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May 2018

Table of Contents A. User Guide Introduction ................................................................................................. 1

B. Reporting Structure ......................................................................................................... 2

C. Terminology .................................................................................................................... 4

D. CCIRTS Data Submittal Process .................................................................................... 6

I. Accessing CCIRTS ......................................................................................................... 8

II. Registering as a New User ............................................................................................. 8

III. Dashboard: The CCIRTS System Home Screen ......................................................... 10

IV. Data Entry .................................................................................................................... 11

Step 1: Program Data................................................................................................... 13

Schedule ................................................................................................................ 13

Solicitation Process ................................................................................................ 14

Selected Projects ................................................................................................... 15

Subprogram Descriptions ....................................................................................... 16

Public Transparency and Outreach ........................................................................ 17

Intermediary Administrative Expenses ................................................................... 19

Step 2: Project Data (Project-Level Excel Template Upload) ....................................... 20

Step 3: Supplemental Location Data ............................................................................ 23

Step 4: Optional Supporting Documentation ................................................................ 24

Step 5: Review Data Summary .................................................................................... 25

Step 6: Submit Completed Data to CARB .................................................................... 25

E. Data Review .................................................................................................................. 25

F. Additional Support ......................................................................................................... 26

G. Frequently Asked Questions (FAQ) .............................................................................. 26

User Guide: California Climate Investments Reporting and Tracking System

1 May 2018

A. User Guide Introduction

All agencies administering California Climate Investments programs are required to track project implementation and report the outcomes, including greenhouse gas (GHG) reductions, co-benefits, and benefits to Assembly Bill (AB) 1550 populations or Senate Bill (SB) 535 disadvantaged communities. The California Air Resources Board (CARB) is required to develop guidance on reporting for all State agencies that receive appropriations from the Greenhouse Gas Reduction Fund (GGRF).1

Beginning in 2017, administering agencies must submit project and program information through the California Climate Investments Reporting and Tracking System (CCIRTS), an online tracking tool, available at air.arb.ca.gov/ccirts. If agencies have no new program or project-level data to report for a given reporting period, the agencies must still login to CCIRTS in order to verify that this is the intent of the agency (see “Step 6: Submit Completed Data to CARB” in Section D.IV and Figure 26 for guidance). CARB staff developed this document, the CCIRTS User Guide, to guide agency representatives responsible for reporting and tracking California Climate Investments programs and projects in using CCIRTS for data submittals.

The Department of Finance is required to submit an Annual Report to the Legislature on the status and outcomes of California Climate Investments. The reporting activities described here will provide the information necessary to meet statutory requirements and provide accountability and transparency for stakeholders and the public. Reported and approved information is also publicly available on the California Climate Investments website. Through an online mapping tool available at www.arb.ca.gov/ccimap, the public can access information on project locations, funding amounts, GHG emission reductions, co-benefits, and other benefits.

The Cap-and-Trade Auction Proceeds: Funding Guidelines for Agencies that Administer California Climate Investments (Funding Guidelines), developed for use by administering agencies, contains detailed reporting requirements specific to each agency and/or project type for all stages of reporting. CARB provides standardized project-level Excel templates, specific to each subprogram, for agency use, based on the reporting requirements contained in the Funding Guidelines. The Funding Guidelines are available at: www.arb.ca.gov/cci-fundingguidelines.

For more information regarding California Climate Investments, please refer to the Administration’s website at: www.caclimateinvestments.ca.gov. CARB also hosts an auction proceeds website with resources for administering agencies, available at: www.arb.ca.gov/auctionproceeds.

For specific questions or issues using CCIRTS, including submitting data, please contact the program’s CARB point of contact or the GGRF email at: [email protected].

1 Senate Bill 862, Chapter 36, Statutes of 2014, Government Code Section 16428.9(b).

https://air.arb.ca.gov/ccirts

http://www.arb.ca.gov/ccimap

http://www.arb.ca.gov/cci-fundingguidelines

http://www.arb.ca.gov/cci-fundingguidelines

http://www.caclimateinvestments.ca.gov/

http://www.arb.ca.gov/auctionproceeds

mailto:[email protected]


2 May 2018

B. Reporting Structure

The reporting structure of CCIRTS is set up to collect information according to the hierarchy shown in Figure 1. Agencies report data at each of these levels, with each project belonging to a subprogram that in turn belongs to a program.

Figure 1 Reporting Hierarchy

Funds flow through the GGRF to projects in several steps, which may vary by agency. To provide a consistent approach for reporting funds and project benefits, California Climate Investments uses several terms to describe these steps: appropriated, allocated, selected, awarded, and implemented, as shown in Figure 2.

Figure 2 California Climate Investments Terminology

ProgramSubprogram

Project


3 May 2018

California Climate Investments are appropriated by the Legislature to agencies, as defined in Figure 1. Typically, the Legislature appropriates funds at a program level. Other appropriations may then be allocated by the recipient agency to fund one or more subprograms. For example, CalRecycle allocates its Waste Diversion appropriation to four subprograms: the Organics and Recycling Manufacturing Loans Program; the Organics Grants Program; the Recycling Manufacturing Grants Program; and the Food Waste Prevention and Rescue Grant Program. Where appropriations are used to fund programs directly, such as for the California Department of Transportation’s (Caltrans) Low Carbon Transit Operations Program, the program and subprogram are the same. For programs that are comprised of a single subprogram, note that the User Guide refers to subprograms in the context of being a part of a larger program. Once funds are appropriated or allocated, agencies may begin selecting or awarding projects consistent with their Expenditure Record and other programmatic requirements.

Administering agencies will submit program-level data each reporting cycle on new program activities only, such as solicitations or public meetings. Administering agencies will also submit project-level data each reporting cycle. CCIRTS tracks project progress at the various stages, as shown in Figure 3.

Figure 3 Project Reporting Stages

Agencies report “selected” projects at the program level. Each of the subsequent stages are captured by individual tabs in the “project-level Excel template.”2 Administering agencies should refer to the Funding Guidelines for additional information on the reporting stages and requirements.

Agencies will report project information on “Awarded” and “Implemented” stages in accordance with the definitions in the Terminology section below. Administering agencies should not report a single project as “Awarded” in more than one reporting cycle.3 If new funds are added to a previously existing project such that additional benefits will be created (i.e., new funds will enable new GHGs emissions reductions), report these new funds in this reporting cycle as a new project with a distinct project ID. Some programs append existing project IDs (i.e., “Amendment 1”, “Amendment 2”) for contracts that are repeatedly awarded

2 For projects where “awarded” and “implemented” occur at the same time, these stages are combined on a single Excel tab. 3 For projects that receive GGRF funding over multiple years, either from a continuous appropriation or from line-item budget appropriations that occur in multiple fiscal years, a single project may be reported as “Awarded” in more than one reporting cycle. This only applies if the project scope and benefits remain unchanged as additional funding is “Awarded” to the single project. This may apply for large infrastructure projects (e.g. High-Speed Rail and Transit and Intercity Rail Capital Programs) constructed in phases.

Selected Awarded Implemented CloseoutProject

Outcome Reporting


4 May 2018

funds. Report only the change in GHG emissions reductions and other co-benefits associated with the new increment of funding rather than the entire project.

Census-based project data, as defined in the Terminology section below, may report a project as “Implemented” in one or more reporting cycles after the initial award as needed. “Implemented” project data in the same census tract may also be reported in multiple reporting cycles.

Agencies will report projects in the “Closeout” stage once at the completion of a project as either “Completed” or “Canceled.” Once operational, a subset of projects will be subject to “Project Outcome Reporting.” This may occur prior to “Closeout.”

If data for previously reported projects have changed (such as a difference between a reported award and an executed contract), please contact CARB staff to facilitate edits to previously submitted data.

C. Terminology

The terms used in this User Guide are specific to California Climate Investments. Program-specific definitions are provided in the “Data Dictionary” tab of the project-level reporting Excel spreadsheets.

• Program Data - Program data focused on the operation of a program/subprogram, and covers information such as description, schedule, public meetings, and solicitation process. These data are collected through direct data entry in CCIRTS.

• Project Data - Project data are information specific to a project that is implemented under a subprogram. Information submitted through a “project-level Excel template” includes information about funding, location, GHG emission reductions, benefits to disadvantaged communities, low-income communities and households, and other project-specific metrics.

o Project-level Excel template: For each subprogram, CARB staff provides a reporting template that includes all required and optional reporting fields, which may vary by project type. Agencies assign each “awarded” project a unique project ID and provide associated project data. Project IDs can contain only letters, numbers, spaces, and the special characters dash and underscore (“-“ and “_”). Administering agencies will upload the completed spreadsheet within CCIRTS. More information about the templates can be in Step 2 of Section D.IV.

o Data Dictionary: The “Data Dictionary” is included as a separate tab in the Project-level Excel template and provides additional guidance on terms used for program reporting, defines each project-level data input field, and provides guidance on the type and format of information requested for each field. These definitions are specific to each subprogram.


5 May 2018

• Selected Projects - “Selected” is used only when an agency announces funding recipients (e.g., Board action or public announcement), but has not yet executed a grant agreement or “awarded” funding to a project. This category supports greater transparency of the movement of funds from appropriation and allocation to implementation and the progress agencies are making toward project implementation, between program solicitation and project contracts. “Selected” projects are not included in the project-level Excel template and are reported at the subprogram level. Reporting on “selected” projects is optional, but encouraged.

• Awarded Projects - Funds are considered “awarded” when an agency commits funding to a project (e.g., through contract execution or funds transfer to third-party administrator). Therefore, once a project with “selected” funds has an executed contract, those funds are no longer considered “selected,” but are now accounted for as “awarded.” Report the total project cost and total GGRF funding that has been awarded, encumbered, or obligated to the project regardless if all of the funds have yet to be transferred. Report on the total expected dollar amount to be paid to the funding recipient.

• Implemented Projects - Funds are “implemented” once the final funding recipient receives funds and the project has accountable benefits. For competitive projects, this often occurs concurrently with “awarded,” such as Department of Fish and Wildlife’s Wetland and Watershed Restoration Program. That is, once a project is awarded, the project benefits are known and can be reported. For other programs, such as CARB’s Clean Cars for All Program, funds may be “awarded” to a third-party administrator but not “implemented” until the voucher recipient is known and benefits can be attributed to a specific location.

• Canceled Projects - Periodically, projects that have been awarded or implemented are canceled. These canceled projects should be reported in the “Closeout” tab of the Excel spreadsheet. Projects that were canceled after being selected, but prior to being awarded should not be entered as canceled in the “Closeout” worksheet; this status is only for projects that have been previously reported as awarded or implemented. Entering canceled projects in the “Closeout” worksheet allows the project to be tracked in the CCIRTS database.

• Census-based Projects – Census tract-based projects are those that occur in individual households. CARB does not collect information at the household level, so information about these types of projects must be aggregated by census tract prior to reporting. For example, CARB’s Clean Vehicle Rebate Project (CVRP) and the Department of Community Services and Development’s (CSD) Low Income Weatherization Program are both census-based projects. For census-based projects, “awarded” will occur prior to “implemented”, as location, information is not known until the voucher / upgrade has been distributed / installed.


6 May 2018

• Reporting Cycle - Administering agencies submit data by reporting cycle. Historically, data has been collected on an annual basis and covers a 12-month period from December 1 through November 30. Beginning in 2018, reporting occurs on a semi-annual basis. The first reporting period covers activities occurring from December 1 through May 31, with the second period covering activities occurring from June 1 to November 30.

• Fiscal year(s) - Fiscal year(s) refer to the fiscal year(s) in which funds that are used to fund a project were appropriated at the agency, and are reported only at the project level. A single project may receive funds that were appropriated over multiple fiscal years.

For additional definitions, refer to the “Data Dictionary” tab on the project-level Excel templates. For more information on overarching reporting principles and requirements, please refer to Volume 3 of the Funding Guidelines.

D. CCIRTS Data Submittal Process

CCIRTS was developed to allow agencies to upload data on California Climate Investments programs and projects. Data are collected at many stages from program design to post-implementation outcomes. CARB staff will work with agencies that submit data through CCIRTS to ensure completeness and approve entry into a larger database for use in public reports. Figure 4 shows the data submittal process.


7 May 2018

Figure 4 CCIRTS Data Submittal Process


8 May 2018

I. Accessing CCIRTS

CCIRTS can be accessed at: air.arb.ca.gov/ccirts. This link can also be found on the CARB website at: www.arb.ca.gov/auctionproceeds.

CCIRTS is compatible with the following web browsers: Explorer, Firefox, Safari, Chrome, and Opera. CCIRTS is available for access 24 hours a day, 7 days a week, with exceptions for periodic maintenance. Data submittals are be accepted for 30 days after the end of each reporting cycle. Outside of open reporting cycles, agency users are able to view active submittals and archived data.

II. Registering as a New User

Each agency representative will have a unique login to access CCIRTS. New agency users are required to register as a new user.

Agencies may designate multiple people with authority to enter and submit data. User accounts are authorized at the subprogram level. Multiple users may access and enter data for a single subprogram. Users that oversee multiple subprograms will be given access to each appropriate subprogram through a single user account. Agency users are encouraged to coordinate to provide a complete program submittal. Accounts will only be approved for users that are confirmed to be authorized agency representatives.

The three-step process for user registration is described below:

1. Complete registration request form on the login page under Register as New User.

2. System will send an email to validate users email address. Click on link in email within 30 minutes.

3. Wait for a second email titled “Welcome New User”, stating request approved.

Account registration begins by selecting the “Register as a new user?” link from the login page, shown in Figure 5.

https://air.arb.ca.gov/ccirts

http://www.arb.ca.gov/auctionproceeds


9 May 2018

Figure 5 CCIRTS Login Page

Step 1. Selecting the “Register as a new user?” link will display the registration form as shown in Figure 6. The following fields are required when requesting an account:

• User Name (login ID) must be:

o 3 to 8 characters long

o Lowercase characters and numbers only

• Email - Enter a valid email address.

• Password - Passwords must:

o Be at least 8 characters long

o Include at least one lowercase letter (‘a’-‘z’).

o Include at least one uppercase letter (‘A’-‘Z’).

o Include at least one digit (‘0’-‘9’).

• Name

• Business Phone Number - Enter a business contact phone number in the event CARB staff needs to contact you.

• Requesting Agency Name - Enter the name of the agency for which you are entering reporting data.

• Requested Program Name(s) - Enter the programs and subprograms for which you are requesting permission.


10 May 2018

Figure 6 Registration Form

Step 2. When complete, click the Submit Account Request button. If there is an error in the data registration process, the system will display a message directing the user to adjust the error. Once successfully submitted, the user will be asked to validate the account via email. In the event an email is not received, please check the email was not re-directed to a junk or spam folder.

Step 3. Once validated, your request for account access will be sent to CARB staff that will confirm your request and assign your role as an agency user. Approved users will receive a second email that will allow access to CCIRTS.

III. Dashboard: The CCIRTS System Home Screen

The Dashboard is a post-login landing page that guides users through the data submittal process, shown in Figure 7. The top bar is always visible and includes a Home button to return to the Dashboard at any time. The About tab includes user resources including links to web pages for reference, this User Guide, and contact information. The Dashboard includes the following links and resources for agencies:


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Data Entry - Takes the user to the main reporting page for agency tracking.

Data Archives - Users will be able to archive and reference reported data from past reporting cycles.

Program Descriptions - Describes the programs for which the user is registered.

Figure 7 Dashboard View

IV. Data Entry

The Data Entry link will navigate the user to a program and subprogram page. A status column is included for each subprogram that corresponds to a point in the data submittal process (See Figure 4) and includes: “Awaiting Agency Submittal;” “Under CARB Review;” “Returned to Agency;” and “Approved.” The “Approved” status indicates preliminary approval by CARB staff and does not indicate final approval for data publishing. In the event errors were discovered in approved data, CARB may need to be correct data and the status of the submittal will display as “CARB Edit.” Agency users will be notified if the status of the submittal is changed.

To enter, edit, or review data, select the appropriate subprogram from the list. Figure 8 shows the Data Entry page display. The example below is for an agency user with access to multiple subprograms.


12 May 2018

Figure 8 Data Entry Display

The first box of the data entry screen covers Data Submittal Workflow, including a log of agency and CARB user activity history. Data submittals, revisions, and comments are tracked here with the most recent activity displaying first. A change log is also included on individual data entry pages to track changes. Figure 9 shows a history log of submittals.

Figure 9 Data Submittal Workflow

Follow the six-step process for submitting data: 1. Submit program and sub-program data through web forms. 2. Upload data entered in the project-level Excel template. 3. Upload supplemental location data. This step is only applicable for projects with

location data that is not represented by point(s). 4. Upload optional supporting information. 5. Review summarized uploaded data. 6. Submit final data.

NOTE: Section entries and uploads are automatically saved as users enter data. Agency users without new program, subprogram, or project data may skip to Step 6 and select the “Nothing to Report this Period” button to verify that the agency does not intend to submit any updated data during this period.


13 May 2018

Step 1: Program Data

Step 1 includes information that applies to the subprogram. Most of the data included here will be specific to a given subprogram (e.g., schedule or selected projects). Public transparency and outreach, as well as administrative expenses, are aggregated at a program level and include all activities reported for all subprograms. Figure 10 shows the program data sections available for data entry.

Figure 10 Program Data Sections

Schedule

Select the “Create New Entry” link and enter the information requested on the schedule for the subprogram, as shown in Figure 11. Users do not need to report this information again if your agency has reported the same information previously. For events that have not yet occurred, such as upcoming solicitation releases, leave the fields blank. If fields left blank in previous reporting cycles need to be updated, please add a note in CCIRTS specifying the edits. Dates should be entered in MM/DD/YYYY format; a calendar pop-up will display to choose the correct date. Optional notes may be added to explain data entries.


14 May 2018

Figure 11 Schedule Data Entry

Solicitation Process

The solicitation process page applies to competitive programs that issue solicitations. If your agency solicited or awarded funding to projects during this reporting cycle, then click “Create New” to enter data. In the Create New Solicitation Process data input screen, enter the total number of applications received and selected and total amount of funding requested and selected, as shown in Figure 12. In the Award Recipient Type Field, select from a drop down “Awarded Directly to Recipient” if funds are distributed from the administering agency to the final funding recipient or “Awarded to an Intermediary” if funds are first issued to a third party for distribution (e.g., rebate program). Indicate "N/A" in the additional comments field or leave blank if these activities are not applicable to your program or have not occurred within the reporting cycle.


15 May 2018

Figure 12 Solicitation Process Data Input Screen

Selected Projects

If your agency selected projects for funding during this reporting cycle, then click “Create New Entry” to enter data. Provide the project name, type, location, description, funding amount, and estimated GHG emission reductions for each project selected for funding in the last reporting cycle. Figure 13 shows the input fields for reporting on selected projects. If the project is included as an awarded or implemented project in the Excel template in Step 2 below, do not report this project as “selected”. For a program-specific definition of the term “selected,” please refer to the “Data Dictionary” included in the project-level Excel template.

Figure 13 Selected Projects

The information on selected projects may be entered directly in the tool using the “Create New Entry” link or may be uploaded from an Excel spreadsheet by clicking the “Import Entries from Excel” link. If uploading using Excel spreadsheets, users must use the templates provide. Select “Get Blank Template” to download a template with blank input fields, as shown in Figure 14. Select “Get Full Template” to download an Excel document populated with the data that has already been entered. If validation errors occur while uploading, work in the Excel spreadsheet directly to correct these errors before attempting to upload again.


16 May 2018

Figure 14 Selected Project Excel Upload

NOTE: Excel uploads will replace data that have been manually uploaded. Uploading only a subset of selected projects with the Excel import feature may erase existing data on other selected projects. For programs with existing data, agencies should use the “Get Full Template” feature.

Subprogram Descriptions

The Subprogram Description portion contains several sections to describe program design, as shown in Figure 15, including:

• Estimated GHG Reductions Description

• Benefits to Disadvantaged Communities, Low-income Communities, and Low-income Households

• Co-benefits Description

• Program Effectiveness


17 May 2018

Figure 15 Subprogram Descriptions

The information in these fields is not posted publicly, but is used by CARB staff to help communicate about these programs.

For existing programs, this information will be pre-populated with descriptions provided in previous reporting cycles. The agency user will need to review and make corrections, or propose changes as appropriate, and submit for approval.

For new programs, CARB staff has entered information for the subprogram description fields based on the posted Expenditure Records for each subprogram. Agency staff should review, correct, and propose changes to these fields, as needed. For agencies that have not yet posted Expenditure Records, agency users will need to provide a one-paragraph description of how the program estimates GHG reductions, benefits disadvantaged communities, low-income communities, or low-income households, and provides additional co-benefits, as applicable. Click any of the three sections headings to enter descriptions.

Public Transparency and Outreach

Provide the date, location, and the estimated number of in-person and remote attendees (e.g., teleconference, webinar) for each public meeting held since the previous reporting cycle. Include all workshops and outreach events related to the program, regardless of the entity that hosted the event (e.g., contractors, grantees, community organizations, other agencies). This information may be entered directly in the tool using the “Enter New Meeting” link as shown in Figure 16. Selecting the middle icon “clone” button will pre-populate a new meeting entry with the selected meeting information.


18 May 2018

Figure 16 Public Transparency and Outreach Data Input Page

This information may also be uploaded from an Excel document by selecting “Import Meeting Records from Excel.” Select “Get Blank Template” to download a template with blank input fields, as shown in Figure 17. Select “Get Full Template” to download an Excel document populated with the data that have already been entered. If validation errors occur while uploading, work in the Excel document directly to correct these errors before attempting to upload again.

Figure 17 Public Meeting Excel Upload

NOTE: If using the “Import Meeting Records from Excel” feature, include all meetings for that program, even if meetings focused only on a specific subprogram. As mentioned above, the public meetings data are shared across subprograms and aggregated at a program level. Regardless of which subprogram is chosen when uploading the Excel file, the meetings will be reflected across all subprograms that comprise a program.


19 May 2018

NOTE: Excel uploads will replace data that have been manually uploaded. Uploading only a subset of meetings with the Excel import feature may erase existing data on other subprograms. For this reason, append existing relevant data using the “Get Full Template” feature and coordinate with other program agency users. Once templates have been uploaded, additional meetings may be added manually.

Intermediary Administrative Expenses

In addition to costs incurred directly by the State, administering agencies may provide funding to program administrators or intermediaries that use part of the funding to cover the administrative costs associated with distributing incentives, implementing projects, or tracking and reporting data. Definitions of intermediary administrative expenses can be found in the “Data Dictionary” tab of the project-specific Excel templates.

For agencies that implement projects using an intermediary party, administrative expenses must be reported on a subprogram level. The Intermediary Administrative Expenses section collects data on the funds spent to administer programs within the reporting cycle. For agencies that only distribute funds direct to the final funding recipient, this section will not apply.

To enter data on intermediary administrative expenses, select “Enter New Administrative Expense” as shown in Figure 18.

Figure 18 Intermediary Administrative Expenses

Provide the dollar amount of expenses incurred within the reporting cycle for administrative or overhead costs by an intermediary funding recipient (e.g., grantee, third-party administrator, local agency). For agencies contracting with an intermediary, this may correspond to individually invoiced items considered “administrative fees” or “processing fees.” For agencies that distribute funds outside of a legal agreement, this will be any amount of funds not spent directly on project costs.

NOTE: Costs incurred by the administering agency to administer the program or subprogram, including costs incurred by partner State agencies that participate in administering the program or subprogram are tracked using the GGRF Administrative System for fiscal tracking. These costs do not need to be entered by the agency user.


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Step 2: Project Data (Project-Level Excel Template Upload)

In Step 2, agency users will upload the completed project-level Excel template with all project data for the reporting cycle, as shown in Figure 19. Agency users can download a blank project-level Excel template specific to their subprogram from two locations: the California Climate Investments website4 and within CCIRTS via the “Download Excel Template” link as shown in Figure 19.

Figure 19 Project-Level Excel Template Upload

Using the Project Reporting Template

The project reporting templates are used to report on Awarded, Implemented, Canceled, and Completed projects. Each template contains a “Read Me” tab that provides an overview of how to use the template and a “Data Dictionary” tab that defines each column within the template. These data dictionary definitions also appear when the column headings are selected (see Figure 20).

Figure 20 Project-Level Excel Template Headings

The number of tabs on each template varies by subprogram. Subprograms that have distinct Awarded and Implemented phases (such as a subprogram that award funds to a contractor to subsequently implement a voucher program) have templates with an “Awarded” and “Implemented” phases. For subprograms in which each project has accountable benefits (location, funding amount, GHG estimates), Awarded and Implemented often occur simultaneously and project-reporting templates have a single “AwardedImplemented” tab.

4 https://ww2.arb.ca.gov/our-work/programs/california-climate-investments

https://ww2.arb.ca.gov/our-work/programs/california-climate-investments


21 May 2018

Figure 21 Reporting Priority Population Benefits in the Excel Template

The project reporting templates contain columns to report on both SB 535 Disadvantaged Community funding targets (the lighter colored “(historical)” columns in Figure 21) and the broader AB 1550 Priority Population funding targets (the darker colored columns beginning on the right side of Figure 21). Projects that were selected prior August 4, 2017 should report disadvantaged community benefits using the SB 535 data columns (labeled as “historical”). Projects selected after August 4, 2017 should report disadvantaged community benefits under AB 1550 and enter data in the set of columns including and to the right of the “Disadvantaged Community? (Y/N)” column. Subprograms may implement projects during a single reporting period under both AB 1550 and SB 535, but a single project should be reported only under either AB 1550 or SB 535.

In reporting projects that benefit AB 1550 priority populations, the templates have columns asking administering agencies to either “Select a Priority Population” or “Claim” a benefit to a particular population. These columns are necessary because each project or voucher can only be counted once toward contributing to AB 1550 targets and some locations can qualify toward more than one priority population (such as community that is both low income and disadvantaged).

If a subprogram does not yet have data to report for the Closeout, Jobs, or Outcomes tabs, these tabs can be left blank.

Project IDs are created by the administering agencies and can contain only letters, numbers, spaces, and the special characters dash and underscore (“-“ and “_”). Each project must have a unique ID.

Uploading the Template

If the Excel template includes invalid entries, the tool will return error messages through the upload process. If the tool returns errors, users will need to correct and re-upload the entire file. Work in the Excel document directly to correct these errors before attempting to upload again. When making corrections to the spreadsheet, please refer to the “Data Dictionary” tab in the project-level Excel template for the requirements specific to each reporting field.

The number of error messages displayed is limited by data processing constraints. The error messages will be returned for the first several hundred instances. As errors are corrected, additional error messages may be visible. A complete list of errors can be downloaded as an Excel sheet by clicking the “Save List to File” link as shown in Figure 22. Using Excel, users


22 May 2018

can display the error list sheet side-by-side with the project-level Excel template to make corrections.

Figure 20 Error List

Once the Excel document is without validation errors, the tool will display a preview map of projects with summary data as shown in Figure 23. These are draft data based on summations of the data uploaded in the Excel template. While these draft data may not reflect the finalized data used in public reporting due to potential corrections in initially reported data, agency users should use this function for data quality assurance purposes. Summary data include awarded and implemented funds, estimated GHG reductions, and benefits to disadvantaged communities. Green place markers denote projects that project benefits to disadvantaged communities and red place markers denote projects that do not provide benefits to disadvantaged communities. A map will not be included for census-based projects. Once the preview summary data has been reviewed, select “Back to Sections” to return to the data entry page.

Figure 21 Preview Summary


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The most recently uploaded Excel document will be highlighted in yellow. As additional revisions are uploaded, a history of uploads will be accessible in this section. To access the summary preview page again, select the rightmost icon of a map next to the Excel document uploaded, as shown in Figure 24. The submitted file may also be downloaded with the leftmost icon.

Figure 22 Excel Upload History

Step 3: Supplemental Location Data

This step is applicable only for projects with location data that are not represented by a single point. Most California Climate Investments projects can be reported using a single or several location coordinates or addresses. The location of these point-based projects is reported in the Step 2 project-level Excel template. Some projects occur in a single location, but are aggregated on a census tract basis. These census-based projects are also captured within Step 2.

For projects that are best represented by many (e.g., dozens to hundreds) points, please contact CARB staff for a reporting template.

For projects that are area based or are best represented with a line or polygon, agency users must upload a geographic data file for each project. This file must be uploaded as a zipped file (.zip or KMZ file) containing individual KML files with all project location data for the reporting cycle. Each project must be in a separate KML file within this KMZ file. The KML file must be named with the same project ID as the corresponding project as reported in the Step 2 project-level Excel template. Consequently, project-level Excel templates must be uploaded prior uploading supplemental location data. Figure 25 shows an unsuccessful upload where the KMZ file contained project KML files that were not associated with an awarded project ID.


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Figure 23 Location Data Upload Errors

If users find any subsequent errors in the file, they will need to be corrected and the entire file will need to be re-uploaded. Successfully uploaded files will display as shown in Figure 26.

Figure 24 Location Data Uploaded

Several tools exist to create KML files. Agency users may have these resources available through geographic information system (GIS) software. Free, web-based tools also exist that allow users to create geospatial files.

Step 4: Optional Supporting Documentation

Step 4 is optional and allows supporting documentation to be uploaded. Examples include narratives on programs or projects, supplemental discussion on data abnormalities, program- and/or project-specific plans, letters of support from community members, project photos, or any additional supporting information. The data submitted here will not be used directly in reporting efforts and will not be displayed on published project maps. Submitted documentation will be stored with the submittal in the database.


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Step 5: Review Data Summary

The final step before submitting data is to review all data for accuracy. Step 5 includes summary documents that aggregate uploaded data at both a program and subprogram level. The reports can also be printed and referenced as draft summary documentation using the links shown in Figure 27.

Figure 25 Review Data Summary Options

Step 6: Submit Completed Data to CARB

Step 6 is to submit the complete data package for CARB review. When the data entry for the reporting cycle is complete, click “Submit completed Data to CARB.” Some subsections are required to be populated for submittal while some sections are considered optional. All data sections should be completed to the extent the information is available, but some fields may not be applicable and can be submitted without data. Users are required to include a note in the comment field to ensure the data submittal was intentional.

Figure 28 displays the Step 6 process for re-submitting data that has been returned for corrections. Please note that once data has been submitted or re-submitted for CARB review, agency users will not be able to edit or correct data. This maintains the integrity of submitted data and allows for transparent tracking of changes made by any CCIRTS user. In the event CARB review discovers errors, the data submittal will be returned to the agency and edits can be made by agency users. When a data submittal has been returns to agency users, the system will notify the user via the email addresses associated with the subprogram.

Figure 26 Complete Data Submittal

Once successfully submitted, the data entry page will redirect the agency user back to the main program data page.

E. Data Review


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Once data are submitted successfully, CARB staff will review the data and either approve for upload into the database or return the submittal to the agency for revision. All agency users will receive an email alerting them of a returned or approved submittal. The overall data submittal process is described earlier in the document and is shown in Figure 4.

F. Additional Support

For additional information on submitting data using CCIRTS and technical support, please contact the program’s CARB point of contact or the GGRF email at: [email protected].

G. Frequently Asked Questions (FAQ) 1. How frequently will agencies be reporting data?

Data are reported on a semi-annual basis. The first reporting cycle covers activities that occurred from 12/1 through 5/31 and the second reporting period covers activities that occurred 6/1 through 11/30.

2. I need to give a new staff member at our agency access to CCIRTS to submit

data. Can I do that from my CCIRTS account? CARB staff manages user accounts and solicits lists of approved staff from each of the administering agencies. If new staff need to be added or removed, please contact CARB staff so that the appropriate approvals can be made. Approved users must register and create an account from the CCIRTS login page.

3. Our agency programs are changing (adding new programs, removing old

programs, combining programs, changing program names, etc.), so how do we update the reporting templates to handle this? How will data reported for new or sunsetting programs be handled? Please contact CARB staff to discuss programs that are changing.

4. For the public transparency and outreach section, should we report workshops

that we funded but that we did not conduct? Report on all workshops related to the program regardless of the entity that hosted the workshop (e.g., contractors, grantees, other implementing agencies).

5. We will not have grant agreements in place by the reporting deadline, yet we

have announced program award recipients. How should we report this? Report these projects as “Selected”. “Selected” projects are reported at a program-level. All program-level information is entered in Step 1 of the CCIRTS data entry process. Do not include these projects within the project-level Excel template since a legal agreement is not yet in place.

mailto:[email protected]


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7. My project has been awarded, but we have yet to reimburse the grantee. For the project costs that haven’t been paid out yet, do we report on amount paid as of the end of the reporting period (May 31/November 30) or on the expected dollar amount to be paid out upon project closeout? What total project cost, GGRF (Greenhouse Gas Reduction Fund) funding amount, among others, do I report on? Report the total project cost and total GGRF funding that has been awarded, encumbered, or obligated to the project regardless if all of the funds have yet to be transferred. Report on the total expected dollar amount to be paid out upon closeout.

8. This year, we added funds an existing contract. For the estimated GHG

reductions, do we report on the new estimated GHG reductions for the project as a whole (existing contract plus additional scope from expansion), or just the reductions associated with the expansion? Since the existing contract has been reported as awarded, report only the new awarded funds in this reporting cycle as a new project with a unique project ID. The estimated GHG reductions for this project should correspond only with the additional awarded funds (only cover the expansion).

9. Last year we reported an award as $50,500 in GGRF funds, but the contract was

executed for $55,000. Can we access, change, and correct data submitted in previous years through CCIRTS? Edits to previously submitted data must be made directly within the database and cannot be changed by CCIRTS agency users. Please contact CARB staff who will assist in making the corrections.

10. In the CCIRTS Reporting Templates, which fields (columns) are optional?

In general, CARB staff strongly encourage administering agencies to fill out all fields to allow for comprehensive reporting on the outcomes of California Climate Investments. However, some fields may not be applicable to a given project within a subprogram and would therefore not be required. For fields not applicable, leave blank. Additionally, all project-level reporting templates include fields for co-benefits (e.g., air pollutants). CARB staff is working to update existing quantification methods and develop new methods for agencies to assess a suite of co-benefits. New and updated quantification methods will include calculations for key variables and co-benefits. If available, please report the values associated with each project’s co-benefits. For programs that do not yet include quantification of co-benefits, these fields are currently optional and can be left blank. Please contact CARB staff to receive additional guidance on which columns are currently applicable for your subprogram.

11. The Reporting Templates have fields such as “Benefit Disadvantaged

Communities (historical)? (Y/N)” and “AB 1550 Disadvantaged Community? (Y/N)” What is the difference? Do I have to report on both? Aren’t they the same thing? If projects were selected prior to the release of the Draft Funding Guidelines on August 4, 2017, the projects must report in accordance with the provisions of SB 535


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and the 2015 version of the Funding Guidelines, including CalEnviroScreen version 2.0. The data associated with pre-August 4 projects are labeled as historical fields. Projects selected after August 4, 2017 must report in accordance with the provisions of AB 1550 and the August 4 Draft Funding Guidelines, including CalEnviroScreen version 3.0. Agencies are only required to report projects for a single legislative mandate. However, CARB encourages those reporting under the SB 535 provisions to also report on the provisions of AB 1550 to the extent feasible.

12. For the column “State Policies, Plans, or Initiatives”, how should we go about

describing such policies, plans, or initiatives applicable to a given project? What are some examples? The “State Policies, Plans, or Initiatives” field is intended to capture a project’s contribution to the broad array of the State’s goals. Each agency has a unique mission and role in contributing to these goals. Please include a list of policies, plans, or initiatives that the project furthers. Examples include the Water Action Plan, Safeguarding California, Forest Carbon Plan, ZEV Action Plan.

13. We have annual progress updates to report from some previously reported

projects. Past reporting templates had an “End of Year” tab for reporting such information. That tab is no longer in the new templates. How should we proceed? Agencies should include ongoing implementation for projects reported in past years on the standalone “Implemented” tab with the originally reported project ID. Once project implementation is complete (e.g., all trees planted, all measures installed, all rebates distributed), the next time administering agencies should report on the project is at “Closeout” or end of a contract or grant term.

14. Our project has been operating for less than a year. How should we report on

the project outcome fields in the “Outcome” tab? The reporting columns are on a “per year” basis. Should we pro-rate our values for the entire year or simply report on the value observed to date? For outcome reporting, each project will report on the start and end date of tracking for the data submission. The value reported should be the actual amount/value that occurred within the tracking period. For the first and last years of outcome reporting, this tracking period may be less than a full year.

15. During outcome reporting, is it okay to report negative values? For example, for

“change in energy use”, should I report a reduction in energy use as a positive or negative value? For project outcome reporting on the “Outcome” tab, some of the project benefits will be reported as a negative value, such as “Change in Energy Use”. For reporting co-benefits during project award or implementation, the project benefits may be reported as a positive value, such as “Energy Use Reductions”. For further clarification, please contact CARB staff.


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16. For reporting on jobs, does that include the employment of people during project construction and/or the ongoing employment once the project is completed and operational? Report on all jobs supported by GGRF funds. Construction jobs may be reported as short-term and any operation and maintenance jobs associated with the project would be reported with a longer duration. The duration of employment is captured by reporting the number of work hours.

17. For reporting on project location, is a KMZ file preferred over latitudinal and

longitudinal coordinates? Are other formats besides KMZ accepted for mapping purposes? Latitude and longitude coordinates are required for mapping purposes. Every project must report a single geographic coordinate for preliminary mapping. If the project includes more complex locational information (i.e., many points, project area is a polygon rather than a point, or the project operates on a fixed line), the agency must provide a KMZ upload of supplemental location data. Each subprogram may only upload a single KMZ file per reporting submittal. The single KMZ upload includes individual KML files. Each KML file must be associated with a reported project ID, but not all projects reported a need to have an associated KML within the KMZ. If geospatial data is available in another file format, please convert the file into a KML file.

18. How will the data I report be displayed on the online map?

Projects that are reported aggregated by census tract use the census tract field for mapping. For other projects, the geographic coordinates submitted in the project-level Excel template are used for mapping. Reported addresses are not geocoded or used to display location information. Where supplemental location data is provided in the form of KML files, the KML data supersedes any geographic coordinates included in the project-level Excel spreadsheet.

may 2018 - arb.ca.gov · if data for previously reported projects have changed (such as a...

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