[Federal Register Volume 77, Number 146 (Monday, July 30, 2012)]
[Pages 44685-44694]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2012-18436]



Mine Safety and Health Administration

Brookwood-Sago Mine Safety Grants

AGENCY: Mine Safety and Health Administration, Labor.

ACTION: Solicitation for Grant Applications (SGA).


    Announcement Type: New.
    Funding Opportunity Number: SGA 12-3BS.

Catalog of Federal Domestic Assistance (CFDA) Number: 17.603

SUMMARY: The U.S. Department of Labor, Mine Safety and Health 
Administration (MSHA), is making $1,250,000 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) 2012 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.
    The number of grants awarded will be determined by MSHA's 
evaluation of grant applications. The amount of each individual grant 
will be at least $50,000.00. The maximum amount for a 12-month period 
of performance is $250,000. MSHA may award both annual and renewal 
(two-year) grants. This notice contains all of the information needed 
to apply for grant funding, including those eligible grantees awarded a 
2011 renewal grant.

DATES: The closing date for applications will be August 31, 2012, (no 
later than 11:59 p.m. EDST). MSHA will award grants on or before 
September 30, 2012.

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.

FOR FURTHER INFORMATION CONTACT: Any questions regarding this 
solicitation for grant applications (SGA 12-3BS) 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, Valoree Lilley, at 
lilley.valoree@dol.gov or at 202-693-9831 (this is not a toll-free 

SUPPLEMENTARY INFORMATION: This solicitation provides background 
information and the requirements for projects funded under the 
solicitation. This solicitation consists of nine 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 for FY 2012 annual and renewal grants.
     Part V explains the review process and rating criteria 
that will be used to evaluate the FY 2012 applications.
     Part VI provides information for FY 2011 renewal grantees 
to apply for FY 2012 funding.
     Part VII provides award administration information.
     Part VIII contains MSHA contact information.
     Part IX 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

[[Page 44686]]

would increase safety in mines. The MINER Act also required that every 
underground coal mine 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 working 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 funds the Brookwood-Sago grants annually for 12 months of 
performance through two types of grants. For the first type, ``annual 
grants,'' MSHA requires an applicant to compete each year for the 
available funds. For the second type, ``renewal grants,'' MSHA awards a 
grant eligible for two separate years of funding with two separate 12-
month performance periods.
    For renewal grants, the awardees' eligibility for the second year 
of funding in FY 2013 is contingent on certain conditions being met. 
MSHA will award funding for the second year of performance based on the 
following requirements:
    1. The first-year 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 2013 Brookwood-Sago SGA, those grantees eligible for renewal 
grants of the documentation 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 2013. MSHA would not penalize an eligible renewal grantee for not 
applying for its second year of funding under the renewal grant and 
would permit the grantee to compete for another annual or renewal 
Brookwood-Sago grant.

C. Educational and Training Program Priorities

    MSHA priorities for the FY 2012 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 annual 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, 
conduct training, and evaluate the grant program on mine emergency 
preparedness or mine emergency prevention.
    For both annual and renewal grant programs, grantees are also 
expected to conduct follow-up evaluations with the people who received 
training in their programs to measure how the training promotes the 
Secretary's goal of ensuring a safe and healthy workplace. The 
evaluation will focus on determining how effective their training was 
in either reducing hazards, 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 2012

    MSHA is providing $1,250,000 to award new FY 2012 annual and 
renewal grants and to fund the second year of eligible FY 2011 renewal 
grants. The number of grants awarded will be determined by MSHA's 
evaluation of grant applications. 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. Extension of Period of Performance

    For annual awards, 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 12 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 (IRS). 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.

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://

[[Page 44687]]

    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. 2 CFR 25.200. Grant 
applicants must create a user account and then complete and submit the 
online registration. Once you have submitted the registration, it will 
take three to five business days to process. The applicant will receive 
an email 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 for new FY 2012 annual and renewal grants 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 for New FY 2012 Annual and 
Renewal Grants

A. Application Forms

    This announcement includes all information and links needed to 
apply for this funding opportunity. (The information regarding the 
second-year funding of the FY 2011 renewal grants is located in Part 
VI.) 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 email at 
    The full application package is also available on-line at 
www.msha.gov: Select ``Education & Training,'' click on ``Courses,'' 
select ``Brookwood-Sago Mine Safety Grants,'' then select ``SGA 12-
3BS.'' This Web site also includes all forms and all regulations that 
are referenced in this SGA. Applicants, however, must apply for this 
funding opportunity through the Grants.gov Web site.

B. Content and Form of the FY 2012 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 Forms and Financial Plan (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 Forms and Financial Plan
    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 grant 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 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 of the applicant shall be considered the 
representative of the applicant.
    (b) Completed SF-424A, ``Budget Information for Non-Construction 
Programs.'' 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 on-line 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/
2012, and the end date is 9/29/2014. The estimated funding in Item No. 
18 would be $100,000. On the SF-424A Budget Information for Non-
Construction Programs, the applicant would list 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 to each of the activities 
specified in the technical proposal and it should discuss precisely how 
any administrative costs support the project goals. Administrative 
costs may not exceed 15% of the total grant budget. Indirect cost 
charges must be supported with a copy of an approved Indirect Cost Rate 
    If applicable, the applicant must provide a statement about its 
program income.
    The amount of Federal funding requested for the entire period of 
performance must be shown on the SF-424 and SF-424A forms.
    (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

[[Page 44688]]

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 IRS, if applicable.
    (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. MSHA will publish, as 
submitted, all grantees' executive summaries on the DOL 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.
    (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 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 
3. Technical Proposal
    The technical proposal must demonstrate the applicant's 
capabilities to plan and implement a project or create educational 
materials or 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 or 
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 

     MSHA's program goals          performance     DATA grantee provides
                                     measures      each reporting period
1. Agency creates more          Increase overall   Number of training
 effective training to ensure    number of          events.
 workplaces are safe.            trainers trained. Number of trainers
                                Increase the        trained.
                                 number of mine    Number of mine
                                 operators and      operators and miners
                                 miners trained.    trained.
                                Provide quality    Number of course days
                                 training with      of training provided
                                 clearly stated     to industry.
                                 goals and         Pre- and post-
                                 objectives for     assessment results
                                 improving safety.  of trainees.
                                                   Course evaluations of
                                                    trainer and training
                                                   A description of the
                                                    extent to which
                                                    others replicate
                                                    (i.e., adopt or
                                                    adapt) or
                                                    institutionalize and
                                                    continue the
                                                    training or
                                                    educational programs
                                                    after grant funding
2. Agency creates training      Increase number    Pre- and post-
 materials to provide more       of quality         assessment results
 effective training to ensure    educational        of the training
 workplaces are safe.            materials          materials.
                                 developed.        Evaluation of
                                Provide quality     training materials
                                 training           to include the
                                 materials with     target audience,
                                 clearly stated     statement of goals
                                 goals and          and objectives,
                                 objectives for     learning level,
                                 improving safety.  instructions for
                                Develop training    using, additional
                                 materials that     material
                                 are reproducible   requirements,
                                 or adaptable.      secondary purposes,
                                                    adult learning
                                                    principles and
                                                    usability in the
                                                    mine training
                                                   A description of the
                                                    extent to which
                                                    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, and Output and Evaluation. Any pages over the 12-page limit 
will not be reviewed. Attachments to the technical proposal are not 
counted toward the 12-page limit. Major sections and sub-sections of 
the proposal should be divided and clearly identified. And as required 
in Section VII subpart I ``Transparency,'' a grantee's final technical 
proposal will be posted as is on MSHA's Web site unless MSHA receives a 
version redacting any proprietary, confidential business, or personally 
identifiable information by October 19, 2012.
    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 expected to benefit from their 
training and education program; this should

[[Page 44689]]

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, 2012, and end September 
29, 2013. Renewal grant applicants must also include a second 12-month 
workplan covering the period from September 30, 2013, and ending 
September 29, 2014. An outline of specific items required in the 
workplan follows.
    (i) Plan Overview. Describe the plan for grant activities and the 
anticipated results. The plan should 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 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, 
type of training (e.g., Mine Emergency Response Development exercise), 
and training locations (e.g., classroom, worksites). Describe how the 
applicant will recruit mine operators and 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 using the table located in 
Part IV.B.3 for data required to meet the grant goals. 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; but the 
first quarter is the date of award to December 31, 2012). 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 
    (iv) Materials. Describe each educational material, including any 
piece of equipment (e.g., mine 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) Qualifications of the Applicant
    (1) Applicant's 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 email 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 email 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 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' experiences with other 
    (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 a 
result-related outcome or both. This will involve following up with an 
evaluation, or on-site review, if feasible, of miners trained. The 
evaluation should focus on what changes the trained miners 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 
trained on the clarity of the presentation, organization, and the 
quality of 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 
    For renewal grants, applicants must describe how the program will 
address the feedback from its or MSHA's

[[Page 44690]]

evaluations to improve its training program, materials (including 
equipment), or both during the second year.

C. Submission Date, Times, and Addresses

    The closing date for receipt of applications under this 
announcement is August 31, 2012 (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 email.

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. 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, developing 
educational materials, and on necessary expenses to support these 
activities. Allowable costs are determined by the applicable Federal 
cost principles identified in Part VII.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 
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) Purchasing any equipment unless pre-approved and in writing 
bythe MSHA grant officer;
    (d) Administrative costs that exceed 15% of the total grant budget; 
    (e) 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 for New FY 2012 Grants

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 annual grants and 
the annual portion of the renewal grants and 20 maximum points for the 
renewal portion of the grant applications.
    MSHA will evaluate the applications for annual grants and the 
annual portion of the two-year applications using the first four 
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 (renewal) grants against the criteria 
listed in category 5 on the basis of 20 maximum points. Please note 
that MSHA may offer an annual grant to applicants that may not be 
selected for renewal 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 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 (4 Points)
    The potential for a project to serve a variety of mine operators, 
miners, or mine sites and/or the extent others may replicate the 
(d) Innovativeness (3 Points)
    The originality and uniqueness of the approach used.
(e) MSHA's Performance Goals (5 Points)
    The extent the proposed project will contribute to MSHA's 
performance goals.
2. Budget--20 Points Total
(a) The Budget Presentation Is Clear and Detailed (15 Points)
     The budgeted costs are reasonable.

[[Page 44691]]

     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) Grant Experience (6 Points)
    The applicant has administered, or will work with an organization 
that has administered, a number of different Federal or State grants. 
The applicant may demonstrate this experience by having project staff 
that has experience administering Federal or State grants.
(b) Mine Safety Training Experience (13 Points)
    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.
     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) Management (6 Points)
    Applicant demonstrates internal control and management oversight of 
the project.
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 or improved 
workplace conditions. The proposal should include a plan to follow up 
with trainees to determine the impact the program has had in abating 
hazards and reducing miner injuries and illnesses.
5. 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 for New FY 2012 Grants

    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 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 29, 
2012. The grant agreement will be signed no later than September 30, 

VI. FY 2011 Renewal Grantees' Process for FY 2012 Funding

A. General

    In this section, MSHA is providing the eligible FY 2011 renewal 
grantees the procedures and required documentation that they must 
submit to receive their FY 2012 funding. MSHA will notify all renewal 
grantees of their eligibility. The grantees are reminded that they are 
not required to apply for the second year of funding. If they do not 
wish to apply for the second-year funding, the grantees may apply for a 
new grant under the FY 2012 annual and/or renewal grant program 

B. The Process and Required Documentation

1. Documentation
    Using its current grant number, each grantee must provide:
    (a) A revised SF-424 and SF-424A forms; and
    (b) If necessary, a revised workplan.
2. Submission Date, Times, and Addresses
    The closing date for receipt of applications under this 
announcement is August 31, 2012 (no later than 11:59 p.m. EDST). The 
renewal grantee must submit its application for FY 2012 funding 
electronically through the Grants.gov Web site.

C. Award Information

    Announcement of these awards is expected to occur by
    September 29, 2012. The amendment to the FY 2011 grant agreement 
will be signed no later than September 30, 2012.

VII. 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 her 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.

[[Page 44692]]

     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 infringement.
    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 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 quarter (grant 
quarters match calendar quarters, i.e., January to March, April to 
(a) Financial Reports
    All financial reports are due no later than 30 days after the end 
of the quarter and shall be submitted to MSHA electronically. Grantees 
will be contacted with instructions on how to submit reports.
(b) Technical Project Reports
    After signing the agreement, the grantee shall submit technical 
project reports to MSHA no later than 30 days after the end of each 
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 as provided in Part IV.B.3.
    Between reporting dates, the grantee shall immediately inform MSHA 
of significant developments or problems affecting the organization's 
ability to accomplish the work. See 29 CFR 95.51(f) and 29 CFR 
(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. These final reports are due no later 
than 90 days after the end of the 12-month performance period.
    In addition to these requirements, in its second-year final 
technical 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 program outcomes. Posting awardees' 
grant applications on public Web sites is a means of promoting and 
sharing innovative ideas. Under this SGA, DOL

[[Page 44693]]

will publish the awardees' Executive Summaries, selected information 
from their SF-424s, and a version of awardees' Technical Proposals on 
the Department's Web site or similar location. None of the Attachments 
to the Technical Proposal provided with the applications 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. Proprietary or business confidential information is 
information that is not usually disclosed outside your organization and 
disclosing this information is likely to cause you substantial 
competitive harm.
    Personally identifiable information is any 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; and any other information that is linked or 
linkable to an individual, such as medical, educational, financial, and 
employment information.\1\

    \1\ OMB Memorandum 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/assets/280/275558.pdf.

    Executive Summaries will be published in the form originally 
submitted, without any redactions. Applicants should not include any 
proprietary or confidential business information or personally 
identifiable information in this summary. In the event that an 
applicant submits proprietary or confidential business information or 
personally identifiable information, DOL is not liable for the posting 
of this information contained in the Executive Summary. The submission 
of the grant application constitutes a waiver of the applicant's 
objection to the posting of any proprietary or confidential business 
information contained in the Executive Summary. Additionally, the 
applicant is responsible for obtaining all authorizations from relevant 
parties for publishing all personally identifiable information 
contained within the Executive Summary. In the event the Executive 
Summary contains proprietary or confidential business or personally 
identifiable information, the applicant is presumed to have obtained 
all necessary authorizations to provide this information and may be 
liable for any improper release of this information.
    By submission of this grant application, the applicant agrees to 
indemnify and hold harmless the United States, the U.S. Department of 
Labor, its officers, employees, and agents against any liability or for 
any loss or damages arising from this application. By such submission 
of this grant application, the applicant further acknowledges having 
the authority to execute this release of liability.
    In order to ensure that proprietary or confidential business 
information or personally identifiable 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 any proprietary or confidential business information and 
personally identifiable information redacted. All non-public 
information about the applicant's staff or other individuals should be 
removed as well.
    The Department will contact the applicants whose Technical 
Proposals will be published by letter or email, 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 make the redacted 
version publicly available. We will also assume that the applicant has 
obtained the agreement to the redacted version of the applicant's 
Technical Proposal. If an applicant fails to provide a redacted version 
of the Technical Proposal by October 19, 2012, DOL will publish the 
original Technical Proposal in full, after redacting only 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 business 
information and any personally identifiable information.)
    Applicants are encouraged to disclose as much of the grant 
application information as possible, and to redact only information 
that clearly 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 
    Redacted information in grant applications will be protected by DOL 
from public disclosure in accordance with federal law, including the 
Trade Secrets Act (18 U.S.C. 1905), FOIA, and the Privacy Act (5 U.S.C. 
552a). 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 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.''

VIII. Agency Contacts

    Any questions regarding this solicitation for grant applications 
(SGA 12-3BS) 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, Valoree Lilley at lilley.valoree@dol.gov 
or at 202-693-9831 (this is not a toll-free number). MSHA's Web page at 
www.msha.gov is a valuable source of background for this initiative.

IX. 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 two and half 
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

[[Page 44694]]

at glatter.robert@dol.gov or the Grant Officer, Valoree Lilley at 
lilley.valoree@dol.gov or by mail to Robert Glatter, Room 2148, 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 24, 2012.
Patricia W. Silvey,
Deputy Assistant Secretary for Operations, Mine Safety and Health.
[FR Doc. 2012-18436 Filed 7-27-12; 8:45 am]