American Rescue Plan Humanities Organizations NOFO 20210514-ARPO.pdf

NOTICE OF FUNDING OPPORTUNITY

Funding Opportunity Title:

American Rescue Plan: Humanities Organizations

Funding Opportunity Number: 20210514-ARPO

Funding Opportunity Type: New

Federal Assistance Listing Numbers: 45.149, 45.161, 45.162, 45.164, and 45.169

Application Deadline: May 14, 2021

Ensure your SAM.gov and Grants.gov registrations and passwords are current.

NEH will not grant deadline extensions for lack of registration.

Registration in all systems, including SAM.gov and Grants.gov, may take up to 1 month to complete.

Email: ARPorganizations@neh.gov Federal Relay: 800-877-8399

OMB control number 3136-0134, expiration date June 30, 2021 mailto:ARPorganizations@neh.gov

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Executive Summary The National Endowment for the Humanities (NEH) is accepting applications for the American Rescue Plan: Humanities Organizations program. In keeping with Congress’s intent in enacting the American Rescue Plan Act of 2021, the purpose of this emergency relief program is to assist institutions and organizations working in the humanities that have been adversely affected by the coronavirus pandemic. Applicants may propose new humanities projects or focus on sustaining core humanities programs and activities.

Funding Opportunity Title: American Rescue Plan: Humanities Organizations Funding Opportunity Number: 20210514-ARPO Federal Assistance Listing Numbers:

45.149, 45.161, 45.162, 45.164, and 45.169

Application Deadline: May 14, 2021, 11:59 p.m. Eastern Time Anticipated Announcement: September 2021 Anticipated Funding: Approximately $40,00,000 Estimated Number and Type of Awards:

Approximately 150 grants

Award Amount: Level I: up to $50,000 Level II: up to $200,000 Level III: up to $500,000

See B. Federal Award Information.

Cost Sharing/Match Required: No Period of Performance: The period of performance is one year.

Projects may start as early as October 1, 2021 and as late as January 1, 2022.

Eligible Applicants: U.S. nonprofit organizations with 501(c)(3) tax-exempt status, public and 501(c)(3) accredited institutions of higher education, state and local governmental agencies, and federally recognized Native American tribal governments.

See C. Eligibility Information.

Program Resource Page: https://www.neh.gov/program/american-rescue-plan-humanities-organizations

Technical Assistance: A pre-recorded technical assistance webinar will be available on the program resource page by April 12, 2021.

Frequently asked questions will be available on the program resource page and will be updated periodically during the application period.

https://www.neh.gov/program/american-rescue-plan-humanities-organizations

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Table of Contents

A. Program Description

1. Purpose

2. Background

B. Federal Award Information

1. Type of Application and Award

2. Summary of Funding

C. Eligibility Information

1. Eligible Applicants

2. Cost Sharing

3. Other Eligibility Information

D. Application and Submission Information

1. Application Package

2. Content and Form of Application Submission

3. Unique Entity Identifier and System for Award Management

4. Submission Dates and Times

5. Intergovernmental Review

6. Funding Restrictions

E. Application Review Information

1. Review Criteria

2. Review and Selection Process

3. Assessment of Risk and Other Pre-Award Activities

4. Anticipated Announcement and Award Dates

F. Federal Award Administration Information

1. Federal Award Notices

2. Administrative and National Policy Requirements

3. Reporting

G. Agency Contacts

H. Other Information

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A. Program Description

1. Purpose The American Rescue Plan Act of 2021 recognizes that the humanities sector is an essential component of economic and civic life in the United States. The Act appropriated supplemental funding to NEH to provide emergency relief to institutions and organizations working in the humanities that have been adversely affected by the coronavirus pandemic. In keeping with Congress’s intent in enacting the American Rescue Plan, applicants may propose new humanities projects or focus on sustaining core humanities programs and activities.

The American Rescue Plan: Humanities Organizations program invites applications from eligible organizations seeking support for humanities positions and projects that have been adversely impacted by the coronavirus pandemic. Through this funding opportunity, NEH will award grants to museums, libraries and archives, historic sites, independent research institutions, academic presses, professional organizations, colleges and universities, and other humanities organizations across the country to help them continue to advance their mission during the interruption of their operations due to the coronavirus pandemic. See C. Eligibility Information.

NEH has designed a simplified application process and expedited review for the distribution of these critical emergency relief funds. Funds are available to support a range of activities over a yearlong period of performance. NEH especially encourages applications from underserved and minority-serving institutions and organizations.

Allowable costs include, but are not limited to:

• personnel costs (salaries and fringe benefits) for individuals employed by the applicant and dedicated to the proposed activities

• fees for consultants and contractors

• supplies and materials necessary to carry out the proposed activities

• equipment necessary to carry out the proposed activities (not to exceed 20 percent of the total funds requested)

• general operating support (typically recovered through indirect costs)

Applicants may request pre-award costs as long as they were incurred no earlier than March 15, 2021. Applicants incur pre-award expenditures at their own risk, and a recipient’s authority to approve such costs does not impose an obligation on NEH in the event an award is not made or is made for an amount that is less than the recipient anticipated. All other project activities and expenditures of project funds must occur during the period of performance.

See D6. Funding Restrictions for unallowable costs.

See E1. Review Criteria for review criteria.

2. Background This program is authorized by 20 U.S.C. §956, et seq, the American Rescue Plan Act of 2021, Public Law No: 117-2 , and the CARES Act (Public Law 116-136). Awards are subject to 2 CFR Part 200 Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, and the General Terms and Conditions for Awards to Organizations (for grants and cooperative agreements issued December 26, 2014 or later).

https://uscode.house.gov/view.xhtml?hl=false&edition=prelim&req=granuleid%3AUSC-prelim-title20-section956&num=0&saved=%7CKHRpdGxlOjIwIHNlY3Rpb246OTU2YSBlZGl0aW9uOnByZWxpbSk%3D%7C%7C%7C0%7Cfalse%7Cprelim https://www.congress.gov/bill/117th-congress/house-bill/1319/text https://www.congress.gov/bill/117th-congress/house-bill/1319/text https://www.congress.gov/bill/116th-congress/house-bill/748?q=%7B%22search%22%3A%5B%22Public+Law+116-136%22%5D%7D&s=2&r=1 https://www.ecfr.gov/cgi-bin/text-idx?SID=236bb02f01d2e050f7a5b60c88a67066&mc=true&node=pt2.1.200&rgn=div5 https://www.ecfr.gov/cgi-bin/text-idx?SID=236bb02f01d2e050f7a5b60c88a67066&mc=true&node=pt2.1.200&rgn=div5 https://www.ecfr.gov/cgi-bin/text-idx?SID=236bb02f01d2e050f7a5b60c88a67066&mc=true&node=pt2.1.200&rgn=div5 https://www.neh.gov/grants/manage/general-terms-and-conditions-awards-organizations-grants-and-cooperative-agreements-issued-december https://www.neh.gov/grants/manage/general-terms-and-conditions-awards-organizations-grants-and-cooperative-agreements-issued-december

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According to the National Foundation on the Arts and the Humanities Act 0f 1965, “The term ‘humanities’ includes, but is not limited to, the study of the following: language, both modern and classical; linguistics; literature; history; jurisprudence; philosophy; archaeology;

comparative religion; ethics; the history, criticism and theory of the arts; those aspects of the social sciences which have humanistic content and employ humanistic methods; and the study and application of the humanities to the human environment with particular attention to reflecting our diverse heritage, traditions, and history and to the relevance of the humanities to the current conditions of national life.”

Examples of NEH-funded projects may be found using the Funded Projects Query Form.

Learn more about NEH.

NEH Area of Interest While all applications will be given equal consideration in accordance with the review criteria, NEH is especially interested in supporting projects that advance humanities-related work in the following area:

A More Perfect Union: Exploring America's Story and Commemorating its 250th Anniversary The task of building a more perfect Union rooted in the ideal of human equality falls to every generation of Americans, ours no less than our predecessors. The basic goals of life, liberty, and the pursuit of happiness endure over time, even as the challenges change: from founding a nation out of colonies; to dismantling the institution of slavery; to prevailing through times of economic depression and war; to advancing civil rights for all; to strengthening our democratic institutions; to building a more inclusive and sustainable society.

NEH’s A More Perfect Union initiative encourages projects that explore, reflect on, and tell the stories of our quest for a more just, inclusive, and sustainable society throughout our history.

NEH especially welcomes projects that bring the perspective of the humanities to questions of racial justice, gender equality, the evolution of the American landscape, as well as America’s place in the world. Projects that strengthen Americans’ knowledge of our principles of constitutional governance and democracy are strongly encouraged, as are projects that address the experiences of Native Americans and other under-represented communities. In addition, NEH welcomes projects that develop innovative approaches to sustaining the nation’s humanities infrastructure and preserving its historical record.

B. Federal Award Information

1. Type of Application and Award NEH seeks new applications in response to this notice.

NEH will provide funding in the form of grants.

2. Summary of Funding Applicants may apply for an amount based on the average size of their total annual operating costs for the three most recently completed fiscal years. If required to file, 501(c)(3) nonprofit organizations should refer to their 2019 Form 990 (Return of Organization Exempt from Income Tax), part one, line 18.

https://www.neh.gov/about/history/national-foundation-arts-and-humanities-act-1965-pl-89-209 https://securegrants.neh.gov/publicquery/main.aspx https://www.neh.gov/about https://www.neh.gov/250

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Level I: Organizations with an annual operating budget of less than $1,000,000 may request up to $50,000.

Level II: Organizations with an annual operating budget of between $1,000,000 and $10,000,000 may request up to $200,000.

Level III: Organizations with an annual operating budget of greater than $10,000,000 may request up to $500,000.

The period of performance is one year, with a start date no earlier than October 1, 2021, and no later than January 1, 2022.

Approximately $40,000,000 is expected to be available to fund an estimated 150 recipients.

C. Eligibility Information

1. Eligible Applicants Eligible applicants include U.S. nonprofit organizations with 501(c)(3) tax-exempt status, public and 501(c)(3) accredited institutions of higher education, state and local governmental agencies, and federally recognized Native American tribal governments.

The 56 state and jurisdictional humanities councils and interim partners are not eligible to apply under this notice. State and jurisdictional humanities councils will receive American Rescue Plan funds directly as a supplement to their general operating support grants.

Individuals, foreign and for-profit entities are not eligible to apply.

2. Cost Sharing Cost sharing is not required in this program.

Cost sharing or matching is the portion of the project costs not paid by NEH funds. Cost sharing will not be considered in the evaluation of applications.

3. Other Eligibility Information An applicant may not submit multiple applications under this notice. NEH will consider parent organizations and their subordinates to be a single entity for purposes of eligibility. NEH will use the definition of “related organization” provided by the Internal Revenue Service in the glossary of the 2020 Instructions for Form 990 Return of Organization Exempt From Income Tax for eligibility determinations. Institutions of higher education are encouraged to include academic libraries, museums, academic presses, and research centers in a single proposal.

If for any reason an application is submitted more than once before the deadline (including submitting to the wrong funding opportunity or making corrections/updates), NEH will only accept your last validated submission, under the correct Grants.gov funding opportunity, prior to the deadline as the final and only acceptable application.

Two or more applications for federal funding and/or approved federal award budgets are not permitted to include overlapping project costs. However, applicants may seek funding from other NEH programs for complementary aspects of the same overall project.

https://www.neh.gov/about/state-humanities-councils https://www.irs.gov/pub/irs-pdf/i990.pdf https://www.irs.gov/pub/irs-pdf/i990.pdf

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An applicant whose project has received a prior award from NEH may request support for a new or subsequent stage of that project. Such proposals will be judged by the same criteria as others in the current competition.

NEH does not make awards to other federal entities or to applicants whose projects are so closely intertwined with a federal entity that the project takes on characteristics of the federal entity’s own authorized activities. This does not preclude applicants from using funds from, or sites and materials controlled by, other federal entities in their projects. Such resources may not be used as gifts to release NEH matching funds.

Applications must be received by the deadline. Late, incomplete, nonresponsive, or ineligible applications will not be considered for funding under this notice. Applications that exceed specified page limits will not be reviewed. See the Application Components Table.

D. Application and Submission Information

1. Application Package This funding opportunity is available in Grants.gov under number 20210514-ARPO. You can also find a link to the funding opportunity on the program resource page.

This funding opportunity is intended to support a wide range of humanities activities and includes five application packages which can be found under the “Package” tab. Each package includes an identical series of required and conditionally required forms. Regardless of which package you choose, you will upload additional components into the Attachments Form.

Select the application package aligned with your proposed project. In cases where a project includes multiple activities, select the application package most closely aligned with your predominant activity. The package you select will be used for reporting purposes and will have no effect on the review of your application or impact your likelihood of receiving an award.

ZDH2021 – Digital Humanities ZED2021 – Education ZPA2021 – Preservation and Access ZPP2021 – Public Programs ZRE2021 – Research

You must apply electronically using Grants.gov Workspace or a Grants.gov system-to-system solution. A multistep registration process is required to submit your application. See D3 Unique Entity Identifier and System for Award Management.

To request a paper copy of this notice, contact ARPorganizations@neh.gov.

Applicants who are deaf or hard of hearing can contact NEH via Federal Relay at 800-877-8399.

2. Content and Form of Application Submission Your application will include a narrative, budget, and other required forms and attachments.

Narrative Compose a narrative that provides a comprehensive description of your proposed project. Your narrative should be succinct, well organized, and free of technical terms and jargon so that peer reviewers can understand the proposed project.

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Level I and Level II applicants must limit the narrative to three pages. Level III applicants must limit the narrative to five pages. All applicants must use one-inch margins and a font size of no less than eleven point.

Use the following section headings for your narrative. If you are applying on behalf of two or more subordinate entities, discuss each one, in turn, under each heading.

NEH has aligned each section of the narrative with a corresponding review criterion. Refer to E1. Review Criteria.

1. Humanities mission and record of contribution (corresponds with review criterion 1) Briefly describe the mission and core work of your organization, providing examples of how it supports or advances the humanities for the benefit of the cultural and educational sectors and/or the general public.

2. Project justification (corresponds with review criterion 2) Describe the impact of the coronavirus pandemic on your institution, in both quantitative and qualitative terms (e.g., suspended operations, reductions in revenue, staff furloughs, reduction in visitors, etc.). Explain how your organization has attempted to offset the pandemic’s impact.

Describe how you have continued to deliver on your humanities mission during the pandemic despite these challenges.

3. Proposed activities and audience (corresponds with review criteria 1 and 2) Describe the new or existing activities to be funded by an NEH award. Explain how they will position your organization to address or overcome the challenges described above. Describe how the activities would support the mission of your organization and advance the humanities for the cultural and educational sectors and/or the general public. Provide a timeline for these activities in Attachment 2: Work plan.

4. Jobs and personnel (corresponds with review criterion 3) Indicate the number and titles of the positions that would be retained or created in conducting the proposed activities. Explain how these positions have been affected by the coronavirus pandemic, or, if new, how they would help your organization or your part of the humanities sector respond to the pandemic’s impact. Identify the people who hold (or will hold) these positions and describe the work they will do. Include salaried personnel employed by your organization and consultants. Provide biographical information and a statement of each person’s qualifications or a job description in Attachment 3: Biographies.

5. Institutional capacity (corresponds with review criterion 4) Describe your organization’s capacity to administer an award of federal emergency funds in compliance with relevant regulations given the challenges brought on by the coronavirus pandemic (such as suspended operations, telework, etc.). Briefly summarize how the proposed activities fit within your overall strategy to ensure your organization’s long-term viability. State your organization’s annual total operating costs for fiscal year 2019. If required to file, 501(c)(3) nonprofit organizations should refer to their 2019 Form 990 (Return of Organization Exempt from Income Tax), part one, line 18. Other Level II and Level III applicants should provide information from audited financial statements to convey the organization’s total operating costs.

Level I applicants may use unaudited financial statements.

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NARRATIVE GUIDANCE

This table provides a crosswalk between the narrative sections and review criteria.

Narrative Section Review Criteria

1. Humanities mission and record of contribution Review criterion 1

2. Project justification Review criterion 2

3. Proposed activities and audience Review criteria 1 and 2

4. Jobs and personnel Review criterion 3

5. Institutional capacity Review criterion 4

Research and Related Budget You must submit a project budget using the Research and Related Budget form included in the Grants.gov application package and attach a budget justification.

Complete a single detailed budget for the proposed period of performance. The form will generate a cumulative budget.

Required fields are indicated in yellow. Round to the nearest whole dollar amount in all dollar fields. The inclusion of a cost category on the Research and Related Budget does not automatically indicate that an expense is allowable in this program. See D6. Funding Restrictions for a list of unallowable costs. Carefully review these instructions to ensure that costs are not disallowed.

All costs must be reasonable, necessary to accomplish project objectives, allowable in terms of 2 CFR 200 Subpart E - Cost Principles, auditable, and incurred during the period of performance.

All costs are subject to audit, record retention, and other requirements set forth in 2 CFR 200 Subpart F.

If you charge indirect costs to the project, ensure that expenses included in your organization's indirect cost pool are not charged to the project as direct costs. See H. Indirect Costs.

The Research and Related budget and budget justification are considered under review criterion 4.

Introductory Fields If not pre-populated, indicate your organization’s D-U-N-S® number, the name of your organization, and the period of performance start and end dates. This should be the same as the information provided on your SF-424 Application for Federal Assistance - Short Organizational.

Check “project” for budget type.

A. Senior/Key Person Include the names of the project director and other senior/key persons who are employed by the applicant organization and who are involved in the project. Do not include collaborators at other institutions or consultants here, as they will be included in F. Other Direct Costs.

Enter the base salary (annual compensation) and identify the number of months each senior/key person will devote to the project in the applicable box (i.e., calendar, academic, summer). Use either calendar months or a combination of academic and summer months.

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If level of effort will not change throughout the year, you may use only the calendar months column. If effort remains constant, but your institutional business process requires noting academic and summer months separately, you may use both columns. If effort varies between academic and summer months, leave the calendar months column blank and use only the academic and summer months columns. If your institution does not use a nine-month academic year or a three-month summer period, include your institution's definition of these terms in your budget justification.

Enter the requested salary and fringe benefits for each senior/key person. Per 2 CFR §200.431, fringe benefits are allowances and services provided by employers to their employees as compensation in addition to regular salaries and wages. Fringe benefits include, but are not limited to, the costs of leave (vacation, family-related, sick, or military), employee insurance, pensions, and unemployment benefit plans. The sum of requested salary and fringe benefits will be automatically calculated for each senior/key person.

Salaries and wages claimed must be in compliance with 2 CFR §§200.430 and .466. Fringe benefits claimed must be in compliance with 2 CFR §200.431.

The form can accommodate up to eight senior/key persons. If you are requesting funds for additional senior/key persons, list them in a separate document using the same format as the Research and Related Budget. Save the document as a PDF named additionalpersonnel.pdf and attach it under “Additional/Senior Key Persons” If applicable, enter the total funds requested for personnel listed in the attachment in the "Total Funds requested for all Senior/Key Persons in the attached file" field.

B. Other Personnel For each project role described below, identify the number of personnel proposed, the total number of months, total salary, and total fringe benefits requested as described in A. Senior/Key Person. Totals will be automatically calculated.

Post-doctoral associates, graduate students, and undergraduate students In your budget justification, list names, roles, associated months, and requested salary and fringe benefits for post-doctoral associates, graduate students, and undergraduate students.

If applicable, include charges for tuition remission and other forms of compensation paid to students as, or in lieu of, salaries and wages. Such costs are subject to the reporting requirements in 2 CFR §200.430, and must be treated as direct or indirect costs in accordance with the actual work being performed. Tuition remission may be charged on an average rate basis.

Secretarial/Clerical In most circumstances, the salaries of administrative, secretarial, or clerical staff are included as part of indirect costs (see H. Indirect Costs). Per 2 CFR §200.413(c), direct charging of salaries for administrative or clerical staff may be appropriate only if all of the following conditions are met:

1. Administrative or clerical services are integral to a project or activity.

2. Individuals involved can be specifically identified with the project or activity.

3. Such costs are explicitly included in the budget or have prior written approval of the federal awarding agency.

4. The costs are not also recovered as indirect costs.

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In your budget justification, document how direct charging for secretarial/clerical personnel (i.e., administrative and clerical staff) meets all four conditions. NEH may request additional information for these positions in order to assess allowability.

Additional Other Personnel List any additional project role(s). The form can accommodate up to six named roles. If you have more than six, combine project roles here and explain in your budget justification.

Salaries and wages claimed must be in compliance with 2 CFR §§200.430 and .466. Fringe benefits claimed must be in compliance with 2 CFR §200.431.

Do not list details of collaborators at other institutions or consultants here, as they will be included in F. Other Direct Costs.

C. Equipment Description Equipment costs must not exceed 20% of your request to NEH. Equipment is defined as nonexpendable personal property costing $5,000 or more and having a service life of more than one year (unless your organization has established a lower level). See 2 CFR §§200.313 and .439.

You may charge depreciation in compliance with 2 CFR §200.436.

List each item of equipment to be purchased and its estimated cost, including shipping and maintenance. Justify each in your budget justification.

You may purchase equipment if an analysis demonstrates that it is more economical and practical than leasing (equipment rental/user fees should be included in F. Other Direct Costs).

Per 2 CFR §200.322, as appropriate and to the extent consistent with law, applicants should, to the greatest extent practicable under a federal award, provide a preference for the purchase, acquisition, or use of goods, products, or materials produced in the United States. The requirements of this section must be included in all subawards including all contracts and purchase orders for work or products under this award.

The form can accommodate up to ten equipment items. If you request funds for additional equipment, list them in a separate document. Save the document as a PDF named additionalpersonnel.pdf and attach it under “Additional Equipment.” Enter the total funds requested for the additional equipment in the “Total funds requested for all equipment listed in the attached file” field.

Total equipment costs will be automatically calculated.

D. Travel In light of the coronavirus pandemic and as a matter of programmatic policy, travel (both foreign and domestic) is disallowed in this program.

E. Participant/Trainee Support Costs As defined in 2 CFR §200.1, participant support costs are direct costs for expenses such as stipends, subsistence allowances, and registration fees paid to or on behalf of participants (but not employees) in connection with conferences or training projects.

Per 2 CFR §200.432, a conference is defined as a meeting, retreat, seminar, symposium, workshop, or event, the primary purpose of which is the dissemination of technical information beyond the non-federal entity and is necessary and reasonable for successful performance under the federal award.

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Justify participant support costs in your budget justification. Arrangements made on a non-refundable basis are at the risk of the recipient or participant if the services must be cancelled for any reason.

Total participant support costs will be automatically calculated.

1. Tuition/Fees/Health Insurance Leave this field blank.

2. Stipends Enter the total funds requested for participant stipends.

3. Travel As a matter of programmatic policy, travel (both foreign and domestic) is disallowed in this program.

4. Subsistence As a matter of programmatic policy, travel-related subsistence (i.e., lodging and per diem) is disallowed in the program.

5. Other Describe other participant support costs (e.g., local ground transportation to venues, admission fees, bottled water, etc.) and enter the total funds requested for the costs described.

Number of Participants/Trainees Enter the total number of participants. The value of this field cannot exceed 999.

F. Other Direct Costs Total other direct costs will be automatically calculated.

1. Materials and Supplies Enter the total funds requested for materials and supplies costing the lesser of the capitalization level established by the applicant or $5,000, regardless of the length of its useful life. See 2 CFR §§200.314 and .453.

In your budget justification, indicate general categories, including an amount for each category (e.g., personal computers, digital cameras, archival supplies). Itemize categories totaling $1,000 or more.

2. Publication Costs Enter the total funds requested for publication costs. You may request funds for the costs of documenting, preparing, publishing, or otherwise making available to others, the findings and products of the work conducted under the award. Include supporting information in your budget justification.

3. Consultant Services Enter the total funds requested for consultant services. In your budget justification, describe each consultant, the services he/she will perform, total number of days, travel costs, and the total estimated costs. If your project includes an external advisory committee, include associated costs here.

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Consultant fees must be in compliance with 2 CFR §200.459.

4. Automated Data Processing (ADP)/Computer Services Enter the total funds requested for ADP/computer services, including computer-based retrieval of scientific, technical, and education information. In your budget justification, include the established computer service rates, if applicable. If such services are provided by a third-party, include them in Subawards/Consortium/Contractual Costs. Personal computers and peripherals should be included in Materials and Supplies.

5. Subawards/Consortium/Contractual Costs Enter the total funds requested (both direct and indirect costs) for activities to be performed by third-party subrecipients. This includes subawards and other contractual costs. Itemize the costs associated with the subaward or contract in your budget justification, using the same categories on the Research and Related Budget. Justify each subrecipient individually. See 2 CFR §§200.331 and .332.

Per 2 CFR §§200.1 and .331(a), a subaward is an award provided by a pass-through entity to a subrecipient to carry out part of a federal award. Payments to contractors (as defined in 2 CFR §§200.1 and 331(b)) or payments to individuals who are beneficiaries of federal programs are not considered subawards.

A pass-through entity may provide a subaward through any form of legal agreement, including an agreement that the pass-through entity considers a contract. In determining whether an agreement between a pass-through entity and another non-federal entity casts the latter as a subrecipient or a contractor, the substance of the relationship is more important than the form of the agreement. See 2 CFR §200.331(c).

Per 2 CFR §25.300, recipients may only issue subawards with federal funds to organizations that have obtained and provided to the recipient a unique entity identifier. Subrecipients are not required to complete registration with the System for Award Management (SAM) to obtain a unique entity identifier. See D3. Unique Entity Identifier and System for Award Management.

Contractual costs are occasionally sufficiently high enough to warrant a categorical breakdown of costs. When this is the case, provide detailed information in your budget justification. NEH may request additional information in order to assess reasonableness and allowability.

If a subrecipient is claiming indirect costs, include their federally negotiated indirect cost rate agreement in Attachment 4: Federally negotiated indirect cost rate agreement.

6. Equipment or Facility Rental/User Fees Enter the total funds requested for rental/user fees for equipment and facilities. Identify and justify each rental/user fee in your budget justification.

You may charge depreciation in compliance with 2 CFR §200.436. If you will use equipment purchased with federal funds under another award, it may be appropriate to charge user fees consistent with 2 CFR §200.313(c)(2). You may not charge both depreciation and user fees.

Per 2 CFR §200.432, allowable conference costs may include rental of facilities. Rental costs under “less-than-arm's-length” leases are allowable with the condition that they must be consistent with the limitations set forth in 2 CFR §200.465(c).

Federally funded meetings and conferences must be held in properties that comply with the Hotel and Motel Fire Safety Act of 1990 (Pub. L. 101-391). Consult the U.S. Fire Administration’s National Master List for a list of fire code compliant hotels.

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7. Alterations and Renovations Leave this line blank. Per 2 CFR §200.462, costs incurred for ordinary and normal rearrangement and alteration of facilities are allowable as indirect costs.

8-10. Other List items not previously included in other budget categories or in the indirect cost pool. “Other” project-specific costs may include promotion, acquisition fees, rights, evaluation and assessment fees, and access accommodations (e.g., audio description, sign-language interpretation, closed or open captioning, large-print brochures/labeling). Itemize and justify costs in your budget justification. “Miscellaneous” and “contingency” are not acceptable budget categories.

Per 2 CFR §200.432, allowable conference costs may include speakers’ fees, costs of meals and refreshments, and other items incidental to such conferences. Conference hosts must exercise discretion and judgment in ensuring that costs are appropriate, necessary, and managed in a manner that minimizes costs to the award. If incidental food items and/or meals are provided at no charge during meetings, conferences, training, or other events attended while on NEH-supported travel, the per diem charged to the award must be reduced accordingly. Per 2 CFR §200.423, alcoholic beverages are unallowable.

G. Total Direct Costs Total direct costs will be automatically calculated.

H. Indirect Costs Indirect costs are costs that are incurred for common or joint objectives and therefore cannot be readily identified with a specific project or activity of an organization. Indirect costs include such expenses as the depreciation on buildings, equipment, and capital improvement; operations and maintenance expenses; accounting and legal services; and salaries of executive officers.

Indirect costs are computed by applying a federally negotiated indirect cost rate to a distribution base, usually the project’s modified total direct costs (MTDC).

Carefully review your institution’s negotiated indirect cost rate(s) to make sure you are using the most appropriate rate for your project. Many institutions of higher education negotiate multiple rates—for example, “research,” “instruction,” and “other sponsored activities.” With rare exceptions, your institution’s “research” rate will not be the appropriate rate for inclusion in your NEH project budget, as the use of this rate is reserved for projects involving scientific research, not scholarly inquiry of the type most often supported by NEH.

Except as provided in paragraph (c)(1) of 2 CFR §200.414, federal agencies must use the negotiated rate(s) in effect at the time of the initial award throughout the life of the federal award. Award levels will not be adjusted in future years as a result of changes in negotiated rates. Except as provided in 2 CFR §200.414, when an educational institution does not have a negotiated rate with the federal government at the time of an award (because the educational institution is a new recipient or the parties cannot reach agreement on a rate), the provisional rate used at the time of the award must be adjusted once a rate is negotiated and approved by the cognizant agency for indirect costs. If the recipient fails to negotiate an indirect cost rate applicable to the period of performance within the period of performance, indirect costs may be disallowed. NEH will restrict payment of indirect costs until a fixed, final, or predetermined indirect cost rate agreement is provided by the recipient.

An organization that wishes to include indirect costs in its budget but does not have a federally negotiated indirect cost rate may choose one of the following options:

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• direct cost all expenses;

• submit an indirect cost proposal to their cognizant federal agency to negotiate a rate within three months of the effective date (period of performance start date) of the award (subrecipients may negotiate a rate with the recipient consistent with the requirements outlined in 2 CFR §200.414); or

• charge a de minimis rate of 10% of MTDC (see 2 CFR §200.414(f))

Per 2 CFR §200.1, MTDC are all direct salaries and wages, applicable fringe benefits, materials and supplies, services, travel, and up to the first $25,000 of each subaward (regardless of the period of performance of the subaward). MTDC exclude equipment, capital expenditures, rental costs, tuition remission, scholarships and fellowships, participant support costs, and the portion of each subaward in excess of $25,000.

If you choose one of these options, indicate this under Indirect Cost Type.

If applicable, include a copy of your federally negotiated indirect cost rate agreement as Attachment 4: Federally negotiated indirect cost rate agreement.

Indirect Cost Type Enter the type of indirect cost rate (e.g., other sponsored activities, all programs, instruction, 10% de minimis, etc.) and base (e.g., salaries, salaries & fringe, MTDC, etc.) and whether the activity and rate are onsite or off-site. If your budget includes more than one indirect cost rate or base, list them as separate entries. If you do not have a current indirect rate(s) approved by a federal agency but intend to (re)negotiate, indicate "None--will negotiate." If needed, provide additional detail in your budget justification.

Indirect Cost Rate (%) Enter the most recent indirect cost rate(s) established with your cognizant federal agency. Enter your rate as a number without special characters (i.e., 32.5).

Indirect Cost Base ($) Enter the base for each indirect cost type. Describe any exclusions in your budget justification. If applicable, refer to your federally negotiated indirect cost rate agreement to determine how to calculate your indirect cost base.

Funds Requested ($) Enter the funds requested for each indirect cost type.

Total Indirect Costs Total indirect costs will be automatically calculated.

Cognizant Federal Agency Enter the name of your cognizant federal agency, if applicable.

I. Total Direct and Indirect Costs Total costs will be automatically calculated.

J. Fee Leave this field blank.

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K. Total Costs and Fee This field will be automatically calculated. Since there is no fee, this will be the same amount as I. Total Direct and Indirect Costs.

L. Budget Justification A budget justification is required. Save the document as a PDF named justification.pdf. Attach only one file. Do not use your budget justification to expand your narrative.

Provide the information requested to support your budget. If applicable, the following categories must be justified: equipment, participant/trainee support, and other direct costs.

Your budget justification must specifically describe how costs have been calculated and how each item will support the proposed objectives. If you have a quote(s), include it here. If your project includes subawards, detail and quantify all subaward costs.

Explain any exclusions applied to your indirect costs base calculation.

The total federal matching funds and cost share should be equal to the amounts indicated on the Supplementary Cover Sheet for NEH Grant Programs in the “Federal Matching” and “Cost Sharing” fields.

Application Components Your application consists of a series of forms included in Grants.gov Workspace and other components which you will prepare and upload to the Attachments Form.

Applications missing any required documents or conditionally required documents will be considered incomplete and will be rejected from further consideration.

Applications that exceed page limits or violate format instructions will be considered nonresponsive and will be rejected from further consideration.

Grants.gov form/Attachment Naming convention Page limits

Notes

SF-424 Application for Federal Assistance - Short Organizational

Grants.gov form Required

Supplementary Cover Sheet for NEH Grant Programs

Grants.gov form Required

Project/Performance Site(s) Location Form

Grants.gov form Required

Research and Related Budget Grants.gov form Required Attachments Form Grants.gov form Required Certification Regarding Lobbying Grants.gov form Conditionally required Standard Form-LLL “Disclosure of Lobbying Activities”

Grants.gov form Conditionally required

Attachment 1: Narrative narrative.pdf 3 pages for Levels I and II; 5 pages for Level III

Required

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Attachment 2: Work plan workplan.pdf 1 page per subordinate unit

Required

Attachment 3: Biographies biographies.pdf 1 paragraph per person

Required

Attachment 4: Federally negotiated indirect cost rate agreement.pdf Conditionally required

Attachment 5: Explanation of delinquent federal debt delinquentdebt.pdf Conditionally required

SF-424 Application for Federal Assistance – Short Organizational This form includes basic information about the project, the project director, and the institution.

Items 1, 2, and 4 will be automatically filled in; item 3 should be left blank.

5. Applicant Information Provide your organization’s legal name, address, employer/taxpayer identification number (EIN/TIN), D-U-N-S® number, website address, and congressional district. For example, if your institution is located in the 5th congressional district of your state, put a “5.” If your institution does not have a congressional district (for example, it is in a state or U.S. territory that does not have districts, or is in a foreign country), put a “0” (zero).

Select the applicant type that best describes your organization from the drop-down menu.

Institutions applying to federal programs are required to include a unique entity identifier, currently a D-U-N-S® number. If you do not know your identifier, contact your grants administrator or chief financial officer.

6. Project Information

a. Provide the title of your project. It should be brief (no more than 125 characters, including spaces). Successful applications typically have titles that are descriptive of the project and easily understood by the general public. NEH reserves the right to retitle funded projects for clarity when announcing its funding decisions and in its own reports and communications, but recipients are permitted to use their preferred title for any award products.

b.