HomeMy WebLinkAbout2019-91 - Approving Application for Specified Grant Funding for $500,000 for the Sculpture Exhibition in Civic Center Park ProjectRESOLUTION NO. 2019-91
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF
NEWPORT BEACH, CALIFORNIA, APPROVING
APPLICATION FOR SPECIFIED GRANT FUNDING FOR
$500,000 FOR THE SCULPTURE EXHIBITION IN CIVIC
CENTER PARK PROJECT
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 City of Newport Beach ("City"), setting up necessary procedures governing
application(s);
WHEREAS, said procedures established by the State Department of Parks and
Recreation require the City Council to certify by resolution the approval of a project
application before submission of said application to the State of California;
WHEREAS, the City desires to apply for and enter into a contract with the State of
California to use Local Assisted Specified Grant Funds to fund Phases V and VI of the
Sculpture Exhibition in Civic Center Park and for infrastructural improvements to Civic
Center Park ("Project");
WHEREAS, Phases V and VI of the Sculpture Exhibition in Civic Center Park
consist of the project management, educational programing, installation, and removal of
twenty sculpture pieces to be exhibited at some period during May 2020 through
December 2022;
WHEREAS, other anticipated uses of the specified funds include educational
programing focused on children and the replacement of the Civic Center Park path; and
WHEREAS, the City will enter into a contract with the State of California to
complete the Project.
NOW, THEREFORE, the City Council of the City of Newport Beach resolves as
follows:
Section 1: The City Council does hereby approve the filing of a project
application for a specified grant for $500,000 for the Project.
Section 2: The City Council certifies that the City 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.
Resolution No. 2019-91
Page 2 of 3
Section 3: The City Council certifies that the City has or will provide sufficient
funds to operate and maintain the Project.
Section 4: The City Council certifies that the City has reviewed, understands,
and agrees to the General Provisions contained in the contract shown in the Procedural
Guide, which is attached to this Resolution as Exhibit A.
Section 5: The City Council delegates the authority to the City's Library Services
Director, 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 grant scope.
Section 6: The City Council agrees to comply with all applicable federal, state
and local laws, ordinances, rules, regulations and guidelines.
Section 7: The recitals provided in this resolution are true and correct and are
incorporated into the operative part of this resolution.
Section 8: If any section, subsection, sentence, clause or phrase of this
resolution is, for any reason, held to be invalid or unconstitutional, such decision shall not
affect the validity or constitutionality of the remaining portions of this resolution. The City
Council hereby declares that it would have passed this resolution, and each section,
subsection, sentence, clause or phrase hereof, irrespective of the fact that any one or
more sections, subsections, sentences, clauses or phrases be declared invalid or
unconstitutional.
Section 9: The City Council finds the adoption of this resolution is not subject to
the California Environmental Quality Act ("CEQA") pursuant to Sections 15060(c)(2) (the
activity will not result in a direct or reasonably foreseeable indirect physical change in the
environment) and 15060(c)(3) (the activity is not a project as defined in Section 15378)
of the CEQA Guidelines, California Code of Regulations, Title 14, Division 6, Chapter 3,
because it has no potential for resulting in physical change to the environment, directly or
indirectly.
Resolution No. 2019-91
Page 3 of 3
Section 10: This resolution shall take effect immediately upon its adoption by the
City Council, and the City Clerk shall certify the vote adopting the resolution.
ADOPTED this 22nd day of October, 2019, by the following vote, to -wit:
AYES, COUNCILMEMBERS Mayor Dixon, Mayor Pro Tem O'Neill
Council Member Brenner, Council Member Duffield, Council
Member Herdman Council Member Muldoon, Council Member Avery
NOES, COUNCILMItMBERS
ABSENT COUNCILMEMBERS
ATTEST:
c/i
own
City Clerk
APPROVED AS TO FORM:
CITY ATTORNEY'S OFFICE
av-^_C
Aaron C. Harp
City Attorney
QFORi
Diane B
Mayor
Attachment: Exhibit A — 2019-20 Procedural Guide for the Newport Beach Sculpture
Garden Local Assistance Specified Grant
EXHIBIT A
2019-20
Procedural Guide for the
Newport Beach Sculpture Garden
Local Assistance Specified Grant
July 1, 2019
(Revised September 2019)
State of California
The Natural Resources Agency
Department of Parks and Recreation
Office of Grants and Local Services (OGALS)
"Creating Community through People, Parks, and Programs"
Send Application and correspondence to:
Street Address for Overnight Mail: Mailing Address:
Calif. Dept. of Parks and Recreation Calif. Dept. of Parks and Recreation
Office of Grants and Local Services Office of Grants and Local Services
1416 Ninth Street, Room 918 P.O. Box 942896
Sacramento, CA 95814 Sacramento, CA 94296-0001
Phone: (916) 653-7423
Website: www. Parks.ca.aov/a rants
2019-2020 California State Budget, Chapter 29/2019
Budget Item 3790-101-0001(1)2(p)
$500,000 shall be available for a grant for a sculpture garden in the City of
Newport Beach.
Grant Performance Period: July 1, 2019 — June 30, 2022
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.
Community Engagement Division Mission
Encouraging healthy communities by connecting people to parks, supporting innovative
recreational opportunities, embracing diversity, fostering inclusivity, and delivering
superior customer service, with integrity for the enrichment of all.
The Office of Grants and Local Services (OGALS) Mission
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. -
*
e:• 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, grantees, nonprofit organizations, local
governments, legislative members, and department employees.
P"
TABLE OF CONTENTS
GRANTPROCESS............................................................................................................4
KeyDates...........................................................................................................................
4
AuthorizingResolution........................................................................................................5
ResolutionForm.................................................................................................................6
APPLICATIONSECTION..................................................................................................7
ApplicationPacket Checklist...............................................................................................7
Additional Non -Profit Requirements...................................................................................8
Specified Grant Project Application Form...........................................................................
9
AcquisitionProjects..........................................................................................................10
Development Projects......................................................................................................11
Accounting Rules for In-house Employee Services..........................................................12
Project Scope/Cost Estimate Form...................................................................................13
FundingSources..............................................................................................................14
CEQA Compliance Certification........................................................................................15
StatusReport ....................................................................................................................16
GRANT PAYMENTS........................................................................................................17
Reimbursement Payments............................................................................................17
AdvancePayments...........................................................................................................18
AcquisitionAdvance.........................................................................................................19
Final Payments/Project Completion Packets....................................................................20
Payment Request Form....................................................................................................21
Grant Expenditure Form...................................................................................................23
Project Completion Certification.......................................................................................24
CONTRACT.....................................................................................................................25
Sample Specified Grant Contract.....................................................................................25
ACCOUNTING AND AUDITS..........................................................................................33
AccountingRequirements................................................................................................33
AuditChecklist..................................................................................................................34
DEFINITIONS...................................................................................................................35
Words and terms shown in SMALL CAPS in this Procedural Guide are defined beginning on
page 35.
SPECIFIED GRANT 3 PROCEDURAL GUIDE
Grant Process
Key Dates
This specified GRANT is appropriated by the 2019-20 State Budget (Chapter 23, statute of
2019). The following dates allow OGALS sufficient time to ensure PROJECT COMPLETION
within the GRANT PERFORMANCE PERIOD (July 1, 2019 -June 30, 2022).
• Authorizing Resolution: submit by November 1, 2019
• CONTRACT: Sign and submit by December 1, 2019
• APPLICATION PACKET(S): Submit by January 1, 2020
• PROJECTS Complete by December 31, 2021
• PROJECT COMPLETION PACKETS: submit by March 31, 2022
• PROJECT Record Retention Period is 5 years past final payment
Grant Process Detail
1. Authorizing Resolution: GRANTEE passes one resolution approving the filing of all
applications associated with the CONTRACT, and provides a copy to OGALS.
2. CONTRACT: OGALS sends a CONTRACT to the GRANTEE upon receipt of the resolution. Any
costs incurred prior to finalizing the CONTRACT are at the GRANTEE'S Own risk.
a. A sample CONTRACT can be found beginning on page 25.
b. The AUTHORIZED REPRESENTATIVE signs and returns the CONTRACT to OGALS.
C. OGALS Signs and returns a copy of the fully executed CONTRACT to the GRANTEE.
3. APPLICATION PACKET(S): The GRANTEE defines the PROJECT SCOPE(S) and amount Of
GRANT funds needed for each PROJECT. As PROJECTS are identified, the GRANTEE
Submits Individual APPLICATION PACKET(S) to OGALS. OGALS reviews each APPLICATION
PACKET and Sends a letter of approval to the GRANTEE or requests additional
information.
4. Payments and end Of GRANT PERFORMANCE PERIOD: GRANTEE requests payments for
eligible costs. The GRANT Payments Section, beginning on page 17, provides payment
request instructions and forms.
a. The GRANTEE may request payments after each PROJECT is approved by OGALS.
b. The GRANTEE Completes PROJECT SCOPE(s) and sends PROJECT COMPLETION
PACKET(S) to OGALS.
C. 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 by conducting a site inspection.
5. Accounting and Audit: DPR's Audits Office may conduct an audit. The GRANTEE is
required to retain all PROJECT records, including source documentation with original
signatures, for five years following receipt of the final GRANT payment. The Accounting
and Audit Section, beginning on page 33, provides directions and an Audit Checklist
for DPR audit and accounting requirements.
SPECIFIED GRANT 4 PROCEDURAL GUIDE
Authorizing Resolution
GRANTEE passes one resolution approving the filing of all applications associated with the
CONTRACT, 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 the means by which 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. 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.
SPECIFIED GRANT 5 PROCEDURAL GUIDE
Resolution Form
RESOLUTION OF THE
Supervisors) OF
Resolution No:
(Title of Governing Body/City Council, Board of
(City, County, or District) APPROVING APPLICATION(S)
FOR SPECIFIED GRANT FUNDS
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
Recreation 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. Approves 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 General
Provisions contained in the contract shown 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. Agrees 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:
Ayes:
Noes:
Absent:
(Clerk)
SPECIFIED GRANT 6 PROCEDURAL GUIDE
Application Section
• GRANTEE may submit multiple APPLICATION PACKETS.
• Separate APPLICATION PACKETS are required for each PROJECT site.
• Provide all APPLICATION PACKET items in the order shown in the following checklist.
• Submitted documents need not contain original signatures, but the GRANTEE must
keep all original signed documents.
• GRANTEES are encouraged to submit documents digitally, as .pdf files. Do not send
the APPLICATION PACKET as one file. E-mail each checklist item to the PROJECT OFFICER
as a separate digital file, labeled using the digital file names indicated on the
application checklist.
• If submitting hard copies, number all pages of the APPLICATION PACKET.
Application Packet Checklist
Complete the checklist below and submit it with the APPLICATION PACKET.
An APPLICATION PACKET will not be considered complete unless all items on the checklist
are submitted. Each GRANT PROJECT requires its own application.
0 = v � Procedure Signed by Application
CL 0 (D Guide AUTHORIZED Packet
cu'_� 0' Application Item Page # REPRESENTATIVE Page #
CL �, W
:
o ❑✓
Application Packet Checklist P 7 P
g' g'
Digital file name: checklist.pdf
Application P 9 P
g' g'
Digital file name: application.pdf
Acquisition Requirements P 10 P
g g'
Digital file names: acqdocs.pdf
Project Scope/Cost Estimate P 13 P
g' g'
Digital file name: scope.pdf
Funding Sources P 14 P
g g"
Digital file name: fund ingsou rces. pdf
CEQA Compliance Certification P 15 P
g g'
Digital file name: ceqa.pdf
Land Tenure P 16 P
g' g'
Digital file names: ownership.pdf or nonownership.pdf
Site Plan P 16 P
g' g'
Digital file name: siteplan.pdf
SPECIFIED GRANT 7 PROCEDURAL GUIDE
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 OFFICERS before any payment requests can be approved by OGALS.
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, i.e., the same as a mortgage company on a home loan.
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. A list of Fidelity Bond frequently asked
questions is available on the OGALS web site at www.parks.ca.gov/grants
Three -Bid Process (For non-profit grantees only)
Non-profit GRANTEES must attempt to obtain three bids before awarding a contract on a
GRANT -funded PROJECT for services (greater than $5,000), and for construction work
(greater than $25,000), thus ensuring state funds are spent responsibly.
1. Non-profit GRANTEE attempts to obtain three bids for services (greater than $5,000)
and for construction work (greater than $25,000).
2. To ensure that bidders understand the required PROJECT elements, the non-profit
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 non-profit 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 non-profit GRANTEE's Board of Directors. The non-profit 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.
Waiver of Three -Bid Requirement
The non-profit GRANTEE may request a waiver of the three -bid 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.
SPECIFIED GRANT 8 PROCEDURAL GUIDE
State of California - The Natural Resources Agency
DEPARTMENT OF PARKS AND RECREATION
Specified Grant Project Application Form
PROJECT NAME
REQUESTED PROJECT AMOUNT
PROJECT SITE NAME and PHYSICAL ADDRESS where
LAND TENURE (0 all that apply)
project is located (including zip code)
❑ Owned in fee simple by applicant
❑ Available (or will be available) under
a year lease or easement
NEAREST CROSS STREET
Project is for Acquisition ❑ Development ❑ Combination ❑
COUNTY OF PROJECT LOCATION
APPLICANT NAME AND MAILING ADDRESS
AUTHORIZED REPRESENTATIVE AS SH N 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
PROJECT 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
SPECIFIED GRANT 9 PROCEDURAL GUIDE
Acquisition Projects
Acquisition Requirements
Purchase price cannot exceed the appraised value, even if the GRANTEE is willing to pay
the difference.
Acquisition Documentation
For each parcel to be acquired, provide a document with the following information:
1. An appraisal conducted within the last twelve months.
2. A separate letter from an independent third party, Certified General (AG) rated
appraiser certified by the California Office of Real Estate Appraisers stating that the
appraisal was reviewed, and was completed using acceptable methods.
3. County Assessor's parcel map, showing parcel number, acreage 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. A description of any encumbrances that will remain on the property, such as grazing,
timber, mineral rights or easements.
6. A letter from the seller indicating a willingness to enter into negotiations to sell the
property, and indicating the seller's understanding that the State cannot participate
in ACQUISITIONS for more than the appraised value.
For easement ACQUISITIONS, in addition to the requirements above, provide:
7. 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:
8. 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 Costs for Acquisition
• Employee services — see accounting rules for employee services for more
information (page 12)
• GRANT administration and accounting
• Public meetings/focus groups/design workshop
• Appraisals, escrow fees, surveying, other costs associated with ACQUISITION
• Cost of land
Ineligible Costs for Acquisition — Cannot be charged to the grant
• Land acquired outside of the state
• Costs incurred outside the GRANT PERFORMANCE PERIOD
SPECIFIED GRANT 10 PROCEDURAL GUIDE
Development Projects
Development Project Requirements
1. Contracted work must comply with the provisions of Section 1771.5 of the State Labor
Code.
2. GRANTEE must hire licensed contractors, with adequate liability insurance,
performance bond, or other security necessary to protect GRANTEE'S interest against
poor workmanship, fraud, or other potential loss associated with the completion of the
PROJECT.
Eligible Costs for Development
Costs listed below are examples of eligible costs, and not inclusive. Contact OGALS with
any questions regarding a PROJECT cost.
• Public meeting/focus group/design workshop
• Plans, specifications, construction documents, and cost estimates
• Permits
• CEQA
• Bid packages
• IN-HOUSE EMPLOYEE SERVICES — see accounting rules for employee services (page
12)
• GRANT administration and accounting
• Construction: necessary labor and construction activities to complete the PROJECT,
including site preparation (demolition, clearing and grubbing, excavation, grading),
onsite implementation and construction supervision.
• Bond and other signs
• Premiums on hazard and liability insurance to cover personnel or property
• Site preparation
• Purchase and installation of equipment: security cameras, lighting, signs, display
boards, sound systems, video equipment, etc.
• Construction management: including site inspections, PROJECT administration
• Miscellaneous: other costs incurred during the construction phase, such as
transporting materials, equipment, or personnel, and communications.
Ineligible Costs for Development — Cannot be charged to the grant
• Construction or improvements to facilities that are not primarily focused on the
purpose of the GRANT
• Costs incurred before or after the GRANT PERFORMANCE PERIOD
• Indirect costs: overhead business expenses of the GRANTEE'S fixed or ordinary
operating costs (rent, mortgage payments, property taxes, utilities, etc.)
• Food and beverages
• Out-of-state travel
• Fundraising
SPECIFIED GRANT 11 PROCEDURAL GUIDE
Accounting Rules for In-house Employee Services
GRANTEES must follow these accounting practices for IN-HOUSE 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 hours
worked 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 vacation, 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.
SPECIFIED GRANT 12 PROCEDURAL GUIDE
State of California - The Natural Resources Agency
DEPARTMENT OF PARKS AND RECREATION
Project Scope/Cost Estimate Form
Acquisition (if applicable)
Estimated cost
# of acres:
Parcel number(s):
Relocation costs (if applicable)
$
Other costs: appraisals, escrow fees, title insurance fees, deed
restriction recordation costs, etc.
$
Pre -Construction (costs incurred prior to breaking ground
such as, design, permits, CEQA
Estimated cost
Project Scope Items
Estimated cost
Project Application Amount: $
Estimated
TOTAL PROJECT COST
$
The grantee understands that this form will be used to establish eligible costs, and that all
of the recreation features and major support amenities listed on this form must be
completed and open to the public before final project payment is processed as specified
in the Final Payments Section found on page 20 of this guide.
(Signature)
AUTHORIZED REPRESENTATIVE
Date
SPECIFIED GRANT 13 PROCEDURAL GUIDE
State of California - The Natural Resources Agency
DEPARTMENT OF PARKS AND RECREATION
Funding Sources
PROJECTS funded by the program are not complete until all PROJECT SCOPE items are
complete and open to the public.
If Specified GRANT funds will be used as part of the funding for a larger project, briefly
describe the scope of that larger project:
The total cost of the larger project that these GRANT funds will contribute to is $
Anticipated completion date:
List all funds that will be used:
Funding source
Date Committed
Amount
State of California 2019-20 Budget Act
July 1, 2019
$
Submit a revised Funding Sources Form should funding sources be modified.
SPECIFIED GRANT 14 PROCEDURAL GUIDE
State of California — The Natural Resources Agency
DEPARTMENT OF PARKS AND RECREATION
CEQA Compliance Certification
Grantee:
Project Name:
Project Address:
Is CEQA complete? ❑Yes ONO Is completing CEQA a project scope item? ❑Yes ONO
What document was filed, or is expected to be filed for this project's CEQA analysis
(check one):
Date complete/expected to be completed
❑ Notice of Exemption (attach recorded copy when filed)
❑ Notice of Determination (attach recorded copy when 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:( 1
Certification:
Email:
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 Date
(Signature)
FOR OGALS USE ONLY
CEQA Document
Date Received
PO Initials
❑NOE ❑NOD
Authorized Representative
(Printed Name and Title)
SPECIFIED GRANT 15 PROCEDURAL GUIDE
Land Tenure and Site Control
If the property is owned in fee simple by the applicant, provide a copy of the
• Deed or deed recordation number or,
• Title report or,
• Tract map (if owner's name provided)
If the property is not owned in fee simple, provide the lease, easement, joint powers
agreement, etc.
Site Plan
Provide a drawing showing where all the items listed in the Project Scope/Cost Estimate
Form will be located.
Status Report
OGALS will send a Status Report every six months until receipt of a PROJECT COMPLETION
PACKET. Payment requests will not be processed if Status Reports are overdue.
Sample Status Report Form— Due xx/xx/20xx (30 days from mail date)
Grantee:
Project Number:
Project Name:
Project Scope:
Project Phase: ❑ Pre-Construction/Pre-Acquisition ❑ Acquisition and/or Construction
When will you submit your next payment request? For how much?
Estimated date of project completion:
Potential obstacles affecting completion:
Is the project: On Time? yes/no Within Budget? yes/no Within Scope? yes/no If no,
explain:
Describe grant -funded work completed since last status report submitted on (DATE):
Provide photos showing work completed since (DATE)
Describe grant -funded work expected to be completed by (MailDate + 6 mos)
If there have been any changes to the proposed funding for this project, attach a revised
Funding Sources Form.
I represent and warrant that I have full authority to execute this 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
SPECIFIED GRANT 16 PROCEDURAL GUIDE
Grant Payments
There are three types of payments: reimbursement, ADVANCE, and final.
Payment Requirements
• Status Report submitted to OGALS within the last six months (see page 16).
• 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.
• The GRANTEE should group costs together to avoid frequent payment requests.
Payment requests greater than $10,000 are encouraged.
• Payment requests are processed through the State Controller's Office and mailed to
the GRANTEE six to eight weeks from the date the request is approved by OGALS.
• CEOA must be complete prior to requesting any construction reimbursement.
• Provide a sample timesheet to the PROJECT OFFICER prior to incurring any IN-HOUSE
EMPLOYEE SERVICES costs, and with every subsequent payment request where IN-
HOUSE EMPLOYEE SERVICES costs were incurred. The sample timesheet must represent
how employee staff time was tracked during the period of the requested
reimbursement.
• Provide a summary list of bidders; the recommendation by the reviewer of bidders;
record of the governing body's award decision; and, the contract agreement to the
PROJECT OFFICER prior to requesting reimbursement for costs on contracts requiring a
bid process.
Reimbursement Payments
Reimbursement payments may be requested after the GRANT CONTRACT has been fully
executed. To request a reimbursement, submit the following documents to OGALS:
• Payment Request Form (see page 21)
• Grant Expenditure Form (see page 23)
• Sample timesheet if IN-HOUSE EMPLOYEE SERVICES costs were incurred
• Summary list of bidders for costs requiring a bid process
If ground -breaking for construction has begun, also submit:
• Construction progress photos
• Filed NOD or NOE
SPECIFIED GRANT 17 PROCEDURAL GUIDE
Advance Payments
• 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.
• 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 within six
months of receipt, or returned to OGALS.
• The sum of construction and pre -construction ADVANCES cannot exceed 50% of the
GRANT amount.
ADVANCE
Maximum
When to
Documents to Send
Type
Request
Request
Pre-
Combined
After the GRANT
• Payment Request Form
construction
ADVANCE for
CONTRACT is
• ADVANCE justification (see below)
construction
fully executed
and pre-
construction
Construction
After the GRANT
Payment Request Form
can be up to
CONTRACT IS
• ADVANCE justification (see below)
50% of the
anlldy executed
, Copy of signed construction contract
GRANT
construction
and a notice to proceed or IN-HOUSE
will commence
EMPLOYEE SERVICES schedule.
during the next
• Filed NOD or NOE (page 15)
six months
ACQUISITION
Up to 100%
After the GRANT
• ACQUISITION Letter (see page 19)
into escrow
of the GRANT
CONTRACT is
• Cover page of preliminary title report
account
fully executed
and escrow is
. Payment Request Form (with escrow
open
company identified as payee)
Advance Justification
Provide the following information:
• Explanation as to why an ADVANCE is needed instead of a reimbursement. Describe
any hardships the GRANTEE will experience if a reimbursement were issued instead of
an ADVANCE.
• A payment schedule, with a month -by -month estimate, for up to six months, showing
the anticipated amount needed, and to whom the funds will be paid (IN-HOUSE
EMPLOYEE SERVICES or name of contractor). The six month period should begin six to
eight weeks after ADVANCE payment request is submitted.
• A funding plan, indicating how the GRANTEE intends to provide cash flow to the
percentage of the PROJECT exceeding the 50% ADVANCE limit.
• A statement indicating the GRANTEE will put the ADVANCED funds into a separate,
interest bearing account, and spend any interest on the PROJECT.
• An acknowledgement that all invoices and contracts pursuant to which payments are
made shall be made available to OGALS on demand.
SPECIFIED GRANT 18 PROCEDURAL GUIDE
Acquisition Advance
These three items are required to request an ADVANCE payment for ACQUISITION:
ACQUISITION Letter: On the GRANTEE's letterhead, addressing all of 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 written concurrence (page 10, #2).
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
GRANT 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 CONTRACT) 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." In making this
statement, the GRANTEE is entitled to reasonably rely on the representations of the
seller.
2. Cover page of the preliminary title report.
3. Payment Request Form. The "Send Warrant 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 (see page 21).
After approval by OGALS, the payment will be mailed by the State Controller's Office to the
escrow holder in 4 to 6 weeks.
Clearing the Advance
ADVANCES must be cleared within six months of receipt, or earlier. ADVANCES should be
cleared incrementally, as costs are incurred.
An ADVANCE is cleared by submitting:
• A Grant Expenditure Form documenting expenditures on eligible costs equal to the
ADVANCE amount plus any earned interest.
• Photos of any construction completed with the ADVANCE funds (for construction
ADVANCES)
• For ACQUISITION ADVANCES, submit an escrow statement showing ADVANCED funds
were expended and ACQUISITION is complete.
• 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 the unspent GRANT funds returned to OGALS.
SPECIFIED GRANT 19 PROCEDURAL GUIDE
Subsequent Payments
ADVANCE payments must be cleared before any 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 are required to request a waiver:
A letter to the PROJECT OFFICER, signed by the AUTHORIZED REPRESENTATIVE,
explaining why the waiver is needed.
2. A statement in the letter that the majority of ADVANCED funds have been cleared
with a Grant Expenditure Form documenting the ADVANCED funds already spent.
3. A payment schedule with month by month estimates detailing the anticipated
amount needed including the unspent balance of previously ADVANCED funds.
Final Payments/Project Completion Packets
PROJECT COMPLETION PACKETS must be submitted by March 31St of the year the CONTRACT
expires.
GRANTEES are encouraged to submit documents digitally, as .pdf files. E-mail the
documents to the PROJECT OFFICER as separate digital files, labeled as the document item.
The final payment (not less than 20% of the PROJECT amount) will be processed after
PROJECT COMPLETION and the following occurs-
1.
ccurs:
1. Approval of the PROJECT COMPLETION PACKET
2. Site Inspection by the PROJECT OFFICER to verify PROJECT COMPLETION
To request the final payment and complete the PROJECT, the GRANTEE must submit the
following documents:
1. Payment Request Form (page 21)
2. Grant Expenditure Form (page 23)
3. Project Completion Certification Form (page 24)
4. Notice of Completion (optional)'
5. Audit checklist with items checked that GRANTEE will retain for five years following
receipt of final payment (page 34)
For PROJECTS involving ACQUISITION, 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. Copy of title report
' 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.
SPECIFIED GRANT 20 PROCEDURAL GUIDE
Payment Request Form
State of California - Natural Resources Agency
DEPARTMENT OF PARKS AND RECREATION
PAYMENT REQUEST
State Grant Programs
See Instructions on Page 2.
1. PROJECTNUMBER 2. CONTRACT NUMBER
3. APPLICANT
4. PROJECTNAME
5. TYPE OF PAYMENT
I_l Advance ! Reimbursement L_1 Final
6. PAYMENT INFORMATION
Round all fi ures to the nearest dollar
a. Grant Project Amount $
b. Funds Received To Date $
c_ Available (a. minus b.) $
d. Amount Of This Request $
e. Remaining Funds After This Payment (c. minus d.) $
7. SEND WARRANT TO:
AGENCY NAME
STREET ADDRESS
CITYlSTATEIZIP CODE
8. CERTIFICATION AND SIGNATURE OF PERSON AUTHORIZED IN RESOLUTION
I represent and warrant 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 is true and correct to the best of my knowledge.
SIGNATURE OF PERSON AUTHORIZED IN RESOLUTION TITLE DATE
I•
FOR CALIFORNIA DEPARTMENT OF PARIES AND RECREATION USE ONLY
PAYMENT APPROVAL SIGNATURE DATE
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SPECIFIED GRANT 21 PROCEDURAL GUIDE
Payment Request Form Instructions
• All payment request types (reimbursement, final, ADVANCE) require this form.
• Payment requests may be submitted by e-mail to the PROJECT OFFICER.
• Round all amounts to the nearest whole dollar (traditional rounding).
• A Grant Expenditure Form (see page 23) is required with all reimbursement and final
payment requests.
• Complete the Payment Request Form as follows:
1. PROJECT Number -Number assigned by OGALs when this PROJECT was approved.
2. CONTRACT Number - As shown in Certification of Funding section of the CONTRACT
3. Applicant- GRANTEE name as shown on the CONTRACT
4. PROJECT Title - Name of the PROJECT as shown in the Application Form
5. Type of Payment — check appropriate box on form
6. Payment Information — always round to the nearest dollar
7. Send Warrant To - agency name, address and contact person
8. Signature Of AUTHORIZED REPRESENTATIVE according to the Resolution
SPECIFIED GRANT 22 PROCEDURAL GUIDE
Grant Expenditure Form
Project Number
Warrant/Check # (1)
Date (2)
Recipient (3)
Purpose
Pre-
Construction
(4)
Construction
Amount (6)
Amount (5)
Pre -Construction Subtotal (5) $
Construction Subtotal (6) $
Grand Total (5) + (6) $
INSTRUCTIONS
List only eligible costs charged to the GRANT.
Column (1) Use of electronic payment numbers/electronic funds transfer numbers in the
"Warrant/Check Number" column is acceptable. Please include an "EP" next to the electronic
payment numbers/electronic funds transfer numbers.
If IN-HOUSE EMPLOYEE SERVICES Or GRANTEE'S own equipment was used, a work order or other
tracking number can be used instead of a check/warrant number.
Column (2) Date payment was made to recipient. If IN-HOUSE EMPLOYEE SERVICES was used,
the date that the work was performed may be used.
Column (3) Name of Contractor, IN-HOUSE EMPLOYEE SERVICES, or other entity performing
work.
Column (4) Brief description of cost, such as "design", "permits", "construction." When
describing such costs, such as "design", state what the design is for, and who prepared it.
For items such as "permits", state what kind of permit(s). For items such as "construction,"
state what type or portion of construction, or what was constructed. (For instance,
"community center", "walkway", etc.)
Column (5) PRE -CONSTRUCTION Costs
Column (6) DEVELOPMENT Costs eligible for up to 100% Of GRANT amount
• An electronic version of this form is available at www.parks.ca.gov/grants.
• GRANTEES may use their own spreadsheet if it contains the required information shown
above.
SPECIFIED GRANT 23 PROCEDURAL GUIDE
Project Completion Certification
Grantee:
Grantee contact for audit purposes
Name:
Address:
Phone:( )
Email:
Project Number:
Project completion — list the project scope items:
Provide revised Funding Sources Form, if needed
Interest earned on advanced Grant funds: $
Interest spent on eligible costs: $
Was a Notice of Completion filed with the County Recorder? 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.
Grantee's Authorized Representative Title
(Printed or Typed name)
Grantee's Authorized Representative (Signature)
Date
SPECIFIED GRANT 24 PROCEDURAL GUIDE
Contract
State of California — The Natural Resources Agency
DEPARTMENT OF PARKS AND RECREATION
Sample Specified Grant Contract
GRANTEE: [Grantee Name]
GRANT PERFORMANCE PERIOD is from July 1, 2019 through June 30, 2022
CONTRACT PERFORMANCE PERIOD is from July 1, 2019 through June 30, 2022
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 GRANT 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.
GRANTEE
By
(Typed or printed name of Authorized Representative)
(Signature of Authorized Representative)
Title
1900
CERTIFICATION OF FUNDING (FOI
AMOUNT OF ESTIMATE $
ADJ. INCREASING ENCUMBRANCE $
ADJ. DECREASING ENCUMBRANCE $
STATE USE ONLY)
CONTRACT NUMBER
APPROPRIATION
..............
ITEM VENDOR NUMBER
STATE OF CALIFORNIA
DEPARTMENT OF PARKS AND RECREATION
Date
17110119]
UNENCUMBERED BALANCE $ LINE ITEM ALLOTMENT CHAPTER STATUTE FISCAL YEAR
............
T.B.A. NO. B.R. NO. INDEX Funding Source OBJ. EXPEND
I hereby certify upon my personal knowledge that bud11 g 11 ete11 d funds are 11 available for t 11 his encumbrance.
SIGNATURE OF ACCOUNTING OFFICER DATE
SPECIFIED GRANT 25 PROCEDURAL GUIDE
I. RECITALS
This CONTRACT is entered into between the California Department of Parks and Recreation
(hereinafter referred to as "GRANTOR," "DEPARTMENT" or "STATE") and [grantee
name](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 2019/20
California State Budget, Chapter 23, statutes of 2019, Item number — 3790-101-0001(1) 2(x)
(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, 2019 to June 30, 2022.
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 "GRANT 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 "Procedural Guide for
[GRANT PROJECT Name] Specified Grant." The PROCEDURAL GUIDE provides the
procedures and policies controlling the administration of the grant.
SPECIFIED GRANT 26 PROCEDURAL GUIDE
B. Project 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. Project 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
If GRANT MONIES are advanced for DEVELOPMENT projects, the advanced funds shall be
placed in an interest bearing account until expended. 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
GRANT PERFORMANCE PERIOD, whichever is earlier. The GRANT PERFORMANCE
PERIOD is identified in Section I of this CONTRACT.
SPECIFIED GRANT 27 PROCEDURAL GUIDE
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) 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. Budget 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
G. Hold 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
SPECIFIED GRANT 28 PROCEDURAL GUIDE
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. Financial 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.
SPECIFIED GRANT 29 PROCEDURAL GUIDE
Use 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. Nondiscrimination
The GRANTEE shall not discriminate against any person on the basis of sex, race, color,
national origin, age, religion, ancestry, sexual orientation, or disability 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.
SPECIFIED GRANT 30 PROCEDURAL GUIDE
K. Severability
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. Liability
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. Assignability
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 grant 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. Section 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. Waiver
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.
SPECIFIED GRANT 31 PROCEDURAL GUIDE
GRANTEE
By:
Signature of Authorized Representative
Title:
Date:
STATE OF CALIFORNIA
DEPARTMENT OF PARKS AND RECREATION
Date:
SPECIFIED GRANT 32 PROCEDURAL GUIDE
Accounting and Audits
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, time cards, cancelled warrants, warrant numbers, etc.) specific to the
PROJECT.
Accounting Rules for 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, including percentages, 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 vacation, 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.
State Audit
GRANTS are subject to audit by DPR. (See page 34, 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.
Contact the DPR Audits Office at (916) 657-0370 for questions about these requirements.
SPECIFIED GRANT 33 PROCEDURAL GUIDE
Audit 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. It 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 at (916) 657-0370.
CONTRACTS
Summary list of bidders (including individual bid
packages)
Recommendation by reviewer of bids
Awarding by governing body (minutes of the
meeting/resolution)
Construction contract agreement
Contract bonds (bid, performance, payment)
Contract change orders
Contractor's progress billings
Payments 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)
Notice of completion (recorded)
IN-HOUSE EMPLOYEE SERVICES*
Authorization/work order identifying project
Daily time sheets signed by employee and supervisor
Hourly rate (salary schedules/payroll register)
Fringe benefits (provide breakdown)
IN-HOUSE EQUIPMENT*
Authorization/work order
Daily time records identifying the project site
Hourly rate related backup documents
MINOR CONTRACTS/MATERIALS/SERVICES/EQUIPMENT
RENTALS
Purchase orders/Contracts/Service Agreements
Invoices
Payments (actual cancelled checks/warrants, bank
statements and EFT receipts —)
ACQUISITION
Appraisal Report
Did the owner accompany the appraiser?
10 year history
Statement of just compensation (signed by seller)
Statement of difference (if purchased above
appraisal)
Waiver of just compensation (if purchased below
appraisal: signed by seller)
Final Escrow Closing Statement
Cancelled 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)
Relocation documents
Income (rental, grazing, sale of improvements, etc.)
INTEREST
Schedule of interest earned on State funds advanced
Note: 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.
AGREEMENT/CONTRACTS
Leases, agreements, etc., pertaining to
developed/acquired property
SPECIFIED GRANT 34 PROCEDURAL GUIDE
* Estimated time expended on the projects is not acceptable. Actual time records and all supporting
documentation must be maintained as charges are incurred and made available for verification at the time
of audit.
** Front and back if copied.
Definitions
Words and terms shown in SMALL CAPS in this Procedural Guide are defined below.
ACQUISITION — to obtain fee simple title of real property or a permanent easement, which
gives permanent rights to use the property for the purposes of the PROJECT SCOPE. A
lease or rental is not considered ACQUISITION.
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.
APPLICATION PACKET — the Application Form and its required attachments as described
beginning on page 7.
APPROPRIATION DATE — July 1 of the fiscal year in which funds were appropriated through
the state budget process. The APPROPRIATION DATE is the start of the GRANT
PERFORMANCE PERIOD.
AUTHORIZED REPRESENTATIVE — the appllcant'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 law
establishes policies and procedures requiring 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.
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 PROJECT SCOPE within the GRANT PERFORMANCE PERIOD, and other
GRANT obligations between the GRANTEE and DPR. A Sample CONTRACT can be found on
page 25.
CONTRACT PERFORMANCE PERIOD — the amount of time stated on the CONTRACT
agreement, specifying the performance of the contractual GRANT obligations between
the GRANTEE and DPR.
SPECIFIED GRANT 35 PROCEDURAL GUIDE
DEVELOPMENT — construction, expansion, or renovation.
DPR — the California Department of Parks and Recreation.
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.
IN-HOUSE EMPLOYEE SERVICES — use of the GRANTEE'S employees working on the
PROJECT 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 specific items to be completed with GRANT funds, and/or specific land to
be purchased.
PROJECT COMPLETION — when the PROJECT SCOPE items listed in the Project Scope/Cost
Estimate Form are complete and the facilities are open and useable by the public. With
approval by OGALs, PROJECT COMPLETION may occur before the facilities are open and
useable by the public.
PROJECT COMPLETION PACKET — The documents listed on page 20 that are required in
order 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 ensures compliance with the Procedural Guide
and the CONTRACT.
PROJECT SCOPE — the items listed in the Project Scope/Cost Estimate Form that must be
completed prior to final GRANT payment.
TOTAL PROJECT COST — the combined dollar amount of all funding sources used to
complete the PROJECT SCOPE items listed in the Project Scope/C
SPECIFIED GRANT 36 PROCEDURAL GUIDE
STATE OF CALIFORNIA }
COUNTY OF ORANGE } ss.
CITY OF NEWPORT BEACH }
I, Leilani I. Brown, City Clerk of the City of Newport Beach, California, do hereby certify that the
whole number of members of the City Council is seven; the foregoing resolution, being Resolution
No. 2019-91, was duly introduced before and adopted by the City Council of said City at a regular meeting
of said Council held on the 22nd day of October, 2019; and the same was so passed and adopted by the
following vote, to wit:
AYES: Mayor Diane Dixon, Mayor Pro Tem Will O'Neill, Council Member Brad Avery, Council
Member Joy Brenner, Council Member Duffy Duffield, Council Member Jeff Herdman,
Council Member Kevin Muldoon
NAYS: None
IN WITNESS WHEREOF, I have hereunto subscribed my name and affixed the official seal of
said City this 23rd day of October, 2019.
c
Leilani I. Brown
City Clerk
Newport Beach, California