Blanket Justification for NEA Funding Application Guidelines and Reporting Requirements for Government Agencies

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How to Prepare and Submit an Application
These application guidelines provide all of the information that you need to submit an
application. We urge you to read these instructions in their entirety before you begin the
application process. If you wish to print a copy, see "Printing Tips." You also may want
to keep these instructions open in a window in your computer as they contain helpful
links to information that you will need as you complete your application.
In addition to these instructions, you should periodically check the Grants.gov blog or
the Grants.gov homepage for tips, updates, and alerts.

IMPORTANT NOTICE:
Electronic application through Grants.gov is MANDATORY.
1) The Grants.gov system must receive your application no later than 11:59
p.m., Eastern Time, on October 1, 2010. Renew/verify your registration with
Grants.gov at least two weeks before the deadline.
2) Verify that you have a version of Adobe Reader that is supported by Grants.gov
installed on your computer before you download your new application package
from Grants.gov.
3) Submit your application no later than 10 days prior to the deadline to give
yourself ample time to resolve any problems that you might encounter. You take
a significant risk by waiting until the day of the deadline to submit.
The Grants.gov Contact Center is available 24 hours a day, 7 days a
week. (Phone: 1-800-518-4726.)
Submit your application outside of Grants.gov’s hours of heaviest
usage, generally 12 noon to 5:00 p.m., Eastern Time.
The Arts Endowment will not accept late applications.

On- and Off-Year Applicants

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The Arts Endowment uses staggered, multi-year review for Partnership awards. The
organizations listed below (on-year applicants) are required to submit full-scale
applications including a plan and application narrative:
SAAs

Maine

North Dakota

RAOs

National
Services

American Samoa

Maryland

South
Carolina

Arts Midwest

This category will
undergo a full
review for NEA's FY
2012 funding

Arizona

Massachusett
s
Tennessee

California
Montana

Virgin Islands
Virginia

Connecticut

New
Hampshire

Florida

New Mexico

Hawaii

North
Carolina

Colorado

All other organizations have simplified requirements.
Using Grants.gov
Renew/Verify Your Registration [Back to Top]
NOTE: Beginning in 2010, Grants.gov will be implementing new security
requirements for the use of the Grants.gov system. Among the changes,
applicants will be required to change their passwords every 90 days. See
www.grants.gov for more details.
Renew your registration with the Central Contractor Registration (CCR). Also verify your
registration with Grants.gov and make sure it is current before you apply.
If you have problems with registration:
•

CCR Assistance Center: 1-888-227-2423, send a message through the Web site at
www.ccr.gov, or see the information posted on the CCR Web site at Help.

•

Grants.gov Contact Center: 1-800-518-4726, e-mail [email protected], or consult
the information posted on the Grants.gov Web site at Help. The Grants.gov Contact
Center is available 24 hours a day, 7 days a week.

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Download the Application Package [Back to Top]

1. Verify your software

You must have a version of Adobe Reader that is supported by Grants.gov
installed on your computer before you download your application package from
Grants.gov. Non-compatible versions of Adobe Reader or other Adobe products will
lead to errors and prevent you from submitting your application. If more than one
computer will be involved in the preparation of the application package, ensure that
the same version of Adobe Reader is used.
Please go to "Download Software" to see the compatible versions of Adobe Reader
or to download and install Adobe Reader.

2. Access the application package on Grants.gov by clicking on the link below:
DOWNLOAD
[Funding Opportunity Number 2011NEA04PA]
This will bring you to the "Selected Grant Applications for Download" screen.
Download the application package and follow the instructions below. It is not
necessary to download the instructions from Grants.gov as you will merely be
directed back to the instructions in this document.
3. When you download the application package, the Grants.gov "Grant Application
Package" screen will open. Click on the "Save" button at the top of the form and
save the application package to a location on your computer or network where
you can find it readily. Save your application each time you work on it. You will get
the message "The File already exists. Replace existing file?" Click "Yes" to ensure
that you always save the most recent version.
4. In the "Mandatory Documents" box, you will see four forms. You must move these
forms to the "Mandatory Documents for Submission" box before you can open them.
Once moved, the four forms merge into a single document. You can access each
form by clicking on it to highlight it and then clicking on the "Open Form" box OR you
can scroll down your screen and you will come to each form in succession.
The forms are:
•

Application for Federal Domestic Assistance (SF-424 Mandatory): This form
asks for basic information about your organization and application. Complete

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this form first. Data entered here will populate fields of other forms where
possible. See instructions for completing this form below.
•

Project/Performance Site Location: This form collects information about the
primary site location where the project will be performed. See instructions for
completing this form below.

•

Disclosure of Lobbying Activities (SF-LLL): See instructions for completing this
form below.

•

Attachments Form: This is not a form in the conventional sense, but rather a
place to attach additional items (e.g., your application narrative and strategic
plan) that must be included for your Grants.gov application package to be
considered complete. See instructions for completing this form below.

Submit Your Electronic Application [Back to Top]
1. Check the size of your electronic application. The total size should not exceed 10
MB.
2. To begin the submission process, click the Save & Submit button. [This button will
not become active (and turn from light to dark gray) until you have saved your
application with all required fields completed. Clicking this button will prompt you to
save your application package one last time. When asked if you want to replace the
existing file, click “Yes.” You will then be reconnected to Grants.gov and the
Internet.] You will be prompted to provide your Grants.gov Username and
Password that you obtained during registration. (REMINDER: You must have
successfully completed all steps of the registration process in order to receive your
Grants.gov Username and Password.)
3. Click the "Login" button. This will bring you to the "Application Submission
Verification and Signature" screen, which provides a summary of the Funding
Opportunity for which you are applying. If everything looks accurate, click the "Sign
and Submit Application" button to complete the process. Be certain that you are
satisfied with your application before you click this button. No revisions to
your application are possible through Grants.gov once it is submitted.
If you have difficulty submitting, go to Adobe Reader Error Messages or Applicant
Resources for several tools and documents that can help you.
4. Ensure that your application was validated and accepted by the Grants.gov system.
Go to Track My Application to track the validation and progress of your application
submission through Grants.gov. After the Arts Endowment retrieves your application
from Grants.gov, log in to the Grants.gov system by using your Username and

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Password to receive your Agency Tracking Number (this will be the Arts
Endowment-assigned application number).

REMINDER: After submission of your application to Grants.gov, you must mail certain
items (detailed in "Step 6: Prepare and submit material to be mailed directly to the Arts
Endowment" below) directly to the NEA.
Additional Help
For additional help on how to use Grants.gov, please see the Grants.gov Web site at
Help. You also can send e-mail to the Grants.gov Contact Center at
[email protected] or call them at 1-800-518-4726 24 hours a day, 7 days a week.
For specific help on how to complete your application, please review the instructions in
these guidelines or contact the State & Regional staff: Andi Mathis at [email protected]
or 202/682-5430.
Application Instructions

For a complete application, follow Steps 1-6 below
A complete application consists of the following. (Off-year
applicants do not have to submit items that are asterisked.)

Application for Federal Domestic Assistance (SF-424
Mandatory)
Project/Performance Site Location Form
Disclosure of Lobbying Activities (SF-LLL)
Attachments Form to which you have attached:
o Staffing List
o Board Membership List
o Revenue Sources Information Form (for RAOs only)
o Application Narrative
o Strategic Plan *
o Changes in Conflict of Interest/Appeals
o Folk & Traditional Arts Partnership Information
(optional)
o Poetry Out Loud Plan (SAAs only)
Material to be mailed directly to the Arts Endowment:
Submission Confirmation from Grants.gov or other

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identifier
Application Narrative Supplementary Material *
Arts Education Supplementary Material *
Strategic Plan (if full plan exceeds 25 pages and only
part was submitted electronically) *
Work samples for Folk & Traditional Arts Partnership
applicants only (optional)

NOTE FOR THE GRANTS.GOV FORMS THAT FOLLOW: All asterisked (*) items and
yellow fields on the Grants.gov forms are required and must be completed before you
will be able to submit. Do not type in all capital letters when completing the forms. Enter
information directly into the forms. Do not copy from an old application package or
another document and paste into the forms.

Step 1: Fill out the Application for Federal Domestic Assistance/SF-424
Mandatory [Back to Top]

1. Items 1a-d default to certain selections; do not change them.
2. Date Received: This will be filled automatically with the date that you submit your
application; leave blank.
3. Applicant Identifier: This is for your own use or you can leave blank.
4., 5., and 6.: Leave blank.
7. Applicant Information:
a. Legal Name: The name provided here must be the applicant's legal name as it
appears in the current IRS 501(c)(3) status letter or in the official document that
identifies the organization as a unit of state or local government. (Do not use your
organization's popular name, if different.)
b. Employer/Taxpayer Identification Number (EIN/TIN): Enter the 9-digit number that
was assigned by the Internal Revenue Service.
c. Organizational DUNS: All organizational applicants for federal funds must have a
DUNS number, which is recognized as the universal standard for identifying

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organizations worldwide. The number that you enter here must agree with the
number (either 9 or 13 digits) that you used with the CCR (Central Contractor
Registration) as part of your Grants.gov registration. Otherwise, your application
will not be validated by Grants.gov and will be rejected.
d. Address:
Use Street 1 for your street address or post office box number, whichever is used for
your U.S. Postal Service mailing address. Street 2 is not a required field and should be
used only when a Suite or Room Number or other similar information is a necessary
part of your address. Do not use Street 2 to give a second address for your
organization.
In the Zip/Postal Code box, organizations in the United States should enter the full 9digit zip code that was assigned by the U.S. Postal Service. If you do not know your
full zip code, you may look it up at www.usps.com/zip4/.
e. Organizational Unit: Leave blank.
f. Name and contact information of person to be contacted on matters involving this
application: Provide the requested information for the individual who should be
contacted on all matters involving this application and the administration of any grant
that may be awarded.
8a. Type of Applicant: Select the item that best characterizes your organization from
the menu in the first drop down box. An additional description is optional.
9. Name of Federal Agency: This has been pre-populated.
10. Catalog of Federal Domestic Assistance Number: This has been pre-populated.
11. Areas Affected by Funding: Leave blank.
12. Congressional District Information:
a. Applicant: Enter the number of the Congressional District where the applicant
organization is located. Use the following format: 2 character State Abbreviation-3
character District Number. For example, if your organization is located in the 5th
Congressional District of California, enter "CA-005." If your state has a single At-Large
Representative or your territory has a single Delegate, enter your 2 character
state/territory abbreviation and "-000." If you need help determining your district, please
visit the House of Representatives Web site at www.house.gov and use the "Find Your
Representative" tool.
b. Project: Leave blank.

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13. Funding Period: Enter the beginning and ending dates for your requested period of
support, i.e., the span of time necessary to plan, execute, and close out your
Partnership Agreement. The Arts Endowment's period of support may start on or after
July 1, 2011. Generally, a period of support of up to one year is allowed.
14. Estimated Funding:
a. Federal: Enter "0."
b. Match: Leave blank.
15. State Executive Order 12372 Process: Applicants should contact the State Single
Point of Contact for Executive Order 12372 to determine whether this application is
subject to their state’s intergovernmental review process. The U.S. Office of
Management and Budget (OMB) maintains a list of official State Single Points of
Contact designated by the States to review and coordinate proposed federal financial
assistance and direct federal development. See
www.whitehouse.gov/omb/grants/spoc.html. This listing also is published in the
Catalogue of Federal Domestic Assistance biannually.
16. Is the Applicant Delinquent on Any Federal Debt?: Examples of relevant debt
include delinquent payroll or other taxes, audit disallowances, and benefit
overpayments. If your response is "yes," click on the "Yes" box and include an
explanation with your application.
17. Authorized Representative: Enter the requested information for the AOR
(Authorized Organization Representative) who will be submitting this application to
Grants.gov. The AOR must have the legal authority to obligate your organization. By
clicking the "I Agree" box at the top of Item 17, this individual will be certifying
compliance with relevant federal requirements on your organization's behalf. (These
requirements can be found in the Assurance of Compliance section of these guidelines.)
The "Signature of Authorized Representative" and "Date Signed" boxes will be
populated by Grants.gov upon submission of the application.
Stop after item 17. Do not add attachments.

Step 2: Fill out the Project/Performance Site Location Form
This form collects information about the primary site location where the project will be
performed.
SAAs should complete the top section, “Project/Performance Site Primary Location,”
only. Enter your agency’s address. For the “Project/Performance Site Congressional
District,” SAAs should enter their state’s 2 character State Abbreviation followed by “-

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all”; for example: “CA-all." This will indicate that the project impacts all districts in a
state.
RAOs should enter information related to their organization address. For Congressional
District information, use a 2 character State Abbreviation-3 character District Number;
for example, “CA-005” for the 5th Congressional District of California. Identifying any
additional sites is optional.

Step 3: Disclosure of Lobbying Activities (SF-LLL)

[Back to Top]

Items 1-3 default to certain selections; do not change them.
4. Name and Address of Reporting Entity: Provide the requested information for the
reporting entity. Include Congressional District, if known.
5. If Reporting Entity in No. 4 is Subawardee: Leave blank.
6. Federal Department/Agency: Enter "National Endowment for the Arts."
7. Federal Program: This has been pre-populated.
8. Federal Action Number, if known: Leave blank.
9. Award Amount, if known: Leave blank.
10. a. Name and Address of Lobbying Registrant: Provide the requested information for
the registrant under the Lobbying Disclosure Act of 1995 engaged by the reporting
entity identified in item 4 to influence the covered federal action. If not applicable, enter
"N/A" in the fields for First Name and Last Name.
b. Individual Performing Services: Enter the name of the individual performing services,
and include an address if different from 10 (a). If not applicable, enter "N/A" in the fields
for First Name and Last Name.
11. Authorized Representative: Provide the requested information for the AOR
(Authorized Organization Representative) who will be submitting the Partnership
Agreements application to Grants.gov. The "Signature" and "Date" boxes will be
populated by Grants.gov upon submission of the application.

Step 4: Complete and Attach Required Items to the Attachments Form

[Back to Top]

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The "Attachments Form" is not a form in the conventional sense. Rather, it is a place to
attach documents that you have completed and saved elsewhere on your computer.
1. Attachment 3 (Revenue Sources Information for RAOs only) is a fillable form; you
will find a link to it. This form can be filled in, saved to your computer, and attached
without the need for special software or conversion to PDF.
2. Attachments 1, 2, 4, 5, 6, 7, and 8 are documents (e.g., narratives, lists) that you will
develop in accordance with the instructions provided. These items must be
submitted as PDF (portable document format) files.
These non-form documents can be created using any word processing software.
When you have completed the document, save it to your computer and convert it to
PDF before attaching. If you don't already have software to convert files to PDF,
there are many low-cost and free software packages that can do this. To learn more,
go to PDF Conversion Programs.
Please make sure to convert your documents into PDF format in line with the
guidance above. Do not create PDFs of your electronic documents by
scanning. In the past, some applicants have printed their electronic documents and
then scanned them, saving the scan in PDF format. PDFs created this way are much
larger, and of lower quality, than PDFs created by the methods we recommend. Do
not embed non-printable media files (video and/or sound) in your PDF
documents. Static images (e.g., pictures) are acceptable. Please do not enable any
document security settings or password-protect any PDF file you submit to us.
No attachment should be more than 2 MB.
3. For non-form documents, label pages clearly with the name of the item (e.g., Staffing
List) and your organization's legal name. Leave a margin of at least one inch at the
top, bottom, and sides of all pages. Do not reduce type below 12 point font size. Do
not type in all capital letters. Number pages sequentially; place numbers on the
bottom right hand corner of each page. Excess pages will be removed and will not
be reviewed.
4. Name your files as indicated below and attach them in the proper order. Please
note that you cannot change the name of a file on the Attachments Form. Therefore
make certain that each file is named correctly before you attach it. Your agency
name (or acronym) must be included in each file name (e.g.
"ABCArtsCouncilStaff.pdf").
When you open the Grants.gov Attachments Form, you will find 15 attachment buttons.
By clicking on a button, you will be able to choose the PDF file from your computer that
you wish to attach. Please attach the proper file to the proper button as listed below.
The Attachments

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ATTACHMENT 1: STAFFING LIST
For both on- and off-year SAAs and RAOs: To this button, attach a one-page Staffing
List. The file name should indicate the name of your organization or a recognizable
acronym followed by "Staff.pdf" (e.g., "ABCArtsCouncilStaff.pdf").
Label the page clearly with your organization's legal name and "Staffing List." Set
your page up with two columns with these headings: 1) Name, and 2) Position
Title/Area of Responsibility.
Provide the requested information on all professional staff. Include both salaried and
contractual personnel (including Arts Education and Folk & Traditional Arts staff, and
Poetry Out Loud Coordinators), with the exception of artists who spend more than
50% of their working time away from your offices.
•

Place "(504)" in parentheses by the name of the staff member who serves as
your agency's 504 coordinator.

•

Indicate by asterisk (*) personnel who are one or more of the following: American
Indian or Alaska Native, Asian, Native Hawaiian or Other Pacific Islander, Black
or African American, or Hispanic or Latino.

Example:
Name
Jane Doe *
John Smith (504)

Position Title/Area of Responsibility
Executive Director
Director for Education

ATTACHMENT 2: BOARD MEMBERSHIP LIST
For both on- and off-year SAAs and RAOs: To this button, attach a one-page Board
Membership List. The file name should indicate the name of your organization or a
recognizable acronym followed by "Board.pdf."
Label the page clearly with your organization's legal name and "Board Membership
List." Set your page up with four columns with these headings: 1) Name, 2)
Occupation, 3) City, and 4) Arts Interest/Affiliation.
Provide the requested information on all board members.
•

Indicate by asterisk (*) members who are one or more of the following: American
Indian or Alaska Native, Asian, Native Hawaiian or Other Pacific Islander, Black
or African American, or Hispanic or Latino.

•

Indicate by a cross (+) members who also are office holders.

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Example:
Name

Occupation

City

Mary Smith +

Lawyer

Springfield

Bill Doe *

Business Owner

Sunnyvale

Arts Interest/
Affiliation
Board, ABC Dance
Company
Visual Arts Patron

ATTACHMENT 3: REVENUE SOURCES INFORMATION FORM
[DOWNLOAD FORM]

For both on- and off-year RAOs: To this button, attach the Revenue Sources
Information form. The file name should indicate the name of your organization or a
recognizable acronym followed by "Revenue.pdf."
ATTACHMENT 4: APPLICATION NARRATIVE
To this button, attach an Application Narrative. The file name should indicate the
name of your organization or a recognizable acronym followed by "Narrative.pdf."
Label each page clearly with your organization's legal name and "Application Narrative."
Do not include information on Poetry Out Loud as part of your Application Narrative.
This information is requested separately as Attachment 8.
•

For off-year applicants, submit a narrative update of up to one page that
describes your organization’s activities for the last year and outlines any changes
in your organization, plans, or process.

•

For on-year SAAs and RAOs, submit a narrative not to exceed 14 numbered
pages including the budget chart (15 pages for those organizations that request
Folk & Traditional Arts Partnership support). Follow the narrative instructions for
either state arts agencies or regional arts organizations.

ATTACHMENT 5: STRATEGIC PLAN
For on-year SAAs and RAOs: To this button, attach a single file that includes the two
items below. The file name should indicate the name of your organization or a
recognizable acronym followed by "Plan.pdf." Label each page clearly with your
organization's legal name and "Strategic Plan."
1) A one-page Executive Summary of your organization’s most current Strategic
Plan. This summary should highlight the major goals, focus, and direction for your
agency as outlined in the plan.

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Indicate the time period covered by your current plan (e.g., 2008–2013) and where
your organization is in its planning cycle. Examples may include: at the beginning of
a new plan, mid-way through the existing plan, closing out an existing plan and
preparing for a new plan, or extending the existing plan for one or more years.
2) The Strategic Plan itself (not to exceed 25 numbered pages). The plan
should convey your agency’s mission, vision, goals, objectives, and major strategies.
More detailed work plans or program implementation plans are not required.
However, if you have an agency work plan or program implementation plan
developed to complement your long range plan, please include it in your
supplemental materials.
If your complete plan exceeds 25 pages, attach here the 25 pages that you want the
panel to review. Include three copies of the complete plan with your other mailed
application items. See Item 4 under "Prepare and submit material to be mailed
directly to the Arts Endowment" for detailed instructions pertaining to the Strategic
Plan.
ATTACHMENT 6: CHANGES IN CONFLICT OF INTEREST/APPEALS
For both on- and off-year SAAs and RAOs: If applicable, to this button attach your
Changes in Conflict of Interest/Appeals document. Submit this item only if there has
been a change in your conflict of interest policies or appeals process since you last
applied for a Partnership Agreement. The file name should indicate the name of your
organization or a recognizable acronym followed by "Changes.pdf." Label each page
clearly with your organization's legal name and "Changes in Conflict of
Interest/Appeals."
ATTACHMENT 7: FOLK & TRADITIONAL ARTS PARTNERSHIP INFORMATION
For both on- and off-year SAAs and RAOs: If you are applying for the Folk &
Traditional Arts Partnership component, to this button attach information as detailed
below. The file name should indicate the name of your organization or a recognizable
acronym followed by "Folk.pdf." Label each page clearly with your organization's legal
name and "Folk & Traditional Arts Partnership."
At the beginning of your narrative, provide a succinct one-paragraph summary of
your proposed project. Briefly explain how the project fits into your agency’s overall
Folk Arts program and how it will help to carry out your agency’s Folk Arts program
agenda. Also, indicate whether the proposal is for a one-time project or is part of a
recurring program of work. Submit up to four pages that discuss:
•

Those strategies or elements of your state or regional plan that focus on your folk
& traditional arts program. (NOTE: If you are an on-year SAA or RAO that is
submitting a complete Narrative, repeat verbatim here the information you are
providing on folk & traditional arts in your Narrative.)

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•
•
•
•

•

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The details of your proposed Folk & Traditional Arts Partnership program and
how that relates to your overall state or regional plan strategies as described
above.
How the program will benefit all participating partners.
Your plans for documenting and evaluating the program.
For professional folk arts positions, how the position will be supported
independently of the NEA within three years. If you are requesting second or
third year support for a position, provide a status report on the activities that have
been funded thus far and your plans for continuing the position beyond the period
of the Arts Endowment’s support.
On the last page, provide:
--A budget: There is no specified format. Your budget should include the
following as appropriate to your Folk & Traditional Arts Partnership program:
Income such as state arts agency funds, support from foundations or other
partners (please identify), and in-kind support (please identify the source); and
Expenses such as salaries, artists’ fees, travel, administrative/space/equipment
costs, documentation, design fees, etc.
--A description of any work sample(s) that you are submitting. In addition to
the material that you submit electronically through Grants.gov, you have the
option of providing one set of no more than two work samples (one copy
each) directly to the Arts Endowment. (Details on mailing this material to the
NEA are in Step 6 below.) Include the following information on each sample:
Format (e.g. CD, DVD); name of featured artist(s); title or one-line description of
work or activity; and cue information. Label each work sample clearly with your
organization’s legal name and “Folk & Traditional Arts Partnership Work
Sample.”

ATTACHMENT 8: POETRY OUT LOUD PLAN
To this button, attach your Poetry Out Loud Plan. The file name should indicate the
name of your organization or a recognizable acronym followed by
"PoetryOutLoud.pdf." Label each page clearly with your organization's legal name and
"Poetry Out Loud Plan.”
•

Submit no more than two pages. Describe the activities proposed for 2010-2011
including the anticipated geographic reach and timetable. List the name,
position/title, telephone and fax numbers, and e-mail address of your Poetry Out
Loud coordinator. If program coordination is contracted out, list both the contractor's
information and the name of the main SAA supervisor/contact. For more information
about running a statewide Poetry Out Loud program, please see “Poetry Out Loud
State Partnership Agreement Information.”

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You do not have to fill the remaining Attachment buttons.

Step 5: Submit Items in Steps 1-4 above electronically through Grants.gov [Back to
Top]

Follow the detailed instructions under “Submit your electronic application” above.
Step 6: Prepare and submit material to be mailed directly to the Arts Endowment
[Back to Top]

In addition to the material that you submit through Grants.gov, you must mail the
following items to the Arts Endowment. Your application package will not be
considered complete without these items.
1. An identifier so that we can match your mailed material with your electronic
application. This may be a copy of the Submission Confirmation or validation e-mail
from Grants.gov that includes your Grants.gov Tracking Number (preferred) or a
sheet with your organization’s legal (not popular) name as it appears in your
electronic application. Be sure that this is the first item in your mailed material.
2. For on-year SAAs and RAOs, three identical collated sets of a concise sampling
of supplementary material referenced in your Application Narrative. Each set of
material must follow the guidance below and be submitted in an indexed binder no
larger than 2” wide. (Supplementary material for SAA arts education activities is
requested separately in 3. below.)
Be selective in the material that you include:
•

Wherever possible, include the Web address and provide a link to support
material in your Application Narrative. This will enable all panelists (not just the
lead reviewer) to review this information before the meeting. When you can link
to support material in your Application Narrative, DO NOT include that same
material in hard copy in your notebook.

•

Your support material should be directly related to and amplify key agency
activities outlined in your Application Narrative. Panelists should be able to
understand readily why each item is included.

•

Where appropriate, excerpt key portions of larger documents. Then note the
larger document and provide any necessary context.

Format your notebook as follows:
•

Double check to make certain that your binder is no larger than 2". Do not
overstuff your notebook.

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•

Label the front and spine of the binder with your organization’s name.

•

Use labeled tabs to separate your support material. The tabs should mirror, and
be in same order as, your Application Narrative sections/questions (e.g., Arts
Education, Evaluation).

•

Provide a Table of Contents that lists each tab, and each item under each tab, in
order.
Notebooks will be reviewed in advance of the meeting by lead panelists. They may
be reviewed by other panelists as well. NOTE: Any binders larger than 2” will not
be sent out to lead panelists for review prior to the panel meeting.

3 For on-year SAAs, three collated sets of supplementary material that will enhance
a reader’s understanding of your agency’s strategies and accomplishments in arts
education. Each set of material must be submitted in an indexed binder no
larger than 2". Label the front and spine of each binder with your organization’s
name. See also the selection and formatting tips under 2 above. NOTE: This item
will be reviewed in advance by lead panelists. It may be reviewed by other panelists
as well. Any binders larger than 2” will not be sent out to lead panelists for
advance review.
4. For on-year SAAs and RAOs, if your Strategic Plan exceeds the 25 pages allowed
for electronic submission, submit 3 copies of the complete plan. Do not include the
one-page Executive Summary.
If you have an agency work plan or program implementation plan developed to
complement your long range plan, it may be included.
5. Both on- and off-year SAAs and RAOs that are applying for the Folk & Traditional
Arts Partnership component have the option of submitting one set of no more than
two work samples and/or supplementary material in support of their request. All
items submitted (including CDs, DVDs, support material, etc.) should be placed in
a single envelope or folder labeled with the applicant’s name and “Folk &
Traditional Arts Partnership material.” This envelope or folder should be included as
part of your full application package.
•

OPTIONAL: Work sample(s) should demonstrate artistic quality and/or technical
ability, as appropriate to your project. Submit one copy of each work sample.
Label each item with your organization's name. Please see guidance on work
sample formats.
The Arts Endowment may copy or digitally convert work samples to facilitate
panel review. By submitting a work sample, you are giving the Arts Endowment
permission for reproduction and dissemination for this purpose.

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•

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OPTIONAL: Additional support material (no more than 12 pages) may include
letters of support, bios of key project personnel, maps, brochures, etc. Label
each item with your organization’s name.

The National Endowment for the Arts continues to experience delays and damage to
support material (e.g., CDs, videos) in the delivery of First-Class and Priority mail. We
recommend that you use a commercial delivery service.

Label your package as noted below. All mailed material must be postmarked (or
show other proof of mailing) no later than October 4, 2010. Send your package to:
State & Regional Office
Room 722
National Endowment for the Arts
1100 Pennsylvania Avenue, NW
Washington, DC 20506-0001
Provide a complete return address, including your organization’s legal (not popular)
name, on your package. If the delivery service that you use requires a telephone
number for the recipient on the label, use 202/682-5702.

Application Form Part II
Following review of applications, each SAA and RAO will be informed of the dollar
amount that is recommended for its State or Regional Arts Plan and for each relevant
component. With these dollar recommendations, agencies will receive the Application
Form Part II and instructions for providing summary budget information for their
Partnership Agreement.

Narrative for State Arts Agencies
Panelists will examine your Application Narrative, as well as your Plan itself, in direct
connection with the Review Criteria for State Arts Agencies.
Provide an Application Narrative that:
•
•

Is a maximum of 14 pages (15 pages for those organizations that request support
under the Folk & Traditional Arts Partnership component).
Follows the bold faced headings and letters/numbers below. This will assure that
your Narrative directly addresses the criteria that the panelists will use when
reviewing your application.

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•
•

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Follows all formatting instructions, including the requirements for a font size of at
least 12 points and margins of at least 1 inch.
Wherever possible, includes electronic links to support/supplementary material that
is referenced in your Narrative. This will cut down on the supplementary material that
you need to mail to the NEA and will provide for easier and earlier access to this
information for all panelists. Panelists recommend that URL links be used in
moderation. Links that direct the reader to supplemental materials rather than to
additional narrative content are most appropriate.

A. Quality of the planning process
1) Describe major developments or conditions in your state – e.g., economic,
cultural, demographic, educational, geographical, political – that are having an
impact on your agency's planning.
2) Describe your agency’s most recent planning process. Outline efforts to engage
the full range of constituents and potential partners (such as artists, arts
organizations, educators, state agencies, elected officials, and community and
business groups) as well as the general public in this process. Describe the
provisions that you made, including advance public notice, to hold public meetings
on your state plan open to all interested parties.* Note other steps (e.g., surveys,
interviews, focus groups) your agency took to insure broad input including from
communities and groups your agency considers to be underserved.
Indicate the time period covered by your current plan (e.g., 2008–2013) and where
your state agency is in its planning cycle. Examples may include: at the beginning of
a new plan, mid-way through the existing plan, closing out an existing plan and
preparing for a new plan, or extending the existing plan for one or more years.
3) Summarize the recommendations for your state plan that resulted from the public
meetings* and other forums.
4) Describe your agency’s response to these recommendations*, and the means –
including but not limited to the state plan itself -- by which this response was
communicated to the public.
*Information required by Section 5(g) of the Arts Endowment’s legislation.

B. Quality of the plan
Panelists will address this criterion by examining the plan (or 25 page excerpt) that you
submit as part of your application package. Do NOT address in this Narrative.

C. Quality of implementation and accomplishments in relation to the plan

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Summarize the following from your most current plan. (Do not include information on
Poetry Out Loud here; that is requested separately.)
1) Arts Education
Outline your agency’s strategies in support of the three partnership goals for arts
education. Include actions that your agency has taken to further its leadership in
arts education. If any of the three goals are not addressed, please explain. Note how
the program is connected to national or state arts education standards.
2) Underserved Communities
Discuss the rationale or criteria your agency uses to define "underserved
communities." Describe the underserved communities in your state and your
agency's strategies to assist them. Include actions taken to further local cultural
development and foster cultural diversity, as well as any partnerships with multicultural, tribal, or indigenous groups. Also describe how your agency makes its
programs accessible to individuals with disabilities.
3) Folk & Traditional Arts Partnership Component (optional)
If your agency is requesting support under the optional Folk & Traditional Arts
Partnership component, summarize elements of the plan that focus on this area.
Provide a brief overview only (no more than one page); do not include program
details. (You will be asked to repeat this information, as well as provide more details
on your program, as part of Attachment 7, information for the Folk & Traditional Arts
Partnership component.)
4) Other leadership
Describe any areas not covered above where your agency plays a key leadership
role. You may combine 4) and 5) below if appropriate for your agency.
5) Other strategic partnerships
Discuss any key public or private partnerships, not covered above, that extend your
agency’s resources and effectiveness. Include collaboration on a multi-state
regional, national, or international level including partnerships that involve regional
arts organizations and national service organizations. Discuss the strategic nature of
the partnerships, how they relate to your agency’s goals, and the results of working
in partnership.
6) Impact

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Summarize up to four of your agency’s most significant accomplishments and
their outcomes since your last full application. Put them in context by explaining their
significance; the impact they have had on your agency, partners, and constituents,
as appropriate; and how they have contributed to the implementation of your state
plan.
7) Evaluation
•

Describe how your agency measures performance against clearly defined
outcomes, goals, or objectives. Note if, and how, outside experts are involved in
your evaluation activities.

•

Note how those served, including underserved groups, are included in the
evaluation process.

•

Where outcomes, goals, or objectives were not met or were only partially met,
explain why.

•

Describe any changes that your agency plans to make based on evaluation.

8) Communication
Describe your agency’s efforts to promote awareness of the benefits of the arts.
Outline your working relationships with the media, and publications, Web sites, and
other presentations that your agency uses toward this end. Discuss ways in which
your agency is utilizing technological capabilities (e.g., streaming video, blogging,
podcasts, posting on networking sites) in its communications.

D. Budget Chart
On the last page of your narrative, provide a one-line description of each of your
agency’s categories, programs, or initiatives for the first fiscal year of the proposed
agreement, with projected dollar allocations (include federal and non-federal
sources). To help panelists understand the relationship between the budget and the
application narrative, identify with a “Y” those categories for which allocations are
determined by your legislature or that relate to arts education or underserved areas.
(Do NOT enter a dollar figure for such allocations.) You may use footnotes to explain
the use of funds in support of Poetry Out Loud activity, as relevant.
Please use the budget chart format below.

Name of Category, Program or
Initiative

1-line Description

Total
$
Amount

Allocation
Legislatively
Determined?

Related to
Education?

Related to
Underserved?

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Narrative for Regional Arts Organizations
Panelists will examine your Application Narrative, as well as your Plan itself, in direct
connection with the Review Criteria for Regional Arts Organizations.
Provide an Application Narrative that:
•
•
•
•

Is a maximum of 14 pages (15 pages for those organizations that request support
under the Folk & Traditional Arts Partnership component).
Follows the bold faced headings and letters/numbers below. This will assure that
your Narrative directly addresses the criteria that the panelists will use when
reviewing your application.
Follows all formatting instructions, including the requirements for a font size of at
least 12 points and margins of at least 1 inch.
Wherever possible, includes electronic links to support/supplementary material that
is referenced in your Narrative. This will cut down on the supplementary material that
you need to mail to the NEA and will provide for easier and earlier access to this
information for all panelists. Panelists recommend that URL links be used in
moderation. Links that direct the reader to supplemental materials rather than to
additional narrative content are most appropriate.

A. Quality of the planning process
1. Describe major developments or conditions in your region – e.g., economic,
cultural, demographic, educational, geographical, political – that are having an
impact on your organization's planning.
2. Describe your organization's most recent planning process as it relates to both
your Regional Arts Plan and Regional Touring, including:
•
•

The involvement of member state arts agencies as primary partners in
planning and responsiveness to the priorities that they identify.
The involvement of community presenters, touring artists, and other artists,
supporters, and constituents including underserved groups.

Indicate the time period covered by your current plan (e.g., 2008–2013) and
where your regional arts organization is in its planning cycle. Examples may
include: at the beginning of a new plan, mid-way through the existing plan,
closing out an existing plan and preparing for a new plan, or extending the
existing plan for one or more years.
B. Quality of the plan

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Panelists will address this criterion by examining the plan (or 25 page excerpt) that
you submit as part of your application package. Do NOT address in this Narrative.

C. Quality of implementation and accomplishments in relation to the plan
Summarize the following from your most current plan. Where relevant, describe your
organization's work in partnership with other arts and non-arts groups (e.g.,
public/private, state, regional, national, international).
1. Decisions on Program Funding
Describe how your organization's funding decisions take into account artistic
excellence and merit.
2. Regional Touring
a) Summarize those elements of your most current strategic plan that would be
supported under the NEA Regional Touring Program. Describe how you plan
to increase access through educational activities and community
partnerships.
b) Describe the process by which these funds will be distributed including the
criteria and expertise involved, and provisions for ensuring that an appropriate
proportion of activity takes place in underserved communities.
3. Folk & Traditional Arts Partnership Component (optional)
If your organization is requesting support for optional Folk & Traditional Arts
Partnership programs, summarize those strategies or elements of your most
current strategic plan that focus on this area. Provide a brief overview only (no
more than one page); do not include program details. (You will be asked to
repeat this information, as well as provide more details on your program, as part
of Attachment 7, information for the Folk & Traditional Arts Partnership
component.)
4. Impact
Summarize up to four of your organization’s most significant
accomplishments and their outcomes since your last full application. Put them
in context by explaining their significance; the impact they have had on your
organization, partners, and constituents, as appropriate; and how they have
contributed to the implementation of your regional plan.

5. Evaluation

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a) Describe how your organization measures performance against clearly
defined outcomes, goals, or objectives. Note if, and how, outside experts are
involved in your evaluation activities.
b) Note how those served, including underserved groups, are included in the
evaluation process.
c) Where outcomes, goals, or objectives were not met or were only partially met,
explain why.
d) Describe any changes that your organization plans to make based on
evaluation.
e) Describe how you report back to your member state arts agencies on grants
and services going to each state. Attach a copy of your most recent report to
members on the benefits accruing to their states.

6. Resource Development and Management
a) Outline the steps that your organization has taken and is taking to maximize
the cost effectiveness of its operations.
b) Discuss the rationale behind, and the strengths and weaknesses of, your
organization's revenue mix over the past three years. What are your plans
and rationale relating to your revenue mix for the next three years?
c) Discuss your organization’s efforts to extend its resources and effectiveness
through partnerships (e.g., public/private, state, regional, national,
international) and/or other means. Discuss the strategic nature of the
partnerships, how they relate to the goals identified in your planning process,
and the outcomes and results of working in partnership.
D. Budget Chart
On the last page of your narrative, provide a one-line description of each of your
organization’s categories, programs, or initiatives for the first fiscal year of the
proposed agreement, with the projected Partnership Agreement and nonPartnership Agreement dollar allocations. Identify with a "Y" those categories for
which NEA Regional Touring Program funds would be used. (Do not provide dollar
amounts for the NEA Regional Touring funds.)
Please use the budget chart format below.
Category, Program, or
Initiative

Description

Projected Partnership Projected Non-Partnership
Agreement Funds
Agreement Funds

Uses NEA
Total Funds Regional Touring

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Funds

Include sub-categories and subtotals as necessary to
demonstrate the connection
between budget allocations and
your application narrative.

Use a "Y" to
indicate yes;
otherwise leave
blank. Do not enter
dollar amounts.

Reporting Burden
The public reporting burden for this collection of information is estimated at an average
of 32 hours per response including the time for reviewing instructions, searching
existing data sources, gathering and maintaining the data needed, and completing and
reviewing the collection of information. The Arts Endowment welcomes any suggestions
that you might have on improving the guidelines and making them as easy to use as
possible. Send comments regarding this burden estimate or any other aspect of this
collection of information, including suggestions for reducing this burden, to: Office of
Guidelines & Panel Operations, Room 620, National Endowment for the Arts, 1100
Pennsylvania Avenue, NW, Washington, DC 20506-0001. Note: Applicants are not
required to respond to the collection of information unless it displays a currently valid
U.S. Office of Management and Budget (OMB) control number.