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fure2z:@" P25 /7en3 APPLICATION GUIDELINES FY2003 O¢3/) K-OL NIAWEKOINGLVE ENDOWMENT FOR THE ARTS { PARTNERSHIP AGREEMENTS FY 2003 VW NATIONAL ENDOWMENT FOTHER AR TS (389 Sf 2002? OL Application Calendar OMB No. 3135-0112 Expires 07/31/2003 Application Earliest Beginning Postmark Date for Endowment Partnership Agreements Deadline Period of Support State Arts Agencies October 4, 2002 July 1, 2003 Regional Arts Organizations Oct«ber 4, 2002 July 1, 2003 ee ee ee a te ne eee e Notice concerning delivery of First-Class If you have questions: and Priority mail Write: Partnership The delivery of First-Class mail to the Arts National Endowment for the Arts Endowment has been delayed since mid- Nancy Hanks Center October and delays are expected to continue 1100 Pennsylvania Avenue, NW for the foreseeable future. Until normal mail Washington, DC 20506-0001 service resumes, please consider using alter- native delivery services, particularly if you Visit: Web site at www.arts.gov are sending time-sensitive material. Some or all of the First-Class and Prior- Call: 202/682-5753 or 682-5430 ity mail we receive may be put through an irradiation process to protect against biolog- 202/682-5496 Voice/T.T. (Text-Telephone, ical contamination. Please be advised that a device for individuals who are deaf or support material (e.g., CDs, videos, slides) hard-of-hearing) put through this process is suffering irrevo- cable damage. If you are sending this kind of Individuals who do not use conventional material, we encourage you to consider using print may access these guidelines on the alternate delivery services. Web site or contact the Arts Endowments We apologize for any inconvenience this Office for AccessAbility at 202/682-5532 may cause. Please contact us if you have any for help in acquiring an audio recording of questions. these guidelines. The Arts Endowment will not accept anv application material by electronic transmis- sion (e.g., FAX or e-mail) unless requested by Arts Endowment staff. The National Endowment for the Arts provides national recognition and support to significant projects of artistic excellence, thus preserving and enhancing our nation’s diverse cultural heritage. The Endowment was created by Congress and established in 1965 as an independent agency of the federal government. Since then, it has awarded more than 117,000 grants to arts organizations and artists in all fifty states and the six U.S. jurisdictions. This public investment in the nation’s cultural life has resulted in both new and classic works of art reaching every corner of America. ( ontents GUIDELINES FOR STAT! 4 What Is Included 5 Eligibility Requirements 5 Crediting Requirement 6 P.ohibition on Supplanting Non-Federal Funds 6 Matching Requirement 6 Multi-Year Review 6 Deadline Date 6 How Award Amounts Are Determined 7 Review Criteria GUIDELINES FOR REGIONAL ARTS ORGANIZA) 10 10 What Is Included 10 Eligibility Requirements 11 Crediting Requirement 11 Requirements Concerning State Membership 11 Matching Requirement 11 Multi-Year Review 11 Deadline Date 11 How Award Amounts Are Determined 12 Review Criteria NA ' iC ADDITIO? INFOR VMPORTANT INFC APPLICATION INFORMAT ? 17 How to Apply/SAAs & RAOs 19 Narrative Format for State Arts Agencies 20 Narrative Format for Regional Arts Organizations API CATION FORA 22 Application Part I 24 Staffing 26 Board Membership 28 Revenue Sources Information APPENDI) 29 Legal Requirements 30 ~=6Assurance of Compliance Inside back cover: Application Acknowledgment Card Guidelines for State Arts Agencies Most of the fifty state and six jurisdictional arts SAAs and the Arts Endowment consult regularly on agencies (SAAs) were created in response to the how they can best work together in addressing these national example and financial incentive provided goals. by the Arts Endowment. For more than 35 years the Endowment'’s support for SAAs has helped to attract WHAT IS INCLUDED state funding that for most agencies now far exceeds Through Partnership Agreements, the Arts Endow- the federal support. ment supports state arts agencies in four ways: As recipients of funding from the Arts Endow- ment, state arts agencies are responsible for meet- 1. Basic State Plan Component ing standards of accountability that call for: This component provides funds that agencies can » Inclusive planning. use to address priorities that are identified at the state « Responsive plans. level. Activities supported with these funds also contribute to the fulfillment of one or more of the x Evaluation of performance in relation to plans. Endowment’s goals. « Fair decision-making. 2. Arts Education Component e Leadership in arts education, community cultural development, and cultural diversity. This component provides support for those elements of the plan that address arts education. These funds e Reporting on funded activities in accordance continue long-standing federal-state efforts to with the National Standard for Arts Information achieve the following goals: Exchange. » To help ensure that the arts are basic to the edu- As the partner agencies of the Arts Endowment, cation of children and young adults in grades pre-K State arts agencies greatly extend the Endowment's through 12. reach and impact, translating national leadership into » To expand opportunities for children and young local benefit. As they carry out their state plans, they adults to participate in and to increase their under- work cooperatively with the Endowment to carry out standing of or skills in the arts. a national plan with common goals related to: » To provide professional development opportuni- ® Access ties for artists, arts professionals, and teachers. e Creativity Each state arts agency is expected to address these « Education goals through strategies and partnerships that are e Heritage and Preservation based on the particular needs, opportunities, and resources of the state. Leadership by both the Arts » Organizational Capacity Endowment and the state arts agencies in advancing e Community Arts Development the role of the arts in education reform also contin- ues to be of critical importance. See page 14 for « Partnerships more information on the Arts Education component. 3. Arts in Underserved Communities Component ELIGIBILITY REQUIREMENTS Eligibility is limited to the designated fifty state and This component provides support for those elements Six jurisdictional arts agencies. In order to enter into of a state’s plan that foster the arts in rural, inner- a Partnership Agreement with the National Endow- city, and other underserved communities. Funds ment for the Arts, a state arts agency must: may assist in the areas of local cultural development, folk & traditional arts, developing arts organiza- « Meet the “Legal Requirements” on page 29. tions, rural initiatives, arts programs that offer pos- s Be designated and financially supported by its itive alternatives for youth, and other programs in State government. communities that are underserved artistically. For the purposes of these guidelines, an under- «s Maintain sound fiscal and administrative proce- served community is one in which individuals lack dures. access to arts programs due to: geography, eco- s Base program funding decisions on criteria that nomic conditions, ethnic background, disability, or take into account artistic excellence and merit. age. Within this broad definition, SAAs are asked to identify their own underserved constituencies. a Have its own board, council, or commission. « Have completed a comprehensive planning 4. State Challenge America Component process, including public meetings on its state plan, This component provides funds to the state arts and compiled a list of responses to recommenda- agencies in the fifty states, the District of Columbia, tions from those meetings. and Puerto Rico for new or expanded program activ- « Have submitted acceptable Final Report pack- ities that demonstrate the power of the arts to benefit ages by the due date(s) for all Arts Endowment families and communities. Funds may support pro- grant(s) previously received. jects that address one or more of five Challenge America priority areas: CREDITING REQUIREMENT » Access to the Arts The Arts Endowment should be recognized for the = Arts Education activities that it helps to support through its state and regional partners. State arts agencies must clearly e Community Arts Development acknowledge support from the National Endowment « Cultural Heritage and Preservation for the Arts in their programs and related promo- tional materials including publications and Web «# Positive Alternatives for Youth sites. Acknowledgments should include the NEA logo wherever possible. SAAs also should encour- Proposals for the State Challenge Americ? compo- age their grantees to give appropriate credit to the nent also must comply with a Congressional man- NEA. date that funds be used for arts education or projects in rural or other underserved areas. Funds must benefit directly families and communities, and may not be used for administrative or overhead costs. Partnership Agreement awards must be used to sup- A. Basic State Plan Component plement and not supplant non-federal funds. For the purposes of these guidelines, the term “supplant 1. Each state arts agency with an approved state non-federal funds” is defined as using federal dollars plan will be allotted at least $200,000 out of the to replace non-federal dollars with the intent or amount legally designated for grants to the SAAs, effect of reducing a state’s financial support of its exclusive of underserved set-aside funds. If funds State arts agency. are insufficient to make allotments of $200,000 to each state, then those funds which are available will be divided among the states in equal amounts. State Partnership Agreement awards must be 2. After $200,000 has been allotted to each state matched at least I to 1. arts agency, up to one quarter of the legally designated amount will be apportioned by agency policy. Under current policies, part of these funds will be divided among the states on the basis of population The Arts Endowment uses staggered, multi-vear and part will be used for Regional Partnership review for the state Partnership Agreements. While Agreements and National Services awards. each state arts agency is required to submit an application annually, those agencies that are determined 3. Any funds that remain from the designated to have addressed satisfactorily the requirements amount will be divided equally among those agen- and review criteria On pages 7-9 receive three-year cies in the fifty states and two jurisdictions with pop- approval of their proposals. They are not required to ulations of more than 200,000. submit another full-scale application, including all material necessary for panel review, for another three years. In the other years (“off years”), the How Amounts Are Determined application requirements are simplified greatly. For details and a list of those agencies that are required $200,000 Per State to submit a full-scale application by October 4, By Agency Policy ‘ oxy in 2002, see “Application Information” on page 17. 52 Equal Shares ¥: + | Applications must be postmarked no later than October 4, 2002. Grants will support activities that are scheduled to begin on or after July 1, 2003. B. Arts Education Component shares per state and one-quarter (or 12.5 percent of the total) on the basis of population. 1. Fifty percent of the funds that are available to assist the SAAs in achieving their arts education 2. The remaining fifty percent of the funds will be goals will be apportioned among agencies with awarded competitively among those agencies that plans that meet the review criteria as they relate to are found to have the stroagest plans and accom- arts education. Of these funds, half (or 25 percent of plishments in relation to the review criteria. The the total) will be available in equal shares per state maximum competitive funding that any agency can and half (or 25 percent of the total) on the basis of receive for a one-year period is $75,000 or one- school-age population. Funds apportioned in this twentieth of the finds that are available for compet- way to any state will not exceed $50,000. itive distribution, whichever is less. 2. The remaining fifty percent of the funds will be awarded competitively among those agencies that How Amounts Are Determined are found to have the strongest plans and accom- plishments in relation to the review criteria. » Equal Shares Population How Amounts Are Determined Competitive - Equal Shares School Population Competitive D. State Challenge America Component State Challenge America funds will be divided in equal shares among those agencies in the fifty states and two jurisdictions with populations of more than The maximum arts education funding that any 200,000. agency can receive (competitive and noncompeti- tive combined) for a one-year period is $100,000. The following three criteria are considered in the review of applications: C. Arts in Underserved Communities Component Quality of the process by which the plan was This component utilizes a portion of the funds that developed. are set aside by statute for grants to the state arts agencies for projects in rural, inner-city, or other Quality of the plan. artistically underserved areas. Quality of implementation including accomplish- 1. Fifty percent of the underserved set-aside funds ments in relation to the plan. that are available to be administered through Part- nership Agreements will be apportioned equitably Cqual weight will be given to each of these criteria among state arts agencies with plans that meet the in determining competitive award amounts for the review criteria. Of these funds, three quarters (or Arts Education and Arts in Underserved Communi- 37.5 percent of the total) will be available in equal ties Components. In applying these criteria, panelists will take into » Collaboration: The agency seeks a wide range account the following: of opportunities to further its values through partnerships with other state agencies, state-wide organ- A. Basic State Plan Component izations, local government, non-arts organizations, and through multi-state regional, national, and inter- In relation to the above criteria, past advisory pan- national cooperation. els have identified the following as characteristics of excellence in planning and implementation: » Communication: The agency aggressively pro- motes awareness of the arts and public support « Inclusion: Many creative efforts have been made through a variety of means including: communica- to engage the full range of arts constituents and the tion of the plan as a pubic document; crediting poli- public, including potential partners, and to involve cies that lead to prominent acknowledgment of state them in the planning process. and federal support; effective working relationships » Appropriateness: The plan is grounded in and with the press and broadcast media: and through responsive to the particular elements of the agency's publications, Web sites, and other presentations that environment—cultural, demographic, economic, reflect high standards in creativity and design. geographic, and political. NOTE: For more information about characteristics « Vision: The plan conveys a strong overall sense of excellence in planning, see A State Arts Agency of the agency's values, purpose, and direction. Strategic Planning Toolkit, published by the « Integration: The agency's vision is evident National Assembly of State Arts Agencies in part- throughout the plan and programs. All that the nership with the National Endowment for the Arts. agency does clearly flows from its strategic goals. The toolkit ts available online at www.nasaa-arts.org. » Adaptability: The plan allows for flexibility to B. Arts Education Component achieve objectives under a variety of circumstances. In recommending support for state arts education e Centrality of the Arts: The planning process, efforts, the Arts Endowment will consider the plan document, and implementation reflect the cen- review criteria as they relate to arts education. trality of creativity, the arts, and artists. Attention will be given to the SAAs’ partnerships » Evaluation: Performance is measured regularly with their state departments of education and other against clearly defined goals, objectives, and/or private and public education organizations. benchmarks, and the agency responds to the results The Arts Endowment also will consider the qual- of evaluation in the continuing development of its ity of the strategies for advancing arts education plan and programs. Constituents, stakeholders, and including the achievement of the partnership goals for other outside experts are involved effectively in arts education that are listed on page 4. Past advisory evaluation wherever possible and appropriate. panels have identified the following characteristics of excellence in arts education to supplement the char- « Leadership in Nationally Shared Priorities: actenstics of excellence for the basic state plaa: The plan and programs of the agency demonstrate strong leadership in supporting and promoting arts « Inclusion: education, community cultural development, and ~ A variety of education-related constituencies cultural diversity. (e.g., students, teachers, teaching artists, parents, school and administrative boards) are included in — Shared responsibility and credit for all part- the planning process. ners, including the state arts agency, is stated clearly. — Aggressive efforts reach broadly throughout the state, especially to underserved communities. « Communication: Progress is reported to key constituencies. — State educational partners, particularly departments of education and State Alliances for Arts C. Arts in Underserved Communities Component Education, are involved actively in planning. In recommending support under this component, the — Educators are engaged directly in the assess- Arts Endowment will consider the review criteria ment of needs and the development of the plan. with attention to the quality of the provisions for — Opportunities for reflection and comment are involving and serving underserved communities. available throughout the process. D. State Challenge America Component « Appropriateness: The plan reflects the current needs in educational improvements in the state with Proposals for the use of State Challenge America a particular emphasis on arts education. Component funds will be reviewed for consistency with the five Challenge America priority areas listed =» Vision: The role of arts education is articulated on page § and for their potential to exemplify the clearly in the vision of the plan. benefits of the arts for families and communities. « Centrality of the Arts: There is a commitment to quality educational, as well as arts, programs and NOTE: In recommending action on State Partner- practices. ship Agreement proposals, the advisory panel, the National Council on the Arts, and the Chairman of e Evaluation: the Endowment have a variety of options. These — Evaluation entails assessment and analysis include, but are not limited to: against clearly defined goals, objectives, and out- # Approval. comes. * Approval with the requirement of an update after — Information gathered from evaluation ts used one year in an area of concern. in future planning. « Approval for a period of one year only. « Leadership in Nationally Shared Priorities: e Approval contingent on a satisfactory response — Arts education, in the spirit—if not the letter — to a concem. of the partnership goals for arts education, is a priority in the plan. « Deferral with a request for a new application or additional information to be reviewed at a later date. ~ Leadership, where needed to achieve the arts education goals, is in evidence. ® Determination not to provide Arts Education or Arts in Underserved Communities funds. » Collabcration: ~ The plan is connected to the state's standards for arts education.