Grant Guideline, Notice, 53332-53365 [E9-24852]

Agencies

• State Justice Institute

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



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Part II





State Justice Institute





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Grant Guideline; Notice

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

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STATE JUSTICE INSTITUTE


Grant Guideline, Notice

AGENCY: State Justice Institute.

ACTION: Proposed Grant Guideline for 2010.

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

DATES: October 16, 2009.

FOR FURTHER INFORMATION CONTACT: Janice Munsterman, Executive Director, 
State Justice Institute, 1650 King St. (Suite 600), Alexandria, VA 
22314, (703) 684-6100 X202, janice.munsterman@sji.gov

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

Table of Contents

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

I. The Mission of the State Justice Institute

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

II. Eligibility for Award

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

III. Scope of the Program

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

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award Continuation Grants except for Strategic Initiative Projects.

A. Project Grants

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

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

B. Technical Assistance (TA) Grants

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

C. Curriculum Adaptation and Training (CAT) Grants

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

D. Partner Grants

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

E. Strategic Initiatives Grants

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

F. Scholarships for Judges and Court Managers

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

IV. Applications

A. Project Grants

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

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

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

[[Page 53337]]

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

[[Page 53338]]

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

B. Technical Assistance (TA) Grants

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

[[Page 53339]]

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

C. Curriculum Adaptation and Training (CAT) Grants

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

D. Partner Grants

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

[[Page 53340]]

E. Scholarships

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

V. Application Review Procedures

A. Preliminary Inquiries

    The Institute staff will answer inquiries concerning application 
procedures.

B. Selection Criteria

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

[[Page 53341]]

    (9) The reasonableness of the proposed budget; and
    (10) The demonstration of cooperation and support of other agencies 
that may be affected by the project.
    (11) The proposed project's relationship to one of the Special 
Interest