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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 Page 2 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) Page 3 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. Page 4 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. Page 5 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. Page 6 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. Page 7 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. Page 8 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. Page 9 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: Page 10 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 Page 11 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 EPA Grant Sample Page 3 of 17 10/11/07 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 EPA Grant Sample Page 4 of 17 10/11/07 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. EPA Grant Sample Page 5 of 17 10/11/07 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. EPA Grant Sample Page 6 of 17 10/11/07 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 EPA Grant Sample Page 7 of 17 10/11/07 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. EPA Grant Sample Page 8 of 17 10/11/07 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 EPA Grant Sample Page 9 of 17 10/11/07 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. EPA Grant Sample Page 10 of 17 10/11/07 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. EPA Grant Sample Page 11 of 17 10/11/07 AEA Grant # XX-XXX 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. EPA Grant Sample Page 12 of 17 10/11/07 AEA Grant # XX-XXX 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 EPA Grant Sample Page 13 of 17 10/11/07 AEA Grant # XX-XXX 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. EPA Grant Sample Page 14 of 17 10/11/07 AEA Grant # XX-XXX 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. EPA Grant Sample Page 15 of 17 10/11/07 AEA Grant # XX-XXX 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 EPA Grant Sample Page 16 of 17 10/11/07 AEA Grant # XX-XXX 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. EPA Grant Sample Page 17 of 17 10/11/07 AEA Grant # XX-XXX 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 ____________________________