Dangers and Opportunities of Technology NOFO October 2023 20231011-DOI-DOC.pdf

Notice of Funding Opportunity

Dangers and Opportunities of Technology:

Perspectives from the Humanities

Funding Opportunity Number: 20231011-DOI-DOC

Funding Opportunity Type: New

Federal Assistance Listing Number: 45.169

Application Deadlines:

October 11, 2023

September 12, 2024

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

It may take several weeks to register with SAM.gov and Grants.gov.

NEH will not grant deadline extensions for lack of registration.

Office of Digital Humanities Email: odh@neh.gov Telecommunications Relay Service: 7-1-1

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

20231011-DOI-DOC i

Executive Summary The National Endowment for the Humanities (NEH) Office of Digital Humanities is accepting applications for the Dangers & Opportunities of Technology: Perspectives from the Humanities program. This program supports research that examines technology and its relationship to society through the lens of the humanities, with a focus on the dangers and/or opportunities presented by technology, broadly defined. NEH is particularly interested in projects that examine the role of technology in shaping current social and cultural issues.

Funding Opportunity Title Dangers and Opportunities of Technology: Perspectives from the

Humanities

Funding Opportunity Number 20231011-DOI-DOC

Federal Assistance Listing Number 45.169

Application Deadlines October 11, 2023, 11:59 p.m. Eastern Time

September 12, 2024, 11:59 p.m. Eastern Time

Anticipated Award Announcement April 2024 (for the 2023 deadline)

April 2025 (for the 2024 deadline)

Anticipated FY 2024 and 2025

Funding

Approximately $1,000,000 per deadline

Estimated Number and Type of

Awards

Approximately 9-12 awards per deadline

Award Amounts Up to $75,000 for projects led by a single researcher

Up to $150,000 for projects led by a collaborative team

Cost Sharing/Match Required No

Period of Performance Up to 24 months.

If you apply to the 2023 deadline, you may request a period of performance start date between June 1 and August 1, 2024.

If you apply to the 2024 deadline, you may request a period of performance start date between June 1 and August 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/dangers-and-opportunities-technology-perspectives-humanities

Pre-Application Webinar A pre-recorded webinar will be available on the program resource page on August 4, 2023.

Live Q&A Session: Click here to register for a live Q&A session on

August 15, 2023, from 2-3 p.m. Eastern Time.

Published July 25, 2023 https://www.neh.gov/program/dangers-and-opportunities-technology-perspectives-humanities https://www.neh.gov/program/dangers-and-opportunities-technology-perspectives-humanities https://events.gcc.teams.microsoft.com/event/9fd1d723-2090-4ebb-982b-f38ad71ce770@93b06459-c77d-44b6-af7f-e813cddcdcc3

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Table of Contents

A. Program Description

1. Purpose

2. Background

B. Federal Award Information

1. Type of Application and Award

2. Summary of Funding

C. Eligibility Information

1. Eligible Applicants

2. Cost Sharing

3. Other Eligibility Information

D. Application and Submission Information

1. Application Package

2. Content and Form of Application Submission

3. Unique Entity Identifier and System for Award Management

4. Submission Dates and Times

5. Intergovernmental Review

6. Funding Restrictions

E. Application Review Information

1. Review Criteria

2. Review and Selection Process

3. Assessment of Risk and Other Pre-Award Activities

4. Anticipated Announcement and Award Dates

F. Federal Award Administration Information

1. Federal Award Notices

2. Administrative and National Policy Requirements

3. Reporting

G. Agency Contacts

H. Other Information

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A. Program Description

1. Purpose The Dangers & Opportunities of Technology: Perspectives from the Humanities program (DOT) supports humanistic research that explores the relationships between technology and society, and the impacts technology has on culture, health, social interactions, government, cultural institutions, the environment, and other aspects of life. NEH encourages you to interpret the term “technology” broadly. It is up to you to define and make a compelling case for the technologies you choose to examine.

NEH is particularly interested in projects that examine current social and cultural issues that are significantly shaped by technologies and expand understanding of a particular topic in the humanities. You may involve communities affected by these technologies as collaborators or contributors. Projects must not engage in political advocacy.

NEH invites projects at different stages of development that link their research to compelling social issues where technology plays a key role. Projects may address a wide range of topics, such as:

• climate change

• racial justice

• social media, disinformation, and the democratic process

• medical technologies

• wealth inequality

• data privacy and ethics of algorithms

• cryptocurrencies and nonfungible tokens (NFTs)

• supply chains and infrastructure

• educational technologies

• the streaming economy (e.g., music, television, film)

The DOT program can fund activities and final products such as:

• research time (e.g., course releases)

• research assistance (e.g., student researchers)

• research travel

• community partner participation

• conducting studies or interviews

• convenings

• data collection and analysis

• experiments or prototyping

• development or production of articles, books, web sites, or other forms of intellectual output

If NEH selects your project for funding, you must submit a white paper after the period of performance that NEH will make publicly available on its website. White papers are a resource for future applicants, students, researchers, and the general public interested in learning about funded work at the NEH. See F3. Reporting.

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Books based on NEH-funded research through the DOT program may be eligible for the Fellowships Open Book Program, which awards non-profit publishers a $5,500 grant to release open access digital editions.

See D6. Funding Restrictions for unallowable activities.

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

See H. Related funding opportunities for information about other NEH programs that support digital humanities projects.

Project categories The DOT program includes separate funding categories for projects led by a single researcher and projects led by collaborative teams. In both categories, NEH will issue awards to institutions, not directly to participating scholars. See C1. Eligible Applicants.

This program will support projects at any research stage.

Projects led by a single researcher

• Single project directors with an institutional affiliation will lead projects in this category and will set the research agenda. Other personnel, including students, may carry out some activities.

• You may request an award of up to $75,000 with a period of performance of up to two years for projects in this category.

Projects led by collaborative teams

• Two or more project directors (co-directors), each contributing equally to the research agenda(s), will lead projects in this category. Co-project directors may be independent scholars. Other personnel, including students or staff from community organizations, can also be involved in carrying out some of the work.

• You may request an award of up to $150,000 with a period of performance of up to two years for projects in this category.

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 Section 3(a) of the National Foundation on the Arts and the Humanities Act of 1965, as amended, “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.”

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

Learn more about NEH.

NEH Areas of Interest NEH is especially interested in supporting projects that advance humanities-related work in the following areas. NEH will give all applications equal consideration in accordance with the program’s review criteria.

NEH encourages projects that include Native American organizations and communities as applicants and project partners.

American Tapestry: Weaving Together Past, Present, and Future

American Tapestry: Weaving Together Past, Present, and Future is a wide-ranging special initiative at NEH that leverages the humanities to tackle some of the most pressing challenges of our time: strengthening our democracy, advancing equity for all, and addressing our changing climate. The initiative encourages humanities projects that elevate the role of civics in schools and public programs, advance knowledge of the country’s history and political institutions, and examine threats to its democratic principles. The initiative also encourages projects that explore the untold stories of historically underrepresented groups and build capacity at cultural and educational institutions to benefit underserved communities. Finally, the initiative welcomes projects that promote research into the historical roots and cultural effects of climate change and support the cultural and educational sectors in building climate resilience. By supporting humanities projects that align with these three themes – strengthening our democracy, advancing equity for all, and addressing our changing climate – the American Tapestry initiative seeks to tell our country’s history in all its complexity and diversity.

United We Stand: Connecting Through Culture

Hate must have no safe harbor in America – especially when that hate fuels the kind of violence we’ve seen from Oak Creek to Pittsburgh, from El Paso to Poway, and from Atlanta to Buffalo.

When ordinary Americans cannot participate in the basic activities of everyday life – like shopping at the grocery store or praying at their house of worship – without the fear of being targeted and killed for who they are, our security as well as democracy are at risk. In coordination with the White House “United We Stand” Summit in September 2022, NEH launched a new initiative titled United We Stand: Connecting Through Culture that uses the humanities to combat hate-motivated violence and promote civic engagement, social cohesion, and cross-cultural understanding. As a part of this initiative, NEH encourages humanities projects that further our understanding of the nation’s racial, ethnic, gender, and religious diversity; examine the sources of hate and intolerance in the United States; and explore progress towards greater inclusiveness. NEH especially welcomes projects that study antisemitism and/or Islamophobia in the context of the digital age and specifically the spread of online antisemitism and/or Islamophobia.

Special Encouragement: Humanities Perspectives on Artificial Intelligence NEH welcomes applications for research projects that seek to understand and address the ethical, legal, and societal implications of artificial intelligence (A.I.). NEH is particularly interested in projects that explore the impacts of A.I.-related technologies in the areas of equity, privacy, or civil rights.

https://securegrants.neh.gov/publicquery/main.aspx https://www.neh.gov/about https://www.neh.gov/americantapestry https://www.neh.gov/unitedwestand

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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 projects led by a single researcher.

You may request up to $150,000 for projects led by collaborative teams.

These limits include the sum of direct and indirect costs.

NEH anticipates awarding approximately $1,000,000 among an estimated 9-12 recipients.

NEH will award successful applicants outright funds, which are not contingent on additional funding from other sources.

NEH will not determine the amount available until Congress makes appropriations for FY 2024 and 2025. NEH will issue awards subject to the availability of appropriated funds. NEH is publishing this notice as a contingency action to ensure that NEH can process applications and issue awards in a timely manner, should sufficient funds become available.

Period of performance The period of performance is up to 24 months.

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

If you apply to the 2023 deadline, you may request a period of performance start date between June 1, 2024, and August 1, 2024.

If you apply to the 2024 deadline, you may request a period of performance start date between June 1, 2025, and August1, 2025.

C. Eligibility Information

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

• a nonprofit organization recognized as tax-exempt under section 501(c)(3) of the Internal Revenue Code https://www.irs.gov/charities-non-profits/search-for-tax-exempt-organizations https://www.irs.gov/charities-non-profits/search-for-tax-exempt-organizations

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• 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

If your organization is eligible, you may apply on behalf of a consortium of collaborating organizations. If NEH selects your proposal for funding, you will be programmatically, legally, and fiscally responsible for the award.

To be eligible, your organization must make substantive contributions to the success of the project and must not function solely as a fiscal agent for another entity.

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

2. Cost Sharing NEH does not require cost sharing in this program.

Cost sharing or matching is the portion of the project costs you pay for with non-NEH funds.

Peer reviewers will not consider cost sharing in their evaluation of applications.

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 you or a third party

• your unrecovered indirect costs

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

You must maintain auditable records of the source and use of cost share. See 2 CFR § 200.306.

Learn about types of funds NEH offers.

3. Other Eligibility Information Institutions may submit multiple applications for separate and distinct projects under this notice. Individuals may serve as a project director (or co-director for the Collaborative category) on one DOT application per deadline but may be listed as personnel (not in a leadership role) on more than one DOT application per deadline.

Degree candidates may not be project directors or co-directors. Degree candidates may serve in other project roles.

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

If NEH has previously made an award in support of your project, you may apply for a new or subsequent stage of the project, which NEH will assess using the review criteria of the current competition.

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

NEH does not issue 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.

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 odh@neh.gov.

Except for the rare cases covered by its late submission policy, NEH will not consider applications submitted after the deadline.

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

NEH will not consider applications that exceed page limits or deviate from 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 20231011-DOI-DOC. There is also a link on the program resource page.

This funding opportunity includes two application packages, which you can find under the “Package” tab. Select the appropriate one based upon your project type. Each package includes a series of required and conditionally required forms. You will upload additional application components using the Attachments Form.

Project category Application package 2023 2024

Projects led by a single researcher DOI102023 DOI92024 Projects led by collaborative teams DOC102023 DOC92024

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

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

If you are deaf, hard of hearing, or have a speech disability, please dial 7-1-1 to access telecommunications relay services.

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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:

• Required: You must submit this component.

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

• Recommended: NEH encourages, but does not require, you to submit this component.

You must submit all required components and conditionally required components relevant to your proposal. 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.

Note page limits and formatting instructions in this notice. NEH will not review applications that exceed mandatory page limits or deviate from 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 points

In addition, NEH encourages you 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 (include citations in page counts)

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Application Component Table Application Component File Name Designation Page limit

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 personnel personnel.pdf Required

2: Narrative narrative.pdf Required 4 or 6 pages -see instructions

(mandatory)

3: Work plan workplan.pdf Required 3 (mandatory)

4: Biographies biographies.pdf Required 1 paragraph per person

(mandatory)

5: Appendices appendices.pdf Recommended 5 (suggested)

6: Letters of commitment letters.pdf Required for projects led by collaborative teams

7: Subrecipient budget(s) subrecipient.pdf Conditionally

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

9: Explanation of delinquent federal debt delinquentdebt.pdf Conditionally

Narrative Compose 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.

• For projects led by a single researcher, the narrative must not exceed four pages.

• For projects led by collaborative teams, the narrative must not exceed six pages.

Do not include a cover page or table of contents.

../../../../General/Templates/Disclosure#_Standard_Form-LLL,_ ../../../../General/Templates/Disclosure#_Standard_Form-LLL,_

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Include all required and relevant details within the narrative. While you may embed links to external sources in the narrative, NEH does not require reviewers to review additional online materials or visit links. Include any supporting materials, such as images, charts, diagrams, footnotes, endnotes, bibliographies, work samples, etc., in Attachment 5: Appendices, which will save space within the narrative.

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

Project Summary

Provide a concise overview of your project (no more than one paragraph), written for a non-specialist audience, stating the main goal of your proposal, key activities, and expected final outcomes. State if you are applying as a single researcher or a collaborative team. Please note you may use the same text entered in the “Description of the Project” found on the SF-424.

Significance and contribution (aligns with review criterion 1)

Describe the intellectual significance of the proposed project, including its value to the humanities and humanistic social sciences. Explain your key argument, articulate your research questions, and define the technologies you will explore. Describe your research methods.

Identify frameworks for conducting your research project in an ethical and professional manner.

Discuss the impact of the project on specific audiences and how you will present your scholarship in an accessible manner to benefit the intended audiences.

Environmental scan & project history (aligns with review criterion 1)

Frame your project within existing scholarship across the humanities and humanistic social sciences in a brief literature review. Do not list similar projects or studies. Rather, explain how your proposed methods and outcomes will complement, challenge, or expand relevant studies in the field.

If applicable, summarize any preliminary research, completed planning, financial support, or any related publications, projects, or resources. Describe any existing partnerships and how and when they developed.

If your project received prior NEH support, indicate the previous project’s Federal Award Identification Number (FAIN) and describe how it met its goals.

Provide references (citations, URLs) to prior project-related work in Attachment 5: Appendices.

If you request support for part of a larger initiative, clearly delineate the specific part intended for NEH funding through this application.

Activities and research team (aligns with review criteria 2, 3, and 4)

Summarize your work plan. Include an overview of the primary activities you will accomplish during the period of performance, with a focus on the major phases of the project. Explain the competencies of key researchers involved for undertaking the work described.

For projects led by Collaborative Teams, describe the nature of the collaboration and key responsibilities for each co-project director and key staff members.

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This summary should complement the detailed information in the work plan and timeline in Attachment 3: Work plan and personnel biographies in Attachment 4: Biographies.

Describe how the project will support and benefit all project staff, including students, through project-based learning, mentoring, immersion in the activities of the institution, or other professional development opportunities.

Final products and dissemination (aligns with review criteria 1, 2, and 4)

Describe expected final products and discuss how they align with the project’s goals. If applicable, explain how you will credit the project team and collaborators for their contributions.

Describe how you will disseminate project results to your intended audience(s) (e.g., open access articles, printed books, public presentations, webinars or training sessions, websites, or electronic media).

Briefly describe how you will make your final products accessible to individuals with disabilities.

Identify types of data that your project might generate and/or collect. Describe how you would eventually share this data with others, and under what conditions, if at all. Include a short discussion of the project’s policies for access, privacy, confidentiality, security, intellectual property, and other rights or requirements. You may further describe your data management plans in the Attachment 5: Appendices.

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

Significance and Contribution 1

Environmental scan & project history 1

Activities and research team 2, 3 and 4

Final products and dissemination 1, 2, and 4

Research and Related Budget You must submit a project budget using the Research and Related Budget form included in the Grants.gov application package and attach a budget justification. Complete the SF-424 Application for Federal Assistance - Short Organizational prior to completing your Research and Related Budget.

Complete a single detailed budget for the entire 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 form does not automatically indicate that an expense is allowable in this program. See D6. Funding Restrictions to ensure that proposed costs are allowable.

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If you 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 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.

Costs are subject to audit, record retention, and other requirements set forth in 2 CFR 200 Subpart F - Audit Requirements.

You should only include your own employees 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 non-employees under F3. Consultant Services or F5. Subawards/Consortium/Contractual Costs, as appropriate.

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

Introductory Fields

Your SF-424 Application for Federal Assistance - Short Organizational form should pre-populate introductory fields. If not pre-populated, indicate your organization’s Unique Entity Identifier, name, and the period of performance. This should match the information you provide on your SF-424 Application for Federal Assistance - Short Organizational. 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.

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 use both columns if your institutional policy requires separate accounting for academic and summer months. 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 may include the costs of leave (e.g., 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.

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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 treat them as direct or indirect costs in accordance with the actual work performed. You may charge tuition remission on an average rate basis.

Administrative/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 they meet the following conditions:

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

• The individuals 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 recover the costs as indirect costs.

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

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.

Requested 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 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.

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You may purchase equipment if analysis demonstrates that it is more economical and practical than leasing You may charge depreciation in compliance with 2 CFR § 200.436. If you lease equipment, include equipment rental/user fees in F. Other Direct Costs.

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 NEH funds your project, 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 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). Detail costs for each trip in your budget justification. If you make nonrefundable travel arrangements, it is at your own risk.

You cannot charge cancelled travel to your award.

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 unless the purpose of attending is to disseminate project-related findings.

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.

2 CFR § 200.432 defines a conference 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.

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Include supporting information in your budget justification. If you or your participants make nonrefundable travel arrangements, it is at your own risk. You cannot charge cancelled travel to your award.

If you claim indirect costs, exclude participant support costs from the MTDC base. The form will calculate total participant support costs.

1. Tuition/Fees/Health Insurance

Leave this field blank.

2. Stipends

Enter the requested funds for participant stipends.

3. Travel

Enter the requested funds 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 requested funds for participant subsistence (e.g., lodging and service charges; meals, including taxes and tips; and incidental expenses).

5. Other

Describe other participant support costs (e.g., local ground transportation to venues, admission fees) and enter the requested funds. Provide additional information in your budget justification.

Number of Participants/Trainees

Enter the number of participants. This field cannot exceed 999.

F. Other Direct Costs

The form will calculate total other direct costs.

1. Materials and Supplies

Enter the requested funds for materials and supplies that cost less than $5,000 per item, regardless of its useful life, unless your organization has established a different capitalization level. See 2 CFR §§ 200.314 and .453.

2. Publication Costs

Enter the requested funds for publication costs, including the costs of documenting, preparing, publishing – including open access fees or article processing charges – or otherwise making available to others the findings and products of the work conducted under the award. Include supporting information in your budget justification.

3. Consultant Services

Enter the requested funds for consultant services. If your project includes an external advisory committee, include associated costs here.

Consultant fees must comply with 2 CFR § 200.459.

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4. Automated Data Processing (ADP)/Computer Services

Enter the requested funds 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 the relationship between a passthrough entity and a third party is more important than the form of the agreement when determining if the third-party functions as subrecipient or contractor. See 2 CFR § 200.331(c).

NEH may request additional information 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 subrecipient. See Attachment 7: Subrecipient budget(s).

If a subrecipient claims indirect costs, include its federally negotiated indirect cost rate agreement in Attachment 8: 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.

6. Equipment or Facility Rental/User Fees

Enter the requested funds for rental fees for equipment and facilities.

If you will use your own equipment and facilities, you may charge depreciation in compliance with 2 CFR § 200.436. Alternatively, if you will use equipment you purchased with federal funds under another award, you may charge user fees consistent with 2 CFR § 200.313(c)(2). You may not charge both depreciation and user fees.

If you will host a conference, you may rent facilities per 2 CFR § 200.432. If you rent facilities under a “less-than-arm's-length” lease, you must comply with 2 CFR § 200.465(c).

Federally funded meetings and conferences must take place 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 fire code compliant hotels.

7. Alterations and Renovations

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

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8-10. Other

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

Per 2 CFR § 200.432, allowable conference costs include speakers’ fees, costs of meals and refreshments, and other incidental items. You must exercise discretion and judgment to ensure that costs are appropriate, necessary, and managed in a manner that minimizes costs to the award.

Food is only allowable when vendors are unavailable during the scheduled program. You may not use federal funds for meals or refreshments at receptions or networking events.