Procedures and Requirements
SB 1383 Local Assistance Grant Program (FY 2021–22)
Second Round Funding
1 January 2022
Department of Resources Recycling and Recovery
Exhibit B
Procedures and Requirements
SB 1383 Local Assistance Grant
Program
Second Round Funding
Fiscal Year 2021–22
Copies of these Procedures and Requirements must be shared with both the Grantee’s Finance Department and the staff responsible for implementing the grant activities.
Procedures and Requirements
SB 1383 Local Assistance Grant Program (FY 2021–22)
Second Round Funding
2 Table of Contents
Introduction ................................................................................................................... 3 Milestones ...................................................................................................................... 3 Grants Management System (GMS) ............................................................................. 3 Accessing the Grant .................................................................................................... 3 Contact Updates .......................................................................................................... 4 Prior to Commencing Work .......................................................................................... 5 Reliable Contractor Declaration ................................................................................... 5 Grant Term ..................................................................................................................... 6 Eligible Costs ............................................................................................................... 6 Ineligible Costs ............................................................................................................ 7 Modifications ................................................................................................................ 8 Acknowledgements ..................................................................................................... 8 Reporting Requirements .............................................................................................. 9 Electronic and Original Signatures .............................................................................. 9 Progress Report ........................................................................................................ 10 Final Report ............................................................................................................... 10 Grant Payment Information ........................................................................................ 10 Expenditure Itemization Summary and Documentation ......................................... 11 Unspent Funds ....................................................................................................... 12 Audit Considerations ................................................................................................. 12
Procedures and Requirements
SB 1383 Local Assistance Grant Program (FY 2021–22)
Second Round Funding
3 Introduction
The Department of Resources Recycling and Recovery (CalRecycle) administers the SB 1383 Local Assistance Grant Program. These Procedures and Requirements describe project and reporting requirements, report due dates, report contents, grant payment conditions, eligible and ineligible project costs, project completion and closeout procedures, and records and audit requirements.
This document is attached to, and incorporated by reference, into the Grant Agreement.
Milestones
September 1, 2022: Grant Term Begins
March 1, 2023: Expenditure Itemization Summary 1 Due
• C overing expenses from September 1, 2022 through February 28, 2023 September 1, 2023: Expenditure Itemization Summary 2 Due • C overing expenses from March 1, 2023 through August 31, 2023 March 1, 2024: Expenditure Itemization Summary 3 Due
• C overing expenses from September 1, 2023 through February 29, 2024 September 2, 2024: Expenditure Itemization Summary 4 Due • C overing expenses from March 1, 2024 through September 2, 2024 September 2 2024: Final Report Due
• C overing activities from September 1, 2022 through September 2, 2024 September 2, 2024: Grant Term End
Note: These dates are subject to change. If they change, Grant Managers will notify the Awardees immediately.
Grants Management System (GMS)
GMS is CalRecycle’s web-based grant application and Grants Management System.
Access to GMS is secure; grantees must log in using a WebPass. WebPass accounts are tied to a specific email address. If an email address changes, or if it becomes inactive, the grantee must create a new WebPass account to continue accessing GMS.
Establish or manage a WebPass at CalRecycle’s WebPass page (https://secure.calrecycle.ca.gov/WebPass/).
Accessing the Grant
Grantees must log in to GMS (https://secure.calrecycle.ca.gov/Grants) using their web pass. After logging in, locate the grant in the My Awarded/Open Grants table and select the Grant Management link. The Grant Management Module includes the following sections:
Procedures and Requirements
SB 1383 Local Assistance Grant Program (FY 2021–22)
Second Round Funding
4 • Summary tab: Shows approved budget, paid and remaining amounts. (This section is available to the grantee in read-only mode.) • Payment Request tab: Grantee uploads expenditure documentation. • Reports tab: Grantee uploads required reports.
• Documents tab: Grantee uploads all other grant documents that are not supporting documents for an expenditure or a report. This section also provides access to documents that were uploaded within other sections of GMS.
Follow the instructions in GMS to work in the system. The following sections describe the reports, transactions, and supporting documents CalRecycle requires.
Contact Updates
Access to the grant is limited to those listed in the Contacts tab of the Application Module with the “Allow Access” check box marked. A contact may be listed but not granted access by not checking the box. Please note, if a contact is granted access to a grant they will be able to edit contacts, submit payment requests, upload reports, and view all documents. Those with access may update contact information for all contact types except Signature Authority. Email the assigned Grant Manager regarding any changes to Signature Authority information.
Procedures and Requirements
SB 1383 Local Assistance Grant Program (FY 2021–22)
Second Round Funding
5 Prior to Commencing Work
Prior to commencing work under this grant, the grantee’s Grant Manager or primary contact and authorized grant Signature Authority should review the Terms and Conditions (Exhibit A) and the Procedures and Requirements (Exhibit B) to identify key grant administrative requirements. Evaluation of the grantee’s compliance with these requirements is a major focus of grant audits.
Reliable Contractor Declaration
Prior to authorizing a contractor or subcontractor to commence work under this grant, the grantee shall submit to the Grant Manager a declaration from the contractor or subcontractor, signed under penalty of perjury, stating that within the preceding three (3) years, none of the events listed in section 17050 of Title 14 (https://www.calrecycle.ca.gov/Laws/Regulations/Title14/), California Code of Regulations, Natural Resources, Division 7, has occurred with respect to the contractor or subcontractor. The grantee must submit this form for each contractor and subcontractor working under the grant.
If a contractor or subcontractor is placed on the CalRecycle Unreliable Contractor List
(https://www.calrecycle.ca.gov/Funding/Unreliability/) after award of this grant, the grantee may be required to terminate the contract. Obtain the Reliable Contractor Declaration form (CalRecycle 168) from CalRecycle's Grant Forms web page (https://www.calrecycle.ca.gov/Funding/Forms/).
The grantee must upload a scanned copy of each signed Reliable Contractor Declaration form in GMS. To upload the form:
1. Go to the Reports tab.
2. Click on Reliable Contractor Declaration under Report Type.
3. Click the Add Document button.
4. Select Reliable Contractor Declaration in the Document Type drop down box, enter a document title, click the Browse button to search and upload the document, and then Save.
5. Click on the Submit Report button.
For further instructions regarding GMS, including login directions, see the “Grants Management System” section (above).
Procedures and Requirements
SB 1383 Local Assistance Grant Program (FY 2021–22)
Second Round Funding
6 Grant Term
The Grant Term begins on September 1, 2022 and ends on September 2, 2024. The grantee must make all grant-eligible program expenditures and incur all grant-eligible costs within this period. Expenditures made or costs incurred prior to September 1, 2022 or after the grant term end date will be considered ineligible.
The Final Report, final Expenditure Itemization Summary, and Certification Document are due on September 2, 2024.
Eligible Costs
Grantees may incur eligible costs only during the Grant Term, which starts on September 1, 2022 and ends September 2, 2024. All grant expenditures must be for activities, products, and costs specifically included in the approved Budget. Costs must be incurred after the term start date. All services must be provided and goods received during this period in order to be eligible costs.
Eligible costs include:
• Personnel
• Consultants
• Safety Equipment
• Vehicles/Trucks
o F or compost procurement activities - Vehicles/tractors, turf tires, fork lifts or compost slingers
Note: The Grantee needs to own and control the vehicle, however they may allow participants to use the vehicle for grant implementation purposes only.
• Education and Outreach materials
o Print Media
o Television, radio, video, and social media
o Materials offered in other languages
• Door-to-Door Outreach
• Signage
• Recordkeeping or tracking software
o Software to match donor with food bank
o Recordkeeping/reporting software
o Procurement tracking software
o Apps for food recovery
• Inspections and Enforcement
• Training
• Tablet/Electronic Devices (seven inches or more measured diagonally) used for the purposed of organic tracking and Education and Outreach o Maximum price of $500 (excluding sales tax) and limit to one (exceptions may be approved on a case-by-case basis)
o Accessories used for security, protection, and charging
Procedures and Requirements
SB 1383 Local Assistance Grant Program (FY 2021–22)
Second Round Funding
7 • Equipment
o For larger items, The Grantee needs to own and control the equipment, however, they may allow participants use of said equipment for grant implementation purposes.
• Bins (green and blue only) and lids
o Includes, but is not limited to, curbside, small household food waste pail, labeling, and liners
• Procurement of recovered/recycled organic products
• Equipment
o Food distribution - included refrigeration, coolers, and packing materials
Ineligible Costs
Any costs not specifically included in the approved Budget and not directly related to grant implementation will be considered ineligible. The grantee should contact the Grant Manager if clarification is needed.
Ineligible costs include, but are not limited to:
• Costs incurred prior to September 1, 2022 or after September 2, 2024 • Development, purchase, or distribution of strictly promotional give-away items Stuff We All Get
, (SWAG) (https://www.calrecycle.ca.gov/Funding/SWAG/)
• Purchase or lease of land or buildings
• Equipment or services not directly related to grant implementation • Food dehydrators or liquefiers
• Disposal costs
• Costs currently covered by or incurred under any other CalRecycle loan, grant, or contract
• Cell phones
• Purchase of data plans and/or mobile service plans/hotspots • Costs related to website host and web page domain
• Audit expenses
• Sponsorship or licensing fees for events/programs
• Out-of-state travel
• Conferences and symposiums
• Food or beverages (e.g., as part of meetings, workshops, or events) • Travel costs exceeding the state-approved rates for mileage, per diem, lodging, etc.
o Refer to the Memorandum
(https://www.calhr.ca.gov/employees/Pages/travel-reimbursements.aspx) for travel policies.
o Reimbursement rates are subject to change at any time by the State of California without prior notification.
• Personnel costs not directly related to grant activities • Fines or penalties due to violation of federal, state, or local laws, ordinances, or regulations
• Any costs for construction projects by charter cities prohibited by Labor Code section 1782
• Any costs not consistent with local, state, or federal laws, guidelines, and regulations
Procedures and Requirements
SB 1383 Local Assistance Grant Program (FY 2021–22)
Second Round Funding
8 • Costs deemed unreasonable or not related to the project by the Grant Manager
Modifications
The grantee must submit any proposed revision(s) to the project in writing to the Grant Manager. The grantee may not incur costs or make expenditures based on the revision without first receiving the Grant Manager’s written approval. Proposed revisions must be accompanied by a summary of proposed changes or modifications, including justification for the proposed changes. If approved, the Grant Manager will upload the final revised changes to GMS and notify the grantee. The grantee should retain the approval document(s) for audit purposes. See the “Audit Record/Access” section of the Terms and Conditions (Exhibit A).
Acknowledgements
The grantee shall acknowledge CalRecycle’s support each time a project is funded, in whole or in part, by this Agreement is publicized in any medium, including news media, brochures, or other types of promotional materials. The acknowledgement of CalRecycle’s support must incorporate the CalRecycle logo. Initials or abbreviations for CalRecycle shall not be used. The Grant Manager may approve deviation from this requirement on a case-by-case basis where such deviation is consistent with CalRecycle’s Communication Strategy and Outreach Plan.
The following items require acknowledgement of funding from CalRecycle and pre- approval from the CalRecycle Grant Manager prior to incurring the expense:
• All television, radio and video scripts
• Functional premiums, if the per unit price is greater than $6.00 • Advertisements
• Audio and/or visual material
• Brochures
• Newspaper ads
• Pamphlets
• Other outreach
All publicity and education materials must include the following:
1. “Funded by a grant from CalRecycle.” Exception: The acknowledgement line is not required on small items where space constraints would not allow for this line or if it would interfere with the message.
o There are two acceptable Spanish translations: “Financiado por una beca del CalRecycle” or “Patrocinado por fondos del CalRecycle.” For other languages, the Grantee must work with a certified translator or person fluent in reading and writing that language. All exceptions must be pre- approved in writing by the CalRecycle Grant Manager.
2. CalRecycle logo
(https://www.calrecycle.ca.gov/gallery/) as reflected on the CalRecycle website, can be obtained from the Office of Public Affairs at [email protected].
3. Press Releases – the only requirement is to place the name of “CalRecycle” as an acknowledgement in the body of the release.
Procedures and Requirements
SB 1383 Local Assistance Grant Program (FY 2021–22)
Second Round Funding
9 Reporting Requirements
The Grant Agreement requires a Final Report; however, the Grant Manager may require additional status information at any time during the Grant Term. Failure to submit the Final Report with appropriate documentation by the due date may result in forfeiture by the grantee of any unspent funds received under this agreement, and repayment of all funds to CalRecycle.
The grantee must upload all reports in GMS. For further instructions regarding GMS, including login directions, see the “Grants Management System” section (above).
To upload a report:
1. Go to the Reports tab.
2. Click on the appropriate Report Type.
3. Click on the Add Document button.
4. Choose the Document Type, enter a document title, click the Browse button to search and upload the document, and then Save.
• Select the Back button to upload another document and continue the process until all required documents as listed below are uploaded. • The maximum allowable file size for each document is 35MB.
5. Click the Submit Report button to complete your report submittal. The Submit Report button will not be enabled until all required reporting documents are uploaded.
Failure to comply with the specified reporting requirements may be considered a breach of the Grant Agreement and may result in the termination of the Grant Agreement, and/or forfeiture by the grantee of claims for costs incurred that might otherwise have been eligible for grant funding. The grantee must report any problems or delays immediately to the Grant Manager.
Electronic and Original Signatures
CalRecycle now allows for certified e-Signature or original wet signature on documents or forms that certify legally binding information.
Note: E-signatures must include the first and last name of the Signature Authority, be in the Adobe Digital ID format (or through another certified digital signature program) and cannot be the “Fill and Sign” function within Adobe. Any documents using the “Fill and Sign” method is considered incomplete and may be sent back to the grantee.
If you have questions, email [email protected] .
Procedures and Requirements
SB 1383 Local Assistance Grant Program (FY 2021–22)
Second Round Funding
10 Progress Report
Grantees with awards over $1,000,000 will need to collect and submit information on any jobs created or paid by the grant on a bi-annual basis. Grant Managers will work with Grantees on when and how to submit the information. CalRecycle will provide a report template at a later date. Progress reports must include the following:
• Jobs
o Provide number of jobs created and paid for in whole or in part by this grant during the reporting period. Include job title or classification, job permanence, total project work hours, hourly pay rates or salaries, as well as benefits from the job, such as healthcare, paid vacation or sick leave and hiring strategy.
• Jobs provided to members of Priority Populations.
o In addition to the item, above, provide the same jobs information for any positions filled by members of priority populations. More information about Priority Populations can be found at
California Air
Resources Board Priority Population Investments webpage (www3.arb.ca.gov/cc/capandtrade/auctionproceeds/communityinvestm ents.htm).
Note: This requirement is subject to change at CalRecycle’s discretion. If any reporting requirement changes, Grant Managers will notify the Awardees.
Final Report
The Final Report is due September 2, 2024 (report template will be provided at a later date). This report should cover grant activities from September 1, 2022 through September 2, 2024. The grantee must include the following items in the Final Report:
1. The Grant Number, grantee’s name, and Grant Term.
2. The following disclaimer statement on the cover page:
“The statements and conclusions of this report are those of the grantee and not necessarily those of the Department of Resources Recycling and Recovery (CalRecycle), its employees, or the State of California. The state makes no warranty, express or implied, and assumes no liability for the information contained in the succeeding text.”
Note: This requirement is subject to change at CalRecycle’s discretion. If any reporting requirement changes, Grant Managers will notify the Grantees.
Grant Payment Information
• CalRecycle will make grant payments to only the grantee. It is the grantee’s responsibility to pay all contractors and subcontractors for purchased goods and services. CalRecycle will make payments to the grantee as promptly as fiscal procedures permit.
• The grantee must provide a Reliable Contractor Declaration (CalRecycle 168) (https://www.calrecycle.ca.gov/Funding/forms/) signed under penalty of perjury by the grantee’s contractors and subcontractors in accordance with the “Reliable Contractor Declaration” section of the Terms and Conditions (Exhibit A). The declaration must be received and approved by the Grant Manager prior to
Procedures and Requirements
SB 1383 Local Assistance Grant Program (FY 2021–22)
Second Round Funding
11 commencement of work. See the “Reliable Contractor Declaration” section in Terms and Conditions (Exhibit A) for more information.
E
xpenditure Itemization Summary and Documentation
The grantee must submit the EIS and Certification Document (a template will be provided at a later date) in GMS. For further instructions regarding GMS, including login directions, see the “Grants Management System” section (above). Please refer to the “Milestones” section (above) for required due dates.
• Expenditure Itemization Summary (EIS)
o All expenditures must be itemized and arranged by the reporting and expenditure categories as contained in the grantee’s Budget tab. o Grantees are required to maintain supporting documentation pertaining to the EIS and may be required to provide them at the request of the Grant Manager at any time.
• Certification Document
o The Signature Authority will need to certify under penalty of perjury that information provided in the EIS is correct.
Note: This requirement is subject to change at CalRecycle’s discretion. If any expenditure reporting requirement changes, Grant Managers will notify the Awardees.
Failure to submit the EIS and Certification Document by the due date may result in the forfeiture by the grantee of claims for costs incurred that might otherwise have been eligible for grant funding.
To submit an EIS:
1. Go to the Payment Request tab.
2. Click on the Create a Payment Request button.
a. Choose Advance Reconcile for the Transaction Type and enter the amount spent in each budget subcategory.
b. When the transaction is complete, click the Save button. c. After the transaction is saved, the Upload Supporting Documents button will appear in the lower right corner.
3. Click the Upload Supporting Documents button.
a. Choose the Document Type, enter a document title, click the Browse button to search and upload the document, and then Save. b. Select the Back button to upload another document and continue this process until all required supporting documents as listed below are uploaded.
c. The maximum allowable file size for each document is 35MB.
4. Click the Submit Transaction button, located on the transaction page, to complete your payment request. The Submit Transaction button will not be enabled until all required supporting documents are uploaded.
Note: Once a transaction is saved, select the transaction number from the Payment Request tab to access it again. Please do not create multiple transactions for the same requested funds.
Procedures and Requirements
SB 1383 Local Assistance Grant Program (FY 2021–22)
Second Round Funding
12 Unspent Funds
Funds that are unspent at the end of the grant term must be returned by check to CalRecycle by October 16, 2024. Checks should be made payable to the Department of Resources Recycling and Recovery. Checks must contain the Grant Number (i.e., OWR2-21-xxxx), specify “SB 1383 Local Assistance Grant Unspent Funds,” and be mailed to:
CalRecycle Accounting
SB 1383 Local Assistance Grant Unspent Funds
PO Box 4025
Sacramento, CA 95812-4025
Unspent funds due to CalRecycle but left unpaid may result in ineligibility for future grant and payment program funding. If there are questions or other issues related to expenditures, work with your Grant Manager to resolve these issues.
Audit Considerations
The grantee agrees to maintain records and supporting documentation pertaining to the performance of this grant subject to possible audit for a minimum of three (3) years after Final Report approval date or Grant Term end date, whichever is later. CalRecycle may stipulate a longer period of records retention in order to complete any action and/or resolution of all issues which may arise as a result of any litigation, dispute, or audit, whichever is later.
Examples of audit documentation include, but are not limited to, competitive bids, grant amendments, copies of any agreements with contractors or subcontractors if utilized, expenditure ledger, payroll register entries, time sheets, Expenditure Itemization Summary forms, payment supporting documentation, paid warrants, contracts and change orders, samples of items and materials developed with grant funds, invoices, and cancelled checks. Please refer to the Terms and Conditions (Exhibit A) for more information.