[Federal Register Volume 76, Number 150 (Thursday, August 4, 2011)]
[Pages 47262-47271]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2011-19710]



Mine Safety and Health Administration

Brookwood-Sago Mine Safety Grants

AGENCY: Mine Safety and Health Administration, Labor.

ACTION: Solicitation for Grant Applications (SGA).


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 

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 

FOR FURTHER INFORMATION CONTACT: Any questions regarding this 
solicitation for grant applications (SGA 11-3BS) should be directed to 
Robert Glatter at [email protected] or at 202-693-9570 (this is 
not a toll-free number) or the Grant Officer, Carl Campbell at 
[email protected] or at 202-693-9839 (this is not a toll-free 

    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 
     Part III describes the qualifications of an eligible 
     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 
    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 
    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

[[Page 47264]]

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 

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 [email protected].

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 
     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 
    (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 
    (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.

                                                        Data grantee
                               MSHA's performance     provides each 12-
    MSHA's program goals            measures         month  performance
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
                                                    Pre-test and post-
                                                     test results of
                                                    Course evaluations
                                                     of trainer and
                                                     training materials.
                                                    A description of the
                                                     extent to which
                                                     others will
                                                     replicate (i.e.,
                                                     adopt or adapt) or
                                                     and continue the
                                                     training or
                                                     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
                                                     secondary purposes,
                                                     adult learning
                                                     principles and
                                                     usability in the
                                                     mine training
                              Develop training      A description of the
                               materials that are    extent to which
                               reproducible.         others will
                                                     replicate (i.e.,
                                                     adopt or adapt) the
                                                     funded training

    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: 

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 
    (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; 
    (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 
    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 
    (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 
     The number of individuals to be trained as trainers;
     The estimated number of courses to be conducted by the new 
     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 
     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 
     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 

[[Page 47269]]

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 

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, 

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 
     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 
     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 
     2 CFR part 170, Reporting Subawards.
     2 CFR part 175, Award Term for Trafficking in Persons.
     2 CFR part 220, Cost Principles for Educational 
     2 CFR part 225, Cost Principles for State and Local 
     2 CFR part 230, Cost Principles for Other Nonprofit 
     Federal Acquisition Regulation (FAR) Subpart 31.2, Cost 
Principles for Commercial Organizations. (Codified at 48 CFR Subpart 

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 
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 
    (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 

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\

    \1\ Memorandums 07-16 and 06-19. GAO Report 08-536, Privacy: 
Alternatives Exist for Enhancing Protection of Personally 
Identifiable Information, May 2008, http://www.gao.gov/new.items/d08536.pdf.

    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 
    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

[[Page 47271]]

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 
[email protected] or at 202-693-9570 (this is not a toll-free 
number) or the Grant Officer, Carl Campbell at [email protected] 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 

VIII. Office of Management and Budget Information Collection 

    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 
    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 [email protected] or the Grant Officer, Carl 
Campbell at [email protected] 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 

    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]