Brookwood Sago 2011 SGA

4510-43-P

DEPARTMENT OF LABOR
Mine Safety and Health Administration
Brookwood-Sago Mine Safety Grants
AGENCY: Mine Safety and Health Administration, Labor
ACTION: Solicitation for Grant Applications (SGA).

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 period of performance is $250,000. Also, MSHA is announcing a new
program structure allowing applicants to apply for a renewal grant. This notice
contains all of the information needed to apply for grant funding.
DATES: The closing date for applications will be August 31, 2011 (no later than
11:59 p.m. EDST). MSHA will award grants on or before September 30, 2011.

ADDRESSES: Applications for grants submitted under this competition must be
submitted electronically using the Government-wide site at
http://www.grants.gov. If applying online poses a hardship to any applicant, the
MSHA Directorate of Educational Policy and Development will provide assistance
to help applicants submit online. MSHA's webpage at www.msha.gov is a
valuable source of background for this initiative.
FOR FURTHER INFORMATION CONTACT: Any questions regarding this
solicitation for grant applications (SGA 11-3BS) should be directed to Robert
Glatter at [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).
SUPPLEMENTARY INFORMATION:
Announcement Type: New.
Funding Opportunity Number: SGA 11-3BS
Catalog of Federal Domestic Assistance (CFDA) Number: 17.603
This solicitation provides background information and the critical elements
required of projects funded under the solicitation. It also describes the
application submission requirements, the process that eligible applicants must
use to apply for funds covered by this solicitation, and how grantees will be
selected. Further information regarding submitting the grant application
electronically is listed in Section IV.C., Submission Date, Times, and Addresses.
This solicitation consists of eight parts:
•

Part I provides background information on the Brookwood-Sago grants.

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•

Part II describes the size and nature of the anticipated awards.

•

Part III describes the qualifications of an eligible applicant.

•

Part IV provides information on the application and submission process.

•

Part V explains the review process and rating criteria that will be used to
evaluate applications.

•

Part VI provides award administration information.

•

Part VII contains MSHA contact information.

•

Part VIII addresses Office of Management and Budget information collection
requirements.

I. FUNDING OPPORTUNITY DESCRIPTION.
A. Overview of the Brookwood-Sago Mine Safety Grant Program.
Responding to several coal mine disasters, Congress enacted the Mine
Improvement and New Emergency Response Act of 2006 (MINER Act). When
Congress passed the MINER Act, it expected that requirements for new and
advanced technology, e.g., fire-resistant lifelines and increased breathable air
availability in escapeways would increase safety in mines. The MINER Act also
required that every underground coal mine would have persons trained in
emergency response. Congress emphasized its commitment to training for mine
emergencies when it strengthened the requirements for the training of mine
rescue teams. Recent events demonstrate that training is the key for proper and
safe emergency response and that all miners employed underground should be
trained in emergency response.

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Under Section 14 of the MINER Act, the Secretary of Labor (Secretary) is
required to establish a competitive grant program called the “Brookwood-Sago
Mine Safety Grants” (Brookwood-Sago grants). This program provides funding
of education and training programs to better identify, avoid, and prevent unsafe
working conditions in and around mines. This program will use grant funds to
establish and implement education and training programs or to create training
materials and programs. The MINER Act requires the Secretary to give priority
to mine safety demonstrations and pilot projects with broad applicability. It also
mandates that the Secretary emphasize programs and materials that target
miners in smaller mines, including training mine operators and miners on new
MSHA standards, high-risk activities, and other identified safety priorities.
B. Grant Structures.
MSHA currently funds the Brookwood-Sago grants annually for
12 months of performance and requires an applicant to compete each year for
the available funds. MSHA is identifying these grants as “annual grants.”
MSHA is announcing the availability of a renewal grant program structure.
Under this new structure, MSHA will award a grant eligible for two separate years
of funding with two separate 12 month performance periods. MSHA is identifying
these grants as “renewal grants.”
The awardees' eligibility for the second-year of funding in FY 2012 is
contingent on certain conditions being met. MSHA will award funding for the
second-year of performance based on the following requirements:

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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,

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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
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 12month 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.

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The period of performance will be 12 months from the date of execution of
the grant documents awarding the funds. This performance period must include
all necessary implementation and start-up activities, as well as follow-up for
performance. A timeline clearly detailing these required grant activities and their
expected completion dates must be included in the grant application.
MSHA may approve a request for a one time no-cost extension to
grantees for an additional period of up to 12 months from the expiration date of
the annual award based on the success of the project and other relevant factors.
See 29 CFR 95.25 (e)(2). At the end of the second year of funding for a renewal
grant, MSHA may approve a request for a no-cost extension for an additional
period of performance of up to 6 months based on the success of the project and
other relevant factors.
III. ELIGIBILITY INFORMATION.
A. Eligible Applicants.
Applicants for the grants may be States and nonprofit (private or public)
entities. Eligible entities may apply for funding independently or in partnership
with other eligible organizations. For partnerships, a lead organization must be
identified.
Applicants other than States and State-supported or local governmentsupported 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.

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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 website:
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 website 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.

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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
website 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.

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Each grant application must address mine emergency preparedness or
mine emergency prevention for underground mines. The applicant must identify
that an application is for an annual or a renewal grant. Applicants must submit a
separate application for each topic and each type of grant. The application must
consist of three separate and distinct sections. The three required sections are:
•

Section 1—Project Financial Plan and Forms (No page limit).

•

Section 2—Executive Summary (Not to exceed two pages).

•

Section 3—Technical Proposal (Not to exceed 12 pages). Illustrative
material can be submitted as an attachment.
The following are mandatory requirements for each section.

1. Project Financial Plan and Forms.
This section contains the forms and budget section of the application. The
Project Financial Plan will not count against the application page limits. A person
with authority to bind the applicant must sign the application and forms.
Applications submitted electronically through Grants.gov do not need to be
signed manually; electronic signatures will be accepted.
(a) Completed SF-424, "Application for Federal Assistance." This form is
part of the application package on Grants.gov and is also available at
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.

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(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 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 on-line at 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

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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 www.Grants.gov and also is
available at 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

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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
www.Grants.gov and is also available at 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.

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(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 website.) The executive summary must include the following
information:
(a) Applicant. Provide the organization’s full legal name and address.
(b) Funding requested. List how much Federal funding is being
requested. If requesting a renewal grant, include the total for the two years of
funding and list each year's requested funding levels. If the organization is
contributing non-Federal resources, also list the amount of non-Federal
resources and the source of the funds.

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(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 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.

MSHA's
PROGRAM
GOALS

MSHA's PERFORMANCE
MEASURES

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DATA GRANTEE PROVIDES
EACH 12-MONTH
PERFORMANCE PERIOD

1. Agency
creates more
effective
training and
improves
safety.

Increase the number of
trainers trained.

Number of training events during
the period.

Increase the number of
mine operators and miners
trained.

Number of trainers trained.

Provide quality training with
clearly stated goals and
objectives for improving
safety.

Number of mine operators and
miners trained during the current
reporting period.
Number of course days of
training provided to industry
during the current reporting
period.
Pre-test and post-test results of
trainees.
Course evaluations of trainer and
training materials.

2. Agency
creates training
materials and
improves
safety.

Increase number of quality
educational materials
developed.
Provide quality training
materials with clearly stated
goals and objectives for
improving safety.
Develop training materials
that are reproducible.

A description of the extent to
which others will replicate (i.e.,
adopt or adapt) or institutionalize
and continue the training or
educational programs after grant
funding ends.
Pre-test and post-test results of
the training materials.
Evaluation of training materials to
include the target audience,
statement of goals and
objectives, learning level,
instructions for using, additional
material requirements, secondary
purposes, adult learning
principles and usability in the
mine training environment.
A description of the extent to
which others will replicate (i.e.,
adopt or adapt) the funded
training materials.

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The technical proposal narrative is not to exceed 12 single-sided, doublespaced 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,

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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

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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 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

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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

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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

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evaluation should include a process-related outcome or an impact-related
outcome or both. This will involve following up with an evaluation, or onsite 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 website. The Grants.gov site

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provides all the information about submitting an application electronically through
the site as well as the hours of operation. Interested parties can locate the
downloadable application package by the CFDA number 17.603.
Applications received by Grants.gov are electronically date and time
stamped. An application must be fully uploaded and submitted (and must be
date and time stamped by the Grants.gov system) before the application
deadline date. Once an interested party has submitted an application,
Grants.gov will notify the interested party with an automatic notification of receipt
that contains a Grants.gov tracking number. MSHA then will retrieve the
application from Grants.gov and send a second notification to the interested party
by e-mail.
D. Intergovernmental Review.
The Brookwood-Sago grants are not subject to Executive Order 12372,
"Intergovernmental Review of Federal Programs." MSHA, however, reminds
applicants that if they are not operating MSHA-approved State training grants,
they should contact the State grantees and coordinate any training or educational
program in order not to duplicate any training or educational program offered.
Information about each state grant and the entity operating the state grant is
provided online at: http://www.msha.gov/TRAINING/STATES/STATES.asp.
E. Funding Restrictions.
MSHA will determine whether costs are allowable under the applicable
Federal cost principles and other conditions contained in the grant award.
1. Allowable Costs.

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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 VI.B. Program income earned
during the award period shall be retained by the recipient, added to funds
committed to the award, and used for the purposes and under the conditions
applicable to the use of the grant funds.
2. Unallowable Costs.
Grant funds may not be used for the following activities under this grant
program:
(a)

Any activity inconsistent with the goals and objectives of this SGA;

(b)

Training on topics that are not targeted under this SGA;

(c)

Duplicating training or services offered by MSHA or any MSHA
State grant under section 503 of the Federal Mine Safety and
Health Act of 1977;

(d)

Purchasing any equipment unless pre-approved and in writing by

the MSHA grant officer;
(e)

Administrative costs that exceed 15% of the total grant budget; and

(f)

Any pre-award costs.

Unallowable costs also include any cost determined by MSHA as not allowed
according to the applicable cost principles or other conditions in the grant.
V. APPLICATION REVIEW INFORMATION.

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A. Evaluation Criteria.
MSHA will screen all applications to determine whether all required
proposal elements are present and clearly identifiable. Those that do not comply
with mandatory requirements will not be evaluated. The technical panels will
review grant applications against the criteria listed below on the basis of 100
maximum points for one-year grants and 20 maximum points for the renewal
portion of the grant applications. Up to 10 additional points may be given for
leveraging non-Federal resources.
.
MSHA will evaluate the applications for annual grants and the annual
portion of the two-year applications using the first five categories below. From
this group, MSHA will select applicants to receive one-year funding. From these
selectees, MSHA will review those that applied for option year (renewable) grants
against the criteria listed in category 6 on the basis of 20 maximum points.
Please note that MSHA may offer an annual grant to applicants that may not be
selected for renewable grants.
1. Program Design—40 Points Total.
(a)

Statement of Problem/Need for Funds. (3 points)

The proposed training and education program or training materials must address
either mine emergency preparedness or mine emergency prevention.
(b)

Quality of the Project Design. (25 points)

25

(1)

The proposal to train mine operators and/or miners clearly

estimates the number to be trained and clearly identifies the types of mine
operators and miners to be trained.
(2)

If the proposal contains a train-the-trainer program, the

following information must be provided:
•

What ongoing support the grantee will provide to new

trainers;
•

The number of individuals to be trained as trainers;

•

The estimated number of courses to be conducted by the

new trainers;
•

The estimated number of students to be trained by these

new trainers and a description of how the grantee will obtain data
from the new trainers documenting their classes and student
numbers if conducted during the grant period.
(3)

The work plan activities and training are described.

•

The planned activities and training are tailored to the needs

and levels of the mine operators and miners to be trained. Any
special constituency to be served through the grant program is
described, e.g., smaller mines, limited English proficiency miners
etc. Organizations proposing to develop materials in languages
other than English also will be required to provide an English
version of the materials.

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•

If the proposal includes developing training materials, the

work plan must include time during development for MSHA to
review the educational materials for technical accuracy and
suitability of content. If commercially developed training products
will be used for a training program, applicants should also plan for
MSHA to review the materials before using the products in their
grant programs.
•

The utility of the educational materials is described.

•

The outreach or process to find mine operators, miners or

trainees to receive the training is described.
(c) Replication. The extent to which a project is expected to be replicated
and the potential for the project to serve a variety of mine operators,
miners or mine sites. (4 points)
(d) Innovativeness. The originality and uniqueness of the approach used.
(3 points)
(e) MSHA's Performance Goals. The extent the proposed project will
contribute to MSHA's performance goals. (5 points)
2.

Budget—20 Points Total.
(a) The budget presentation is clear and detailed. (15 points)
•

The budgeted costs are reasonable.

•

No more than 15% of the total budget is for administrative costs.

•

The budget complies with Federal cost principles (which can be

found in the applicable Office of Management and Budget (OMB) Circulars

27

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.

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(c) Applicant demonstrates internal control and management oversight of
the project. (6 points)
4. Outputs and Evaluations—15 Points Total.
The proposal should include provisions for evaluating the organization’s
progress in accomplishing the grant work activities and accomplishments,
evaluating training sessions, and evaluating the program’s effectiveness and
impact to determine if the safety training and services provided resulted in
workplace change and improved workplace conditions. The proposal should
include a plan to follow up with trainees to determine the impact the program has
had in abating hazards and reducing miner injuries and illnesses.
5. Leveraged Resources—10 Points Total.
MSHA will award up to 10 additional rating points to applications that
include non-Federal resources that expand the size and scope of project-related
activities. To be eligible for the additional points, the applicant must list the
resources, the nature of programmatic activities anticipated and any
partnerships, linkages, or coordination of activities, cooperative funding, etc.,
including the monetary value of such contributions.
6. Renewal Grants: Second-year Request—20 Points Total.
A renewal proposal must include a description of the project design and
budget for the second-year funding. The applicant must also describe how it will
obtain input and feedback from first-year training recipients and how it will
improve its program based on its or MSHA evaluations.
B. Review and Selection Process.

29

A technical panel will rate each complete application against the criteria
described in this SGA. One or more applicants may be selected as grantees on
the basis of the initial application submission or a minimally acceptable number
of points may be established. MSHA may request final revisions to the
applications, and then evaluate the revised applications. MSHA may consider
any information that comes to its attention in evaluating the applications.
The panel recommendations are advisory in nature. The Deputy Assistant
Secretary of Labor for Mine Safety and Health (Deputy Assistant Secretary of
Policy) will make a final selection determination based on what is most
advantageous to the government, considering factors such as panel findings,
geographic presence of the applicants or the areas to be served, Agency
priorities, and the best value to the government, cost and other factors. The
Deputy Assistant Secretary’s determination for award under this SGA is final.
C. Anticipated Announcement and Award Dates.
Announcement of these awards is expected to occur by September 17,
2011. The grant agreement will be signed no later than September 30, 2011.
VI. AWARD ADMINISTRATION INFORMATION.
A. Award process.
Organizations selected as potential grant recipients will be notified by a
representative of the Deputy Assistant Secretary, usually the Grant Officer or his
staff. An applicant whose proposal is not selected will be notified in writing. The
fact that an organization has been selected as a potential grant recipient does

30

not necessarily constitute approval of the grant application as submitted
(revisions may be required).
Before the actual grant award, MSHA may enter into negotiations with the
potential grant recipient concerning such matters as program components
(including the type of grant), staffing and funding levels, and administrative
systems. If the negotiations do not result in an acceptable submittal, the Deputy
Assistant Secretary reserves the right to terminate the negotiations and decline
to fund the proposal.
B. Administrative and National Policy Requirements.
All grantees will be subject to applicable Federal laws and regulations
(including provisions of appropriations law) and applicable OMB Circulars. The
grants awarded under this competitive grant program will be subject to the
following administrative standards and provisions, if applicable:
•

29 CFR Part 2, subpart D, Equal Treatment for Religious Organizations.

•

29 CFR Parts 31, 32, 35 and 36, Nondiscrimination.

•

29 CFR Part 93, Restrictions on Lobbying.

•

29 CFR Part 94, Drug-free Workplace.

•

29 CFR Part 95, Uniform Grant Requirements for Nonprofit Organizations.

•

29 CFR Parts 96 and 99, Audits.

•

29 CFR Part 97, Uniform Grant Requirements for States.

•

29 CFR Part 98, Debarment and Suspension.

•

2 CFR Part 25, Universal Identifier and Central Contractor Registration.

•

2 CFR Part 170, Reporting Subawards.

31

•

2 CFR Part 175, Award Term for Trafficking in Persons.

•

2 CFR Part 220, Cost Principles for Educational Institutions.

•

2 CFR Part 225, Cost Principles for State and Local Governments.

•

2 CFR Part 230, Cost Principles for Other Nonprofit Organizations.

•

Federal Acquisition Regulation (FAR) Subpart 31.2, Cost Principles for
Commercial Organizations. (Codified at 48 CFR Subpart 31.2).

Administrative costs for these grants may not exceed 15%. Unless specifically
approved, MSHA’s acceptance of a proposal or MSHA's award of Federal funds
to sponsor any program does not constitute a waiver of any grant requirement or
procedure. For example, if an application identifies a specific sub-contractor to
provide certain services, the MSHA award does not provide a basis to solesource 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

32

materials should be submitted to MSHA in hard copy and in digital format (CDROM/DVD) for publication on the MSHA website. 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 royaltyfree, 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."

33

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 grantfunded material including posters, videos, pamphlets, research documents,
national survey results, impact evaluations, best practice reports, and other
publications. Before the DOL or MSHA logos are used on grant-funded
materials, the grantees must consult with MSHA. In no event shall the USDOL or
the MSHA logo be placed on any item until MSHA has given the grantee written
permission to use either logo on the item.
5. Reporting.
Grantees are required by Departmental regulations to submit financial and
project reports, as described below, each calendar quarter. All reports are due
no later than 30 days after the end of the calendar quarter and shall be submitted

34

to MSHA. Grantees also are required to submit final reports 90 days after the
end of the grant period.
(a) Financial Reports. The grantee shall submit financial reports on a
quarterly basis.
(b) Technical Project Reports. After signing the agreement, the grantee
shall submit technical project reports to MSHA at the end of each calendar
quarter. Technical project reports provide both quantitative and qualitative
information and a narrative assessment of performance for the preceding
three-month period. See 29 CFR 95.51 and 29 CFR 97.40. This should
include the current grant progress against the overall grant goals.
Between reporting dates, the grantee shall immediately inform
MSHA of significant developments or problems affecting the organization’s
ability to accomplish the work.
(c) Final Reports. At the end of each 12-month performance period, each
grantee must provide a final financial report, a summary of its technical
project reports, and an evaluation report. In addition to these
requirements, in its second-year final report, renewal grantees must
provide the total outputs for the two years, a list of best practices used,
and any changes made as a result of evaluation feedback.
H. Freedom of Information.
Any information submitted in response to this SGA will be subject to the
provisions of the Freedom of Information Act, as appropriate.
I. Transparency in the Grant Process.

35

DOL is committed to conducting a transparent grant award process and
publicizing information about the program’s performance. Posting grant
applications on public websites 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 website 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 website 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.

36

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 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 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

37

entire portion merits such protection. Should a dispute arise about whether
redactions are appropriate, DOL will follow the procedures outlined in the
Department’s Freedom of Information Act (FOIA) regulations (29 CFR part 70).
If DOL receives a FOIA request for your application, the procedures in
DOL’s FOIA regulations for responding to requests for commercial/business
information submitted to the 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 113BS) should be directed to Robert Glatter at [email protected] or at 202693-9570 (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 webpage at www.msha.gov is a valuable source of background for this
initiative.
VIII. OFFICE OF MANAGEMENT AND BUDGET INFORMATION COLLECTION
REQUIREMENTS.
This SGA requests information from applicants. This collection of
information is approved under OMB Control No. 1225-0086 (expires November
30, 2012).
In accordance with the Paperwork Reduction Act of 1995, no persons are
required to respond to a collection of information unless such collection displays

38

a valid OMB control number. Public reporting burden for the grant application is
estimated to average 20 hours per response, for reviewing instructions,
searching existing data sources, gathering and maintaining the data needed, and
completing and reviewing the collection of information. Each recipient who
receives a grant award notice will be required to submit nine progress reports to
MSHA. MSHA estimates that each report will take approximately five hours to
prepare.
Send comments regarding the burden estimated or any other aspect of
this collection of information, including suggestions for reducing this burden, to
the OMB Desk Officer for MSHA, Office of Management and Budget Room
10235, Washington DC 20503 and MSHA, electronically to Robert Glatter at
[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 confidential.

Authority: 30 U.S.C. 965.

39

Dated: July 29, 2011

Patricia W. Silvey
Deputy Assistant Secretary for Operations
Mine Safety and Health

[FR Doc. 2011-19710 Filed 08/01/2011 at 11:15 am; Publication Date: 08/04/2011]

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