[Federal Register Volume 76, Number 150 (Thursday, August 4, 2011)]
[Notices]
[Pages 47262-47271]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-19710]
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DEPARTMENT OF LABOR
Mine Safety and Health Administration
Brookwood-Sago Mine Safety Grants
AGENCY: Mine Safety and Health Administration, Labor.
ACTION: Solicitation for Grant Applications (SGA).
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SUMMARY: The U.S. Department of Labor, Mine Safety and Health
Administration (MSHA), is making $1,000,000 available in grant funds
for educational and training programs to help identify, avoid, and
prevent unsafe working conditions in and around mines. The focus of
these grants for the Fiscal Year (FY) 2011 will be on training and
training materials for mine emergency preparedness and mine emergency
prevention for all underground mines. Applicants for the grants may be
States and nonprofit (private or public) entities. MSHA could award as
many as 20 separate grants. The amount of each individual grant will be
at least $50,000.00. The maximum amount for a 12-month
[[Page 47263]]
period of performance is $250,000. Also, MSHA is announcing a new
program structure allowing applicants to apply for a renewal grant.
This notice contains all of the information needed to apply for grant
funding.
DATES: The closing date for applications will be August 31, 2011 (no
later than 11:59 p.m. EDST). MSHA will award grants on or before
September 30, 2011.
ADDRESSES: Applications for grants submitted under this competition
must be submitted electronically using the Government-wide site at
http://www.grants.gov. If applying online poses a hardship to any
applicant, the MSHA Directorate of Educational Policy and Development
will provide assistance to help applicants submit online. MSHA's Web
page at http://www.msha.gov is a valuable source of background for this
initiative.
FOR FURTHER INFORMATION CONTACT: Any questions regarding this
solicitation for grant applications (SGA 11-3BS) should be directed to
Robert Glatter at glatter.robert@dol.gov or at 202-693-9570 (this is
not a toll-free number) or the Grant Officer, Carl Campbell at
campbell.carl@dol.gov or at 202-693-9839 (this is not a toll-free
number).
SUPPLEMENTARY INFORMATION:
Announcement Type: New.
Funding Opportunity Number: SGA 11-3BS.
Catalog of Federal Domestic Assistance (CFDA) Number: 17.603.
This solicitation provides background information and the critical
elements required of projects funded under the solicitation. It also
describes the application submission requirements, the process that
eligible applicants must use to apply for funds covered by this
solicitation, and how grantees will be selected. Further information
regarding submitting the grant application electronically is listed in
Section IV.C., Submission Date, Times, and Addresses. This solicitation
consists of eight parts:
Part I provides background information on the Brookwood-
Sago grants.
Part II describes the size and nature of the anticipated
awards.
Part III describes the qualifications of an eligible
applicant.
Part IV provides information on the application and
submission process.
Part V explains the review process and rating criteria
that will be used to evaluate applications.
Part VI provides award administration information.
Part VII contains MSHA contact information.
Part VIII addresses Office of Management and Budget
information collection requirements.
I. Funding Opportunity Description
A. Overview of the Brookwood-Sago Mine Safety Grant Program
Responding to several coal mine disasters, Congress enacted the
Mine Improvement and New Emergency Response Act of 2006 (MINER Act).
When Congress passed the MINER Act, it expected that requirements for
new and advanced technology, e.g., fire-resistant lifelines and
increased breathable air availability in escapeways would increase
safety in mines. The MINER Act also required that every underground
coal mine would have persons trained in emergency response. Congress
emphasized its commitment to training for mine emergencies when it
strengthened the requirements for the training of mine rescue teams.
Recent events demonstrate that training is the key for proper and safe
emergency response and that all miners employed underground should be
trained in emergency response.
Under Section 14 of the MINER Act, the Secretary of Labor
(Secretary) is required to establish a competitive grant program called
the ``Brookwood-Sago Mine Safety Grants'' (Brookwood-Sago grants). This
program provides funding of education and training programs to better
identify, avoid, and prevent unsafe working conditions in and around
mines. This program will use grant funds to establish and implement
education and training programs or to create training materials and
programs. The MINER Act requires the Secretary to give priority to mine
safety demonstrations and pilot projects with broad applicability. It
also mandates that the Secretary emphasize programs and materials that
target miners in smaller mines, including training mine operators and
miners on new MSHA standards, high-risk activities, and other
identified safety priorities.
B. Grant Structures
MSHA currently funds the Brookwood-Sago grants annually for 12
months of performance and requires an applicant to compete each year
for the available funds. MSHA is identifying these grants as ``annual
grants.''
MSHA is announcing the availability of a renewal grant program
structure. Under this new structure, MSHA will award a grant eligible
for two separate years of funding with two separate 12-month
performance periods. MSHA is identifying these grants as ``renewal
grants.''
The awardees' eligibility for the second-year of funding in FY 2012
is contingent on certain conditions being met. MSHA will award funding
for the second-year of performance based on the following requirements:
1. The grant topics are still a priority with MSHA for training
under the Brookwood-Sago grants;
2. Funds are available for the Brookwood-Sago grant program; and
3. The grantee has demonstrated acceptable performance under the
first year of the grant.
If MSHA funds the second year of renewal grants, it will advise, in
the FY 2012 Brookwood-Sago SGA, those grantees eligible for renewal
grants of the paperwork necessary to obtain their second year of
funding. If a renewal grantee chooses not to pursue the second year of
funding, the grantee may still compete for a new Brookwood-Sago grant
in FY 2012. MSHA would not penalize an eligible grantee for not
applying for its second year of funding under the renewal grant and
would permit the grantee to compete for another Brookwood-Sago grant.
C. Educational and Training Program Priorities
MSHA priorities for the FY 2011 funding of the annual Brookwood-
Sago grants will focus on training or training materials for mine
emergency preparedness and mine emergency prevention for all
underground mines. MSHA expects Brookwood-Sago grantees to develop
training materials or to develop and provide mine safety training or
educational programs, recruit mine operators and miners for the
training, and conduct and evaluate the training.
For the renewal grants, MSHA's priorities will focus on training
for mine emergency preparedness and mine emergency prevention for all
underground mines. Except for creating very innovative educational
material or equipment, MSHA expects that renewal grants will focus
primarily on training mine operators and miners. A renewal grant may
include a request for creating educational materials or equipment, but
the purpose of these grants is to provide training for as many mine
operators and miners as possible. MSHA also expects grantees with
renewal grants to recruit mine operators and miners for the training,
and conduct and evaluate the grant program on mine emergency
preparedness or mine emergency prevention.
For both programs, grantees are also expected to conduct follow-up
evaluations with the people who receive training in their programs. The
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evaluation will focus on determining how effective their training was
in either reducing hazards or improving skills for the selected
training topics or in improving the conditions in mines. Grantees must
also cooperate fully with MSHA evaluators of their programs.
II. Award Information
A. Award Amount for FY 2011
MSHA is providing $1,000,000 total for both the FY 2011 annual and
renewal Brookwood-Sago grants program and may award as many as 20
grants. The amount of each individual grant will be no less than
$50,000.00 for a 12-month performance period; and the maximum award for
a 12-month performance period is $250,000. Applicants requesting less
than $50,000 or more than $250,000 for a 12-month performance period
will not be considered for funding.
B. Period of Performance
The period of performance will be 12 months from the date of
execution of the grant documents awarding the funds. This performance
period must include all necessary implementation and start-up
activities, as well as follow-up for performance. A timeline clearly
detailing these required grant activities and their expected completion
dates must be included in the grant application.
MSHA may approve a request for a one time no-cost extension to
grantees for an additional period of up to 12 months from the
expiration date of the annual award based on the success of the project
and other relevant factors. See 29 CFR 95.25 (e)(2). At the end of the
second year of funding for a renewal grant, MSHA may approve a request
for a no-cost extension for an additional period of performance of up
to 6 months based on the success of the project and other relevant
factors.
III. Eligibility Information
A. Eligible Applicants
Applicants for the grants may be States and nonprofit (private or
public) entities. Eligible entities may apply for funding independently
or in partnership with other eligible organizations. For partnerships,
a lead organization must be identified.
Applicants other than States and State-supported or local
government-supported institutions of higher education will be required
to submit evidence of nonprofit status, preferably from the Internal
Revenue Service. A nonprofit entity as described in 26 U.S.C.
501(c)(4), which engages in lobbying activities, is not eligible for a
grant award. See 2 U.S.C. 1611.
B. Cost-Sharing or Matching
Cost-sharing or matching of funds is not required for eligibility.
The leveraging of public or private resources to achieve project
sustainability, however, is highly encouraged and may be awarded up to
10 application evaluation points.
C. Other Eligibility Requirements
1. Dun and Bradstreet Number (DUNS)
Under 2 CFR 25.200, every applicant for a Federal funding
opportunity is required to include a DUNS number with its application.
The DUNS number is a nine-digit identification number that uniquely
identifies business entities. An applicant's DUNS number is to be
entered into Block 8 of Standard Form (SF) 424. There is no charge for
obtaining a DUNS number. To obtain a DUNS number, call 1-866-705-5711
or access the following Web site: http://fedgov.dnb.com/webform/displayHomePage.do.
After receiving a DUNS number, all grant applicants must also
register as a vendor with the Central Contractor Registration (CCR)
through the Web site at http://www.ccr.gov or apply by phone (1-888-
227-2423). 2 CFR 25.200. Grant applicants must create a user account
and then complete and submit the online registration. Once you have
completed the registration, it will take three to five business days to
process. The applicant will receive an e-mail notice that the
registration is active.
2. Legal Rules Pertaining to Inherently Religious Activities by
Organizations That Receive Federal Financial Assistance
The government generally is prohibited from providing direct
Federal financial assistance for inherently religious activities. See
29 CFR Part 2, Subpart D. Grants under this solicitation may not be
used for religious instruction, worship, prayer, proselytizing, or
other inherently religious activities. Neutral, non-religious criteria
that neither favor nor disfavor religion will be employed in the
selection of grant recipients and must be employed by grantees in the
selection of contractors and subcontractors.
3. Non-Compliant Applications
Applications that are lacking any of the required elements or do
not follow the format prescribed in IV.B will not be reviewed.
4. Late Applications
Applications received after the deadline will not be reviewed
unless it is determined to be in the best interest of the Government.
IV. Application and Submission Information
A. Application Forms
This announcement includes all information and links needed to
apply for this funding opportunity. The full application is available
through the Grants.gov Web site http://www.grants.gov/ under ``Apply
for Grants''. The Catalog of Federal Domestic Assistance (CFDA) number
needed to locate the appropriate application for this opportunity is
17.603. If an applicant has problems downloading the application
package from Grants.gov, contact Grants.gov Contact Center at 1-800-
518-4726 or by e-mail at support@grants.gov.
B. Content and Form of the Application
Each grant application must address mine emergency preparedness or
mine emergency prevention for underground mines. The applicant must
identify that an application is for an annual or a renewal grant.
Applicants must submit a separate application for each topic and each
type of grant. The application must consist of three separate and
distinct sections. The three required sections are:
Section 1--Project Financial Plan and Forms (No page
limit).
Section 2--Executive Summary (Not to exceed two pages).
Section 3--Technical Proposal (Not to exceed 12 pages).
Illustrative material can be submitted as an attachment.
The following are mandatory requirements for each section.
1. Project Financial Plan and Forms
This section contains the forms and budget section of the
application. The Project Financial Plan will not count against the
application page limits. A person with authority to bind the applicant
must sign the application and forms. Applications submitted
electronically through Grants.gov do not need to be signed manually;
electronic signatures will be accepted.
(a) Completed SF-424, ``Application for Federal Assistance.'' This
form is part of the application package on Grants.gov and is also
available at http://www.msha.gov. The SF-424 must identify the
applicant clearly and be signed by an individual with authority to
enter into a grant agreement. Upon confirmation of an award, the
individual signing the SF-424 on behalf
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of the applicant shall be considered the representative of the
applicant.
(b) Completed SF-424A, ``Budget Information for Non Construction
Programs.'' This form is part of the application package on Grants.gov
and is also available at http://www.msha.gov. The project budget should
demonstrate clearly that the total amount and distribution of funds is
sufficient to cover the cost of all major project activities identified
by the applicant in its proposal, and must comply with the Federal cost
principles and the administrative requirements set forth in this SGA.
(Copies of all regulations that are referenced in this SGA are
available online at http://www.msha.gov. Select ``Education &
Training,'' click on ``Courses,'' then select ``Brookwood-Sago Mine
Safety Grants.'')
For renewal grant applications, applicants must include all the
renewal grants information on the SF-424 forms. For example, if the
applicant is applying for a renewal grant, the total amount of the
grant might be $100,000, and each year's funding could be $50,000. When
filling out the SF-424 Application for Federal Assistance form, the
proposed project start date in Item No. 17 for renewal grants is 9/30/
2011, and the end date is 9/29/2013. The estimated funding in Item No.
18 would be $100,000. On the SF-424A Budget Information for Non-
Construction Programs, the applicant would provide a total of $50,000
for the first-year funding and $50,000 for the second-year funding.
(c) Budget Narrative. The applicant must provide a concise
narrative explaining the request for funds. The budget narrative should
separately attribute the Federal funds and leveraged resources to each
of the activities specified in the technical proposal and it should
discuss precisely how any administrative costs support the project
goals. Indirect cost charges, which are considered administrative
costs, must be supported with a copy of an approved Indirect Cost Rate
Agreement. Indirect Costs are those costs that are not readily
identifiable with a particular cost objective but nevertheless are
necessary to the general operation of an organization, e.g., personnel
working in accounting. Administrative costs may not exceed 15% of the
total grant budget.
If applicable, the applicant must provide a statement about its
program income. Program income is gross income earned by the grantee
directly generated by a supported activity, or earned as a result of
the award.
Any leveraged resources should not be listed on the SF-424 or SF-
424A Budget Information Form, but must be described in the budget
narrative and in the technical proposal of the application (as
described in Part IV.B.3(d) of this SGA). The amount of Federal funding
requested for the entire period of performance must be shown on the SF-
424 and SF-424A forms. Note: Grantees will be responsible for obtaining
any leveraged resources proposed in their applications. Failure to do
so may result in the disallowance and required return of funds in the
amount of the proposed leveraged resources.
(d) Completed SF-424B, ``Assurances for Non-Construction
Programs.'' Each applicant for these grants must certify compliance
with a list of assurances. This form is part of the application package
on http://www.Grants.gov and also is available at http://www.msha.gov.
(e) Supplemental Certification Regarding Lobbying Activities Form.
If any funds have been paid or will be paid to any person for
influencing or attempting to influence an officer or employee of any
agency, a member of Congress, an officer or employee of Congress, or an
employee of a member of Congress in connection with the making of a
grant or cooperative agreement, the applicant shall complete and submit
SF-LLL, ``Disclosure Form to Report Lobbying,'' in accordance with its
instructions. This form is part of the application package on http://
www.Grants.gov and is also available at http://www.msha.gov. Select
``Education & Training,'' click on ``Courses,'' then select
``Brookwood-Sago Mine Safety Grants.''
(f) Non-profit status. Applicants must provide evidence of non-
profit status, preferably from the Internal Revenue Service (IRS), if
applicable. (This requirement does not apply to State and local
government-supported institutions of higher education.)
(g) Accounting System Certification. An organization that receives
less than $1 million annually in Federal grants must attach a
certification stating that the organization (directly or through a
designated qualified entity) has a functioning accounting system that
meets the criteria below. The certification should attest that the
organization's accounting system provides for the following:
(1) Accurate, current and complete disclosure of the financial
results of each Federally sponsored project.
(2) Records that identify adequately the source and application of
funds for Federally sponsored activities.
(3) Effective control over and accountability for all funds,
property, and other assets.
(4) Comparison of outlays with budget amounts.
(5) Written procedures to minimize the time elapsing between
transfers of funds.
(6) Written procedures for determining the reasonableness,
allocability, and allowability of cost.
(7) Accounting records, including cost accounting records that are
supported by source documentation.
(h) Attachments. The application may include attachments such as
resumes of key personnel or position descriptions, exhibits,
information on prior government grants, and signed letters of
commitment to the project.
2. Executive Summary
The executive summary is a short one-to-two page abstract that
succinctly summarizes the proposed project and provides information
about the applicant organization. (MSHA will publish, as submitted, all
grantees' executive summaries on its Web site.) The executive summary
must include the following information:
(a) Applicant. Provide the organization's full legal name and
address.
(b) Funding requested. List how much Federal funding is being
requested. If requesting a renewal grant, include the total for the two
years of funding and list each year's requested funding levels. If the
organization is contributing non-Federal resources, also list the
amount of non-Federal resources and the source of the funds.
(c) Grant Topic. List the grant topic and the location and number
of mine operators and miners that the organization has selected to
train or describe the training materials or equipment to be created
with these funds.
(d) Program Structure. Identify the type of grant: an annual or a
renewal grant.
(e) Summary of the Proposed Project. Write a brief program summary
of the proposed project. This summary must identify the key points of
the proposal, including an introduction describing the project
activities and the expected results. If requesting a renewal grant,
also provide a summary of the key points of the second-year's
activities and expected outcomes.
3. Technical Proposal
The technical proposal must demonstrate the applicant's
capabilities to plan and implement a project or create educational
materials or
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equipment to meet the objectives of this solicitation. MSHA's focus for
these grants is on training mine operators and miners and developing
training materials for mine emergency preparedness and mine emergency
prevention for underground mines. MSHA has two program goals, described
below, that will be considered indicators of the success of the program
as a whole. The following table explains the types of data grantees
must provide and their relationship with the Agency's program goals and
performance measures for the Brookwood-Sago grants.
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Data grantee
MSHA's performance provides each 12-
MSHA's program goals measures month performance
period
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1. Agency creates more Increase the number Number of training
effective training and of trainers trained. events during the
improves safety. period.
Increase the number Number of trainers
of mine operators trained.
and miners trained.
Provide quality Number of mine
training with operators and
clearly stated miners trained
goals and during the current
objectives for reporting period.
improving safety.
Number of course
days of training
provided to
industry during the
current reporting
period.
Pre-test and post-
test results of
trainees.
Course evaluations
of trainer and
training materials.
A description of the
extent to which
others will
replicate (i.e.,
adopt or adapt) or
institutionalize
and continue the
training or
educational
programs after
grant funding ends.
2. Agency creates training Increase number of Pre-test and post-
materials and improves quality educational test results of the
safety. materials developed. training materials.
Provide quality Evaluation of
training materials training materials
with clearly stated to include the
goals and target audience,
objectives for statement of goals
improving safety. and objectives,
learning level,
instructions for
using, additional
material
requirements,
secondary purposes,
adult learning
principles and
usability in the
mine training
environment.
Develop training A description of the
materials that are extent to which
reproducible. others will
replicate (i.e.,
adopt or adapt) the
funded training
materials.
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The technical proposal narrative is not to exceed 12 single-sided,
double-spaced pages, using 12-point font, and must contain the
following sections: Program Design, Overall Qualifications of the
Applicant, Output and Evaluation, and Leveraging of Funds. Any pages
over the 12-page limit will not be reviewed. Major sections and sub-
sections of the proposal should be divided and clearly identified. MSHA
will review and rate the technical proposal in accordance with the
selection criteria specified in Part V.
(a) Program Design
(1) Statement of Problem/Need for Funds. Applicants must identify a
clear and specific need for proposed activities. They must identify
whether they are providing a training program or creating training
materials or both. They also must identify whether their application is
for an annual or a renewal Brookwood-Sago grant. Applicants also must
identify the number of individuals that will benefit from their
training and education program; this should include identifying the
type of underground mines, the geographic locations, and the number of
mine operators and miners. Applicants must also identify other Federal
funds they receive for similar activities.
(2) Quality of the Project Design. MSHA requires that each
applicant include a 12-month workplan that correlates with the grant
project period that will begin September 30, 2011, and end September
29, 2012. Renewal grant applicants must also include a second 12-month
workplan covering the period from September 30, 2012, and ending
September 29, 2013. An outline of specific items required in the
workplan follows.
(i) Plan Overview. Describe the plan for grant activities and the
anticipated results. The overall plan will describe such things as the
development of training materials, the training content, recruiting of
trainees, where or how training will take place, and the anticipated
benefits to mine operators and miners receiving the training.
(ii) Activities. Break the overall plan down into activities or
tasks. For each activity, explain what will be done, who will do it,
when it will be done, and the anticipated results of the activity. For
training, discuss the subjects to be taught, the length of the training
sessions, and training locations (classroom/worksites). Describe how
the applicant will recruit mine operators and/or miners for the
training. (Note: Any commercially developed training materials the
applicant proposes to use in its training must undergo an MSHA review
before being used.)
(iii) Quarterly Projections. For training and other quantifiable
activities, estimate the quantities involved. For example, estimate how
many classes will be conducted and how many mine operators and miners
will be trained each quarter of the grant (grant quarters match
calendar quarters, i.e., January to March, April to June) and also
provide the training number totals for the full year. Quarterly
projections are used to measure the actual performance against the
plan. Applicants planning to conduct a train-the-trainer program should
estimate the number of individuals to be trained during the grant
period by those who received the train-the-trainer training. These
second tier training numbers should be included only if the
organization is planning to follow up with the trainers to obtain this
data during the grant period.
(iv) Materials. Describe each educational material, including any
piece of equipment (e.g., mine
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simulator) to be produced under the grant. Provide a timetable for
developing and producing the material. The timetable must include
provisions for an MSHA review of draft and camera-ready products or
evaluation of equipment. MSHA must review and approve training
materials or equipment for technical accuracy and suitability of
content before use in the grant program. Whether or not an applicant's
project is to develop training materials only, the applicant should
provide an overall plan that includes time for MSHA to review any
materials produced.
(b) Overall Qualifications of the Applicant
(1) Applicant Background. Describe the applicant, including its
mission, and a description of its membership, if any. Provide an
organizational chart (the chart may be included as a separate page
which will not count toward the page limit). Identify the following:
(i) Project Director. The project director is the person who will
be responsible for the day-to-day operation and administration of the
program. Provide the name, title, street address and mailing address
(if it is different from the organization's street address), telephone
and fax numbers, and e-mail address of the project director.
(ii) Certifying Representative. The certifying representative is
the official in the organization who is authorized to enter into grant
agreements. Provide the name, title, street address and mailing address
(if it is different from the organization's street address), telephone
and fax numbers, and e-mail address of the certifying representative.
(2) Administrative and Program Capability. Briefly describe the
organization's functions and activities, i.e., the applicant's
management and internal controls. Relate this description of functions
to the organizational chart. If the applicant has received within the
last five years any other government (Federal, State or local) grant
funding, the application must have, as an attachment (which will not
count towards the page limit), information regarding these previous
grants. This information must include each organization for which the
work was done and the dollar value of each grant. If the applicant does
not have previous grant experience, it may partner with an organization
that has grant experience to manage the grant. If the organization uses
this approach, the management organization must be identified and its
grant program experience discussed.
Lack of past experience with Federal grants is not a determining
factor, but an applicant should show a successful experience relevant
to the opportunity offered in the application. Such experience could
include staff members' experience with other organizations.
(3) Program Experience. Describe the organization's experience
conducting the proposed mine training program or other relevant
experience. Include program specifics such as program title, numbers
trained, and duration of training. If creating training materials,
include the title of other materials developed. Nonprofit
organizations, including community-based and faith-based organizations
that do not have prior experience in mine safety may partner with an
established mine safety organization to acquire safety expertise.
(4) Staff Experience. Describe the qualifications of the
professional staff you will assign to the program. Attach resumes of
staff already employed (resumes will not count towards the page limit).
If some positions are vacant, include position descriptions and minimum
hiring qualifications instead of resumes. Staff should have, at a
minimum, mine safety experience, training experience, or experience
working with the mining community.
(c) Outputs and Evaluations. There are two types of evaluations
that must be conducted. First, describe the methods, approaches, or
plans to evaluate the training sessions and/or training materials to
meet the data requirements listed in the table above. Second, describe
plans to assess the long-term effectiveness of the training materials
and/or training conducted. The type of training given will determine
whether the evaluation should include a process-related outcome or an
impact-related outcome or both. This will involve following up with an
evaluation, or on-site review, if feasible, of miners trained to find
out what changes were made to abate hazards and improve workplace
conditions, or to incorporate the training in the workplace, or both.
For training materials, include an evaluation from individuals on
the clarity of the presentation, organization, and the information
provided on the subject matter and whether they would continue to use
the training materials. Include timetables for follow-up and for
submitting a summary of the assessment results to MSHA.
For renewal grants, applicants must describe how the program will
address the feedback from its or MSHA's evaluations to improve its
training program, materials (including equipment), or both during the
second year.
(d) Leveraging of Funds. Leveraged resources are cash or in-kind
contributions obtained from sources other than the Federal government
devoted to advancing the strategies described in the applicant's
proposal. Applicants must include a description of any non-Federal
contribution or commitments, including the source of funds and the
estimated amount.
C. Submission Date, Times, and Addresses
The closing date for receipt of applications under this
announcement is August 31, 2011 (no later than 11:59 p.m. EDST). Grant
applications must be submitted electronically through the Grants.gov
Web site. The Grants.gov site provides all the information about
submitting an application electronically through the site as well as
the hours of operation. Interested parties can locate the downloadable
application package by the CFDA number 17.603.
Applications received by Grants.gov are electronically date and
time stamped. An application must be fully uploaded and submitted (and
must be date and time stamped by the Grants.gov system) before the
application deadline date. Once an interested party has submitted an
application, Grants.gov will notify the interested party with an
automatic notification of receipt that contains a Grants.gov tracking
number. MSHA then will retrieve the application from Grants.gov and
send a second notification to the interested party by e-mail.
D. Intergovernmental Review
The Brookwood-Sago grants are not subject to Executive Order 12372,
``Intergovernmental Review of Federal Programs.'' MSHA, however,
reminds applicants that if they are not operating MSHA-approved State
training grants, they should contact the State grantees and coordinate
any training or educational program in order not to duplicate any
training or educational program offered. Information about each state
grant and the entity operating the state grant is provided online at:
http://www.msha.gov/TRAINING/STATES/STATES.asp.
E. Funding Restrictions
MSHA will determine whether costs are allowable under the
applicable Federal cost principles and other conditions contained in
the grant award.
1. Allowable Costs
Grant funds may be spent on conducting training, conducting
outreach and recruiting activities to increase the number of mine
operators and miners participating in the program,
[[Page 47268]]
developing educational materials, and on necessary expenses to support
these activities. Allowable costs are determined by the applicable
Federal cost principles identified in Part VI.B. Program income earned
during the award period shall be retained by the recipient, added to
funds committed to the award, and used for the purposes and under the
conditions applicable to the use of the grant funds.
2. Unallowable Costs
Grant funds may not be used for the following activities under this
grant program:
(a) Any activity inconsistent with the goals and objectives of this
SGA;
(b) Training on topics that are not targeted under this SGA;
(c) Duplicating training or services offered by MSHA or any MSHA
State grant under section 503 of the Federal Mine Safety and Health Act
of 1977;
(d) Purchasing any equipment unless pre-approved and in writing by
the MSHA grant officer;
(e) Administrative costs that exceed 15% of the total grant budget;
and
(f) Any pre-award costs.
Unallowable costs also include any cost determined by MSHA as not
allowed according to the applicable cost principles or other conditions
in the grant.
V. Application Review Information
A. Evaluation Criteria
MSHA will screen all applications to determine whether all required
proposal elements are present and clearly identifiable. Those that do
not comply with mandatory requirements will not be evaluated. The
technical panels will review grant applications against the criteria
listed below on the basis of 100 maximum points for one-year grants and
20 maximum points for the renewal portion of the grant applications. Up
to 10 additional points may be given for leveraging non-Federal
resources.
MSHA will evaluate the applications for annual grants and the
annual portion of the two-year applications using the first five
categories below. From this group, MSHA will select applicants to
receive one-year funding. From these selectees, MSHA will review those
that applied for option year (renewable) grants against the criteria
listed in category 6 on the basis of 20 maximum points. Please note
that MSHA may offer an annual grant to applicants that may not be
selected for renewable grants.
1. Program Design--40 Points Total
(a) Statement of Problem/Need for Funds. (3 points)
The proposed training and education program or training materials
must address either mine emergency preparedness or mine emergency
prevention.
(b) Quality of the Project Design. (25 points)
(1) The proposal to train mine operators and/or miners clearly
estimates the number to be trained and clearly identifies the types of
mine operators and miners to be trained.
(2) If the proposal contains a train-the-trainer program, the
following information must be provided:
What ongoing support the grantee will provide to new
trainers;
The number of individuals to be trained as trainers;
The estimated number of courses to be conducted by the new
trainers;
The estimated number of students to be trained by these
new trainers and a description of how the grantee will obtain data from
the new trainers documenting their classes and student numbers if
conducted during the grant period.
(3) The work plan activities and training are described.
The planned activities and training are tailored to the
needs and levels of the mine operators and miners to be trained. Any
special constituency to be served through the grant program is
described, e.g., smaller mines, limited English proficiency miners etc.
Organizations proposing to develop materials in languages other than
English also will be required to provide an English version of the
materials.
If the proposal includes developing training materials,
the work plan must include time during development for MSHA to review
the educational materials for technical accuracy and suitability of
content. If commercially developed training products will be used for a
training program, applicants should also plan for MSHA to review the
materials before using the products in their grant programs.
The utility of the educational materials is described.
The outreach or process to find mine operators, miners or
trainees to receive the training is described.
(c) Replication. The extent to which a project is expected to be
replicated and the potential for the project to serve a variety of mine
operators, miners or mine sites. (4 points)
(d) Innovativeness. The originality and uniqueness of the approach
used. (3 points)
(e) MSHA's Performance Goals. The extent the proposed project will
contribute to MSHA's performance goals. (5 points)
2. Budget--20 Points Total
(a) The budget presentation is clear and detailed. (15 points)
The budgeted costs are reasonable.
No more than 15% of the total budget is for administrative
costs.
The budget complies with Federal cost principles (which
can be found in the applicable Office of Management and Budget (OMB)
Circulars and with MSHA budget requirements contained in the grant
application instructions).
(b) The application demonstrates that the applicant has strong
financial management and internal control systems. (5 points)
3. Overall Qualifications of the Applicant--25 Points Total
(a) The applicant has administered, or will work with an
organization that has administered, a number of different Federal or
State grants in the past five years. The applicant may demonstrate this
experience by having project staff that has experience administering
Federal and/or State grants in the past five years. (6 points)
(b) The applicant applying for the grant demonstrates experience
with mine safety teaching or providing mine safety educational
programs. Applicants that do not have prior experience in providing
mine safety training to mine operators or miners may partner with an
established mine safety organization to acquire mine safety expertise.
(13 points)
Project staff has experience in mine safety, the specific
topic chosen, or in training mine operators and miners.
Project staff has experience in recruiting, training, and
working with the population the organization proposes to serve.
Applicant has experience in designing and developing mine
safety training materials for a mining program.
Applicant has experience in managing educational programs.
(c) Applicant demonstrates internal control and management
oversight of the project. (6 points)
4. Outputs and Evaluations--15 Points Total
The proposal should include provisions for evaluating the
organization's progress in accomplishing the grant work activities and
accomplishments, evaluating training sessions, and evaluating the
program's effectiveness and impact to determine if the safety training
and services provided resulted in workplace change and improved
workplace conditions. The proposal should include a plan to follow up
with
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trainees to determine the impact the program has had in abating hazards
and reducing miner injuries and illnesses.
5. Leveraged Resources--10 Points Total
MSHA will award up to 10 additional rating points to applications
that include non-Federal resources that expand the size and scope of
project-related activities. To be eligible for the additional points,
the applicant must list the resources, the nature of programmatic
activities anticipated and any partnerships, linkages, or coordination
of activities, cooperative funding, etc., including the monetary value
of such contributions.
6. Renewal Grants: Second-Year Request--20 Points Total
A renewal proposal must include a description of the project design
and budget for the second-year funding. The applicant must also
describe how it will obtain input and feedback from first-year training
recipients and how it will improve its program based on its or MSHA
evaluations.
B. Review and Selection Process
A technical panel will rate each complete application against the
criteria described in this SGA. One or more applicants may be selected
as grantees on the basis of the initial application submission or a
minimally acceptable number of points may be established. MSHA may
request final revisions to the applications, and then evaluate the
revised applications. MSHA may consider any information that comes to
its attention in evaluating the applications.
The panel recommendations are advisory in nature. The Deputy
Assistant Secretary of Labor for Mine Safety and Health (Deputy
Assistant Secretary of Policy) will make a final selection
determination based on what is most advantageous to the government,
considering factors such as panel findings, geographic presence of the
applicants or the areas to be served, Agency priorities, and the best
value to the government, cost and other factors. The Deputy Assistant
Secretary's determination for award under this SGA is final.
C. Anticipated Announcement and Award Dates
Announcement of these awards is expected to occur by September 17,
2011. The grant agreement will be signed no later than September 30,
2011.
VI. Award Administration Information
A. Award Process
Organizations selected as potential grant recipients will be
notified by a representative of the Deputy Assistant Secretary, usually
the Grant Officer or his staff. An applicant whose proposal is not
selected will be notified in writing. The fact that an organization has
been selected as a potential grant recipient does not necessarily
constitute approval of the grant application as submitted (revisions
may be required).
Before the actual grant award, MSHA may enter into negotiations
with the potential grant recipient concerning such matters as program
components (including the type of grant), staffing and funding levels,
and administrative systems. If the negotiations do not result in an
acceptable submittal, the Deputy Assistant Secretary reserves the right
to terminate the negotiations and decline to fund the proposal.
B. Administrative and National Policy Requirements
All grantees will be subject to applicable Federal laws and
regulations (including provisions of appropriations law) and applicable
OMB Circulars. The grants awarded under this competitive grant program
will be subject to the following administrative standards and
provisions, if applicable:
29 CFR part 2, subpart D, Equal Treatment for Religious
Organizations.
29 CFR parts 31, 32, 35 and 36, Nondiscrimination.
29 CFR part 93, Restrictions on Lobbying.
29 CFR part 94, Drug-free Workplace.
29 CFR part 95, Uniform Grant Requirements for Nonprofit
Organizations.
29 CFR parts 96 and 99, Audits.
29 CFR part 97, Uniform Grant Requirements for States.
29 CFR part 98, Debarment and Suspension.
2 CFR part 25, Universal Identifier and Central Contractor
Registration.
2 CFR part 170, Reporting Subawards.
2 CFR part 175, Award Term for Trafficking in Persons.
2 CFR part 220, Cost Principles for Educational
Institutions.
2 CFR part 225, Cost Principles for State and Local
Governments.
2 CFR part 230, Cost Principles for Other Nonprofit
Organizations.
Federal Acquisition Regulation (FAR) Subpart 31.2, Cost
Principles for Commercial Organizations. (Codified at 48 CFR Subpart
31.2.)
Administrative costs for these grants may not exceed 15%. Unless
specifically approved, MSHA's acceptance of a proposal or MSHA's award
of Federal funds to sponsor any program does not constitute a waiver of
any grant requirement or procedure. For example, if an application
identifies a specific sub-contractor to provide certain services, the
MSHA award does not provide a basis to sole-source the procurement (to
avoid competition).
C. Special Program Requirements
1. MSHA Review of Educational Materials
MSHA will review all grantee-produced educational and training
materials for technical accuracy and suitability of content during
development and before final publication. MSHA also will review
training curricula and purchased training materials for technical
accuracy and suitability of content before the materials are used.
Grantees developing training materials must follow all copyright laws
and provide written certification that their materials are free from
copyright infringements.
When grantees produce training materials, they must provide copies
of completed materials to MSHA before the end of the grant period.
Completed materials should be submitted to MSHA in hard copy and in
digital format (CD-ROM/DVD) for publication on the MSHA Web site. Two
copies of the materials must be provided to MSHA. Acceptable formats
for training materials include Microsoft XP Word, PDF, PowerPoint, and
any other format agreed upon by MSHA.
2. License
As listed in 29 CFR 95.36, the Department of Labor reserves a
royalty-free, nonexclusive, and irrevocable right to reproduce,
publish, or otherwise use for Federal purposes any work produced under
a grant, and to authorize others to do so. Grantees must agree to
provide the Department of Labor a paid-up, nonexclusive, and
irrevocable license to reproduce, publish, or otherwise use for Federal
purposes all products developed, or for which ownership was purchased,
under an award. Such products include, but are not limited to,
curricula, training models, technical assistance products, and any
related materials. Such uses include, but are not limited to, the right
to modify and distribute such products worldwide by any means,
electronic, or otherwise.
3. Acknowledgement on Printed Materials
All approved grant-funded materials developed by a grantee shall
contain the
[[Page 47270]]
following disclaimer: ``This material was produced under grant number
XXXXX from the Mine Safety and Health Administration, U.S. Department
of Labor. It does not necessarily reflect the views or policies of the
U.S. Department of Labor, nor does mention of trade names, commercial
products, or organizations imply endorsement by the U.S. Government.''
When issuing statements, press releases, request for proposals, bid
solicitations, and other documents describing projects or programs
funded in whole or in part with Federal money, all grantees receiving
Federal funds must clearly state:
(a) The percentage of the total costs of the program or project
that will be financed with Federal money;
(b) The dollar amount of Federal financial assistance for the
project or program; and
(c) The percentage and dollar amount of the total costs of the
project or program that will be financed by non-governmental sources.
4. Use of U.S. Department of Labor (USDOL) and MSHA Logos
MSHA may allow the USDOL or the MSHA logo to be applied to the
grant-funded material including posters, videos, pamphlets, research
documents, national survey results, impact evaluations, best practice
reports, and other publications. Before the DOL or MSHA logos are used
on grant-funded materials, the grantees must consult with MSHA. In no
event shall the USDOL or the MSHA logo be placed on any item until MSHA
has given the grantee written permission to use either logo on the
item.
5. Reporting
Grantees are required by Departmental regulations to submit
financial and project reports, as described below, each calendar
quarter. All reports are due no later than 30 days after the end of the
calendar quarter and shall be submitted to MSHA. Grantees also are
required to submit final reports 90 days after the end of the grant
period.
(a) Financial Reports. The grantee shall submit financial reports
on a quarterly basis.
(b) Technical Project Reports. After signing the agreement, the
grantee shall submit technical project reports to MSHA at the end of
each calendar quarter. Technical project reports provide both
quantitative and qualitative information and a narrative assessment of
performance for the preceding three-month period. See 29 CFR 95.51 and
29 CFR 97.40. This should include the current grant progress against
the overall grant goals.
Between reporting dates, the grantee shall immediately inform MSHA
of significant developments or problems affecting the organization's
ability to accomplish the work.
(c) Final Reports. At the end of each 12-month performance period,
each grantee must provide a final financial report, a summary of its
technical project reports, and an evaluation report. In addition to
these requirements, in its second-year final report, renewal grantees
must provide the total outputs for the two years, a list of best
practices used, and any changes made as a result of evaluation
feedback.
H. Freedom of Information
Any information submitted in response to this SGA will be subject
to the provisions of the Freedom of Information Act, as appropriate.
I. Transparency in the Grant Process
DOL is committed to conducting a transparent grant award process
and publicizing information about the program's performance. Posting
grant applications on public Web sites is a means of promoting and
sharing innovative ideas. For this grant competition, we will publish
the Executive Summary as required by this solicitation for all
applications on the Department's Web site or similar location.
Additionally, we will publish a version of the Technical Proposal
required by this solicitation, for all those applications that are
awarded grants, on the Department's Web site or a similar location. No
other parts of or attachments to the application will be published. The
Technical Proposals and Executive Summaries will not be published until
after the grants are awarded. In addition, information about grant
progress and results may also be made publicly available.
DOL recognizes that grant applications sometimes contain
information that an applicant may consider proprietary or business
confidential information, or may contain personally identifiable
information. Information is considered proprietary or confidential
commercial/business information when it is not usually disclosed
outside your organization and when its disclosure is likely to cause
substantial competitive harm. Personally identifiable information is
information that can be used to distinguish or trace an individual`s
identity, such as name, social security number, date and place of
birth, mother`s maiden name, or biometric records, or other information
that is linked or linkable to an individual, such as medical,
educational, financial, and employment information.\1\
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\1\ Memorandums 07-16 and 06-19. GAO Report 08-536, Privacy:
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Executive Summaries will be published in the form originally
submitted, without any redactions. However, in order to ensure that
confidential information is properly protected from disclosure when DOL
posts the winning Technical Proposals, applicants whose technical
proposals will be posted will be asked to submit a second redacted
version of their Technical Proposal, with proprietary, confidential
commercial/business, and personally identifiable information redacted.
All non-public information about the applicant's staff should be
removed as well.
The Department will contact the applicants whose technical
proposals will be published by letter or e-mail, and provide further
directions about how and when to submit the redacted version of the
Technical Proposal. Submission of a redacted version of the Technical
Proposal will constitute permission by the applicant for DOL to post
that redacted version. If an applicant fails to provide a redacted
version of the Technical Proposal, DOL will publish the original
Technical Proposal in full, after redacting personally identifiable
information. (Note that the original, unredacted version of the
Technical Proposal will remain part of the complete application
package, including an applicant's proprietary and confidential
information and any personally identifiable information.)
Applicants are encouraged to maximize the grant application
information that will be publicly disclosed, and to exercise restraint
and redact only information that truly is proprietary, confidential
commercial/business information, or capable of identifying a person.
The redaction of entire pages or sections of the Technical Proposal is
not appropriate, and will not be allowed, unless the entire portion
merits such protection. Should a dispute arise about whether redactions
are appropriate, DOL will follow the procedures outlined in the
Department's Freedom of Information Act (FOIA) regulations (29 CFR part
70).
If DOL receives a FOIA request for your application, the procedures
in DOL's FOIA regulations for responding to requests for commercial/
business information submitted to the
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government will be followed, as well as all FOIA exemptions and
procedures. 29 CFR 70.26. Consequently, it is possible that application
of FOIA rules may result in release of information in response to a
FOIA request that an applicant redacted in its ``redacted copy.''
VII. Agency Contacts
Any questions regarding this solicitation for grant applications
(SGA 11-3BS) should be directed to Robert Glatter at
glatter.robert@dol.gov or at 202-693-9570 (this is not a toll-free
number) or the Grant Officer, Carl Campbell at campbell.carl@dol.gov or
at 202-693-9839 (this is not a toll-free number). MSHA's Web page at
http://www.msha.gov is a valuable source of background for this
initiative.
VIII. Office of Management and Budget Information Collection
Requirements
This SGA requests information from applicants. This collection of
information is approved under OMB Control No. 1225-0086 (expires
November 30, 2012).
In accordance with the Paperwork Reduction Act of 1995, no persons
are required to respond to a collection of information unless such
collection displays a valid OMB control number. Public reporting burden
for the grant application is estimated to average 20 hours per
response, for reviewing instructions, searching existing data sources,
gathering and maintaining the data needed, and completing and reviewing
the collection of information. Each recipient who receives a grant
award notice will be required to submit nine progress reports to MSHA.
MSHA estimates that each report will take approximately five hours to
prepare.
Send comments regarding the burden estimated or any other aspect of
this collection of information, including suggestions for reducing this
burden, to the OMB Desk Officer for MSHA, Office of Management and
Budget Room 10235, Washington DC 20503 and MSHA, electronically to
Robert Glatter at glatter.robert@dol.gov or the Grant Officer, Carl
Campbell at campbell.carl@dol.gov or by mail to Robert Glatter, Room
2102, 1100 Wilson Boulevard, Arlington, Virginia 22209.
This information is being collected for the purpose of awarding a
grant. The information collected through this ``Solicitation for Grant
Applications'' will be used by the Department of Labor to ensure that
grants are awarded to the applicant best suited to perform the
functions of the grant. Submission of this information is required in
order for the applicant to be considered for award of this grant.
Unless otherwise specifically noted in this announcement, information
submitted in the respondent's application is not considered to be
confidential.
Authority: 30 U.S.C. 965.
Dated: July 29, 2011.
Patricia W. Silvey,
Deputy Assistant Secretary for Operations, Mine Safety and Health.
[FR Doc. 2011-19710 Filed 8-1-11; 11:15 am]
BILLING CODE 4510-43-P