Archaeological and Ethnographic Field Research 2022 and 2023.pdf

Notice of Funding Opportunity

Funding Opportunity Title:

Archaeological and Ethnographic Field Research

Funding Opportunity Number:20220928-RFW

Funding Opportunity Type: New

Federal Assistance Listing Number: 45.161

Application Deadline:

October 4, 2022

September 28, 2023

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

It may take up to one month to register with SAM.gov and Grants.gov.

NEH will not grant deadline extensions for lack of registration.

Division of Research Programs Telephone: 202-606-8200 Email: fieldwork@neh.gov Federal Relay: 800-877-8399

OMB control number 3136-0134, expiration date October 31, 2024 mailto:fieldwork@neh.gov

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Executive Summary The National Endowment for the Humanities (NEH) Division of Research Programs is accepting applications for the Archaeological and Ethnographic Field Research program. The purpose of this program is to provide funding to conduct empirical research in the United States or abroad in order to answer questions of importance to the humanities. While the dissemination of results through publications and other media is the ultimate expectation of these awards, the program supports field costs such as travel, accommodation, field staff and equipment, and salary replacement for the project director and collaborating scholars.

Funding Opportunity Title Archaeological and Ethnographic Field Research Funding Opportunity Number 20220928-RFW Federal Assistance Listing Number 45.161 Optional Draft Deadline July 25, 2022, 11:59 p.m. Eastern Time

June 16, 2023, 11:59 p.m. Eastern Time Application Deadline October 4, 2022, 11:59 p.m. Eastern Time

September 28, 2023, 11:59 Eastern Time Anticipated Award Announcement April 2023 and April 2024 Anticipated FY 2023 Funding Approximately $800,000 per deadline Estimated Number and Type of Awards Approximately 6 grants per deadline Award Amounts Up to $150,000 Cost Sharing/Match Required Conditionally required. See C2. Cost Sharing.

Period of Performance 4 to 36 months.

2022 deadline: Projects may start between June 1, 2023 and May 1, 2024.

2023 deadline: Projects may start between June 1, 2024 and May 1, 2025.

Eligible Applicants • nonprofit organizations recognized as tax-exempt under section 501(c)(3) of the Internal Revenue Code

• accredited institutions of higher education (public or nonprofit)

• state and local governments and their agencies

• federally recognized Native American Tribal governments

See C. Eligibility Information for additional information.

Program Resource Page https://www.neh.gov/program/archaeological-and-ethnographic-field-research

Pre-Application Webinar There will be a webinar July 20, 2022 1:00 p.m.

Eastern Time. Click the registration link to join.

Published Modified

June 9, 2022 July 12, 2022 https://www.neh.gov/program/archaeological-and-ethnographic-field-research https://www.neh.gov/program/archaeological-and-ethnographic-field-research https://gcc02.safelinks.protection.outlook.com/?url=https%3A%2F%2Fteams.microsoft.com%2Fregistration%2FWWSwk33HtkSvf-gTzdzcww%2CMLpLpkcfBEW82x3tteL_hw%2C3e3KqTqiL0C-G2cqb9TlJg%2Cv1gpM7P2wU6ZtuaNnXqJaQ%2CEGvI8ZiweEO3xrYFWxGMkg%2CihN_9rPSC0CM42C81hMpPg%3Fmode%3Dread%26tenantId%3D93b06459-c77d-44b6-af7f-e813cddcdcc3%26webinarRing%3Dgcc&data=05%7C01%7Cdperry%40neh.gov%7Ccf87ee5c8b34441afcf008da384302fa%7C93b06459c77d44b6af7fe813cddcdcc3%7C0%7C0%7C637884157712738669%7CUnknown%7CTWFpbGZsb3d8eyJWIjoiMC4wLjAwMDAiLCJQIjoiV2luMzIiLCJBTiI6Ik1haWwiLCJXVCI6Mn0%3D%7C3000%7C%7C%7C&sdata=y%2BnBWIRfQ%2FVUkM5WNx9oxTqRc13cC7LR9tpmJeaVOos%3D&reserved=0

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Table of Contents Executive Summary ................................................................................................ i

Table of Contents ................................................................................................... ii

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 Archaeological and Ethnographic Field Research program supports institutionally based, empirical field research projects that answer significant humanities questions through archaeological and/or ethnographic methods. Archaeological methods may include field survey and field-based remote sensing, documentation or visualization, and excavations to answer research questions in ancient studies, history, anthropology, classical studies, art history, regional studies, epigraphy, and related disciplines. Ethnographic methods may include participant observation, surveys and interviews, and documentation or recording to answer research questions in anthropology, ethnolinguistics, oral history, ethnomusicology, performance studies, folklore studies, sociology, and related disciplines.

Competitive submissions embody exceptional research design, describe rigorous field methodologies, and clearly articulate a project’s value to humanities scholars, general audiences, or both. NEH strongly encourages you to work closely with local collaborators and/or local communities in the co-creation of knowledge and the preservation of culture, whenever possible.

NEH Field Research awards provide up to three years of support for domestic or international fieldwork projects. Allowable costs may include:

• travel, lodging, and subsistence

• permits, fees, and visas for project personnel

• field equipment and supplies

• labor, specialists, translators, and other local vendors

• salary or salary replacement costs for the project director and compensation for collaborating scholars, including support for foreign individuals who are named as collaborating scholars

NEH Field Research awards also allow up to $5,000 per 12-month period for conservation or preservation efforts, such as site and artifact conservation and/or community outreach efforts.

NEH invites applications from institutions where the project director is a scholar who holds a Ph.D. or the equivalent in any discipline of the humanities or related subfields of the social sciences. NEH particularly encourages applications from junior faculty. While a project may include collaborating scholars, NEH does not permit co-project directors in this program.

If your project is primarily focused on collections, archives, or legacy data, or your methods are predominantly laboratory-based, NEH will not consider your application in this competition.

Similarly, w

41T41Thile the ultimate expectation of these awards is public dissemination through peer-reviewed publications and other media, NEH does not allow publication and manuscript preparation costs in this program. The primary purpose of the program is to support work in the field, but analyses and data processing are allowable secondary activities. If your project includes substantial post-fieldwork research and manuscript preparation, consider the Collaborative Research program or NEH’s fellowship programs for individuals.

Field school costs are not permitted.

https://www.neh.gov/grants/research/collaborative-research-grants https://www.neh.gov/grants/listing?f%5B0%5D=individual_or_organization%3AIndividual

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See D6. Funding Restrictions for unallowable activities.

See E1. Review Criteria for the criteria NEH will use to evaluate applications under this notice.

2. Background NEH offers this funding opportunity under the authority of 20 U.S.C. § 956. 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 January 1, 2022 or later).

Under the National Foundation on the Arts and the Humanities Act of 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.”

Use the Funded Projects Query Form to find examples of NEH-supported projects.

Learn more about NEH.

NEH Initiatives NEH seeks to support projects that respond to the following initiatives. NEH will give all applications equal consideration in accordance with the program’s review criteria.

In addition to these special initiatives, NEH encourages projects that include Native American organizations and communities as applicants and project partners.

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. The agency strongly encourages projects that strengthen Americans’ knowledge of our principles of constitutional governance and democracy, as well as 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.

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.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/general-terms-and-conditions-awards-organizations-grants-and-cooperative-agreements-issued-january-2022 https://www.neh.gov/general-terms-and-conditions-awards-organizations-grants-and-cooperative-agreements-issued-january-2022 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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Standing Together: The Humanities and the Experience of War In recognition of the importance of the humanities both in helping Americans to understand the experiences of service members and in assisting veterans as they return to civilian life, this special initiative draws on the power of the humanities to support advanced research in the humanities that explores war and its aftermath; to promote discussion and deepen understanding of the experiences of those Americans affiliated with the armed services, whether active duty or veterans; and to support returning veterans and their families. Learn more about Standing Together.

Protecting our Cultural Heritage In response to the destruction of cultural heritage materials worldwide, NEH encourages applications for projects that study, document, or create digital representations of lost or imperiled cultural heritage materials. Proposed projects should draw on scholarly work and follow standards and best practices. Proposals must account for the long-term sustainability of the project and include plans to make materials widely accessible to the public. Learn more about Protecting our Cultural Heritage.

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

Award amounts You may request up to $75,000 for a project with a period of performance between four and twelve months.

You may request up to $75,000 per year for a project with a period of performance of one to three years, not to exceed $150,000.

Successful applicants who do not request matching funds will be awarded outright funds, which are not contingent on additional funding from other sources.

Any applicant may request up to $50,000 in federal matching funds, but institutions of higher education, with a tenured faculty member as project director, must request at least $20,000 in federal matching funds. The application budget for tenured faculty must reflect the total NEH outright funds requested plus an additional $20,000 or more in required third-party cost share, and the applicant must demonstrate the ability to raise third-party gifts eligible to complete the required match. (As an example: $50,000 outright request + $20,000 in federal matching funds + $20,000 required cost share/match = $90,000 in total project costs, direct and indirect). Institutional support does not qualify as third-party cost share. Third party funding does not need to be in hand by time of application, but the application should discuss plans to raise the funds. Examples of qualifying sources of third-party cost share include grants from non-federal organizations and gifts from private donors. See C2. Cost Sharing and the NEH Federal Matching Funds Guidelines.

https://www.neh.gov/grants/standing-together https://www.neh.gov/grants/protecting-our-cultural-heritage https://www.neh.gov/grants/manage/federal-matching-funds-guidelines

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NEH anticipates approximately $800,000 to fund an estimated six recipients.

NEH will not determine the amount available until Congress enacts the final FY 2023 budget.

This notice is subject to the availability of appropriated funds and is a contingency action taken to ensure that, should funds become available for this purpose, NEH can process applications and issue awards in a timely manner.

Period of performance You may request a period of performance of four to 36 months.

If you apply to the 2022 deadline, you may request a start date between June 1, 2023 and May 1, 2024.

If you apply to the 2023 deadline, you may request a start date between June 1, 2024 and May 1, 2025.

The period of performance is the span of time during which you may incur new obligations to carry out the work under the NEH award. It must start on the first day of the month and end on the last day of a month.

C. Eligibility Information

1. Eligible Applicants To be eligible to apply, you must be established in the United States or its jurisdictions as one of the following organization types:

• a nonprofit organization recognized as tax-exempt under section 501(c)(3) of the Internal Revenue Code

• an accredited institution of higher education (public or nonprofit)

• a state or local government or one of their agencies

• a federally recognized Native American Tribal government

Individuals and other organizations, including foreign and for-profit entities, are ineligible.

2. Cost Sharing 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.

If NEH issues you an award, you must maintain auditable records of the source and use of contributed cost share. See 2 CFR § 200.306.

Learn about types of funds NEH offers.

Required cost sharing NEH requires cost sharing in this program for institutions of higher education whose project director is a tenured faculty member. Such applicants must raise at least $20,000 in third-party non-federal funds and request at least $20,000 in federal matching funds.

https://www.irs.gov/charities-non-profits/search-for-tax-exempt-organizations https://www.irs.gov/charities-non-profits/search-for-tax-exempt-organizations https://ope.ed.gov/dapip/#/home https://www.federalregister.gov/documents/2022/01/28/2022-01789/indian-entities-recognized-by-and-eligible-to-receive-services-from-the-united-states-bureau-of https://www.ecfr.gov/cgi-bin/text-idx?SID=3aeab4e3a836f5b6807999701e518c94&mc=true&node=pt2.1.200&rgn=div5#se2.1.200_1306 https://www.neh.gov/grants/manage/types-funding

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If you request federal matching funds, you must raise third-party non-federal gifts dollar-for-dollar. NEH will certify the allowability of these gifts before releasing federal matching funds.

Typically, NEH will distribute federal matching funds on an annual basis over the period of performance. See the NEH Federal Matching Funds Guidelines.

Include required third-party non-federal gifts on your Research and Related Budget and identify them in your budget justification.

NEH will determine cost share requirements based on the project director named on the SF-424 Application for Federal Assistance - Short Organizational. A change in project director from a non-tenured faculty member to a tenured faculty member may result in NEH recalculating the award’s required cost share. If the initial project director’s tenure status changes during the period of performance, NEH will not adjust the required cost share.

Voluntary cost sharing You may contribute voluntary cost share to your project if the total costs exceed the amount awarded by NEH. Voluntary cost share includes:

• cash contributions made to the project by the applicant

• unrecovered indirect costs

• third party cash contributions made to the project

• third-party in-kind contributions (non-cash contributions, such as property or services, that benefit the project and are contributed by non-federal third parties, without charge, to the recipient)

For institutions of higher education whose project director is an adjunct faculty member, non-tenured, non-tenure-track, or a post-doctoral researcher, there is no cost sharing requirement, unless the applicant requests federal matching funds.

You may describe voluntary cost share in your budget justification, but you should not include it on your Research and Related Budget.

3. Other Eligibility Information You may submit multiple applications for separate and distinct projects under this notice, but an individual may serve as project director on only one application submitted under this notice.

Project directors must be scholars in the humanities or related subfields of the social sciences with a Ph.D. or the equivalent terminal degree. While a project may include collaborating scholars, NEH does not permit co-project directors in this program.

You may revise and resubmit previously rejected applications. Submissions are subject to the application requirements and review criteria of this competition.

Per 2 CFR § 200.403(f), you must not include overlapping project costs across multiple applications for federal funding and/or approved federal award budgets. However, you may submit multiple proposals for complementary aspects of the same overall project. NEH may disallow costs or reject applications with overlapping project costs. An individual’s level of effort cannot exceed 100% across all active federally funded awards.

https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200/subpart-E/subject-group-ECFRea20080eff2ea53/section-200.403

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NEH does not make awards to other federal entities. If your project is so closely intertwined with a federal entity that the project takes on characteristics of the federal entity’s own authorized activities, it is ineligible. You may use funds from, or sites and materials controlled by, other federal entities in your project, but you may not use them as gifts to release NEH matching funds.

NEH does not provide financial assistance to foreign institutions or organizations. If you are an eligible domestic entity, you may apply for collaborative projects involving foreign organizations provided you do not use NEH funds for the purpose of issuing subawards to any foreign organization, as defined in 2 CFR §§ 200.1 and .331(a). You may obtain the services of foreign individuals and consultants to carry out programmatic activities on a fee-for-service basis, as specified in 2 CFR § 200.459. You may obtain goods and services from foreign vendors, such as in-country transportation services, in accordance with 2 CFR § 200.331(b). If you plan to submit an application involving international collaboration, contact program staff at fieldwork@neh.gov.

Except for the rare cases covered by its late submission policy, NEH must receive your application by the deadline.

NEH will not consider incomplete, nonresponsive, or ineligible applications for funding.

NEH will not review applications that exceed page limits or violate formatting instructions. See the Application Components Table.

D. Application and Submission Information

1. Application Package You must apply using Grants.gov Workspace or a Grants.gov system-to-system solution. You can find this funding opportunity in Grants.gov under number 20220928-RFW. There is also a link on the program resource page.

Once you have located the funding opportunity in Grants.gov, you will find the application package under the “Package” tab. It includes a series of required and conditionally required forms. You will upload additional application components using the Attachments Form.

You must complete a multistep registration process to submit your application. See D3. Unique Entity Identifier and System for Award Management.

Contact fieldwork@neh.gov to request a paper copy of this notice.

If you are deaf or hard of hearing, you can contact NEH using Federal Relay at 800-877-8399.

2. Content and Form of Application Submission Your application will include a narrative, budget, and other forms and attachments. You will complete the forms within Grants.gov Workspace and upload other components into the Attachments Form. See the Application Component Table.

NEH has assigned each application component one of the following designations:

https://www.ecfr.gov/cgi-bin/text-idx?SID=35fcd29238edd42c8b1f8b1628e39d47&mc=true&node=pt2.1.200&rgn=div5#se2.1.200_11 https://www.ecfr.gov/cgi-bin/text-idx?SID=b76712a585433486e57dafcd521c952e&mc=true&node=pt2.1.200&rgn=div5#se2.1.200_1331 https://www.ecfr.gov/cgi-bin/text-idx?SID=35fcd29238edd42c8b1f8b1628e39d47&mc=true&node=pt2.1.200&rgn=div5#se2.1.200_1459 https://www.ecfr.gov/cgi-bin/text-idx?SID=b76712a585433486e57dafcd521c952e&mc=true&node=pt2.1.200&rgn=div5#se2.1.200_1331 mailto:fieldwork@neh.gov https://www.neh.gov/grants/policy-on-late-submissions https://www.neh.gov/program/archaeological-and-ethnographic-field-research

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• Required: You must submit this component.

• Conditionally Required: You must submit this component if your proposal meets the specified conditions.

• Optional: You may submit this component, but it is not required.

You must submit all required and relevant conditionally required components. NEH will not review applications missing any required documents or relevant conditionally required documents.

In addition, NEH has established page limits for some application components:

• Mandatory: You must not exceed the page limit.

• Suggested: NEH encourages, but does not require, you to abide by the page limit.

Take note of the page limits and formatting instructions in this notice. NEH will not review applications that exceed mandatory page limits or violate formatting instructions.

Your application components must conform to the following formatting requirements, unless otherwise indicated:

• pages no larger than standard letter (8 ½" x 11”)

• at least one-inch margins on all sides for all pages

• a font no smaller than 11-point

In addition, you are encouraged to format your components consistent with the following:

• single-spacing

• a readable font such as Arial, Georgia, Helvetica, or Times New Roman

• any standard citation style (citations are included in page counts)

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Application Component Table Application Component File Name Designation Page limits Grants.gov forms SF-424 Application for Federal Assistance - Short Organizational

Required

Supplementary Cover Sheet for NEH Grant Programs

Required

Project/Performance Site(s) Location Form

Required

Research and Related Budget Required Attachments Form Required Certification Regarding Lobbying Conditionally required

Standard Form-LLL “Disclosure of Lobbying Activities”

Conditionally

Attachments 1: List of key personnel personnel.pdf Required 1 (mandatory) 2: Narrative narrative.pdf Required 10 (mandatory) 3: Work plan workplan.pdf Required 3 (mandatory 4: Bibliography bibliography.pdf Required 3 (mandatory) 5: Résumés for key personnel resumes.pdf Required 2 pages per person (mandatory)

6: Statement of funding received and requested funding.pdf Conditionally

2 (mandatory)

7: Site conditions site.pdf Conditionally

8. Subrecipient budget(s) subrecipient.pdf Conditionally

9: Additional supporting documentation documentation.pdf Optional 15 (mandatory)

10: Federally negotiated indirect cost rate agreement agreement.pdf Conditionally

11: Explanation of delinquent federal debt delinquentdebt.pdf Conditionally

Narrative Compose a comprehensive description of your proposed project that clearly states the goals of the proposed work, its relation to larger issues in the humanities, and the impact of the proposed project on future research and scholarship. 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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You must limit the narrative to ten single-spaced pages. Do not include an executive summary or a table of contents. You may include images, charts, diagrams, footnotes, and endnotes if they fit within the page limit. You may also include illustrations like charts and maps in “Additional supporting documents.”

Organize your narrative using the following section headings. Each section aligns with one or more review criteria NEH will use to evaluate your proposal.

Argument for intellectual significance (aligns primarily with review criterion 1) Provide a clear and detailed explanation of the project’s research questions and their importance to larger issues in the humanities and general audiences, if appropriate. Discuss the relationship of the proposed research to published scholarship and ongoing work in the discipline or the humanities in general. Explain how the project will complement, challenge, or expand relevant existing studies and literature. If you're applying for funds for an established project, describe the impact previous research has had on humanities scholarship and the project's overall intellectual significance. (1-2 pages suggested)

Research design and methods (aligns primarily with review criterion 2) Explain how your proposed research design will help resolve the problems or questions you will examine. Describe the theoretical framework of the argument and explain how the proposed research methods will advance it. Indicate the current state of the project and the stage that this award would support. Explain the appropriateness of the costs associated with these methods vis-à-vis other alternatives (you will have the opportunity to provide greater detail in the budget justification). Specify the arrangements for access to sites or communities needed to conduct the research.

For archaeology proposals, state your research questions and explain how your proposed field methods will address them. If you propose a survey, detail how and where you will conduct the survey, how you will collect and analyze your data, and what results you hope to achieve from these efforts. For documentation or visualization projects, explain what exactly you will record and with what particular methods, and how this work will advance a specific research agenda (versus a conservation, preservation, or presentation agenda). If you are proposing excavations, detail how many trenches you will open, of what size, and in what locations. Explain your methods for collecting accurate data to answer your specific research questions. For all archaeological projects, describe how you would store and analyze your data, and how you will mitigate against long-term damage to the site or sites you will study.

For ethnography proposals, state your research questions and explain how your proposed field methods will address them. For projects primarily involving participant observation, detail how long and in what capacity you will engage with a particular community, and what insights you hope to glean. For projects primarily using surveys or interviews, discuss how you will utilize a participatory (rather than an extractive) process. Provide examples of the questions you will ask and the methods by which you will administer these questions and record participant responses. Detail how many people you expect to interview, and how you will select them. For documentation projects, explain what information or behavior you are trying to capture, how you plan to record it, and how this work will advance a specific research agenda (versus a conservation, preservation, or public education agenda). (NEH will only allow phenomenological perspectives when articulated within an ethnographic framework). For all ethnographic projects, describe how you would store and analyze your

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data, and how you will minimize possible long-term effects on the community or communities you will study. (2-4 pages suggested)

Project director and collaborators (aligns primarily with review criterion 3) Explain the project director’s expertise and background in the area of the project. If the area of inquiry is new to the project director, explain their reasons for working in it and their qualifications. If applicable, specify the level of competence in any language needed for the study.

Name any collaborating scholars who will work on the project during the proposed period of performance, regardless of whether you have requested NEH to support their participation.

Describe each collaborator’s qualifications, responsibilities, and contributions. State anticipated commitments of time, in percentage of time or hours per week for the project director and key personnel.

Describe your plans for consultation, collaboration, and any established relationships with host or descendent communities, if applicable. (1-2 pages suggested)

Plans for dissemination (aligns primarily with review criterion 4) Describe the project’s intended result(s) and how you will convey them to specific audiences.

Explain how you will disseminate the information gained both during and after the field research phase, including governmental, academic, and public outreach, where relevant. If the project has a website, provide the URL. If known, provide a list and timetable for the publication of field reports, as well as any planned interpretive essays, articles, and books with their prospective authors and publishers.

If the final publication will appear in a language other than English, explain how access and dissemination will be affected.

If you previously received NEH funding for any phase of the proposed research project, describe how you disseminated results and to which audiences. (1-2 pages suggested)

Narrative Alignment

Each section of the narrative aligns with corresponding review criteria. Use the crosswalk to ensure you address all criteria.

Narrative Section Review Criteria

Argument for intellectual significance 1

Research design and methods 2

Project director and collaborators 3

Plans for dissemination 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.

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

The form indicates required fields in yellow. Round all costs to the nearest whole dollar. The inclusion of a cost category on the Research and Related Budget does not necessarily mean that an expense is allowable. See D6. Funding Restrictions to ensure that proposed costs are allowable.

If you exclusively request outright funds, your budget should include only funding requested from NEH. If you request federal matching funds, your budget must equal total funding requested from NEH (outright and federal matching funds) and the one-to-one required third party cost share for the federal matching funds. Refer to the NEH Federal Matching Funds Guidelines regarding the eligibility of gifts for matching purposes. Total federal matching funds and cost share should equal the amounts indicated on the Supplementary Cover Sheet for NEH Grant Programs in the “Federal Matching” and “Cost Sharing” fields. Learn about types of funds NEH offers.

If you will provide voluntary cost share, do not include it on the Research and Related Budget form. You may describe it in your budget justification.

All costs, whether supported by NEH funds or required cost sharing contributions (if applicable), 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 - Audit Requirements.

Only personnel employed by the applicant should be included under A. Senior/Key Person and B. Other Personnel. Include team members in leadership roles in the project under A.

Senior/Key Person. Include other team members under B. Other Personnel. Include costs for team members not employed by the applicant under F3. Consultant Services or F5.

Subawards/Consortium/Contractual Costs, as appropriate.

If you charge indirect costs to the project, you must not charge those same costs to the project as direct costs. See H. Indirect Costs.

Introductory Fields If not pre-populated, indicate your organization’s Unique Entity Identifier, name, and the period of performance. This should be the same as the information you provide on your SF-424 Application for Federal Assistance - Short Organizational. You may need to complete the SF-424 prior to completing your Research and Related Budget. Your period of performance must start on the first day of the month and end on the last day of the month. For budget type, check “project.”

A. Senior/Key Person Include personnel who are employed by the applicant institution in leadership roles on the project. Do not include collaborators at other institutions or consultants, as you will include them in F. Other Direct Costs.

Enter the base salary (annual compensation) for each senior/key person and identify the number of months they will devote to the project. If you do not include base salaries, your award may be delayed.

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Many non-academic institutions organize their budgets using calendar months. If your organization does not differentiate between academic and summer months, use only the calendar months column.

If your organization follows an academic calendar, you may differentiate levels of effort by using the academic and summer months columns. You may also use both columns if your institutional policy requires accounting for academic and summer months separately. If your institution does not use a nine-month academic year and 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 you provide in addition to 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.

Requested salaries and wages must comply with 2 CFR §§ 200.430 and .466 and fringe benefits must comply with 2 CFR § 200.431.

The form will calculate the requested salary and fringe benefits for each key person.

The form has space for up to eight people. If you request funds for additional key personnel, 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 additional senior/key persons in the "Total Funds requested for all Senior/Key Persons in the attached file" field.

B. Other Personnel Include personnel employed by the applicant institution who will play a supporting role on the project. For each project role, 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.

The form will calculate the requested salary and fringe benefits for each group.

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. You must report such costs in accordance with 2 CFR § 200.466(b), and must be treated as direct or indirect costs in accordance with the actual work performed. Tuition remission may be charged on an average rate basis.

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

• The administrative or clerical services are integral to a project or activity.

• The individuals involved can be specifically identified with the project or activity.

• You explicitly include these costs in your budget or have prior written approval from

NEH.

• You do not also recover the costs as indirect costs.

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If you include administrative or clerical salaries in your budget as direct costs, document how direct charging meets all four conditions in your budget justification. NEH may request additional information to assess allowability.

Additional Other Personnel List additional project roles, if applicable. The form has space for six named roles. If you have more, combine project roles on the form and explain in your budget justification.

Salaries and wages must comply with 2 CFR §§ 200.430 and .466 and fringe benefits must comply with 2 CFR § 200.431.

Do not list collaborators at other institutions or consultants here, as you will include them in F.

Other Direct Costs.

C. Equipment Description Equipment is defined as nonexpendable personal property costing $5,000 or more per item 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 purchase equipment if analysis demonstrates that it is more economical and practical than leasing (equipment rental/user fees should be included in F. Other Direct Costs). You may charge depreciation in compliance with 2 CFR § 200.436.

Per 2 CFR § 200.322, you should preference goods, products, and materials produced in the United States purchased or acquired under a federal award. If selected for funding, you must include the requirements of this section in all subawards, contracts, and purchase orders for work or products.

List each item of equipment you plan to purchase and its estimated cost, including shipping and maintenance. Include supporting information, such as a price quote, in your budget justification.

The form has space for ten items. If you request funds for additional equipment, list them in a separate document. Save the document as a PDF named additionalequipment.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.

The form will calculate total equipment costs.

D. Travel Enter the total funds you are requesting for both domestic travel (local and long-distance) and foreign travel (including travel to Canada and Mexico). Provide a detailed breakdown of costs for each trip in your budget justification. Arrangements made on a non-refundable basis are at the risk of the recipient if the services must be cancelled for any reason.

Travel costs must comply with 2 CFR § 200.475 and the General Terms and Conditions for Awards to Organizations. NEH uses the General Services Administration's published per diem rates to assess if proposed travel costs are reasonable.

You may not use NEH funds to attend regularly occurring professional meetings.

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Include travel costs for participants in E3 and travel costs for consultants in F3.

The form will calculate total travel costs.

E. Participant/Trainee Support Costs Participants are the beneficiaries, not the providers, of a service or training opportunity (such as a workshop, conference, seminar, or symposium) funded by a federal award.

2 CFR § 200.1 defines participant support costs as direct costs for expenses such as stipends, travel allowances, 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 which is necessary and reasonable for successful performance under the federal award.

Include supporting information 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.

The form will calculate total participant support costs.

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

2. Stipends Enter the total funds you are requesting for participant stipends.

3. Travel Enter the total funds you are requesting for participant travel. In your budget justification, name the travelers (if known) and itemize their travel expenses (e.g., roundtrip airfare, mileage, public transportation fares, parking fees).

4. Subsistence Enter the total funds you are requesting for participant subsistence. Subsistence expenses include lodging and service charges; meals, including taxes and tips; and incidental expenses (e.g., fees and tips).

5. Other Describe other participant support costs (e.g., local ground transportation to venues, admission fees, bottled water) and enter the total funds you are requesting. You may provide additional information in your budget justification.

Number of Participants/Trainees Enter the total number of participants. This field cannot exceed 999.

F. Other Direct Costs The form will calculate total other direct costs.

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

2. Publication Costs As a matter of programmatic policy, publication costs are not allowed.

3. Consultant Services Enter the total funds you are requesting for consultant services. If your project includes an external advisory committee, include associated costs here.

Consultant fees must comply with 2 CFR § 200.459.

4. Automated Data Processing (ADP)/Computer Services Enter the total funds you are requesting for ADP/computer services, including computer-based retrieval of scientific, technical, and education information. Include personal computers and accessories under Materials and Supplies.

If a third party will provide these services, include them in Subawards/Consortium/Contractual Costs.

5. Subawards/Consortium/Contractual Costs Enter the total funds you are requesting (both direct and indirect costs) for activities third parties will perform.

Per 2 CFR §§ 200.1 and .331(a), a subaward is an award you issue to a subrecipient to carry out part of your federal award. Subawards do not include payments to contractors (as defined in 2 CFR §§ 200.1 and .331(b)) or payments to individuals who are beneficiaries of federal programs.

You may provide a subaward through any form of legal agreement, including an agreement you consider a contract. The substance of your relationship with a third party is more important than the form of the agreement when determining if the third party functions as a subrecipient or contractor. See 2 CFR § 200.331(c).

NEH may request additional information in order to assess if proposed costs are reasonable and allowable. See 2 CFR §§ 200.331 and .332.

If your budget includes subawards, you must submit a separate Research and Related budget and budget justification for each. See Attachment 8: Subrecipient Budget(s).

If a subrecipient claims indirect costs, include its federally negotiated indirect cost rate agreement in Attachment 10: Federally negotiated indirect cost rate agreement. You do not have to include an agreement for any subrecipient that requests the 10% de minimis rate.

See F2. Administrative and National Policy Requirements for additional information on monitoring subrecipients’ performance.

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