Folk & traditional arts infrastructure initiative, application guidelines

Folk & Traditional Arts
Infrastructure Initiative, « w
FY 2002

NATIONAL
ENDOWMENT
FOR THE ARTS

Application Calendar

OMB No. 3135-0112
Expires 07/31/2003

Category

Application

Postmark

Deadline

Earliest Announce-
ment of Grant Award
or Rejection

Earliest Beginning
Date for Endowment
Period of Support

Folk & Traditional
Arts Infrastructure
Initiative

October i, 2001

March 2002

April 1, 2002

Late applications and ineligible applica-
tions will be returned.

If you have questions:

Write: Folk & Traditional Arts
Infrastructure Initiative
National Endowment for the Arts
Nancy Hanks Center
1 100 Pennsylvania Avenue, NW
Washington, DC 20506-0001

Visit: World Wide Web site at www.arts.gov

Call: 202/682-5678 or 202/682-5726

202/682-5496 Voice/T.T. (Text-Telephone,
a device for individuals who are deaf or
hard-of-hearing)

Individuals who do not use conventional
print may access these guidelines on the
Web site or contact the Arts Endowment's
Office for AccessAbility at 202/682-5532
for help in acquiring an audio recording of
these guidelines.

Contents

4 FOLK & TRADITIONAL ARTS
INFRASTRUCTURE INITIATIVE

4 Eligibility

5 Application Review and
Announcement Date

5 Review Criteria

6 Grant Amounts and Matching Funds
6 Deadline Date

6 Period of Support

6 General Terms & Conditions

7 HOW TO APPLY

8 Application Forms
8 Basic Information
io Application Narrative
12 Project Budget
1 6 Work Sample Index
1 8 Organization & Project Profile

2 1 Legal Requirements

2 1 Assurance of Compliance

Back cover: Application Acknowledgment Card

MISSION

The National Endowment for the Arts, an investment in America's living cultural heritage, serves the pub-
lic good by nurturing the expression of human creativity, supporting the cultivation of community spirit,
and fostering the recognition and appreciation of the excellence and diversity of our nation's artistic
accomplishments.

GOALS

To fulfill its mission, the Arts Endowment has established the following programmatic goals:

■ To broaden public access to the excellence and diversity of the arts.

■ To foster opportunities for the creation and presentation of artistically excellent work.

■ To strengthen the role of the arts in our nation's educational system and encourage lifelong learning
in the arts.

■ To preserve our nation's cultural heritage for the 21st century.

■ To strengthen the organizational and financial capabilities of America's arts organizations.

■ To help address the concerns of America's communities through the arts.

■ To strengthen the Endowment's partnerships with the public and private sectors.

FOLK & TRADITIONAL \K I s IM K \s I Kl i I t Kl I si I I \ I l\ I

Folk & Traditional Arts Infrastructure Initiative

For more than 20 years, the Arts Endowment has
helped to create and support a network of folk & tra-
ditional arts programs. Many of these programs are
housed in state arts agencies, in multi-state regional
organizations, and in other organizations that work
in partnership with state arts agencies. This initia-
tive advances the Arts Endowment's goal to honor,
assist, encourage, and present those artists and forms
of artistic expression and practice that reflect the
many cultural traditions that make up our nation by
strengthening the state and regional infrastructure of
support for the folk & traditional arts. For the pur-
poses of these guidelines, the term infrastructure
refers to stable, professionally-directed programs
that are responsive to a diverse folk & traditional
arts heritage.

Priority will be given to those projects with: 1)
the greatest impact in expanding or strengthening a
state or region's infrastructure of support for the folk
& traditional arts, and 2) the potential for long-term
artistic impact.

Projects with high impact might include, but are
not limited to:

■ Professional folk arts positions in support of the
folk & traditional arts. Such positions should have the
potential to become self-sustaining within three years.

■ The creation of long-term organizational and com-
munity partnerships that are based in the folk & tra-
ditional arts.

■ Discovery research to identify and document
underserved folk & traditional artists and arts.

■ Apprenticeship programs.

■ Technical assistance to traditional artists and folk

arts organizations. „,,.,«. T ^ «.,

■ For the Local Cultures Infrastructure Pilot

■ Festivals, exhibitions, new technology, and other Initiative, a local arts agency or nonprofit tax-
presentations of folk & traditional artists and their exempt community-based cultural organization that
work. supports the folk & traditional arts on a local basis.

(Potential applicants must consult with the Folk &

New, expanded, or existing projects are eligible.

Support is not available to assume the costs of
activities that currently are supported with fed-
eral Partnership Agreements funds, state funds,
or other non-federal funds.

LOCAL CULTURES INFRASTRUCTURE PILOT
INITIATIVE

For FY 2002, the Folk & Traditional Arts Infra-
structure Initiative will support up to 12 start-up
folk arts positions at local arts agencies and com-
munity-based cultural organizations. Priority will be
given to professional folk arts positions that address
the needs of previously underserved geographic or
cultural communities. Positions should have the
potential to become self-sustaining within three
years. Grant funds may not be used to assume the
costs of existing positions.

Organizations that are interested in applying for
this pilot initiative must consult with the Folk &
Traditional Arts staff (202/682-5678 or 682-5726)
prior to August 31, 2001.

ELIGIBILITY

Eligible applicants are:

■ The 50 state and six jurisdictional arts agencies.

■ In partnership with a state arts agency, a state
or local public entity or nonprofit tax-exempt organ-
ization that supports the folk & traditional arts on a
state-wide basis.

■ Regional organizations of state arts agencies.

FOLK & TRADITIONAL ARTS INFRASTRUCTURE INITIATIVE - FY 2002

Traditional Arts staff prior to August 31, 2001. merit categories, including Grants to Organizations.

Applicants also are encouraged to contact their state In each case, the request must be for a project with

arts agency for technical assistance and information costs (for both the federal and matching funds) that

on additional resources within the state.) are distinctly different.

To be eligible, the applicant organization must:

■ Meet the "Legal Requirements" on page 21.

■ Have professional staff, paid or volunteer, who
can devote the time and effort that are required to
accomplish the project.

■ If a former grantee, have submitted acceptable
Final Report packages on any completed Arts
Endowment grant(s) by the Final Report due date(s).

No eligible applicant may submit more than one
application under these guidelines. Any state or
jurisdiction may submit only one application for a
state-wide or multi-state project. However, each
state or jurisdiction also may be involved in one
additional multi-state application that is submitted
by its regional arts organization. NOTE: The Local
Cultures Infrastructure Pilot Initiative is not subject
to the state-wide and multi-state application limits.

At the time of application, state arts agencies
and regional arts organizations must be operating
under plans that have been approved by the Arts
Endowment.

For state-wide or multi-state projects, applica-
tions from groups other than state arts agencies must
include letters from the relevant state arts agency(ies)
that reflect their support for and involvement in the
project. Applications must demonstrate how the pro-
ject will relate to the state or region's overall plan
for the support of the arts.

Only state arts agencies, their regional arts organ-
izations, and local arts agencies that are publicly-
designated, nonprofit tax-exempt organizations are
allowed by the Endowment's current legislation to
subgrant or regrant funds that are awarded under this
Initiative.

If eligible, a Folk & Traditional Arts Infrastruc-
ture applicant also may apply under other Endow-

APPLICATION REVIEW AND
ANNOUNCEMENT DATE

All applications are reviewed by an advisory panel.
Panel recommendations are forwarded to the
National Council on the Arts. The Council sends to
the Chairman of the National Endowment for the
Arts those applications that it recommends for fund-
ing. The Chairman makes the final decision on all
grant awards. Applicants will be notified of award
or rejection in March 2002.

REVIEW CRITERIA

The following criteria are considered during the
review of applications:

■ The artistic excellence of the project.

■ The artistic merit of the project, which includes
the:

- Impact of the project in expanding or strength-
ening the local, state, or regional infrastructure of
support for the folk & traditional arts, including
the potential for long-term artistic impact.

- Ability of the applicant to complete the project
successfully, including the qualifications of the
project's personnel.

- Applicant' s demonstrated commitment to sup-
port of the folk & traditional arts.

- For professional folk arts positions, the poten-
tial to become self-sustaining within three years.

- Where appropriate, geographic location of the
applicant organization, or the potential to reach
underserved populations such as those in rural
areas, culturally diverse or ethnically specific
communities, and individuals with disabilities.

Mil K & IK \MIION \1 \Kl\l\IRWIKIlMKI IMIIMIM

GRANT AMOUNTS AND MATCHING FUNDS STANDARDS FOR SERVICE

Grants will range from $10,000 to $50,000 and The Arts Endowment has set the following stan-
require a match of at least 1 to 1 . dards for serving applicants. We pledge to:

DEADLINE DATE

Complete application packages must be postmarked
no later than October 1, 2001.

PERIOD OF SUPPORT

The Endowment's support of a project may start any
time on or after April 1, 2002. A grant period of up
to two years is allowed. Allow sufficient time to
plan, execute, and close out your project.

GENERAL TERMS & CONDITIONS

Federal and agency requirements that relate to grants
awarded by the National Endowment for the Arts
are highlighted in our General Terms & Conditions,
which is sent to all grantees in the grant award pack-
age. It also is available from the Arts Endowment's
World Wide Web site at www.arts.gov. Included is
information on U.S. Office of Management and Bud-
get (OMB) requirements, matching funds, reporting
requirements, and lobbying prohibitions.

■ 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 oppor-
tunities and mail available guidelines promptly.

■ Promptly acknowledge the receipt of your appli-
cation.

■ Ensure that all eligible applications are reviewed
thoughtfully and fairly.

We welcome your comments on how we're meet-
ing these standards. Please address them to:
Standards for Service Coordinator; Room 628;
National Endowment for the Arts; Nancy Hanks
Center; 1100 Pennsylvania Ave., NW, Wash-
ington, DC 20506-0001; phone: 202/682-5408;
e-mail: webmgr@arts.endow.gov, attention: Stan-
dards for Service Coordinator.

For questions about these guidelines or your appli-
cation, contact the Folk & Traditional Arts staff at
202/682-5678 or 202/682-5726.

FOLK & TRADITIONAL ARTS INFRASTRUCTURE INITIATIVE - FY 2O02

How to Apply

To make your application easy to photocopy, use
only paper clips or rubber bands — no staples,
please — to fasten your material. Type or word-
process all application materials using a 12 point or
larger font. Submit all material on one side only.
Narrative material (excluding the Application
Forms) must have a margin of at least one inch on
the top, bottom, and sides of pages so that it can be
copied and placed in notebooks for panel review.

Send your application package to:

Office of Information and Technology Management

Room 815

(Folk & Traditional Arts Infrastructure Initiative)

National Endowment for the Arts

Nancy Hanks Center

1 100 Pennsylvania Avenue, NW

Washington, DC 20506-0001

Please submit your application material in the order
and format noted below:

1. The completed Application Acknowledgment
Card from the inside back cover of these guidelines.
The guidelines on our Web site do not include
the Application Acknowledgment Card. If you use
the on-line version, please self-address a postcard
and include it with your application. The Endow-
ment will complete the postcard and return it to you
in lieu of an Application Acknowledgment Card.

3. The original (i.e., a set with original signatures)
and two copies of the Application Forms on pages
8-20. Instructions for those items that require expla-
nation are on the form or on the page opposite the
form in this booklet. When you photocopy your two
copies of the completed Application Forms, be sure
to copy only the forms and not the instruction pages.

Application forms that can be filled out on a
computer are available on the Arts Endowment's
World Wide Web site at www.arts.gov. Application
forms also may be reproduced on a computer, but
they must be accurate replicas of the actual forms.
Do not add pages. All completed application forms
must be mailed to the Arts Endowment in hard copy
format as part of the application package.

4. Three sets of supplementary material (up to 20
pages per set) that can enhance a panelist's under-
standing of the project. Include a concise sampling
of items such as letters of support, biographies of
key project-related personnel, brochures, published
articles, documentation of a Web site, maps, or other
relevant documents.

For state-wide or multi-state projects, appli-
cations from groups other than state arts agencies
must include letters from the relevant state arts
agency(ies) that reflect their support for and involve-
ment in the project. Applications must demon-
strate how the project will relate to the state or
region's overall plan for the support of the arts.

2. One copy of 1) a letter from the Internal Revenue
Service (IRS) that reflects the applicant's current
IRS status and legal organization name, or 2) the
official document that identifies the applicant as a
unit of state or local government, or as a federally
recognized tribal community or tribe. Local arts
agencies applying for subgranting projects also must
include a copy of the city/county ordinance, resolu-
tion, charter, or contract that assigns them the author-
ity to operate on their local government's behalf.

5. If appropriate to the project, one copy of a work
sample(s) that can demonstrate the artistic excel-
lence and artistic merit of the project. Also complete
and submit the Work Sample Index on page 16. See
"How to Submit Work Samples" on page 17.

6. If the project has received previous Arts Endow-
ment support under any category, three copies of a
one-page status report on the activities that were
funded. Provide the grant number(s).

FOLK & TRADITIONAI \K I - I SI K \s I Kl I II Kl IM 1 I \ 11% I FY 2

Basic Information

OMB No. 3135-0112
Expires 07/31/2003

Is this your first application to the Arts Endowment? __ No D Yes

If no, please check here if your name or address has changed since your last application: □

Applicant (official IRS name):

Mailing Address:

Street Address (if different):

World Wide Web Address:

Taxpayer ID Number (9-digit number):

For this application, the applicant is serving as a (check if applicable): □ Fiscal Agent

If you have checked one of the boxes above, list here the group or entity on whose behalf you are applying:

Parent of a Component

Project Director First: Last:

(Check one) 3 Mr. □ Ms.

Title: E-mail:

Telephone: ( ) ext.

Fax: ( )

Category: Folk & Traditional Arts Infrastructure Initiative (3-55)

Period of Support (e.g., 04/01/02 to 03/31/03): / /

To:

/

/

Summary of project:

Project Budget Summary:

$

Amount Requested

PLUS

$

MUST EQUAL

$

Total Match for this Project

Total Project Costs

Total organizational operating expenses for the most recently completed fiscal year:

For year ending (Month/Year): /

I certify that the information contained in this application, including all attachments and supporting material, is true and correct to the
best of my knowledge. I also certify that the applicant is in compliance with the federal requirements specified under "Assurance of
Compliance" on pages 21-23.

1. Authorizing Official First:

Last:

(Check one) Z Mr. Z Ms.

Title:

E-mail:

Telephone: ( )

ext.

Fax: ( )

Signature of Authorizing Official:

Date: / /

Optional

2. Additional Authorizing Official First:

Last:

(Check one) Z Mr. Z Ms.

Title:

E-mail:

Telephone: ( )

ext.

Fax: ( )

Signature of Additional Authorizing Official:

Date: / /

8 FOLK & TRADITIONAL ARTS INFRASTRUCTURE INITIATIVE - FY 2002

Instructions for the Basic Information Form

APPLICANT: Type your organization's name and address in the
spaces provided. The name provided here and at the top of each
page must be identical to the applicant's legal name in the IRS
determination letter for tax-exempt status or in the official docu-
ment that identifies the organization as a unit of state or local gov-
ernment, or as a federally recognized tribal community or tribe.
If you indicate that your name has changed, you must provide the
IRS documentation that proves this. If the applicant uses a popu-
lar name that is different, you may note that name in parentheses
after the IRS name.

If you are a fiscal agent or a parent organization that is apply-
ing on behalf of a sponsored organization or component, do not
list the name of the sponsored organization or component here;
you will be asked to provide it below. For example, a fiscal agent
applying on behalf of a sponsored organization would list its name
here ("State Arts Council"), and the name of the sponsored organ-
ization ("ABC Community Organization") below.

TAXPAYER ID NUMBER: Also known as "Employer Identifi-
cation Number." Enter the 9-digit number that was assigned by the
Internal Revenue Service; do not use a Social Security Number.

PERIOD OF SUPPORT is the span of time that is necessary to
plan, execute, and close out your project. Use two-digit numerals,
e.g., 04/01/02 1003/31/03. The Endowment's support of a project
may start any time on or after April 1, 2002. A grant period of up
to two years is allowed.

PROJECT BUDGET SUMMARY:

■ Amount Requested: Be sure that this is the same as the
"Amount requested from the Arts Endowment" on page 12.

■ Total Match for this Project: This is a restatement of the
"Total match for this project" on page 12.

■ Total Project Costs: This is a restatement of the "Total project
costs" on page 14.

TOTAL ORGANIZATIONAL OPERATING EXPENSES FOR
THE MOST RECENTLY COMPLETED FISCAL YEAR:

If you are a fiscal agent or a parent organization, provide this
information for the group or component on whose behalf you are
applying. Unaudited figures are acceptable.

FOR THIS APPLICATION, THE APPLICANT IS SERVING

AS A (check if applicable; otherwise leave blank):

■ Fiscal agent for another organization that does not have its
own nonprofit status but otherwise meets the eligibility require-
ments. Check the "Fiscal Agent" box and enter the name of the
group on whose behalf you are applying in the space provided.
Unless otherwise noted, items that relate to the official applicant
should refer to the fiscal agent.

■ Parent institution applying on behalf of an eligible separate
component (e.g., a radio station located on a university campus).
Check the "Parent of a Component" box and enter the name of the
component in the space provided. Unless otherwise noted, items
that relate to the official applicant should refer to the parent organ-
ization.

AUTHORIZING OFFICIAL(S): Provide this information for the
official of the applicant organization who has the legal authority
to obligate the organization. This individual should sign and date
the form where indicated.

If you are awarded a grant, the authorizing official(s) identi-
fied on your application can sign payment requests, requests to
amend the grant, and final reports. If your organization wishes to
identify more than one authorizing official for this project, please
provide the information requested under "2. Additional Author-
izing Official" and have the second authorizing official sign in the
space provided.

FOLK &TRAD1TIONAI \K I S IM K \M Kl i I I Kl IM I I \ 1 l\ E I ~i :

Application Narrative

OMB No. 3135-0112
Expires 07/31/2003

Read the instructions on page 11 before you start. You may attach up to three additional pages if necessary.
Applicant (official IRS name):

1 0 FOLK & TRADITIONAL ARTS INFRASTRUCTURE INITIATIVE - FY 2002

Instructions for the Application Narrative Form

Type your narrative in the space provided; leave a one inch
margin on each side. Do not reduce type below 12 point font
size; leave space between paragraphs. The Endowment and
panelists prefer succinct narratives; however, you may attach up
to three additional pages if necessary. Make sure that any addi-
tional pages are labeled clearly with your organization's name and
have margins of at least one inch.

The information that you provide will be reviewed in accordance
with the "Review Criteria" on page 5. Make sure your narrative
addresses each of the "Review Criteria" and includes information
on:

■ The project's strategic role in building infrastructure for the folk
& traditional arts.

■ How the project will benefit all participating partners.

■ Plans for assessment of the project's accomplishments.

■ For state-wide or multi-state projects, how the project will relate
to the state or region's overall plan for the support of the arts.

■ For professional folk arts positions, how the position will
become self-sustaining within three years.

- For the Local Cultures Infrastructure Pilot Initiative, how

the position addresses the needs of previously underserved geo-
graphic or cultural communities.

POLK & TRADIIION \l VRTS INFRASTRUCTURE INITIATIVE FY 2002 11

Project Budget

Page 1 of 2. Read the instructions on page 13 before you start.

OMB No. 3135-0112
Expires 07/31/2003

Applicant (official IRS name):

INCOME

1. Amount requested from the Arts Endowment:

2. Total match for this project. Be as specific as possible. Asterisk (*) those funds that are committed or secured.
Cash (Refers to the cash donations, grants, and revenues that are expected or received for this project)

Amount

Total cash a. $.

Donated space, supplies, volunteer services (These same items also must be listed as direct costs under "Expenses" below or on page 14;
identify sources)

Total donations b. $

Total match for this project (a.

+ b.)$

EXPENSES

1. Direct costs: Salaries and wages

Title and/or
type of personnel

Number of
personnel

Annual or average
salary range

% of time devoted
to this project

Amount

Total salaries and wages a. $

Fringe benefits

Total fringe benefits b. $ .

Total salaries, wages, and fringe benefits (a. + b.) $ .

1 2 FOLK & TRADITIONAL ARTS INFRASTRUCTURE INITIATIVE - FY 2002

Instructions for the Project Budget Form

Organizations may not receive grants from more than one Arts
Endowment category for the same expenses. Support is not
available to assume the costs of activities that currently are
supported with federal Partnership Agreements funds, state
funds, or other non-federal funds. Only state arts agencies, their
regional arts organizations, and local arts agencies that are
publicly-designated, nonprofit tax-exempt organizations are
allowed by the Endowment's current legislation to subgrant or
regrant funds that are awarded under this Initiative.

Your Project Budget should reflect only those costs that will
be incurred during the "Period of Support" that you indicate on
page 8; do not include costs incurred before or after those dates.
Round all numbers to the nearest $100. Combine like costs if
necessary to making rounding more realistic.

INCOME

i. AMOUNT REQUESTED FROM THE ARTS ENDOW-
MENT: Indicate the amount that you are requesting from the Arts
Endowment.

2. TOTAL MATCH FOR THIS PROJECT: The Arts Endow-
ment requires each applicant to obtain at least half the total cost
of each project from non-federal sources. Matches of more than
dollar for dollar are encouraged. Be as specific as possible. Aster-
isk (*) those funds that are committed or secured.

Cash match refers to the cash donations (including items or
services that are provided by the applicant organization), grants,
and revenues that are expected or received for this project. Do not
include any Arts Endowment or other federal grants that are antic-
ipated or received. Identify sources.

Donated space, supplies, volunteer services (also known as
in-kind contributions) are goods and services that are donated by
individuals or organizations other than the applicant. To qualify
as matching resources, these same items also must be listed in
the project budget as direct costs. The dollar value of these non-
cash donations should be calculated at their verifiable fair-market
value. Identify sources. Reminder: Proper documentation must be
maintained for all items noted as "in-kind."

EXPENSES

DIRECT COSTS are those that are identified specifically with
the project.

i. DIRECT COSTS: Salaries and wages cover compensation
for personnel, administrative and artistic, who are paid on a salary
basis. (Funds for contractual personnel and compensation for
artists who are paid on a fee basis should be included in "3. Other
expenses," and not here.) Indicate the title and/or type of person-
nel, the number of personnel, the annual or average salary range,
and the percentage of time that will be devoted to the project. List
key staff positions, and combine similar functions. Where appro-
priate, use ranges. (See example below.)

Salaries and wages for performers and related or supporting
personnel must be estimated at rates no less than the prevailing
minimum compensation as required by the Department of Labor
Regulations. (See "Legal Requirements" on page 21.) Salaries and
wages that are incurred in connection with fund raising are not
allowable project expenses; do not include them in your budget.

Fringe benefits are those costs other than wages or salary that
are attributable to an employee, as in the form of pension, insur-
ance, etc. They may be included here only if they are not included
as indirect costs.

EXAMPLE

Title and/or
type of personnel

Number of
personnel

Annual or average
salary range

% of time devoted
to this project

Amount

Executive Director
Archivists
Support Staff

1

$40,000 per yr.

10%

$4,000

3

$20-25,000 per yr.

5-40%

$15,000

2

$15-20,000 peryr.

20-30%

$9,000

FOLK & |-R.\Dllll>\ \l \K IS |\| K \MK!

13

Project Budget

Page 2 of 2. Read the instructions on page 15 before you start.

OMB No. 3135-0112
Expires 07/31/2003

Applicant (official IRS name):

EXPENSES, CONTINUED

2. Direct costs: Travel (include subsistence)

# of travelers From To Amount

Total travel $.

Direct costs: Other expenses (Include consultant and artist fees, honoraria, contractual services, sign-language interpretation, closed or
open captioning, large-print brochures/labeling, telephone, photocopying, postage, supplies and materials, publication, distribution, trans-
lation, transportation of items other than personnel, rental of space or equipment, and other project-specific costs)

Amount

Total other expenses $.

4. Total direct costs (1 .+2.+3.)

5. Indirect costs (if applicable):

Federal Agency: Rate (%) x Base = $.

6. Total project costs (4.+5.)

1 4 FOLK & TRADITIONAL ARTS INFRASTRUCTURE INITIATIVE - FY 2002

Instructions for the Project Budget Form

EXPENSES, CONTINUED

2. DIRECT COSTS: Travel must be estimated according to the
applicant's established travel practice, providing that the travel
cost is reasonable and does not exceed the cost of air coach
accommodations. Include subsistence costs as part of the
"Amount" listed for each trip, as appropriate. Foreign travel, if
any is intended, must be specified in this section and must con-
form with government regulations. If Arts Endowment funds are
used for foreign travel, such travel must be booked on a U.S. air-
carrier when this service is available.

3. DIRECT COSTS: Other expenses include consultant and
artist fees, honoraria, contractual services, sign-language inter-
pretation, closed or open captioning, large-print brochures/label-
ing, telephone, photocopying, postage, supplies and materials,
publication, distribution, translation, transportation of items other
than personnel, rental of space or equipment, and other project-
specific costs. List artist compensation here if artists are paid
on a fee basis.

Television broadcast projects and educational/interpretive
videos must be closed or open captioned. Applicants should check
with captioning organizations for an estimate.

If you intend to purchase any equipment that costs $5,000
or more per item and that has an estimated useful life of more
than one year, you must identify that item here and attach a
written justification.

Group similar items together on a single line, with only one
total cost. List consultant and artist fees, honoraria, or contracts
for professional services on consecutive lines; do not scatter them
throughout the list. Specify the number of persons and the appli-
cable fee, rate, or amount of each. You may attach additional
sheet(s) if necessary. (See example below.)

Do not include fund raising, entertainment or hospitality activi-
ties, fines and penalties, bad debt costs, deficit reduction, cash
reserves or endowments, lobbying, marketing expenses that are
not directly related to the project, contingencies, miscellaneous,
or costs incurred before the beginning of the official grant period.

4. TOTAL DIRECT COSTS is the total of all direct cost items
listed in "1. Salaries and wages," "2. Travel," and "3. Other
expenses."

5. INDIRECT COSTS are overhead or administrative costs that
are not readily identifiable with a specific project. In order to
assign these costs to a particular project, an indirect cost rate may
be used provided you have negotiated, or will negotiate before the
end of the grant period, such a rate with the Arts Endowment or
another federal agency. You do not need to include indirect costs
to apply to or to receive a grant from the Endowment. Adminis-
trative costs may be assigned as direct costs under "3. Other
expenses" if you do not wish to use indirect costs, or if you do not
have or intend to negotiate an indirect cost rate. If you are not
applying with an indirect cost rate, leave this section blank. If you
are applying with an indirect cost rate, attach a copy of your cur-
rent negotiated agreement.

For guidance on how to prepare an indirect cost rate proposal,
contact the Office of Inspector General, Room 601, National
Endowment for the Arts, Nancy Hanks Center, 1 100 Pennsylva-
nia Avenue, NW, Washington, DC 20506-0001 (202/682-5402).

6. TOTAL PROJECT COSTS is the total of "4. Total direct
costs," and, if applicable, "5. Indirect costs." NOTE: "1. Amount
requested from the Arts Endowment" plus "2. Total match for this
project" must equal the "Total project costs." Your project bud-
get should not equal your organization's entire operating budget.

EXAMPLE

Artists (5 @ $300-500 per week/30 weeks) $60,000

Consultants

(2 @ $150 per 1/2 day/1 day per mo./10 mos.) $6,000

Access accommodations

(sign-language interpretation and audio description) $1,200

Costumes, props $6,500

Project supplies $4,000

Administration (rent, telephone, copying) $5,000

FOLKd IK \DIHON \l VRTS INFRA

15

Work Sample Index

OMB No. 3135-0112
Expires 07/31/2003

Refer to "How to Apply" on page 7 and the instructions on page 17. List the work(s) submitted as part of your application package
in the order in which you want them reviewed.

Applicant (official IRS name):

WORK SAMPLE A

1. Format (check one): □ Slides □ Books/publications □ Audio cassette D CD □ DAT

□ VHS □ 3/4" video cassette □ CD-ROM □ Other

2. List selections/describe contents

(Where appropriate, indicate title of work/artists/production credits, etc. Attach additional sheet(s) if necessary):

3. Date work(s) completed or performed:

4. Relationship of work sample to the project:

5. Special Instructions (Include cue information or real elapsed time, indicating the start of each selection):

WORK SAMPLE B

1. Format (check one): □ Slides □ Books/publications H Audio cassette D CD □ DAT

□ VHS □ 3/4" video cassette □ CD-ROM □ Other

List selections/describe contents

(Where appropriate, indicate title of work/artists/production credits, etc. Attach additional sheet(s) if necessary):

3. Date work(s) completed or performed:

4. Relationship of work sample to the project:

5. Special Instructions (Include cue information or real elapsed time, indicating the start of each selection):

If more than two work samples are submitted, you may either copy this blank form, obtain a copy of this form from the Arts Endowment s World
Wide Web site at www.arts.gov, or reproduce it on your computer (please keep to the original format). Label additional samples C, D, E...

1 6 FOLK & TRADITIONAL ARTS INFRASTRUCTURE INITIATIVE - FY 2002

Instructions for the Work Sample Index Form

List and describe the work samples that you are submitting in the
order in which you want them reviewed.

VIDEO CASSETTES: Tapes must be 1/2 inch VHS or 3/4 inch
cassette, recorded at standard play speed.

HOW TO SUBMIT WORK SAMPLES

Work samples are crucial for evaluating the artistic quality of
your project. Please take the time to select samples that commu-
nicate effectively the range and quality of your proposal.

Panelists generally spend no more than three to five min-
utes on the work sample(s) for each application. Organize and
cue your submission(s) accordingly. Please be aware that the
entire sample (not just the selected segment) is considered a part
of the application package and may be reviewed.

Work samples generally will not be returned. The Arts
Endowment will attempt to return them when the applicant speci-
fically requests that we do so. Do not submit a return envelope
with your work samples. The Endowment cannot be responsible
for any loss or damage.

ALL WORK SAMPLES

Label each sample clearly with the name of the applicant and the
corresponding Work Sample letter from the Work Sample Index.
If possible, label both the cassette or disc, and its container. If you
are submitting slides, see the instructions below.

SPECIFIC INSTRUCTIONS FOR CERTAIN
TYPES OF WORK SAMPLES

AUDIO AND VIDEO CASSETTES: List each cassette as one
work sample on the Work Sample Index form. Place the selec-
tion^) in priority order, with those that you would most like
reviewed at the beginning of the tape. Indicate the accumulated
elapsed real time of each. For example, starting at the beginning
of a 15-minute tape, Selection 1 would be indicated as o'oo". If
five minutes elapse from the beginning of the tape to where the sec-
ond selection starts, Selection 2 would be indicated as 5'oo", etc.

AUDIO CASSETTES: Work may be submitted on an audio cas-
sette or on DAT (digital audiotape). Use high bias chrome or
metal tapes; do not use voice quality tapes unless you are apply-
ing for a spoken-word project. Note on the cassette whether or not
you have used a noise reduction system and indicate what kind.
Record works on one side only. For DATs, program a separate
track for each selection on the tape.

COMPACT DISCS: List each CD as one work sample on the
Work Sample Index form. Indicate the track number(s) that you
want reviewed in priority order.

CD-ROMs: List each CD-ROM as one work sample on the
Work Sample Index form. Indicate the files(s) that you want
reviewed in priority order. Include instructions on how to open
the files.

SLIDES: Slides must be 35 mm and suitable for carousel pro-
jection. Do not submit glass slides or use masking tape or other
thick tape to label slides. Submit slides as follows:

■ Number each slide.

■ Place an ink dot on the front bottom left of each slide to guar-
antee that it is projected correctly.

■ Place the slides in a 9 inch by 1 1 inch clear plastic file sheet.

■ List your set of slides as one work sample on the Work
Sample Index form. Attach to the Work Sample Index a num-
bered list of the individual slides. Be sure that the numbers on
your list correspond to the numbers on each slide. Provide the fol-
lowing information, as applicable, about each slide:

-Artist's name.

- Title of slide/work.

- Medium.

- Date of work/activity.

- Dimensions of artwork.

- A brief description of the work, including how this image
relates to the project.

ADVANCED TECHNOLOGY (e.g., electronic publications,
computer art, Internet projects): Call the Arts Endowment staff at
202/682-5678 or 202/682-5726 for guidance in preparing a sub-
mission.

FOLK cV IRADII IONAL ARTS II CTL'RI IN

17

Organization & Project Profile

OMB No. 3135-0112
Expires 07/31/2003

Applicant (official IRS name):

This form is used by the National Endowment for the Arts to develop statistical profiles of the applications it receives. Your responses will not be
a factor in the review of your application.

PART I

This section requires information about the applicant. If you are a fiscal agent or a parent organization, your responses should relate
to your organization, not the group or component on whose behalf you are applying.

A. ORGANIZATIONAL STATUS: Using the following list, select the one

item which best describes the legal status of the organization:

Nonprofit organization 02 O

State government 05 O

County government

07 O

Municipal government 08 O

Tribal government 09 O

None of the above

99 O

B. ORGANIZATIONAL DESCRIPTK

DN: Using the following list, select the one item which best describes the organization:

Arts Center 15 O

Community Service 32 O

Historical Society/

28 O

School District 19 O

(e.g., a multi-purpose arts
facility)

Arts Council or Agency 16 O

(includes regional arts
organizations)

Arts Service 17 O

Organization (a non-arts
service organization, e.g.,
youth center, chamber of
commerce, or YMCA)

Fair or Festival 14 O

Foundation 30 O

Commission

Humanities Council
or Agency

Museum — Art

Museum — Other

29 0

08 O

09 O

Social Service 50 O
Organization (a govern-
mental or private agency,
e.g., a public housing
authority)

State-wide Assembly 1 7A O

Organization

Gallery/Exhibition 10 O

Performance Facility

07 O

None of the above 99 O

College or University 26 O

Space

Government 38 O
(state, county, local,
or tribal)

Presenter/Cultural
Series Organization

47 O

C. ORGANIZATIONAL DISCIPLINE: Using the following list, select the one item which best describes the organization's area of work in the
arts (not the project for which it is applying):

Crafts
Dance

07 O

Folk & Traditional Arts

12 O

Visual Arts 05 O

01 O

Humanities

13 D

Multidisciplinary 14 O

Music

02 O

(more than one discipline)

None of the above

99 O

D. ORGANIZATIONAL RACE/ETHNICITY (OPTIONAL): Using the designations below, select the one item which best describes the predom-
inant racial/ethnic identity of the organization. If at least half of the board, staff, or membership belongs to one of the listed racial/ethnic
groups, use that designation. If no one group predominates, select "General".

American Indian or NO

Alaska Native

Asian A O

Black or BO

African American

Hispanic or Latino H O

Native Hawaiian or O O

Other Pacific Islander

White W O

General G O

(No predominant racial/
ethnic identity)

E. ACCESSIBILITY: Check below as applicable to indicate if the organization's board or staff includes an older adult (65 years of age or older)
or a person with a disability (a physical or mental impairment that substantially limits one or more major life activities); otherwise leave blank.

Older Adults D

Individuals with Disabilities O

18

FOLK & TRADITIONAL ARTS INFRASTRUCTURE INITIATIVE - FY 2002

Organization & Project Profile (cont'd.)

OMB No. 3135-0112
Expires 07/31/2003

Applicant (official IRS name):

PART II — This section requires information about the project.

A. PROJECT DISCIPLINE: Using the following list, select the one item which best describes the project discipline:

Crafts
Dance

07 D
01 □

Folk & Traditional Arts 12
Music 02

Visual Arts 05

Multidisciplinary 14

(more than one discipline)

None of the above

99

B. ACTIVITY TYPE: Using the following list, select the one item which best describes the main activity of the project:

Concert/Performance/ 05 □
Reading

Includes production
development

Exhibition 06 □

Includes visual arts, media
arts, design, and exhibition
development

Fair/Festival

08 Z

Identification/ 09 □

Documentation (e.g., for
archival or educational
purposes)

Publication

(e.g., books, manuals,
newsletters)

17

Seminar/Conference 22

Apprenticeship

25 □

Distribution of Art 24 Z

(e.g., films, books, prints;
include broadcasting)

Professional Support: 14 □
Administrative (includes
consultant fees)

Professional Support: 15 D
Artistic (e.g., artists' fees,
payments for artistic services)

Professional 29 □

Development/Training

Activities enhancing career
advancement

Research/Planning

Includes program eval-
uation, strategic planning,
discovery research, and
establishing partnerships

19

33

Building Public
Awareness

Activities designed to
increase public understanding
of the arts or to build public
support for the arts

Technical Assistance 34 [
with technical/administra-
tive functions

School Residency 20 !

Artist activities in an
educational setting

Other Residency 21

Artist activities in a non-
school setting

Curriculum 31

Development/

Implementation

Includes the design and
distribution of instructional
materials, methods,
evaluation criteria, etc.

None of the Above

99 Z

C. PROJECT DESCRIPTORS: Using the following list, select up to four items that represent a significant aspect of the project:

Arts for Older Adults 90 I

Projects for artists/
audiences 65 years of age
or older

Arts for Youth 9L □

Projects for young people
18 years of age or younger

Arts for "At Risk"
Persons (Adults or
Youth)

9E

Arts for Individuals 9P Z
with Disabilities or
Individuals Living in
Institutions

Arts for Inner-City 9D Z

Communities

Arts for Rural 9C □

Communities

International Activity 91 Z
Projects involving U.S.
artists in other countries,
visiting foreign artists,
cultural exchanges, etc.

Minority Outreach 9G Z

Outreach programs by
non-minority organizations
aimed at minority populations

Minority Programming 9H

Projects by non-minority
organizations whose
content clearly reflects
minority groups or their heritage

Touring 9B

The movement of artworks or
artists for performances, etc.,
to benefit audiences in different
geographic areas

Presenting 9M

The presentation of
exhibitions, productions,
etc., created elsewhere

Computer/Digital 9A

Technology

The use of new technology
for the creation or dissem-
ination of artworks, building
a Web site, etc.

i; \m I kin M \Kis ini RASTRUCTUR! |\

19

Organization & Project Profile (cont'd.)

OMB No. 3135-0112
Expires 07/31/2003

Applicant (official IRS name):

SCHOOL/AFTER-SCHOOL ACTIVITY: If your project involves pre-K through 12 students, answer the following questions by selecting yes
or no; otherwise leave blank.

Will activity take place in a pre-K through 12 school facility? □ Yes No

Will activity take place outside the regular school day? □ Yes □ No

E. ARTS EDUCATION: Of the following responses, select the one that best characterizes the extent to which this project involves arts
education (i.e., systematic educational efforts with measurable outcomes designed to increase knowledge of and/or skills in the arts):

None

Some, but less than 50%

99 D
02 D

50% or more with activities primarily directed to:

K-12 Students

Adult Learners

Includes teachers & artists

01AD
01DD

Pre-Kindergarten Children
Higher Education Students
Multiple Groups of Learners

01CD
01BD

01 □

F. PROJECT ACTIVITY: Provide an estimate, to the extent possible, for each of the following that is relevant to your project. Leave blank
any items that are not applicable or that do not represent a significant aspect of the project.

. # of concerts/performances/readings to be presented

# of exhibitions to be curated/presented

(include visual arts, media arts, and design)

. # of books and/or catalogues to be published

(# of different titles)

# of artists' residencies to occur

(artists' activities in schools or other community
settings over an extended period of time)

# of pre-K through 12 schools expected to participate

# of community organizations partnered with

to carry out the project

# of apprenticeships to be offered

# of programs to be broadcast on radio

or television

(# of different programs)

For state/ regional/ local arts agencies only:
# of subgrants to be awarded

PARTICIPANTS/AUDIENCES BENEFITING: Provide an estimate, to the extent possible, for each of the following that is relevant to your
project. Include only those persons expected to directly participate in or benefit from the project during the grant period. Leave blank any items
that are not applicable.

# of artists

(include all members of performing groups and living
artists whose work is presented, e.g., in an exhibition
or concert)

# of teachers/administrators

# of children/youth

(18 years of age or younger)

Total # of individuals benefiting (include
all figures in the left column and all other
participants/audiences — except broadcast
audiences)

Total estimated audience for radio or
television broadcast

20

FOLK & TRADITIONAL ARTS INFRASTRUCTURE INITIATIVE • FY 2002

Legal Requirements

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:

(i) No part of net earnings may benefit a pri-
vate stockholder or individual.

(2) Donations to the organization must be
allowable as a charitable contribution under Sec-
tion 170(c) of the Internal Revenue Code of
1954, as amended.

For further information, go to the Internal Revenue
Service (IRS) Web site at www.irs.gov; write the
IRS TE/GE Division, Customer Service, P.O. Box
2508, Cincinnati, OH 45201; or call the IRS office
listed in your area.

■ Compensate all professional performers and
related or supporting professional personnel on
Arts Endowment-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
part 505 of Title 29 of the Code of Federal Regula-
tions; part 505 does not provide information on
specific compensation levels. You can link to it
through the FY 2002 Folk & Traditional Arts Infra-
structure Initiative guidelines document on our
Web site at www.arts.gov.)

■ Assure that no part of any Arts Endowment-
supported project will be performed or engaged
in under working conditions which are unsani-
tary or hazardous or dangerous to the health and
safety of the employees involved.

■ Comply with the federal requirements that
are outlined in the "Assurance of Compliance"

section below.

ASSURANCE OF COMPLIANCE

By signing the application form, the Applicant
certifies that it is in compliance with the statutes
outlined below and all related Arts Endowment
regulations and will maintain records and sub-
mit the reports that are necessary to determine
compliance. The Applicant further certifies that it
will obtain assurances of compliance from all sub-
recipients of Endowment funds to comply with
these requirements. The Arts Endowment may con-
duct a review of your organization to ensure that it
is in compliance. If the Endowment determines that
a grantee has failed to comply with these statutes,
it may suspend, terminate, and/or recover funds.
This assurance is subject to judicial enforcement.

1. Nondiscrimination Statutes

The Applicant certifies that it does not discriminate:

- On the grounds of race, color, or national ori-
gin (including limited English proficiency), in
accordance with Title VI of the Civil Rights
Act of 1964, as amended (42 U.S.C. 200od et
seq.).

- On the grounds of disability, in accordance
with Section 504 of the Rehabilitation Act of
!973 (29 U.S.C. 794) and the Americans with
Disabilities Act of 1990 ("ADA") (42 U.S.C.
12101-12213). 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.).

- 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.).

21

For further information and copies of the nondis-
crimination regulations identified above, contact the
Endowment's Office of Civil Rights at 202/682-
5454 or 202/682-5695 Voice/T.T., or link to them
through the FY 2002 Folk & Traditional Arts Infra-
structure Initiative guidelines document on our Web
site at www.arts.gov. For inquiries about limited
English proficiency, contact the Office of General
Counsel at ogc@arts.endow.gov or 202/682-5418.

2. Regulations relating to Debarment and Sus-
pension (45 C.F.R. pt. 1 154) in which the Applicant
certifies that neither it nor its principals is presently
debarred, suspended, proposed for debarment,
declared ineligible, or voluntarily excluded from
participation in covered transactions by any federal
department or agency, nor

Has, within the three years preceding the sub-
mission of this application, been convicted of or had
a civil judgment rendered against them for commis-
sion of fraud or a criminal offense in connection
with a public (federal, state, or local) transaction or
a contract under a public transaction; for violation
of federal or state antitrust statutes; for commission
of embezzlement, theft, forgery, bribery, falsi-
fication or destruction of records, making false state-
ments, or receiving stolen property; had any public
transactions terminated for cause or default; or is
presently indicted for or otherwise criminally or
civilly charged by a governmental entity with any of
the preceding offenses.

3. Federal Debt Status (OMB Circular A- 129).
The applicant certifies that it is not delinquent in the
repayment of any federal debt. Examples of relevant
debt include delinquent payroll or other taxes, audit
disallowances, and benefit overpayments.

4. The Drug-Free Workplace Act of 1988 (41

U.S.C. 701 et seq. and 45 C.F.R. pt. 1 154) requires
grantee organizations, within 30 days of receiving a
grant, to make a continuing, good faith effort to
maintain a drug-free workplace through implemen-
tation of the following:

- Publish a statement notifying employees that
the unlawful manufacture, distribution, dispens-
ing, possession, or use of a controlled substance
is prohibited in the grantee's workplace, and
specifying the actions that will be taken against
employees for violation of the prohibition. (For
the purposes of this Act, alcohol is not considered
a controlled substance.) The grantee shall give a
copy of the statement to each employee who will
be involved in grant- supported activities and
notify those employees that they are expected to
abide by the statement. For the purposes of this
law, "employees" include consultants and tem-
porary personnel (but not volunteers), who are
directly engaged in work under the grant and
who are on the grantee's payroll. The grantee
should maintain on file the address of each site
where work is performed under the grant.

- Establish a drug-free awareness program that
will inform employees about the dangers of drug
abuse in the workplace, the grantee's policy of
maintaining a drug-free workplace, any available
drug counseling, rehabilitation, and employee
assistance programs, and the penalties that might
be imposed for workplace drug abuse violations.
Employees should be informed that any convic-
tion for a violation of a criminal drug statute that
occurs in the workplace must be reported to the
employer, in writing, no later than five calendar
days after such a conviction. The grantee, in turn,
must notify the Arts Endowment's Grants &
Contracts Officer, in writing, within ten calendar
days of receiving such notice from its employee.
The grantee's notice to the Arts Endowment
must include the convicted individual's position
title and the number(s) of each affected grant.

- Within 30 calendar days of receiving notice of
an employee's criminal drug conviction, a
grantee should take appropriate personnel action
against the convicted employee, up to and
including termination, consistent with the
requirements of the Rehabilitation Act of 1973,

22

FOLK & TRADITIONAL ARTS INFRASTRUCTURE INITIATIVE - FY 2002

as amended; or require the employee to partici-
pate satisfactorily in a drug abuse assistance or
rehabilitation program that has been approved for
such purposes by a federal, state, or local health,
law enforcement, or other appropriate agency.

5. The Native American Graves Protection and
Repatriation Act of 1990 (25 U.S.C. 3001 et seq.)
which applies to any organization which controls or
possesses Native American human remains and
associated funerary objects, and which receives fed-
eral funding, even for a purpose unrelated to the Act.

Other

If your project, including the planning stage, has
environmental implications (e.g., an arts festival in
a park or the commissioning and installation of an
outdoor sculpture), you may be requested to provide
information to the Arts Endowment in response to
specific questions in accordance with the National
Environmental Policy Act.

If your project includes the planning for major
renovation of any structure that is eligible for or on
the National Register of Historic Places you may be
asked to provide additional information on your pro-
ject to ensure compliance with the National Historic
Preservation Act. This law also applies to planning
for new construction that would affect historic prop-
erties.

REPORTING BURDEN

The public reporting burden for this collection of
information is estimated to average 15 hours per
response, including the time for reviewing instruc-
tions, searching existing data sources, gathering and
maintaining the data needed, and completing and
reviewing the collection of information. The Arts
Endowment welcomes any suggestions that you
might have on improving the guidelines and making
them as easy to use as possible. Send comments
regarding this burden estimate or any other aspect
of this collection of information, including sugges-
tions for reducing this burden, to: Office of Guide-
lines & Panel Operations, Room 516, National
Endowment for the Arts, Nancy Hanks Center, 1 100
Pennsylvania Avenue, NW, Washington, DC
20506-0001. Note: Applicants are not required to
respond to the collection of information unless it
displays a currently valid U.S. Office of Manage-
ment and Budget (OMB) control number.

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