2023-24
Procedural Guide
For
Local Assistance Specified Grants –
Capital
May 2024
State o
f California
The Natural Resources Agency
Department of Parks and Recreation
Office of Grants and Local Services (OGALS)
“Creat
ing Community through People, Parks, and Programs”
Send Application and correspondence to your
Administrative Project Officer listed at: www.parks.ca.gov/grants/contacts Mailing Address:
State of California
Dept. of Parks and Recreation
P.O. Box 942896
Sacramento, CA 94296-0001
Attn: Office of Grants and Local Services
www.parks.ca.gov/grants
Attachment 3
GRANTEE SPECIFIED GRANT PROCEDURAL GUIDE - CAPITAL
STATE OF CALIFORNIA
DEPARTMENT OF PARKS AND RECREATION
Department Mission
The mission of the California Department of Parks and Recreation is to provide for the health, inspiration, and education of the people of California by helping to preserve the state’s extraordinary biological diversity, protecting its most valued natural and cultural resources, and creating opportunities for high-quality outdoor recreation.
Office of Community Engagement Mission
The mission of the Community Engagement Division is to encourage healthy communities by connecting people to parks, supporting innovative recreational opportunities, embracing diversity, fostering inclusivity, and delivering superior customer leadership through quality customer services.
T
he Office of Grants and Local Services (OGALS) Mission Statement The mission of the Office of Grants and Local Services is to address California’s diverse recreational, cultural and historical resource needs by developing grant programs, administering funds, offering technical assistance, building partnerships and providing leadership through quality customer service.
OGALS VISION GOALS
To Be:
A leader among park and recreation professionals.
Proactive in anticipating public park and recreation needs and how new legislation and grant programs could best meet these needs.
Honest, knowledgeable, and experienced grant administration facilitators. Sensitive to local concerns while mindful of prevailing laws, rules, and regulations. Perceptive to opportunities for partnerships, growth and renewal where few existed before.
Committed to providing quality customer service in every interaction and transaction.
Responsive to the needs of applicants, G
RANTEES, nonprofit organizations, local
governments, legislative members, and department employees.
3 T
ABLE OF CONTENTS
I. INTRODUCTION ....................................................................................................... 4 II. G RANT PROCESS ................................................................................................... 4 Resolution Form......................................................................................................... 7 III. APPLICATION SECTION ................................................................................ 8 APPLICATION PACKET checklist and directions.............................................................. 8 Additional Non-Profit Requirements ......................................................................... 10 Project Application Form .......................................................................................... 11 PROJECT SCOPE/Cost Estimate Form ........................................................................ 12 Funding Sources Form ............................................................................................ 13 CEQA Compliance Certification Form ...................................................................... 14 Development Project Eligible Costs and Rules ........................................................ 15 Acquisition Projects .................................................................................................. 17 IV. CONTRACT S ECTION ............................................................................................ 19 G rant Contract ....................................................................................................... 19 Project Status Report ............................................................................................ 27 V. GRANT PAYMENT SECTION ................................................................................ 28 P ayment Request Form ........................................................................................ 33 Grant Expenditure Form ........................................................................................ 35 Project Completion Packet .................................................................................... 31 PROJECT COMPLETION Certification ......................................................................... 36 VI. ACCOUNTING AND AUDIT SECTION ................................................................... 37 Accounting Requirements ........................................................................................ 37 State Audit ............................................................................................................... 37 Audit Checklist ......................................................................................................... 38 VII. DE
FINITIONS .......................................................................................................... 39 Words and terms shown in SMALL CAPS in this procedural guide are defined beginning on page 39.
4 I. Introduction
This specified grant originated from a line item in the State of California Budget for fiscal year 2023-24. A resolution is required before a CONTRACT will be issued, and an approved APPLICATION PACKET is required before GRANT payments can be approved. The GRANT PERFORMANCE PERIOD is July 1, 2023 – June 30, 2027.
1. Costs incurred before or after the GRANT PERFORMANCE PERIOD are not eligible for reimbursement.
2. Costs incurred after the APPROPRIATION DATE but before OGALS approves the APPLICATION PACKET are eligible if they are consistent with the GRANT SCOPE approved by OGALS and are ELIGIBLE COSTS.
II. Grant Process
Grant Process Key Dates
• Grant Performance Period: July 1, 2023 – June 30, 2027 • Resolution: Submit by December 31, 2024
• Contract: Sign and return by January 31, 2025
• Projects Complete by December 31, 2026
• Project Completion Packets: Submit by: January 31, 2027 Grant Process Detail
1. Resolution: APPLICANT sends resolution to OGALS by December 31, 2024, to allow approval within the CONTRACT ENCUMBRANCE PERIOD, which ends June 30, 2025.
2. CONTRACT: OGALS sends CONTRACT to APPLICANT. APPLICANT becomes GRANTEE when CONTRACT is fully executed during CONTRACT ENCUMBRANCE PERIOD. a. The CONTRACT section includes a sample contract and the contract provisions.
b. The APPLICANT must return the CONTRACT signed by the AUTHORIZED REPRESENTATIVE to OGALS no later than January 31, 2025. The APPLICANT becomes a GRANTEE when the CONTRACT is signed by OGALS. c. OGALS returns a copy of the fully executed CONTRACT to the GRANTEE.
3. APPLICATION PACKET(s): The GRANTEE defines the SCOPE(s) and amount of grant funds needed for each PROJECT. As PROJECTS are identified, the GRANTEE may submit individual APPLICATION PACKET(s) to OGALS. OGALS reviews each APPLICATION PACKET and sends a letter of approval to the GRANTEE or requests additional information.
After each PROJECT is approved by OGALS, OGALS will send a Status Report to the GRANTEE approximately every six months until OGALS receives a PROJECT COMPLETION PACKET. The GRANTEE must return the Status Report within thirty
5 (30) days from receipt. Payment requests will not be processed if Status Reports are overdue.
4. Payments and end of GRANT PERFORMANCE PERIOD: GRANTEE requests payments for ELIGIBLE COSTS. OGALS recommends that GRANTEE provide all PROJECT COMPLETION PACKET(S) no later than January 31, 2027. The grant payments section provides payment request instructions and forms. a. The GRANTEE may request payments after each PROJECT is approved by OGALS. GRANT funds may only be expended on ELIGIBLE COSTS incurred within the GRANT PERFORMANCE PERIOD.
b. The GRANTEE completes PROJECT SCOPE(s) and sends PROJECT COMPLETION PACKET(s) to OGALS no later than January 31, 2027.
c. The State of California receives a high volume of payment requests at the end of the fiscal year. If the PROJECT COMPLETION PACKET is received after January 31, 2027, OGALS cannot guarantee final payment by the State Controller’s Office. If the State Controller’s Office is unable to process the payment before the end of the GRANT PERFORMANCE PERIOD, the unpaid balance of grant funds will revert to the Legislature.
d. OGALS processes the final payment request after each PROJECT is complete as documented by the GRANTEE in the PROJECT COMPLETION PACKET, and as verified by OGALS when conducting a final site inspection.
5. Accounting and Audit: DPR’s Audits Office may conduct an audit. The GRANTEE is required to retain all PROJECT records for five years following receipt of the final GRANT payment. The Accounting and Audit Section provides directions and an Audit Checklist for DPR audit and accounting requirements.
6 Authorizing Resolution
GRANTEE passes one resolution approving the filing of applications associated with theCONTRACT and forwards a copy to OGALS.
The Authorizing Resolution on the following page may be reformatted; however, the language provided in the resolution must remain unchanged.
The Authorizing Resolution serves two purposes:
1. It is how the GRANTEE’S Governing Body agrees to the terms of the CONTRACT; it provides confirmation that the GRANTEE has the funding to complete, operate and maintain PROJECTS associated with the CONTRACT.
2. It designates a position title to represent the Governing Body on all matters regarding PROJECTS associated with the CONTRACT. The incumbent in this position is referred to as the AUTHORIZED REPRESENTATIVE.
The AUTHORIZED REPRESENTATIVE can delegate signatory authority to other individuals (by position title) either in entirety or for particular documents. The delegation process requires the
AUTHORIZED REPRESENTATIVE to submit a letter (on letterhead) or email to OGALS delegating authority.
7 Resolution Form
Resolution No: __________________
RESOLUTION OF THE ___________ (Title of Governing Body/City Council, Board of Supervisors) OF ___________ (City, County, or District) APPROVING APPLICATION(S) FOR SPECIFIED GRANT FUNDS from Budget Act 2023/24 (Budget line item and language)
WHEREAS, the State Department of Parks and Recreation has been delegated the responsibility by the Legislature of the State of California for the administration of a grant to the [grantee name], setting up necessary procedures governing application(s); and
WHEREAS, said procedures established by the State Department of Parks and R
ecreation require the applicant’s Governing Body to certify by resolution the approval of project application(s) before submission of said applications to the State; and WHEREAS, the applicant will enter into a contract with the State of California to complete project(s);
NOW, THEREFORE, BE IT RESOLVED that the ___________ (grantee’s governing body) hereby:
1. A pproves the filing of project application(s) for specified grant project(s); and
2. Certifies that said applicant has or will have available, prior to commencement of project work utilizing specified grant funds, sufficient funds, including those provided by this grant, to complete the project; and
3. Certifies that the applicant has or will provide sufficient funds to operate and maintain the project(s); and
4. Certifies that the applicant has reviewed, understands, and agrees to the Provisions contained in the contract in this Procedural Guide; and
5. Delegates the authority to the ___________ (designated position, not name of person occupying position), or designee to conduct all negotiations, sign and submit all documents, including, but not limited to applications, agreements, amendments, and payment requests, which may be necessary for the completion of the project scope(s); and
6. A
grees to comply with all applicable federal, state and local laws, ordinances, rules, regulations and guidelines.
Approved and adopted the _____day of ______________, 20_______.
I, the undersigned, hereby certify that the foregoing Resolution Number_____ was duly adopted by the ___________ (grantee’s governing body) following a roll call vote:
A
yes:
Noes:
Absent: __________________________
(Clerk)
8 III. APPLICATION SECTION
• GRANTEE may submit multiple APPLICATION PACKETS to OGALS. • Provide the APPLICATION PACKET items in the following checklist. • If a checklist item is not applicable to the PROJECT, provide a brief explanation. • If an application item is incomplete send a draft with a timeline for completion.
Application packet checklist and directions
GRANTEES must complete the checklist below and submit it with the APPLICATION PACKET.
An APPLICATION PACKET is not complete unless all items on the checklist are submitted.
Each PROJECT requires its own APPLICATION PACKET.
Check if
included
Check if not
applicable
Application Item Procedural
Guide
Page #
Check when
signed by
AUTHORIZED
REPRESENTATIVE
Application
Packet
Page #
Application Packet Checklist
Digital file name: checklist.pdf Pg. 8 Pg._____
Application
Digital file name: application.pdf Pg. 11 Pg._____
Project Scope/Cost Estimate
Digital file name: costestimate.pdf Pg. 12 Pg._____
Funding Sources Form
Digital file name: fundingsources.pdf Pg . 13
CEQA Compliance Certification
and filed NOE or NOD
Digital file name: ceqacert.pdf / NOE or NOD.pdf
Pg. 14 Pg._____
Acquisition Requirements
Digital file names: acqscope.pdf & acqdocs.pdf
Pg. 17 Pg._____
Land Tenure documentation
Digital file names: ownership.pdf or
nonownership.pdf
Pg. 9 Pg._____
Sub-Leases or Agreements
Digital file name: otheragreements.pdf Pg. 9 Pg. _____
Site Plan
Digital file name: siteplan.pdf Pg. 9 Pg._____
Pg._____
9 Site Plan
• Provide a drawing showing where each feature and support amenity listed in the Project Scope/Cost Estimate Form will be located.
• I nclude the function and approximate square footage of each room within buildings that are part of the project SCOPE, and the approximate total square footage of the buildings.
Land Tenure and Site Control
If the property is owned in fee simple by the APPLICANT, provide one of the following:
• Deed or deed recordation number
• Title report
• Parcel/Tract map (if owner’s name provided)
If the property is not owned in fee simple or on a right-of-way, provide the lease, easement, joint powers agreement, etc.
Sub-leases or Agreements
Provide a list of all other leases, agreements, memoranda of understanding, etc., affecting PROJECT property or its operation and maintenance.
California Environmental Quality Act (CEQA)
The APPLICANT should check with its local city or county planning agency for CEQA compliance information.
• If CEQA is complete: provide the CEQA Compliance Certification Form and required Notice of Exemption or Notice of Determination, filed with the County Recorder.
• If CEQA is not complete: provide a timeline for completion and state “completing CEQA is a Project Scope Item.”
10 Additional Non-Profit Requirements
Fidelity Bond (For Non-profit grantees only)
Non-profit GRANTEES must provide a copy of a current Fidelity Bond policy to their PROJECT OFFICER before OGALS will approve any payment requests. The premium for a Fidelity Bond is an eligible cost.
A Fidelity Bond provides insurance covering fraudulent acts of GRANTEES’ employees, volunteers, officers, and directors. The GRANTEE is the insured party. DPR must be named as a Third-Party Loss Payee. OGALS address is State of California, Dept. of Parks and Recreation, P.O. Box 942896, Sacramento, CA 94296-0001, Attn: Office of Grants and Local Services.
Coverage must be at least equal to the GRANT amount. Fidelity Bond insurance must be kept current for at least six months after the date of the final GRANT payment.
GRANTEES may obtain the Fidelity Bond through a general liability carrier, a major casualty insurance carrier, or a bonds specialty company. There are Fidelity Bond frequently asked questions available on the OGALS web site.
Competitive Bid Solicitation Process (For non-profit grantees only)
1. Non-profit GRANTEE must attempt to obtain three bids for services greater than $10,000 and for construction work greater than $25,000.
2. To ensure bidders understand the required PROJECT elements, the GRANTEE provides each bidder (potential contractor) the same written invitation for bid describing the PROJECT work to be performed based on “Best Value” factors, and the required PROJECT elements based on the Project Scope/Cost Estimate Form, and concept level site plan.
3. Solicit bids by contacting at least three potential contractors or by invitation for bids advertising, or a combination of both methods.
The GRANTEE’s Board of Directors evaluates the bids to determine which contractor will provide the “best value” and will meet PROJECT requirements. “Best value” should be determined by price, quality of materials, equipment, and workmanship. The evaluation process must ensure no conflict of interest between the contractor and the
GRANTEE’s Board of Directors. The GRANTEE’s Board of Directors need not necessarily accept the lowest bid, but a reasonable justification for the decision should be recorded in writing.
4. The Board of Directors selects a contractor and awards a contract.
5. For audit purposes, the
GRANTEE keeps records of Steps 1 – 4 above.
Competitive Bid Solicitation Requirement
The non-profit GRANTEE may request a waiver of the competitive solicitation process requirement. To request a waiver, the GRANTEE must send a written request to the PROJECT OFFICER assigned to the GRANT PROJECT and explain why a waiver is required.
11 State of California – The Resources Agency
DEPARTMENT OF PARKS AND RECREATION
Capital Outlay Project Application Form
PROJECT NAME REQUESTED GRANT AMOUNT
$
PROJECT SITE NAME and PHYSICAL ADDRESS where
PROJECT is located (including zip code)
(Use latitude and longitude if there is no street address) LAND TENURE ( all that apply)
Owned in fee simple by APPLICANT
Available (or will be available) under
a _________year lease or easement
NEAREST CROSS STREET(S)
COUNTY OF PROJECT LOCATION
APPLICANT NAME AND MAILING ADDRESS
AUTHORIZED REPRESENTATIVE AS SHOWN IN RESOLUTION
_____ ______________________________________________________________________________ Name (typed or printed) and Title Email address Phone
GRANT CONTACT - For administration of grant (if different from AUTHORIZED REPRESENTATIVE) _____ ______________________________________________________________________________ Name (typed or printed) and Title Email address Phone
GRANT SCOPE: I represent and warrant that this APPLICATION PACKET describes the intended use of the requested GRANT to complete the items listed in the attached Project Scope/Cost Estimate Form. I declare under penalty of perjury, under the laws of the State of California, that the information contained in this APPLICATION PACKET, including required attachments, is accurate. ___ _________________
Signature of AUTHORIZED REPRESENTATIVE as shown in Resolution Date Print Name
Title
12 Project S cope/Cost Estimate Form
GRANTEE: PROJECT Name
Project Scope (Describe the project in 30 words or less):
Project SCOPE ITEMS
ACQUISITION: List each parcel number, acreage, estimated date of purchase and cost.
DEVELOPMENT: List each feature and major support amenity. E stimated Cost
$
$
$
$
$
$
$
$
$
$
$
$
$
Total GRANT amount: $
AUTHORIZED REPRESENTATIVE Signature Date
Print Name and Title
The APPLICANT understands that this form will be used to establish ELIGIBLE COSTS, and that all features and support amenities listed on this form must be completed before the final PROJECT payment is processed as specified in the Final Payments section of this guide.
State of California – The Natural Resources Agency
DEPARTMENT OF PARKS AND RECREATION
13 GRANTEE: PROJECT Name
PROJECTS funded by the program are not complete until the PROJECT SCOPE is complete, and the PROJECT is open to the public. PROJECTS will:
• Be entirely funded by the GRANT, or
• Require funds in excess of the GRANT.
If the PROJECT requires funds in excess of the GRANT, the SCOPE of the PROJECT may be either the SCOPE of the larger project, or a subset of the larger project.
For example, if the PROJECT is $100,000 towards construction of a $500,000 park, the SCOPE can be the $500,000 park, or a $100,000 element of the park, such as a playground, that can be complete and open to the public.
The PROJECT will be entirely funded by the GRANT, or
The PROJECT requires funds in excess of the GRANT:
The SCOPE is the same as the scope of the larger project, or The SCOPE is a subset of a larger project, the scope of that larger project is:
Larger project cost: $ Anticipated completion date:
List all funds that will be used. Submit revised Funding Sources form should funding sources be added or modified.
Funding Source Date Committed Amount
$
$
$
I represent and warrant that I have full authority to execute this Funding Sources Form on behalf of the GRANTEE. I declare under penalty of perjury, under the laws of the State of California, that this status report, and any accompanying documents, for the above- mentioned GRANT is true and correct to the best of my knowledge.
AUTHORIZED REPRESENTATIVE Signature Date
Print Name and Title
Funding Sources Form
14 State of California – The Resources Agency
DEPARTMENT OF PARKS AND RECREATION
CEQA Compliance Certification Form
GRANTEE:
Project Name:
Project Address:
Is CEQA complete? Yes No Is completing CEQA a PROJECT SCOPE item? Yes No What document was filed, or is expected to be filed for this project’s CEQA analysis:
__________________________________
Date complete/expected to be completed: ___________________ Not
ice of Exemption (attach recorded copy if filed)
Notice of Determination (attach recorded copy if filed) Other:
If
CEQA is complete, and a Notice of Exemption or Notice of Determination was not filed, attach a letter from the Lead Agency explaining why, certifying the project has complied with CEQA and noting the date that the project was approved by the Lead Agency.
Lead Agency Contact Information
Agency Name:
Contact Person:
Mailing Address:
Phone: ( ) Email:
Cer
tification:
I hereby certify that the above referenced Lead Agency has complied or will comply with the California Environmental Quality Act (CEQA) and that the project is described in adequate and sufficient detail to allow the project’s construction or acquisition.
I further certify that the CEQA analysis for this project encompasses all aspects of the work to be completed with grant funds.
AUTHORIZED REPRESENTATIVE Signature Date
Print Name and Title
15 Development Projects
Development Project Rules
1. Contracted work must comply with the provisions of §1771 of the State Labor Code.
2. GRANTEE must have adequate liability insurance, p erformance bond, or other security necessary to protect the State and GRANTEE’S interest against poor workmanship, fraud, or other potential loss associated with the completion of the PROJECT.
3. PROJECTS must be accessible, including an accessible path of travel to the PROJECT.
E
ligible Development Costs
All costs must be incurred within the GRANT PERFORMANCE PERIOD. Costs listed below are examples of eligible costs, and not inclusive. Contact OGALS if you have any questions regarding a PROJECT cost.
Eligible Pre-construction Costs – incurred prior to groundbreaking as determined by the GRANTEE
• Public meetings, focus groups, design workshops
• Plans, specifications, construction documents, and cost estimates • Permits
• CEQA and/or environmental review
• Bid preparation and packages
• IN-HOUSE EMPLOYEE SERVICES prior to groundbreaking
• GRANT/PROJECT administration and accounting prior to groundbreaking Eligible Construction Costs – up to 100% of the PROJECT costs; incurred after CEQA completion and groundbreaking,
• Construction – necessary labor and construction activities to complete the PROJECT, i
ncluding site preparation (demolition, clearing and grubbing, excavation, grading), onsite implementation and construction supervision
• Equipment – Equipment use charges (rental and in-house) must be made in accordance with GRANTEE’S normal accounting practices
• Premiums on hazard and liability insurance to cover personnel or property • Site preparation
• Purchase and installation of equipment: i.e., security cameras, lighting, signs, display boards, sound systems, video equipment
• Construction management: including site inspections and PROJECT administration • Miscellaneous: other costs incurred during the construction phase, such as transporting materials, equipment, or personnel, and communications • IN-HOUSE EMPLOYEE SERVICES after groundbreaking
• GRANT/PROJECT administration and accounting after groundbreaking Ineligible Development Costs – Cannot be charged to the grant • Furniture or equipment not site specific and not necessary for the core function of a new facility (non-capital outlay)
• Costs incurred before or after the GRANT PERFORMANCE PERIOD
16 • Indirect costs – overhead business expenses of the GRANTEE’S fixed or ordinary operating costs (rent, mortgage payments, property taxes, utilities, etc.) • Gifts and honorarium
• Food and beverages not associated with travel per diem • Out-of-state travel
• Fundraising, lobbying, and grant writing
Accounting Rules for In-House Employee Services
GRANTEES must follow these accounting practices for services performed by its employees to be eligible for reimbursement:
• Maintain time and attendance records as charges are incurred, identifying the employee through a name or other tracking system, and that employee’s actual hours worked on the
PROJECT.
• Time estimates, including percentages, for work performed on the PROJECT are not acceptable.
• Time sheets that do not identify the specific employee’s actual hours worked on the PROJECT are not acceptable.
• Costs of the salaries and wages must be calculated according to the GRANTEE’S wage and salary scales and may include employer paid fringe benefit costs such as SDI, health insurance, pension contributions and workers’ compensation. • Overtime costs may be allowed under the GRANTEE’S established policy, provided that the regular work time was devoted to the same PROJECT. • May not include overhead or cost allocation. These are the costs generally associated with supporting an employee, such as rent, personnel support, IT, utilities, etc.
• If planning to claim IN-HOUSE EMPLOYEE SERVICES costs, provide a sample timesheet for OGALS review to confirm these accounting practices are being followed.
17 Acquisition Projects and Rules
1. Purchase price cannot exceed the appraised value, even if the GRANTEE is willing to pay the difference.
2. Land cannot be acquired through eminent domain.
3. GRANTEE must provide Title Insurance.
Acquisition Grant Scope/Cost Estimate
Provide the following information on a document signed by the AUTHORIZED REPRESENTATIVE:
• A brief description, for example, “Acquisition of approximately (ENTER TOTAL ACREAGE to be acquired) for the development of [NAME] Park by (ENTER DATE no later than three years from the date final payment is issued by the SCO).” • Estimated total costs for land and relocation.
• Estimated total costs other than the purchase price and relocation costs, such as appraisals, escrow, title insurance, deed restriction recordation.
Acquisition Documentation
For each parcel to be acquired, submit these documents:
1. An appraisal conducted within the last twelve months.
2. A separate letter from an independent third party, AG rated appraiser certified by the California Office of Real Estate Appraisers stating the appraisal was reviewed, and was completed using acceptable methods.
3. County Assessor’s parcel map, showing parcel number and parcel to be acquired.
4. Estimated value of each parcel to be acquired with a description of how that value was determined (such as the listed price on MLS, in-house estimation, website evaluation, assessed value).
5. Acreage of each parcel to be acquired.
For easement acquisitions, in addition to the requirements above, provide:
6. A copy of the proposed easement guaranteeing the authority to use the property for the purposes specified in the application.
For relocation costs, in addition to the requirements above, provide: A letter signed by the AUTHORIZED REPRESENTATIVE, listing the relocation costs for each displaced tenant, certifying that the relocation amount does not exceed the maximum allowed pursuant to Government Code §7260-7277.
Eligible Acquisition Costs
•
IN-HOUSE EMPLOYEE SERVICES – see accounting rules
• GRANT/PROJECT administration and accounting
• Public meetings/focus groups/design workshop
• Appraisals, escrow fees, surveying, other costs associated with acquisition • Cost of land
• Surveying and/or lot line adjustments
• CEQA and/or environmental review
18 Ineligible Acquisition Costs – Cannot be charged to the grant • Acquisitions where purchase price is greater than appraised value • Costs for land acquired through eminent domain or condemnation • Costs incurred outside the GRANT performance period
• Development costs
19 IV. CONTRACT SECTION
The following section contains a sample CONTRACT, CONTRACT provisions, and a sample status report form.
State of California – The Resources Agency
DEPARTMENT OF PARKS AND RECREATION
Grant Contract
Specified Grants
GRANTEE: Grantee
GRANT PERFORMANCE PERIOD is from July 1, 2023 through June 30, 2027
CONTRACT PERFORMANCE PERIOD is from July 1, 2023 through June 30, 2027
The GRANTEE agrees to the terms and conditions of this Contract, and the State of California, acting through its Director of Parks and Recreation, pursuant to the State of California, agrees to fund the total State grant amount indicated below.
The GRANTEE agrees to complete the PROJECT SCOPE(s) as defined in the PROJECT SCOPE /Cost Estimate Form of the application(s) filed with the State of California
.
Total State grant amount not to exceed $ Grant amount
The General and Special Provisions attached are made a part of and incorporated into the Contract.
STATE OF CALIFORNIA
DEPARTMENT OF PARKS AND RECREATION
By______________________________________
Date____________________________________
_______________________________________________
GRANTEE
By _________________________________________
(Typed or printed name of Authorized
Representative)
________________________________________
(Signature of AUTHORIZED REPRESENTATIVE)
Title _________________________________________
Date _________________________________________
CERTIFICATION OF FUNDING (FOR STATE USE ONLY)
AMOUNT OF ESTIMATE $ CONTRACT NUMBER FUND
ADJ. INCREASING ENCUMBRANCE $ APPROPRIATION
ADJ. DECREASING ENCUMBRANCE $ ITEM VENDOR NUMBER
UNENCUMBERED BALANCE $ LINE ITEM ALLOTMENT CHAPTER STATUTE FISCAL YEAR
T.B.A. NO. B.R. NO. INDEX
PCA OBJ. EXPEND
I hereby certify upon my personal knowledge that budgeted funds are available for this encumbrance.
SIGNATURE OF ACCOUNTING OFFICER
DATE
20 I. RECITALS
This AGREEMENT is entered into between the California Department of Parks and Recreation (hereinafter referred to as “GRANTOR,” “DEPARTMENT” or “STATE”) and [Name of grantee] (hereinafter referred to as “grantee”).
The DEPARTMENT hereby grants to
GRANTEE a sum (also referred to as “GRANT MONIES”) not to exceed $[grant amount], subject to the terms and conditions of this AGREEMENT and the [2023- 2024 California State Budget, AB 102, Chapter 38, Statutes of 2023] (appropriation chapter and budget item number hereinafter referred to as “SPECIFIED GRANT”). These funds shall be used for completion of the GRANT SCOPE(S).
The Grant Performance Period is from July 1, 2023
to June 30, 2027.
II. GENERAL PROVISIONS
A. Definitions
As used in this CONTRACT, the following words shall have the following meanings:
1. The term “APPLICATION” means the individual project APPLICATION packet for a project pursuant to the enabling legislation and/or grant program PROCEDURAL GUIDE requirements.
2. The term “CONTRACT PERFORMANCE PERIOD” means the duration of time during which this CONTRACT is in effect.
3. The term “DEPARTMENT” or “STATE” means the California Department of Parks and Recreation.
4. The term “DEVELOPMENT” means capital improvements to real property by means of, but not limited to, construction, expansion, and/or renovation, of permanent or fixed features of the property.
5. The term “GRANTEE” means the party described as the GRANTEE in Section I of this AGREEMENT.
6. The term “GRANT PERFORMANCE PERIOD” means the period of time during which eligible costs may be incurred by the GRANTEE and paid for by the DEPARTMENT, as specified in the fully executed CONTRACT.
7. The term “GRANT PROJECT” means all real estate, leases, subleases, buildings, and other property acquired or developed with GRANT monies.
8. The term “PROJECT SCOPE” means the items listed in the PROJECT SCOPE/Cost Estimate Form found in each of the APPLICATIONS submitted pursuant to this grant.
9. The term “PROCEDURAL GUIDE” means the document identified as the “2023-243 Procedural Guide for Specified Grants.” The PROCEDURAL GUIDE provides the procedures and policies controlling the administration of the grant.
21 B. P
roject Execution
1. Subject to the availability of GRANT MONIES, the STATE hereby grants to the GRANTEE a sum of money not to exceed the amount stated in Section I of this CONTRACT, in consideration of, and on condition that, the sum be expended in carrying out the purposes as set forth in the scope described in the enabling legislation and referenced in the APPLICATION, Section I of this CONTRACT, and under the terms and conditions set forth in this CONTRACT.
The GRANTEE shall assume any obligation to furnish any additional funds that may be necessary to complete the GRANT SCOPE(S).
During the CONTRACT PERFORMANCE PERIOD, the GRANTEE agrees to submit any proposed change or alteration from the original GRANT SCOPE(S) in writing to the STATE for prior approval. This applies to any and all proposed changes that will occur after STATE has approved the APPLICATION. Changes in the GRANT SCOPE(S) must first be approved in writing by the STATE.
2. The GRANTEE shall complete the GRANT SCOPE(S) in accordance with the time of the Performance Period set forth in Section I of this CONTRACT, and under the terms and conditions of this contract.
3. The GRANTEE shall comply with the California Environmental Quality Act (Public Resources Code, Section 21000, et seq., Title 14, California Code of Regulations, Section 15000 et seq.).
4. The GRANTEE shall comply with all applicable current laws and regulations affecting DEVELOPMENT projects, including, but not limited to, legal requirements for construction contracts, building codes, health and safety codes, and laws and codes pertaining to individuals with disabilities, including but not limited to the Americans with Disabilities Act of 1990 (42 U.S.C. §12101 et seq.) and the California Unruh Act (California Civil Code §51 et seq.) C. P
roject Costs
1. GRANTEE agrees to abide by the PROCEDURAL GUIDE.
2. GRANTEE acknowledges that STATE may make reasonable changes to its procedures as set forth in the PROCEDURAL GUIDE. If STATE makes any changes to its procedures and guidelines, STATE agrees to notify GRANTEE within a reasonable time.
D
. Project Administration
1. If GRANT MONIES are ADVANCED for projects, the ADVANCED funds will be deposited into a federally insured account that provides the ability to track interest earned and withdrawals.
Interest earned on the ADVANCED funds shall be used on the project as approved by the STATE. If grant monies are ADVANCED and not expended, the unused portion of the grant and any interest earned shall be returned to the STATE within 60 days after project completion or end of the grant performance period, whichever is earlier.
2. During the GRANT PERFORMANCE PERIOD, the GRANTEE shall submit written project status reports within 30 calendar days after the STATE has made a specific request. All such project status reports shall be signed and certified as complete and accurate by the authorized representative of the GRANTEE. In any event, the GRANTEE shall provide the STATE a report showing total final project expenditures within 60 days of project completion or the end of the 22 G
RANT PERFORMANCE PERIOD, whichever is earlier. The GRANT PERFORMANCE PERIOD is identified in Section I of this CONTRACT.
3. The GRANTEE shall make property or facilities acquired and/or developed pursuant to this contract available for inspection upon request by the STATE.
E. Project Termination
1. Project Termination refers to the non-completion of a GRANT SCOPE. Any grant funds that have not been expended by the GRANTEE shall revert to the STATE.
2. The GRANTEE may unilaterally rescind this contract at any time prior to the commencement of the project. The commencement of the project means the date of the letter notifying GRANTEE of the award or when the funds are appropriated, whichever is later. After project commencement, this contract may be rescinded, modified or amended only by mutual CONTRACT in writing between the GRANTEE and the STATE, unless the provisions of this contract provide that mutual CONTRACT is not required.
3. Failure by the GRANTEE to comply with the terms of the (a) PROCEDURAL GUIDE, (b) any legislation applicable to the ACT, (c) this CONTRACT or any other grant contracts, specified or general, that GRANTEE has entered into with STATE or any other department, agency, commission or other subdivision of California State government, may be cause for suspension of all obligations of the STATE unless the STATE determines that such failure was due to no fault of the GRANTEE. In such case, STATE may reimburse GRANTEE for eligible costs properly incurred in performance of this CONTRACT despite non-performance of the GRANTEE. To qualify for such reimbursement, GRANTEE agrees to mitigate its losses to the best of its ability.
4. Any breach of any term, provision, obligation, or requirement of this CONTRACT by the GRANTEE shall be a default of this CONTRACT. In the case of any default by GRANTEE, STATE shall be entitled to all remedies available under law and equity, including but not limited to: a) Specific Performance; b) Return of all GRANT MONIES; c) Payment to the STATE of the fair market value of the project property or the actual sales price, whichever is higher; and d) Payment to the STATE of the costs of enforcement of this CONTRACT, including but not limited to court and arbitration costs, fees, expenses of litigation, and reasonable attorney fees.
5. The GRANTEE and the STATE agree that if the GRANT SCOPE includes DEVELOPMENT, final payment may not be made until the work described in the GRANT SCOPE is complete and the GRANT PROJECT is open to the public.
F. B
udget Contingency Clause
If funding for any fiscal year is reduced or deleted by the budget act for purposes of this program, the STATE shall have the option to either cancel this contract with no liability occurring to the STATE or offer a contract amendment to GRANTEE to reflect the reduced grant amount. This Paragraph shall not require the mutual CONTRACT as addressed in Paragraph E, subsection 2 of this CONTRACT.
23 G. H
old Harmless
1. The GRANTEE shall waive all claims and recourse against the STATE including the right to contribution for loss or damage to persons or property arising from, growing out of or in any way connected with or incident to this CONTRACT except claims arising from the concurrent or sole negligence of the STATE, its officers, agents, and employees.
2. The GRANTEE shall indemnify, hold harmless and defend the STATE, its officers, agents and employees against any and all claims, demands, damages, costs, expenses or liability costs arising out of the ACQUISITION, DEVELOPMENT, construction, operation or maintenance of the property described as the project which claims, demands or causes of action arise under California Government Code Section 895.2 or otherwise except for liability arising out of the concurrent or sole negligence of the STATE, its officers, agents, or employees.
3. The GRANTEE agrees that in the event the STATE is named as codefendant under the provisions of California Government Code Section 895 et seq., the GRANTEE shall notify the STATE of such fact and shall represent the STATE in the legal action unless the STATE undertakes to represent itself as codefendant in such legal action in which event the GRANTEE agrees to pay the STATE’s litigation costs, expenses, and reasonable attorney fees.
4. The GRANTEE and the STATE agree that in the event of judgment entered against the STATE and the GRANTEE because of the concurrent negligence of the STATE and the GRANTEE, their officers, agents, or employees, an apportionment of liability to pay such judgment shall be made by a court of competent jurisdiction. Neither party shall request a jury apportionment.
5. The GRANTEE shall indemnify, hold harmless and defend the STATE, its officers, agents and employees against any and all claims, demands, costs, expenses or liability costs arising out of legal actions pursuant to items to which the GRANTEE has certified. The GRANTEE acknowledges that it is solely responsible for compliance with items to which it has certified.
H. F
inancial Records
1. The GRANTEE shall maintain satisfactory financial accounts, documents, including loan documents, and all other records for the project and shall make them available to the STATE for auditing at reasonable times. The GRANTEE also agrees to retain such financial accounts, documents and records for five years following project termination or final payment.
2. The GRANTEE shall keep such records as the STATE shall prescribe, including records which fully disclose (a) the disposition of the proceeds of STATE funding assistance, (b) the total cost of the project in connection with such assistance that is given or used, (c) the amount, source and nature of that portion of the project cost supplied by other sources, and (d) any other such records that will facilitate an effective audit.
3. The GRANTEE agrees that the STATE shall have the right to inspect and make copies of any books, records or reports pertaining to this contract or matters related thereto during regular office hours. The GRANTEE shall maintain and make available for inspection by the STATE accurate records of all of its costs, disbursements and receipts with respect to its activities under this contract, and shall provide copies of all such records to STATE in its certified status reports upon request by the STATE. Such accounts, documents, and records shall be retained by the GRANTEE for at least five years following final payment.
4. The GRANTEE shall use a generally accepted accounting system. 24 I. U
se of Facilities
1. The GRANTEE agrees that the GRANTEE shall operate and maintain and retain full control of the property acquired or developed with the GRANT MONIES, for the duration of the CONTRACT PERFORMANCE PERIOD.
2. The GRANTEE agrees that, during the CONTRACT PERFORMANCE PERIOD, the GRANTEE shall use the property acquired or developed with grant funds under this contract only for the purposes of this grant and no other use, sale, assignment, transfer, mortgage, or other disposition or change of the control or use of the property or of any interest in the property to one not consistent with the grant purpose shall be permitted except as authorized by the DEPARTMENT and the property shall be replaced with property of equivalent value and usefulness as determined by the STATE.
3. The property acquired or developed may be transferred or assigned to another entity only if the successor entity assumes the obligations imposed under this contract and only with the prior approval of STATE.
4. Any real Property (including any portion of it or any interest in it, including any leases) may not be used as security or collateral for any debt, loan or mitigation, without the prior written approval of the STATE, provided that such approval shall not be unreasonably withheld as long as the purposes for which the grant was awarded are maintained. Any such permission that is granted does not make STATE a guarantor or a surety for any debt, loan or mitigation, nor does it waive STATE’s rights to enforce performance under the CONTRACT.
5. All real property (including any portion or interest in it, including any leases), or rights thereto, acquired with GRANT MONIES shall be subject to an appropriate form of restrictive title, rights, or covenants approved by the STATE. If the project property is taken by use of eminent domain, GRANTEE shall reimburse STATE an amount at least equal to the amount of grant monies received from STATE or the pro-rated full market value of the real property, including improvements, at the time of sale, whichever is higher.
6. If eminent domain proceedings are initiated against GRANTEE, GRANTEE shall notify STATE within 10 days of receiving the complaint.
J. N
ondiscrimination
1. The GRANTEE shall not discriminate against any person on the basis of race, religious creed, color, national origin, ancestry, physical disability, mental disability, medical condition, genetic information, marital status, sex, gender, gender identity, gender expression, age, sexual orientation, or military and veteran status in the administration and in the use of any property or facility developed pursuant to this contract.
2. The GRANTEE shall not discriminate against any person on the basis of residence except to the extent that reasonable differences in admission or other fees may be maintained on the basis of residence and pursuant to law.
3. All facilities shall be open to members of the public generally, except as noted under the special provisions of this project contract or under provisions of the enabling legislation and/or grant program.
25 K. S
everability
If any provision of this CONTRACT or the application thereof is held invalid, that invalidity shall not affect other provisions or applications of the CONTRACT which can be given effect without the invalid provision or application, and to this end the provisions of this CONTRACT are severable.
L. L
iability
1. STATE assumes no responsibility for assuring the safety or standards of construction, site improvements or programs related to the GRANT SCOPE. The STATE’S rights under this CONTRACT to review, inspect and approve the GRANT SCOPE and any final plans of implementation shall not give rise to any warranty or representation that the GRANT SCOPE and any plans or improvements are free from hazards or defects.
2. GRANTEE shall ensure that any contractor hired has adequate liability insurance, performance bond, or other security necessary to protect the GRANTEE interest and the STATE’s interest against poor workmanship, fraud, or other potential loss associated with the completion of the grant project.
M. A
ssignability
Without the written consent of the STATE, the GRANTEE’S interest in and control of any portion of the GRANT PROJECT and responsibilities under this CONTRACT shall not be assignable or transferable by the GRANTEE either in whole or in part.
N
. Use of Grant Monies
GRANTEE shall not use any gra nt funds (including any portion thereof) for the purpose of making any leverage loan, pledge, promissory note or similar financial device or transaction, without: 1) the prior written approval of the STATE; and 2) any financial or legal interests created by any such leverage loan, pledge, promissory note or similar financial device or transaction in the project property shall be completely subordinated to this CONTRACT through a Subordination Agreement provided and approved by the STATE, signed by all parties involved in the transaction, and recorded in the County Records against the fee title of the project property.
O. S
ection Headings
The headings and captions of the various sections of this CONTRACT have been inserted only for the purpose of convenience and are not a part of this CONTRACT and shall not be deemed in any manner to modify, explain, or restrict any of the provisions of this CONTRACT P. W
aiver
Any failure by a party to enforce its rights under this CONTRACT, in the event of a breach or default, shall not be construed as a waiver of said rights; and the waiver of any breach or default under this CONTRACT shall not be construed as a waiver of any subsequent breach. 26 III.
SPECIAL PROVISIONS
On March 4, 2022, Governor Gavin Newsom issued Executive Order N-6-22 (the EO) regarding Economic Sanctions against Russia and Russian entities and individuals. “Economic Sanctions” refers to sanctions imposed by the U.S. government in response to Russia’s actions in Ukraine, as well as any sanctions imposed under state law. The EO directs state agencies to terminate contracts with, and to refrain from entering any new contracts with, individuals or entities that are determined to be a target of Economic Sanctions. This Executive order extends to recipients of any State Grants (Grantee). Grantees include those who have contracted or will contract to receive State grants funds. Accordingly, should the State determine that a Grantee is a target of Economic Sanctions or is conducting prohibited transactions with sanctioned individuals or entities, that shall be grounds for termination of this agreement. The State shall provide the Grantee advance written notice of such termination, allowing the Grantee at least 30 calendar days to provide a written response. Termination of any contract found to be in violation of this Executive Order shall be at the sole discretion of the State.
___
__________________________________
GRANTEE
By:
__________________________________
Signature of Authorized Representative
T
itle: _________________________________
D
ate: _________________________________
S
TATE OF CALIFORNIA
DEPARTMENT OF PARKS AND RECREATION
B
y: _________________________________
D
ate: _________________________________
27 Pr
oject Status Report
To monitor progress, every six months OGALS will send Project Status Reports to GRANTEE to complete for each PROJECT. GRANTEE must return Status Reports to OGALS within thirty days from receipt. This requirement continues until OGALS receives GRANT COMPLETION PACKETS. Payment requests will not be processed if Project Status Reports are overdue. See the sample report below, which is subject to change.
Project Status Report
Grantee:
Project Number:
Project Name:
Advances to date without documentation (attach a Grant Expenditure Form documenting expenditure of the balance, if applicable):
If a portion of the advanced funds have not been spent, and more than six months have passed since the G rantee received the advanced funds, the balance must be spent on eligible costs or returned to OGALS within 60 days from receipt of this form.
Br
iefly describe completed work funded by the grant since the last Project Status Report [DATE]:
(Continue on another sheet if needed.)
Pre-C
onstruction/Pre-Ac quisition (Planning, CEQA, etc.):
1) ___________________________________________________________________________ ___________________________________________________________________________ Ac
quisition and/or Construction -- and Pr ovide photos showing work completed since [DATE] 2) ___________________________________________________________________________ ___________________________________________________________________________ Pot
ential Obstacles Affecting Completion
3) ___________________________________________________________________________ ___________________________________________________________________________ 4) Total Funds Spent To Date Using This Grant $_____________ 5) Percentage of Project Complete:________________
6) Estimated Date of Project Completion: ___________________ 7) On Time: Yes / No If not
, explain:
8) Within Budget: Yes / No If not, explain:
9) Within Scope: Yes / No If not, explain:
I
represent and warrant that I have full authority to execute this Grant Progress Status Report on behalf of the Grantee. I declare under penalty of perjury, under the laws of the State of California, that this status report, and any accompanying documents, for the above-mentioned Grant is true and correct to the best of my knowledge.
__________________________ _______________________ _____________ Authorized Representative* Title Date (*
Certification to above information requires a signature by a person authorized in the resolution) 28 V. Grant Payment Section
Ther
e are three types of payments:
• Pre-construction and Construction Reimbursement payments • ADVANCE payments for construction and ACQUISITION ADVANCES into escrow • Final payments
Payment requests are processed through the State Controller’s Office and are mailed to the GRANTEE eight to ten weeks from the date the request is approved by OGALS.
OGALS will not approve payment requests that do not meet the requirements described in this GRANT ADMINISTRATION GUIDE.
OGALS may withhold payment if the GRANTEE has outstanding issues, such as:
• Breach of any other contract with OGALS
• An u
nresolved audit exception
• An outstanding conversion
• Sites closed or inadequately maintained
• Overdue Project Status Reports
• Other unmet grant requirements
Payment Rules
1. Costs eligible for reimbursement must be directly related to the specified grant as described in the budget language.
2. GRANT payments before the final payment may not exceed 80% of the PROJECT amount. 20% of the PROJECT amount is retained for the final payment as a REIMBURSEMENT.
3. The GRANTEE should group costs together to avoid frequent payment requests. Payment requests greater than $10,000 are encouraged.
4. Complete CEQA prior to requesting any reimbursement for construction costs.
5. Provide a sample timesheet to the PROJECT OFFICER prior to incurring any IN-HOUSE EMPLOYEE SERVICES costs, AND if claiming such costs, provide a sample timesheet with each reimbursement payment request.
6. Provide a Public Contrac t Award Certification Form if a competitive solicitation process was required for contracted services or construction.
7. Provide construction progress photos with all construction payment requests. 29 Pre-cons
truction Reimbursement
Payment Type When to Request Document to
Send to PROJECT OFFICER
PRE-CONSTRUCTION
REIMBURSEMENT(s)
After the CONTRACT has
been ENCUMBERED
• Payment Request Form
• Grant Expenditure Form
• Timesheet sample, if applicable
• Public Contract Award Certification
Form, if applicable
Const
ruction Reimbursement
Ad
vance Payments
ADVANCE payments may be requested for costs the GRANTEE will incur within the next six months.
ADVANCE funds, and any interest earned on those funds, must be spent with six months of receipt, or returned to OGALS. ADVANCE payments are made at the discretion of OGALS. OGALS considers ADVANCE payments to be a privilege and reserves the right to disapprove ADVANCE payments.
Pre-construction Advance
Payment
Type
When to Request Documents to
Send to PROJECT OFFICER
PRE-
CONSTRUCTION
ADVANCE(s)
After the GRANT
CONTRACT has been
ENCUMBERED
• Payment Request Form
• ADVANCE justification (see below)
• Public Contract Award Certification
Form, if applicable
Const
ruction Advance
Payment Type When to Request Documents to
Send to PROJECT OFFICER
ADVANCE(s) up
to 80% of
PROJECT
amo
unt
After the GRANT
CONTRACT has been
ENCUMBERED, and
construction will
commence during
the next six months
• Payment Request Form
• ADVANCE justification (see below)
• Public Contract Award Certification Form, if
applicable
• IN-HOUSE EMPLOYEE SERVICES labor schedule, if
applicable
Payment Type When to Request Documents to
Send to PROJECT OFFICER
REIMBURSEMENT of
up to 80% of
PROJECT amount
before final payment
After the CONTRACT is
ENCUMBERED and the
GRANTEE incurred costs
for work related to the
GRANT SCOPE
• Payment Request Form
• Grant Expenditure Form
• Timesheet sample, if applicable
• Construction progress photos
• Public Contract Award Certification
Form, if applicable
30 Advance Ju
stification
An ADVANCE justification must provide the following information:
• Why an ADVANCE is needed instead of a reimbursement.
• A payment schedule, with a month-by-month estimate, for up to six months, showing the anticipated amount needed, and the payees (IN-HOUSE EMPLOYEE or name of contractor). • A f
unding plan, indicating how the GRANTEE intends to fund the percentage of the PROJECT exceeding the 80% advance limit.
• A statement indicating the GRANTEE shall put the funds into a federally insured account that provides t
he ability to track interest earned and withdrawals.
OGALS may not approve the total amount of the requested ADVANCE payment if the requested funds will not be spent within six months from th e date that t he payment request is submitted by the GRANTEE.
Clearing the Advance
ADVANCES must be cleared within six months of receipt. An ADVANCE is cleared by submitting:
• A Gran
t Expenditure Form documenting expenditures on eligible costs equal to the ADVANCE amount p
lus any earned interest if applicable.
• Photos of any construction completed with the ADVANCE funds (for construction ADVANCES).
Acquisition Advance
Payment Type When to Request Documents to Send
ADVANCES up to
100% of the
acquisition amount
After the contract is
encumbered and escrow is
open
• Advance request letter
• Escrow instructions letter
• Title report
• Payment Request Form
The foll
owing items are required to request an ADVANCE payment into escrow:
1. A letter on the GRANTEE’s letterhead, addressing all the following elements, and signed by the GRANTEE’s AUTHORIZED REPRESENTATIVE:
a) Name, address and telephone number of the title company or escrow holder, and the escrow account number to which the
GRANT funds will be disbursed
b) Copy of the property appraisal and third-party appraisal review (see page 17) c) GRANT CONTRACT number and amount of GRANT funds requested d) A statement by the GRANTEE that “the preliminary title report shows that there are no liens, easements, or any other restrictions that would prevent completion of the SCOPE and fulfillment of the CONTRACT provisions.”
e) A statement by the GRANTEE that “all funds (exclusive of the GRANT funds to be provided under this agreement) needed for the completion of the acquisition of the property or properties have been secured and have been or will be deposited to escrow on or about the same date as the requested
GRANT funds.” The GRANTEE is
entitled to reasonably rely on the representations of the seller. 31 2. Cover page of the preliminary title report.
3. Payment Request Form: the “Send Payment To” item 7 on the Payment Request Form must be completed using the title company’s or escrow holder’s name, mailing address, and contact
person.
Aft
er approval by OGALS, the payment will be mailed by the State Controller’s Office to the designated escrow company within approximately 30 working days.
Ret
urning Unexpended Advanced Funds or Interest
The balance of unspent GRANT funds must be returned to OGALS no later than thirty days after the end of the six-month ADVANCE period. OGALS will then return the GRANT funds to the CONTRACT balance.
OGALS cannot return interest to the CONTRACT balance.
If interest was earned on the ADVANCED funds, interest must be spent on ELIGIBLE COSTS, and any unspent GRANT funds returned to OGALS.
Subse
quent Payments
Any outstanding ADVANCE payments must be cleared before any additional reimbursements or ADVANCE payments will be approved.
This requirement may be waived in cases where a PROJECT requires timely payments to contractors, and the remaining balance of unspent ADVANCED funds cannot cover the next PROJECT payment.
The following items are required to request a waiver:
1. A letter to the PROJECT OFFICER, signed by the AUTHORIZED REPRESENTATIVE explaining why the waiver is needed.
2. The majority of ADVANCED funds have been cleared.
3. A payment schedule with month-by-month estimates detailing the anticipated amount needed including the unspent balance of previously ADVANCED funds, along with the additional requested reimbursement or ADVANCE.
Final Payments / Project Completion Packets
OGALS recommends all PROJECT COMPLETION PACKETS be submitted by January 31, 2027.
The final payment (20% of the PROJECT amount) will be processed after PROJECT COMPLETION and the following occurs:
1. Approval of the PROJECT COMPLETION PACKET and additional required documents in the charts below.
2. Site inspection by the PROJECT OFFICER to verify PROJECT COMPLETION.
Project Completion Packet
To request final payment and complete the PROJECT, the GRANTEE must submit the following documents:
1. Payment Request Form
2. Grant Expenditure Form
3. Final Funding Sources Form (if any changes from original s ubmission) 32 4. Project Completion Certification Form
5. Completed CEQA, if not already provided (pg. 14)
6. Notice of Completion (optional) OGALS recommends that the GRANTEE file a “Notice of Completion” with the County Recorder pursuant to State of California Civil Code §3093. Filing the “Notice of Completion” is not a PROJECT COMPLETION requirement.
7. Audit Checklist with items marked that the GRANTEE will retain for five y ears following receipt of final payment
For
acquisition PROJECTS, the GRANTEE must submit these additional documents:
1. A copy of the recorded deed to the property
2. A map sufficient to verify the description of the property including parcel numbers and acreage
3. Copy
of title insurance policy
4. Final escrow closing statement
State of California - Natural Resources Agency
DEPARTMENT OF PARKS AND RECREATION
GRANT PAYMENT REQUEST FORM
See Instructions for the series of grant forms being used.
SERVICES RENDERED DATE(S) (Bond Funded Only)
$
$
$
$
$
FOR CALIFORNIA DEPARTMENT OF PARKS AND RECREATION USE ONLY DPR 212 (Rev. 8/2023)(8/28/2023)
7. SEND PAYMENT TO:
8. CERTIFICATION:
I certify that I have full authority to execute this payment request on behalf of the Grantee. I declare under penalty of perjury, under the laws of the State of California, that this report and any accompanying documents for the above-mentioned Grant are true and correct to the best of my knowledge. d. AMOUNT OF THIS REQUEST
e. Remaining After This Payment (c. minus d)
b. Funds Requested to Date
c. Available (a. minus b.)
6. PAYMENT INFORMATION:
(Round all figures to the nearest dollar)
a. Grant Project Amount
1. PROJECT NUMBER
STREET ADDRESS
CITY/STATE/ZIP
AGENCY NAME
2. CONTRACT NUMBER
3. GRANTEE
5. TYPE OF PAYMENT
FINAL
DATE
TITLENAME OF PERSON AUTHORIZED IN RESOLUTION
SIGNATURE OF PERSON AUTHORIZED IN RESOLUTION
OGALS USE ONLY
4. PROJECT NAME
DATEPAYMENT APPROVAL SIGNATURE
REIMBURSEMENT
ADVANCE
OGALS USE ONLY
INV#PO#
ATTENTION
OGALS USE ONLY
PO Initials
33 34
Pa
yment Request Form Instructions
• Visit Grant Forms (ca.gov) for current forms
• Type or print legibly all entries
• Round all amounts to the nearest whole dollar
The f
ollowing instructions correspond to items on the Payment Request Form:
1. PROJECT Number - The number assigned by OGALS to this project
2. C
ONTRACT Number - As shown in Certification of Funding section of the
CONTRACT
3. GRANTEE - GRANTEE name as shown on the CONTRACT
4. PROJECT Title - Name of the PROJECT as shown in the Application
5. Ty
pe of Payment – check appropriate box on form:
6. Payment Information
a. G
RANT amount
b. Funds received to date - amount paid out from this GRANT c. Available - (a. minus b.)
d. Amount of this request
e. Remaining funds after this payment - (c. minus d.)
7. Send Payment To - GRANTEE name, address and contact person
8. Signature of AUTHORIZED REPRESENTATIVE according to the Resolution State of California - Natural Resources Agency
DEPARTMENT OF PARKS AND RECREATION
GRANT EXPENDITURE FORM
PROJECT NAME:
PROJECT NUMBER: Current FY -$
Prior FY -$
(1) PAYMENT METHOD
Check #,
Debit/Electronic Pmt (EP), Credit
Card Pmt (CC/EP or CC/Check#)
(2) DATE(S)
(In Date Order) (3) RECIPIENT (4) SCOPE ITEM
DESCRIPTION
(5) PRE-
CONSTRUCTION
AMOUNT
(Planning)
(6) CONSTRUCTION
AND/OR ACQUISITION
AMOUNT
(8) FISCAL YEAR OF
EXPENDITURE
(Applicable only to Bond
Funded Grants. Current FY
or Prior FY)
$0.00
$0.00
$0.00
(7) For Match or Reimbursement Rates, choose appropriate choice from dropdown. Enter exact percentage of Match/Reimbursement Rate $0.00 $0.00
DPR 212E (Rev. 7/2023)(7/31/2023)
Grand Total (5) + (6)
Subtotal (5)
Subtotal (6)
Expenditure Total by Fiscal Year
(5) If state funded development project, pre-construction costs are eligible for up to 25% of the grant. Not applicable to federal funded projects (LWCF/RTP). (6) Construction, and/or acquisition costs eligible for up to 100% of grant. (7) If match is required, use drop down to choose Reimbursement Rate or Match Rate and enter the percentage applicable for your project in the field to the right. If match is not required, leave both percentage field and drop-down blank. (8) State Fiscal Year (FY) of expenditure has a defined start date of 7/1/XX ends 6/30/XX. Current FY is defined as the FY when Payment Request Form is signed by the Authorized Representative. Prior FY is defined as any past FY other than Current FY. Only applies to Bond Funded Grants. Does not apply to General Fund (Specified), OEP, HCF, LWCF, or RTP Grants.
Amount of Request
List only eligible costs charged to the Grant and Match, if required. Expenses must be incurred within the project performance period outlined on the grant contract and must align with the Grant Scope Cost Estimate. (1) If check, enter a check or warrant number. If debit/electronic fund payment or transfer, enter EP. If credit card payment, enter CC and the check number or EP that paid the credit card (e.g., CC/EP or CC/Ck #52963). Prior to reimbursement, credit card statements must show at minimum a payment equal to the charge/expense being requested for reimbursement. If in-house employee services or grantee's own equipment or vehicle was used, no payment method required. Grantee must substantiate these costs with project specific timesheets, equipment use log(s), vehicle mileage log(s) or credit card statements if requested and/or during an audit. (2) Date payment was made to recipient. If in-house employee services or grantee owned equipment or vehicle mileage expenses are being charged to the grant, a date range may be used in this column.
(3) Name of contractor or other entity providing services and/or materials, in-house employee services, vehicle mileage, grantee equipment. (4) Scope item related to the expenditure and a brief description, such as “playground design,” “permits," “walkway materials,” “sports field construction.” 35 State of California – The Natural Resources Agency
DEPARTMENT OF PARKS AND RECREATION
Project Completion Certification Form
Grantee: Project Number:
Grantee contact for audit purposes
Name:
Address:
Phone: ( ) Email:
Project completion – list the grant scope items:
Provide revised Funding Sources Form
Interest earned on advanced funds: $
Interest spent on eligible costs: $
Was a Notice of Completion filed with the County Recorder or other appropriate entity? Yes No
Certification:
I hereby certify that all Grant funds were expended on the above named Project and that the Project is complete and we have made final payment for all work done.
I have read California Penal Code §118 and understand that every person who testifies, declares, deposes, or certifies under penalty of perjury and willfully states as true any material matter which he or she knows to be false, is guilty of perjury, which is a felony punishable by imprisonment in state prison for two, three, or four years.
Furthermore, I have read California Penal Code §72 and understand that every person who, with the intent to defraud, presents for allowance or for payment to any state board or officer, or to any county, city, or District board or officer, authorized to allow or pay the same if genuine, any false or fraudulent claim, bill, account, voucher, or writing, is guilty of a felony-misdemeanor punishable either by imprisonment in county jail for a period of not more than one year, by a fine not exceeding one thousand dollars, or both, or by imprisonment in state prison, by a fine not exceeding ten thousand dollars, or both.
I represent and warrant that I have full authority to execute this Project Completion Certification on behalf of the Grantee. I declare under penalty of perjury that the foregoing certification of Project Completion for the above-mentioned Grant is true and correct.
AUTHORIZED REPRESENTATIVE Signature Date
Print Name and Title
36 37
VI. ACC OUNTING AND AUDIT SECTION
Co
ntact the DPR Audits Office for questions about the following requirements.
Accounting Requirements
GRANTEES must use accounting practices that:
• Provide accounting data that clearly records costs incurred on the PROJECT and accurately reflects fiscal transactions, with the necessary controls and safeguards. • Provide good audit trails, especially the source documents (purchase orders, receipts, progress payments, invoices, timecards, cancelled warrants, warrant numbers, etc.) specific to the PROJECT.
A
ccounting Rules for Employee Services (IN-HOUSE EMPLOYEE SERVICES) GRANTEES must follow these accounting practices for employee services:
• Maintain time and attendance records as charges are incurred, identifying the employee through a name or other tracking system, and that employee’s actual time spent on the PROJECT.
• Time estimates for work performed on the PROJECT are not acceptable. • Time sheets that do not identify the specific employee’s time spent on the PROJECT are not acceptable.
• Costs of the salaries and wages must be calculated according to the GRANTEE’S wage and salary scales, and may include benefit costs such as “workers’ compensation.” • Overtime costs may be allowed under the GRANTEE’S established policy, provided that the regular work time was devoted to the same PROJECT.
State Audit
Grants are subject to audit by DPR (see Audit Checklist). All PROJECT records must be retained for five years after final payment was received.
The GRANTEE must provide the following when an audit date and time has been confirmed by DPR:
• All PROJECT records, including the source documents and cancelled warrants, books, papers, accounts, time sheets, or other records listed in the Audit Checklist or requested by the DPR. • An employee having knowledge of the PROJECT and its records to assist DPR’s auditor. 38 A
udit Checklist
An audit of the project may be performed before or following project completion. The GRANTEE must retain and make available all project related records for five years following project termination or final payment of grant funds. Listed below are some of the items the auditor will examine during the review of your records as applicable. I t is the responsibility of the GRANTEE to have these records available in a central location ready for review once an audit date and time has been confirmed. If you have any questions regarding these documents, you may contact the State Department of Parks and Recreation Audits Office.
CONTRACTS
S ummary list of bidders (including individual bid
packages)
Recommendation by reviewer of bids
A warding by governing body (minutes of the
meeting/resolution)
Construction contract agreement
CONTRACT bonds (bid, performance, payment)
CONTRACT change orders
C ontractor 's progress billings
P ayments to contractor (cancelled checks/warrants ,
bank statements and EFT receipts**)
Stop Notices (filed by sub- contractors and release if
applicable)
Liquidated damages (claimed against the contractor)
N otice of completion (recorded)
IN-H OUSE EMPLOYEE SERVICES*
A uthorization/work order identifying project
D aily time sheets signed by employee and supervisor
H ourly rate (salary schedules/payroll register)
F ringe benefits (provide breakdown)
IN-H OUSE EQUIPMENT*
A uthorization/work order
D aily time records identifying the project site
H ourly rate related backup documents
M
INOR CONTRACTS/MATERIALS/SERVICES/EQUIPMENT
RENTALS
P urchase orders/Contracts/Service Agreements
I nvoices
P ayments (actual cancelled checks/warrants, bank
statements and EFT receipts **)
ACQ
UISITION
A ppraisal Report
D id the owner accompany the appraiser?
10 -year history
S tatement of just compensation (signed by seller)
S tatement of difference (if purchased above
appraisal)
Waiver of just compensation (if purchased below
appraisal: signed by seller)
Final Escrow Closing Statement
C ancelled checks/warrants, bank statements and EFT
receipts, [payment(s) to seller(s)]
GRANT deed (vested to the participant) or final order of condemnation
Title insurance policy (issued to participant)
R elocation documents
I ncome (rental, grazing, sale of improvements, etc.)
I
NTEREST
S chedule of interest earned on State funds advanced
N ote: Interest on grant ADVANCES is accountable,
even if commingled in a pooled fund account and/or
interest was never allocated back to the grant fund.
AG
REEMENT/CONTRACTS
Leas es, agreements, etc., pertaining to
developed/acquired property
* Estimated time expended on the projects is not acceptable. Actual time records and all supporti ng doc
umentation must be maintained as charges are incurred and made available for verification at the ti me of
audit.
** Front and back if copied.
39 VII. DE FINITIONS
Capitalized words and terms used in this process guide are defined below.
ADVANCE – payment made to the GRANTEE for work that will occur in the future or work that has already occurred during the GRANT PERFORMANCE PERIOD and has not been paid for by the GRANTEE.
APPLICANT – an entity which does not yet have a fully-executed CONTRACT with DPR and is identified as a GRANT recipient through a legislatively specified budget line item.
APPLICATION PACKET – the Application form and its required attachments described in the Application Checklist and Directions.
APPROPRIATION DATE – July 1 of the State of California fiscal year when the funding of State budget line items is approved by the legislature. The APPROPRIATION DATE is the start of the GRANT PERFORMANCE PERIOD.
AUTHORIZED REPRESENTATIVE – the APPLICANT’S/ GRANTEE’S designated position authorized in the Resolution to sign all required GRANT documents.
CEQA – the California Environmental Quality Act as stated in the Public Resources Code §21000 et seq.; Title 14 California Code of Regulations §15000 et seq. CEQA is a law establishing policies and procedures that require entities to identify, disclose to decision makers and the public, and attempt to lessen significant impacts to environmental and historical resources that may occur as a result of the entities’ proposed PROJECT. For more information refer to https://opr.ca.gov/ceqa/
CONSTRUCTION COSTS – costs incurred starting with the date when ground-breaking construction activities such as site preparation, grading, or gutting begins, and continuing to the end of the GRANT PERFORMANCE PERIOD.
CONTRACT – an agreement between the DPR and the GRANTEE specifying the performance of the GRANT SCOPE within the GRANT PERFORMANCE PERIOD, payment of funds by DPR, and requirements for maintenance and use of the PROJECT.
CONTRACT ENCUMBRANCE PERIOD – the time starting with the APPROPRIATION DATE, when a CONTRACT must be fully executed between the GRANTEE and DPR to encumber the GRANT funds.
CONTRACT PERFORMANCE PERIOD – the period during which the grantee has obligations under the contract.
DEVELOPMENT – construction, installation, replacement, expansion, or renovation.
DPR – the California Department of Parks and Recreation.
ELIGIBLE COSTS – expenses incurred during the grant performance period to complete the SCOPE approved by OGALS through an encumbered contract.
GRANT – funds made available to a GRANTEE for completion of the PROJECT SCOPE(s) during the GRANT PERFORMANCE PERIOD.
GRANTEE – an entity having a fully executed CONTRACT with DPR.
GRANT PERFORMANCE PERIOD – period of time that ELIGIBLE COSTS may be incurred by the GRANTEE and paid for by DPR, as specified in the fully executed CONTRACT. 40 IN-HOUSE EMPLOYEE SERVICES – use of the GRANTEE’s employees working on the SCOPE.
OGALS – DPR’s Office of Grants and Local Services.
PRE-CONSTRUCTION COSTS – costs incurred during the planning, design, and permit phase of the PROJECT before construction can begin.
PROJECT – the features and support amenities listed in the Project SCOPE/Cost Estimate Form.
PROJECT COMPLETION – when the features and support amenities listed in the Project SCOPE/Cost Estimate Form are complete.
PROJECT COMPLETION PACKET – The documents required to request final payment following PROJECT COMPLETION
PROJECT OFFICER – an OGALS employee, who acts as a liaison with the applicants and GRANTEES, administers GRANT funds, and facilitates compliance with the Procedural Guide and CONTRACT.
SCOPE – the features and support amenities listed in the Project SCOPE/Cost Estimate Form that must be completed prior to final GRANT payment.