• Program Description • Award Information • Eligibility • How to Prepare and Submit an Application • Application Review • Award Administration • Points of Contact • Other Information • Budget form (PDF) • Frequently asked questions • Sample projects • Sample narratives: o  Indiana University Archives of Traditional Music (31-page PDF) o  University of North Carolina, Chapel Hill (30-page PDF) • DUNS number requirement • Registration checklist • Download PureEdge Viewer • How to convert documents into PDFs • Grants.gov FAQs • Grants.gov customer support 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 Public Affairs, 1100 Pennsylvania Avenue, NW, Washington, DC 20506.

Date posted: April 18, 2007

Catalog of Federal Domestic Assistance (CFDA) Number: 45.149

Questions? Contact the staff of NEH's Division of Preservation and Access at 202-606-8570 and preservation@neh.gov. Hearing-impaired applicants can contact NEH via TDD at 1-866-372-2930.

These grants support research and development projects that address major challenges in preserving or providing intellectual access to humanities resources. Applicants should define a specific problem, devise procedures and potential solutions, and evaluate findings. Successful proposals ought to have broad applicability to the humanities. NEH encourages applications that will explore new uses of digital technology in the humanities.

Eligible projects might:

• develop technical standards, best practices, and tools for preserving and creating access to humanities collections;
• explore more effective scientific and technical methods of preserving humanities collections;
• develop new procedures to create reference works; or
• improve the policies and practices of humanities research institutions affecting preservation and access on a national level.

NEH encourages applications that address the challenges of preserving digital resources for future generations.

Applicants should confer with other professionals in their field to ensure that their research will address problems whose solution is critical to making progress in that field or would be broadly applicable to humanities materials.

Projects to develop standards or procedures should be guided by a committee representative of the profession to ensure that they are comprehensive and acceptable. A project whose primary activity involves the digitization of materials or the creation of a database is not eligible for a research and development grant, even if it might ultimately be a model for similar efforts. Applicants proposing such projects should consider Humanities Collections and Resources grants.

Previously funded projects An institution whose project has received NEH support may apply for a grant for a new or subsequent stage of that project. These proposals receive no special consideration and will be judged by the same criteria as others in the grant competition. In addition, these proposals must be substantially updated, including a description of the new activities and a justification of the new budget. The applicant must also describe how the previously funded project met its goals.

Providing Access to Grant Products As a taxpayer-supported federal agency, the NEH endeavors to make the products of its grants available to the broadest possible audience. Our goal is for scholars, educators, students, and the American public to have ready and easy access to the wide range of NEH grant products. For the Research and Development program, such products may include digital tools, Web sites, and the like. For projects that lead to the development of Web sites, all other considerations being equal, the NEH gives preference to those that provide free access to the public. Detailed guidance on access and dissemination matters can be found in the Dissemination section below.

The Endowment currently sponsors three Endowment-wide programs and initiatives: We the People, Rediscovering Afghanistan, and the Digital Humanities Initiative. Below is information on each. The NEH encourages applications in these three special areas of interest. Proposals are to be submitted to, and will be evaluated by, NEH's existing grant programs and will not receive special consideration.

We the People Grant Program To help Americans make sense of their history and of the world around them, NEH has launched a special program: We the People. To learn more about We the People, visit the program's Web site. The Division of Preservation and Access encourages applications that provide a basis for exploring significant events and themes in our nation's history and culture and that advance knowledge of the principles that define America. Proposals will be evaluated through NEH's established review process and will not receive special consideration.

Rediscovering Afghanistan NEH invites applications for projects that focus on Afghanistan's history and culture. The special initiative is designed to promote research, education, and public programs about Afghanistan and to encourage United States institutions to assist Afghanistan in efforts to preserve and document its cultural resources. Learn more about the initiative.

Digital Humanities Initiative NEH is interested in receiving applications for projects that utilize or study the impact of digital technology. Digital technologies offer humanists new methods of conducting research, conceptualizing relationships, and presenting scholarship. Digital humanities projects deploy these technologies and methods to enhance our understanding of a topic or issue. NEH is also interested in projects that study the impact of digital technology on the humanities—exploring the ways in which it changes how we read, write, think, and learn. Proposals will be evaluated through NEH's established review process and will not receive special consideration. Learn more about the initiative.

Awards range from $50,000 to $350,000 for a two-year period. In rare circumstances, awards may exceed this amount. Successful applicants will be awarded a grant in outright funds, federal matching funds, or a combination of the two, depending on the applicant's preference and the availability of NEH funds. Matching funds are released when a grantee secures gift funds from eligible third parties

Cost sharing Cost sharing consists of the cash contributions made to the project by the applicant, third parties and other federal agencies, as well as third party in-kind contributions, such as donated services and goods. Cost sharing also includes gift money raised to release federal matching funds. Cost sharing is not required. NEH, however, is rarely able to support the full costs of projects approved for funding. In most cases, NEH Research and Development grants cover no more than 80% of project costs.

(Learn more about different types of grant funding.)

Any U.S. nonprofit organization is eligible, as are state and local governmental agencies and tribal governments. Grants are not awarded to individuals.

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.

All applicants for a Research and Development Grant must submit a précis of the project no later than May 16, 2007. NEH will determine whether the project is eligible for a grant in this program.

Ineligible applications will not be reviewed.

Application advice and proposal drafts

A précis must be submitted directly to the NEH's Division of Preservation and Access via e-mail (preservation@neh.gov) by May 16, 2007. Prior to submitting a précis, you are encouraged to contact program officers who can offer advice about preparing it. In three to five pages, the précis should explain the problem the project will address, the advances the project will make to the work of preservation and access, and the institutional commitments available to implement the grant.

Program officers can also read preliminary proposal drafts. The staff recommends that drafts be submitted at least four weeks before the deadline in order to allow for sufficient time to respond. Drafts should be e-mailed directly to NEH (preservation@neh.gov) and not to Grants.gov. The staff 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.

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, you may skip this step. If not, please see our handy checklist to guide you through the registration process. We recommend you complete 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 PUREEDGE VIEWER SOFTWARE In order to fill out a Grants.gov application package, you will need to download and install the free PureEdge Viewer software. This software is available at no charge from the Grants.gov Web site at: http://www.grants.gov/resources/download_software.jsp#pureedge. Once installed, this software will allow you to view and fill out Grants.gov application packages for any federal agency.

If you have a problem installing PureEdge Viewer, 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 APPLICATION 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 if all of the forms have not been completed. 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 three forms that you must complete in order to submit your application:

1. 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.
2. Supplementary Cover Sheet for NEH Grant Programs -- this form asks for additional information about the project director, the institution, and the budget.
3. NEH Attachment Form -- this form allows you to attach your narrative, budget, and the other parts of your application.

HOW TO FILL OUT THE APPLICATION FOR FEDERAL DOMESTIC ASSISTANCE SF-424 SHORT FORM Select the form from the menu and double click to open it. Please provide the following information:

1. Name of Federal Agency: This will be filled in automatically with "National Endowment for the Humanities."
2. 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.
3. Date Received: Please leave blank.
4. Funding Opportunity Number: This will be filled in automatically.
5. 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 in the 5th Congressional District of California, 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 grant 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.)
6. Project Information: Provide the title of your project. Your title should be brief, descriptive, and substantive. It should also be informative to a non-specialist audience. Provide a brief description of your project. The description should be written for a non-specialist 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.
7. Project Director: Provide the Social Security Number, name, title, mailing address, e-mail address, and telephone and fax numbers for the project director.
   Disclosure of Social Security Numbers is optional. NEH uses them for internal application processing only.
8. Primary Contact/Grants Administrator: Provide the contact information for the official responsible for the administration of the grant (e.g., 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 Institutional Grants Administrator is not the same person as the Project Director. If the project director and the grant administrator are the same person, skip to item 9.
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: http://www.grants.gov/applicants/applicant_help.jsp.

1. Project Director: Use the pull down menu to select the major field of study for the project director.
2. Institution Information: Use the pull down menu to select your type of institution.
3. 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.
4. Application Information: Indicate whether the proposal 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. If requesting a supplement, provide the current grant number (applicants should discuss their request with a NEH program officer before submitting such an application). 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 PREPARE THE NARRATIVE, BUDGET, AND ATTACHMENTS 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:

1. Description of the project and its significance Provide a one-page abstract written for a non-specialist audience, clearly explaining the project's importance to the humanities, its principal activities, and its expected results.
2. Table of contents List all parts of the application and, beginning with the narrative, number all pages consecutively.

3. Narrative Limit the narrative to twenty-five single-sided and single-spaced pages. All pages should have one-inch margins and the font size should be no smaller than eleven point. Use appendices to provide supplementary material.

   Individuals with a variety of professional backgrounds will read these applications and advise NEH on their merits. Project narratives should, therefore, be written so that they can be understood by persons who may not have the same technical awareness as the applicant.

   Keep the application review criteria (see below) in mind when writing the narrative, which consists of the following sections:

   • Significance Provide a clear account of the history of the issue or problem this research will address, and the reasons why the project proposed is a high, national priority.
   • Background of applicant Explain the applicant institution's capabilities for conducting the project and include a discussion of previous work in the area. For scientific research, describe the institutional facilities available to support the project.
   • History, scope, and duration Provide a concise history of the project, including information about any preliminary research or planning. If a project will take more than two years to complete, describe the scope and duration of the entire project as well as the specific accomplishments or products intended for the grant period for which funding is requested.

     If the project has been previously supported by NEH, indicate what has been accomplished in the current or past grant period and the degree to which the project has met its established goals. List any publications, in print or electronic form, already produced. When appropriate, indicate print runs, sales, and royalties relating to these publications. In the case of online projects, include the Internet address, and provide statistics of use and other relevant information.

   • Methodology and standards Explain and justify the procedures and standards that will be used to carry out the project. Also:
     • discuss how advisers representing the profession will guide the project in developing procedures, best practices, or national standards, and how any products will reflect the collective knowledge and judgment of experts in the field.
     • if a prototype or test bed will be created, indicate how its scope and content will be appropriate to test the proposed approach. Discuss how materials or information will be organized, presented, and disseminated in a manner that reflects accepted professional practices and national standards pertinent to the project's materials and methods. If the methodology departs from accepted standards and procedures, explain why the project's goals require this approach and whether the results would be compatible with other resources that follow existing standards.
     • explain how the project will test the potential applicability of any innovative techniques and procedures that the project is likely to develop.
     • describe how the results of the project will be evaluated.
   • Work plan Describe the work plan in detail, including a schedule indicating what will be accomplished during each stage of the project.
   • Staff Identify the project's staff, including outside consultants. Describe their duties and their qualifications for those duties. Indicate the amount of time that the principal members of the project's staff will devote to the project. All people directly involved in the conduct of the project, whether paid for by NEH or cost-sharing, must be named in the budget along with their anticipated commitments of time. Provide two-page résumés for major project staff and all consultants in an appendix.

     If the project has an advisory board, list their names and affiliations and explain the board's function.

   • Dissemination Explain how the results of the project will be disseminated in print and electronic forms. Discuss any intellectual property issues that might affect the availability of the materials. Describe the format of the project's final product and discuss its appropriateness to the subject matter and the intended audience. If relevant, discuss print or electronic publishing arrangements and provide an estimated price for the final product.

     Institutions receiving grants to create software are expected to publish or provide technical documentation concerning its development and implementation and to indicate plans for its continuing maintenance and updating.

     NEH strongly encourages projects that offer free public access to online resources. All other considerations being equal, NEH will give preference to projects that provide free, online access to digital materials produced with grant funds.

4. Budget Using the instructions, complete the budget form (PDF). While all items should be justified by the narrative, further explanation may be included in brief budget notes.

   For any outsourced work, third-party contractor costs should be included in the budget category "Services." Attach a complete itemization of these costs to the budget form. If there is more than one contractor, each one must be listed on the budget form and the costs itemized separately.

   To the maximum extent practical, all procurement contracts must be made through an open and free competition. They are to be awarded to the bidder/offeror whose bid/offer is most advantageous, considering price, quality and other factors. Applicants must justify procurement contracts in excess of $100,000 that are not awarded by competitive bids or offers.

   Permanent equipment may be purchased for a project if an analysis demonstrates that it is the most economical and practical alternative to leasing. Permanent equipment is defined as nonexpendable personal property costing $5000 or more and having a useful life of more than one year.

   Consistent with the Buy American Act (41 U.S.C. 10a-c and Public Law 105-277), grantees and subrecipients who purchase equipment and products with grant funds should purchase only American-made equipment and products.

5. Appendices Use appendices to provide:
   • representative samples of the final or anticipated form of the work, prefaced by explanatory notes (if applicable);
   • brief résumés (no longer than two pages) for staff with major responsibilities for the project's implementation;
   • job descriptions for any additional staff who will be hired specifically to work on the project;
   • brief résumés (no longer than two pages) for project consultants;
   • letters of commitment from outside participants and cooperating institutions; and
   • letters of support. Such letters should address the project's significance and be written by experts in the project's subject area, proposed methodology, or technical plan. Authors of letters of support will not participate further in the NEH review process.
6. History of grants If the project has received previous support from any federal or nonfederal sources, including NEH, list on one page the sources, dates, and amounts of these funds. If the project has a long history of support, the sources and contributions may be grouped and summarized.
7. Consultants and advisory board members List consultants to the project, members of the project's advisory board (if there is one), and authors of letters of support (if provided).
8. List of suggested evaluators Provide the names, addresses, telephone numbers, and e-mail addresses of up to eight potential evaluators, briefly indicating why each one would be appropriate. These individuals should be experts in the project's subject area, the proposed methodology, or the technical plan, or they should be scholars whose broad knowledge and experience will lend weight to the advice they would provide NEH about the project. Previous grantees should include several persons not named in an earlier application. Do not discuss the proposal with suggested evaluators.

   Do not list persons who would be excluded as reviewers because of federal rules governing conflict of interest. These exclusions apply to immediate relatives of the project's staff, employees of the applicant institution, and anyone who would benefit financially from the project (e.g. publishers or contractors), has been or will be involved in the project as a consultant or participant, or has written a letter of support included in the application.

HOW TO USE THE NEH ATTACHMENT FORM You will use this form to attach the various files that make up your application.

When you open the NEH Attachment Form, you will find 15 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 description of the project and its significance. Please name the file "projectdescription.pdf".

ATTACHMENT 2: To this button, please attach your table of contents. Please name the file "contents.pdf".

ATTACHMENT 3: To this button, please attach your narrative. Please name the file "narrative.pdf".

ATTACHMENT 4: To this button, please attach your budget. Please name the file "budget.pdf".

ATTACHMENT 5: To this button, please attach your appendices. Please name the file "appendices.pdf".

ATTACHMENT 6: To this button, please attach your history of grants. Please name the file "granthistory.pdf".

ATTACHMENT 7: To this button, please attach your list of project consultants and advisory board members. Please name the file "consultants.pdf".

ATTACHMENT 8: To this button, please attach your list of suggested evaluators. Please name the file "suggestedevaluators.pdf".

Use the remaining buttons to attach any additional materials (if appropriate). Please 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 was 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, which includes a tracking number, will appear indicating 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.

NEH suggests that you submit your application no later than 5:00 p.m. Eastern Time on the day of the deadline. That way, should you encounter a technical problem of some kind, you will still have time to contact the Grants.gov help desk for support. The Grants.gov help desk is open Monday to Friday from 7:00 a.m. to 9:00 p.m. Eastern Time at 1-800-518-4726. You can also send an e-mail to support@grants.gov.

HOW TO SUBMIT SUPPLEMENTARY MATERIALS If you are sending supplementary materials (those that cannot be submitted electronically), please send 8 copies of each item and include a list of the materials to be mailed separately in your Grants.gov submission. Mail the materials to:

Preservation and Access Research and Development Grants
Division of Preservation and Access
Room 411
National Endowment for the Humanities
1100 Pennsylvania Avenue, NW
Washington, DC 20506

NEH continues to experience lengthy delays in the delivery of mail by the U.S. Postal Service, and in some cases materials are damaged by the irradiation process. We recommend that supplementary materials be sent by a commercial delivery service to ensure that they arrive intact by the receipt deadline.

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

DEADLINES Précis: A précis must be submitted directly to the NEH's Division of Preservation and Access via e-mail (preservation@neh.gov) by May 16, 2007.

Applications: Must be received by Grants.gov by July 3, 2007. Grants.gov will date/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 July 3, 2007, to be considered as part of the application.

• the significance and potential impact of the project for improving preservation and access practices;
• the soundness of the methodology, including its adherence to accepted professional and technical standards of practice;
• the viability, efficiency, and productivity of the work plan (which should include evaluation procedures);
• the professional training and experience of the staff in relation to the activity for which support is requested;
• the appropriateness of the project's budget; and
• the project’s plan for providing access to grant products. All other considerations being equal, preference will be given to projects that provide free, online access to digital materials produced with grant funds.

Review and Selection Process

Knowledgeable persons outside NEH will read each application and advise the agency about its merits. The Endowment’s 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 January 2008 of the decision. Institutional grants administrators and project directors of successful applications will also receive at that time award documents by mail. Applicants may obtain the reasons for funding decisions on their applications by sending a letter or e-mail to NEH, Division of Preservation and Access, Room 411, 1100 Pennsylvania Avenue, N.W., Washington, D.C. 20506 or preservation@neh.gov.

Administrative requirements

Before submitting an application, applicants should review their responsibilities as an award recipient and the lobbying certification requirement.

Award conditions

The requirements for awards are contained in the General Terms and Conditions for Awards to Organizations, any specific terms and conditions contained in the award document, and the applicable OMB circulars governing federal grants management.

Reporting requirements

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

Interim and final performance reports will be required. Further details can be found in Enclosure 2, Performance Reporting Requirements.

A Federal Cash Transactions Report (2-page PDF) will be due within 30 days after the end of each calendar quarter. A final Financial Status Report (2-page PDF) will be due within 90 days after the completion date of the award period. Further details can be found in Financial Reporting Requirements (formerly Enclosure 1).

If you have questions about the program, contact: Research and Development Grants
Division of Preservation and Access
Room 411
National Endowment for the Humanities
1100 Pennsylvania Avenue, NW
Washington, DC 20506
202-606-8570

If you need help using Grants.gov, contact: Grants.gov: http://www.grants.gov
Grants.gov help desk: support@grants.gov
Grants.gov Customer Support Tutorials and Manuals: http://www.grants.gov/applicants/applicant_help.jsp
Grant.gov Support Line: 1-800-518-GRANTS (4726)

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 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.