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Wednesday,

December 5, 2007

Part II

State Justice Institute


Grant Guideline; Notice
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68620 Federal Register / Vol. 72, No. 233 / Wednesday, December 5, 2007 / Notices

STATE JUSTICE INSTITUTE I. The Mission of the State Justice justice system agencies in the
Institute development, maintenance, and
Grant Guideline, Notice coordination of criminal, civil, and
The Institute was established by
Public Law 98–620 to improve the juvenile justice programs and services.
AGENCY: State Justice Institute.
administration of justice in the State II. Eligibility for Award
ACTION: Final Grant Guideline for 2008. courts of the United States. Incorporated
The Institute is authorized by
in the State of Virginia as a private,
SUMMARY: This Guideline sets forth the Congress to award grants, cooperative
nonprofit corporation, the Institute is
administrative, programmatic, and agreements, and contracts to the
charged, by statute, with the
financial requirements attendant to following entities and types of
responsibility to:
organizations:
Fiscal Year 2008 State Justice Institute • Direct a national program of
grants, cooperative agreements, and A. State and local courts and their
financial assistance designed to assure
contracts. agencies (42 U.S.C. 10705(b)(1)(A)).
that each citizen of the United States is B. National nonprofit organizations
provided ready access to a fair and controlled by, operating in conjunction
DATES: December 5, 2007.
effective system of justice; with, and serving the judicial branches
FOR FURTHER INFORMATION CONTACT: • Foster coordination and of State governments (42 U.S.C.
Janice Munsterman, Executive Director, cooperation with the Federal judiciary; 10705(b)(1)(B)).
State Justice Institute, 1650 King St. • Promote recognition of the C. National nonprofit organizations
(Suite 600), Alexandria, VA 22314, (703) importance of the separation of powers for the education and training of judges
684–6100 X202, doctrine to an independent judiciary; and support personnel of the judicial
jmunsterman@statejustice.org. and branch of State governments (42 U.S.C.
• Encourage education for judges and 10705(b)(1)(C)). An applicant is
SUPPLEMENTARY INFORMATION: Pursuant support personnel of State court systems
to the State Justice Institute Act of 1984, considered a national education and
through national and State training applicant under section
42 U.S.C. 10701, et seq., as amended, organizations, including universities.
the Institute is authorized to award 10705(b)(1)(C) if:
To accomplish these broad objectives, 1. The principal purpose or activity of
grants, cooperative agreements, and the Institute is authorized to provide
contracts to State and local courts, the applicant is to provide education
funds to State courts, national and training to State and local judges
nonprofit organizations, and others for organizations which support and are
the purpose of improving the quality of and court personnel; and
supported by State courts, national 2. The applicant demonstrates a
justice in the State courts of the United judicial education organizations, and
States. record of substantial experience in the
other organizations that can assist in field of judicial education and training.
Final appropriations legislation for improving the quality of justice in the D. Other eligible grant recipients (42
fiscal year (FY) 2008 is still pending. State courts. The Institute is supervised U.S.C. 10705 (b)(2)(A)–(D)).
The House-passed version (H.R. 3093) by a Board of Directors appointed by the 1. Provided that the objectives of the
includes $4,640,000 for the Institute in President, with the consent of the project can be served better, the Institute
FY 2008; the Senate passed version (S. Senate. The Board is statutorily is also authorized to make awards to:
1745) of the bill includes $3,500,000. composed of six judges; a State court a. Nonprofit organizations with
Regardless of the final amount administrator; and four members of the expertise in judicial administration;
provided to the Institute for FY 2008, public, no more than two can be of the b. Institutions of higher education;
the Institute’s Board of Directors intends same political party. c. Individuals, partnerships, firms,
to solicit grant applications across the Through the award of grants, corporations (for-profit organizations
range of grant programs available. contracts, and cooperative agreements, must waive their fees); and
The following Grant Guideline is the Institute is authorized to perform the d. Private agencies with expertise in
adopted by the State Justice Institute for following activities: judicial administration.
A. Support technical assistance, 2. The Institute may also make awards
FY 2008:
demonstrations, special projects, to State or local agencies and
Table of Contents research and training to improve the institutions other than courts for
I. The Mission of the State Justice Institute administration of justice in the State services that cannot be adequately
II. Eligibility for Award courts; provided through nongovernmental
III. Scope of the Program B. Provide for the preparation, arrangements (42 U.S.C. 10705(b)(3)).
IV. Applications publication, and dissemination of E. Inter-agency Agreements. The
V. Application Review Procedures information regarding State judicial Institute may enter into inter-agency
VI. Compliance Requirements
systems; agreements with Federal agencies (42
VII. Financial Requirements
VIII. Grant Adjustments C. Participate in joint projects with U.S.C. 10705(b)(4)) and private funders
• Appendix A SJI Libraries: Designated Federal agencies and other private to support projects consistent with the
Sites and Contacts grantors; purposes of the State Justice Institute
• Appendix B Grant Application Forms D. Evaluate or provide for the Act.
• Form A—Application and Application evaluation of programs and projects to
Instructions determine their impact upon the quality III. Scope of the Program
• Form B—Certificate of State Approval of criminal, civil, and juvenile justice SJI is offering five types of grants in
and Instructions and the extent to which they have FY 2008: Project Grants, Technical
• Form C—Project Budget and Instructions Assistance (TA) Grants, Curriculum
contributed to improving the quality of
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• Form D—Assurances
• Disclosure of Lobbying Activities justice in the State courts; Adaptation and Training (CAT) Grants,
• Form E—Disclosure of Lobbying E. Encourage and assist in furthering Partner Grants, and Scholarships.
Activities judicial education; and, Effective beginning in FY 2007, SJI no
• Appendix C Scholarship Application F. Encourage, assist, and serve in a longer awards Continuation Grants to
Forms (Forms S1 and S2) consulting capacity to State and local extend previous or future Project Grants.

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A. Project Grants A project will be identified as a c. Elder Issues


Project Grants are intended to support Special Interest project if it meets the This category includes research,
innovative education and training, four criteria set forth above and it falls demonstration, evaluation, and
research and evaluation, demonstration, within the scope of the Board- education projects designed to improve
and technical assistance projects that designated Special Interest program management of guardianship, probate,
can improve the administration of categories listed below. The order of fraud, Americans with Disability Act,
justice in State courts locally or listing does not imply any ranking of and other types of elder-related cases.
nationwide. Project Grants may priorities among the categories. The Institute is particularly interested in
ordinarily not exceed $300,000. Grant a. Immigration Issues projects that would develop and
periods for Project Grants ordinarily evaluate judicial branch education
may not exceed 36 months. No Recent immigration growth is having programs addressing elder law and
Continuation Grants will be awarded. a significant impact on State and local related issues.
Applicants for Project Grants will be courts. Courts along the Southwest
required to contribute a cash match of Border, and other areas of the United d. Performance Standards and Outcome
not less than 50% of the total cost of the States with large immigrant Measures
proposed project. In other words, grant populations, are contending with issues This category includes projects that
awards by SJI must be matched at least such as how to provide culturally will develop and measure performance
dollar for dollar by grant applicants. appropriate services; increases in gang- standards and outcomes for all aspects
Applicants may contribute the required crime cases involving immigrants; and of court operations. The Institute is
cash match directly or in cooperation the impact of federal and state particularly interested in projects that
with third parties. Prospective immigration policies on court take the National Center for State
applicants should carefully review operations. The Institute is interested in Courts’ ‘‘’CourTools’’’ to the next level.
Section VI.8. (matching requirements) projects that highlight the issues State Other initiatives designed to further
and Section VI.16.a. (non-supplantation) and local courts face in addressing the professionalize court staff and
of the Guideline prior to beginning the demands of increased immigration, and operations, or to objectively evaluate the
application process. If questions arise, potential solutions to those issues. costs and benefits and cost-effectiveness
applicants are strongly encouraged to The Institute is also interested in of problem solving courts, are also
consult the Institute. judicial education or other programs welcome.
As set forth in Section I., the Institute that prepare judges and court officials to e. Relationship Between State and
is authorized to fund projects address immigration issues in their Federal Courts
addressing a broad range of program courts, and the development of plans of
areas. However, the Board is likely to This category includes research,
action to improve service delivery, build
favor Project Grant applications focused demonstration, evaluation, and
community coalitions, and
on the Special Interest program education projects designed to facilitate
accommodate federal and state
categories described below, potential appropriate and effective
immigration policies.
applicants are also encouraged to bring communication, cooperation, and
to the attention of the Institute b. Courts and the Media coordination between State and Federal
innovative projects outside those courts. The Institute is also interested in
Recent repeated public attacks on projects that improve relationships
categories. Funding will not be made courts have gone largely unanswered,
available for the ordinary, routine between the courts, the legislative and
because judges were unwilling and/or executive branches, and the people.
operations of court systems, or to courts were unable to respond
support ordinary operations of courts. effectively. No one is better prepared B. Technical Assistance (TA) Grants
1. Special Interest Program Criteria and than a judge to describe decision- TA Grants are intended to provide
Categories making on the bench within the law and State or local courts, or regional court
The Institute is interested in funding the Constitution. The Institute is associations, with sufficient support to
both innovative programs and programs interested in projects that explore the obtain expert assistance to diagnose a
of proven merit that can be replicated in role of judge as public commentator problem, develop a response to that
other jurisdictions. The Institute is within ethical and professional bounds. problem, and implement any needed
especially interested in funding projects The Institute is also interested in changes. TA Grants may not exceed
that: judicial education or other programs $30,000, and shall only cover the cost of
• Formulate new procedures and that prepare judges and court officials to obtaining the services of expert
techniques, or creatively enhance serve as spokesmen in short notice, high consultants. Examples of expenses not
existing procedures and techniques; profile circumstances, especially in covered by TA Grants include the
• Address aspects of the State judicial situations where courts lack dedicated salaries, benefits, travel, or training
systems that are in special need of press secretaries. Finally, the Institute is costs of full- or part-time court
serious attention; interested in promoting initiatives that employees. Grant periods for TA Grants
• Have national significance by improve relations between the judiciary ordinarily may not exceed 24 months. In
developing products, services, and and the media, since much of the recent calculating project duration, applicants
techniques that may be used in other rancor between the two seems based on are cautioned to fully consider the time
States; and unfamiliarity with one another’s duties, required to issue a request for proposals,
• Create and disseminate products responsibilities, and limitations. In negotiate a contract with the selected
that effectively transfer the information particular, the Institute is interested in provider, and execute the project.
and ideas developed to relevant proposals that focus on cultivating trust Applicants for TA Grants will be
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audiences in State and local judicial and open communication between the required to contribute a match of not
systems, or provide technical assistance Third Branch and the Fourth Estate on less than 50 percent of the grant amount
to facilitate the adaptation of effective a day-to-day basis, because dialogue requested, of which 20 percent must be
programs and procedures in other State between strangers is rarely started and cash. In other words, an applicant
and local jurisdictions. never sustained in a crisis. seeking a $30,000 TA grant must

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68622 Federal Register / Vol. 72, No. 233 / Wednesday, December 5, 2007 / Notices

provide a $15,000 match, of which up by the funding organizations. Institute approves funding for the
to $12,000 can be in-kind and not less Applicants considering Partner Grants project, the court or the specified
than $3,000 must be cash. TA Grant are encouraged to contact Institute staff designee will receive, administer, and
application procedures can be found in to discuss the potential of this be accountable for the awarded funds.
section IV.B. mechanism for project funding. Partner
c. Budget Form (Form C)
C. Curriculum Adaptation and Training Grant application procedures can be
found in section IV.E. Applicants must submit a Form C. In
(CAT) Grants addition to Form C, applicants must
CAT Grants are intended to: (1) E. Scholarships for Judges and Court provide a detailed budget narrative
Enable courts and regional or national Managers providing an explanation of the basis for
court associations to modify and adapt Scholarships are intended to enhance the estimates in each budget category
model curricula, course modules, or the skills, knowledge, and abilities of (see subsection A.4. below).
conference programs to meet States’ or State court judges and court managers If funds from other sources are
local jurisdictions’ educational needs; by enabling them to attend out-of-State, required to conduct the project, either as
train instructors to present portions or or to enroll in online, educational and match or to support other aspects of the
all of the curricula; and pilot-test them training programs sponsored by national project, the source, current status of the
to determine their appropriateness, and State providers that they could not request, and anticipated decision date
quality, and effectiveness, or (2) conduct otherwise attend or take online because must be provided.
judicial branch education and training of limited State, local, and personal
programs, led by either expert or in- d. Assurances (Form D)
budgets. Scholarships may not exceed
house personnel, designed to prepare $1,500. The Institute’s Board of This form lists the statutory,
judges and court personnel for Directors intends to reserve up to regulatory, and policy requirements
innovations, reforms, and/or new $175,000 for scholarships in FY 2008. with which recipients of Institute funds
technologies recently adopted by Scholarship application procedures can must comply.
grantee courts. CAT Grants may not be found in section IV.D.
exceed $20,000. Grant periods for CAT e. Disclosure of Lobbying Activities
Grants ordinarily may not exceed 12 IV. Applications Applicants other than units of State or
months. A. Project Grants local government are required to
Applicants for CAT Grants will be disclose whether they, or another entity
required to contribute a match of not An application for a Project Grant that is part of the same organization as
less than 50 percent of the grant amount must include an application form; the applicant, have advocated a position
requested, of which 20 percent must be budget forms (with appropriate before Congress on any issue, and to
cash. In other words, an applicant documentation); a project abstract and identify the specific subjects of their
seeking a $20,000 CAT grant must program narrative; a disclosure of lobbying efforts (see section VI.A.7.).
provide a $10,000 match, of which up lobbying form, when applicable; and
to $8,000 can be in-kind and not less certain certifications and assurances 2. Project Abstract
than $2,000 must be cash. CAT Grant (see below). See Appendix B for the The abstract should highlight the
application procedures can be found in Project Grant application forms. purposes, goals, methods, and
section IV.C. 1. Forms anticipated benefits of the proposed
project. It should not exceed 1 single-
D. Partner Grants a. Application Form (Form A). spaced page on 81⁄2 by 11 inch paper.
Partner Grants are intended to allow The application form requests basic
the Institute and Federal, State, or local information regarding the proposed 3. Program Narrative
agencies or foundations, trusts, or other project, the applicant, and the total The program narrative for an
private entities to combine financial amount of funding requested from the application may not exceed 25 double-
resources in pursuit of common Institute. It also requires the signature of spaced pages on 81⁄2 by 11 inch paper.
interests. Although many, if not most, an individual authorized to certify on Margins must be at least 1 inch, and
Partner Grants will fall under the behalf of the applicant that the type size must be at least 12-point and
Special Interest program categories cited information contained in the 12 cpi. The pages should be numbered.
in section III.A., proposals addressing application is true and complete; that This page limit does not include the
other emerging or high priority court- submission of the application has been forms, the abstract, the budget narrative,
related problems will be considered on authorized by the applicant; and that if and any appendices containing resumes
a case-by-case basis. The Institute and funding for the proposed project is and letters of cooperation or
its financial partners may set any level approved, the applicant will comply endorsement. Additional background
for Partner Grants, subject to the entire with the requirements and conditions of material should be attached only if it is
amount of the grant being available at the award, including the assurances set essential to impart a clear
the time of the award; applicants for forth in Form D. understanding of the proposed project.
Partner Grants may request any amount Numerous and lengthy appendices are
of funding. Grant periods for Partner b. Certificate of State Approval (Form B)
strongly discouraged.
Grants ordinarily may not exceed 36 An application from a State or local The program narrative should address
months. court must include a copy of Form B the following topics:
Partner Grants are subject to the same signed by the State’s Chief Justice or
cash match requirement as Project Chief Judge, the director of the a. Project Objectives
Grants. In other words, grant awards by designated agency, or the head of the The applicant should include a clear,
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the Institute must be matched at least designated council. The signature concise statement of what the proposed
dollar-for-dollar. Applicants may denotes that the proposed project has project is intended to accomplish. In
contribute the required cash match been approved by the State’s highest stating the objectives of the project,
directly or in cooperation with third court or the agency or council it has applicants should focus on the overall
parties. Partner Grants are coordinated designated. It denotes further that if the programmatic objective (e.g., to enhance

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understanding and skills regarding a learning objectives of the educational researchers and practitioners
specific subject, or to determine how a design, the teaching methods to be used, representing the perspectives affected
certain procedure affects the court and and the opportunities for structured by the proposed project.
litigants) rather than on operational interaction among the participants; how (b) The most valuable approaches to
objectives (e.g., provide training for 32 faculty would be recruited, selected, evaluating educational or training
judges and court managers, or review and trained; the proposed number and programs reinforce the participants’
data from 300 cases). length of the conferences, courses, learning experience while providing
seminars, or workshops to be conducted useful feedback on the impact of the
b. Program Areas To Be Covered and the estimated number of persons program and possible areas for
The applicant should note the Special who would attend them; the materials to improvement. One appropriate
Interest criteria and category addressed be provided and how they would be evaluation approach is to assess the
by the proposed project when developed; and the cost to participants. acquisition of new knowledge, skills,
appropriate (see section III.A.). (c) For demonstration projects, the attitudes, or understanding through
applicant should include the participant feedback on the seminar or
c. Need for the Project
demonstration sites and the reasons training event. Such feedback might
If the project is to be conducted in any they were selected, or if the sites have include a self-assessment of what was
specific location(s), the applicant not been chosen, how they would be learned along with the participant’s
should discuss the particular needs of identified and their cooperation response to the quality and effectiveness
the project site(s) to be addressed by the obtained; and how the program or of faculty presentations, the format of
project and why those needs are not procedures would be implemented and sessions, the value or usefulness of the
being met through the use of existing monitored. material presented, and other relevant
programs, procedures, services, or other (d) For technical assistance projects, factors. Another appropriate approach
resources. the applicant should explain the types would be to use an independent
If the project is not site-specific, the of assistance that would be provided; observer who might request both verbal
applicant should discuss the problems the particular issues and problems for and written responses from participants
that the proposed project would which assistance would be provided; in the program. When an education
address, and why existing programs, how requests would be obtained and the project involves the development of
procedures, services, or other resources type of assistance determined; how curricular materials, an advisory panel
cannot adequately resolve those suitable providers would be selected of relevant experts can be coupled with
problems. The discussion should and briefed; how reports would be a test of the curriculum to obtain the
include specific references to the reviewed; and the cost to recipients. reactions of participants and faculty as
relevant literature and to the experience (2) Evaluation. Projects must include indicated above.
in the field. an evaluation plan to determine (c) The evaluation plan for a
whether the project met its objectives. demonstration project should
d. Tasks, Methods and Evaluations The evaluation should be designed to encompass an assessment of program
(1) Tasks and Methods. The applicant provide an objective and independent effectiveness (e.g., how well did it
should delineate the tasks to be assessment of the effectiveness or work?); user satisfaction, if appropriate;
performed in achieving the project usefulness of the training or services the cost-effectiveness of the program; a
objectives and the methods to be used provided; the impact of the procedures, process analysis of the program (e.g.,
for accomplishing each task. For technology, or services tested; or the was the program implemented as
example: validity and applicability of the research designed, and/or did it provide the
(a) For research and evaluation conducted. In addition, where services intended to the targeted
projects, the applicant should include appropriate, the evaluation process population?); the impact of the program
the data sources, data collection should be designed to provide ongoing (e.g., what effect did the program have
strategies, variables to be examined, and or periodic feedback on the on the court, and/or what benefits
analytic procedures to be used for effectiveness or utility of the project in resulted from the program?); and the
conducting the research or evaluation order to promote its continuing replicability of the program or
and ensuring the validity and general improvement. The plan should present components of the program.
applicability of the results. For projects the qualifications of the evaluator(s); (d) For technical assistance projects,
involving human subjects, the describe the criteria that would be used applicants should explain how the
discussion of methods should address to evaluate the project’s effectiveness in quality, timeliness, and impact of the
the procedures for obtaining meeting its objectives; explain how the assistance provided would be
respondents’ informed consent, evaluation would be conducted, determined, and develop a mechanism
ensuring the respondents’ privacy and including the specific data collection for feedback from both the users and
freedom from risk or harm, and and analysis techniques to be used; providers of the technical assistance.
protecting others who are not the discuss why this approach would be Evaluation plans involving human
subjects of research but would be appropriate; and present a schedule for subjects should include a discussion of
affected by the research. If the potential completion of the evaluation within the the procedures for obtaining
exists for risk or harm to human proposed project period. respondents’ informed consent,
subjects, a discussion should be The evaluation plan should be ensuring the respondents’ privacy and
included that explains the value of the appropriate to the type of project freedom from risk or harm, and
proposed research and the methods to proposed. For example: protecting others who are not the
be used to minimize or eliminate such (a) An evaluation approach suited to subjects of the evaluation but would be
many research projects is a review by an affected by it. Other than the provision
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risk.
(b) For education and training advisory panel of the research of confidentiality to respondents,
projects, the applicant should include methodology, data collection human subject protection issues
the adult education techniques to be instruments, preliminary analyses, and ordinarily are not applicable to
used in designing and presenting the products as they are drafted. The panel participants evaluating an education
program, including the teaching/ should be comprised of independent program.

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68624 Federal Register / Vol. 72, No. 233 / Wednesday, December 5, 2007 / Notices

e. Project Management Ordinarily, applicants should schedule acknowledgment that support was
The applicant should present a all product preparation and distribution received from the Institute and a
detailed management plan, including activities within the project period. disclaimer paragraph based on the
A copy of each product must be sent example provided in section
the starting and completion date for
to the library established in each State VI.A.11.a.2. in the Guideline. The ‘‘SJI’’
each task; the time commitments to the
to collect the materials developed with logo must appear on the front cover of
project of key staff and their
Institute support (see Appendix A). a written product, or in the opening
responsibilities regarding each project
Applicants proposing to develop Web- frames of a video, unless the Institute
task; and the procedures that would
based products should provide for approves another placement.
ensure that all tasks are performed on
sending a hard-copy document to the
time, within budget, and at the highest g. Applicant Status
SJI-designated libraries and other
level of quality. In preparing the project appropriate audiences to alert them to An applicant that is not a State or
time line, Gantt Chart, or schedule, the availability of the Web site or local court and has not received a grant
applicants should make certain that all electronic product (i.e., a written report from the Institute within the past three
project activities, including publication with a reference to the Web site). years should state whether it is either a
or reproduction of project products and Fifteen (15) copies of all project national non-profit organization
their initial dissemination, would occur products must be submitted to the controlled by, operating in conjunction
within the proposed project period. The Institute, along with an electronic with, and serving the judicial branches
management plan must also provide for version in .html or .pdf format. of State governments, or a national non-
the submission of Quarterly Progress (2) Types of Products and Press profit organization for the education and
and Financial Reports within 30 days Releases. The type of product to be training of State court judges and
after the close of each calendar quarter prepared depends on the nature of the support personnel (see section II.). If the
(i.e., no later than January 30, April 30, project. For example, in most instances, applicant is a nonjudicial unit of
July 30, and October 30), per section the products of a research, evaluation, Federal, State, or local government, it
VI.A.13. or demonstration project should include must explain whether the proposed
Applicants should be aware that the an article summarizing the project services could be adequately provided
Institute is unlikely to approve a limited findings that is publishable in a journal by non-governmental entities.
extension of the grant period without serving the courts community
very good cause. Therefore, the nationally, an executive summary that h. Staff Capability
management plan should be as realistic would be disseminated to the project’s The applicant should include a
as possible and fully reflect the time primary audience, or both. Applicants summary of the training and experience
commitments of the proposed project proposing to conduct empirical research of the key staff members and
staff and consultants. or evaluation projects with national consultants that qualify them for
f. Products import should describe how they would conducting and managing the proposed
make their data available for secondary project. Resumes of identified staff
The program narrative in the analysis after the grant period (see should be attached to the application. If
application should contain a description section VI.A.14.a.). one or more key staff members and
of the products to be developed (e.g., The curricula and other products consultants are not known at the time of
training curricula and materials, developed through education and the application, a description of the
audiotapes, videotapes, DVDs, computer training projects should be designed for criteria that would be used to select
software, CD–ROM disks, articles, use outside the classroom so that they persons for these positions should be
guidelines, manuals, reports, may be used again by the original included. The applicant also should
handbooks, benchbooks, or books), participants and others in the course of identify the person who would be
including when they would be their duties. responsible for managing and reporting
submitted to the Institute. The budget In addition, recipients of project on the financial aspects of the proposed
should include the cost of producing grants must prepare a press release project.
and disseminating the product to each describing the project and announcing
in-State SJI library (see Appendix A), the results, and distribute the release to i. Organizational Capacity
State chief justice, State court a list of national and State judicial Applicants that have not received a
administrator, and other appropriate branch organizations. grant from the Institute within the past
judges or court personnel. (3) Institute Review. Applicants must three years should include a statement
(1) Dissemination Plan. The submit a final draft of all written grant describing their capacity to administer
application must explain how and to products to the Institute for review and grant funds, including the financial
whom the products would be approval at least 30 days before the systems used to monitor project
disseminated; describe how they would products are submitted for publication expenditures (and income, if any), and
benefit the State courts, including how or reproduction. For products in a a summary of their past experience in
they could be used by judges and court videotape or CD–ROM format, administering grants, as well as any
personnel; identify development, applicants must provide for Institute resources or capabilities that they have
production, and dissemination costs review of the product at the treatment, that would particularly assist in the
covered by the project budget; and script, rough-cut, and final stages of successful completion of the project.
present the basis on which products and development, or their equivalents. No Unless requested otherwise, an
services developed or provided under grant funds may be obligated for applicant that has received a grant from
the grant would be offered to the courts publication or reproduction of a final the Institute within the past three years
community and the public at large (i.e.,
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grant product without the written should describe only the changes in its
whether products would be distributed approval of the Institute (see section organizational capacity, tax status, or
at no cost to recipients, or if costs are VI.A.11.f.). financial capability that may affect its
involved, the reason for charging (4) Acknowledgment, Disclaimer, and capacity to administer a grant.
recipients and the estimated price of the Logo. Applicants must also include in If the applicant is a non-profit
product) (see section VI.A.11.b.). all project products a prominent organization (other than a university), it

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

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with the bases used to calculate these letter should be attached to each copy detailed written report to the court and
estimates. of the application. the Institute upon completion of the
technical assistance.
k. Indirect Costs B. Technical Assistance (TA) Grants c. Likelihood of Implementation.
Recoverable indirect costs are limited 1. Application Procedures What steps have been or would be taken
to no more than 75 percent of a grantee’s to facilitate implementation of the
direct personnel costs, i.e. salaries plus Applicants for TA Grants may submit,
consultant’s recommendations upon
fringe benefits (see section VII.I.4.). at any time, an original and three copies
completion of the technical assistance?
Applicants should describe the of a detailed letter describing the
For example, if the support or
indirect cost rates applicable to the proposed project, as well as a Forms A,
cooperation of specific court officials or
grant in detail. If costs often included ‘‘State Justice Institute Application’’ (see
committees, other agencies, funding
within an indirect cost rate are charged Appendix B) and Form B, Certificate of
bodies, organizations, or a court other
directly (e.g., a percentage of the time of State Approval from the State Supreme
than the applicant would be needed to
senior managers to supervise project Court, or its designated agency and
adopt the changes recommended by the
activities), the applicant should specify Form C, ‘‘Project Budget in Tabular
consultant and approved by the court,
that these costs are not included within Format.’’ Letters from regional court
how would they be involved in the
its approved indirect cost rate. These associations must be signed by the
review of the recommendations and
rates must be established in accordance president of the association. The
development of the implementation
with section VII.I.4. If the applicant has applications received by the first day of
plan?
an indirect cost rate or allocation plan the second month in a calendar quarter
approved by any Federal granting will be reviewed in the Board meeting 3. Budget and Matching State
agency, a copy of the approved rate for that quarter. Contribution
agreement must be attached to the 2. Application Format A completed Form C ‘‘Project Budget,
application. Tabular Format’’ and budget narrative
Although there is no prescribed form must be included with the letter
l. Match for the letter, or a minimum or requesting technical assistance.
Applicants who do not contemplate maximum page limit, letters of The budget narrative should provide
making matching contributions application should include the the basis for all project-related costs,
continuously throughout the course of following information: including the basis for determining the
the project or on a task-by-task basis a. Need for Funding. What is the estimated consultant costs, if
must provide a schedule within 30 days critical need facing the applicant? How compensation of the consultant is
after the beginning of the project period would the proposed technical assistance required (e.g., the number of days per
indicating at what points during the help the applicant meet this critical task times the requested daily
project period the matching need? Why are State or local resources consultant rate). Applicants should be
contributions would be made (see not sufficient to fully support the costs aware that consultant rates above $800
sections VI.A.8, and VII.E.1.). of the required consultant services? per day must be approved in advance by
b. Project Description. What tasks the Institute, and that no consultant will
5. Submission Requirements would the consultant be expected to be paid more than $1,100 per day from
a. Every applicant must submit an perform, and how would they be Institute funds. In addition, the budget
original and three copies of the accomplished? Which organization or should provide for submission of two
application package consisting of Form individual would be hired to provide copies of the consultant’s final report to
A; Form B, if the application is from a the assistance, and how was this the Institute.
State or local court, or a Disclosure of consultant selected? If a consultant has Recipients of TA Grants do not have
Lobbying Form (Form E), if the not yet been identified, what procedures to submit an audit report but must
applicant is not a unit of State or local and criteria would be used to select the maintain appropriate documentation to
government; Form C; the Application consultant (applicants are expected to support expenditures (see section
Abstract; the Program Narrative; the follow their jurisdictions’ normal VI.A.3.).
Budget Narrative; and any necessary procedures for procuring consultant
services)? What specific tasks would the 4. Submission Requirements
appendices.
Letters of application may be consultant(s) and court staff undertake? Letters of application may be
submitted at any time. Applications What is the schedule for completion of submitted at any time and will be
received by the first day of the second each required task and the entire considered on a quarterly rolling basis.
month in a calendar quarter will be project? How would the applicant Applications should be received by the
considered at the next Board meeting for oversee the project and provide first day of the second month of a
that quarter. Please mark Project guidance to the consultant, and who at calendar quarter in order to be reviewed
Application on the application package the court or regional court association at the Board meeting for that quarter.
envelope and send it to: State Justice would be responsible for coordinating If the support or cooperation of
Institute, 1650 King Street, Suite 600, all project tasks and submitting agencies, funding bodies, organizations,
Alexandria, VA 22314. quarterly progress and financial status or courts other than the applicant would
Receipt of each application will be reports? be needed in order for the consultant to
acknowledged by letter or e-mail. If the consultant has been identified, perform the required tasks, written
b. Applicants submitting more than the applicant should provide a letter assurances of such support or
one application may include material from that individual or organization cooperation should accompany the
that would be identical in each documenting interest in and availability application letter. Support letters also
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application in a cover letter. This for the project, as well as the may be submitted under separate cover;
material will be incorporated by consultant’s ability to complete the however, to ensure that there is
reference into each application and assignment within the proposed time sufficient time to bring them to the
counted against the 25-page limit for the frame and for the proposed cost. The attention of the Institute’s Board of
program narrative. A copy of the cover consultant must agree to submit a Directors, letters sent under separate

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cover must be received by the same date (4) Expressions of Interest by Judges in the review of the recommendations
as the technical assistance request being and/or Court Personnel. Does the and development of the implementation
supported. proposed program have the support of plan?
the court system or association
C. Curriculum Adaptation and Training 3. Budget and Matching State
leadership, and of judges, court
(CAT) Grants Contribution
managers, and judicial branch education
1. Application Procedures personnel who are expected to attend? Applicants should attach a copy of
Applicants may demonstrate this by budget Form C and a budget narrative
In lieu of formal applications, (see subsection A.4. above) that
attaching letters of support.
applicants should submit an original describes the basis for the computation
b. For training assistance:
and three photocopies of a detailed (1) Need for Funding. What is the of all project-related costs and the
letter as well as a Form A, ‘‘State Justice court reform or initiative prompting the source of the match offered.
Institute Application;’’ Form B, need for training? How would the
‘‘Certificate of State Approval;’’ and 4. Submission Requirements
proposed training help the applicant
Form C, ‘‘Project Budget, Tabular implement planned changes at the Letters of application may be
Format’’ (see Appendices). court? Why are State or local resources submitted at any time and will be
2. Application Format not sufficient to fully support the costs considered on a quarterly rolling basis.
of the required training? Applications should be received by the
Although there is no prescribed (2) Project Description. What tasks first day of the second month of a
format for the letter, or a minimum or would the trainer(s) be expected to calendar quarter in order to be reviewed
maximum page limit, letters of perform, and how would they be at the Board meeting for that quarter.
application should include the accomplished? Which organization or Dates of Board meetings will be
following information: individual would be hired, if in-house available on the Web site:
a. For adaptation of a curriculum: personnel are not the trainers, to www.Statejustice.org.
(1) Project Description. What is the provide the training, and how was the For curriculum adaptation requests,
title of the model curriculum to be trainer selected? If a trainer has not yet applicants should allow at least 90 days
adapted and who originally developed been identified, what procedures and between the Board meeting and the date
it? Why is this education program criteria would be used to select the of the proposed program to allow
needed at the present time? What are trainer? [Note: Applicants are expected sufficient time for needed planning.
the project’s goals? What are the to follow their jurisdictions’ normal Applicants are encouraged to call SJI
learning objectives of the adapted procedures for procuring consultant staff to discuss concerns about timing of
curriculum? What program components services.] What specific tasks would the submissions.
would be implemented, and what types trainer and court staff or regional court D. Partner Grants
of modifications, if any, are anticipated association members undertake? What
in length, format, learning objectives, presentation methods will be used? The Institute and its funding partners
teaching methods, or content? Who What is the schedule for completion of may meld, pick and choose, or waive
would be responsible for adapting the each required task and the entire their application procedures, grant
model curriculum? Who would the project? How would the applicant cycles, or grant requirements to expedite
participants be, how many would there oversee the project and provide the award of jointly-funded grants
be, how would they be recruited, and guidance to the trainer, and who at the targeted at emerging or high priority
from where would they come (e.g., from court or affiliated with the regional problems confronting State and local
a single local jurisdiction, from across court association would be responsible courts. The Institute may solicit brief
the State, from a multi-State region, for coordinating all project tasks and proposals from potential grantees to
from across the nation)? submitting quarterly progress and propose to fellow financial partners as
(2) Need for Funding. Why are financial status reports? If the trainer a first step. Should the Institute be
sufficient State or local resources has been identified, the applicant chosen as the lead grant manager,
unavailable to fully support the should provide a letter from that Project Grant application procedures
modification and presentation of the individual or organization documenting will apply to the proposed Partner
model curriculum? What is the potential interest in and availability for the Grant. As with Project Grants, Partner
for replicating or integrating the adapted project, as well as the trainer’s ability to Grants will be targeted at initiatives
curriculum in the future using State or complete the assignment within the likely to have a significant national
local funds, once it has been proposed time frame and for the impact.
successfully adapted and tested? proposed cost. The trainer must agree to E. Scholarships
(3) Likelihood of Implementation. submit a detailed written report to the
What is the proposed timeline, court and the Institute upon completion 1. Limitations
including the project start and end of the technical assistance. Applicants may not receive more than
dates? On what date(s) would the (3) Likelihood of Implementation. one scholarship in a two-year period
judicial branch education program be What steps have been or would be taken unless the course specifically assumes
presented? What process would be used to coordinate the implementation of the multi-year participation or the course is
to modify and present the program? new reform, initiative, etc. and the part of a graduate degree program in
Who would serve as faculty, and how training to support the same? For judicial studies in which the applicant
were they selected? What measures example, if the support or cooperation is currently enrolled (neither exception
would be taken to facilitate subsequent of specific court or regional court should be taken as a commitment on the
presentations of the program? association officials or committees, part of the Institute’s Board of Directors
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Ordinarily, an independent evaluation other agencies, funding bodies, to approve serial scholarships).
of a curriculum adaptation project is not organizations, or a court other than the Attendance at annual or mid-year
required; however, the results of any applicant would be needed to adopt the meetings of a State or national
evaluation should be included in the reform and initiate the training organization does not qualify as an out-
final report. proposed, how would they be involved of-State educational program for

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68628 Federal Register / Vol. 72, No. 233 / Wednesday, December 5, 2007 / Notices

scholarship purposes, even though it graduate program for judges or court will be used in determining the review
may include workshops or other managers. date.
training sessions. Applicants are encouraged not to wait All applications should be sent by
Scholarship funds may be used only for the decision on a scholarship to mail or courier (not fax or e-mail) to:
to cover the costs of tuition, register for an educational program they Scholarship Program Coordinator, State
transportation, and reasonable lodging wish to attend. The Institute does not Justice Institute, 1650 King Street, Suite
expenses (not to exceed $150 per night, submit the names of scholarship 600, Alexandria, VA 22314.
including taxes). Transportation recipients to educational organizations.
3. Forms V. Application Review Procedures
expenses may include round-trip coach
airfare or train fare. Scholarship a. Scholarship Application—Form S1 A. Preliminary Inquiries
recipients are strongly encouraged to (Appendix D). The Scholarship
Application requests basic information The Institute staff will answer
take advantage of excursion or other inquiries concerning application
special airfares (e.g., reductions offered about the applicant and the educational
program the applicant would like to procedures. The staff contact will be
when a ticket is purchased 21 days in named in the Institute’s letter or e-mail
attend. It also addresses the applicant’s
advance of the travel date) when making acknowledging receipt of the
commitment to share the skills and
their travel arrangements. Recipients application.
knowledge gained with local court
who drive to a program site may receive
colleagues and to submit an evaluation B. Selection Criteria
$.485/mile up to the amount of the
of the program the applicant attends.
advanced-purchase round-trip airfare 1. Project Grant Applications
The Scholarship Application must bear
between their homes and the program
the original signature of the applicant. a. Project Grant applications will be
sites. Funds to pay tuition,
Faxed or photocopied signatures will rated on the basis of the criteria set forth
transportation, and lodging expenses in
not be accepted. Please be sure to below. The Institute will accord the
excess of $1,500 and other costs of
indicate whether the State will be greatest weight to the following criteria:
attending the program—such as meals, providing funds for the project and, if (1) The soundness of the
materials, transportation to and from so, how much. The Institute will not methodology;
airports, and local transportation supplant State funds for these (2) The demonstration of need for the
(including rental cars)—at the program scholarships: it can only provide project;
site must be obtained from other sources funding above the amount to be covered (3) The appropriateness of the
or borne by the scholarship recipient. by the State. proposed evaluation design;
Scholarship applicants are encouraged b. Scholarship Application (4) If applicable, the key findings and
to check other sources of financial Concurrence—Form S2 (Appendix D). recommendations of the most recent
assistance and to combine aid from Judges and court managers applying for evaluation and the proposed responses
various sources whenever possible. A scholarships must submit the written to those findings and recommendations;
scholarship is not transferable to concurrence of the Chief Justice of the (5) The applicant’s management plan
another individual. It may be used only State’s Supreme Court (or the Chief and organizational capabilities;
for the course specified in the Justice’s designee) on the Institute’s (6) The qualifications of the project’s
application unless the applicant’s Judicial Education Scholarship staff;
request to attend a different course that Concurrence form (see Appendix D). (7) The products and benefits
meets the eligibility requirements is The signature of the presiding judge of resulting from the project, including the
approved in writing by the Institute. the applicant’s court may not be extent to which the project will have
Decisions on such requests will be made substituted for that of the Chief Justice long-term benefits for State courts across
within 30 days after the receipt of the or the Chief Justice’s designee. Court the nation;
request letter. managers, other than elected clerks of (8) The degree to which the findings,
2. Eligibility Requirements court, also must submit a letter of procedures, training, technology, or
support from their immediate other results of the project can be
a. Recipients. Scholarships can be supervisors. transferred to other jurisdictions;
awarded only to full-time judges of State (9) The reasonableness of the
or local trial and appellate courts; full- 4. Submission Requirements proposed budget; and
time professional, State, or local court Scholarship applications may be (10) The demonstration of cooperation
personnel with management submitted at any time but will be and support of other agencies that may
responsibilities; and supervisory and reviewed on a quarterly basis. This be affected by the project.
management probation personnel in means scholarships will be awarded on (11) The proposed project’s
judicial branch probation offices. Senior a ‘‘first come, first considered’’ basis, relationship to one of the Special
judges, part-time judges, quasi-judicial although the Institute will attempt to Interest Criteria and Categories set forth
hearing officers including referees and award programs equitably over the year. in section III.A.
commissioners, administrative law The dates for applications to be received b. In determining which projects to
judges, staff attorneys, law clerks, line by the Institute for consideration in FY support, the Institute will also consider
staff, law enforcement officers, and 08 are November 1, February 1, May 1, whether the applicant is a State court,
other executive branch personnel are and August 1. (These are NOT mailing a national court support or education
not eligible to receive a scholarship. deadlines. The applications must be organization, a non-court unit of
b. Courses. A scholarship can be received by the Institute by each of government, or other type of entity
awarded only for: (1) A course these dates.) No exceptions or eligible to receive grants under the
presented in a State other than the one extensions will be granted. All the Institute’s enabling legislation (see
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in which the applicant resides or works, required items must be received for an section II.); the availability of financial
or (2) an online course. The course must application to be considered. If the assistance from other sources for the
be designed to enhance the skills of new Concurrence form or letter of support is project; the amount of the applicant’s
or experienced judges and court sent separately from the application, the match; the extent to which the proposed
managers; or be offered by a recognized postmark date of the last item to be sent project would also benefit the Federal

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courts or help State courts enforce compliance with match requirements, narrative summary and a rating sheet
Federal constitutional and legislative diversity of subject matter, geographic assigning points for each relevant
requirements; and the level of diversity, the level of appropriations selection criterion. The staff will present
appropriations available to the Institute available in the current year, and the the narrative summaries and rating
in the current year and the amount amount expected to be available in sheets to the Board for its review. The
expected to be available in succeeding succeeding fiscal years. Board will review all application
fiscal years. summaries and decide which projects it
4. Partner Grants
will fund. The decision to fund a project
2. Technical Assistance (TA) Grant The selection criteria for Partner is solely that of the Board of Directors.
Applications Grants will be driven by the collective The Chairman of the Board will sign
TA Grant applications will be rated priorities of the Institute and other approved awards on behalf of the
on the basis of the following criteria: organizations and their collective Institute.
a. Whether the assistance would assessments regarding the needs and
address a critical need of the applicant; 2. Technical Assistance (TA) and
capabilities of court and court-related
b. The soundness of the technical Curriculum Adaptation and Training
organizations. Having settled on
assistance approach to the problem; (CAT) Grant Applications
priorities, the Institute and its financial
c. The qualifications of the partners will likely contact the courts or The Institute staff will prepare a
consultant(s) to be hired or the specific court-related organizations most narrative summary of each application
criteria that will be used to select the acceptable as pilots, laboratories, and a rating sheet assigning points for
consultant(s); consultants, or the like. Should the each relevant selection criterion. The
d. The commitment of the court or Institute be chosen as the lead grant Board of Directors may delegate its
association to act on the consultant’s manager, Project application review authority to approve TA and CAT
recommendations; and procedures will apply to the proposed Grants to the committee established for
e. The reasonableness of the proposed Partner Grant. each program. The Board or the
budget. committee will review the applications
The Institute also will consider factors 5. Scholarships competitively. The Chairman of the
such as the level and nature of the Scholarships will be approved only Board will sign approved awards on
match that would be provided, diversity for programs that either (1) enhance the behalf of the Institute.
of subject matter, geographic diversity, skills of judges and court managers; or
the level of appropriations available to 3. Scholarships
(2) are part of a graduate degree
the Institute in the current year, and the program for judges or court personnel. A committee of the Institute’s Board
amount expected to be available in Scholarships will be awarded on the of Directors will review scholarship
succeeding fiscal years. basis of: applications quarterly. The Board of
a. The date on which the application Directors has delegated its authority to
3. Curriculum Adaptation and Training
and concurrence (and support letter, if approve scholarships to the committee
(CAT) Grant Applications
required) were sent (‘‘first come, first established for the program. The
CAT Grant applications will be rated considered’’); committee will review the applications
on the basis of the following criteria: b. The unavailability of State or local competitively. In the event of a tie vote,
a. For curriculum adaptation projects: funds or scholarship funds from another the Chairman will serve as the tie-
(1) The goals and objectives of the source to cover the costs of attending breaker. The Chairman of the Board will
proposed project; the program, or participating online; sign approved awards on behalf of the
(2) The need for outside funding to c. The absence of educational Institute.
support the program; programs in the applicant’s State
(3) The appropriateness of the 4. Partner Grants
addressing the topic(s) covered by the
approach in achieving the project’s educational program for which the The Institute’s internal process for the
educational objectives; scholarship is being sought; review and approval of Partner Grants
(4) The likelihood of effective d. Geographic balance among the will depend upon negotiations with
implementation and integration of the recipients; fellow financiers. The Institute may use
modified curriculum into ongoing e. The balance of scholarships among its procedures, a partner’s procedures, a
educational programming; and educational providers and programs; mix of both, or entirely unique
(5) Expressions of interest by the f. The balance of scholarships among procedures. All Partner Grants will be
judges and/or court personnel who the types of courts and court personnel approved by the Board of Directors on
would be directly involved in or (trial judge, appellate judge, trial court whatever schedule makes sense at the
affected by the project. administrator) represented; and time.
b. For training assistance: g. The level of appropriations
(1) Whether the training would D. Return Policy
available to the Institute in the current
address a critical need of the court or Unless a specific request is made,
year and the amount expected to be
association; unsuccessful applications will not be
available in succeeding fiscal years.
(2) The soundness of the training returned. Applicants are advised that
The postmark or courier receipt will
approach to the problem; Institute records are subject to the
be used to determine the date on which
(3) The qualifications of the trainer(s) provisions of the Federal Freedom of
the application form and other required
to be hired or the specific criteria that Information Act, 5 U.S.C. 552.
items were sent.
will be used to select the trainer(s);
(4) The commitment of the court or E. Notification of Board Decision
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C. Review and Approval Process


association to the training program; and The Institute will send written notice
(5) The reasonableness of the 1. Project Grant Applications to applicants concerning all Board
proposed budget. The Institute will also The Institute’s Board of Directors will decisions to approve, defer, or deny
consider factors such as the review the applications competitively. their respective applications. For all
reasonableness of the amount requested, The Institute staff will prepare a applications (except scholarships), the

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68630 Federal Register / Vol. 72, No. 233 / Wednesday, December 5, 2007 / Notices

Institute also will convey the key issues person assigned to a key staff position (2) Affecting adversely the confidence
and questions that arose during the must be received from the Institute of the public in the integrity of the
review process. A decision by the Board before the salary or consulting fee of Institute program.
to deny an application may not be that person and associated costs may be c. Requests for proposals or
appealed, but it does not prohibit paid or reimbursed from grant funds invitations for bids issued by a recipient
resubmission of a proposal based on (see section VIII.A.7.). of Institute funds or a subgrantee or
that application in a subsequent funding subcontractor will provide notice to
cycle. The Institute will also notify the 3. Audit prospective bidders that the contractors
State court administrator when grants Recipients of project grants must who develop or draft specifications,
are approved by the Board to support provide for an annual fiscal audit which requirements, statements of work, and/
projects that will be conducted by or includes an opinion on whether the or requests for proposals for a proposed
involve courts in that State. financial statements of the grantee procurement will be excluded from
present fairly its financial position and bidding on or submitting a proposal to
F. Response to Notification of Approval
its financial operations are in compete for the award of such
With the exception of those approved accordance with generally accepted procurement.
for scholarships, applicants have 30 accounting principles (see section VII.K.
days from the date of the letter notifying 6. Inventions and Patents
for the requirements of such audits).
them that the Board has approved their Scholarship recipients, Curriculum If any patentable items, patent rights,
application to respond to any revisions Adaptation and Training Grants, and processes, or inventions are produced in
requested by the Board. If the requested Technical Assistance Grants are not the course of Institute-sponsored work,
revisions (or a reasonable schedule for required to submit an audit, but they such fact shall be promptly and fully
submitting such revisions) have not must maintain appropriate reported to the Institute. Unless there is
been submitted to the Institute within documentation to support all a prior agreement between the grantee
30 days after notification, the approval expenditures (see section VIII.K.). and the Institute on disposition of such
may be rescinded and the application items, the Institute shall determine
presented to the Board for 4. Budget Revisions whether protection of the invention or
reconsideration. In the event an issue Budget revisions among direct cost discovery shall be sought. The Institute
will only be resolved after award, such categories that: (a) Transfer grant funds will also determine how the rights in
as the selection of a consultant, the final to an unbudgeted cost category, or (b) the invention or discovery, including
award document will include a Special individually or cumulatively exceed rights under any patent issued thereon,
Condition that will require additional five percent of the approved original shall be allocated and administered in
grantee reporting and Institute review order to protect the public interest
budget or the most recently approved
and approval. Special Conditions, in the consistent with ‘‘’Government Patent
revised budget require prior Institute
form of incentives or sanctions, may Policy’’’ (President’s Memorandum for
approval (see section VIII.A.1.).
also be used in situations where past Heads of Executive Departments and
poor performance by a grantee 5. Conflict of Interest Agencies, February 18, 1983, and
necessitates increased grant oversight. statement of Government Patent Policy).
Personnel and other officials
VI. Compliance Requirements connected with Institute-funded 7. Lobbying
The State Justice Institute Act programs must adhere to the following
a. Funds awarded to recipients by the
contains limitations and conditions on requirements:
Institute shall not be used, indirectly or
grants, contracts, and cooperative a. No official or employee of a directly, to influence Executive Orders
agreements awarded by the Institute. recipient court or organization shall or similar promulgations by Federal,
The Board of Directors has approved participate personally through decision, State or local agencies, or to influence
additional policies governing the use of approval, disapproval, recommendation, the passage or defeat of any legislation
Institute grant funds. These statutory the rendering of advice, investigation, or by Federal, State or local legislative
and policy requirements are set forth otherwise in any proceeding, bodies (42 U.S.C. 10706(a)).
below. application, request for a ruling or other b. It is the policy of the Board of
determination, contract, grant, Directors to award funds only to support
A. Recipients of Project Grants cooperative agreement, claim, applications submitted by organizations
1. Advocacy controversy, or other particular matter that would carry out the objectives of
No funds made available by the in which Institute funds are used, their applications in an unbiased
Institute may be used to support or where, to his or her knowledge, he or manner. Consistent with this policy and
conduct training programs for the she or his or her immediate family, the provisions of 42 U.S.C. 10706, the
purpose of advocating particular partners, organization other than a Institute will not knowingly award a
nonjudicial public policies or public agency in which he or she is grant to an applicant that has, directly
encouraging nonjudicial political serving as officer, director, trustee, or through an entity that is part of the
activities (42 U.S.C. 10706(b)). partner, or employee or any person or same organization as the applicant,
organization with whom he or she is advocated a position before Congress on
2. Approval of Key Staff negotiating or has any arrangement the specific subject matter of the
If the qualifications of an employee or concerning prospective employment, application.
consultant assigned to a key project staff has a financial interest.
position are not described in the b. In the use of Institute project funds, 8. Matching Requirements
application or if there is a change of a an official or employee of a recipient All grantees other than scholarship
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person assigned to such a position, the court or organization shall avoid any recipients are required to provide a
recipient must submit a description of action which might result in or create match. A match is the portion of project
the qualifications of the newly assigned the appearance of: costs not borne by the Institute. Match
person to the Institute. Prior written (1) Using an official position for includes both cash and in-kind
approval of the qualifications of the new private gain; or contributions. Cash match is the direct

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outlay of funds by the grantee or a third 10. Political Activities funds or grantee matching
party to support the project. Examples No recipient may contribute or make contributions.
of cash match are the dedication of available Institute funds, program (2) Applicants should disclose their
funds to support a new employee or personnel, or equipment to any political intent to sell grant-related products in
purchase new equipment to carry out party or association, or the campaign of the application. Grantees must obtain
the project or the application of project any candidate for public or party office. the written prior approval of the
income (e.g., tuition or the proceeds of Recipients are also prohibited from Institute of their plans to recover project
sales of grant products) generated using funds in advocating or opposing costs through the sale of grant products.
during the grant period to grant costs. any ballot measure, initiative, or Written requests to recover costs
In-kind match consists of contributions referendum. Officers and employees of ordinarily should be received during the
of time and/or services of current staff recipients shall not intentionally grant period and should specify the
members, space, supplies, etc., made to identify the Institute or recipients with nature and extent of the costs to be
the project by the grantee or others (e.g., any partisan or nonpartisan political recouped, the reason that such costs
advisory board members) working activity associated with a political party were not budgeted (if the rationale was
directly on the project or that portion of or association, or the campaign of any not disclosed in the approved
the grantee’s Federally approved candidate for public or party office (42 application), the number of copies to be
indirect cost rate that exceeds the sold, the intended audience for the
U.S.C. 10706(a)).
Guideline’s limit of permitted charges products to be sold, and the proposed
(75% of salaries and benefits). 11. Products sale price. If the product is to be sold
Under normal circumstances, a. Acknowledgment, Logo, and for more than $25, the written request
allowable match may be incurred only Disclaimer also should include a detailed
during the project period. When itemization of costs that will be
appropriate, and with the prior written (1) Recipients of Institute funds must recovered and a certification that the
permission of the Institute, match may acknowledge prominently on all costs were not supported by either
be incurred from the date of the Board products developed with grant funds Institute grant funds or grantee
of Directors’ approval of an award. that support was received from the matching contributions.
Match does not include the time of Institute. The ‘‘SJI’’ logo must appear on (3) In the event that the sale of grant
participants attending an education the front cover of a written product, or products results in revenues that exceed
program. The amount and nature of in the opening frames of a video the costs to develop, produce, and
required match depends on the type of product, unless another placement is disseminate the product, the revenue
grant (see section III.). approved in writing by the Institute. must continue to be used for the
The grantee is responsible for This includes final products printed or authorized purposes of the Institute-
ensuring that the total amount of match otherwise reproduced during the grant funded project or other purposes
proposed is actually contributed. If a period, as well as reprintings or consistent with the State Justice
proposed contribution is not fully met, reproductions of those materials Institute Act that have been approved by
the Institute may reduce the award following the end of the grant period. A the Institute (see section VII.G.).
amount accordingly, in order to camera-ready logo sheet is available on
maintain the ratio originally provided the Institute’s web site: c. Copyrights
for in the award agreement (see section www.statejustice.org. Except as otherwise provided in the
VII.E.1.). (2) Recipients also must display the terms and conditions of an Institute
The Board of Directors looks favorably following disclaimer on all grant award, a recipient is free to copyright
upon any unrequired match contributed products: ‘‘’This [document, film, any books, publications, or other
by applicants when making grant videotape, etc.] was developed under copyrightable materials developed in
decisions. The match requirement may [grant/cooperative agreement] number the course of an Institute-supported
be waived in exceptionally rare SJI-[insert number] from the State project, but the Institute shall reserve a
circumstances upon the request of the Justice Institute. The points of view royalty-free, nonexclusive and
Chief Justice of the highest court in the expressed are those of the [author(s), irrevocable right to reproduce, publish,
State or the highest ranking official in filmmaker(s), etc.] and do not or otherwise use, and to authorize
the requesting organization and necessarily represent the official others to use, the materials for purposes
approval by the Board of Directors (42 position or policies of the State Justice consistent with the State Justice
U.S.C. 10705(d)). The Board of Directors Institute.’’ Institute Act.
encourages all applicants to provide the
b. Charges for Grant-Related Products/ d. Due Date
maximum amount of cash and in-kind
Recovery of Costs
match possible, even if a waiver is All products and, for TA and CAT
approved. The amount and nature of (1) When Institute funds fully cover grants, consultant and/or trainer reports
match are criteria in the grant selection the cost of developing, producing, and (see section VI.B.1 & 2) are to be
process (see section V.B.1.b.). disseminating a product (e.g., a report, completed and distributed (see below)
curriculum, videotape, or software), the not later than the end of the award
9. Nondiscrimination product should be distributed to the period, not the 90-day close out period.
No person may, on the basis of race, field without charge. When Institute The latter is only intended for grantee
sex, national origin, disability, color, or funds only partially cover the final reporting and to liquidate
creed be excluded from participation in, development, production, or obligations (see section VII.L.).
denied the benefits of, or otherwise dissemination costs, the grantee may,
subjected to discrimination under any with the Institute’s prior written e. Distribution
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program or activity supported by approval, recover its costs for In addition to the distribution
Institute funds. Recipients of Institute developing, producing, and specified in the grant application,
funds must immediately take any disseminating the material to those grantees shall send:
measures necessary to effectuate this requesting it, to the extent that those (1) Fifteen (15) copies of each final
provision. costs were not covered by Institute product developed with grant funds to

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

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17. Suspension or Termination of the preferred qualifications or 1. Complying with the statutory
Funding experience of those selected as faculty, requirements for the award,
After providing a recipient reasonable developed under the grant at the disbursement, and accounting of funds;
notice and opportunity to submit conclusion of the grant period, along 2. Complying with regulatory
written documentation demonstrating with a final report that includes any requirements of the Institute for the
why fund termination or suspension evaluation results and explains how the financial management and disposition
should not occur, the Institute may grantee intends to present the of funds;
terminate or suspend funding of a educational program in the future, as 3. Generating financial data to be used
project that fails to comply substantially well as two copies of the consultant’s or in planning, managing, and controlling
with the Act, the Guideline, or the terms trainer’s report. projects; and
and conditions of the award (42 U.S.C. 4. Facilitating an effective audit of
C. Scholarship Recipients
10708(a)). funded programs and projects.
1. Scholarship recipients are
18. Title to Property responsible for disseminating the B. References
At the conclusion of the project, title information received from the course to Except where inconsistent with
to all expendable and nonexpendable their court colleagues locally and, if specific provisions of this Guideline, the
personal property purchased with possible, throughout the State (e.g., by following circulars are applicable to
Institute funds shall vest in the recipient developing a formal seminar, circulating Institute grants and cooperative
court, organization, or individual that the written material, or discussing the agreements under the same terms and
purchased the property if certification is information at a meeting or conference). conditions that apply to Federal
made to and approved by the Institute Recipients also must submit to the grantees. The circulars supplement the
that the property will continue to be Institute a certificate of attendance at requirements of this section for
used for the authorized purposes of the the program, an evaluation of the accounting systems and financial
Institute-funded project or other educational program they attended, and record-keeping and provide additional
purposes consistent with the State a copy of the notice of any scholarship guidance on how these requirements
Justice Institute Act. If such certification funds received from other sources. A may be satisfied (circulars may be
is not made or the Institute disapproves copy of the evaluation must be sent to obtained on the OMB Web site at
such certification, title to all such the Chief Justice of the scholarship http://www.whitehouse.gov/omb).
property with an aggregate or individual recipient’s State. A State or local 1. Office of Management and Budget
value of $1,000 or more shall vest in the jurisdiction may impose additional (OMB) Circular A–21, Cost Principles
Institute, which will direct the requirements on scholarship recipients. for Educational Institutions.
disposition of the property. 2. To receive the funds authorized by 2. Office of Management and Budget
B. Recipients of Technical Assistance a scholarship award, recipients must (OMB) Circular A–87, Cost Principles
(TA) and Curriculum Adaptation and submit a Scholarship Payment Voucher for State and Local Governments.
Training (CAT) Grants (Form S3) together with a tuition 3. Office of Management and Budget
statement from the program sponsor, a (OMB) Circular A–102, Uniform
Recipients of TA and CAT Grants transportation fare receipt (or statement Administrative Requirements for
must comply with the requirements of the driving mileage to and from the Grants-in-Aid to State and Local
listed in section VI.A. (except the recipient’s home to the site of the Governments.
requirements pertaining to audits in educational program), and a lodging 4. Office of Management and Budget
subsection A.3. above and product receipt. (OMB) Circular A–110, Grants and
dissemination and approval in Scholarship Payment Vouchers must Agreements with Institutions of Higher
subsection A.11.e. and f. above) and the be submitted within 90 days after the Education, Hospitals and Other Non-
reporting requirements below: end of the course, which the recipient Profit Organizations.
1. Technical Assistance (TA) Grant attended. 5. Office of Management and Budget
Reporting Requirements 3. Scholarship recipients are (OMB) Circular A–122, Cost Principles
encouraged to check with their tax for Non-profit Organizations.
Recipients of TA Grants must submit
advisors to determine whether the 6. Office of Management and Budget
to the Institute one copy of a final report
scholarship constitutes taxable income (OMB) Circular A–133, Audits of States,
that explains how it intends to act on
under Federal and State law. Local Governments and Non-profit
the consultant’s recommendations, as
Organizations.
well as two copies of the consultant’s D. Partner Grants
written report. The compliance requirements for C. Supervision and Monitoring
Partner Grant recipients will depend Responsibilities
2. Curriculum Adaptation and Training
(CAT) Grant Reporting Requirements upon the agreements struck between the 1. Grantee Responsibilities
Recipients of CAT Grants must submit grant financiers and between lead
All grantees receiving awards from
one copy of the agenda or schedule, financiers and grantees. Should SJI be
the Institute are responsible for the
outline of presentations and/or relevant the lead, the compliance requirements
management and fiscal control of all
instructor’s notes, copies of overhead for Project Grants will apply.
funds. Responsibilities include
transparencies, power point VII. Financial Requirements accounting for receipts and
presentations, or other visual aids, expenditures, maintaining adequate
exercises, case studies and other A. Purpose
financial records, and refunding
background materials, hypotheticals, The purpose of this section is to
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expenditures disallowed by audits.


quizzes, and other materials involving establish accounting system
the participants, manuals, handbooks, requirements and offer guidance on 2. Responsibilities of State Supreme
conference packets, evaluation forms, procedures to assist all grantees, Court
and suggestions for replicating the subgrantees, contractors, and other a. Each application for funding from
program, including possible faculty or organizations in: a State or local court must be approved,

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consistent with State law, by the State’s 1. Properly accounts for receipt of the ratio of grant funds to matching
Supreme Court, or its designated agency funds under each grant awarded and the funds stated in the award agreement.
or council. expenditure of funds for each grant by
b. The State Supreme Court or its 2. Records for Match
category of expenditure (including
designee shall receive all Institute funds matching contributions and project All grantees must maintain records
awarded to such courts; be responsible income); that clearly show the source, amount,
for assuring proper administration of 2. Assures that expended funds are and timing of all matching
Institute funds; and be responsible for applied to the appropriate budget contributions. In addition, if a project
all aspects of the project, including category included within the approved has included, within its approved
proper accounting and financial record- grant; budget, contributions which exceed the
keeping by the subgrantee. These 3. Presents and classifies historical required matching portion, the grantee
responsibilities include: costs of the grant as required for must maintain records of those
(1) Reviewing Financial Operations. budgetary and evaluation purposes; contributions in the same manner as it
The State Supreme Court or its designee 4. Provides cost and property controls does Institute funds and required
should be familiar with, and to assure optimal use of grant funds; matching shares. For all grants made to
periodically monitor, its subgrantees’ 5. Is integrated with a system of State and local courts, the State
financial operations, records system, internal controls adequate to safeguard Supreme Court has primary
and procedures. Particular attention the funds and assets covered, check the responsibility for grantee/subgrantee
should be directed to the maintenance accuracy and reliability of the compliance with the requirements of
of current financial data. accounting data, promote operational this section (see subsection C.2. above).
(2) Recording Financial Activities.
efficiency, and assure conformance with F. Maintenance and Retention of
The subgrantee’s grant award or contract
any general or special conditions of the Records
obligation, as well as cash advances and
grant;
other financial activities, should be All financial records, including
6. Meets the prescribed requirements supporting documents, statistical
recorded in the financial records of the
for periodic financial reporting of records, and all other information
State Supreme Court or its designee in
operations; and pertinent to grants, subgrants,
summary form. Subgrantee expenditures
should be recorded on the books of the 7. Provides financial data for cooperative agreements, or contracts
State Supreme Court OR evidenced by planning, control, measurement, and under grants, must be retained by each
report forms duly filed by the evaluation of direct and indirect costs. organization participating in a project
subgrantee. Matching contributions E. Total Cost Budgeting and Accounting for at least three years for purposes of
provided by subgrantees should examination and audit. State Supreme
Accounting for all funds awarded by Courts may impose record retention and
likewise be recorded, as should any
the Institute must be structured and maintenance requirements in addition
project income resulting from program
executed on a ‘‘Total Project Cost’’ to those prescribed in this section.
operations.
(3) Budgeting and Budget Review. The basis. That is, total project costs,
including Institute funds, State and 1. Coverage
State Supreme Court or its designee
should ensure that each subgrantee local matching shares, and any other The retention requirement extends to
prepares an adequate budget as the basis fund sources included in the approved books of original entry, source
for its award commitment. The State project budget serve as the foundation documents supporting accounting
Supreme Court should maintain the for fiscal administration and accounting. transactions, the general ledger,
details of each project budget on file. Grant applications and financial reports subsidiary ledgers, personnel and
(4) Accounting for Match. The State require budget and cost estimates on the payroll records, canceled checks, and
Supreme Court or its designee will basis of total costs. related documents and records. Source
ensure that subgrantees comply with the 1. Timing of Matching Contributions documents include copies of all grant
match requirements specified in this and subgrant awards, applications, and
Guideline (see section VI.A.8.). Matching contributions need not be required grantee/subgrantee financial
(5) Audit Requirement. The State applied at the exact time of the and narrative reports. Personnel and
Supreme Court or its designee is obligation of Institute funds. Ordinarily, payroll records shall include the time
required to ensure that subgrantees meet the full matching share must be and attendance reports for all
the necessary audit requirements set obligated during the award period; individuals reimbursed under a grant,
forth by the Institute (see sections K. however, with the written permission of subgrant or contract, whether they are
below and VI.A.3.). the Institute, contributions made employed full-time or part-time. Time
(6) Reporting Irregularities. The State following approval of the grant by the and effort reports are required for
Supreme Court, its designees, and its Institute’s Board of Directors but before consultants.
subgrantees are responsible for the beginning of the grant may be
promptly reporting to the Institute the counted as match. Grantees that do not 2. Retention Period
nature and circumstances surrounding contemplate making matching The three-year retention period starts
any financial irregularities discovered. contributions continuously throughout from the date of the submission of the
the course of a project, or on a task-by- final expenditure report.
D. Accounting System task basis, are required to submit a
The grantee is responsible for schedule within 30 days after the 3. Maintenance
establishing and maintaining an beginning of the project period Grantees and subgrantees are
adequate system of accounting and indicating at what points during the expected to see that records of different
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internal controls and for ensuring that project period the matching fiscal years are separately identified and
an adequate system exists for each of its contributions will be made. If a maintained so that requested
subgrantees and contractors. An proposed cash or in-kind match is not information can be readily located.
acceptable and adequate accounting fully met, the Institute may reduce the Grantees and subgrantees are also
system: award amount accordingly to maintain obligated to protect records adequately

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against fire or other damage. When Whenever possible, the intent to sell a their requests to ensure that cash on
records are stored away from the product should be disclosed in the hand is the minimum needed for
grantee’s/subgrantee’s principal office, a application or reported to the Institute disbursements to be made immediately
written index of the location of stored in writing once a decision to sell or within a few days.
records should be on hand, and ready products has been made. The grantee 2. Financial Reporting
access should be assured. must request approval to recover its a. General Requirements. To obtain
product development, reproduction, financial information concerning the
4. Access
and dissemination costs as specified in use of funds, the Institute requires that
Grantees and subgrantees must give section VI.A.11.b. grantees/subgrantees submit timely
any authorized representative of the reports for review.
Institute access to and the right to 5. Other
b. Due Dates and Contents. A
examine all records, books, papers, and Other project income shall be treated Financial Status Report is required from
documents related to an Institute grant. in accordance with disposition all grantees, other than scholarship
instructions set forth in the grant’s terms recipients, for each active quarter on a
G. Project-Related Income
and conditions. calendar-quarter basis. This report is
Records of the receipt and disposition due within 30 days after the close of the
of project-related income must be H. Payments and Financial Reporting
Requirements calendar quarter. It is designed to
maintained by the grantee in the same provide financial information relating to
manner as required for the project funds 1. Payment of Grant Funds Institute funds, State and local matching
that gave rise to the income and must be shares, project income, and any other
The procedures and regulations set
reported to the Institute (see subsection sources of funds for the project, as well
forth below are applicable to all
H.2. below). The policies governing the as information on obligations and
Institute grant funds and grantees.
disposition of the various types of outlays. A copy of the Financial Status
a. Request for Advance or
project-related income are listed below. Report, along with instructions for its
Reimbursement of Funds. Grantees will
1. Interest receive funds on a ‘‘check-issued’’ basis. preparation, is included in each official
Upon receipt, review, and approval of a Institute Award package. If a grantee
A State and any agency or requests substantial payments for a
instrumentality of a State, including Request for Advance or Reimbursement
by the Institute, a check will be issued project prior to the completion of a
institutions of higher education and given quarter, the Institute may request
hospitals, shall not be held accountable directly to the grantee or its designated
fiscal agent. A request must be limited a brief summary of the amount
for interest earned on advances of requested, by object class, to support the
project funds. When funds are awarded to the grantee’s immediate cash needs.
The Request for Advance or Request for Advance or Reimbursement.
to subgrantees through a State, the
subgrantees are not held accountable for Reimbursement, along with the 3. Consequences of Non-Compliance
interest earned on advances of project instructions for its preparation, will be With Submission Requirement
funds. Local units of government and included in the official Institute award
package. Failure of the grantee to submit
nonprofit organizations that are grantees required financial and progress reports
must refund any interest earned. b. Termination of Advance and
Reimbursement Funding. When a may result in suspension or termination
Grantees shall ensure minimum of grant payments.
balances in their respective grant cash grantee organization receiving cash
accounts. advances from the Institute: I. Allowability of Costs
(1) Demonstrates an unwillingness or
2. Royalties inability to attain program or project 1. General
The grantee/subgrantee may retain all goals, or to establish procedures that Except as may be otherwise provided
royalties received from copyrights or will minimize the time elapsing in the conditions of a particular grant,
other works developed under projects or between cash advances and cost allowability is determined in
from patents and inventions, unless the disbursements, or cannot adhere to accordance with the principles set forth
terms and conditions of the grant guideline requirements or special in OMB Circulars A–21, Cost Principles
provide otherwise. conditions; Applicable to Grants and Contracts with
(2) Engages in the improper award Educational Institutions; A–87, Cost
3. Registration and Tuition Fees and administration of subgrants or Principles for State and Local
Registration and tuition fees may be contracts; or Governments; and A–122, Cost
considered as cash match with the prior (3) Is unable to submit reliable and/ Principles for Non-profit Organizations.
written approval of the Institute. or timely reports; the Institute may No costs may be recovered to
Estimates of registration and tuition terminate advance financing and require liquidate obligations incurred after the
fees, and any expenses to be offset by the grantee organization to finance its approved grant period. Circulars may be
the fees, should be included in the operations with its own working capital. obtained on the OMB Web site at http://
application budget forms and narrative. Payments to the grantee shall then be www.whitehouse.gov/omb.
made by check to reimburse the grantee
4. Income from the Sale of Grant for actual cash disbursements. In the 2. Costs Requiring Prior Approval
Products event the grantee continues to be a. Pre-agreement Costs. The written
If the sale of products occurs during deficient, the Institute may suspend prior approval of the Institute is
the project period, the income may be reimbursement payments until the required for costs considered necessary
treated as cash match with the prior deficiencies are corrected. In extreme but which occur prior to the start date
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written approval of the Institute. The cases, grants may be terminated. of the project period.
costs and income generated by the sales c. Principle of Minimum Cash on b. Equipment. Grant funds may be
must be reported on the Quarterly Hand. Grantees should request funds used to purchase or lease only that
Financial Status Reports and based upon immediate disbursement equipment essential to accomplishing
documented in an auditable manner. requirements. Grantees should time the goals and objectives of the project.

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The written prior approval of the building occupancy and maintenance, requirement for an annual fiscal audit.
Institute is required when the amount of etc., as direct costs. The audit must be conducted by an
automated data processing (ADP) b. Establishment of Indirect Cost independent Certified Public
equipment to be purchased or leased Rates. To be reimbursed for indirect Accountant, or a State or local agency
exceeds $10,000 or software to be costs, a grantee must first establish an authorized to audit government
purchased exceeds $3,000. appropriate indirect cost rate. To do agencies. Grantees must send two copies
c. Consultants. The written prior this, the grantee must prepare an of the audit report to the Institute.
approval of the Institute is required indirect cost rate proposal and submit it Grantees that receive funds from a
when the rate of compensation to be to the Institute within three months Federal agency and satisfy audit
paid a consultant exceeds $800 a day. after the start of the grant period to requirements of the cognizant Federal
Institute funds may not be used to pay assure recovery of the full amount of agency must submit two copies of the
a consultant more than $1,100 per day. allowable indirect costs. The rate must audit report prepared for that Federal
d. Budget Revisions. Budget revisions be developed in accordance with agency to the Institute in order to satisfy
among direct cost categories that (i) principles and procedures appropriate the provisions of this section.
transfer grant funds to an unbudgeted to the type of grantee institution
cost category or (ii) individually or involved as specified in the applicable 2. Resolution and Clearance of Audit
cumulatively exceed five percent (5%) OMB Circular. Reports
of the approved original budget or the c. No Approved Plan. If an indirect Timely action on recommendations
most recently approved revised budget cost proposal for recovery of indirect by responsible management officials is
require prior Institute approval (see costs is not submitted to the Institute an integral part of the effectiveness of an
section VIII.A.1.). within three months after the start of the audit. Each grantee must have policies
grant period, indirect costs will be and procedures for acting on audit
3. Travel Costs
irrevocably disallowed for all months recommendations by designating
Transportation and per diem rates prior to the month that the indirect cost officials responsible for: (1) Follow-up,
must comply with the policies of the proposal is received. (2) maintaining a record of the actions
grantee. If the grantee does not have an taken on recommendations and time
established written travel policy, then J. Procurement and Property
Management Standards schedules, (3) responding to and acting
travel rates must be consistent with on audit recommendations, and (4)
those established by the Institute or the 1. Procurement Standards submitting periodic reports to the
Federal Government. Institute funds Institute on recommendations and
For State and local governments, the
may not be used to cover the actions taken.
Institute has adopted the standards set
transportation or per diem costs of a
forth in Attachment O of OMB Circular 3. Consequences of Non-Resolution of
member of a national organization to
A–102. Institutions of higher education, Audit Issues
attend an annual or other regular
hospitals, and other non-profit
meeting of that organization. Ordinarily, the Institute will not make
organizations will be governed by the
4. Indirect Costs standards set forth in Attachment O of a subsequent grant award to an
OMB Circular A–110. applicant that has an unresolved audit
These are costs of an organization that report involving Institute awards.
are not readily assignable to a particular 2. Property Management Standards Failure of the grantee to resolve audit
project but are necessary to the questions may also result in the
The property management standards
operation of the organization and the suspension or termination of payments
as prescribed in Attachment N of OMB
performance of the project. The cost of for active Institute grants to that
Circulars A–102 and A–110 apply to all
operating and maintaining facilities, organization.
Institute grantees and subgrantees
depreciation, and administrative
except as provided in section VI.A.18. L. Close-Out of Grants
salaries are examples of the types of
All grantees/subgrantees are required to
costs that are usually treated as indirect 1. Grantee Close-Out Requirements
be prudent in the acquisition and
costs. Although the Institute’s policy
management of property with grant Within 90 days after the end date of
requires all costs to be budgeted
funds. If suitable property required for the grant or any approved extension
directly, it will accept indirect costs if
the successful execution of projects is thereof (see subsection L.2. below), the
a grantee has an indirect cost rate
already available within the grantee or following documents must be submitted
approved by a Federal agency as set
subgrantee organization, expenditures of to the Institute by grantees (other than
forth below. However, recoverable
grant funds for the acquisition of new scholarship recipients):
indirect costs are limited to no more
property will be considered a. Financial Status Report. The final
than 75% of a grantee’s direct personnel
unnecessary. report of expenditures must have no
costs (salaries plus fringe benefits).
a. Approved Plan Available. K. Audit Requirements unliquidated obligations and must
(1) A copy of an indirect cost rate indicate the exact balance of
agreement or allocation plan approved 1. Implementation unobligated funds. Any unobligated/
for a grantee during the preceding two Each recipient of a Project Grant must unexpended funds will be deobligated
years by any Federal granting agency on provide for an annual fiscal audit. This from the award by the Institute. Final
the basis of allocation methods requirement also applies to a State or payment requests for obligations
substantially in accord with those set local court receiving a subgrant from the incurred during the award period must
forth in the applicable cost circulars State Supreme Court. The audit may be be submitted to the Institute prior to the
of the entire grantee or subgrantee end of the 90-day close-out period.
rwilkins on PROD1PC63 with NOTICES2

must be submitted to the Institute.


(2) Where flat rates are accepted in organization or of the specific project Grantees on a check-issued basis, who
lieu of actual indirect costs, grantees funded by the Institute. Audits have drawn down funds in excess of
may not also charge expenses normally conducted in accordance with the their obligations/expenditures, must
included in overhead pools, e.g., Single Audit Act of 1984 and OMB return any unused funds as soon as it is
accounting services, legal services, Circular A–133, will satisfy the determined that the funds are not

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Federal Register / Vol. 72, No. 233 / Wednesday, December 5, 2007 / Notices 68637

required. In no case should any unused 2. A change in the scope of work to approach, or other aspects of the grant
funds remain with the grantee beyond be performed or the objectives of the to expedite achievement of the grant’s
the submission date of the final project (see subsection D. below). objectives with subsequent notification
Financial Status Report. 3. A change in the project site. of the SJI program manager.
b. Final Progress Report. This report 4. A change in the project period,
such as an extension of the grant period E. Date Changes
should describe the project activities
during the final calendar quarter of the and/or extension of the final financial or A request to change or extend the
project and the close-out period, progress report deadline (see subsection grant period must be made at least 30
including to whom project products E. below). days in advance of the end date of the
have been disseminated; provide a 5. Satisfaction of special conditions, if grant. A revised task plan should
summary of activities during the entire required. accompany a request for an extension of
project; specify whether all the 6. A change in or temporary absence the grant period, along with a revised
objectives set forth in the approved of the project director (see subsections budget if shifts among budget categories
application or an approved adjustment F. and G. below). will be needed. A request to change or
have been met and, if any of the 7. The assignment of an employee or extend the deadline for the final
objectives have not been met, explain consultant to a key staff position whose financial report or final progress report
why not; and discuss what, if anything, qualifications were not described in the must be made at least 14 days in
could have been done differently that application, or a change of a person advance of the report deadline (see
might have enhanced the impact of the assigned to a key project staff position section VII.L.2.).
project or improved its operation. These (see section VI.A.2.). F. Temporary Absence of the Project
reporting requirements apply at the 8. A change in or temporary absence
Director
conclusion of every grant other than a of the person responsible for managing
and reporting on the grant’s finances. Whenever an absence of the project
scholarship.
9. A change in the name of the grantee director is expected to exceed a
2. Extension of Close-out Period organization. continuous period of one month, the
10. A transfer or contracting out of plans for the conduct of the project
Upon the written request of the
grant-supported activities (see director’s duties during such absence
grantee, the Institute may extend the
subsection H. below). must be approved in advance by the
close-out period to assure completion of
11. A transfer of the grant to another Institute. This information must be
the grantee’s close-out requirements.
recipient. provided in a letter signed by an
Requests for an extension must be
12. Preagreement costs (see section authorized representative of the grantee/
submitted at least 14 days before the
VII.I.2.a.). subgrantee at least 30 days before the
end of the close-out period and must
13. The purchase of automated data departure of the project director, or as
explain why the extension is necessary
processing equipment and software (see soon as it is known that the project
and what steps will be taken to assure
section VII.I.2.b.). director will be absent. The grant may
that all the grantee’s responsibilities
14. Consultant rates (see section be terminated if arrangements are not
will be met by the end of the extension
VII.I.2.c.). approved in advance by the Institute.
period.
15. A change in the nature or number
G. Withdrawal of/Change in Project
VIII. Grant Adjustments of the products to be prepared or the
Director
manner in which a product would be
All requests for programmatic or If the project director relinquishes or
distributed.
budgetary adjustments requiring expects to relinquish active direction of
Institute approval must be submitted by B. Requests for Grant Adjustments the project, the Institute must be
the project director in a timely manner All grantees must promptly notify notified immediately. In such cases, if
(ordinarily 30 days prior to the their SJI program managers, in writing, the grantee/subgrantee wishes to
implementation of the adjustment being of events or proposed changes that may terminate the project, the Institute will
requested). All requests for changes require adjustments to the approved forward procedural instructions upon
from the approved application will be project design. In requesting an notification of such intent. If the grantee
carefully reviewed for both consistency adjustment, the grantee must set forth wishes to continue the project under the
with this Guideline and the the reasons and basis for the proposed direction of another individual, a
enhancement of grant goals and adjustment and any other information statement of the candidate’s
objectives. Failure to submit the program manager determines would qualifications should be sent to the
adjustments in a timely manner may help the Institute’s review. Institute for review and approval. The
result in the termination of a grantee’s grant may be terminated if the
award. C. Notification of Approval/Disapproval qualifications of the proposed
A. Grant Adjustments Requiring Prior If the request is approved, the grantee individual are not approved in advance
Written Approval will be sent a Grant Adjustment signed by the Institute.
by the Executive Director or his or her
The following grant adjustments H. Transferring or Contracting Out of
designee. If the request is denied, the
require the prior written approval of the Grant-Supported Activities
grantee will be sent a written
Institute: explanation of the reasons for the No principal activity of a grant-
1. Budget revisions among direct cost denial. supported project may be transferred or
categories that (a) transfer grant funds to contracted out to another organization
an unbudgeted cost category or (b) D. Changes in the Scope of the Grant without specific prior approval by the
rwilkins on PROD1PC63 with NOTICES2

individually or cumulatively exceed Major changes in scope, duration, Institute. All such arrangements must be
five percent (5%) of the approved training methodology, or other formalized in a contract or other written
original budget or the most recently significant areas must be approved in agreement between the parties involved.
approved revised budget (see section advance by the Institute. A grantee may Copies of the proposed contract or
VII.I.2.d.). make minor changes in methodology, agreement must be submitted for prior

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68638 Federal Register / Vol. 72, No. 233 / Wednesday, December 5, 2007 / Notices

approval of the Institute at the earliest Arizona Hawaii


possible time. The contract or agreement Supreme Court Library Supreme Court Library
must state, at a minimum, the activities
Ms. Lani Orosco, Staff Assistant, Arizona Ms. Ann Koto, State Law Librarian, The
to be performed, the time schedule, the
Supreme Court, Staff Attorney’s Office Supreme Court Law Library, 417 South
policies and procedures to be followed, Library, 1501 W. Washington, Suite 445, King St., Room 119, Honolulu, HI 96813,
the dollar limitation of the agreement, Phoenix, AZ 85007, (602) 542–5028, (808) 539–4964,
and the cost principles to be followed in lorosco@supreme.sp.state.az.us. Ann.S.Koto@courts.state.hi.us.
determining what costs, both direct and
indirect, will be allowed. The contract Arkansas Idaho
or other written agreement must not Administrative Office of the Courts AOC Judicial Education Library/State Law
affect the grantee’s overall responsibility Mr. James D. Gingerich, Director, Library
for the direction of the project and Administrative Office of the Courts, Mr. Richard Visser, State Law Librarian,
accountability to the Institute. Supreme Court of Arkansas, Justice Idaho State Law Library, Supreme Court
Building, 625 Marshall Street, Little Rock, Building 451 West State St., Boise, ID
State Justice Institute Board of
AR 72201, (501) 682–9400, 83720, (208) 334–3316,
Directors jd.gingerich@arkansas.gov. lawlibrary@isc.state.id.us.
Robert A. Miller, Chairman, Chief California Illinois
Justice (ret.), Supreme Court of South
Administrative Office of the Courts Supreme Court Library
Dakota, Pierre, SD
Mr. William C. Vickrey, Administrative Ms. Brenda Larison, Supreme Court of
Joseph F. Baca, Vice Chairman, Chief Director of the Courts, Administrative
Justice (ret.), New Mexico Supreme Illinois Library, 200 East Capitol Avenue,
Office of the Courts, 455 Golden Gate Springfield, IL 62701–1791, (217) 782–
Court, Albuquerque, NM Avenue, San Francisco, CA 94102, (415) 2425, blarison@court.state.il.us.
Sandra A. O’Connor, Secretary, States 865–4235, william.vickrey@jud.ca.gov.
Attorney of Baltimore County, (ret.), Indiana
Colorado
Towson, MD Supreme Court Library
Supreme Court Library
Keith McNamara, Esq., Executive Ms. Terri L. Ross, Supreme Court Librarian,
Committee Member, McNamara & Ms. Linda Gruenthal, Deputy Supreme Court
Supreme Court Library, State House, Room
McNamara, Columbus, OH Law Librarian, 2 East 14th Avenue, Denver,
316, Indianapolis, IN 46204, (317) 232–
CO 80203, (303) 837–3720,
Terrence B. Adamson, Esq., Executive 2557, tross@courts.state.in.us.
cscltech@state.co.us.
Vice President, The National Iowa
Geographic Society, Washington, DC Connecticut
Administrative Office of the Court
Robert N. Baldwin, Executive Vice State Library
President and General Counsel, Ms. Denise D. Jernigan, Law Librarian, Dr. Jerry K. Beatty, Director of Judicial
Connecticut State Library, 231 Capitol Branch Education, Iowa Judicial Branch,
National Center for State Courts,
Avenue, Hartford, CT 06106, (860) 757– Iowa Judicial Branch Building, 1111 East
Richmond, VA Court Avenue, Des Moines, IA 50319, (515)
6598, djernigan@cslib.org.
Carlos R. Garza, Esq., Administrative 242–0190, jerry.beatty@jb.state.ia.us.
Judge (ret.), Round Rock, TX Delaware
Kansas
Sophia H. Hall, Administrative Administrative Office of the Courts
Presiding Judge, Circuit Court of Cook Supreme Court Library
Mr. Michael E. McLaughlin, Deputy Director,
County, Chicago, IL Administrative Office of the Courts, Carvel Mr. Fred Knecht, Law Librarian, Kansas
Tommy Jewell, Presiding Children’s State Office Building, 820 North French Supreme Court Library, Kansas Judicial
Street, 11th Floor, P.O. Box 8911, Center, 301 S.W. 10th Avenue, Topeka, KS
Court Judge (ret.), Albuquerque, NM
Wilmington, DE 19801, (302) 577–8481, 66612, (785) 296–3257,
Arthur A. McGiverin, Chief Justice (ret.), michael.mclaughlin@state.de.us. knechtf@kscourts.org.
Albuquerque, NM
District of Columbia Kentucky
Janice T. Munsterman, Executive
Director (ex officio) Executive Office, District of Columbia Courts State Law Library
Ms. Anne B. Wicks, Executive Officer, Ms. Vida Vitagliano, Cataloging and Research
Janice Munsterman,
District of Columbia Courts, 500 Indiana Librarian, Kentucky Supreme Court
Executive Director. Library, 700 Capitol Avenue, Suite 200,
Avenue, NW., Suite 1500, Washington, DC
Appendix A—SJI Libraries: Designated 20001, (202) 879–1700, Wicksab@dcsc.gov. Frankfort, KY 40601, (502) 564–4185,
Sites and Contacts vidavitagliano@mail.aoc.state.ky.us.
Florida
Alabama Louisiana
Administrative Office of the Courts
Supreme Court Library State Law Library
Ms. Elisabeth H. Goodner, State Courts
Mr. Timothy A. Lewis, State Law Librarian, Administrator, Office of the State Courts Ms. Carol Billings, Director, Louisiana Law
Alabama Supreme Court, Judicial Building, Administrator, Florida Supreme Court, Library, Louisiana Supreme Court
300 Dexter Avenue, Montgomery, AL Supreme Court Building, 500 South Duval Building, 400 Royal Street, New Orleans,
36104, (334) 242–4347, Street, Tallahassee, FL 32399, (850) 922– LA 70130, (504) 310–2401,
director@alalinc.net. 5081, goodnerl@flcourts.org. cbillings@lasc.org.
Alaska Georgia Maine
rwilkins on PROD1PC63 with NOTICES2

Anchorage Law Library Administrative Office of the Courts State Law and Legislative Reference Library
Ms. Cynthia S. Fellows, State Law Librarian, Mr. David Ratley, Director, Administrative Ms. Lynn E. Randall, State Law Librarian, 43
Alaska State Court Law Library, 303 K Office of the Courts 244 Washington Street State House Station, Augusta, ME 04333,
Street, Anchorage, AK 99501, (907) 264– S.W., Suite 300, Atlanta, GA 30334, (404) (207) 287–1600,
0583, cfellows@courts.state.ak.us. 656–5171, ratleydl@gaaoc.us. lynn.randall@legislature.maine.gov.

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Federal Register / Vol. 72, No. 233 / Wednesday, December 5, 2007 / Notices 68639

Maryland Trenton, NJ 08625–0250, (609) 292–6230, Puerto Rico


tomalley@njstatelib.org.
State Law Library Office of Court Administration
Mr. Steve Anderson, Director, Maryland State New Mexico
Alfredo Rivera-Mendoza, Esq., Director, Area
Law Library, Court of Appeal Building, 361 Supreme Court Library of Planning and Management, Office of
Rowe Boulevard, Annapolis, MD 21401, Court Administration, P.O. Box 917, Hato
Mr. Thaddeus Bejnar, Librarian, Supreme
(410) 260–1430, Rey, PR 00919.
Court Library, Post Office Drawer L, Santa
steve.anderson@courts.state.md.us.
Fe, NM 87504, (505) 827–4850.
Rhode Island
Massachusetts
New York
Roger Williams University
Middlesex Law Library
Supreme Court Library
Ms. Linda Hom, Librarian, Middlesex Law Ms. Gail Winson, Director of Law Library/
Ms. Barbara Briggs, Law Librarian, Syracuse Associate Professor of Law, Roger Williams
Library, Superior Court House, 40 Supreme Court Law Library, 401
Thorndike Street, Cambridge, MA 02141, University, School of Law Library, 10
Montgomery Street, Syracuse, NY 13202, Metacom Avenue, Bristol, RI 02809, 401/
(617) 494–4148, midlawlib@yahoo.com. (315) 671–1150, bbriggs@courts.state.ny.us.
254–4531, gwinson@law.rwu.edu.
Michigan North Carolina
South Carolina
Michigan Judicial Institute Supreme Court Library
Dawn F. McCarty, Director, Michigan Judicial Coleman Karesh Law Library (University of
Mr. Thomas P. Davis, Librarian, North South Carolina School of Law)
Institute, P.O. Box 30205, Lansing, MI Carolina Supreme Court Library, 500
48909, (517) 373–7509, Justice Building, 2 East Morgan Street, Mr. Steve Hinckley, Director, Coleman
mccartyd@courts.mi.gov. Raleigh, NC 27601, (919) 733–3425, Karesh Law Library, University of South
Minnesota tpd@sc.state.nc.us. Carolina, Main and Green Streets,
Columbia, SC 29208, (803) 777–5944,
State Law Library (Minnesota Judicial Center) North Dakota
hinckley@law.sc.edu.
Ms. Barbara L. Golden, State Law Librarian, Supreme Court Library
G25 Minnesota Judicial Center, 25 Rev. Dr. South Dakota
Ms. Marcella Kramer, Assistant Law
Martin Luther King Jr. Boulevard, St. Paul, Librarian, Supreme Court Law Library, 600 State Law Library
MN 55155, (612) 297–2089, East Boulevard Avenue, Dept. 182, 2nd
barb.golden@courts.state.mn.us. Librarian, South Dakota State Law Library,
Floor Judicial Wing, Bismarck, ND 58505– 500 East Capitol, Pierre, South Dakota
Mississippi 0540, (701) 328–2229,
57501, (605) 773–4898,
mkramer@ndcourts.com.
Mississippi Judicial College donnis.deyo@ujs.state.sd.ud.
Northern Mariana Islands
Hon. Leslie G. Johnson, Executive Director, Tennessee
Mississippi Judicial College, P.O. Box Supreme Court of the Northern Mariana
8850, University, MS 38677, (662) 915– Islands Tennessee State Law Library
5955, lwleslie@olemiss.edu. Ms. Margarita M. Palacios, Director of Courts, Hon. Cornelia A. Clark, Executive Director,
Montana Supreme Court of the Commonwealth of Administrative Office of the Courts, 511
the Northern Mariana Islands, P.O. Box Union Street, Suite 600, Nashville, TN
State Law Library 502165, Saipan, MP 96950, (670) 235– 37219, (615) 741–2687,
Ms. Judith Meadows, State Law Librarian, 9700, supremecourt@saipan.com. cclark@tscmail.state.tn.us.
State Law Library of Montana, P.O. Box Ohio Texas
203004, Helena, MT 59620, (406) 444–
3660, jmeadows@mt.gov. Supreme Court Library State Law Library
Nebraska Mr. Ken Kozlowski, Director, Law Library, Mr. Marcelino A. Estrada, Director, State Law
Supreme Court of Ohio, 65 South Front
Library, P.O. Box 12367, Austin, TX 78711,
Administrative Office of the Courts Street, 11th Floor, Columbus, OH 43215–
(512) 463–1722,
Mr. Philip D. Gould, Director, Judicial 3431, (614) 387–9666,
kozlowsk@sconet.state.oh.us. tony.estrada@sll.state.tx.us.
Branch Education, Administrative Office of
the Courts/Probation, 521 South 14th St., Oklahoma U.S. Virgin Islands
Suite 200, Lincoln, NE 68508–2707, (402)
Administrative Office of the Courts Library of the Territorial Court of the Virgin
471–3072 (office)/(402) 471–3071 (fax),
pgould@nsc.state.ne.us. Islands (St. Thomas)
Mr. Michael D. Evans, State Court
Administrator, Administrative Office of the Librarian, The Library, Territorial Court of
Nevada
Courts, 1915 North Stiles Avenue, Suite the Virgin Islands, Post Office Box 70,
Ms. Kathleen Harrington, Law Librarian, 305, Oklahoma City, OK 73105, (405) 521– Charlotte Amalie, St. Thomas, Virgin
Nevada Supreme Court Law Library, 201 S. 2450, mike.evans@oscn.net. Islands 00804.
Carson Street, Suite 100, Carson City,
Nevada 89701–4702, (775)684–1715. Oregon Utah
New Hampshire Administrative Office of the Courts Utah State Judicial Administration Library
Ms. Kingsley W. Click, State Court Ms. Jessica Van Buren, Utah State Library,
New Hampshire Law Library
Administrator, Oregon Judicial 450 South State Street, P.O. Box 140220,
Ms. Mary Searles, Technical Services Law Department, Supreme Court Building, 1163
Librarian, New Hampshire Law Library, Salt Lake City, UT 84114–0220, (801) 238–
State Street, Salem, OR 97301, (503) 986–
Supreme Court Building, One Noble Drive, 7991, jessicavb@e-mail.utcourts.gov.
5500, kingsley.w.click@ojd.state.or.us.
Concord, NH 03301–6160, (603) 271–3777, Vermont
msearles@courts.state.nh.us. Pennsylvania
Supreme Court of Vermont
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New Jersey State Library of Pennsylvania


Ms. Kathleen Kline, Collection Management Mr. Paul J. Donovan, Law Librarian, Vermont
New Jersey State Library Librarian, State Library of Pennsylvania, Department of Libraries, 109 State Street,
Mr. Thomas O’Malley, Supervising Law Bureau of State Library, 333 Market Street, Pavilion Office Building, Montpelier, VT
Librarian, New Jersey State Law Library, Harrisburg, PA 17126–1745, (717) 787– 05609, (802) 828–3268,
185 West State Street, P.O. Box 520, 5718, kakline@state.pa.us. paul.donovan@dol.state.vt.us.

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Virginia Library, 1900 Kanawha Boulevard East, National


Administrative Office of the Courts Building 1, Room E–404, Charleston, WV
American Judicature Society
25305, (304) 558–2607,
Ms. Gail Warren, State Law Librarian, kaye.maerz@courts.wv.org. Ms. Deborah Sulzbach, Acquisitions
Virginia State Law Library, Supreme Court Librarian, Drake University, Law Library,
of Virginia, 100 North Ninth Street, 2nd Wisconsin Opperman Hall, 2507 University Avenue,
Floor, Richmond, VA 23219–2335, (804) Des Moines, IA 50311–4505, (515) 271–
786–2075, gwarren@courts.state.va.us. State Law Library
3784, deborah.sulzbach@drake.edu.
Washington Ms. Jane Colwin, State Law Librarian, State
Law Library, 120 M.L.K. Jr. Boulevard, National Center for State Courts
Washington State Law Library Madison, WI 53703, (608) 261–2340, Ms. Joan Cochet, Library Specialist, National
Ms. Kay Newman, State Law Librarian, jane.colwin@wicourts.gov. Center for State Courts, 300 Newport
Washington State Law Library, Temple of Avenue, Williamsburg, VA 23185–4147,
Justice, P.O. Box 40751, Olympia, WA Wyoming (757) 259–1826, library@ncsc.dni.us.
98504–0751, (360) 357–2136,
Wyoming State Law Library National Judicial College
kay.newman@courts.wa.gov.
Ms. Kathy Carlson, Law Librarian, Wyoming Mr. Randall Snyder, Law Librarian, National
West Virginia
State Law Library, Supreme Court Judicial College, Judicial College Building
Supreme Court of Appeals Library Building, 2301 Capitol Avenue, Cheyenne, MS 358, Reno, NV 89557, (775) 327–8278,
Ms. Kaye Maerz, State Law Librarian, West WY 82002, (307) 777-7509, snyder@judges.org.
Virginia Supreme Court of Appeals Kcarlson@courts.state.wy.us. BILLING CODE 6820–SC–P
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