Challenge Grant Guidelines

Challenge Grants, Receipt deadline: May 5, 2010


•	Endowment-Wide Programs and Initiatives
•	Office of Challenge Grants

I. Program Description

II. Award Information

III. Eligibility

IV. Application and Submission

V. Application Review

VI. Award Administration

VII. Points of Contact

VIII. Other Information

•	Sample Financial Summary (2-Page PDF)

• Frequently asked questions

• DUNS number requirement

• Registration Checklist

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To obtain a printed version of these
guidelines, call 202-606-8446, send an
e-mail to info@neh.gov, or write to
NEH, Office of Communications
1100 Pennsylvania Avenue, NW,
Washington, DC 20506.

Date posted: March 10, 2010

Catalog of Federal Domestic Assistance (CFDA) Number: 45.130

Draft proposals

Program staff recommends that draft proposals be submitted at least four to six weeks before the application deadline. Time constraints may prevent staff from reviewing draft proposals submitted closer to the deadline.

Questions?

Contact the staff of NEH’s Office of Challenge Grants at 202-606-8309 or at challenge@neh.gov. Hearing-impaired applicants can contact NEH via TDD at 1-866-372-2930.

Type of award

Successful applicants will be offered a matching grant. Recipients must raise three times the amount of federal funds offered, except for Historically Black Colleges and Universities (HBCUs), Tribal Colleges and Universities, and two-year colleges (which must raise two times the amount of federal funds offered).

NEH challenge grants are capacity-building grants, intended to help institutions and organizations secure long-term improvements in and support for their humanities programs and resources. Grants may be used to establish or enhance endowments or spend-down funds (that is, funds that are invested, with both the income and the principal being expended over a defined period of years) that generate expendable earnings to support ongoing program activities. Funds may also be used for one-time capital expenditures (such as construction and renovation, purchase of equipment, and acquisitions) that bring long-term benefits to the institution and to the humanities more broadly.

Because of the matching requirement, these NEH grants also strengthen the humanities by encouraging nonfederal sources of support. Applications are welcome from colleges and universities, museums, public libraries, research institutions, historical societies and historic sites, scholarly associations, state humanities councils, and other nonprofit entities. Programs that involve collaboration among multiple institutions are eligible as well, but one institution must serve as the lead agent and formal applicant of record.

Activities supported

Challenge grant funds (both federal and nonfederal together) must provide long-term benefits to the humanities. Challenge grant funds should not merely replace funds already being expended on the humanities, but instead should reflect careful strategic planning to strengthen the institution’s activities in and commitment to the advancement of knowledge and understanding of the humanities.

Institutions may use challenge grant funds to meet both ongoing and one-time humanities-related costs, provided that the long-term benefit of the expenditure can be demonstrated. Federal challenge grant funds, as well as funds raised for matching, might be used for purposes such as the following.

Through endowments or spend-down funds, challenge grant funds might be used to support

faculty and staff salaries and benefits;
acquisitions for collections;
faculty, teacher, and staff development;
research fellowships;
lecture or exhibition series;
visiting scholars or consultants;
publishing subventions; and
preservation and conservation programs.

Through direct expenditure, challenge grant funds might be used to support

capital expenditures, such as purchase, construction, or renovation of facilities;
acquisitions for collections;
purchase of equipment and software;
fundraising costs (totaling no more than 10 percent of challenge grant funds); and
“bridge” funds to begin an endowed activity while the endowment is being established.

Expenditures not eligible for support

Challenge grant funds, federal or nonfederal, may not be used for

one-time or operating expenditures with minimal long-term impact;
recovery of indirect costs;
support for projects eligible for grants from other NEH programs; or
scholarships or stipends for students below the graduate level.

Mode of expenditure

The financial arrangement by which challenge grant funds are expended should be appropriate to the nature of the humanities-related costs and the long-term impact of the expenditure. Funds may be

invested in permanent endowments, the income from which supports ongoing and recurring costs such as salaries, honoraria for visiting scholars, fellowships, and maintenance;
spent directly on one-time capital costs for items that have inherent longevity, such as facilities (new construction or renovation), equipment, and acquisitions; or
combined in “spend-down” funds that are invested, with both the income and the principal expended over a defined period of years. Spend-down funds are particularly appropriate for programs that are long-term but not permanent.

Funds may also be spent directly on fundraising costs (totaling up to 10 percent of challenge grant funds).

Grant funds may be used directly for bridging support, where the challenge grant provides for endowment or spend-down income to meet expenses for a given purpose in the future; bridging funds up to the equivalent amount of projected endowment or spend-down income may be used to cover expenses for that purpose during the grant period, while the endowment or spend-down fund is being established.

Special encouragement

NEH welcomes applications from small and mid-sized institutions and from institutions that have not received an NEH challenge grant since 1990.

In accordance with Executive Order 13256 on Historically Black Colleges and Universities (HBCUs) and Executive Order 13270 on Tribal Colleges and Universities, NEH especially welcomes challenge grant applications from these institutions. NEH also welcomes applications from two-year colleges. Potential applicants from these institutions are urged to discuss with program staff ways in which challenge grant funding can help them meet their institutions’ particular needs and capacities in the humanities.

Certain requirements of regular challenge grants are modified for HBCUs, Tribal Colleges and Universities, and two-year colleges. The required matching ratio is two-to-one (instead of three-to-one), and the schedule for meeting the required match may be spread over six years instead of five.

NEH particularly encourages plans to strengthen the technological infrastructure of humanities institutions, thereby enhancing the applicant institution’s ability to make use of new technologies in research, education, preservation, and public programming in the humanities. Such plans can be supported through challenge grants. Challenge grant funds may be used, for example, to purchase equipment and software, renovate computing centers devoted to the humanities, and purchase databases. Challenge grants can support maintenance and upgrades of equipment, software, and data; licensing fees; salaries of technical staff; faculty and staff training in uses of digital technology; and other ongoing expenses associated with uses of digital technology in the humanities.

NEH welcomes projects that respond to NEH’s new Bridging Cultures initiative. Such projects could focus on cultures internationally or within the United States. International projects might seek to enlarge Americans’ understanding of other places and times, as well as other perspectives and intellectual traditions. American projects might explore the great variety of cultural influences on, and myriad subcultures within, American society. These projects might also investigate how Americans have approached and attempted to surmount seemingly unbridgeable cultural divides, or examine the ideals of civility and civic discourse that have informed this quest.

Successful applicants will be offered a matching grant. The requested grant amount should be appropriate to the humanities needs and the fundraising capacity of the institution. The federal portions of NEH challenge grants have ranged in recent years from $30,000 to $1 million, the maximum amount that may be requested. Requests over $500,000, however, are unlikely to be funded at the requested level. Applicants wishing to apply for a grant of more than $500,000 should consult with NEH staff about the size of their requests.

Fundraising

NEH challenge grants assist institutions in developing sources of support for humanities programs, and fundraising is an integral part of the long-term planning required by the program. Persons raising the funds and those who will be directly responsible for the humanities programs should be fully involved in the planning from the outset. Grant recipients must raise, from nonfederal donors, three times the amount of federal funds offered. (HBCUs, Tribal Colleges and Universities, and two-year colleges, however, are required to raise only two times the federal amount.)

NOTE: NEH has suspended the requirement that holders of previous challenge grants must raise four times the amount of federal funds offered.

Release of federal funds

All federal challenge grant funds are matching funds. The federal portion of a challenge grant is typically offered over four years, but the grantee may take up to sixty-eight months to raise funds for matching. NEH releases federal funds according to a pattern that allows donations from as early as five months prior to the application deadline and can include donations from as late as one year beyond the last-released federal funds. Funds are released in the first three years when completely matched according to the required amount. The fourth year’s installment allows the release of the federal funds when matched one-to-one, with the remaining parts of the match to be raised in the final year, so as to allow time at the end of the grant to finish the match and collect outstanding pledges.

The following chart illustrates a typical match and release schedule:

Sample match and release schedule for a regular challenge grant
NEH Challenge offer of $300,000, with a three-to-one matching ratio


	Year 1	Year 2	Year 3	Year 4	Year 5	Total
NEH funds (federal) offered	$25,000	$100,000	$100,000	$75,000	n/a	$300,000
Nonfederal funds to be raised	$75,000	$300,000	$300,000	$75,000	$150,000	$900,000
Total grant funds (federal + nonfederal)	$100,000	$400,000	$400,000	$150,000	$150,000	$1,200,000

Variations on a typical match and release schedule are possible, and applicants should discuss with NEH staff the schedule that best reflects the institution’s plans and fundraising capacity. NEH, however, makes the final determination of the match and release schedule.

With a matching ratio of two-to-one, HBCUs, Tribal Colleges and Universities, and two-year colleges follow a match and release schedule that differs from that of regular challenge grants. The federal portion of a challenge grant is offered over four years of funding, as with regular challenge grants, but HBCU, Tribal College and University, and two-year college grantees may take up to eighty months to raise funds for matching. NEH releases federal funds according to a pattern that allows donations from as early as five months prior to the application deadline and can include donations from as late as two years beyond the date when federal funds were last released. Funds are released in the first three years of the grant when completely matched according to the required two-to-one ratio. The fourth year’s installment allows the release of federal funds when matched one-to-one, with the remaining parts of the two-to-one match to be raised in the final two years, so as to allow extra time to finish the match and collect outstanding pledges.

The following chart illustrates a typical match and release schedule for an HBCU, a Tribal College or University, or a two-year college:

Sample match and release schedule for a regular challenge grant to an HBCU, Tribal College or University, or two-year college
NEH Challenge offer of $300,000, with a two-to-one matching ratio


	Year 1	Year 2	Year 3	Year 4	Year 5	Year 6	Total
NEH funds (federal) offered	$60,000	$75,000	$75,000	$90,000	n/a	n/a	$300,000
Nonfederal funds to be raised	$120,000	$150,000	$150,000	$90,000	$45,000	$45,000	$600,000
Total grant funds (federal + nonfederal)	$180,000	$225,000	$225,000	$180,000	$45,000	$45,000	$900,000

The grant period for all challenge grants begins five months before the application deadline, and the grant period for most challenge grants ends sixty-eight months later. Thus the grant period for applications submitted at the May 2010 deadline begins December 1, 2009, and ends July 31, 2015. (Grants to HBCUs, Tribal Colleges and Universities, and two-year colleges would end July 31, 2016.)

Applicants who, unsuccessful at one deadline, revise and resubmit their applications one year later may use the same starting date in the resubmission as in the original submission. Such applicants may thereby extend the fundraising period by twelve months. In this way applicants are enabled to keep faith with donors whose gifts have been solicited in anticipation of a challenge grant. If the resubmitted application is not successful, however, such an extension is unavailable for subsequent submissions.

Eligibility of gifts

To be eligible for matching, gifts may not derive from the grantee institution itself, and it is inappropriate for an institution to shift internal budgets or reallocate internal funds for matching purposes. All matching pledges and gifts must be new, that is, given (and pledges fulfilled) during the challenge grant period. The majority of gifts eligible for matching must be restricted—that is, donations made explicitly in response to or in anticipation of the challenge grant. Donors of restricted gifts must be aware that their gifts will be used to match an NEH challenge grant and that their gifts will be used to support the purposes outlined in the approved challenge grant application. Unrestricted gifts—that is, gifts donated without limitations on their use—may be eligible for matching, but the gifts must have been given within the grant period, and the total of such unrestricted gifts may not exceed the federal portion of the challenge grant. Some types of gifts, such as real estate, earned income, planned giving, and in-kind gifts, are subject to special limitations. Discounts on contracted goods and services, and contributions from federal sources, are not eligible for matching.

NOTE: More detailed information on eligible gifts and the mechanics of challenge grant administration is offered in the booklet Administration of NEH Challenge Grants, which may be obtained from NEH’s Web site or the Office of Challenge Grants. Applicants should consult this booklet if they plan to solicit and collect eligible matching gifts in anticipation of receiving an NEH challenge grant.

With the exception of elementary and secondary schools (public or private) or school districts, any U.S. nonprofit institution (public agency, private nonprofit organization, tribal government) working wholly or in part with the humanities may apply for a challenge grant. Affiliated institutions (e.g., university museums) should consult with NEH staff on questions of separate eligibility. Institutions that support research, education, preservation, and public programming in humanities disciplines are eligible to apply for an NEH challenge grant.

NEH generally does not award grants 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 grant funds from, or sites and materials controlled by, other federal entities in their projects.

Institutions may apply for only one NEH challenge grant in a calendar year. An institution is eligible to apply for a subsequent challenge grant beginning in the third year after the closing date of its most recent NEH challenge grant. For example, if a grant closes in 2010, the institution that received the grant could not apply for a subsequent challenge grant until 2013.

Late, incomplete, and ineligible applications will not be reviewed.

Application advice and draft proposals

Prior to submitting a proposal, applicants are encouraged to contact program officers who can offer advice about preparing the proposal, supply samples of funded applications, and review draft proposals. These comments are not part of the formal review process and have no bearing on the final outcome of the proposal, but previous applicants have found them helpful in strengthening their applications. Program staff recommends that draft proposals be submitted at least four to six weeks before the application deadline, if not earlier. Time constraints may prevent staff from reviewing draft proposals submitted closer to the deadline. Draft proposals, consisting of the narrative and the budget, should be submitted directly to the Office of Challenge Grants (not through Grants.gov) by e-mail attachment (challenge@neh.gov), fax (202-606-8579), or overnight mail (Office of Challenge Grants, NEH Room 420, 1100 Pennsylvania Avenue N.W., Washington, DC 20506, 202-606-8309).

HOW TO PREPARE YOUR APPLICATION

You will prepare your application for submission via Grants.gov just as you would a paper application. Your application should consist of the following parts.

Table of contents
Include all the parts of the application with page numbers. Please use one set of page numbers for the entire document, including the appendices.
Abstract
Summarize the proposal, including the activities to be supported and the plans for raising funds for matching. Applicants should describe the significance to the humanities of what they are proposing. This summary may be single-spaced but should not exceed one page.

Challenge grant budget

Do not use the standard NEH budget form. Instead, provide an itemized one- or two-page budget describing all challenge grant funds and indicate

the portions of the total NEH funds being requested in years 1, 2, 3, and 4 of the grant period; and
how all challenge grant funds—federal and nonfederal combined—will be expended.

For purposes of expenditure, there is no distinction between federal funds and nonfederal donations. Even if part of a larger campaign, the challenge grant budget should be limited to requested NEH funds plus the minimum required nonfederal funds. Planned annual expenditures from endowment or spend-down yield should be broken down by specific cost categories. Challenge grants do not include indirect cost recovery.

Direct funds may be used only for capital expenditures, fundraising costs (up to 10 percent of grant funds), and bridge funding (while the endowment or spend-down fund is being established). Operating and program expenses should be paid for with income from endowment or spend-down funds.

The budget should clearly indicate what the expenditures are for, and the proposal narrative should provide detailed information about these expenditures and should justify the amounts allotted to the various items in terms of the plans for the humanities.

In the following sample budgets, three modes of expenditure are included for purposes of illustration; applicants should propose only the mode or modes of expenditure appropriate to their planned humanities activities.



Sample challenge grant budget



Total NEH funds requested:		$300,000
Year 1:	$25,000
Year 2:	$100,000
Year 3:	$100,000
Year 4:	$75,000

Total nonfederal contributions		$900,000

Total Grant Funds (NEH plus Match)		$1,200,000

Planned Expenditures:

Direct
Renovation		$200,000

Endowed
Principal		$750,000

Rate of return to be expended		5%
Projected annual expendable income		$37,500
Uses of endowment income (list all)		$37,500
Staff salaries	$25,000
Stipends for visiting scholars	$9,500
Lecture series expenses	$3,000

Combined (spend-down fund)
Principal		$250,000
Rate of return to be expended		5%
Number of years		10
Annual expenditure (income + principal)		$32,376
Uses of spend-down funds (list all)
Training workshops in digital humanities	$25,000
Software and equipment	$7,376



Sample challenge grant budget for applications submitted by an HBCU, Tribal College or University, or two-year college



Total NEH funds requested:		$300,000
Year 1:	$70,000
Year 2:	$80,000
Year 3:	$80,000
Year 4:	$70,000

Total nonfederal contributions		$600,000

Total Grant Funds (NEH plus Match)		$900,000

Planned Expenditures:

Direct
Renovation		$200,000

Endowed
Principal		$450,000

Rate of expendable return		5%
Projected annual expendable income		$22,500
Uses of endowment income (list all)		$22,500
Staff salaries	$15,000
Stipends for visiting scholars	$5,000
Lecture series expenses	$2,250

Combined (spend-down fund)
Principal		$250,000
Rate of expendable return		5%
Number of years		10
Annual expenditure (income + principal)		$32,376
Uses of spend-down funds (list all)
Training workshops in digital humanities	$25,000
Software and equipment	$7,376

NOTES

Endowment policy

Endowments created with NEH challenge grants are permanent and should be reported as permanent on IRS Form 990, Schedule D, Part V. Endowments created with NEH challenge grants are restricted to the uses defined in the challenge grant budget as approved. Changes in the purpose of the endowment may be made only in consultation with NEH. NEH is guided by Section 6 of the Uniform Prudent Management of Institutional Funds Act (UPMIFA) in assessing proposed changes in purpose. (For the text of Section 6 of UPMIFA, see Administration of NEH Challenge Grants.)

Calculating a “spend-down” fund

The amount needed for a spend-down fund is based on the rate of return on investment, the length of the fund’s projected existence, and the amount to be spent each year.

The amount needed can be calculated using a tool, such as the PV financial function in Microsoft Excel, that calculates the “present value” of funds needed to allow the desired expenditure over the specified number of future years. To calculate the expendable annual income over the life of the fund, use the PMT financial function.

NOTE: If the challenge grant includes support for any part of a construction or renovation project, the entire project is subject to Davis-Bacon requirements, and applicants must take into account the effect of the Davis-Bacon Act on costs. For purposes of compliance with the Davis-Bacon Act, there is no distinction between federal funds and nonfederal donations raised for matching.

Institutional fact summary
For applications involving multiple institutional partners, only the applicant of record must provide an institutional fact summary. Partner institutions, however, may also submit fact summaries to document their institutional character and humanities capacities.

Provide the following in an outline limited to one page:
- Relevant facts and statistics about the institution or organization, such as its
  - history;
  - mission;
  - governance and administration;
  - physical facilities;
  - humanities staff size and composition (including the percentage of all staff who are in the humanities);
  - humanities collections (including the percentage of all collections that are in the humanities); and
  - accreditation or affiliation (if applicable).
- Data on recent humanities activities, such as the
  - types and numbers of enrollments, programs, exhibitions, courses, and degrees awarded in the past two years;
  - percentage of total offerings that are in the humanities;
  - size and nature of audience or population served;
  - cost to participants (if any);
  - number of publications produced (if applicable); and
  - evidence for the success of these activities or offerings.
Financial summary
Include a one or two-page summary of the institution's finances. Please refer to the Challenge Grants Sample Financial Summary Form (2-page PDF) for a suggested format. Where the application concerns a sub-unit of a larger whole (e.g., a library on a university campus), include summaries for both the larger and smaller units. The purpose of the summary is to give a clear picture of the financial status of the institution during the most recent three-year period. Information should be provided about annual operating budgets, exclusive of capital campaigns or other special income and exclusive of capital project expenditures. Figures should be compatible with figures cited elsewhere in the proposal. Significant operating surpluses or deficits should be explained.
Narrative
Narrative descriptions are limited to twenty-five double-spaced pages. The font size should be no smaller than eleven-point. All pages should have one-inch margins, be collated, and numbered consecutively throughout. Statistical and other supporting materials may be relegated to appendices. The narrative should provide a clear, logical, and concise description of the activities that the challenge grant will support.

In the narrative, the applicant should do the following:
- Describe the significance and intellectual quality of the humanities activities, programs, and holdings that the challenge grant would support. Explain why these activities are important, and to whom.
- Describe the institution’s long-range plans for advancing and/or disseminating humanistic knowledge. Explain how the institution, through its mission, personnel, governance, facilities, and resources, is capable of sustaining outstanding humanities activities. Identify any collaborators or partners and provide evidence, such as letters of support, of institutional commitment to the long-range plans and the challenge grant.
- Discuss the impact of the challenge grant. Explain how grant funds will strengthen and improve knowledge and understanding of the humanities. Explain how the NEH challenge grant will sustain and enhance significant humanities activities over the long term. Delineate clearly and in detail the planned challenge grant expenditures (federal and nonfederal combined). Provide a plan for assessing, in both qualitative and quantitative terms as appropriate, the impact of the grant.
- Describe the plans for raising funds to meet the NEH matching requirement. Offer evidence of long-term financial stability at the institution, and explain how the institution’s resources, leadership, staff, and experience will enable it to conduct a successful campaign. Give details of the fundraising strategy; explain its feasibility and how it will broaden the base of institutional support.
Applicants should also briefly describe, when relevant, any recent NEH or state humanities council grants received by the institution, as well as any pending NEH applications related to the activities that the challenge grant would support. If the applicant holds or is currently applying for any NEH grants that include a matching component, these must be described (including the amount of the match) in the section of the narrative that discusses the feasibility of fundraising.

NOTE: Applicants who have held prior NEH challenge grants must describe and assess the impact of their prior award(s), especially in cases where the new grant would support humanities activities similar to those supported by the prior grant(s).

An applicant responding to the encouragement offered small or mid-sized institutions should highlight and discuss in the proposal narrative how its financing, staffing, facilities, or any other factors justify characterizing the institution as small or mid-sized.
Lists of trustees and staff
Provide a list of the institution’s board of governors or trustees with their professional affiliations and a list of staff and faculty members principally involved with the challenge grant, indicating their professional qualifications.
Résumés
The project director is the person primarily responsible for implementing the humanities activities described in the narrative proposal. Attach a two-page version of this person’s résumé as an appendix to the application. Résumés or job descriptions for any position being supported by the challenge grant should also be attached.
Letters of support
Include in an appendix letters of commitment or support from appropriate institutional officials, confirming the institution’s commitment to the humanities activities and to meeting the NEH challenge. Other letters of support, such as from partners, scholars in the field, staff involved in carrying out the humanities activities, and participants in or beneficiaries of the humanities activities, may be included as appropriate.
Optional appendices
Copies of printed brochures, flyers, or other descriptive materials may be included and referred to in the text of the narrative.

Single copies of bulky ancillary materials, such as catalogs, journals, or books, may also be submitted but are neither required nor encouraged. See How to Submit Supplementary Materials.

Special requirements for renovation and construction projects

Section 106 review process and letter from the State Historic Preservation Office

Applicants requesting support for the construction of a free-standing structure, for building renovations, or for additions to buildings of any age are required to consult with their state historic preservation officer (SHPO) to determine if a property or site is listed, or is eligible for listing, in the National Register of Historic Places. The SHPO’s eligibility determination should be included in an appendix to the application. If a property is eligible for or listed in the National Register, the applicant should, if possible, also include in an appendix to the application the SHPO’s written comments as to the effect of the project on the building or site, in accordance with the guidelines set forth in the Secretary of the Interior’s Standards for the Treatment of Historic Properties.

Additionally, applicants who receive NEH challenge grant funds for renovation and construction projects on property or sites listed, or eligible for listing, in the National Register of Historic Places must provide NEH with assistance in carrying out its responsibilities under Section 106 of the National Historic Preservation Act, 16 U.S.C. Section 470f, as amended. For all funded renovation or construction projects, Section 106 requires NEH to conduct a review to determine whether historic properties will be affected. If historic properties will be adversely affected by a project, Section 106 requires that NEH consult with the SHPO and the applicant to avoid, minimize, or mitigate the adverse effect.

The Section 106 review process is initiated once NEH makes a decision to fund an application for renovation and construction projects on property or sites listed, or eligible for listing, in the National Register of Historic Places. If such an application is selected for funding, the NEH Office of Grant Management will contact the applicant with a request for any additional information about the project that might be needed for Section 106 review. Once this information is received, NEH will conduct a review and determine whether further action is needed in order to comply with Section 106. The length of the Section 106 review process varies for each project. However, applicants can minimize the length of the review process by familiarizing themselves with Section 106 and by submitting required documentation with the Challenge Grant application. NEH is not permitted to release any grant funds until the Section 106 process has concluded.

For more information on the Section 106 review process, the required documentation, and the responsibilities of an applicant prior to and during the Section 106 review, please read the Section 106 FAQs, or contact the NEH Federal Preservation Officer by e-mail at FPO@neh.gov, by phone at 202-606-8309, or by mail sent to Federal Preservation Officer, Office of Challenge Grants, Room 420, National Endowment for the Humanities, 1100 Pennsylvania Ave. N.W., Washington, DC 20506.

Wage rates for renovation and construction

Institutions using NEH challenge grant funds, federal or nonfederal, for renovation and construction projects must comply with the Davis-Bacon Act.

Applicants should indicate in the narrative their awareness of and plans to meet the special requirements for renovation and construction projects.

HOW TO SUBMIT YOUR APPLICATION VIA GRANTS.GOV

Register or Verify Registration with Grants.gov

Applications for this program must be submitted via Grants.gov. Before using Grants.gov for the first time, each organization must register with the Web site to create an institutional profile. Once registered, your organization can then apply for any government grant on the Grants.gov Web site.

If your organization has already registered and you have verified that your registration is still valid, you may skip this step. If not, please see the Grants.gov checklist to guide you through the registration process. We strongly recommend that you complete or verify your registration at least two weeks before the application deadline, as it takes time for your registration to be processed. If you have problems registering with Grants.gov, call the Grants.gov help desk at 1-800-518-4726.

Download the Free Adobe Reader software

To fill out a Grants.gov application package, you will need to download and install the current version of Adobe Reader. The latest version of Adobe Reader, which is designed to function with PCs and Macintosh computers using a variety of popular operating systems, is available at no charge from the Adobe Web site (www.adobe.com). Click on “Get Adobe Reader” and then “Download Now.”

Once installed, the current version of Adobe Reader will allow you to view and fill out Grants.gov application packages for any federal agency. If you have a problem installing Adobe Reader, it may be because you do not have permission to install a new program on your computer. Many organizations have rules about installing new programs. If you encounter a problem, contact your system administrator.

Download the Application Package

To submit your application, you will need to download the application package from the Grants.gov Web site. You can download the application package at any time. (You do not have to wait for your Grants.gov registration to be complete.) Click the button at the right to download the package.

Save the application package to your computer’s hard drive. To open the application package, select the file and double click. You do not have to be online to work on it.

You can save your application package at any time by clicking the “Save” button at the top of your screen. Tip: If you choose to save your application package before you have completed it, you may receive an error message indicating that your application is not valid. Click “OK” to save your work and complete the package another time. You can also use e-mail to share the application package with members of your organization or project team.

The application package contains four forms that you must complete in order to submit your application:

Application for Federal Domestic Assistance—Short Organizational (SF-424 Short)—this form asks for basic information about the project, the project director, and the institution.
Supplementary Cover Sheet for NEH Grant Programs—this form asks for additional information about the project director, the institution, and the budget.
Project/Performance Site Location(s)—this form asks for information about the primary site(s) at which grant activities will take place.
NEH Attachment Form—this form allows you to attach your narrative, budget, and the other parts of your application.

To assist applicants, Grants.gov provides a helpful troubleshooting page.

How to Fill Out the SF-424 Short Form

Select the form from the menu and double click to open it. In items 6, 7, 8, and 9 below, NEH recommends that the project title, brief project description, project director’s name, primary contact/grants administrator’s name, and authorized representative’s name be typed directly onto the form, instead of being pasted in; pasted-in quotation marks, diacriticals, and other symbols are often converted into question marks during transmittal.

Please provide the following information:

Name of Federal Agency: This will be filled in automatically with “National Endowment for the Humanities.”
Catalog of Federal Domestic Assistance Number: This will be filled in automatically with the CFDA number and title of the NEH program to which you are applying.
Date Received: Please leave blank.
Funding Opportunity Number: This will be filled in automatically.
Applicant Information: In this section, please supply the name, address, employer/taxpayer identification number (EIN/TIN), DUNS number, Web site address, and congressional district of the institution. Also choose the “type” that best describes your institution (you only need to select one).
If your institution is located, for example, in the 5th Congressional District of your state, put a “5.” If your institution doesn’t have a congressional district (e.g., it is in a state or U.S. territory that doesn’t have districts or is in a foreign country), put a “0” (zero).

All institutions applying to federal grant programs are required to provide a DUNS number, issued by Dun & Bradstreet, as part of their application. Project directors should contact their institution’s grants administrator or chief financial officer to obtain their institution’s DUNS number. Federal grant applicants can obtain a DUNS number free of charge by calling 1-866-705-5711. (Learn more about the requirement.)
Project Information: Provide the title of your project. Your title should be brief (no more than 125 characters), descriptive, and substantive. It should also be informative to a nonspecialist audience. Provide a brief (no more than one thousand characters) description of your project. The description should be written for a nonspecialist audience and clearly state the importance of the proposed work and its relation to larger issues in the humanities. List the starting and ending dates for your project.
Project Director: Provide the name, title, mailing address, e-mail address, and telephone and fax numbers for the project director.
Primary Contact/Grants Administrator: Provide the contact information for the official responsible for the administration of the grant (i.e., negotiating the project budget and ensuring compliance with the terms and conditions of the award). This person is often a grants or research officer, or a sponsored programs official. Normally, the Primary Contact/Grants Administrator is not the same person as the Project Director. If the project director and the grants administrator are the same person, skip to Item 9.
Authorized Representative: Provide the contact information for the Authorized Organization Representative (AOR) who is submitting the application on behalf of the institution. This person, often called an “Authorizing Official,” is typically the president, vice president, executive director, provost, or chancellor. In order to become an AOR, the person must be designated by the institution’s E-Business Point of Contact. For more information, please consult the Grants.gov user guide, which is available at www.grants.gov/applicants/resources.jsp.

How to Fill Out the Supplementary Cover Sheet for NEH Grant Programs

Select the form from the menu and double click to open it. Please provide the following information:

Project Director: Use the pull-down menu to select the major field of study for the project director.
Institution Information: Use the pull-down menu to select your type of institution.
Project Funding: Enter your project funding information. Note that applicants for Challenge Grants should use the right column only; applicants to all other programs should use the left column only.
Application Information: Indicate whether the application will be submitted to other NEH grant programs, government agencies, or private entities for funding. If so, please indicate where and when. NEH frequently cosponsors projects with other funding sources. Providing this information will not prejudice the review of your application.

For Type of Application, check “new” if the application requests a new period of funding, whether for a new project or the next phase of a project previously funded by NEH. Check “supplement” if the application requests additional funding for a current NEH grant. Applicants requesting a supplement should provide the current grant number. Before submitting an application for a supplement, applicants should discuss their request with an NEH program officer.

For Project Field Code, use the pull-down menu to select the humanities field of the project. If the project is multidisciplinary, choose the field that corresponds to the project’s predominant discipline.

How to Fill Out the Project/Performance Site Location(s) Form

Select the form from the menu and double click to open it. Please provide the requested information. Instructions for each requested data element may be viewed by positioning your cursor over the blank field.

How to Use the NEH Attachment Form

You will use this form to attach the various files that make up your application.

Your attachments must be in Portable Document Format (.pdf). We cannot accept attachments in their original word processing or spreadsheet formats. If you don’t already have software to convert your files into PDFs, many low-cost and free software packages will do so. To learn more, go to www.neh.gov/grants/grantsgov/pdf.html.

When you open the NEH Attachment Form, you will find fifteen attachment buttons, labeled “Attachment 1” through “Attachment 15.” By clicking on a button, you will be able to choose the file from your computer that you wish to attach. You must name and attach your files in the proper order so that we can identify them. Please attach the proper file to the proper button as listed below:

ATTACHMENT 1: To this button, please attach your table of contents. Name the file "contents.pdf".

ATTACHMENT 2: To this button, please attach your one-page abstract. Name the file “abstract.pdf”.

ATTACHMENT 3: To this button, please attach your budget. Name the file “budget.pdf”.

ATTACHMENT 4: To this button, please attach your one-page institutional fact summary. Name the file “institutionalsummary.pdf”.

ATTACHMENT 5: To this button, please attach your financial summary. Name the file “financialsummary.pdf”.

ATTACHMENT 6: To this button, please attach your narrative. Name the file “narrative.pdf”.

ATTACHMENT 7: To this button, please attach your lists of trustees and staff. Name the file “trusteesstaff.pdf”.

ATTACHMENT 8: To this button, please attach your project director’s résumé (and the job descriptions or résumés for any positions being supported). Name the file “resume.pdf”.

ATTACHMENT 9: To this button, please attach your letters of support. Name the file “letters.pdf”.

Use the remaining buttons to attach any additional materials (if appropriate). Give these attachments meaningful file names and ensure that they are PDFs.

UPLOADING YOUR APPLICATION TO GRANTS.GOV

When you have completed all three forms, use the right-facing arrow to move each of them to the “Mandatory Documents for Submission” column. Once they have been moved over, the “Submit” button will activate. You are now ready to upload your application package to Grants.gov.

During the registration process, your institution designated one or more AORs (Authorized Organization Representatives). These AORs typically work in your institution’s Sponsored Research Office or Grants Office. When you have completed your application, you must ask your AOR to submit the application, using the special username and password that were assigned to him or her during the registration process.

To submit your application, your computer must have an active connection to the Internet. To begin the submission process, click the “Submit” button. A page will appear, asking you to sign and submit your application. At this point, your AOR will enter his or her username and password. When you click the “Sign and Submit Application” button, your application package will be uploaded to Grants.gov. Please note that it may take some time to upload your application package, depending on the size of your files and the speed of your Internet connection.

After the upload is complete, a confirmation page will appear. This page, which includes a tracking number, indicates that you have submitted your application to Grants.gov. Please print this page for your records. The AOR will also receive a confirmation e-mail message.

NEH suggests that you submit your application no later than 5:00 p.m. Eastern Time on the day of the deadline. Doing so will leave you time to contact the Grants.gov help desk for support, should you encounter a technical problem of some kind. The Grants.gov help desk is now available seven days a week, twenty-four hours a day (except on federal holidays), at 1-800-518-4726. You can also send an e‑mail message to support@grants.gov.

To assist applicants, Grants.gov also provides a helpful troubleshooting page.

How to Submit Supplementary Materials

If you are sending supplementary materials, please include in your Grants.gov submission a list of the materials to be sent separately. Send the materials to:

Office of Challenge Grants
National Endowment for the Humanities
Room 420
1100 Pennsylvania Avenue, NW
Washington, DC 20506
202-606-8309

Clearly indicate the name of your institution on the envelope.

Supplementary materials should be sent by a commercial delivery service to ensure that they arrive by the receipt deadline. NEH continues to experience lengthy delays in the delivery of mail by the U.S. Postal Service.

If you wish to have the materials returned to you, please include a self-addressed, pre-paid mailer.

Deadlines

Draft proposals (optional): The staff recommends that draft proposals be submitted four to six weeks before the application deadline, if not earlier. Staff may not be able to review drafts submitted closer to the deadline. Draft proposals may be submitted by e-mail attachment (challenge@neh.gov), fax (202-606-8579), or overnight mail (Office of Challenge Grants, NEH Room 420, 1100 Pennsylvania Avenue, N.W., Washington, DC 20506, 202-606-8309).

Applications must be received by Grants.gov by May 5, 2010. Grants.gov will date- and time-stamp your application after it is fully uploaded. Applications submitted after that date will not be accepted. Supplementary materials must also arrive at NEH by May 5, 2010, to be considered as part of the application.

Challenge grants timetable


December 1, 2009	Date prior to the May deadline from which advance fundraising may count toward the matching requirement.
Four to six weeks before deadline	Target date for submission of draft proposals for comment by NEH staff.
May 5, 2010	Receipt deadline for applications.
December 2010	Notification of awards.
July 31	Annual date after notification by which the grantee must submit certification of the gifts required to claim each year's installment of federal funds.

Applications are evaluated according to the four criteria listed below.

The significance of humanities activities
What is the evidence that the current and planned activities—particularly those that will be affected by the challenge grant—are significant and that their intellectual quality is high? Why are these activities important, and to whom?
The appropriateness of resources and plans
What evidence is there of realistic long-range institutional planning to advance and/or disseminate humanistic knowledge? Is the institution, through its mission, personnel, governance, facilities, and resources, capable of sustaining outstanding activities in the humanities? What evidence (such as letters of support) is there of sufficient institutional and community commitment to the long-range plans?
The impact of challenge grant funds
What impact will grant funds have on strengthening and improving the understanding of the humanities? How will the NEH challenge grant sustain and enhance significant humanities activities over the long term? Is the mode of expenditure (endowment, direct, combined) appropriate to the humanities-related costs and to the nature of the activities to be supported? Are the planned challenge grant expenditures (federal and nonfederal combined) described clearly and in detail? How will the institution assess the impact of the challenge grant?
The feasibility of fundraising
Does the institution provide evidence or promise of long-term financial stability? What are the applicant’s resources, leadership, staff, and experience for conducting a successful campaign to meet the NEH matching requirement? What evidence is offered that the fundraising plan is feasible? Will the fundraising strategy broaden the base of institutional support?

Review and selection process

Knowledgeable persons outside NEH will read each application and advise the agency about its merits. NEH staff comments on matters of fact or on significant issues that otherwise would be missing from these reviews, then makes recommendations to the National Council on the Humanities. The National Council meets at various times during the year to advise the NEH chairman on grants. The chairman takes into account the advice provided by the review process and, by law, makes all funding decisions.

Award notices

Applicants will be notified by mail in December, approximately seven months after the application deadline. Applicants may obtain the evaluations of their applications by sending a letter or e-mail message to the Office of Challenge Grants, Room 420, NEH, 1100 Pennsylvania Avenue, N.W., Washington, D.C. 20506 or challenge@neh.gov.

Administrative requirements

More detailed information on eligible gifts and the mechanics of challenge grant administration can be found in the booklet Administration of NEH Challenge Grants, which may be obtained from the NEH Web site or the Office of Challenge Grants. Applicants should obtain this document if they plan to solicit and collect eligible matching gifts in anticipation of receiving an NEH challenge grant.

Before submitting an application, applicants should review their responsibilities as an award recipient.

Award conditions

The requirements for awards are contained in the Administration of NEH Challenge Grants, any specific terms and conditions contained in the offer letter, OMB Circular A-133, Audits of States, Local Governments, and Non-Profit Organizations, and the Challenge Grant Audit Guidelines.

Reporting requirements

A schedule of report due dates will be included with the award document.

Interim and final financial and performance reports will be required. Further details can be found in the Administration of NEH Challenge Grants. Reports must be submitted electronically via “eGMS,” NEH’s online grant management system.

If you have questions about the program, contact:

Office of Challenge Grants
National Endowment for the Humanities
Room 420
1100 Pennsylvania Avenue, NW
Washington, DC 20506
202-606-8309
challenge@neh.gov

If you need help using Grants.gov, contact

Grants.gov: www.Grants.gov
Grants.gov help desk: support@Grants.gov
Grants.gov customer support tutorials and manuals: www.grants.gov/applicants/resources.jsp
Grants.gov support line: 1-800-518-GRANTS (4726)
Grants.gov troubleshooting tips

Privacy policy

Information in these guidelines is solicited under the authority of the National Foundation on the Arts and Humanities Act of 1965, as amended, 20 U.S.C. 956. The principal purpose for which the information will be used is to process the grant application. The information may also be used for statistical research, analysis of trends, and Congressional oversight. Failure to provide the information may result in the delay or rejection of the application.

Application completion time

The Office of Management and Budget requires federal agencies to supply information on the time needed to complete forms and also to invite comments on the paperwork burden. NEH estimates that the average time to complete this application is fifteen hours per response. This estimate includes time for reviewing instructions, researching, gathering, and maintaining the information needed, and completing and reviewing the application.

Please send any comments regarding the estimated completion time or any other aspect of this application, including suggestions for reducing the completion time, to the Office of Publications, National Endowment for the Humanities, Washington, D.C. 20506; and to the Office of Management and Budget, Paperwork Reduction Project (3136-0134), Washington, D.C. 20503. According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it displays a valid OMB number.