PKG00261749-instructions.pdf

U.S. DEPARTMENT OF LABOR

OCCUPATIONAL SAFETY AND HEALTH ADMINISTRATION

FUNDING OPPORTUNITY ANNOUNCEMENT/NOTICE OF AVAILABLE FUNDING:

Susan Harwood Training Grant Program, FY 2020 Funding

CATALOG OF FEDERAL DOMESTIC ASSISTANCE NUMBER: 17.502

FUNDING OPPORTUNITY NUMBER: SHTG-FY-20-03

GRANT CATEGORIES: 1. Capacity Building Developmental

2. Capacity Building Pilot

ACTION: This Funding Opportunity Announcement (FOA)/Notice of Available Funding will assist eligible nonprofit organizations in building organizational capacity for delivering quality occupational safety and health training programs for workers and employers.

ELIGIBLE APPLICANTS: Non-profit organizations including qualifying labor unions, community-based and faith-based organizations, employer associations that are not an agency of a state or local government, institutions of higher education supported by a state or local government, Indian tribes, tribal organizations, Alaska Native entities, Indian-controlled organizations serving Indians, and Native Hawaiian organizations may apply.

APPLICATION REQUIREMENTS: Applicants must follow the guidelines stated in this FOA before submitting a complete application package including attachments at www.Grants.gov (Grants.gov). Submission instructions are available at Grants.gov.

APPLICATION DEADLINE: This FOA closes on July 20, 2020, at 11:59 p.m. eastern time.

Applications not validated by Grants.gov, or submitted after this deadline, are ineligible for consideration.

NOTICE OF CONCURRENT FUNDING OPPORTUNITY ANNOUNCEMENT: This FOA (SHTG-FY-20-03).is for Capacity Building Developmental or Pilot grant applicants. Applicants competing for a Targeted Topic Training grant (SHTG-FY-20-01), Training and Educational Materials Development grant (SHTG-FY-20-02), or Follow-on grant must submit their application for the appropriate FOA. Applications submitted under the wrong FOA number are invalid and will not be considered.

FURTHER INFORMATION: This FOA does not itself obligate any federal funds.

Information about the Susan Harwood Training Grant Program is located on the OSHA website at www.osha.gov/harwoodgrants. Email your FOA questions to HarwoodGrants@dol.gov, or call 847-725-7805, weekdays between 9:00 a.m. and 5:00 p.m. eastern time.

The Grants.gov Support web page, www.grants.gov/web/grants/support.html, may have answers to your questions or problems regarding your application submission. In addition, you may file://osha.dir.labor.gov/FieldSites/OSHA-DTE-Public/PROGRAMS/SH/2021-SH0/2020%20CCU_OAS/02.20.2020%20CCU%20rev%20Docs/www.Grants.gov https://www.osha.gov/harwoodgrants mailto:HarwoodGrants@dol.gov file://osha.dir.labor.gov/FieldSites/OSHA-DTE-Public/PROGRAMS/SH/2021-SH0/2020%20CCU_OAS/02.20.2020%20CCU%20rev%20Docs/www.grants.gov/web/grants/support.html contact them by email, Support@grants.gov, or telephone, 1-800-518-4726, 24 hours a day, 7 days a week (except federal holidays).

mailto:Support@grants.gov

SHTG-FY-20-03 CAPACITY BUILDING GRANTS INSTRUCTIONS

TABLE OF CONTENTS

I. EXECUTIVE SUMMARY

II. PROGRAM OVERVIEW AND FUNDING OPPORTUNITY DESCRIPTION

III. AWARD INFORMATION

A. AWARD CATEGORIES

B. PERFORMANCE PERIOD

C. FUNDING

D. ELIGIBLE TRAINEES

E. TARGETED AUDIENCES

IV. GRANT APPLICATION AND SUBMISSION

A. ELIGIBLE APPLICANTS

B. APPLICATION SUBMISSION

C. REQUIRED APPLICATION CONTENT

1. SF-424 APPLICATION FOR FEDERAL ASSISTANCE

2. SF-424A BUDGET INFORMATION – NON-CONSTRUCTION PROGRAMS

3. SF-424B ASSURANCES – NON-CONSTRUCTION PROGRAMS

4. PROJECT/PERFORMANCE SITE LOCATION(S)

5. GRANTS.GOV CERTIFICATION REGARDING LOBBYING FORM

6. SF-LLL, DISCLOSURE OF LOBBYING ACTIVITIES (IF APPLICABLE)

7. APPLICATION SUMMARY (NOT TO EXCEED 2 PAGES)

8. PROGRAM ABSTRACT (NOT TO EXCEED 1/2 PAGE)

9. TECHNICAL PROPOSAL (NOT TO EXCEED 20 DOUBLE-SPACED PAGES – SEE

APPENDIX G)

TABLE 1: EVALUATION/ASSESSMENT REQUIREMENTS

TABLE 2: TRAINING PROJECTIONS BY TRAINING TYPE AND AUDIENCE

TABLE 3: TRAINING NUMBERS AND TRAINING CONTACT HOURS

10. FISCAL RESPONSIBILITY AND PROGRAM BUDGETING

D. MEETINGS, REPORTING, AND DOCUMENTATION

TABLE 4: GRANTEE REPORTING DUE DATES

E. SUBMISSION FORMAT

F. INTERGOVERNMENTAL REVIEW

G. APPLICATION EVALUATION CRITERIA, REVIEW, AND SELECTION PROCESS

H. ANTICIPATED AWARD ANNOUNCEMENT DATE AND NOTIFICATION

I. REQUEST FOR APPLICATION COMMENTS

V. POST AWARD ADMINISTRATIVE AND NATIONAL POLICY

A. APPLICABLE FEDERAL LAWS

B. GRANT PROGRAM CONDITIONS

APPENDIX A – TARGETED AUDIENCES

APPENDIX A – TARGETED AUDIENCES (CONT.)

APPENDIX B – APPLICATION CHECKLIST

APPENDIX C – GRANTS.GOV APPLICATION SUBMISSION AND RECEIPT PROCEDURES

APPENDIX C – GRANTS.GOV APPLICATION SUBMISSION AND RECEIPT PROCEDURES (CONT.)

APPENDIX C – GRANTS.GOV APPLICATION SUBMISSION AND RECEIPT PROCEDURES (CONT.)

APPENDIX C – GRANTS.GOV APPLICATION SUBMISSION AND RECEIPT PROCEDURES (CONT.)

APPENDIX D – NON-VIABLE APPLICATIONS

APPENDIX E – ADMINISTRATIVE AND PROGRAM COSTS DEFINITION

APPENDIX E – ADMINISTRATIVE AND PROGRAM COSTS DEFINITION (CONT.)

APPENDIX E – ADMINISTRATIVE AND PROGRAM COSTS DEFINITION (CONT.)

APPENDIX F – EXAMPLE OF BUDGET FORMS

APPENDIX F – EXAMPLE OF BUDGET FORMS (CONT.)

APPENDIX G – APPLICATION FORMATTING REQUIREMENTS

APPENDIX H – APPLICATION SUMMARY DOCUMENT SAMPLE OUTLINE

APPENDIX I – PROGRAM ABSTRACT NARRATIVE EXAMPLE

APPENDIX J – ALLOWABLE/UNALLOWABLE USE OF GRANT FUNDS

APPENDIX J – ALLOWABLE/UNALLOWABLE USE OF GRANT FUNDS (CONT.)

APPENDIX K – CAPACITY BUILDING EVALUATION CRITERIA

APPENDIX L – GRANT-FUNDED MATERIALS SUBMITTAL PROCESS

APPENDIX L – GRANT-FUNDED MATERIALS SUBMITTAL PROCESS (CONT.)

APPENDIX L – GRANT-FUNDED MATERIALS SUBMITTAL PROCESS (CONT.)

REFERENCES

I. EXECUTIVE SUMMARY

Under the authority of Section 21(c) of the Occupational Safety and Health Act of 1970 (OSH Act), the U.S. Department of Labor (DOL) Occupational Safety and Health Administration (OSHA) established its discretionary grant program in 1978. In 1997, OSHA renamed the program in honor of the late Susan Harwood, former director of the OSHA Office of Risk Assessment. The grant program offers opportunities for nonprofit organizations to compete annually for funding so they may develop and conduct training and educational programs for small business employers and workers on the recognition, avoidance, and prevention of occupational safety and health hazards in their workplaces, and to inform workers of their rights and employers of their responsibilities under the OSH Act.

The Susan Harwood Grant Program awards funds to qualifying organizations who have demonstrated capabilities to achieve the program’s performance expectations outlined in this FOA. This includes experience in employing subject matter experts, delivering and administering adult training programs, recruiting students, and managing grants. Following the grant awards, OSHA monitors each organization’s progress in achieving their performance goals and training targets. OSHA accomplishes this by conducting orientation meetings, training material reviews, training observations, program and financial monitoring visits, and quarterly and year-end report reviews.

For FY 2020, OSHA announces the availability of approximately $4.5 million to fund Susan Harwood Training Program Capacity Building grants. Susan Harwood Training Program grants are subject to the availability of federal funding and appropriations. OSHA expects to award multiple grants to eligible nonprofit organizations under this competitive Funding Opportunity Announcement (FOA). This FOA does not itself obligate any federal funds. The obligation of funds occurs when grant recipients acknowledge receipt and acceptance of award documents.

Program funding is for a 12-month period beginning no later than September 30, 2020, and ending on September 30, 2021. Two types of capacity building grant opportunities are available.

The maximum award for a Capacity Building Developmental grant is $180,000 and for a Capacity Building Pilot grant is $80,000.

Organizations are restricted to one Susan Harwood Training grant award in a fiscal year.

If an organization submits multiple applications, OSHA will review the last complete and viable application package submitted. Once submitted, applications are not available for additions, corrections, or revisions. To make changes to a submitted application, the organization must submit a new application package.

Eligible nonprofit applicants include qualifying labor unions, community-based and faith-based organizations, and employer associations that are not an agency of a state or local government.

An institution of higher education supported by a state or local government is eligible to apply in accordance with OMB 2 CFR 200 and DOL exceptions in 2 CFR 2900. Indian tribes, tribal organizations, Alaska Native entities, Indian-controlled organizations serving Indians, and Native Hawaiian organizations are eligible to apply in accordance with Executive Order 13175.

Ineligible applicants are individuals, for profit organizations, 501(c)(4) nonprofit organizations, and FY 2019 Susan Harwood grantees with more than a 90-day time extension to their grant.

Information and forms needed to apply for this funding opportunity announcement are published on the www.grants.gov website (hereinafter “Grants.gov”). Prior to submitting an application, the applicant’s registration must be accurate, up-to-date, and active with Grants.gov and the System for Award Management (SAM). To maintain an active registration in the SAM database, an applicant must review and update their information every 12 months. Inaccurate or expired information may result in rejection of the grant application.

If an applicant is using Grants.gov for the first time, it is strongly recommended that the organization completes the steps to “Register as an Organization” with Grants.gov at www.grants.gov/web/grants/applicants/organization-registration.html as soon as possible. It can take up to five weeks to complete the registration process. Grants.gov requires applicants to have a DUNS number that may acquire a number in one or two business days from the Dun & Bradstreet at fedgov.dnb.com/webform. The required SAM registration may take from two to more than five weeks, and requires an employer identification number (EIN) and a notarized letter from the organization’s authorized representative. It is free to register with SAM at sam.gov/SAM/.

To avoid delays that could result in the rejection of the application, the applicant must factor these processes into their plans for submitting their application. It is strongly recommended that applicants/organizations register with SAM themselves, and not rely on third parties to engage in SAM registration on their behalf. Third parties may misrepresent (intentionally or unintentionally) that they have obtained a SAM registration for the applicant/organization when they have not in fact done so. In cases where an applicant does not obtain and maintain an active bona-fide SAM registration, a grant application will be denied even if the applicant relied in good faith on a third party’s representation that an active bona-fide SAM registration was obtained. Additional information about these requirements is located in Appendix C.

II. PROGRAM OVERVIEW AND FUNDING OPPORTUNITY DESCRIPTION

The Susan Harwood Training Grant Program funds eligible nonprofit organizations to develop training materials and deliver training on the recognition, abatement, and prevention of occupational safety and health hazards in workplaces that may include providing related assistance. Applicants are encouraged but not required to develop training materials. The program emphasizes seven areas:

• training workers and/or employers on identifying and preventing serious safety and health hazards identified by OSHA through the DOL’s Strategic Plan, as part of an OSHA special emphasis program, or other OSHA priorities (see www.osha.gov);

• educating workers on their rights and employers on their responsibilities under the OSH Act;

• educating workers and/or employers in small businesses (for this grant program, a small business is one with 250 or fewer employees);

• training workers and/or employers about new OSHA standards;

file://osha.dir.labor.gov/FieldSites/OSHA-DTE-Public/PROGRAMS/SH/2021-SH0/2020%20CCU_OAS/02.20.2020%20CCU%20rev%20Docs/www.grants.gov file://osha.dir.labor.gov/FieldSites/OSHA-DTE-Public/PROGRAMS/SH/2021-SH0/2020%20CCU_OAS/02.20.2020%20CCU%20rev%20Docs/www.grants.gov/web/grants/applicants/organization-registration.html file://osha.dir.labor.gov/FieldSites/OSHA-DTE-Public/PROGRAMS/SH/2021-SH0/2020%20CCU_OAS/02.20.2020%20CCU%20rev%20Docs/fedgov.dnb.com/webform file://osha.dir.labor.gov/FieldSites/OSHA-DTE-Public/PROGRAMS/SH/2021-SH0/2020%20CCU_OAS/02.20.2020%20CCU%20rev%20Docs/sam.gov/SAM/ file://osha.dir.labor.gov/FieldSites/OSHA-DTE-Public/PROGRAMS/SH/2021-SH0/2020%20CCU_OAS/02.20.2020%20CCU%20rev%20Docs/www.osha.gov

• training at-risk and/or low literacy workers, including temporary and warehouse workers;

• providing technical assistance to employers and workers; and

• developing and disseminating materials to train and educate workers.

Applicants who demonstrate in their proposal that at least one census tract within their physical service area is designated by the Secretary of Treasury as a qualified Opportunity Zone will receive 2 points toward their overall application score. Applicants will not receive additional points for multiple Opportunity Zones within the proposed physical service area. For more information on Opportunity Zones, go to www.irs.gov/newsroom/opportunity-zones-frequently-asked-questions.

Please be aware the IRS list provides the full 11-digit census tract numbers. Use the example below to identify your census tract number(s):

III. AWARD INFORMATION

Capacity building grants financially support organizations in building their ability to provide occupational safety and health training. OSHA may award a grant with or without negotiations with the applicant. Funding for the Susan Harwood Training Grant Program is subject to the availability of federal funding and appropriations.

A. AWARD CATEGORIES

The two grant categories listed in this FOA have different requirements and applicants must propose activities specific to the grant category for which they are applying.

CAPACITY BUILDING DEVELOPMENTAL grants support and assist organizations that through past activities have established a capability to provide occupational safety and health training, education, materials development, and/or technical assistance. Based on a needs assessment, applicants will conduct a significant number of trainings that address occupational safety and health hazards. Additionally, applicants are encouraged to develop educational materials and to provide technical assistance.

Each applicant must develop a comprehensive four-year capacity building plan for becoming a resource for safety and health training. They must explain how they will file://osha.dir.labor.gov/FieldSites/OSHA-DTE-Public/PROGRAMS/SH/2021-SH0/2020%20CCU_OAS/02.20.2020%20CCU%20rev%20Docs/www.irs.gov/newsroom/opportunity-zones-frequently-asked-questions file://osha.dir.labor.gov/FieldSites/OSHA-DTE-Public/PROGRAMS/SH/2021-SH0/2020%20CCU_OAS/02.20.2020%20CCU%20rev%20Docs/www.irs.gov/newsroom/opportunity-zones-frequently-asked-questions become financially self-sufficient after the four-year capacity building period. The plan should focus on developing and/or expanding the capacity of the organization to provide safety and health training, education, and related educational assistance to the targeted audiences. Based on satisfactory performance and congressional funding, Capacity Building Developmental grants may be eligible for no more than three additional 12-month follow-on grants. This allows grantees the opportunity to continue building capacity and achieve their objective with follow-on grants. At the end of the final follow-on grant, the organizations must integrate their new capacity into the organization, and continue assisting workers and employers after the grant ends ensuring that services developed under the grant continue.

CAPACITY BUILDING PILOT grants assist organizations that demonstrate a potential for meeting the objectives of the Capacity Building Developmental program, but need to assess their organizational capabilities, priorities, and needs. The Capacity Building Pilot allows an organization to complete pilot activities and to solidify the organization’s capacity building plans, by allowing time to formulate and test program objectives before applying for a full-scale Capacity Building Developmental training program. Recipients of a Capacity Building Pilot grant will initiate limited program operations during the 12-month pilot period. The program operations should be small-scale trial projects. Upon successful completion of the Capacity Building Pilot grant, the organization may apply for a Capacity Building Developmental grant in the next fiscal year the grant opportunity is available. Capacity Building Pilot grants are not eligible for follow-on grants.

B. PERFORMANCE PERIOD

Grant awards are for a 12-month performance period beginning no later than September 30, 2020, and ending on September 30, 2021.

C. FUNDING

There is approximately $4.5 million available for FY 2020 Capacity Building grants.

Capacity Building Developmental grant applicants may request federal funding up to $180,000. Capacity Building Pilot grant applicants may request federal funding up to $80,000. Applicants may commit non-federal resources to their proposed grant program, but it is not a requirement.

Successful Capacity Building Developmental grantee may be eligible for up to three additional 12-month follow-on grants to continue developing their capacity as an occupational safety and health training program. Funding for Capacity Building Developmental follow-on grants will be conditional on the grantee’s performance, congressional approval, and federal funding. Follow-on grants awards may be non-competitive and funded at a level less than the previous year’s grant award.

Capacity Building Pilot grantees are not eligible for a follow-on grant.

D. ELIGIBLE TRAINEES

OSHA covers most private sector employers and workers. Under this grant program, grantees may train only eligible workers and employers covered under the OSH Act of 1970, SEC. 4, codified at 29 U.S.C. 653 (Appendix A). This may include temporarily unemployed workers who are planning to reenter the workforce in a position covered by the OSH Act within the next three months. Grant funds may not be used to train the applicant’s staff and employees.

This grant program does not cover activities that benefit state and local government employees unless the employees are responsible for occupational safety and health duties within their agency. These employees include agency’s safety and health trainers/program managers/committee members, or other employees who may be responsible for the abatement of unsafe and unhealthy working conditions in their agency. Most state and local government employees are ineligible trainees under this program, including those who may have occupational safety and health protection under a state operated OSHA-approved State Plan occupational safety and health program. For information about OSHA-approved State Plan occupational safety and health programs, go to www.osha.gov/dcsp/osp/index.html.

E. TARGETED AUDIENCES

Training and training materials must be in a language the participants can understand, and must serve employers and workers from multiple small businesses. Training planned for workers and employers in any of the 28 OSHA-approved State Plan states may include a reference to the state OSHA requirements, however, final training materials provided to OSHA as a requirement of this award may reference only federal OSHA regulations.

Applicants proposing to provide training programs and materials to workers with limited English proficiency including Spanish, Asian American, and Pacific Islanders will receive special consideration. Targeted audiences are small businesses with fewer than 250 employees from one or more of the following groups:

• new businesses;

• limited English proficiency workers;

• illiterate/low literacy workers;

• young workers;

• temporary workers;

• minority and other hard-to-reach workers; and

• workers in high-hazard industries and industries with high fatality rates.

IV. GRANT APPLICATION AND SUBMISSION

This announcement includes instructions for developing and organizing the application package. Application submission information and standard forms are on the Grants.gov website. An organization may receive only one Susan Harwood training grant in any fiscal year; therefore, applicants should apply for only one grant under this FOA, either a file://osha.dir.labor.gov/FieldSites/OSHA-DTE-Public/PROGRAMS/SH/2021-SH0/2020%20CCU_OAS/02.20.2020%20CCU%20rev%20Docs/www.osha.gov/dcsp/osp/index.html

Capacity Building Developmental or a Capacity Building Pilot grant. If an organization submits more than one application for this funding opportunity, OSHA will review the last application accepted by Grants.gov.

A. ELIGIBLE APPLICANTS

Eligible applicants are nonprofit organizations and include qualifying labor unions, community-based and faith-based organizations, employer associations (may not be an agency of a state or local government), institutions of higher education supported by a state or local government, and Indian tribes, tribal organizations, Indian-controlled organizations serving Indians, Alaska Native entities, and Native Hawaiian organizations.

Applicants other than institutions of higher education supported by a state or local government must submit evidence of nonprofit status.

All organizations listed in an application as a partner, or as a part of a consortium, must be eligible to be a grantee as defined by this FOA, and must adhere to program requirements. An organization cannot be a grantee and a partner/subcontractor for another grantee during the same grant year. Grant duties may not be sub-awarded or passed through to other organizations or contractors. If contracting services, provide a description of the duties of each contractor and justify why the contractor is necessary and how the contractor will support grant goals. These contracts may require a full and open competition to meet the requirements of the award and 2 CFR 200.

The applicant is the lead partner and must have the ability, or develop the ability, to perform the program activities. The authorized representative and the financial certifying official must be identified in the application and employed by the lead partner. The authorized representative must have the authority to enter into a grant agreement, and will be the primary contact for OSHA communications regarding the grant.

Ineligible applicants are individuals and FY 2019 Susan Harwood grantees with more than a 90-day time extension to their grant. Additionally, 501(c)(4) nonprofit organizations that engage in lobbying activities are not eligible to receive federal funds that constitute an award, grant, or loan.

B. APPLICATION SUBMISSION

Prepare your grant application package using the checklist in Appendix B. After reviewing the Grants.gov application submission and receipt procedures in Appendix C, submit your application at www.Grants.gov (Grants.gov) prior to this announcement’s closing date and time. Refer to Appendix D for important information about application viability.

For Grants.gov questions, use the online answers section at Grants.gov Support (www.grants.gov/web/grants/support.html), or contact Grants.gov Applicant Support by emailing Support@grants.gov, or calling 1-800-518-4726. Grants.gov support is available 24 hours a day, 7 days a week except federal holidays.

file://osha.dir.labor.gov/FieldSites/OSHA-DTE-Public/PROGRAMS/SH/2021-SH0/2020%20CCU_OAS/02.20.2020%20CCU%20rev%20Docs/www.Grants.gov file://osha.dir.labor.gov/FieldSites/OSHA-DTE-Public/PROGRAMS/SH/2021-SH0/2020%20CCU_OAS/02.20.2020%20CCU%20rev%20Docs/www.grants.gov/web/grants/support.html mailto:Support@grants.gov

If applying online poses a hardship, applicants must contact the OSHA Directorate of Training and Education (DTE) office at least three weeks prior to the application closing date. An OSHA representative will advise the applicant on how to submit an application online prior to the closing date. Send an email to HarwoodGrants@dol.gov, or call the Susan Harwood Grants Coordinator at 847-725-7805, weekdays between 9:00 a.m. and 5:00 p.m. eastern time excluding federal holidays.

C. REQUIRED APPLICATION CONTENT

OSHA will review complete applications only. Use the checklist in Appendix B to ensure you submit all the required documents listed below.

1. SF-424 APPLICATION FOR FEDERAL ASSISTANCE

• Funds requested must be rounded to the nearest dollar.

• The amount entered on the SF-424, box 18a., is the official federal funding request.

• The applicant information must be consistent on all documents.

• The authorized representative’s electronic signature on the SF-424, block 21, constitutes a binding offer by the applicant.

• The authorized representative listed on the SF-424 must be the same authorized representative on the application summary document.

2. SF-424A BUDGET INFORMATION – NON-CONSTRUCTION PROGRAMS

• The projected budget must cover the 12-month performance period.

• The projected budget must be allocated by cost categories on the SF-424A and the detailed budget support documentation.

• Projected costs in each cost category must be shown as either a program or an administrative cost (defined in Appendix E).

• Budget information provided on the SF-424A must match the information provided by the applicant on the detailed budget support and budget narrative documents. Examples of the SF-424A and the detailed budget support documents are in Appendix F.

3. SF-424B ASSURANCES – NON-CONSTRUCTION PROGRAMS

The authorized representative’s electronic signature certifies the applicant’s agreement to comply with federal laws, executive orders, regulations, policies, grant requirements, certifications, and assurances governing this program.

4. PROJECT/PERFORMANCE SITE LOCATION(S)

The completed form identifies the sites and locations where grant activities will take place.

5. GRANTS.GOV CERTIFICATION REGARDING LOBBYING FORM

The authorized representative’s electronic signature certifies the applicant agrees to comply with lobbying restrictions. If item 2 is applicable, complete the SF-LLL, Disclosure of Lobbying Activities form.

6. SF-LLL, DISCLOSURE OF LOBBYING ACTIVITIES (IF APPLICABLE)

Complete only if the organization makes payments to lobbying entities with the intent to influence an officer, employee, or member of any federal agency or Congress in connection with a covered federal action.

Refer to Appendix G for approved formatting for the following documents:

7. APPLICATION SUMMARY (NOT TO EXCEED 2 PAGES)

Follow the example in Appendix H to provide basic information about the application.

8. PROGRAM ABSTRACT (NOT TO EXCEED 1/2 PAGE)

Follow the guidance in Appendix I to describe briefly the proposed capacity building plan and expected outcome.

9. TECHNICAL PROPOSAL (NOT TO EXCEED 20 DOUBLE-SPACED PAGES – SEE APPENDIX

G)

Describe the applicant’s business, training experience, interaction with the target audience, successes in completing program obligations, staff’s occupational safety and health knowledge and experience, and planned activities for accomplishing project training goals. Use the following outline for the proposal.

A. PROPOSAL IDENTIFICATION

• Applicant/organization name

• Grant category: (Capacity Building Developmental or Capacity Building

Pilot)

• Targeted population and/or industry

• Four-year capacity building plan

• Sustainability plan for maintaining new capacity after the end of the four-year period

• Training topic(s) selected for each of the capacity building grant years

B. PROPOSAL NARRATIVE

a. ORGANIZATION BACKGROUND AND EXPERIENCE

Provide a brief overview of the organization’s purpose, function, daily business activities, and the past five years of experience with governmental (federal, state, or local) grant programs.

• Address the organization’s experience in interacting with and training adults.

• List organizational experience that is specific to the selected target audience, industry, and/or training topics.

• Discuss the organization’s experience with recruitment, training, and other services involving the targeted audience, industry, and training topics. If the organization has experience conducting the proposed type of training program, briefly describe the program, type(s) of training materials developed, numbers of workers and/or employers trained, and the associated trainee contact hours for the past five years.

• Describe the organization’s experience in conducting and using level 1 training session evaluations, level 2 learning assessments, and level 3 training impact assessments.

b. STAFF EXPERIENCE

The applicant must use knowledgeable staff to support this grant program.

Describe the occupational safety and health qualifications and relevant project experience of the professional staff as it pertains to the work activities proposed in the application. Include their experience in conducting training and/or developing training materials for adult learners, the targeted audience, occupational safety and health subject, and other experience relevant to the work activities proposed in the application. Attach resumes to support the staff’s qualifications. If some positions are vacant or being proposed, include position descriptions and/or minimum hiring qualifications instead of resumes. Attachments may include:

• Organizational chart (may be an attachment) o Identify by name and position the staff working on the grant

• Resumes, curricula vitae (CVs), position description/minimum hiring qualifications o Show occupational safety and health knowledge and experience Key staff (authorized representative, project manager, and others who spend more than 50% of their time on grant activities) Professional staff (material developers, trainers, etc.)

c. PROBLEM, PURPOSE, AND FUNDING NEEDS STATEMENT

Provide a clear and concise statement describing the project goals, issues addressed by the training, and organizational need for federal assistance. The statement may address unmet training needs of the target audience, industry, or topic. Include any issues encountered by the workers and employers in obtaining occupational safety and health training.

d. WORK PLAN PROPOSAL

The work plan allows the applicant to list the grant activities required to complete the project requirements and goals during the 12-month performance period. The proposal is comprised of two components, a matrix table that identifies the grant activities by quarter, and a descriptive narrative about the planned activities. The work plan should describe the following activities for the initial grant year only.

• Needs assessment

• Training materials development, revisions, or acquisitions

• Targeted audience, including workers and employers

• Trainees recruitment;

• Proposed training sessions and topic(s)

• Training locations (general)

• Training delivery methods

• Anticipated number of trainees and training contact hours per training

• Planned activities for conducting levels 1, 2, and 3 assessments/ evaluations

• Anticipated benefits and results associated with training workers and employers

• Anticipated organizational capacity to be built including measures showing the increase in capacity as related to the goals accomplished during the year

The work plan must be reasonable and achievable within the 12-month grant performance period. Grantees are accountable for completing the activities listed in the work plan and meeting the proposed quarterly training projections. The work plan goals are the basis for measuring actual quarterly performance reported to the Assistant Secretary of Labor. Grantees must be mindful of performance issues and consult with OSHA as early as possible. Grantees may not be eligible for a follow-on grant if they are not performing satisfactorily or achieving the work plan goals.

A WORK PLAN ACTIVITY TABLE divided by program quarter for the 12-month performance period must include the activities and tasks projected for each performance quarter. The project’s quarters are:

Quarter 1: September 30, 2020 – December 31, 2020 Quarter 2: January 1, 2021 – March 31, 2021 Quarter 3: April 1, 2021 – June 30, 2021 Quarter 4: July 1, 2021 – September 30, 2021

Develop the work plan activity table to identify the expected results and who, what, when, where, or how the activity or task supports accomplishing the work plan goals. Include all required grant-related activities in your work plan. These include attending OSHA-required meetings and monitoring visits, submitting grant-developed materials for OSHA review, submitting quarterly reports, projecting training sessions, projecting trainee numbers and training contact hours, and other grant related activities.

WORK PLAN DETAILED NARRATIVE describes the activities, tasks, and expected results of the project’s performance goals. Program requirements are:

1. NEEDS ASSESSMENT

Grantees must complete a needs assessment to identify the gaps or deficiencies preventing them from reaching the targeted industry, audience, or geographic location. The goal is to determine what gaps exist between a present state (what is) and a desired state (what should be).

Needs assessments are systematic approaches to studying the knowledge, ability, interest, or attitude of a defined audience or industry involving a particular subject. Needs assessments may include formal research to gather data, or a carefully documented analysis where an advisory committee meets and follows a defined process to identify organizational needs.

Applicants should describe their experience in conducting needs assessments and outline the process for conducting an assessment to support the occupational safety and health capacity they plan to build. The needs assessment will provide insight about the awareness, demand, approach, impact, outcomes, and credibility of the proposed program. Needs assessments completed by an applicant within the past 6-months that support their capacity building needs are acceptable.

2. TRAINING MATERIALS

This funding opportunity focuses on developing organizational capacity to deliver training to workers and employers in a target industry. Applicants must identify training topics and materials they plan to use, and how and where they will acquire the materials. They must work toward developing a complete training program that includes training objectives, outlines, sign-in sheets, presentations, instructor guides/notes, videos, student manuals/handouts, student exercises, training material content, presentations, evaluations (level 1), trainee assessments before and after the training (level 2), and long-term impact on the trainees safety and health knowledge, work attitude, and workplace environment (level 3). OSHA considers training advertisements and promotional materials part of the training materials.

Applicants may acquire new materials, revise previously-approved Harwood materials, or develop new materials. Applicants should not propose developing training or educational materials that duplicate existing materials, but may update previously-approved Harwood materials as needed. Grantees must adhere to all copyright laws and provide a written certification that materials are free from copyright infringements. Applicants developing new materials must explain why existing materials do not meet their needs.

Training materials must address the recognition, abatement, and prevention of occupational safety and health hazards by covering federal OSHA requirements. Training planned for workers and employers in any of the 28 OSHA-approved State Plan states may include references to the state OSHA requirements, however, final training materials provided to OSHA may contain references to federal OSHA regulations only.

Training sessions may include a brief overview of OSHA Whistleblower Protection Programs (www.whistleblowers.gov/) regarding employee rights and employer responsibilities.

APPLICANTS ACQUIRING TRAINING AND EDUCATIONAL MATERIALS from an outside source must provide a list of the acquired training materials. These materials must follow the commonly accepted Instructional Systems Design.

Grantees must adhere to all copyright laws and provide a written certification that materials are free from copyright infringements. Acquired materials may be subject to OSHA review and approval.

APPLICANTS REVISING PREVIOUSLY-APPROVED HARWOOD TRAINING AND

EDUCATIONAL MATERIALS must provide information on how they acquired the materials and include a list of the materials, the original grant number, and the proposed revisions. OSHA must review and approve all material revisions. OSHA may review and approve only the highlighted revisions to the previously-approved grant materials, or OSHA may request to review the entire revised document. This requirement applies to training materials downloaded from the Susan Harwood Grant Products website or acquired directly from a previous Susan Harwood grantee.

OSHA posts grant-developed/revised training materials on the OSHA public website at www.osha.gov/harwoodgrants/grantmaterials/bytopic/. These materials cover various topics in multiple languages. Training materials revised under this grant will increase this valuable resource.

file://osha.dir.labor.gov/FieldSites/OSHA-DTE-Public/PROGRAMS/SH/2021-SH0/2020%20CCU_OAS/02.20.2020%20CCU%20rev%20Docs/www.whistleblowers.gov/ https://www.osha.gov/harwoodgrants/grantmaterials/bytopic/

If the capacity building plan includes developing new training or educational materials, the materials must be classroom quality. Applicants must follow the Instructional Systems Design (ISD) that focuses on quality measures for educational and training products. The five major ISD phases are analysis, design, development, implementation, and evaluation (ADDIE Model). Go to www.nwlink.com/~donclark/hrd/sat.html for more information.

Applicants should provide a well-developed concept about the training and educational materials they propose to develop. Describe how materials will be developed and/or translated into a non-English language, if applicable, and include an estimated timeline for developing, evaluating, validating, and producing the materials. Explain how the proposed training and educational materials will fill an unmet training and/or training materials need, and describe how the materials will be applicable for other organizations and trainers.

Grantees are encouraged to review the guidance document “Best Practices for the Development, Delivery, and Evaluation of Harwood Training Grants” at www.osha.gov/harwoodgrants/best-practices. An updated publication, “Resource for Development and Delivery of Training to Workers,” is available at www.osha.gov/Publications/osha3824.pdf. These resources address needs assessments, proven adult learning techniques, effective models for worker training, and training evaluation documentation.

ACKNOWLEDGMENT OF DOL FUNDING is required on all materials developed or revised under the grant. These materials include promotional/program flyers and advertisement, training presentations, videos, handouts, student and trainer manuals, evaluations and testing instruments, student sign-in sheets, etc. Each material shall contain the following disclaimer:

This material was produced under grant number SH-____-SH_ from the Occupational 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.

Applicants revising previously-approved Harwood training materials must retain the original grant number in the disclaimer and acknowledge their revisions to the materials by adding the following statement after the original disclaimer:

Revisions were made to this material under grant number SH-____-SH_ from the Occupational Safety and Health Administration, U.S. Department of Labor.

file://osha.dir.labor.gov/FieldSites/OSHA-DTE-Public/PROGRAMS/SH/2021-SH0/2020%20CCU_OAS/02.20.2020%20CCU%20rev%20Docs/www.nwlink.com/%7Edonclark/hrd/sat.html https://www.osha.gov/harwoodgrants/best-practices file://osha.dir.labor.gov/FieldSites/OSHA-DTE-Public/PROGRAMS/SH/2021-SH0/2020%20CCU_OAS/02.20.2020%20CCU%20rev%20Docs/www.osha.gov/Publications/osha3824.pdf

OSHA MUST APPROVE THE ENGLISH VERSION OF NEW AND REVISED GRANT

MATERIALS before the grantee may use the materials to conduct training or translate them into another language. Allow at least three weeks for OSHA to review materials for technical accuracy and suitability. If the grantee revises the materials after receiving OSHA approval, the grantee must submit the updated materials to OSHA for re-approval.

OSHA reserves the right to review the translated materials prior to their use.

OSHA may request the grantee to certify accuracy of the translation by identifying the translator and providing the translator’s qualifications.

Organizations proposing to develop Spanish-language training materials must use appropriate terminology from the OSHA dictionaries located at www.osha.gov/dcsp/compliance_assistance/spanish_dictionaries.html.

GRANTEES SHOULD PROMOTE the training they develop during the capacity building period on their website as free training until after the end of the last follow-on grant.

OSHA’S INTERNET POSTING REQUIREMENTS APPLY TO NEW AND REVISED

MATERIALS developed with grant funds. Annually, the grantees must provide one (1) bound paper copy and two (2) electronic copies of the final training materials to OSHA no later than the last day of the grant performance period, September 30, 2021. Materials must be compliant with Section 508 of the Rehabilitation Act of 1973, as amended. This act requires electronic and information technology (EIT) documents to be accessible for people with disabilities. To view Section 508 guidance checklists, go to www.hhs.gov/web/section-508/making-files-accessible/index.html.

3. TRAINING PLAN AND PROJECTIONS

A RECRUITMENT PLAN for reaching trainees from the target audience must be provided. Describe past successes in reaching the target audience as well as any plans to work with other organizations during the recruiting efforts.

THE TRAINING PROPOSAL must focus on building training capacity with an identified occupational safety and health audience, topics, or industry.

Provide a description of the methods you will use to reach multiple employers and their workers. Explain the teaching methods, training locations, geographical impact, and projected number of trainees and contact hours.

Describe the methodology used to develop the projections for total number trained and total contact hours for each type of training (train-the-trainer, worker, or employer by topic). Explain how you plan to involve workers actively during the training to create a participatory learning environment.

Grantees may not train an individual on a grant topic more than once during the capacity building period. Individuals trained at conferences or as part of a file://osha.dir.labor.gov/FieldSites/OSHA-DTE-Public/PROGRAMS/SH/2021-SH0/2020%20CCU_OAS/02.20.2020%20CCU%20rev%20Docs/www.osha.gov/dcsp/compliance_assistance/spanish_dictionaries.html file://osha.dir.labor.gov/FieldSites/OSHA-DTE-Public/PROGRAMS/SH/2021-SH0/2020%20CCU_OAS/02.20.2020%20CCU%20rev%20Docs/www.hhs.gov/web/section-508/making-files-accessible/index.html needs assessment are ineligible trainees, and are not reportable as workers trained or as training contact hours. Organizations awarded grants in consecutive years to train on the same topic must describe their processes to ensure they train different workers from the previous grant year(s).

TRAINING SESSIONS must last a minimum of 30 minutes, but may not exceed 7½ trainee contact hours per day. Contact hours refer to time spent covering course content. Trainee contact hours do not include breaks, lunchtime, or instructor-led minutes used for administrative activities such as trainee sign-in, general training site information, training presentation evaluation, or presentation of certificates of completion. If the training occurs over multiple days, the trainee must attend the entire training before the grantee may count them as trained, or include their contact hours in the quarterly report.

Training that begins in one quarter, but ends in the next quarter is reported only in the quarter the training is completed.

TRAINING CLASS SIZE must be no fewer than 3 and no more than 40 trainees per class. The ideal class size to facilitate participatory learning with actively involved trainees is between 10 and 30 trainees.

TRAINING EVALUATION AND TRAINEE ASSESSMENTS are important in validating training materials and improving the training presentation.

Occasionally, the Department of Labor conducts a separate study on the impacts of the program’s training. In accepting grant funding under this program, the grantee agrees to fully cooperate with and provide any data needed for the federally-sponsored evaluations of the training. Capacity Building Pilot grantees must administer level 1 training session evaluations and level 2 trainee assessments at each training session. Capacity Building Developmental grantees must administer level 1 evaluations and level 2 assessments at each training session, and conduct a level 3 impact assessment approximately three months after each training.

TABLE 1: EVALUATION/ASSESSMENT REQUIREMENTS

Evaluations/Assessments Capacity Building –

Developmental Capacity Building –

Pilot Level 1 Evaluations yes yes Level 2 Assessments yes yes Level 3 Impact Assessments yes no

LEVEL 1 – TRAINING SESSION EVALUATIONS measure how trainees react to the training experience including trainees’ perceptions of the training environment, instructor(s), and quality and usefulness of the training.

Level 1 evaluations must be in writing and completed by the trainee. If language or literacy is an issue, the evaluation may include an instructor-documented verbal satisfaction survey.

LEVEL 2 – TRAINEE LEARNING ASSESSMENTS measure the skills, knowledge, and safety attitude the trainee acquires and retains. The instructor must document the pre- and post-training assessment results of each trainee. Level 2 assessments may be written tests, or instructor-documented oral pre- and post-training assessments. All pre- and post-assessments must measure the training objectives and match in content, format, and approach. This will accurately document changes in trainees’ knowledge and skills because they participated in the training.

The grantee/instructor must maintain documentation of all verbal- or activities-based assessments. Alternative pre- and post-test assessment methods may include having the trainees perform a task or interactive activity that demonstrates their knowledge before and after their participation in the training. Evaluations and assessments must be retained for OSHA monitoring purposes.

Level 3 – TRAINING IMPACT ASSESSMENTS measure the skills, knowledge, and safety attitude the trainees retain three months after training. The grantee must maintain trainees’ contact information to follow up with the trainees three months after the training to assess changes in the trainees’ knowledge/skill level, changes in their safety and health work attitude, and residual changes to their workplace because of the training. This information is valuable, and grantees must complete level 3 assessments for all training classes. By the end of the grant period, the grantees must complete level 3 impact assessments related to all training occurring during the first three quarters of the grant period.

Level 3 assessments for the fourth quarter training may be a work plan activity during the first quarter of the follow-on grant.

TRAINING PROJECTIONS define the proposed training sessions by type of training, course duration, projected number of trainees, and training contact hours. Include a table similar to the following:

TABLE 2: TRAINING PROJECTIONS BY TRAINING TYPE AND AUDIENCE

Type of Training Length of training (hours)

Projected Number of Trainees

Total Contact hours

Worker – Intro 2 250 500 Worker – Advanced 4 140 560 Train-the-Trainer 16 20 320 Employer 8 10 80

Total 420 1460

TRAINEE NUMBERS AND TRAINING CONTACT HOURS are estimates based on proposed training for each quarter. Capacity Building Pilot grantees are expected to conduct limited pilot training.

Capacity Building Developmental grantees must conduct training throughout the grant period, and must adhere to the cost per trainee and cost per training contact hour restrictions. Describe the methodology used to develop your estimates. Developmental grantees must limit the grant expenses to less than $500 per trainee and less than $125 per training contact hour. Projections must be a single number estimate (not a range) as shown in the table below.

TABLE 3: TRAINING NUMBERS AND TRAINING CONTACT HOURS

Note: This requirement does not apply to Capacity Building Pilot grants

Quarter Performance Period Projected number of Trainees

Projected Contact Hours

Quarter 1 October 1 to December 31 0 0 Quarter 2 January 1 to March 31 70 280 Quarter 3 April 1 to June 30 240 740 Quarter 4 July 1 to September 30 110 440

Totals 420 1460 Total funding (federal and non-federal) $165,000 $165,000

*Costs per Trainee/Contact Hour $393 $113 *Costs per trainee/contact hour are determined by dividing the total grant funding (federal and non-federal funds) by the total number of trainees or contact hours.

A TRAIN-THE-TRAINER PROGRAM allows the grantee to expand the distribution of their occupational safety and health training, ultimately reaching more workers.