HomeMy WebLinkAboutMINUTES - 10162012 - C.18RECOMMENDATION(S):
ADOPT Resolution No. 2012/441 approving and authorizing the Chief Engineer, Flood Control and Water
Conservation District (FC District), or designee, located at 255 Glacier Drive, Martinez, CA 94553, to execute the
Grant Agreement with the California Department of Water Resources (DWR), accept funds, designate a
representative as outlined in Paragraph 25 of the Grant Agreement, and sign requests for disbursement under the
Grant Agreement with DWR for the construction of Upper Sand Creek Basin, Antioch area.
FISCAL IMPACT:
Grant Agreement provides funds up to $2,000,000 for Drainage Area 130 (Fund 256200).
BACKGROUND:
On March 7, 2011, the Board of Supervisors approved the FC District’s application to DWR for Proposition 1E
Round 1 Stormwater Flood Management Grant Funds for Upper Sand Creek Basin. We are estimating total costs at
$14,137,800 for which we are requesting $2,000,000 in grant funding. Subsequently, DWR announced that the FC
District would be awarded $2,000,000, and has prepared a draft grant agreement (Grant Agreement #4600009637)
between the FC District and DWR
APPROVE OTHER
RECOMMENDATION OF CNTY ADMINISTRATOR RECOMMENDATION OF BOARD COMMITTEE
Action of Board On: 10/16/2012 APPROVED AS RECOMMENDED OTHER
Clerks Notes:
VOTE OF SUPERVISORS
AYE:John Gioia, District I Supervisor
Candace Andersen, District II
Supervisor
Mary N. Piepho, District III
Supervisor
Karen Mitchoff, District IV
Supervisor
ABSENT:Federal D. Glover, District V
Supervisor
Contact: Carl Roner (925) 313-2213
I hereby certify that this is a true and correct copy of an action taken and entered on the minutes of the Board of Supervisors
on the date shown.
ATTESTED: October 16, 2012
David Twa, County Administrator and Clerk of the Board of Supervisors
By: Carrie Del Bonta, Deputy
cc: R. M. Avalon, Deputy Chief Engineer, M. Carlson, Flood Control, P. Detjens, Flood Control, C. Roner, Flood Control, A. Clark, PW Finance, C. Windham, Flood Control
C. 18
To:Contra Costa County Flood Control District Board of Supervisors
From:Julia R. Bueren, Public Works
Date:October 16, 2012
Contra
Costa
County
Subject:Authorize FC District to execute grant agreement, accept funds, designate representative & sign requests for
disbursement from State. Proj 7562-6D8518
BACKGROUND: (CONT'D)
funding up to $2,000,000 of the construction cost of Upper Sand Creek Basin. In accordance with the terms of this
grant agreement, a copy of a Board adopted resolution for executing the agreement, accepting funds, and
designating a representative to execute and sign requests for disbursement of State funds is a requirement for
disbursement.
CONSEQUENCE OF NEGATIVE ACTION:
Without Board approval and authorization for executing the agreement, accepting funds, and designating a
representative, the FC District will be unable to obtain reimbursement from DWR for the awarded $2,000,000.
CHILDREN'S IMPACT STATEMENT:
Not applicable.
ATTACHMENTS
Resolution No. 2012/441
DWR Draft Agreement
GRANT AGREEMENT BETWEEN THE STATE OF CALIFORNIA (DEPARTMENT OF WATER RESOURCES) AND
CONTRA COSTA COUNTY FLOOD CONTROL AND WATER CONSERVATION DISTRICT
GRANT AGREEMENT 4600009637
PROPOSITION 1E ROUND 1 STORMWATER FLOOD MANAGEMENT GRANTS
CALIFORNIA WATER CODE §83002 and PUBLIC RESOURCES CODE §5096.827 ET SEQ
THIS GRANT AGREEMENT is entered into by and between the Department of Water Resources of the State of
California, herein referred to as the "State" and the Contra Costa County Flood Control and Water
Conservation District, a local agency in the County of Contra Costa, State of California, duly organized,
existing, and acting pursuant to the laws thereof, herein referred to as the "Grantee", which parties do hereby
agree as follows:
1. PURPOSE. State shall provide a grant from the Disaster Preparedness and Flood Prevention Bond Act of 2006
(Public Resources Code (PRC) §5096.827 et seq.) to Grantee to assist in financing the project associated
with the Upper Sand Creek Basin for the Stormwater Flood Management (SWFM) Program, collectively
referred to as “SWFM Program.”
2. TERM OF GRANT AGREEMENT. The term of this Grant Agreement begins on the date this Grant Agreement is
executed by the State, and terminates on December 31, 2015, or when all of the Parties’ obligations under
this Grant Agreement are fully satisfied, whichever occurs earlier. Execution date is the date the State signs
this Grant Agreement indicated on page 8.
3. GRANT AMOUNT. The maximum amount payable by State under this Grant Agreement shall not exceed
$2,000,000. Reimbursement of grant funds may be claimed after December 21, 2011.
4. GRANTEE COST SHARE. The reasonable costs for this Grant Agreement are estimated to be $14,137,800.
Grantee shall provide a Cost Share (Funding Match) in the amount of at least 50% of the total project cost.
Grantee’s Funding Match is estimated to be $12,137,800. Grantee’s Funding Match may include cost share
performed after September 30, 2008. Funding Match consists of non-State funds including in-kind services.
In-kind services are defined as work performed (i.e., dollar value of non-cash contributions) by the Grantee
(and potentially other parties involved) directly related to the execution of the scope of work (examples:
volunteer services, equipment use, and facilities). For Funding Match guidance, see Exhibit G.
5. GRANTEE'S RESPONSIBILITY. Grantee shall faithfully and expeditiously perform or cause to be performed all
project work as described in Exhibit A (Work Plan) and in accordance with Exhibit B (Schedule) and Exhibit
C (Budget). Grantee shall comply with all of the terms and conditions of this Grant Agreement and
applicable PRC and CWC requirements.
6. BASIC CONDITIONS. State shall have no obligation to disburse money for a project under this Grant
Agreement unless and until Grantee has satisfied the following conditions in accordance with the Disaster
Preparedness and Flood Prevention Bond Act of 2006.
a) Grantee demonstrates the availability of sufficient funds to complete the project, as stated in the Grant
Award/Commitment Letter, by submitting the most recent 3 years of audited financial statements.
b) For the term of this Grant Agreement, Grantee submits timely Quarterly Progress Reports as required by
Paragraph 16, “Submission of Reports.”
c) Grantee submits all deliverables as specified in Paragraph 16 of this Grant Agreement and in Exhibit A.
d) For each project, prior to the commencement of construction or implementation activities, Grantee
shall submit the following to the State:
1) Final plans and specifications certified by a California Registered Civil Engineer as to compliance for
each approved project as listed in Exhibit A of this Grant Agreement.
2) Work that is subject to the California Environmental Quality Act (CEQA) and or environmental
permitting shall not proceed under this Grant Agreement until the following actions are performed:
i. Grantee submits all applicable environmental permits as indicated on the Environmental
Information Form to the State,
ii. Documents that satisfy the CEQA process are received by the State,
iii. State has completed its CEQA compliance review as a Responsible Agency, and
iv. Grantee receives written concurrence from the State of Lead Agency’s CEQA document(s)
and State notice of verification of environmental permit submittal.
Grant Agreement No. 4600009637
Page 2 of 29
State’s concurrence of Lead Agency’s CEQA documents is fully discretionary and shall constitute a
condition precedent to any work (i.e., construction or implementation activities) for which it is
required. Once CEQA documentation has been completed, State will consider the environmental
documents and decide whether to continue to fund the project or to require changes, alterations
or other mitigation. Grantee must also demonstrate that it has complied with all applicable
requirements of the National Environmental Policy Act by submitting copies of any environmental
documents, including environmental impact statements, Finding of No Significant Impact, mitigation
monitoring programs, and environmental permits as may be required prior to beginning
construction/implementation.
3) A monitoring plan as required by Paragraph 21, “Project Monitoring Plan Requirements.”
7. DISBURSEMENT OF GRANT FUNDS. Following the review of each invoice, State will disburse to Grantee the
amount approved, subject to the availability of funds through normal State processes. Notwithstanding any
other provision of this Grant Agreement, no disbursement shall be required at any time or in any manner
which is in violation of, or in conflict with, federal or state laws, rules, or regulations, or which may require any
rebates to the federal government, or any loss of tax-free status on state bonds, pursuant to any federal
statute or regulation. Funds will be disbursed by State in response to each approved invoice in accordance
with the Exhibit C. Any and all money disbursed to Grantee under this Grant Agreement and any and all
interest earned by Grantee on such money shall be used solely to pay Eligible Costs.
8. ELIGIBLE PROJECT COST. Grantee shall apply State funds received only to eligible Project Costs in
accordance with applicable provisions of the law and Exhibit C. Eligible project costs include the reasonable
costs of studies, engineering, design, land and easement acquisition, legal fees, preparation of
environmental documentation, environmental mitigations, monitoring, and project construction. Work
performed after the date of grant award, December 21, 2011, shall be eligible for reimbursement.
Reasonable administrative expenses may be included as Project Costs and will depend on the complexity of
the project preparation, planning, coordination, construction, acquisitions, implementation, and
maintenance. Reimbursable administrative expenses are the necessary costs incidentally but directly related
to the project including the portion of overhead and administrative expenses that are directly related to the
project included in this Grant Agreement in accordance with the standard accounting practices of the
Grantee.
Advanced funds will not be provided. Costs that are not reimbursable with grant funds cannot be counted
as cost share. Costs that are not eligible for reimbursement include but are not limited to:
a) Costs, other than those noted above, incurred prior to the award date of the Grant.
b) Operation and maintenance costs, including post construction performance and monitoring costs.
c) Purchase of equipment not an integral part of a project.
d) Establishing a reserve fund.
e) Purchase of water supply.
f) Monitoring and assessment costs for efforts required after project construction is complete.
g) Replacement of existing funding sources for ongoing programs.
h) Travel and per diem costs.
i) Support of existing agency requirements and mandates (e.g. punitive regulatory agency requirements).
j) Purchase of land in excess of the minimum required acreage necessary to operate as an integral part
of a project, as set forth and detailed by engineering and feasibility studies, or land purchased prior to
the effective date of the grant award with the State.
k) Payment of principal or interest of existing indebtedness or any interest payments unless the debt is
incurred after execution of this Grant Agreement, the State agrees in writing to the eligibility of the costs
for reimbursement before the debt is incurred, and the purposes for which the debt is incurred are
otherwise eligible costs. However, this will only be allowed as Grantee Cost Share (i.e. Funding Match)
l) Overhead not directly related to project costs.
9. METHOD OF PAYMENT. After the disbursement requirements in Paragraph 6 “Basic Conditions” are met,
State will disburse the whole or portions of the Grant Amount to Grantee, following receipt from Grantee of
an invoice for costs incurred, and timely Quarterly Progress Reports as required by Paragraph 16,
“Submission of Reports.”
Grant Agreement No. 4600009637
Page 3 of 29
Invoices submitted by Grantee shall include the following information:
a) Costs incurred for work performed in implementing the project during the period identified in the particular
invoice.
b) Costs incurred for any interests in real property (land or easements) that have been necessarily
acquired for a project during the period identified in the particular invoice for the implementation of a
project.
c) Appropriate receipts and reports for all costs incurred.
d) Invoices shall be submitted on forms provided by State and shall meet the following format
requirements:
1) Invoices must contain the date of the invoice, the time period covered by the invoice, and the total
amount due.
2) Invoices must be itemized based on the categories (i.e., tasks) specified in the Exhibit C. The amount
claimed for salaries/wages/consultant fees must include a calculation formula (i.e., hours or days
worked times the hourly or daily rate = the total amount claimed).
3) Sufficient evidence (i.e., receipts, copies of checks, time sheets) must be provided for all costs
included in the invoice.
4) Each invoice shall clearly delineate those costs claimed for reimbursement from the State’s grant
amount, as depicted in Paragraph 3, “Grant Amount” and those costs that represent Grantee’s
costs, as applicable, in Paragraph 4, “Grantee Cost Share.”
5) Original signature and date (in ink) of Grantee’s Project Manager.
Payment will be made no more frequent than monthly, in arrears, upon receipt of an invoice bearing the
Grant Agreement number. Submit the original and copy of the invoice form to the following address:
Department of Water Resources
Kristin Honeycutt
3500 Industrial Blvd.
West Sacramento, Ca 95691
10. WITHHOLDING OF GRANT DISBURSEMENT BY STATE. If State determines that a project is not being
implemented in accordance with the provisions of this Grant Agreement, or that Grantee has failed in any
other respect to comply with the provisions of this Grant Agreement, and if Grantee does not remedy any
such failure to State’s satisfaction, State may withhold from Grantee all or any portion of the Grant Amount
and take any other action that it deems necessary to protect its interests. State may require the Grantee to
immediately repay all or any portion of the disbursed grant amount with interest, consistent with its
determination. State may consider Grantee’s refusal to repay the requested disbursed grant amount a
contract breach subject to the default provisions in Paragraph 12, “Default Provisions.”
11. CONTINUING ELIGIBILITY. Grantee must meet the following ongoing requirements to remain eligible to
receive State grant funds:
a) Timely adoption of an IRWM Plan that meets the requirements contained in Part 2.2 of Division 6 of the
CWC, commencing with Section 10530.
12. DEFAULT PROVISIONS. Grantee will be in default under this Grant Agreement if any of the following occur:
a) Breach of this Grant Agreement, or any supplement or amendment to it, or any other agreement
between Grantee and State evidencing or securing Grantee’s obligations.
b) Making any false warranty, representation, or statement with respect to this Grant Agreement.
c) Failure to operate or maintain project in accordance with this Grant Agreement.
d) Failure to make any remittance required by this Grant Agreement.
e) Failure to comply with Labor Compliance Plan (LCP) requirements.
f) Failure to meet any of the requirements set forth in Paragraph 11, “Continuing Eligibility.”
Should an event of default occur, State may do any or all of the following:
g) Declare the Grant be immediately repaid, with interest, which shall be equal to State of California
general obligation bond interest rate in effect at the time of the default.
Grant Agreement No. 4600009637
Page 4 of 29
h) Terminate any obligation to make future payments to Grantee.
i) Terminate the Grant Agreement.
j) Take any other action that it deems necessary to protect its interests.
13. PERMITS, LICENSES, APPROVALS, AND LEGAL OBLIGATIONS. Grantee shall be responsible for ensuring any
and all permits, licenses, and approvals required for performing their obligations under this Grant
Agreement are obtained, and shall comply with CEQA (PRC Section 21000 et seq.) and other applicable
federal, State and local laws, rules, and regulations, guidelines, and requirements for each project
described in Exhibit A of this Grant Agreement.
14. RELATIONSHIP OF PARTIES. Grantee is solely responsible for design, construction, and operation and
maintenance of project within this Grant Agreement. Review or approval of plans, specifications, bid
documents, or other construction documents by State is solely for the purpose of proper administration of
grant funds by State and shall not be deemed to relieve or restrict responsibilities of Grantee under this
Grant Agreement.
15. GRANTEE REPRESENTATIONS. Grantee accepts and agrees to comply with all terms, provisions, conditions,
and commitments of this Grant Agreement, including all incorporated documents, and to fulfill all written
assurances, declarations, representations, and statements made by Grantee in the application,
documents, amendments, and communications filed in support of its request for The Disaster Preparedness
and Flood Prevention Bond Act of 2006 financing.
16. SUBMISSION OF REPORTS. The submittal and approval of all reports is a requirement for the successful
completion of this Grant Agreement. Reports shall meet generally accepted professional standards for
technical reporting and shall be proof read for content, numerical accuracy, spelling, and grammar prior
to submittal to State. All reports shall be submitted to the State’s Project Manager, and shall be submitted in
both electronic and hard copy forms. If requested, Grantee shall promptly provide any additional
information deemed necessary by State for the approval of reports. Reports shall be presented in the
formats described in the applicable portion of Exhibit E. The timely submittal of reports is a requirement for
initial and continued disbursement of State funds. Submittal and subsequent approval by the State, of a
Project Completion Report is a requirement for the release of any funds retained for such project.
Quarterly Progress Reports: Grantee shall submit Quarterly Progress Reports to meet the State’s
requirement for disbursement of funds. Quarterly Progress Reports shall be sent via e-mail, to the State’s
Project Manager. Quarterly Progress Reports shall, in part, provide a brief description of the work
performed, Grantees activities, milestones achieved, any accomplishments and any problems
encountered in the performance of the work under this Grant Agreement during the reporting period.
The first Quarterly Progress Report should be submitted to the State no later than three months after the
State signs the Agreement with future reports then due on successive three-month increments based on
the invoicing schedule and this date.
Project Completion Reports: Grantee shall prepare and submit to State a separate Project Completion
Report for each project included in Exhibit A. Grantee shall submit a Project Completion Report within
ninety (90) calendar days of project completion. Each Project Completion Report shall include, in part,
a description of actual work done, any changes or amendments to each project, and a final schedule
showing actual progress versus planned progress, copies of any final documents or reports generated or
utilized during a project, and how the project will further the goals of the IRWM Plan and identify any
changes to the IRWM Plan, as a result of project implementation. The Project Completion Report shall
also include, if applicable, certification of final project by a registered civil engineer, consistent with
Standard Condition D-15, ”Final Inspections and Certification of Registered Civil Engineer.” A DWR
“Certification of Project Completion” form will be provided by the State.
Post-Performance Reports: Grantee shall submit Post-Performance Reports. Post-Performance Reports
shall be submitted to State within ninety (90) calendar days after the first operational year of a project
has elapsed. This record keeping and reporting process shall be repeated annually for a total of 10
years after the completed project begins operation.
17. PROJECT PERFORMANCE AND ASSURANCES. Grantee agrees to faithfully and expeditiously perform or
cause to be performed all project work as described in the final plans and specifications for each project
Grant Agreement No. 4600009637
Page 5 of 29
under this Grant Agreement and implement the project in accordance with applicable provisions of the
law. In the event State finds it necessary to enforce this provision of this Grant Agreement in the manner
provided by law, Grantee agrees to pay all costs incurred by State including, but not limited to, reasonable
attorneys' fees, legal expenses, and costs.
18. LABOR COMPLIANCE. Grantee agrees to comply with all applicable California Labor Code requirements,
including prevailing wage provisions.
19. OPERATION AND MAINTENANCE OF PROJECT. For the useful life of construction and implementation project
and in consideration of the Grant made by State, Grantee agrees to ensure or cause to be performed the
commencement and continued operation of the project, and shall ensure or cause the project to be
operated in an efficient and economical manner; shall ensure all repairs, renewals, and replacements
necessary to the efficient operation of the same are provided; and shall ensure or cause the same to be
maintained in as good and efficient condition as upon its construction, ordinary and reasonable wear and
depreciation excepted. The State shall not be liable for any cost of such maintenance, management, or
operation. Grantee may be excused from operations and maintenance only upon the written approval of
the State. For purposes of this Grant Agreement, “useful life” means period during which an asset, property,
or activity is expected to be usable for the purpose it was acquired or implemented; “operation costs”
include direct costs incurred for material and labor needed for operations, utilities, insurance, and similar
expenses, and “maintenance costs” include ordinary repairs and replacements of a recurring nature
necessary for capital assets and basic structures and the expenditure of funds necessary to replace or
reconstruct capital assets or basic structures. Refusal of Grantee to ensure operation and maintenance of
the project in accordance with this provision may, at the option of State, be considered a breach of this
Grant Agreement and may be treated as default under Paragraph 12, “Default Provisions.”
20. STATEWIDE MONITORING REQUIREMENTS. Grantee shall ensure that all project that include groundwater
monitoring requirements are consistent with the Groundwater Quality Monitoring Act of 2001 (Part 2.76
(commencing with Section 10780) of Division 6 of CWC) and, where applicable, that project that affect
water quality shall include a monitoring component that allows the integration of data into statewide
monitoring efforts, including where applicable, the Surface Water Ambient Monitoring Program carried out
by the State Water Resources Control Board.
21. PROJECT MONITORING PLAN REQUIREMENTS. Exhibit A of this Grant Agreement shall contain activities to
develop and submit to State a Project Monitoring Plan. Along with the Attachment 6 Project Performance
Measures Table requirements outlined on page 19 of the Proposition 1E Round 1 SWFM Proposal Solicitation
Package, the Project Monitoring Plan should also include:
a) Baseline conditions.
b) Brief discussion of monitoring systems to be utilized.
c) Methodology of monitoring.
d) Frequency of monitoring.
e) Location of monitoring points.
A Project Monitoring Plan shall be submitted to the State prior to disbursement of grant funds for
construction or monitoring activities. See Exhibit F (“Requirements for Data Submittal”) for web links and
information regarding other State monitoring and data reporting requirements.
22. NOTIFICATION OF STATE. For each project, Grantee shall promptly notify State, in writing, of the following
items:
a) Grantee agrees that no substantial change in the scope of a project will be undertaken until written
notice of the proposed change has been provided to State and State has given written approval for
such change. Substantial changes generally include changes to the wording/scope of work, schedule
or term, and budget. See Exhibit G for guidance on Agreement Amendment requirements.
b) Any public or media event publicizing the accomplishments and/or results of this Grant Agreement and
provide the opportunity for attendance and participation by State’s representatives. Grantee shall
make such notification at least fourteen (14) calendar days prior to the event.
Grant Agreement No. 4600009637
Page 6 of 29
c) Completion of work shall include final inspection of project by a Registered Civil Engineer, as
determined and required by State, and in accordance with Standard Condition D -15 (Final Inspections
and Certification of Registered Civil Engineer). Furthermore, the Grantee shall provide the State the
opportunity to participate in the inspection. Grantee shall make such notification at least fourteen (14)
calendar days prior to the final inspection.
23. NOTICES. Any notice, demand, request, consent, or approval that either party desires or is required to give
to the other party under this Grant Agreement shall be in writing. Notices may be transmitted by any of the
following means: (i) by delivery in person; (ii) by certified U.S. mail, return receipt requested, postage
prepaid; (iii) by “overnight” delivery service; provided that next-business-day delivery is requested by the
sender; or (iv) by electronic means. Notices delivered in person will be deemed effective immediately on
receipt (or refusal of delivery or receipt). Notices sent by certified mail will be deemed effective given ten
(10) calendar days after the date deposited with the U. S. Postal Service. Notices sent by overnight delivery
service will be deemed effective one business day after the date deposited with the delivery service.
Notices sent electronically will be effective on the date of transmission. Notices shall be sent to the below
addresses. Either party may, by written notice to the other, de signate a different address that shall be
substituted for the one below.
24. PERFORMANCE EVALUATION. Upon completion of this Grant Agreement, Grantee’s performance will be
evaluated by the State and a copy of the evaluation will be placed in the State file a nd a copy sent to the
Grantee.
25. PROJECT REPRESENTATIVES. The Project Representatives during the term of this Grant Agreement are as
follows:
Department of Water Resources Contra Costa County Flood Control and Water
Conservation District
Paula Landis Julia R. Bueren
Chief, Division of IRWM Chief Engineer
P.O. Box 942836
Sacramento CA 94236-0001
255 Glacier Drive
Martinez, Ca 94553-4825
Phone: (916) 651-9220 Phone: (925) 313-2202
e-mail: plandis@water.ca.gov
e-mail: jbuer@pw.cccounty.us
Direct all inquiries to the Project Manager:
Department of Water Resources Contra Costa County Flood Control and Water
Conservation District
Kristin Honeycutt Carl Roner
Division of Integrated Regional
Water Management
3500 Industrial Blvd.
West Sacramento, Ca 95691
Contra Costa County
255 Glacier Drive
Martinez, Ca 94553-4825
Phone: (916) 376-9626 Phone: (925) 313-2213
e-mail: khoneycu@water.ca.gov
e-mail: crone@pw.cccounty.us
Either party may change its Project Representative or Project Manager upon written notice to the other
party.
26. STANDARD PROVISIONS. The following Exhibits are attached and made a part of this Grant Agreement by
this reference:
Exhibit A – Work Plan
Exhibit B – Schedule
Exhibit C – Budget
Grant Agreement No. 4600009637
Page 7 of 29
Exhibit D – Standard Conditions
Exhibit E – Report Formats and Requirements
Exhibit F – Requirements for Data Submittal
Exhibit G – Guidelines for Grantees
Exhibit H – Grantee Resolution
Grant Agreement No. 4600009637
Page 8 of 29
IN WITNESS WHEREOF, the parties hereto have executed this Grant Agreement.
STATE OF CALIFORNIA
DEPARTMENT OF WATER RESOURCES
______________________________
Paula J. Landis, P.E., Chief
Division of Integrated Regional Water
Management
Date__________________________
CONTRA COSTA COUNTY FLOOD CONTROL AND
WATER CONSERVATION DISTRICT
______________________________
Julia R. Bueren
Chief Engineer
Date__________________________
Approved as to Legal Form and Sufficiency
______________________________
Spencer Kenner, Assistant Chief Counsel
Office of Chief Counsel
Date__________________________
Grant Agreement No. 4600009637
Page 9 of 29
EXHIBIT A
Work PlanTASKS
Task 1 – Project Administrative Tasks
Project administration tasks will include overall project administration and management, development of a
Labor Compliance Program, and project reporting (including reporting on project monitoring and assessment).
Current Status:
No work has been completed on this task to‐date.
Work Tasks & Deliverables:
Project administration tasks are summarized in the following table.
Task Description Deliverables
1. Administration
This task involves general project administration
including coordination with project partners and
preparation of project invoices. In addition, this task
includes development of a Labor Compliance Plan
and preparation and submittal of the quarterly and
final reports required by the Grant Agreement.
Invoices
Labor Compliance
Program
Quarterly and Final
Reports
Task 2 – Land Purchase/Easement Tasks
This task included acquisition of property in fee title and easements for slopes and for a PG&E electrical
distribution line that will be relocated.
Current Status:
All necessary acquisition of adjacent fee title property and easements have been completed as of February
2012 (Order of Possession). Utility easements for PG&E will be completed prior to construction.
Work Tasks & Deliverables:
Easement‐related work tasks are summarized in the following table.
Task Description Deliverables
2.
Land Purchase/
Easements
Acquisition of property and easements for project Fee title and
easements for
property
Task 3 – Planning/Design/Environmental Documentation Tasks
This task involves completing planning and design work, and securing all necessary approvals.
Current Status:
Planning and Design Status. Planning is complete. Design is at 95 percent stage and bid documents will be
completed at the end of November 2012. Advertisement for the project is scheduled for December 2012.
Division of Safety of Dams (DSOD) has reviewed 90% plans and has provided comments. Approval of 95%
design by DSOD is expected in early December 2012.
Environmental Documentation Status. CEQA is complete and was approved by the Contra Costa County
Board of Supervisors November 3, 2010. The Restoration Plan is currently being finalized and scheduled to be
approved by the Habitat Conservation Board in mid-June of 2012.
Permitting Status. Several permits have been identified for this project and each requires the Restoration Plan as
part of the application. The current status and expected approval dates for each applicable permit are
presented in the following table.
Permit Status
ACOE Section 404 Permit Permit application is being finalized. Approval is expected in
late November of 2012.
Regional Water Quality Control
Board (RWQCB) Section 401
Water Quality Certification
Permit application is being finalized. Approval is expected in
late October of 2012.
Grant Agreement No. 4600009637
Page 10 of 29
DFG Lake and Streambed
Alteration Agreement
Permit application is being finalized. Approval is expected in
mid-September 2012.
Work Tasks & Deliverables:
Planning, design, environmental documentation, and permitting work tasks are summarized below.
Task Description Deliverables
3.1
Planning
This task includes verification of the conceptual
basin design and operation.
Complete, none
3.2
Design
This task involves preparation of a preliminary design
report including geotechnical investigation, testing,
and analyses; 30%, 60%, 90%, 95% and 100% design
stages; and complete bid documents. It also
includes DSOD approval of plans.
Plans and
specifications
(to be completed
by November 30,
2012)
3.3
Environmental
Documentation
This task includes the CEQA Initial Study/Mitigated
Negative Declaration (finalized November 3, 2010),
Habitat Conservation Plan/Natural Community
Conservation Plan coordination and preparation of
the Restoration Plan (under finalization).
CEQA
Documentation
(complete),
Restoration Plan
3.4
Permitting
This task involves securing approvals for the following
permits:
US Army Corps of Engineers Section 404 Permit
(application to be submitted May 15, 2012)
RWQCB Section 401 Water Quality Certification
(application to be submitted May 16, 2012)
DFG Lake and Streambed Alteration Agreement
(application to be submitted May 16, 2012)
Approved Permits
Task 4 – Construction/Implementation Tasks
Construction tasks for this project are described below.
Current Status:
No work has been completed on this task to‐date.
Work Tasks & Deliverables:
Construction‐related tasks are summarized in the following table.
Task Description Deliverables
4.1
Construction
Contracting
This task includes advertising for bids, holding a pre‐
bid meeting, awarding the construction contract,
RWQCB NPDES construction permit, issuing a notice
to proceed, and project restoration contracting.
Bid Advertisement
Pre‐bid Meeting
Contract Award
Notice to Proceed
4.2
Mobilization and
Sitework
This task includes traffic control, mobilization,
clearing and grubbing, excavation safety plan,
construction area signs, storm water pollution
prevention plan development, and control of water.
Completed
sitework
4.3
Construction
This task includes the following physical construction
tasks:
Site clearing and grubbing (61.5 acres)
Basin excavation and removal of excess soil
(in excess of 600,000 cubic yards)
Basin inlet, spillway, and energy dissipater
construction (170 feet long by 44 feet wide
reinforced concrete structure)
Twin 84” inlet structure and trash capture
device
Completed facility
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Outlet works construction (reinforced
concrete conduit 370 feet long by 5 feet in
diameter with trash rack, manual gate, and
energy dissipater)
Dam construction (approximately 1840 feet
long by 0 to 50 feet high, compacted
earthen fill)
Saddle dike construction (approximately 750
feet long, compacted earthen fill)
Emergency spillway construction (25-50 feet
wide by 950’ long Armorflex blocks)
Low flow channel reconstruction
(approximately 3600 linear feet)
Slide repair and reconstruction (two slides)
Bank armoring (rock slope protection)
Local drainage
Access roads and bridge
Desiltation facilities
Restoration area construction (8 acres)
Winterization and hydroseeding
Site and restoration area fencing
Task 5 – Environmental Compliance/Mitigation/Enhancement Tasks
This task includes all environmental mitigation needed to offset potential impacts of project implementation.
Current Status:
No work has been completed on this task to‐date. The Restoration Plan for this task will be completed in May of
2012.
Work Tasks & Deliverables:
Environmental mitigation work tasks are summarized in the following table.
Task Description Deliverables
5.
Environmental
Mitigation/
Enhancement
This task includes mobilization and site
preparation for restoration, restoration grading
and planting, demobilization and HCP fees.
Restoration
construction complete
Task 6 – Construction Administration Tasks
This task will includes all construction administration activities, including advertisement for bids, bidding,
contract award, insurance confirmation and tracking, submittal review and tracking, invoice review and
payment, schedule maintenance, and contract closeout.
Current Status:
No work has been completed on this task to‐date.
Work Tasks & Deliverables:
Construction administration tasks and deliverables are summarized in the following table.
Task Description Deliverables
6.
Construction
Administration
This task includes resident engineering for both
construction and restoration, consultant review of
construction activities, and construction materials
testing.
Resident Engineer hired
Inspection reports
Testing reports
Task 7 – Other Tasks
No other tasks are anticipated for this project; however, this task may be used for miscellaneous items or issues
as they arise.
Grant Agreement No. 4600009637
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Additional Project Information
Additional detail about the project is provided below:
Coordination with Partner Agencies:
The District has coordinated with the City of Antioch on property acquisition efforts for adjacent parcels. The
basin has been designed to allow future use by the City as a sports pa rk. The basin restoration area design has
been presented to the Habitat Conservation Plan board for concurrence.
Standards that Will Be Used in Implementation:
USCB will be built to Contra Costa County specifications and to Division of Safety of Dams standards.
Adherence to these specifications and standards will be monitored by the Resident Engineer.
Performance Measures and Monitoring Plans:
Project monitoring will be conducted to assess and evaluate project performance. Specifically, placed fill and
facility subgrades will tested to ensure that they are compacted to level specified. Concrete used for facility
hydraulic structures will be destructively tested to verify conformance with Project specifications. The dam
structure incorporates settlement monuments so that its settlement can be monitored. Restoration planting will
be periodically monitored to ensure the success of the plantings, and plantings that do not survive will be
replanted. Additional information is provided in Attachment 6, Monitoring, Assessment, and Performance
Measures.
Merits of Materials and Computational Methods:
The dam constructed for USCB will use primarily material excavated from basin. Soil material not used in the
dam will be used for fill at other nearby sites such as the Highway 4 Bypass, Sand Creek Road Interchange and
the e‐BART Antioch Station.
Deliverables to DWR:
As required, the grant recipient will submit quarterly and final reports to DWR. The District is currently submitting
similar quarterly report to DWR for the Local Levee Evaluation program in a different watershed.
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EXHIBIT B
SCHEDULE
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Comment [KLH1]: Carl can you please add
“Task 7 Other Costs*” and “Task 8
Construction/Implementation Contingency*” and
have the asterisk (*) denote that the Other
Costs and Construction/Implementation
Contingency Costs will occur as needed? No
time frames are needed.
Grant Agreement No. 4600009637
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EXHIBIT C
BUDGET
The total estimated cost of this Project is $14,137,800 million and the Project will be funded through the following
mechanisms:
$12,137,800 in non-State funding (funding match) from drainage area fees
$2,000,000 in requested grant funding for construction
The table below presents the estimated budget for the Project.
Task No. Description Total Labor Costs
1 Project Administration $72,930
2 Land Purchase/Easement $215,300
3 Planning/Design/Environmental Documentation $458,500
4 Construction/Implementation $10,450,000
5 Environmental Mitigation/Enhancement $851,000
6 Construction Administration $1,0240,000
7 Other Costs $21,000
8 Construction/Implementation Contingency $1,045,000
TOTAL COSTS $14,137,800
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EXHIBIT D
STANDARD CONDITIONS
D.1 ACCOUNTING AND DEPOSIT OF GRANT DISBURSEMENT:
a) SEPARATE ACCOUNTING OF GRANT DISBURSEMENT AND INTEREST RECORDS: Grantee shall account for
the money disbursed pursuant to this Grant Agreement separately from all other Grantee funds.
Grantee shall maintain audit and accounting procedures that are in accordance with generally
accepted accounting principles and practices, consistently applied. Grantee shall keep complete
and accurate records of all receipts, disbursements, and interest earned on expenditures of such
funds. Grantee shall require its contractors or subcontractors to maintain books, records, and other
documents pertinent to their work in accordance with generally accepted accounting principles and
practices. Records are subject to inspection by State at any and all reasonable times.
b) FISCAL MANAGEMENT SYSTEMS AND ACCOUNTING STANDARDS: The Grantee agrees that, at a
minimum, its fiscal control and accounting procedures will be sufficient to permit tracing of grant funds
to a level of expenditure adequate to establish that such funds have not been used in violation of
state law or this Grant Agreement.
c) REMITTANCE OF UNEXPENDED FUNDS: Grantee, within a period of sixty (60) calendar days from the final
disbursement from State to Grantee of grant funds, shall remit to State any unexpended funds that
were disbursed to Grantee under this Grant Agreement and were not needed to pay Eligible Project
Costs.
D.2 ACKNOWLEDGEMENT OF CREDIT: Grantee shall include appropriate acknowledgement of credit to the
State and to all cost-sharing partners for their support when promoting the project or using any data and/or
information developed under this Grant Agreement. During construction of the project, Grantee shall install
a sign at a prominent location, which shall include a statement that the project is financed under the
Disaster Preparedness and Flood Prevention Bond Act of 2006, administered by State of California,
Department of Water Resources. Grantee shall notify State that the sign has been erected by providing
them with a site map with the sign location noted and a photograph of the sign.
D.3 AMENDMENT: No amendment or variation of the terms of this Grant Agreement shall be valid unless
made in writing, signed by the parties and approved as required. No oral understanding or agreement not
incorporated in the Grant Agreement is binding on any of the parties. For guidance on the Amendment
Requirements see Exhibit H.
D.4 AMERICANS WITH DISABILITIES ACT: By signing this Grant Agreement, Grantee assures State that it
complies with the Americans with Disabilities Act (ADA) of 1990, (42 U.S.C., 12101 et seq.), which prohibits
discrimination on the basis of disability, as well as all applicable regulations and guidelines issued pursuant
to the ADA.
D.5 AUDITS: State reserves the right to conduct an audit at any time between the execution of this Grant
Agreement and the completion of the project, with the costs of such audit borne by State. After
completion of the project, State may require Grantee to conduct a final audit, at Grantee’s expense, such
audit to be conducted by and a report prepared by an independent Certified Public Accountant. Failure
or refusal by Grantee to comply with this provision shall be considered a breach of this Grant Agreement,
and State may take any action it deems necessary to protect its interests.
Pursuant to Government Code Section 8546.7, the parties shall be subject to the examination and audit of
State for a period of three years after final payment under this Grant Agreement with respect of all matters
connected with this Grant Agreement, including but not limited to, the cost of administering this Grant
Agreement. All records of Grantee or subcontractors shall be preserved for this purpose for at least three (3)
years after project completion. See Exhibit H for a listing of documents/records that State Auditors would
need to review in the event of a grant being audited.
D.6 BUDGET CONTINGENCY: LIMIT ON STATE FUNDS. The Disaster Preparedness and Flood Prevention Bond
Act of 2006, is subject to the availability of funds including any mandates from the Department of Finance,
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the Pooled Money Investment Board or any other state authority. The State will not make payments of any
kind, including advances or reimbursements, until funding is made available by the State Treasurer.
D.7 CHILD SUPPORT COMPLIANCE ACT: For any Grant Agreement in excess of $100,000, the Grantee
acknowledges in accordance with Public Contract Code 7110, that:
a) The Grantee recognizes the importance of child and family support obligations and shall fully comply
with all applicable state and federal laws relating to child and family support enforcement, including,
but not limited to, disclosure of information and compliance with earnings assignment orders, as
provided in Chapter 8 (commencing with section 5200) of Part 5 of Division 9 of the Family Code; and
b) The Grantee, to the best of its knowledge is fully complying with the earnings assignment orders of all
employees and is providing the names of all new employees to the New Hire Registry maintained by the
California Employment Development Department.
D.8 COMPETITIVE BIDDING AND PROCUREMENTS: Grantee shall comply with all applicable laws and
regulations regarding securing competitive bids and undertaking competitive negotiations in Grantee’s
contracts with other entities for acquisition of goods and services and construction of public works with
funds provided by State under this Grant Agreement.
D.9 COMPUTER SOFTWARE: The Grantee certifies that it has appropriate systems and controls in place to
ensure that state funds will not be used in the performance of this Grant Agreement for the acquisition,
operation, or maintenance of computer software in violation of copyright laws.
D.10 CONFLICT OF INTEREST
a) Current State Employees: No State officer or employee shall engage in any employment, activity, or
enterprise from which the officer or employee receives compensation or has a financial interest and
which is sponsored or funded by any State agency, unless the employment, activity, or enterprise is
required as a condition of regular State employment. No State officer or employee shall contract on his
or her own behalf as an independent contractor with any State agency to provide goods or services.
b) Former State Employee: For the two-year period from the date he or she left State employment, no
former State officer or employee may enter into a contract in which he or she engaged in any of the
negotiations, transactions, planning, arrangements, or any part of the decision-making process relevant
to the contract while employed in any capacity by any State agency. For the twelve-month period
from the date he or she left State employment, no former State officer or employee may enter into a
contract with any State agency if he or she was employed by that State agency in a policy-making
position in the same general subject area as the proposed contract within the twelve-month period
prior to his or her leaving State service.
D.11 DELIVERY OF INFORMATION, REPORTS, AND DATA: The Grantee agrees to expeditiously provide, during
work on the project and throughout the term of this Grant Agreement, such reports, data, information, and
certifications as may be reasonably required by the State.
D.12 DISPOSITION OF EQUIPMENT: Grantee shall provide to State, not less than 30 days prior to submissi on of
the final project invoice, a final inventory list of equipment purchased with grant funds provided by State.
Grantee shall consult with State on the scope of the inventory not less than 60 days prior to the submission of
the final project invoice. The inventory shall include all items with a current estimated fair market value of
more than $5,000 per item. Within 60 days of receipt of such inventory, State shall provide Grantee with a list
of the items on the inventory that State will take title to. All other items shall become the property of
Grantee. State shall arrange for delivery from Grantee of items that it takes title to. Cost of transportation, if
any, shall be borne by State.
D.13 DISPUTES: In the event of an invoice dispute, payment will not be made until the dispute is resolved and
a corrected invoice submitted. Failure to use the address exactly as provided may result in return of the
invoice to the Grantee. Payment shall be deemed complete upon deposit of the payment, properly
addressed, postage prepaid, in the United States mail. Any claim that Grantee may have regarding the
performance of this Grant Agreement including, but not limited to claims for additional compensation or
extension of time, shall be submitted to the Director, Department of Water Resources, within thirty (30)
Grant Agreement No. 4600009637
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calendar days of Grantee’s knowledge of the claim. State and Grantee shall then attempt to negotiate a
resolution of such claim and process an amendment to the Grant Agreement to implement the terms of
any such resolution.
D.14 DRUG-FREE WORKPLACE CERTIFICATION
Certification of Compliance: By signing this Grant Agreement, Grantee, its contractors or subcontractors
hereby certify, under penalty of perjury under the laws of State of California, compliance with the
requirements of the Drug-Free Workplace Act of 1990 (Government Code 8350 et seq.) and have or will
provide a drug-free workplace by taking the following actions:
a) Publish a statement notifying employees, contractors, and subcontractors that unlawful manufacture,
distribution, dispensation, possession, or use of a controlled substance is prohibited and specifying
actions to be taken against employees, contractors, or subcontractors for violations, as required by
Government Code Section 8355(a).
b) Establish a Drug-Free Awareness Program, as required by Government Code Section 8355(b) to inform
employees, contractors, or subcontractors about all of the following:
1. The dangers of drug abuse in the workplace,
2. Grantee’s policy of maintaining a drug-free workplace,
3. Any available counseling, rehabilitation, and employee assistance programs, and
4. Penalties that may be imposed upon employees, contractors, and subcontractors for drug
abuse violations.
c) Provide as required by Government Code Sections 8355(c), that every employee, contractor, and/or
subcontractor who works under this Grant Agreement:
1. Will receive a copy of Grantee’s drug-free policy statement, and
2. Will agree to abide by terms of Grantee’s condition of employment, contract or subcontract.
D.15 FINAL INSPECTIONS AND CERTIFICATION OF REGISTERED CIVIL ENGINEER: Upon completion of a
construction project and as determined by State, Grantee shall provide for a final inspection and
certification by a California Registered Civil Engineer that the project has been completed in accordance
with submitted final plans and specifications and any modifications thereto and in accordance with this
Grant Agreement and to the State’s satisfaction.
D.16 GOVERNING LAW: This Grant Agreement is governed by and shall be interpreted in accordance with
the laws of the State of California.
D.17 GRANTEE COMMITMENTS: Grantee accepts and agrees to comply with all terms, provisions, conditions,
and commitments of this Funding Agreement, including all incorporated documents, and to fulfill all
assurances, declarations, representations, and statements made by Funding Recipient in the application,
documents, amendments, and communications filed in support of its request for California Safe Drinking
Water, Water Quality and Supply, Flood Control, River and Coastal Protection Act of 2006 financing.
D.18 INCOME RESTRICTIONS: The Grantee agrees that any refunds, rebates, credits, or other amounts
(including any interest thereon, accruing to or received by the Grantee under this Grant Agreement shall
be paid by the Grantee to the State, to the extent that they are properly allocable to costs for which the
Grantee has been reimbursed by the State under this Grant Agreement.
D.19 INDEPENDENT CAPACITY: Grantee, and the agents and employees of Grantee, if any, in the
performance of the Grant Agreement, shall act in an independent capacity and not as officers,
employees, or agents of the State.
D.20 INSPECTIONS: State shall have the right to inspect the work being performed at any and all reasonable
times, providing a minimum of a 24-hour notice, during the term of the Grant Agreement. This right shall
extend to any subagreements, and Grantee shall include provisions ensuring such access in all its contracts
or sub-contractors entered into pursuant to its Grant Agreement with State. Grantee acknowledges that
project documents may be subject to the Public Records Act (California Government Code Section 6250
et. seq.). State shall have the right to inspect these documents at any and all reasonable times after
completion of the project to ensure compliance with the terms and conditions of this Grant Agreement.
Grant Agreement No. 4600009637
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During regular office hours, State shall have the right to inspect and to make copies of any books, records,
or reports of the Grantee relating to this Grant Agreement. Grantee shall maintain and shall make available
at all times for such inspection accurate records of its costs, disbursements, and receipts with respect to its
activities under this Grant Agreement. Failure or refusal by Grantee to comply with this provision shall be
considered a breach of this Grant Agreement, and State may withhold disbursements to Grantee or take
any other action it deems necessary to protect its interests.
D.21 NONDISCRIMINATION: During the performance of this Grant Agreement, Grantee and its contractors
shall not unlawfully discriminate, harass, or allow harassment against any employee or applicant for
employment because of sex, race, color, ancestry, religious creed, national origin, physical disability
(including HIV and AIDS), mental disability, medical condition (cancer), age (over 40), marital status, and
denial of family care leave. Grantee and contractors shall ensure that the evaluation and treatment of their
employees and applicants for employment are free from such discrimination and harassment. Grantee and
contractors shall comply with the provisions of the Fair Employment and Housing Act (Government Code
Section 12990 (a-f) et seq.) and the applicable regulations promulgated there under (California Code of
Regulations, Title 2, Section 7285 et seq.). The applicable regulations of the Fair Employment and Housing
Commission implementing Government Code Section 12990 (a-f), set forth in Chapter 5 of Division 4 of Title
2 of the California Code of Regulations, are incorporated into this Grant Agreement by reference and
made a part hereof as if set forth in full. Grantee and its contractors shall give written notice of their
obligations under this clause to labor organizations with which they have a collective bargaining or other
agreement. Grantee shall include the nondiscrimination and compliance provisions of this clause in all
contracts to perform work under the Grant Agreement.
D.22 NO THIRD PARTY RIGHTS: The parties to this Grant Agreement do not intend to create rights in, or grant
remedies to, any third party as a beneficiary of this Grant Agreement, or of any duty, covenant, obligation
or undertaking established herein.
D.23 OPINIONS AND DETERMINATIONS: The parties agree that review or approval of any IRWM Program
applications, documents, permits, plans and specifications or other program information by the State is for
administrative purposes only and does not relieve the Grantee of its responsibility to properly plan, design,
construct, operate, maintain, implement, or otherwise carry out the IRWM Program.
D.24 PERMITS, LICENSES, APPROVALS, AND LEGAL OBLIGATIONS. Grantee shall be responsible for obtaining
any and all permits, licenses, and approvals required for performing its obligations under this Grant
Agreement. Grantee shall comply with the California Environmental Quality Act (PRC Section 21000 et seq.)
and other applicable federal, State, and local laws, rules, and regulations, guidelines, and requirements
prior to disbursement of funds under this Grant Agreement.
Grantee shall keep informed of and take all measures necessary to ensure compliance with California
Labor Code requirements.
D.25 PROHIBITION AGAINST DISPOSAL OF PROJECT WITHOUT STATE PERMISSION: Grantee shall not sell,
abandon, lease, transfer, exchange, mortgage, hypothecate, or encumber in any manner whatsoever all
or any portion of any real or other property necessarily connected or used in conjunction with the IRWM
Program without prior permission of State. Grantee and shall not take any action concerning the
performance of this Grant Agreement, including but not limited to actions relating to user fees, charges,
and assessments that could adversely affect the ability of Grantee to meet its obligations under this Grant
Agreement, without prior written permission of State. State may require that the proceeds from the
disposition of any real or personal property acquired with funds disbursed under this Grant Agreement be
remitted to State.
D.26 REMEDIES, COSTS, AND ATTORNEY FEES: The Grantee agrees that any remedy provided in this Grant
Agreement is in addition to and not in derogation of any other legal or equitable remedy available to the
State as a result of breach of this Grant Agreement by the Grantee, whether such breach occurs bef ore or
after completion of the project, and exercise of any remedy provided by this Grant Agreement by the
State shall not preclude the State from pursuing any legal remedy or right which would otherwise be
Grant Agreement No. 4600009637
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available. In the event of litigation between the parties hereto arising from this Grant Agreement, it is
agreed that the prevailing party shall be entitled to such reasonable costs and/or attorney fees as may be
ordered by the court entertaining such litigation.
D.27 RETENTION: Notwithstanding any other provision of this Grant Agreement, State shall, for each project,
withhold five percent (5.0%) until January 1, 2016 and ten percent (10.0%), thereafter, of the funds
requested by Grantee for reimbursement of Eligible Costs. Each project in this Grant Agreement will be
eligible to release its respective retention when that project is completed and Grantee has met
requirements of Paragraph 16, “Submissions of Reports.”
D.28 RIGHTS IN DATA: To the extent permitted by law, the Grantee agrees that all data, plans, drawings,
specifications, reports, computer programs, operating manuals, notes, and other written or graphic work
produced in the performance of this Grant Agreement shall be in the public domain. The Grantee may
disclose, disseminate and use in whole or in part, any final form data and information received, collected,
and developed under this Grant Agreement, subject to appropriate acknowledgement of credit to the
State for financial support. The Grantee shall not utilize the materials for any profit-making venture or sell or
grant rights to a third party who intends to do so.
D.29 SEVERABILITY OF UNENFORCEABLE PROVISION: If any provision of this Grant Agreement is held invalid or
unenforceable by a court of final jurisdiction, all other provisions of this Grant Agreement shall be construed
to remain fully valid, enforceable, and binding on the parties.
D.30 STATE REVIEWS AND INDEMNIFICATION: The parties agree that review or approval of project
applications, documents, permits, plans and specifications or other project information by the State is for
administrative purposes only and does not relieve the Grantee of their responsibility to properly plan,
design, construct, operate, maintain, implement, or otherwise carry out the project. To the extent permitted
by law, the Grantee agrees to indemnify, defend and hold harmless the State and the State against any
loss or liability arising out of any claim or action brought against the State from and against any and all
losses, claims, damages, liabilities or expenses, of every conceivable kind, character and nature
whatsoever arising out of, resulting from, or in any way connected with:
a) The project or the conditions, occupancy, use, possession, conduct or management of, work done in or
about, or the planning, design, acquisition, installation, or construction, of the project or any part
thereof;
b) Performing any of the terms contained in this Grant Agreement or any related document;
c) Any violation of any applicable law, rule or regulation, any environmental law (including, without
limitation, the Federal Comprehensive Environmental Response, Compensation and Liability Act, the
Resource Conservation and Recovery Act, the California Hazardous Substance Account Act, the
Federal Water Pollution Control Act, the Clean Air Act, the California Hazardous Waste Control Law and
CWC Section 13304, and any successors to said laws), rule or regulation or the release of any toxic
substance on or near the natural water system; or
d) Any untrue statement or alleged untrue statement of any material fact or omission or alleged omission
to state a material fact necessary to make the statements required to be stated therein, in light of the
circumstances under which they were made, not misleading with respect to any information provided
by the Grantee for use in any disclosure document utilized in connection with any of the transactions
contemplated by this Grant Agreement. Grantee agrees to pay and discharge any judgment or award
entered or made against the State with respect to any such claim or action, and any settlement,
compromise or other voluntary resolution. The provisions of this section shall survive the term of the Grant
Agreement.
D.31 SUCCESSORS AND ASSIGNS: This Grant Agreement and all of its provisions shall apply to and bind the
successors and assigns of the parties. No assignment or transfer of this Grant Agreement or any part thereof,
rights hereunder, or interest herein by the Grantee shall be valid unless and until it is approved by State and
made subject to such reasonable terms and conditions as State may impose.
D.32 TIMELINESS: Time is of the essence in this Grant Agreement.
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D.33 TRAVEL: Grantee agrees that travel and per diem costs shall NOT be eligible for reimbursement with
State funds, and shall NOT be eligible for computing Grantee cost match. Travel includes the costs of
transportation, subsistence, and other associated costs incurred by personnel during the term of this Grant
Agreement.
D.34 WAIVER OF RIGHTS: None of the provisions of this Grant Agreement shall be deemed waived unless
expressly waived in writing. It is the intention of the parties here to that from time to time either party may
waive any of its rights under this Grant Agreement unless contrary to law. Any waiver by either party of rights
arising in connection with the Grant Agreement shall not be deemed to be a waiver with respect to any
other rights or matters, and such provisions shall continue in full force and effect.
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EXHIBIT E
REPORT FORMAT AND REQUIREMENTS
The following reporting formats should be utilized. Please obtain State approval prior to submitting a report in an
alternative format.
QUARTERLY PROGRESS REPORT
Grantee shall submit Quarterly Progress Reports on a consistent basis to meet the State’s requirement for
disbursement of funds. The Quarterly Progress Report should describe the work performed during the reporting
period. For each project, describe the work performed including:
CONTINUING ELIGIBILITY
A brief summary of the status of adoption of an IRWM Plan that complies with Part 2.2 of Division 6 of
the CWC commencing with Section 10530.
PROJECT INFORMATION (INCLUDE ANY OF THE BELOW THAT WERE APPLICABLE DURING THE REPORTING PERIOD)
Legal matters.
Engineering matters.
Environmental matters.
Status of permits, easements, rights-of-way, and approvals as may be required by other State,
federal, and/or local agencies.
Major accomplishments during the quarter (i.e., tasks completed, milestones met, meetings held or
attended, press releases, etc).
Discussion of data submittal effort(s) for the previous quarter, including a description of the data
submitted and date(s) of submittal.
Issues/concerns that have, will, or could affect the schedule or budget, with a recommendation on
how to correct the matter.
Description of any differences between the work performed and the work outlined in this Grant
Agreement’s Work Plan.
COST INFORMATION
Provide a list showing all costs incurred during the quarter by the Grantee and each contractor
working on the project. The list should include for all non-construction, or implementation costs, (i.e.,
design, and admin charges) the hours per task worked on during the quarter for above personnel.
A discussion on how the actual budget is progressing in comparison to Exhibit C.
SCHEDULE INFORMATION
A discussion on how the actual schedule is progressing in comparison to the schedule in Exhibit B.
A revised schedule, by task, if changed from the schedule in Exhibit B. Note: a revised schedule
may require an official amendment to the Grant Agreement before it is accepted as final.
ANTICIPATED ACTIVITIES NEXT QUARTER
Provide a description of anticipated activities for the next quarterly reporting period.
PROJECT COMPLETION REPORT
A Project Completion Report is required for each project identified in Exhibit A. This report will include the
following Sections:
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EXECUTIVE SUMMARY
The Executive Summary consists of a maximum of ten (10) pages summarizing project information (see
report status section below for topics). The Executive Summary should include the following:
Brief description of work proposed to be done in the original Grant application.
Description of actual work completed and any deviations from Exhibit A. List any official
amendments to this Grant Agreement, with a short description of the amendment.
Describe how the implemented project will meet the program preferences identified in the original
Grant Application.
Describe the mechanism or process that allows for continued performance monitoring of the
project in meeting the objectives of the IRWM Plan.
Identify any changes to the IRWM Plan as a result of implementation of the project.
REPORTS AND/OR PRODUCTS
Provide a copy of any final technical report or study, produced for the project as described in the
Work Plan, if applicable.
Provide a map and shapefile(s) showing the location of the completed project. A description of the
geographic projection and datum used for the shapefile must be submitted with the shapefile (a
NAD ’83 datum and either a UTM 10 or UTM 11 projection, dependent on the project’s location in
the state, should be utilized).
If any wells were constructed as part of the project, provide the following information: well logs;
borehole geophysical logs; state well number; site information to include horizontal (NAD ‘83) and
vertical (NAVD ‘88) datum to be determined within 0.5 feet.
Provide an electronic copy of any as-built plans (media: CD-ROM; PDF format).
Provide copies of any data collected along with location maps.
If applicable, describe the findings of any study and whether the study determined the engineering,
hydrologic, hydrogeologic, environmental, economic and financial feasibility of the project.
COST & DISPOSITION OF FUNDS INFORMATION
A list of invoices showing:
The date each invoice was submitted to State.
The amount of the invoice.
The date the check was received.
The amount of the check (If a check has not been received for the final invoice, then state this
in this section).
A spreadsheet summary of the original budget costs by task versus the final project costs.
A summary of final funds disbursement including:
Labor cost of personnel of agency/ major consultant /sub-consultants (Indicate personnel,
hours, rates, type of profession and reason for consultant, i.e., design, CEQA work, etc).
Construction cost information, shown by material, equipment, labor costs, and change orders.
Any other incurred cost detail.
A statement verifying separate accounting of grant disbursements.
Summary of project cost including:
Accounting of the cost of project expenditure.
Include all internal and external costs not previously disclosed.
A discussion of factors that positively or negatively affected the project cost and any deviati on
from the original project cost estimate.
ADDITIONAL INFORMATION
Benefits derived from the project, with quantification of such benefits provided, if applicable.
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A final project schedule showing actual progress verse planned progress as shown in Exhibit B.
Certification from a California Registered Civil Engineer that the project was conducted in
accordance with the approved work plan and any approved modifications thereto.
Submittal schedule for the Post Performance Report and an outline of the proposed reporting
format.
POST-PERFORMANCE REPORT
Post Performance Reports are required annually for each project for a period of 10 years beginning after the
first year of operation, and includes the following:
REPORTS AND/OR PRODUCTS
Time period of the annual report.
Short project description and benefits.
An assessment of any explanations for any differences between the expected versus actual project
benefits. Where applicable, the reporting should include quantitative metrics, i.e., new acre-feet of
water recharged that year, acres of wildlife habitat added, etc.
Summary of any additional costs and/or benefits deriving from the project since its completion, if
applicable.
Continued reporting on meeting the Output Indicators and Targets discussed in the Project
Monitoring Plan discussed in Paragraph 21 of this Grant Agreement.
Any additional information relevant to or generated by the continued operation of the project.
ELECTRONIC REPORT FORMATTING
Grantee agrees that work funded under this Grant Agreement will be provided in an electronic format to State.
Electronic submittal of final reports, plans, studies, data, and other work performed under this grant shall be as
follows:
Text preferably in MS WORD or text PDF format.
Files generally less than 10 MB in size.
Files named so that the public can determine their content. For example, file naming of reports must
have the title and, if subdivided into smaller sized files, the chapter number/letter and names in the
report Table of Content (TOC); files of maps, figures, and tables by number/letter as referenced in
the TOC; well logs files with DWR-required naming convention; and Appendix number/letter and
named in the TOC.
For a project involving a modeling component, Grantee shall provide the major input data files,
parameters, calibration statistics, output files, and other information requested by State’s Project
Manager.
Grant Agreement No. 4600009637
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EXHIBIT F
REQUIREMENTS FOR DATA SUBMITTAL
SURFACE AND GROUNDWATER QUALITY DATA:
Groundwater quality and ambient surface water quality monitoring data that include chemical, physical, or
biological data shall be submitted to the State as described below, with a narrative description of data
submittal activities included in Quarterly Progress and Post Performance Reports.
Surface water quality monitoring data shall be prepared for submission to the California Environmental Data
Exchange Network (CEDEN). The CEDEN data templates are available on the CEDEN website. Inclusion of
additional data elements described on the data templates is desirable. Data ready for submission should be
uploaded to your CEDEN Regional Data Center via the CEDEN website. CEDEN website:
http://www.ceden.org.
If Exhibit A includes a project that contains a groundwater ambient monitoring element, groundwater quality
monitoring data shall be submitted to the State for inclusion in the State Water Resources Control Board’s
Groundwater Ambient Monitoring and Assessment (GAMA) Program Information on the GAMA Program can
be obtained at: http://www.waterboards.ca.gov/water_issues/programs/gama/. If further information is
required, the Grantee can contact the State Water Resources Control Board (SWRCB) GAMA Program. A listing
of SWRCB staff involved in the GAMA program can be found at:
http://www.swrcb.ca.gov/water_issues/programs/gama/contact.shtml
GROUNDWATER LEVEL DATA
For each project that collects groundwater level data, Grantee will need to submit this data to DWR’s Water
Data Library (WDL), with a narrative description of data submittal activities included in project reports, as
described in Exhibit E. Information regarding the WDL and in what format to submit data in can be found at:
http://wdl.water.ca.gov/.
In the near future, DWR’s WDL will be replaced by the California Statewide Groundwater Elevation Monitoring
program (CASGEM). Once this Program comes online, Grantee will then submit groundwater level data to
CASGEM. Information regarding the CASGEM program can be found at:
http://www.water.ca.gov/groundwater/casgem/
Grant Agreement No. 4600009637
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Exhibit G
Guidelines for Grantees
Under DWR Financial Assistance Programs
The following provides a list of documents typically required by State Auditors and general guidelines for
Grantees. List of documents pertains to both Grant funding and Grantee’s Funding Match and details the
documents/records that State Auditors would need to review in the event of this Grant Agreement is audited.
Grantees should ensure that such records are maintained for each funded project.
List of Documents for State Audit
Internal Controls:
1. Organization chart (e.g., Agency’s overall organization chart and organization chart for this Grant
Agreement’s funded project.
2. Written internal procedures and flowcharts for the following:
a. Receipts, deposits and disbursements
b. State reimbursement requests
c. Grant expenditure tracking
d. Guidelines, policy, and procedures on grant funded Programs/Project
3. Audit reports of the Agency internal control structure and/or financial statements within the last two years.
4. Prior audit reports on grant funded Programs/Project.
Agreements and Contracts:
1. Original signed Grant Agreement, any amendment(s) and budget modification documents.
2. A listing of all bond-funded grants received from the State.
3. A listing of all other funding sources for each project.
4. All subcontractor and consultant contracts and related or partners documents, if applicable.
5. Contracts between the Agency and member agencies as related to this Grant Agreement.
Invoices:
1. Invoices from vendors and subcontractors for expenditures submitted to the State for payments under this
Grant Agreement.
2. Documentation linking subcontractor invoices to State reimbursement, requests and related budget line
items under this Grant Agreement.
3. Reimbursement requests submitted to the State for this Grant Agreement.
Cash Documents:
1. Receipts (copies of warrants) showing payments received from the State.
2. Deposit slips (or bank statements) showing deposit of the payments received from the State.
3. Cancelled checks or disbursement documents showing payments made to vendors, subcontractors,
consultants, and/or agents under this Grant Agreement.
4. Bank statements showing the deposit of the receipts.
Accounting Records:
1. Ledgers showing entries for receipts and cash disbursements.
2. Ledgers showing receipts and cash disbursement entries of other funding sources.
3. Bridging documents that tie the general ledger to requests for grant reimbursement.
Administration Costs: Supporting documents showing the calculation of administration costs.
Personnel:
1. List of all contractors and Agency staff that worked on this grant funded Program/Project.
2. Payroll records including timesheets for contractor staff and the Agency personnel who provided services
charged to this Grant Agreement.
Grant Agreement No. 4600009637
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Project Files:
1. All supporting documentation maintained in the project files.
2. All correspondence related to this Grant Agreement.
General Grant Agreement Guidelines
Amendment Requirements:
Amendments to the Work Plan, Budget, and/or Schedule of this Grant Agreement are triggered when the
proposed changes are deemed by the State to be substantial. Substantial changes generally include changes
to the wording/scope of work, schedule or term, and budget. For example, a formal budget change to an
Agreement is required when the proposed budget change for a Task is greater than 10% of the budget for that
particular Task or the Task to be exchanged with.
Funding Match Contribution
Funding Match (often referred to as Grantee Cost Share) is the amount defined in Paragraph 4 of this Grant
Agreement. Provided below is guidance for claiming funding match with and without in-kind services.
1. Adequate documentation supporting value of in-kind service (or volunteer service) as funding match
claimed shall be maintained. Although tracked separately, in-kind services shall be documented and, to
the extent feasible, supported by the same methods used by the Grantee for its own employees. Provide
formal (on official letterhead) and substantial documentation of in-kind service by including the following:
o Describe contributed item(s) or service(s)
o Purpose for which contribution was made (tie to scope of work)
o Name of contributing organization and date of contribution
o Real or approximate value of contribution. Who valued the contribution and how was the value
determined? (e.g., actual, appraisal, fair market value, etc.). Justification of rate. (see item #4, below)
o Person’s name and function of the contributing person
o Hours of contribution
o If multiple sources exist, summarize these on a table with summed charges
o Was contribution provided by, obtained wi th, or supported by government funds? If so, indicate source.
2. Funding match contribution (including in kind services) shall be for costs and services directly attributed to
activities included in this Grant Agreement’s Work Plan. These services, furnished by professional and
technical personnel, consultants, and other skilled and unskilled labor may be counted as in-kind if the
activities are an integral and necessary part of this Grant Agreement. Evaluate eligibility with State in
advance of submittal.
3. Do not track cash contributions made to a project as an expenditure as you would for an in-kind service.
When providing funding match, track cash contributions to the project (i.e. revenues) and expenditures
(typically in-kind contribution) separately in an accounting system.
4. Rates for volunteer or in-kind services shall be consistent with those paid for similar work in the Grantee’s
organization. For example, volunteer service of clearing vegetation performed by an attorney shall be
valued at a fair market value for this service, not the rate for professional legal services. In those instances in
which the required skills are not found in the recipient organization, rates shall be consistent with those paid
for similar work in the labor market. In either case, paid fringe benefits that are reasonable, allowable, and
allocable may be included in the valuation.
Grant Agreement No. 4600009637
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EXHIBIT H
GRANTEE RESOLUTION
Comment [KLH2]: Carl can you please
provide a resolution that indicates the Chief
engineer is authorized to enter into a grant
agreement with the state. There is an example
on page 16 of the Stormwater PSP:
http://www.water.ca.gov/irwm/docs/Archives/Pro
p1E/PSPs/SWFM_PSP_FINAL_07_20_10.pdf
Grant Agreement No. 4600009637
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