• Grant Program Description • Award Information • Eligibility • How to Prepare and Submit an Application • Application Review • Award Administration In addition to providing the material specified in these guidelines, you will need to complete the following forms: • cover sheet • sample financial summary (2 pages) If you do not already have Acrobat Reader, you can download it for free from Adobe's website. • Sample projects • DUNS number requirement • Apply via Grants.gov

Questions?

Contact NEH's Office of Challenge Grants at 202-606-8309 or e-mail 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.

How to obtain a print-version of this application

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, D.C. 20506

As part of its We the People initiative, NEH invites proposals for challenge grants designed to help institutions and organizations secure long-term improvements in and support for humanities activities focused on exploring significant themes and events in American history. NEH is particularly interested in projects that advance knowledge of the founding principles of the United States in their full historical and institutional context.

Grants may be used to support long-term costs such as construction and renovation, purchase of equipment, acquisitions, and conservation of collections. Grants may also be used to establish or enhance endowments that generate expendable earnings for program activities.

Because of the matching requirements, 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, public television and radio stations, scholarly associations, state humanities councils, and other nonprofit entities. Programs that involve the collaboration of multiple institutions are eligible, as well, but one institution must serve as the lead agent and formal applicant of record.

Activities supported

Both federal and nonfederal funds must provide long-term benefits to the humanities. We the People challenge grant funds should not merely replace funds already being expended on the humanities, but instead should reflect careful strategic planning to improve and strengthen the institution's activities in and commitment to the teaching, studying, and understanding of our nation's history, institutions, and culture.

Funds may be invested in an endowment that produces income to support ongoing humanities activities in education, public programming, scholarly research, and preservation. Endowment income can be used to fund, for example, faculty and staff positions, fellowships, lecture or exhibition series, visiting scholars, publishing subventions, consultants, maintenance of facilities, faculty development, acquisitions, and preservation/conservation programs.

Outright expenditures can be used for items that have inherent longevity; for example, materials that enhance library or museum collections, construction or renovation of facilities, equipment, and fund-raising costs (no more than 10 percent of total grant funds). Grant funds may also provide limited bridging funds for program activities where the grant provides for endowment income to meet the same expenses in the future.

All grant funds, federal and nonfederal, must be raised and expended during the grant period. For the Challenge Grants program, deposit of funds into an interest- or dividend-bearing account constitutes expenditure.

Activities not supported

We the People challenge grant funds, federal or nonfederal, may not be used for:

• direct expenditures for operations or programs;

• recovery of indirect costs; or

• support for short-term projects eligible for grants from other NEH programs.

Regular NEH challenge grants help institutions and organizations secure long-term improvements in and support for their humanities programs and resources. These grants can support activities in all disciplines of the humanities, including American history and related fields. Applicants who are uncertain whether their programs fit best with NEH's We the People challenge grants or regular challenge grants should consult with program staff to determine the appropriate deadline for their applications. For more information about the regular NEH challenge grants program, which has deadlines at the beginning of May and November, see the guidelines.

The requested grant amount should be appropriate to the humanities needs and the fund-raising capacity of the institution. The federal portions of NEH We the People challenge grants will likely range between $300,000 and $1,000,000.

Fund-raising

We the People 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.

Release of federal funds

The federal portion of a challenge grant is offered over three years of funding, but the grantee may take up to 56 months to raise matching funds. Federal funds are released as fund-raising proceeds, according to a formula that allows donations from as early as five months prior to the application deadline and as late as one year beyond the last-released federal funds. The first year's allocation will be released as matched one-to-one. Allocations for the second and third years will be released as matched one-to-one but only after the remaining prior-year's match is completed. The following chart illustrates a typical match and release schedule:

Sample match and release schedule

We the People NEH challenge award of $500,000, matched three-to-one:

 

	Year 1	Year 2	Year 3	Year 4	Total
NEH funds offered	$150,000	$150,000	$200,000	n/a	$500,000
Nonfederal funds
Remaining match for previous year's offer	n/a	$300,000	$300,000	$400,000	$1,000,000
This year's offer match	$150,000	$150,000	$200,000	n/a	$500,000
Total to be raised	$150,000	$450,000	$500,000	$400,000	$1,500,000

As this example shows, fund-raising responsibilities increase in the second and third years of the grant. In this example the grantee must raise only $150,000 within the first year to receive NEH's offer of $150,000. Before receiving any portion of the second year's offer, however, the grantee must complete the remaining match for the first year by raising another $300,000. Only then will further-raised funds trigger release of the second-year federal offer. The same is true in the third year of the grant: the previous year's matching requirement must be fully met before any portion of the current year's offer can be released. The fourth year is used by the grantee to complete the matching requirement for funds already released in year three.

The only exception to the 56-month period is for applicants who, unsuccessful at the first We the People challenge grant deadline in February 2004, revise and resubmit their applications one year later for the second deadline in February 2005. In the resubmission they may use the same starting date and thus extend the first fund-raising period by twelve months. This enables applicants to keep faith with donors whose gifts have been solicited in anticipation of a challenge grant.

Eligibility of gifts

To be eligible for matching, gifts must be in response to or in anticipation of the We the People challenge grant and therefore "new." 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 donors must be aware that their gifts are to be used to match an NEH We the People challenge grant and that their gifts will be used to support the purposes outlined in the approved challenge grant application. Finally, all matching pledges and gifts must be given--and pledges fulfilled--during the challenge grant period. Some types of gifts, such as real estate, earned income, or in-kind gifts, are subject to limitations. Deferred gifts, bequests, and discounts on contracted goods and services are not eligible for matching.

NOTE: More detailed information on eligible gifts and the mechanics of challenge grant administration can be found in Administration of NEH Challenge Grants. Applicants should read this booklet if they plan to solicit and collect eligible matching gifts in anticipation of receiving an NEH challenge grant. A paper copy of the booklet can also be requested from NEH's Office of Challenge Grants.

With the exception of elementary and secondary schools or school districts, any U. S. nonprofit institution (public agency or private nonprofit organization) 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.

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, as long as these resources are not used as gifts to release NEH matching funds.

Restrictions in the regular NEH challenge grants program regarding subsequent challenge grants do not apply to We the People challenge grants. The waiting period and 4:1 matching ratio required of recipients of prior NEH challenge grants are suspended for this special initiative. Prior recipients, current holders, and current applicants for regular NEH challenge grants are eligible to apply. However, an institution may apply for or receive only one We the People challenge grant.

A complete application consists of the following:

1. Cover sheet

   Complete the cover sheet.

   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 for free by calling 1-866-705-5711. More information about the new requirement is available.

2. Table of contents

   Include all the parts of the application with page numbers.

3. Abstract

   Summarize the proposal, including the activities to be supported and the plans for raising matching funds. Applicants should describe the significance to the humanities of what they are proposing. This summary may be single-spaced and should not exceed one page.

4. We the People challenge grant budget

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

   • Portions of the total NEH funds being requested in years 1, 2, and 3 of the grant period.
   • How all We the People challenge grant funds--federal and nonfederal combined--will be expended. For purposes of expenditure, there is no distinction between federal and nonfederal funds. Even if part of a larger campaign, the challenge grant budget should be limited to requested NEH funds plus the minimum required nonfederal funds. Planned annual expenditures from endowment yield should be broken down by specific cost categories. Challenge grants do not include indirect cost recovery.

   
   The following example is for a grant of $500,000 plus $1,500,000 of nonfederal funds.

   Sample We the People challenge grant budget

   Total NEH funds requested:		$500,000
   Year 1:	$150,000
   Year 2:	$150,000
   Year 3:	$200,000
   Total nonfederal contributions		$1,500,000
   Total Grant Funds (NEH plus Match)		$2,000,000
   Planned Expenditures:
   Direct
   (Specify, if any. For example, "Renovation of Library")		$500,000
   Endowed
   Invested in Endowment		$1,500,000
   Annual expendable endowment income (5 percent)		$75,000
   Additional humanities staff (specify)		(40,000)
   Annual programming (specify)		(25,000)
   Acquisitions		(10,000)

   A portion of the annual earnings from an endowment should be returned to the principal to protect its value. Include an explanation of the institution's endowment management policy on this issue.

   NOTE: If the We the People 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 on costs of the Davis-Bacon Act. For purposes of compliance with the Davis-Bacon Act, there is no distinction between federal funds and nonfederal donations raised for matching.

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

   Provide in a one-page outline:

   • Relevant facts and statistics about the institution or organization, such as its:
     • history;
     • mission;
     • governance and administration;
     • physical facilities;
     • staff size and composition (including percentage) in the humanities;
     • collections (including percentage) in the humanities; and
     • accreditation or affiliation (if applicable).

   • Data on recent humanities activities, such as the:
     • types and numbers of enrollments, programs, exhibitions, courses, and/or degrees awarded in the past two years;
     • percentage of total offerings in the humanities;
     • size and nature of audience or population served;
     • cost to participants (if any);
     • number of publications produced (if applicable); and
     • evidence for the success of these activities or offerings.

6. Financial summary

   Include a one- or two-page summary of the institution's finances. Please refer to the Challenge Grants Sample Financial Summary (2-page PDF) for a suggested format. Where the application concerns a sub-unit of a larger whole (e.g., a library on a university campus), include summaries for both the larger and smaller units. The purpose of the summary is to give a clear picture of the financial status of the institution during the most recent three-year period. The information should pertain to annual operating budgets, exclusive of capital campaigns or other special income and exclusive of capital project expenditures. Figures should be compatible with figures cited elsewhere in the proposal. Significant operating surpluses or deficits should be explained.

7. Narrative

   Narrative descriptions are limited to twenty-five double-spaced pages. The font size should be no smaller than eleven-point. All pages should have one-inch margins, be collated, and numbered consecutively throughout. Statistical and other supporting materials may be relegated to appendices.

   Provide a clear, logical, and concise description of the activities to be supported by the challenge grant and the humanities content of the proposed activities. Describe how the We the People challenge grant will enhance the understanding of U.S. history, institutions, and culture.

   In the narrative, applicants should do the following:

   • Describe the significance and intellectual quality of the institution's humanities activities, programs, and/or holdings relevant to the understanding of U.S. history, institutions, and culture. Explain why these activities are important, and to whom, and explain how the activities encourage the exploration of significant themes and events in our national heritage, and/or advance knowledge of founding principles of the United States in their full historical and institutional context.

   • Explain the impact that challenge grant funds will have on strengthening and improving the understanding of U.S. history, institutions, and culture. Delineate clearly and in detail the planned We the People challenge grant expenditures (federal and nonfederal combined). Explain how the NEH challenge grant will sustain and enhance significant humanities activities over the long term. Provide a plan for assessing the impact of the grant.

   • Describe how the institution, through its mission, personnel, governance, facilities, and resources is capable of sustaining outstanding endeavors in the study of significant themes and events relating to our national heritage. Describe the long-range institutional planning for intellectual development and explain how the planning addresses needs, builds on strengths, and promises to improve humanities activities. Identify any collaborators or partners and provide evidence, such as letters of support, of institutional commitment to the long-range plans.

   • Describe the plans for raising funds to meet the NEH matching requirement. Offer evidence of long-term financial stability at the institution, and detail resources, leadership, staff, and experience for conducting a successful campaign. Give details of the fund-raising strategy; explain its feasibility and how it will broaden the base of institutional support.

   Applicants should also describe, when relevant, any recent NEH or state humanities council grants to the institution, as well as pending NEH applications that are related to the humanities activities to be supported by the We the People challenge grant.

   If the applicant holds or is currently applying for any NEH grants that include a matching component, these must be described (including the amount of match) in the section of the narrative that discusses the feasibility of fund-raising. Applicants who held a prior NEH challenge grant should briefly discuss the impact of the earlier grant or grants, including the fund-raising experience and the continuing benefits to the humanities resulting from the grant(s).

8. Lists of trustees and staff

   Provide a list of the institution's board of governors or trustees with their professional affiliations and a list of staff and faculty members principally involved with the challenge grant, indicating their professional qualifications.

9. Résumés

   The project director is the person primarily responsible for implementing the humanities activities described in the narrative proposal. Attach a two-page résumé for this person as an appendix to the application. Résumés or job descriptions for any position being endowed should also be attached.

10. Letters of support

    Include in an appendix letters of commitment or support from appropriate institutional officials, faculty members, staff, and collaborating institutions.

11. Optional appendices

    Copies of printed brochures, flyers, or other descriptive materials may be included and referred to in the text of the narrative.

    Single copies of bulky ancillary materials, such as catalogs, journals, etc., may also be submitted but are neither required nor encouraged.

Special Requirements for Renovation and Construction Projects

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 to determine if a property or site is listed, or eligible for listing, in the National Register of Historic Places. The preservation officer'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 also include the preservation officer'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 Rehabilitation and Guidelines for Rehabilitating Historic Buildings." A description and/or map of the property, architectural plans, and any other documentation suggested by the preservation officer should be included in the supporting materials.

If an award is made, NEH will meet its responsibilities under Section 106 of the National Historic Preservation Act of 1966 (16 U.S.C. 470f) as amended.

Wage Rates for Renovation and Construction

If any NEH challenge grant funds, federal or nonfederal, will be used for renovation and construction projects, the institution must comply with the Davis-Bacon Act.

Deadline for submission

Applications must be received at NEH by February 1, 2005 for projects beginning August 2005.

Draft Proposals: Up to six weeks before the deadline, applicants may submit a draft of the narrative and budget sections of their proposal. The preliminary proposal gives an applicant the opportunity to receive staff comments about the substance and format of the application. Staff responses to preliminary proposals are not part of the formal review process.

We the People challenge grants timetable:

September 1, 2004	Date from which advance fund-raising may count toward the matching requirement.
December 15, 2004	Target date for submission of draft proposals for comment by NEH staff.
February 1, 2005	Receipt deadline for applications.
September 2005	Notification of awards.
March 31, 2006	Date when grant recipients must complete certification of the matching gifts required to claim the first year's installment of federal funds.

Application Checklist

Include 8 copies and one original of:

• signed application cover sheet
• table of contents
• one-page abstract
• budget
• one-page institutional fact summary
• financial summary
• narrative
• lists of trustees and staff
• project director's résumé
• letters of support
• appendices (optional)

The copies of the proposal should be individually clipped together but not bound in any other manner, e.g. a three-ring binder, that precludes easy separation of pages.

Include one extra copy of each of the following, clipped together:

• signed application cover sheet
• abstract
• budget
• institutional fact summary

Also include one additional copy of the application cover sheet.

Send applications to:

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

NEH continues to experience lengthy delays in the delivery of mail by the U. S. Postal Service. To ensure that your application arrives by the receipt deadline, please consider using a commercial delivery service. NEH will acknowledge the receipt of your application by postcard. Although formal applications cannot be accepted by email or fax, we do recommend the use of such alternatives for other kinds of correspondence, including inquiries, preliminary drafts, recommendations, or reports.

Evaluation Criteria

Applications are evaluated according to the four criteria listed below:

1. The significance of the humanities activities

   What is the evidence that the current and planned activities--particularly those that will be affected by the We the People challenge grant--are of high intellectual quality? Why are these activities important, and to whom? How do the activities enhance the exploration of significant themes and events in our national heritage, with special attention to advancing knowledge of founding principles of the United States in their full historical and institutional context?

2. The impact of the challenge grant funds

   What impact will grant funds have on strengthening and improving the understanding of U.S. history, institutions, and culture? What are the planned We the People challenge grant expenditures (federal and nonfederal combined) and how clearly are they identified and described? Are the benefits to the humanities described clearly and in detail? How will the NEH challenge grant sustain and enhance significant humanities activities over the long term? How will the impact of the challenge grant be assessed?

3. The appropriateness of the resources and plans

   Is the institution, through its mission, personnel, governance, facilities, and resources capable of sustaining outstanding endeavors in the study of significant themes and events relating to our national heritage? What evidence is there of realistic long-range institutional planning for intellectual development? How do the We the People challenge grant plans address needs, build on strengths, and improve humanities activities? What evidence, such as letters of support, is there of sufficient institutional and community commitment to the long-range plans?

4. The feasibility of fund-raising

   What is the evidence or promise of long-term financial stability at the institution? What are the applicant's resources, leadership, staff, and experience for conducting a successful campaign to meet the NEH matching requirement? What are the details of the fund-raising plan, and what evidence is offered for its feasibility? How will the fund-raising strategy broaden the base of institutional support?

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

Review and Selection Process

Knowledgeable persons outside NEH will read each application and advise the agency on 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 in September 2005.

Administrative requirements

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 the NEH website or the Office of Challenge Grants. Applicants should request this booklet 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 a grantee, the Davis-Bacon Act, and certification requirements.