FPIRI NOFO 2021 and 2022 20210811-RA.pdf

NOTICE OF FUNDING OPPORTUNITY

Funding Opportunity Title:

Fellowship Programs at Independent Research Institutions

Funding Opportunity Number: 20210811-RA

Funding Opportunity Type: New

Federal Assistance Listing Number: 45.161

Application Deadlines:

August 11, 2021 August 10, 2022

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: fpiri@neh.gov Federal Relay: 800-877-8399

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

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Executive Summary The National Endowment for the Humanities (NEH) Division of Research Programs is accepting applications for the Fellowship Programs at Independent Research Institutions program. The purpose of this program is to support institutions that provide fellowships devoted to advanced study and research in the humanities in the United States and abroad, foster communities of intellectual exchange among participating scholars, and provide access to resources that might otherwise not be available to the participating scholars.

Funding Opportunity Title Fellowship Programs at Independent Research

Institutions Funding Opportunity Number 20210811-RA Federal Assistance Listing Number

45.161

Application Deadlines August 11, 2021, 11:59 p.m. Eastern Time August 10, 2022, 11:59 p.m. Eastern Time

Anticipated Announcements April 2022 April 2023

Anticipated Annual Funding Approximately $1,900,000 per deadline Estimated Number and Type of Awards

Approximately 10 grants per deadline

Award Amount Up to $565,000 ($385,000 in outright funds plus $180,000 in Federal Matching Funds)

See B. Federal Award Information.

Cost Sharing/Match Required No, unless federal matching funds are requested.

Period of Performance All projects have a period of performance of up to 42 months.

Projects submitted on or before the 2021 deadline must begin on January 1, 2023 and end no later than June 30, 2026.

Projects submitted on or before the 2022 deadline must begin on January 1, 2024 and end no later than June 30, 2027.

Eligible Applicants See C. Eligibility Information.

Program Resource Page https://www.neh.gov/grants/research/fellowship-programs-independent-research-institutions Published May 6, 2021 https://www.neh.gov/grants/research/fellowship-programs-independent-research-institutions

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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 Fellowship Programs at Independent Research Institutions (FPIRI) program.

The FPIRI program supports institutions that provide fellowships for advanced humanities research in the U.S. and abroad, foster communities of intellectual exchange among participating scholars, and provide access to resources that might otherwise not be available to fellows.

Fellowship programs may be administered by independent centers for advanced study, libraries, and museums in the U.S.; American overseas research centers; and American organizations that have expertise in promoting humanities research in foreign countries. Individual scholars apply directly to the institutions for fellowships.

In evaluating applications, consideration is given to the library holdings, archives, special collections, and other resources—either on site or nearby—that institutions make available to fellows and the opportunity to foster intellectual exchange for scholars working at these centers.

For institutions that are located overseas or promote scholarly research abroad, consideration is also given to the center’s ability to assist scholars in obtaining necessary research permits or provide other administrative special services.

The FPIRI program is governed by the following requirements:

• Recipient institutions must give all eligible applicants equal consideration; they may not restrict eligibility to members of a scholarly organization or to persons affiliated with institutional members of a scholarly organization.

• Recipient institutions must not accept applications from any of their own officers, employees, members of the board of trustees or advisers, or selection committee members, until at least one year has elapsed since the person’s last service in such a position. The same restriction applies to officers, employees, and board members of parent organizations.

• Recipient institutions must not require an administrative or application fee for NEH-funded fellowships.

• Fellowship tenure must be full-time, continuous, and last four to twelve months.

• FPIRI awards support fellowship stipends at a rate of $5,000 per month.

• Residential fellows must be in residence during their entire tenure period. If a fellow is obliged through special circumstances to withdraw before the end of the tenure period, he/she shall receive a prorated stipend.

• NEH-funded fellows must be granted the same benefits, services, and accommodations normally accorded to all other fellows. A recipient institution may supplement the stipends of NEH-funded fellows with its own funds, and fellows may receive additional funds from other sources. Recipient institutions may withhold a portion of the NEH-funded fellows’ stipends to defray the costs of lodging and meals at a residential center.

Stipend deductions for fringe benefits such as health care can be offered to fellows on a voluntary basis. Stipend deductions for other fees or indirect costs are not allowed. In their fellowship announcements and award letters, institutions must clearly state the full value of the NEH-funded stipend and, if applicable, the amount withheld.

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• Recipient institutions must publicize the availability of FPIRI fellowships and their application procedures clearly and effectively, so that all potential applicants can learn of the full range of opportunities available. Publicity materials must include an explicit reference to the National Endowment for the Humanities funded fellowships offered through the institution. Consult Acknowledgment and Publicity Requirements for NEH Awards and Publicizing Your Project for guidance on credits and promotion.

• Recipient institutions must ensure the fair and informed selection of fellows by relying on the recommendations of an external committee composed of qualified scholars drawn from outside the institution’s staff and governing bodies. The committee must consist of at least three persons, convene either virtually or in person, and all members must be replaced each year. NEH funds may be awarded only to fellowship applicants recommended by the external committee.

• Recipient institutions must avoid real or perceived conflicts of interest in the composition of the selection committee and its deliberations. Staff (including unpaid advisors), officers, board members, and trustees of the institution may not serve as pre-screening evaluators or voting members on committees that review NEH-funded fellowship applications. The same restrictions apply to staff, officers, and trustees of parent organizations. Persons holding individual memberships at an institution should not constitute a majority on that institution’s selection committee.

• Recipient institutions must consult with NEH-funded fellows undertaking research outside the U.S. to ensure that the necessary passports, visas, or other required documents are secured for entry, residency, and permission to conduct research in foreign countries, as appropriate. Recipients must require the NEH-funded fellow to notify them if a permit is denied or revoked after an award has been issued, or if an unforeseen circumstance, such as a natural disaster or political turmoil, prevents (or threatens to prevent) the fellow from carrying out their project. Recipients must notify NEH-funded fellows that NEH does not assume responsibility for fellows’ compliance with the laws and regulations of the country in which work is to be conducted. Recipients should encourage NEH-funded fellows to register with the State Department’s Safe Traveler Enrollment Program (STEP). Fellows registering with STEP receive the most current information and travel alerts from the U.S. embassy in the country in which they are traveling, and registration makes it easier for the Embassy to know how to contact travelers in an emergency. For questions regarding American citizens involved in an emergency overseas, the State Department provides these telephone numbers: 888-407- 4747 from within the U.S. or Canada, or +1 (202) 501-4444 from other countries. Travel advisories and warnings are available on the State Department's website.

• Management and administrative (M&A) costs may not exceed 10% of your budget. You may request pre-award costs incurred no more than ninety days before the period of performance. Applicants incur pre-award expenditures at their own risk, and a recipient’s authority to approve such costs does not impose an obligation on NEH in the event an award is not made or is made for an amount that is less than the recipient anticipated.

Eligibility criteria for fellows are described in C3. Other Eligibility Information.

Review criteria are described in E1. Review Criteria.

Unallowable activities are described in D6. Funding Restrictions.

http://www.neh.gov/grants/manage/acknowledgment-and-publicity-requirements-neh-awards http://www.neh.gov/grants/manage/acknowledgment-and-publicity-requirements-neh-awards http://www.neh.gov/grants/manage/publicizing-your-project https://travel.state.gov/content/travel/en/international-travel/before-you-go/step.html https://travel.state.gov/content/travel/en/international-travel/before-you-go/step.html https://travel.state.gov/content/travel/en/traveladvisories/traveladvisories.html/

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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.

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.

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2. Summary of Funding You may request up to $385,000 in outright funds and up to $180,000 in federal matching funds for a total award of up to $565,000. Learn about different type of funds offered by NEH.

You must submit a budget reflecting total project costs. For example, if you request $100,000 in outright funds and $100,000 in federal matching funds, you must submit a budget totaling $300,000 ($100,000 in outright funds, $100,000 in federal matching funds, and $100,000 in required cost share for the federal matching funds).

If you apply for the 2021 deadline, your period of performance must begin January 1, 2023 and end on or before June 30, 2026 (the end of the final academic year in which fellowships are awarded).

If you apply for the 2022 deadline, your period of performance must begin January 1, 2024 and end on or before June 30, 2027 (the end of the final academic year in which fellowships are awarded).

Approximately $1,900,000 is expected to be available to fund an estimated ten recipients per deadline.

NEH will not determine the amount available until Congress has enacted the final FY 2022 and FY 2023 budgets. This notice is subject to the appropriation of funds, and is a contingency action taken to ensure that, should funds become available for this purpose, applications can be processed and funds awarded in a timely manner.

C. Eligibility Information

1. Eligible Applicants Eligible applicants must be a U.S. nonprofit institution with 501(c)(3) status, a state or local governmental agency, or a federally recognized Native American tribal government, and must meet the following criteria:

• It must have established and maintained a fellowship program for at least the three years immediately preceding the application deadline for this program.

• It must be financed, governed, and administered independently of institutions of higher education. To demonstrate its independence, the applicant must meet the following conditions:

It must be financially independent from institutions of higher education, with no single college or university contributing more than 49% to the applicant organization’s annual operating budget (including in-kind donations such as workspace, administrative support, etc.).

It must be governed by its own board of trustees, with a majority of members from no single institution of higher education.

It must be administered by a professional, independent chief executive officer or equivalent.

Institutions of higher education, foreign and for-profit entities, and individuals are not eligible to apply.

See C3. Other Eligibility Criteria for participant (fellow) eligibility.

https://www.neh.gov/grants/manage/types-funding

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2. Cost Sharing Cost sharing is not required in this program, unless federal matching funds are requested. Learn about different type of funds offered by NEH.

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.

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.

3. Other Eligibility Information Eligible applicants may submit multiple applications for separate and distinct projects under this announcement, provided that they are for separate and distinct fellowship programs which meet all eligibility criteria.

Current FPIRI award recipients may apply under this announcement. While a FPIRI recipient institution may have awards with overlapping periods of performance, fellowships funded by separate grants must not overlap. If you have questions regarding overlapping periods of performance, contact program staff at fpiri@neh.gov.

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 https://www.neh.gov/grants/manage/types-funding 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 mailto:fpiri@neh.gov 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

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services. 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.

Participant (Fellow) Eligibility Recipients must comply with the following restrictions when selecting fellows:

• Only U.S. citizens and foreign nationals who have lived in the United States for the three years immediately preceding the application deadline are eligible to apply for the NEH-funded fellowships.

• Degree candidates and individuals seeking support for work in pursuit of a degree are not eligible to hold NEH-supported fellowships. Advanced degree candidates must have completed all requirements, except for the actual conferral of the degree, by the application deadline for the fellowship.

• NEH-funded fellows may not be debarred or suspended by any federal department or agency. The OMB Guidelines to Agencies on Governmentwide Debarment and Suspension (Nonprocurement) contained in 2 CFR Parts 180 and 3369 apply to this award.

• NEH-funded fellows may not be delinquent on repayment of federal debt. Examples of relevant debt include student loans, delinquent federal taxes, and delinquent payroll taxes for household or other employees. Overdue or unpaid child support payments must prevent an applicant from receiving an award. (See OMB Circular A-129.)

• Although NEH-funded fellows may hold other fellowships or awards during their fellowship tenure, including sabbaticals and grants from their own institutions, they may not hold another NEH award concurrently.

D. Application and Submission Information

1. Application Package This funding opportunity is available in Grants.gov under number 20210811-RA. 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.

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

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.

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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 25 double-spaced pages with one-inch margins and a font size no smaller than eleven point.

Information requested in this section may be collected from preexisting sources, such as annual reports, auditors’ reports, and brochures. If applicable, provide relevant URLs.

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.

A. Brief summary statement In one paragraph, state the purpose of the NEH-supported fellowships; their place within the applicant’s existing fellowship program; the total budget amount and total number of stipend months requested per year; and, for previously funded applicants, whether this request represents an increase in funding over the previous NEH award.

B. The institution and its programs (corresponds with review criteria 1, 2,

5) (2-3 pages) Provide a brief overview of your institution, describing:

• the intellectual significance of the work that the institution supports, including its value to scholars and general audiences in the humanities

• the institution’s purpose, philosophy, history, governance, and sources of funding

• the administrative structure, size of the staff, and location(s)

• the size and scope of library holdings, archives, or special collections available on site or nearby

• the resources and facilities available for study, research, and discussion (for example, offices, computer equipment, carrels, and common rooms)

• the services available to NEH-funded fellows (for example, secretarial, research or technical assistance; photocopying; and meals)

• the housing options offered fellows, or the efforts to assist them in finding housing

C. The fellowship program (corresponds with review criteria 1, 2, 5) (4-6 pages) Provide an overview of your existing fellowship program, describing:

• its mission

• if applicable, the ways in which NEH-supported fellowships benefit the institution’s overall fellowship program

• the history of the program, recent developments, and future goals

• special fields of interest and the mix of scholars that the institution attempts to support

• the activities of fellows

• the ways in which the institution fosters an intellectual community among fellows and interaction with the scholarly community, including programs such as seminars, colloquia, lunch meetings, and other means of encouraging collegial exchange on topics related to the humanities

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D. Publicity and application procedures (corresponds with review criteria 2, 3, 4) (2-4 pages) Identify target audiences. Explain how you will publicize fellowships to qualified applicants, especially on your website (provide the URL), social media, professional associations, disciplinary listservs, and other online channels. Describe the publicity and outreach methods that you will use to attract a substantial and diverse group of scholars with related interests.

Assess the effectiveness of past publicity efforts. Describe the applicant pool based on the statistical information provided as Attachment 8: Statistical analysis.

E. Selection procedures (corresponds with review criteria 3, 4) (3-5 pages) New (or not currently funded) applicants: describe your current selection process and, if applicable, the changes that would be made to meet the requirements of a FPIRI-supported program.

Currently funded applicants: describe your schedule and process for selecting fellows and any changes made to improve its quality and effectiveness.

All applicants: describe how your process ensures the selection of the best possible candidates and projects (see the requirements stated in A1. Purpose)

• List the criteria for selecting fellows.

• If outside reviewers pre-screen applications, explain and justify the process.

• List the criteria for choosing members of the selection committee and state its size.

• Explain how the diversity, impartiality, and expertise of the selection committee are achieved. Describe the process for choosing members of the committee and its composition, with respect to discipline, experience, geographical diversity, institutional characteristics, and other factors.

• List the conflict-of-interest rules by which deliberations are governed.

• If fellows are selected by more than one program or committee, describe the selection procedures used by each and explain how funds are allocated among programs or committees.

Provide documentation supporting the processes described here in Attachment 10: Review guidance materials.

F. Program evaluation (corresponds with review criteria 4, 5) (2-3 pages) Describe the reports and other kinds of feedback that you request from fellows. Summarize the findings of the most recent internal evaluation of your fellowship program(s). If applicable, describe any external evaluation of your fellowship program(s). Describe how this information has been used to strengthen the program.

G. Institution staff and fellowship program administration (corresponds with review criteria 2, 3, 5) (1-2 pages) Identify the permanent professional staff dedicated to the fellowship program. Explain how responsibility is divided among staff members and the extent to which they are directly involved in its administration. Resumes for principal staff will be included in Attachment 4: Résumés.

H. Future of the institution’s fellowship program (corresponds with review criteria 1, 2, 3, 5) (1 page) Describe any anticipated changes in your mission and intellectual vision, scope, administrative structure, funding, or mix of fellows. Discuss how these changes will affect the work of scholars

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supported through the institution’s programs. Explain any changes in the number of fellows (both NEH-funded fellows and others) or stipend levels needed to achieve your purposes.

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 Criteria

B. The institution and its programs 1. Humanities significance

2. Intellectual community

5. Administration

C. The fellowship program 1. Humanities significance

2. Intellectual community

5. Administration

D. Publicity and application procedures

2. Intellectual community

3. Fairness of selection

4. Applicant pool, publicity, and budget

E. Selection procedures 3. Fairness of selection

4. Applicant pool, publicity, and budget

F. Program evaluation 4. Applicant pool, publicity, and budget

5. Administration

G. Institution staff and fellowship program administration

2. Intellectual community

3. Fairness of selection

5. Administration

H. Future of the institution’s fellowship program

1. Humanities significance

2. Intellectual community

3. Applicant pool, publicity, and budget

5. Administration

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. Before submitting your application, ensure that your completed form reflects your cumulative budget on the last page.

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.

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If you are exclusively requesting outright funds, your budget should reflect only funding requested from NEH. If you are requesting 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. 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.

No more than 10% of your budget can be allocated for management and administration (M&A) costs. M&A costs are for activities directly related to the management and administration of the fellowship program. These activities must be directly related to the management and administration of NEH funds, such as financial management and monitoring, and must be based on actual expenses or known contractual costs. Requests that are simple percentages of the award, without supporting justification, will not be allowed or considered for reimbursement.

M&A costs are not operational costs; they are the necessary costs incurred in direct support of the award or as a consequence of the award and should be allocated across the entire lifecycle of the award. Examples of M&A activities include solicitation, review, and processing of applications and fellowships; managing and monitoring fellowships; preparing and submitting required programmatic and financial reports; and responding to official informational requests from federal oversight authorities. Salaries treated as M&A costs may be charged as direct costs in accordance with 2 CFR §200.413(c).

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.

NEH funding for fellows’ stipends must be calculated at a rate of $5,000 per month of tenure (for at least four and up to twelve months) and should be included under E. Participant/Trainee Support Costs. If applicable, include additional payments to fellows—drawn from non-NEH sources—that would supplement the NEH funded stipends and describe this in the budget justification. If applicable, indicate any costs for housing and regular meals that will be deducted from the stipend amount and provide detail in the budget justification.

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.

Introductory Fields If not pre-populated, indicate your organization’s unique entity identifier, 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.

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

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 9-month academic year or a 3-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.

Salaries included should be reasonable and allocable to the proposed project.

B. Other Personnel Do not include any expenses in this section.

C. Equipment Description Do not include any expenses in this section.

D. Travel Include costs associated with selection committee travel and per diem.

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.

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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.

E. Participant/Trainee Support Costs Include costs associated with fellows in this section.

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 If you plan to deduct health care costs from fellows’ stipends, do not include these costs here, but describe them in your budget justification.

2. Stipends Include stipends for fellows here, calculated at a rate of $5,000 per month of tenure (for four to twelve months per fellow). Include any additional payments to fellows—drawn from non-NEH sources—that would supplement the NEH funded stipends, and describe them in your budget justification.

If applicable, indicate any costs for housing and regular meals that will be deducted from the stipend amount in budget justification.

3. Travel Do not include any expenses on this line.

4. Subsistence If you plan to deduct subsistence costs (meals, lodging) from fellows’ stipends, do not include those costs here but describe them in your budget justification.

5. Other Do not include any expenses on this line.

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

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

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

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

2. Publication Costs Do not include any expenses on this line.

3. Consultant Services Include costs for honoraria for members of the external selection committee and detail in your budget justification. As a matter of programmatic policy, these are the only allowable consultant costs for recipients.

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

4. Automated Data Processing (ADP)/Computer Services Do not include any expenses on this line.

5. Subawards/Consortium/Contractual Costs Do not include any expenses on this line.

6. Equipment or Facility Rental/User Fees Do not include any expenses on this line.

7. Alterations and Renovations Do not include any expenses on this line.

8-10. Other Include honoraria paid to selection committee members. Provide the names of committee members, if known; time commitment; and the honoraria amount paid to each individual in your budget justification.

Allowable costs for the selection of fellows may be incurred up to ninety days before the beginning of the period of performance. Pre-award expenditures are incurred at the recipient’s risk; the recipient’s authority to approve such costs does not impose an obligation on NEH in the event an award is not made or is made for an amount that is less than the recipient anticipated.

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).

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Applicants may not claim indirect costs on participant stipends.

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

Except as provided in paragraph (c)(1) of 2 CFR §200.414, federal agencies must use the negotiated rates in effect at the time of the initial award throughout the life of the federal award.

Award levels will not be adjusted in future years as a result of changes in negotiated rates.

Except as provided in 2 CFR §200.414, when an educational institution does not have a negotiated rate with the federal government at the time of an award (because the educational institution is a new recipient or the parties cannot reach agreement on a rate), the provisional rate used at the time of the award must be adjusted once a rate is negotiated and approved by the cognizant agency for indirect costs. If the recipient fails to negotiate an indirect cost rate applicable to the period of performance within the period of performance, indirect costs may be disallowed.

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

• direct cost all expenses;

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

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

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

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

If applicable, include a copy of your federally negotiated indirect cost rate agreement as Attachment 13: Federally negotiated indirect cost rate agreement.

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

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

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

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

Total Indirect Costs Total indirect costs will be automatically calculated.

Cognizant Federal Agency Enter the…