Form 3135-0094 Arts and Artifacts Indemnity Program International Indem

OMB 3135-0094
Exp. 11/30/2013

Arts and Artifacts Indemnity Program
International Indemnity
CFDA Number: 45.201
Funding Opportunity Number: 2014FCAH01

How to Apply
Please read these instructions carefully before completing your application. Only applications
that provide thorough answers to each question can be considered for a Certificate of Federal
Indemnity. No indemnification agreement may be entered into unless a completed application
has been received in accordance with the provisions of Public Law 94-158 (20 USC 973).
If you have questions about eligibility, the content of your application, or the Indemnity Program
in general, contact:
Patricia Loiko
Indemnity Administrator
National Endowment for the Arts
1100 Pennsylvania Avenue, N.W.
Washington, D.C. 20506
Telephone: 202-682-5541
Fax: 202-682-5721
E-mail: [email protected]

Laura Cunningham
Assistant Indemnity Administrator
National Endowment for the Arts
1100 Pennsylvania Avenue, N.W.
Washington, D.C. 20506
Telephone: 202-682-5035
Fax: 202-682-5721
E-mail: [email protected]

IMPORTANT: NOTE ON IMMUNITY FROM SEIZURE
Public Law 89-259 and Executive Order 12047 authorizes the Department of State to issue
notices in the Federal Register to immunize certain cultural objects from seizure by judicial
process. The objects must be imported into the United States pursuant to an agreement
between the foreign owner or custodian and a U.S. cultural or educational institution for a nonprofit exhibition or activity. Prior to publication of the immunity notice, the Department of State
must determine that the exhibition of objects is in the national interest, and that the objects are
of cultural significance. The Federal Council strongly recommends applying for this
protection for all international exhibitions. To obtain further information, or to apply for such
protection, contact:
Office of the Legal Advisor for Public Diplomacy and Public Affairs
United States Department of State
301 Fourth Street, S.W.
Washington, D.C. 20547
202-453-8050
www.state.gov
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OMB 3135-0094
Exp. 11/30/2013

How to Prepare and Submit Your Application for Indemnity
Applicants must submit their applications electronically through Grants.gov, the federal
government’s on-line application system. The Grants.gov system must receive your application
no later than 11:59 p.m., Eastern Time, on the deadline date (October 1, 2013 for Certificates
that may be issued as early as January 1, 2014).
We strongly recommend that you submit at least 10 days in advance of the deadline to give
yourself ample time to resolve any problems that you might encounter.
In addition to applying through Grants.gov, applicants must submit one set of visual
documentation directly to the Arts Endowment. Details on the required visual documentation are
found at the end of these instructions. This material must be postmarked (or show other proof of
mailing) no later than October 2, 2013. This extra business day allows applicants ample time to
receive and include with their mailed material a copy of the notification from Grants.gov that
confirms their electronic submission and provides the Grants.gov Tracking Number.

Register or Renew/Verify Your Registration with Grants.gov
NOTE: Grants.gov has implemented security requirements for the use of the Grants.gov
system. Applicants are NOW required to change their passwords every 60 days. See
www.grants.gov for more details.
It is your organization's responsibility to create and maintain a regularly updated
registration with Grants.gov. This includes registration with the System for Award
Management (SAM), where your organization's information must be renewed annually.
Finalize a new, or renew an existing registration at least two weeks before the application
deadline. This should allow you time to resolve any issues that may arise with Grants.gov or
SAM. Failure to comply with these requirements may result in your inability to submit your
application.
If your organization is not yet registered, go to Grants.gov's Get Registered. Allow a minimum of
two weeks for this multi-step, one-time process. If your organization already has registered,
renew your registration with SAM and verify that your registration with Grants.gov is current.
If you have problems with registration:
•

SAM Assistance Center: call 1-866-606-8220, send a message through the Web site at
www.sam.gov, or see the information posted on the SAM Web site at Help.

•

Grants.gov Contact Center: call 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.

Maintain documentation (with dates) of your efforts to register or renew at least two weeks
before the deadline.

You do not need to complete the registration process to download the application package and
to prepare your material. However, you will need your Username and Password that you obtain
during the registration process to submit your application.

Prepare your application materials
1. Verify your software.
You must have a version of Adobe Reader that is supported by Grants.gov (a small,
free software program) 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 on each.
Go to “Download Software” to see the compatible versions of Adobe Reader and, where
necessary, to download and install the appropriate Adobe Reader software.
2. To apply under the October 1, 2013 deadline, click on the link below to go to the application
package on Grants.gov. (The application package for organizations applying under the next
deadline, April 1, 2014, will be available after the October 2013 deadline.)
DOWNLOAD
Funding Opportunity Number: 2014FCAH01
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. Save the application package (using the “Save” button at the top of the form) to a location
on your computer or network where you can find it readily. Close the saved application
package before you start to work on it for the first time. Always open and work on
your application from this location. You do not need to be connected to Grants.gov or the
Internet until you are ready to submit your completed application.
4. Open the application package. In the “Application Filing Name” box, enter your
organization’s legal name.
In the “Mandatory Documents” box, you will see two forms: the Application for Federal
Domestic Assistance/Short Organizational Form (SF-424) and the Attachments Form. You
must move these two forms to the “Mandatory Documents for Submission” box before you
can open and complete them. Once moved, the two forms merge into a single document.
You can access each form by clicking on it to highlight it and then clicking on the "Open

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Form" box OR you can scroll down your screen and you will come to each form in
succession.
You can move around within and between forms by scrolling, or by using the small blue
arrows or the "Next" or "Previous" buttons at the top of the forms. Do not use the Back
Button at the top of your screen as this will take you out of the Grants Application Package
altogether.
5. Clicking on the "Close Form" button at the top of a screen will capture your information and
return you to the "Grant Application Package" screen. Before closing the "Grant Application
Package" screen, click on the "Save" button and respond “Yes” to the message, “The File
already exists. Replace existing file?” to make sure that your most recent information is
saved.

Instructions for the Application for Federal Domestic Assistance/Short
Organizational Form (SF-424)
NOTE: All asterisked (*) items and yellow fields on this form are required and must be
completed before you will be able to submit. Do not type in all capital letters. Enter information
directly into the form; do not copy from an old application or other document and paste into the
form. Items 1 and 2 have been pre-populated. Item 3, Date Received, will be filled in
automatically with the date that you submit your application; leave this field blank. Item 4 has
been pre-populated.
SF-424 Question 5. Applicant Information:
a. Legal Name: Enter the legal name of the nonprofit organization or government entity
applying for indemnity 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, or
as a federally recognized tribal community or tribe. If an exhibition is being shown at
several institutions, one institution should apply on behalf of all participants. The Federal
Council requires that the applicant must have previously organized at least one
international exhibition.
b. 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 should be used only when a
Suite, Room Number or other similar information is a necessary part of your address. In
the Zip/Postal Code box, enter your full 9-digit zip code (you may look it up at
www.usps.com/zip4/).
c.
d. Type of Applicant: Select the item that best characterizes your organization from the
menu in the first drop down box. Additional choices are optional.
e. Employer/Taxpayer Identification Number (EIN/TIN): Enter the 9-digit number that was
assigned by the Internal Revenue Service; do not use a Social Security Number.
f.

Organizational DUNS: All organizational applicants for federal funds must have a DUNS
number, which is recognized as the universal standard for identifying organizations

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worldwide. The number that you enter here must agree with the number (either 9 or 13
digits) that you used with the SAM as part of the Grants.gov registration or your
application will not be validated by Grants.gov and will be rejected.
g. Congressional District: Enter the number of the Congressional District where the
applicant organization is located. Use the following format: two-character State
Abbreviation-three-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 twodigit state/territory abbreviation and “-000.” If you need help, visit the House of
Representatives Web site at www.house.gov and use the "Find Your Representative"
tool.
SF-424 Question 6. Project Information:
a. Project Title: Enter the title of the exhibition.
b. Project Description: In two or three brief sentences, provide a concise description of
your exhibition. Include the subject matter of the exhibition, the type of objects to be
included (paintings, sculpture, manuscripts, etc.), those responsible for organizing the
exhibition, and the exhibition catalogue author(s).
PLEASE NOTE: This field on the form has a character limit of 1,000. Even if you have less than
1,000 characters, Grants.gov may translate special charges (e.g. apostrophes, question marks)
in a way that will cause your application to be rejected. We strongly encourage you to write a
succinct project description and double check the number of characters.
c. Proposed Project Start Date/End Date: Enter the beginning and ending dates for the
period for which you are requesting indemnity coverage (typically this is one month prior
to the public opening, and one month after the public closing, of the exhibition). The time
period of indemnity begins on the date that condition reports are prepared prior to initial
packing at the lenders' premises. Coverage includes the time the objects are in transit
and while they are on exhibition. Indemnity coverage ends on the date that condition
reports are completed upon return to the lenders' premises or the place designated by
the lender, or as determined by the Federal Council.
Note: The Federal Council rarely approves indemnity coverage for a total time period
greater than two years.
SF-424 Question 7. Project Director: Provide the name of the person responsible for organizing
the exhibition. Select a Prefix (e.g., Ms., Mr.) even though this is not a required field.
SF-424 Question 8. Primary Contact/Grant Administrator: Provide the requested information for
the individual who should be contacted on all matters involving this application and the
administration of any indemnity agreement that may be awarded. Select a Prefix even though
this is not a required field. If this individual is the same as the Project Director, you may check
the "Same as Project Director" box.
SF-424 Question 9. 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. If the Primary

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Contact/Grant Administrator is the same as the Authorizing Official, complete all items under
both 8 and 9 even though there will be some repetition.
By clicking the "I Agree" box at the top of Item 9, this individual certifies that:
•
•
•

The information contained in this application, including all attachments and supporting
materials, is true and correct.
The valuations for the objects to be indemnified are accurate and represent current fair
market values to the best of his/her knowledge.
The dated loan agreements, including U.S. dollar valuations and agreement to Federal
indemnity, will be in his/her hands prior to packing and shipping of indemnified objects.

The "Signature of Authorized Representative" and "Date Signed" boxes will be populated by
Grants.gov upon submission of the application.

Instructions for the Indemnity Narrative (Attachment 1 of the Attachments Form)
How to Use the Attachments Form
You will use the Grants.gov Attachments form to attach your Indemnity Narrative. You can
create your narrative using any word processing software. When you have completed the
document, save it to your computer and convert it to a PDF document before attaching. Please
follow these instructions:
1. Label all pages clearly with your organization’s legal name and “Indemnity Narrative.”
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.
2. Convert your file to PDF before attaching. Using PDFs allows you to preserve the
formatting of your document so it can be presented to reviewers exactly as you intend.
3. Name your file before you attach it to the Attachments Form. The name of the file should
indicate the name of your organization or a recognizable acronym followed by “Indemnity
Narrative” (e.g., “ABCOrganizationIndemnityNarrative.pdf"). Limit file names to 50
characters and use only the following characters when naming your attachments: A-Z, az, 0-9, underscore (_), hyphen (-), space, and period. Please note that you cannot
change the name of a file on the Attachment Form. Therefore make certain that each
file is named correctly before you attach it. If you use special characters, your application
may be rejected.
4. When you open the Grants.gov Attachments Form, you will find 15 attachment buttons,
labeled "Attachment 1" through "Attachment 15." You will use the Attachment 1
button only. Leave all remaining Attachment buttons blank. Click on this button and you
will be able to choose the file from your computer that you wish to attach.
5. If you try to view your attachment by clicking the "View Attachment" button on the
Attachments Form but are unsuccessful, check the bottom of the screen for the

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message: "Pop-ups were blocked on this page." If you see this message, press "Ctrl"
and "View Attachment" to see the attachment.

Your narrative must address each of the following items. Use the boldfaced numbers and
headings below to organize your response.
1. Places and Dates of Exhibition
Include dates and the specific sites, cities, states, and countries where the exhibition will be
viewed. If indemnity coverage is requested to begin or end at a site other than the lender's
premises, indicate dates and specific sites. If indemnified objects are to be placed in storage
between exhibition sites, give dates and the facilities to be used.
The Federal Council generally limits indemnity coverage for a single exhibition to five (or
fewer, depending upon the type and condition of the objects) venues. The Federal Council
requires that venues for indemnified exhibitions must have successfully hosted at least one
museum-caliber exhibition, with loans from public and/or private collections. Indemnity
should not be requested for inaugural exhibitions in new buildings or substantially renovated
spaces.
2. Total Number and Value of Objects to be Indemnified
(a) Total current U.S. dollar valuation for all objects for which indemnity is requested.
(b) Total number and U.S. dollar value of foreign-owned objects for which indemnity is
requested.
(c) Total number and U.S. dollar value of United States-owned objects for which indemnity
is requested.
(d) Estimate of private/commercial insurance premium which would be required to cover all
objects for which indemnity is requested.
(e) Source of that insurance premium estimate.
3. Total Number and Value of the Entire Exhibition
(a) Total number and U.S. dollar valuation for all objects in the entire exhibition (include
indemnified and non-indemnified objects)..
4. Exhibition Significance
State the significance and the educational, cultural, historical, and/or scientific value of the
objects to be indemnified and of the entire exhibition in which the indemnified objects will

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appear. Explain how the risk to the objects is justified by the purposes of the exhibition.
Indicate if there will be a catalogue or publications and give the name of the author(s).
Describe the nature of related activities planned in conjunction with the exhibition.
If coverage is requested for foreign-owned and United States-owned objects, demonstrate
that the foreign-owned objects are integral to the exhibition as a whole. This information is
essential for the Federal Council to evaluate the significance and value of all objects to be
indemnified and their relationship to the exhibition.
5. Packing, Shipping, Environmental, and Security Arrangements
If a Certificate of Indemnity is awarded based on this application, you must notify the
Indemnity Administrator IN ADVANCE of any change affecting the time period, list of
objects, and/or arrangements for packing, shipping, handling, installation, environment,
security, and storage, as stated in this application, for approval by the Federal Council
before the Certificate can be amended. The Federal Council will NOT be responsible for
any loss or damage to an indemnified object occurring as a result of an unauthorized
change.
Indemnity is intended to cover objects in exhibitions for which the most professional and
thorough care in packing, shipping, climate control, and security arrangements is provided.
This section is a critical part of the application and will be examined very closely. If coverage
is requested for both foreign and United States-owned objects, describe arrangements for
the foreign first, followed by the U.S. For these arrangements to be assessed, it is essential
that you state as completely as possible the policies, procedures, techniques, and methods
to be employed with respect to the following categories (use the headings below to organize
your response). Include descriptive charts, diagrams, and illustrations as available and
applicable.
PROVIDE A CURRENT FACILITY REPORT FOR EACH VENUE, AND FOR EACH OFFSITE STORAGE FACILITY OR OTHER LOCATION THAT MAY BE UTILIZED (NO
MATTER THE LENGTH OF TIME OBJECTS ARE LOCATED THERE) DURING THE
INDEMNITY PERIOD.
(a) Packing arrangements at premises designated by the lender(s).
Provide names of the institutions and/or companies responsible for the initial packing
and crating for the objects from the locations designated by the lenders, and fully
describe all interior and exterior packing and crating specifications, especially for each
type of object. Confirm that crates will acclimatize for at least 24 hours before each
unpacking. Confirm that packing notes, with applicable photographs, will be taken upon
initial unpacking at the first venue and will be shared with participating venues. Describe
location and conditions where empty crates/packing materials will be stored, including
environmental statistics (depending on climate conditions, empty crates may be required
to acclimatize for 24-48 hours prior to repacking).
b) Shipping and security arrangements during transport.
Fully describe the shipping and security arrangements for the objects during transport,
including the initial assemblage, transfer between sites, and return to the lenders.
Include names of primary shipping companies/agents to be used for all shipments.

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For objects traveling by air, provide anticipated airlines and airports to be used, agents
and their duties, and confirm tarmac supervision. Describe TSA screening procedures
prior to airline passenger flights departing from U.S. airports. The Federal Council
requires that a courier accompany each conveyance vehicle, unless exceptions are
approved in advance. Include names or titles of couriers.
(c) Packing and shipping arrangements for especially fragile objects.
For objects considered to be especially fragile and vulnerable to the hazards of travel,
such as large and/or heavy objects, oil on wood panel paintings, or objects comprised of
multiple media, specify what special precautions will be taken for packing, shipping,
handling, and installation to minimize the risk of damage.
For oil on wood panel paintings, describe the climate conditions at the lenders’ premises
and how that environment will be maintained throughout the exhibition tour.
Give accurate descriptions of present conditions (including name and qualification of
person(s) responsible for making the assessment), and your means of verifying the
satisfactory condition of those objects prior to the initial packing.
(d) Condition reports.
i. Confirm that a qualified professional has determined that objects are able to withstand
the rigors of packing, shipping, and installation.
ii. Indicate provisions for providing condition reports at the following points, giving the
name or title of the person(s) responsible for filing the report:
1) Immediately prior to packing and shipping from the location(s) of the lender(s).
2) Immediately upon delivery, after 24 hour acclimatization, and inspection at each
location of borrower(s).
3) Immediately prior to packing and shipping from each location of borrower(s).
4) Immediately prior to packing and return shipping to location(s) of lender(s).
5) Immediately upon delivery, after 24 hour acclimatization, and inspection at
location(s) of lender(s).
If storage facilities are to be used, indicate provisions for providing condition reports, as
appropriate.
All reports in 1) through 5) above must be made during the time period of indemnity.
Submission of condition reports to the Federal Council with the application is not
required. However, an applicant is encouraged to provide a condition report for an
especially fragile object as evidence of its stability (include it here). In the event of a
claim for loss or damage to an indemnified object, it is expected that condition reports
will be available immediately for inspection by the Federal Council.
Note: If a Certificate of Indemnity is awarded, it is the responsibility of the indemnitee to
confirm the stability of the objects for travel and, if necessary, to assure the Federal
Council at any time during the indemnity time period that the condition of the objects
corresponds to the initial condition report. This may be accomplished by an accurate,

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current photograph or, preferably, by inspection by a qualified staff member of the
indemnitee. Photographs used should clearly demonstrate physical condition and be so
certified by the lender.
(e) Climate control conditions (at exhibition sites and storage facilities)
The facility reports will be used as reference. Herein, describe the climate conditions at
each exhibition site (including the specific places in the building where indemnified
objects will be located) and at each storage facility for:
1)
2)
3)
4)

Temperature: give degrees in Fahrenheit and average 24-hour ranges.
Relative humidity: give percentage(s) and average 24-hour ranges.
Environment: indicate means of controlling the climate.
Light levels: give range in foot-candles per object type.

Describe special precautions to be taken for objects most susceptible to damage as a
result of fluctuations or extremes in humidity and/or temperature (such as wood objects,
furniture, works on paper, etc.).
If objects are light sensitive (such as works on paper, textiles, etc.), indicate the
estimated number of foot-candles of lighting to which they will be exposed at each site.
(The Federal Council recommends that levels not exceed ten foot-candles for such
objects.)
(f) Security arrangements (at exhibition sites and storage facilities)
The facility reports will be used as reference. Herein, describe the security arrangements
at each exhibition site (including the specific places in the building where indemnified
objects will be located) and at each storage facility, including:
1) The number of guards assigned to the exhibition area while the exhibition is open to
the public. Provide a floor plan of the exhibition galleries, indicating anticipated
guard placement and line of sight.
2) The number of guards on duty while the exhibition is not open to the public, including
during gallery installation and de-installation (the Federal Council requires 24-hour
guards in the building for indemnified exhibitions), and how gallery entrances will be
protected and access restricted during installation and de-installation periods.
3) Electronic surveillance.
4) Fire protection measures (indicate if wet or dry sprinklers are in exhibition galleries
and storage areas).
5) General installation plans and related security for individual objects by
type/size/weight, etc, including equipment and hardware to be used, the use and
depth of vitrines, stanchions, pedestals, barriers for unglazed or unvarnished objects,
alarms, and other protective measures.
IF A CERTIFICATE OF INDEMNITY IS AWARDED IT WILL BE PARTIALLY BASED
ON THE DETAILS PROVIDED IN THIS SECTION. IF AN INDEMNIFIED OBJECT IS
LOST OR DAMAGED, INDEMNIFICATION MAY BE INVALID IF SECURITY
PROVISIONS DIFFER FROM THOSE STATED HEREIN.
Each participating institution must submit to the Indemnity Administrator a letter from the
Chief of Security of the institution, endorsed by its Director, within 30 days preceding the

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opening of the exhibition at that site. This letter must certify that security arrangements
remain as stated in the approved application.
(g) Indicate the maximum value of indemnified objects to be transported per single
conveyance (vehicle) of transportation.
The Federal Council permits a maximum of $80 million per conveyance (vehicle) of
transportation. However, in special circumstances, the Federal Council may limit the
amount allowable to less than $80 million.
(h) Indicate if the organizer of the exhibition has applied, or intends to apply, for immunity
from judicial seizure through the U.S. Department of State, and, for CITES permits, if
applicable, from the U.S. Department of the Interior, Fish and Wildlife Services.
6. Other Insurance Arrangements
The Arts and Artifacts Indemnity Act provides for a deductible of:
• $15,000 for exhibitions up to $2 million in indemnified value.
• $25,000 for exhibitions up to $10 million in indemnified value.
• $50,000 for exhibitions up to $125 million in indemnified value.
• $100,000 for exhibitions up to $200 million in indemnified value.
• $200,000 for exhibitions up to $300 million in indemnified value.
• $300,000 for exhibitions up to $400 million in indemnified value.
• $400,000 for exhibitions up to $500 million in indemnified value.
• $500,000 for exhibitions above $500 million in indemnified value.
There is a maximum limit of $1.2 billion coverage per exhibition.
(a) State the insurance or other arrangements including the name(s) of insurance
companies to cover the deductible and any value in excess of the amount to be indemnified.
7. Financial Arrangements
(a) List the sources of assured or anticipated support to be used to cover the general
expenses of organizing the exhibition. If you anticipate significant corporate sponsorship
for the exhibition and have related commercial agreements or understandings, describe
or attach copies of such agreements.
(b) Describe the nature and amount of loan fees or other contractual arrangements (in
excess of $10,000 for the entire exhibition), including retail agreements, with lenders to
the exhibition or with foreign governments representing lenders.
8. Previous Losses/Damages
Describe all losses or damages over $5,000 to permanent collection or loaned objects
(whether or not a claim was filed) incurred by the applicant, any of the participating
institutions, and/or storage facilities during the three years prior to submitting this
application. For each loss/damage include:

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(a)
(b)
(c)
(d)

Date of the event.
Nature and cause.
Description and appraised value of object(s) before and after the event.
Indication of whether or not litigation determined blame or negligence.

Note: Should additional losses/damages be incurred by the applicant, a participating
institution, and/or storage facility after this application is submitted, notify the Indemnity
Administrator immediately.
9. Accreditation by American Alliance of Museums
State if the participating institution(s) is accredited by the AAM, and date of last
accreditation. Accreditation is not required to receive an indemnity. However, if an exhibitor
is not accredited, the Federal Council reserves the right to request a statement from the
institution describing its procedures for handling loss or damage, or other pertinent
information..
10. Exhibitions Outside the United States
The Arts and Artifacts Indemnity Act permits United States-owned objects to be indemnified
while on exhibition outside the United States, preferably when they are part of an exchange
of exhibitions between a foreign country and the U.S.
For exhibitions from the U.S. on exhibition abroad, priority will be given: 1) if an exchange of
exhibitions is planned, and 2) if the responsibility for indemnity will be shared between the
U.S. and foreign institution(s). An exchange of exhibitions can be conceived and planned
concurrently by the U.S. and foreign institutions, or created in response within five years
(i.e., the time lapse between the end of the first exhibition and the beginning of the second
should not exceed five years). Both exhibitions should be of comparable importance.
a) If this exhibition will take place outside the U.S., describe in detail the nature of the
exchange, including information about the exhibition being shown in the U.S. and any
other insurance arrangements.
b) If no exchange is planned, does the country(ies) in which this exhibition is to be shown
have an indemnity program?
If a single exhibition contains objects both U.S.-owned and foreign-owned, and that
exhibition is to be shown at sites both in the U.S. and abroad, indemnity can be requested
for the United States-owned and foreign-owned objects while on exhibition in the U.S., and
for the U.S.-owned objects only while on exhibition abroad. However, priority for coverage
will be given to joint exhibitions in which the responsibility for indemnity is shared by the U.S.
and foreign institutions.
c) If this application is for coverage of a single exhibition, with foreign- and U.S.-owned
objects on exhibition in the U.S., and U.S.-owned objects on exhibition abroad, include a
statement to that effect in Question 6(b) of SF-424, and:

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i.

Include all relevant application information (i.e., places and dates of exhibition;
packing, shipping, security, environmental information; provision of condition
reports, etc.) for all venues in the appropriate application questions.

ii.

Include Question 12 (Identification and Valuation of Foreign-Owned Indemnified
Objects) for coverage of foreign-owned objects while on exhibition in the U.S.;
and Question 13 (Object Identification and Valuation for United States-Owned
Indemnified Objects) for coverage of the U.S.-owned objects while on exhibition
in the U.S. and abroad.

Note: indemnity under these guidelines does not cover exhibitions consisting solely of U.S.owned objects on exhibition in this country, or solely of foreign-owned objects on exhibition
abroad.
11. Third Party Opinions of Object Value
It is the responsibility of the applicant to have lender values assessed by experts other than
staff of the applicant, participating institutions, lenders, or anyone directly involved with the
exhibition. An expert may be, for example, personnel of an auction house or dealer, or an
outside curator, unaffiliated with the exhibition. If requested objects are of two or more types,
cultures, time periods, etc., it may be necessary to consult more than one expert (they do
not need to be from the same source). Provide the name and title for each expert and a brief
statement that establishes his or her expertise and qualifications. The expert 1) may agree
with the lender value, or 2) may believe the lender value is lower than fair market value
(however, in no case will indemnity coverage exceed the lender value), or 3) may believe
the lender value is inflated or overstated and should suggest a lower value. The expert's
opinion of the values should be stated in Questions 12, 13, and, as applicable, 14.
12. Identification and U.S. $ Value of Foreign-Owned Objects Requested for Indemnity
Provide a numbered list of all foreign-owned objects for which indemnity is requested.
Follow this format:
Number

Object
Type

Object
Description

Lender

1) Lender
Value
(U.S. $)
2) 3rd Party
Opinion

Sources of
Valuations
1)
2)

Include the following information for each object:
(a) Number: Start with number one. This number must correlate to the number for the same
object in the visual documentation that you submit, and, where the specific object is
described within the narrative text.

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(b) Object Type: Painting, drawing, photograph, ceramic, sculpture, furniture, jewelry,
clothing, scientific instrument, manuscript, etc. (Indemnity does not consider auxiliary
materials, such as frames, cases, etc. unless specifically itemized.)
(c) Object Description: Artist (nationality/dates), title, date, medium, support, dimensions in
inches,, and lender accession/inventory number. If the borrower does not agree with any
of the lender's attributions, explain.
Indicate if an object contains more than one part (e.g., a pair of earrings). If an object is
described as a pair or set, it is the applicant's responsibility to advise the lender of the
Federal Council's policy regarding loss of a part of a pair or set (see Clause 7 of the
Certificate of Indemnity).
In addition:
•

For collages, identify the medium of each collage element.

•

For manuscripts and sketchbooks, indicate the entire number of pages, and the
number and size of illuminations or illustrations.

•

For books, give the number and date of the edition and, if possible, the rarity (i.e. the
number of known copies), and describe any annotations or associations.

•

For prints and photographs, provide the date of the print, indicate whether or not the
print was made by the artist or photographer, and note if it is the only state, or which
state it is, if known.

•

For large three-dimensional objects, give the weight.

Note: For reasons of risk, the Federal Council is generally opposed to indemnifying oil
on copper paintings, objects containing pastel, chalk, charcoal, lacquer, certain types of
glass (including enamels), works on parchment or vellum, marquetry, frescoes, and
other fragile objects. Oversized works (exceeding 10 feet in any direction) and oil on
wood panel paintings will be reviewed on a case by case basis. For oil on wood panel
paintings, the Federal Council expects detailed answers to Question 5(c). Oil on single
wood panels larger than two feet by three feet will not be indemnified. The Federal
Council may determine that objects be moved to the list of non-indemnified objects.
(d) Lender: Full name, city, state, country of location or residence of the legal lender. .
Private lenders must be identified by name, city, state, and country of residence, even if
represented by an agent on their behalf. Objects owned by a curator associated with this
exhibition must be listed under Question 14 “Identification of Non-Indemnified Objects.”
(e) Lender Value and Third Party Opinion: provide U.S. dollar value for each object
(indemnity claims are paid only in U.S. dollars). For reference you may include the
lender's currency if not U.S. dollars. Convert foreign currency values into U.S. dollars.
Reasonable currency fluctuations anticipated to occur during the indemnity time period
should be reflected and justified in the valuations. The list of objects and valuations is
included in the Certificate of Indemnity and will be the basis to determine the amount of

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a claim payment. Include 1) lender value (rounded to the nearest full U.S. dollar); and 2)
third party opinion on the lender value (see (11) above).
(f) Sources of Valuation: Include 1) name and title (i.e. lender, curator) of the individual
originating the valuation and 2) name and title of the third party providing the opinion of
the valuation.
13. Identification and U.S. $ Value of United States-Owned Objects Requested for
Indemnity
Using the instructions for Question 12, provide a separate numbered list of all United Statesowned objects for which indemnity is requested.
Note: Objects owned by the applicant or participating institutions may not be indemnified
while on exhibition at that lender’s premises. Such objects may be included in Question 13
for coverage while in transit (starting with condition reports) and/or while on exhibition at
other participating institutions.
14. Identification of Objects Not Requested for Indemnity
This information is necessary for the Federal Council to determine the educational, cultural,
historical, or scientific value of the exhibition as a whole. Using the formatting instructions for
Question 12, provide a separate list, beginning with number one, of all objects to be
included in the exhibition for which indemnity is not requested. For (d) Lender: if a private
lender does not wish to be identified, indicate "private lender." For (e) OPTIONAL: U.S.
Dollar Valuation: applicants are strongly encouraged to provide U.S. dollar values for
objects. This information is reviewed to help confirm values given in Questions 12 and 13.
Applicants who do not furnish U.S. dollar values for non-indemnified objects may be
requested to do so.

Submit Your Electronic Application
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 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

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you are applying. 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 to 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 Password
to receive your Agency Tracking Number (this will be the Arts Endowment-assigned
application number).
You cannot make any revisions to your application through Grants.gov once it is
submitted. After the application is submitted, you must inform the Indemnity
Administrator directly of any changes.

Application Material to be Submitted by Mail
In addition to the material that you submit through Grants.gov, you must send the following
original items to the Arts Endowment. Your application package will not be considered complete
without them:
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 name as it appears on your electronic application
(not your popular name). Be sure that this is the first item in your mailed material.

2.

One set of photographs or color photocopies of each object for which indemnity is
requested. Clearly label and number the visuals to correspond to the numbers used
in the lists for Questions 12 and 13. When providing plastic sleeves, please use one
sleeve per image.

3.

A CD of twelve images (one object per image) in JPEG file format (slides are not
accepted) that show highlights of the exhibition. Preference is that all images
represent indemnified objects, however, one or two non-indemnified objects may be
included if they are integral to the exhibition. Attach a brief script to the disc, with the
artist, title, and corresponding number used in Questions 12 and 13. Within this
script, provide up to three succinct sentences describing each object, such as,
its importance in the artist’s oeuvre, its importance to the exhibition, etc. IDEALLY
THE ORDER OF THE IMAGES ON THE CD SHOULD ILLUSTRATE THE
SIGNIFICANCE OF THE EXHIBITION.
Digital images on CD:
•

Must be in JPEG format. Do not submit TIFFs, PDFs, Word, or Access files, or
other non-JPEG formats.

15

•
•
•

Must not exceed 2 MB per image.
Should have a maximum image size of 800 pixels x 600 pixels.
CD must be in MS Windows readable format.

All images should be of the highest quality and clarity possible, showing the objects to
be indemnified to their best advantage as part of the application review. Preview your
samples before submission to ensure there are no technical problems to interfere with their
review. The Arts Endowment may copy or digitally convert images to facilitate review. By
submitting these images, you give the Arts Endowment permission for reproduction and
dissemination for this purpose.
Mailed material must be postmarked (or show other proof of mailing) no later than October 2,
2013 (for the October 1, 2013 deadline). Address your package to the Indemnity Administrator:,
Patricia Loiko
Indemnity Administrator
National Endowment for the Arts
1100 Pennsylvania Avenue, NW
Room 729
Washington, DC 20506
Include on your package a complete return address with your organizations' legal name as it
appears on your electronic application (not your popular name). If the delivery service you
utilize requires a telephone number for the recipient on the label, use 202-682-5541.
The Arts Endowment has experienced delays in the delivery of First-Class mail. In addition,
First-Class and Priority mail we receive may be subjected to an irradiation process. Support
materials (CDs, photographs) put through this process may be severely damaged. Consider
using a commercial delivery service, particularly if you are sending time-sensitive material.
Visual material will be returned after the end of the indemnity period only upon request.
(a) Indicate if you would like your visual materials returned to you.

+++++++++++++++++++++++++++++Reporting Burden+++++++++++++++++++++++++++++
The public reporting burden for the collection of information is estimated to average 45 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 Federal Council on the Arts and the Humanities welcomes any suggestions
that you might have on improving the instructions 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 Patricia Loiko, at the address
above. Note: applicants are not required to respond to the collection of information unless it
displays a currently valid Office of Management and Budget (OMB) control number.

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