Research and Development 20220517-PR.pdf

Notice of Funding Opportunity

Funding Opportunity Title: Research and Development

Funding Opportunity Number: 20220517-PR

Funding Opportunity Type: New

Federal Assistance Listing Number: 45.149

Application Deadline: May 17, 2022

Ensure your SAM.gov and Grants.gov registrations and passwords are current.

It may take up to one month to register with SAM.gov and Grants.gov.

NEH will not grant deadline extensions for lack of registration.

Division of Preservation and Access Telephone: 202-606-8570 Email: preservation@neh.gov Federal Relay: 800-877-8399

OMB control number 3136-0134, expiration date October 31, 2024 mailto:preservation@neh.gov

20220517-PR i

Executive Summary The National Endowment for the Humanities (NEH) Division of Preservation and Access is accepting applications for the Research and Development program. The purpose of this program is to support projects that address major challenges in preserving or providing access to humanities collections and resources. Research and Development offers two funding tiers in order to address projects at all stages of development and implementation.

Funding Opportunity Title Research and Development

Funding Opportunity Number 20220517-PR

Federal Assistance Listing Number 45.149

Optional Draft Deadline April 12, 2022, 11:59 p.m. Eastern Time

Application Deadline May 17, 2022, 11:59 p.m. Eastern Time

Anticipated Announcements December 2022

Anticipated FY 2023 Funding Approximately $1,500,000

Estimated Number and Type of Awards Approximately 7-8 grants

Award Amounts Tier I: up to $75,000

Tier II: up to $350,000

Cost Sharing/Match Required No

Period of Performance Tier I: up to two years

Tier II: up to three years

Projects must start between March 1, 2023, and

September 1, 2023.

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

See C. Eligibility Information for additional information.

Program Resource Page https://www.neh.gov/grants/preservation/research-and-development

Pre-Application Webinar A pre-recorded webinar will be posted here by 5:00 p.m. Eastern Time on March 4, 2022.

Published February 17, 2022 https://www.neh.gov/grants/preservation/research-and-development https://www.neh.gov/grants/preservation/research-and-development

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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 The Research and Development program supports projects that address major challenges in preserving or providing access to humanities collections and resources. These challenges include the need to find better ways to preserve materials of critical importance to the nation’s cultural heritage—from fragile artifacts and manuscripts to analog recordings and digital assets subject to technological obsolescence—and to develop advanced modes of organizing, searching, discovering, and using such materials.

This program supports projects at all stages of development, from early planning and standalone studies to advanced implementation. Research and Development projects contribute to the evolving and expanding body of knowledge for heritage practitioners, and for that reason, outcomes may take many forms. Projects may produce any combination of laboratory datasets, guidelines for standards, open access software tools, workflow and equipment specifications, widely used metadata schema, publications, online resources, or other products.

Research and Development supports work on the entire range of humanities collection types including, but not limited to, moving image and sound recordings, archaeological artifacts, born-digital and time-based media, rare books and manuscripts, archival records, material culture, and art. Applicants must demonstrate how advances in preservation and access through a Research and Development project would benefit the cultural heritage community by supporting humanities research, teaching, or public programming.

Research and Development projects are encouraged to address one or more of the following areas of special interest:

• Preserving audiovisual and digital heritage. Research and Development supports work to address the needs of collection formats most at risk of obsolescence. Projects may address issues such as format degradation, preservation work at scale, algorithmic and machine learning methodologies, storage, sustainable infrastructure, data appraisal, and curation.

• Conserving the material past. Research and Development supports scientific work to improve the conservation treatment and preventive care of cultural heritage.

• Protecting imperiled cultural heritage. Research and Development supports the development of tools, methods, technologies, or workflows for documenting, sharing, visualizing, and presenting lost or imperiled cultural heritage materials. Learn more about Protecting our Cultural Heritage.

• Serving under-represented communities. Research and Development supports work that would enhance the preservation of and access to humanities collections for under-represented communities, including minority communities, Indigenous communities, and persons with disabilities.

• Responding to climate change. Research and Development supports work investigating the impacts of climate change on heritage collections along with developing responses to advance sustainability and resilience.

Given the complexities of preserving and providing access to humanities collections, this program recognizes the importance of forming interdisciplinary teams by bringing together participants with expertise in the humanities, preservation, information and computer science, 20220517-PR 2 and natural science. The exact mix of specialists will depend on the nature of your project. Your team should embody a well-defined humanities perspective that can frame your objectives and guide the project to successful completion. Such a perspective may be provided by members of an advisory committee, a consultant, a project co-director, or another member of the project team.

Recipients should communicate the results of their work to appropriate scholarly and public audiences. Recipients must also submit a white paper documenting lessons learned in the course of their projects, so that others can benefit from their experiences. White papers will be posted on the NEH website. See E1. Reporting Requirements.

See D6. Funding Restrictions for unallowable activities.

See E1. Review Criteria for review criteria.

Funding categories The Research and Development program offers two funding tiers in order to address projects at all stages of development and implementation.

Tier I: Planning, Basic Research, or Modifications

Tier I provides awards up to $75,000 for a period of performance of up to two years. This tier supports the following activities:

• Planning and preliminary work for large-scale research and development projects.

Proposals must identify one or more project deliverable, such as the creation of an action agenda, work plan, published report, draft standard, or software prototype, that prepares the project team for subsequent stages of work.

• Discrete research projects such as case studies or laboratory experiments. Such projects do not need to involve planning or preliminary research for a larger project.

Nevertheless, they must address research issues or problems in the cultural heritage field.

• Modifications or updates to established or emerging standards, methodologies, tools and equipment, or workflows.

Tier II: Advanced Implementation

Tier II provides awards up to $350,000 for a period of performance of up to three years. This level supports the following activities:

• Development of standards, practices, methodologies, or workflows for preserving and creating access to humanities collections.

• Applied research addressing preservation and access issues concerning humanities collections.

• Topic or area study in heritage preservation and access conducted using convenings, surveys, collaborative research, and other qualitative and quantitative modes of investigation. Possible deliverables could include publications, online resources, guidelines, and agenda for collective action. Applicants are encouraged to involve multi-institutional and community stakeholders working to achieve substantial national or international impact.

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Tier II applicants must demonstrate project planning and preliminary research. Support for that planning might have come from NEH, from other federal or foundation awards, or from an institution’s own funds.

Successful completion of a Tier I project is not a prerequisite for applying for a Tier II award.

2. Background This program is authorized by 20 U.S.C. § 956. 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 January 1, 2022 or later).

According to the National Foundation on the Arts and the Humanities Act of 1965, “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.”

Use the Funded Projects Query Form to find examples of NEH-supported projects.

Learn more about NEH.

NEH Initiatives NEH seeks to support projects that respond to the following initiatives. NEH will give all applications equal consideration in accordance with the program’s review criteria.

In addition to the special initiatives listed below, NEH encourages projects that include Native American organizations and communities as lead applicants and project partners.

A More Perfect Union: Exploring America's Story and Commemorating its 250th Anniversary

The task of building a more perfect Union rooted in the ideal of human equality falls to every generation of Americans, ours no less than our predecessors. The basic goals of life, liberty, and the pursuit of happiness endure over time, even as the challenges change: from founding a nation out of colonies; to dismantling the institution of slavery; to prevailing through times of economic depression and war; to advancing civil rights for all; to strengthening our democratic institutions; to building a more inclusive and sustainable society.

NEH’s A More Perfect Union initiative encourages projects that explore, reflect on, and tell the stories of our quest for a more just, inclusive, and sustainable society throughout our history.

NEH especially welcomes projects that bring the perspective of the humanities to questions of racial justice, gender equality, the evolution of the American landscape, as well as America’s place in the world. Projects that strengthen Americans’ knowledge of our principles of constitutional governance and democracy are strongly encouraged, as are projects that address the experiences of Native Americans and other under-represented communities. In addition, NEH welcomes projects that develop innovative approaches to sustaining the nation’s humanities infrastructure and preserving its historical record.

https://uscode.house.gov/view.xhtml?hl=false&edition=prelim&req=granuleid%3AUSC-prelim-title20-section956&num=0&saved=%7CKHRpdGxlOjIwIHNlY3Rpb246OTU2YSBlZGl0aW9uOnByZWxpbSk%3D%7C%7C%7C0%7Cfalse%7Cprelim 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/general-terms-and-conditions-awards-organizations-grants-and-cooperative-agreements-issued-january-2022 https://www.neh.gov/general-terms-and-conditions-awards-organizations-grants-and-cooperative-agreements-issued-january-2022 https://www.neh.gov/about/history/national-foundation-arts-and-humanities-act-1965-pl-89-209 https://securegrants.neh.gov/publicquery/main.aspx https://www.neh.gov/about https://www.neh.gov/250

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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.

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.

2. Summary of Funding

Award Amounts You may request up to $75,000 for Tier I awards or $350,000 for Tier II awards.

NEH anticipates approximately $1,500,000 to fund an estimated seven to eight recipients.

NEH will not determine the amount available until Congress enacts the final FY 2023 budget.

This notice is subject to the availability of appropriated 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.

Period of Performance You may request a period of performance of up to two years for Tier I awards and up to three years for Tier II awards. The period of performance must start between March 1, 2023, and September 1, 2023. The period of performance must start on the first day of the month.

C. Eligibility Information

1. Eligible Applicants Eligible applicants must be based in the United States or its jurisdictions and be one of the following:

• a nonprofit organization with 501(c)(3) tax-exempt status

• an accredited institution of higher education (public or 501(c)(3))

• a unit of state or local government

• a federally recognized Native American tribal government

An eligible applicant may apply on behalf of a consortium of collaborating organizations. If selected for funding, the applicant will be programmatically, legally, and fiscally responsible for the award.

https://www.neh.gov/grants/protecting-our-cultural-heritage https://www.irs.gov/charities-non-profits/search-for-tax-exempt-organizations https://ope.ed.gov/dapip/#/home https://www.federalregister.gov/documents/2020/01/30/2020-01707/indian-entities-recognized-by-and-eligible-to-receive-services-from-the-united-states-bureau-of

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Eligible applicants acting as solely fiscal agents or fiscal sponsors may not apply on behalf of ineligible applicants.

Individuals and other organizations, including foreign and for-profit entities, are ineligible.

2. Cost Sharing Cost sharing is not required in this program unless you request federal matching funds.

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.

Required cost sharing includes third-party non-federal gift money that must be raised to release federal matching funds. Applicants requesting federal matching funds must raise dollar-for-dollar cash contributions from nonfederal third parties and have them certified by NEH before the funds are released (see the NEH Federal Matching Funds Guidelines). Federal matching funds are typically distributed on an annual basis over the life of the award.

Applicants may contribute voluntary cost share to projects in which the total costs exceed the amount awarded by NEH. Voluntary cost share includes:

• cash contributions made to the project by the applicant

• unrecovered indirect costs

• third party cash contributions made to the project

• third-party in-kind contributions (non-cash contributions, such as property or services, that benefit the project and are contributed by non-federal third parties, without charge, to the recipient)

Recipients must maintain auditable records of the source and use of contributed cost share. See

2 CFR § 200.306.

Learn about types of funding offered by NEH.

3. Other Eligibility Information Eligible applicants may submit multiple applications for separate and distinct projects under this notice.

Applicants may revise and resubmit previously rejected applications, which NEH will assess by the same criteria as others in the current competition.

Prior NEH award recipients may request support for a new or subsequent stage of the same project. NEH will assess such proposals by the same criteria as others in the current competition.

Per 2 CFR § 200.403(f), overlapping project costs across multiple applications for federal funding and/or approved federal award budgets are not allowed. However, applicants may seek funding for complementary aspects of the same overall project. NEH may disallow costs or reject applications with overlapping project costs. An individual’s level of effort cannot exceed 100% across all active federally funded awards.

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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. Applicants may use funds from, or sites and materials controlled by, other federal entities. Such resources may not 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 in 2 CFR §§ 200.1 and .331(a). Eligible applicants may hire foreign individuals and consultants to carry out various programmatic activities on a fee-for-service basis, as specified in 2 CFR § 200.459 and secure vendor contracts such as in-country transportation services. If you are interested in submitting an application for a project involving international collaboration, consult with program staff.

Except for the rare cases covered by NEH’s late submission policy, applications must be received by the deadline. Incomplete, nonresponsive, or ineligible applications will not be considered for funding under this notice. Applications must adhere to specified page limits and formatting requirements or they will not be reviewed. See the Application Components Table.

D. Application and Submission Information

1. Application Package You must apply using Grants.gov Workspace or a Grants.gov system-to-system solution. You can find this funding opportunity in Grants.gov under number 20220517-PR. There is also a link on the program resource page.

You can find the application package, which includes a series of required and conditionally required forms, for this funding opportunity under the “Package” tab. You will upload additional application components into the Attachments Form.

You must complete a multistep registration process to submit your application. See D3. Unique Entity Identifier and System for Award Management.

Contact preservation@neh.gov to request a paper copy of this notice.

If you are deaf or hard of hearing, you can contact NEH using Federal Relay at 800-877-8399.

2. Content and Form of Application Submission Your application will include a narrative, budget, and other forms and attachments. You will complete the forms within Grants.gov Workspace and upload other components into the Attachments Form. See the Application Component Table.

NEH has assigned each application components one of the following designations:

• Required: All applicants must submit this component.

• Conditionally Required: Applicants must submit this component if they meet the specified conditions.

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• Recommended: NEH encourages, but does not require, applicants to submit this component.

You must submit all required and relevant conditionally required components. Applications missing any required or relevant conditionally required components will be considered incomplete and rejected from further consideration.

In addition, NEH has established page limits for some application components:

• Mandatory: Applicants must not exceed the page limit.

• Suggested: NEH encourages, but does not require, applicants to abide by the page limit.

You must abide by the page limits and formatting instructions in this notice. Applications that exceed page limits or violate formatting instructions will be considered nonresponsive and rejected from further consideration.

Your application components must conform to the following formatting requirements, unless otherwise indicated:

• paper no larger than standard letter (8 ½" x 11”)

• at least one-inch margins on all sides for all pages

• a font no smaller than 11-point

In addition, you are encouraged to format your components consistent with the following:

• single-spacing

• a readable font such as Arial, Georgia, Helvetica, or Times New Roman

• any standard citation style (citations are included in page counts)

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Application Components Table Application Component File Name Designation Page limits

Grants.gov forms

SF-424 Application for Federal

Assistance - Short Organizational

Required

Supplementary Cover Sheet for

NEH Grant Programs

Required

Project/Performance Site(s)

Location Form

Required

Research and Related Budget Required

Attachments Form Required

Certification Regarding Lobbying Conditionally required

Standard Form-LLL “Disclosure of Lobbying Activities”

Conditionally

Attachments

1: Narrative narrative.pdf Required Tier I: 10

Tier II: 15

(mandatory)

2: List of project personnel personnel.pdf Required

3: Résumés for key personnel resumes.pdf Required 2 pages each

(suggested)

4: Bibliography and environmental scan bibliography.pdf Recommended

5: Work plan workplan.pdf Required

6: History of support history.pdf Recommended

7: Letters of commitment commitment.pdf Recommended

8: Letters of support support.pdf Recommended

9: Federally negotiated indirect cost rate agreement agreement.pdf Conditionally

10: Explanation of delinquent federal debt delinquentdebt.pdf Conditionally

11: Additional supporting documentation documentation.pdf Recommended 50 pages

(mandatory)

Narrative Compose a narrative that provides a comprehensive description of your proposed project. Your narrative should be succinct, 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 (Tier I) or fifteen (Tier II) single-spaced pages with one-inch margins and a font size of at least eleven point. Do not include an executive summary or a table of contents. You may include images, charts, diagrams, footnotes, and endnotes if they fit within the page limit.

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Organize your narrative using the following section headings. Each section aligns with corresponding review criteria.

1. Significance to the humanities (aligns with review criterion 1)

Explain the preservation and access research challenge to be addressed and how the cultural heritage field would benefit from the proposed solution. Consider which types of humanities collections or resources, as well as institutions, would benefit from improvements to preservation and access practices. Clearly identify the project outcomes and describe how they would support enhancements to conducting humanities research, education, or public programming. If applicable, indicate how project results might serve the humanities needs of under-represented communities.

2. Preservation and access research impact (aligns with review criterion 1)

Describe how your project relates to other work in the preservation field and how your proposed outcomes would contribute to advancing specific theories, practices, or overall knowledge about a particular topic or issue. Explain plans to disseminate project results and their anticipated adoption or integration by practitioners. If you are requesting funding for extensive audience engagement to ensure adoption, you may include a detailed dissemination plan in Attachment 10: Additional supporting documentation. You may provide a bibliography and environmental scan in Attachment 4: Bibliography and environmental scan.

3. Project history, scope, and duration (aligns with review criteria 1 and 3)

Provide a concise history of the project, including information about previous research or planning. Indicate what has been accomplished in previous phases and the degree to which the project has met its established goals. You may list any publications, in print or electronic form, that have already been produced in Attachment 4: Bibliography and environmental scan. For online projects, include the website and metrics that would demonstrate the project’s significance to its field.

If you are requesting funding for a component of a larger project that will not be completed in its entirety during the requested period of performance, describe the scope and duration of the entire project and distinguish how accomplishments or products intended for this phase would contribute to the overall effort.

4. Methodology (aligns with review criterion 2 and 3)

Discuss the procedures and standards that will be followed in carrying out the project, considering the following:

• Developmental or experimental methodology: Discuss the methodological approach that you will employ to accomplish objectives. Indicate any programming languages, platforms, software, or other applications you will employ to assist you with executing this methodology.

• Collections handling: For projects working directly with a humanities collection as a test bed, discuss efforts to ensure proper handling and, if applicable, preservation.

• Data capture: Describe which instruments and tools will be used to capture or generate data and efforts to ensure data integrity.

• Intellectual property and privacy: Discuss the management of intellectual property or privacy permissions necessary to ensure the availability of the project’s results—for example, proprietary technologies or licensed software. You should already have obtained permissions in matters concerning intellectual property, and you should

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provide pertinent documentation in Attachment 10: Additional supporting documentation.

5. Work plan (aligns with review criteria 2, 3, and 6)

Summarize your work plan, including a high-level schedule indicating what you will accomplish during each stage of the project. Provide a detailed version of your work plan in Attachment 5:

Work plan.

6. Institutional profile and project staff (aligns with review criteria 4 and 6)

Explain the applicant institution’s capabilities for conducting the project, including its possession of the necessary technical infrastructure and scientific facilities. Describe the institution’s experience in areas related to the project. Discuss the capabilities of any collaborating institutions or organizations including institutions representing minority and Indigenous communities.

Discuss the disciplinary and professional makeup of the project team as it pertains to objectives and proposed activities.

Describe the staff members’ duties and qualifications. Indicate the amount of time that the principal members of the project team will devote to the project.

If the project has an advisory board, explain the board’s function and identify the responsibilities of key members. Provide the names and affiliations of all project personnel, advisory board members, and consultants in Attachment 2: List of project personnel.

Explain how community perspectives and representation would be incorporated in the proposed activities and decision-making process. In the case of Native American groups, indicate how your staffing plan (and other project components) will facilitate adherence to the NEH Code of Ethics Relating to Native Americans.

7. Evaluation and sustainability (aligns with review criteria 5 and 6)

Provide a detailed plan for evaluating your project’s outcomes. Explain in general terms the methods that you will use to implement and evaluate your scientific, quantitative, or qualitative results.

Describe your plans for the long-term preservation of project deliverables.

Discuss measures to ensure appropriate storage, retrieval, and preservation for data generated during your project. As needed, describe personnel training, storage systems, data standards, migration plans, and infrastructural capacity. For data intensive projects, it may be helpful to format your discussion of sustainability as a data management plan. You may include the plan in Attachment 10: Additional supporting documentation.

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Narrative Guidance

Each section of the narrative aligns with corresponding review criteria. Use the crosswalk to ensure you address all criteria.

Narrative Section Review Criteria

1. Significance to the humanities #1

2. Preservation and access research impact

#1

3. Project history, scope, and duration #1, 3

4. Methodology #2, 3

5. Work plan #2, 3, 6

6. Institutional profile and project staff #4, 6

7. Evaluation and sustainability #5, 6

Research and Related Budget You must submit a project budget using the Research and Related Budget form included in the Grants.gov application package and attach a budget justification.

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

Required fields are indicated in yellow. Round to the nearest whole dollar amount in all dollar fields. The inclusion of a cost category on the Research and Related Budget does not automatically indicate that an expense is allowable. See D6. Funding Restrictions to ensure that costs are not disallowed.

If you are exclusively requesting outright funds, your budget should include only funding requested from NEH. If you are requesting federal matching funds, your budget must equal total funding requested from NEH (outright and federal matching funds) and the one-to-one required third party cost share for the federal matching funds. Refer to the NEH Federal Matching Funds Guidelines regarding the eligibility of gifts for matching purposes. Total federal matching funds and cost share should equal the amounts indicated on the Supplementary Cover Sheet for NEH Grant Programs in the “Federal Matching” and “Cost Sharing” fields. Learn about types of funds offered by NEH.

Do not include voluntary cost sharing on the Research and Related Budget form, but describe it in your budget justification.

All costs, 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 - Audit Requirements.

Team members who are playing a leadership role in the project should be included under A.

Senior/Key Person. Additional team members should be included under B. Other Personnel.

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Only personnel employed by the applicant institution should be included in A. and B. Depending on their role on the project, costs for other team members may be included under F3.

Consultant Services or F5. Subawards/Consortium/Contractual Costs.

If you charge indirect costs to the project, ensure that expenses charged to the project as direct costs are not included in your organization's indirect cost. See H. Indirect Costs.

Introductory Fields

If not pre-populated, indicate your organization’s Unique Entity Identifier, name, and the period of performance. This should be the same as the information provided on your SF-424 Application for Federal Assistance - Short Organizational. Your period of performance must start on the first day of the month and end on the last day of the month. Check “project” for budget type.

A. Senior/Key Person

Include personnel who are employed by the applicant institution who will play a leadership role on the project. Do not include collaborators at other institutions or consultants, as they will be included in F. Other Direct Costs.

Enter the base salary (annual compensation) and identify the number of months each senior/key person will devote to the project. If you do not include base salaries, your award may be delayed.

Many non-academic institutions organize their budgets using calendar months. If your organization does not differentiate between academic and summer months, use only the calendar months column.

If your organization follows an academic calendar, you may differentiate levels of effort by using the academic and summer months columns. If effort remains constant, but your institutional business process requires noting academic and summer months separately, you may use both columns. If your institution does not use a nine-month academic year or a three-month summer period, include your institution's definition of these terms in your budget justification.

Enter the requested salary and fringe benefits for each 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.

You must claim salaries and wages in compliance with 2 CFR §§ 200.430 and .466 and fringe benefits in compliance with 2 CFR § 200.431.

The form will calculate the requested salary and fringe benefits for each person.

The form has space for up to eight people. If you request funds for additional key personnel, list them in a separate document using the same format as the Research and Related Budget. Save the document as a PDF named additionalpersonnel.pdf and attach it under “Additional/Senior Key Persons.” If applicable, enter the total funds requested for personnel listed in the attachment in the "Total Funds requested for all Senior/Key Persons in the attached file" field.

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20220517-PR 13

B. Other Personnel

Include personnel employed by the applicant institution who will play a supporting role on the project. For each project role, identify the number of personnel proposed, the total number of months, total salary, and total fringe benefits requested as described in A. Senior/Key Person.

The form will calculate the requested salary and fringe benefits for each group.

Post-doctoral associates, graduate students, and undergraduate students

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 performed. Tuition remission may be charged on an average rate basis.

Secretarial/Clerical

In most circumstances, the salaries of administrative, secretarial, or clerical staff are included as indirect costs (see H. Indirect Costs). Per 2 CFR § 200.413(c), you may charge salaries for administrative or clerical staff as direct costs only if the following conditions are met:

• Administrative or clerical services are integral to a project or activity.

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

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

• The costs are not also recovered as indirect costs.

Document how direct charging for secretarial/clerical personnel meets all four conditions in your budget justification. NEH may request additional information to assess allowability.

Additional Other Personnel

List additional project roles, if applicable. The form has space for six named roles. If you have more, combine project roles on the form and explain in your budget justification.

You must claim salaries and wages in compliance with 2 CFR §§ 200.430 and .466 and fringe benefits in compliance with 2 CFR § 200.431.

Do not list collaborators at other institutions or consultants here, as they will be included in F.

Other Direct Costs.

C. Equipment Description

Equipment is defined as nonexpendable personal property costing $5,000 or more per item and having a service life of more than one year (unless your organization has established a lower level). See 2 CFR §§ 200.313 and .439.

You may purchase equipment if analysis demonstrates that it is more economical and practical than leasing (equipment rental/user fees should be included in F. Other Direct Costs). You may charge depreciation in compliance with 2 CFR § 200.436.

Per 2 CFR § 200.322, you should preference goods, products, and materials produced in the United States purchased or acquired under a federal award. The requirements of this section must be included in all subawards, contracts, and purchase orders for work or products under this award.

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20220517-PR 14

List each item of equipment you propose to purchase and its estimated cost, including shipping and maintenance. Include supporting information, such as a price quote, in your budget justification.

The form has space for ten items. If you request funds for additional equipment, list them in a separate document. Save the document as a PDF named additionalequipment.pdf and attach it under “Additional Equipment.” Enter the total funds requested for the additional equipment in the “Total funds requested for all equipment listed in the attached file” field.

The form will calculate total equipment costs.

D. Travel

Enter the total funds requested for both domestic (local and long-distance) and foreign travel (travel to Canada and Mexico is considered foreign travel). In your budget justification, include the purpose, destination, travel dates (if known), and traveler names (if known) for each trip. If dates are not known, specify the estimated length of trip (e.g., 3 days). If travelers are unknown, provide a count. 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 consistent with written institutional policy. You must use the lowest available commercial fares for coach or equivalent accommodations. Arrangements made on a non-refundable basis are at the risk of the recipient if the services must be cancelled for any reason.

Travel costs must comply with 2 CFR § 200.475 and foreign travel must comply with the General Terms and Conditions for Awards to Organizations. NEH uses the General Services Administration's published per diem rates to assess if proposed travel costs are reasonable.

You may not use NEH funds to support attendance at regularly occurring professional meetings unless the purpose of attending is to disseminate project-related findings.

Include travel costs for participants in E3 and travel costs for consultants in F3.

The form will calculate total travel costs.

E. Participant/Trainee Support Costs

Participants are the beneficiaries, not the providers, of a service or training opportunity (such as a workshop, conference, seminar, or symposium) funded by a federal award.

As defined in 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 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, that is necessary and reasonable for successful performance under the federal award.

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20220517-PR 15

Include supporting information in your budget justification. 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.

The form will calculate total participant support costs.

1. Tuition/Fees/Health Insurance

Leave this field blank.

2. Stipends

Enter the total funds requested for participant stipends.

3. Travel

Enter the total funds requested for participant travel. In your budget justification, name the travelers (if known) and itemize their travel expenses (e.g., roundtrip airfare, mileage or public transportation, related parking, etc.).

4. Subsistence

Enter the total funds requested for participant subsistence. Subsistence expenses include lodging and service charges; meals, including taxes and tips; and incidental expenses (e.g., fees and tips).

5. Other

Describe other participant support costs (e.g., local ground transportation to venues, admission fees, bottled water, etc.) and enter the total funds requested for the costs described.

Number of Participants/Trainees

Enter the total number of participants. This field cannot exceed 999.

F. Other Direct Costs

The form will calculate total other direct costs.

1. Materials and Supplies

Enter the total funds requested for materials and supplies costing the lesser of the capitalization level established by the applicant or $5,000 per item, regardless of the length of its useful life.

See 2 CFR §§ 200.314 and .453.

2. Publication Costs

Enter the total funds requested for publication costs. You may request funds for the costs of documenting, preparing, publishing, or otherwise making available to others the findings and products of the work conducted under the award. Include supporting information in your budget justification.

3. Consultant Services

Enter the total funds requested for consultant services. If your project includes an external advisory committee, include associated costs here.

Consultant fees must comply with 2 CFR § 200.459.

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20220517-PR 16

4. Automated Data Processing (ADP)/Computer Services

Enter the total funds requested for ADP/computer services, including computer-based retrieval of scientific, technical, and education information. Include personal computers and accessories under Materials and Supplies.

If such services are provided by a third-party, include them in Subawards/Consortium/Contractual Costs.

5. Subawards/Consortium/Contractual Costs

Enter the total funds requested (both direct and indirect costs) for activities to be performed by third parties. Itemize the costs associated with the subaward or contract in your budget justification, using the same categories on the Research and Related Budget. Justify each subrecipient individually. NEH may request additional information in order to assess reasonableness and allowability. See 2 CFR §§ 200.331 and .332.

Per 2 CFR §§ 200.1 and .331(a), a subaward is an award provided by a pass-through entity to a subrecipient to carry out part of a federal award. Payments to contractors (as defined in 2 CFR §

200.1 and 331(b)) or payments to individuals who are beneficiaries of federal programs are not considered subawards.

A pass-through entity may provide a subaward through any form of legal agreement, including an agreement that the pass-through entity considers a contract. The substance of the relationship between a passthrough entity and a third party is more important than the form of the agreement when determining if the third-party functions as subrecipient or contractor. See 2 CFR § 200.331(c).

If a subrecipient is claiming indirect costs, include their federally negotiated indirect cost rate agreement in Attachment 9: Federally negotiated indirect cost rate agreement. Subrecipients requesting the de minimis rate are not required to provide an agreement.

See F2. Administrative and National Policy Requirements for additional information on subrecipient monitoring.

6. Equipment or Facility Rental/User Fees

Enter the total funds requested for rental/user fees for equipment and facilities.

You may charge depreciation in compliance with 2 CFR § 200.436. If you will use equipment purchased with federal funds under another award, it may be appropriate to charge user fees consistent with 2 CFR § 200.313(c)(2). You may not charge both depreciation and user fees.

Per 2 CFR § 200.432, allowable conference costs include rental of facilities. Rental costs under “less-than-arm's-length” leases are allowable, provided they are consistent with 2 CFR § 200.465(c).

Federally funded meetings and conferences must be held in properties that comply with the Hotel and Motel Fire Safety Act of 1990 (Pub. L. 101-391). Consult the U.S. Fire Administration’s National Master List for fire code compliant hotels.

7. Alterations and Renovations

Leave this line blank. Per 2 CFR § 200.462, costs incurred for ordinary and normal rearrangement and alteration of facilities are allowable as indirect costs.

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