PKG00262492-instructions.pdf

NOTICE OF FUNDING OPPORTUNITY

Funding Opportunity Title:

Fellowship Programs at Independent Research Institutions

Funding Opportunity Number: 20200826-RA

Funding Opportunity Type: New

Federal Assistance Listing Number: 45.161

Application Due Date: August 26, 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.

Division of Research Programs Telephone: 202-606-8200 Email: fpiri@neh.gov

TTY: 800-877-8399

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

20200826-RA i

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

Funding Opportunity Title: Fellowship Programs at Independent Research

Institutions Funding Opportunity Number: 20200826-RA Federal Assistance Listing Number (CFDA):

45.161

Application Due Date: August 26, 2020, 11:59 p.m. Eastern Time Anticipated Announcement: April 2021 Anticipated Total Annual Available FY 21 Funding:

$1,900,000

Estimated Number and Type of Awards:

Up to 10 grants

Funding Range: Up to $400,000

See Section B of this notice of funding opportunity.

Cost Sharing/Match Required: No Period of Performance: Up to 42 months. All projects must begin on January 1, 2022 and end no later than June 30, 2025 (the end of the final academic year in which fellowships are awarded).

Eligible Applicants: See Section C of this notice of funding opportunity.

Program Resource Page: https://www.neh.gov/grants/research/fellowship-programs-independent-research-institutions https://www.neh.gov/grants/research/fellowship-programs-independent-research-institutions

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Table of Contents

A. Program Description

1. Purpose

2. Background

B. Federal Award Information

1. Type of Application and Award

2. Summary of Funding

C. Eligibility Information

1. Eligible Applicants

2. Cost Sharing

3. Other Eligibility Information

D. Application and Submission Information

1. Application Package

2. Content and Form of Application Submission

3. Unique Entity Identifier and System for Award Management

4. Submission Dates and Times

5. Intergovernmental Review

6. Funding Restrictions

E. Application Review Information

1. Review Criteria

2. Review and Selection Process

3. Assessment of Risk and Other Pre-Award Activities

4. Anticipated Announcement and Award Dates

F. Federal Award Administration Information

1. Federal Award Notices

2. Administrative and National Policy Requirements

3. Reporting

G. Agency Contacts

H. Other Information

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A. Program Description

1. Purpose This notice solicits applications for the Fellowship Programs at Independent Research Institutions (FPIRI) program.

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

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

In evaluating applications, consideration is given to the library holdings, archives, special collections, and other resources—either on site or nearby—that institutions make available to fellows.

FPIRI fellowship tenure must be continuous and last from four to twelve months. Residential fellows are expected to be in residence during their entire tenure period and to work on their projects on a full-time basis. Likewise, nonresidential NEH-funded fellows are expected to work on their projects on a full-time basis. If a fellow is obliged through special circumstances to depart before the end of the tenure period, he/she shall receive a prorated stipend.

The FPIRI program is governed by the following requirements:

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

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

• Institutions may not require an administrative or application fee of applicants for NEH-funded fellowships.

• Fellowship tenure must be full-time and continuous.

• FPIRI awards support fellowship stipends at a rate of $5,000 per month and up to $5,000 total per year for the costs of selecting fellows.

• NEH-funded fellows must be granted the same benefits, services, and accommodations normally accorded other fellows. A recipient institution may supplement the stipends of NEH-funded fellows from its own funds, and fellows may receive additional funds from other sources. Recipient institutions may withhold a portion of the NEH-funded fellows’ stipends to defray the costs of lodging and meals at a residential center. Stipend deductions for fringe benefits such as health care can be offered to fellows on a voluntary basis. Stipend deductions for other fees or indirect costs are not allowed. In their fellowship announcements and award letters, institutions must clearly state the full value of the NEH funded stipend and, if applicable, the amount withheld.

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

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

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

• Recipients must consult with NEH-funded fellows undertaking research outside the U.S.

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

• The period of performance begins on January 1, 2022 with the first round of selection for 2022-23 fellows, and it ends no later than June 30, 2025 (the end of the final academic year in which fellowships are awarded). Allowable pre-award costs for the selection of fellows may be included in the budget, as long as they are incurred no more than ninety days before the January 1 start of the award. Pre-award expenditures are incurred 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.

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

Review criteria are described in section E1. Review Criteria.

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

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Unallowable activities are described in section D6. Funding Restrictions.

2. Background This program is authorized by 20 U.S.C. §956, et seq. Awards are subject to 2 CFR Part 200 Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, and the General Terms and Conditions for Awards to Organizations (for grants and cooperative agreements issued December 26, 2014 or later).

According to the 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 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(s) of applications sought: new.

NEH will provide funding in the form of grants.

2. Summary of Funding Approximately $1,900,000 is expected to be available to fund up to ten recipients.

https://uscode.house.gov/view.xhtml?req=(title:20%20section:956a%20edition:prelim) 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://securegrants.neh.gov/publicquery/main.aspx https://www.neh.gov/about https://www.neh.gov/250

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Applicants may apply for a ceiling of up to $400,000. Applicants may request the full amount in outright funds, or may request up to $200,000 in federal matching funds.

Applicants must submit a budget reflecting total project costs. For example, an applicant requesting $200,000 in outright funds and $200,000 in federal matching funds would submit a budget totaling $600,000 ($200,000 in outright funds, $200,000 in federal matching funds, and $200,000 in required cost share for the federal matching funds).

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.

The period of performance must start January 1, 2022 and end on or before June 30, 2025 (the end of the final academic year in which fellowships are awarded).

C. Eligibility Information

1. Eligible Applicants To be eligible for the FPIRI program, an organization must be a U.S. nonprofit institution with its own 501(c)(3) status, a state or local governmental agency, or a federally recognized Native American tribal government, and must meet the following criteria:

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

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

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

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

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

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

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

Applicants may use voluntary cost sharing for projects in which the total costs exceed the amount awarded by NEH.

Cost sharing or matching is the portion of the project costs not paid by NEH funds. Cost sharing will not be considered in the evaluation of applications.

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Voluntary cost sharing consists of the cash contributions made to a project by the applicant, including unrecovered indirect costs, and by third parties as well as third-party in-kind contributions. Third-party in-kind contributions means the value of non-cash contributions (such as property or services) that benefit the funded project, and are contributed by non-federal third parties, without charge, to the recipient of the federal award.

When federal matching funds are requested, the recipient must raise dollar-for-dollar cash contributions from nonfederal third parties and have them certified by NEH before the funds are released (see NEH’s Federal Matching Funds Guidelines). Matching funds require a one-to-one cost share. The full amount of federal matching funds may not be available for release in the first year of a multi-year period of performance. Federal matching funds are typically distributed on an annual basis over the life of the award.

Recipients are responsible for maintaining auditable records of the source and use of cost sharing contributions. See 2 CFR §200.306 for additional information.

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

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

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

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.

NEH does not provide financial assistance to foreign institutions or organizations.

Nevertheless, otherwise eligible American institutions may apply for collaborative projects involving U.S. and foreign organizations provided they do not use NEH funds for the purpose of issuing subawards to any foreign organization, as defined by 2 CFR §200.92 and 2 CFR §200.330(a). This limitation does not preclude American institutions from obtaining the services of foreign individuals and consultants to carry out various programmatic activities on a fee-for-service basis, as specified in 2 CFR §200.459; it also does not preclude vendor contracts such as in-country transportation services. If you are interested in submitting an application for a project involving international collaboration, please consult beforehand with the division staff.

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.

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

http://www.neh.gov/grants/manage/federal-matching-funds-guidelines http://www.neh.gov/grants/manage/federal-matching-funds-guidelines https://www.ecfr.gov/cgi-bin/text-idx?SID=3aeab4e3a836f5b6807999701e518c94&mc=true&node=pt2.1.200&rgn=div5#se2.1.200_1306 mailto:fpiri@neh.gov https://www.ecfr.gov/cgi-bin/text-idx?SID=35fcd29238edd42c8b1f8b1628e39d47&mc=true&node=pt2.1.200&rgn=div5#se2.1.200_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_1330 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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• United States citizens and foreign nationals who have lived in the United States for the three years immediately preceding the application deadline are eligible to apply for the fellowships funded with NEH funds.

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

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

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

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

D. Application and Submission Information

1. Application Package 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 FPIRI application package is available in Grants.gov. A link to the application package can be found on the program resource page.

To request a paper copy of this announcement, contact fpiri@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, 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 twenty-five double-spaced pages with one-inch margins and a font size no smaller than eleven point.

Information requested in this section may already exist in annual reports, auditors’ reports, and brochures. Where appropriate, refer to URLs that publish this information online.

https://www.ecfr.gov/cgi-bin/text-idx?tpl=/ecfrbrowse/Title02/2cfr180_main_02.tpl https://www.ecfr.gov/cgi-bin/text-idx?SID=8680aeef730451c8612427c92b89cc2d&mc=true&node=pt2.1.3369&rgn=div5 https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/circulars/A129/a-129.pdf https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/circulars/A129/a-129.pdf https://www.grants.gov/ https://www.grants.gov/web/grants/applicants/workspace-overview.html mailto:fpiri@neh.gov

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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.

A. Brief summary statement In one paragraph, state the purpose of the NEH-supported fellowships; their place within the applicant’s existing fellowship program; the total number of stipend months requested per year;

and, for previously funded applicants, whether this request represents an increase in funding over the previous NEH award.

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

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

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

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

• the administrative structure, size of the staff, and location

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

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

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

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

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

• the mission of the fellowship program

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

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

• special fields of interest and any particular mix of scholars that the institution attempts to achieve

• the activities of fellows

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

D. Publicity and application procedures (corresponds with review criteria 2, 3, 4) (2-4 pages) Identify target audiences. Explain how the institution will publicize fellowships to qualified applicants, especially through its website (provide the URL), social media, professional associations, disciplinary listservs, and other online means. Describe the publicity and outreach methods that the institution will use to attract a substantial and diverse group of scholars with related interests. Assess the effectiveness of past publicity efforts. Add a descriptive analysis of

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the applicant pool based on the statistical information provided as Attachment 8: Statistical analysis.

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

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

All applicants: Describe how the institution’s process ensures the selection of the best possible candidates and projects (see the requirements stated in Section A1. Purpose)

• List the criteria for selecting fellows.

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

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

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

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

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

You will provide documentation supporting the processes described here in Attachment 10:

Review guidance materials.

F. Program evaluation (corresponds with review criteria 4, 5) (2-3 pages) Describe the reports and other kinds of feedback that the institution requests from fellows.

Summarize the findings of the most recent assessment of the institution’s fellowship program(s). If the institution solicited outside assessments of its programs, please describe those as well. Describe how this information has been used to strengthen the program.

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

H. Future of the institution’s fellowship program (corresponds with review criteria 1, 2, 3, 5) (1 page) Describe any anticipated changes in the institution’s mission and intellectual vision, scope, administrative structure, funding, or mix of fellows. Discuss how these changes will affect the work of scholars supported through the institution’s programs. Explain any changes in the number of fellows (both FPIRI-funded fellows and others) or stipend levels needed to achieve the institution’s purposes.

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NARRATIVE GUIDANCE

To ensure that you fully address the review criteria, this table provides a crosswalk between the narrative language and where each section falls within the review criteria.

Narrative Section Review Criteria

B. The institution and its programs 1. Humanities significance

2. Intellectual community

5. Administration

C. The fellowship program 1. Humanities significance

2. Intellectual community

5. Administration

D. Publicity and application procedures

2. Intellectual community

3. Fairness of selection

4. Applicant pool, publicity, and budget

E. Selection procedures 3. Fairness of selection

4. Applicant pool, publicity, and budget

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

5. Administration

G. Institution staff and fellowship program administration

2. Intellectual community

3. Fairness of selection

5. Administration

H. Future of the institution’s fellowship program

1. Humanities significance

2. Intellectual community

3. Applicant pool, publicity, and budget

5. Administration

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

Applicants must submit a budget reflecting total project costs. For example, an applicant requesting $200,000 in outright funds and $200,000 in federal matching funds would submit a budget totaling $600,000 ($200,000 in outright funds, $200,000 in federal matching funds, and $200,000 in required cost share for the federal matching funds).

All of the items listed, whether supported by NEH funds or required cost sharing contributions (if applicable), must be reasonable, necessary to accomplish project objectives, allowable in

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

NEH funding for fellows’ stipends must be calculated at a rate of $5,000 per month of tenure (for at least four and up to twelve months) and should be included Section E.

Participant/Trainee Support Costs. Include additional payments to fellows—drawn from non- NEH sources—that would supplement the NEH funded stipends and describe this in the budget justification. If applicable, indicate any costs for housing and regular meals that will be deducted from the stipend amount and provide detail in the budget justification.

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 start and end dates should be the same as your SF-424 Application for Federal Assistance - Short Organizational. Check “Project” for budget type.

Section A. Senior/Key Person Include the names of the project director and other senior/key persons employed by the applicant organization who are involved in the project

For each senior/key person, indicate 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 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 automatically calculate 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 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=3aeab4e3a836f5b6807999701e518c94&mc=true&node=pt2.1.200&rgn=div5&sp2.1.200.e 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_1431

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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.

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

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

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

Section D. Travel Include selection committee travel and per diem. Enter the total funds requested for both domestic (both local and long-distance) and foreign travel. In Section L. Budget Justification, include the destination, dates of travel (if known), and the names and number of travelers for each trip. If the dates of travel are not known, specify the estimated length of trip (e.g., 3 days).

All trips—both foreign and domestic—must be justified individually.

For selection committee local travel, outline the mileage rate, number of miles. For long-distance travel, calculate per diem amounts for meals and lodging using written institutional policy. The lowest available commercial fares for coach or equivalent accommodations must be used. Any arrangements made on a non-refundable basis are at the risk of the recipient if the services must be cancelled for any reason. All travel costs claimed must be in compliance with 2 CFR §200.474, and foreign travel must comply with article 10 of the General Terms and Conditions for Awards to Organizations.

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

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.

Justify 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 If you will deduct health care costs from fellows’ stipends, include those costs here and describe in Section L. Budget Justification.

2. Stipends Include stipends for fellows here, calculated at a rate of $5,000 per month of tenure (for four to twelve months). Include any additional payments to fellows—drawn from non-NEH sources— 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_1474 https://www.ecfr.gov/cgi-bin/text-idx?SID=35fcd29238edd42c8b1f8b1628e39d47&mc=true&node=pt2.1.200&rgn=div5#se2.1.200_1474 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.ecfr.gov/cgi-bin/text-idx?SID=35fcd29238edd42c8b1f8b1628e39d47&mc=true&node=pt2.1.200&rgn=div5#se2.1.200_175

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that would supplement the NEH funded stipends, and describe these in Section L. Budget Justification.

If applicable, indicate any costs for housing and regular meals that will be deducted from the stipend amount in Section L. Budget Justification.

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

4. Subsistence If you will deduct subsistence costs (meals, lodging) from fellows’ stipends, include those costs here and describe in Section L. Budget Justification.

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

Number of Participants/Trainees List the estimated number of fellows. The value of 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 Do not include any expenses on this line.

3. Consultant Services Do not include any expenses on this line.

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

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

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

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

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8-10. Other Include honoraria paid to selection committee members here. Provide the names of committee members, if known; time commitment; and the honoraria amount paid to each individual in Section L. Budget Justification.

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

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 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;

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

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

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Per 2 CFR §200.68, modified total direct costs 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). Modified total direct costs excludes 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 13: 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 indirect costs.

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.

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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. The following budget categories must be justified, where applicable: salaries, travel, participant/trainee support, and other direct cost categories.

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

If your project includes voluntary cost share, describe it here. However, these costs should not be included on the Research and Related budget form.

If you are requesting federal matching funds, required cost share must be included on the Research and Related budget form. Identify the activities to be covered by such funds in the budget justification, describe your contributions to the project here. The total federal matching funds and cost share should be equal to the amounts indicated on the Supplementary Cover Sheet for NEH Grant Programs in the “Federal Matching” and “Cost Sharing” fields.

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…