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Research Awards
Research Awards
The National Endowment for the Arts invites applicants to engage with the agency’s five-year
research agenda through two funding opportunities for research projects:
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Research Grants in the Arts funds research that investigates the value and/or impact of
the arts, either as individual components of the U.S. arts ecology or as they interact with
each other and/or with other domains of American life. Matching/cost share grants of
$10,000 to $100,000 will be awarded.
•
NEA Research Labs funds transdisciplinary research teams grounded in the social and
behavioral sciences, yielding empirical insights about the arts for the benefit of arts and
non-arts sectors alike. Matching/cost share cooperative agreements of up to $150,000 will
be awarded.
Research Grants in the Arts offers grants, and NEA Research Labs offers cooperative
agreements. The difference between grants and cooperative agreements is the Arts Endowment’s
involvement. The Arts Endowment is substantially involved with cooperative agreements.
Therefore, the Arts Endowment will be substantially involved in the direction and
accomplishments of NEA Research Labs.
Deadlines:
Part 1 - Submit to Grants.gov
March 30, 2020
Prepare application material so that it’s ready to upload when the Applicant Portal opens
Part 2 - Submit to Applicant Portal
April 2-9, 2020
Earliest Announcement of Award or Rejection
November 2020
Earliest Beginning Date for National Endowment for
the Arts Period of Performance
Research Grants in the Arts:
January 1, 2021
NEA Research Labs: March
1, 2021
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TO APPLY
Application Calendar
Program Description: Research Grants in the Arts
Award Information
Applicant Eligibility
Application Review
Program Description: NEA Research Labs
Award Information
Applicant Eligibility
Application Review
How to Apply
How to Prepare and Submit an Application
Part 1: Submit to Grants.gov
Part 2: Submit to Applicant Portal
RGA: Prepare Application Material (PDF)
Labs: Prepare Application Material (PDF)
Other Requirements and Priorities
Award Administration
Contacts: [email protected]
Other Information
FAQs
APPLICANT RESOURCES
Online Tutorial: Using the Grant Application Form (GAF)
Sample Application Narratives
Research Grants in the Arts Study Findings
Publicly Available Data Sources
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Research Awards
RESEARCH AWARDS: Application
Calendar
Part 1 - Submit to Grants.gov
March 30, 2020
Prepare application material so that it’s ready to upload when the Applicant Portal opens
Part 2 - Submit to Applicant Portal
April 2-9, 2020
Earliest Announcement of Award or Rejection
November 2020
Earliest Beginning Date for National Endowment for
the Arts Period of Performance
Research Grants in the Arts:
January 1, 2021
NEA Research Labs: March
1, 2021
To allow time to resolve any problems you might encounter, we strongly recommend that
you register/renew your Grants.gov/SAM registration by at least March 9, 2020 and submit
to Grants.gov by at least March 20, 2020.
Late, ineligible, and incomplete applications will not be reviewed.
In the event of a major emergency (e.g., a hurricane or Grants.gov technological failure), the
National Endowment for the Arts Chairman may adjust application deadlines for affected
applicants. If a deadline is extended for any reason, an announcement will be posted on our
website.
Please do not seek information on the status of your application before the announcement date
that is listed above.
If you have questions:
Email: [email protected]
202-682-5496 Voice/T.T.Y. (Text-Telephone, a device for individuals who are deaf or
hard-of-hearing.)
Individuals who do not use conventional print should contact the Office of Accessibility at
202-682-5532 for help in acquiring an audio recording of these guidelines.
OMB No. 3135-0112 Expires TBD
CFDA No. 45.024
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Research Awards
January 2020
RESEARCH GRANTS IN THE ARTS:
Program Description
Part 1 - Submit to Grants.gov
March 30, 2020
Prepare application material so that it’s ready to upload when the Applicant Portal opens
Part 2 - Submit to Applicant Portal
April 2-9, 2020
Earliest Announcement of Award or Rejection
November 2020
Earliest Beginning Date for National Endowment for
the Arts Period of Performance
Research Grants in the Arts:
January 1, 2021
NEA Research Labs: March
1, 2021
To allow time to resolve any problems you might encounter, we strongly recommend that
you register/renew your Grants.gov/SAM registration by at least March 9, 2020 and submit
to Grants.gov by at least March 20, 2020.
Research Grants in the Arts support research that investigates the value and/or impact of the arts,
either as individual components of the U.S. arts ecology or as they interact with each other
and/or with other domains of American life.
Research Grants in the Arts provides an opportunity to engage with the National Endowment for
the Arts’ five-year agenda for 2017-2021. The research agenda offers guidance on the types of
study questions and topics that to appeal to the agency’s long-term research goals.
We are interested in research that identifies and examines:
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Factors that enhance or inhibit arts participation or arts/cultural assets;
Detailed characteristics of arts participation or arts/cultural assets, and their
interrelationships;
Individual-level outcomes of arts participation, specifically outcomes corresponding with the
following domains:
o social and emotional well-being
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creativity, cognition, and learning
o physiological processes of health and healing; and
Societal or community-level outcomes of arts/cultural assets, specifically outcomes
corresponding with the following domains:
o civic and corporate innovation
o attraction for neighborhoods and businesses
o national and/or state-level economic growth
o
•
The National Endowment for the Arts is committed to diversity, equity, inclusion, and fostering
mutual respect for the diverse beliefs and values of all individuals and groups.
Projects
Projects may include, but are not limited to:
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Primary and/or secondary data analyses.
Economic impact studies.
Organizational research.
Psychological and physical health-related or therapeutic studies that take place in clinical
or non-clinical settings.
Education studies in a variety of contexts (e.g., classrooms, informal venues, distance
learning, or home-school environments).
Dosage studies.
Third-party evaluations of an arts program's effectiveness and impact, such as applied
evaluation studies/analyses that measure the impact or effectiveness of an organization’s
arts program or project.
Comparison studies of arts interventions.
Statistically-driven meta-analyses of existing research that can yield a fresh
understanding of the value and/or impact of the arts.
Translational research that moves scientific evidence toward the development, testing,
and standardization of new arts-related programs, practices, models, or tools that can be
used easily by other practitioners and researchers.
Research methodologies may include analyses that use primary and/or secondary data, and
quasi-experimental or experimental designs.
Primary data collection projects must include:
• Data analysis. We do not fund projects that focus exclusively on data acquisition.
• Plans to ensure fidelity of the data collection and program/therapy implementation
through routine monitoring and oversight.
Experiment and Quasi-Experimental Projects
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For projects that explore the causal links between the arts and individual or community
outcomes, experimental approaches such as randomized controlled trials are generally preferred.
When experimental approaches are not feasible, then high-quality, quasi-experimental design
studies offer an attractive alternative.
Information on experimental and quasi-experimental design studies can be found in a number of
federal resources, such as the U.S. Department of Education's What Works Clearinghouse's
Handbook and the Clearinghouse for Labor Evaluation and Research's Causal Evidence
Guidelines.
We are especially interested in projects that use experimental/quasi-experimental design methods
that include at least one arts-based intervention group and at least one non-arts-based
control/comparison group.
Below are examples of arts-based intervention groups and non-arts-based control/comparison
groups:
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A painting group compared to a no-intervention group or to a social interaction group.
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A music group compared to a soccer group.
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A fiction reading group versus a non-fiction reading group versus a no-reading group.
The following examples are groups that are arts-based only, and will not be prioritized for
funding:
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A visual arts group compared to a theater arts group.
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An active music engagement group, such as a singing group or an instrument-playing group,
versus a music appreciation or music-listening group.
Data Sources and Samples
Applicants may propose projects that focus on quantitative, qualitative, and/or mixed-method
approaches using data gleaned from primary or secondary sources. These may include but are
not limited to, surveys, censuses, biological or medical experiments, observations, interviews,
focus groups, social media, administrative data, and transactional/financial data. Other examples
of data sources include archived materials such as written documents, audio/video recordings, or
photographs and images.
We welcome the use of data in both the public and private domain, including commercial and/or
administrative data sources. For a partial list of publicly available datasets that include artsrelated variables, click here. Some of these datasets are also available through the Arts
Endowment’s public data repository: the National Archive of Data on Arts & Culture
(NADAC).
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Recommended Partnerships
We are committed to supporting research teams that demonstrate interdisciplinary partnerships
between arts practitioners and researchers/evaluators. Although not required, applicants are
strongly encouraged to include project teams of arts practitioners and researchers/evaluators. If
applicants do not already have research staff in their organization, then they are encouraged to
form collaborations with other organizations, entities, or individuals who will be able to support
the technical requirements of the research project.
Award Information
We anticipate awarding 10 to 15 grants, based on the availability of funding.
Grants will range from $10,000 to $100,000. Award amounts will be based on the level of
artistic excellence and merit demonstrated in the proposal, as outlined in the Review Criteria.
Although most awards will be between $10,000 and $30,000, higher amounts will be awarded to
experimental or quasi-experimental projects that include at least one arts-based intervention
group and at least one non-arts-based control/comparison group. Higher amounts also will be
awarded for applied evaluation studies/analyses that measure the impact or effectiveness of an
organization’s arts program or project, and that have potential for high utility to arts
practitioners, policy-makers, or the general public.
Our grants cannot exceed 50% of the total cost of the project. All grants require a nonfederal cost
share/match of at least 1 to 1. These cost share/matching funds may be all cash or a combination
of cash and in-kind contributions, and can include federally-negotiated indirect costs. You may
include in your Project Budget cost share/matching funds that are proposed but not yet
committed at the time of the application deadline.
In developing an application, we urge all applicants to consider the level of recent awards and to
request a realistic grant amount. Applicants should review the lists of grants on our website to
see recent grant award levels and project types.
Applicants whose grants are recommended for less than the requested amount will have the
opportunity to revise the project budget to reflect any necessary changes to the project, based on
the recommended funding amount.
We reserve the right to limit our support of a project to a particular phase(s) or cost(s). All costs
included in your Project Budget must be expended during your period of performance. Costs
associated with other federal funds, whether direct or indirect (e.g., flow down through a state
arts agency), can't be included in your Project Budget. No pre-award costs are allowable in the
Project Budget. Costs incurred before the earliest project start date of January 1, 2021,
can't be included in your budget or cost share/match.
We expect our awards portfolio to be diverse in terms of research focus area, research design,
and geographical distribution.
All applications submitted and grants made in response to these guidelines are subject to the
National Endowment for the Arts' grant regulations and terms and conditions.
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Period of Performance
Our support of a project may start on or after January 1, 2021. Grants generally may cover a
period of performance of up to two years, with an exception for projects that include primary
data collection as part of the proposed activity. Projects that include primary data collection may
request up to three years. Projects that extend beyond one year will be required to submit an
annual progress report, and must include updated human ethics training and Institutional Review
Board (IRB) materials as necessary.
A grantee may not receive more than one National Endowment for the Arts grant for the same
project during the same period of performance.
Applicant Eligibility
Official applicant organizations must be nonprofit, tax-exempt 501(c)(3), U.S. organizations;
units of state or local government; or federally recognized tribal communities or tribes. This may
include, but is not limited to, colleges and universities.
For projects that involve multiple organizations, one organization that meets the eligibility
requirements below must act as the official applicant, submit the application, and assume full
responsibility for the grant. Partnering organizations are not required to meet the same eligibility
requirements as the official applicant organization.
To be eligible, the official applicant organization must:
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Meet the National Endowment for the Arts' "Legal Requirements," including nonprofit, taxexempt status at the time of application. (All organizations must apply directly on their own
behalf. Applications through a fiscal sponsor/agent are not allowed. See more information
on fiscal sponsors/agents.)
Have three consecutive years of operating history prior to the application deadline.
Have submitted acceptable Final Report packages by the due date(s) for all National
Endowment for the Arts award(s) previously received.
All applicants must have a DUNS number (www.dnb.com) and be registered with the System
for Award Management (SAM, www.sam.gov) and maintain an active SAM registration until
the application process is complete, and should a grant be made, throughout the life of the award.
The following are not eligible to apply as the official applicant organization:
• The designated fifty state and six jurisdictional arts agencies (SAAs) and their regional arts
organizations (RAOs). SAAs and RAOs may serve as partners in projects. However, they
may not receive National Endowment for the Arts funds (except as provided through their
designated grant programs), and SAA/RAO costs may not be included as part of the required
cost share/match. SAAs and RAOs are eligible to apply through the Partnership Agreements
guidelines.
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An organization whose primary purpose is to channel resources (financial, human, or other)
to an affiliated organization if the affiliated organization submits its own application. This
prohibition applies even if each organization has its own 501(c)(3) status. For example, the
"Friends of ABC Museum" may not apply if the ABC Museum applies.
Ineligible applications will not be reviewed.
Competition for Research Grants in the Arts is extremely rigorous. It is expected that an
applicant selected to receive an award will complete the research project. We will not transfer the
award to another organization.
Application Limits
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An organization may submit more than one application under these Research Grants in the
Arts guidelines. In each case, the request must be for a distinctly different project.
However, an organization will not receive more than one Research Grants in the Arts award
in any given cycle.
You may apply to other National Endowment for the Arts funding opportunities, including
NEA Research Labs, in addition to Grants in the Arts. In each case, the request must be for
a distinctly different project.
Application Review
Review Criteria
Applications will be reviewed on the basis of agency-wide criteria of artistic excellence and
artistic merit.
The following are considered during the review of applications:
Artistic Excellence of the Project:
• Is the research plan clear? This includes the conceptual framework, research design,
sampling techniques, and/or data sources, and the proposed analytical methods, in addition to
the relationship of these elements to the proposed research questions.
• Is there an evidence base for the research plan? This includes evidence that the research
plan is informed by a literature review and/or citations of previous work or research (either
published or unpublished) that support the conceptual framework and proposed research
approach.
• Is there novelty within the research plan? This includes evidence that the project has a
high likelihood to add significant new knowledge to the field of arts-related research. This
may include evidence that the study design, methods, and/or data sources have high potential
to spur innovations in the field of arts-related research.
• Are the organization, its partners, and project personnel qualified to execute the
research plan? This includes credentials and past accomplishments in conducting research
of the type proposed. As appropriate, this also includes active personnel ethics training in
human research, and the project’s IRB plans and/or status.
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Artistic Merit of the Project:
• Does the project have a potential to elevate the public profile of arts-related research in
at least one of the following ways:
o Create novel partnerships, with potential for different fields or sectors to contribute to and
benefit from arts-related research.
o Heighten the relevance and significance of arts-related research to policy and practice,
suggesting high potential for generalizability of findings, even for discrete populations or
practitioner groups.
• Does the project include effective strategies, including quality control measures, to
document progress and success during the period of performance? This includes any
milestones that the organization plans to achieve during the project as well as beyond the life
of the grant.
• Does the project include effective strategies to document and disseminate the project
results, products, and data? This includes distribution strategies to make the research
findings, products, and data accessible to the public and to other researchers and
practitioners, beyond the materials that would be posted to the National Endowment for the
Arts’ website. This also may include a record of past accomplishments in publishing or
distributing research results, and the data management plan, as appropriate.
• Have the organization and partners devoted adequate resources to execute this
particular project? This includes appropriateness of the budget, other resources, and the
degree of involvement by project personnel.
What Happens to Your Application
After processing by our staff, applications are reviewed, in closed session, by interdisciplinary
research and evaluation advisory panelists. Each panel comprises a diverse group of arts-research
experts and other individuals, including at least one knowledgeable layperson. Panels are
convened remotely. Panel membership changes regularly. The panel recommends the projects to
be supported, and the staff reconciles panel recommendations with the funds that are available.
These recommendations are forwarded to the National Council on the Arts, where they are
reviewed in open session.
The Council makes recommendations to the Chairman of the National Endowment for the Arts.
The Chairman reviews the recommendations for grants in all funding categories and makes the
final decision on all grant awards. Applicants are then notified of funding decisions. It is
anticipated that applicants will be notified of award or rejection in November 2020.
NOTE: All recommended applications undergo review to evaluate risk posed by the applicant
prior to making a federal award. This may include past performance on grants, meeting reporting
deadlines, compliance with terms and conditions, audit findings, etc.
After notification, applicants with questions may contact the staff. Any applicant whose request
has not been recommended may ask for an explanation of the basis for denial. In such
instances, the National Endowment for the Arts must be contacted no later than 30
calendar days after the official notification.
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NEA RESEARCH LABS: Program
Description
The National Endowment for the Arts’ five-year research agenda aims to build public knowledge
about the arts’ contributions to individuals and society. Through NEA Research Labs, we extend
this agenda and its impact by cultivating a series of transdisciplinary research partnerships,
grounded in the social and behavioral sciences, to produce and report empirical insights about
the arts for the benefit of arts and also for non-arts sectors such as healthcare, education, and
business or management. Institutions of higher education and/or nonprofit research and policy
organizations may submit applications to be NEA Research Labs.
NEA Research Labs will define their own related agendas, conduct project activities to
implement that agenda, and prepare reports that will contribute substantively to a wider
understanding of one of three areas of special interest to the Arts Endowment:
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The Arts, Health, and Social/Emotional Well-Being
o Therapeutic Approaches and Benefits
o Non-Therapeutic Approaches and Benefits
The Arts, Creativity, Cognition, and Learning
The Arts, Entrepreneurship, and Innovation
NEA Research Labs serve as “hubs” or centers of excellence in the domain of interest. Each
NEA Research Lab will develop a pipeline of projects or products, while conducting at least one
major study. In addition, NEA Research Labs also may be required to provide ad hoc analyses or
fulfill information requests from the Arts Endowment concerning the research agenda. Such
requests will not involve new data collection and will take place only during the Arts
Endowment’s period of performance.
Each NEA Research Lab must include these activities:
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Design and publish an evidence-based research agenda;
Plan and implement a keystone study, or a series of studies;
Produce at least one research report for each research study;
Provide ad hoc analyses or fulfill information requests concerning the NEA
Research Lab’s research agenda; and
5. Disseminate study findings, research products, data, tools, or services to other
researchers, arts practitioners, and the general public
Competitive applications will, as appropriate:
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Demonstrate the capacity to design and implement a series of studies based on theorydriven research questions and methodologies that will yield important information about
the impact of the arts within the selected topic area.
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Take into account any extant research that serves as a basis for a theoretical framework
and helps to motivate the proposed studies.
Propose novel and promising research approaches, such as rigorous analyses of
organizational or social networks, and/or social media data, and statistically driven metaanalyses.
Involve translational research that moves scientific evidence toward the development,
testing, and standardization of new arts-related projects, models, tools, or techniques that
can be used easily by other practitioners and researchers.
Research methodologies may include approaches such as quasi-experimental or experimental
designs, or analyses that use primary and/or secondary data. We welcome use of data in either
the public or private domain, including commercial and/or administrative data sources. For a list
of publicly available datasets that include arts-related variables, click here.
NEA Research Lab awards will be made as cooperative agreements. The Arts Endowment uses
two types of awards to fund project activities: cooperative agreements and grants. A cooperative
agreement is different from a grant in that the Arts Endowment is substantially involved with a
cooperative agreement. Therefore, the Arts Endowment will be substantially involved in the
direction and accomplishments of NEA Research Labs.
The National Endowment for the Arts is committed to diversity, equity, inclusion, and fostering
mutual respect for the diverse beliefs and values of all individuals and groups.
Required Partnership
We aim to make arts-relevant research a shared endeavor (with shared benefits) for academic
researchers, arts practitioners, and policy-makers. As such, NEA Research Labs require a
confirmed partnership between the official applicant organization and a nonprofit arts
organization at the time of application.
Applicants are also strongly encouraged to partner with other non-arts or arts organizations (forprofit or nonprofit entities) with expertise in the proposed research topic area. We welcome
organizations from sectors such as health, business, and science, and educational entities such as
school districts or individual schools.
Responsibilities of a NEA Research Lab
Each NEA Research Lab will work with the Arts Endowment Project Director, and through the
Arts Endowment Project Director with other agency staff as appropriate, on all aspects of the
project. The Arts Endowment’s Project Director will be the Director of Research & Analysis or a
designated official within the Office of Research & Analysis. The NEA Research Lab will
consult with, and will secure the approval of, the Arts Endowment Project Director in carrying
out the responsibilities below.
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Each NEA Research Lab will design and execute:
Research Agenda, Keystone Study, and Related Projects
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Develop a multiyear research agenda to be completed within the period of performance.
The research agenda may include, but need not be limited to: key research questions,
including an evidence-based rationale and/or hypothesis for each question; research
designs, methods, and personnel that will be used to answer the questions; project
schedules; a list of products that will result; and an annotated references list. The final
research agenda should show alignment with the Arts Endowment’s own research
agenda.
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Plan and conduct a keystone research study, or series of studies, in one of the three topic
areas below. At least two of the questions within the proposed topic area below must be
addressed.
- The Arts, Health, and Social/Emotional Well-Being
a. Therapeutic Approaches and Benefits
− What changes in physical or mental health outcomes are experienced by subjects
receiving creative arts therapies to treat one or more diseases, disorders, or health
conditions?
− What is the physiological or psychological mechanism of action for a creative arts
therapy in treating a disease or disorder or in improving symptoms for a chronic
disease, disorder, or health condition?
− What are the comparative therapeutic benefits of creative arts therapies relative to
each other or to non-arts-based interventions?
− What is the comparative cost-effectiveness of a creative arts therapy and one or
more non-arts-based interventions?
− How does dosage (i.e., frequency, duration, or intensity) of a creative arts therapy
relate to individual or program-level outcomes?
− How does creative arts therapy benefit caregivers or family members?
“Creative arts therapy” refers to a gamut of arts-based therapies including visual
art therapy, music therapy, dance/movement therapy, drama therapy, and poetry
therapy, and the use of trained and credentialed arts therapists to
deliver/implement therapy. For projects investigating creative arts therapies, we
especially welcome proposals involving one or more of the following study
populations: individuals with cancer, neurodegenerative diseases, substance use
disorders, developmental disabilities, traumatic brain injury, post-traumatic stress,
and other health conditions. Families or caregivers of these individuals may be
among the populations studied.
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b. Non-Therapeutic Approaches and Benefits
− What are the social, emotional, physical, and/or physiological health benefits of
the arts for individuals, groups, or societies?
− What physiological or psychological mechanisms or group dynamics are at work
in achieving those benefits or related outcomes?
− What kinds of art forms are invoked in these relationships, and at what levels of
participation?
− How do these benefits or related outcomes vary by age, socioeconomic
characteristics, other demographic and behavioral patterns, and/or by health or
disability status?
− How do these benefits and related outcomes compare with those achieved by
other health and wellness strategies or interventions?
- The Arts, Creativity, Cognition, and Learning
− What is the relationship between one or more forms of arts participation and other
forms of creativity?
− What are the cognitive and/or social processes of arts-based creativity, and how
do they affect learning-related outcomes?
− How do learning-related outcomes associated with arts participation vary by age,
socioeconomic characteristics, other demographic and behavioral patterns, and/or
by health or disability status?
− How do these benefits and related outcomes compare with those achieved by nonarts approaches to learning (e.g., non-arts extracurricular programs; non-arts
integrated curricula)?
− What are the most effective neurocognitive tests and technologies to measure
those outcomes?
− What are the benefits and related outcomes for specific approaches to arts
learning in formal or informal settings?
- The Arts, Entrepreneurship, and Innovation
− How do entrepreneurship and innovation reveal themselves differently in the arts
relative to other sectors? What about similarly?
− What is the link between artists (including designers) and broad societal
innovation, particularly with regard to economic and job growth?
− How does the nonprofit arts sector contribute directly to innovation in commercial
settings, within or outside the arts?
− What role do arts and cultural assets play in promoting civic and/or corporate
innovation in a community?
− What individual, organizational, or regional characteristics can positively affect
the arts’ relationship to entrepreneurship and innovation?
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− In which industries, sectors, or geographic areas is arts-driven innovation visible
and measurable?
− How do nonprofit and for-profit organizations; federal, state, and local
governments; and/or fiscal sponsorships affect how artists and/or arts
organizations function and innovate?
− How do the benefits and related outcomes of arts-based entrepreneurship and
innovation compare with those achieved by non-arts approaches?
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Produce at least one research report that documents the methods and findings of each
research study.
Products and Services
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Develop a public website housed with the NEA Research Lab, specifically about the
NEA Research Lab. This website will have additional materials beyond what is included
on the website hosted by the Arts Endowment. All website content must be approved by
the Arts Endowment Project Director. The NEA Research Labs visual identifier should
be included in a prominent area of the website, and the NEA Research Lab funding
source should be clearly acknowledged.
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Disseminate quarterly research reports or other products, tools or services, data, or
communications (e.g., literature reviews, research or policy briefs, white papers, blog
posts, podcasts, webinars, and technical guides) to researchers, arts practitioners, and the
general public.
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Prepare and deliver at least two presentations per year, one to a community of researchers
and the other to a community of arts practitioners.
Administration
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Work with the Arts Endowment Project Director to refine the details and schedule of all
project components.
− Submit, revise, and refine a research agenda within six months of award receipt;
submit the research study report(s) and conduct the needs briefing six months
before the conclusion of the period of performance.
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Provide the Arts Endowment Project Director with NEA Research Lab activity updates,
in a mutually agreed upon format and schedule.
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Respond in a timely manner to ad hoc requests from the Arts Endowment for analyses or
information concerning the research agenda being pursued at the NEA Research Lab.
Such requests will not involve new data collection.
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Through discussions with the Arts Endowment’s Office of Public Affairs (OPA),
facilitated by the Arts Endowment Project Director, produce all reports in a format and
style compatible for dissemination through the agency's website and other online
platforms.
− All public communications, materials, presentations, and press releases, as well as
speaking engagements, contacts with press, and publications, must be approved
by the Arts Endowment Project Director in consultation with the OPA.
− In any and all written and oral communications, the NEA Research Lab and the
Arts Endowment will credit project activities as such: “The NEA Research Lab is
a project of the National Endowment for the Arts in cooperation with [NEA
Research Lab Name].” Include appropriate disclaimers, depending on the nature
of the product. To the extent possible, include the NEA Research Labs visual
identifier in all materials.
•
Establish and support a technical working group, including representatives from partner
organizations and other experts in your field or a related field, to offer feedback to the
NEA Research Lab on key project deliverables to the NEA Research Lab. The technical
working group will periodically review the activities conducted under this agreement and
report back to the NEA Research Lab.
•
Participate in transdisciplinary NEA Research Lab meetings that include multiple Labs
awarded under the NEA Research Labs program. This will include a tele-web conference
every six months. The Arts Endowment will organize and schedule these meetings.
− As part of, or in addition to, these transdisciplinary Lab meetings, one meeting per
year may be in person. Cost for travel for these meetings will be covered by the
Arts Endowment using funding outside this cooperative agreement, pending
availability of funds.
•
Secure approval from the Arts Endowment Project Director of any staff, consultants,
contractors, technical working group members, or partner organizations that will be
working on project activities, before these entities are engaged.
•
Maintain regularly updated, detailed, and accurate records of all activities carried out
under the cooperative agreement to date, including a work and data management plan.
Provide monthly research work and data management updates, and quarterly project
activity updates to the Arts Endowment Project Director, and any other project
information requested by the Arts Endowment in a timely manner.
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•
Follow the NEA Research Lab 's approved written procurement policies if consultants or
vendors are selected by the NEA Research Lab as part of the project activities. In
addition, the NEA Research Lab should be aware of and comply with all requirements of
the Uniform Guidance procurement standards described in 2 CFR 200.318. Consultants
or vendors engaged by the NEA Research Lab as part of this project will be required to
agree that any information gathered will be used only for the purposes described in the
cooperative agreement. The NEA Research Lab will coordinate and make payment for all
travel arrangements of consultants or vendors selected by the NEA Research Lab as part
of this project.
•
Obtain any necessary intellectual property rights, permissions, consents, licenses, and
releases as appropriate to the project activities (the “Rights”), and provide to the Arts
Endowment Project Director. The Rights may include, but are not limited to, approval
from Institutional Review Boards (IRBs), and/or data licensing for the acquisition of
existing data, as may be required (see Responsible Conduct of Research section below).
If relevant, the Arts Endowment Project Director will coordinate discussions or meetings
between the NEA Research Lab and the Arts Endowment Office of General Counsel to
ensure that the rights secured meet the Arts Endowment’s needs. The Arts Endowment
reserves the right, in its sole discretion, to determine whether the Rights provided are
satisfactory to it. The NEA Research Lab accepts sole responsibility, and will defend,
indemnify and hold harmless the Arts Endowment from, any liability arising from
deficient Rights and/or the NEA Research Lab’s warrants or statements about the Rights.
•
No later than 90 days after the completion or termination of the cooperative agreement,
submit, through the NEA Research Lab’s Arts Endowment REACH account, a Final
Descriptive Report (FDR) and a Federal Financial Report (FFR), Standard Form 425. The
FDR must include recommendations for the future.
Responsibilities of the Arts Endowment Project Director
The Arts Endowment Project Director will:
•
Work with the NEA Research Lab, along with designated Arts Endowment staff, to
refine the details and schedule of all project components, serving as liaison between the
NEA Research Lab and any other Arts Endowment staff (e.g., Offices of General
Counsel, Public Affairs, etc.) that might be involved in this NEA Research Lab.
•
Make recommendations on, review, and/or approve, as relevant:
− Project staff, consultants, contractors, and technical working group members to
carry out all aspects of the project.
− Evidence-based research agenda.
− Project summary report for the Arts Endowment’s website.
− Research study report(s) and briefs.
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− Briefing on future research-infrastructure needs.
− All public communications (overall strategy, resource materials, press releases,
presentations, as well as speaking engagements, contacts with press, and
publications). Review and approval of all communications will be in conjunction
with the Arts Endowment’s Office of Public Affairs.
− Research work/data management reports and quarterly project activity reports
from the NEA Research Lab.
•
Facilitate discussions between the NEA Research Lab and the Arts Endowment’s Office
of Public Affairs to ensure that research reports, research data, and project resource
materials are in a format and style ready for public dissemination and use by ORA.
•
Provide crediting requirements to the NEA Research Lab.
Award Information
Based on the availability of funding, cooperative agreements of up to $150,000 will be awarded.
The Arts Endowment’s legislation and policies generally require that each cooperative
agreement includes a nonfederal match/cost share of at least 1 to 1. At its discretion, the Arts
Endowment may choose to negotiate a lesser match/cost share rate at the time of the award.
Matching/cost share funds cannot include funds from any federal sources, including the Arts
Endowment.
Applicants whose projects are recommended will work with the Arts Endowment to develop and
agree to the specific plans, schedules, activities, and terms for the cooperative agreement before
it is finalized. This will include the opportunity to revise the project budget to reflect any
necessary changes to the project, based on the recommended funding amount.
We reserve the right to limit our support of a project to a particular phase(s) or cost(s). All costs
included in your Project Budget must be expended during your period of performance. Costs
associated with other federal funds, whether direct or indirect (e.g., flow down through a state
arts agency), can't be included in your Project Budget. No pre-award costs are allowable in the
Project Budget. Costs incurred before the earliest project start date of March 1, 2021, can't
be included in your budget or cost share/match.
All applications submitted and cooperative agreements made in response to these guidelines are
subject to the National Endowment for the Arts' cooperative agreement regulations and terms
and conditions.
Period of Performance
Our support of a project may start on or after March 1, 2021. The period of performance is a
minimum of 12 months and a maximum of 24 months. Applicants whose projects are
recommended will work with the Arts Endowment to develop and agree to the specific plans,
schedules, activities, and terms for the cooperative agreement before it is finalized
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An awardee may not receive more than one National Endowment for the Arts award for the same
project during the same period of performance.
Subsequent Awards
The Arts Endowment may enter into up to four subsequent awards with the recipient of a NEA
Research Lab cooperative agreement for a project consistent with the intent of the program. At
its discretion, the Arts Endowment may choose to issue subsequent awards as grants and not
cooperative agreements. Any such future awards, however, would be subject to agency priorities,
the availability of funds, awardee performance, and the agency’s regular review process.
Applicant Eligibility
The official applicant must be an organization with research and policy as a principal focus for
its core components, either as the primary work or as part of a transdisciplinary mission. Eligible
official applicants are:
•
•
U.S. institutions of higher education, or
Nonprofit, tax-exempt 501(c)(3), U.S. organizations with a three-year history of
commissioning and conducting research in the behavioral or social sciences, and
communicating research findings and policy implications through reports and/or
convenings, at the time of application.
NEA Research Labs require a partnership that involves multiple organizations. One organization
that meets the eligibility requirements below must act as the official applicant, submit the
application, and assume full responsibility for the cooperative agreement. Partnering
organizations are not required to meet the same eligibility requirements as the official applicant
organization.
To be eligible, the applicant organization must:
•
Meet the Arts Endowment’s "Legal Requirements" at the time of application. (All
organizations must apply directly on their own behalf. Applications through a fiscal
sponsor/agent are not allowed. See more information on fiscal sponsors/agents.)
•
Have submitted acceptable Final Report packages by the due date(s) for all Arts Endowment
award(s) previously received.
All applicants must have a DUNS number (www.dnb.com) and be registered with the System
for Award Management (SAM, www.sam.gov) and maintain an active SAM registration until
the application process is complete, and should an award be made, throughout the life of the
award.
The following are not eligible to apply as the official applicant organization:
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•
Organizations that served as the official applicant for any previous NEA Research Labs
award in any topic area. For a listing of previously awarded NEA Research Labs, see the
NEA Research Labs webpage.
•
Organizations whose primary purpose is to channel resources (financial, human, or other) to
an affiliated organization if the affiliated organization also submits its own application. This
prohibition applies even if each organization has its own 501(c)(3) status. For example, the
"Friends of ABC Organization" may not apply if the ABC Organization applies.
•
Organizations whose partnership organizations (see “Required Partnership” section, below)
are listed on more than one application for this opportunity. For example, two different
organizations may not both apply listing the same nonprofit arts partner. This prohibition
applies, as listed in the paragraph above, to organizations whose primary purpose is to
channel resources to an affiliated organization if the affiliated organization is also a partner
on another application.
Ineligible applications will not be reviewed.
Competition for NEA Research Labs is extremely rigorous. It is expected that an applicant
selected to receive a cooperative agreement will complete the proposed research project
activities. We will not transfer the award to another organization.
Application Limits
•
An organization may submit more than one application under these NEA Research Labs
guidelines. In each case, the request must be for a distinctly different project. However,
an organization will not receive more than one NEA Research Labs award in any topic
area. If more than one research team within an organization is interested in applying, we
encourage the teams to work together to submit one application on behalf of the
organization rather than separate applications.
•
You may apply to other National Endowment for the Arts funding opportunities,
including Research Grants in the Arts, in addition to NEA Research Labs. In each case,
the request must be for a distinctly different project.
Application Review
The following are considered during the review of applications:
The artistic excellence of the planned project activities, specifically the:
•
•
Clarity of the research agenda and project activities, including short- and long-term
project objectives. This includes the appropriateness of the research project/s for the NEA
Research Labs program.
Clarity of the proposed keystone research study, including the conceptual framework,
research design, and analytical methods to be used, and the relationship of these elements
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•
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to the proposed research questions. This includes, if relevant, the keystone study’s
Institutional Review Board plans and/or status.
Degree to which the mission and experience of the proposed research partners, or the
nature of the interdisciplinary collaboration, advance the purposes of the NEA Research
Lab program and the proposed keystone study.
Qualifications of the key project personnel, including active ethics training certificates as
appropriate, as well as the proposed technical working group.
Research qualifications of the applicant organization, including current or recent
activities in research and distribution of findings/results.
The artistic merit of the planned project activities, specifically the:
•
•
•
•
•
Potential of the project activities to yield empirical insights about the arts for the benefit
of arts and non-arts sectors alike.
Plans for creation and timely dissemination throughout the period of performance of
novel research reports or other products, tools or services, data, and communications for
the benefit of arts and non-arts sectors alike. This includes distribution strategies,
including novel and/or creative communication strategies, that make the research
findings, products, and data accessible to both the public and to other researchers and
practitioners.
Potential for raw- and/or meta-data to be shared with other researchers and the public, as
applicable.
Ability to carry out the project on time and within budget, including the reasonableness
of the budget.
The potential for a sustained research program beyond the period of performance.
What Happens to Your Application
After processing by our staff, applications are reviewed, in closed session, by interdisciplinary
research and evaluation advisory panelists. Each panel comprises a diverse group of arts-research
experts and other individuals, including at least one knowledgeable layperson. Panels are
convened remotely. Panel membership changes regularly. The panel recommends the projects to
be supported, and the staff reconciles panel recommendations with the funds that are available.
These recommendations are forwarded to the National Council on the Arts, where they are
reviewed in open session.
The Council makes recommendations to the Chairman of the National Endowment for the Arts.
The Chairman reviews the recommendations for grants in all funding categories and makes the
final decision on all grant awards. Applicants are then notified of funding decisions. It is
anticipated that applicants will be notified of award or rejection in November 2020.
NOTE: All recommended applications undergo review to evaluate risk posed by the applicant
prior to making a federal award. This may include past performance on grants, meeting reporting
deadlines, compliance with terms and conditions, audit findings, etc.
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ALL AWARDS: How to Prepare and Submit
an Application
These instructions provide all of the information that you need to submit an application.
Submitting an application is a multi-step process. You will interact with the Arts Endowment's
website, Grants.gov, and the Arts Endowment's Applicant Portal. We urge you to read these
instructions in their entirety before you begin the application process.
Part 1 - Submit to
Grants.gov
March 30, 2020 by 11:59 p.m., Eastern Time
Prepare application material so that it’s ready to upload when the Applicant Portal opens
Part 2 - Submit to
Applicant Portal
April 2, 2020 at 9:00 a.m., Eastern Time, to April 9, 2020
at 11:59 p.m., Eastern Time
1. Part 1 – Submit to Grants.gov:
o
The Application for Federal Domestic Assistance/Short Organizational Form
Prepare application material so that it’s ready to upload when the Applicant Portal opens
2. View the Grant Application Form (GAF) Tutorial:
Online Tutorial: Using the Grant Application Form
3. Part 2 – Submit to the Applicant Portal:
o
Fill out and submit the Grant Application Form and upload items to the Applicant
Portal.
4. Application updates after submission:
o
Send new information that significantly affects your application (such as changes in project
personnel, confirmed funding commitments, or IRB status) as soon as possible to the staff.
Remember to include your organization’s name and National Endowment for the Arts
application number.
If you have questions about your application, contact the staff
at [email protected]
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ALL AWARDS: Part 1: Submit to Grants.gov
Complete and submit the Application for Federal Domestic Assistance/Short Organizational Form to
Grants.gov
Register or renew/verify Grants.gov and SAM.gov registration | Go to the Grant
Opportunity Package | Fill out the Application for Federal Domestic Assistance/Short
Organizational Form | Submit your application to Grants.gov | Track Your Application
Part 1 - Submit to
Grants.gov
March 30, 2020 by 11:59 p.m., Eastern Time
Prepare application material so that it’s ready to upload when the Applicant Portal opens
Part 2 - Submit to
Applicant Portal
April 2, 2020 at 9:00 a.m., Eastern Time, to April 9, 2020
at 11:59 p.m., Eastern Time
Note: To allow time to resolve any problems you might encounter, we strongly recommend
that you register/renew your Grants.gov/SAM registration by at least March 9, 2020 and
submit to Grants.gov by at least March 20, 2020.
1. Register or renew/verify Grants.gov and SAM.gov registration:
•
•
•
•
•
•
Before submitting to Grants.gov, your organization must register or renew/verify its current
registration with both Grants.gov and the System for Award Management (SAM). Failure
to comply with these requirements may result in your inability to submit to Grants.gov.
Go to Grants.gov's Organization Registration to create a new organization registration.
Grants.gov Contact Center: Call 1-800-518-4726, e-mail [email protected], or consult
the information posted on the Grants.gov website at Support. The Grants.gov Contact Center
is available 24 hours a day, 7 days a week.
SAM Federal Service Desk: Call 1-866-606-8220 or see the information posted on the SAM
website at SAM User Help.
Registration can take several weeks. Exceptions to the deadline will be considered only for
those issues related to registration or renewal. Maintain documentation (with dates) of your
efforts to register or renew by at least March 9 with the Data Universal Numbering System
(DUNS), System for Award Management (SAM), or Grants.gov
In addition to these instructions, you should periodically check the Grants.gov blog or
the Grants.gov homepage for tips, updates, and alerts.
2. Go to the Grant Opportunity Package:
Access the Grant Opportunity Package with the Application for Federal Domestic
Assistance/Short Organizational Form on Grants.gov by clicking on the link for your
deadline:
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CLICK HERE TO GO TO THE GRANT OPPORTUNITY PACKAGE ON
GRANTS.GOV
Research Grants in the Arts [Funding Opportunity Number 2020NEA01ORAGRANTS]
CLICK HERE TO GO TO THE GRANT OPPORTUNITY PACKAGE ON
GRANTS.GOV
NEA Research Labs [Funding Opportunity Number 2020NEA01ORALABS]
When you go to Grants.gov through the link above, the Grants.gov “View Grant
Opportunity” screen will open. Choose “Apply” in the “Action” area. On the next screen,
choose “Apply” again. You will be prompted to enter your Grants.gov Username and
Password.
You will apply using a Grants.gov Workspace. To create a Workspace, look for the
“Application Filing Name” field above the “Create Workspace” button (you must be logged
in as the Authorized Organization Representative or AOR to be able to see this button and
create the Workspace). Enter the legal name of your organization, click the “Create
Workspace” button, and follow the screens from there. If you want to learn more about using
Grants.gov’s Workspace, see here.
Note that you will submit the substantial part of your application during Part 2.
3. Fill out the Application for Federal Domestic Assistance/Short Organizational Form:
NOTE: All asterisked (*) items and yellow fields on this form are required and must be
completed before you will be able to submit the form. Do not type in all capital letters when
completing the form. Enter information directly into the form. Do not copy from an old
Application for Federal Domestic Assistance/Short Organizational Form or another document
and paste into the form.
1. Name of Federal Agency: Pre-populated.
2. Catalog of Federal Domestic Assistance Number: Pre-populated.
3. Date Received: This will be filled automatically with the date that you submit your
application; leave blank.
4. Funding Opportunity Number: Pre-populated.
5. 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, or as a federally recognized tribal community or tribe. (Do not
use your organization's popular name, if different.)
b. Address:
Use Street 1 for your organization’s physical street address. This address should agree with the
address that you used with the SAM (System for Award Management). In addition, use Street 2
for your organization’s mailing address if it differs from the physical street address.
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In the Zip/Postal Code box, organizations in the United States should enter the full 9-digit 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/
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
worldwide. The number that you enter here must agree with the number (either 9 or 13
digits) that you used with the SAM (System for Award Management) as part of the
Grants.gov registration. Otherwise, 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: 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, go to www.house.gov and use the "Find Your Representative"
tool.
6. Project Information:
a. Project Title: Enter “N/A.” You will provide a project title in the Arts Endowment’s Applicant
Portal during Part 2 of the application process, not in Grants.gov. Anything you enter in
Grants.gov will not be used in the review of your application.
b. Project Description: Enter “N/A.” You will provide a project description in the Arts
Endowment’s Applicant Portal during Part 2 of the application process, not in Grants.gov.
Anything you enter in Grants.gov will not be used in the review of your application.
c. Proposed Project Start Date/End Date: Enter the beginning and ending dates for your
requested period of performance, i.e., the span of time necessary to plan, execute, and close out
your proposed project. The start date should be the first day of the month, and the end date
should be the last day of the month.
For Research Grants in the Arts applicants: Our support of a project may start on or after
January 1, 2021; A grant period should not exceed two years; for projects that include primary
data collection the grant period should not exceed three years.
For NEA Research Labs: Our support of a project may start on or after March 1, 2021. The
period of performance is a minimum of 12 months and a maximum of 24 months.
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Your budget should include only the activities and costs incurred during the requested period of
performance.
7. Project Director:
Provide the requested information for the Project Director. Select a Prefix (e.g., Ms., Mr.) even
though this is not a required field.
Provide contact information, including an e-mail address, that will be valid through the
announcement date for your category. Due to restrictions from the Department of Homeland
Security we are not able to send emails to alias addresses that forward to another email account.
Do not enter this type of email address.
This person should be the Principal Investigator who has the authority and responsibility for the
proper conduct of the research, including the appropriate use of federal funds. This individual
will have primary responsibility for communicating on the scientific and related budgetary
aspects of the project.
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 grant that may be awarded. For colleges
and universities, this person is often a Sponsored Research, Sponsored Programs, or Contracts
and Grants Officer. Select a Prefix even though this is not a required field. For the Telephone
number field, use the following format: 000-000-0000. Due to restrictions from the Department
of Homeland Security we are not able to send emails to alias addresses that forward to another
email account Do not enter this type of email address.
In some organizations, particularly smaller ones, this individual may be the same as the Project
Director. If this is the case, you may check the "Same as Project Director" box and not repeat
information that you have already provided in Item 7. (If the Primary 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.)
9. Authorized Representative:
Enter the requested information for the AOR (Authorized Organization Representative) who is
authorized to submit this application to Grants.gov. Select a Prefix even though this is not a
required field. Due to restrictions from the Department of Homeland Security we are not able to
send emails to alias addresses that forward to another email account. Do not enter this type of
email address.
The AOR must have the legal authority to obligate your organization (e. g., be a senior member
of the staff such as an Executive Director, Director of Development). See specific requirements
for who can serve as an AOR for colleges and universities. Contractors or administrative support
staff cannot serve as an AOR. By clicking the "I Agree" box at the top of Item 9, this individual
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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.
4. Submit your application to Grants.gov:
•
•
•
•
•
To begin the submission process, log on to Grants.gov and go to the Forms tab on the
Manage Workspace page. Click the “Sign and Submit” button, under the Forms tab.
Be certain that you are satisfied with your Application for Federal Domestic
Assistance/Short Organizational Form before you click this button. No revisions to
your form are possible through Grants.gov once it is submitted.
Once you complete and submit your application, you will see a confirmation screen
explaining that your submission is being processed. Retain the Grants.gov Tracking
Number that you receive in the application submission confirmation screen.
If you wait until the day of the deadline to submit your application, you are taking a
significant risk! We strongly suggest that you submit your application no later than
March 20 to give yourself ample time to resolve any problems you might encounter.
We will not accept late applications. The only exception is for a technological failure on
the part of Grants.gov, as determined by the National Endowment for the Arts. To be
considered for this exception, you must provide documentation of a Grants.gov
technological failure dating from March 20.
We will consider and address your situation as appropriate. We will not make exceptions
for applications that are the result of user error, including failure to verify that your
application was validated by the Grants.gov system through Track My Application.
•
Failure to successfully submit the Application for Federal Domestic Assistance/Short
Organizational Form through Grants.gov will make you ineligible to complete Part 2 of
the application process.
5. Track Your Application:
Verify that your application was validated by the Grants.gov system. Go to Track My
Application to confirm the validation and track the progress of your application submission
through Grants.gov. Do not wait until the day of the deadline to verify your submission in case
you encounter any difficulties.
6. Prepare to Complete Part 2:
•
•
Read the Part 2 instructions of the program you are applying to learn about how and
when to access the Applicant Portal to submit material and upload items.
To access the Applicant Portal, you’ll need your Agency Tracking Number/NEA
Application Number. We assign the number to your application 1-2 business days after
you submit your Grants.gov application.
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Additional Help
For additional help on how to use Grants.gov, see the Grants.gov website at Support. You also
can send email to the Grants.gov Contact Center at [email protected] or call them at 1-800518-4726, 24 hours a day, 7 days a week.
ALL AWARDS: Part 2: Submit to the Applicant Portal
Fill out and submit the Grant Application Form and upload items to the Applicant Portal.
You will use the Arts Endowment’s Applicant Portal to complete Part 2 of the application
process. You must first have successfully completed Part 1 (submitting to Grants.gov) by
the application deadline of record.
Deadlines:
Part 1 - Submit to
Grants.gov
March 30, 2020 by 11:59 p.m., Eastern Time
Prepare application material so that it’s ready to upload when the Applicant Portal opens
Part 2 - Submit to
Applicant Portal
April 2, 2020 at 9:00 a.m., Eastern Time, to April 9, 2020
at 11:59 p.m., Eastern Time
Note: To allow time to resolve any problems you might encounter, we strongly recommend
that you register/renew your Grants.gov/SAM registration by at least March 9, 2020 and
submit to Grants.gov by at least March 20, 2020.
Do not attempt to complete Part 2 before the Applicant Portal becomes available to you on these
dates. Your log on credentials will be created for you.
1. Access the Applicant Portal:
•
Log on to Applicant Portal at: https://applicantportal.arts.gov
•
User Name = Grants.gov Tracking Number
(Example: "GRANT12345678")
•
Password = Agency Tracking Number/National Endowment for the Arts Application
Number
(Example: "1234567")
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The User Name and Password can only be used by one person at a time in the Applicant Portal.
If multiple people use the User Name and Password at the same time to work on an application,
data will be lost.
How do I find my Grants.gov tracking number? Your Grants.gov tracking number is assigned
to you by Grants.gov at the time you submit your application. A confirmation screen will appear
once your submission is complete. Your Grants.gov tracking number will be provided at the
bottom of this screen. Remember to save this number.
How do I find my Agency Tracking #/National Endowment for the Arts Application
Number? We assign the number to your application 1-2 business days after you submit your
application. Log on to Grants.gov with your Grants.gov Username and Password. Under Grant
Applications, select Check Application Status. Once in the Check Application Status feature,
look for your Grants.gov tracking number and select Details under the Actions column. You’ll be
taken to the Submission Details screen to find your Agency Tracking#/National Endowment for
the Alerts Application Number. NOTE: Check Application Status is a separate feature from
Track My Application at Grants.gov.
For specific help on how to complete your application, review the instructions in these guidelines
or contact the staff at [email protected].
2. Fill out the Grant Application Form:
You will submit a substantial part of your application through the Grant Application Form
(GAF) in the Applicant Portal, including:
Answers to narrative questions about your organization and project.
• Financial information about your organization and project.
• Bios of key individuals.
Click below to see the application questions, instructions, and information about required
application materials that you will submit through the Grant Application Form.
•
Research Grants in the Arts FY21 Part 2 Application Instructions:
CLICK HERE TO DOWNLOAD INSTRUCTIONS (PDF)
NEA Research Labs FY21 Part 2 Application Instructions:
CLICK HERE TO DOWNLOAD INSTRUCTIONS (PDF)
You should prepare your responses and material well in advance of the deadline and have
them fully ready to upload once the Applicant Portal opens for you. You will not have
access to the Grant Application Form until the Applicant Portal opens for you to submit
your application materials on the dates noted above.
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Note: We strongly urge you to complete and submit the Grant Application Form and
upload materials outside of the Applicant Portal's hours of heaviest usage, generally 8:00
p.m. to 11:59 p.m., Eastern Time, on the day of the deadline.
3. Submit the Grant Application Form in the Applicant Portal:
•
Hit the "Submit" button when you are ready to submit your application. If you do not hit the
"Submit" button, your application will not be received.
•
After submitting your application, you may log back into the Applicant Portal and make
modifications to your submission up until the system closes at 11:59 p.m., Eastern Time, on
the day of the deadline.
•
Ensure that your application was received by logging in to the Applicant Portal. On the first
screen it will say “Submitted” if your application has been received. If your application has
not yet been received, it will say “In Progress.” You can maintain documentation of your
successful submission by taking a screenshot. You also may receive a courtesy confirmation
email.
•
You may print a copy of your application at any time, whether in draft or final form, for your
records.
HELPFUL TIPS:
1. Submit your materials to the Applicant Portal 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.
2. Arts Endowment staff will not be available to help you after 5:30 p.m., Eastern
Time, on the day of the deadline.
3. Make sure you use the Part 2 Application Instructions PDF that corresponds to the
category to which you are applying. Requirements vary.
4. When in doubt, contact the staff at [email protected].
5. Some special characters (such as ampersands, quotation marks, apostrophes, and
angle brackets) take up more character counts than others in webforms, including
the Grant Application Form. This is because certain characters are translated into
HTML code which takes up more than one character space. If you notice a higher
than expected character count when you enter information directly into the Grant
Application Form or copy and paste from your word processing program, here are
a few tips:
• Transfer your text into a text-only utility like Notepad before pasting it into
the Grant Application Form. This will delete hidden HTML code to ensure
the proper capture of your text. However, any formatting you had will be
deleted.
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Use a solution other than special characters. For example, instead of using
quotation marks for titles of works, put them in italics and that won't affect
character count.
• Use only one space after the end of sentences. Single spaces after
punctuation marks (periods, commas, colons, etc.) only reduce the
character counter by one character. If you enter two spaces after a period,
HTML coding adds extra spaces.
• Save character space by limiting the use of tabs.
6. View the Grant Application Form Tutorial for other helpful tips to assist you in
completing the online form.
•
ALL AWARDS: Other Requirements and
Priorities
Responsible Conduct of Research
We are committed to the responsible conduct of research. The agency requires applicants to
comply with all applicable laws and regulations governing the conduct of research in the United
States. We further require applicants to obtain permissions from all appropriate entities for
conducting the proposed project and to include evidence of such permissions in the application
material. These may include, but are not limited to, approval from Institutional Review Boards
(IRBs), and/or data licensing for the acquisition of existing data, as may be required.
Data collection activities conducted under an award are the sole responsibility of the recipient
organization, and the National Endowment for the Arts’ support of the project does not constitute
approval of those data collection procedures. As such, data collected from
respondents/participants will be conducted by the awardee or at the awardee’s direction, and any
Arts Endowment-funded researchers collecting data from respondents/participants may not
represent to those subjects that such data are being collected on behalf of the National
Endowment for the Arts.
Applicants who propose primary data collection as part of their projects are required to show
evidence of ethics training in the conduct of human subjects research, including such aspects as
the role of IRBs. Evidence can take the form of an active, unexpired certificate of completion of
a training module. The Arts Endowment does not specify or endorse any specific educational
programs. Training evidence must be submitted at the time of application for all key
personnel involved with primary data collection or analysis of personally identifiable
information from human subjects. The National Endowment for the Arts will not reimburse costs
for ethics training under either the Research Grants in the Arts program or the NEA Research
Labs cooperative agreement program.
In addition, applicants who include primary data collection as a proposed project activity are
required to provide documentation showing whether IRB approval is needed to execute the
project. If the documentation states that IRB approval is required, then applicants also must
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indicate the measures they have taken or plan on taking to gain IRB approval. If multiple
organizations are directly involved in human subjects research for a proposed project, then the
applicant must provide documentation from those organizations as well. If your institution or
organization does not already have an IRB, we encourage you to partner and/or consult with
another institution or organization that does to determine whether IRB approval is necessary for
your project. Costs of submitting research proposals to IRBs are allowable if this activity takes
place during the award period of performance; however, the application proposal must include
evidence that the applicant has consulted with their preferred IRB or IRBs. If you receive an
award, we may withhold funds until IRB approval is demonstrated.
The U.S. Department of Health and Human Services provides additional guidance and
resources for learning about the responsible conduct of research, including a database of
registered IRBs; the National Science Foundation also has resources related to IRB and
human subjects protections.
Research about Arts Education
Through a partnership with the U.S. Department of Education, the Arts Endowment supports the
Arts Education Partnership, which has launched an online clearinghouse of more than 200
studies of student and educator outcomes associated with arts education in both in-school and
out-of-school settings. If you are interested in submitting a proposal to investigate some aspect of
arts education or related variables and outcomes, you are encouraged to explore ArtsEdSearch
for summaries of previous studies, criteria for inclusion in the ArtsEdSearch database,
discussion of policy implications, and suggested areas for future research.
Data Management and Sharing
We intend primarily for the Research Grants in the Arts category and the NEA Research Labs
program to generate new findings that will inform the public about the value and/or impact of the
arts in American life. To help build capacity and continuity for such research in subsequent
years, we require applicants to submit a data management plan documenting how any raw data
and meta-data resulting from the proposed project will be maintained during and beyond the life
of the award. Applicants should discuss the HIPAA Privacy Rule, de-identification of
personally identifiable information, and IRB status as appropriate.
Costs of storing and/or sharing data are allowable if these data management activities take place
during the award period.
National Archive of Data on Arts and Culture (NADAC)
The National Archive of Data on Arts and Culture (NADAC) is a repository that facilitates
research on arts and culture by acquiring and archiving data, particularly those funded by federal
agencies and other public organizations, and making the data and a variety of data tools freely
available to researchers, policymakers, arts and cultural practitioners, and the general public.
Contact [email protected] to learn about opportunities for research awardees to
deposit their raw- and meta-data in the archive.
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ALL AWARDS: Award Administration
Accessibility
Federal regulations require that all Arts Endowment-funded projects be accessible to people with
disabilities. Funded activities must be held in an accessible venue and program access and
effective communication must be provided for participants and audience members with
disabilities. If your project is recommended for funding, you will be asked to provide
information describing how you will make your project physically and programmatically
accessible to people with disabilities:
Buildings and facilities (including projects held in historic facilities), should be physically
accessible. This includes, but is not limited to: ground-level entry, ramped access, and/or
elevators to the venue; integrated and dispersed wheelchair seating in assembly areas;
wheelchair-accessible box office, stage, and dressing rooms; wheelchair-accessible display
cases, exhibit areas, and counters; and wheelchair-accessible restrooms and water fountains.
• The programmatic offering should be accessible either as part of the funded activity or upon
request, where relevant. This can include, but is not limited to: contact information for
requesting accommodations; electronic materials and websites; print materials in alternative
formats, such as large-print brochures/labels, Braille, and electronic/digital formats;
accommodations for performance, tours, and lectures, such as audio description, tactile
opportunities, sign language interpretation, and real-time captioning; closed/open captioning
of video and film; and assistive listening devices.
See the "Nondiscrimination Statutes" in our "Assurance of Compliance" for additional
information. For technical assistance on how to make your project fully accessible, contact the
Accessibility Office at [email protected], 202-682-5532 Voice or the Civil Rights Office at
202-682-5454 or 202-682-5082 Voice/T.T.Y., or see our online Accessibility Resources.
•
Changes in Projects
Applicants must notify the National Endowment for the Arts immediately of any significant
changes in their project that occur after they have submitted their application. If the project or the
organization's capacity changes significantly before an award is made, any funding
recommendation may be revised or withdrawn.
Awardees are expected to carry out a project that is consistent with the proposal that was
approved for funding by the National Endowment for the Arts. If changes in the project are
believed to be necessary, the awardee must submit a request through a proper REACH account
for the award, with justification, for review by the Office of Grants Management. Approval is not
guaranteed. Detailed information is included in the National Endowment for the Arts General
Terms & Conditions for Grants to Organizations.
Project Reporting and Evaluation
We ask all applicants to define what they would like to achieve, how they will evaluate the
degree to which it is achieved, and, upon completion of the project, what they have learned from
their experiences. Such feedback need not entail large-scale or expensive evaluation efforts. You
should do what is feasible and appropriate for your organization and project. When a grant is
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completed, you must submit a final report and answer questions on your accomplishments, who
benefited, and the resulting impact as well as list the involvement of key partners, funders, and
artists. We recognize that some projects involve risk, and we want to hear about both your
successes and failures. Failures can provide valuable learning experiences, and reporting them
will have no effect on your ability to receive Arts Endowment funds in the future. Through
Research awards, we intend to achieve the following objective: Understanding: Evidence of the
value and/or impact of the arts is expanded and promoted. If an award is received, the awardee
also will be asked to provide evidence of those results. Before applying, review the reporting
requirements. LINK TO MANAGE YOUR AWARD PAGE, NOT INDIVIDUAL FDRs
Implementation of Title 2 CFR Part 200 Uniform Administrative Requirements, Cost
Principles, and Audit Requirements for Federal Awards
This guidance from the federal government's Office of Management and Budget (OMB)
establishes clarity and consistency of the pre- and post-award requirements applicable to federal
grantees.
Under the authority listed above, the National Endowment for the Arts adopts the OMB
Guidance in 2 CFR part 200 under §3255.1 Adoption of 2 CFR Part 200. This part gives
regulatory effect to the OMB guidance and supplements the guidance as needed for the Arts
Endowment.
Crediting Requirement
Awardees must clearly acknowledge support from the National Endowment for the Arts in their
programs and related promotional material including publications and websites.
In publications of the data and the findings, acknowledgment of the National Endowment for the
Arts must be prominently displayed, including the Research Grants in the Arts or NEA Research
Labs award number. In all other places (including but not limited to presentations concerning the
project and material created for social media), the awardee must clearly acknowledge support
from the Arts Endowment, regardless of the medium of the material, except as noted in the
section titled “Responsible Conduct of Research.” Additional acknowledgment requirements are
provided under the Manage Your Award page, and also may be provided later.
Ownership and Use of Materials
Any materials resulting from a Research Grant in the Arts or NEA Research Lab award,
including but not limited to products, training materials, research, and data, whether tangible or
intangible (the “Work Product”), are deemed to be owned by the awardee. The awardee agrees to
only make use of the Work Product in a manner consistent with the award terms and conditions
(including but not limited to crediting requirements) in perpetuity, and agrees that such
restrictions shall inure to any of the awardee’s successors in interest, including any such
successors not yet known to the awardee. The Arts Endowment reserves a perpetual, royaltyfree, nonexclusive, and irrevocable right to reproduce, publish or otherwise use the products
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submitted by the awardee under the terms of any resulting award for federal purposes and to
authorize others to do so (2 CFR 200.315).
Accessibility requirements for products resulting from a Research Grant in the Arts or
NEA Research Lab award
Ensure that your products are developed in a format that is readable by screen reading software
so that it is accessible to individuals with vision disabilities. Use the built-in accessibility
features of your software to create content in an accessible format. Provide a text equivalent for
every non-text element, such as tables, charts, and photos by tagging them with alternate text
descriptions (alt text) and captions. Do not use color-coding as the only method of conveying
information. More resources regarding Accessibility is located
at https://www.arts.gov/accessibility/accessibility-resources.
Product Requirement for Research Grants in the Arts:
At the end of the grant period, grantees will be required to submit a 20-50 page research paper of
that, at a minimum, includes two separate components: an abstract/executive summary and a full
research paper:
•
The abstract/executive summary of the project should consist of a 1-5 page summary of the
study’s research goals, methods, findings, conclusions, and implications for research and
policy and/or practice.
Abstracts/executive summaries must be targeted toward both technical and non-technical
audiences.
In addition, full research papers (excluding the abstract and executive summary) typically are
comprehensive accounts of the project. The exact format and organization of the full research
papers may vary depending on the project scope and distribution plans; see Research Grants in
the Arts Study Findings page for examples of previous grantees' final research products. These
include but are not limited to academic research articles; white or grey papers; and books,
handbooks, or book chapters.
Full research papers usually contain the following components:
•
•
•
•
•
An explanation of why the research topic and related question(s) are important.
A review of existing literature or previous work on the topic, if any, including a description
of the theory being tested and hypotheses, if appropriate.
A description of the methods, such as the descriptions of the research participants, sample
characteristics and/or data source characteristics, procedures, measures and assessments, and
the data analysis plan.
A summary of the analysis conducted, and related findings.
A conclusions section, including interpretations of the findings and discussion of whether the
results supported or did not support any research hypotheses as appropriate; strengths and
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limitations of the research; future directions; and research and/or policy recommendations,
based on the findings.
• A works cited or references list.
• Tables and figures, as appropriate (these can be included in the body of the paper if desired,
rather than at the end).
• Any appendices or supplementary material.
• Contact information of the corresponding author (name and email at minimum) and websites
for where the papers, products, and data of the project may be available beyond the Arts
Endowment website, if applicable. This section should also include whether raw-data and/or
meta-data will be accessible or shared, and procedures to obtain that information if it is, in
the case that the National Endowment for the Arts, other researchers, or non-researchers are
interested in obtaining updated papers, data, or other resources (these details can be included
in the title page of the paper).
For translational research projects, grantees are encouraged, but not required, to also submit a
research product that can be used easily by practitioners or researchers who might be interested
in developing a similar program, model, or tool.
It is our intention to publish grantees’ research papers on our website. We also understand that
some of our grantees may desire to publish their work in other venues, such as peer-review
research journals, in books, or in other types of publications. With this possibility in mind, we
intend to post final research papers as "working papers;" if the papers are copyrighted or become
copyrighted, then we will replace any working papers with the copyrighted versions. However,
you may request a one-year embargo (a restriction) on electronic access to your final research
papers through the Research Grants in the Arts Study Findings page. Should we agree to
restrict access to your final paper, then your name, the title of your work, a description of your
research, and the abstract will be available via our website, but the full text version will not be
available for viewing or download until the embargo period has passed.
Administrative Requirements
Any project that extends beyond one year is required to submit an annual progress report.
Award Notices
Award decisions for Research Grants in the Arts and NEA Research Labs are expected to be
announced in November 2020.
Note that an "announcement" is likely to take the form of a preliminary congratulatory note, a
request for revisions, or a rejection notification. Official grant award notification (i.e., a notice of
action authorized by the National Endowment for the Arts Office of Grants Management) is the
only legal and valid confirmation of award. This can take several months to reach you depending
on a number of factors such as whether a revised budget is needed for your project, the number
of awards to be processed, whether the agency has its appropriation from Congress, etc.
General Terms & Conditions
Federal and agency requirements that relate to grants and cooperative agreements awarded by the
National Endowment for the Arts are highlighted in our General Terms & Conditions (GTC).
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The GTC incorporates the adoption of 2 CFR Part 200 by reference. The document also
explicitly identifies where the Arts Endowment has selected options offered in the regulation,
such as budget waivers and requirements for use of program income. It also includes agency
requirements for cost share/matching funds reporting requirements, amendment processes, and
termination actions.
Awardees must review, understand, and comply with these requirements.
Legal Requirements:
NOTE: This list highlights some of the significant legal requirements that may apply to an
applicant or grantee however, it is not exhaustive. More information regarding these and
other legal requirements may be found at Appendix A of our General Terms &
Conditions which sets forth the National Policy and Other Legal Requirements, Statutes,
and Regulations that Govern Your Award. Note that there may be other applicable legal
requirements that are not listed here.
1. By law, the National Endowment for the Arts may support only those organizations that:
•
Are tax-exempt. Organizations qualifying for this status must meet the following
criteria:
1. No part of net earnings may benefit a private stockholder or individual.
2. Donations to the organization must be allowable as a charitable contribution under
Section 170(c) of the Internal Revenue Code of 1954, as amended.
For further information, go to the Internal Revenue Service's (IRS) website.
Note that organizations who have had their IRS status revoked are not eligible for National
Endowment for the Arts support. It is your responsibility to ensure that your status is current at
the time of the application and throughout the life of your award.
•
•
Compensate all professional performers and related or supporting professional
personnel on National Endowment for the Arts-supported projects at no less than
the prevailing minimum compensation. (This requirement is in accordance with
regulations that have been issued by the Secretary of Labor in 29 C.F.R. Part 505. This
part does not provide information on specific compensation levels.)
Ensure that no part of any National Endowment for the Arts-supported project will
be performed or engaged in under working conditions which are unsanitary or
hazardous or dangerous to the health and safety of the employees involved.
2. Some legal requirements apply to every applicant, for example:
•
•
Compliance with the federal requirements that are outlined in the "Assurance of
Compliance" below.
Debarment and Suspension procedures. The applicant must comply with the record
keeping and other requirements set forth in Subpart C of 2 CFR 180, as adopted by the
Arts Endowment in 2 CFR 32.3254. Failure to comply may result in the debarment or
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suspension of the awardee and the Arts Endowment suspending, terminating and/or
recovering funds.
• Federal Debt Status (OMB Circular A-129). Processing of applications will be
suspended when applicants are delinquent on federal tax or non-tax debts, including
judgment liens against property for a debt to the federal government. An organization's
debt status is displayed in the System for Award Management (SAM). New awards will
not be made if an applicant is still in debt status as of September 1.
• Labor Standards (29 C.F.R. pt 505). If a grant or cooperative agreement is awarded,
the awardee must comply with the standards set out in Labor Standards on Projects or
Productions Assisted by Grants from the National Endowments for the Arts and
Humanities.
• The Drug-Free Workplace Act of 1988 (41 U.S.C. 701 et seq. and 2 C.F.R. Part
3256). The awardee is required to publish a statement regarding its drug-free workplace
program as well as comply with other requirements.
3. Some legal requirements apply depending upon what the grant or cooperative
agreement is funding, for example:
If your project activities have the potential to impact any structure that is eligible for or
on the National Register of Historic Places, adjacent to a structure that is eligible for or
on the National Register of Historic Places, or located in an historic district, you will be
asked to provide additional information about your project or take additional action so
that the agency can review and comply with the National Historic Preservation
Act (NHPA). NHPA also applies to any planning activities that may affect historic
properties or districts. The additional agency review must be completed prior to any
agency funds being released.
• If your project activities have the potential to impact the environment or environmentally
sensitive resources, you will be required to provide information in accordance with
the National Environmental Policy Act (NEPA). The additional agency review must be
completed prior to any agency funds being released.
• If your contract is over $2,000 and involves the construction, alteration, or repair of
public buildings or public works, it must contain a clause setting forth the minimum
wages to be paid to laborers and mechanics employed under the contract in accordance
with The Davis-Bacon and Related Acts (DBRA).
4. Some legal requirements apply depending upon who the Applicant is, for example:
•
•
The Native American Graves Protection and Repatriation Act of 1990 (25 U.S.C.
3001 et seq.) – which applies to any organization that controls or possesses Native
American human remains and associated funerary objects and receives Federal funding,
even for a purpose unrelated to the Act (25 USC 3001 et seq.).
Assurance of Compliance
By signing and submitting its application form on Grants.gov, the Applicant certifies that it
is in compliance with the statutes outlined below and all related National Endowment for
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the Arts regulations and will maintain records and submit the reports that are necessary to
determine compliance.
We may conduct a review of your organization to ensure that it is in compliance. If the National
Endowment for the Arts determines that an awardee has failed to comply with these statutes, it
may suspend, terminate, and/or recover funds. This assurance is subject to judicial enforcement.
The Applicant certifies that it does not discriminate:
•
•
•
•
On the grounds of race, color, or national origin, in accordance with Title VI of the Civil
Rights Act of 1964, as amended (42 U.S.C. 2000d et seq.), implemented by the National
Endowment for the Arts at 45 U.S.C.1110.
On the grounds of disability, in accordance with Section 504 of the Rehabilitation Act of
1973 (29 U.S.C. 794) and the Americans with Disabilities Act of 1990 ("ADA"), as
amended, (42 U.S.C. 12101-12213), implemented by the National Endowment for the Arts at
45 U.S.C. 1151. The ADA's requirements apply regardless of whether you receive federal
funds.
On the basis of age, in accordance with the Age Discrimination Act of 1975 (42 U.S.C.
6101 et seq.) implemented by the National Endowment for the Arts at 45 U.S.C.1156.
On the basis of sex, in any education program or activity, in accordance with Title IX of the
Education Amendments of 1972 (20 U.S.C. 1681 et seq.).
Applicant will inform the public that persons who believe they have been discriminated against
on the basis of race, color, national origin, disability, sex, or age may file a complaint with the
Director of Civil Rights at the National Endowment for the Arts.
Applicant will forward all complaints for investigation and any finding issued by a Federal or
state court or by a Federal or state administrative agency to:
Director, Office of Civil Rights
National Endowment for the Arts
400 7th Street, SW
Washington, DC 20506
Applicant shall maintain records of its compliance and submission for three (3) years. The
Applicant will compile, maintain and permit access to records as required by applicable
regulations, guidelines or other directives.
The Applicant must also certify that it will obtain assurances of compliance from all
subrecipients and will require all subrecipients of National Endowment for the Arts funds to
comply with these requirements.
The United States has the right to seek judicial or administrative enforcement of this assurance.
For further information and copies of the nondiscrimination regulations identified above, contact
the Office of Civil Rights at 202-682-5454 or 202-682-5082 Voice/T.T.Y. For inquiries about
limited English proficiency, go to http://www.lep.gov, the FOIA Reading Room, or contact the
Office of General Counsel at [email protected] or 202-682-5418.
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ALL AWARDS: Other Information
Access for Individuals with Disabilities
Our Accessibility Office assists applicants in making accessibility an integral part of their
planning so that organizations and activities are inclusive for staff, panelists, artists, and
audiences. For more information, resources, and technical assistance, contact the Accessibility
Office at 202-682-5532 or 202-682-5082 Voice/T.T.Y., or see the Accessibility section of the
website. Our Office of Civil Rights at 202682-5454 or 202682-5082 Voice/T.T.Y. also provides
technical assistance on how to make projects fully accessible.
Civil Rights
Our Office of Civil Rights at 202682-5454 or 202682-5082 Voice/T.T.Y. is available to
investigate complaints about compliance with accessibility standards as well as other federal
civil rights statutes. For inquiries about limited English proficiency, go to http://www.lep.gov,
the FOIA Reading Room, or contact the Office of General Counsel at [email protected] or 202682-5418.
Standards for Service
The National Endowment for the Arts has set the following standards for serving applicants. We
pledge to:
•
•
•
•
•
•
Treat you with courtesy and efficiency.
Respond to inquiries and correspondence promptly.
Provide clear and accurate information about our policies and procedures.
Provide timely information about funding opportunities and make guidelines available
promptly.
Promptly acknowledge the receipt of your application.
Ensure that all eligible applications are reviewed thoughtfully and fairly.
We welcome your comments on how we are meeting these standards.
Email: [email protected], attention: Standards for Service. For questions about these guidelines
or your application, see "Agency Contacts." In addition, applicants may receive an invitation to
participate in a voluntary survey to provide feedback on the grant application guidelines on our
website and any experiences consulting with our staff.
Paperwork Reduction Act Statement
The public reporting burden for this collection of information is estimated at an average of TBD
hours per response. This includes the time for reviewing instructions, searching existing data
sources, gathering and maintaining the data needed, and completing and reviewing the collection
of information. We welcome 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: [email protected], attention: Reporting Burden. 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.
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RESEARCH AWARDS: Frequently Asked
Questions
How can I find out when new guidelines are released?
Guidelines are generally modified every year. Email [email protected] to sign up
for our distribution list to receive updates for when they are released. You can also sign up via
Grants.gov.
What is the difference between the Research Grants in the Arts program and the NEA
Research Labs program?
Both program invite applicants to engage with the agency’s five-year research agenda with
research projects:
Research Grants in the Arts funds research that investigates the value and/or impact of the arts,
either as individual components of the U.S. arts ecology or as they interact with each other
and/or with other domains of American life. Examples of previous Research Grants in the Arts
projects can be found here.
NEA Research Labs funds transdisciplinary research teams, grounded in the social and
behavioral sciences, to engage with the NEA's five-year research agenda. NEA Research Labs
yield empirical insights about the arts for the benefit of arts and non-arts sectors alike.
Beyond the subject matter of the two funding opportunities, there is another distinction. The Arts
Endowment uses two types of awards to fund project activities: cooperative agreements and
grants. A cooperative agreement is different from a grant in that the Arts Endowment is
substantially involved with the awardee in the direction and accomplishments of the program.
Both funding mechanisms are subject to Title 2 of the Code of Federal Regulations, Part 200.
Research Grants in the Arts is a grant program, and NEA Research Labs is a cooperative
agreement program. The Arts Endowment will be substantially involved in the direction and
accomplishments of NEA Research Labs.
Would it be possible for someone that is not employed by the official applicant organization
to serve as the Principal Investigator/Project Director?
Yes; however, the official applicant organization is the legally binding agent for the application,
and thus is agreeing to be responsible for the actions of the principal investigator/project director.
I am a state arts agency (SAA) or a regional arts organization (RAO), and I am interested
in applying for an application for a Research Grants in the Arts grant or an NEA Research
Lab award. Can I apply?
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No, SAAs and RAOs cannot apply for either opportunity as the authorizing organization, but can
apply as the official applicant under the Partnership Agreements category.
I am a SAA or RAO, and I am interested in being a partner on an application for a
Research Grants in the Arts grant or an NEA Research Lab award. Can I serve as a
partner?
Yes, SAAs or RAOs may participate as a partner for either opportunity; however, no federal or
cost share/matching funds included in the Partnership Agreement can be given to or provided
by the SAA or RAO.
Do I need to include citation references in my proposal and if so, where do I put them?
Yes, references should be included in the project narrative of the Grant Application Form.
What method of citation is preferred?
We do not currently have any requirements regarding the style of citation. Common citation
formats include but are not limited to APA, AMA, Chicago, and MLA. Do not use footnoting in
the text fields of the Grant Application Form, though this is acceptable for any PDF attachments.
Will you contact me if my application is missing anything?
No. Because of the volume of applications, we have a strict approach to incomplete applications.
For your application to be considered complete, every item that is required MUST be included in
your application package, which must be submitted no later than the application deadline date
under which you are applying. Staff will not contact applicants to request missing material, and
incomplete applications will be returned to you. Please don't let that happen. Use the "How to
Prepare and Submit an Application" section for your category to make sure that you have
included every item. Have the completeness and accuracy of your application package doublechecked by a responsible staff member who understands the importance of this task. Allow at
least six weeks to prepare your application and other supplementary information. And do not
wait until the day of the deadline to submit!
If my application is determined to be incomplete, may I add the missing item(s) and
resubmit the application?
No. The staff has to check thousands of applications. By the time that an application is identified
as incomplete, it will likely be several weeks after the application deadline. An organization
cannot add missing items and resubmit the application after the application deadline. We
encourage you to double-check your application package against the "How to Prepare and
Submit an Application" section to make sure that nothing is missing.
If new or updated information that significantly affects your application becomes available after
the deadline, you may send it to the Research staff at [email protected]
One of the proposed research staff is unable to complete the human subjects ethics training
and thus cannot supply the required certificate of completion of the training. Is there an
alternative to the requirement for this person that would allow him/her to continue as a
researcher on the project without the certificate?
We require all researchers involved in human subjects data to demonstrate completion of a
federally sponsored human ethics training course. If a particular researcher is unable to provide
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evidence of this training, then he or she may not collect, process, or analyze data from human
subjects as part of the project, but may serve in another research capacity.
Can I get a sample application?
Examples under the Research Grants in the Arts category (previously known as Research: Art
Works grant category) can be found in the FOIA Reading Room, Frequently Requested
Records for information on what is available as sample application material. We do not have
sample applications available for the NEA Research Labs program.
How soon after the "Earliest Beginning Date for National Endowment for the Arts Period
of Performance" for my deadline does my project have to begin?
Our support can start any time on or after that date.
Can my project start before this date?
No. Proposed project activities for which you're requesting support cannot take place before this
date. Ask the National Endowment for the Arts to fund only the portion of your project that will
take place after the "Earliest Beginning Date for National Endowment for the Arts Period of
Performance." If you include project costs that are incurred before the "Earliest Beginning Date
for National Endowment for the Arts Period of Performance" in your Project Budget, they will
be removed.
How long can my project last? May I apply for another project during this period?
Research Grants in the Arts generally allows a period of performance of up to three years,
depending on the project type and scope. Within the limits of the guidelines, ask for the amount
of time that you think is necessary.
NEA Research Lab awards generally allows a period of performance of up to two years, and may
be renewed up to four times. The life of Arts Endowment funding of an NEA Research Lab
could be up to ten years, including all renewal awards.
If you get close to the end of your grant period and think you need more time, you may request
an extension, but approval is not guaranteed.
As long as it meets all other eligibility requirements, an organization may apply for another
project (with totally different project costs) the following year even if a National Endowment for
the Arts-supported project is still underway. Note that if you do receive an extension on a
previous year's project, it may affect your grant period for your new proposed project. Requests
for extensions must be submitted through a proper REACH account for the award.
Can federally recognized tribes apply?
Yes, but under the Research Grants in the Arts category only. In keeping with federal policies
of Tribal Self Governance and Self-Determination, we may provide support for a project with
a primary audience restricted to enrolled members of a federally recognized tribe. Applicants
(federally recognized tribal governments, nonprofits situated on federally recognized tribal lands,
or other nonprofits whose mission primarily serves federally recognized tribal enrollees) should
consult with our staff to verify their eligibility before preparing an application.
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Can non-federally recognized tribes apply?
Yes, but under the Research Grants in the Arts category only, and as long as the applicant is a
nonprofit, tax-exempt 501(c)(3), U.S. organization. Projects for non-federally recognized tribes
and indigenous groups may be supported, but project participation can’t be restricted to only
tribal members.
Can Native Hawaiian groups apply?
Yes, but under the Research Grants in the Arts category only, and as long as the applicant is a
nonprofit, tax-exempt 501(c)(3), U.S. organization. Projects for Native Hawaiians may be
supported, but project participation can’t be restricted to only Native Hawaiians.
Specific Questions for FY2021
I applied to the FY20 Research Grants in the Arts deadline this past October, can I apply
for the FY21 deadline?
Yes, however, the FY20 Research Grant in the Arts application will still be pending by the
application deadline for FY21. Therefore, the FY21 request must be for a distinctly different
project.
I applied to the FY20 NEA Research Labs deadline this past July, can I apply for the FY21
deadline?
Yes, however, per the eligibility requirements for this program, organizations may not receive
more than one NEA Research Lab award.
My organization received a NEA Research Lab award last year or in prior years, are we
eligible?
As an official applicant, you are not eligible to apply for this round. However, you can serve as a
partner on another application from an eligible applicant organization.
| File Type | application/pdf |
| Author | Jillian Miller |
| File Modified | 2019-08-20 |
| File Created | 2019-08-20 |