March 2006

Introduction

The General Terms and Conditions for Awards to Individuals apply to grants and cooperative agreements that the National Endowment for the Humanities (NEH) issues to individuals. These provisions DO NOT apply to fellowships or stipends awarded by the NEH to individuals.

Should there be any inconsistency between the General Terms and Conditions for Awards to Individuals and the specific terms and conditions that are enumerated in the award document, the latter will govern.

TABLE OF CONTENTS

Glossary of Terms

Basic Responsibilities


1. Recipient Responsibilities
2. Eligibility of Applicants for NEH Support
3. Acknowledgment of Support and Disclaimer

   Payment
   

4. Payments, Interest, and Refunds

   Project Costs
   

5. Equipment
6. Supplies
7. Travel Costs
8. Foreign Travel

   Changes
   

9. Budget Revisions
10. Award Period and Extensions
11. Changes in Key Project Personnel
12. Changes in Project Scope

    Reporting, Record Keeping, and Audits
    

13. Reporting Requirements
14. Program Income
15. Maintenance of Financial Records
16. Cost Sharing
17. Procurement Standards
18. Record Retention and Audits

    Rights
    

19. Intangible Property
20. Title to Equipment

    Government-wide Requirements
    

21. Nondiscrimination
22. Lobbying Activities
23. Drug-Free Workplace Requirements
24. Debarment and Suspension
25. Native American Graves Protection and Repatriation Act of 1990
26. National Historic Preservation Act of 1966

    NEH-Specific Requirements
    

27. Dissemination of Project Results
28. Activities Outside the United States
29. Data Collection
30. Research Misconduct
31. Code of Ethics for Projects Related to Native Americans

    Suspension and Termination
    

32. Suspension and Termination
33. Termination Review Procedures

Appendix


1. Procurement Procedures
2. Contract Provisions
3. Federal Guidance
4. Sample of Personnel Activity Reports

Glossary of Terms

1. Recipient Responsibilities

   The recipient has full responsibility for the conduct of project activities under the NEH award, for adherence to the award conditions, and for informing the NEH during the course of the award of any significant programmatic, administrative, or financial problems that have arisen.

   The recipient is responsible for notifying the NEH about any allegation of research misconduct if the allegation involves NEH funded research (or an application for NEH funding) and if the recipient's inquiry into the allegation determines there is sufficient evidence to proceed to an investigation in accordance with the NEH Research Misconduct Policy (see Article 30).

   The requirements of this award are contained in these General Terms and Conditions for Awards to Individuals and the specific terms and conditions of the award. Should there be any inconsistency between the specific terms and conditions of an award and the General Terms and Conditions for Awards to Individuals or the federal uniform administrative requirements, the specific terms and conditions will govern.

   In accepting an award, the recipient assumes the legal responsibility of administering the award in accordance with these requirements and of maintaining documentation, which is subject to audit, of all actions/expenditures affecting the award. Failure to comply with the requirements of this award could result in suspension or termination of the award and the NEH's recovery of award funds.

2. Eligibility of Applicants for NEH Support

   Individuals may apply for funding to any NEH program that does not require, by the terms of the program's guidelines, organizational sponsorship of its awards. To be eligible to receive funding directly from the NEH, an individual normally must be a U.S. citizen or a foreign national who has resided in the United States or its territories for the three years prior to the submission of an application to the NEH. In exceptional cases, the NEH may waive the residency requirement if a project gives promise of making a significant contribution to the understanding of the humanities in the United States.

   Should the NEH determine that an award has been made to a recipient who technically does not meet the eligibility criteria, the award will be terminated and the recipient will be required to return to the NEH any award funds received.

3. Acknowledgment of Support and Disclaimer

   Unless advised to the contrary, all materials publicizing or resulting from award activities shall contain an acknowledgment of NEH support. The acknowledgment shall also include the following statement: "Any views, findings, conclusions or recommendations expressed in this (publication) (program) (exhibition) (Web site) do not necessarily represent those of the National Endowment for the Humanities."

4. Payments, Interest, and Refunds

   A detailed explanation of payment procedures will be found in Enclosure 1 of the award.

   Recipients will be paid on an advance basis, unless otherwise specified in the award, and payment will be effected through electronic funds transfer. Whenever possible, advances should be deposited and maintained in insured accounts. Recipients are also encouraged to use women-owned and minority-owned banks (banks that are owned at least 50 percent by women or minority group members).

   Requests for advance payment shall be limited to the recipient's immediate cash needs and are not to exceed anticipated expenditures for a ninety-day period, unless the request would exceed $10,000. If this is the case, the advance would be limited to the recipient's cash needs for thirty days. Award funds that have been paid to the recipient but are unspent at the end of the award period must be promptly refunded to the NEH.

   All recipients are required to maintain advances of federal funds in interest-bearing accounts unless the recipient receives less than $120,000 per year in advances of award funds or the most reasonably available interest-bearing account would not earn more than $250 per year on the federal cash balance, or would entail bank services charges in excess of the interest earned.

   Interest in excess of $250 a year that is earned on advanced payments shall be remitted annually to the Department of Health and Human Services. Recipients should make payment by check and mail it to the HHS Payment Management System, P.O. Box 6021, Rockville, Maryland 20852.

5. Equipment

   Equipment is defined as tangible, nonexpendable personal property having a useful life of more than one year and an acquisition cost of $5,000 or more per unit. The purchase of equipment not included in the approved project budget is allowable only if it is specifically approved beforehand by the recipient and there is documentation to support that the purchase is necessary and reasonable to carry out project activities.

   Equipment records must be maintained that include the description of the equipment, the serial number or other identification number, the source of equipment, the title holder, the acquisition date, the cost of the equipment, the location, use, and condition of the equipment, and any ultimate disposition data including the date of disposal and the sale price of the equipment. A physical inventory of the equipment must be taken and the results reconciled with the equipment records at least once every two years.

6. Supplies

   Title to supplies and other expendable property shall vest in the recipient upon acquisition. If there is a residual inventory of unused supplies exceeding $5,000 in total aggregate value upon termination or completion of the project and the supplies are not needed for any other federally sponsored project or program, the recipient shall retain the supplies for use on non-federal sponsored activities or sell them, but shall in either case compensate the federal government for its share.

7. Travel Costs

   Travel costs are the expenses for transportation, lodging, subsistence, and related items incurred by those who are on official business attributable to work under an award.

   Such costs may be charged on an actual basis, on a per diem or mileage basis in lieu of actual costs, or on a combination of the two.

   Airfare costs in excess of the customary standard commercial airfare (coach or equivalent), federal government contract airfare (where authorized and available), or the lowest commercial discount airfare are unallowable except when such accommodations would: (a) require circuitous routing; (b) require travel during unreasonable hours; (c) excessively prolong travel; (d) result in additional costs that would offset the transportation savings; or (e) offer accommodations not reasonably adequate for the traveler's medical needs. All air travel that is paid in whole or in part with NEH funds must be undertaken on U.S. flag air carriers, unless one or more of the situations described under foreign travel (Article 8) apply.

8. Foreign Travel

   All travel outside the United States, its territories and possessions, Canada and Mexico that is not included in the approved project budget must be specifically approved by the NEH before travel is undertaken.

   United States Flag Air Carriers

   All air transportation of persons or property that is paid in whole or in part with NEH funds must be performed on a U.S. flag air carrier unless any of the circumstances listed below applies:

   1. no U.S. flag air carrier provides service on a particular leg of the route;

   2. a U.S. flag air carrier involuntarily reroutes the traveler on a foreign air carrier;

   3. a foreign air carrier operates under a "code-share" arrangement with a U.S. flag air carrier and the ticket, or documentation for an electronic ticket, identifies the U.S. flag air carrier's designator code and flight numbers;

   4. service on a foreign air carrier would be three hours or less, and use of the U.S. flag air carrier service would at least double the en route travel time;

   5. when flying between the United States and another country:
      1. the use of nonstop or direct U.S. flag air carrier service would extend a person's travel time, including a delay at origin, by 24 hours or more; or

      2. where U.S. nonstop or direct service is not available, the use of a U.S. flag air carrier on every portion of the route where it provides service would, when compared to using a foreign air carrier:
         1. increase the number of aircraft changes a person would have to make outside the U.S. by 2 or more; or
         2. extend travel time by 6 hours or more; or
         3. require a connecting time of 4 hours or more at an overseas interchange point.

   6. when flying outside the United States, the use of a U.S. flag air carrier would result in any of the situations described in e.(2) above.

   Lower cost, convenience, or traveler preferences are NOT acceptable reasons for using a foreign air carrier.

9. Budget Revisions

   The project budget is the schedule of anticipated project expenditures that is approved by NEH for carrying out the purposes of the award. Prior written approval must be obtained from NEH whenever the proposed budget revision involves:

   1. changes in project scope or objectives (see Article 3);

   2. an increase or decrease in the amounts budgeted for personal compensation by 25 percent or more;

   3. equipment purchases;

   4. foreign travel; or
   5. the subcontracting of project activities.

   Other changes to the project budget do not require NEH approval as long as the costs continue to be allocable to the project and as long as the scope and objectives of the project are not affected.

   All requests for budget revisions shall be submitted in writing to the Office of Grant Management, Room 311, National Endowment for the Humanities, 1100 Pennsylvania Avenue, NW, Washington, D.C. 20506.

10. Award Period and Extensions

    Recipients have the responsibility of ensuring that all project activities and the commitment of project funds take place within the official award period, that is, the period stated in the award or a subsequent amendment. All obligations incurred under an award shall be paid within ninety (90) days after the end of the award period.

    If additional time beyond the established award ending date is needed to complete the original scope of the project with the funds already available, a recipient may request an extension of the award period. Requests for extensions of six months or longer shall include a summary of the progress achieved, a detailed justification for the extension, an estimate of the unexpended grant funds, and a plan of work for the activities that will be undertaken during the requested extension period. Award periods will not be extended solely to enable recipients to use unexpended award funds.

    The maximum length of an extension normally will not exceed twelve months, and only under the most unusual circumstances will a second extension of the award be considered.

    All requests for extensions must be submitted in writing to the NEH Office of Grant Management no later than thirty days prior to the expiration date of the award. It should be noted that extensions provide only additional time to complete a project, not additional funding.

11. Changes in Key Project Personnel

    The replacement of the project director or co-director or a substantial reduction in the level of their effort (e.g., their unanticipated absence for more than three months, or a 25 percent reduction in the time devoted to the project) requires prior written approval from NEH. When it is required in the specific terms and conditions of an award, written approval will also be needed for the replacement or the substantial reduction in the level of effort of other personnel whose work is deemed by NEH to be critical to the project's successful completion.

    All requests for approval of changes in key project personnel shall include evidence of the qualifications of replacement personnel (such as a résumé) and shall be submitted in writing to the program officer named in the grant award for review and approval.

12. Changes in Project Scope

    Any project that is carried out under an award must be consistent with the scope of the proposal that is approved for funding by the NEH. The scope of a project encompasses the purpose for which the award is undertaken, the subject matter, the treatment of the subject matter, the historical time frame of the project, the volume of material that will be studied/treated, and the products that are expected to result from award activities. No changes may be made in the scope of a project without written approval from NEH.

    All requests for a change in the scope of an award shall be submitted in writing to the appropriate NEH program officer for review and approval.

13. Reporting Requirements

    A schedule of due dates for interim and final reports will be found on the last page of the award.

    A final performance report and a final financial status report shall be submitted to the NEH Office of Grant Management within ninety (90) days after the completion date of the award period. Detailed information on the financial and performance reporting requirements will be found in Enclosures 1 and 2 of the award.

    Should the recipient discover an error in the Final Financial Status Report after it has been submitted to the NEH, a revised report must be submitted promptly. NEH shall then make any additional payment due the recipient, or request an additional refund, as appropriate.

    Failure to submit reports on a timely basis may result in delayed payments and the suspension of action on any pending applications from the recipient.

14. Program Income

    Program income is money that is earned or received by a recipient or a subrecipient from the activities supported by award funds or from products resulting from award activities. It includes, but is not limited to, income from fees for services performed and from the sale of items fabricated under an award; usage or rental fees for equipment or property acquired under an award; admission fees; broadcast or distribution rights; and license fees and royalties on patents and copyrights. The federal share of program income is determined by the percentage of total project costs that are supported by the NEH.

    1. Income Earned During the Award Period

       The federal share of program income earned during the award period shall be retained by the recipient and, unless the award specifies how such income will be used, the recipient must use it in one or more of the following ways:

       1. It may be added to the existing project funding to cover increased costs of the project or it may be used to support other projects in the humanities;
       2. It may be used to finance the non-federal share of the project; or
       3. It may be used to finance the federal share of the project costs, which would result in an equivalent reduction in the amount of the NEH award.

       A report of program income earned during the award period must be submitted with the Final Financial Status Report whenever program income is actually earned during the award period or when the terms and conditions of the award specifically require such a report. The report shall indicate the total amount of program income that was earned and how it was used.

    2. Income Earned After the Award Period

       When NEH funding of a project amounts to $50,000 or more and the total program income earned after the award period exceeds $50,000, the NEH reserves the right to make a claim to or restrict the use of the federal share of income earned during the seven years following the award period. Due dates for the submission of program income reports may be listed in the award. However, even if NEH does not specifically require the submission of program income reports after the award period, it is the recipient's responsibility to submit a report as soon as the cumulative amount of program income earned during the seven years after the award period exceeds $50,000.

       In reporting program income earned after the award period, the recipient shall indicate the amount and sources of the gross income it has earned and the percentage of funding provided to the project by the NEH. The federal share of program income will be determined by (1) deducting the first $50,000 in gross income from total gross income, (2) deducting 5 percent of the balance of gross income to cover possible recipient costs, and (3) multiplying the balance of gross income by half the percentage of funding provided to the project by the NEH. For example, if the NEH's award of $250,000 covered 60 percent of a project's costs and the project earned $200,000 in program income during the seven-year reporting period, the federal share of that income would be $42,750 ($200,000 minus $50,000 minus 5% x 30%). Once the federal share of income equals the amount of funding provided by the NEH, the NEH's claim to additional income will be reduced by half.

       If income is to be returned to NEH, a check made payable to the National Endowment for the Humanities and identified as program income must be submitted with the report.

15. Maintenance of Financial Records

    Recipients are required to maintain:

    1. records that adequately identify the receipt and disbursement of award funds;
    2. records of expenditures that allow the comparison of actual expenditures against budget estimates; and
    3. source documentation (e.g., invoices, annotated canceled checks, travel reports, consultant agreements, or personnel activity reports) for all project expenses.

    Personnel activity reports shall account on an after the fact basis for one hundred percent of the project director and other project employee's actual time, separately indicating the time spent on the NEH award, other awards or projects, vacation or sick leave, and administrative time, if applicable. The reports must be signed by the employee, approved by the project director, be prepared at least monthly, and coincide with a pay period.

    Formal agreements with independent contractors, such as consultants, must include a description of the services to be performed, the period of performance, the fee and method of payment, an itemization of travel and other costs which are chargeable to the agreement, and the signatures of both the contractor and the project director.

    Recipients are not required to establish a separate financial account for award funds. However, if interest is earned on advances of award funds, some recipients find they can more easily comply with the requirement regarding the return of interest income (see Article 4) if award funds are maintained in a separate account.

16. Cost Sharing

    All cash and in kind contributions to a project that are provided by the recipient or by a third party are acceptable as the recipient's cost sharing when such contributions meet the following criteria:

    1. Are verifiable from the recipient's records;

    2. Are not included as contributions for any other federally assisted program;

    3. Are necessary and reasonable for the proper and efficient accomplishment of project objectives;

    4. Are used to support activities that are included in the approved project work plan; and

    5. Are incurred during the award period.

    Recipients must maintain auditable records of all project costs whether they are charged to award funds or supported by cost sharing contributions.

17. Procurement Standards

    NOTE: The standards contained in this section do not relieve the recipient of the contractual responsibilities arising under its contracts. The recipient is the responsible authority, without recourse to the NEH, regarding the settlement and satisfaction of all contractual and administrative issues arising out of procurements entered into in support of an award or other agreement. Matters concerning the violation of a statute are to be referred to such federal, state, or local authority as may have proper jurisdiction.

    When procuring property or services under an award, the recipient's procurement policies must adhere to the standards set forth below.

    1. The recipient will maintain a system for contract administration that ensures that contractors perform in accordance with the terms, conditions, and specifications of their contracts or purchase orders. Recipients shall evaluate contractor performance and document, as appropriate, whether or not contractors have met the terms, conditions, and specifications of the contract.
    2. A written standard of conduct for awarding and administering contracts shall be maintained by the recipient. No employee, officer, or agent of the recipient shall participate in the selection, or in the awarding or administration of a contract supported by federal funds if a real or apparent conflict of interest would be involved. Such a conflict would arise when any of the following has a financial or other interest in the firm selected for a contract: the recipient, any employee, officer, or agent; any member of his or her immediate family; his or her partner; or an organization which employs or is about to employ any of the preceding.

       The officers, employees, and agents of the recipient will neither solicit nor accept gratuities, favors, or anything of monetary value from contractors, or parties to subagreements. However, the recipient may set standards governing when the financial interest is not substantial or the gift is an unsolicited item of nominal value. The standards of conduct shall provide for disciplinary actions to be applied for violations of such standards by officers, employees, or agents of the recipient.

    3. All procurement transactions will be conducted in a manner to provide, to the maximum extent practical, open and free competition. The recipient should be alert to conflicts of interest or noncompetitive practices among contractors that may restrict or eliminate competition or otherwise restrain trade. In order to insure objective contractor performance and eliminate unfair competitive advantage, contractors that develop or draft specifications, requirements, statements of work, invitations for bids and/or requests for proposals should be excluded from competing for such procurements. Awards shall be made to the bidder/offeror whose bid/offer is responsive to the solicitation and is most advantageous to the recipient, price, quality, and other factors considered. Solicitations shall clearly set forth all requirements that the bidder/offeror must fulfill in order for the bid/offer to be evaluated by the recipient. When it is in the recipient's interest to do so, any bid/offer may be rejected.
    4. All recipients entering into procurements in support of the award shall establish written procurement procedures that meet the requirements set forth in the Appendix to these general terms and conditions.

    The Appendix also contains the provisions that must be included in procurement contracts when applicable.

18. Record Retention and Audits

    Financial records, supporting documentation, statistical records, and all other records pertinent to the award shall be retained by the recipient for three years from the date of submission of the final financial status report. When the conditions of an award require the recipient to report program income, records relating to program income shall be retained for three years from the date of submission of the last required income report.

    If the three-year retention period is extended because of audits, appeals, litigation, or the settlement of claims arising out of the performance of the project, the records shall be retained until such audits, appeals, litigation, or claims are resolved. Unless court action or audit proceedings have been initiated, the recipient may substitute microfilm copies of original records.

    The NEH, the Comptroller General of the United States, and any of their duly authorized representatives, shall have access to any pertinent books, documents, papers, and records of the recipient and its subrecipients to make audits, examinations, excerpts, transcripts, and copies. Further, any contract in excess of the simplified acquisition threshold (currently $100,000) that is negotiated by the recipient for the purposes of carrying out the project shall include a provision to the effect that the recipient, the NEH, the Comptroller General, or any of their duly authorized representatives shall have access for similar purposes to any records of the contractor that are directly pertinent to the project.

19. Intangible Property
    1. The recipient may copyright any work that is subject to copyright and was developed, or for which ownership was purchased, under the award. The NEH reserves a royalty-free, nonexclusive, and irrevocable right to reproduce, publish or otherwise use these materials for federal purposes and to authorize others to do so.

       "Federal purposes" include the use of award products in activities or programs undertaken by the federal government, in response to a governmental request, or as otherwise required by federal law. However, the federal government's use of copyrighted materials is not intended to interfere with or disadvantage the recipient or assignee in the sale and distribution of the award product.

       The NEH may request copies of an award product for non-profit use by the state humanities councils if the product forms an integral part of a council-conducted program. These copies will be provided to the councils at the cost of reproduction and shipping, and no royalties or other fees will be charged.

    2. Recipients that are awarded funds for experimental, developmental, or research work are subject to the regulations governing patents and inventions, including government-wide regulations issued by the Department of Commerce at 37 CFR Part 401, "Rights to Inventions made by Nonprofit Organizations and Small Business Firms Under Government Awards, Contracts and Cooperative Agreements."
    3. The NEH has the right to:
       1. obtain, reproduce, publish or otherwise use the data first produced under an award; and

       2. authorize others to receive, reproduce, publish, or otherwise use such data for federal purposes.

    4. In addition, in response to a Freedom of Information Act (FOIA) request for research data relating to published research findings produced under an award that were used by the federal government in developing an agency action that has the force and effect of law, the NEH shall request, and the recipient shall provide within a reasonable time, the research data so that they can be made available to the public through the procedures established under the FOIA. If the NEH obtains the research data solely in response to a FOIA request, the NEH may charge the requester a reasonable fee equaling the full incremental cost of obtaining the research data. This fee should reflect costs incurred by the agency, the recipient, and applicable subrecipients. This fee is in addition to any fees the agency may assess under the FOIA (5 U.S.C. 552(a)(4)(A)).
    5. Title to intangible property acquired under an award or subaward vests upon acquisition in the recipient. The recipient shall use that property for the originally authorized purpose and shall not encumber the property without the NEH's approval. The NEH reserves the right to determine the disposition of the intangible property when it is no longer needed for the originally authorized purpose.

20. Title to Equipment

    Title to equipment purchased or fabricated with NEH funds shall be vested in the recipient with the understanding that the equipment will be used for the project for which it was obtained but without further obligation to the federal government. The NEH may reserve the right to request the transfer of title to the federal government or to a third party when the current per unit fair market value of the equipment is $5,000 or more and the equipment is no longer needed to carry out the purposes of the project or other projects funded by government agencies.

21. Nondiscrimination

    Recipients and subrecipients must execute projects, productions, workshops, and programs in accordance with the following laws, where applicable.

    1. Title VI of the Civil Rights Act of 1964, as amended, provides that no person in the United States shall, on the grounds of race, color, or national origin, be excluded from participation in, be denied the benefits of, or be subject to discrimination under any program or activity receiving federal financial assistance. Title VI also extends protection to persons with limited English proficiency. (42 U.S.C. 2000d et seq.)
    2. Title IX of the Education Amendments of 1972 provides that no person in the United States shall, on the basis of sex, be excluded from participation in, be denied benefits of, or be subject to discrimination under any education program or activity receiving federal financial assistance. (20 U.S.C. 1681 et seq.)
    3. The Age Discrimination Act of 1975 provides that no person in the United States shall, on the basis of age, be excluded from participation in, be denied benefits of, or be subject to discrimination under any program or activity receiving federal financial assistance. (42 U.S.C. 6101 et seq.)
    4. Section 504 of the Rehabilitation Act of 1973 provides that no otherwise qualified individual with a disability in the United States, shall, solely by reason of his/her disability, be excluded from participation in, be denied benefits of, or be subject to discrimination under any program or activity receiving federal financial assistance. (29 U.S.C. 794)
    5. The Americans with Disabilities Act of 1990 ("ADA") prohibits discrimination on the basis of disability in employment (Title I), state and local government services (Title II), places of public accommodation and commercial facilities (Title III). (42 U.S.C. 12101-12213)

22. Lobbying Activities

    The Byrd Anti-Lobbying Amendment, 31 U.S.C. 1352, prohibits recipients of federal contracts, awards, cooperative agreements, and loans from using appropriated funds to influence the Executive or Legislative Branches of the federal government in connection with a specific contract, award, cooperative agreement, loan, or any other award covered by §1352. 18 U.S.C. 1913 makes it a crime to use funds appropriated by Congress to influence members of Congress regarding congressional legislation or appropriations. Finally, the following are unallowable charges to award funds or cost sharing: certain electioneering activities, financial support for political parties, attempts to influence federal or state legislation either directly or through grass-roots lobbying, and some legislative liaison activities.

    The NEH is required by the provisions of its appropriations act to include the text of 18 U.S.C. 1913 in all of its award, cooperative agreement, and contract documents.

    Text of 18 U.S.C. 1913:

    No part of the money appropriated by any enactment of Congress shall, in the absence of express authorization by Congress, be used directly or indirectly to pay for any personal service, advertisement, telegram, telephone, letter, printed or written matter, or other device, intended or designed to influence in any manner a Member of Congress, to favor or oppose, by vote or otherwise, any legislation or appropriation by Congress, whether before or after the introduction of any bill or resolution proposing such legislation or appropriation; but this shall not prevent officers or employees of the United States or of its departments or agencies from communicating to Members of Congress on the request of any Member or to Congress, through the proper official channels, requests for legislation or appropriations which they deem necessary for the efficient conduct of the public business.

23. Drug-Free Workplace Requirements

    Recipients are required to maintain a drug-free workplace. The Drug-Free Workplace Act of 1988, 41 U.S.C. 701, and the NEH regulations at Subpart B of 45 CFR Part 1173, "Governmentwide Requirements for Drug-Free Workplace (Financial Assistance)" require recipients to:

    1. have an on-going drug-free awareness program;
    2. publish a drug-free workplace statement notifying employees that the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance is prohibited in the recipient's workplace;
    3. maintain evidence that this statement was given to each employee engaged in the performance of the award;
    4. take actions concerning employees who are convicted of violating drug statutes in the workplace; and
    5. identify in documents kept on file in its office all known workplace(s) where award activities will be carried out.

    Here are further details on the government wide drug-free workplace regulations.

24. Debarment and Suspension

    Federal agencies and recipients are prohibited from doing business with any organization or person (as a recipient, subrecipient, contractor, or key employee) if they have been debarred or suspended by any federal department or agency.

    The recipient must comply, and must require subrecipients (e.g., regrantees, seminar participants, and contractors receiving $25,000 or more) to comply with the government wide "Debarment and Suspension Regulations".

    In the event of suspension or debarment, the information is made publicly available through the Excluded Parties List System, maintained by the U.S. General Services Administration.

25. Native American Graves Protection and Repatriation Act of 1990 (25 U.S.C. 3001 et seq, and 43 CFR Part 10)

    The Native American Graves Protection and Repatriation Act of 1990 (NAGPRA) provides protection of Native American graves and items, i.e., human remains, funerary objects, and sacred objects. NAGPRA applies to any organization which controls or possesses Native American human remains and associated funerary objects and which receives federal funding, even for a purpose unrelated to the Act. More information may be found on the National Park Service Web site.

26. National Historic Preservation Act of 1966 (16 U.S.C. 470 et seq)

    Recipients are required to identify to the NEH all property listed or eligible for listing on the National Register of Historic Places that will be affected by the NEH award, and to provide any information we may need with respect to the NEH award, to comply with Section 106 of the National Historic Preservation Act of 1966.

27. Dissemination of Project Results

    Recipients are expected to publish or otherwise make publicly available the results of work conducted under an award. Unless otherwise specified in the award documents, two copies of any published material resulting from award activities should be forwarded to the appropriate NEH program officer as soon as it becomes available. This material should be labeled with the identifying NEH award ID number.

    All publication and distribution agreements shall include provisions giving the government a royalty-free, nonexclusive and irrevocable right to reproduce, publish or otherwise use the material for government purposes and requiring the acknowledgment of NEH support. The publication shall also include the disclaimer contained in Article 3 of these General Terms and Conditions for Awards to Individuals..

28. Activities Outside the United States

    Prior to undertaking activities outside the United States, recipients shall ensure that all project staff secure the necessary passports, visas or other required documents for entry into foreign countries. Recipients shall also obtain the appropriate licenses, permits, or approvals. The recipient must notify the NEH if a permit is denied or revoked after an award has been issued, or if an unforeseen circumstance, such as a natural disaster or political turmoil, threatens or prevents the recipient from carrying out project activities. These situations are considered on a case by case basis to determine whether the award should be suspended or if a revised plan of work is feasible.

    Arrangements for liability and medical insurance for staff and foreign workers engaged on project activities are the responsibility of the recipient.

    The NEH does not assume responsibility for recipient compliance with the laws and regulations of the country in which work is to be conducted.

    Recipients should consult the updated travel advisories and warnings issued by the State Department through the American Citizens Services at 202-647-5225 or fax service 202-647-3000 or at the State Department's Web site.

29. Data Collection

    Data collection activities performed under an award are the responsibility of the recipient, and NEH support of the project does not constitute approval of the survey design, questionnaire content, or data collection procedures. The recipient shall not represent to respondents that such data are being collected for, or in association with, the NEH or any other government agency without the specific written approval of the data collection plan or device by NEH. However, this requirement is not intended to preclude mention of NEH support of the project in response to an inquiry or acknowledgment of such support in any publication of this data. (See also Article 3.)

    The federal government has the right to obtain, reproduce, publish or otherwise use the data first produced under an award and authorize others to do so for government purposes.

30. Research Misconduct

    The NEH will take appropriate action against individuals or organizations upon a determination that misconduct has occurred in proposing, performing, reviewing research or reporting results from research activities funded by the NEH in accordance with the NEH Research Misconduct Policy. The NEH may also take interim action during an investigation.

    Research misconduct is defined as fabrication, falsification, or plagiarism in proposing, performing, or reviewing research, or in reporting research results.

    When an individual recipient has other personnel working on the NEH-funded project the following three paragraphs will apply.

    The recipient bears primary responsibility for prevention and detection of research misconduct and for the inquiry, investigation, and adjudication of research misconduct alleged to have occurred.

    The NEH Inspector General in most cases will refer an allegation of research misconduct made directly to the NEH to the appropriate recipient and will rely on the recipient to make the initial response. Circumstances in which the NEH may elect not to defer to the recipient include, but are not limited to, the following: the agency determines the recipient is not prepared to handle the allegation in a manner consistent with this policy; agency involvement is needed to protect the public interest; or the allegation involves an entity of sufficiently small size (or an individual) that it cannot reasonably conduct the investigation itself. At any time, however, the NEH may proceed with its own inquiry or investigation. If the allegation of research misconduct is first made to the recipient, the recipient will notify the NEH if the allegation meets the definition of research misconduct given above, and if the recipient's inquiry into the allegation determines there is sufficient evidence to proceed to an investigation.

    At any time during an inquiry or investigation, the recipient will immediately notify the NEH if NEH resources or interests are threatened; if public health or safety is at risk; if research activities should be suspended; if there is reasonable indication of possible violations of civil or criminal law; if federal action is required to protect the interests of those involved in the investigation; if the recipient believes the inquiry or investigation may be made public prematurely so that appropriate steps can be taken to safeguard evidence and protect the rights of those involved; or if the research community or public should be informed.

    The NEH will make a finding of misconduct or take action on such a finding only after careful inquiry and investigation by a recipient, by another federal agency or by the NEH. In the event of a finding of research misconduct, the NEH will determine what administrative actions are appropriate.

    Administrative actions available include, but are not limited to, appropriate steps to correct the research record; letters of reprimand; the imposition of special certification or assurance requirements to ensure compliance with applicable regulations or terms of an award; suspension or termination of an active award; or suspension and debarment in accordance with applicable NEH and government-wide rules on suspension and debarment. In the event of suspension or debarment, the information is made publicly available through the Excluded Parties List System, maintained by the U.S. General Services Administration. If the NEH Inspector General believes that criminal or civil fraud violations may have occurred, the Inspector General shall promptly inform the Department of Justice.

    The NEH Research Misconduct Policy is available online. Possible misconduct in activities funded by the NEH should be reported to the NEH Office of the Inspector General, 1100 Pennsylvania Avenue, NW, Washington, DC 20506, 202-606-8350.

31. Code of Ethics for Projects Related to Native Americans

    Recipients have the responsibility of ensuring that researchers and scholars working on NEH-sponsored projects related to Native Americans, Aleut, Eskimo, or Native Hawaiian peoples will adhere to certain provisions protecting the rights of native communities and peoples as detailed in the Code of Ethics for Projects Related to Native Americans.

32. Suspension and Termination

    Awards may be terminated in whole or in part:

    1. by the NEH, if a recipient materially fails to comply with the terms and conditions of an award;

    2. by the NEH when the NEH has other reasonable cause;

    3. by the NEH, when ordered under the NEH Research Misconduct Policy;

    4. by the NEH with the consent of the recipient, in which case the two parties shall agree upon the termination conditions, including the effective date and, in the case of partial termination, the portion of the project to be terminated; or

    5. by the recipient upon sending to the NEH written notification setting forth the reasons for such termination, the effective date, and, in the case of partial termination, the portion of the project to be terminated. However, if the NEH determines that the reduced or modified portion of the award will not accomplish the purposes for which the award was made, it may terminate the award in its entirety either unilaterally or with the consent of the recipient.

    When NEH determines that a recipient has failed to comply with the terms of the award, the NEH may suspend or terminate the award for cause. Normally, this action will be taken only after the recipient has been notified of the deficiency and given sufficient time to correct it, but this does not preclude immediate suspension or termination when such action is required to protect the interests of the government.

    In the event that an award is suspended and corrective action is not taken within 90 days of the effective date, the NEH may issue a notice of termination. No costs that are incurred during the suspension period or after the effective date of termination will be allowable except those that are specifically authorized by the suspension or termination notice or those that, in the opinion of the NEH, could not have been reasonably avoided.

    Within 30 days of the termination date, the recipient shall furnish to the NEH a summary of progress achieved under the award, an itemized accounting of charges incurred against award funds and cost sharing prior to the effective date of the suspension or termination, and a separate accounting and justification for any costs that may have been incurred after this date.

33. Termination Review Procedures

    A recipient who has received a notice of termination may request the NEH's review of the termination action. The request must be postmarked no later than thirty days after the date of the termination notice and should be addressed to the Deputy Chairman, National Endowment for the Humanities, 1100 Pennsylvania Avenue, NW, Washington, D.C. 20506.

    The request for review must contain a full statement of the recipient's position and the pertinent facts and reasons that support such a position. The Deputy Chairman will promptly acknowledge the request for review and appoint a review committee of at least three staff members. Pending the resolution of the review, the notice of termination will remain in effect.

    None of the review committee members may be from the NEH program or the section of the Office of Grant Management that recommended termination or was responsible for monitoring the programmatic or administrative aspects of the award. The committee will have full access to all relevant NEH background materials. The committee may also request the submission of additional information from the recipient or the NEH staff and, at its discretion, may meet with representatives of both groups to discuss the pertinent issues. All review activities will be fully documented by the committee. Based on its review, the committee will present its written recommendation to the Deputy Chairman, who will advise the parties concerned of the final decision.

Appendix

1. Procurement Procedures

   All recipients shall establish written procurement procedures that provide for, at a minimum, the following procedural requirements:

   1. Recipients must ensure that all parties with whom they contract for goods or services are not debarred or suspended from doing business with the federal government when (1) the amount of the contract is $25,000 or more, or (2) the contract requires NEH consent, or (3) the contract is for federally-required audit services.

      Recipients may do this in one of three ways:

      1. by checking the Excluded Parties List System;
      2. by obtaining a certification from the contractor (available on the NEH Web site under "Award Management"); or
      3. by adding the following clause to the contract or agreement:

         "By signing this contract, you certify that you are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any federal department or agency."

   2. Proposed procurements are to be reviewed to avoid the purchase of unnecessary or duplicative items. Where appropriate, an analysis shall be made of lease and purchase alternatives to determine which would be the most economical, practical procurement.
   3. Solicitations for goods and services shall provide the following:
      1. A clear and accurate description of the technical requirements for the material, product, or service to be procured. In competitive procurements, such a description shall not contain features which unduly restrict competition.
      2. Requirements which the bidder/offer or must fulfill and all other factors to be used in evaluating bids or proposals.
      3. Whenever practicable, a description of technical requirements in terms of the functions to be performed or the performance required, including the range of acceptable characteristics or minimum acceptable standards.
      4. The specific features of "brand name or equal" descriptions that bidders are required to meet when such items are included in the solicitation.
      5. Preference, to the extent practical and economically feasible, for products and services that conserve natural resources, protect the environment, and are energy efficient.

   4. The recipient shall make positive efforts to assure that small businesses, minority-owned firms, and women's business enterprises are used whenever possible. Recipients shall take all the steps outlined below to further this goal. This shall include:
      1. placing qualified small, minority-owned, and women's business enterprises on solicitation lists;
      2. assuring that these businesses are solicited whenever they are potential sources;
      3. contracting with consortiums of small, minority-owned, or women's business enterprises, when a contract is too large for one of these firms to handle individually;
      4. using the services and assistance, as appropriate, of such organizations as the Small Business Administration and the Department of Commerce's Minority Business Development Agency; and
      5. considering in the contract process whether firms competing for larger contracts intend to subcontract with small businesses, minority-owned firms, and women's business enterprises.

   5. The type of procurement instrument used, e.g., fixed price contracts, cost reimbursable contracts, incentive contracts, purchase orders, will be determined by the recipient, but must be appropriate for the particular procurement and for promoting the best interests of the program involved. The "cost-plus-a-percentage-of-cost" or "percentage of construction cost" methods shall not be used.
   6. Contracts will be made only with responsible contractors who possess the potential ability to perform successfully under the terms and conditions of a proposed procurement. Consideration should be given to such matters as contractor integrity, the record of past performance, financial and technical resources or accessibility to other necessary resources.
   7. Some form of price or cost analysis should be made in connection with every procurement action. Price analysis may be accomplished in various ways, including the comparison of price quotations submitted, market prices and similar indicia, together with discounts. Cost analysis is the review and evaluation of each element of cost to determine reasonableness, allocability, and allowability.
   8. Procurement records and files for purchases in excess of the simplified acquisition threshold (currently $100,000) shall include the basis for contractor selection, justification for lack of competition when competitive bids or offers are not obtained, and the basis for award cost or price.
2. Contract Provisions
   1. Recipient contracts in excess of the simplified acquisition threshold (currently $100,000) must provide for:
      1. Administrative, contractual, or legal remedies in instances where contractors violate or breach contract terms, and such remedial actions as may be appropriate.
      2. Termination for cause and for convenience by the recipient, including the manner by which it will be effected and the basis for settlement. In addition, these contracts shall also contain a description of the conditions under which the contract may be terminated for default as well as conditions where the contract may be terminated because of circumstances beyond the control of the contractor.
      3. Access by the recipient, the NEH, the Comptroller General of the United States, or any other duly authorized representatives to any books, documents, papers, and records of the contractor which are directly pertinent to that specific contract for the purpose of making audit, examination, excerpts, and transcriptions.

   2. All contracts, including small purchases, shall contain the following provisions as applicable:
      1. Equal Employment Opportunity

         All contracts awarded by recipients and their contractors and subrecipients having a value of more than $10,000 must contain a provision requiring compliance with Executive Order 11246, entitled "Equal Employment Opportunity" as amended by Executive Order 11375, and as supplemented in Department of Labor regulations (41 CFR, Part 60).

      2. Copeland "Anti-Kick Back" Act (18 U.S.C. 874)

         All contracts and subawards in excess of $2,000 for construction or repair awarded by recipients and subrecipients shall include a provision for compliance with the Copeland "Anti Kick Back" Act as supplemented in Department of Labor regulations (29 CFR, Part 3). The Act provides that each contractor or subrecipient shall be prohibited from inducing, by any means, any person employed in the construction, completion, or repair of public work, to give up any part of the compensation to which he is otherwise entitled. The recipient shall report all suspected or reported violations to the federal awarding agency.

   3. Federal Guidance
      1. Buy American Act

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

      2. Welfare-to-Work Initiative

         To supplement the welfare-to-work initiative, recipients and their subrecipients are encouraged, whenever possible, to hire welfare recipients and to provide additional needed training and/or mentoring.

      3. Seat Belt Usage

         Executive Order 13043 of April 16, 1997 requires each federal agency to encourage contractors, subcontractors and recipients to adopt and enforce on-the-job seat belt policies and programs for their employees when operating company-owned, rented, or personally owned vehicles.

   4. Sample Activity Report

      Samples of Personnel Activity Reports (1-page PDF)