Supporting Statement A_202408

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 a revision of existing clearance 3136-0134. This request includes additional
information collection instruments and an updated burden estimate.
1.)

Need for the Collection

The National Endowment for the Humanities’ (NEH) primary function is grantmaking, and this
clearance authority covers information collections related to this activity. It allows the agency to:
•
•
•
•

solicit grant applications from the public,
recruit peer reviewers from the public,
process awards, and
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, which governs NEH’s application guidelines and award requirements.
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. NEH uses the information it collects from respondents
internally and does not disseminate it publicly.
NEH uses information requested in the NOFO and application forms to determine the
applicants’ eligibility and applications’ completeness and responsiveness while ensuring
compliance with 2 CFR Part 200 and program requirements. The information collected 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. NEH plans to continue such efforts under this revision.
NEH’s existing clearance currently covers 27 information collections, and NEH is requesting
clearance for 8 additional information collections, all 35 of which are listed below.
Information Collection
1. Notice of Funding Opportunity
Template
2. FPIRI Evaluation Form

3. Certification of Matching Gifts
for NEH Challenge Grants
4. Assurances as to Labor
Standards

5. NEH Certification of
Gifts/Pledges
6. NEH Organizational Survey

7. NEH Supplemental Information
for Individuals
8. Supplementary Cover Sheet for
NEH Grant Programs

Brief Description
The NEH NOFO template is used for all NEH funding
programs’ application guidelines. It follows the format
and sequence set forth for all federal grantmaking
agencies in Appendix I of 2 CFR 200.
Fellowship Programs at Independent Research
Institutions (FPIRI) fellows may voluntarily complete
this form on the NEH website following their
fellowships to provide feedback on their fellowship
experiences.
NEH Challenge grant recipients are required to submit
this form annually to document required third-party
cost share.
Applicants with projects including relevant professional
performers submit this form in Grants.gov Workspace
at the time of application. It provides written assurance
that all projects or productions supported by NEH
funds will follow the standards set forth in 29 CFR Part
505.
NEH grant recipients whose projects include federal
matching funds are required to submit this form to
document required third-party cost share.
New NEH 501(c)(3) grant recipients receiving an award
greater than $50,000 complete this intake form with
information about their organization and its structure
at the time of award as part of the agency’s risk
management strategy.
Note: the term “survey” in this case does not match
OMB’s definition of a form collecting information about
a group’s opinions or experience.
Individual applicants complete this form in Grants.gov
Workspace at the time of application. It includes basic
information about the applicant and proposed project.
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.

9. Supplementary Cover Sheet for
NEH State Councils

10. NEH Panelist Sign Up Form
11. NEH Institutional Profile

12. NEH Individual Progress
Report
13. NEH Interim Performance
Progress Report
14. NEH Final Performance
Progress Report

15. Activities and Outcomes
Report for the State Humanities
Councils
16. NEH Interim Performance
Progress Report - Challenge
Programs
17. NEH Final Performance
Progress Report - Challenge
Programs
18. NEH Individual Programs
Acceptance Form
19. State Humanities Council
SHARP interim report
20. State Humanities Council
SHARP final report
21-23. SHARP Subrecipient
Selection Reports
24. Final Performance Report:
Preservation Assistance Grants

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.
Individuals can voluntarily indicate their interest in
serving as a peer reviewer for NEH by completing this
form on the NEH website.
Applicants to the Preservation Assistance Grants (PAG)
program complete this form at the time of application in
Grants.gov Workspace. It provides additional
information about the applicant and proposed project.
Individual grant recipients complete this report online
in eGMS Reach within 120 days of the period of
performance end date, consistent with 2 CFR 200.
Organizational award recipients (except those in
programs with a specialized interim report) complete
this report online and submit it annually, consistent
with 2 CFR 200.
Organizational award recipients (except those in
programs with a specialized final report) 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.
Challenge Grants recipients complete this report online
in eGMS Reach annually, 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.
Individual applicants complete this form at the time of
award to confirm acceptance of their award and finalize
their period of performance and payment schedule.
State humanities council recipients of formula-based
SHARP awards complete this report annually in eGMS
Reach.
State humanities council recipients of formula-based
SHARP awards complete this report at the end of their
period of performance in eGMS Reach.
These reports (tailored for individual, organizational,
and subgranting subrecipients) are used by state
humanities councils and ARP-G recipients to report on
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.

25-27. Performance Reports:
Public Humanities Projects
(Implementation, Planning, and
Humanities Conversations)
28. Fed/State Supplemental
Funding Interim Report (new
collection)
29. Fed/State Supplemental
Funding Final Report (new
collection)
30. Fed/State Partnership Regrant
Report (new collection)
31. Performance Report: Division
of Education Programs (new
collection)
32. Performance Report: Digital
Projects for the Public (new
collection)
33. Performance Report: Media
Production (new collection)
34. FPIRI Fellowship Data Form
(new collection)
35. FPIRI Financial Report (new
collection)
3.)

Public Humanities Projects recipients complete these
program-specific reports online in eGMS Reach within
120 days of the period of performance end date,
consistent with 2 CFR 200.
State humanities councils that received special initiative
supplemental funding will complete this report online
in eGMS Reach annually, consistent with 2 CFR 200.
State humanities councils that received special initiative
supplemental funding will 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 will submit this report to
identify organizations and individuals selected as
subrecipients.
Division of Education Programs recipients will
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 will complete
this report online in eGMS Reach within 120 days of the
period of performance end date, consistent with 2 CFR
200.
Media Projects: Production recipients will 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 will use this form to provide a
summary budget for their programs.

Information Collection Method

All NEH 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. 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. Individuals volunteering as peer reviewers submit their
credentials via the NEH website. All collections are overseen by NEH staff.
For the majority of NEH’s programs, NEH accepts proposals annually, though a few programs
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 Chair, Office of General Counsel, 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.
Recipients from several NEH programs complete performance reports that are tailored to the
program, so recipients do not have to complete more than one form or provide duplicate
information.
In several cases, 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. Recipients are only required to complete one
version of the interim and final performance progress report.
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.)

Consequences of Not Conducting Collections

NEH is a grantmaking agency and needs these collections to solicit applications; determine
applicant eligibility and qualification; and evaluate project performance. Without the use of
these collections, NEH would not be able to fund deserving projects in the humanities, as
authorized by 20 U.S.C. § 956, et seq. NEH aligns the frequency and content of its information
collections with 2 CFR 200 and has a two-tiered clearance process for NOFOs.
7.)

Explaining Special Circumstances

One of NEH’s information collections could fall under one of the scenarios listed in the
instructions. Recipients of individual awards must submit the NEH Individual Programs
Acceptance Form to confirm their start dates before receiving their award. If the recipient wants
the award to start within 30 days of the decision notification, they would have to complete the
form fewer than 30 days after receipt.
8.)

Consultation Outside of the Agency

NEH’s request for comment was published in the Federal Register on 5/24/2024 at 89 FR
45926:
https://www.federalregister.gov/documents/2024/05/24/2024-11529/agency-informationcollection-request-60-day-public-comment-request. It invited people to comment on NEH’s
estimated cost and burden hours for information collections. It received no comments.
9.)

Payment or Gift to Respondents

NEH does not provide payments or gifts to any respondents.
10.)

Privacy and Confidentiality

NEH includes a privacy policy in its NOFOs that references NEH’s System of Records Notice
(SORN). The Federal Register citation for NEH’s SORN is 87 FR 8616.
Information collections under this request collect minimal personally identifiable information
(PII) that is necessary to identify who is applying for / participating in an NEH award and their
qualification. PII collected includes individuals’ names, addresses, phone numbers, email
addresses, and employment history.
One form, the NEH Individual Programs Acceptance Form, collects sensitive PII. This form is
completed by individuals who have been selected to receive an NEH individual award and
collects PII necessary to verify their eligibility to receive federal funds. It is a secure, encrypted
form, and permissions to view PII are limited to NEH staff who need this information to process
awards.
11.)

Justification for Sensitive Questions

NEH does not collect any sensitive information from respondents, including details about sexual
behavior and attitudes, religious beliefs, or race/ethnicity.
12.)

Information Collection Burden Estimates

Title
1. NEH Notice of
Funding
Opportunity
Template
2. FPIRI
Evaluation Form
3. Certification of
Matching Gifts
for NEH
Challenge Grants
4. NEH
Assurances as to
Labor Standards
5. NEH
Certification of
Gifts/Pledges
6. NEH
Organizational
Survey
7. NEH
Supplemental
Information for
Individuals
8. Supplementary
Cover Sheet for
NEH Grant
Programs

Type of
collection
NOFO
template

Number of
respondents
4,894

Annual
responses
1

Hours per
response
60.00

Total
hours
293,640

Report
template
Award form

50

1

0.50

25

100

1

0.50

50

Application
form

150

1

0.25

38

Award form

75

1

0.50

38

Award form

35

1

0.50

18

Application
form

1,400

1

0.33

467

Application
form

3,450

1

0.17

575

9. Supplementary
Cover Sheet for
NEH State
Councils
10. NEH Panelist
Sign Up Form
11. NEH
Institutional
Profile
12. NEH
Individual
Progress Report
13. NEH Interim
Performance
Progress Report
14. NEH Final
Performance
Progress Report
15. Activities and
Outcomes Report
for the State
Humanities
Councils
16. NEH Interim
Performance
Progress Report Challenge
Programs
17. NEH Final
Performance
Progress Report Challenge
Programs
18. NEH
Individual
Programs
Acceptance Form
19. State
Humanities
Council SHARP
interim report
20. State
Humanities
Council SHARP
final report
21. State
Humanities
Council SHARP
Subrecipient
Selection Report
22. SHARP

Application
form

56

1

0.17

9

Review form

236

1

0.50

118

Application
form

157

1

0.25

39

Report
template

191

1

1.00

191

Report
template

542

1

2.00

1,084

Report
template

419

1

2.00

838

Report
template

56

1

30.00

1,680

Report
template

105

1

2.00

210

Report
template

30

1

2.00

60

Award form

225

1

0.50

113

Report
template

56

1

2.00

112

Report
template

56

1

3.00

168

Report
template

56

1

10.00

560

Report

6

1

10.00

60

Subrecipient
Selection Report
(individuals)
23. SHARP
Subrecipient
Selection Report
(organizations)
24. Final
Performance
Report:
Preservation
Assistance Grants
25. Performance
Reports: Public
Humanities
Projects
(Implementation)
26. Performance
Reports: Public
Humanities
Projects
(Planning)
27. Performance
Reports: Public
Humanities
Projects
(Humanities
Conversations)
28. Fed/State
Supplemental
Funding Interim
Report (new
collection)
29. Fed/State
Supplemental
Funding Final
Report (new
collection)
30. Fed/State
Partnership
Regrant Report
(new collection)
31. Performance
Report: Division
of Education
Programs (new
collection)
32. Performance
Report: Digital
Projects for the
Public (new

template
Report
template

7

1

10.00

70

Report
template

70

1

2.00

140

Report
template

47

1

2.00

94

Report
template

26

1

2.00

52

Report
template

11

1

2.00

22

Report
template

56

1

4.50

252

Report
template

56

1

4.50

252

Report
template

56

1

8.00

448

Report
template

200

1

2.00

400

Report
template

28

1

2.00

56

collection)
33. Performance
Report: Media
Production (new
collection)
34. FPIRI
Fellowship Data
Form (new
collection)
35. FPIRI
Financial Report
(new collection)
TOTAL

Report
template

29

1

2.00

58

Report
template

70

1

0.17

12

Report
template

13

1

1.00

13
301,962

Respondent time is estimated at $70.76 per hour, making the total annual burden dollars
$21,366,831.10.
There have been no significant changes to the number of respondents to these collections or the
time required to complete them since the previous revision, so our burden estimates for existing
collections remain the same. Burden estimates for new collections are based on the average
number of applicants to the relevant programs.
13.)

Cost Burden

These information collections do not require equipment or services outside of what is part of
customary and usual business.
14.)

Information Collection Cost to Federal Government

We estimated the total hours based on the complexity of the forms staff review. NEH staff spend
approximately four hours reviewing and processing each application (including the associated
forms), one hour reviewing performance reports, and thirty minutes for each voluntary peer
review application. The table below shows review time and cost.
Title

Type of
collection

Annual
responses

1. NEH Notice of Funding
Opportunity Template
2. FPIRI Evaluation Form

NOFO
template
Report
template
Award form

3. Certification of Matching
Gifts for NEH Challenge
Grants
4. NEH Assurances as to
Labor Standards
5. NEH Certification of
Gifts/Pledges
6. NEH Organizational Survey
7. NEH Supplemental

4,894

NEH
review
hours
4

Total NEH
review
hours
19,576

50

1

50

100

1

100

Application
form
Award form

150

0

0

75

1

75

Award form
Application

35
1,400

1
0

35
0

Information for Individuals
8. Supplementary Cover Sheet
for NEH Grant Programs
9. Supplementary Cover Sheet
for NEH State Councils
10. NEH Panelist Sign Up
Form
11. NEH Institutional Profile
12. NEH Individual Progress
Report
13. NEH Interim Performance
Progress Report
14. NEH Final Performance
Progress Report
15. Activities and Outcomes
Report for the State
Humanities Councils
16. NEH Interim Performance
Progress Report - Challenge
Programs
17. NEH Final Performance
Progress Report - Challenge
Programs
18. NEH Individual Programs
Acceptance Form
19. State Humanities Council
SHARP interim report
20. State Humanities Council
SHARP final report
21. State Humanities Council
SHARP Subrecipient Selection
Report
22. SHARP Subrecipient
Selection Report (individuals)
23. SHARP Subrecipient
Selection Report
(organizations)
24. Final Performance Report:
Preservation Assistance
Grants
25. Performance Reports:
Public Humanities Projects
(Implementation)
26. Performance Reports:
Public Humanities Projects
(Planning)
27. Performance Reports:
Public Humanities Projects
(Humanities Conversations)

form
Application
form
Application
form
Review form

3,450

0

0

56

0

0

236

0.5

118

Application
form
Report
template
Report
template
Report
template
Report
template

157

0

0

191

1

191

542

1

542

419

1

419

56

1

56

Report
template

105

1

105

Report
template

30

1

30

Award form

225

1

225

Report
template
Report
template
Report
template

56

1

56

56

1

56

56

1

56

Report
template
Report
template

6

1

6

7

1

7

Report
template

70

1

70

Report
template

47

1

47

Report
template

26

1

26

Report
template

11

1

11

28. Fed/State Supplemental
Funding Interim Report (new
collection)
29. Fed/State Supplemental
Funding Final Report (new
collection)
30. Fed/State Partnership
Regrant Report (new
collection)
31. Performance Report:
Division of Education
Programs (new collection)
32. Performance Report:
Digital Projects for the Public
(new collection)
33. Performance Report:
Media Production (new
collection)
34. FPIRI Fellowship Data
Form (new collection)
35. FPIRI Financial Report
(new collection)
TOTAL

Report
template

56

1

56

Report
template

56

1

56

Report
template

56

1

56

Report
template

200

1

200

Report
template

28

1

28

Report
template

29

1

29

Report
template
Report
template

70

1

70

13

1

13
22,365

The total time that NEH will spend reviewing these information collections is 22,365 hours.
With staff time estimated at $70.76 per hour, the total cost to the federal government is
$1,582,547.40.
15.)

Explanation of Adjustments

The total burden requested for this revision has decreased slightly (by 95 hours) from NEH’s
existing clearance, but it includes 8 additional information collections. The new collections
include program-specific performance reports that better tailor report questions to the specific
program.
16.)

Publication Plans

NEH will not publish responses to these information collections.
17.)

Displaying OMB Control Number

NEH is not seeking approval to not display the OMB approval expiration date.
18.)

Exceptions to “Certification for Paperwork Reduction Act Submissions”

NEH has no exceptions to the topics of the certification statement.