Humanities Collections and Reference Resources NOFO 2022.pdf

Notice of Funding Opportunity

Funding Opportunity Title: Humanities Collections and Reference Resources

Funding Opportunity Number: 20220719-PW

Funding Opportunity Type: New

Federal Assistance Listing Number: 45.149

Application Deadline: July 19, 2022

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

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

NEH will not grant deadline extensions for lack of registration.

Division of Preservation and Access Telephone: 202-606-8570 Email: preservation@neh.gov Federal Relay: 800-877-8399

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

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Executive Summary The National Endowment for the Humanities (NEH) Division of Preservation and Access is accepting applications for the Humanities Collections and Reference Resources program. This program supports projects that provide an essential underpinning for scholarship, education, and public programming in the humanities. It strengthens efforts to extend the reach of humanities collections and make their intellectual content widely accessible. Awards also support the creation of reference resources that facilitate the use of cultural materials, from works that provide basic information quickly to tools that synthesize and codify knowledge of a subject for in-depth investigation.

Funding Opportunity Title Humanities Collections and Reference Resources

Funding Opportunity Number 20220719-PW

Federal Assistance Listing Number 45.149

Optional Draft Deadline June 7, 2022, 11:59 p.m. Eastern Time

Application Deadline July 19, 2022, 11:59 p.m. Eastern Time

Anticipated Announcement April 2023

Anticipated FY 2023 Funding Approximately $7,500,000

Estimated Number and Type of Award Approximately 35 grants

Award Amounts Foundations: up to $50,000 (plus $10,000 for inter-institutional activities) Implementation: up to $350,000

Cost Sharing/Match Required No

Period of Performance Foundations: up to two years Implementation: up to three years

Projects may start as early as June 1, 2023, and as late as September 1, 2023.

Eligible Applicants • U.S. nonprofit organizations with 501(c)(3) tax-exempt status

• public and 501(c)(3) accredited institutions of higher education

• state and local governmental agencies

• federally recognized Native American tribal governments

See C. Eligibility Information for additional information.

Program Resource Page https://www.neh.gov/grants/preservation/humanities-collections-and-reference-resources

Published April 7, 2022 https://www.neh.gov/grants/preservation/humanities-collections-and-reference-resources

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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 Humanities Collections and Reference Resources program (HCRR).

HCRR advances scholarship, education, and public programming in the humanities by helping libraries, archives, museums, and historical organizations across the country steward important collections of books and manuscripts, photographs, sound recordings and moving images, archaeological and ethnographic artifacts, art and material culture, and digital objects. The program strengthens efforts to extend the reach of such materials and make their intellectual content widely accessible. Awards also support the creation of reference resources that facilitate the use of cultural materials, from works that provide basic information quickly to tools that synthesize and codify knowledge of a subject for in-depth investigation.

Projects may address the holdings or activities of a single institution or may involve partnerships between organizations. Collaboration between humanities experts and information professionals is essential to broaden the scope of, and audiences for, proposed collections or reference resources. You should design a project that facilitates sharing, exchange, and the interoperability of humanities information and products, as well as ensures their long-term availability. Projects should expand participation in cultural heritage and promote engagement with primary sources.

See D6. Funding Restrictions for unallowable activities.

See E1. Review Criteria for criteria used to evaluate applications under this notice.

Funding categories The HCRR program includes two funding categories: Foundations and Implementation.

Successful completion of a Foundations project is not a prerequisite for Implementation support in this program. While Foundations award recipients may choose to apply later for an Implementation award, they are not required to do so.

Foundations

Foundations awards support planning, assessment, and pilot activities that incorporate cross-disciplinary expertise in the formative stages of preserving and creating access to humanities collections or producing reference resources. Drawing upon the cooperation of humanities scholars and technical specialists, these projects might include efforts to initiate intellectual control of collections, to solidify collaborative frameworks and strategic plans for complex digital reference resources, or to produce preliminary versions of online collections or resources.

Experts may be humanities scholars, archivists, curators, librarians, preservation specialists, and other information professionals, depending on your goals.

Foundations awards may be used to address one or a combination of the following activities:

• analyzing and evaluating the humanities content strengths, intellectual control requirements, and preservation needs of significant humanities collections, including the development and distribution of collection-level descriptive information (projects to process or catalog collections at more detailed levels should apply instead for an

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Implementation award);

• identifying and prioritizing humanities materials for digitization, developing project-specific selection criteria, evaluating technical requirements for digital preservation and access, reformatting test-bed items, and/or exploring third-party service arrangements;

• developing plans and protocols to ensure the preservation of digital humanities content (previously digitized or born digital), which could include preliminary testing and evaluation of institutional and/or distributed digital repository systems; or

• creating editorial plans, locating and assembling resources, devising strategies for technological and programmatic sustainability, and producing content exemplars for reference resources such as encyclopedias, databases, virtual archives, etymological dictionaries, or online atlases.

Foundations projects’ first stages—for example, initial collections appraisal and accessioning for archival materials, conceptualization of scope and audience for reference resources, or consortium partner contact and cooperation—should be complete at the time of application. Any inter-institutional partnerships should be in place at the time of application.

Partnership opportunity

In order to enhance access to humanities collections held by smaller institutions, Foundations applicants may request an additional $10,000 (for a total of $60,000) to support inter-institutional planning and pilot activities. Applicants may be small institutions proposing to work with a larger repository or larger institutions proposing to collaborate with one or more smaller partners. In either case, applicants must demonstrate that each participating institution is fully engaged in the project and is an equal stakeholder in its outcomes. Partnerships might be especially well suited for community-based cultural heritage initiatives but are not limited in geographic or topical scope.

Implementation

Implementation awards may address one or more of the following humanities activities:

• arranging and describing archival and manuscript collections;

• cataloging collections of printed works, photographs, recorded sound, moving images, art, and material culture;

• digitizing and reformatting collections;

• preserving and improving access to born-digital sources, including updating existing digital resources;

• developing databases, virtual collections, other digital resources, or project-specific tools to codify information on a subject or to provide integrated access to selected humanities materials;

• creating encyclopedias;

• preparing linguistic resources, such as historical and etymological dictionaries, corpora, and reference grammars (separate funding is available for endangered language projects in partnership with the National Science Foundation); and

• producing resources for spatial analysis and representation of humanities data, such as atlases and geographic information systems (GIS).

http://www.neh.gov/grants/preservation/documenting-endangered-languages http://www.neh.gov/grants/preservation/documenting-endangered-languages

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Because ensuring the longevity of humanities sources is critical to enabling their ongoing use, applicants may request support for implementing preservation measures—such as rehousing, item-level stabilization, and conservation treatment—in the context of projects that also create or enhance access to humanities collections.

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 January 1, 2022 or later).

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

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

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

Learn more about NEH.

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

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.

In addition to the above special initiative, NEH encourages projects that include Native American organizations and communities as lead applicants and project partners.

https://uscode.house.gov/view.xhtml?hl=false&edition=prelim&req=granuleid%3AUSC-prelim-title20-section956&num=0&saved=%7CKHRpdGxlOjIwIHNlY3Rpb246OTU2YSBlZGl0aW9uOnByZWxpbSk%3D%7C%7C%7C0%7Cfalse%7Cprelim https://www.ecfr.gov/cgi-bin/text-idx?SID=236bb02f01d2e050f7a5b60c88a67066&mc=true&node=pt2.1.200&rgn=div5 https://www.ecfr.gov/cgi-bin/text-idx?SID=236bb02f01d2e050f7a5b60c88a67066&mc=true&node=pt2.1.200&rgn=div5 https://www.ecfr.gov/cgi-bin/text-idx?SID=236bb02f01d2e050f7a5b60c88a67066&mc=true&node=pt2.1.200&rgn=div5 https://www.neh.gov/general-terms-and-conditions-awards-organizations-grants-and-cooperative-agreements-issued-january-2022 https://www.neh.gov/general-terms-and-conditions-awards-organizations-grants-and-cooperative-agreements-issued-january-2022 https://www.neh.gov/about/history/national-foundation-arts-and-humanities-act-1965-pl-89-209 https://securegrants.neh.gov/publicquery/main.aspx https://www.neh.gov/about https://www.neh.gov/250

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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 $50,000 for Foundations awards and up to $350,000 for Implementation awards. In order to enhance access to humanities collections held by smaller institutions, Foundations applicants may request an additional $10,000 (for a total of $60,000) to support inter-institutional planning and pilot activities.

Approximately $7,500,000 is expected to be available to fund 35 recipients.

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

Period of performance The period of performance is up to two years for Foundations awards and up to three years for Implementation awards. Projects may start as early as June 1, 2023, and as late as September 1, 2023.

The period of performance must start on the first day of the month.

C. Eligibility Information

1. Eligible Applicants Eligible applicants must be established in the United States or its jurisdictions and be one of the following:

• a nonprofit organization with 501(c)(3) tax-exempt status

• an accredited institution of higher education (public or 501(c)(3))

• a unit of state or local government

• a federally recognized Native American tribal government

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

Applicants must not function solely as a fiscal agent for another entity and must make substantive contributions to the success of the project.

https://www.irs.gov/charities-non-profits/search-for-tax-exempt-organizations https://ope.ed.gov/dapip/#/home https://www.federalregister.gov/documents/2020/01/30/2020-01707/indian-entities-recognized-by-and-eligible-to-receive-services-from-the-united-states-bureau-of

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2. Cost Sharing Cost sharing is not required in this program, unless federal matching funds are requested.

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.

Required cost sharing includes third-party non-federal gift money that must be raised to release federal matching funds. Applicants requesting federal matching funds must raise dollar-for-dollar cash contributions from nonfederal third parties and have them certified by NEH before the funds are released (see the NEH Federal Matching Funds Guidelines). Federal matching funds are typically distributed on an annual basis over the life of the award.

Applicants may contribute voluntary cost share to projects in which the total costs exceed the amount awarded by NEH. Voluntary cost share includes:

• cash contributions made to the project by the applicant

• unrecovered indirect costs

• third party cash contributions made to the project

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

Recipients must maintain auditable records of the source and use of contributed cost share. See

2 CFR § 200.306.

Learn about types of funding offered by NEH.

3. Other Eligibility Information Eligible applicants may submit multiple applications for separate and distinct projects under this notice. Collaborating organizations may be included as participants in multiple proposals.

Applicants may revise and resubmit previously rejected applications, which NEH will assess using the same criteria as others in the current competition.

Prior NEH award recipients may request support for a new or subsequent stage of the same project. NEH will assess these applications using the same criteria as others in the current competition.

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

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. Applicants may use 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.

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 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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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 .331(a). Eligible applicants may obtain 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 and secure vendor contracts such as in-country transportation services. If you are interested in submitting an application for a project involving international collaboration, consult with program staff.

Except for the rare cases covered by NEH’s late submission policy, applications must be received by the deadline. Incomplete, nonresponsive, or ineligible applications will not be considered for funding under this notice. Applications must adhere to specified page limits and formatting requirements or they will not be reviewed. 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 20220719-PW. There is also a link on the program resource page.

Once you have located the funding opportunity in Grants.gov, the application package can be found under the “Package” tab. It includes a series of required and conditionally required forms.

You will upload additional application components using the Attachments Form.

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

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

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

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

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

• Required: All applicants must submit this component.

• Conditionally Required: Applicants must submit this component if they meet the specified conditions.

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

You must submit all required and relevant conditionally required components. Applications missing any required or relevant conditionally required components will be considered incomplete and rejected from further consideration.

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

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

• Mandatory: Applicants must not exceed the page limit.

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

You must abide by the page limits and formatting instructions in this notice. Applications that exceed page limits or violate formatting instructions will be considered nonresponsive and rejected from further consideration.

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

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

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

• a font no smaller than 11-point

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

• single-spacing

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

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

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Application Component Table Application Component File Name Designation Page limits

Grants.gov forms

SF-424 Application for Federal

Assistance - Short

Organizational

Required

Supplementary Cover Sheet for

NEH Grant Programs

Required

Project/Performance Site(s)

Location Form

Required

Research and Related Budget Required

Attachments Form Required

Certification Regarding

Lobbying

Conditionally required

Standard Form-LLL “Disclosure of Lobbying Activities”

Conditionally

Attachments

1: Narrative narrative.pdf Required Foundations: 10

Implementation:

15 (mandatory)

2: History of awards awardhistory.pdf Conditionally required

1 page

(suggested)

3: Project deliverables deliverables.pdf Required

4: Work plan workplan.pdf Required

5: List of project personnel personnel.pdf Required

6: Résumés for key personnel resumes.pdf Required 2 pages each

(suggested)

7: Letters of commitment and support letters.pdf Conditionally

8: Additional supporting documentation documentation.pdf Recommended

9: Subrecipient budget(s) subrecipient.pdf Conditionally

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

11: Explanation of delinquent federal debt delinquentdebt.pdf Conditionally

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

Disclosure#_Standard_Form-LLL,_ Disclosure#_Standard_Form-LLL,_

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You must limit the narrative for Foundations applications to ten single-spaced pages; limit the narrative for Implementation applications to fifteen single-spaced pages. All pages should have one-inch margins and the font size should be no smaller than eleven point. Do not include an executive summary or a table of contents. You may include images, charts, diagrams, footnotes, and endnotes if they fit within the page limit.

Organize your narrative using the following section headings. Each section aligns with corresponding review criteria.

Significance (aligns with review criterion 1)

Justify the importance of the project on the basis of its long-term benefits to research, education, or public programming in the humanities. Discuss the central humanities themes, questions, or disciplines to be addressed.

For Foundations projects involving humanities collections, describe the nature and importance of the sources that would be the focus of assessment or planning and include examples of materials to be used in any pilot efforts. For Implementation projects involving humanities collections, describe the selection criteria, nature, size, and intellectual content of the selected collections; explain how they relate to similar collections, both within and external to your organization. Discuss the rationale for focusing on these particular sources.

For Foundations applicants proposing reference resources, provide a clear conceptual vision of the scope and contents of the eventual product and its relationship to other pertinent works or tools. For Implementation applicants proposing reference resources, define the selection criteria and explain how your project relates to existing resources. Demonstrate what this work or tool would provide that other resources cannot.

All applicants must discuss actual and anticipated use of the collection or reference work.

Identify the audience(s) that the project would serve. Document use, when possible, through examples of outcomes such as scholarly publications, educational activities, exhibitions, or media programming.

History, scope, and duration (aligns with review criteria 1 and 4)

Provide a concise history of the project, including information about preliminary research and planning, financial support already received, and resources or research facilities available; if relevant, describe the goals of the larger initiative of which it is a part. If an Implementation project would take more than three years to complete, describe the scope and duration of the entire initiative, as well as the specific accomplishments or final products intended for this period of performance.

List any project-specific products or publications to date in print or digital form. When appropriate, indicate print runs, sales, and royalties relating to publications; in the case of online products, include the URL and provide user analytics. If the project has been previously supported by NEH, compare the accomplishments in the current or past period of performance with the intended goals. For applicants proposing to continue work on long-standing reference resources, describe how the project has adapted to or envisions incorporating changes in technology and user expectations.

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Methodology and standards (aligns with review criteria 2 and 6)

Explain how you would execute the project and how it would conform to appropriate national standards and accepted professional practices. If your methodology departs from usual standards and procedures, explain why the project requires such an approach and how the results would be interoperable with other relevant resources.

Discuss any intellectual property or privacy issues that might affect the availability of collections or the dissemination of reference resources. Describe how intellectual property and privacy issues would be addressed in the course of the project and provide documentation of applicable permissions, donor agreements, licenses, or proofs of informed consent in Attachment 8:

Additional supporting documentation.

Consistent with NEH’s policy on providing access to NEH-funded products, recipients should provide access to all products through the internet, on-site use, interlibrary loan, or duplication of materials at cost, insofar as the condition of the materials and intellectual property rights allow. Explain how you might leverage open access online resources and use Creative Commons licenses, as possible and appropriate.

If your project fits one of the descriptions below, address the following, as relevant.

Projects for planning, assessment, and pilot work (Foundations)

Identify professional standards, research, or precedents that inform the project. Discuss the knowledge and skills that the project requires and explain how you chose the planning team to meet those needs. Describe how the team would gather relevant information and provide copies of any assessment tools in Attachment 8: Additional supporting documentation. Indicate the methods of communication and collaboration you would use and the framework for decision making.

Describe the anticipated final products and outcomes and how these would guide future stages of work. These should be described in the narrative, as well as listed in Attachment 3: Project deliverables. Foundations products could include:

• detailed evaluation reports to guide decision making for preserving and creating access to humanities collections;

• descriptions of prioritized sources and technical requirements for future digitization;

• strategic planning documents for digital preservation efforts; or

• editorial policy, procedure, and scheduling guidelines; tables of contents; and sustainability and dissemination plans for reference resources.

Specify the nature of any testing or modeling efforts and, if possible, provide examples. If you plan to produce and distribute collection information or reference resource content, identify the methods you would use and how you would make the content accessible.

If you are requesting an additional $10,000 for the “partnership opportunity,” discuss strategies that could lead not only to immediate, project-specific outcomes, but also to enduring engagement between the collaborating institutions. Applicants should describe how ongoing working relationships between partners would be maintained through future implementation phases and beyond. Explain how the project could enrich the broader mission and longer-term vision, goals, and capabilities of each partner.

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Projects to preserve humanities collections and make them accessible

Describe the collections’ present condition and level of intellectual control. Discuss how the physical materials or digital assets would be organized or reorganized, and how users would discover and access them. Reference pertinent strategies, policies, and procedures for collections stewardship; include information on managing the preservation environment when relevant.

Additionally, provide the following information:

• For archival processing projects, discuss the rationale for the arrangement of the collections and the level of description proposed for the finding aids.

• For cataloging projects, describe the level of detail of the records to be created; the formats, vocabularies, and systems to be used; and the extent to which the records involve original, enhanced, or copy cataloging. Describe how the metadata would be shared and any plans to support its re-use (for example, contributing to aggregated digital platforms or creating an API).

• For digitization projects, quantify the digital objects to be made available; the nature, formats, and quality of the sources from which they would be derived; and the handling and care of original materials during and after reformatting.

• For projects to preserve and provide access to born-digital sources, specify data formats;

the current extent of accessibility or obsolescence; and strategies to ensure enduring use, such as migration, emulation, or data harvesting.

• For projects that involve item-level stabilization or conservation treatment, describe the amount, types, and condition of materials to be treated and discuss how access would be enhanced. Justify the chosen approach or method and identify applicable procedures and/or quality control measures. Include treatment proposals and cost estimates prepared by qualified conservators in Attachment 8: Additional supporting documentation.

Projects to create reference works or research tools

Indicate the content, form, and length of entries or citations and describe the editorial procedures for writing entries and verifying information. Include a preliminary list of entries, organized by subject areas or topics, and the instructions provided to contributors in Attachment 8: Additional supporting documentation. For language dictionaries, describe the lexicographical principles you would employ. As applicable, indicate how you would update the work or tool, including the addition of new material and the revision of existing content. If relevant, discuss publishing arrangements, publicity plans, estimated prices, and user costs.

Additional technical considerations for projects creating digital products

If you employ digital technology and methods, indicate the technical specifications to be used and how they would facilitate the project. When relevant, provide the following information:

• the hardware and software you would use or refine (note that for projects that entail software development, applicants are encouraged to use open-source code that should be made publicly available through an online repository);

• preparations for and implementation of data processing (for example, digital capture, data entry, optical character recognition, or conversion from another format);

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• production, preservation, and distribution formats (for example, TIFF, JPEG, PDF/A, WAV), levels of resolution, compression, image enhancement, and the accuracy of textual conversion or transcription;

• provisions for ensuring quality control;

• schema for descriptive, administrative, preservation, and technical metadata, as well as the use of controlled vocabularies;

• system(s) used to manage and present digital content, including pertinent features for facilitating end use;

• methods for enhancing discoverability, such as search engine optimization, open data harvesting, and/or inclusion in an aggregated resource such as a digital library, cooperative portal, or clearinghouse; and

• as relevant, procedures for facilitating computational re-use of data for purposes such as text mining, visualization, topic modeling, geo-coding, or other digital methods.

Sustainability of project outcomes and digital content (aligns with review criterion 4)

Describe how you would maintain the project’s results beyond the period of performance.

Demonstrate institutional commitment to ensuring sustained access to collections or reference resources. For Foundations projects, discuss the next steps that you envision as an outgrowth of the award, and how these would be supported.

As relevant, provide details on digital preservation infrastructure and policies, such as repository system capabilities, storage requirements and capacity, migration or emulation strategies, and collaborative or third-party arrangements.

Outreach (aligns with review criterion 6)

Describe your plans to bring the project to the attention of the relevant communities of users.

The HCRR program can support outreach activities within appropriate limits. Your budget may include staff time and other eligible expenses related to disseminating the NEH-funded product.

In many cases, the outreach components accomplished during the period of performance would be preparatory and developmental; larger scale dissemination work would more likely occur after the project concludes. Applicants seeking to communicate project results through exhibits or other public humanities programs should consider programs offered by the NEH Division of Public Programs.

Work plan (aligns with review criteria 3 and 5)

Summarize your work plan, providing an overview of what would be accomplished during each stage of the project. Describe activities for each stage and specify the project team members involved. For multi-institutional collaborative projects, discuss the distribution of responsibilities. Provide a detailed version of your work plan in Attachment 4: Work Plan.

Project personnel and advisors (aligns with review criterion 5)

Identify project personnel and advisors, including consultants and/or personnel to be hired, and summarize their duties and relevant qualifications. Specify individual roles and responsibilities as they relate to project activities, the tasks that they would perform, and the aspects of the project they would oversee. Indicate the time they would devote to the project. Provide two-page résumés for key personnel and all consultants as Attachment 6: Résumés for key personnel.

https://www.neh.gov/divisions/public https://www.neh.gov/divisions/public

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If the project has an advisory board, list the names and affiliations of its members and explain its function. While having an advisory board is not a requirement, many projects benefit from early consultation with scholarly advisers and technical experts.

HCRR projects often broaden participation in cultural heritage stewardship. Discuss how you would include diverse perspectives, including those of any source or heritage communities that are the subjects of projects. As relevant, explain how they would be incorporated in the proposed activities and decision-making. In the case of proposed projects specific to Native American groups and cultural materials, indicate how your staffing plan (and other project components) would facilitate adherence to the NEH Code of Ethics Relating to Native Americans.

Narrative Guidance

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

Narrative Section Review Criteria

Significance #1

History, scope, and duration #1, 4

Methodology and standards #2, 6

Sustainability of project outcomes and digital content

#4

Outreach #6

Work plan #3, 5

Project personnel and advisors #5

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. The Research and Related Budget, including the budget justification, correspond to review criteria 7.

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

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

If you are exclusively requesting outright funds, your budget should include 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. 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.

Learn about types of funds offered by NEH.

https://www.neh.gov/grants/manage/code-ethics-related-native-americans https://www.neh.gov/grants/manage/federal-matching-funds-guidelines

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Do not include voluntary cost sharing on the Research and Related Budget form, but describe it in your budget justification.

All costs, whether supported by NEH funds or required cost sharing contributions, must be reasonable, necessary to accomplish project objectives, allowable in terms of 2 CFR 200 Subpart E - Cost Principles, auditable, and incurred during the period of performance. All costs are subject to audit, record retention, and other requirements set forth in 2 CFR 200 Subpart F - Audit Requirements.

Team members who are playing a leadership role in the project should be included under A.

Senior/Key Person. Additional team members should be included under B. Other Personnel.

Only personnel employed by the applicant institution should be included in A. and B. Depending on their role on the project, costs for other team members may be included under F3.

Consultant Services or F5. Subawards/Consortium/Contractual Costs.

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

Introductory Fields

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

A. Senior/Key Person

Include personnel who are employed by the applicant institution who will play a leadership role on the project. Do not include collaborators at other institutions or consultants, as they will be included in F. Other Direct Costs.

Enter the base salary (annual compensation) and identify the number of months each senior/key person will devote to the project. 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. If effort remains constant, but your institutional business process requires noting academic and summer months separately, you may use both columns. If your institution does not use a nine-month academic year or a three-month summer period, include your institution's definition of these terms in your budget justification.

Enter the requested salary and fringe benefits for each 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.

https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200/subpart-E https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200/subpart-E https://www.ecfr.gov/cgi-bin/text-idx?SID=236bb02f01d2e050f7a5b60c88a67066&mc=true&node=pt2.1.200&rgn=div5#sp2.1.200.e https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200#subpart-F https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200#subpart-F https://www.ecfr.gov/cgi-bin/text-idx?SID=35fcd29238edd42c8b1f8b1628e39d47&mc=true&node=pt2.1.200&rgn=div5#se2.1.200_1431

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You must claim salaries and wages in compliance with 2 CFR §§ 200.430 and .466 and fringe benefits in compliance with 2 CFR § 200.431.

The form will calculate the requested salary and fringe benefits for each 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 personnel listed in the attachment 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. Such costs are subject to the reporting requirements in 2 CFR § 200.430, and must be treated as direct or indirect costs in accordance with the actual work performed. Tuition remission may be charged on an average rate basis.

Secretarial/Clerical

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

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

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

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

• The costs are not also recovered as indirect costs.

Document how direct charging for secretarial/clerical personnel meets all four conditions in your budget justification. NEH may request additional information to assess allowability.

Additional Other Personnel

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

You must claim salaries and wages in compliance with 2 CFR §§ 200.430 and .466 and fringe benefits in compliance with 2 CFR § 200.431.

Do not list collaborators at other institutions or consultants here, as they will be included in F.

Other Direct Costs.

https://www.ecfr.gov/cgi-bin/text-idx?SID=35fcd29238edd42c8b1f8b1628e39d47&mc=true&node=pt2.1.200&rgn=div5#se2.1.200_1430 https://www.ecfr.gov/cgi-bin/text-idx?SID=35fcd29238edd42c8b1f8b1628e39d47&mc=true&node=pt2.1.200&rgn=div5#se2.1.200_1466 https://www.ecfr.gov/cgi-bin/text-idx?SID=35fcd29238edd42c8b1f8b1628e39d47&mc=true&node=pt2.1.200&rgn=div5#se2.1.200_1431 https://www.ecfr.gov/cgi-bin/text-idx?SID=b76712a585433486e57dafcd521c952e&mc=true&node=pt2.1.200&rgn=div5#se2.1.200_1430 https://www.ecfr.gov/cgi-bin/text-idx?SID=b76712a585433486e57dafcd521c952e&mc=true&node=pt2.1.200&rgn=div5#se2.1.200_1413 https://www.ecfr.gov/cgi-bin/text-idx?SID=35fcd29238edd42c8b1f8b1628e39d47&mc=true&node=pt2.1.200&rgn=div5#se2.1.200_1430 https://www.ecfr.gov/cgi-bin/text-idx?SID=35fcd29238edd42c8b1f8b1628e39d47&mc=true&node=pt2.1.200&rgn=div5#se2.1.200_1466 https://www.ecfr.gov/cgi-bin/text-idx?SID=35fcd29238edd42c8b1f8b1628e39d47&mc=true&node=pt2.1.200&rgn=div5#se2.1.200_1431

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C. Equipment Description

Equipment is defined as nonexpendable personal property costing $5,000 or more per item and having a service life of more than one year (unless your organization has established a lower level). See 2 CFR §§ 200.313 and .439.

You may purchase equipment if analysis demonstrates that it is more economical and practical than leasing (equipment rental/user fees should be included in F. Other Direct Costs). You may charge depreciation in compliance with 2 CFR § 200.436.

Per 2 CFR § 200.322, when acquiring goods, products, or materials with federal award funds, you should prefer goods, products, and materials produced in the United States. You must include the requirements of 2 CFR § 200.322 in all subawards, contracts, and purchase orders for work or products under this award.

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

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

The form will calculate total equipment costs.

D. Travel

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

Travel costs must comply with 2 CFR § 200.475 and foreign travel must comply with the General Terms and Conditions for Awards to Organizations (for grants and cooperative agreements issued January 1, 2022 or later).