PKG00259470-instructions.pdf

NOTICE OF FUNDING OPPORTUNITY

Funding Opportunity Title:

Infrastructure and Capacity Building Challenge Grants: Capital Projects

Funding Opportunity Number: 20200515-CHA

Funding Opportunity Type: New

Federal Assistance Listing Number: 45.130

Application Due Date: May 15, 2020

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.

Office of Challenge Programs Telephone: 202-606-8309 Email: challenge@neh.gov

TTY: 800-877-8399

OMB Control Number 3136-0134, expiration date June 30, 2021 mailto:challenge@neh.gov

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Executive Summary The National Endowment for the Humanities (NEH) Office of Challenge Grants is accepting applications for the Infrastructure and Capacity Building Challenge Grants. This notice of funding opportunity is for Capital Projects that support the design, purchase, construction, restoration, or renovation of facilities for humanities activities. This includes the purchase and installation of related moveable and permanently affixed equipment for exhibiting, maintaining, monitoring, and protecting collections (whether on exhibit or in storage), and for critical building systems, such as electrical, heating ventilation and air conditioning, security, life safety, lighting, utilities, telecommunications, and energy management. Expenditures must be shown to bring long-term benefits to the institution and to the humanities more broadly.

Funding Opportunity Title: Infrastructure and Capacity Building Challenge Grants:

Capital Projects

Funding Opportunity Number: 20200515-CHA Federal Assistance Listing Number (CFDA):

45.130

Application Due Date: May 15, 2020, 11:59 p.m. Eastern Time

Anticipated Announcement: December 2020 Anticipated Total Annual Available FY 21 Funding:

Approximately $12,500,000 (Capital Projects and Digital Infrastructure combined)

Estimated Number and Type of Awards:

Up to 30 grants (Capital Projects and Digital Infrastructure combined)

Funding Range: Up to $750,000 Match Required: Yes. See Section C2 Matching Requirements.

Period of Performance: Up to 6 years for eligible Historically Black Colleges and

Universities, Tribal Colleges and Universities, Hispanic- Serving Institutions of higher education, and two-year community colleges.

Up to 5 years for all other eligible applicants.

The period of performance begins as early as May 1, 2021 and no later than September 1, 2021.

Eligible Applicants: Eligible applicants include U.S. nonprofit organizations with 501(c)(3) tax-exempt status, accredited public and 501 (c)(3) institutions of higher education, state and local governmental agencies, and federally recognized Native American tribal governments.

See Section C. Eligibility Information.

Program Resource Page: https://www.neh.gov/grants/preservation/infrastructure-and-capacity-building-challenge-grants

Pre-Application Webinar: A pre-recorded technical assistance webinar will be available on the program resource page on March 20, 2020.

https://www.neh.gov/grants/preservation/infrastructure-and-capacity-building-challenge-grants

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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. Matching Requirements

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 Infrastructure and Capacity Building Challenge Grants:

Capital Projects program. This notice of funding opportunity is for Capital Projects that strengthen the institutional base of the humanities with grants that support infrastructure development and capacity building to help institutions secure and sustain their core humanities activities for the long-term.

Grants support the design, purchase, construction, restoration, or renovation of facilities for humanities activities. This includes the purchase and installation of related moveable and permanently affixed equipment for exhibiting, maintaining, monitoring, and protecting collections (whether on exhibit or in storage), and for critical building systems, such as electrical, heating ventilation and air conditioning, security, life safety, lighting, utilities, telecommunications, and energy management. Proposed projects must enhance the humanities over the long term and build on careful strategic planning to strengthen and enrich an institution’s humanities activities.

Fundraising costs for the project are limited to 10 percent of total project costs (federal funds plus non-federal certified gifts) during the period of performance.

In accordance with Executive Order 13779 on Historically Black Colleges and Universities (HBCUs), Executive Order 13592 on Tribal Colleges and Universities (TCUs), and Executive Order 13555 on Educational Excellence for Hispanics, NEH especially welcomes Challenge Grant applications from HBCUs, TCUs, and Hispanic-serving institutions of higher education (HSIs), as well as from two-year community colleges. These institutions may be eligible for special periods of performance and matching requirements; see section B. Federal Award Information and C. Eligibility Information.

Potential applicants are encouraged to contact program staff to discuss their projects.

Unallowable activities are described in section D6. Funding Restrictions.

Funding categories The Infrastructure and Capacity Building Challenge Grants program funds two distinct types of projects, each with its own notice of funding opportunity: Capital Projects (covered in this notice of funding opportunity) and Digital Infrastructure (covered in a separate notice of funding opportunity available on the program resource page).

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, the General Terms and Conditions for Awards to Organizations (for grants and cooperative agreements issued December 26, 2014 or later), and Administration of NEH Challenge Infrastructure and Capacity Building Grants.

According to the 1965 National Foundation on the Arts and the Humanities Act, “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 https://www.federalregister.gov/documents/2017/03/03/2017-04357/white-house-initiative-to-promote-excellence-and-innovation-at-historically-black-colleges-and https://www.federalregister.gov/documents/2011/12/08/2011-31624/improving-american-indian-and-alaska-native-educational-opportunities-and-strengthening-tribal https://www.federalregister.gov/documents/2010/10/22/2010-27004/white-house-initiative-on-educational-excellence-for-hispanics https://www.federalregister.gov/documents/2010/10/22/2010-27004/white-house-initiative-on-educational-excellence-for-hispanics https://www.neh.gov/grants/preservation/infrastructure-and-capacity-building-challenge-grants https://www.ecfr.gov/cgi-bin/text-idx?SID=236bb02f01d2e050f7a5b60c88a67066&mc=true&node=pt2.1.200&rgn=div5 https://www.ecfr.gov/cgi-bin/text-idx?SID=236bb02f01d2e050f7a5b60c88a67066&mc=true&node=pt2.1.200&rgn=div5 https://www.ecfr.gov/cgi-bin/text-idx?SID=236bb02f01d2e050f7a5b60c88a67066&mc=true&node=pt2.1.200&rgn=div5 https://www.neh.gov/grants/manage/general-terms-and-conditions-awards-organizations-grants-and-cooperative-agreements-issued-december https://www.neh.gov/grants/manage/general-terms-and-conditions-awards-organizations-grants-and-cooperative-agreements-issued-december https://www.neh.gov/grants/manage/administration-neh-infrastructure-and-capacity-building-challenge-grants https://www.neh.gov/grants/manage/administration-neh-infrastructure-and-capacity-building-challenge-grants

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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 previously funded projects may be found by using the NEH's Funded Projects Query Form available online at https://securegrants.neh.gov/publicquery/main.aspx.

To learn more about the National Endowment for the Humanities, visit https://www.neh.gov/about.

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

“A More Perfect Union”: NEH Special Initiative Advancing Civic Education and Commemorating the Nation’s 250th Anniversary As our nation approaches its 250th anniversary in 2026, NEH encourages projects that promote a deeper understanding of American history and culture and that advance civic education and knowledge of our core principles of government. The agency-wide “A More Perfect Union” initiative will help Americans better understand the world’s oldest constitutional democracy and how our founding ideals are met in a modern, pluralistic society.

NEH welcomes consideration of diverse topics in American history, from Native American culture to rural life to the rise of the industrial city, from the Civil War to the Cold War to the Civil Rights movement, etc. We also seek projects that examine foundational documents in U.S.

history, as well as projects that examine historical objects, places, traditions, events, and individuals who collectively shaped our states and nation. Applications about the contributions of under-represented communities are highly encouraged.

B. Federal Award Information

1. Type of Application and Award Type of applications sought: new.

NEH will provide funding in the form of grants.

2. Summary of Funding Approximately $12,500,000 is expected to be available to fund up to 30 recipients (Capital Projects and Digital Infrastructure combined). You may apply for a ceiling amount of up to $750,000. The requested grant amount should be appropriate to the humanities needs and the fundraising capacity of the institution.

NEH will not determine the amount available until Congress has enacted the final FY 2021 budget. This program 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.

HBCUs, TCUs, HSIs, and two-year community colleges may request a period of performance of up to six years provided they meet the criteria stipulated in section C1. Eligible Applicants. All other applicants may request a period of performance of up to five years. All projects have a https://securegrants.neh.gov/publicquery/main.aspx https://www.neh.gov/about https://www.neh.gov/250

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period of performance start date no earlier than May 1, 2021, and no later than September 1, 2021.

Successful applicants will be awarded Challenge matching funds. Recipients must certify that they have raised eligible contributions from non-federal third parties before matching funds are released (see Section III of Administration of NEH Challenge Infrastructure and Capacity Building Grants). The full amount of Challenge matching funds may not be available for release in the first year of a multi-year period of performance. Challenge matching funds are typically distributed on an annual basis over the life of the award.

Funding beyond the first year is dependent on the availability of appropriated funds for Infrastructure and Capacity Building Challenge Grants in subsequent fiscal years, satisfactory recipient performance, and a decision that continued funding is in the best interest of the Federal Government.

C. Eligibility Information

1. Eligible Applicants Eligible applicants include U.S. nonprofit organizations with 501(c)(3) tax-exempt status, accredited public and 501(c)(3) institutions of higher education, state and local governmental agencies, and federally recognized Native American tribal governments.

Applicants must work wholly or in part in the humanities: they must support research, education, preservation, or public programming in the humanities.

In addition to the general eligibility criteria described above, institutions seeking a period of performance of six years and/or claiming a 1:1 match ratio must meet one or more of the following requirements:

• public or 501(c)(3) nonprofit community colleges and post-secondary two-year institutions of higher education

• public or nonprofit 501(c)(3) U.S. historically black colleges or universities, as defined by Executive Order 13532. Eligible institutions are those included in the Department of Education’s list of HBCUs (click on “Accredited HBCU listing,” available at the link)

• public or nonprofit 501(c)(3) Hispanic-serving institutions of higher education:

To determine whether your institution is eligible, begin by consulting the most recent Eligibility Matrix, compiled by the Department of Education and available here. (Scroll down to the middle of the webpage; then click on “Eligibility Matrix 2019.” The Eligibility Matrix typically appears as the second item under “Tips and Assistance.”)

The Eligibility Matrix is a read-only Excel worksheet that lists data for all potentially eligible postsecondary institutions. First, locate your institution’s name in column A (“Institution Name”). Next, scroll across to look at column AV (“HSI Elig”). If the row for your institution in that column appears green and has a number 5 or 6, you are affiliated with an eligible institution.

If you’re unable to verify your institution’s status as a Hispanic-Serving Institution by consulting the most recent Eligibility Matrix, you may establish your institution’s status with a 2019 or 2020 letter or other document from the Department of Education, certifying Title III and Title V eligibility. Obtain a PDF of this document from your institution and include it in Attachment 13:

Additional Supporting Documentation. In addition to submitting documentation of Title III and Title V eligibility, your institution must also meet the Department of Education’s definition of a Hispanic-Serving Institution. You may determine https://www.neh.gov/grants/manage/administration-neh-infrastructure-and-capacity-building-challenge-grants https://www.neh.gov/grants/manage/administration-neh-infrastructure-and-capacity-building-challenge-grants https://sites.ed.gov/whhbcu/one-hundred-and-five-historically-black-colleges-and-universities/ https://www2.ed.gov/about/offices/list/ope/idues/eligibility.html

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your institution’s eligibility by consulting enrollment data for your institution at this link: https://nces.ed.gov/collegenavigator/. (Search for your institution, then click on “Enrollment.”)

• U.S. tribal college or university recognized by the Department of Education and listed at http://www.aihec.org/who-we-serve/TCUmap.cfm.

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

2. Matching Requirements In order to receive Challenge matching funds, recipients must raise and certify eligible matching gifts from non-federal third-party sources.

Eligible applicants (other than HBCUs, TCUs, HSIs, and two-year community colleges) must meet the following matching ratios:

• Requests for grants $500,000 or less must be matched at $3 in non-federal gifts for every $1 in federal funds (3:1).

• Requests for grants exceeding $500,000 and up to $750,000 must be matched at $4 in non-federal gifts for every $1 in federal funds (4:1).

Sample matching requirements for applicants meeting general eligibility

Match Ratio (Non-federal:

federal)

Requested NEH Challenge Grant funds

Gifts to be raised by grant recipient

(from third-party non-federal donors)

Total project cost

3:1 $500,000 $1,500,000 $2,000,000 4:1 $600,000 $2,400,000 $3,000,000

Eligible HBCUs, TCUs, HSIs, and two-year community colleges must match $1 in non-federal gifts for every $1 in federal funds, regardless of the awarded amount.

Sample matching requirements for HBCUs, TCU’s, HSI’s and two-year community college applicants

Match Ratio (Non-federal:

federal)

Requested NEH Challenge Grant funds

Gifts to be raised by recipient (from third-party non-federal donors)

Total project cost

1:1 $550,000 $550,000 $1,100,000

Fundraising period Recipients may raise gifts from non-federal third-party sources five months prior to the application deadline through the period of performance end date.

Allowability of gifts To be eligible for matching, gifts may not derive from the recipient institution itself. Recipients may not supplant, shift, or reallocate internal funds for matching purposes. All non-federal funds, such as matching pledges and gifts must be new—that is, given (and pledges fulfilled) during the fundraising period.

http://www.aihec.org/who-we-serve/TCUmap.cfm

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The majority of gifts eligible for matching must be restricted—that is, donations made explicitly in response to or in anticipation of the Challenge Grant. Donors of restricted gifts must be aware that their gifts will be used to fulfill the match of the Challenge Grant and that their gifts will be used to support the purposes outlined in the approved Challenge Grant application.

Unrestricted gifts—that is, gifts donated without limitations on their use—may be allowable, but the donor must have made the gift within the fundraising period. Pledges of unrestricted gifts require no reference to the NEH challenge, except that the gifts must be pledged and paid within the fundraising period. The total of unrestricted gifts that may be certified cannot exceed the amount of the federal portion of the Challenge Grant.

Some types of gifts, such as real estate, earned income, planned giving, and in-kind gifts, are subject to special limitations. Discounts on contracted goods and services, as well as contributions from federal sources, are not eligible for matching.

Recipients may use Challenge Grant funds, both federal and non-federal, only to support the purposes outlined in the approved Challenge Grant budget.

Additional information on allowable gifts is available in Section III of the Administration of NEH Challenge Infrastructure and Capacity Building Grants.

Release of Challenge matching funds The federal portion of Challenge Grants is typically offered in annual installments. NEH releases federal funds according to a schedule that allows donations received as early as five months prior to the application deadline through the period of performance. During a five-year period of performance, federal funds are typically released in the first three years when completely matched according to the required ratio (3:1 or 4:1) and amount. The fourth year's installment allows the release of the federal funds when matched one-to-one, with the remaining parts of the match to be raised in the fifth year, to allow time in the final year of the period of performance to finish the match and collect outstanding pledges.

Sample match and release schedule for applicants meeting general eligibility requirements

NEH Challenge Grant offer of $300,000, with a 3:1 matching ratio

Year 1 Year 2 Year 3 Year 4 Year 5 Total NEH funds (federal) offered

$25,000 $100,000 $100,000 $75,000 n/a $300,000

Non-federal gifts to be raised

$75,000 $300,000 $300,000 $75,000 $150,000 $900,000

Total Challenge funds (federal + non-federal)

$100,000 $400,000 $400,000 $150,000 $150,000 $1,200,000

The federal portion of Challenge Grants to HBCUs, TCUs, HSIs, and two-year community colleges is typically released in annual installments over a six-year period of performance. NEH releases funds when completely matched according to the required one-to-one ratio and amount. The fundraising period begins as early as five months prior to the application deadline and can include donations through the period of performance.

Sample match and release schedule for HBCUs, TCUs, HSIs, and two-year community colleges https://www.neh.gov/grants/manage/administration-neh-infrastructure-and-capacity-building-challenge-grants https://www.neh.gov/grants/manage/administration-neh-infrastructure-and-capacity-building-challenge-grants

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NEH Challenge offer of $300,000, with a 1:1 matching ratio Year 1 Year 2 Year 3 Year 4 Year 5 Year 6 Total NEH funds (federal) offered

$25,000 $75,000 $100,000 $50,000 $25,000 $25,000 $300,000

Non-federal gifts to be raised

$25,000 $75,000 $100,000 $50,000 $25,000 $25,000 $300,000

Total Challenge funds (federal + non-federal)

$50,000 $150,000 $200,000 $100,000 $50,000 $50,000 $600,000

Variations on a typical match and release schedule are possible. NEH makes the final determination of the match and release schedule.

Recipients are encouraged to certify gifts in advance of the required matching schedule.

Depending on available program funds, advance certification may result in the early release of federal funds.

Recipients are responsible for maintaining auditable records of the source and use of required matching gifts. See 2 CFR §200.306 for additional information.

3. Other Eligibility Information Applicants may apply for only one NEH Challenge Grant per calendar year (either Capital Projects or Digital Infrastructure). Previous recipients of Challenge Grants (including Infrastructure and Capacity Building Challenge Grants (CHA), Challenge Grants (CH), Cooperative Agreements and Special Projects (ZZ), and Special Initiatives (CZ)) are eligible to apply for a subsequent Challenge Grant beginning in the third year after the submission of the final financial report for its most recent NEH Challenge Grant. For example, if a prior Challenge Grant recipient submitted their final financial report in 2017, they would not be eligible to apply for a subsequent Challenge Grant until 2020. Recipients of Next Generation Challenge Grants (ZB and ZA), Humanities Access Grants (ZH), and Creating Humanities Communities grants (ZR) are exempt from this requirement.

Proposals involving collaboration among multiple institutions for a proposed project are eligible, but one institution must serve as the applicant of record that will be legally, programmatically, and fiscally responsible for the award.

If for any reason an application is submitted more than once prior to the application due date (including submitting to the wrong funding opportunity number or making corrections/updates), NEH will only accept your last validated online submission, under the correct funding opportunity number, prior to the Grants.gov application due date as the final and only acceptable application.

Two or more applications for federal funding and/or approved federal award budgets are not permitted to include overlapping project costs.

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, however, be used as gifts to release NEH matching funds.

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All application materials must be received by the application deadline. Late, incomplete, or ineligible applications will not be considered for funding under this notice. Applications that exceed specified page limits will not be reviewed. See the Application Components Table.

D. Application and Submission Information

1. Application Package You must apply electronically, using either Grants.gov Workspace or your organization's system-to-system software. Use the Standard Form 424 (SF-424) application package associated with the funding opportunity and following the instructions provided by Grants.gov unless otherwise noted below.

Infrastructure and Capacity Building Challenge Grants have two application packages available in Grants.gov. Please select the appropriate package based upon your project type.

Capital2020 -Capital Projects Digital2020 -Digital Infrastructure

To request a paper copy of this announcement, contact challenge@neh.gov. Applicants who are deaf or hard of hearing (TTY users) can contact NEH via Federal Relay at 800-877-8399.

2. Content and Form of Application Submission Your application will consist of a narrative, budget, budget justification, and other required forms and components described below.

i. Project Narrative The narrative provides a comprehensive framework and description of all aspects of the proposed project. It should be succinct, self-explanatory, well organized, and free of technical terms and jargon so that peer reviewers can understand the proposed project.

You must limit the narrative to ten double-spaced pages with one-inch margins and a font size no smaller than twelve points.

NEH has aligned each section of the narrative with a corresponding review criterion. Refer to Section E1. Review Criteria for full descriptions.

Successful applications will contain the information below. Use the following section headings for the narrative.

Project Overview (corresponds with Review Criterion “Institutional impact and sustainability”) Describe the proposed capital project and its humanities objectives. Explain how the capital project aligns with long-range institutional planning, and whether it is part of a larger project.

Explain how the institution, through its mission, personnel, governance, facilities, and resources, will sustain the outcomes of the capital project.

Humanities significance and audience (corresponds with Review Criterion “The significance of humanities activities and audience”) Describe the current and planned humanities activities, programs, and/or holdings of the institution. Explain why the institution’s activities, programs, and/or holdings are important.

Describe the current and intended audiences to be served (including their estimated size) and https://www.grants.gov/web/grants/applicants/workspace-overview.html

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how they will benefit from the proposed project, both directly and indirectly. Provide letters from program partners, constituents, and/or outside experts in the field (in Attachment 8). You may also provide examples to illustrate humanities activities, programs, and/or holdings, such as programming and/or exhibition materials (in Attachment 13).

Personnel and project plans (corresponds with Review Criterion “Appropriateness of personnel and project planning) Summarize the activities supported by the Challenge Grant (that correspond with the work plan in Attachment 3). Identify the project team, collaborators, partners, and specialists, including fundraising staff (as appropriate), involved in capital project activities and describe how the institution has or will obtain the appropriate knowledge, resources, and capabilities to successfully complete the capital project (e.g., prior experience, project management capabilities). Provide letters of support and commitment from appropriate institutional officials, program partners, constituents, and/or outside experts in the field in Attachment 8.

Provide planning and/or design documents in Attachment 9.

Evaluation (corresponds with Review Criterion “Evaluation”) Describe how the capital project will directly and indirectly help the applicant achieve long-term goals for its work in the humanities. Explain how you plan to evaluate the Challenge Grant, in both qualitative and quantitative terms (as appropriate). Describe how you will measure outcomes and determine whether the project has accomplished its stated goals. You may provide evaluation materials (for example, established evaluation or proposed metrics or a survey that you propose to conduct) in Attachment 13.

Fundraising and financial capacity (corresponds with Review Criterion “Fundraising and financial capacity”) Describe the plans for raising eligible gifts to meet the NEH matching requirement. If the project is a smaller component of a larger project, please briefly describe how you intend to finance the entire project. Offer evidence of long-term financial stability at the institution (if appropriate, this information may refer to information provided in the financial statements in Attachment 5. Explain how the institution’s history of fundraising, resources, leadership, staff, and experience will enable it to conduct a successful fundraising campaign. Describe the fundraising strategy, which should align with the project timeline and work plan, and include specific information on funds raised to date and plans for soliciting additional funds; explain its feasibility and how it will broaden the base of institutional support.

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

Program overview Institutional impact and sustainability

Humanities significance and audience The significance of humanities activities and audience

Personnel and project plans The appropriateness of personnel and project plans

Evaluation Evaluation

Fundraising and financial capacity Fundraising and financial capacity

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ii. Budget (SF-424C: Budget Information for Construction Programs) Applicants must submit their project budgets using SF-424C, Budget Information for Construction Programs, which is included in the Grants.gov application package. Enter your budget information into the SF-424C using the instructions below.

All of the items listed, whether supported by NEH funds or required matching 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. See the property and procurement standards set forth in 2 CFR 200 Subpart D. See section D6.

Funding Restrictions for a list of unallowable costs. All costs are subject to audit, record retention and other requirements set forth in 2 CFR 200 Subpart F – Audit Requirements.

Note, that for purposes of expenditure, there is no distinction between federal funds and non-federal gifts. Even if the proposal is part of a larger project, the Challenge Grant budget should be limited to requested NEH funds plus the minimum required non-federal gifts for each year of the period of performance.

Column A – Total Cost: Identify only allowable project costs under the proposed Challenge Grant project in this column (Challenge and non-federal matching funds).

Column B – Costs Not Allowable for Participation: Leave this column blank. Do not include costs identified as unallowable under section D6. Funding Restrictions.

Column C – Total Allowable Costs: Column C should equal the amount under Column A.

1. Administrative and legal expenses Enter the cost of administrative and legal expenses. Administrative expenses include salary and fringe benefits of applicant staff and consultant fees that are directly related to the administration of the proposed project. This includes fundraising, oversight of the project and compliance with the terms and conditions of the award (including required reporting). All salaries and wages claimed must be in compliance with 2 CFR §§ 200.430 and 466. 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. All fringe benefits claimed must be in compliance with 2 CFR §200.431.

Fundraising costs may not exceed 10 percent of total Challenge funds (federal funds plus non-federal certified gifts).

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

Important note: To protect the federal interest in real property that has been purchased, constructed or has undergone major renovation with NEH funds, recipients awarded more than $500,000 must record a notice of federal interest (NFI) in the appropriate official records of the jurisdiction in which the property is located. Other administrative and legal expenses include filing fees for recording a Notice of Federal Interest against the property in the local land records office, if applicable (refer to 2 CFR §200.316 and Appendix 3 of the Administration of NEH Challenge Infrastructure and Capacity Building Grants for further information), the costs of bid advertising, and insurance costs (see 2 CFR §200.447).

https://www.ecfr.gov/cgi-bin/text-idx?SID=3aeab4e3a836f5b6807999701e518c94&mc=true&node=pt2.1.200&rgn=div5&sp2.1.200.e#sp2.1.200.e https://www.ecfr.gov/cgi-bin/text-idx?SID=3aeab4e3a836f5b6807999701e518c94&mc=true&node=pt2.1.200&rgn=div5&sp2.1.200.e#sp2.1.200.e https://www.ecfr.gov/cgi-bin/text-idx?SID=3aeab4e3a836f5b6807999701e518c94&mc=true&node=pt2.1.200&rgn=div5&sp2.1.200.e https://www.ecfr.gov/cgi-bin/text-idx?SID=2262ad9c20e9d3a49f2c569c773c8aa1&mc=true&node=pt2.1.200&rgn=div5#sg2.1.200_1309.sg2 https://www.ecfr.gov/cgi-bin/text-idx?SID=686905e3d7f57006ca9c74e5515eea78&mc=true&node=pt2.1.200&rgn=div5#sp2.1.200.f 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=35fcd29238edd42c8b1f8b1628e39d47&mc=true&node=pt2.1.200&rgn=div5#se2.1.200_1431 https://www.ecfr.gov/cgi-bin/text-idx?SID=35fcd29238edd42c8b1f8b1628e39d47&mc=true&node=pt2.1.200&rgn=div5#se2.1.200_1459 https://www.ecfr.gov/cgi-bin/text-idx?node=2:1.1.2.2.1#se2.1.200_1316 https://www.neh.gov/grants/manage/administration-neh-infrastructure-and-capacity-building-challenge-grants https://www.neh.gov/grants/manage/administration-neh-infrastructure-and-capacity-building-challenge-grants https://www.ecfr.gov/cgi-bin/text-idx?node=2:1.1.2.2.1#se2.1.200_1447

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2. Land, structures, right-of-way, appraisals, etc.

Enter the acquisition, right-of-way, or appraisal costs for land and structures.

3. Relocation expenses and payments Enter the costs of relocation expenses and payments to lease temporary space while the main space is being constructed or altered/renovated/repaired.

4. Architectural and engineering fees Enter costs related to architectural and engineering fees such as feasibility studies, design work, and related costs incurred throughout the project.

5. Other architectural and engineering fees Enter other architectural and engineering fees such as surveys, tests, and borings; sustainable design services, including commissioning; preparation of the National Environmental Policy Act Environmental Assessment; and Section 106 consultation under the National Historic Preservation Act and associated documents.

6. Project inspection fees Enter fees for permits, structural certification, onsite technical and other project inspection fees.

7. Site work Enter costs related to site work such as site clearance, grading, sidewalks, drives, parking areas, and landscaping costs.

8. Demolition and removal Enter costs related demolition or removal of structures, including landfill and hauling fees.

9. Construction Enter costs related to construction such as building, conversion, extension, preservation, alteration and renovation of facilities; and installation of permanently affixed equipment (such as HVAC, electrical, and other systems and utilities).

Cost plus a percentage of cost and percentage of construction cost methods of contracting are not allowable.

10. Equipment Enter costs of equipment to be purchased. Equipment is defined as nonexpendable personal property costing $5,000 or more and having a useful life of more than one year. See 2 CFR §§

200.313 Equipment and 439 Equipment and other capital expenditures.

Equipment may be purchased for a project if an analysis demonstrates that purchasing is more economical and practical than leasing.

Consistent with Executive Order 13788 (“Buy American and Hire American”), recipients and subrecipients who purchase equipment and products costing $10,000 or more per unit with grant funds should purchase only American-made equipment and products. This encouragement does not apply to commercial information technology.

https://www.ecfr.gov/cgi-bin/text-idx?SID=5fbdd231f8b8033a7620f7101a79f2d7&mc=true&node=pt2.1.200&rgn=div5#se2.1.200_1313 https://www.ecfr.gov/cgi-bin/text-idx?SID=5fbdd231f8b8033a7620f7101a79f2d7&mc=true&node=pt2.1.200&rgn=div5#se2.1.200_1313 https://www.ecfr.gov/cgi-bin/text-idx?SID=5fbdd231f8b8033a7620f7101a79f2d7&mc=true&node=pt2.1.200&rgn=div5#se2.1.200_1439 https://www.whitehouse.gov/presidential-actions/presidential-executive-order-buy-american-hire-american/

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11. Miscellaneous Enter miscellaneous costs such as equipment rental, supplies, and other items not previously listed under other budget categories. Note that “miscellaneous” is not an acceptable line item within this category. Indirect costs are not allowable.

12. Subtotal Enter the sum of lines 1 through 11.

13. Contingencies Enter construction contingency costs. See 2 CFR §200.433 Contingency Provisions.

14. Subtotal Enter the sum of lines 12 and 13.

15. Program Income Leave this line blank.

16. Total project costs Enter the amount in line 14.

17. Federal assistance requested:

Enter the following into line 17:

• 50% -for applicants requesting a 1:1 match ratio

• 25% - for applicants requesting a 3:1 match ratio

• 20% - for applicants requesting a 4:1 match ratio

iii. Budget justification The budget justification has two components.

1. An estimate of the NEH funds requested, non-federal gifts to be raised, and total project costs for each year of the period of performance.

Sample annual aggregate Challenge Grant, non-federal gifts, and total:

Year Total NEH funds requested: Total non-federal gifts: Total:

Year 1 $25,000 $75,000 $100,000 Year 2 $100,000 $350,000 $450,000 Year 3 $100,000 $350,000 $450,000 Year 4 $75,000 $125,000 $200,000 Total $300,000 $900,000 $1,200,000

2. A detailed and concise justification that further breaks down cost items under each category of the SF-424C. The budget justification should clearly describe the purpose of expenditures and align with the proposed project as described in the narrative. Identify the names of key personnel and their roles and responsibilities on the project. The budget justification should show quantities, unit prices and total cost, as applicable. Do not use the budget justification to expand the project narrative.

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A construction estimate may be provided to supplement this section of the budget narrative.

iv. Application Components In addition to the standard forms included in the Grants.gov application package, your application also consists of a narrative, budget justification, and other required attachments.

You will upload these components into the Attachments Form.

The Application Components Table below will help you prepare a complete application.

Applications missing any required documents or conditionally required documents from this list will be considered incomplete and will be rejected from further consideration.

Proposals that exceed page limits or violate format instructions will be considered nonresponsive and will be rejected from further consideration.

Application component Naming convention Page limits

Notes

SF-424 Application for Federal Assistance - Short Organizational

Not applicable (Grants.gov form)

Required

Supplementary Cover Sheet for NEH Grant Programs

Not applicable (Grants.gov form)

Required

Project/Performance Site Location Form

Not applicable (Grants.gov form)

Required

SF-424C (Budget Information for Construction Projects)

Not applicable (Grants.gov form)

Required

Certification Regarding Lobbying

Not applicable (Grants.gov form)

Conditionally required

Standard Form-LLL, Disclosure of Lobbying Activities

Not applicable (Grants.gov form)

Conditionally required

Attachments Form Not applicable (Grants.gov form)

Required

Attachment 1: Narrative narrative.pdf 10 Required Attachment 2: Budget justification justification.pdf Required

Attachment 3: Work plan workplan.pdf Required Attachment 4: Institutional profile profile.pdf 1 Required

Attachment 5: Financial statements financial.pdf Required

Attachment 6: List of trustees and staff trustees.pdf Required

Attachment 7: Résumés for key personnel resumes.pdf Required

Attachment 8: Letters of commitment or support letters.pdf Required

Attachment 9: Planning and design documents design.pdf Required

Attachment 10: Site description

(SF-429A)

429a.pdf Required

Attachment 11: Certification of gifts raised to date giftcertification.pdf Conditionally required

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Attachment 12: Explanation of delinquent federal debt delinquentdebt.pdf Conditionally required

Attachment 13: Additional supporting documentation documentation.pdf 25 Optional

SF-424 Application for Federal Assistance – Short Organizational This form asks for basic information about the project, the project director, and the institution.

Items 1, 2, and 4 will be automatically filled in; item 3 should be left blank. Provide the following information:

5. Applicant Information Provide your organization’s legal name, address, employer/taxpayer identification number (EIN/TIN), D-U-N-S® number, website address, and congressional district of the institution.

If your institution is located, for example, in the 5th Congressional District of your state, put a “5.” If your institution doesn’t have a congressional district (for example, it is in a state or U.S.

territory that doesn’t have districts or is in a foreign country), put a “0” (zero).

Also choose the “type” that best describes your institution (you only need to select one).

All institutions applying to federal programs are required to provide a D-U-N-S® number, issued by Dun & Bradstreet, as part of their application. Project directors should contact their institution’s grants administrator or chief financial officer to obtain their institution’s D-U-N-S® number.

6. Project Information

a. Provide the title of your project. Your title should be brief (no more than 125 characters, including spaces), descriptive, and substantive. Successful applications will typically have titles that are descriptive of the project, substantive, and free of specialized language. Most importantly, your title should be easily understood by the general public. NEH reserves the right to retitle funded projects for clarity when announcing its funding decisions and in its own reports and communications, but recipients are permitted to use their preferred title for any award products.

b. Provide a brief (no more than one thousand characters) description of your project. The description should be written for a nonspecialist audience and clearly state the importance of the proposed work and its relation to larger issues in the humanities.

c. List the starting and ending dates for your project. All starting dates are on the first day of a month. All ending dates are on the last day of a month.

7. Project Director Provide the name, title, mailing address, e-mail address, and telephone and fax numbers for the project director. The project director is responsible for the programmatic aspects and day-to-day management of the proposed project. Because the project director’s involvement in the proposed project is critical to its success, applicants must notify NEH immediately if the project director listed in the application changes.

8. Primary Contact/Grants Administrator Provide the contact information for the official responsible for the administration of the NEH award (that is, negotiating the project budget and ensuring compliance with the terms and conditions of the award). This person is often a grants administrator or sponsored programs official.

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As a matter of NEH policy, the Project Director listed in section 7 may not be the same individual listed as the Primary Contact/Grants Administrator listed in section 8. The role of the project director must be distinguished from that of the institutional grant administrator, who functions as the representative of the recipient organization with authority to act on the organization’s behalf in matters related to the administration of the award. All financial reports and prior approval requests such as budget revisions, extensions of the period of performance, and changes in key personnel must be signed or countersigned by the institutional grant administrator. Similarly, official correspondence from NEH to a recipient (for example, an offer letter, the award document, an extension, a supplement or amendment) is addressed to the institutional grant administrator and copied to the project director.

9. Authorized Representative Provide the contact information for the Authorized Organization Representative (AOR) who is submitting the application on behalf of the institution. This person, often called an “Authorizing Official,” is typically the president, vice president, executive director, provost, or chancellor. To become an AOR, the person must be designated by the institution’s E-Business Point of Contact.

For more information, consult the Grants.gov Online User Guide.

Supplementary Cover Sheet for NEH Grant Programs Provide the following information:

1. Project Director Use the pull-down menu to select the major field of study for the project director.

2. Institutional Information Select the appropriate institution type from the drop-down menu.

3. Project Funding Enter the requested amount of federal funds as “Federal Match” and your non-federal third-party gifts as “Cost Sharing.”

4. Application Information Indicate whether the proposal will be submitted to other NEH programs, government agencies, or private entities for funding. If so, indicate when and to whom. NEH frequently cosponsors projects with other funders. Providing this information will not prejudice the review of your application.

For Type of Application, check “new.”

Enter the primary project discipline (and, if you like, the project’s secondary and tertiary disciplines as well).

Project/Performance Site Location(s) Form Provide the primary location and any other locations where the project activity will occur during the period of performance. This form allows for the collection of multiple performance sites. If you need to add more project/performance site locations than the form allows, enter the information in a separate file and add it to the "Additional Locations" section.

Instructions for each requested data element may be viewed by positioning your cursor over the blank field.

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SF-424C: Budget Information for Construction Projects Refer to the prior instructions on preparing your budget using the SF-424C.

Certification Regarding Lobbying Applicants requesting awards greater than $100,000 must complete and submit the Certification Regarding Lobbying.

Standard Form-LLL, “Disclosure of Lobbying Activities” If non-federal funds have been or will be used for lobbying, you must also complete and submit Standard Form-LLL, “Disclosure of Lobbying Activities.” See 2 CFR §200.450 for additional information.

Attachments Form Attach your narrative, budget, and the other application components to this form. Consult the Application Component Table to learn about the required application components, how to name each attachment, and the order in which to attach them. You must name and attach your files in the proper order so that NEH can identify them.

Your attachments must be in Portable Document Format (.pdf). Make sure that all files in formats other than PDF (images, Word or Excel files, etc.) have been properly saved as PDF files. Do not simply rename your non-PDF files with PDF extensions. If an attachment contains multiple documents, you must merge those documents into a single PDF. Do not attach a zip file containing multiple PDFs.

Visit Grants.gov’s Adobe Software Compatibility page to verify the compatibility of your current software or to download the appropriate version. If you have a problem installing Adobe Reader, it may be because you do not have permission to install a new program on your computer. Many organizations have rules about installing new programs. If you encounter a problem, contact your system administrator.

When you open the Attachments Form, you will find fifteen attachment buttons, labeled “Attachment 1” through “Attachment 15.” By clicking on a button, you will be able to choose the file from your computer that you wish to attach.

Note the following Grants.gov file naming…