Foa_Content_of_S21AS00363 (4).pdf

Office of Surface Mining Reclamation and Enforcement

OSM-HQ - OSM Headquarters

S21AS00363

Table of Contents A. Program Description

A1. Authority

A2. Background, Purpose and Program Requirements

B. Federal Award Information

B1. Total Funding

B2. Award Amount

B3. Anticipated Award Funding and Dates

B4. Number of Awards

B5. Type of Award

C. Eligibility Information

C1. Eligible Applicants

C2. Cost Sharing or Matching

C3. Other

D. Application and Submission Information

D1. Address to Request Application Package

D2. Content and Form of Application Submission

D3. Unique Entity Identifier and System for Award Management (SAM)

D4. Submission Dates and Times

D5. Intergovernmental Review

D6. Funding Restrictions

D7. Other Submission Requirements

E. Application Review Information

E1. Criteria

E2. Review and Selection Process

E3. CFR – Regulatory Information

E4. Anticipated Announcement and Federal Award Dates

F. Federal Award Administration Information

F1. Federal Award Notices

F2. Administrative and National Policy Requirements

F3. Reporting

G. Federal Awarding Agency Contact(s)

G1. Program Technical Contact

G2. Program Administration Contact

G3. Application System Technical Support

H. Other Information

A. Program Description

A1. Authority The Statutory authorities for the Technology Development and Transfer (TDT) Applied Science Program are the Surface Mining Control and Reclamation Act of 1977 (SMCRA), Public Law 95-87, and the Federal Grant and Cooperative Agreement Act of 1977, Public Law 95-224.

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A2. Background, Purpose and Program Requirements OSMRE is committed to helping States and Tribes achieve state-of-the-art science based regulatory and abandoned mined lands programs. The OSMRE’s National Technology Transfer Team (NTTT), comprised of OSMRE personnel and one representative each from the Interstate Mining Compact Commission (IMCC) and the National Association of Abandoned Mine Land Programs (NAAMLP), was established to provide a forum to guide, coordinate, and communicate OSMRE’s national and regional technology development and transfer activities.

To accomplish this goal, NTTT in cooperation with technology transfer professionals at all levels throughout OSMRE will:

1. Coordinate national technology development and transfer activities.

2. Ensure that OSMRE’s national technology development and transfer planning initiatives fully address the current and future needs of the Federal, State, and Tribal Regulatory Authorities and support OSMRE’s missions, goals, and strategic plan.

3. Identify and analyze requirements, projects, and issues and provide recommendations to OSMRE Senior Management for significant technology development and transfer concerns and activities, and.

4. Promote a broader understanding of, and support for, technology development and transfer within OSMRE.

The goal of the OSMRE Applied Science Program is to develop and demonstrate improved science-based technologies to address environmental and restoration topics related to the mining of coal. The first objective to help us meet this goal is to develop technical tools to improve the effectiveness of regulatory authorities in administering their federally approved regulatory programs. A second objective is to examine the potential for new technologies that can aid in the protection of the public and the environment during mining and reclamation. A third objective is to provide opportunities for vocational and graduate students to participate in research projects related to coal mining and reclamation issues to build the qualified workforce needed for the future implementation of SMCRA.

New mining and reclamation technologies are unlikely to be adopted by industry or the States and Tribes unless they are more efficient and cost effective than those they would replace. For this reason, OSMRE is seeking applied science projects that address specific current issues identified by the States and OSMRE that have the potential to improve the efficiency and effectiveness of activities conducted pursuant to SMCRA.

DOI’s Minority Serving Institutions are encouraged to apply for Applied Science project funding. Applied Science projects contribute to the goal of improving the quality of science and technology instruction in institutions that serve high concentrations of minority students who historically have been underrepresented in higher education.

OSMRE is the sponsoring agency that provides funds for the Applied Science Program. Through the OSMRE Management Sponsor of NTTT, OSMRE Senior Management provides executive direction and oversight to NTTT.

National Technology Transfer Team (NTTT) NTTT is the key element of the Applied Science Program. NTTT is composed of members from OSMRE, and States and Tribes that administer coal mining and reclamation activities.

The members from OSMRE represent: Headquarters; the Technical Innovation and Professional Services (TIPS) program; the National Technical Training Program (NTTP); and the three OSMRE Regions (formerly known as the Appalachian, Mid-Continent, and Western). The States and Tribes are represented by IMCC and NAAMLP; each of these organizations appoints one member to the NTTT. Critical roles and responsibilities of NTTT relative to this solicitation include:

Approving overall NTTT structure and timetables.

Providing technical input into developing topics for the Notice of Funding Opportunity

(NOFO).

Employing an NTTT-prescribed scoring system for evaluating proposals.

Performing a merit-based ranking of proposals, based on the prescribed scoring system.

Making recommendations to OSMRE Senior Management regarding which proposals should be funded, based on the merit-based evaluation and, if known, available funds.

Facilitating communication between the program elements.

Identifying important national and regional applied science issues for potential investigation.

Potential topics for the Applied Science Program are listed in Section C3-Other.

B. Federal Award Information

B1. Total Funding Estimated Total Funding $ 1,600,000 B2. Award Amount Maximum Award $ 200,000 Minimum Award $ 1

OSMRE is soliciting applications for financial assistance for the FY 2021: The following conditions are applicable to OSMRE’s Applied Science Program NOFO:

1. The total allocation for this Program is estimated at approximately $1,600,000.

Applicants may request funding of up to $200,000 per project.

2. The estimated number of awards for FY 2021 will be up to 8 awards.

3. Anticipated start dates will vary.

4. Applicants may request funding up to $200,000. The award will be by cooperative agreement, or by Interagency Agreement if another Federal Agency is involved. Each cooperative agreement will be for a period of time consistent with the proposal but not to exceed two years from date of award.

5. Each award recipient may apply for non-funded extensions of time as necessary to complete the project.

6. In accordance with 2 Code of Federal Regulations (CFR) 200 Section (§) 24, a Cooperative Agreement creates an appropriate legal relationship between OSMRE and the performing organization to carry out a public purpose authorized by a law of the United States [see 31 U.S.C. 6101(3). OSMRE reserves the right to remain substantially involved during the course of the approved study.

7. Funding for the program is contingent upon availably of appropriations. In no event will OSMRE be responsible for application preparation cost if this program fails to receive funding or is cancelled because of agency priorities. Publication of this NOFO does not obligate OSMRE or the Department of Interior to award.

8. Renewal or supplementation of existing projects are not eligible to compete with applications for new Federal awards.

9. Pre-Applications. There are no pre-applications with this NOFO.

B3. Anticipated Award Funding and Dates Anticipated Award Date December 01, 2021

B4. Number of Awards Expected Number of Awards

B5. Type of Award Funding Instrument Type CA - Cooperative Agreement

OSMRE’s substantial involvement may include, but will not be limited to one or more of the following areas:

a. Approval of the recipient’s proposal;

b. Review and approval of the recipient's progress reports;

c. Approval of specified key personnel; and

d. Concurrence in the substantive provisions of subawards.

C. Eligibility Information

C1. Eligible Applicants Eligible Applicants 06 – Public and State controlled institutions of higher education 07 – Native American tribal governments (Federally recognized) 12 – Nonprofits having a 501(c)(3) status with the IRS, other than institutions of higher education 20 – Private institutions of higher education 22 – For profit organization other than small businesses 00 – State governments 01 – County governments Additional Information on Eligibility

Documentation must be submitted to support an eligibility determination (e.g., proof of non-profit IRS 501(c) (3) status as determined by the Internal Revenue Service or an authorizing tribal resolution).

C2. Cost Sharing or Matching Cost Sharing / Matching Requirement No

C3. Other Potential topics for Applied Science funding are as follows:

1. Long-Term Considerations for Treatment of Abandoned and Post-Mining Discharges:

There are many acid mine drainage discharges that are currently being treated by state agencies and OSMRE. In uncertain economic times, it is anticipated that the governmental responsibility to treat these discharges may be on the rise, and resources will be stretched even further than they currently are. A wealth of data exists, covering types of treatment, water quality and flowrates, operational, maintenance, and replacement cost, and histories from individual sites. A significant amount of information is available for review in documentation from the original site assessments conducted as part of the permitting process. By compiling these data for systems across the country, it will be possible to ascertain with real world data the effectiveness and economy of different treatment methods being used, and this information could help increase the efficiency of both government and industry water treatment efforts.

2. Validation of Current Water Treatment Chemical Model Assumptions:

New models for water quality prediction have been developed, and additional models will continue to be developed in the future. In order to perform accurate cost estimates and determine optimal methods for mine drainage treatment, it is imperative that the assumptions for these models be validated with real-world data collected at existing mine drainage treatment sites or via pilot test sites run in real-world conditions. Projects that validate those assumptions and disseminate the results will lead to better decision making by public and private water treatment professionals.

3. Optimization of Sludge Dewatering/Disposal Methods at Mine Drainage Treatment Sites:

One of the larges operational cost items in mine drainage treatment systems not employing a clarifier, which constitutes the majority of active mine drainage treatment systems in the U.S., is sludge dewatering and disposal. The difficulties in dewatering sludge lead to the disposal of sludge with a high-water content, and system operators are essentially paying to dispose of large amounts of water in the sludge mixture. The oil and gas industry and municipal sewage treatment operators have made significant improvements to the efficiency of sludge dewatering using new technologies. Projects that evaluate the technical and economic feasibility of using those methods for mine drainage treatment sludge could greatly increase the efficiency of both government and industry water treatment efforts.

4. Evaluation of the Potential for Economical and Environmentally Friendly Extraction of Rare Earth Elements from Coal Mine Waste or Impacted Water Discharges:

Rare earth elements are known to be present in coal, with the higher percentages being found in low quality coals and in the shales within, and immediately above the seams. Even higher concentrations have been discovered to be present in mining impacted water discharges, and in sludge that results from treating these discharges. Viable concentrations have also been noted in coal combustion residues. Although extraction of rare earth elements has traditionally required an energy intensive process, recent research indicates it is possible to extract them from coal mine waste using a solvent based Ion exchange process.

5. Applications of Imagery and Remote Sensing in the Mining/Reclamation Context:

Use of satellite or aerial imagery to monitor progress of any mining related time variable parameters, such as, but not limited to, preferential vs invasive species, and other mining impacts identifiable in current reclamation or from previous mining such as sinkholes, seeps, vents, and unknown underground domains (to include submerged features) and machine learning to aid in tracking changes.

6. Advances in wastewater and acid mine drainage treatment processes, particularly with focus on biodynamic and microbiological innovation:

Techniques related to biodynamic and microbiological based processes as applied to wastewater treatment have seen significant advances in recent years. The possibility exists that these techniques may have applications in mining impacted water discharge treatment as well. This topic would invite investigation of these processes outside the lab and in more demanding environments associated with mining sites.

7. Geoengineering and design-based concepts for reforming AML and former mine sites to maximize potential for agricultural and food-centric post-mining land use:

Many former mine sites could potentially lend themselves to agricultural post mining land uses.

Agricultural applications of mine sites are more obvious in the Midwest than in other parts of the country but the possibility of orchards, vineyards, and many other agricultural endeavors may well exist, with specific uses tailored to those prevalent in the vicinities of the mine sites.

Proposals under this topic would be pilot study scale investigations of these possibilities.

8. Advances in Mining or Reclamation Methods that Provide for more Effective, Efficient, or Lower Impact Extraction of Coal:

Technological advances hold the possibility of enabling extraction of coal that was previously considered un-mineable, make extraction more cost effective, or minimize adverse impacts of mining. These could be related to improvements in equipment, methods, or reclamation techniques; or better ways of addressing impacts such as mining impacted water discharges or subsidence. This topic could also include exploration of new materials, or new uses of currently available materials.

9. Investigation of Ways of Minimizing Impacts from Invasive Species in the Mining/Reclamation Context:

Nonnative invasive species are often present, and sometimes even dominate, reclaimed mined land. The establishment of nonnative invasive species results in a loss of ecological services of that land and a loss of potential revenue for the landowner. The establishment of nonnative and even native invasive species also pose problems for land reclaimed to agricultural production. Many of these species invaded the reclaimed area and some were even planted during reclamation. Methods should be developed to identify, prevent and eradicate, or at least minimize invasive species that existed prior to mining, became established during reclamation either through colonization or planting and/or invaded after reclamation.

10. Post Reclamation: Annual Maintenance Cost Projections, Calculations and Funding Provisions:

Many reclaimed mined lands may require periodic long-term maintenance so as to prevent continued degradation and failure of mine reclamation efforts. Problems likely to require maintenance and/or remediation include shaft openings, erosion, seeps, sediment filling of culverts and channels, and subsidence to name just a few. Projects submitted under this category should evaluate various reclamation techniques on a regional basis to determine best practices that result in lowest long-term maintenance and repair costs. An “apples to apples” approach should be taken when making the cost comparisons. Other studies could analyze and document different backfill methods and track long term maintenance costs to calculate a long-term cost per acre to maintain a reclamation site. Results of the studies can be used to make better decisions for reclamation/treatment methods and provide better cost estimations for future reclamation liabilities.

Examples of Previously Funded Projects:

In FY 2020, the Technical Studies program funded eight studies that focused on geomorphic impoundment reclamation, improving surface and water quality in mined areas, re-vegetation and use of reclaimed mine sits by threatened or endangered species, reclamation of AML coal mine waste sites, and potential uses of residues produced by treatment of mining impacted water.

Excluded Parties: OSMRE conducts a review of the SAM.gov Exclusions database for all applicant entities and their key project personnel prior to award. OSMRE cannot award funds to entities or their key project personnel identified in the SAM.gov Exclusions database as ineligible, prohibited/restricted or otherwise excluded from receiving Federal contracts, certain subcontracts, and certain Federal assistance and benefits, as their ineligibility condition applies to this Federal program.

D. Application and Submission Information

D1. Address to Request Application Package N/A. Please submit applications electronically via Grants.gov.

D2. Content and Form of Application Submission

1. SF-424, Application for Federal Assistance

Applicants must submit the appropriate Standard Form (SF)-424, Application for Federal Assistance. Individuals applying as a private citizen (i.e., unrelated to any business or nonprofit organization you may own or operate in your name), must complete the SF-424, Application for Federal Assistance-Individual form. All other applicants must complete the standard SF-424, Application for Federal Assistance. The required application forms are available with this announcement on Grants.gov. The SF-424, Application for Federal Assistance must be complete, signed, and dated. Do not include any proprietary or personally identifiable information. Please note: Enter only the amount requested from this Federal program in the “Federal” funding box on the SF-424 Application form. Include any other Federal sources of funding in the “Other” box and provide details on those Federal source(s) and funding amount(s) in the required Budget Narrative (see the “Budget Narrative” section below).

Project Narrative

Principal Investigators must provide a complete history of projects funded through the OSMRE Applied Science program including their status in terms of their stage of completion.

1. Project Description (no more than 20 pages) including:

a. Objectives - list the specific objectives of the project including a summary statement addressing the value of the proposal to OSMRE and the coal mining State(s) and Tribe(s).

b. Hypotheses to be tested, as appropriate.

c. Background - provide a comprehensive description of the relevance of the project.

d. Describe how the project is original and innovative.

e. Describe how the project is cost effective.

f. Preliminary Studies (if applicable) - describe any precursory research that applies to the project topic and what was determined from those preliminary results.

g. Experimental Procedures/Methodologies - describe any laboratory or field testing to be performed and reference analytical methods to be used.

h. Significance of the project to the OSMRE Applied Science Program - give a description of the need for this project, its technical merits, and how the project will be of significance to the priority issues identified in this solicitation.

a. Provide a plan for technology transfer of the project results.

Also, describe the extent of involvement in the project by the ultimate end users of the technology.

b. Description of resources (i.e., laboratory facilities) -describe the laboratory facilities, testing equipment, field sites, etc. available for conducting the tasks associated with this project.

c. Provide evidence of legal right of entry and landowner consent for any project involving field work.

d. Literature Cited - list all sources used.

2. Statement of Work (3-5 pages) consisting of:

a. Issue Identification - identify and briefly describe the issue(s) this project is addressing.

b. Work Tasks - organize the project into specific work tasks and describe each work task individually.

c. Time Allocation - describe how much time (by months) is to be allotted for each work task and when each task is to begin and end.

d. Resource Allocation - for each work task, list the personnel who will be working on that task and specifically what each person will be doing.

e. Quality Assurance/Quality Control - list measures planned to ensure that high quality results are achieved, e.g., descriptions of statistics to be used to evaluate data and comparing data to controls.

f. Determination of Goals - identify the means to be used to determine that project goals are met.

g. Deliverables must include:

a. An electronic version of the final report, including an Executive Summary, that is in compliance with Section 508 of the United States Workforce Rehabilitation Act of 1973 and that follows Appendix L of the Standard Operating Procedure (SOP) for Technical Studies Program, at the OSMRE Technology Development and Transfer website: http://www.osmre.gov/prog rams/tdt/appliedScience.shtm;

b. A written summary (fact sheet) following the required format as noted in Appendix M of the SOP.

c. A power point presentation at an appropriate technical event mutually agreed upon by the Principal Investigator and the OSMRE regional technology transfer team lead for the region in which the study was conducted.

d. Electronic copies of any peer reviewed article submitted for publication in a technical or other publication, and;

e. A plan for additional technology transfer efforts including identification of planned peer-reviewed publications and professional conferences where results are to be presented.

h. Public access to data - a statement is required that all data collected as part of this program must be accessible to the public.Number of undergraduate and graduate students that worked on the project.

Applicants must submit the appropriate SF-424 Budget Information form and Budget Narrative. For non-construction programs or projects, applicants must complete and submit the http://www.osmre.gov/programs/tdt/appliedScience.shtm http://www.osmre.gov/programs/tdt/appliedScience.shtm

SF-424A, “Budget Information for Non-Construction Programs” form. All the required application forms are available with this announcement on Grants.gov. Federal award recipients and subrecipients are subject to Federal award cost principles in 2 CFR 200.

Applicants must submit the appropriate SF-424 Budget Information form and Budget Narrative. For non-construction programs or projects, applicants must complete and submit the SF-424A, “Budget Information for Non-Construction Programs” form. All of the required application forms are available with this announcement on Grants.gov. Federal award recipients and subrecipients are subject to Federal award cost principles in 2 CFR 200.

Detailed Budget Narrative The project budget shall include detailed information on all cost categories and must clearly identify all estimated project costs. Unit costs shall be provided for all budget items including the cost of work to be provided by contractors or sub-recipients. In addition, applicants shall include a narrative description of the items included in the project budget, including the value of in-kind contributions of goods and services provided to complete the project when cost share is identified to be included (reference section C of this announcement). Cost categories can include, but are not limited to, those costs items included on the SF424A or SF424C.

1. The Budget Narrative must provide a detailed breakdown of each of the object class categories as reflected on the SF-424 C, Budget Information for Non-Construction Programs (This does not count toward the page limit of the Technical proposal). The budget justification must address all of the budget categories for which Federal funds are requested. The written justification must include the necessity and the basis for the cost. Proposed funding levels must be consistent with the study scope, and only allowable costs should be included in the budget. Information on allowable cost is available in the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards at 2 CFR 200.

2. Administrative and Legal Expenses: At a minimum, the budget justification for all personnel should include the following: name, job title, commitment of effort on the proposed study in terms of average number of hours per week or percentage of time, salary rate, total direct charges on the proposed study, description of the role of the individual on the proposed study and the work to be performed.

3. Indirect Cost Rate Agreement: If indirect costs are included in the proposed budget, provide a copy of the approved negotiated agreement if this rate was negotiated with a cognizant Federal audit agency. If the rate was not established by a cognizant Federal audit agency, provide a statement to this effect. OSMRE doesn't negotiate indirect cost agreements. Alternatively, in accordance with 2 CFR 200 § 414(f) applicants that have never received a negotiated indirect cost rate may elect to charge indirect to an award pursuant to a de minimis rate of 10 percent of modified total direct cost (MTDC), in which case a negotiated indirect cost rate agreement is not required. Indirect agreements will not be negotiated by OSMRE. Applicants proposing a 10 percent de minimis rate pursuant to 2 CFR 200 § 414(f) should note this election as part of the budget and budget narrative portion of the application.

Conflict of Interest Disclosure Per the Financial Assistance Interior Regulation (FAIR), 2 CFR §1402.112, applicants must state in their application if any actual or potential conflict of interest exists at the time of submission.

(a) Applicability.

(1) This section intends to ensure that non-Federal entities and their employees take appropriate steps to avoid conflicts of interest in their responsibilities under or with respect to Federal financial assistance agreements.

(2) In the procurement of supplies, equipment, construction, and services by recipients and by subrecipients, the conflict of interest provisions in 2 CFR 200.318 apply.

(b) Notification.

(1) Non-Federal entities, including applicants for financial assistance awards, must disclose in writing any conflict of interest to the DOI awarding agency or pass-through entity in accordance with 2 CFR 200.112.

(2) Recipients must establish internal controls that include, at a minimum, procedures to identify, disclose, and mitigate or eliminate identified conflicts of interest. The recipient is responsible for notifying the Financial Assistance Officer in writing of any conflicts of interest that may arise during the life of the award, including those that have been reported by subrecipients.

(c) Restrictions on lobbying. Non-Federal entities are strictly prohibited from using funds under a grant or cooperative agreement for lobbying activities and must provide the required certifications and disclosures pursuant to 43 CFR part 18 and 31 U.S.C. 1352.

(d) Review procedures. The Financial Assistance Officer will examine each conflict of interest disclosure on the basis of its particular facts and the nature of the proposed grant or cooperative agreement, and will determine whether a significant potential conflict exists and, if it does, develop an appropriate means for resolving it.

(e) Enforcement. Failure to resolve conflicts of interest in a manner that satisfies the government may be cause for termination of the award. Failure to make required disclosures may result in any of the remedies described in 2 CFR 200.338, Remedies for noncompliance, including suspension or debarment (see also 2 CFR part 180).

Single Audit Reporting Statement All U.S. states, local governments, federally recognized Indian tribal governments, and non-profit organizations expending $750,000 USD or more in Federal award funds in the applicant’s fiscal year must submit a Single Audit report for that year through the Federal Audit Clearinghouse’s Internet Data Entry System. U.S. state, local government, federally recognized Indian tribal government, and non-profit applicants must state if your organization was or was not required to submit a Single Audit report for the most recently closed fiscal year. If your organization was required to submit a Single Audit report for the most recently closed fiscal year, provide the EIN associated with that report and state if it is available through the Federal Audit Clearinghouse website.

Certification Regarding Lobbying Applicants requesting more than $100,000 in Federal funding must certify to the statements in 43 CFR Part 18, Appendix A-Certification Regarding Lobbying. If this application requests more https://www.ecfr.gov/cgi-bin/text-idx?SID=1bfd0da1190f850482e94794cca23a5d&mc=true&node=20190830y1.1 https://harvester.census.gov/facides/Account/Login.aspx https://harvester.census.gov/facides/Account/Login.aspx https://harvester.census.gov/facdissem/Main.aspx https://harvester.census.gov/facdissem/Main.aspx http://www.ecfr.gov/cgi-bin/text-idx?SID=683823273fc0da6a1060883eda593fb8&mc=true&node=pt43.1.18&rgn=div5 http://www.ecfr.gov/cgi-bin/text-idx?SID=683823273fc0da6a1060883eda593fb8&mc=true&node=pt43.1.18&rgn=div5 than $100,000 in Federal funds, the Authorized Official’s signature on the appropriate SF-424, Application for Federal Assistance form also represents the entity’s certification of the statements in 43 CFR Part 18, Appendix A.

Disclosure of Lobbying Activities Applicants and recipients must not use any federally appropriated funds (annually appropriated or continuing appropriations) or matching funds under a Federal award to pay any person for lobbying in connection with the award. Lobbying is influencing or attempting to influence an officer or employee of any U.S. agency, a Member of the U.S. Congress, an officer or employee of the U.S. Congress, or an employee of a Member of the U.S. Congress connection with the award. Applicants and recipients must complete and submit the SF-LLL, “Disclosure of Lobbying Activities” form if the Federal share of the proposal or award is more than $100,000 and the applicant or recipient has made or has agreed to make any payment using non-appropriated funds for lobbying in connection with the application or award. The SF-LLL form is available with this Funding Opportunity on Grants.gov. See 43 CFR, Subpart 18.100 and 31 USC 1352 for more information on when additional submission of this form is required.

Overlap or Duplication of Effort Statement

Applicants must provide a statement indicating if there is any overlap between this Federal application and any other Federal application, or funded project, in regards to activities, costs, or time commitment of key personnel. If no such overlap or duplication exists, state, “There are no overlaps or duplication between this application and any of our other Federal applications or funded projects, including in regards to activities, costs, or time commitment of key personnel”.

If any such overlap exists, provide a complete description of overlaps or duplications between this proposal and any other federally funded project or application in regards to activities, costs, and time commitment of key personnel, as applicable. Provide a copy of any overlapping or duplicative proposal submitted to any other potential funding entity and identify when that proposal was submitted, to whom (entity name and program), and when you anticipate being notified of their funding decision. The statement and the description of overlap or duplication, when applicable, may be provided within the proposal or as a separate attachment to the application. If at any time a proposal is awarded funds that would be overlapping or duplicative of the funding requested from OSMRE, the applicant must immediately notify the OSMRE point of contact. Any overlap or duplication of funding between the proposed project and other active or anticipated projects may impact selection and/or funding amount.

D3. Unique Entity Identifier and System for Award Management (SAM) Identifier and System for Award Management (SAM.gov) Registration: This requirement does not apply to individuals applying for funds as individual (i.e., unrelated to any business or nonprofit organization you may own or operate) or any entity with an exception approved by the funding bureau or office in accordance with bureau or office policy. All other applicants are required to obtain a Data Universal Numbering System (DUNS) number from Dun & Bradstreet and then register in SAM.gov prior to submitting a Federal award application. Federal award recipients must continue to maintain an active SAM.gov registration with current information through the life of their Federal award(s). See the “Submission Requirements” section of this document below for more information on SAM.gov registration. We may not make a Federal award to an applicant that has not completed the SAM.gov registration. If an applicant selected for funding has not completed their SAM.gov registration by the time the program is ready to make an award, the program may determine that the applicant is not qualified to receive an award. The program can use that determination as a basis for making an award to another applicant. There is no cost to register with Dun & Bradstreet or SAM.gov. There are third-party vendors who will charge a fee in exchange for registering entities with Dun & Bradstreet and SAM.gov; please be aware you can register and request help for free.

Obtain a DUNS Number

Request a DUNS Number through the Dun & Bradstreet website. For technical difficulties, send an email to the D&B SAM Help Desk. Please ensure that you are able to receive emails from SAMHelp@dnb.com. The Grants.gov “Obtain a DUNS Number” webpage also provides detailed instructions. Once assigned a DUNS number, your organization must maintain up-to-date information with Dun & Bradstreet. Applicants must enter their DUNS number in the “Organizational DUNS” field on the SF-424, Application for Federal Assistance form.

Register with the System for Award Management (SAM)

Register on the SAM.gov website. “Help” tab on the website contains User Guides and other information to assist you with registration. The Grants.gov Register with SAM page also provides detailed instructions. You can also contact the supporting Federal Service Desk for help registering in SAM. Once registered in SAM, entities must renew and revalidate their SAM registration at least once every 12 months from the date previously registered. Entities are strongly encouraged to revalidate their registration as often as needed to ensure their information is up to date and reflects changes that may have been to the entity’s DUNS or IRS information.

D4. Submission Dates and Times Due Date for Applications 10/07/2021 Application Due Date Explanation Electronically submitted applications must be submitted no later than 5:00 p.m., ET, on the listed application due date.

D5. Intergovernmental Review Prior to application submission, U.S. state and local government applicants should visit the OMB Office of Federal Financial Management website and view the “State Point of Contact (SPOC) List” to determine whether their application is subject to the state intergovernmental review process under Executive Order (E.O.) 12372 “Intergovernmental Review of Federal Programs.”

States not on the list do not participate in the intergovernmental review process, and therefore do not have a SPOC. If you are located within a State that does not have a SPOC, you may send application materials directly to a Federal awarding agency. If your state is on the list, contact the designated entity for more information on the state’s prior review requirements for Federal assistance applications.

mailto:SAMHelp@dnb.com https://www.whitehouse.gov/omb/management/office-federal-financial-management/ https://www.whitehouse.gov/omb/management/office-federal-financial-management/

D6. Funding Restrictions The Federal awarding agency that provides the largest amount of direct funding to your organization is your cognizant agency for indirect costs, unless otherwise assigned by the White House Office of Management and Budget (OMB). If the Department of the Interior is your organization’s cognizant agency, the Interior Business Center will negotiate your indirect cost rate. Contact the Interior Business Center by phone 916-930-3803 or using the IBC Email Submission Form. See the IBC Website for more information.

Organizations must have an active Federal award before they can submit an indirect cost rate proposal to their cognizant agency. Failure to establish an approved rate during the award period renders all costs otherwise allocable as indirect costs unallowable under the award. Recipients must have prior written approval from OSMRE to use amounts budgeted for direct costs to satisfy cost-share or match requirements or to cover unallowable indirect costs. Recipients shall not shift unallowable indirect costs to another Federal award unless specifically authorized to do so by legislation.

Required Indirect Cost Statement to be submitted with Application All organizations must include the applicable statement from the following list in their application, and attach to their application any documentation identified in the applicable statement:

We are:

A U.S. state or local government entity receiving more than $35 million in direct Federal funding each year with an indirect cost rate of [insert rate]. We submit our indirect cost rate proposals to our cognizant agency. Attached is a copy of our most recently approved rate agreement/certification.

A U.S. state or local government entity receiving less than $35 million in direct Federal funding with an indirect cost rate of [insert rate]. We have prepared and will retain for audit an indirect cost rate proposal and related documentation.

A [insert your organization type; U.S. states and local governments, do not use this statement] that has previously negotiated or currently has an approved indirect cost rate with our cognizant agency. Our indirect cost rate is [insert rate]. [Insert either:

“Attached is a copy of our most recently approved but expired rate agreement. In the event an award is made, we will submit an indirect cost rate proposal to our cognizant agency within 90 calendar days after the award is made.” or “Attached is a copy of our current negotiated indirect cost rate agreement.”]

A [insert your organization type] that has never submitted an indirect cost rate proposal to our cognizant agency. Our indirect cost rate is [insert rate]. If we receive an award, we will submit an indirect cost rate proposal to our cognizant agency within 90 calendar days after the award date.

A [insert your organization type] that has never submitted an indirect cost rate proposal to our cognizant agency and has an indirect cost rate that is lower than 10%. Our indirect cost rate is [insert rate; must be lower than 10%]. However, if we receive an award we will not be able to meet the requirement to submit an indirect cost rate proposal to our cognizant agency within 90 calendar days after award. We request as a condition of https://www.doi.gov/ibc/contactus/icsfeedback https://www.doi.gov/ibc/contactus/icsfeedback https://www.doi.gov/ibc/services/finance/indirect-cost-services award to charge a flat indirect cost rate of [insert rate; must be lower than 10%] against [insert a clear description of the direct cost base against which your rate is charged (e.g., salaries; salaries and fringe benefits; or modified total direct costs). However, please note that your organization cannot charge indirect costs in excess of the indirect costs that would be recovered if applied against modified total direct costs as defined in §2 CFR 200.68]. We understand that we must notify OSMRE in writing if we establish an approved rate with our cognizant agency at any point during the award period.

A [insert your organization type] that has never submitted an indirect cost rate proposal to our cognizant agency and has an indirect cost rate that is 10% or higher. Our indirect cost rate is [insert your organization’s indirect rate; must be 10% or higher]. However, if we receive an award we will not be able to meet the requirement to submit an indirect cost rate proposal to our cognizant agency within 90 calendar days after award. We request as a condition of award to charge a flat de minimis indirect cost rate of 10% to be charged against modified total direct project costs as defined in 2 CFR §200.68. We understand that we must notify OSMRE in writing if we establish a negotiated rate with our cognizant agency at any point during the award period. We understand that additional Federal funds may not be available to support an unexpected increase in indirect costs during the project period and that such changes are subject to review, negotiation, and prior approval by OSMRE.

A [insert your organization type] that is submitting this proposal for consideration under the “Cooperative Ecosystem Studies Unit Network”, which has a Department of the Interior-approved indirect cost rate cap of 17.5%. If we have an approved indirect cost rate with our cognizant agency, we understand that we must apply this reduced rate against the same direct cost base as identified in our approved indirect cost rate agreement per 2 CFR §1402.414. If we do not have an approved indirect cost rate with our cognizant agency, we understand that we must charge indirect costs against the modified total direct cost base defined in 2 CFR §200.68 “Modified Total Direct Cost (MTDC)”. We understand that we must request prior approval from OSMRE to use the 2 CFR 200 MTDC base instead of the base identified in our approved indirect cost rate agreement. We understand that OSMRE approval of such a request will be based on: 1) a determination that our approved base is only a subset of the MTDC (such as salaries and wages); and 2) that use of the MTDC base will still result in a reduction of the total indirect costs to be charged to the award. In accordance with 2 CFR §200.405, we understand that indirect costs not recovered due to a voluntary reduction to our federally negotiated rate are not allowable for recovery via any other means.

A [insert your organization type] that will charge all costs directly.

If indirect costs are included in the proposed budget, provide a copy of the approved negotiated agreement if this rate was negotiated with a cognizant Federal audit agency. If the rate was not established by a cognizant Federal audit agency, provide a statement to this effect. OSMRE doesn't negotiate indirect cost agreements. Alternatively, in accordance with 2 CFR 200 § 414(f) applicants that have never received a negotiated indirect cost rate may elect to charge indirect to an award pursuant to a de minimis rate of 10 percent of modified total direct cost (MTDC), in which case a negotiated indirect cost rate agreement is not required. Indirect agreements will not be negotiated by OSMRE. Applicants proposing a 10 percent de minimis rate pursuant to 2 CFR https://www.ecfr.gov/cgi-bin/text-idx?SID=0bb1f5386f36f965f85dc05b2ad8a804&mc=true&node=pt2.1.200&rgn=div5#se2.1.200_168 https://www.ecfr.gov/cgi-bin/text-idx?SID=0bb1f5386f36f965f85dc05b2ad8a804&mc=true&node=pt2.1.200&rgn=div5#se2.1.200_168 https://www.ecfr.gov/cgi-bin/text-idx?SID=0bb1f5386f36f965f85dc05b2ad8a804&mc=true&node=pt2.1.200&rgn=div5#se2.1.200_168 https://www.ecfr.gov/cgi-bin/text-idx?SID=1bfd0da1190f850482e94794cca23a5d&mc=true&node=20190830y1.1

200 § 414(f) should note this election as part of the budget and budget narrative portion of the application

D7. Other Submission Requirements Identification of Proprietary Information: Technical data or other data (i.e., trade secrets, confidential financial or commercial information), or other privileged information which the applicant prefers to withhold from public disclosure or use by OSMRE for any purpose except for proposal evaluation may be included in this application. To protect confidential data, each page must be specifically identified indicating each paragraph or line that contains confidential data the applicant wishes to protect.

Trade Secret Information: In order to explain properly the proposed work, it may be necessary to disclose within the proposal document trade secret information. If such is disclosed, the OSMRE wishes to take steps to keep such information confidential. However, it must be aware that such information does or does not exist within a given proposal. Therefore, please complete the following:

_____ There is NO trade secret information contained in this proposal package.

_____ There IS trade secret information contained in this proposal package. Such information is noted on pages ________________.

NOTE: Please REDACT those pages which contain trade secret information. In other words, conspicuously highlight or mark those passages, diagrams, drawings, etc. that contain trade secret information.

Resumes of each senior investigator: Please limit resumes to projects that focus on relevant training and experience to the proposal. Senior investigators include the Principal Investigator and any other faculty or senior-level personnel involved in the project.

Notification of Results: Please provide the e-mail address of the Principal Investigator and others you want to receive notice of the results of the selection process using the key contact’s form.

Information that Successful Applicants must Submit after Notification of Intent to Make a Federal Award, but Prior to a Federal Award:

A requirement of a cooperative agreement is that the Federal awarding agency exercise Substantial Federal Involvement in the funded project. Prior to the award being made, the applicant’s Principal Investigator and OSMRE’s grants specialist and Project Technical Representative will develop a written understanding of what activities will represent Substantial Federal Involvement for the project. This understanding will become a part of the cooperative agreement.

Unique Entity Identifier and System for Award Management (SAM):

Unless the applicant is an individual or Federal awarding agency that is exempt from the requirements under 2 CFR 25.11(b) or (c) or has an exception approved by the Federal awarding agency under 2 CFR 25.110(d) it is are required to (I) be registered in SAM before submitting its application;(II) provide a valid unique entity identifier number (formerly DUNS) in its application; and (III) continue to maintain an active SAM registration with current information at all times during which it has an active Federal award or an allocation or plan under consideration by the Federal awarding agency.

OSMRE will not make a Federal award to an applicant until the applicant has complied with all applicable unique entity identifier (formerly DUNS) and SAM requirements. If an applicant has not fully complied with the requirements by the time the Federal awarding agency is ready to make a Federal award, the Federal awarding agency may determine that the applicant is not qualified to receive a Federal award and use that determination as a basis for making a Federal ward to another applicant.

E. Application Review Information

E1. Criteria Criterion 1: NEEDS ASSESSMENT Maximum Points: 10 Description Criterion 1: Problem s, Solutions and Technical Approach

Specific Details:

The extent to which:

1. The proposed study has the potential to address specific environmental or safety impacts known to currently be associated with mining or reclamation.

2. The results of the study have the potential to improve quality of life for residents of mining communities.

3. The results of the proposed study are directly applicable to improving mining or reclamation practices, from an environmental perspective.

4. The proposed study is directly associated with one or more SMCRA based regulations or directives (Please provide SMCRA citation).

Criterion 2: METHODOLOGY AND WORKPLAN Maximum Points: 35 Description Criterion 2: Stateme nt of Work and Potential Impact

Specific Details:

The extent to which:

1. The study description and statement of work are thoroughly discussed, detailed, and logically sequenced.

2. The proposal addresses all technical variables that could reasonably be expected to impact success.

3. The proposal includes a technology transfer plan or indicates a technology transfer plan will be implemented.

4. The study is an investigation of practical application of accepted theory.

5. Does the proposed study present new or innovative techniques that are relevant to coal mining and/or coal mine reclamation?

6. Is the proposed time frame appropriate for the stated scope of work?

Criterion 3: TECHNOLOGY TRANSFER POTENTIAL Maximum Points: 5 Description Criterion 3: Technolo gy Transfer Approaches

Specific Details The extent to which:

1. Will the results be posted on a website other than OSMRE’s or the Principal Investigator’s institution website?

2. Will the results be presented at a subject specific or local workshop or conference?

3. Will the results be presented at a multi-themed or national conference?

4. Will the results be published in a peer-reviewed publication with national distribution?

5. Is there a specific plan for training, workshops, forums, or publications to transfer…