PKG00262697-instructions.pdf

NOTICE OF FUNDING OPPORTUNITY

Funding Opportunity Title:

Archaeological and Ethnographic Field Research

Funding Opportunity Number: 20200930-RFW

Funding Opportunity Type: New

Federal Assistance Listing Number: 45.161

Application Due Date: September 30, 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: fieldwork@neh.gov

TTY: 800-877-8399

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

20200930-RFW i

Executive Summary The National Endowment for the Humanities (NEH) Division of Research Programs is accepting applications for the Archaeological and Ethnographic Field Research program. The purpose of this program is to provide funding to conduct empirical research in the United States or abroad in order to answer questions of importance to the humanities. While the ultimate expectation of such awards is the dissemination of results through publications and other media, the program supports field costs such as travel, accommodation, field staff, field equipment, and salary replacement for the project director and collaborating scholars.

Funding Opportunity Title:

Archaeological and Ethnographic Field Research

Funding Opportunity Number:

20200930-RFW

Federal Assistance Listing Number

(CFDA):

45.161

Application Due Date:

September 30, 2020 at 11:59 p.m. Eastern Time

Anticipated Announcement:

April 2021

Anticipated Total Annual Available FY 21 Funding:

$800,000

Estimated Number and Type of Award(s):

Up to 10 grants

Funding Range: Up to $150,000 Cost Sharing/Match Required:

Conditionally required. See Section C for additional information.

Period of Performance:

4 to 36 months, starting as early as June 1, 2021

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 or additional information.

Program Resource Page:

https://www.neh.gov/program/archaeological-and-ethnographic-field-research

Pre-Application Webinar

Augst 10 at 3:00 p.m Eastern Time https://attendee.gotowebinar.com/register/2146956290828107280 https://www.neh.gov/program/archaeological-and-ethnographic-field-research https://www.neh.gov/program/archaeological-and-ethnographic-field-research https://attendee.gotowebinar.com/register/2146956290828107280

20200930-RFW ii

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

20200930-RFW 1

A. Program Description

1. Purpose This notice solicits applications for the Archaeological and Ethnographic Field Research program.

Through the Archaeological and Ethnographic Field Research program, the National Endowment for the Humanities (NEH) Division of Research Programs seeks to support institutionally-based projects engaged in empirical field research utilizing archaeological and/or ethnographic methods to answer significant questions in the humanities. Archaeological methods may include field survey and field-based remote sensing, documentation or visualization, and excavations in support of answering research questions in ancient studies, history, anthropology, classical studies, art history, regional studies, epigraphy, and other related disciplines. Ethnographic methods may include participant observation, surveys and interviews, and documentation or recording in pursuit of research questions in anthropology, ethnolinguistics, oral history, ethnomusicology, performance studies, folklore studies, sociology, and related disciplines. Competitive submissions will embody exceptional research design, deploy rigorous field methodologies, and clearly articulate a project’s value to humanities scholars, general audiences, or both.

NEH Field Research grants provide up to three years of support for domestic or international fieldwork projects. Allowable costs may include:

• travel, lodging, and subsistence

• permits, fees, and visas for the project personnel

• field equipment and supplies

• labor, specialists, translators, and other local vendors

• salary or salary replacement costs for the project director and compensation for collaborating scholars, including support for foreign individuals who are named as collaborating scholars

NEH Field Research grants also allow for up to $5,000 per 12-month period to be used for conservation or preservation efforts, including site or artifact conservation, community outreach, and public education efforts. NEH strongly encourages applicants to work closely with local collaborators and/or local communities in the co-creation of knowledge, and the preservation of culture, whenever possible.

NEH invites applications from institutions in which the Project Director is a scholar in any discipline of the humanities or related subfields of the social sciences who holds a Ph.D. or the equivalent. Junior faculty are particularly encouraged to apply. While a project may include collaborating scholars, co-project directors are not permitted in this program.

Projects whose main focus is research on collections, archives, or legacy data, or whose methods are predominantly laboratory-based, will not be considered in this competition. Similarly, while the ultimate expectation of these awards is public dissemination through peer-reviewed publications and other media, publication costs and manuscript preparation are not permitted in this program. Applicants interested in substantial post-fieldwork research and manuscript preparation should consider NEH’s Collaborative Research program or the fellowship programs for individuals.

https://www.neh.gov/grants/research/collaborative-research-grants

20200930-RFW 2

Field school costs are not permitted. While post-fieldwork analyses or data processing are allowable secondary activities, the primary purpose of the program is to support work in the field.

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.

Standing Together In recognition of the importance of the humanities both in helping Americans to understand the experiences of service members and in assisting veterans as they return to civilian life, NEH has launched a special initiative titled Standing Together: The Humanities and the Experience of War. This special initiative draws on the power of the humanities 1) to support advanced research in the humanities that explores war and its aftermath; 2) to promote discussion and 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 https://www.neh.gov/grants/standing-together https://www.neh.gov/grants/standing-together

20200930-RFW 3

deepened understanding of the experiences of those Americans affiliated with the armed services, whether active duty or veterans; and 3) to support returning veterans and their families.

Protecting our Cultural Heritage In response to the destruction of cultural heritage materials worldwide, NEH encourages applications for projects that study, document, or create digital representations of lost or imperiled cultural heritage materials. Proposed projects should be based on scholarly work and follow standards and best practices. Projects must demonstrate the capacity to be sustained and must be widely accessible to the public. Learn more about Protecting our Cultural Heritage.

In addition, NEH especially encourages projects that include Native American organizations and communities as lead applicants and project partners.

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 $800,000 is expected to be available to fund up t0 10 recipients.

You may request a period of performance of no less than four and up to thirty-six months, with a start date as early as June 1, 2021. For projects with a period of performance between four and twelve months, you may request up to $75,000. For periods of performance lasting more than twelve months, you may request up to $75,000 per year, not to exceed the award ceiling of $150,000.

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.

Successful applicants will be awarded outright funds, matching funds, or a combination of the two, depending on the availability of funds.

Applicants may request up to $50,000 in federal matching funds. Matching funds require a one-to-one cost share. For institutions of higher education, if the project director is a tenured faculty member, the applicant must request at least $20,000 in Federal Matching funds. The application budget for tenured faculty must reflect the total NEH Outright funds requested plus an additional $20,000 or more in required cost share, and the applicant must demonstrate the ability to raise third-party gifts eligible to complete the required match. (As an example: $50,000 outright request + $20,000 in Federal Matching funds + $20,000 required cost share/match = $90,000 in total project costs, direct and indirect). See C2. Cost Sharing.

https://www.neh.gov/grants/protecting-our-cultural-heritage

20200930-RFW 4

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.

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

2. Cost Sharing Institutions of higher education whose project director is a tenured faculty member are required to provide at least $20,000 in cost share.

For applicants whose project director is non-tenured, tenure-track, an adjunct faculty member, or a post-doctoral researcher, there is no cost sharing requirement, unless federal matching funds are requested.

Cost-share requirements will be determined based upon the project director named on the SF- 424 Application for Federal Assistance - Short Organizational. Note that a change in project director from a non-tenured faculty member to a tenured faculty member may result in a recalculation of required cost share on the award.

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.

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 cash contributions from non-federal third parties and have them certified by NEH before the funds are released (see NEH’s Federal Matching Funds Guidelines). The full amount of federal matching funds may not be available for release in the first year of a multi-year period of performance. Federal matching funds are typically distributed on an annual basis over the life of the award. Funds raised to satisfy a match count toward an institution’s required cost share for a project.

Recipients are responsible for maintaining auditable records 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. An individual may serve as a project director on only one application submitted under this announcement.

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 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

20200930-RFW 5

correct funding opportunity number, prior to the Grants.gov application due date as the final and only acceptable application.

Project directors must be scholars in any discipline of the humanities or related subfields of the social sciences with a Ph.D. or the equivalent terminal degree. While a project may include collaborating scholars, co-project directors are not permitted in this program.

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, nonresponsive, or ineligible applications will not be considered for funding under this notice.

Applications that exceed specified page limits will not be reviewed. See the Application Components Table.

D. Application and Submission Information

1. Application Package You must apply electronically, using either Grants.gov Workspace or your organization's system-to-system software. Use the Standard Form 424 - 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 Program Name 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 fieldwork@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.

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 https://www.grants.gov/web/grants/applicants/workspace-overview.html https://www.neh.gov/program/archaeological-and-ethnographic-field-research

20200930-RFW 6

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

You must limit the narrative to ten single-spaced pages with one-inch margins and a font size no smaller than eleven points. Footnotes are not required but are allowed, if they fit within the ten-page limit.

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.

Argument for intellectual significance (corresponds primarily to Review Criterion 1) Provide a clear and detailed explanation of the project’s research questions and their importance to humanities scholars and general audiences, where appropriate. Discuss the relationship of the proposed research to other published and ongoing work in the discipline or the humanities generally. Explain how the project will complement, challenge, or expand relevant existing studies and literature. (1-2 pages)

Research design and methods (corresponds primarily to Review Criterion 2) Explain how your proposed research design will help to resolve the problems or questions being examined. Describe the theoretical framework of the argument and explain how the proposed research methods will advance it. Indicate the current state of the project and the part or stage of it that will be supported by this award. Explain the appropriateness of the costs associated with these methods vis-à-vis other alternatives (you will have the opportunity to provide greater detail in the budget justification). (2-4 pages)

For archaeology proposals, state your research questions and explain how your proposed field methods will address these questions. If you are surveying, detail how and where you will conduct the survey, how information will be collected and analyzed, and what results you hope to achieve from these efforts. For documentation or visualization projects, explain what exactly you will be recording and with what particular methods, and how this work will advance a specific research agenda (versus a conservation, preservation, or presentation agenda). If you are excavating, detail how many trenches you will open, of what size, and in what locations. Explain your methods for collecting accurate data to answer your specific research questions. For all archaeological projects, describe how you plan to store and analyze your data, and how you will mitigate against long-term damage to the site or sites you are studying.

For ethnography proposals, state your research questions and explain how your proposed field methods will address these questions. If you are engaged in participant observation, detail how long and in what capacity you will embed yourself in a particular community, and what insights you hope to glean from this time. For surveying or interviewing projects, provide examples of the questions to be asked and the methods by which these questions will be administered and answers will be recorded. Detail how many people you expect to interview, and how you chose these people vs. others. For documentation projects, explain what information or behavior you are trying to capture, how you plan to record it, and how this work will advance a specific research agenda (versus a conservation, preservation, or

20200930-RFW 7

public education agenda). For all ethnographic projects, describe how you plan to store and analyze your data, and how you will mitigate against long-term negative effects on the community or communities you are studying.

Project director and collaborators (corresponds primarily to Review Criterion 3) Name the project director and any collaborating scholars who would work on the project during the proposed period of performance, regardless of whether NEH funds are requested to support their participation. Describe their qualifications and responsibilities. Explain what each collaborator would contribute to the project and the method or nature of the collaboration. State anticipated commitments of time, in percentage of time or hours per week for the project director and key personnel.

Explain the project director’s competence or background in the area of his or her project. If the area of inquiry is new to the project director, explain the reasons for working in it and his or her qualifications to do so. Where appropriate, specify the level of competence in any language needed for the study. (1-2 pages)

Plans for dissemination (corresponds primarily to Review Criterion 4) Describe the project’s intended results and how it will be conveyed to specific audiences.

Provide information on how you plan to disseminate the information gained both during and after the field research phase, including governmental, academic, and public outreach where relevant. If the project has a website, provide the URL. If known, provide a list and timetable for the publication of field reports as well as any planned interpretive essays, articles, and books with their prospective authors and publishers.

If the final publication will appear in a language other than English, explain how access and dissemination will be affected.

Applicants who have previously received NEH funding for any phase of the proposal research project must describe how those results were disseminated and to which audiences. (1-2 pages)

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 Criterion

Argument for intellectual significance 1

Research design and methods 2

Project director and collaborators 3

Plans for dissemination 4

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.

20200930-RFW 8

Required fields are indicated in yellow. If no funds are requested for a required field, enter "0."

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

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 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.

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 must 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.

Indicate the name and project role of each senior/key person. 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 additional senior/key person(s) in the "Additional Senior/Key Persons" field. Attach only one PDF file named additionalpersonnel.pdf. 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 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

20200930-RFW 9

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.

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.

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

20200930-RFW 10

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.

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. Attach only one PDF file named additionalequipment.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 Enter the total funds requested for both domestic (both local and long-distance) and foreign travel. In Section L. Budget Justification, include the purpose, 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 local travel, outline the mileage rate, number of miles, reason for travel and staff member/consumers completing the travel. For long-distance travel, calculate per diem amounts for meals and lodging 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.

NEH funds may not be used to support attendance at regularly-occurring professional meetings.

Total travel costs will automatically calculate based on domestic and foreign travel costs. Travel to Canada and Mexico is considered foreign travel.

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

20200930-RFW 11

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.

Note that field schools are not an allowable activity in this program.

Per 2 CFR §200.432, a conference is defined as a meeting, retreat, seminar, symposium, workshop or event whose primary purpose 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 List the total funds requested for Participant/Trainee travel. In Section L. Budget Justification, name the travelers (if possible) and reflect the travel expenses for each (e.g., roundtrip airfare, mileage or public transportation, related parking, etc.). Any arrangements made on a non-refundable basis are at the risk of the recipient or participant if the services must be cancelled for any reason.

4. Subsistence List the total funds requested for Participant/Trainee subsistence. Subsistence expenses include:

(a) lodging and service charges;

(b) meals, including taxes and tips; and

(c) incidental expenses (fees and tips given to porters, baggage carriers, hotel staff, and staff on ships).

5. Other Describe any other Participant/Trainee support costs (e.g., local ground transportation to various venues, admission fees, bottled water, etc.) 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 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.

https://www.ecfr.gov/cgi-bin/text-idx?SID=35fcd29238edd42c8b1f8b1628e39d47&mc=true&node=pt2.1.200&rgn=div5#se2.1.200_175 https://www.ecfr.gov/cgi-bin/text-idx?SID=b76712a585433486e57dafcd521c952e&mc=true&node=pt2.1.200&rgn=div5#se2.1.200_1432

20200930-RFW 12

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 As a matter of programmatic policy, publication costs are not allowed in this program. Costs included on this line will be disallowed.

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 to be performed.

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 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 9: 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.

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 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

20200930-RFW 13

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.

Per 2 CFR §200.432, allowable conference costs may include rental of facilities.

The Hotel and Motel Fire Safety Act of 1990 (Pub. L. 101-391) states that federally funded meetings and conferences cannot be held in properties that do not comply with the law. The Act is applicable to all places of public accommodation affecting commerce, and requires that such properties are equipped with:

• hard-wired, single-station smoke detectors in each guestroom in accordance with the National Fire Protection Association (NFPA) standard 72;

• an automatic sprinkler system, with a sprinkler head in each guest room in compliance with NFPA standards 13 or 13R. Properties three stories or lower in height are exempt from the sprinkler requirement.

Note: ”places of public accommodation affecting commerce” are any inns, hotels, or other establishments not owned by the Federal Government that provides lodging to transient guests, except that such term does not include an establishment treated as an apartment building for purposes of any State or local law or regulation or an establishment located within a building that contains not more than five rooms for rent or hire and that is actually occupied as a residence by the proprietor of such establishment.

The United States Fire Administration (USFA) is charged with carrying out FEMA's responsibilities with respect to the Hotel and Motel Fire Safety Act of 1990. In addition to compiling, maintaining and publishing the National Master List, USFA is also responsible for taking steps to encourage states to promote the use of automatic sprinkler systems and automatic smoke detection systems.

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.

Per 2 CFR §200.432, allowable conference costs may include speakers’ fees, costs of meals and refreshments, and other items incidental to such conferences. Conference hosts/sponsors must exercise discretion and judgment in ensuring that conference costs are appropriate, necessary and managed in a manner that minimizes costs to the NEH award. If incidental food items and/or meals are provided at no charge during meetings, conferences, training, or other events attended while on NEH-supported travel, the per diem charged to the award must be reduced accordingly. Alcoholic beverages are unallowable and may not be included in your budget.

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=35fcd29238edd42c8b1f8b1628e39d47&mc=true&node=pt2.1.200&rgn=div5#se2.1.200_1432 https://www.ecfr.gov/cgi-bin/text-idx?SID=b76712a585433486e57dafcd521c952e&mc=true&node=pt2.1.200&rgn=div5#se2.1.200_1462 https://www.ecfr.gov/cgi-bin/text-idx?SID=35fcd29238edd42c8b1f8b1628e39d47&mc=true&node=pt2.1.200&rgn=div5#se2.1.200_1432

20200930-RFW 14

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…