Supporting Statement A September 2021 (original) and June 2022 (nonsubstanative change)

Extension of the Generic Clearance Authority
OMB Control Number 3136-0134
Justification: Supporting Statement A
Abstract
The National Endowment for the Humanities (NEH) seeks a three-year renewal of its generic
clearance authority, OMB control number 3136-0134. This clearance includes NEH’s Notice of
Funding Opportunity (NOFO) template, agency-specific application and award-related forms,
and agency-specific performance reports.
Type of Request
This is a request for approving an extension of existing clearance 3136-0134. This request
includes additional information collection instruments, updated burden estimates, and
estimated respondents.
1.) Need for the Collection
NEH’s primary function is grantmaking, and this clearance authority covers information
collections related to this activity. They allow the agency to:
•
•
•
•

solicit grant applications from the public
recruit peer reviewers from the public
process awards
monitor recipient performance

NEH programs are authorized by 20 U.S.C. §956, et seq. Awards are subject to 2 CFR Part
200 Uniform Administrative Requirements, Cost Principles, and Audit Requirements for
Federal Awards.
The clearance covers 23 information collections, summarized below.
Information Collection
1. Notice of Funding
Opportunity template
2. Supplementary Cover Sheet
for NEH Grant Programs
3. NEH Supplemental
Information for Individuals

Brief Description
The NEH NOFO template is used for all NEH funding
programs. It follows the format and sequence set forth
for all federal grantmaking agencies in Appendix I of 2
CFR 200.
Institutional applicants for discretionary programs
complete this form in Grants.gov Workspace at the time
of application. It includes basic information about the
applicant and proposed project.
Individual applicants complete this form in Grants.gov
Workspace at the time of application. It includes basic
information about the applicant and proposed project.

4. Supplementary Cover Sheet
for NEH State Councils

5. NEH Institutional Profile

6. Assurances as to Labor
Standards

7. NEH Individual Programs
Acceptance Form
8. Organizational Survey

9-10. Gift certification reports
(x2)

11. Reviewer interest form
12. Interim performance report
(organizations)
13. Final performance report
(organizations)

The state and jurisdictional humanities councils
complete this form in Grants.gov Workspace at the time
of application for their legislatively mandated general
operating support grants. It includes basic information
about the applicant and proposed project.
Applicants to the Preservation Assistance Grants
program complete this form at the time of application
in Grants.gov Workspace. It provides additional
information about the applicant and proposed project.
Applicants to the Media Projects program submit this
form in Grants.gov Workspace at the time of
application. It provides written assurance that all
professional performers, scriptwriters, and related or
supporting professional personnel employed on
projects or productions supported in whole or in part by
NEH will be paid no less than the minimum union or
guild rates, and that no part of any project or
production will be performed or engaged in under
working conditions that are unsanitary, hazardous, or
dangerous to the health and safety of such individuals,
per U.S. Department of Labor regulations set forth in
29 CFR Part 505.
Individual applicants complete this form at the time of
award to finalize their period of performance and
payment schedule.
New 501(c)(3) grant recipients receiving an award
greater than $50,000 complete this intake form at the
time of award as part of the agency’s risk management
strategy.
Note: the term “survey” here is somewhat of a
misnomer. This form is not a survey in the way OMB
uses this term for PRA purposes.
NEH grant recipients whose projects include federal
matching funds are required to submit this form to
document required third-party cost share. There are
two versions of this form: one for the Challenge Grants
program and one for other institutional grant programs
utilizing matching funds. Challenge Grants recipients
are required to submit this form annually; there is no
set cadence for recipients of other grant programs.
Individuals can voluntarily indicate their interest in
serving as a peer reviewer for NEH by completing this
form on the NEH website.
Institutional grant recipients complete this report
online in eGMS Reach. NEH programs require
recipients to submit interim reports on an annual basis
consistent with 2 CFR 200.
Institutional grant recipients complete this report
online in eGMS Reach within 120 days of the period of
performance end date, consistent with 2 CFR 200.

14. Performance report
(individuals)
15. Interim performance report
(Challenge Grants)
16. Final performance report
(Challenge Grants)
17. Activities and outcomes
report for the state humanities
councils
18. FPIRI Evaluation Form
19-20. State Humanities
Council SHARP annual report
21-23. SHARP subrecipient
selection reports

Institutional grant recipients complete this report
online in eGMS Reach within 120 days of the period of
performance end date, consistent with 2 CFR 200.
Challenge Grants recipients complete this report online
in eGMS Reach. NEH programs require recipients to
submit interim reports on an annual basis consistent
with 2 CFR 200.
Challenge Grants recipients complete this report online
in eGMS Reach within 120 days of the period of
performance end date, consistent with 2 CFR 200.
The state and jurisdictional humanities councils
complete this report annually. It focuses on qualitative
outcomes related to subawards and other council
activities made with their formula-based grants.
FPIRI fellows may voluntarily complete this form
following their fellowships to provide feedback on their
fellowship experiences on the NEH website.
These reports will be used by the state humanities
councils to report on performance on their formulabased SHARP awards.
This report will be used by state humanities councils
and ARP-G recipients to report on organizations and
individuals selected as subrecipients.

2.) Information Use
Respondents to these information collections include grant applicants (both
organizations and individuals); grant recipients (both organizations and individuals),
and individuals volunteering their services as peer reviewers. This information is used
internally and is not disseminated publicly.
NEH uses information contained in the NOFO and application forms to determine the
applicants’ eligibility and applications’ completeness and responsiveness while ensuring
compliance. This information is the basis of NEH’s funding decisions in its discretionary
programs.
NEH uses forms completed by recipients at the time of award to confirm eligibility,
establish payment schedules (for individuals), and to mitigate risk to the agency.
NEH uses information collected from the reviewer interest form to identify qualified
members of the public to serve as peer reviewers as part of the agency’s review process.
NEH uses various reporting templates to monitor recipient performance in compliance
with relevant governmentwide regulations, agency policy, and program-specific
requirements.
In the past, information collections under this clearance have been used to support
NEH’s grants management line of business; we plan to continue such efforts under this
extension.
3.) Information Collection Method
Applicants seeking funding voluntarily respond to the agency’s NOFOs, which are found

on Grants.gov as well as on the NEH website. NOFOs include information regarding
recipients’ post-award reporting requirements.
All information collections are conducted online. Applicants submit their applications
via Grants.gov and other reports and forms via eGMS, NEH’s electronic grants
management system. Individuals volunteering as peer reviewers submit their credentials
via the NEH website. All collections are overseen by NEH staff.
In terms of frequency, NEH accepts proposals annually for most programs, though a few
have multiple deadlines per year. NEH requires applicants to submit performance
reports annually; in rare cases, recipients may be required to report more frequently,
consistent with 2 CFR §200.329. Other forms are collected once, either at the time of
application or at the time of award. NEH maintains an open call for peer reviewers, so
individuals may voluntarily respond at any time.
4.) Duplication
NEH’s Office of the Chairman, Office of General Council, and Office of Grant
Management participate in an internal clearance process to review NOFOs and other
documents covered by this clearance to avoid unnecessary duplication.
When appropriate, NEH uses existing collections, such as the SF-424 – Short
Organizational, Research and Related Budget, and Federal Financial Reporting Form. In
other instances, NEH modifies existing forms as a basis for its collections – for example,
many NEH reports included in this request are based on the basic Performance Progress
Report with the addition of agency/program-specific questions.
5.) Minimizing Burdens on Small Businesses
NEH is committed to streamlining its application instructions and simplifying the
application process. To ensure uniformity with other federal grantmaking agencies, NEH
has aligned the format and sequencing of its NOFOs with Appendix I of 2 CFR 200 and
strives to balance the need for information with refraining from placing undue burden
on its applicants. The agency's internal clearance process ensures that no undue burden
is placed on applicants seeking NEH funding.
6.) Consultation Outside of the Agency
NEH published notices in the Federal Register to solicit public comments on this
proposed extension on January 27, 2021, and April 6, 2021. The agency received one
public comment, dated January 27, 2021, which expressed general concern about the
benefit of this information collection to the taxpayer. NEH acknowledged the comment
but determined that it did not call for any change since the opinion expressed was of a
general nature and did not pertain to any specific information collections included in this
request.
7.) Estimation of the Annual Burden and Costs of the Collection
Information
Collection
Activity

Type of
Collection

Number of
Total
Hours
Respondents Annual
Per
Responses Response

Total
Hours

1. Notice of
Funding
Opportunity
template
2.
Supplementary
Cover Sheet
for NEH Grant
Programs
3. NEH
Supplemental
Information
for Individuals
4.
Supplementary
Cover Sheet
for NEH State
Councils
5. NEH
Institutional
Profile
6. Assurances
as to Labor
Standards
7. NEH
Individual
Programs
Acceptance
Form
8.
Organizational
Survey
9. Gift
certification
report
10. Gift
certification
report
(Challenge)
11. Reviewer
interest form
12. Interim
performance
report
(organizations)
13. Final
performance
report
(organizations)

NOFO
template

4,894

4,894

60 hours

293,640

Application
Form

3,450

3,450

10 minutes

575

Application
Form

1,400

1,400

20
minutes

467

Application
Form

56

56

10 minutes

9

Application
Form

35

35

30 hours

18

Application
Form

150

150

15 minutes

38

Award
Form

225

225

30
minutes

113

Award
Form

157

157

15 minutes

39

Award
Form

75

75

30
minutes

38

Award
Form

100

100

30
minutes

50

Review
Form
Report
template

236

236

118

542

542

30
minutes
2 hours

Report
template

419

419

2 hours

838

1084

14.
Performance
report
(individuals)
15. Interim
performance
report
(Challenge
Grants)
16. Final
performance
report
(Challenge
Grants)
17. Activities
and outcomes
report for the
state
humanities
councils
18. FPIRI
Evaluation
Form
19. State
Humanities
Council
SHARP annual
report
20. State
Humanities
Council
SHARP final
report
21. State
Humanities
Councils
SHARP
Subrecipient
selection
report
22. SHARP
subrecipient
selection
report
(organizations)
23. SHARP
subrecipient
selection
report
(individuals)

Report
template

188

188

1 hour

188

Report
template

105

105

2 hours

210

Report
template

30

30

2 hours

60

Report
template

56

56

30 hours

1,680

Report
template

50

50

30
minutes

25

Report
template

56

56

2 hours

112

Report
template

56

56

3 hours

168

Report
template

56

56

10 hours

560

Report
template

7

7

10 hours

70

Report
template

6

6

10 hours

60

We estimate a total annual burden for these collections at 300,160 hours and
$21,235,922.
We estimate the cost to the Federal Government to be $1,504,712.
NEH staff spend approximately four hours reviewing and processing each application
(including the associated forms), for a subtotal of $1,385,198.

NEH staff spend approximately one hour reviewing each performance report for a
subtotal of $111,164.
NEH staff spend approximately thirty minutes reviewing each voluntary peer review
application, for a subtotal of $8,350.
Both respondent and NEH staff time is estimated at $70.76 per hour.
8.) Explanation of Changes in the Burden of the Collection
The total burden estimate for this extension request has increased, based on the
inclusion of additional information collections not previously included as well as revised
burden estimates that more accurately reflect the time necessary to prepare a grant
application.
Information
Collection
Activity

Description
of Change

Change in
Burden
Estimate

1. Notice of
Funding
Opportunity
template

Increased
response time
to better reflect
the time
necessary to
prepare a grant
application
New collection

45 hours
(previously 15,
currently 60)

2.
Supplementary
Cover Sheet for
NEH Grant
Programs
3. NEH
Supplemental
Information
for Individuals
4.
Supplementary
Cover Sheet for
NEH State
Councils

New collection

New collection

Nature of
Change:
(Program
Change or
Adjustment)
Adjustment

If Program
Change, is it
due to new
statute?
No

5. NEH
Institutional
Profile
6. Assurances
as to Labor
Standards
7. NEH
Individual
Programs
Acceptance
Form
8.
Organizational
Survey
9. Gift
certification
report
10. Gift
certification
report
(Challenge)
11. Reviewer
interest form
12. Interim
performance
report
(organizations)
13. Final
performance
report
(organizations)
14.
Performance
report
(individuals)
15. Interim
performance
report
(Challenge
Grants)
16. Final
performance
report
(Challenge
Grants)
17. Activities
and outcomes
report for the
state
humanities
councils

New collection
New collection
New collection

No change
No change
No change

No change
Updated

No change

Program
Change

No

Updated

No change

Program
change

No

No change

No change

New collection

New collection

New collection

18. FPIRI
Evaluation
Form
19. State
Humanities
Council
SHARP annual
report
20. State
Humanities
Council
SHARP final
report
21. State
Humanities
Councils
SHARP
Subrecipient
selection
report
22. SHARP
subrecipient
selection
report
(organizations)
23. SHARP
subrecipient
selection
report
(individuals)

New collection
New collection

New collection

New collection

New collection

New collection

9.) Payment or Gift to Respondents

NEH does not provide payments or gifts to any respondents.

10.) Justification for Sensitive Questions
NEH does not solicit information on sexual behavior, religious beliefs, or other personal
matters.
11.) Privacy and Confidentiality
None of the information collections included in this renewal request include personally
identifiable information, except for the NEH Individual Programs Acceptance Form.
This form is completed by individuals who have applied for and been selected to receive
an NEH individual award so that their payments can be processed. It is a secure,
encrypted form, and permissions to view PII are limited to NEH staff who need this
information to process awards.
The Federal Register citation for NEH’s System of Records Notice (SORN) is Vol. 82, No.
79.
12.) Expiration Date for OMB Approval
NEH will include the expiration date on all information collections covered by this

clearance.

Extension of the Generic Clearance Authority
OMB Control Number 3136-0134
Justification: Supporting Statement A
Supplemental Request: June 9, , 2022
Abstract
The National Endowment for the Humanities (NEH) received a three-year renewal of its generic
clearance authority, OMB control number 3136-0134, in October 2021. This clearance includes
NEH’s Notice of Funding Opportunity (NOFO) template, agency-specific application and awardrelated forms, and agency-specific performance reports. NEH seeks to increase the burden
estimate under this clearance and to approve additional information collections.
Type of Request
This is a request for an increased burden estimate and additional information collections under
existing clearance 3136-0134. This request includes sixteen new information collections with a
total burden estimate of 1,897 hours, increasing the total burden estimate from 300,160 hours
to 302,057 hours and $21,235,922 to $21,370,153.72.
1.) Need for the Collection
NEH’s primary function is grantmaking, and this clearance authority covers information
collections related to this activity. They allow the agency to:
•
•
•
•

solicit grant applications from the public
recruit peer reviewers from the public
process awards
monitor recipient performance

NEH programs are authorized by 20 U.S.C. § 956, et seq. Awards are subject to 2 CFR Part
200 Uniform Administrative Requirements, Cost Principles, and Audit Requirements for
Federal Awards.
This clearance currently covers 23 information collections. At this time NEH requests
approval for an additional 16 information collections, summarized below. The majority of
these requests are program-specific iterations of the already cleared NEH interim and final
performance report templates.
Information Collection
1. Performance Report:
Fellowships for Advanced
Social Science Research on
Japan

Brief Description
Individuals complete this report online in eGMS Reach
within 120 days of the period of performance end date,
consistent with 2 CFR 200.

2-3. Interim and Final
Performance Reports: State
Humanities Councils “A More
Perfect Union”
4. State Humanities Councils
Regrant Summary Report
5. Final Performance Report:
Preservation Assistance Grants
(PAG)
6. Performance Report:
Division of Education Programs
7. Performance Report:
Division of Public Programs:
Cooperative Agreements and
Special Project
8. Performance Report: Digital
Projects for the Public
9-10. Performance Reports:
Media Projects: Development
and Media Projects: Production
11-13. Performance Reports:
Public Humanities Projects
(Implementation, Planning,
Humanities Conversations)
14. FPIRI Fellowship Data
Form
15. FPIRI Financial Report
16. Program Income Report

State humanities councils complete this report online in
eGMS Reach within 120 days of the period of
performance end date, consistent with 2 CFR 200.
State humanities councils submit this report to identify
organizations and individuals selected as subrecipients.
PAG recipients complete this report online in eGMS
Reach within 120 days of the period of performance end
date, consistent with 2 CFR 200.
Division of Education Programs recipients complete
this report online in eGMS Reach within 120 days of the
period of performance end date, consistent with 2 CFR
200.
Division of Public Programs recipients complete this
report online in eGMS Reach within 120 days of the
period of performance end date, consistent with 2 CFR
200.
Digital Projects for the Public recipients complete this
report online in eGMS Reach within 120 days of the
period of performance end date, consistent with 2 CFR
200.
Media Projects: Development and Media Projects:
Production recipients complete this report online in
eGMS Reach within 120 days of the period of
performance end date, consistent with 2 CFR 200.
Public Humanities Projects recipients complete this
report online in eGMS Reach within 120 days of the
period of performance end date, consistent with 2 CFR
200.
This form asks individual participants in NEH-funded
FPIRI fellowship programs to report on their
experience.
FPIRI recipients provide a summary budget for their
programs.
Media Projects recipients are required to report
program income for up to seven years following the
period of performance, consistent with agency policy.

2.) Information Use
Respondents to these additional information collections are NEH grant recipients (both
organizations and individuals). NEH uses this information internally and does not
disseminate it publicly.
NEH uses various reporting templates to monitor recipient performance in compliance with
relevant governmentwide regulations, agency policy, and program-specific requirements.
In the past, NEH has used the information collections under this clearance to support our
grants management; we plan to continue such efforts under this extension.
3.) Information Collection Method
NEH conducts all information collections online. Recipients submit their reports and forms

via eGMS, NEH’s electronic grants management system. NEH staff oversee all collections.
Except as required by 2 CFR § 200.329, NEH requires recipients to submit performance
reports annually.
4.) Duplication
When appropriate, NEH uses existing collections, such as the SF-424 – Short
Organizational, Research and Related Budget, and Federal Financial Reporting Form. In
other instances, NEH modifies existing forms as a basis for its collections – for example,
many NEH reports included in this request are based on the basic Performance Progress
Report with the addition of agency/program-specific questions.
5.) Minimizing Burdens on Small Businesses
NEH is committed to streamlining its application process and reporting requirements,
striving to balance the need for information with preventing undue burden on its applicants.
The agency's internal clearance process ensures that NEH does not place an undue burden
on applicants seeking NEH funding.
6.) Consultation Outside of the Agency
NEH published notices in the Federal Register to solicit public comments on this proposed
extension on January 27, 2021, and April 6, 2021. The agency received one public comment,
dated January 27, 2021, which expressed general concern about the benefit of this
information collection to the taxpayer. NEH acknowledged the comment but determined
that it did not call for any change since the opinion expressed was of a general nature and
did not pertain to any specific information collections included in this request.
7.) Estimation of the Annual Burden and Costs of the Collection
Information
Collection
Activity
1. Performance
Report:
Fellowships for
Advanced Social
Science Research
on Japan
2. Interim
Performance
Report: State
Humanities
Councils “A More
Perfect Union”
3. Final
Performance
Report: State
Humanities
Councils “A More
Perfect Union”

Type of
Number of
Collection Respondents
Report
Template

3

Total
Hours Per
Annual
Response
Responses
3
1 hour

Total
Hours

Report
Template

56

56

4 hours

224

Report
Template

56

56

5 hours

280

3

4. State
Humanities
Councils Regrant
Summary Report
5. Final
Performance
Report:
Preservation
Assistance Grants
6. Performance
Report: Division
of Education
Programs
7. Performance
Report: Division
of Public
Programs:
Cooperative
Agreements and
Special Project
8. Performance
Report: Digital
Projects for the
Public
9. Performance
Reports: Media
Development
10. Performance
Reports: Media
Production
11. Performance
Reports: Public
Humanities
Projects
(Implementation)
12. Performance
Reports: Public
Humanities
Projects
(Planning)
13. Performance
Reports: Public
Humanities
Projects
(Humanities
Conversations)
14. FPIRI
fellowship data
form
15. FPIRI
Financial report

Report
Template

56

56

8 hours

448

Report
Template

70

70

2 hours

140

Report
Template

200

200

2 hours

400

Report
Template

3

3

2 hours

6

Report
Template

28

28

2 hours

56

Report
Template

7

7

2 hours

14

Report
Template

29

29

2 hours

58

Report
Template

47

47

2 hours

94

Report
Template

26

26

2 hours

52

Report
Template

11

11

2 hours

22

Report
Template

70

70

10 minutes

12

Report
template

13

13

1 hours

13

16. Program
income report

Report
Template

50

50

1.5 hours

75

We estimate a total annual burden for these sixteen new collections at 1,897 hours and
$134,231.72.
We estimate the cost to the Federal Government for these sixteen new collections to be
$51,301. (NEH staff spend approximately one hour reviewing each report).

Both respondent and NEH staff time is estimated at $70.76 per hour.
8.) Explanation of Changes in the Burden of the Collection
The total burden estimate for this clearance has increased based on the inclusion of sixteen
new information collections not previously included.
9.) Payment or Gift to Respondents

NEH does not provide payments or gifts to any respondents.
10.) Justification for Sensitive Questions
NEH does not solicit information on sexual behavior, religious beliefs, or other personal
matters.
11.) Privacy and Confidentiality
None of the information collections included here include personally identifiable
information.
The Federal Register citation for NEH’s System of Records Notice (SORN) is Vol. 82, No. 79.
12.) Expiration Date for OMB Approval
NEH will include the expiration date on all information collections covered by this clearance.