HomeMy WebLinkAboutAppendix L- AEA08-013FishOilGrantRFA.pdf Page 1
IMPORTANT NOTICE
FOR
Requests for Grant Applications (RFA) AEA-08-013 for
Development and Demonstration of Mobile Fish Oil Processing Module
RFA ISSUE DATE: October 10, 2007
Applicants MUST fill out the following information and reply via email or fax, otherwise we will
be unable to notify the applicant of addenda to this RFA and offers may be rejected.
Please provide the following information by FAX or e-mail to the contact below:
Company Name _____________________________________________
Contact Name _____________________________________________
Company Address _____________________________________________
Telephone Number _____________________________________________
Fax Number _____________________________________________
E-mail Address _____________________________________________
Return to:
Grant Manager: James Jensen
The Alaska Energy Authority
813 West Northern Lights Blvd.
Anchorage, AK 99503
FAX: (907) 269-3044
Phone: (907) 269-3000
E-mail:jjensen@aidea.org
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Requests for Grant Applications #AEA-08-013 for
Development and Demonstration of Mobile Fish Oil Processing Module
RFA ISSUE DATE: October 10, 2007
Grant Manager: James Jensen
E-mail: jjensen@aidea.org
Alaska Energy Authority
813 West Northern Lights Blvd.
Anchorage, AK 99503
FAX: (907) 269-3044
Phone: (907) 269-3000
Table of Contents
Grant Application (8 Pages) ....................................................................................... 2
1. Introduction and Instructions ............................................................................. 3
1.1 Project Authority and Purpose .......................................................................... 3
1.2 Eligible Applicants/Projects ............................................................................... 3
1.3 Issuing Office .................................................................................................... 4
1.4 Mailing Address and Deadline for Receipt of Applications ................................ 4
1.5 Questions about the RFA ................................................................................. 4
1.6 Period of Performance ...................................................................................... 5
1.7 Solicitation and Advertising ............................................................................... 5
1.9 Availability of Funds .......................................................................................... 6
1.10 Addenda to the RFA ......................................................................................... 6
1.11 Incurred Costs .................................................................................................. 6
1.12 Authorized Signature ........................................................................................ 6
1.13 Applicant's Certification .................................................................................... 6
1.14 Correction, Modification or Withdrawal of Applications ...................................... 6
1.15 Right of Rejection ............................................................................................. 7
1.16 Minor formality .................................................................................................. 7
2. Scope of Grant .................................................................................................. 7
2.1 Purpose ............................................................................................................ 7
2.2 Reporting Requirements ................................................................................... 7
2.4 Grant Terms and Conditions ............................................................................. 8
2.5 Local Contribution ............................................................................................. 8
2.6 Grant Disbursement Procedures ...................................................................... 8
2.7 Disposition of Equipment .................................................................................. 8
2.8 Use of Program Income .................................................................................... 8
3. GRANT APPLICATION ..................................................................................... 8
3.1 General ............................................................................................................ 8
3.2 Outline of Grant Application .............................................................................. 9
4. Evaluation Criteria and Process ........................................................................ 9
4.1 Minimum Requirements .................................................................................... 9
4.2 Evaluation Committee..................................................................................... 10
4.3 Evaluation Guidelines ..................................................................................... 10
4.4 Evaluation and Weighting Criteria ................................................................... 10
Economic Feasibility/Fish Oil Utilization (10) ............................................................ 11
4.5 Evaluation Committee Recommendation Options ........................................... 11
4.6 Recommendation to the Executive Director .................................................... 11
Attachments
Grant Form (terms and conditions) (17 Pages) Grant Application (8 Pages)
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1. Introduction and Instructions
1.1 Project Authority and Purpose
This Request for Applications is solicited in accordance with AS 44.83.080 (8) and US
Environmental Protection Agency’s EPA-R10-WCC-2006, Collaborative Diesel Emissions
Reductions 2006 Grant Program.
The Alaska seafood industry processes approximately 4.4 billion pounds of fish annually,
producing approximately 2.2 billion pounds of “waste,” those portions of the fish not processed
for human or industrial consumption. Of that waste, approximately 62 percent is discharged into
state waters. The discharged fish waste contains an estimated 13 million gallons of
unrecovered fish oil.
Besides its use in pharmaceuticals and agriculture/aquaculture feeds, Alaska fish oil has been
demonstrated as a suitable supplementary or displacement fuel in applications burning diesel as
a thermal fuel (in boilers or heaters) and, in some circumstances, as an engine fuel. Alaska fish
oil has also been demonstrated as excellent feedstock oil for the production of biodiesel (methyl
esters).
A major hurdle hindering further oil recovery from Alaska-generated fish processing wastes is
that the waste is generated at numerous geographically dispersed sites over relatively short
periods of time in following harvesting practices of wild stocks. This tends to discourage
investment in, and the economic viability of, fixed location oil recovery facilities, the most
common model. Further, fish waste is generally not amenable to aggregation and transport as it
is bulky, difficult to handle, and degrades rapidly unless frozen or otherwise preserved.
The intent of this project is to provide grant funding and technical/business support toward the
development, construction, and demonstrated operation of a mobile fish oil recovery module.
This module will be employed at and relocated between multiple existing processing sites
thereby increasing its annual utilization and economic return. It is expected that at some
processing sites, the fish oil product will be retained and utilized by the host facility and/or
community to displace the use of conventional diesel engine or boiler fuels.
Project funding contributors include the State of Alaska’s Alaska Energy Authority (AEA),
University of Alaska Marine Advisory Program (MAP), and the US federal Environmental
Protection Agency and its West Coast Collaborative Diesel Emissions Reduction Program
(EPA).
1.2 Eligible Applicants/Projects
To be eligible to respond to this RFA applicants must meet the following minimum criteria.
1.2.1 Applicants must be one of the following:
a. Commercial seafood processor operating in or near Alaska waters with shore-based,
at-sea, and/or barge facilities.
b. Alaska community, community/regional organization, utility, processing group, CDQ
group, or regional fishing or marketing association within which seafood processing
occurs.
c. Any collaborative grouping or partnership of the above entities in (a) or (b), existing
or formed to respond to this RFA.
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1.2.2 The applicant must demonstrate formal approval and endorsement for its project by its
board of directors, executive management, or other governing authority.
1.2.3 The proposed fish oil module project must incorporate the following attributes.
a. Operate in Alaska in excess of fifty percent of its operating year during the proposed
demonstration period.
b. Extract fish oil from raw fish waste materials and process to a technical grade purity,
with no more than 0.5 percent water and solids by weight. This is a minimum
requirement, processing to more stringent standards would satisfy this requirement.
c. Configured to be “portable” in that the system may be readily relocated from one
processing locale to another as a routine matter. How this is accomplished may
include (but is not limited to) installation in one or more freight containers, installation
on a small barge or self-propelled vessel, or by some other method that fulfills the
portability requirement above.
1.3 Issuing Office
Address:
Alaska Energy Authority
813 West Northern Lights Blvd
Anchorage, AK 99503
Grant Manager: James Jensen
Phone: (907) 269-3000
Fax: (907) 269-3044
E-mail: jjensen@aidea.org
1.4 Mailing Address and Deadline for Receipt of Applications
Applicants must submit three (3) copies of their application to the issuing office located at 813
W. Northern Lights Blvd, Anchorage AK 99503 in a sealed envelope(s) clearly labeled:
AEA-08-013 - Grant Application for Development and Demonstration of Mobile Fish Oil
Processing Module
Applications must be received by the issuing office no later than 5:00 p.m., November 15,
2007. Failure to meet the deadline will result in disqualification of the application without
review.
1.5 Questions about the RFA
Any technical or procedural questions regarding the RFA or grant documents should be directed
to the Grant Manager at the address above. All questions that require clarification or
interpretation of this RFA that cannot be answered by careful review of the document should be
received in writing at the issuing office address no later than 10 business days before the
application due date. The Grant Manager will respond in writing if the question cannot be
answered by directing the applicant to the appropriate section of the RFA. Any written response
to questions will be posted to the State public notice website and the AEA website. Interested
parties who register will be notified by e-mail of any clarifications or changes to this RFA.
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1.6 Period of Performance
Below is a schedule of critical dates as it relates to this project and subsequent grant award.
Changes may occur as required or to conform to needs of the selected applicant.
Application Due Date November 15, 2007
Application Review Complete November 30, 2007
Notification of Grant Award(s) December 3, 2007
Finalize Award Documents & Approvals December 14, 2007
Demonstration February-April 2008
Conclude Operation Demonstration TBD*
Prepare and Submit Final Performance Report TBD*
(*Demonstration and Performance Report dates are flexible contingent upon extension of
EPA grant funds beyond August 2008.)
1.7 Solicitation and Advertising
The RFA, with associated grant documents is available on the AEA homepage
(http://www.akenergyauthority.org/) or on the State of Alaska website (http://state.ak.us)
under Quick Links: Public Notices On-Line.
1.8 Roles of Government Organizations for this Solicitation
AEA applied for and received funding from multiple sources to implement a portion of the Alaska
Rural Energy Plan involving development and promotions of alternative, non-petroleum fuels
and rural economic development, which create beneficial environmental impacts within the
state.
This program is developed under AS 44.83.080 (8) which gives AEA the authority to accept
gifts, grants, or loans from, and enter into contracts or other transactions regarding them, with
any person, and US Environmental Protection Agency’s (EPA) EPA-R10-WCC-2006,
Collaborative Diesel Emissions Reductions 2006 Grant awarded to AEA (EPA grant).
The EPA is providing approximately one third of the funding for the project awarded under this
RFA. The grantee must comply with pass-through provisions of the EPA grant.
AEA is a public corporation of the State of Alaska with the purpose to promote, develop, and
advance the general prosperity and economic welfare of the people of the State by providing a
means of financing and operating power projects and by carrying out the powers and duties
assigned to it under AS 42.45.
The Grant Manager is responsible for accepting and coordinating the evaluation of this RFA and
administering the Grant on behalf of the Authority. The Executive Director or his designee will
approve the final grant.
The University of Alaska-Fairbanks School of Fisheries and Oceans Sciences, through the
Alaska Sea Grant Marine Advisory Program (MAP), is contributing $45,000 to this project.
These funds are part of a larger grant from the US Department of Agriculture’s, Agriculture
Research Service. Funding from that grant will cover a conference on fish oil production.
Results from this project will be a part of that conference.
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1.9 Availability of Funds
A grant resulting from this RFA is subject to the availability of appropriations for the purpose of
the grant. From all state and federal sources, approximately $180,000 is available in grant
funds. The successful grantee will be required to contribute a minimum of $90,000 in funding
and/or in-kind contributions toward the project
1.10 Addenda to the RFA
Addenda to this request for applications may be issued at AEA's option. Any interested
applicant, however, may request modifications to the scope, specifications, or administrative
requirements. Any such request should be made in writing and received by the Grant Manager
at the issuing office, no later than 10 days before the application due date. Final acceptance or
denial of the request is the decision of the Grant Manager. Failure of the Grant Manager to
respond in writing to a request for addenda to the RFA shall be considered a rejection of the
request. All addenda will be in writing and posted to the AEA website.
1.11 Incurred Costs
AEA shall not pay for any costs incurred by the Applicant to prepare and submit their application
and participate in any discussions that may be needed to clarify their application prior to any
grant award. No costs incurred by Applicants in preparation of their application, including travel
and personal expenses, may be charged as an expense of performing the Grant. Reimbursable
costs will only be those allowed in the final grant award.
1.12 Authorized Signature
Applications must be signed by an individual authorized to bind the Applicant to its provisions.
The application must remain valid for at least ninety (90) days from the application receipt
deadline.
1.13 Applicant's Certification
By signature on their application, Applicants certify that they are complying and will comply with:
1) the laws of the State of Alaska; 2) the applicable portion of the Federal Civil Rights Act of
1964; 3) the Equal Employment Opportunity Act, the Americans With Disability Act (ADA) and
the regulations issued thereunder by the federal government; and 4) all terms and conditions set
out in this RFA. If any Applicant fails to comply with 1) through 4) of this paragraph, AEA
reserves the right to disregard the application, terminate the Grant, or consider the grantee in
default.
1.14 Correction, Modification or Withdrawal of Applications
An application may be corrected, modified or withdrawn by providing a written request from an
authorized agent of the Applicant to the grant manager before the time and date set for receipt
of the applications. After applications are opened, modifications may be allowed prior to
completion of the evaluation process if the evaluation committee determines that it is in the best
interest of AEA to do so.
The Applicant selected for the grant award may be requested to modify or correct his application
prior to award to the extent it is in the best interests of AEA in meeting the requirements of the
grant.
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1.15 Right of Rejection
Applicants must comply with all of the terms of the RFA and with all applicable local, state, and
federal laws, codes, and regulations.
The Grant Manager may reject any applications that do not comply with all of the material and
substantial terms, conditions, and requirements of the RFA.
The AEA reserves the right to reject any or all applications.
1.16 Minor formality
The Grant Manager may waive minor formalities or modify terms or conditions that do not
change the meaning or scope of the RFA; that are trivial, negligible, or immaterial in nature; that
do not reflect a material change in the scope of work; or, that do not constitute a substantial
reservation against a requirement or provision.
2. Scope of Grant
2.1 Purpose
The project grant will support and facilitate the design, construction, and operation of a mobile
fish oil module so as to demonstrate the feasibility and methods necessary for increased fish oil
recovery from the seafood processing industry and its use as an energy fuel in rural Alaska.
2.2 Reporting Requirements
The successful grantee is required to keep AEA informed of the status of the project and
provide final reports. AEA, and its project partners and sponsors, intend to prepare and
distribute presentations of project results for use by industry, agency, and public interests. The
following reporting requirements must be met by the grantee:
Monthly progress reports on the status of the project. The progress report must provide a
concise narrative assessment of the status of work, module operations, and completed
maintenance.
Final construction and commissioning report, including commercial operation verification in
electronic and hardcopy format.
Final report will include actual costs and pictures of the module in operation, a comprehensive
performance brief including fish oil production, quantity and characterization of processed fish
waste, availability of completed system, O&M costs, and any major events occurring during the
grant period.
During the period of module operational demonstration, AEA and its representatives will be
granted reasonable and timely access to observe and evaluate module performance.
2.3 Administrative and Financial Management Systems
The successful grantee must have administrative and financial management systems that
comply with the standards set forth in 40 CFR Part 31.20 and can be found at
http://ecfr.gpoaccess.gov. The successful grantee must have procurement standards that
comply with the standards set forth in40 CFR Part 31.36. Failure to have these systems in
place may result in a rejected application.
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2.4 Grant Terms and Conditions
The successful grantees must comply with the terms and conditions of the attached grant form
that includes references to the pass-through requirements of EPA. The applicable EPA
Assistance Regulations are 40 CFR Part 31 and can be found at http://ecfr.gpoaccess.gov.
The audit requirements of OMB Circular A-133 are applicable.
2.5 Local Contribution
EPA, MAP, and AEA funds will provide up to $180,000 of funding toward module design,
development, construction, and operation. Applicants are expected to pay at least $90,000 of
total project costs; if project costs exceed $270,000 all additional project costs are the
responsibility of the grantee. In-kind contributions such as equipment and personnel can be
included in this category. Costs of preparing, submitting, and finalizing the grant are exclud ed
and can not be applied toward meeting the minimum local contribution requirement.
Please refer to the Federal Financial Assistance Regulations 40 CFR Part 31.24 for more
details. You can link to these at this URL: http://ecfr.gpoaccess.gov.
2.6 Grant Disbursement Procedures
AEA will disburse grant funds on a reimbursement basis as eligible costs are incurred. The
Grantee will submit invoices on a monthly basis indicating expenditures for eligible costs and
request payment from grant funds. Funds will not be disbursed until the Grantee demonstrates
that the project can be successfully completed and that the Grantee has obtained all approvals,
permits and agreements necessary to proceed.
2.7 Disposition of Equipment
Equipment procured under this grant with Federal Funds with a fair market value over $5,000
must be disposed of in a manner that is consistent with the requirements of 40 CFR Part 31.
When the equipment acquired under the grant is no longer needed for the original project or for
other activities currently or previously supported by a Federal agency, the equipment will be
retained or sold and the awarding agency will receive an amount calculated by multiplying the
current market value, or proceeds from sale, by the awarding agency’s share of the equipment.
2.8 Use of Program Income
Program income is gross income received by the grantee that is generated directly by a grant -
supported activity. During the award period, all program income will be deducted from the
outlays of all partners proportional to their percentage of contribution. All income in excess of
contributions will go to the grant recipient. After the end of the award period there are no
restrictions on program income.
3. GRANT APPLICATION
3.1 General
3.1.1 Complete the Grant Application on form provided. It is in a Microsoft word format to
allow applicants to edit and fill in the blanks as needed. Failure to provide complete
information as requested may result in a lower score or disqualification of the application
depending on the extent and nature of the discrepancy.
3.1.2 It is anticipated that a completed application may be approximately 10 -15 pages in
length not including any attached documents. Applicants are encouraged to be both
thorough and concise in describing their project.
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3.1.3 If you have proprietary information you want to remain confidential, but you want AEA to
consider in the award of this grant, include that information in a separate attachment.
AEA will determine whether the submitted information is confidential. If AEA determines
it is not confidential, it will notify the applicant that the information is not confidential and
return it at the request of the applicant. If the information is confidential, the proprietary
information will not be open for review by the public.
3.2 Outline of Grant Application
The Application includes the following sections and additional information as needed. If you
have any questions about completing the application contact the Grant Manager.
SECTION 1 - Applicant Information
Identifies the applicant entity and its designated point of contact, and ability to
commit to minimum requirements.
SECTION 2 - Project Summary
A brief summary of the project purpose, budget, and discussion about program
income and the disposition of equipment at end of project.
SECTION 3 - Technical Feasibility
A discussion of the equipment and processes to be used to create fish oil.
SECTION 4 - Development and Operations Plan/Module Deployment Scenario and
Schedule
Provided a detailed discussion of your plan from equipment development through
implementation.
SECTION 5 - Economic Feasibility/Fish Oil Utilization
Discuss the economic benefits to the grantee and communities involved, potential
cost benefits, and estimated value of fish oil produced. The estimated value of fish
oil may be in terms of the value of diesel displaced, as feedstock to some further
manufacturing process, or some other suitable method.
SECTION 6 - Detailed Project Budget
Provide a detailed budget for each anticipated phase of the project.
SECTION 7 - Qualifications and Experience
Provide résumé’s and other information for key individuals, participants, and
suppliers.
SECTION 8 - Additional Documentation and Certification
Provide the additional information and certifications as requested.
A. Governing Body Resolution
B. Proprietary or Confidential Information
C. Certification
4. Evaluation Criteria and Process
4.1 Minimum Requirements
All applications will be initially reviewed to evaluate if they fulfill the following minimum
requirements:
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a. Applications must be from a qualifying entity.
b. Applications must include proof of formal approval and endorsement for the project
by its board of directors, executive management, or other governing authority.
c. Applications must have been received by the deadline for receipt.
d. Applications must be in the required format.
e. Applications must include at least two operating locations to demonstrate portability.
Applications that do not demonstrate meeting these requirements will be rejected without further
review.
4.2 Evaluation Committee
All applications that meet the minimum requirements will be reviewed and evaluated (scored) by
a committee on the basis of the evaluation criteria set forth in this section. The Evaluation
Committee will consist of at least three representatives of AEA.
The Evaluation Committee may request outside assistance as needed during the evaluation
process to review or provide recommendations of specific aspects of an application.
4.3 Evaluation Guidelines
Applications will be opened and evaluated in a manner which avoids disclosure of the contents
prior to selection of grantees for award.
Evaluators may discuss factual knowledge of, and may investigate applicants’ and proposed
subcontractors’ or suppliers’ prior work experience and performance, including projects
referenced in applications, available written evaluations, listed references or other persons
knowledgeable of a applicant’s and/or other participants past performance. Factors such as
overall experience relative to the proposed plan, quality of work, control of cost, and ability to
meet schedules may be addressed.
All decisions of the Evaluation Committee will be documented in writing and made a part of the
grant file.
4.4 Evaluation and Weighting Criteria
AEA wants to select and support a viable project with a high probability for successful
construction and operation. To that end applications must be complete and include all the
information requested. Applications that are missing information or are unclear may be scored
lower.
Evaluators will score and rank applications according to the following criteria and weights:
Technical Feasibility (25 Points)
At a minimum this criteria will be evaluated against the following questions:
Are the technical aspects of the project well thought out? Have they identified the
manufacturer(s) and equipment they are proposing to use for the project or provided a
reasonable set of equipment specifications from which to develop the modules? Are the
technical specifications complete? Have they included any technical literature from equipment
manufacturer(s) they intend to work with? Does the equipment proposed appear to be able to
do what is planned for it? How has the applicant addressed portability? How simple will it be to
transport the modules between multiple locations? Is the design uniquely suited to this specific
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application or can it be used in other similar applications? Can you adequately tell how the
modules will work and is it a good fit for the project they are proposing?
Development and Operating Plan/Module Deployment Scenario & Schedule (25 points)
At a minimum this criteria will be evaluated against the following questions:
Is the development schedule realistic? Do they show the right people being involved in various
aspects of the project? Is the applicant’s operations plan feasible based on the fisheries they
intend to use for their source materials and their development plans? Are their methods for
calculating the amount of fish waste to be processed and proposed amount of fish oil produced
well documented and sound? Do they meet or exceed the requirement for 50% deployment in
Alaska? How does the total use compare with other proposals? Did they adequately address
any potential permit issues? Does it appear that they have sufficient resources to complete the
project as planned? Is the operations schedule realistic? Based on the proposed schedule is
there a good justification for requesting EPA to extend the grant period?
Economic Feasibility/Fish Oil Utilization (10)
At a minimum this criteria will be evaluated against the following questions:
Does the plan provide an economic benefit to the communities where it will be operating? Does
the proposed plan have the potential for positive cost benefit? How does the value of one plan
compare to other applications? What’s the likelihood of the economic success of the project?
Fuel Displacement (10 points maximum)
Fuel displacement will be evaluated based on the total volume of diesel that is anticipated to be
displaced from all locations during a typical operating year. The evaluators may normalize the
volumes based on manufacturers’ specifications for similar equipment that may be offered by
competing grantees.
Qualifications and Experience (30 points maximum)
At a minimum this criteria will be evaluated against the following questions:
Is the applicant experienced in the seafood processing industry? Does the applicant have
experience and understanding of the difficulties of operating in Alaska? Does the applicant have
experience processing fish waste for fish oil? Is the applicant planning to utilize the fish oil in a
manner by which they are familiar? Does the project management staff have experience in
development and execution of successful projects? What level of experience do suppliers,
consultants or other team members bring to the project?
4.5 Evaluation Committee Recommendation Options
The Evaluation Committee may recommend an Applicant for a grant based on the initial review
and evaluation of all applications. They may request additional information through interviews or
discussions from applicants to assure award to the best applicant, or recommend all
applications be rejected.
Re-evaluation of applications after interviews or discussions, if held, will be conducted by the
same Evaluation Committee using the same criteria and weights laid out in this section.
4.6 Recommendation to the Executive Director
Upon completion of the review by the Evaluation Committee, the Grant Manager will provide a
summary of the evaluation process with a recommendation to the Executive Director. The
recommendation may be to proceed with award to the highest ranked applicant or to
recommend no award. The Executive Director may approve or reject the evaluation
committee’s recommendation as proposed.
AEA 08-013 Grant Application Page 1 of 8 10/11/07
ATTACHMENT A – GRANT APPLICATION
DEVELOPMENT AND DEMONSTRATION OF MOBILE
FISH OIL PROCESSING MODULE
SECTION 1 – APPLICANT
Name (Name of firm, organization, corporation or community submitting proposal)
Mailing Address
Physical Address
Telephone
Fax
Website
Duns and Bradstreet Number ____________________
To find if your organization already has a DUNS number or to obtain a DUNS number, contact Dun &
Bradstreet at telephone number (866)705-5711, or visit their website at www.dnb.com to sign up. This
will take about 10 minutes and is free of charge. Have the following information ready when you call:
Name of government, business, or other type of entity; Address; Local phone number; Name of the
chief executive; Legal structure of the business (government, corporation, partnership, proprietorship);
Year entity started; Primary line of business; and Total number of full and part time employees.
APPLICANT POINT OF CONTACT
Name
Title
Mailing Address
Telephone
Fax
Email
AEA 08-013 Grant Application Page 2 of 8 10/11/07
APPLICANT MINIMUM REQUIREMENTS
Please check as appropriate. Failure to meet the minimum requirements will result in your
application being rejected.
1. As an applicant, we are:
____Commercial seafood processor operating in or near Alaska waters with shore-based,
at-sea, and/or barge facilities.
____An Alaska community, community/regional organization, utility, processing group, CDQ
group, or regional fishing or marketing association within which seafood processing occurs.
____A collaborative grouping or partnership of the above entities, existing or formed to
respond to this RFA.
2. Y/N Attached to this application is formal approval and endorsement for its project by its
board of directors, executive management, or other governing authority, if a collaborative
grouping a formal approval from each participants governing authority.
3. Y/N The proposed fish oil module project incorporates the following attributes:
a. Operates in Alaska in excess of fifty percent of its operating year during the proposed
demonstration period.
b. Extract fish oil from raw fish waste materials and process to a technical grade purity, with
no more than 0.5 percent water and solids or better, by weight. This is a minimum
requirement, processing to more stringent standards would achieve this requirement.
c. Configured to be “portable” in that the system may be readily relocated from one
processing locale to another as a routine matter. How this is accomplished may include
(but is not limited to) installation in one or more freight containers, installation on a small
barge or self-propelled vessel, or by some other method that fulfills the portability
requirement above.
4. Y/N As an applicant, we have administrative and financial management systems and follow
procurement standards that comply with the standards set forth in 40 CFR Part 31.20 and 40
CFR Part 31.36.
5. Y/N If awarded the grant we can comply with all terms and conditions of the attached grant
form.
6. Y/N As an applicant, we are committing to pay at least $90,000 of total project cost to the
project and any cost over the amount of Federal and State funds available for the project
AEA 08-013 Grant Application Page 3 of 8 10/11/07
SECTION 2 – PROJECT SUMMARY
Provide a brief overview of your project and how you would intend to meet the specific
requirements related to program income and what you would propose to do with the equipment
upon completion of the grant.
A. PURPOSE OF PROJECT
Describe the purpose of the proposed project in the context of the proposer’s business and/or primary
activities. Include intended goals and benefits.
B. PROJECT BUDGET
Briefly discuss your anticipated sources of funds and the nature and source of contributions to the project.
C. PROGRAM INCOME
Describe how program income would be handled in light of the constraints in 40 CFR Part 31.25.
D. MODULE DISPOSITION UPON COMPLETION OF PROGRAM
Describe how all equipment acquired with grant money would be disposed of in light of the constraints in
40 CFR Part 31.32(e).
SECTION 3 – TECHNICAL FEASIBILITY
The application must include a detailed description of the proposed module process component-
by-component. Including anticipated throughput in terms of pounds per hour of fish waste (as-
received) accepted, fish oil (gross) produced, and solids (pounds) and waste water (gallons)
discharged per hour.
The module must be “portable” in that it must be capable of being readily relocated from one site
to another.
Include estimated utility or service requirements of the module including electricity demand
(peak) and thermal requirements.
A. DESCRIBE MODULE PROCESSING CAPACITY AND CAPABILITIES
Describe the proposed processing module, including its expected capacity (in lbs. of fish waste processed
and fish oil produced per hour). Describe how its energy requirements (electric and thermal) will be met
while operating. Attach the manufactures specification work sheet as needed.
B. DESCRIBE PROVISIONS MADE AND METHODS UTILIZED TO ACHIEVE MODULE
TRANSPORTABILITY
Describe how the proposed module may be transported from site to site, the packaging of its major
components, and expected transportation modes. Estimate the shipping weight and overall dimensions
of each separately transported component of the processing module.
AEA 08-013 Grant Application Page 4 of 8 10/11/07
C. DESCRIBE PROCESS FROM RECEIPT OF FISH WASTES THROUGH PROCESSING TO
FISH OIL PRODUCTION
Provide a written or schematic description showing the flow of fish waste, major components, path of fish
oil production, and discharge of processing residuals.
SECTION 4 – DEVELOPMENT AND OPERATIONS PLAN/MODULE DEPLOYMENT
SCENARIO AND SCHEDULE
The project must be credible and reasonably employed in the Alaska seafood
processing industry.
The module must be deployed to multiple sites within a community, a region, or within
the state of Alaska. Deployment at sites outside of Alaska is acceptable but out-of-state
operation (exclusive of idle periods) must total less than 50 percent of a year’s total use.
For each proposed site at which the module is to be employed list the following:
- The proposed operating location(s) for the module (a minimum of 50% of the module
operations must be within the State of Alaska
- Time operating at each site.
- The anticipated amount of fish waste to be processed.
A. PROVIDE A PLAN AND SCHEDULE FOR ACQUISITION AND DEPLOYMENT OF THE
MODULE.
Describe in sufficient detail how you intend to acquire and mobilize the equipment, how you
intend to measure output and who the participants will be in the operations and testing phase of
the project. Identify critical milestones, permit requirements, any potential problems or issues
you think may arise. Describe the proposed disposition of the solids and/or wastewater
remaining after fish oil recovery, if any. If residuals are to be discharged to public waters, list
the permit number or other authority.
B. PROVIDE A TABULAR LISTING OF THE PROPOSED PROJECT PROCESSING SITES.
A minimum of two processing sites are required so at least one move of the processing module
occurs within the demonstration period.
A. Name the area, region, community, or some other means to identify each site the
proposed processing would occur.
B. State the dates the module would operate at each of the sites. Month and day should
suffice.
C. Amount of fish waste to be processed at the site, in pounds (lbs).
D. Amount of fish oil expected to be produced at the site; in pounds (lbs). Note: fish oil
density is typically 7.6 lbs per gallon.
E. Describe potential uses of fish oil produced, as well as disposition of residual waste. Fish
oil uses might include, but are not limited to; supplementary or displacement fuel for
engines that provide for local transportation or electric generation, displacement fuel for
boilers/heaters, feedstock for production of biodiesel, and use as human or animal feed
products or nutritional derivatives. Discuss logistics related to transporting fish oil and
residual fish waste from processing site to end-use destination.
AEA 08-013 Grant Application Page 5 of 8 10/11/07
A B C D E
Site Location; State Operating Dates Fish Waste Fish Oil Describe Use of Fish Oil and
Disposition of Residuals from to (lbs) (lbs)
SECTION 5 – ECONOMIC FEASIBILITY/FISH OIL UTILIZATION
For each proposed site, discuss the proposed disposition of produced fish oil and any waste
byproducts. Discuss any expected markets for both the oil or any waste byproducts and provide
an estimated value for each site.
At least one site must use some of the produced fish oil to displace diesel either as a
biodiesel feedstock or as raw fish oil blends for engines, boilers, or heaters.
Other favored uses include, but are not limited to, human or animal nutritional or
pharmaceutical feedstock.
If oil or byproducts are to be marketed as a commodity product, discuss packaging and
logistics planning.
A. DESCRIBE PROJECT IMPACTS AND BENEFITS TO PROCESSING SITE
COMMUNITIES
Discuss expected economic impacts on nearby coastal communities. Provide specific
discussion on how much diesel fuel you anticipate will be displaced by location.
B. PROVIDE A SUMMARY TOTAL OF ALL FISH OIL THAT YOU PROPOSE TO PRODUCE
AND AN ESTIMATE OF ITS VALUE
Describe your methods for calculating the number of gallons of fish oil you intend to produce
and how you determined the value. Include discussion of marketing or distribution plans you
have for any of the products you may produce.
C. PROVIDE A BRIEF COST BENEFIT ANALYSIS
Provide a brief cost benefit analysis based on your estimated total cost of development and
operations and your projected useful life of the equipment.
AEA 08-013 Grant Application Page 6 of 8 10/11/07
SECTION 6 – DETAILED PROJECT BUDGET
This is a proposed budget for the project. Include contracted labor, and associated expenses,
in the labor categories. This budget encompasses the development, construction,
commissioning, and operations during the demonstration period.
A- PROJECT MANAGEMENT GRANT LOCAL TOTAL REMARKS
LABOR
LABOR OVERHEAD
EXPENSES
TRAVEL
SUBTOTAL
B- DESIGN & CONSTRUCTION GRANT LOCAL TOTAL REMARKS
EQUIPMENT
LABOR
LABOR OVERHEAD
EXPENSES
TRAVEL
SUBTOTAL
C- TRAINING/COMMISSIONING GRANT LOCAL TOTAL REMARKS
LABOR
LABOR OVERHEAD
EXPENSES
TRAVEL
SUBTOTAL
D- OPERATION/MAINTENANCE GRANT LOCAL TOTAL REMARKS
LABOR
LABOR OVERHEAD
SUPPLIES
EXPENSES
TRAVEL
MODULE TRANSPORT
SUBTOTAL
TOTALS
(Use additional pages or provide on your own spreadsheet as needed.)
AEA 08-013 Grant Application Page 7 of 8 10/11/07
SECTION 7 – QUALIFICATIONS AND EXPERIENCE
A. DESCRIPTION OF COMPANY, MAJOR SUBCONTRACTORS. SUPPLIERS AND KEY
STAFF
Provide a brief discussion of your organization including key staff and resumes, and any
proposed subcontracts or suppliers, and/or how you intend to find and select the resources you
will use to complete the work under this grant.
B. DESCRIPTION OF PREVIOUS PROJECTS THAT THE COMPANY,
SUBCONTRACTORS, OR KEY STAFF HAVE COMPLETED
List and describe briefly the most significant projects that have been performed by the
organization in the past for projects similar to that proposed. If one or more subcontractors are
to be used, include a description of staff and firm qualifications and experience.
AEA 08-013 Grant Application Page 8 of 8 10/11/07
SECTION 8 – ADDITIONAL DOCUMENTATION AND CERTIFICATION
PLEASE ATTACH WITH THIS APPLICATION:
A. GOVERNING BODY RESOLUTION
Enclose a copy of the resolution or other formal action taken by the applicant’s governing body
that:
- authorizes this application for project funding at the match amounts indicated in the
application.
- authorizes the individual named as point of contact to represent the applicant for
purposes of this application.
- states the applicant is in compliance with all federal state, and local, laws including
existing credit and federal tax obligations.
B. PROPRIETARY OR CONFIDENTIAL INFORMATION
Enclose proprietary or confidential information that you want AEA to consider in awarding this
grant. AEA will not release this information to the public.
C. CERTIFICATION
The undersigned hereby certifies that the applicant is and will continue to comply with:
- All federal and state laws, including existing credit and federal tax obligations.
- Applicable portions of the Federal Civil Rights Act of 1964.
- Equal Opportunity Act, Americans with Disability Act, and regulations issued thereunder
by the federal government.
- All terms and conditions set out in the Request for Applications.
Print Name
Signature
Title
Date
STANDARD GRANT AGREEMENT FORM
1. Fed Grant Number
2. AEA Grant Number
AEA 08-013
3. PO Number
4. PR Number
5. Project Name
6. This Grant agreement is between the Alaska Energy Authority, hereafter, the “Authority”, and
7. , hereafter, the Grantee
Mailing Address
8. ARTICLE 1. Appendices: Appendices referred to in this agreement and attached to it are considered part of it.
ARTICLE 2. Performance of Services:
2.1 Appendix A (General Provisions), Articles 1 through 31, governs the performance of services under this
agreement. Appendix A1 Includes federal assurances and other federal documents.
2.2 Appendix B sets forth the scope and schedule of work to be preformed by the Grantee.
2.3 Appendix C sets forth the project management and financial and program/project progress reports that
must be supplied to the Authority.
2.4 Appendix D sets forth the budget, the reimbursement schedule for the disbursement of funds to the
Grantee, and other financial requirements or conditions.
ARTICLE 3. Period of Performance: The period of performance this grant begins , and ends .
ARTICLE 4. Reimbursement:
4.1 In full consideration of the Grantee’s performance under this agreement, the Authority shall reimburse the
Grantee a total not to exceed $ . In accordance with the provisions of Appendix D.
4.2 When requesting grant funds, Grantee shall request funds on organization letterhead and send the
request to the address below:
9.
Alaska Energy Authority
813 West Northern Lights Blvd
Anchorage, AK 99503
10. GRANTEE
12. CERTIFICATION:
Name of Grantee
I certify that the facts herein and on supporting documents are
correct, that this voucher constitutes a legal charge against
funds and appropriations cited, that sufficient funds
Signature of Authorized
Representative
Date
are encumbered to pay this obligation or that there is a
sufficient balance in the appropriation cited to cover this
obligation.
Typed of Printed Name of Authorized Representative
11. GRANTING AGENCY
Alaska Energy Authority
Accounting Review
Date
Grant Manager Signature Date
Signature for the Authority Date
Typed or Printed Name and Title
Typed or Printed Name and Title
EPA Grant Sample Page 2 of 17 10/11/07
AEA Grant # XX-XXX
Table of Contents
EPA Grant XXX,XXX
AEA Grant # 08-013
STANDARD GRANT AGREEMENT FORM .......................................................................................................... 1
APPENDIX A STANDARD PROVISIONS ............................................................................................................. 4
A.1. DEFINITION. .................................................................................................................................................... 4
A.2. AUTHORITY SAVED HARMLESS. .................................................................................................................. 4
A.3. INSPECTIONS AND RETENTION OF RECORDS. ............................................................................................. 4
A.4. DISPUTES. ........................................................................................................................................................ 4
A.5. EQUAL EMPLOYMENT OPPORTUNITY (EEO). ............................................................................................. 5
A.6. TERMINATION. ................................................................................................................................................ 5
A.7. NO ASSIGNMENT OF DELEGATION. .............................................................................................................. 5
A.8. NO ADDITIONAL WORK OR MATERIAL. ...................................................................................................... 5
A.9. INDEPENDENT GRANTEE. .............................................................................................................................. 5
A.10. PAYMENT OF TAXES. ................................................................................................................................... 5
A.11. INSURANCE. .................................................................................................................................................. 6
A.11.1. Workers’ Compensation Insurance. ....................................................................................................... 6
A.11.2. Commercial General Liability Insurance. .............................................................................................. 6
A.11.3. Automobile Liability Insurance. ............................................................................................................. 6
A.12. BUDGET FLEXIBILITY. ................................................................................................................................. 6
A.13. GOVERNING LAW. ........................................................................................................................................ 7
A.14. OFFICIALS NOT TO BENEFIT. ...................................................................................................................... 7
A.15. COVENANT AGAINST CONTINGENT FEES. ................................................................................................. 7
A.16. CHANGES. ...................................................................................................................................................... 7
A.17. PUBLIC PURPOSES. ....................................................................................................................................... 7
A.18. SITE CONTROL. ............................................................................................................................................. 7
A.19. OPERATION AND MAINTENANCE. .............................................................................................................. 8
A.20. ASSURANCE. ................................................................................................................................................. 8
A.21. REMISSION. ................................................................................................................................................... 8
A.22. REPORTING REQUIREMENTS. ...................................................................................................................... 8
A.23. RIGHT TO WITHHOLD FUNDS. .................................................................................................................... 8
A.24. LOBBYING ACTIVITIES. ............................................................................................................................... 8
A.25. AUDITS. ......................................................................................................................................................... 8
A.26. USE OF EQUIPMENT AND FACILITIES. ....................................................................................................... 8
A.27. FINANCIAL MANAGEMENT AND ACCOUNTING. ....................................................................................... 8
A.28. TERMINATION DUE TO LACK OF FUNDING. ............................................................................................. 8
A.29. OWNERSHIP OF DOCUMENTS AND PRODUCTS. ........................................................................................ 9
A.30. DISPOSITION OF EQUIPMENT. ..................................................................................................................... 9
A.31. SUPPLEMENTAL PROVISIONS (FEDERAL ASSURANCES). ...................................................................... 10
APPENDIX B PROJECT PLAN ............................................................................................................................. 12
B.1. STATEMENT OF PROJECT OBJECTIVES....................................................................................................... 12
B.2. SCOPE OF WORK. ......................................................................................................................................... 12
B.3. TASKS. ........................................................................................................................................................... 12
B.4. DELIVERABLES. ............................................................................................................................................ 12
B.4.1. Monthly Reports. .................................................................................................................................... 12
B.4.2. Final Report. ........................................................................................................................................... 12
B.5. SCHEDULE ..................................................................................................................................................... 12
APPENDIX C PROJECT MANAGEMENT AND REPORTING REQUIREMENTS ..................................... 13
C.1. PROJECT MANAGEMENT. ............................................................................................................................. 13
C.1.1 Contact Persons. ..................................................................................................................................... 13
C.2. REPORTING REQUIREMENTS. ...................................................................................................................... 13
C.2.1. Monthly Reports. .................................................................................................................................... 13
C.2.2. Quarterly progress and financial reports. .............................................................................................. 13
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AEA Grant # XX-XXX
C.3. DOCUMENTATION AND RECORD-KEEPING. .............................................................................................. 14
APPENDIX D PROJECT BUDGET....................................................................................................................... 15
D.1. ELIGIBLE COSTS. .......................................................................................................................................... 15
D.2. BUDGET SUMMARY BY TASK. .................................................................................................................... 15
D.3. PROJECTED CASH FLOW. ............................................................................................................................. 15
D.4. ACCOUNTING. ............................................................................................................................................... 15
D.5. REIMBURSEMENT REQUESTS...................................................................................................................... 15
D.6. VARIATIONS BETWEEN REIMBURSEMENT REQUESTS AND BUDGET. ................................................... 15
D.7. INTERIM REIMBURSEMENT. ........................................................................................................................ 16
D.8. DISPOSITION OF EQUIPMENT UPON COMPLETION OF GRANT PROJECT. ............................................... 16
APPENDIX E BUDGET SUMMARY AND REIMBURSEMENT REQUEST DOCUMENT ......................... 17
% ............................................................................................................................................................................. 17
REIMBURSED ......................................................................................................................................................... 17
% ............................................................................................................................................................................. 17
REIMBURSED ......................................................................................................................................................... 17
REIMBURSEMENT TOTAL SUMMARY ................................................................................................................. 17
GRANTEE CERTIFICATION ................................................................................................................................... 17
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AEA Grant # XX-XXX
APPENDIX A STANDARD PROVISIONS
A.1. Definition.
In this Grant Agreement, attachments and amendments,
“Authority” refers to the Alaska Energy Authority (AEA) a public corporation of the State of
Alaska.
“Authorized Signature” means the person who has the authority to sign this grant agreement
and other legally binding forms related to the grant on behalf of the Grantee and the Authority.
For the Authority, the Authorized Signature is the Executive Director or his designee.
In this grant and appendices, “Grant Manager” refers to the AEA Project Manager or other AEA
staff assigned to manage the project and administer the grant. The Grant Manager is the
primary contact between the Authority and the Grantee.
“Procurement Manager” means that person who is delegated authority on behalf of Executive
Director of the Authority to resolve disputes and claims and take other actions as defined in this
grant on behalf of the Authority.
A.2. Authority Saved Harmless.
As a condition of this Grant, the Grantee agrees to defend, indemnify, and hold harmless the
Authority and the State of Alaska, and their agents, servants, contractors, and employees, from
and against any and all claims, demands, causes of action, actions, and liabilities arising out of,
or in any way connected with this grant or the project for which the grant is made, howsoever
caused, except to the extent that such claims, demands, causes of action, actions or liabilities
are the proximate result of the sole negligence or willful misconduct of the Authority or the State
of Alaska.
A.3. Inspections and Retention of Records.
The Grantee shall keep a file for financial, progress, and other records relating to the
performance of the grant agreement. The file must be retained for a period of three years from
the fully executed close out of the grant agreement or until final resolution of any audit findings,
claim, or litigation related to the grant. The Authority may inspect, in the manner and at times it
considers reasonably appropriate, all of the Grantee’s facilities, records and activities under this
Grant Agreement.
A.4. Disputes.
Any dispute concerning a question of fact arising under this Grant Agreement, which is not
disposed of by mutual agreement, shall be decided without bias by the Procurement Manager.
The decision shall be in writing and mailed or otherwise furnished to the Grantee. The
decisions of the Procurement Manager are final and conclusive, unless, within 30 days from the
date of receipt of the decision, the Grantee mails or otherwise furnishes a written appeal
addressed to the Executive Director of the Authority. The Appeal will be handled in accordance
with 3 AAC 108.910.
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AEA Grant # XX-XXX
A.5. Equal Employment Opportunity (EEO).
The Grantee may not discriminate against any employee or applicant for employment because
of race, religion, color, national origin, age, physical handicap, sex, marital status, changes in
marital status, pregnancy, or parenthood. The Grantee shall post in a conspicuous place,
available to employees and applicants for employment, a notice setting out the provisions of
this paragraph.
The Grantee shall state, in all solicitations or advertisements for employees to work on Authority
funded projects, that it is an Equal Opportunity Employer (EEO) and that all qualified
applications will receive consideration for employment without regard to race, religion, color,
national origin, age, physical handicap, sex, marital status, changes in marital status,
pregnancy or parenthood.
The Grantee shall include the provisions of the EEO article in every contract relating to this
Grant Agreement and shall require the inclusion of these provisions in every agreement entered
into by any of its contractors, so that those provisions will be binding upon each contractor and
subcontractor.
A.6. Termination.
The Procurement Manager, by written notice, may terminate this Grant Agreement, in whole or
in part, when it is in the best interest of the Authority. The Authority is liable only for payment in
accordance with the provisions of this Grant Agreement for services rendered before the
effective date of termination.
A.7. No Assignment of Delegation.
The Grantee may not assign or delegate this Grant Agreement, or any part of it, or any right to
any of the money to be paid under it, except with the written consent of the Procurement
Manager.
A.8. No Additional Work or Material.
No claims will be allowed for services, not specifically provided for in this Grant Agreement,
which are performed or furnished by the Grantee.
A.9. Independent Grantee.
The Grantee and any agents and employees of the Grantee act in an independent capacity and
are not officers or employees or agents of the Authority in the performance of this Grant
Agreement.
A.10. Payment of Taxes.
As a condition of this Grant Agreement, the Grantee shall pay all Federal, Authority and Local
taxes incurred by the Grantee and shall require their payment by any contractor or any other
persons in the performance of this Grant Agreement.
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AEA Grant # XX-XXX
A.11. Insurance.
Without limiting the Grantee’s indemnification of AEA, it is agreed that the Grantee shall provide
and maintain in force at all times during the performance of services under this Agreement the
policies of insurance specified in the following subsections to this section against injury to
persons or property suffered by AEA or third persons during work on the Project, and such
costs shall be allowed as an eligible separate cost for reimbursement. Where specific limits are
shown, it is understood that they shall be the minimum acceptable limits. If the grantee’s policy
contains higher limits, AEA shall be entitled to coverage to the extent of such higher limits.
Evidence of insurance must be furnished to AEA within thirty (30) days after award of the grant
and must provide for a thirty (30)-day prior notice of cancellation, non-renewal or material
change. Failure to furnish satisfactory evidence of insurance of lapse of the policy is a material
breach and grounds for termination of the Grant.
A.11.1. Workers’ Compensation Insurance.
The Grantee shall provide and maintain for all employees of the Grantee engaged in
work under this Agreement Workers’ Compensation Insurance as required by AS
23.30.045. The Grantee shall require that subcontractors that provide services on the
Project carry Workers’ Compensation Insurance. This coverage must include the
following:
(i) Waiver of subrogation against the Authority’s and Employer’s Liability
Protection in the amount of $500,000 per occurrence.
(ii) If the grantee directly utilizes labor outside of the State of Alaska in work
under this Agreement, an “Other States” endorsement shall be required
as a condition of this Agreement.
(iii) Whenever the work involves activity on or about navigable waters, the
Workers’ Compensation policy shall contain a United States
Longshoreman’s and Harbor Worker’s Act endorsement, and when
appropriate, a Maritime Employer’s Liability (Jones Act) endorsement with
a minimum limit of $1,000,000.
A.11.2. Commercial General Liability Insurance.
The Grantee shall provide and maintain commercial general liability insurance with
coverage limits of not less than $1,000,000 combined single limit per occurrence and
$5,000,000 aggregates where generally applicable. This insurance shall include
premises-operations, independent contractors, products/completed operations, broad
form property damage, blanket contractual and personal injury endorsements. AEA
shall be named as “Additional Insured” under all of the foregoing liability coverages.
A.11.3. Automobile Liability Insurance.
The Grantee shall maintain and provide automobile liability insurance for all vehicles
used by it in the performance of services under this Agreement, with coverage limits of
not less than $1,000,000 per person/$2,000,000 per occurrence for personal injury and
$100,000 for property damage.
A.12. Budget Flexibility.
Notwithstanding the provisions of Article 18, Appendix A, “Changes”, the Grantee may revise
the project budget in Attachment D without a formal amendment to this agreement. Such
revisions are limited to a maximum of 10% (percent) of the total amount of this agreement or
$150,000, whichever is less, over the entire term of this agreement. Such budget revisions
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AEA Grant # XX-XXX
shall be limited to changes to existing budget line items and the creation of new budget line
items which are within the scope of the project. Budget revisions may not be used to increase
any budget item for project administrative expenses.
Changes to the budget beyond the limits authorized by this provision may only be made by a
formal amendment to this Grant Agreement.
A.13. Governing Law.
The Grantee is required to comply with the pass through requirements of the EPA Grant EM
83323301-0 specifically applicable regulatory provisions of 40 CFR Chapter 1, Subchapter B,
and all other applicable terms of this agreement.
The Grantee shall perform all aspects of this project in compliance with all appropriate laws and
regulations. It is the responsibility of the Grantee to ensure that all permits required for the
construction and operation of this project by the Federal, Authority or Local governments are
obtained.
Any civil action arising from this Agreement shall be brought in the Superior Court for the Third
Judicial District of the State of Alaska at Anchorage.
A.14. Officials Not To Benefit.
No member of or delegate to Congress or the Legislature, or officials or employees of the
Authority or Federal government may share any part of this agreement or any benefit to arise
from it.
A.15. Covenant Against Contingent Fees.
The Grantee warrants that no person or agency has been employed or retained to solicit or
secure this Grant Agreement upon an agreement or understanding for a commission,
percentage, contingent fee, or brokerage except employees or agencies maintained by the
Grantee for the purpose of securing business. For the breach or violation of this warranty, the
Authority may terminate this Grant Agreement without liability or in its discretion, deduct from
the Grant Agreement price or consideration the full amount of the commission, percentage,
brokerage, or contingent fee.
A.16. Changes.
Any changes which have been agreed to by both parties will be attached and made a part of
this Grant Agreement by use of an Amendment. Any such Amendment must be dated and
must be signed by both parties before the change is considered official and approved.
A.17. Public Purposes.
The Grantee agrees that the project to which this Grant Agreement relates shall be dedicated to
public purposes for its useful life. The benefits of the project shall be made available without
regard to race, religion, color, national origin, age, physical handicap, sex, marital status,
changes in marital status, pregnancy or parenthood.
A.18. Site Control.
If the grant project involves the occupancy and use of real property, the Grantee assures that it
has the legal right to occupy and use such real property for the purposes of the grant, and
further that there is legal access to such property.
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AEA Grant # XX-XXX
A.19. Operation And Maintenance.
Throughout the useful life of the project, the Grantee shall be responsible for the operation and
maintenance of any facility, equipment, or other items acquired under this grant.
A.20. Assurance.
The Grantee shall spend monies appropriated under this grant only for the purposes specified
in the Grant Agreement.
A.21. Remission.
The Grantee shall return all unexpended grant monies to the Authority within 90 days of the
project completion.
A.22. Reporting Requirements.
The Grantee shall submit progress reports to the Authority according to the schedule
established in Appendix C of this Grant Agreement.
A.23. Right To Withhold Funds.
The Authority may withhold payments under this Grant Agreement for any violation of the
provisions of this Grant Agreement.
A.24. Lobbying Activities.
In accepting these funds, the Grantee agrees and assures that none of the funds will be used
for the purpose of lobbying activities before the Alaska Legislature. No portion of these funds
may be used for lobbying and propaganda purposes as prohibited in USC Section 1913 or
Section 607(a) of Public Law 96-74.
A.25. Audits.
This Grant Agreement is subject to 2 ACC 45.010 State of Alaska single audit regulations for
State Grants. The Grantee must comply with all provisions of 2ACC 45.010 and any additional
audit requirements outline in Appendix D. The audit must also comply with appropriate
provisions of A-133.
A.26. Use Of Equipment And Facilities.
The Grantee is required to operate the equipment and facilities defined in Appendix B of this
agreement for the agreed upon purpose for the period of time designated. In the event that the
Grantee is no longer operating the facilities or equipment for the intended purposes the Grantee
will reimburse the Authority for an agreed upon sum based on the total contribution of the
Authority, the value of the assets, and the terms and conditions of this agreement. The
Authority may require that the assets acquired under this agreement be sold and the proceeds
will be returned to the Authority.
A.27. Financial Management And Accounting.
The Grantee shall establish and maintain a financial management and accounting system that
conforms to generally accepted accounting principles.
A.28. Termination Due To Lack Of Funding.
In the event funding from the Authority, federal or other sources is withdrawn, reduced, or
limited in any way after the effective date of this agreement and prior to normal completion, the
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AEA Grant # XX-XXX
Authority may terminate the agreement, reduce funding, or re-negotiate subject to those new
funding conditions.
A.29. Ownership Of Documents And Products.
All designs, drawing, specifications, notes, artwork, computer programs, reports and other work
developed with grant funds in the performance of this agreement are public domain and may be
used by the Authority and/or public without notice or compensation to the Grantee. The
Grantee agrees not to assert any rights and not to establish any claim under the design patent
or copyright laws.
A.30. Disposition Of Equipment.
Equipment purchased in part or wholly with federal funds shall be used by the Grantee in the
project for which it was acquired as long as needed, whether or not the project or program
continues to be supported by federal funds. When no longer needed for the original program or
project, the equipment may be used in other activities currently or previously supported by a
Federal agency. The Grantee will not use the equipment to provide services for a fee.
The Grantee shall be responsible for the operation and maintenance of equipment acquired
with this grant. The Grantee must keep records which will include a description, serial number,
source and title, cost and percentage of federal participation in cost, location, use and
condition, and sale price and date of disposal.
Disposition of equipment with a current per-unit fair market value of less than $5,000 may be
retained, sold or otherwise disposed of with no further obligation.
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AEA Grant # XX-XXX
A.31. Supplemental Provisions (Federal Assurances).
OMB Approval No. 0348-0040 ASSURANCES - NON-CONSTRUCTION PROGRAMS
NOTE: Certain of these assurances may not be applicable to your project or program. If you have
questions, please contact the awarding agency. Further, certain Federal awarding agencies may require
applicants to certify to additional assurances. If such is the case, you will be notified.
By acceptance of this grant the sub-recipient, certifies that it:
1. Has the legal authority to apply for Federal
assistance and the institutional, managerial and
financial capability (including funds sufficient to
pay the non-Federal share of project cost) to
ensure proper planning, management and
completion of the project described in this grant.
2. Will give the awarding agency, the Comptroller
General of the United States and, the Alaska
Energy Authority, through any authorized
representative, access to and the right to examine
all records, books, papers, or documents related
to the award; and will establish a proper
accounting system in accordance with generally
accepted accounting standards or agency
directives.
3. Will establish safeguards to prohibit employees
from using their positions for a purpose that
constitutes or presents the appearance of
personal or organizational conflict of interest, or
personal gain.
4. Will establish safeguards to prohibit employees
from using their positions for a purpose that
constitutes or presents the appearance of
personal or organizational conflict of interest, or
personal gain.
5. Will comply with the Intergovernmental
Personnel Act of 1970 (42 U.S.C. 4728-4763)
relating to prescribed standards for merit systems
for programs funded under one of the 19 statutes
or regulations specified in Appendix A of OPM’s
Standards for a Merit System of Personnel
Administration (5 C.F.R. 900, Subpart F).
6. Will comply with all Federal statutes relating to
nondiscrimination. These include but are not limited to: (a)
Title VI of the Civil Rights Act of 1964 (P.L. 88-352) which
prohibits discrimination on the basis of race, color or
national origin; (b) Title IX of the Education Amendments of
1972, as amended (20 U.S.C. 1681-1683, and 1685-1686),
which prohibits discrimination on the basis of sex; (c)
Section 504 of the Rehabilitation Act of 1973, as amended
(29 U.S.C. 794), which prohibits discrimination on the basis
of handicaps; (d) the Age Discrimination Act of 1975, as
amended (42 U.S.C. 6101-6107), which prohibits
discrimination of the basis of age; (e) the Drug Abuse
Office and Treatment Act of 1972 (P.L. 92-255), as
amended, relating to nondiscrimination on the basis of drug
abuse; (f) the Comprehensive Alcohol Abuse and
Alcoholism Prevention, Treatment and Rehabilitation Act of
1970 (P.L. 91-616), as amended, relating to
nondiscrimination on the basis of alcohol abuse or
alcoholism; (g) 523 and 527 of the Public Health Service
Act of 1912 (42 U.S.C. 290 dd-3 and 290 ee-3), as
amended, relating to confidentiality of alcohol and drug
abuse patient records; (h) Title VII of the Civil Rights Act of
1968 (42 U.S.C. 3601 et seq.), as amended, relating to
nondiscrimination in the sale, rental or financing of
housing; (I) any other nondiscrimination provisions in the
specific statute(s) under which application for Federal
assistance is being made; and (j) the requirements of any
other nondiscrimination statute(s) which may apply to the
application.
7. Will comply, or has already complied, with the
requirements of Titles II and III of the Uniform Relocation
Assistance and Real Property Acquisition Policies Act of
1970 (P.L. 91-646) which provide for fair and equitable
treatment of persons displaced or whose property is
acquired as a result of Federal or federally-assisted
programs. These requirements apply to all interests in real
property acquired for project purposes regardless of
Federal participation in purchases.
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8. Will comply, as applicable, with provisions of
the Hatch Act (5 U.S.C. 1501-1508 and 7324-
7328) which limit the political activities of
employees whose principal employment activities
are funded in whole or in part with Federal funds.
9. Will comply, as applicable, with the provisions
of the Davis-Bacon Act (40 U.S.C. 276a to 276a-
7), the Copeland Act (40 U.S.C. 276c and 18
U.S.C. 874), and the Contract Work Hours and
Safety Standards Act (40 U.S.C. 327-333),
regarding labor standards for federally-assisted
construction sub-agreement.
10. Will comply, if applicable, with flood insurance
purchase requirements of Section 102(a) of the
Flood Disaster Protection Act of 1973 (P.L. 93-
234) which requires recipients in a special flood
hazard area to participate in the program and to
purchase flood insurance if the total cost of
insurable construction and acquisition is $10,000
or more.
11. Will comply with environmental standards
which may be prescribed pursuant to the
following: (a) institution of environmental quality
control measures under the National
Environmental Policy Act of 1969 (P.L. 91-190)
and Executive Order (EO) 11514; (b) notification
of violating facilities pursuant to EO 11738; (c)
protection of wetlands pursuant to EO 11990; (d)
evaluation of flood hazards in flood plains in
accordance with EO 11988; (e) assurance of
project consistency with the approved State
management program developed under the
Coastal Zone Management Act of 1972 (16
U.S.C. 1451 et seq.); (f) conformity of Federal
actions to State (Clean Air) Implementation Plans
under Section 176(c) of the Clean Air Act of 1955,
as amended (42 U.S.C. 7401 et seq.); (g)
protection of underground sources of drinking
water under the Safe Drinking Water Act of 1974,
as amended (P.L. 93-523); and, (h) protection of
endangered species under the Endangered
Species Act of 1973, as amended (P.L. 93-205).
12. Will comply with the Wild and Scenic Rivers Act of
1968 (16 U.S.C. 1271 et seq.) Related to protecting
components or potential components of the national wild
and scenic rivers system.
13. Will assist the awarding agency in assuring
compliance will Section 106 of the National Historic
Preservation Act of 1966, as amended (16 U.S.C. 470),
EO 11593 (identification and protection of historic
properties), and the Archaeological and Historic
Preservation Act of 1974 (16 U.S.C. 469a-1 et seq.).
14. Will comply with P.L. 93-348 regarding the
protection of human subjects involved in research,
development, and related activities supported by this
award of assistance.
15. Will comply with the Laboratory Animal Welfare Act
of 1966 (P.L. 89-544, as amended, 7 U.S.C. 2131 et
seq.) Pertaining to the care, handling, and treatment of
warm blooded animals held for research, teaching, or
other activities supported by this award of assistance.
16. Will comply with the Lead-Based Paint Poisoning
Prevention Act (42 U.S.C. 4801 et seq.) which prohibits
the use of lead-based paint in construction or
rehabilitation of residence structures.
17. Will cause to be performed the required financial
and compliance audits in accordance with the Single
Audit Act Amendments of 1996 and OMB Circular No.
A-133, “Audits of States, Local Governments, and Non-
Profit Organizations.”
18. Will comply with all applicable requirements of all
other Federal laws, executive orders, regulations, and
policies governing this program.
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APPENDIX B PROJECT PLAN
B.1. Statement of Project Objectives.
(To be developed from Grantee’s application)
B.2. Scope Of Work.
B.3. Tasks.
B.4. Deliverables.
B.4.1. Monthly Reports.
Monthly letter reports will be prepared to describe the progress and completion of the project.
B.4.2. Final Report.
The final report will contain an executive summary as well as the peer reviewed Special Reports
along with other salient information. It will be submitted for publication to a journal or
conference of the Sponsor’s selection.
B.5. Schedule
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APPENDIX C PROJECT MANAGEMENT AND REPORTING REQUIREMENTS
C.1. Project Management.
The Grantee will notify AEA immediately of any significant organization changes during the term
of the grant, including changes in key personnel or tax status.
C.1.1 Contact Persons.
Grantee
AEA Grant Manager
Grant Manager
Alaska Energy Authority
813 West Northern Lights
Anchorage, AK 99503
907 269-4688 phone
907 269-3044 fax
C.2. Reporting requirements.
C.2.1. Monthly Reports.
The Grantee agrees to provide monthly status reports by e-mail to the AEA grant manager,
starting the first full month after award of the grant. This report must update the Authority on
project progress, grant expenditures during the reporting period, and include copies of any work
products due.
Monthly reports will summarize, in one or two pages, the progress made on tasks during the
month and identify any difficulties in completing tasks or meeting deadlines.
Fiscal billings may be submitted on a monthly or quarterly basis. Fiscal reports shall be reported
on the enclosed financial reporting form.
C.2.2. Quarterly progress and financial reports.
The Grantee will provide quarterly reports on
or the following business day if the 1st is on a weekend or holiday. The final progress and
financial reports and all deliverables are due XXXXXX. Reports are considered late five (5)
days after the due date. No further payments will be made without submission and approval of
required reports. Work completed after the twenty-day period when required reports have not
been submitted is at the Grantee’s risk, and costs incurred may be disallowed. Repeated failure
to submit reports in a timely manner could result in suspension or termination of the grant.
Final progress, financial report and all deliverables are considered late 45 days after the end of
the fiscal year unless otherwise specified in the work plan or with prior written approval.
Requests for reimbursement received 45 days or more after the completion date of the grant
will not be reimbursed.
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The Grantee is required to immediately report to AEA Grant Manager any unforeseen problem
or project delay that may cause a change to the work plan or budget. Any unreported or
unapproved changes to the work plan or budget evident in reports may result in an amendment
being required, costs disallowed, suspension or termination of the grant as described in
Appendix A.
C.2.3. Special Reports.
Special Reports will be prepared on key topics throughout the project. Examples of Special
Reports include the final test unit equipment design, the experimental plan, the completed
computer model, the experimental results, and the cost estimates. It is anticipated that these
Special Reports will be circulated as drafts and then finalized as chapters of the final report at
the conclusion of the project.
C.2.4. Final Report.
The final report will contain an executive summary as well as the peer reviewed Special Reports
along with other salient information. It will be submitted for publication to a journal or
conference of the Sponsor’s selection.
The report will also include an equipment report listing all equipment acquired with grant funds
worth more than $300 in accordance with CFR Part 40.160-4.
C.3. Documentation and Record-Keeping.
The Grantee shall set up and maintain a file containing the following: grant application, grant
agreement and amendments; all written correspondence; progress reports; documentation for
products indicated in the work plan; financial reports with backup documentation such as
billings, invoices or other records that validate expenditures or match; and any other documents
pertinent to the performance of this grant agreement and completion of the project. Travel
authorizations and time sheets to document personal services time must be kept on file in the
Grantee’s office, in accordance with federal OMB Circular A-87.(2 CFR 225)
The Authority or an authorized federal representative may inspect, in the manner and at any
reasonable time it considers appropriate, the Grantee’s facilities, records or activities under this
grant agreement.
All reports and deliverables required in this agreement must be submitted and reviewed by the
Authority prior to final payment.
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APPENDIX D PROJECT BUDGET
D.1. Eligible Costs.
“Eligible” costs for reimbursement are those costs allowable under 2 CFR 225 (OMB Circular A
87) or 48 CFR 31.2 for Contractors and included in the budget summary in this section of the
grant. If it appears that other costs may be incurred for the project that aren’t identified in the
budget the grantee may request the grant be amended to include those additional costs. An
amendment to the grant would be required prior to any reimbursement being made for eligible
costs that are not included in the budget.
D.2. Budget Summary by Task.
D.3. Projected Cash Flow.
D.4. Accounting.
Project expenditures will be tracked in accordance with an accounting system established by
the grantee and accepted by AEA. The accounting must be detailed and complete so as to
account for all Grant costs, separated by Tasks and category as indicated in the budget and
including subcategories at a reasonably sufficient level of detail acceptable to AEA.
The accounting system used by the Grantee shall be in accordance with generally accepted
accounting principles applied on a consistent basis, and all transactions shall be supported by
records, correspondence, receipts, vouchers, work tickets, invoices, payrolls or other supporting
records sufficient to fully document the nature and substance of each expenditure or
transaction.
D.5. Reimbursement Requests.
The Authority will reimburse the Grantee for eligible costs upon submission of a request for
reimbursement and monthly financial reports containing approved back-up for costs processed
during that month together with adequate supporting documentation. Adequate support
includes, but is not limited to, vendor billings and a labor summary report. The Grantee will use
the invoice document, or a similar format to what is included in Appendix E.
Timesheets and check copies to document proof of payment must be available at the Grantees
office if required for an audit.
If, upon review of the reimbursement requests, AEA discovers errors or omissions in the
request it will notify the grantee within thirty (30) days of receipt. Payment for the portion of
billings for which there is an error or omission may be withheld pending clarification by the
Grantee
D.6. Variations Between Reimbursement Requests and Budget.
Each reimbursement request from the Grantee to AEA shall show the Project Task and Budget
Category line to which it relates, the amounts previously expended on that Budget Category
line, and interim payments made during the period, together with the amount authorized in the
Budget Category line.
If the reimbursement being requested makes the total expended for the Budget Category line
exceed the amount approved for the Budget Category line, but the excess does not also
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exceed the total amount authorized for the Project Task, then the billing will be paid and an
amendment will be issued if appropriate.
D.7. Interim Reimbursement.
The Grantee may submit interim reimbursement requests provided the total of the
reimbursement requested is at least $100,000.00 and the transaction is reported on their
monthly invoice and financial report.
D.8. Disposition of Equipment Upon Completion of Grant Project.
The grantee and AEA acknowledge that the Grantee is interested in negotiating for the
purchase at of the equipment that will be purchased and under this grant. The value of the
equipment will be determined either by an independent review or other objective means
allowable by law and acceptable to the Grantee, AEA, and the EPA.
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APPENDIX E BUDGET SUMMARY AND REIMBURSEMENT REQUEST DOCUMENT
Grant Reimbursement Request
Grant: AEA 08- XXX
Grantee:
Date of Request ________________ Reimbursement Request No. _______________
TASK 1 - (To be determined)
Direct Labor
Rate Estimate
Hours
Budget % Reimbursed
to date
Amount this Request
(name)
Expenses
Travel
Misc. Expenses
Subcontractors
(name)
Sub Total Task 1
$
TASK 1 - (To be determined)
Direct Labor
Rate Estimate
Hours
Budget % Reimbursed
to date
Amount this Request
(name)
Expenses
Travel
Misc. Expenses
Subcontractors
(name)
Sub Total Task 1
$
Reimbursement Total Summary
Task Budget Reimbursed to Date Amount this request
Task #
TOTAL 1.
Grantee Certification
"By signature on this form, the Grantee certifies entries to be true and correct for the work performed in
accordance with the terms and conditions of the Grant. The Grantee further certifies that all applicable
Federal, State and Local taxes incurred by the Grantee in the performance of this grant have been paid
and that all Subcontractors engaged by the Grentee for the services included in any invoice shall be fully
compensated by the Grantee for such services."
Authorized Grantee Signature ______________________________ Date___________
Printed Name and Title ____________________________