PKG00261166-instructions.pdf

NOTICE OF FUNDING OPPORTUNITY

Funding Opportunity Title:

NEH CARES: Cultural Organizations

Funding Opportunity Number: 20200511-AH-GA-HC-RJ-PB

Funding Opportunity Type: New

Federal Assistance Listing Numbers: 45.149, 45.161, 45.162, 45.164, and 45.169

Application Due Date: May 11, 2020

See Section G for Agency Contacts

OMB control number 3136-0134, expiration date June 30, 2021

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Executive Summary The National Endowment for the Humanities (NEH) is accepting applications for the NEH CARES: Cultural Organizations program. The purpose of this emergency relief program is to assist institutions and organizations working in the humanities that have been affected by the coronavirus. In keeping with Congress’s intent in enacting the CARES Act, proposals for short-term activities should emphasize retaining or hiring humanities staff.

Funding Opportunity Title: NEH CARES: Cultural Organizations Funding Opportunity Number: 20200511-AH-GA-HC-RJ-PB Federal Assistance Listing Numbers (CFDA):

45.149, 45.161, 45.162, 45.164, and 45.169

Application Due Date: May 11, 2020 11:59 p.m. Eastern Time Anticipated Announcement: All applicants will be notified in June 2020.

Anticipated Total Annual Available FY 20 Funding:

$25,000,000 to $35,000,000

Estimated Number and Type of Awards:

300-600 grants

Funding Amount: Up to $300,000

See Section B for additional information.

Cost Sharing/Match Required: No.

Period of Performance: The period of performance may begin as early as June 15, 2020 and must end on or before December 31, 2020.

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

See Section C for additional information.

Program Resource Page: https://www.neh.gov/program/neh-cares-cultural-organizations

Accompanying Frequently Asked Questions are available on the program resource page.

https://www.neh.gov/program/neh-cares-cultural-organizations https://www.neh.gov/program/neh-cares-cultural-organizations

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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/Matching

3. Other Eligibility Information

D. Application and Submission Information

1. Application Package

2. Content and Form of Application Submission

3. Unique Entity Identifier and System for Award Management

4. Submission Dates and Times

5. Intergovernmental Review

6. Funding Restrictions

E. Application Review Information

1. Review Criteria

2. Review and Selection Process

3. Assessment of Risk and Other Pre-Award Activities

4. Anticipated Announcement and Award Dates

F. Federal Award Administration Information

1. Federal Award Notices

2. Administrative and National Policy Requirements

3. Reporting

G. Agency Contacts

H. Other Information

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A. Program Description

1. Purpose The Coronavirus Aid, Relief, and Economic Security (CARES) Act recognizes that the nonprofit humanities sector is an essential component of America’s economic and civic life. The National Endowment for the Humanities (NEH) has received supplemental funding to provide emergency relief to institutions and organizations working in the humanities that have been affected by the coronavirus. In keeping with Congress’s intent in enacting the CARES Act, proposed short-term projects should emphasize retaining or hiring humanities staff.

NEH invites applications from eligible organizations seeking support for at-risk humanities positions and projects that have been impacted by the coronavirus. Through this funding opportunity, NEH will award grants to museums, libraries and archives, historic sites, independent research institutions, professional organizations, colleges and universities, and other cultural organizations across the country to help these entities continue to advance their mission during the interruption of their operations due to the coronavirus pandemic.

NEH has designed a simplified application process and expedited review for the distribution of these critical funds. Applicants may apply in one of the following areas, choosing the one that best aligns with their proposed activities: education, public programming, digital humanities, scholarly research, or preservation and access.

Funds are available to support a range of activities over a six and a half-month period of performance. While not comprehensive, the following examples are provided to illustrate the types of activities that could be proposed in this program:

• a university requests support to assist adjunct or contingent faculty members and staff converting to online teaching

• a museum requests support to train staff to engage with visitors virtually, including developing online virtual tours or transcribing digital collections to make the collections more broadly available to the general public

• a historic site that is temporarily closed hires staff to provide exhibition maintenance, and to sanitize spaces so that, when social distancing ends, the site is ready to welcome visitors safely

• a scholarly society requests support to continue editing its journal, an activity that would normally be supported by revenue from an annual conference that was cancelled due to the pandemic

• an independent research institution requests support to continue serving the scholarly community by offering online professional development or organizing online lectures at a time when membership revenue has decreased due to the coronavirus

• an archive requests support for staff who would have been furloughed to prepare or initiate their disaster plans, online archives, and/or procedures for re-opening after forced closure

• a tribal community requests support to continue a program creating, preserving, and making available oral history interviews

• a liberal arts college requests support for staff to develop documentation and outreach plans to broaden the use of open-access digital resources in research and teaching

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• an institution working on humanities research requiring technical equipment that cannot be accessed remotely requests support for staff to refocus on data cleaning and software documentation

• a public radio station requests support for the development of a podcast to contextualize the global impact of the coronavirus in relation to historical events such as plagues, natural disasters, and world wars that significantly altered human society

Allowable costs include, but are not limited to:

• personnel costs (salaries and fringe benefits) for individuals employed by the applicant and dedicated to the proposed activities

• fees for humanities scholars retained as consultants and contractors

• supplies and materials necessary to carry out the proposed activities

• equipment necessary to carry out the proposed activities (not to exceed 20 percent to the total funds requested)

• general operating support (typically recovered through indirect costs)

Pre-award costs may be requested as long as they were incurred no earlier than March 27, 2020.

Pre-award expenditures are made at the recipient’s risk, and the recipient’s authority to approve such costs does not impose an obligation on NEH in the event an award is not made or is made for an amount that is less than the recipient anticipated. All other project activities and expenditures of project funds must occur during the period of performance.

Unallowable activities are described in section 6. Funding Restrictions.

Review criteria are described in section E1. Review Criteria.

2. Background This program is authorized by the CARES Act (Public Law 116-136) and 20 U.S.C. §956, et seq.

Awards are subject to 2 CFR Part 200 Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, and the General Terms and Conditions for Awards to Organizations (for grants and cooperative agreements issued December 26, 2014 or later).

According to the 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 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 NEH, visit https://www.neh.gov/about.

B. Federal Award Information

1. Type of Application and Award NEH seeks new applications in response to this notice.

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NEH will provide funding in the form of grants.

2. Summary of Funding Up to $35,000,000 is expected to be available to fund 300-600 recipients.

Applicant organizations may apply for an amount based on the average size of their total annual operating costs for the three most recently completed fiscal years. Institutions of higher education should apply for an amount based on the three-year average total operating costs of the component(s) for which they are applying (not the college/university as a whole).

Small organizations with annual operating costs less than or equal to $200,000 may request up to $30,000.

Mid-size organizations with annual operating costs greater than $200,000 and less than or equal to $3,000,000 may request up to 15 percent of their annual operating costs.

Large organizations with annual operating costs greater than $3,000,000 may request up to $300,000.

The period of performance may begin as early as June 15, 2020 and must end on or before December 31, 2020.

C. Eligibility Information

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

The 56 state and jurisdictional humanities councils are not eligible to apply under this announcement. State and jurisdictional humanities councils received CARES Act funds directly as a supplement to their general operating support grants.

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

2. Cost Sharing/Matching Cost sharing/matching is not required in this program.

3. Other Eligibility Information An organization may submit only one application under this announcement. A parent organization may submit only one application for each independent component. An independent component must be a unit that is both programmatically and administratively distinct from the parent organization, have its own staff and budget, and generally have an independent board that has substantial responsibility for oversight and management.

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.

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Proposed costs may not overlap with other NEH grant and cooperative agreements and other federal financial assistance (including other federal awards and the Small Business Administration’s Payroll Protection Program) applications and 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. This restriction does not preclude applicants from using funds from, or sites and materials controlled by, other federal entities in their projects.

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 through Grants.gov, using either Workspace or your organization's system-to-system software. Use the Standard Form 424 - Short Organizational (SF-424 Short) application package associated with the funding opportunity, and follow the instructions provided by Grants.gov unless otherwise noted below. The Grants.gov registration process is described in Section D3.

This funding opportunity has five application packages available in Grants.gov. Please select the appropriate package based upon your project type and deadline. If your proposal includes multiple activities, select the application package that corresponds with the primary activity.

• AH52020: projects focusing on education (CFDA 45.162)

• GA52020: projects focusing on public programming (CFDA 45.164)

• HC52020: projects focusing on digital humanities (CFDA 45.169)

• RJ52020: projects focusing on scholarly research (CFDA 45.161)

• PB52020: projects focusing on preservation and access CFDA 45.149)

To request a paper copy of this announcement, please contact NEH program staff using the email address provided in Section G. Agency Contacts. 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, and other required forms and components described below.

i. Project Narrative You must limit the narrative to three single-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.

Use the following section headings for the narrative.

https://www.grants.gov/ https://www.grants.gov/web/grants/applicants/workspace-overview.html

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1. Humanities mission and record of contribution (corresponds with review criterion 2) Briefly describe the mission and core work of your institution or organization, providing examples of how it has supported or advanced the humanities for the benefit of the cultural sector and/or the general public.

2. Proposed activities and audience (corresponds with review criterion 2) Describe the proposed activities to be funded by an NEH award in response to the coronavirus pandemic, how the activities would support the mission of your organization and advance the humanities for the cultural sector and/or the general public. Provide a timeline for these activities in Attachment 2: Work plan.

3. Jobs and personnel (corresponds with review criterion 1) Indicate the number and titles of the positions that would be retained or created in conducting the proposed activities. Explain how these positions have been affected by the coronavirus pandemic, or, if new, how they would help your organization or your part of the humanities sector respond to the pandemic’s impact. Identify the people who hold (or will hold) these positions and describe the work they will do. Include salaried personnel employed by your organization and any consultants.

Provide biographical information and a statement of each person’s qualifications or a job description in Attachment 3: Biographies.

4. Institutional capacity (corresponds with review criterion 3) Briefly explain the financial impact of the pandemic on your organization and whether you have furloughed or laid off staff. Describe your organization’s capacity to administer an award of federal emergency funds in compliance with relevant regulations given the challenges brought on by the coronavirus pandemic (such as suspended operations, telework, etc.). Briefly summarize how the proposed activities fit within your overall strategy to ensure the long-term viability of the organization. State your organization’s annual total operating costs for each of the three most recently completed years based on audited financial statements. Institutions of higher education should state the total operating costs of the component(s) for which they are applying (not the college/university as a whole).

ii. Research and Related Budget Applicants must submit a project budget using the Research and Related Budget Form found in the Grants.gov application package, and attach a budget justification in section L of this form.

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

Required fields are indicated in yellow. If no funds are requested for a required field, enter a zero.

You must round to the nearest whole dollar amount in all dollar fields.

All costs must be reasonable, necessary to accomplish project objectives, allowable in terms of 2 CFR 200 Subpart E - Cost Principles, auditable, and incurred during the period of performance. All costs are subject to audit, record retention, and other requirements set forth in 2 CFR 200 Subpart F.

Pre-award costs may be included in the budget, as long as they were incurred no earlier than March 27, 2020. Pre-award expenditures are made at the recipient’s risk, and the recipient’s authority to approve such costs does not impose an obligation on NEH in the event an award is not made or is made for an amount that is less than the recipient anticipated. All other project activities and expenditures of project funds must occur during the period of performance.

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The inclusion of a cost category on the Research and Related Budget Form does not automatically indicate that an expense is allowable in this program. See D6. Funding Restrictions for a list of unallowable costs. Carefully review these instructions to ensure that costs are not disallowed.

When indirect costs are charged to the project, ensure that expenses included in the organization's indirect cost pool are not charged to the project as direct costs. For further information, see Section H. Indirect Costs.

Introductory Fields If not pre-populated, indicate your organization’s D-U-N-S® number, the name of your organization, and the period of performance start and end dates. The period of performance may begin as early as June 15, 2020 and must end on or before December 31, 2020. Check “Project” for budget type.

Section A. Senior/Key Person(s) Include the name(s) of the project director and other senior/key person(s) who are employed by the applicant organization and who are involved in the project.

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

If level of effort does not change throughout the year, you may use only the calendar months column. You may use both the academic and summer months columns if your institutional business process requires noting each separately even if effort remains constant. If effort varies between academic and summer months, leave the calendar months column blank and use only the academic and summer months columns. If your institution does not use a 9-month academic year or a 3-month summer period, indicate your institution's definition of these terms in Section L.

Budget Justification.

Regardless of the number of months being devoted to the project, indicate the salary and amount of fringe benefits being requested for the senior/key person. Per 2 CFR §200.431, fringe benefits are allowances and services provided by employers to their employees as compensation in addition to regular salaries and wages. Fringe benefits include, but are not limited to, the costs of leave (vacation, family-related, sick, or military), employee insurance, pensions, and unemployment benefit plans. The sum of requested salary and fringe benefits will be automatically calculated for each senior/key person.

The form can accommodate up to eight senior/key persons. If you are requesting funds for more senior/key persons than the form allows, you must include an attachment listing the additional senior/key person(s) in the "Additional Senior/Key Persons" field. Use the same format as the budget form and include all the information identified in this section. If you have attached a file with additional senior/key persons, enter the total funds requested for everyone listed in the attachment in the "Total Funds requested for all Senior/Key Persons in the attached file" field.

All salaries and wages claimed must be in compliance with 2 CFR §§200.430 and 466. All fringe benefits claimed must be in compliance with 2 CFR §200.431.

Do not list details of collaborators at other institutions or consultants here, as they will be included in Section F. Other Direct Costs.

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Section B. Other Personnel For each project role category described below, identify the number of personnel proposed, the total number of months, the total salary, and total fringe requested as described in Section A. Senior/Key Person(s). Totals will be automatically calculated.

Post-doctoral associates, graduate students, and undergraduate students For all post-doctoral associates and graduate students individually list names, roles, associated months, and requested salary and fringe benefits in Section L. Budget Justification. As a matter of programmatic policy, costs for undergraduate students are unallowable.

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 cost in accordance with the actual work being performed. Tuition remission may be charged on an average rate basis.

Secretarial/Clerical In most circumstances, the salaries of administrative, secretarial, or clerical staff at educational institutions and nonprofit organizations are included as part of indirect costs (Section H. Indirect Costs). However, examples of situations where direct charging of administrative or clerical staff salaries may be appropriate may be found at 2 CFR §200.413 (c).

Inclusion of such costs may be appropriate only if all of the following conditions are met:

1. Administrative or clerical services are directly involved in a project or activity (for example, a project coordinator)

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

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

4. The costs are not also recovered as indirect costs

Requests for direct charging for secretarial/clerical personnel (i.e., administrative and clerical staff) must be appropriately justified in Section L. Budget Justification. For all individuals classified as secretarial/clerical, provide a justification (in the budget justification) documenting how they meet all four conditions. NEH may request additional information for these positions in order to assess allowability.

Other Project Roles List any additional project role(s) in the blank(s) provided. Identify the number of each personnel proposed.

You may include up to six named roles. If you have more than six, you must combine project roles here and add an explanation about the named roles in Section L. Budget Justification.

All salaries and wages claimed must be in compliance with 2 CFR §§200.430 and 466. All fringe benefits claimed must be in compliance with 2 CFR §200.431.

Do not list details of collaborators at other institutions or consultants here, as they will be included in Section F. Other Direct Costs.

Section C. Equipment Description List each item of equipment to be purchased with federal funds and its estimated cost (including shipping and maintenance), and justify each in Section L. Budget Justification.

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Equipment costs may not exceed 20% of total project costs.

Equipment may be purchased for a project if an analysis demonstrates that purchasing is more economical and practical than leasing (equipment rental/user fees should be included in the budget in Section F. Other Direct Costs). Equipment is defined as nonexpendable personal property costing $5,000 or more and having a service life of more than one year (unless the organization has established a lower level). See 2 CFR §§200.313 and 439.

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.

You may add up to ten equipment items to this list. If you request funds for more equipment than the form allows, you must include an attachment listing the additional equipment items in this "Additional Equipment" field. Enter the information in a separate file and attach it as a PDF. List each additional item and the funds requested for each individual item. If you have attached a file with additional equipment, enter the total funds requested for all the equipment listed in the attachment.

Total equipment costs will be automatically calculated based on the sum of the "Funds Requested" column and the "Total funds requested for all equipment listed in the attached file" field.

Section D. Travel In light of the coronavirus pandemic and as a matter of programmatic policy, travel (both foreign and domestic) is disallowed in this program.

Section E. Participant/Trainee Support Costs Per 2 CFR §200.75, participant support costs are direct costs for expenses such as stipends, travel allowances, subsistence allowances, and registration fees paid to or on behalf of participants or trainees (but not employees) in connection with conferences or training projects.

Per 2 CFR §200.432, a conference is defined as a meeting, retreat, seminar, symposium, workshop or event, the primary purpose of which is the dissemination of technical information beyond the non-federal entity and is necessary and reasonable for successful performance under the federal award.

Justify participant/trainee support costs in Section L. Budget Justification.

Total participant support costs will be automatically calculated based on the sum of the Funds Requested column.

1. Tuition/Fees/Health Insurance Leave this field blank.

2. Stipends List the total funds requested for Participant/Trainee stipends.

3. Travel As a matter of programmatic policy, travel (both foreign and domestic) is disallowed in this program.

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Subsistence As a matter of programmatic policy, travel-related subsistence (i.e., lodging and per diem) is disallowed in the program.

5. Other Describe any other Participant/Trainee support costs and list the total funds requested for all other Participant/Trainee costs described.

Number of Participants/Trainees List the total number of proposed Participants/Trainees. The value in this field cannot exceed 999.

Section F. Other Direct Costs Total Other Direct Costs will be automatically calculated based on the sum of the Funds Requested column.

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

In Section L. Budget Justification, indicate general categories, including an amount for each category. Categories with amounts less than $1,000 are not required to be itemized.

2. Publication Costs List the total funds requested for publication costs. The proposed budget may request funds for the costs of documenting, preparing, publishing, or otherwise making available to others, the findings and products of the work conducted under the award. Include supporting information in Section L.

Budget Justification.

3. Consultant Services List the total funds requested for all consultant services. Identify the following items in Section L.

Budget Justification, as applicable:

• each consultant, the services he/she will perform, total number of days, travel costs, and the total estimated costs; and

• persons who are confirmed to serve on external advisory committees to the project.

Describe the services they will perform.

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

4. Automated Data Processing (ADP)/Computer Services List the total funds requested for ADP/computer services. The cost of the applicant’s computer services, including computer-based retrieval of scientific, technical, and education information may be requested. In Section L. Budget Justification, include the established computer service rates at the proposing organization, if applicable. If such services are provided by a third-party, include them in line 5 Subawards/Consortium/Contractual Costs.

5. Subawards/Consortium/Contractual Costs List the total funds requested for project activities to be undertaken by third-party subrecipients.

This includes subawards and other contractual costs proposed for the project. A complete itemization of the cost comprising the charge should be provided in Section L. Budget Justification https://www.ecfr.gov/cgi-bin/text-idx?SID=69589b313a9c3cdeb5db82386820796f&mc=true&node=se2.1.200_1314&rgn=div8 https://www.ecfr.gov/cgi-bin/text-idx?SID=69589b313a9c3cdeb5db82386820796f&mc=true&node=se2.1.200_1314&rgn=div8 https://www.ecfr.gov/cgi-bin/text-idx?SID=eefa8a82f165dbb9f6351146c9e5f1e3&mc=true&node=se2.1.200_1453&rgn=div8 https://www.ecfr.gov/cgi-bin/text-idx?SID=35fcd29238edd42c8b1f8b1628e39d47&mc=true&node=pt2.1.200&rgn=div5#se2.1.200_1459

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organized using the same categories present on the Research and Related budget. If there is more than one subrecipient, each must be justified separately in the budget justification. See 2 CFR §§200.330 and 331 for additional information.

Per 2 CFR §§200.92 and 330(a), subaward means an award provided by a pass-through entity (the recipient) to a subrecipient for the subrecipient to carry out part of a federal award received by the pass-through entity. It does not include payments to a contractor (as defined in 2 CFR §200.23) or payments to an individual that is a beneficiary of a federal program. A subaward may be provided through any form of legal agreement, including an agreement that the pass-through entity considers a contract.

This line item should include both direct and indirect costs for all subrecipients. If a subrecipient is claiming indirect costs, include their federally negotiated indirect cost rate agreement as part of Attachment 4: Federally negotiated indirect cost rate agreement.

Contractual costs as defined in 2 CFR §§200.22 and 330(b), are occasionally sufficiently high to warrant a categorical breakdown of costs. When this is the case, provide detailed information as part of Section L. Budget Justification.

6. Equipment or Facility Rental/User Fees List the total funds requested for equipment or facility rental/user fees. In Section L. Budget Justification, identify and justify each rental/user fee.

Applicants may charge depreciation in compliance with 2 CFR §200.436. If the equipment was purchased with federal funds under another award, user fees may be appropriate (see 2 CFR §200.313 (c)(2)). The applicant may not charge both depreciation and user fees.

7. Alterations and Renovations Do not include any expenses under 7. Alterations and Renovations. Per 2 CFR §200.462, costs incurred for ordinary and normal rearrangement and alteration of facilities are allowable as indirect costs.

8-10. Other Include items not previously listed under other budget categories or in the indirect cost pool in lines 8-10. Use Section L. Budget Justification to further itemize and justify. “Miscellaneous” and “contingency” are not acceptable budget categories.

Section G. Total Direct Costs This total will be automatically calculated based on the sum of the total funds requested for all direct costs (sections A-F).

Section H. Indirect Costs Indirect costs (sometimes referred to as Facilities and Administration or “F&A”) are costs that are incurred for common or joint objectives and therefore cannot be readily identified with a specific project or activity of an organization. Items that would typically be regarded as indirect costs include the depreciation on buildings, equipment and capital improvement, operations and maintenance expenses, salaries of executive officers, accounting, and legal services.

Indirect costs are computed by applying a federally negotiated indirect cost rate to a distribution base (usually the modified total direct costs of the project).

For applicants seeking reimbursement for indirect costs: carefully review your institution’s negotiated indirect cost rate(s) to make sure you are using the most appropriate rate in your https://www.ecfr.gov/cgi-bin/text-idx?SID=35fcd29238edd42c8b1f8b1628e39d47&mc=true&node=pt2.1.200&rgn=div5#se2.1.200_1330 https://www.ecfr.gov/cgi-bin/text-idx?SID=35fcd29238edd42c8b1f8b1628e39d47&mc=true&node=pt2.1.200&rgn=div5#se2.1.200_1330 https://www.ecfr.gov/cgi-bin/text-idx?SID=b76712a585433486e57dafcd521c952e&mc=true&node=pt2.1.200&rgn=div5#se2.1.200_192 https://www.ecfr.gov/cgi-bin/text-idx?SID=b76712a585433486e57dafcd521c952e&mc=true&node=pt2.1.200&rgn=div5#se2.1.200_1330 https://www.ecfr.gov/cgi-bin/text-idx?SID=b76712a585433486e57dafcd521c952e&mc=true&node=pt2.1.200&rgn=div5#se2.1.200_123 https://www.ecfr.gov/cgi-bin/text-idx?SID=b76712a585433486e57dafcd521c952e&mc=true&node=pt2.1.200&rgn=div5#se2.1.200_122 https://www.ecfr.gov/cgi-bin/text-idx?SID=b76712a585433486e57dafcd521c952e&mc=true&node=pt2.1.200&rgn=div5#se2.1.200_1330 https://www.ecfr.gov/cgi-bin/text-idx?SID=35fcd29238edd42c8b1f8b1628e39d47&mc=true&node=pt2.1.200&rgn=div5#se2.1.200_1436 https://www.ecfr.gov/cgi-bin/text-idx?SID=35fcd29238edd42c8b1f8b1628e39d47&mc=true&node=pt2.1.200&rgn=div5#se2.1.200_1313 https://www.ecfr.gov/cgi-bin/text-idx?SID=35fcd29238edd42c8b1f8b1628e39d47&mc=true&node=pt2.1.200&rgn=div5#se2.1.200_1313 https://www.ecfr.gov/cgi-bin/text-idx?SID=b76712a585433486e57dafcd521c952e&mc=true&node=pt2.1.200&rgn=div5#se2.1.200_1462

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application budget. Many institutions of higher education negotiate multiple rates—for example, “Research,” “Instruction,” and “Other Sponsored Activities.” With rare exceptions, your institution’s “Research” rate will not be the appropriate rate for inclusion in your NEH project budget, as the use of this rate is reserved for projects involving scientific research, not scholarly inquiry of the type most often supported by NEH.

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

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

Organizations that wish to include indirect costs in the budget but have never had a federally negotiated indirect cost rate may choose one of the following options:

• direct cost all expenses; or

• per 2 CFR §200.414(f), the applicant may charge a de minimis rate of 10 percent of modified total direct costs (MTDC).

Per 2 CFR §200.68, MTDC are all direct salaries and wages, applicable fringe benefits, materials and supplies, services, travel, and up to the first $25,000 of each subaward (regardless of the period of performance of the subawards under the award). MTDC exclude equipment, capital expenditures, charges for patient care, rental costs, tuition remission, scholarships and fellowships, participant support costs and the portion of each subaward in excess of $25,000. If you choose one of these three options, indicate on the budget form which option you are choosing.

If you are claiming indirect costs, include a copy of your federally negotiated indirect cost rate agreement as Attachment 4: Federally negotiated indirect cost rate agreement.

Indirect Cost Type Enter the type of indirect cost (e.g., Other Sponsored Activities (OSA), All Programs, Instruction, 10% de minimis, etc.) and base (e.g., Salaries, Salaries & Fringe, MTDC, etc.) and whether the activity and rate are off-site or onsite. If more than one rate or base is involved for a given type of indirect cost, then list them as separate entries. If you do not have a current indirect rate(s) approved by a federal agency but intend to (re)negotiate, indicate "None--will negotiate." Use Section L. Budget Justification if additional space is needed.

Indirect Cost Rate (%) Enter the most recent indirect cost rate(s) established with the cognizant federal agency. This field should be entered using a rate such as "32.5."

Indirect Cost Base ($) Enter the amount of the base for each indirect cost type. Use Section L. Budget Justification to explain any exclusions applied to the F&A base calculation.

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

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Total Indirect Costs This total will be automatically calculated from the "Funds Requested" column.

Cognizant Federal Agency Enter the name of the cognizant federal agency.

Section I. Total Direct and Indirect Costs This total will be automatically populated from the sum of Total Direct Costs (from Section G. Direct Costs) and the Total Indirect Costs (from Section H. Indirect Costs).

Section J. Fee Do not include any expenses under this section.

Section K. Total Costs and Fee This total will be automatically calculated from the sum of Total Direct Costs and Fee (from sections "I. Total Direct and Indirect Costs" and "J. Fee"). Since there is no fee, this should be the same amount as in Section I. Total Direct and Indirect Costs.

Section L. Budget Justification The budget justification attachment is required. Attach only one PDF file named justification.pdf.

Use the budget justification to provide the additional information requested in each budget category identified above and any other information the applicant wishes to submit to support the budget request. The budget justification must specifically describe how each item will support the achievement of proposed objectives. If you have a quote(s), you may include it here. The following budget categories must be justified, where applicable: equipment, travel, participant/trainee support, and other direct cost categories.

Also use the budget justification to explain any exclusions applied to the base calculation.

Do not use the budget justification to expand the project narrative.

iii. Application Components In addition to the standard forms included in the Grants.gov application package, your application also consists of a narrative, budget, 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(s) Location Form

Not applicable (Grants.gov form) Required

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Research and Related Budget

Not applicable (Grants.gov form) Required

Attachments Form 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

Attachment 1: Narrative narrative.pdf 3 Required Attachment 2: Work plan workplan.pdf 1 Required Attachment 3: Biographies biographies.pdf Required Attachment 4: Federally negotiated indirect cost rate agreement agreement.pdf Conditionally required

Attachment 5: Explanation of delinquent federal debt delinquentdebt.pdf Conditionally required

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.

c. List the starting and ending dates for your project. All projects may begin as early as June 15, 2020 and must end on or before December 31, 2020.

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7. Project Director Provide the name, title, mailing address, email address, and telephone number 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.

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 your project funding information. Learn more about different funding types.

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…