Archaeological and Ethnographic Field Research NOFO 2021 20210930-RFW.pdf

NOTICE OF FUNDING OPPORTUNITY

Funding Opportunity Title:

Archaeological and Ethnographic Field Research

Funding Opportunity Number: 20210929-RFW

Funding Opportunity Type: New

Federal Assistance Listing Number: 45.161

Application Deadline: September 29, 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.

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

OMB control number 3136-0134, expiration date June 30, 2021 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 ultimate expectation of such awards is the dissemination of results through publications and other media, the program supports field costs such as travel, accommodation, field staff, field equipment, and salary replacement for the project director and collaborating scholars.

Funding Opportunity Title Archaeological and Ethnographic Field Research Funding Opportunity Number 20210929-RFW Federal Assistance Listing Numbe:

45.161

Application Deadline September 29, 2021, 11:59 p.m. Eastern Time Anticipated Announcement April 2022 Anticipated FY 22 Funding Approximately $800,000 Estimated Number and Type of Awards

Approximately 6 grants

Award Amount Up to $150,000 Cost Sharing/Match Required Conditionally required. See C2. Cost Sharing.

Period of Performance 4 to 36 months, starting as early as June 1, 2022, and as late as May 1, 2023.

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 for additional information.

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

Pre-Application Webinar June 21, 2021, 2:00 p.m. Eastern Time Join the webinar

Published June 2, 2021 https://www.neh.gov/program/archaeological-and-ethnographic-field-research https://www.neh.gov/program/archaeological-and-ethnographic-field-research https://teams.microsoft.com/l/meetup-join/19%3ameeting_MDkzOGZiZDAtZjkxYi00NTU3LTk2N2YtZjQ5MmM5ZWFkYzBh%40thread.v2/0?context=%7b%22Tid%22%3a%2293b06459-c77d-44b6-af7f-e813cddcdcc3%22%2c%22Oid%22%3a%224f200ade-1ea4-49ee-9719-06f37c53469d%22%2c%22IsBroadcastMeeting%22%3atrue%7d

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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 This notice solicits applications for the Archaeological and Ethnographic Field Research program.

Through the Archaeological and Ethnographic Field Research program, the National Endowment for the Humanities (NEH) Division of Research Programs seeks to support institutionally-based projects engaged in empirical field research utilizing archaeological and/or ethnographic methods to answer significant questions in the humanities. Archaeological methods may include field survey and field-based remote sensing, documentation or visualization, and excavations in support of answering research questions in ancient studies, history, anthropology, classical studies, art history, regional studies, epigraphy, and other related disciplines. Ethnographic methods may include participant observation, surveys and interviews, and documentation or recording in pursuit of research questions in anthropology, ethnolinguistics, oral history, ethnomusicology, performance studies, folklore studies, sociology, and related disciplines. Competitive submissions will embody exceptional research design, deploy rigorous field methodologies, and clearly articulate a project’s value to humanities scholars, general audiences, or both.

NEH Field Research grants 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 the 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 grants also allow for up to $5,000 per 12-month period to be used for conservation or preservation efforts, such as site and artifact conservation and/ or community outreach efforts. NEH strongly encourages applicants to work closely with local collaborators and/or local communities in the co-creation of knowledge, and the preservation of culture, whenever possible.

NEH invites applications from institutions at which 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. Junior faculty are particularly encouraged to apply. While a project may include collaborating scholars, co-project directors are not permitted in this program.

Projects whose main focus is research on collections, archives, or legacy data, or whose methods are predominantly laboratory-based, will not be considered in this competition. Similarly, while the ultimate expectation of these awards is public dissemination through peer-reviewed publications and other media, publication costs and manuscript preparation are not permitted.

While post-fieldwork analyses or data processing are allowable secondary activities, the primary purpose of the program is to support work in the field. Applicants interested in substantial post-fieldwork research and manuscript preparation should consider NEH’s Collaborative Research program or the fellowship programs for individuals.

Field school costs are not permitted.

https://www.neh.gov/grants/research/collaborative-research-grants https://www.neh.gov/grants/research/collaborative-research-grants

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Unallowable activities are described in D6. Funding Restrictions.

2. Background This program is authorized by 20 U.S.C. §956, et seq. 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).

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 Areas of Interest NEH is especially interested in supporting projects that advance humanities-related work in the following areas:

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.

Standing Together 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, NEH has launched a special initiative titled Standing Together: The Humanities and the Experience of War. This special initiative draws on the power of the humanities 1) to support advanced research in the humanities that explores war and its aftermath; 2) to promote discussion and deepened understanding of the experiences of those Americans affiliated with the armed https://uscode.house.gov/view.xhtml?req=(title:20%20section:956a%20edition:prelim) 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 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 https://www.neh.gov/grants/standing-together https://www.neh.gov/grants/standing-together

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services, whether active duty or veterans; and 3) to support returning veterans and their families.

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 be based on scholarly work and follow standards and best practices. Projects must demonstrate the capacity to be sustained and must be widely accessible to the public. Learn more about Protecting our Cultural Heritage.

In addition, NEH especially encourages projects that include Native American organizations and communities as lead applicants and project partners.

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 For projects with a period of performance between four and twelve months, you may request up to $75,000. For projects with a period of performance lasting more than twelve months, you may request up to $75,000 per year, not to exceed $150,000.

Successful applicants will be awarded outright funds, matching funds, or a combination of the two, depending on the availability of funds.

Applicants may request up to $50,000 in federal matching funds. Matching funds require a one-to-one third-party cost share. For institutions of higher education, if the project director is a tenured faculty member, the applicant 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. See C2. Cost Sharing.

The period of performance is from four to 36 months, with a start date as early as June 1, 2022, and as late as May 1, 2023.

Approximately $800,000 is expected to be available to fund 6 recipients.

NEH will not determine the amount available until Congress has enacted the final FY 2022 budget. This notice is subject to the availability of appropriated funds, and is a contingency action to ensure that, should funds become available for this purpose, applications can be processed and funds awarded in a timely manner.

https://www.neh.gov/grants/protecting-our-cultural-heritage

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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.

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

2. Cost Sharing Institutions of higher education whose project director is a tenured faculty member are required to raise at least $20,000 in third-party funds and to request at least $20,000 in federal matching funds.

For applicants 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 federal matching funds are requested.

Cost-share requirements will be determined based upon 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 a recalculation of required cost share on the award. If the initial project director’s tenure status changes during the period of performance, the project’s cost share requirements will not be adjusted.

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.

Applicants may use voluntary cost sharing for projects in which the total costs exceed the amount awarded by NEH.

Voluntary cost sharing consists of the cash contributions made to a project by the applicant, including unrecovered indirect costs, and by third parties as well as third-party in-kind contributions. Third-party in-kind contributions are non-cash contributions (such as property or services) that benefit the funded project, and are contributed by non-federal third parties, without charge, to the recipient of the federal award.

Required cost sharing includes third-party non-federal gift money that must be raised to release federal matching funds. Third-party funding does not need to be in hand by time of application, but the application should discuss plans to raise the funds.

Applicants requesting federal matching funds must raise dollar-for-dollar cash contributions from nonfederal third parties and have them certified by NEH before the funds are released (see the NEH Federal Matching Funds Guidelines). The full amount of federal matching funds may not be available for release in the first year of a multi-year period of performance. Federal matching funds are typically distributed on an annual basis over the life of the award.

Recipients are responsible for maintaining auditable records of the source and use of cost sharing contributions. See 2 CFR §200.306.

https://www.neh.gov/grants/manage/federal-matching-funds-guidelines https://www.ecfr.gov/cgi-bin/text-idx?SID=3aeab4e3a836f5b6807999701e518c94&mc=true&node=pt2.1.200&rgn=div5#se2.1.200_1306

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3. Other Eligibility Information Eligible applicants may submit multiple applications for separate and distinct projects under this notice. An individual may serve as a project director on only one application submitted under this notice.

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.

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, co-project directors are not permitted in this program.

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.

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.

NEH does not provide financial assistance to foreign institutions or organizations. Nevertheless, otherwise eligible American institutions may apply for collaborative projects involving U.S. and foreign organizations, provided they do not use NEH funds for the purpose of issuing subawards to any foreign organization, as defined in 2 CFR §200.1 and 2 CFR §200.331(a). This limitation does not preclude American institutions from obtaining the services of foreign individuals and consultants to carry out various programmatic activities on a fee-for-service basis, as specified in 2 CFR §200.459; it also does not preclude vendor contracts such as in-country transportation services in accordance with 2 CFR §200.331(b). If you are interested in submitting an application for a project involving international collaboration, consult with program staff.

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 20210929-RFW. You can also find a link to the funding opportunity on the program resource page.

The application package for this funding opportunity can be found under the “Package” tab. It includes a series of required and conditionally required forms. You will upload additional application components into the Attachments Form.

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.

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To request a paper copy of this notice, contact fieldwork@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.

You must limit the narrative to ten single-spaced pages with one-inch margins and at least 12-point type. Footnotes are not required but are allowed, if they fit within the ten-page limit.

Use the following section headings for your narrative. NEH has aligned each section of the narrative with a corresponding review criterion. Refer to E1. Review Criteria.

Argument for intellectual significance (corresponds primarily to Review Criterion 1) Provide a clear and detailed explanation of the project’s research questions and their importance to humanities scholars and general audiences, where appropriate. Discuss the relationship of the proposed research to other published 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. (1-2 pages)

Research design and methods (corresponds primarily to Review Criterion 2) Explain how your proposed research design will help to resolve the problems or questions being examined. 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 part or stage of it that will be supported by this award. 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 ). (2-4 pages)

For archaeology proposals, state your research questions and explain how your proposed field methods will address these questions. If you are surveying, detail how and where you will conduct the survey, how information will be collected and analyzed, and what results you hope to achieve from these efforts. For documentation or visualization projects, explain what exactly you will be recording 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 excavating, 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 plan to store and analyze your data, and how you will mitigate against long-term damage to the site or sites you are studying.

For ethnography proposals, state your research questions and explain how your proposed field methods will address these questions. 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 from this time. For projects primarily using mailto:fieldwork@neh.gov

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surveying or interviewing methods, discuss how this will be a participatory (rather than an extractive) process. Provide examples of the questions to be asked and the methods by which these questions will be administered and answers will be recorded. Detail how many people you expect to interview, and how they will be selected. 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). Phenomenological perspectives are only allowed when articulated within an ethnographic framework. For all ethnographic projects, describe how you plan to store and analyze your data, and how you will minimize possible long-term effects on the community or communities you are studying.

Project director and collaborators (corresponds primarily to Review Criterion 3) Explain the project director’s competence or background in the area of his or her project. If the area of inquiry is new to the project director, explain the reasons for working in it and his or her qualifications to do so. Where appropriate, specify the level of competence in any language needed for the study. (1-2 pages)

Name any collaborating scholars who will work on the project during the proposed period of performance, regardless of whether NEH funds are requested 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.

Plans for dissemination (corresponds primarily to Review Criterion 4) Describe the project’s intended result(s) and how it will be conveyed to specific audiences.

Explain how you plan to 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.

Applicants who have previously received NEH funding for any phase of the proposal research project must describe how those results were disseminated and to which audiences. (1-2 pages)

NARRATIVE GUIDANCE

To ensure that you fully address the review criteria, this table provides a crosswalk between the narrative language and where each section falls within the review criteria.

Narrative Section Review Criterion

Argument for intellectual significance 1

Research design and methods 2

Project director and collaborators 3

Plans for dissemination 4

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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 for the period of performance.

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, 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.

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.

If you are requesting federal matching funds, your budget must reflect total project costs including the one-to-one required cost share for the federal matching funds. As an example, an applicant requesting $100,000 in outright funds and $20,000 in federal matching funds must submit a budget that includes $140,000 in total project costs ($100,000 in outright funds, $20,000 in federal matching funds, and $20,000 in required third party cost share to unlock the federal matching funds.) Refer to the NEH Federal Matching Funds Guidelines regarding the eligibility of gifts for matching purposes. 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.

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 the 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.

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 https://www.ecfr.gov/cgi-bin/text-idx?SID=3aeab4e3a836f5b6807999701e518c94&mc=true&node=pt2.1.200&rgn=div5&sp2.1.200.e https://www.ecfr.gov/cgi-bin/text-idx?SID=236bb02f01d2e050f7a5b60c88a67066&mc=true&node=pt2.1.200&rgn=div5#sp2.1.200.e https://www.ecfr.gov/cgi-bin/text-idx?SID=686905e3d7f57006ca9c74e5515eea78&mc=true&node=pt2.1.200&rgn=div5#sp2.1.200.f

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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.

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.

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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 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).

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.

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 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.

Total equipment costs will be automatically calculated.

D. Travel Enter the total funds requested for both domestic (local and long-distance) and foreign travel (travel to Canada and Mexico is considered foreign travel). In your budget justification, include the purpose, destination, travel dates (if known), and the names and number of travelers for each trip. If dates are not known, specify the estimated length of trip (e.g., 3 days). All trips— both foreign and domestic—must be justified individually.

For local travel, outline the mileage rate, number of miles, reason for travel, and staff member/consumers completing the travel. For long-distance travel, calculate per diem amounts for meals and lodging consistent with written institutional policy. The lowest available commercial fares for coach or equivalent accommodations must be used. 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 foreign travel must comply with article 10 of the General Terms and Conditions for Awards to Organizations. NEH will use the General Services Administration's published per diem rates to assess if proposed travel costs are reasonable.

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NEH funds may not be used to support attendance at regularly-occurring professional meetings.

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

Total travel costs will be automatically calculated.

E. Participant/Trainee Support Costs As defined in 2 CFR §200.1, participant support costs are 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 is necessary and reasonable for successful performance under the federal award.

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 Enter the total funds requested for participant travel. In your budget justification, name the travelers (if possible) and reflect the travel expenses for each (e.g., roundtrip airfare, mileage or public transportation, related parking, etc.).

4. Subsistence Enter the total funds requested 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, 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.

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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 As a matter of programmatic policy, publication costs are not allowed in this program. Costs included on this line will be disallowed.

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.

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 9: Federally negotiated indirect cost rate agreement.

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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.

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.