HomeMy WebLinkAboutAEA-Sample REF Grant Agreement Template
Alaska Energy Authority
Grant Agreement
Grant Agreement Number
Award_Funders_Reference_N
o
CFDA Number
Award_CFDA
Amount of Funds:
$ Total_Proposal_LCY
AEA use only
Managed Pass-thru
Project Code(s)
Award_Project
Proposal Number:
Award_No_
Period of Performance:
From: Start_Date To: End_Date
Project Title:
Award_Description
Grantee Grantor
Name
Grantee_Name Alaska Energy Authority
Street/PO Box
Grantee_Address
Street/PO Box
813 W. Northern Lights Blvd
City/State/Zip
Grantee_City, Grantee_State Grantee_Zip
City/State/Zip
Anchorage, AK 99503
Contact Person
Grantee_GM_Name
Contact Person
AEA_PM, Project Manager
Phone:
Grantee_GM
_Phone
Fax:
Grantee_Sig
_Fax
E-mail:
Grantee_GM_Email
Phone:
907-771-9999
Fax:
907-771-3044
E-mail:
AGREEMENT
The Alaska Energy Authority (hereinafter ‘Authority’) and Grantee_Name (hereinafter ‘Grantee’),
Section I. The Authority shall grant funds to pay for expenses incurred by the Grantee under the terms
and conditions of this Agreement, in an amount not to exceed $ Total_Proposal_LCY, unless the grant amount
is amended as provided herein.
Section II. The Grantee shall apply the grant funds to the Project and perform all of the work and other
obligations required by this Agreement.
Section III. Performance under this agreement begins Start_Date and shall be completed no later than
End_Date.
Section IV. The agreement consists of this page and the following:
Appendices Attachments/Forms
Appendix A: General Provisions
Appendix B: Standard Provisions
Appendix B1: Federal Provisions
Appendix C: Grantee Proposal/Scope of Work
Appendix D: Project Management & Reporting
Requirements
Appendix E: Project Budget & Reimbursement
Provisions
Appendix F: Clarifications to the Agreement
AMENDMENTS: Any amendments to this Agreement
must be signed by authorized representatives of Grantee
and the Authority and should be listed here.
Attachment 1: Financial Report/Request for
Reimbursement Form
Attachment 2: Progress Report Form
Attachment 3: Notice of Project Closeout
Attachment 4: Notice of Substantial Completion
Attachment 5: Grantee Certification
Attachment 6: Waiver of Sovereign Immunity (if
required)
Attachment 7: Grantee Contributions Report
Attachment 8: Advance Request Form
Attachment 9: Insurance and Indemnification
Waiver
Attachment 10: O&M Reporting
Attachment 11: Grant Documents Authorized
Signers Form
Grantee Authority Project Manager AEA Director
Signature Date
Signature Date Signature Date
Grantee_Sig,
Grantee_Sig_Title
AEA_PM,
Project Manager
,
AEA Director
Executive Director or Designee Signature Date
Curtis Thayer,
AEA Executive Director
Award_Description
Grant Agreement # Award_Funders_Reference_No
Page 2 of 44
Table of Contents
Grant No. Award_Funders_Reference_No
AGREEMENT ...................................................................................................................................................... 1
APPENDIX A GENERAL PROVISIONS ............................................................................................................. 5
1. DEFINITIONS ................................................................................................................................................. 5
2. INDEMNIFICATION ........................................................................................................................................ 6
3. INFORMATION TECHNOLOGY RISKS AND WARRANTIES ............................................................................... 6
4. WORKERS’ COMPENSATION INSURANCE ...................................................................................................... 6
5. INSURANCE ................................................................................................................................................... 6
6. EQUAL EMPLOYMENT OPPORTUNITY (EEO) ................................................................................................ 6
7. PUBLIC PURPOSES ........................................................................................................................................ 7
8. OFFICIALS NOT TO BENEFIT ......................................................................................................................... 7
9. GOVERNING LAW ......................................................................................................................................... 7
10. COMPLIANCE WITH APPLICABLE LAW AND FUNDING SOURCE REQUIREMENTS ........................................... 7
11. SEVERABILITY .............................................................................................................................................. 7
12. NON-WAIVER ................................................................................................................................................ 7
13. INTEGRATION ............................................................................................................................................... 7
14. GRANTEE NOT AGENT OF AUTHORITY ......................................................................................................... 8
15. DISPUTES ...................................................................................................................................................... 8
16. TERMINATION ............................................................................................................................................... 8
17. TERMINATION (FOR MUNICIPALITIES) .......................................................................................................... 9
18. TERMINATION DUE TO LACK OF FUNDING ................................................................................................. 10
19. NO ASSIGNMENT OR DELEGATION ............................................................................................................. 10
20. NO THIRD PARTY BENEFICIARIES............................................................................................................... 10
21. NO ADDITIONAL WORK OR MATERIAL ...................................................................................................... 10
22. CHANGES .................................................................................................................................................... 10
23. RIGHT TO WITHHOLD FUNDS ...................................................................................................................... 10
24. REMISSION OF UNEXPENDED FUNDS .......................................................................................................... 10
25. TAX COMPLIANCE RESPONSIBILITIES OF GRANTEE .................................................................................... 10
26. LOBBYING ACTIVITIES ............................................................................................................................... 10
27. FINANCIAL MANAGEMENT AND ACCOUNTING ........................................................................................... 11
28. PROCUREMENT STANDARDS ....................................................................................................................... 11
29. REPORTING REQUIREMENTS ....................................................................................................................... 11
30. OWNERSHIP OF DOCUMENTS AND PRODUCTS............................................................................................. 11
31. INSPECTIONS AND RETENTION OF RECORDS ............................................................................................... 11
32. AUDITS (CHOOSE STATE OR/AND FEDERAL) ............................................................................................... 11
33. LEGAL AUTHORITY .................................................................................................................................... 12
34. GRANT CLOSE OUT ..................................................................................................................................... 12
APPENDIX B STANDARD PROVISIONS ......................................................................................................... 13
1. GRANT FUNDING SOURCES......................................................................................................................... 13
2. GOVERNING LAWS ..................................................................................................................................... 13
3. DOCUMENTATION AND RECORD KEEPING .................................................................................................. 13
4. ELIGIBLE COSTS ......................................................................................................................................... 13
5. INSURANCE REQUIREMENTS ....................................................................................................................... 13
6. SOVEREIGN IMMUNITY (IF REQUIRED). ....................................................................................................... 14
7. PROCUREMENT AND SUSPENSION AND DEBARMENT .................................................................................. 15
8. DECLARATION OF PUBLIC BENEFIT ............................................................................................................ 15
9. GRANTEE PROJECT MANAGER.................................................................................................................... 15
10. APPROVAL TO PROCEED WITH NEXT PHASE ............................................................................................... 15
11. CONTRACTS FOR ENGINEERING SERVICES .................................................................................................. 15
12. SITE CONTROL ............................................................................................................................................ 16
Award_Description
Grant Agreement # Award_Funders_Reference_No
Page 3 of 44
13. PERMITS ..................................................................................................................................................... 16
14. EXCLUSION OF EXISTING ENVIRONMENTAL HAZARDS ............................................................................... 16
15. ENVIRONMENTAL STANDARDS ................................................................................................................... 16
16. CURRENT PREVAILING RATES OF WAGE AND EMPLOYMENT PREFERENCE ................................................ 16
17. CONSTRUCTION PLANS AND SPECIFICATIONS REVIEW ............................................................................... 17
18. CONSTRUCTION INSURANCE AND BONDING ............................................................................................... 17
19. OWNERSHIP OF FACILITIES ......................................................................................................................... 17
20. OPERATION AND MAINTENANCE OF FACILITIES ......................................................................................... 17
21. PERFORMANCE/OPERATION AND MAINTENANCE (O&M) REPORTING ....................................................... 17
22. TARIFFS & RATES FOR USE OF GRANT-FUNDED ASSETS ............................................................................ 18
23. GRANT-FUNDED ASSETS NOT INCLUDED WITH PCE .................................................................................. 18
24. SUBSTANTIAL COMPLETION OF PROJECT. ................................................................................................... 18
25. AUTHORITY’S RESPONSIBILITIES (MANAGED ONLY)................................................................................ 19
APPENDIX B1 STANDARD FEDERAL PROVISIONS ................................................................................... 20
1. ACKNOWLEDGEMENT OF PROJECT SUPPORT .............................................................................................. 20
2. RIGHTS OF OTHER PARTIES ........................................................................................................................ 20
3. DENALI COMMISSION APPROVAL ............................................................................................................... 20
4. DISPOSITION OF EQUIPMENT ...................................................................................................................... 20
5. ADDITIONAL COMPLIANCE REQUIREMENTS ............................................................................................... 21
6. PROGRAM INCOME ..................................................................................................................................... 21
7. THE RECIPIENT MUST COMPLY WITH THE FOLLOWING: .............................................................................. 21
APPENDIX C GRANTEE PROPOSAL/SCOPE OF WORK ............................................................................ 22
APPENDIX D PROJECT MANAGEMENT & REPORTING REQUIREMENTS ........................................ 23
1. PROJECT MANAGEMENT ............................................................................................................................. 23
2. CONTACT PERSONS .................................................................................................................................... 23
3. MONTHLY PROGRESS AND FINANCIAL REPORTS ........................................................................................ 23
4. QUARTERLY PROGRESS AND FINANCIAL REPORTS ..................................................................................... 24
APPENDIX E PROJECT BUDGET & REIMBURSEMENT PROVISIONS ................................................... 25
1. ALLOWABLE COSTS .................................................................................................................................... 25
a. Direct Labor & Benefits ........................................................................................................................... 25
b. Travel, Meals, or Per Diem ...................................................................................................................... 25
c. Equipment ................................................................................................................................................. 25
d. Supplies .................................................................................................................................................... 25
e. Contractual services ................................................................................................................................. 25
f. Construction Services ............................................................................................................................... 26
g. Other Direct Costs .................................................................................................................................... 26
2. SPECIFIC EXPENDITURES NOT ALLOWED .................................................................................................... 26
3. MATCH ....................................................................................................................................................... 26
4. COST SHARE MATCH REQUIREMENTS ........................................................................................................ 27
5. VALUING IN-KIND SUPPORT AS MATCH ..................................................................................................... 27
6. GRANT DISBURSEMENTS ............................................................................................................................ 28
7. WITHHOLDING OF GRANT FUNDS ............................................................................................................... 28
8. ADVANCE DISBURSEMENTS........................................................................................................................ 28
9. UNEXPENDED GRANT FUNDS AND INTEREST EARNED ............................................................................... 29
10. BUDGET ADJUSTMENTS AND CHANGES ...................................................................................................... 29
APPENDIX F CLARIFICATIONS OR AMENDMENTS TO THE AGREEMENT ....................................... 30
1. APPENDIX A SECTION 30, OWNERSHIP OF DOCUMENTS AND PRODUCTS (EXAMPLE ONLY) ................................ 30
ATTACHMENT 1 FINANCIAL REPORT/REQUEST FOR REIMBURSEMENT FORM .......................... 31
ATTACHMENT 2 PROGRESS REPORT FORM ............................................................................................. 32
Award_Description
Grant Agreement # Award_Funders_Reference_No
Page 4 of 44
ATTACHMENT 3 NOTICE OF PROJECT AND GRANT CLOSEOUT........................................................ 33
ATTACHMENT 4 NOTICE OF SUBSTANTIAL COMPLETION ................................................................. 34
ATTACHMENT 5 GRANTEE CERTIFICATION ............................................................................................ 35
ATTACHMENT 6 WAIVER OF SOVEREIGN IMMUNITY (IF REQUIRED) ............................................ 37
ATTACHMENT 7 GRANTEE CONTRIBUTIONS REPORT FORM ............................................................ 40
ATTACHMENT 8 ADVANCE REQUEST FORM ............................................................................................ 41
ATTACHMENT 9 INSURANCE AND INDEMNIFICATION WAIVER ....................................................... 42
ATTACHMENT 10 O&M REPORTING ............................................................................................................ 43
ATTACHMENT 11 GRANT DOCUMENTS AUTHORIZED SIGNERS FORM .......................................... 44
Award_Description
Grant Agreement # Award_Funders_Reference_No
Page 5 of 44
APPENDIX A GENERAL PROVISIONS
1. Definitions
In this Grant Agreement, attachments and amendments:
a) “Authority” means the Alaska Energy Authority, a public corporation of the State of Alaska.
b) “Authority Project Manager” means the employee of the Authority responsible for assisting
the Grantee with technical aspects of the Project and is one of the Grantor’s contacts for
the Grantee during all phases of the Project.
c) “Authorized Representatives” means those individuals or entities authorized by an entity
to act on its behalf, with delegated authority sufficient to accomplish the purposes for which
action is needed.
d) “Economic Life” means ____ years from the date of the final disbursement.
e) “Executive Director” means the Executive Director of the Authority or the Executive
Director’s authorized representative.
f) “Grantee Project Manager” means the person designated to fulfill the obligations arising
under Appendix B, Section 9 “Grantee Project Manager”. (REMOVE IF AEA MANAGED)
g) “Matching Contributions” means the cash, loan proceeds, in-kind labor, equipment, land,
other goods, materials, or services a Grantee provides to satisfy any match requirements
of a grant or to complete the Project.
h) “Project” means Award_Description as defined in Appendix C (Scope of Grant) for which
funds have been made available.
i) “State” means the State of Alaska.
AND/OR
j) “Denali Commission” means the federal commission established under 42 USC 3121 and
its successors or assigns.
AND/OR
k) “Department of Energy” means the federal department established under “The
Department of Energy Establishment Act” 42 USC 7101 and its successors or assigns.
l) “Environmental Protection Agency” means the federal department “United States
Environmental Protection Agency” established by President Richard Nixon through
executive order Reorganization Plan No 3 (35 FR 15623, 84 Stat 2086).
m) “Department of Agriculture” means the federal department “United States Department of
Agriculture” established by President Abraham Lincoln on May 15, 1862.
Award_Description
Grant Agreement # Award_Funders_Reference_No
Page 6 of 44
2. Indemnification
As a condition of this Grant, the Grantee shall indemnify, hold harmless, and defend the Authority
and the State of Alaska from and against any claim of, or liability for, error, omission or negligent
act of the Grantee arising out of, or in any way connected with, this Grant Agreement or the project
for which the Grant is made. The Grantee shall not be required to indemnify the Authority or State
of Alaska for a claim of, or liability for, the independent negligence of the Authority or St ate of
Alaska agency. If there is a claim of, or liability for, the joint negligent error or omission of the
Grantee and the independent negligence of the Authority or State of Alaska, the indemnification
and hold harmless obligation shall be apportioned on a comparative fault basis. “Grantee” and
“Authority” and “State of Alaska,” as used within this section, include the employees, agents and
other contractors who are directly responsible, respectively, to each. The term “independent
negligence” is negligence other than in the Authority’s or State of Alaska’s selection,
administration, monitoring, or controlling of the Grantee and in approving or accepting the
Grantee’s work.
3. Information Technology Risks and Warranties
Neither the Authority nor the State of Alaska makes any warranty, express or implied or assumes
any legal liability or responsibility for the Grantee’s use of the software, equipment or other related
services provided by this grant or included in the project for which the grant is made. The Grantee
understands that although the Authority may procure software services or equipment on behalf of
the grantee, the use of this software, equipment or other related services is at the Grantee’s own
risk. The Grantee bears the entire risk of using these services, such as any damages or liabilities
resulting from a cyber-attack or computer virus on its own computers, communication systems
and networks.
The Grantee acknowledges that computer, communications systems and networks are not fault-
free and occasional periods of downtime occur. The Authority and the State of Alaska do not
guarantee these services will be uninterrupted, timely, secure or error-free.
4. Workers’ Compensation Insurance
The Grantee shall provide and maintain Workers’ Compensation Insurance as required by AS
23.30 for all employees engaged in work under this Grant Agreement. The Grantee shall require
any contractor to provide and maintain Workers’ Compensation Insurance for its employees as
required by AS 23.30.
5. Insurance
The Grantee is responsible for obtaining and maintaining any necessary insurance and
endorsements as defined in Appendix B Standard Provisions
6. 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.
Award_Description
Grant Agreement # Award_Funders_Reference_No
Page 7 of 44
The Grantee shall include the provisions of this 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.
7. Public Purposes
The Grantee agrees that the Project to which this Grant Agreement relates shall be dedicated to
public purposes and any project constructed or equipment or facilities acquired, shall be owned
and operated for the benefit of the general public. The Grantee shall spend monies appropriated
under this grant only for the purposes specified in the Grant Agreement. 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.
8. 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.
9. Governing Law
This Grant Agreement is governed by the laws of the State of Alaska. 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.
10. Compliance with Applicable Law and Funding Source Requirements
The Grantee shall comply with all applicable local, state and federal statutes, regulations,
ordinances and codes, whether or not specifically mentioned herein. Refer to Appendix B
Standard Provisions and Appendix B1 Standard Federal Provisions for more specific
requirements.
11. Severability
If any section, paragraph, clause or provision of this Agreement is held invalid or unenforceable,
the remainder of this Agreement shall be unaffected and enforced to the fullest extent possible,
and the invalid or unenforceable provision shall be deemed replaced with a valid and enforceable
provision that is as similar as possible to such invalid or unenforceable provision.
12. Non-waiver
The failure of either party at any time to enforce a provision of this Agreement shall in no way
constitute a waiver of the provision, nor in any way affect the validity of this Agreement, or any
part hereof, or the right of such party thereafter to enforce each and every provision hereof.
13. Integration
This instrument and all appendices, amendments, attachments, hereto embody the entire
Agreement of the parties concerning the grant funds granted hereunder. There are no promises,
terms, conditions, or obligations regarding said funds other than those contained in the documents
described above; and such documents shall supersede all previous communications,
representations or agreements, either oral or written, between the parties hereto. To the extent
there is any conflict between the provisions of Appendix A and B and the Grantee’s application or
proposal, the provisions of Appendix A and B prevail.
Award_Description
Grant Agreement # Award_Funders_Reference_No
Page 8 of 44
14. Grantee Not Agent of Authority
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.
15. Disputes
Any dispute arising under this Grant Agreement which is not disposed of by mutual agreement
must be dealt with in accordance with 3 AAC 108.915.
16. Termination
a) The Grantee shall have no rights to compensation or damages for termination except as
provided in this Section.
b) In addition to all other rights available under law, the Authority may terminate this
Agreement or stop work on the Project for the convenience of the Authority or for cause
upon ten (10) days written notice.
c) "Cause" for termination shall exist when the Grantee has failed to perform under this
Agreement, has been stagnant on progression of the project for 2 years, has provided
incorrect or misleading information or has failed to provide information which would have
influenced the Authority's actions. In order for termination to be for cause, the Grantee's
failure to perform or the Grantee's provision of incorrect, misleading, or omitted information
must be material.
d) If this Agreement is terminated for cause, the Grantee shall be entitled to no
compensation. The Grantee shall reimburse the Authority for all grant funds expended
under this Agreement by the Grantee or on the Grantee’s behalf including interest accrued
from the date of disbursement. The Grantee shall also reimburse the Authority for any
costs incurred to collect funds subject to reimbursement, and for any damages incurred
by the Authority as a result of the Grantee’s failure to perform or provision of incorrect or
misleading information. The Authority may require the Grantee to return to the Authority
some or all of the Project assets and the fair market value of the returned Project assets
will be applied to reduce the amount of reimbursement the Grantee owes the Authority
under this subsection d.
e) If this Agreement is terminated at the sole request of the Authority for the sole reason of
its convenience, the Grantee is not required to reimburse the Authority for funds expended
prior to the date of termination. If the Grantee has incurred costs under this agreement,
the Grantee shall only be reimbursed by the Authority for eligible costs the Grantee
incurred prior to the date of termination of the Agreement. However, prior to making any
claim or demand for such reimbursement, the Grantee shall use its best effort to reduce
the amount of such reimbursement through any means legally available to it. The
Authority's reimbursement to the Grantee shall be limited to the encumbered, unexpended
amount of funds available under this Agreement.
f) If the basis for the termination of the Agreement or stop work under Section 16(b) is
capable of being cured, the Authority shall provide the Grantee thirty (30) days from the
date the termination or stop work becomes effective for the Grantee to cure the basis for
the termination or stop work. If the Grantee cannot reasonably cure the basis for the
Award_Description
Grant Agreement # Award_Funders_Reference_No
Page 9 of 44
termination or stop work within this thirty (30) day period, but the Grantee promptly
undertakes and diligently pursues such cure, the cure period shall be extended to sixty
(60) days. The Authority may further extend the cure period if the Grantee demonstrates
that it is prohibited from curing the basis for termination or stop work by any process, stay
or injunction issued by any governmental authority or pursuant to any bankruptcy or
insolvency proceedings. If the Grantee cures the basis for the stop work, the stop work
will be lifted. Until the Agreement is reinstated or stop work lifted, the Authority may not
disburse any amount under this Agreement to the Grantee except as otherwise specifically
provided in this section.
17. Termination (For Municipalities)
a) Termination by Mutual Agreement
This Grant Agreement may be terminated, in whole or in part, prior to the
completion of contract project activities when both parties agree that continuation
is not feasible or would not produce beneficial results commensurate with the
further expenditure of funds. The Authority will determine whether an
environmental review of the cancellation is required under State and/or Federal
law. The parties must agree on the termination conditions, including effective date
and the portion to be terminated. The Grantee shall not incur new obligations for
the terminated portion after the effective date, and shall cancel as many
outstanding obligations as possible. The Authority shall make funds available to
the Grantee to pay for allowable expenses incurred before the effective date of
termination.
b) Termination for Cause
If the Grantee fails to comply with the terms of this Grant Agreement, or fails to use
the grant for only those purposes set forth herein, the Authority may take the
following actions:
1. Suspension – After notice in writing by certified mail to the Grantee, suspend the
grant and withhold any further payment or prohibit the Grantee from incurring
additional obligations of grant funds, pending corrective action by the Grantee or
a decision to terminate. Response must be received within fifteen (15) days of
receipt of the written notice.
2. Termination – Terminate the grant in whole or in part, at any time before the final
grant payment is made. The Authority shall promptly notify the Grantee in writing
of its determination to terminate, the reason for such termination, and the effective
date of the termination. Payments made to the Grantee or recoveries by the
Authority shall be in accordance with the legal rights and liabilities of the parties.
c) Recovery of Funds
In the event of a default or violation of the terms of the Grant Agreement by the
Grantee, the Authority may institute actions to recover all or part of the project
funds paid to the Grantee. Repayment by the Grantee of grant funds under this
recovery provision shall occur within thirty (30) days of demand.
All remedies conferred on the Authority by this agreement or any other instrument
or agreement are cumulative, not exclusive, and may be exercised concurrently or
consecutively at the Authority’s option.
Award_Description
Grant Agreement # Award_Funders_Reference_No
Page 10 of 44
18. 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 Authority
may terminate the agreement, reduce funding, or re-negotiate subject to those new funding
conditions.
19. No Assignment or 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 Executive Director or
Designee.
20. No Third Party Beneficiaries
Except as otherwise specified in this agreement, no person is a third party beneficiary of this
Agreement and this Agreement creates no third party rights. Specifically, any person who is not
a party to this Agreement shall be precluded from bringing any action asserting the liability of a
party or asserting any right against a party to this Agreement, through the terms of this Agreement.
No person, other than a party to this Agreement, may bring any action based upon this Agreement
for personal injuries, property damages, or otherwise.
21. No Additional Work or Material
No claims will be allowed for additional work, materials, or equipment, not specifically authorized
in this Grant Agreement, which are performed or furnished by the Grantee.
22. 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 a written Amendment. Any such Amendment must be dated and
signed by Authorized Representatives of the Authority and the Grantee.
23. Right to Withhold Funds
The Authority may withhold payments under this Grant Agreement for non-compliance with any
of the provisions of this Grant Agreement.
24. Remission of Unexpended Funds
The Grantee shall return all unexpended grant monies to the Authority within 90 days of the
Project completion.
25. Tax Compliance Responsibilities of Grantee
The Grantee is responsible for determining applicable federal, state, and local tax requirements,
for complying with all applicable tax requirements, and for paying all applicable taxes. The
Authority may issue an IRS Form 1099 for Grant payments made. The Grantee shall pay all
federal, state and local taxes incurred by the Grantee and shall require the payment of all
applicable taxes by any contractor or any other persons in the performance of this Grant
Agreement.
26. 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 United States Congress or Alaska Legislature. No
Award_Description
Grant Agreement # Award_Funders_Reference_No
Page 11 of 44
portion of these funds may be used for lobbying or propaganda purposes as prohibited in AS
37.05.321, 18 U.S.C. 1913, 31 U.S.C. 1352, or other laws as applicable.
27. Financial Management and Accounting
The Grantee shall establish and maintain a financial management and accounting system that
conforms to generally accepted accounting principles. In addition, the accounting system must
keep separate all grant funds awarded under this grant agreement.
28. Procurement Standards
Grantees will follow competitive purchasing procedures that: 1) provide reasonable competitive
vendor selection for small dollar procurements; 2) provide for competitive bids or requests for
proposals for contracts and procurements greater than $100,000; 3) provide a justification
process for non-competitive procurements or contracts; 4) document the source selection
methods used for all contracts, equipment, or material transactions greater than $10,000; 5) and
comply with other procurement requirements as defined in Appendix B1 Section 5. Grantees who
have questions about their procurement procedures or a specific procurement should contact the
Authority’s Grant Manager.
OR
The Authority authorizes the Grantee to use their established and published procurement
Standards. (For Municipalities and Boroughs)
29. Reporting Requirements
The Grantee shall submit progress reports to the Authority according to the schedule established
in Appendix D of this Grant Agreement.
30. Ownership of Documents and Products
Except as otherwise specifically agreed, all designs, drawings, 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. Except as otherwise specifically agreed, and
without limiting any Intellectual Property requirements of a federal funding agency, the Authority
shall have unlimited rights to use and to disseminate any data produced or delivered in the
performance of the contract. For purposes of clarity, nothing in this section precludes Grantee
from using any document or product with respect to the Project or other Grantee uses.
31. 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 four 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 reasonable times it
considers appropriate, records and activities under this Grant Agreement.
32. Audits (choose State or/and Federal)
This Grant Agreement is subject to 2 AAC 45.010 single audit regulations for State Grants. The
Grantee must comply with all provisions of 2 AAC 45.010 and any additional audit requirements
outlined in Appendix D.
Award_Description
Grant Agreement # Award_Funders_Reference_No
Page 12 of 44
OR/and
This Grant Agreement is subject to Audits as identified in 2 CFR 200 Subpart F. The Grantee
must comply with all provisions of 2 CFR 200 including Subpart F and any additional audit
requirements outlined in Appendix B1, Section 5 (Additional Compliance Requirements). (For
Federal Grants Only)
Commercial (for-profit) entities shall obtain an audit by an independent auditing firm similar to a
program audit prepared under 2 CFR 200. The auditee and auditor shall have basically the same
responsibilities for the federal or state program as they would have for an audit of a major program
in a single audit. The expenditure threshold is $750,000 in the commercial entity’s fiscal year.
33. Legal Authority
The Grantee certifies that it possesses legal authority to accept grant funds from the State of
Alaska and to execute the Project described in this Grant Agreement by signing the Grant
Agreement document. The Grantee’s relation to the Authority and the State of Alaska shall be at
all times as an independent Grantee.
34. Grant Close out
Upon completion of all work and expenditure of all grant funds related to the Project the Authority
will provide written notice to the Grantee that the Grant will be closed. The Grantee shall sign the
Notice of Project Closeout within 30 days after it is delivered by the Authority. The Grant will be
considered closed upon receipt of the signed Notice of Project Closeout.
The Grant will be administratively closed if the Grantee fails to return the Notice of Project
Closeout within 30 days after it is delivered by the Authority. If the Grantee has a valid reason for
the Grant to remain open, they must contact the Authority in writing within 30 days.
No additional reimbursements will be made to the Grantee after the grant is closed out.
Award_Description
Grant Agreement # Award_Funders_Reference_No
Page 13 of 44
Appendix B Standard Provisions
1. Grant Funding Sources
This Grant is subject to appropriation and availability of funds as listed below:
(List funding sources and amounts from each source)
Grantee acknowledges that if additional grant funds are made available they are subject to the
terms and conditions of this Agreement and any amendment.
2. Governing Laws
The Grantee shall perform all aspects of this Project in compliance with all applicable state, federal
and local laws.
3. Documentation and Record Keeping
The Grantee shall maintain the following in their files:
Grant application;
Grant agreement and any amendments;
All written correspondence or copies of emails relating to the Grant;
Reports, including any consultant work products;
A separate accounting of grant income and expenditures;
Supporting documentation for the expenditures charged to the grant (including
supporting documentation for all required matching contributions).
The Authority and any authorized federal representative may inspect, in the manner and at any
reasonable time either considers appropriate, the Grantee’s facilities, records, and activities
funded by this Grant Agreement.
4. Eligible Costs
The Authority, as Grantor, shall have sole discretion to determine which project costs are eligible
to be paid from Grant monies under this agreement. Only direct costs of the Project are eligible
for payment or reimbursement from grant funds. Indirect costs are not allowed under this grant
unless approved by the Authority in Appendix E.
The eligible costs will be determined in accordance with 3 AAC 107.600 – 695 and the Request
for Applications dated July 2, 2013; which is incorporated by reference into this grant agreement.
(For Renewable Energy Grants Only)
5. Insurance Requirements
The following insurance requirements are in effect for this Project. Grant funds may be used to
procure Project related insurance and the Authority will work with the Grantee to ensure that these
requirements are met. Insurance will be obtained with an insurance carrier or carriers covering
injury to persons and property suffered by the State of Alaska, Alaska Energy Authority or by a
third party as a result of operations under this grant. The insurance shall provide protection
Award_Description
Grant Agreement # Award_Funders_Reference_No
Page 14 of 44
against injuries to all employees of the Project engaged in work under this grant. All insurance
policies shall be issued by insurers that (i) are authorized to transact the business of insurance in
the State of Alaska under AS 21 and (ii) have a Bests Rating of at least A-VII and be required to
notify the Authority, in writing, at least 30 days before cancellation of any coverage or reduction
in any limits of liability.
Where specific limits and coverage are shown, it is understood that they shall be the minimum
acceptable and shall not limit the Grantee’s indemnity responsibility. However, costs for any
coverage in excess of specific limits of this agreement are the responsibility of the Grantee and
may not be charged to this grant agreement.
The following policies of insurance shall be maintained with the specified minimum coverage and
limits in force at all times during the performance work under this Project:
a. Workers’ Compensation: as required by AS 23.30.045, for all employees engaged in work
under this Project. The coverage shall include:
Waiver of subrogation against the State and the Alaska Energy Authority and
Employer’s Liability Protection at $500,000 each accident/each employee and
$500,000 policy limit;
b. Commercial General Liability: on an occurrence policy form covering all operations under
this Project with combined single limits not less than:
$1,000,000 Each Occurrence;
$1,000,000 Personal Injury;
$1,000,000 General Aggregate; and
$1,000,000 Products-completed Operations Aggregate.
The State of Alaska and Alaska Energy Authority shall be named as an Additional insured.
The Denali Commission shall be named as an Additional insured.
c. Automobile Liability: covering all vehicles used in Project work, with combined single limits
no less than $1,000,000 each occurrence.
All of the above insurance coverage shall be considered to be primary and non-contributory to
any other insurance carried by the State of Alaska and Alaska Energy Authority, whether self-
insurance or otherwise.
The Authority’s acceptance of deficient evidence of insurance does not constitute a waiver of
Grant requirements.
6. Sovereign Immunity (If required).
By execution of this grant agreement, the Grantee irrevocably waives any sovereign immunity
which it may possess, and consents to suit against itself or its officials, under the laws of the State
of Alaska, in the courts of the State of Alaska as to all causes of action by the Authority arising
out of or in connection with this agreement. If the Grantee is an entity which possesses sovereign
immunity, it shall provide the Authority with a resolution of the Grantee’s governing body waiving
sovereign immunity, and such resolution shall be incorporated into this agreement as an
Attachment. (See Attachment 5 or different number depending on amount of attachments)
Award_Description
Grant Agreement # Award_Funders_Reference_No
Page 15 of 44
7. Procurement and Suspension and Debarment
When the Grantee enters into a transaction with an entity for the purchase of goods or services
that are expected to equal or exceed $25,000, or meet other special criteria as specified in 2 CFR
section 180.220, the grantee is required to verify that the entity and its principals as defined in 2
CFR section 180.995, are not suspended or debarred or otherwise excluded from participating in
the transaction. The Grantee must verify the eligibility of the entity and its principals by one of the
following: (1) checking the Excluded Parties List System (EPLS) maintained by the General
Services Administration (GSA) (Note: EPLS is no longer a separate system; however, the OMB
guidance and agency implementing regulations still refer to it as EPLS) and available at
https://www.sam.gov/portal/public/SAM/), (2) collecting a certification from the entity, or (3) adding
a clause or condition to the covered transaction with that entity stating it is not suspended or
debarred from participating in the transaction (2 CFR section 180.300).
8. Declaration of Public Benefit
The parties acknowledge and agree that the Project shall be constructed, owned and operated
for the benefit of the general public and will not deny any person use and/or benefit of Project
facilities due to race, religion, color, national origin, age, physical handicap, sex, marital status,
changes in marital status, pregnancy or parenthood.
9. Grantee Project Manager
For construction projects, the Grantee will contract or hire competent persons to manag e all
phases of the Project. Work at a minimum will include; management of Grantee’s labor for the
project, engineering firms and consultants, procurement, management of construction
contractors, selection of equipment, review of plans and specifications, on-site inspections and
review and approval of work, and other duties to ensure that the completed work conforms with
the requirements of the grant and the construction documents.
If the Grantee fails to provide adequate project management the Authority may terminate the
Grant or assume project management responsibilities with the concurrence of the Grantee. Costs
for a Grantee Project Manager must be reasonable to be considered an eligible grant expense.
10. Approval to Proceed with Next Phase
A grant award may be for one or more phases of a project. The Grantee must achieve substantial
completion of work or of designated grant milestones and receive approval from the Authority
prior to proceeding to the next phase of work.
11. Contracts for Engineering Services
In the event the Grantee contracts for engineering services, the Grantee will require that the
engineering firm certify that it is authorized to do business in the State of Alaska and provide proof
of licensing and required professional liability insurance.
Unless otherwise agreed by the Authority, the insurance required by this section shall, at a
minimum, included professional liability insurance covering all errors, omissions or negligent acts
in the performance of professional services under this agreement, with limits required per the
following schedule:
Contract Amount Minimum Required Limits
Under $ 100,000 $ 300,000 per Occurrence/Annual Aggregate
$ 100,000-$ 499,999 $ 500,000 per Occurrence/Annual Aggregate
$ 500,000-$ 999,999 $ 1,000,000 per Occurrence/Annual Aggregate
Award_Description
Grant Agreement # Award_Funders_Reference_No
Page 16 of 44
$ 1,000,000 or over Refer to Risk Management
12. 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. The Grantee is responsible for securing the real
property interests necessary for the construction and operation of the Project, through ownership,
leasehold, easement, or otherwise, and for providing evidence satisfactory to the Authority that it
has secured these real property interests before site construction begins.
13. Permits
It is the responsibility of the Grantee to identify and ensure that all permits required for the
construction and operation of this Project by the Federal, State, or Local governments have been
obtained unless otherwise stated in Appendix C. These permits may include, but are not limited
to, Corps of Engineers, Environmental Protection Agency, Alaska Department of Environmental
Conservation, State Historic Preservation Office, State Fire Marshal, Alaska Department of
Natural Resources, Alaska Department of Fish and Game and Boroughs.
14. Exclusion of Existing Environmental Hazards
Grant funds for investigation, removal, decommissioning, or remediation of existing environmental
contamination or hazards, are not allowed unless specifically specified and approved in Appendix
C.
15. Environmental Standards
The Grantee will comply with applicable environmental standards, including without limitation
applicable laws for the prevention of pollution, management of hazardous waste, and evaluation
of environmental impacts.
16. Current Prevailing Rates of Wage and Employment Preference
To the extent required by federal and State law construction projects may require certain Grantees
to include the requirements for Davis Bacon and Little Davis Bacon when contracting for
construction services. This requires contractors to pay minimum rates of pay for specif ic classes
of workers and provide certified payrolls to the State Department of Labor. The current wage
rates can be found at the following web sites:
The Federal wage rates at https://beta.sam.gov/
The State wage rates at http://www.labor.state.ak.us/lss/pamp600.htm
If federal funding sources require federal Davis Bacon compliance, the Grantee must use both
the Federal and State wage scale and the contractor is required to pay the higher of the State or
Federal wage scale. When only State Funds are used that requires “Little Davis Bacon,” the
Grantee is only required to follow the State Rate schedule.
For projects that are only State funded, contractors are also required to use local residents where
they are available and qualified in accordance with AS 36.10.150-180, and 8 AAC 30.064 - 088.
The Grantee is responsible for identifying any other sources of project funds and for ensuring
compliance with applicable wage scales for all sources of project funding. If a Grantee believes
they or their contractors may be exempt from these requirements, they should contact the State
Award_Description
Grant Agreement # Award_Funders_Reference_No
Page 17 of 44
of Alaska Department of Labor and Workforce Development, Wage and Hour Administration, for
a determination and forward a copy of that determination to the Authority’s Grant Administrator.
17. Construction Plans and Specifications Review
Prior to public notice of bidding a construction project the Grantee will provide the plans and
specifications to the Authority for review. Concurrence that the plans and specifications are
consistent with the grant award must be received before grant funds will be released for
construction related costs.
18. Construction Insurance and Bonding
When the value of the construction is anticipated to be greater than $100,000, prior to beginning
construction on a project funded by this grant, the Grantee or Grantee’s contractor(s) must provide
the Authority; either a payment and performance bond, as may be required by AS 36.25.010, a
surety in form and substance acceptable to the Authority, or some other guarantee or assurance
acceptable to the Authority that the Grantee or the Grantee’s contractor has the capacity,
qualifications, and financial resources necessary to complete construction of the project as
proposed in the grant or construction contract(s) funded by this grant. Post Construction
Certification.
Upon completion of construction the Grantee will submit a final report that includes:
Certification that all work is completed in accordance with the grant and all costs claimed
are eligible costs and represent work completed on the Project;
Summary of total project cost including detailed funding sources and any outstanding debt;
Certification that there is a release of any contractor or subcontractor liens on the project;
Identification of any outstanding construction issues;
Demonstration that appropriate insurance is in place and,
As-built drawings.
19. Ownership of Facilities
The Grantee shall assume all liabilities arising from the ownership and operation of the Project.
Grantee will not sell, transfer, encumber, or dispose of any of its interest in the facilities
constructed with this grant funding during the economic life of the project without prior written
approval of the Authority.
20. Operation and Maintenance of Facilities
The Grantee is required to maintain and operate the facilities defined in Appendix C of this
agreement for the economic life of the facility or the specific period of time designated herein.
In the event that the Grantee is no longer operating the facilities for the intended purposes the
Authority may require the Grantee to reimburse the Authority an amount 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 returned to the Authority.
21. Performance/Operation and Maintenance (O&M) Reporting
If the grant is for Project construction, the Grantee must provide the Authority with a
Performance/O&M Report annually for ten years after Project completion. The Performance/
O&M Report must include: (1) a detailed description of Project operations and maintenance
activities and issues; and (2) a detailed description of Project performance, including energy
Award_Description
Grant Agreement # Award_Funders_Reference_No
Page 18 of 44
output, estimated fuel savings resulting from the operation of the Project, and any other relevant
measures of Project performance reasonably requested by the Authority, a description of repairs
and modifications to the Project, and recommendations for improvements for similar future
projects.
The Authority may take into account the Grantee’s failure to provide the required annual
Performance/O&M Report in evaluating future applications from the Grantee for grant funds. The
Authority encourages Grantees to provide annual Performance/O&M reports for the life of the
Project, and may consider the Grantee’s voluntary submittal of annual Performance/O&M reports
beyond the first ten years in evaluating future applications from the Grantee for grant funds.
22. Tariffs & Rates for Use of Grant-Funded Assets
Rates for power provided as a result of generation or transmission facilities built with grant funds
may be subject to review and approval by the Regulatory Commission of Alaska (RCA), or if the
rates are not subject to RCA review and approval, they may be subject to review and approval by
the Authority to ensure reasonable and appropriate public benefit from the ownership and
operation of the Project.
As a condition of the grant, Independent Power Producers will agree to sell energy resources for
electricity and heat at a cost-based rate for the economic life of the project. The Authority will hire
an independent economist to provide guidance in developing a cost-based rate for electric sales
with an appropriate rate of return on equity.
The allowable cost-based rate represents the highest rate that the Independent Power Producer
will be allowed to charge. Because the cost-based rates are a grant condition, avoided costs
rates or Public Utility Regulations Policies Act (PURPA) rates will not apply for projects which
obtain grant funding.
Application for a Certification of Public Convenience and Necessity (CPCN) is also a grant
condition. RCA action related to the issuance of the CPCN must be completed prior to the
issuance of any construction grant funding.
23. Grant-funded Assets Not Included with PCE
The Grantee agrees that it will not include the value of facilities, equipment, services, or other
benefits received under this grant as expenses under the Power Cost Equalization Program or as
expenses on which wholesale or retail rates or any other energy tariffs are based.
24. Substantial Completion of Project.
Upon substantial completion of the project, the Authority PM shall schedule a site inspection with
the general contractor, the designer of record, the grantee and the Authority. At this inspection,
a punchlist will be generated of outstanding items which must be completed prior to grant
completion. Upon completion of this inspection, the Authority will issue a Notice of Substantial
Completion (NOSC) and identify in this notice, the punchlist items which must be completed.
When the Notice is issued, the Grantee assumes all responsibility associated with operating and
maintaining the Project, except as specifically provided otherwise herein or by separate
agreement executed by the Authority and the Grantee.
The Grantee may disagree with the substantial completion determination by providing written
notice to the Project Manager within 30 days after receipt of the Notice of Substantial Completion.
Award_Description
Grant Agreement # Award_Funders_Reference_No
Page 19 of 44
The Grantee’s written objections disagreeing with the Notice of Substantial Completion must
detail the reasons the Grantee believes the Notice of Substantial Completion should not be
issued. Further the Grantee must explain what the Grantee expects should be done so the Notice
of Substantial Completion can be issued, and when the additional issues identified can be
completed or resolved. The Authority will follow-up within 60 days, letting the Grantee know if the
objections have been accepted, if the Notice of Substantial Completion stands, or, if the Notice of
Substantial Completion is modified.
Within 30 days of final disposition of the Notice of Substantial Completion, the Authority Project
Manager will issue a Certificate of Substantial Completion which will include an updated punchlist
(if one still exists) which will be signed by the general contractor and the Authority. The date of
this certificate shall be the completion date of the Project.
25. Authority’s Responsibilities (Managed ONLY)
In consideration for this Grant, Grantee hereby appoints the Authority to act as its agent for the
design, construction, management, and administration of the Project.
(Grant document MUST HAVE specified specific tasks AEA is assuming responsibility for.
Make sure costs in grant are sufficient to cover AEA’s responsibilities.)
As Agent of the Grantee the Authority will be responsible for all matters related to the Project
design and construction in accordance with this Grant Agreement, including but not limited to
development and approval of plans and specifications; procurement of all materials and services,
hiring force account labor, and accounting and reporting all expenditures as required by the State
of Alaska, provided that the Authority will not be responsible for any matters not require d by this
Grant Agreement.
If other funding sources for the Project require the Authority to assume additional duties as the
agent of the Grantee, then those requirements will be identified and the duties will be assumed in
a separate agreement which will be included as an Attachment to this Grant.
The Grantee is responsible for monitoring the Project work to the extent necessary for the Grantee
to determine that the work is proceeding satisfactorily and so that the Grantee can perform its
responsibilities pertaining to the Project and operate and maintain the Project after Project
completion.
The Grantee will raise with the Authority promptly any concerns or issues it may have regarding
the Project, and if those concerns or issues are not satisfactorily resolved the Grantee will
promptly give written notice with a detailed description of the concerns or issues to the Authority’s
Project Manager.
The Authority may engage an accounting firm to provide payroll services for the Project. If so
engaged, the accounting firm may process payroll and per diem checks, make the required payroll
tax payments, perform all required payroll tax and other reporting, and compute worker’s
compensation amounts payable by project as defined in their contract, and perform any other
payroll services that may be required for the Project. In addition, the Authority will provide the
Workers’ Compensation insurance for the workers hired to complete this project.
Award_Description
Grant Agreement # Award_Funders_Reference_No
Page 20 of 44
Appendix B1 Standard Federal Provisions
1. Acknowledgement of Project Support
For all construction projects, the Grantee shall include an acknowledgement of the Denali
Commission’s support for the project(s) developed under this Award. The Grantee shall display
a sign that:
a) Has the Denali Commission logo displayed on the upper right-hand quadrant;
b) States the Following: “This project was financed by the Denali Commission and its
partners (list the name of the funding partners)”;
c) Shows the logo of each partner in the lower right-hand quadrant.
The cost of the sign shall be paid out of the project funding received by the Grantee from the
Denali Commission. Final approval of signage material and placement of the sign must be
obtained from the Commission Project Manager.
For all non-construction projects, the Grantee shall include an acknowledgement of the
Government’s support for the project(s) developed under this Award. Acknowledgement shall
include:
a) The Denali Commission logo and the logo of each partner;
b) The following statement: “this project was financed by the Denali Commission and its
partners (list the name of the funding partners)”.
The format for the acknowledgement of the Government’s support for non-construction awards
will vary with each award and must be agreed upon between the Award recipient and the Grant
Manager. Costs associated with this requirement shall be paid out of the project funding received
by the Grantee from the Denali Commission.
2. Rights of Other Parties
The parties agree that the State of Alaska and any successor is a third party beneficiary of the
Grantees obligations in Appendix B, Section 20 (Operation and Maintenance of Facilities),
Appendix A, Section 31 (Inspections and Retention of Records), Appendix A, Section 10
(Compliance with Applicable Law and Funding Source Requirements), and Appendix A, Section
7 (Public Purposes); otherwise, no person is a third party beneficiary of this Agreement and this
Agreement creates no third party rights. Specifically, any person who is not a party to this
Agreement shall be precluded from bringing any action asserting liability of a party or asserting
any right against a party to this Agreement, through the terms of this Agreement. No person,
other than a party to this Agreement, may bring any action based upon this Agreement for
personal injuries, property damages, or otherwise.
3. Denali Commission Approval
These responsibilities may not be altered or transferred without the prior written approval of the
Denali Commission.
4. 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
Award_Description
Grant Agreement # Award_Funders_Reference_No
Page 21 of 44
Federal agency. The Grantee will not use the equipment to provide services for a fee on the
grant-funded Project.
The Grantee shall be responsible for the operation and maintenance of equipment acquired with
this grant. The Grantee must keep record which will include a description, serial number, source
and title, cost and percentage of federal participation in cost 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.
5. Additional Compliance Requirements
In addition to the procurement requirements identified in Appendix A, Section 28, “Procurement
Standards” and Appendix B, Section 7, “Procurement and Suspension and Debarment”, the
Grantee is required to comply with federal procurement regulations associated with federal grant
funds as identified in 2 CFR 200. If the Grantee has any questions about their procurement
procedures or a specific procurement, they should contact the Authority’s Grant Manager.
6. Program Income
Program income earned during the award period shall be retained by the Grantee and added to
the funds committed to the award and used for the purposes and under the conditions applicable
to the use of award funds.
7. The Recipient must comply with the following:
The Drug-Free Workplace Act of 1988 (41 USC 8102)
The Fly America Act (49 USC 40118) and implementing regulations (41 C.F.R.
301-10.131 through 301-10.143)
15 C.F.R. Part 27 (“Protection of Human Subjects”)
Laboratory Animal Welfare Act of 1966, as amended (7 USC 2131)
Marine Mammal Protection Act (16 USC 1361 et seq)
The Nonindigenous Aquatic Nuisance Prevention and Control Act (16 USC 4701
et seq)
The Trafficking Victims Protection Act of 2000 (22 USC 7104(g)). The award
term required by 2 C.F.R 175.15(b) is incorporated by reference.
Award_Description
Grant Agreement # Award_Funders_Reference_No
Page 22 of 44
Appendix C Grantee Proposal/Scope of work
This section should, at a minimum, include:
Scope of Work identifying specific tasks the Grantee will required to
complete
Performance standards, Deliverables or specific requirements to be met
Schedule of when tasks will be done
A Budget – Similar to the format listed below including match
requirements.
Milestones
Reimbursable
Tasks
Grant
Budget
Match
Budget
Total
Budget
Start
Date
End
Date Deliverables
Total
Award_Description
Grant Agreement # Award_Funders_Reference_No
Page 23 of 44
Appendix D Project Management & Reporting Requirements
1. Project Management
The Grantee will notify the Authority immediately of any significant organizational changes during
the term of the grant, including changes in key personnel or tax status, any unforeseen problem
or project delay that may cause a change to the work plan or budget or that may otherwise affect
the Grantee’s ability to perform its commitments under this Grant Agreement. 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.
2. Contact Persons
For the Grantee For The Authority
Grant Manager
Grantee_GM_Name
Grantee_Address
Grantee_GM_City, Grantee_GM_State
Grantee_GM_Zip
Grantee_GM_Email
Grantee_GM_Phone
Grant Manager
Karin St. Clair, Grants Administrator
813 W. Northern Lights Blvd.
Anchorage, Alaska 99503
kstclair@akenergyauthority.org
907-771-3081
Project Manager
Grantee_PM_Name
Grantee_PM_Address
Grantee_PM_City, Grantee_PM_State
Grantee_PM_Zip
Grantee_PM_Email
Grantee_PM_Phone
Project Manager
AEA_PM
813 W. Northern Lights Blvd.
Anchorage, Alaska 99503
Email
Phone
3. Monthly Progress and Financial Reports
The Grantee will provide monthly progress and financial reports by email (or other method allowed
by the Authority, if email is not available) to the Authority Project Manager. These reports are due
starting the first full month after the execution of this Agreement. This report must update the
Authority on the project’s progress, regulatory and compliance issues, possible delays, and grant
expenditures during the month. These Monthly Progress Reports, which are due within 30 days
of the end of the previous month, must summarize, in one or two pages, the progress made on
grant tasks during the month and identify any difficulties in completing tasks or meeting goals or
deadlines. The Grantee must also include with the report copies of any work products due to the
Authority during this period.
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.
Award_Description
Grant Agreement # Award_Funders_Reference_No
Page 24 of 44
All reports and deliverables required in this agreement must have been submitted and approved
by the Authority prior to the final payment being released.
OR
(Project Manager and Grant Manager need to determine which amount of reporting is appropriate
for the Grantee.)
4. Quarterly Progress and Financial Reports
The Grantee will provide quarterly progress and financial reports by email (or other method
allowed by the Authority, if email is not available) to the Authority Project Manager. Reports are
due January 31st; April 30th; July 31st, and; October 31st of each year this Agreement is in place.
If the due date is a weekend or holiday, reports are due the following business day.
This report must update the Authority on the Project’s progress, regulatory and compliance
issues, possible delays, and grant expenditures during the quarter. These Quarterly Progress
Reports must summarize, in one or two pages, the progress made on grant tasks during the
quarter and identify any difficulties in completing tasks or meeting goals or deadlines. The
Grantee must also include with the report copies of any work products due to the Authority during
this period.
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.
All reports and deliverables required in this agreement must have been submitted and approved
by the Authority prior to the final payment being released.
Award_Description
Grant Agreement # Award_Funders_Reference_No
Page 25 of 44
Appendix E Project Budget & Reimbursement Provisions
1. Allowable Costs
Allowable costs under this grant include all reasonable and ordinary costs for direct labor &
benefits, travel, equipment, supplies, contractual services, construction services, and other direct
costs identified and approved in the Project budget that are necessary for and incurred as a direct
result of the Project and consistent with the requirements noted in Appendix B 4 Eligible Costs.
A cost is reasonable and ordinary if, in its nature and amount, it does not exceed that which would
be incurred by a prudent person under the circumstances prevailing at the time the decision was
made to incur the costs.
Allowable costs are only those costs that are directly related to activities authorized by the Grant
Agreement and necessary for the Project. The categories of costs and additional limits or
restrictions are listed below:
a. Direct Labor & Benefits
Include salaries, wages, and employee benefits of the Grantee’s employees for that portion
of those costs attributable to the time actually devoted by each employee to, and necessary
for the Project. Direct labor costs do not include bonuses, stock options, other payments
above base compensation and employee benefits, severance payments or other termination
allowances paid to the Grantee’s employees.
b. Travel, Meals, or Per Diem
Include reasonable travel expenses necessary for the Project. These include necessary
transportation and meal expenses or per diem of Grantee employees for which expenses the
employees are reimbursed under the Grantee’s standard written operating practice for travel
and per diem or the current State of Alaska Administrative Manual for employee travel.
c. Equipment
Include costs of acquiring, transporting, leasing, installing, operating, and maintaining
equipment necessary for the Project, including sales and use taxes.
Subject to prior approval by the Authority Project Manager, costs or expenses necessary to
repair or replace equipment damage or losses incurred in performance of work under the grant
may be allowed. However, damage or losses that result from the Grantee’s employees,
officer’s, or contractor’s gross negligence, willful misconduct, or criminal conduct will not be
allowed.
d. Supplies
Include costs of material, office expenses, communications, computers, and supplies
purchased or leased by the Grantee necessary for the Project.
e. Contractual services
Include the Grantee’s cost of contract services necessary for the Project. Services may
include costs of contract feasibility studies, project management services, engineering and
design, environmental studies, field studies, and surveys for the project as well as costs
incurred to comply with ecological, environmental, and health and safety laws.
Award_Description
Grant Agreement # Award_Funders_Reference_No
Page 26 of 44
f. Construction Services
For construction projects this includes the Grantee’s cost for construction contracts, labor,
equipment, materials, insurance, bonding, and transportation necessary for the Project. Work
performed by the Grantee’s employees during construction may be budgeted under direct
labor and benefits. Contracted project management or engineering may be budgeted under
contractual services and major equipment purchases made by the Grantee may be budgeted
under equipment.
g. Other Direct Costs
In addition to the above the following expenses necessary for the Project may be allowed.
Net insurance premiums paid for insurance required for the grant Project;
Costs of permits and licenses for the grant Project;
Non-litigation legal costs for the Project directly relating to the activities; in this
paragraph, “non-litigation legal costs” includes expenses for the Grantee’s legal staff and
outside legal counsel performing non-litigation legal services;
Office lease/rental payments;
Other direct costs for the Project directly relating to the activities and identified in the
grant documents; and/or
Land or other real property or reasonable and ordinary costs related to interests in land
including easements, right-of-ways, or other defined interests.
2. Specific Expenditures not allowed
Ineligible expenditures include costs for overhead, lobbying, entertainment, alcohol, litigation,
payments for civil or criminal restitution, judgments, interest on judgments, penalties, fines, costs
not necessary for and directly related to the grant Project, or any costs incurred before the
beginning date of the grant as indicated on the signature page.
Overhead costs described in this section include:
salaries, wages, applicable employee benefits, and business-related expenses of the
Grantee’s employees performing functions not directly related to the grant Project;
office and other expenses not directly related to the grant Project; and
costs and expenses of administration, accounting, human resources, training, property
and income taxes, entertainment, self-insurance, and warehousing.
3. Match
The Grantee is required to provide $________ in match for this Project. Cash match will be
applied based on a percentage basis unless otherwise specified in the budget in Appendix C. In-
kind match will be applied based on the budget in Appendix C.
Award_Description
Grant Agreement # Award_Funders_Reference_No
Page 27 of 44
4. Cost Share Match Requirements
Cost sharing or matching is that portion of the Project costs not borne by the Authority. The
Authority will accept all contributions, including cash and in-kind, as part of the Grantees’ cost
sharing or matching when such contributions meet the following criteria:
Are provided for in the Project budget;
Are verifiable from the Grantee’s records;
Are not included as contributions for another state or federally assisted project or program;
(The same funds cannot be counted as match for more than one program.)
Are necessary and reasonable for proper and efficient accomplishment of the Project or
program objectives;
Are allowable costs;
Are not paid by the State or federal government under another award, except for those
authorized by the State or federal statute to be used for cost sharing or matching;
Must be incurred within the grant eligible time period. The Authority may allow cost sharing
or matching contributions that occurred prior to the grant eligible time period for projects
that involve construction.
5. Valuing In-Kind Support as Match
If the Grantee chooses to use in-kind support as part of or its entire match, the values of those
contributions must be approved by the Authority at the time the budget is approved. The values
will be determined as follows:
The value of real property will be the current fair market value as determined by an
independent third party or a valuation that is mutually agreed to by the Authority and the
Grantee and approved in the grant budget.
The value assessed to Grantee equipment or supplies will not exceed the fair market value
of the equipment or supplies at the time the grant is approved or amended.
Equipment usage will be valued based on approved usage rates that are determined in
accordance with the usual accounting policies of the recipient or the rates for equipment
that would be charged if procured through a competitive process. Rates paid will not
exceed the fair market value of the equipment if purchased.
Rates for donated personal services will be based on rates paid for similar work and skill
level in the recipient’s organization. If the required skills are not found in the recipient
organization, rates will be based on rates paid for similar work in the labor market. Fringe
benefits that are reasonable, allowable, and allocable may be included in the valuation.
Transportation and lodging provided by the Grantee for non-local labor will not exceed the
commercial rates that may be available within the community or region.
Attachment #7, Grantee Contributions Report Form, must be submitted identifying the
composition and values of the In-Kind Contribution provided to meet the $ XXXXXX identified
Award_Description
Grant Agreement # Award_Funders_Reference_No
Page 28 of 44
above. (This is required for all federal funded grants and RPSU/BFU grants if In-Kind
Contributions are part of the project budget)
6. Grant Disbursements
The Grantee must request disbursement of grant funds in the form and format required by the
Authority with appropriate back-up documentation and certifications. (See Attachment 1).
Reimbursements are made for actual costs incurred and must be for approved milestones. The
back-up documentation must demonstrate the total costs incurred are allowable, and reflect the
amount being billed. Documentation must include:
A ledger summarizing cost being billed;
A summary of direct labor costs supported by timesheets or other valid time record to
document proof of payment;
Travel and per-diem reimbursement documentation;
Contractor or vendor pay requests;
Itemized invoices and receipts; and
Detailed ledger of costs being charged to this grant.
Additionally, the Grantee may be required to provide proof of payment of the incurred costs at the
request of the Authority.
Payment of grant funds will be subject to the Grantee complying with its matching contribut ion
requirements of the Grant.
Payment of grant funds will be made by the Authority to the Grantee within 30 days from receipt
of a properly completed, supported, and certified Reimbursement Request (See Attachment 1).
7. Withholding of Grant Funds
If, upon review of the monthly billings, the Authority discovers errors or omissions in the billings it
will notify the Grantee within thirty (30) days of receipt of the billing. Payment for the portion of
billings for which there is an error or omission may be withheld pending clarification by Grantee.
Grant funds may be withheld for the following reasons:
The Grantee fails to provide adequate back-up documentation.
The Authority determines that a specific expense is not allowed under the grant.
The Grantee’s matching contribution requirements are not met.
Up to 10% of the Authority’s contribution of grant funds may be retained by the Authority until the
Project is completed and all required final documentation and reports are received and accepted
by the Authority.
8. Advance Disbursements
In most instances, payments to a Grantee will be made on a cost reimbursable basis. If the
Authority determines that cost reimbursement will significantly inhibit the Grantee’s ability to
perform the Project and determines that an advance is in the public interest, the Authority may
Award_Description
Grant Agreement # Award_Funders_Reference_No
Page 29 of 44
recommend an advance to the Grantee of an amount not to exceed a projected thirty (30) day
cash need, or twenty percent (20%) of the grant amount, whichever amount is less.
Before the Authority will issue an advance, the Grantee must provide in writing, and the Authority
must approve a “Request for Advance Payment” form which includes:
justification of the need for the advance;
documentation of anticipated line item costs associated with the advance.
All advances will be recovered with the Grantee’s next Financial/Progress Report form. Should
earned payments during the terms of this Grant Agreement be insufficient to recover the full
amount of the advance, the Grantee will repay the unrecovered amount to the Authority when
requested to do so by the Authority, or at termination of the Grant Agreement.
9. Unexpended Grant Funds and Interest Earned
Any grant funds not expended under this agreement and any interest accruing on the grant funds
belong to the Authority and shall be returned to the Authority.
10. Budget Adjustments and Changes
When a Grantee faces increased unbudgeted costs, the Grantee should contact the Authority
Project Manager. Budget adjustments cannot increase the grant award amount. Cost overruns
that may require reduced scope of work will require Authority approval and an amendment to the
grant. If a budget adjustment or other changes indicate to the Authority Project Manager that the
project cannot be completed as currently planned and budgeted for, the Authority Project
Manager will not approve the release of additional grant funds until the Grantee provides sufficient
information on how the Grantee intends to complete the revised project.
Budget Adjustments
The Grantee shall identify budget changes on its Financial Reports submitted to the Authority.
At least quarterly, the Authority will compare actual costs to budgeted distribution s based on the
Financial Report/Request for Reimbursement form. Costs charged to grant funds must reflect
adjustments made as a result of the activity actually performed. The budget estimates or other
distribution percentages must be revised at least quarterly, if necessary, to reflect changed
circumstances.
Award_Description
Grant Agreement # Award_Funders_Reference_No
Page 30 of 44
Appendix F Clarifications or Amendments to the Agreement
1. Appendix A Section 30, Ownership of Documents and Products (example only)
Award_Description
Grant Agreement # Award_Funders_Reference_No
Page 31 of 44
Attachment 1 Financial Report/Request for Reimbursement Form
THIS REQUEST IS FOR FINAL PAYMENT
Grantee: Grantee_Name Project: Award_Description
Period: to Grant Number: Award_Funders_Reference_No
BUDGET SUMMARY
A B C D = B + C E = A - D
GRANT
BUDGET
MATCHING
BUDGET
TOTAL
BUDGET
PRIOR
EXPENDITURES
EXPENDITURES
THIS PERIOD
TOTAL
EXPENDITURES
GRANT
BALANCE
BY TASK OR MILESTONE
TOTAL
BY BUDGET CATEGORIES
Direct Labor and Benefits
Travel
Equipment
Contractual Services
Construction Services
Other
TOTAL
BY FUND SOURCES
Grant Funds XX%
Grant Funds YY%
Grantee Match – Cash
ZZ%
(Less) advance payments
TOTAL
Please submit this form and the supporting documentation to aeapayables@aidea.org
CERTIFICATION
Form requires two original signatures. The person certifying must be different from the person preparing the report. One signature should be the authorized
representative of the Grantee organization or highest ranking officer; the other should be the person who prepared the report.
I certify to the best of my knowledge and belief that the information reported on both the Financial Report above and the attached Progress
Report are correct. In addition, funds were spent and work performed in accordance with the grant agreement terms and conditions.
Certified By: Prepared By:
Printed Name: Printed Name:
Title: Date: Title: Date:
Award_Description
Grant Agreement # Award_Funders_Reference_No
Page 32 of 44
Attachment 2 Progress Report Form
Project Name: Award_Description
Grantee: Grantee_Name
Grant # Award_Funders_Reference_No
Period of Report: ___________ to ________________
Project Activities Completed:
Existing or Potential Problems:
Activities Targeted for Next Reporting Period:
Prepared By: Date:
Printed Name:
Award_Description
Grant Agreement # Award_Funders_Reference_No
Page 33 of 44
Attachment 3 Notice of Project and Grant Closeout
NOTICE OF PROJECT AND GRANT CLOSEOUT
ALASKA ENERGY AUTHORITY
Project Name: Award_Description
Grantee: Grantee_Name
Grant Number: Award_Funders_Reference_No
The Alaska Energy Authority certifies and acknowledges that the Project referenced above has
been completed, and that all tasks have been satisfactorily carried out in accordance with the
terms and conditions of Agreement Number: Award_Funders_Reference_No.
Project Manager Date
Alaska Energy Authority
Grantee_Name certifies that the Project named above is complete in accordance with the terms
and conditions of Alaska Energy Authority Agreement Number: Award_Funders_Reference_No.
Grantee_Name also certifies that, we have been reimbursed for all eligible expenses pertaining
to Award_Funders_Reference_No, and that as of the date of signature, no further
reimbursements will be requested for any activity related to the Project identified above.
Pursuant to Appendix B #21 (CHECK THIS) ‘Performance/Operation and Maintenance (O&M)
Reporting’, the Grantee is required to provide detailed reports annually, for ten years.
Total project cost $____________
The total project cost should include all expenses related to this grant funded project (grants,
loans, match, etc.). It should include design and construction costs, but should not include
feasibility and reconnaissance work.
Notes/comments: ___Please attach on a separate page__________________________
Authorized Signature Title
Printed Name Date
Award_Description
Grant Agreement # Award_Funders_Reference_No
Page 34 of 44
Attachment 4 Notice of Substantial Completion
NOTICE OF SUBSTANTIAL COMPLETION
ALASKA ENERGY AUTHORITY
Project Name: Award_Description
Grantee: Grantee_Name
Grant Number: Award_Funders_Reference_No
The Alaska Energy Authority (the Authority) issues this notice that the Authority has determined
that all tasks associated with the Project referenced above have been substantially completed in
accordance with the terms and conditions of Agreement Number: Award_Funders_Reference_No
(Agreement), with the exception of outstanding work items identified in the Exhibit A.
Under Appendix B, No. 24 of the Agreement, the Authority issuing this Notice means the Grantee
assumes all responsibility associated with operating and maintaining the Project, except as
specifically provided otherwise in the Agreement or by separate agreement executed by the
Authority and the Grantee.
The Grantee may disagree with the substantial completion determination by providing written
notice to the Project Manager within 30 days after receipt of the Notice of Substantial Completion.
The Grantee’s written objections disagreeing with the Notice of Substantial Completion must
detail the reasons the Grantee believes the Notice of Substantial Completion should not be
issued. Further the Grantee must explain what the Grantee expects should be done so the Notice
of Substantial Completion can be issued, and when the additional issues identified can be
completed or resolved. The Authority will follow-up within 60 days, letting the Grantee know if the
objections have been accepted, if the Notice of Substantial Completion stands, or, if the Notice of
Substantial Completion is modified.
Within 30 days of final disposition of the Notice of Substantial Completion, the Authority Project
Manager will issue a Certificate of Substantial Completion which will include an updated punchlist
(if one still exists) which will be signed by the general contractor and the Authority. The date of
this certificate shall be the completion date of the Project.
Authority Project Manager Date
Award_Description
Grant Agreement # Award_Funders_Reference_No
Page 35 of 44
Attachment 5 Grantee Certification
CERTIFICATION OF GRANTEE AND LOWER-TIER PARTICIPANTS
REGARDING DEBARMENT, SUSPENSION, AND OTHER INELIGIBILITY AND
VOLUNTARY EXCLUSION
Grantee
Grantee_Name
Grantee_Address
Grantee_City, Grantee_State Grantee_Zip
I,______________________________________ hereby certify on behalf
(Name and title of official)
of Grantee_Name that:
(1) The prospective Grantee and lower tier participant certifies, by submission of
this letter, that neither it nor its "principals" [as defined at 49 C.F.R. § 29.105(p)]
is presently debarred, suspended, proposed for debarment, declared ineligible,
or voluntarily excluded from participation in this transaction by any Federal
department or agency. In the event, your company or any principals become
ineligible from participating in federally funded transactions, you are required to
notify us immediately.
(2) When the prospective Grantee and lower tier participant is unable to certify
to the statements in this certification, such prospective participant shall
attach an explanation to this proposal.
Executed this day of , 20
By:
(Signature of authorized official)
(Title of authorized official)
Award_Description
Grant Agreement # Award_Funders_Reference_No
Page 36 of 44
DEBARMENT, SUSPENSION, INELIGIBILITY & VOLUNTARY EXCLUSION - 49 CFR Part 29; Executive Order 12549
[Applicable to all Federal-aid contracts which exceed $25,000]
Instructions for Certification:
1. The certification in this clause is a material representation of fact upon which reliance was placed when this transaction was entered
into. If it is later determined that the prospective Grantee and lower tier participants knowingly rendered an erroneous cert ification, in
addition to other remedies available to the Federal Government, THE AUTHORITY may pursue available remedies, including
suspension and/or debarment.
2. The prospective Grantee and lower tier participants shall provide immediate written notice to THE AUTHORITY if at any time
the prospective Grantee and lower tier participants learns that its certification was erroneous when submitted or has become erroneous
by reason of changed circumstances.
3. The terms "covered transaction," “debarred," "suspended," "ineligible," "lower tier covered transaction," "participant," "persons,"
"lower tier covered transaction," "principal," "proposal," and voluntarily excluded," as used in this clause, have the meanin gs set out in
the Definitions and Coverage sections of rules implementing Executive Order 12549 [49 CFR Part 29]. You may contact THE
AUTHORITY for assistance in obtaining a copy of those regulations.
4. The prospective Grantee and lower tier participants agrees by submitting this proposal that, should the proposed covered transaction
be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is debarred, suspende d, declared
ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized in writing by THE AUTHORITY.
5. The prospective Grantee and lower tier participants further agrees by submitting this proposal that it will include the clause titled
"Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion-Lower Tier Covered Transaction", without
modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions.
6. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction
that it is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that th e certification
is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant
may, but is not required to, check the Non -procurement List issued by U.S. General Service Administration.
7. Nothing contained in the foregoing shall be construed to require establishment of system of records in order to render in good faith
the certification required by this clause. The knowledge and information of a participant is not required to exceed that which is normally
possessed by a prudent person in the ordinary course of business dealings.
8. Except for transactions authorized under Paragraph 5 of these instructions, if a participant in a covered transaction knowingly enters
into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in
this transaction, in addition to all remedies available to the Federal Government, THE AUTHORITY may pursue available remedie s
including suspension and/or debarment.
Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion Lower Tier Covered Transaction
(1) The prospective Grantee and lower tier participants certifies, by submission of this bid or proposal, that neither it nor its "principals"
[as defined at 49 CFR §29.105(p)] is presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded
from participation in this transaction by any Federal department or agency.
(2) When the prospective Grantee and lower tier participants is unable to certify to the statements in this certification, such prospective
participant shall attach an explanation to this proposal.
The Grantee, Grantee_Name certifies or affirms the truthfulness and accuracy of each statement of its certification and disclosure, if
any. In addition, the Grantee understands and agrees that the provisions of, 49 CFR §29 apply to this certification and discl osure, if any.
Signature of Grantee’s Authorized Official:________________________________________________
Name and Title of Grantee’s Authorized Official:____________________________________________
Date:___________________________________
Award_Description
Grant Agreement # Award_Funders_Reference_No
Page 37 of 44
Attachment 6 Waiver of Sovereign Immunity (if Required)
Limited Waiver of Sovereign Immunity
by the Grantee_Name
in Connection with the Grant from the Alaska Energy Authority
Grant Agreement Award_Funders_Reference_No
1. The Grantee_Name (initials), a federally-recognized Alaska Native tribal entity,
expressly and irrevocably waives its sovereign immunity and gives its consent to be sued in and
to have judgment entered against it in the courts or administrative tribunals of the State of Alaska
(“State”) or in federal courts or administrative tribunals for the relief specified below.
2. Action. Immunity is waived solely as to:
a. Any administrative agency action or civil action filed by Alaska Energy Authority
(AEA) or other State body against (initials), or its officials or officers acting in
their official capacities, for a breach or violation of the Grant Agreement
Award_Funders_Reference_No, a true unexecuted copy of which is attached as
Exhibit 1.
b. Any defense, cross-claim, counterclaim, offset, or third-party claim against the
(initials) or its officials or officers acting in their official capacities by AEA or
other State body in response to an administrative agency action or civil action
involving (initials) or its employees or officials acting in their official capacities
and involving the grant or work performed thereunder.
c. Any claim arising under or related to the grant asserted against the (initials) or its
officials or officers acting in their official capacities by AEA or other State body
(1) in response to third-party claims against AEA or other State body as a result of
the (initials)’s actions, or the actions of the (initials)’s officials, officers,
employees or agents, during the execution of the grant; (2) to compel compliance
with a subpoena, (3) to compel compliance with a lawful judgment, order, or
process of the administrative body or state court, or (4) to prevent any other
unlawful interference with the process or proceedings of an administrative body
or state or federal court and to seek any available remedies against (initials) via
contempt proceedings (see, e.g., AS 9.50.010, AS 9.50.020 and AS 9.50.040).
3. Remedy: The remedies available under this waiver shall be limited as follows:
a. Monetary relief;
b. Equitable relief for the remedy of specific performance, including but not limited
to injunctive relief and declaratory relief;
c. Any available remedies for contempt;
Award_Description
Grant Agreement # Award_Funders_Reference_No
Page 38 of 44
d. Levy and execution against (initials) funds for costs or attorney’s fees awarded to
AEA or other State body, to enforce a money judgment awarded to AEA or other
State body under this waiver, as well as to enforce a contempt order or any remedy
provided for in the contempt order; and
e. Only funds belonging to (initials) are subject to potential levy and execution or
other legal process; no personal assets of (initials) officials or officers are subject
to levy, execution, or other mechanisms to enforce a judgment.
4. Federal Tort Claims Act. This limited waiver of sovereign immunity shall not be
construed as an agreement or concession by (initials) to limit, waive or alter the coverage of
section 314 of Public Law 101-512 or the Federal Tort Claims Act for any claim to which those
laws apply.
5. No Third Party Beneficiary. (initials) does not waive sovereign immunity as to any third
party. No provision of this waiver shall be interpreted as waiving the (initials)’s sovereign
immunity or granting (initials) consent for a suit to be brought directly against the (initials) or
any (initials) official or officer by any party other than AEA or other State body, nor shall any
provision in this waiver be construed as creating in the public or any person a third party benefit
or to otherwise authorize any person to maintain a suit for personal injury or other cause of
action under the terms of this waiver or the Grant Agreement.
6. Forum. Except as otherwise provided by law, Alaska State Courts shall have exclusive
jurisdiction over all civil actions described in this waiver of sovereign immunity and any civil
action initiated by any party that arises under or is in any manner related to the grant shall be
filed in the courts of the State of Alaska with venue in the relevant judicial district where
(initials) is located.
7. Effect of Future Amendment of Constitution or other Constitutive Document. If any
Constitution, by-law, ordinance or other document relevant to (initials) is amended in the future,
this waiver of sovereign immunity shall continue in full force and effect regardless of the terms
of any such future amendments.
8. Applicable Law and Rules of Construction. This Limited Waiver of Sovereign Immunity
shall be interpreted under the laws of the State of Alaska. The parties had a full and fair
opportunity to consult with legal counsel, to ask questions, and to consider this Limited Waiver
of Sovereign Immunity’s specific provisions. This Limited Waiver of Sovereign Immunity will
not be interpreted in favor of or against either party.
9. Approval by Council Required. This Limited Waiver of Sovereign Immunity shall be
effective when it is approved by official act of the Council in accordance with the relevant
Constitution, by-laws, and all applicable tribal rules and ordinances that apply to (initials).
Approval shall be recorded in a document that certifies that the approval occurred in accordance
with such applicable rules and ordinances.
10. Duration. This Limited Waiver of Sovereign Immunity shall expire upon expiration of
any applicable statute of limitations following the termination of the grant.
Award_Description
Grant Agreement # Award_Funders_Reference_No
Page 39 of 44
SIGNATURE
Grantee_Name
BY:_____________________________________________
PRINTED NAME: _________________________________
TITLE: __________________________________________
DATE: __________________________________________
ACKNOWLEDGMENT
STATE OF ALASKA )
) ss.
______ JUDICIAL DISTRICT )
THIS IS TO CERTIFY that on the ________________________________ (date), the
foregoing Limited Waiver of Sovereign Immunity was signed and acknowledged before me
by _______________________(name), the ______________________________(title) of the
________________________(tribal entity), who swore, under oath or affirmation, that:
(1) he/she is acting on behalf of Grantee_Name and under its constitutional
authority,
(2) he/she has the authority to sign for and bind Grantee_Name and its officials,
employees and successors to the commitments and conditions of this Limited
Waiver of Sovereign Immunity, and
(3) Grantee_Name fully complied with all current procedure and requirements
necessary to validly authorize his/her signature on this Limited Waiver of
Sovereign Immunity and to waive Grantee_Name’s sovereign immunity whether
those procedures or requirements are contained in the most recent versions of the
Constitution, constitutional interpretations, constitutional by-laws, rules adopted
under the Constitution, the Record of Organization (if any), the tribal ordinances,
or any other rules.
______________________________
Notary Public in and for Alaska
My Commission expires: _________
Award_Description
Grant Agreement # Award_Funders_Reference_No
Page 40 of 44
Attachment 7 Grantee Contributions Report Form
Project Name: Award_Description
Grantee: Grantee_Name
Grant Number: Award_Funders_Reference_No
Check below the type of contribution being supplied for this grant. Next to each category,
list the value of the contribution.
Land Value
Equipment Value
Fuel Value
Room Rental Value
Cash Value
Other: Value
CERTIFICATION
Form requires two original signatures. The person certifying must be different from the person preparing the report.
One signature should be the authorized representative of the Grantee organization or highest ranking officer; the other
should be the person who prepared the report.
I certify to the best of my knowledge and belief that the information provided in this Report is correct.
Certified By: Prepared By:
Printed Name: Printed Name:
Title: Date: Title: Date:
Award_Description
Grant Agreement # Award_Funders_Reference_No
Page 41 of 44
Attachment 8 Advance Request Form
GRANTS SECTION
REQUEST FOR ADVANCE PAYMENT
Instructions:
(1) Fill in the Grantee, Grant Number, Project Title, Amount Requested, and Date.
(2) Read the language in Appendix E of the Grant Agreement (Advance Disbursements provision).
(3) Check the boxes to confirm that the advance is justified and that you have read and understood
the conditions under which the advance will be approved and recovered by the Authority.
(4) Provide a brief narrative explaining the proposed use of the advanced funds.
(5) Attach documentation of costs associated with the requested advance (i.e., price quotes or cost
estimates, invoices, a spreadsheet outlining projected payroll, etc.)
Grantee:
Grantee_Name
Grant Number:
Award_Funders_Reference_No
Project Title:
Award_Description
Date:
Amount Requested:
The Grantee confirms that the advance is necessary due to a lack of cash on hand to administer
the grant on a cost-reimbursable basis.
The Grantee understands the conditions under which the Authority will recover the advance.
Explain how the advance will be used. Attach additional pages if necessary.
_______________________________________________________________________________________________
_______________________________________________________________________________________________
Grantee Certification: I certify that the above information is true and correct, and that expenditures will be
made for the purpose of, and in accordance with, applicable grant agreement terms and conditions.
Signature Date
Name and Title
Award_Description
Grant Agreement # Award_Funders_Reference_No
Page 42 of 44
Attachment 9 Insurance and Indemnification Waiver
Award_Description
Grant Agreement # Award_Funders_Reference_No
Page 43 of 44
Attachment 10 O&M Reporting
Award_Description
Grant Agreement # Award_Funders_Reference_No
Page 44 of 44
Attachment 11 Grant Documents Authorized Signers Form
Community/Grantee Name:
Regular Election is held:
Date:
Printed Name Title Term Signature
I authorize the above person(s) to sign Grant Documents:
(Highest ranking organization/community/municipal official)
Printed Name Title Term Signature
Mailing Address:
Phone Number:
Fax Number:
E-mail Address:
Federal Tax ID #:
Please submit an updated form whenever there is a change to the above information.