CC 2016-02-23_09e Grant App for Regional Stormwater Resource Plan
MEMORANDUM
TO: CITY COUNCIL
FROM: GEOFF ENGLISH, PUBLIC WORKS DIRECTOR
SUBJECT: AUTHORIZATION TO SERVE AS LEAD AGENCY FOR REGIONAL
STORMWATER RESOURCE PLAN GRANT APPLICATION
DATE: FEBRUARY 23, 2016
RECOMMENDATION:
It is recommended the City Council approve of the City serving as the lead agency for a
regional stormwater resources plan grant application and authorize the City Manager to
sign and submit a grant application and any necessary agreements.
IMPACT ON FINANCIAL AND PERSONNEL RESOURCES:
No financial impact at this time.
If the grant is awarded City staff will be responsible for minor grant administration
activities. In addition, the City will need to contract with the State Water Resource
Control Board, SLO County Flood Control and Water Conservation District, Zone 3, and
Coastal San Luis Resource Conservation District (RCD) and carry out contract
requirements with the support of consultants.
BACKGROUND:
Senate Bill 985, approved by the Governor in 2014, requires a Storm Water Resource
Plan (Plan) as a condition of receiving funds for stormwater and dry weather runoff
capture projects from any state water bond measure approved by voters. This
effectively means state bond funding cannot be used to leverage local dollars on
projects until a Plan is completed. The State Water Resource Control Board’s
Proposition (Prop) 1 Stormwater Grant, Round 1 is currently the only source of planning
funds available to help communities meet this new requirement. Future rounds will only
provide implementation funds.
The City holds a National Pollutant Discharge Elimination System (NPDES) municipal
stormwater permit that includes requirements for drainage system maintenance levels
of services, illicit discharge tracking and enforcement, low impact development and
quantification of pollutant amounts. State Grants, such as Prop 1, which may provide
funding for assistance with the above listed requirements, require a Storm Water
Resource Plan.
The County of San Luis Obispo was approached to be the grant applicant; however
declined to take the role. This removes the ability of Zone 3 of the County Flood Control
and Water Conservation District to be the applicant. Additionally, due to grant specific
Item 9.e. - Page 1
CITY COUNCIL
AUTHORIZATION TO SERVE AS LEAD AGENCY FOR REGIONAL STORMWATER
RESOURCE PLAN GRANT APPLICATION
FEBRUARY 23, 2016
PAGE 2
requirements, although the RCD will provide most of the grant administration, they are
not eligible to be the grant applicant.
ANALYSIS OF ISSUES:
The Arroyo Grande Creek Watershed is faced with a number of watershed-scale issues
including groundwater supply, seawater intrusion, flood risk, pollutant transport by
stormwater including bacteria and sediment, and negative impacts to creek dependent
species like native trees and steelhead trout. Development of a Plan is an opportunity to
identify projects that address many issues instead of one, stretch local dollars toward
meaningful outcomes, and partner with other entities outside city limits who have more
control of issues affecting the City.
The City is a signatory of the Arroyo Grande Creek Watershed Memorandum of
Understanding (MOU) whose purpose is to provide an overall understanding,
accountability and consensus between the Parties, in order to better protect, manage
and enhance the Watershed through cooperative watershed management. Signatories
to the MOU including but not limited to the following public agencies;
City of Arroyo Grande
County of San Luis Obispo
San Luis Obispo County Flood Control District
Oceano Community Services District
Coastal San Luis Resource Conservation District
South County Sanitation District
This MOU is one of the agreements the watershed partners will use to help develop the
Plan.
The SLO County Flood Control and Water Conservation District, Zone 3 Technical
Advisory Committee recommended to the Zone 3 Advisory Committee that reserve
funds be used as the 50% cost-share match toward Plan development, and supported
the City of Arroyo Grande being the grant applicant. Zone 3 agency members would
actively participate in the development of the Plan. Additionally, the Zone 3 agencies
(City of Grover Beach, City of Pismo Beach, Oceano Community Services District and
the County Service Area #12) would all be potential beneficiaries of projects that could
be funded from future state grants.
The RCD has been the guiding force to notify local municipalities of this new
requirement, describe the opportunities at hand, and encourage partnership. The RCD
has successfully received and executed over 5 State Water Resource Control Board
grant contracts, and has intimate experience with the watersheds communities, issues
and related studies. A description of the RCD, its boundaries and information about its
mission are attached. (Attachment #1) The RCD will act as lead consultant,
implementing the grant contract and performing the majority of the grant administration
tasks. A copy of the draft Proposition 1 grant agreement template is attached.
(Attachment #2)
Item 9.e. - Page 2
CITY COUNCIL
AUTHORIZATION TO SERVE AS LEAD AGENCY FOR REGIONAL STORMWATER
RESOURCE PLAN GRANT APPLICATION
FEBRUARY 23, 2016
PAGE 3
Without a Storm Water Resource Plan, agencies applying for Prop 1 grants must submit
and confirm Functional equivalent status. Functional equivalent status would require
the City to assess whether a functional equivalent can be met by completing a self-
certification process. If a functional equivalent can be met, state grant funding can be
applied to for stormwater projects.
ALTERNATIVES
The following alternatives are provided for City Council consideration:
1. Approve staff’s recommendation, allowing the City to serve as the lead agency
for a regional stormwater resources plan grant application and authorize the City
Manager to sign and submit all necessary documentation;
2. Take no action – The City will proceed with business as usual and not apply to
state grant funding programs to fund stormwater or dry weather capture projects ;
or
3. Provide other direction.
ADVANTAGES
The City of Arroyo Grande will be eligible for state grant funds for drainage and
stormwater projects. A significant number of these projects are un-funded.
The Plan will prioritize stormwater programs, project types and projects against multi-
benefit metrics focusing the City’s limited resources on the highest priority projects.
Potential projects include but are not limited to:
Groundwater recharge projects using diverted stormwater.
Pollutant load reduction projects
Sediment and siltation removal projects
Low Impact Stormwater projects intended to filter and percolate stormwater
before it enters creekways
Recycled water projects
Potential beneficial rebate or incentive programs
Development of regional policies that would benefit the stormwater area
Preparation of reports and studies regarding stormwater related issues including
groundwater recharge
If funded through the grant opportunity, the Plan will provide a watershed perspective,
from which the City and participating agencies will be able to better support their
activities to regulatory and grant funding entities and to the public.
DISADVANTAGES
The City will be involved with watershed analysis, priorities and plans both inside and
outside the city limits. However, the RCD will be the prime contractor, and will lead
watershed tasks on behalf of the City.
Item 9.e. - Page 3
CITY COUNCIL
AUTHORIZATION TO SERVE AS LEAD AGENCY FOR REGIONAL STORMWATER
RESOURCE PLAN GRANT APPLICATION
FEBRUARY 23, 2016
PAGE 4
City staff will need to dedicate time to contracting, review of quarterly invoices and
reports, communication with partners, and other tasks to meet the contract
requirements. The RCD is very familiar with grant management and will complete the
bulk of this work, reducing the burden on City staff.
ENVIRONMENTAL REVIEW:
Not applicable.
PUBLIC NOTIFICATION AND COMMENTS:
The Agenda was posted in front of City Hall on Thursday, February 18, 2016 and on the
City’s website on Friday, February 19, 2016.
ATTACHMENTS
1. Coastal San Luis Resource Conservation District (RCD) Information
2. Proposition 1 grant agreement template
Item 9.e. - Page 4
Coastal San Luis Resource Conservation District
QUALIFICATIONS
www.coastalrcd.org
Organization
The Coastal San Luis Resource Conservation District (CSLRCD) is community-based special
district dedicated to assisting land users and local government in achieving natural resource
management objectives. The organization has worked in San Luis Obispo County since 1953.
Our experienced environmental scientists and engineer specialize in landowner-driven projects
that improve the environment.
The CSLRCD has a strong relationship with the Natural Resource Conservation Service helping
the local community through technical assistance, funding opportunities and permit
coordination. This partnership has facilitated implementation of hundreds of conservation
projects in Coastal San Luis Obispo County.
Visit: www.coastalrcd.org
Mission Statement
The CSLRCD mission is to protect and enhance natural resource through education, restoration
& collaboration with local stakeholders.
A Few Accomplishments
•Led completion of Oso Flaco Creek Non Point Source Pollution Assessment, 2012 in
partnership with CA State Parks and Recreation
•Led implementation of denitrifying woodchip bioreactor and sediment basins on
agricultural land in Oso Flaco Creek watershed in partnership with a private landowner,
the CA State Parks and Recreation and the Regional Water Quality Control Board. This
project is being constructed Fall 2014.
•Completion of water quality projects incorporating 150 best management practices in
the Morro Bay watershed in partnership with Natural Resource Conservation Service,
Morro Bay National Estuary Program, State Coastal Conservancy, State Water Resources
Control Board, Packard Foundation, and dozens of landowners.
•Led completion of the 2006 “Arroyo Grande Creek Erosion, Sedimentation and Flooding
Alternatives Study”, which is providing the basis for SLO County’s development of a
Waterway Management Plan for the Arroyo Grande Flood Control Channel.
•Restoration and enhancement of Chorro Flats for sediment capture, agricultural
preservation and wildlife habitat.
ATTACHMENT 1
Item 9.e. - Page 5
Coastal San Luis Resource Conservation District
QUALIFICATIONS
www.coastalrcd.org
Coastal San Luis Resource Conservation District (CSLRCD) Boundary Map
Item 9.e. - Page 6
Coastal San Luis Resource Conservation District
QUALIFICATIONS
www.coastalrcd.org
Jackie Crabb, District Manager
Education:
First year law school; Cal Northern School of Law; Chico, CA
Graduate work in Agricultural Science; concentration in Plant Protection; California Polytechnic State
University, San Luis Obispo, CA
Bachelor of Science in Agricultural Management; concentration in Agricultural Business Management;
California Polytechnic State University, San Luis Obispo, CA
Employment History:
• San Luis Obispo County Farm Bureau; Executive Director
• San Luis Obispo County Agricultural Education Committee; Coordinator
• San Luis Obispo County Agricultural Commissioner; Inspector/Biologist
Experience:
• Budget and finances, personnel, property management, record keeping, fundraising,
membership development, legislative affairs, policy and regulatory review, outreach, public
speaking, and communications.
Item 9.e. - Page 7
Coastal San Luis Resource Conservation District
QUALIFICATIONS
www.coastalrcd.org
Cindy Gonzales, Accounting Manager
Education:
BA English, UCSB
Employment History:
Coastal San Luis Resource Conservation District
•Accounting Manager, responsible for accounts payable and receivable, payroll, financial reports
and audit preparation
Cal Poly Corporation - Grants Analyst
•Sponsored Programs Department at Cal Poly Corporation – Managed University research grants
and Center and Institute programs at California Polytechnic State University, San Luis Obispo.
Responsible for account set up, maintenance and close out, reporting, invoicing, adherence to
budget requirements and personnel monitoring.
North County Women’s Resource Center - Accounting Manager
•Accounting Manager at the North County Women’s Resource Center and Shelter, responsible
for accounts payable and receivable, human resources, insurance, banking and audit
preparation, invoicing and client assistance
Item 9.e. - Page 8
Coastal San Luis Resource Conservation District
QUALIFICATIONS
www.coastalrcd.org
Nicole Smith, Conservation Programs Manager
Grant writing, community workshop development, natural resource permitting,
stormwater plan development, steelhead restoration projects, project
management and organization management.
Education:
Master of City and Regional Planning, Environmental Planning emphasis, California Polytechnic State
University, San Luis Obispo: June 2008.
B.A. Environmental Studies–Ecosystems, State University of New York at Binghamton, June 2001.
Employment History:
Wallace Group; Associate Planner.
Central Coast Salmon Enhancement; Watershed Projects Assistant.
California Conservation Corps; Technical Advisor and Americorps WSP member.
Experience:
• Managed SLO County Watershed Management Plan Phase 1 for the IRWMP including San Luis
Obispo County Instream Flow Assessment
• Managed multiple grants for projects equaling over $1 million in 2012-2014 and $500,000 in
2014-2016
• Managed Livestock and Land Pilot Project including manure composting demonstration site and
community workshops – San Luis Obispo, CA
• Managed the SWRCB Clean Water Act 319(h) grant for the Morro Bay Agricultural Water
Quality Enhancement Program – Morro Bay, CA
• Coordinated annual vegetation management project in the Zone 1/1A Flood Control District
with the County Public Works Department – Arroyo Grande, CA
• Managed and wrote Pismo Lake Natural Resources Inventory and Preliminary Public Access
Analysis – Pismo Beach, CA
• Wilson Creek Instream Habitat Restoration Project – Klamath, CA
• Evaluated functionality of Mill Creek salmonid instream restoration project – Crescent City, CA
• Numerous surveys including salmonid spawner, habitat typing, riparian vegetation composition,
and GPS habitat structures – Humboldt and Del Norte Counties, CA.
Item 9.e. - Page 9
Coastal San Luis Resource Conservation District
QUALIFICATIONS
www.coastalrcd.org
G.W. Bates, Civil Engineer
Irrigation water management and Nutrient Management. Agricultural water quality
improvement projects and water quality monitoring. Design of grading, drainage,
parking, and utility, drainage report writing; cost estimation, bid evaluation,
construction inspection, personnel coordination, and project management.
Education:
Ph.D. Engineering, Texas Tech University: In Progress.
M.S. Civil and Environmental Engineering, University of Washington: August 2012.
B.S. Bioresource and Agricultural Engineering, California Polytechnic State University, San Luis Obispo:
June 2003.
Professional Registration:
Professional Civil Engineer RCE #70927
Certified Professional in Erosion and Sedimentation Control CPESC # 6285
Qualified SWPPP Developer / Practitioner QSD/QSP # 292
Employment History:
Cal Poly San Luis Obispo; Part time lecturer in Irrigation Water Management
eda Design Professionals; Project Civil Engineer/Team Leader.
North Coast Engineering, Inc., Project Engineer.
Westland Engineering, Inc., Staff Engineer/Designer
Cal Poly Irrigation Training and Research Center, Irrigation Evaluator
Experience:
•The Morro Bay Agricultural Water Quality Enhancement Program – An EPA 319 (h) funded grant
program focused on implementing emergent technologies and management practices on
agricultural operations to improve water quality in the Morro Bay National Estuary.
•Oso Flaco Agricultural Runoff Treatment – A grant funded by the State Water Resource Control
Board to implement a treatment train of devices to treat polluted agricultural runoff in the Oso
Flaco Watershed.
•Mobile Irrigation Lab Program – A program funded in part by the County of San Luis Obispo to
evaluate existing irrigation systems and make recommendation for improvement in order to
reduce water use in local agriculture.
•Agricultural Grading Review Program – A joint permit program with the County of San Luis
Obispo to provide review and technical assistance for agricultural grading projects.
•Pismo Creek Estuary Enhancement Project – A project funded by the California Department of
Parks and Recreation to investigate strategies for improving water quality in the Pismo Estuary.
Item 9.e. - Page 10
PROPOSITION 1
STORM WATER
[RECIPIENT CAPS]
AND
CALIFORNIA STATE WATER RESOURCES CONTROL BOARD
PLANNING GRANT
STORM WATER PLANNING
[PROJECT NAME]
AGREEMENT NO. [ ]
AMOUNT: $
ELIGIBLE START DATE: __________________
WORK COMPLETION DATE: __________________
FINAL DISBURSEMENT REQUEST DATE: __________________
TERM END DATE:_____________
ATTACHMENT 2
Item 9.e. - Page 11
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PLANNING GRANT
This Planning Grant,including all exhibits and attachments, (Agreement), by and between the State Water
Resources Control Board (State Water Board), a state agency, and the ______________, duly organized
and existing under the laws of the State of California (Recipient) is dated as of the date this Agreement is
signed by the Deputy Director of the Division of Financial Assistance.
WHEREAS,
1.The State Water Board is authorized to provide funding under this Agreement pursuant to the
following:
•Proposition 1 Storm Water - Section 79747 of the Water Code (State GO Bond Act)
2.The State Water Board determines eligibility for financial assistance, determines a reasonable
schedule for providing financial assistance, establishes compliance with the State GO Bond Act, and
establishes the terms and conditions of afunding agreement.
3.The Recipient has applied to the State Water Board for funding for the Planning described in Exhibit
A of this Agreement and the State Water Board has selected the application for funding through a
competitive process.
4.The State Water Board proposes to assist in funding the costs of the Planning, and the Recipient
desires to participate as a recipient of financial assistance from the State Water Board, upon the
terms and conditions set forth in this Agreement, all pursuant to the State GO Bond Act;
NOW, THEREFORE, in consideration of the premises, mutual representations, covenants and
agreements in this Agreement, the State Water Board and the Recipient, each binding itself, its
successors and assigns, do mutually promise, covenant, and agree as follows:
1.Definitions.
Unless otherwise specified, each capitalized term used in this Agreement (including the Exhibits hereto) has
the following meaning:
"Agreement" means this Planning Grant, by and between the State Water Board and the Recipient, including
all exhibits and attachments hereto.
"Authorized Representative" means the duly appointed representative of the Recipient as set forth in the
certified original of the authorizing resolution that designates the authorized representative by title.
“Days” means calendar days unless otherwise expressly indicated.
"Division" means the Division of Financial Assistance of the State Water Board or any other segment of
the State Water Board authorized to administer the SRF.
“Disbursement Period” means the period during which Planning Funds may be disbursed.
“Eligible Start Date” means the date set forth in Exhibit B, establishing the date on or after which Planning
Costs may be incurred and eligible for reimbursement hereunder.
“Final Disbursement Request Date” means the date established in Exhibit B, after which date, no further
Planning Funds disbursementsmay be requested.
“Enterprise Fund” means the enterprise fund of the Recipient in which Revenues are deposited.
Item 9.e. - Page 12
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"Fiscal Year" means the period of twelve (12) months terminating on June 30 of any year, or any other
annual period hereafter selected and designated by the Recipient as its Fiscal Year in accordance with
applicable law.
"Force Account" means the use of the Recipient's own employees or resources for the Planning.
“GAAP” means generally accepted accounting principles, as issued by the Governmental Accounting
Standards Board.
“GrantManager” means the person designated by the State Water Board to manage performance of the
Agreement. The Grant Manager is set forthbelow.
“Match Funds” means funds provided by the Recipient towards the Planning Costs.
“Party Contact” means, for the Recipient, the Authorized Representative of the Recipient or any designee
of the Authorized Representative, and, for the State Water Board, the Grant Manager or the Program
Analyst.
“Planning” means the Planning as described in Exhibit A and in the documents incorporated by reference.
“PlanningCompletion" means, as determined by the Division, that the Planning is complete to the
reasonable satisfaction of the Division.
"Planning Costs" means the incurred costs of the Recipient which are eligible under this Agreement,
which are allowable costs as defined under the Policy, and which are reasonable, necessary and
allocable by the Recipient to the Planning under GAAP, plus capitalized interest.
“Planning Funds” means funds disbursed by the State Water Board to the Recipient for purposes of this
Agreement.
"Policy" means the State Water Board’s “Proposition 1 Storm Water Grant Program Funding Guidelines,”
as amended from time to time.
“Project Director” means an employee of the Recipient designated by the Authorized Representative to
be responsible for the overall management of the administrative and technical aspects of the executed
Agreement. The Project Director is set forth in Section 2 of this Agreement.
“Recipient” means _______________.
“Regional Water Quality Control Board” or “Regional Water Board” means the appropriate Regional Water
Quality Control Board.
"Revenues" means, for each Fiscal Year, all gross income and revenue received or receivable by the
Recipient from the ownership or operation of the System, determined in accordance with GAAP, including
all rates, fees, and charges (including connection fees and charges) as received by the Recipient for the
services of the System, and all other income and revenue howsoever derived by the Recipient from the
ownership or operation of the System or arising from the System, including all income from the deposit or
investment of any money in the Enterprise Fund or any rate stabilization fund of the Recipient or held on
the Recipient’s behalf, and any refundable deposits made to establish credit, and advances or
contributions in aid of construction.
“State” means State of California.
“State Water Board” means the State Water Resources Control Board, an administrative and regulatory
agency of the State of California.
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“Work Completion” means the Recipient’s submittal of all work set forth under Exhibit A for review and
approval by the Division. The Division may require corrective work to be performed prior to Planning
Completion.
“Work Completion Date” means the date set forth in Exhibit A that is the last date on which Planning
Costs may be incurred under this Agreement.
“Year” means calendar year unless otherwise expressly indicated.
2. Party Contacts.
The Party Contacts during the term of this Agreement are:
State Water Board Recipient
Section:
Name: [Name], GrantManager Name: [Name], Project Director
Address: Address:
City, State, Zip: City, State, Zip:
Phone: Phone:
Fax: Fax:
Email: [name]@waterboards.ca.gov Email:
Direct inquiries to:
State Water Board Recipient
Section: Division of Financial Assistance
Name: [Name], Program Analyst Name: [Name], Grant Contact
Address: 1001 I Street, 17th Floor Address:
City, Zip: Sacramento, CA 95814 City, State, Zip:
Phone: (916) 341-XXXX Phone:
Fax: (916) 341-5296 Fax:
Email: [name]@waterboards.ca.gov Email:
The Recipient may change its Project Director upon written notice to the Grant Manager, which notice
shall be accompanied by authorization from the Recipient’s Authorized Representative. The State Water
Board will notify the Project Director of any changes to its Party Contacts.
3. Exhibits and Appendices Incorporated.
The following exhibits and appendices to this Agreement, including any amendments and supplements
hereto, are hereby incorporated herein and made a part of this Agreement:
EXHIBIT A - SCOPE OF WORK
EXHIBIT B - FUNDING PROVISIONS
EXHIBIT C – STANDARD TERMS AND CONDITIONS
EXHIBIT D – SPECIAL CONDITIONS
Additionally, the following documents are incorporated by reference:
(a) [TBD]
4. Recipient Representations and Commitments.
The Recipient represents, warrants, and commits to the followingas of the date set forth on the first page
hereof and continuing thereafter for the term of theAgreement:
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(a) General Commitments.The Recipient accepts and agrees to comply with all terms, provisions,
conditions, and commitments of this Agreement, including all incorporated documents, and to
fulfill all assurances, declarations, representations, and commitments made by the Recipient
in its application, accompanying documents, and communications filed in support of its
request for financial assistance.
(b) Authorization and Validity.The execution and delivery of this Agreement, including all
incorporated documents, has been duly authorized. This Agreement constitutes a valid and
binding obligation of the Recipient, enforceable in accordance with its terms, except as such
enforcement may be limited by law.
(c) No Violations.The execution, delivery, and performance by Recipient of this Agreement,
including all incorporated documents, do not violate any provision of any law or regulation in
effect as of the date set forth on the first page hereof, or result in any breach or default under
any contract, obligation, indenture, or other instrument to which Recipient is a party or by which
Recipient is bound as of the date set forth on the first page hereof.
(d) No Litigation.There are no pending or, to Recipient’s knowledge, threatened actions, claims,
investigations, suits, or proceedings before any governmental authority, court, or
administrative agency which affect the financial condition or operations of the Recipient, the
System, the Revenues, and/or the Planning.
(e) Solvency. None of the transactions contemplated by this Agreement will be or have been
made with an actual intent to hinder, delay, or defraud any present or future creditors of
Recipient. As of the date set forth on the first page hereof, Recipient is solvent and will not be
rendered insolvent by the transactions contemplated by this Agreement. Recipient is able to
pay its debts as they become due.
(f) Legal Status and Eligibility.Recipient is duly organized and existing and in good standing
under the laws of the State of California, and will remain so during the term of this
Agreement. Recipient shall at all times maintain its current legal existence and preserve and
keep in full force and effect its legal rights and authority. Recipient shall maintain its eligibility
for funding under this Agreement for the term of this Agreement.
(g) Specific Cross-Cutters. The Recipient is currently in compliance with the state requirements set
forth in Exhibit C.
5. Work Completion.
The Recipient agrees to expeditiously proceed with and complete the Planning in accordance with this
Agreement.
6. Notice.
(a) The Recipient agrees to notify the Division in writing within five (5) working days of the
occurrence of the following:
(1) Bankruptcy, insolvency, receivership or similar event of the Recipient;
(2) Actions taken pursuant to state law in anticipation of filing for bankruptcy;
(b)The Recipient agrees to notify the Division within 10 working days of any litigation pending or
threatened against Recipient regarding its continued existence, consideration of dissolution, or
disincorporation;
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(c) The Recipient agrees to notify the Division promptly of the following:
(1) Any proposed change in scope of the Planning;
(2) Cessation of work on the Planning where such cessation of work is expected to or does
extend for a period of thirty (30) days or more;
(3) Any circumstance, combination of circumstances, or condition, which is expected to or does
delay Work Completion ;
(4) Any monitoring activities such that the State Water Board Division of Drinking Water and/or
Regional Water Quality Control Board staff may observe and document such activities;
(5) Any public or media event publicizing the accomplishments and/or results of this Agreement
and provide the opportunity for attendance and participation by state representatives with at
least ten (10) working days’ notice to the Division; or
(6) Work Completion.
7. Planning Funds.
The State Water Board’s disbursement of funds hereunder is contingent on the Recipient’s compliance
with the terms and conditions of this Agreement.
8. No Obligation of the State; State Budget Act Contingency.
Any obligation of the State Water Board herein contained shall not be an obligation, debt, or liability of the
State and any such obligation shall be payable solely out of the moneys appropriated by the State
Legislature to the State Water Board from the special fund associated this Agreement.
If the Budget Act of the current year and/or any subsequent years covered under this Agreement does not
appropriate sufficient funds for the program, this Agreement shall be of no force and effect. This
provision shall be construed as a condition precedent to the obligation of the State Water Board to make
any payments under this Agreement. In this event, the State shall have no liability to pay any funds
whatsoever to Recipient or to furnish any other considerations under this Agreement and Recipient shall
not be obligated to perform any provisions of this Agreement. Nothing in this Agreement shall be
construed to provide the Recipient with a right of priority for payment over any other recipient.
If this Agreement’s funding for any Fiscal Year is reduced or deleted by the Budget Act, by Executive
Order, or by order of the Department of Finance, the State shall have the option to either cancel this
Agreement with no liability occurring to the State, or offer an Agreement amendment to the Recipient to
reflect the reduced amount.
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IN WITNESS WHEREOF, this Agreement has been executed by the parties hereto.
«RECIPIENTCAPS»:
By: ____________________________________
Name:
Title: «as identified in the resolution»
Date:__________________________________
STATE WATER RESOURCES CONTROL BOARD:
By: ____________________________________
Name:
Title: Deputy Director
Division of Financial Assistance
Date: __________________________________
Item 9.e. - Page 17
Name of Recipient
Agreement No.: XX-XXX-550
Project No.: C-06-XXXX-XXX
A-1
EXHIBIT A – SCOPE OF WORK
A-1. Work Completion Date.
The Work Completion Date is established as [date]. Workoccurring after Work Completion Date,
including corrective actions, arenot eligible for reimbursement with Planning Funds.
A-2.Purpose.
This Planning Grant is for the purpose of preparing a Storm Water Resource Plan in the [watershed/area
name] that is compliant with the State Water Board’s Storm Water Resource Plan Guidelines.
A-3.Final Disbursement Request.
The Recipient agrees to ensure that its Final Disbursement Request is received by the Division no later
than ____[Work Completion + 30 days]_____________ unless prior approval has been granted by the
Division. Otherwise, the undisbursed balance of this Agreement will be deobligated.
A-4.Scope of Work and Planning Documents.
The Recipient agrees to do the following:
[Insert specific tasks and work with clear descriptions about who is responsible for exactly what and
when.]
A-5.Disclosure.
(b) The Recipient shall include the following disclosure statement in any document, written report, or
brochure prepared in whole or in part pursuant to this Agreement:
“Funding has been provided in full or in part through an agreement with the State Water Resources
Control Board using funds from Proposition 1. The contents of this document do not necessarily reflect
the views and policies of the foregoing, nor does mention of trade names or commercial products
constitute endorsement or recommendation for use.”
A-6.PAEP, Monitoring, and QAPP
(a) Project Assessment and Evaluation. If water quality or effectiveness monitoring is a part of the
Planning Project, the Recipient shall submit a Project Assessment and Evaluation Plan (PAEP) to
the Grant Manager after the Agreement is executed and make annual updates thereafter for the
term of the Agreement. The PAEP must include a summary of project goals, the appropriate
performance measures to tack the project progress, and measurable targets that the applicant
thinks are feasible to meet during the project period. PAEP guidance can be found online
at:http:///www.waterboards.ca.gov/swgp. The PAEP and all annual updates must be reviewed
and approved by the Grant Manager.
(b) Monitoring Plan. If planning information is being collected and evaluated through water quality,
water quantity, or other environmental monitoring, the Recipient must prepare a monitoring plan
(MP) and submitted to the Grant Manager. The MP must include a description of the monitoring
program and objectives, types of constituents to be monitored, methodology, the frequency and
duration of monitoring, and the sampling locations for the monitoring activities. Guidance for
preparing an MP is available online
Item 9.e. - Page 18
Name of Recipient
Agreement No.: XX-XXX-550
Project No.: C-06-XXXX-XXX
A-2
at:http://www.waterboards.ca.gov/water_issues/programs/grants_loans/grant_info/index.shtml#pl
ans. The MP and any updates must be reviewed and approved by the Grant Manager.
(c) Data Management. The Recipient shall upload any applicable surface water monitoring water
quality data obtained through its implementation of its MP to the California Environmental Data
Exchange Network (CEDEN), and all data must be compliant with an approved Quality
Assurance Program Plan. Recipient shall upload groundwater monitoring data into the
Groundwater Ambient Monitoring & Assessment (GAMA) database. Please see the CEDEN
website (http://www.ceden.org/) and the GAMA website (http://waterboards.ca.gov/gama/) for
additional information. The Recipient shall also provide a receipt of successful data submission,
which is generated by CEDEN, to the Grant Manager prior to submitting a final invoice. Guidance
for submitting data, including required minimum data elements and data formats, is available at
http://www.ceden.org or the Regional Data Centers (RDCs) (Moss Landing Marine Lab, San
Francisco Estuary Institute, Southern California Coastal Water Research Project, or Central
Valley RDC). Contact information for the RDCs is included in the CEDEN web link.
(d) Quality Assurance and Project Plan. The Grant Manager will determine whether the Recipient is
required to prepare, maintain, and implement a Quality Assurance Project Plan (QAPP).
Generally, a QAPP is required if surface water monitoring data is collected for submittal to
CEDEN. If a QAPP is required, the Recipient must submit it in a format provided by the Grant
Manager to the State Water Board’s Quality Assurance Officer for review and approval.
A-7.Reporting.
(a) Progress Reports. The Recipient shall submit quarterly progress reports to the Grant Manager
within forty-five (45) days following the end of the calendar quarter (March, June, September, and
December). Progress Reports shall provide a brief description of activities that have occurred,
milestones achieved, monitoring results (if applicable), and any problems encountered in the
performance of the work under this Agreement during the applicable reporting period. Reporting
shall be required even if no grant related activities occurred during the reporting period. The
Recipient shall document all contractor activities and expenditures in progress reports.
(b) As Needed Reports. The Recipient agrees to expeditiously provide, during the term of this
Agreement, such reports, data, and information as may be reasonably required by the Division,
including but not limited to material necessary or appropriate for evaluation of the funding
program or to fulfill any reporting requirements of the state or federal government.
(c) Final Reports. At the conclusion of the Planning, the Recipient must submit the following to the
Grant Manager:
(1) Draft Planning Report. Prepare and submit to the Grant Manager, for review and comment, a
Draft Planning Project Report in a format provided by the Grant Manager.
(2) Final Planning Report. Prepare a Final Planning Project Report that addresses, to the extent
feasible, comments made by the Grant Manager on the Draft Planning Project Report.
Submit one (1) reproducible master copy and an electronic copy of the final. Upload an
electronic copy of the final report in pdf format to the FAAST system.
(3) Final Planning Summary. Prepare a brief summary of the information contained in the Final
Planning Project Report, including before and after pictures, as appropriate. Upload an
electronic copy of the Final Planning Project Summary in pdf format to the FAAST system.
Item 9.e. - Page 19
Name of Recipient
Agreement No.: XX-XXX-550
Project No.: C-06-XXXX-XXX
A-3
(d) Annual Progress Summaries. The Recipient shall prepare and provide an Annual Progress
Summary annually by November 15 that covers the time period from October 1 of the previous
year through September 30 of the current year. The summary must be no more than two (2)
pages, and shall include pictures as appropriate. The Recipient shall upload an electronic copy
of the Annual Progress Summary in pdf format to the FAAST system. The summary shall include
the following:
(1) A summary of the conditions the Planning is meant to alleviate, the Planning’s objective, the
scope of the Planning, and a description of the approach used to achieve the Planning
objective.
(2) A summary of the progress made to date, significant milestones achieved, and the current
schedule of completing the Planning.
(3) An evaluation of the effectiveness of the Planning to date in preventing or reducing pollution
and alleviating pre-existing conditions.
A-8.Natural Resource Projects Inventory (NRPI) Survey Form.
If available at the completion of this Project, the Recipient shall complete and submit electronically a NRPI
Project Survey Form found at http://www.ice.ucdavis.edu/nrpi.
A-10.Planning Schedule
ITEM DESCRIPTION OF WORK OR SUBMITTAL ESTIMATED
DUE DATE FOR
SUBMITTAL 1
CRITICAL DUE
DATE
EXHIBIT A – SCOPE OF WORK
A- {Name of item to be reviewed} Month Year
{Name of item to be reviewed} Month Year
{Name of item to be reviewed} Month Year
{Name of item to be reviewed} Month Year
A- Disclosures As necessary
A- PAEP
A- Monitoring
A- QAPP
A- Progress Reports Quarterly
A- As Needed Reports As needed
A- Annual Progress Summaries Annually by 9/30
A- Draft Final Report Month/Day/Year
1These are estimated dates, which may be adjusted as necessary during the Disbursement Period with
Grant Manager approval. However, all work or submittals must be achieved with relevant submittals
approved by the Division, and the final invoice submitted, prior to [Final Disbursement Request Date].
Item 9.e. - Page 20
Name of Recipient
Agreement No.: XX-XXX-550
Project No.: C-06-XXXX-XXX
A-4
ITEM DESCRIPTION OF WORK OR SUBMITTAL ESTIMATED
DUE DATE FOR
SUBMITTAL 1
CRITICAL DUE
DATE
A- Final Report Month/Day/Year
A- Final Summary Before Final
Invoice
Natural Resource Projects Inventory (NRPI) Survey
Form
(If applicable)
Before Final
Invoice
EXHIBIT B – FUNDING PROVISIONS
Disbursement requests and Progress Reports Quarterly
Final Disbursement Request
Item 9.e. - Page 21
Name of Recipient
Agreement No.: XX-XXX-550
Project No.: C-06-XXXX-XXX
B-1
EXHIBIT B – FUNDING PROVISIONS
B-1.Estimated Reasonable Cost.
The cost of the total Planning is Written Dollar Amount dollars and no cents ($Dollar Amount).
B-2. Match Funds.
(a) The Recipient agrees to provide Match Fundsin the amount of ________________.
(b) This Match Funds amount is based on the budget, funding sources, and amounts submitted by
the Recipient in its application and during the negotiation of this Agreement. Any Match Funds
changes or adjustments requested by the Recipient must be approved, in advance and in writing,
by the Grant Manager.
(c) Only expenses thatwould be considered eligible project costs under Proposition 1 and the Policy
will be counted towards the Recipient’s Match Funds.
(d) Any costs incurred prior to the adoption of Proposition 1 on November 4, 2014, will not count
towards the Recipient’s Match Funds.
(e) If, atPlanning Completion, the Recipient has provided Match Funds in an amount that is less than
the Match Funds amount set forth above, the State Water Board may proportionately reduce the
Planning Funding amount and/or Recipient’s Match Funds amount, upon approval of the Deputy
Director of the Division.
B-3.Planning Funding.
(a) The maximum amount to be encumbered under this Agreement for the 201X-XX fiscal year ending
June 30, 201X shall not exceed TYPE OUT DOLLAR AMOUNT (ALPHA) DOLLARS
($NUMERIC).
(b) The State Water Board makes a grant of Planning Funds to the Recipient for the purposes of this
Agreement of up to Written Dollar Amount dollars and no cents ($Dollar Amount).
B-4.Funding Dates.
(a) The term of this agreement is from the Start Date on the cover page of this Agreement to the End
Date of ___________.
(b) The Eligible Start Date is [Date]. Otherwise eligible costs incurred prior to this date will not be
reimbursed.
(c) The Final Disbursement Request Date is [Date]. The Deputy Director of the Division may extend
this date for good cause. All disbursement requests must be submitted to the Division such that
they are received prior to this date. Late disbursement requests will not be honored.
B-5.Funding Conditions and Exclusions.
(a) This Agreement reflects Planning funding only. If the Recipient desires
implementation/construction funding, apply for implementation/construction funding, and execute
an implementation/construction funding agreement. Costs associated with the
Item 9.e. - Page 22
Name of Recipient
Agreement No.: XX-XXX-550
Project No.: C-06-XXXX-XXX
B-2
implementation/construction phase of the possible eventual implementation/construction project
are not eligible for reimbursement under this Agreement.
(b) A final copy shall be submitted, acceptable to the Division, prior to disbursement beyond 90% of
the Planning Funds.
(c) Project Funds may not be used for any indirect costs. “Indirect Costs” means those costs that are
incurred for a common or joint purpose benefiting more than one cost objective and are not readily
assignable to the Planning (i.e., costs that are not directly related to the Planning). Examples of
Indirect Costs include, but are not limited to: central service costs; general administration of the
Recipient; non-project-specific accounting and personnel services performed within the Recipient
organization; depreciation or use allowances on buildings and equipment; the costs of operating
and maintaining non-project-specific facilities; tuition and conference fees; and, generic overhead
or markup. Any invoice submitted including Indirect Costs will cause that invoice, in its entirety, to
be disputed and will not be paid until the dispute is resolved. This prohibition applies to the
Recipientand any subcontract or sub-agreement for work on the Planning that will be reimbursed
with grant funds pursuant to this Agreement. (Gov. Code, § 16727.)
B-6.Line Item Budget Summary
PLANNING
FUNDS
MATCH
TOTAL
Direct Project Administration Costs $ $ $
Planning/Design/Engineering/Environmental $ $ $
Equipment ($5,000 or more per item) (Itemize each piece of
equipment)
$ $ $
Construction/Implementation $ $ $
Monitoring/Performance $ $ $
Education/Outreach $ $ $
TOTAL $ $ $
B-7.Budget Flexibility.
(a) Subject to the prior review and approval of the Grant Manager, adjustments between existingline
item(s) may be used to defray allowable direct costs up to twenty percent (15%) of the total
amount (excluding Match Funds), including any amendment(s) thereto. Line item adjustments in
excess of twenty percent (15%) require an Agreement amendment. If the detailed budget
includes an amount for Personnel Services, that amount is based on the hours, classifications,
and rates submitted by the Recipient in its application. Any changes to the hours, classifications,
and rates must be approved, in advance and in writing, by the Grant Manager.
(b) The Recipient may submit a request for an adjustment in writing to the Grant Manager. Such
adjustment may not increase or decrease the total grant amount allocated per fiscal year. The
Recipient shall submit a copy of the original Agreement Budget sheet reflecting the requested
changes and shall note proposed changes by striking out the original amount(s) followed with
proposed change(s) in bold and underlined. Budget adjustments deleting a budget line item or
adding a new budget line item shall require a formal amendment. The Division may also propose
budget adjustments.
Item 9.e. - Page 23
Name of Recipient
Agreement No.: XX-XXX-550
Project No.: C-06-XXXX-XXX
B-3
(c) The sum of adjusted line items shall not exceed the total budget amount.
B-8. Amounts Payable by the Recipient.
Planning Costs.The Recipient agrees to pay any and all costs connected with the Planning including,
without limitation, any and all Planning Costs. If the Planning Funds are not sufficient to pay the Planning
Costs in full, the Recipient shall nonetheless complete the Planning and pay that portion of the Planning
Costs in excess of available Planning Funds, and shall not be entitled to any reimbursement therefor from
the State Water Board.
B-9. Disbursement of Planning Funds; Availability of Planning Funds.
(a) The State Water Board's obligation to disburse Planning Funds is contingent upon the availability
of sufficient funds to permit the disbursements provided for herein. If sufficient funds are not
available for any reason, including but not limited to failure of the State government to appropriate
funds necessary for disbursement of Planning Funds, the State Water Board shall not be
obligated to make any disbursements to the Recipient under this Agreement. This provision shall
be construed as a condition precedent to the obligation of the State Water Board to make any
disbursements under this Agreement. Nothing in this Agreement shall be construed to provide
the Recipient with a right of priority for disbursement over any other recipient. If any
disbursements due the Recipient under this Agreement are deferred because sufficient funds are
unavailable, it is the intention of the State Water Board that such disbursement will be made to
the Recipient when sufficient funds do become available, but this intention is not binding. If this
Agreement’s funding for any fiscal year is reduced or deleted by the Budget Act, by Executive
Order, or by order of the Department of Finance, the State shall have the option to either cancel
this Agreement with no liability occurring to the State, or offer an amendment to the Recipient to
reflect the reduced amount.
(b) Except as may be otherwise provided in this Agreement, disbursement of Planning Funds will be
made as follows:
(1) Upon execution and delivery of this Agreement, the Recipient may request disbursement for
eligible Planning Costs as specified in this Exhibit from the Planning Funds through
submission to the State Water Board of disbursement requests using the disbursement
request form provided by the Grant Manager
(2) Disbursement requests shall contain the following information:
a. The date of the request;
b. The time period covered by the request, i.e., the term “from” and “to”;
c. The total amount requested;
d. Original signature and date (in ink) of Recipient’s Authorized Representative; and,
e. The Final Disbursement Request shall be clearly marked “FINAL DISBURSEMENT
REQUEST” and shall be submitted NO LATER THAN
MONTH 30/31, 201X.
(3) Requests must be itemized based on the line items specified in the budget in this Exhibit.
Requests must be signed by the Authorized Representative or designee and must be
addressed to the Grant Manager as set forth in the Party Contacts section of this Agreement.
Requests for disbursement submitted in any other format than the one provided by the State
Water Board will cause a request for disbursement to be disputed. In the event of such a
Item 9.e. - Page 24
Name of Recipient
Agreement No.: XX-XXX-550
Project No.: C-06-XXXX-XXX
B-4
dispute, the Grant Manager will notify the Recipient. Payment will not be made until the
dispute is resolved and a corrected request submitted. The Grant Manager has the
responsibility for approving requests for disbursement.Requests must be complete and
executed by the Recipient. Planning Costs incurred prior to the Eligible Start Date of this
Agreement will not be funded
(4) Planning Funds must be requested quarterly for eligible costs incurred during the reporting
period of the corresponding Progress Report, describing the activities and expenditures for
which the disbursement is being requested. Each disbursement request must be
accompanied by a Progress Report. Failure to provide timely disbursement requests may
result in such requests not being honored.
(5) The Recipient agrees that it will not request disbursement for any Planning Cost until such
cost has been incurred and is currently due and payable by the Recipient, although the
actual payment of such cost by the Recipient is not required as a condition of disbursement
request. Supporting documentation (e.g., receipts) must be submitted with each
disbursement request as well as to support Match Funds claimed, if any. The amount
requested for administration costs must include a calculation formula (i.e., hours or days
worked times the hourly or daily rate = total amount claimed). Disbursement of Planning
Funds will be made only after receipt of a complete, adequately supported, properly
documented and accurately addressed disbursement request.
(4) The Recipient will not seek reimbursement of any Planning Costs that have been reimbursed
from other funding sources.
(5) Recipient shall spend Planning Funds within 30 days of receipt. Any interest earned on
Planning Funds shall be reported to the State Water Board and will either be required to be
returned to the State Water Board or deducted from future disbursements. In the event that
the Recipient fails to disburse Planning Funds to contractors or vendors within thirty (30) days
from receipt of the funds, the Recipient shall immediately return such funds to the State
Water Board. Interest shall accrue on such funds from the date of disbursement through the
date of mailing of funds to the State Water Board. If the Recipient held such funds in interest-
bearing accounts, any interest earned on the funds shall also be due to the State Water
Board.
(6) Recipient shall request its final disbursement no later than the Final Disbursement Request
Date specified herein unless prior approval is granted by the Division. If the Recipient fails to
do so, then the undisbursed balance of this Agreement will be deobligated.
(7) The Recipient agrees that it will not request a disbursement unless that cost is allowable,
reasonable, and allocable.
(8) Notwithstanding any other provision of this Agreement, no disbursement shall be required at
any time or in any manner that is in violation of or in conflict with federal or state laws,
policies, or regulations.
(9) The Recipient agrees that it shall not be entitled to interest earned on undisbursed planning
funds.
(10) Any reimbursement for necessary travel and per diem shall be at rates not to exceed those
set by the California Department of Human Resources. These rates may be found at
http://www.calhr.ca.gov/employees/Pages/travel-reimbursements.aspx. Reimbursement will
be at the State travel and per diem amounts that are current as of the date costs are incurred
Item 9.e. - Page 25
Name of Recipient
Agreement No.: XX-XXX-550
Project No.: C-06-XXXX-XXX
B-5
by the Recipient. No travel outside the State of California shall be reimbursed unless prior
written authorization is obtained from the Grant Manager.
(11) The Recipient must include a certified original of the authorizing resolution designating the
Authorized Representative by title with the first disbursement request, and any other
documents or requests required or allowed under this Agreement.
B-10.Withholding of Disbursements and Material Violations.
(a) Notwithstanding any other provision of this Agreement, the Recipient agrees that the State Water
Board may retain an amount equal to ten percent (10%) of the Planning Funds until Planning
Completion. Any retained amounts due to the Recipient will be promptly disbursed to the
Recipient, without interest, upon Planning Completion.
(b) The State Water Board may withhold all or any portion of the funds provided for by this
Agreement in the event that:
(1) The Recipient has materially violated, or threatens to materially violate, any term, provision,
condition, or commitment of this Agreement; or
(2) The Recipient fails to maintain reasonable progress toward Planning Completion.
B-11.Remaining Balance.
In the event the Recipient does not request all of the funds encumbered under this Agreement, any
remaining funds revert to the State.
B-12.Fraud and Misuse of Public Funds.
All requests for disbursement submitted shall be accurate and signed under penalty of perjury. Any and
all costs submitted pursuant to this Agreement shall only be for the tasks set forth herein. The Recipient
shall not submit any invoice containing costs that are ineligible or have been reimbursed from other
funding sources unless required and specifically noted as such (i.e., match costs). Any eligible costs for
which the Recipient is seeking reimbursement shall not be reimbursed from any other source. Double or
multiple billing for time, services, or any other eligible cost is illegal and constitutes fraud. Any suspected
occurrences of fraud, forgery, embezzlement, theft, or any other misuse of public funds may result in
suspension of disbursements of Planning Funds and/or termination of this Agreement requiring the
repayment of all funds disbursed hereunder. Additionally, the Deputy Director of the Division may request
an audit and refer the matter to the Attorney General’s Office or the appropriate district attorney’s office
for criminal prosecution or the imposition of civil liability.(Civ. Code, §§ 1572-1573; Pen. Code, §§ 470,
489-490.)
Item 9.e. - Page 26
Name of Recipient
Agreement No.: XX-XXX-550
Project No.: C-06-XXXX-XXX
C-1
EXHIBIT C – STANDARD TERMS AND CONDITIONS
C-1.Accounting and Auditing Standards.
The Recipient must maintain planning accounts according to GAAP. The Recipient shall maintain GAAP-
compliant planning accounts, including GAAP requirements relating to the reporting of infrastructure
assets.
C-2.Amendment.
No amendment or variation of the terms of this Agreement shall be valid unless made in writing, signed
by the parties and approved as required. No oral or written understanding or agreement not incorporated
in this Agreement is binding on any of the parties.
C-3.Assignability.
This Agreement is not assignable by the Recipient, either in whole or in part.
C-4.Audit.
(a) The Division, at its option, may call for an audit of financial information relative to the Planning,
where the Division determines that an audit is desirable to assure program integrity or where
such an audit becomes necessary because of state or federal requirements. Where such an
audit is called for, the audit shall be performed by a certified public accountant independent of the
Recipient and at the cost of the Recipient. The audit shall be in the form required by the Division.
(b) Audit disallowances will be returned to the State Water Board.
C-5.[Reserved.]
C-6.Claims.
Any claim of the Recipient is limited to the rights, remedies, and claims procedures provided to the
Recipient under this Agreement.
C-7.[Reserved.]
C-8. Compliance with Law, Regulations, etc.
The Recipient agrees that it will, at all times, comply with and require its contractor and subcontractors to
comply with all applicable federal and state laws, rules, guidelines, regulations, and requirements.
Without limitation of the foregoing, the Recipient agrees that, to the extent applicable, the Recipient will:
(a) Comply with the State Water Board's Policy;
(b) Comply with and require compliance with the list of state laws (cross-cutters)in Section C-31
of this Agreement.
C-9. Conflict of Interest.
The Recipient certifies that its owners, officers, directors, agents, representatives, and employees are in
compliance with applicable state and federal conflict of interest laws.
Item 9.e. - Page 27
Name of Recipient
Agreement No.: XX-XXX-550
Project No.: C-06-XXXX-XXX
C-2
C-10. Damages for Breach Affecting Tax-Exempt Status or Federal Compliance
In the event that any breach of any of the provisions of this Agreement by the Recipient shall result in the
loss of tax-exempt status for any bonds of the State or any subdivision or agency thereof, including bonds
issued on behalf of the State Water Board, or if such breach shall result in an obligation on the part of the
State or any subdivision or agency thereof to reimburse the federal government by reason of any
arbitrage profits, the Recipient shall immediately reimburse the State or any subdivision or agency thereof
in an amount equal to any damages paid by or loss incurred by the State or any subdivision or agency
thereof due to such breach.In the event that any breach of any of the provisions of this Agreement by the
Recipient shall result in the failure of Planning Funds to be used pursuant to the provisions of this
Agreement, or if such breach shall result in an obligation on the part of the State or any subdivision or
agency thereof to reimburse the federal government, the Recipient shall immediately reimburse the State
or any subdivision or agency thereof in an amount equal to any damages paid by or loss incurred by the
State or any subdivision or agency thereof due to such breach.
C-11. Disputes.
(a) The Recipient may appeal a staff decision within 30 days to the Deputy Director of the Division or
designee, for a final Division decision. The Recipient may appeal a final Division decision to the
State Water Board within 30 days. The Office of the Chief Counsel of the State Water Board will
prepare a summary of the dispute and make recommendations relative to its final resolution,
which will be provided to the State Water Board’s Executive Director and each State Water Board
Member. Upon the motion of any State Water Board Member, the State Water Board will review
and resolve the dispute in the manner determined by the State Water Board. Should the State
Water Board determine not to review the final Division decision, this decision will represent a final
agency action on the dispute.
(b) This clause does not preclude consideration of legal questions, provided that nothing herein shall
be construed to make final the decision of the State Water Board, or any official or representative
thereof, on any question of law.
(c) Recipient shall continue with the responsibilities under this Agreement during any dispute.
C-12. Financial Management System and Standards.
The Recipient agrees to comply with federal standards for financial management systems. The Recipient
agrees that, at a minimum, its fiscal control and accounting procedures will be sufficient to permit
preparation of reports required by the federal or state government and tracking of Planning funds to a
level of expenditure adequate to establish that such funds have not been used in violation of federal or
state law or the terms of this Agreement.
C-13.Governing Law.
This Agreement is governed by and shall be interpreted in accordance with the laws of the State of
California.
C-14. Income Restrictions.
The Recipient agrees that any refunds, rebates, credits, or other amounts (including any interest thereon)
accruing to or received by the Recipient under this Agreement shall be paid by the Recipient to the State,
to the extent that they are properly allocable to costs for which the Recipient has been reimbursed by the
State under this Agreement.
Item 9.e. - Page 28
Name of Recipient
Agreement No.: XX-XXX-550
Project No.: C-06-XXXX-XXX
C-3
C-15. Indemnification and State Reviews.
The parties agree that review or approval of Planning documents by the State Water Board is for
administrative purposes only and does not relieve the Recipient of its responsibility to engage in proper
planning. To the extent permitted by law, the Recipient agrees to indemnify, defend, and hold harmless
the State Water Board, and its officers, employees, and agents (collectively, "Indemnified Persons"),
against any loss or liability arising out of any claim or action brought against any Indemnified Persons
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 (1) the
System or the Planning 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 Planning or any
part thereof; (2) the carrying out of any of the transactions contemplated by this Agreement or any related
document; (3) 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 Toxic Substances Control Act, the
Occupational Safety and Health Act, the Safe Drinking Water Act, the California Hazardous Waste
Control Law, and California Water Code Section 13304, and any successors to said laws), rule or
regulation or the release of any toxic substance on or near the System; or (4) 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 Recipient for use in any
disclosure document utilized in connection with any of the transactions contemplated by this Agreement.
To the fullest extent permitted by law, the Recipient agrees to pay and discharge any judgment or award
entered or made against Indemnified Persons 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 this Agreement and the discharge of the Recipient's Obligation hereunder.
C-16. Independent Actor.
The Recipient, and its agents and employees, if any, in the performance of this Agreement, shall act in an
independent capacity and not as officers, employees, or agents of the State Water Board.
C-17.Integration.
This Agreement is the complete and final Agreement between the parties.
C-18.Non-Discrimination Clause.
(a) During the performance of this Agreement, Recipient and its contractors and subcontractors 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, sexual
orientation, physical disability (including HIV and AIDS), mental disability, medical condition
(cancer), age (over 40), marital status, denial of family care leave, or genetic information, gender,
gender identity, gender expression, or military and veteran status.
(b) The Recipient, its contractors, and subcontractors shall ensure that the evaluation and treatment
of their employees and applicants for employment are free from such discrimination and
harassment.
(c) The Recipient, its contractors, and subcontractors shall comply with the provisions of the Fair
Employment and Housing Act and the applicable regulations promulgated thereunder. (Gov.
Code, §12990, subds. (a)-(f) et seq.; Cal.Code Regs., tit. 2, § 7285 et seq.) Such regulations are
incorporated into this Agreement by reference and made a part hereof as if set forth in full.
Item 9.e. - Page 29
Name of Recipient
Agreement No.: XX-XXX-550
Project No.: C-06-XXXX-XXX
C-4
(d) The Recipient, its contractors, and subcontractors shall give written notice of their obligations
under this clause to labor organizations with which they have a collective bargaining or other
agreement.
(e) The Recipient shall include the nondiscrimination and compliance provisions of this clause in all
subcontracts to perform work under the Agreement.
C-19. No Third Party Rights.
The parties to this Agreement do not create rights in, or grant remedies to, any third party as a beneficiary
of this Agreement, or of any duty, covenant, obligation, or undertaking established herein.
C-20. [Reserved.]
C-21.Other Assistance.
If federal funding for Planning Costs is made available to the Recipient from sources other than this
Agreement, the Recipient may retain such funding up to an amount which equals the Recipient's local
share of Planning Costs. To the extent allowed by requirements of other funding sources, any funding
received in excess of the Recipient's local share, not to exceed the total amount funded under this
Agreement, shall be remitted to the State Water Board.
C-22.Permits.
The Recipient shall comply in all material respects with all applicable federal, state and local laws, rules
and regulations. Recipient shall procure all permits, licenses and other authorizations necessary to
accomplish the work contemplated in this Agreement, pay all charges and fees, and give all notices
necessary and incidental to the due and lawful prosecution of the work.
C-23.Public Records.
The Recipient acknowledges that, except for a subset of information regarding archaeologicalrecords, the
Planning records and locations are public records, including but not limited to all of the submissions
accompanying the application, all of the documents incorporated by reference into this Agreement, and all
reports, disbursement requests, and supporting documentation submitted hereunder.
C-24. Prevailing Wages.
The Recipient agrees to be bound by all applicable provisions of State Labor Code regarding prevailing
wages. The Recipient shall monitor all agreements subject to reimbursement from this Agreement to
ensure that the prevailing wage provisions of the State Labor Code are being met.
C-25.Professionals.
The Recipient agrees that only professionals with valid licenses in the State of California will be used to
perform services under this Agreement where such services are called for. All technical reports required
pursuant to this Agreement that involve planning, investigation, evaluation, or design, or other word
requiring interpretation and proper application of engineering or geologic sciences shall be prepared by or
under the direction of persons registered to practice in California. All technical reports must contain the
statement of the qualifications of the responsible registered professional(s). Technical reports must bear
the signature(s) and seal(s) of the registered professional(s) in a manner such that all work can be clearly
attributed to the professional responsible for the work.
Item 9.e. - Page 30
Name of Recipient
Agreement No.: XX-XXX-550
Project No.: C-06-XXXX-XXX
C-5
C-26. Public Funding.
This Planning is publicly funded. Any service provider or contractor with which the Recipient contracts
must not have any role or relationship with the Recipient, that, in effect, substantially limits the Recipient's
ability to exercise its rights, including cancellation rights, under the contract, based on all the facts and
circumstances.
C-27. Recipient’s Responsibility for Work.
The Recipient shall be responsible for all work and for persons or entities engaged in work performed
pursuant to this Agreement, including, but not limited to, contractors, subcontractors, suppliers, and
providers of services. The Recipient shall be responsible for any and all disputes arising out of its
contracts for work on the Planning. The State Water Board will not mediate disputes between the
Recipient and any other entity concerning responsibility for performance of work.
C-28. Records.
Without limitation of the requirement to maintain Planning accounts in accordance with GAAP, the
Recipient agrees to:
(c) Establish an official file for the Planning which shall adequately document all significant
actions relative to the Planning;
(d) Establish separate accounts which will adequately and accurately depict all amounts
received and expended on the Planning, including all assistance funds received under this
Agreement;
(e) Establish separate accounts which will adequately depict all income received which is
attributable to the Planning, specifically including any income attributable to assistance
funds disbursed under this Agreement;
(f) Establish an accounting system which will accurately depict final total costs of the
Planning, including both direct and indirect costs;
(g) Establish such accounts and maintain such records as may be necessary for the State to
fulfill federal reporting requirements, including any and all reporting requirements under
federal tax statutes or regulations; and
(h) If Force Account is used by the Recipient for the Planning, accounts will be established
which reasonably document all employee hours charged to the Planning and the
associated tasks performed by each employee. Indirect Force Account costs are not
eligible for funding. Planning Funds may not be used for any indirect costs. “Indirect
Costs” means those costs that are incurred for a common or joint purpose benefiting more
than one cost objective and are not readily assignable to the Planning Project (i.e., costs
that are not directly related to the Planning Project). Examples of Indirect Costs include,
but are not limited to: central service costs; general administration of the Recipient; non-
project-specific accounting and personnel services performed within the Recipient
organization; depreciation or use allowances on buildings and equipment; the costs of
operating and maintaining non-project-specific facilities; tuition and conference fees;
generic overhead or markup; and taxes. Any invoice submitted including Indirect Costs
will cause that invoice, in its entirety, to be disputed and will not be paid until the dispute is
resolved. This prohibition applies to the Recipient and any subcontract or sub-agreement
for work on the Project that will be reimbursed with Planning Funds pursuant to this
Agreement. (Gov. Code, § 16727.)
Item 9.e. - Page 31
Name of Recipient
Agreement No.: XX-XXX-550
Project No.: C-06-XXXX-XXX
C-6
(i) Maintain separate books, records and other material relative to the Planning.
(j) Retain such books, records, and other material for itself and for each contractor or
subcontractor who performed work on this Planning for a minimum of thirty-six (36) years
after Work Completion. The Recipient shall require that such books, records, and other
material be subject at all reasonable times (at a minimum during normal business hours)
to inspection, copying, and audit by the State Water Board, the Bureau of State Audits, the
Internal Revenue Service, the Governor, or any authorized representatives of the
aforementioned, and shall allow interviews during normal business hours of any
employees who might reasonably have information related to such records. The Recipient
agrees to include a similar right regarding audit, interviews, and records retention in any
subcontract related to the performance of this Agreement. The provisions of this section
shall survive the term of this Agreement.
C-29.Related Litigation.
A Recipient is prohibited from using funds from any disbursement under this Agreement to pay costs
associated with any litigation the Recipient pursues. Regardless of whether the Planning or any eventual
project is the subject of litigation, the Recipient agrees to complete the Planning funded by the Agreement
or to repay all Planning Funds plus interest to the State Water Board.
C-30. Rights in Data.
The Recipient 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 Agreement are
subject to the rights of the State as set forth in this section. The State shall have the right to reproduce,
publish, and use all such work, or any part thereof, in any manner and for any purposes whatsoever and
to authorize others to do so. If any such work is copyrightable, the Recipient may copyright the same,
except that, as to any work which is copyrighted by the Recipient, the State reserves a royalty-free,
nonexclusive, and irrevocable license to reproduce, publish, and use such work, or any part thereof, and
to authorize others to do so, and to receive electronic copies from the Recipient upon request.
C-31.State Cross-Cutter Compliance.
Recipient represents and certifies that, to the extent applicable, it is in compliance with the following
conditions precedent and agrees that it will continue to maintain compliance during the term of this
Agreement:
(a) State Water Board’s Drought Emergency Water Conservation regulations.Title 23, article 22.5 of
the California Code of Regulations.. The Recipient will include a discussion of its implementation
in Progress Reportssubmitted pursuant to this Agreement.
(b) California Environmental Quality Act (CEQA). Implementation and construction activities must
comply with CEQA and potentially other environmental review requirements, including the
National Environmental Policy Act (NEPA). Proceeding with work subject to CEQA and/or NEPA
without environmental clearance by the State Water Board shall constitute a breach of a material
provision of this Agreement.
(c) Water Code section 5103, subdivision (e)(2)(A). If Recipient is a water diverter, Recipient must
maintain compliance by submitting monthly diversion reports to the Division of Water Rights of
the State Water Resources Control Board.
(d) Labor Code sections 1725.5 and 1771.1. To bid for public works contracts, Recipient
acknowledges that Recipient and Recipient’s subcontractors must register with the Department of
Industrial Relations.
Item 9.e. - Page 32
Name of Recipient
Agreement No.: XX-XXX-550
Project No.: C-06-XXXX-XXX
C-7
(e) Water Code sections 526 and 527, applicable to an “urban water supplier” as defined by Water
Code section 10617.
(f) Urban Water Management Planning Act (Water Code, § 10610 et seq.).If Recipient is an “urban
water supplier” as defined by Water Code section 10617, the Recipient certifies that it has
submitted an Urban Water Management Plan that has been deemed complete by the Department
of Water Resources and is in compliance with that plan. This shall constitute a condition
precedent to this Agreement.
(g) Urban Water Demand ManagementWater Code section 10631.5, subdivision (a)(1). If Recipient
is an “urban water supplier” as defined by Water Code section 10617, Recipient certifies that it is
implementing water demand management measures approved by the Department of Water
Resources.
(h) Delta Plan Consistency Findings. Water Code section 85225 and California Code of Regulations,
title 23, section 5002.If Recipient is a state or local public agency and the proposed action is
covered by the Delta Plan, Recipient will submit a certification of project consistency with the
Delta Plan to the Delta Stewardship Council prior to undertaking the implementation/construction
project associated with this Planning.
(i) Agricultural Water Management Plan Consistency.Water Code section 10852.
(j) Charter City Project Labor Requirements. Labor Code section 1782 and Public Contract Code
section 2503:
(1) Prevailing Wage
Recipient certifies that no charter provision nor ordinance authorizes a construction
project contractor not to comply with Labor Code’s prevailing wage rate requirements,
nor, within the prior two years (starting from January 1, 2015 or after) has the city
awarded a public works contract without requiring the contractor to comply with such
wage rate requirements according to Labor Code section 1782.
(2) Labor Agreements
Recipient certifies that no charter provision, initiative, or ordinance limits or constrains the
city’s authority or discretion to adopt, require, or utilize project labor agreements that
include all the taxpayer protection antidiscrimination provisions of Public Contract Code
section 2500 in construction projects, and that Recipient is accordingly eligible for state
funding or financial assistance pursuant to Public Contract Code section 2503.
C-32.State Water Board Action; Costs and Attorney Fees.
The Recipient agrees that any remedy provided in this Agreem ent is in addition to and not in derogation
of any other legal or equitable remedy available to the State Water Board as a result of breach of this
Agreement by the Recipient, whether such breach occurs before or after completion of the Planning, and
exercise of any remedy provided by this Agreement by the State Water Board shall not preclude the State
Water Board from pursuing any legal remedy or right which would otherwise be available. In the event of
litigation between the parties hereto arising from this Agreement, it is agreed that each party shall bear its
own costs and attorney fees.
Item 9.e. - Page 33
Name of Recipient
Agreement No.: XX-XXX-550
Project No.: C-06-XXXX-XXX
C-8
C-33.Termination; Immediate Acceleration; Interest.
(a) This Agreement may be terminated at any time prior to the End Date set forth on the cover and in
Exhibit B, at the option of the State Water Board, upon violation by the Recipient of any material
provision of this Agreement after such violation has been called to the attention of the Recipient
and after failure of the Recipient to bring itself into compliance with the provisions of this
Agreement within a reasonable time as established by the Division.
(b) In the event of such termination, the Recipient agrees, upon demand, to immediately repay to the
State Water Board an amount equal to Planning Funds disbursed hereunder, accrued interest,
penalty assessments, and Additional Payments. In the event of termination, interest shall accrue
on all amounts due at the highest legal rate of interest from the date that notice of termination is
mailed to the Recipient to the date all monies due have been received by the State Water Board.
C-34. Timeliness.
Time is of the essence in this Agreement.
C-35. Unenforceable Provision.
In the event that any provision of this Agreement is unenforceable or held to be unenforceable, then the
parties agree that all other provisions of this Agreement have force and effect and shall not be affected
thereby.
C-36. Venue.
The State Water Board and the Recipient hereby agree that any action arising out of this Agreement shall
be filed and maintained in the Superior Court in and for the County of Sacramento, California.
C-37. Waiver and Rights of the State Water Board.
Any waiver of rights by the State Water Board with respect to a default or other matter arising under the
Agreement at any time shall not be considered a waiver of rights with respect to any other default or
matter.
Any rights and remedies of the State Water Board provided for in this Agreement are in addition to any
other rights and remedies provided by law.
Item 9.e. - Page 34
Name of Recipient
Agreement No.: XX-XXX-550
Project No.: C-06-XXXX-XXX
EXHIBIT D — SPECIAL CONDITIONS
Recipient acknowledges and agrees to the following special conditions:
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