PKG00265153-instructions.pdf

NOTICE OF FUNDING OPPORTUNITY

Funding Opportunity Title:

Sustaining Cultural Heritage Collections

Funding Opportunity Number: 20210114-PF

Funding Opportunity Type: New

Federal Assistance Listing Number: 45.149

Application Due Dates:

January 14, 2021 January 13, 2022

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 Preservation and Access Telephone: 202-606-8570 Email: preservation@neh.gov

TTY: 800-877-8399

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

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Executive Summary The National Endowment for the Humanities (NEH) Division of Preservation and Access is accepting applications for the Sustaining Cultural Heritage Collections program. The purpose of this program is to help cultural institutions meet the complex challenge of preserving large and diverse holdings of humanities materials for future generations by supporting sustainable conservation measures that mitigate deterioration, prolong the useful life of collections, and strengthen institutional resilience (i.e., the ability to anticipate and respond to disasters resulting from natural or human activity.)

Funding Opportunity Title: Sustaining Cultural Heritage Collections Funding Opportunity Number: 20210114-PF Federal Assistance Listing Number (CFDA):

45.149

Application Due Date: January 14, 2021, 11:59 p.m. Eastern Time January 13, 2022, 11:59 p.m. Eastern Time

Anticipated Announcement: August 2021 (for proposals submitted for the January 14, 2021 deadline or August 2022 (for proposals submitted for the January 13, 2022 deadline)

Anticipated Total Annual Available FY Funding:

Approximately $1,800,000 per deadline

Estimated Number and Type of Awards:

Approximately 15 grants per deadline

Funding Range: Planning: up to $50,000 Implementation: up to $350,000

Cost Sharing/Match Required: No Period of Performance: Planning: up to two years

Implementation: up to three years

All projects start as early as October 1, 2021 (for proposals submitted for the January 14, 2021 deadline) or as early as October 1, 2022 (for proposals submitted for the January 13, 2022 deadline).

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

See Section C for additional information.

Program Resource Page: https://www.neh.gov/grants/preservation/sustaining-cultural-heritage-collections

Pre-Application Webinar December 3, 2020 at 1:00 p.m. Eastern Time Access the webinar https://www.neh.gov/grants/preservation/sustaining-cultural-heritage-collections https://www.neh.gov/grants/preservation/sustaining-cultural-heritage-collections https://teams.microsoft.com/l/meetup-join/19%3ameeting_YTJiM2QyMWMtZTE1MC00YTQ2LWJhOWItYjM1NTNiZjQ4NDJj%40thread.v2/0?context=%7b%22Tid%22%3a%2293b06459-c77d-44b6-af7f-e813cddcdcc3%22%2c%22Oid%22%3a%22ceee874b-a148-4f20-94cb-90446b6451bf%22%2c%22IsBroadcastMeeting%22%3atrue%7d

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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 Sustaining Cultural Heritage Collections (SCHC) program from the NEH Division of Preservation and Access.

The SCHC program helps cultural institutions meet the complex challenge of preserving large and diverse holdings of humanities materials for future generations by supporting sustainable conservation measures that mitigate deterioration, prolong the useful life of collections, and strengthen institutional resilience (i.e., the ability to anticipate and respond to disasters resulting from natural or human activity).

Cultural institutions, including libraries, archives, museums, and historical organizations, face an enormous challenge: to preserve humanities collections that facilitate research, strengthen teaching, and provide opportunities for lifelong learning. To ensure the preservation of books and manuscripts, photographs, sound recordings and moving images, archaeological and ethnographic artifacts, art, and historical objects, cultural institutions must implement measures that slow deterioration and prevent catastrophic loss from emergencies resulting from natural or human activity. They can accomplish this work most effectively through preventive conservation. Preventive conservation encompasses managing relative humidity, temperature, light, and pollutants in collection spaces; providing protective storage enclosures and systems for collections; and safeguarding collections from theft, fire, floods, and other disasters.

As museums, libraries, archives, and other collecting institutions strive to be effective stewards of humanities collections, they must find ways to implement preventive conservation measures that are sustainable. This program helps cultural repositories plan and implement preservation strategies that pragmatically balance effectiveness, cost, and environmental impact. Sustainable approaches to preservation can contribute to an institution’s financial health, reduce its use of fossil fuels, and benefit its green initiatives, while ensuring that collections are well cared for and available for use in humanities programming, education, and research. Sustainable preventive conservation measures may also aim to prepare and plan for, absorb, respond to, recover from, and more successfully protect collections in the event of emergencies resulting from natural or human activity.

Effective and sustainable preservation strategies must be informed by the nature of an institution and its collections. Applicants should have completed the process of basic preservation planning and environmental monitoring, which might include a general preservation plan, collection inventory, emergency plan, and/or basic assessments of building and storage environments. Using priorities established through this basic planning process, applicants to SCHC should consider how to address long-term collection care needs.

Sustainable preservation strategies can take many forms, depending on collection materials, the building envelope, and the local climate. However, interdisciplinary collaboration during planning and implementation of these strategies is essential. In SCHC projects, such teams typically consist of consultants and members of the institution’s staff and can include architects, building engineers, conservation scientists, conservators, curators, archivists, and facilities managers, among others.

Applications to the SCHC program should incorporate best practices in sustainable and resilient collection care. Such practices may include:

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• defining preservation requirements based on an understanding of your collections, their conditions, and the particular risks that they face, rather than relying on prescriptive targets

• understanding the characteristics and performance of the building in which your collections are housed, its envelope and its systems, and their role in moderating interior environmental conditions

• considering the impact of the local climate on establishing relative humidity and temperature setpoints and managing interior environmental conditions

• evaluating risks to collections associated with changes in average weather conditions, natural disasters, and/or other emergencies

• weighing initial and ongoing energy use, costs, and environmental impacts of potential preservation strategies

• prioritizing passive and nonmechanical ways to improve and manage collection environments and risks

• developing solutions tailored to the capabilities of the organization and its staff

• evaluating and measuring the effectiveness of a project’s results through the collection of data on conditions, energy use, and costs

NEH will require a white paper on lessons learned, which will be posted on the agency’s website (see F3. Reporting). NEH also encourages additional dissemination of information about projects through such activities as blogs, conference presentations, or publications.

All NEH-funded projects involving construction or expansion (including demolition), alteration, renovation, repair, rehabilitation, or ground disturbance, must comply with the following laws, as applicable:

• National Environmental Policy Act of 1969 (NEPA)

• Section 106 of the National Historic Preservation Act (NHPA)

• Davis-Bacon Act

• Americans with Disabilities Act (ADA)

• Executive Order 13788 (Buy American and Hire American)

Applicants should build sufficient time into their project plans to account for a potentially lengthy review period if NEH decides to fund their applications. See section F2 Administrative and National Policy Requirements for additional details.

Unallowable activities are described in section D6. Funding Restrictions.

Funding categories The SCHC program offers two levels of funding: Planning and Implementation.

Planning The Planning category provides funding for institutions to develop and assess sustainable preventive conservation strategies. These awards are up to $50,000 for a two-year period of performance.

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The Planning category supports activities such as on-site consultation, risk assessments, planning sessions, ongoing environmental monitoring programs, testing, modeling, project-specific research, and preliminary designs for implementation projects. Planning proposals must be informed by an existing preservation or collection management plan and must focus on exploring sustainable preventive conservation or resiliency strategies. They also must involve an interdisciplinary team appropriate to the goals of the project. The team may consist of consultants and members of the institution’s staff and might include architects, building engineers, conservation scientists, conservators, curators, and facilities managers, among others. A preservation/conservation professional who works with collections must be included on the planning team. All members of the team must be identified in the application, and they should all work collaboratively throughout the planning process.

The Planning category is intended to address complex preservation challenges, which only an interdisciplinary team can solve. Therefore, Planning applicants must have completed basic preservation planning and identified any preservation challenges and priorities. Such basic activities as completing general preservation/conservation assessments and establishing environmental monitoring programs are not eligible for support through the SCHC program.

Planning proposals might be used to:

• reevaluate environmental parameters for collections and establish realistic and achievable targets

• study the performance characteristics of buildings and building envelopes to understand how they might be used to moderate collection environments

• examine passive (nonmechanical) and low-energy alternatives to conventional energy sources and energy-intensive mechanized systems for managing environmental conditions

• analyze and optimize existing climate control systems to enable improved operation, effectiveness, and energy efficiency

• explore the potential of actively managed mechanical systems to achieve desired conditions along with energy and cost savings

• conduct a risk assessment to improve institutional resilience in the face of disasters resulting from natural or human activity

• examine options and develop strategies for lighting collection spaces in ways that protect collections while achieving improved energy efficiency

• evaluate the effectiveness of preventive conservation strategies previously implemented, including energy-efficient upgrades to existing systems and performance upgrades to buildings and building envelopes

• perform a building reserve study or reinvestment plan for infrastructure and systems associated with collection storage and display

Planning proposals may also be used to perform various kinds of testing, modeling, or project-specific research to help applicants better understand conditions and formulate sustainable preservation strategies. Testing, modeling, or project-specific research might include:

• measuring energy consumption

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• thermal imaging of buildings

• testing building performance during extended power outages or other emergency situations

• using blower door tests to identify air leaks in buildings

• creating mock-ups of lighting options

• testing natural ventilation methods

• testing the effect of buffered storage enclosures on moderating fluctuating environmental conditions

• recommissioning or tuning small-scale climate control systems

• adjusting the operating protocols for climate control systems

Implementation The Implementation category provides funding for institutions to implement preventive conservation projects. These awards are up to $350,000 for a period of performance of up to three years.

Implementation proposals might be used to:

• manage interior relative humidity and temperature by passive methods (such as creating buffered spaces and housing, controlling moisture at its sources, or improving the thermal and moisture performance of a building envelope)

• upgrade a building automation system to enable more active management of a heating, ventilating, and air conditioning system

• recommission or install heating, ventilating, and air conditioning systems

• reorganize collections by material type, locating more vulnerable collections in spaces that are more naturally stable

• install storage systems and rehouse collections to reduce risk

• improve security and the protection of collections from fire, floods, and other disasters

• upgrade lighting systems and controls, to achieve energy efficiency and levels suitable for collections

Implementation projects may cover costs associated with minor building alterations and renovation required to implement sustainable preventive conservation measures. Because SCHC grants may not fund new construction, the costs of installing climate control, security, storage equipment, and fire protection systems in a building under construction are not eligible.

Awards may support the rehousing and movement of collections into a new building, if the primary purpose of the move advances institutional sustainability and/or resilience.

Implementation projects must be at a stage of schematic design when the application is submitted.

Unallowable activities are described in section D6. Funding Restrictions.

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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 NEH, 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.

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 NEH seeks new applications in response to this notice.

NEH will provide funding in the form of grants.

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2. Summary of Funding Approximately $1,800,000 is expected to be available to fund 15 recipients per deadline.

Planning applicants may apply for a ceiling amount of up to $50,000. Implementation applicants may apply for a ceiling of up to $350,000.

NEH will not determine the amount available until Congress has enacted the final FY 2021 and FY 2022 budgets. 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 is up to two years for Planning awards and up to three years for Implementation awards.

The period of performance start date for applications submitted for the January 14, 2021 deadline is no earlier than October 1, 2021.

The period of performance start date for applications submitted for the January 13, 2022 deadline is no earlier than October 1, 2022.

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 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.

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). 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.

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3. Other Eligibility Information Eligible applicants may submit multiple applications for separate and distinct projects under this announcement. An individual may only serve as project director on a single proposal.

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

An institution whose project has received NEH support may apply for a new or subsequent stage of that project. These proposals receive no special consideration and will be judged by the same criteria as others in the current competition. In addition, these proposals must be substantially updated and must include a description of the new activities and a justification of the new budget.

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 §200.1 and 2 CFR §200.331(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 through Grants.gov, using either Workspace or your organization's system-to-system software. Use the Standard Form 424 - Short Organizational (SF-424 Short) application package associated with the funding opportunity, and follow the instructions provided by Grants.gov unless otherwise noted below. The Grants.gov registration process is described in Section D3.

The 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 preservation@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.

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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.

Planning applicants must limit the narrative to ten single-spaced pages. Implementation applicants must limit the narrative to twelve single-spaced pages. All pages should have one-inch margins and the font size should be no smaller than eleven point.

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.

Introduction (corresponds to Review Criteria 1, 2, and 3) Provide an overview of your project and request to NEH, and explain how they fit into the institution’s strategic plan and preservation priorities. Include a brief statement explaining how your project addresses sustainable preventive conservation strategies.

Provide a brief profile of your organization, including its collections, institutional history and mission, physical facilities (specify whether the facilities are owned or leased), number of staff, operating budget, and number of users or visitors annually. Discuss the collections’ relevance to the institution’s mission. Identify plans or policies that guide the collections’ development.

Significance of collections (corresponds to Review Criterion 1) Describe in detail the nature, size, and intellectual content of the collections that are the focus of the project. Discuss the collections’ current, past, or potential use in support of the humanities, and describe the various audiences that your institution serves. Include examples of specific exhibitions, educational programs, research projects, and publications to illustrate the ways in which the collections have been used to examine humanistic themes and ideas. In addition, discuss the relation of the collections to similar holdings in other repositories.

Current conditions and preservation challenges (corresponds to Review Criterion 3) Describe the present condition of the collections and define the preservation challenges that the project would address.

In addition, provide a brief overview of preventive conservation practices and policies at your institution. For example, identify policies, practices, and systems that are in place to manage environmental conditions, provide appropriate storage, and protect collections from fire, theft, pests, and disasters. Consider including visual documentation in Attachment 6: Assessments and Studies to illustrate the preservation problems described in the proposal.

Describe the current level of administrative and intellectual control of the collections. If the project involves the movement or relocation of collections, explain how the current levels of control prepare for successful implementation of the project.

History of the project (corresponds to Review Criteria 2 and 6) Discuss previous preservation actions and the findings of research or studies (such as general preservation or conservation assessments, risk assessments, environmental monitoring, and specialized consultations) that lay a foundation for the proposed project. Explain how the

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proposed project relates to any sustainability initiatives at your institution and to your strategic plan or other long-range planning efforts. Provide the rationale for undertaking the proposed planning or implementation activities, along with the expected outcomes.

Methods and standards (corresponds to Review Criteria 2 and 4) For both planning and implementation projects, explain and justify the proposed methods and procedures. Discuss how your project will explore or employ sustainable preservation strategies and how research, standards, and practices provide a basis for the project. Describe how data will be collected and evaluated to assess the effectiveness of the sustainable preservation strategies implemented (e.g., conditions, energy use, cost).

For Planning projects Discuss the kinds of knowledge and skills that the planning team needs, and explain how the team has been assembled. Show how the project’s framework and methods are related to the expected outcomes. Describe the nature of any testing, modeling, or project-specific research that is planned, and explain how such activities could help you identify sustainable preservation strategies.

If you are not following or are modifying the recommendations of assessors and specialists, explain why. Discuss any measures that will be taken to ensure that the collections are professionally maintained and protected during the project.

For Implementation projects to rehouse and improve storage of collections Describe the methods and materials used to rehouse the collections and discuss the development of the storage plan. Explain how the proposed work plan will support long-term institutional resilience in the face of emergencies resulting from human activity and natural disasters. As applicable, refer to institutional, regional, and/or national disaster plans and/or networks.

For Implementation projects to improve and manage environmental conditions Provide a detailed description of steps that will be taken to improve conditions for humanities collections and define expected conditions. As relevant, describe the primary design features of passive measures, mechanized systems, and equipment proposed for managing or controlling conditions. Discuss your institution’s capacity, including policies, procedures, and staffing, for operating and maintaining systems that manage environmental conditions. Discuss plans for ongoing monitoring of conditions, energy consumption, and system performance.

For Implementation projects to install or improve security, fire protection, or lighting Describe the primary design features and explain how the proposed equipment would work in conjunction with institutional policies, procedures, and staffing to protect collections. Explain how the proposed work plan will support long-term institutional resilience in the face of emergencies resulting from natural or human activity.

Work plan (corresponds to Review Criterion 5) Provide a brief summary of your workplan, including key dates and activities, in the narrative.

Provide a detailed work plan, including the steps of the project, who is responsible for each activity, project deliverables, and a timeline must be submitted in Attachment 2.

Project team (corresponds to Review Criterion 7) Provide the names, qualifications, and expected contributions of each member of the project team, including consultants as well as staff members.

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Project results and dissemination (corresponds to Review Criteria 2 and 9) Summarize the project’s expected outcomes. For Planning projects, describe expected next steps. For Implementation projects, explain how the preservation improvements could strengthen your institution’s work in the humanities.

All recipients should collect and report data on conditions, energy use, and costs, which can help inform the cultural heritage community about the effectiveness of sustainable preservation strategies.

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 Introduction 1, 2, 3 Significance of collections 1 Current conditions and preservation challenges 3 History of the project 2. 6 Methods and standards 2, 4 Work plan 5 Project team 7 Project results and dissemination 2, 9

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

Applicants requesting federal matching funds must submit a budget reflecting total project costs that include the one-to-one required cost share for the federal matching funds. As an example, an applicant requesting $100,000 in outright funds and $20,000 in federal matching funds must submit a budget that includes $140,000 in total project costs.

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.

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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 who are employed by the applicant organization and who are involved in the project.

List the name and project role for 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 terms in Section L. Budget Justification.

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

The form can accommodate up to eight senior/key persons. If you are requesting funds for more senior/key persons than the form allows, you must include an attachment listing the additional senior/key person(s) in the "Additional Senior/Key Persons" field. 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 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. Totals will be automatically calculated.

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Post-doctoral associates, graduate students, and undergraduate students For all post-doctoral associates, graduate students, and undergraduate students, individually list names, roles, associated months, and requested salary and fringe benefits in Section L. Budget Justification.

If applicable, include charges for tuition remission and other forms of compensation paid to students as, or in lieu of, salaries and wages. Such costs are subject to the reporting requirements in 2 CFR §200.430, and must be treated as direct or indirect costs in accordance with the actual work 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 (see Section H.

Indirect Costs). However, examples of situations where direct charging of administrative or clerical staff salaries may be appropriate may be found at 2 CFR §200.413 (c).

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

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

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

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

4. The costs are not also recovered as indirect costs.

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

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

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

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

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

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

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

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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 2CFR §200.322 and 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. In this attachment, specify 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 ( 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 §200.475, 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 unless the purpose of attending is to disseminate project-related findings.

Total travel costs will be automatically calculated based on domestic and foreign travel costs.

Travel to Canada and Mexico is considered foreign travel.

Section E. Participant/Trainee Support Costs Per 2 CFR §200.1, participant support costs are direct costs for expenses such as stipends, travel allowances, subsistence allowances, and registration fees paid to or on behalf of participants or trainees (but not employees) in connection with conferences or training projects.

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

Justify participant support costs in Section L. Budget Justification.

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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 stipends.

3. Travel List the total funds requested for participant 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 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, etc.).

5. Other Describe any other participant 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. 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 List the total funds requested for publication costs.