs, a grantee must first establish an 

appropriate indirect cost rate. To do 

this, the grantee must prepare an 

indirect cost rate proposal and submit it 

to the Institute within three months 

after the start of the grant period to 

assure recovery of the full amount of 

allowable indirect costs. The rate must 

be developed in accordance with 

principles and procedures appropriate 

to the type of grantee institution 

involved as specified in the applicable 

OMB Circular. 

c. No Approved Plan. If an indirect 

cost proposal for recovery of indirect 

costs is not submitted to the Institute 

within three months after the start of the 

grant period, indirect costs will be 

irrevocably disallowed for all months 

prior to the month that the indirect cost 

proposal is received. 

J. Procurement and Property 

Management Standards 

1. Procurement Standards 

For state and local governments, the 

Institute has adopted the standards set 

forth in Attachment O of OMB Circular 

A–102. Institutions of higher education, 

hospitals, and other non-profit 

organizations will be governed by the 

standards set forth in Attachment O of 

OMB Circular A–110. 

2. Property Management Standards 

The property management standards 

as prescribed in Attachment N of OMB 

Circulars A–102 and A–110 apply to all 

Institute grantees and subgrantees 

except as provided in section VI.A.18. 

All grantees/subgrantees are required to 

be prudent in the acquisition and 

management of property with grant 

funds. If suitable property required for 

the successful execution of projects is 

already available within the grantee or 

subgrantee organization, expenditures of 

grant funds for the acquisition of new 

property will be considered 

unnecessary. 

K. Audit Requirements 

1. Implementation 

Each recipient of a Project Grant must 

provide for an annual fiscal audit. This 

requirement also applies to a state or 

local court receiving a subgrant from the 

State Supreme Court. The audit may be 

of the entire grantee or subgrantee 

organization or of the specific project 

funded by the Institute. Audits 

conducted in accordance with the 

Single Audit Act of 1984 and OMB 

Circular A–133, will satisfy the 

requirement for an annual fiscal audit. 

The audit must be conducted by an 

independent Certified Public 

Accountant, or a State or local agency 

authorized to audit government 

agencies. Grantees must send two copies 

of the audit report to the Institute. 

Grantees that receive funds from a 

Federal agency and satisfy audit 

requirements of the cognizant Federal 

agency must submit two copies of the 

audit report prepared for that Federal 

agency to the Institute in order to satisfy 

the provisions of this section. 

2. Resolution and Clearance of Audit 

Reports 

Timely action on recommendations 

by responsible management officials is 

an integral part of the effectiveness of an 

audit. Each grantee must have policies 

and procedures for acting on audit 

recommendations by designating 

officials responsible for: (1) Follow-up, 

(2) maintaining a record of the actions 

taken on recommendations and time 

schedules, (3) responding to and acting 

on audit recommendations, and (4) 

submitting periodic reports to the 

Institute on recommendations and 

actions taken. 

3. Consequences of Non-Resolution of 

Audit Issues 

Ordinarily, the Institute will not make 

a subsequent grant award to an 

applicant that has an unresolved audit 

report involving Institute awards. 

Failure of the grantee to resolve audit 

questions may also result in the 

suspension or termination of payments 

for active Institute grants to that 

organization. 

L. Close-Out of Grants 

1. Grantee Close-Out Requirements 

Within 90 days after the end date of 

the grant or any approved extension 

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

following documents must be submitted 

to the Institute by grantees (other than 

scholarship recipients): 

a. Financial Status Report. The final 

report of expenditures must have no 

unliquidated obligations and must 

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indicate the exact balance of 

unobligated funds. Any unobligated/ 

unexpended funds will be deobligated 

from the award by the Institute. Final 

payment requests for obligations 

incurred during the award period must 

be submitted to the Institute prior to the 

end of the 90-day close-out period. 

Grantees who have drawn down funds 

in excess of their obligations/ 

expenditures must return any unused 

funds as soon as it is determined that 

the funds are not required. In no 

instance should any unused funds 

remain with the grantee beyond the 

submission date of the final Financial 

Status Report. 

b. Final Progress Report. This report 

should describe the project activities 

during the final calendar quarter of the 

project and the close-out period, 

including to whom project products 

have been disseminated; provide a 

summary of activities during the entire 

project; specify whether all the 

objectives set forth in the approved 

application or an approved adjustment 

have been met and, if any of the 

objectives have not been met, explain 

why not; and discuss what, if anything, 

could have been done differently that 

might have enhanced the impact of the 

project or improved its operation. 

These reporting requirements apply at 

the conclusion of every grant other than 

a scholarship. 

2. Extension of Close-out Period 

Upon the written request of the 

grantee, the Institute may extend the 

close-out period to assure completion of 

the grantee’s close-out requirements. 

Requests for an extension must be 

submitted at least 14 days before the 

end of the close-out period and must 

explain why the extension is necessary 

and what steps will be taken to assure 

that all the grantee’s responsibilities 

will be met by the end of the extension 

period 

VIII. Grant Adjustments 

All requests for programmatic or 

budgetary adjustments requiring 

Institute approval must be submitted by 

the project director in a timely manner 

(ordinarily 30 days prior to the 

implementation of the adjustment being 

requested). All requests for changes 

from the approved application will be 

carefully reviewed for both consistency 

with this Guideline and the 

enhancement of grant goals and 

objectives. Failure to submit 

adjustments in a timely manner may 

result in the termination of a grantee’s 

award. 

A. Grant Adjustments Requiring Prior 

Written Approval 

The following grant adjustments 

require the prior written approval of the 

Institute: 

1. Budget revisions among direct cost 

categories that (a) transfer grant funds to 

an unbudgeted cost category or (b) 

individually or cumulatively exceed 

five percent (5%) of the approved 

original budget or the most recently 

approved revised budget (see section 

VII.I.2.d.). 

2. A change in the scope of work to 

be performed or the objectives of the 

project (see subsection D. below). 

3. A change in the project site. 

4. A change in the project period, 

such as an extension of the grant period 

and/or extension of the final financial or 

progress report deadline (see subsection 

E. below). 

5. Satisfaction of special conditions, if 

required. 

6. A change in or temporary absence 

of the project director (see subsections 

F. and G. below). 

7. The assignment of an employee or 

consultant to a key staff position whose 

qualifications were not described in the 

application, or a change of a person 

assigned to a key project staff position 

(see section VI.A.2.). 

8. A change in or temporary absence 

of the person responsible for managing 

and reporting on the grant’s finances. 

9. A change in the name of the grantee 

organization. 

10. A transfer or contracting out of 

grant-supported activities (see 

subsection H. below). 

11. A transfer of the grant to another 

recipient. 

12. Pre-agreement costs (see section 

VII.I.2.a.). 

13. The purchase of automated data 

processing equipment and software (see 

section VII.I.2.b.). 

14. Consultant rates (see section 

VII.I.2.c.). 

15. A change in the nature or number 

of the products to be prepared or the 

manner in which a product would be 

distributed. 

B. Requests for Grant Adjustments 

All grantees must promptly notify SJI, 

in writing, of events or proposed 

changes that may require adjustments to 

the approved project design. In 

requesting an adjustment, the grantee 

must set forth the reasons and basis for 

the proposed adjustment and any other 

information the program manager 

determines would help the Institute’s 

review. 

C. Notification of Approval/Disapproval 

If the request is approved, the grantee 

will be sent a Grant Adjustment signed 

by the Executive Director, or his or her 

designee. If the request is denied, the 

grantee will be sent a written 

explanation of the reasons for the 

denial. 

D. Changes in the Scope of the Grant 

Major changes in scope, duration, 

training methodology, or other 

significant areas must be approved in 

advance by the Institute. A grantee may 

make minor changes in methodology, 

approach, or other aspects of the grant 

to expedite achievement of the grant’s 

objectives with subsequent notification 

of the SJI program manager. 

E. Date Changes 

A request to change or extend the 

grant period must be made at least 30 

days in advance of the end date of the 

grant. A revised task plan should 

accompany a request for an extension of 

the grant period, along with a revised 

budget if shifts among budget categories 

will be needed. A request to change or 

extend the deadline for the final 

financial report or final progress report 

must be made at least 14 days in 

advance of the report deadline (see 

section VII.L.2.). 

F. Temporary Absence of the Project 

Director 

Whenever an absence of the project 

director is expected to exceed a 

continuous period of one month, the 

plans for the conduct of the project 

director’s duties during such absence 

must be approved in advance by the 

Institute. This information must be 

provided in a letter signed by an 

authorized representative of the grantee/ 

subgrantee at least 30 days before the 

departure of the project director, or as 

soon as it is known that the project 

director will be absent. The grant may 

be terminated if arrangements are not 

approved in advance by the Institute. 

G. Withdrawal of/Change in Project 

Director 

If the project director relinquishes or 

expects to relinquish active direction of 

the project, the Institute must be 

notified immediately. In such cases, if 

the grantee/subgrantee wishes to 

terminate the project, the Institute will 

forward procedural instructions upon 

notification of such intent. If the grantee 

wishes to continue the project under the 

direction of another individual, a 

statement of the candidate’s 

qualifications should be sent to the 

Institute for review and approval. The 

grant may be terminated if the 

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qualifications of the proposed 

individual are not approved in advance 

by the Institute. 

H. Transferring or Contracting Out of 

Grant-Supported Activities 

No principal activity of a grantsupported project may be transferred or 

contracted out to another organization 

without specific prior approval by the 

Institute. All such arrangements must be 

formalized in a contract or other written 

agreement between the parties involved. 

Copies of the proposed contract or 

agreement must be submitted for prior 

approval of the Institute at the earliest 

possible time. The contract or agreement 

must state, at a minimum, the activities 

to be performed, the time schedule, the 

policies and procedures to be followed, 

the dollar limitation of the agreement, 

and the cost principles to be followed in 

determining what costs, both direct and 

indirect, will be allowed. The contract 

or other written agreement must not 

affect the grantee’s overall responsibility 

for the direction of the project and 

accountability to the Institute. 

State Justice Institute Board of 

Directors 

Robert A. Miller, Chairman, Chief 

Justice (ret.), Supreme Court of 

South Dakota, Pierre, SD. 

Joseph F. Baca, Vice Chairman, Chief 

Justice (ret.), New Mexico Supreme 

Court, Albuquerque, NM. 

Sandra A. O’Connor, Secretary, States 

Attorney of Baltimore County (ret.), 

Towson, MD. 

Keith McNamara, Esq., Executive 

Committee Member, McNamara & 

McNamara, Columbus, OH. 

Terrence B. Adamson, Esq., Executive 

Vice President, The National 

Geographic Society, Washington, 

DC. 

Robert N. Baldwin, Executive Vice 

President and General Counsel, 

National Center for State Courts, 

Richmond, VA. 

Sophia H. Hall, Administrative 

Presiding Judge, Circuit Court of 

Cook County, Chicago, IL 

Tommy Jewell, Presiding Children’s 

Court Judge (ret.), Albuquerque, 

NM. 

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

Albuquerque, NM. 

Janice T. Munsterman, Executive 

Director (ex officio). 

Janice Munsterman, 

Executive Director. 

Appendix A—SJI Libraries: Designated 

Sites and Contacts 

Alabama 

Supreme Court Library 

Mr. Timothy A. Lewis, State Law 

Librarian, Alabama Supreme Court, 

Judicial Building, 300 Dexter Avenue, 

Montgomery, AL 36104, (334) 242– 

4347, director@alalinc.net. 

Alaska 

Anchorage Law Library 

Ms. Cynthia S. Fellows, State Law 

Librarian, Alaska State Court Law 

Library, 303 K Street, Anchorage, AK 

99501, (907) 264–0583, 

cfellows@courts.state.ak.us. 

Arizona 

Supreme Court Library 

Ms. Lani Orosco, Staff Assistant, 

Arizona Supreme Court, Staff 

Attorney’s Office Library, 1501 W. 

Washington, Suite 445, Phoenix, AZ 

85007, (602) 542–5028, 

lorosco@supreme.sp.state.az.us. 

Arkansas 

Administrative Office of the Courts 

Mr. James D. Gingerich, Director, 

Administrative Office of the Courts, 

Supreme Court of Arkansas, Justice 

Building, 625 Marshall Street, Little 

Rock, AR 72201, (501) 682–9400, 

jd.gingerich@arkansas.gov. 

California 

Administrative Office of the Courts 

Mr. William C. Vickrey, Administrative 

Director of the Courts, Administrative 

Office of the Courts, 455 Golden Gate 

Avenue, San Francisco, CA 94102, 

(415) 865–4235, 

william.vickrey@jud.ca.gov. 

Colorado 

Supreme Court Library 

Ms. Linda Gruenthal, Deputy Supreme 

Court Law Librarian, 2 East 14th 

Avenue, Denver, CO 80203, (303) 

837–3720, cscltech@state.co.us. 

Connecticut 

State Library 

Ms. Denise D. Jernigan, Law Librarian, 

Connecticut State Library, 231 Capitol 

Avenue, Hartford, CT 06106, (860) 

757–6598, djernigan@cslib.org. 

Delaware 

Administrative Office of the Courts 

Mr. Michael E. McLaughlin, Deputy 

Director, Administrative Office of the 

Courts, Carvel State Office Building, 

820 North French Street, 11th Floor, 

P.O. Box 8911, Wilmington, DE 

19801, (302) 577–8481, 

michael.mclaughlin@state.de.us. 

District of Columbia 

Executive Office, District of Columbia 

Courts 

Ms. Anne B. Wicks, Executive Officer, 

District of Columbia Courts, 500 

Indiana Avenue, NW., Suite 1500, 

Washington, DC 20001, (202) 879– 

1700, Wicksab@dcsc.gov. 

Florida 

Administrative Office of the Courts 

Ms. Elisabeth H. Goodner, State Courts 

Administrator, Office of the State 

Courts Administrator, Florida 

Supreme Court, Supreme Court 

Building, 500 South Duval Street, 

Tallahassee, FL 32399, (850) 922– 

5081, goodnerl@flcourts.org. 

Georgia 

Administrative Office of the Courts 

Mr. David Ratley, Director, 

Administrative Office of the Courts, 

244 Washington Street SW., Suite 

300, Atlanta, GA 30334, (404) 656– 

5171, ratleydl@gaaoc.us. 

Hawaii 

Supreme Court Library 

Ms. Ann Koto, State Law Librarian, The 

Supreme Court Law Library, 417 

South King St., Room 119, Honolulu, 

HI 96813, (808) 539–4964, 

Ann.S.Koto@courts.state.hi.us. 

Idaho 

AOC Judicial Education Library/State 

Law Library 

Mr. Richard Visser, State Law Librarian, 

Idaho State Law Library, Supreme 

Court Building, 451 West State St., 

Boise, ID 83720, (208) 334–3316, 

lawlibrary@isc.state.id.us. 

Illinois 

Supreme Court Library 

Ms. Brenda Larison, Supreme Court of 

Illinois Library, 200 East Capitol 

Avenue, Springfield, IL 62701–1791, 

(217) 782–2425, 

blarison@court.state.il.us. 

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Indiana 

Supreme Court Library 

Ms. Terri L. Ross, Supreme Court 

Librarian, Supreme Court Library, 

State House, Room 316, Indianapolis, 

IN 46204, (317) 232–2557, 

tross@courts.state.in.us. 

Iowa 

Administrative Office of the Court 

Dr. Jerry K. Beatty, Director of Judicial 

Branch Education, Iowa Judicial 

Branch, Iowa Judicial Branch 

Building, 1111 East Court Avenue, 

Des Moines, IA 50319, (515) 242– 

0190, jerry.beatty@jb.state.ia.us. 

Kansas 

Supreme Court Library 

Mr. Fred Knecht, Law Librarian, Kansas 

Supreme Court Library, Kansas 

Judicial Center, 301 S.W. 10th 

Avenue, Topeka, KS 66612, (785) 

296–3257, knechtf@kscourts.org. 

Kentucky 

State Law Library 

Ms. Vida Vitagliano, Cataloging and 

Research Librarian, Kentucky 

Supreme Court Library, 700 Capitol 

Avenue, Suite 200, Frankfort, KY 

40601, (502) 564–4185, 

vidavitagliano@mail.aoc.state.ky.us. 

Louisiana 

State Law Library 

Ms. Carol Billings, Director, Louisiana 

Law Library, Louisiana Supreme 

Court Building, 400 Royal Street, New 

Orleans, LA 70130, (504) 310–2401, 

cbillings@lasc.org. 

Maine 

State Law and Legislative Reference 

Library 

Ms. Lynn E. Randall, State Law 

Librarian, 43 State House Station, 

Augusta, ME 04333, (207) 287–1600, 

lynn.randall@legislature.maine.gov. 

Maryland 

State Law Library 

Mr. Steve Anderson, Director, Maryland 

State Law Library, Court of Appeal 

Building, 361 Rowe Boulevard, 

Annapolis, MD 21401, (410) 260– 

1430, 

steve.anderson@courts.state.md.us. 

Massachusetts 

Middlesex Law Library 

Ms. Linda Hom, Librarian, Middlesex 

Law Library, Superior Court House, 

40 Thorndike Street, Cambridge, MA 

02141, (617) 494–4148, 

midlawlib@yahoo.com. 

Michigan 

Michigan Judicial Institute 

Dawn F. McCarty, Director, Michigan 

Judicial Institute, P.O. Box 30205, 

Lansing, MI 48909, (517) 373–7509, 

mccartyd@courts.mi.gov. 

Minnesota 

State Law Library (Minnesota Judicial 

Center) 

Ms. Barbara L. Golden, State Law 

Librarian, G25 Minnesota Judicial 

Center, 25 Rev. Dr. Martin Luther 

King Jr. Boulevard, St. Paul, MN 

55155, (612) 297–2089, 

barb.golden@courts.state.mn.us. 

Mississippi 

Mississippi Judicial College 

Hon. Leslie G. Johnson, Executive 

Director, Mississippi Judicial College, 

P.O. Box 8850, University, MS 38677, 

(662) 915–5955, lwleslie@olemiss.edu. 

Montana 

State Law Library 

Ms. Judith Meadows, State Law 

Librarian, State Law Library of 

Montana, P.O. Box 203004, Helena, 

MT 59620, (406) 444–3660, 

jmeadows@mt.gov. 

Nebraska 

Administrative Office of the Courts 

Mr. Philip D. Gould, Director, Judicial 

Branch Education, Administrative 

Office of the Courts/Probation, 521 

South 14th St., Suite 200, Lincoln, NE 

68508–2707, (402) 471–3072 (office)/ 

(402) 471–3071 (fax), 

pgould@nsc.state.ne.us. 

Nevada 

Ms. Kathleen Harrington, Law Librarian, 

Nevada Supreme Court Law Library, 

201 S. Carson Street, Suite 100, 

Carson City, Nevada 89701–4702, 

(775) 684–1715. 

New Hampshire 

New Hampshire Law Library 

Ms. Mary Searles, Technical Services 

Law Librarian, New Hampshire Law 

Library, Supreme Court Building, One 

Noble Drive, Concord, NH 03301– 

6160, (603) 271–3777, 

msearles@courts.state.nh.us. 

New Jersey 

New Jersey State Library 

Mr. Thomas O’Malley, Supervising Law 

Librarian, New Jersey State Law 

Library, 185 West State Street, P.O. 

Box 520, Trenton, NJ 08625–0250, 

(609) 292–6230, 

tomalley@njstatelib.org. 

New Mexico 

Supreme Court Library 

Mr. Thaddeus Bejnar, Librarian, 

Supreme Court Library, Post Office 

Drawer L, Santa Fe, NM 87504, (505) 

827–4850. 

New York 

Supreme Court Library 

Ms. Barbara Briggs, Law Librarian, 

Syracuse Supreme Court Law Library, 

401 Montgomery Street, Syracuse, NY 

13202, (315) 671–1150, 

bbriggs@courts.state.ny.us. 

North Carolina 

Supreme Court Library 

Mr. Thomas P. Davis, Librarian, North 

Carolina Supreme Court Library, 500 

Justice Building, 2 East Morgan Street, 

Raleigh, NC 27601, (919) 733–3425, 

tpd@sc.state.nc.us. 

North Dakota 

Supreme Court Library 

Ms. Marcella Kramer, Assistant Law 

Librarian, Supreme Court Law 

Library, 600 East Boulevard Avenue, 

Dept. 182, 2nd Floor Judicial Wing, 

Bismarck, ND 58505–0540, (701) 328– 

2229, mkramer@ndcourts.com. 

Northern Mariana Islands 

Supreme Court of the Northern Mariana 

Islands 

Ms. Margarita M. Palacios, Director of 

Courts, Supreme Court of the 

Commonwealth of the Northern 

Mariana Islands, P.O. Box 502165, 

Saipan, MP 96950, (670) 235–9700, 

supremecourt@saipan.com. 

Ohio 

Supreme Court Library 

Mr. Ken Kozlowski, Director, Law 

Library, Supreme Court of Ohio, 65 

South Front Street, 11th Floor, 

Columbus, OH 43215–3431, (614) 

387–9666, 

kozlowsk@sconet.state.oh.us. 

Oklahoma 

Administrative Office of the Courts 

Mr. Michael D. Evans, State Court 

Administrator, Administrative Office 

of the Courts, 1915 North Stiles 

Avenue, Suite 305, Oklahoma City, 

OK 73105, (405) 521–2450, 

mike.evans@oscn.net. 

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Oregon 

Administrative Office of the Courts 

Ms. Kingsley W. Click, State Court 

Administrator, Oregon Judicial 

Department, Supreme Court Building, 

1163 State Street, Salem, OR 97301, 

(503) 986–5500, 

kingsley.w.click@ojd.state.or.us. 

Pennsylvania 

State Library of Pennsylvania 

Ms. Kathleen Kline, Collection 

Management Librarian, State Library 

of Pennsylvania, Bureau of State 

Library, 333 Market Street, 

Harrisburg, PA 17126–1745, (717) 

787–5718, kakline@state.pa.us. 

Puerto Rico 

Office of Court Administration 

Alfredo Rivera-Mendoza, Esq., Director, 

Area of Planning and Management, 

Office of Court Administration, P.O. 

Box 917, Hato Rey, PR 00919. 

Rhode Island 

Roger Williams University 

Ms. Gail Winson, Director of Law 

Library/Associate Professor of Law, 

Roger Williams University, School of 

Law Library, 10 Metacom Avenue, 

Bristol, RI 02809, 401/254–4531, 

gwinson@law.rwu.edu. 

South Carolina 

Coleman Karesh Law Library 

(University of South Carolina School of 

Law) 

Mr. Steve Hinckley, Director, Coleman 

Karesh Law Library, University of 

South Carolina, Main and Green 

Streets, Columbia, SC 29208, (803) 

777–5944, hinckley@law.sc.edu. 

South Dakota 

State Law Library 

Librarian, South Dakota State Law 

Library, 500 East Capitol, Pierre, 

South Dakota 57501, (605) 773–4898, 

donnis.deyo@ujs.state.sd.ud. 

Tennessee 

Tennessee State Law Library 

Hon. Cornelia A. Clark, Executive 

Director, Administrative Office of the 

Courts, 511 Union Street, Suite 600, 

Nashville, TN 37219, (615) 741–2687, 

cclark@tscmail.state.tn.us. 

Texas 

State Law Library 

Mr. Marcelino A. Estrada, Director, State 

Law Library, P.O. Box 12367, Austin, 

TX 78711, (512) 463–1722, 

tony.estrada@sll.state.tx.us. 

U.S. Virgin Islands 

Library of the Territorial Court of the 

Virgin Islands (St. Thomas) 

Librarian, The Library, Territorial Court 

of the Virgin Islands, Post Office Box 

70, Charlotte Amalie, St. Thomas, 

Virgin Islands 00804. 

Utah 

Utah State Judicial Administration 

Library 

Ms. Jessica Van Buren, Utah State 

Library, 450 South State Street, P.O. 

Box 140220, Salt Lake City, UT 

84114–0220, (801) 238–7991, 

jessicavb@email.utcourts.gov. 

Vermont 

Supreme Court of Vermont 

Mr. Paul J. Donovan, Law Librarian, 

Vermont Department of Libraries, 109 

State Street, Pavilion Office Building, 

Montpelier, VT 05609, (802) 828– 

3268, paul.donovan@dol.state.vt.us. 

Virginia 

Administrative Office of the Courts 

Ms. Gail Warren, State Law Librarian, 

Virginia State Law Library, Supreme 

Court of Virginia, 100 North Ninth 

Street, 2nd Floor, Richmond, VA 

23219–2335, (804) 786–2075, 

gwarren@courts.state.va.us. 

Washington 

Washington State Law Library 

Ms. Kay Newman, State Law Librarian, 

Washington State Law Library, 

Temple of Justice, P.O. Box 40751, 

Olympia, WA 98504–0751, (360) 357– 

2136, kay.newman@courts.wa.gov. 

West Virginia 

Supreme Court of Appeals Library 

Ms. Kaye Maerz, State Law Librarian, 

West Virginia Supreme Court of 

Appeals Library, 1900 Kanawha 

Boulevard East, Building 1, Room E– 

404, Charleston, WV 25305, (304) 

558–2607, kaye.maerz@courts.wv.org. 

Wisconsin 

State Law Library 

Ms. Jane Colwin, State Law Librarian, 

State Law Library, 120 M.L.K. Jr. 

Boulevard, Madison, WI 53703, (608) 

261–2340, jane.colwin@wicourts.gov. 

Wyoming 

Wyoming State Law Library 

Ms. Kathy Carlson, Law Librarian, 

Wyoming State Law Library, Supreme 

Court Building, 2301 Capitol Avenue, 

Cheyenne, WY 82002, (307) 777– 

7509, Kcarlson@courts.state.wy.us. 

National 

American Judicature Society 

Ms. Deborah Sulzbach, Acquisitions 

Librarian, Drake University, Law 

Library, Opperman Hall, 2507 

University Avenue, Des Moines, IA 

50311–4505, (515) 271–3784, 

deborah.sulzbach@drake.edu. 

National Center for State Courts 

Ms. Joan Cochet, Library Specialist, 

National Center for State Courts, 300 

Newport Avenue, Williamsburg, VA 

23185–4147, (757) 259–1826, 

library@ncsc.dni.us. 

National Judicial College 

Mr. Randall Snyder, Law Librarian, 

National Judicial College, Judicial 

College Building MS 358, Reno, NV 

89557, (775) 327–8278, 

snyder@judges.org. 

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

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