Date posted: February 19, 2009
Catalog of Federal Domestic Assistance (CFDA) Number: 45.130
Draft proposals
Program staff recommend that draft proposals be submitted six weeks before the deadline. Time constraints may prevent staff from reviewing draft proposals submitted after that date.
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. NEH particularly welcomes proposals for programming at America’s historic places (historic sites, neighborhoods, communities, or larger geographical regions).
Activities supported
Challenge grant funds (both federal and nonfederal together) must provide long-term benefits to the humanities. Challenge grant funds should not 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:
Expenditures not eligible for support
Challenge grant funds, federal or nonfederal, may not be used for
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
Grant funds may also be used directly for bridging support, where the challenge grant provides for endowment or spend-down income to meet the same expenses in the future; bridging funds up to the equivalent amount of projected endowment or spend-down income may be used to cover expenses during the grant period, while the endowment or spend-down fund is being established.
Special Encouragement
In line with Executive Order 13256, which was issued in 2002 to help strengthen and ensure the long-term viability of the nation’s Historically Black Colleges and Universities (HBCUs), NEH especially welcomes challenge grant applications from these colleges and universities. NEH also especially welcomes applications from Tribal Colleges and Universities and two-year colleges. Potential applicants from these institutions are strongly encouraged 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.
We the People Challenge Grants
To help Americans make sense of their history and of the world around them, NEH established the We the People program. NEH encourages applications that explore significant events and themes in our nation’s history and culture and that advance knowledge of the principles that define America. To learn more about We the People, visit the program’s Web site. Part of the overall We the People program, We the People Challenge Grants in United States History, Institutions, and Culture specifically focus on examining American history through the lens of the founding principles of the United States. Under this category of challenge grant, NEH seeks to support long-term programming that advances knowledge of how the founding principles have shaped, and been shaped by, over two hundred years of American history. See the separate guidelines for the NEH We the People Challenge Grants program. Applicants who are uncertain whether their projects fit better with the We the People Challenge Grants program or the regular Challenge Grants program are encouraged to consult with NEH staff.
Digital Humanities
NEH is interested in receiving applications for projects that use 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 new technologies change 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 NEH Office of Digital Humanities.
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.
Successful applicants will be offered a matching grant. The requested grant amount should be appropriate to the humanities needs and the fund-raising 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. Potential applicants are encouraged to consult with NEH staff about the size of their request.
Fund-raising
NEH challenge grants assist institutions in developing sources of support for humanities programs, and fund-raising 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 68 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:
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 fund-raising 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 and University, or a two-year college:
The grant period for a challenge grant begins five months before the application deadline and ends 68 months later. Thus the grant period for applications submitted at the May 2009 deadline begins December 1, 2008, and ends July 31, 2014. (Grants to HBCUs, Tribal Colleges and Universities, and two-year colleges would end July 31, 2015.)
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 fund-raising 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 not available 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 at a time and may have only one application pending in any NEH challenge grant competition at a time. 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 2009, the institution that received the grant could not apply for a subsequent challenge grant until 2012.
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 six weeks before the application deadline. 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).
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:
* Indicate what the expenditures are for, and in the proposal narrative provide detailed information about these expenditures and justify the amounts allotted for the various items in terms of the plans for the humanities. Also, please include a brief explanation of the institution’s investment management policy.
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.
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.
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 State
Historic Preservation Officer 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.
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 our
handy 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).
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 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:
To assist applicants, Grants.gov provides a helpful troubleshooting page.
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:
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:
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 available low-cost and free software packages will do so. To learn more, go to http://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. Please
name the file "contents.pdf".
ATTACHMENT 2: To this button, please attach your one-page abstract. Please name the file “abstract.pdf”.
ATTACHMENT 3: To this button, please attach your budget. Please name the file “budget.pdf”.
ATTACHMENT 4: To this button, please attach your one-page institutional fact summary. Please name the
file “institutionalsummary.pdf”.
ATTACHMENT 5: To this button, please attach your financial summary. Please name the file “financialsummary.pdf”.
ATTACHMENT 6: To this button, please attach your narrative. Please name the file “narrative.pdf”.
ATTACHMENT 7: To this button, please attach your
lists of trustees and staff. Please 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).
Please name the file “resume.pdf”.
ATTACHMENT 9: To this button, please attach your letters of support.
Please name the file “letters.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 will appear. The confirmation page indicates that you have submitted your application to Grants.gov and includes a tracking number. 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.
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 and your Grants.gov tracking number 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 six
weeks before the deadline. Staff may not be able to review drafts submitted after that
date. 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).
Applications must be received by Grants.gov by May 5, 2009. 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, 2009, to be considered as part of the application.
Applications are evaluated according to the four criteria listed below.
Late applications will not be reviewed.
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 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.
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 or challenge@neh.gov 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://grants.gov/applicants/app_help_reso.jsp Grant.gov support line: 1-800-518-GRANTS (4726) Grants.gov trouble shooting 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, DC 20506; and to the Office of Management and Budget, Paperwork Reduction
Project (3136-0134), Washington, DC 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.
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