Written materials relating to an item on this agenda that are distributed to the legislative bodies within 72 hours before the item is to be considered at its regularly scheduled meeting will be made available for public inspection at the City Clerk’s Office, 300 West Third Street 4th Floor during customary business hours. Agenda reports are also on the City of Oxnard web site at www.oxnard.org.
In compliance with the Americans with Disabilities Act, if you require special assistance to participate in a meeting, please contact the City Clerk’s Office at 385-7803. Notice at least 72 hours prior to the meeting will enable the City to reasonably arrange for your accessibility to the meeting.
Agenda Item Time Estimates include: (Minutes for Presentation + Council Discussion + Public Comment)
AGENDA
OXNARD CITY COUNCIL
FINANCE AND GOVERNANCE COMMITTEE
Council Chambers, 305 West Third Street
November 26, 2024
Regular Meeting - 5:00 to 6:30 PM
Zoom details to call-in for public comment during a meeting:
1. Dial Phone Number: (888) 475-4499
2. Enter Meeting ID: 847 3875 2065
3. Passcode: 197452
If you wish to speak during public comments or a particular item on the agenda, please sign-on by following the zoom call-in steps listed above. Once the presiding officer calls for public speakers, press *9 to raise your hand to inform the City Clerk you would like to speak during the public speaking section for that particular item on the agenda, while in the zoom waiting room. Press *6 when asked to unmute. Listen to the instructions provided virtually on the phone while on hold in the zoom waiting room. Please note that there is a slight time delay when viewing the meeting via television.
IN ACCORDANCE WITH ASSEMBLY BILL 2449, MEMBERS OF THE LEGISLATIVE BODY MAY MEET IN-PERSON OR REMOTELY. TO PARTICIPATE REMOTELY VISIT WWW.OXNARD.ORG.
To find out how you may provide public comment, please refer to the instructions below or at www.https://www.oxnard.org/city-meetings/.
The public may view the meeting from home on Spectrum channel 10, Frontier channel 35, or YouTube at Youtube.com/oxnardnews.
Video recordings of the meeting are typically available online following the meeting at the City’s website at www.oxnard.org/city- meetings.
*Please see the link for the Measure M pre-recorded presentation video for each item listed on this agenda.
YOU MAY PARTICIPATE IN THE MEETING IN THE FOLLOWING WAYS:
1. ATTEND THE MEETING AT THE LOCATION LISTED ABOVE: Submit a speaker card to the City Clerk.
2. EMAIL COMMENTS OR SIGN UP TO SPEAK REMOTELY BEFORE THE MEETING
a. Submit a request to speak remotely by 3 p.m. on the day of the meeting by using the form available at www.oxnard.org/citymeetings.
b. Submit an email to [email protected] by 3 p.m. on the day of the meeting (indicate the agenda item number in the subject line). All email correspondence will be forwarded to the legislative body prior to the start of the meeting and made part of the legislative record.
c. Contact the City Clerk’s Office at (805) 385-7803 to submit your request.
3. PROVIDING PUBLIC COMMENTS REMOTELY DURING THE MEETING
a. Follow Zoom details listed above.
1 OXNARD CITY COUNCIL: FINANCE & GOVERNANCE COMMITTEE
November 26, 2024 - Page 2
b. Public comments on agenda items will be taken following the announcement of the item. After the item is announced, members of the public may register or otherwise be recognized for the purpose of providing public comment.
Please review the Zoom instructions on the registration page to help ensure there are no technical difficulties during your comments and help you understand public comment procedures using Zoom. Detailed participation instructions can be found at www.oxnard.org/city-meetings.
In the event of a disruption which prevents a legislative body of the City of Oxnard from broadcasting a meeting using a call-in option or internet- based service option, or in the event of a disruption within the City’s control which prevents members of the public from offering public comment using the call-in option or internet-based service option, the legislative body shall take no further action on items appearing on a meeting agenda until public access to the meeting via the call-in option or internet-based service option is restored. However, if any of the broadcast options are disrupted, but any of the other broadcast options is still available to the public, the legislative body may take further action on items appearing on a meeting agenda without waiting for the disrupted broadcast option(s) to be restored.
A. ROLL CALL, POSTING OF AGENDA, FLAG SALUTE
Consideration of Teleconference Participation pursuant to Assembly Bill 2449.
B. PUBLIC COMMENTS ON ITEMS NOT ON THE AGENDA
A person may address the legislative body only on matters not appearing on the agenda and within the subject matter jurisdiction of the legislative body. Speaker requests shall be submitted as set forth on the first page of this agenda. Speakers are limited to three minutes. After 30 minutes, if all speakers have not had the opportunity to speak, the remaining speakers will be given an opportunity to speak prior to adjournment of the meeting. The legislative body cannot enter into a detailed discussion or take action on any items presented during public comments at this time. Such items may only be referred to the City Manager/Executive Director/Secretary for administrative action or scheduled on a subsequent agenda for discussion. Persons wishing to speak on public hearing items should do so at the time of the hearing.
C. CONSENT AGENDA
1. City Clerk Department
SUBJECT: Approval of Minutes.
RECOMMENDATION: That the Finance & Governance Committee approve the minutes of the November 12, 2024 regular meeting as presented.
Contact: Rose Chaparro, (805) 385-7805
D. REPORTS
1. City Manager Department
SUBJECT: Accept a grant from the California State Department of Water Resources in the amount of $1,000,000 for the Santa Clara River Levee 3 Construction Project. (10 minutes)
RECOMMENDATION: That the Finance and Governance Committee recommends that the City Council:
1. Adopt a Resolution authorizing the City of Oxnard to enter into Agreement No. 4600015992 with the State of California Department of Water Resources to receive funds for the Santa Clara River Levee Construction Project and authorizing the City Manager or designee to execute the agreement on behalf of the City;
2. Accept a grant from the California State Department of Water Resources in the amount of $1,000,000 for the Santa Clara River Levee Construction Project; and
3. Authorize the City Manager or designee to execute the grant agreement and submit financial reports, grant claims, and approve the necessary budget appropriations for the use of the grant funds.
2 OXNARD CITY COUNCIL: FINANCE & GOVERNANCE COMMITTEE
November 26, 2024 - Page 3
Please click the following link to view the required Measure M pre-recorded presentation video: https://youtu.be/3c1yFKsZDgo
Contact: Alexander Nguyen, (805) 385-7430
E. ITEMS FOR FUTURE AGENDAS
F. ADJOURNMENT
3 FINANCE AND GOVERNANCE COMMITTEE
AGENDA REPORT
CONSENT AGENDA
AGENDA ITEM NO. C.1
DATE: November 26, 2024
TO: Finance & Governance Committee
FROM: Rose Chaparro, City Clerk, (805) 385-7805, [email protected]
SUBJECT: Approval of Minutes.
RECOMMENDATION
That the Finance & Governance Committee approve the minutes of the November 12, 2024 regular meeting as presented.
BACKGROUND
Approval of Minutes.
STRATEGIC PRIORITIES
This agenda item is a routine operational item.
FINANCIAL IMPACT
There is no financial impact.
Prepared by: Rose Chaparro, City Clerk
ATTACHMENTS
1. MINUTES 11 12 2024 Finance & Governance
4 MINUTES
OXNARD CITY COUNCIL
FINANCE AND GOVERNANCE COMMITTEE
Regular Meeting
November 12, 2024
A. ROLL CALL, POSTING OF AGENDA, FLAG SALUTE
At 5:01 p.m., Chair John C. Zaragoza called to order the regular meeting of the Oxnard City Council Finance and Govern ance Committee in the City Hall Council Chambers at 305 W. Third Street, Oxnard, California. The City Clerk called the roll and announced the posting of the a genda. Chair John C. Zaragoza and Member Gabriela Basua were present in person. Member Gabriel (Gabe) Teran participated virtually.
CONSIDERATION OF TELECONFERENCE PARTICIPATION PURSUANT TO ASSEMBLY BILL 2449.
During this meeting, Councilmember Gabriel Teran will be participa ting remotely from the following location: Best Western Kodiak Inn, 236 W. Rezanof Drive, Kodiak, AK 99615.
B. PUBLIC COMMENTS ON ITEMS NOT ON THE AGENDA
Public comments were received from Moshe Levy, G2K Construction , Inc. (Contract No.
PW 20-59 final bill payment due/litigation).
C. CONSENT AGENDA
1. City Clerk Department
SUBJECT: Approval of Minutes.
RECOMMENDATION: That the Finance & Governance Committee approve the minutes of the September 24, 2024 regular meeting as presented.
It was moved by Member Basua, seconde d by Member Teran, to ap prove the Information/Consent item as presented. VOTE: Basua, Teran, and Zaragoza voted in favor; the motion passed 3-0.
D. REPORTS
1. Finance Department
SUBJECT: AB1600 Annual Report for Development Impact and In-Lieu Fees for the fiscal year ending June 30, 2024.
RECOMMENDATION: That the Finance and Governance Committee recommend that the City Council receive and file the AB1600 Annual Report for Development Impact and In-Lieu Fees for the fiscal year ending June 30, 2024. 5 November 12, 2024 OXNARD CITY COUNCIL PAGE 2
FINANCE & GOVERNANCE COMMITTEE
(Presentation will be live upon consultant’s request).
Javier Chagoyen-Lazaro, Chief Financial Officer introduced Connie Fife, Project Manager with Harris & Associates who presented and answered the Committee’s questions. No public comments were received. Discussion ensued among the Committee and staff.
It was moved by Member Basua, seconded by Member Teran, to approve the r ecommended action as presented. VOTE: Basua, Teran, and Zaragoza vot ed in favor; the motion carried 3-0.
E. ITEMS FOR FUTURE AGENDAS (No requests were made.)
F. ADJOURNMENT
There being no further business on the agenda, and without objection, Chair Zaragoza adjourned the meeting at 5:27 p.m.
ROSE CHAPARRO JOHN C. ZARAGOZA
City Clerk Chair
6 FINANCE AND GOVERNANCE COMMITTEE
AGENDA REPORT
REPORTS
AGENDA ITEM NO. D.1
DATE: November 26, 2024
TO: Finance & Governance Committee
FROM: Alexander Nguyen, City Manager, (805) 385-7430, [email protected]
SUBJECT: Accept a grant from the California State Department of Water Resources in the amount of $1,000,000 for the Santa Clara River Levee 3 Construction Project. (10 minutes)
RECOMMENDATION
That the Finance and Governance Committee recommends that the City Council:
1. Adopt a Resolution authorizing the City of Oxnard to enter into Agreement No. 4600015992 with the State of California Department of Water Resources to receive funds for the Santa Clara River Levee Construction Project and authorizing the City Manager or designee to execute the agreement on behalf of the City;
2. Accept a grant from the California State Department of Water Resources in the amount of $1,000,000 for the Santa Clara River Levee Construction Project; and
3. Authorize the City Manager or designee to execute the grant agreement and submit financial reports, grant claims, and approve the necessary budget appropriations for the use of the grant funds.
Please click the following link to view the required Measure M pre-recorded presentation video: https://youtu.be/3c1yFKsZDgo
BACKGROUND
As part of the State of California (State) Fiscal Year 2023-24 budget process, the City, in partnership with Assemblymember Steve Bennett, Assemblymember Jacqui Irwin, and Senator Monique Limón, successfully obtained $1 million in State funding from the State Department of Water Resources (DWR) for the Santa Clara River 3 (SCR-3) Levee Completion project.
SCR-3, divided by four “Reaches,” or segments, is an earthen levee system constructed by the Ventura County Flood Control District, the predecessor agency to Ventura County Watershed Protection District (VCWPD), in the late 1960s. The first three Reaches (1-3), completed in February 2018, extend from the downstream limits of the project at Victoria Ave to the point where Ventura Road begins to parallel the Santa Clara River. Reach 4, which is incomplete and is the subject of this report, extends from this point upstream to the Highway 101 crossing (Attachment 1).
In its current condition, Reach 4 does not meet federally mandated levee certification regulations and is, therefore, not currently certifiable by the Federal Emergency Management Agency (FEMA). Upon completion of the project, the SCR-3 levee will be able to achieve FEMA levee certification. This $1 million contribution will help provide crucial funding for the completion of Reach 4 of SCR-3. 7 Primary Responsible Party
The City will act as a pass-through for the $1 million from the State by entering into a yet-to-be-presented funding agreement to City Council between the City and VCWPD for the construction and completion of Reach 4 of the SCR-3 levee. This funding agreement will outline the terms and conditions of the funding transfer, the responsibilities of each party, and the timeline for the project. VCWPD, as the lead agency, provides for the control and conservation of flood and storm waters and the protection and maintenance of watercourses, watersheds, levees such as SCR-3, and life and property from damage or destruction from storm flows or flooding throughout Ventura County.
Upon completion, Reach 4 of SCR-3 will provide crucial flood protection to nearly 6,400 residents south of the levee system and vital public infrastructure. This infrastructure includes a former cogeneration plant, a municipal golf course, three municipal landfills, a hotel to the west, the Union Pacific Railroad bridge to the east, two elementary schools, and significant transportation arterial corridors in North Oxnard, including West Gonzales Road and Ventura Road. In total, it is estimated that over 3,800 structures would be at risk during a 1% chance flood event. A 1% chance event is when an area has at least a 1% chance of flooding any given year.
Ventura County Board of Supervisors
Progress on completing SCR-3 is continuing. On October 29, 2024, the Ventura County Board of Supervisors approved VCWPD’s plans and specifications for the SCR-3 levee project and awarded a construction contract to complete Reach 4. Staff at VCWPD have estimated that construction will begin by the end of 2024 and last approximately two years.
STRATEGIC PRIORITIES
This agenda item supports the Infrastructure and Natural Resources strategy. The purpose of the Infrastructure and Natural Resources strategy is to preserve and improve our roads, utilities, parks, trees, water supply and natural resources through effective planning, prioritization, and an equitable and efficient use of available funding.
FINANCIAL IMPACT
There is no match requirement. Grant revenue of $1,000,000 will be recognized and appropriated to the State & Local Grant Fund (210); approval of this agreement has no impact on the General Fund.
City staff will return in early 2025 with a funding agreement between the City and VCWPD to transfer the State DWR funding from the City to VCWPD to help fund the SCR-3 construction project.
Prepared by: Adam Smith, Project Manager
ATTACHMENTS
1. SCR-3 Map
2. Resolution - AB102 Authorizing for State Funds
3. Agreement - 4600015992 Oxnard Santa Clara Levee
4. Presentation - DWR Grant for SCR-3
8 9
RESOLUTION NO. _______
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF
OXNARD AUTHORIZING THE CITY OF OXNARD TO
ENTER INTO AN AGREEMENT WITH THE STATE OF
CALIFORNIA DEPARTMENT OF WATER RESOURCES TO
RECEIVE FUNDS FOR THE SANTA CLARA RIVER LEVEE
CONSTRUCTION PROJECT AND AUTHORIZING THE CITY
MANAGER TO EXECUTE THE AGREEMENT ON BEHALF
OF THE CITY OF OXNARD
WHEREAS, the July 2023 Assembly Bill 102 designated $1,000,000 in funding to the City of Oxnard, for its Santa Clara River Levee Construction Project (the “Project”); and WHEREAS, State Senator Monique Limón, Assemblymember Steve Bennett, and Assemblymember Jacqui Irwin led the efforts to allocate the funding that was also supported by the Ventura County Watershed Protection District and Oxnard city staff; WHEREAS, the responsibility for the administration of the fund, including establishing the necessary procedures for disbursement of the fund, to the California Department of Water Resources (“CDWR”); and
WHEREAS, the Water Authority agrees that the funds should be allocated by CDWR to the City of Oxnard; and
WHEREAS, CDWR requires a resolution from the City of Oxnard authorizing the City of Oxnard to enter into an agreement with CDWR to receive funds and to authorize the City Manager to execute the agreement.
NOW, THEREFORE, the City Council of the City of Oxnard does hereby resolve and find as follows:
Authorizes the City of Oxnard to enter into an agreement with the State of California Department of Water Resources to receive $1,000,000 in funding for its Santa Clara River Levee Construction Project and authorizes the City Manager, or designee, to execute the agreement and any amendments thereto; and to submit any required documents, invoices, and reports required to obtain State funds.
(Continued on next page)
10 Resolution No._______
PASSED and ADOPTED this ___ day of _____________ 2024 by the following vote:
______________________________
John C. Zaragoza, Mayor
ATTEST:
_______________________________
Rose Chaparro, City Clerk
I, Rose Chaparro, City Clerk of the City of Oxnard, certify that the vote shown above is correct and this Resolution No. ______ was duly adopted at the meeting of the City Council of the City of Oxnard on the date stated above.
11 FUNDINGAGREEMENTBETWEENTHESTATEOFCALIFORNIA(DEPARTMENTOFWATERRESOURCES) ANDCITYOFOXNARDAGREEMENTNUMBER4600015992 THISFUNDINGAGREEMENTisenteredintobyandbetweentheDepartmentofWaterResourcesoftheStateofCalifornia,hereinreferredtoasthe"State"andtheCityofOxnard,amunicipalcorporation,intheStateofCalifornia,dulyorganized,existing,andactingpursuanttothelawsthereof,hereinreferredtoasthe"FundingRecipient,"whichpartiesdoherebyagreeasfollows:1. PURPOSE.StateshallprovidefundingfromtheBudgetActof2023(Stats.2023,ch.38,§258)toFundingRecipienttoassistinfinancingtheSantaClaraLeveeConstructionProject(Project).2. TERMOFFUNDINGAGREEMENT.ThetermofthisFundingAgreementbeginsonthedatethisFundingAgreementisinitiallyexecutedbytheState,throughFinalProjectCompletionReportplusthree(3)yearsunlessotherwiseterminatedoramendedasprovidedinthisAgreement.3. FUNDINGAMOUNT.ThemaximumamountpayablebytheStateunderthisAgreementshallnotexceed$1,000,000.4. DISBURSEMENTOFFUNDS.StatewilldisbursetoFundingRecipienttheamountapproved,subjecttotheavailabilityoffundsthroughnormalStateprocesses.NotwithstandinganyotherprovisionofthisFundingAgreement,nodisbursementshallberequiredatanytimeorinanymannerwhichisinviolationof,orinconflictwith,federalorstatelaws,rules,orregulations.AnyandallmoneydisbursedtoFundingRecipientunderthisFundingAgreementshallbeusedsolelytopayEligibleProjectCosts.5. ELIGIBLEPROJECTCOST.FundingRecipientshallapplyStatefundsreceivedonlytoEligibleProjectCostsinaccordancewithapplicableprovisionsofthelawandExhibitB.EligibleProjectCostsincludethereasonablecostsofstudies,engineering,design,landandeasementacquisition,legalfees,preparationofenvironmentaldocumentation,environmentalmitigations,monitoring,andprojectconstruction.ReimbursableadministrativeexpensesarethenecessarycostsincidentalbutdirectlyrelatedtotheProjectincludedinthisAgreement. Coststhatarenoteligibleforreimbursementorpaymentincludebutarenotlimitedtothefollowingitems:A. PurchaseofequipmentnotanintegralpartoftheProject.B. PurchaseofwatersupplynotanintegralpartoftheProject.C. Replacementofexistingfundingsourcesforongoingprograms.D. PurchaseoflandinexcessoftheminimumrequiredacreagenecessarytooperateasanintegralpartoftheProject,assetforthanddetailedbyengineeringandfeasibilitystudies.E. CostsincurredaspartofanynecessaryresponseandcleanupactivitiesrequiredundertheComprehensiveEnvironmentalResponse,Compensation,andLiabilityAct;ResourceConservationandRecoveryAct;HazardousSubstancesAccountAct;orotherapplicablelaw.6. METHODOFPAYMENT. StatewilldisbursethewholeofStatefundingtoFundingRecipient. TheFundingRecipientshallsubmitoneormorecertifiedinvoices,transmittedviaelectronic/digitalsignaturesystem(e.g.,DocuSign)or,viaU.S.mailorExpressmaildeliveryofa“wetsignature.”StatewillnotifyFundingRecipient,inatimelymanner,whenever,uponreviewoftheInvoice(s),StatedeterminesthatanyportionorportionsofthecostsclaimedarenoteligiblecostsorisnotsupportedbydocumentationorreceiptsacceptabletoState.FundingRecipientshall,withinthirty(30)calendardaysofthedateofreceiptofsuchnotice,submitadditionaldocumentationtoStatetocuresuchdeficiency(ies).InvoicessubmittedbyFundingRecipientshallincludethefollowinginformation:A. CostsincurredforworkperformedinimplementingtheProjectduringtheperiodidentifiedintheparticularinvoice. 12 FundingAgreement No. 4600015992Page2of 23
B. Costsincurredforanyinterestsinrealproperty(landoreasements)thathavebeennecessarilyacquiredfortheProjectduringtheperiodidentifiedintheparticularinvoicefortheimplementationoftheProject.C. InvoicesshallbesubmittedonformsprovidedbyStateandshallmeetthefollowingformatrequirements:i. Invoicesmustcontainthedateoftheinvoiceandthetimeperiodcoveredbytheinvoice.ii. Invoicesmustbeitemizedbasedonthecategories(i.e.,tasks)specifiedinExhibitB.Theamountclaimedforsalaries/wages/consultantfeesmustincludeacalculationformula(i.e.,hoursordaysworkedtimesthehourlyordailyrate=thetotalamountclaimed).iii. Onesetofsufficientevidence(i.e.,receipts,copiesofchecks,timesheets)mustbeprovidedforallcostsincludedintheinvoice.iv. Eachinvoiceshallclearlydelineatethosecostsincurredduringthattimeperiod.v. Eachinvoiceshallcontainthesignatureanddateviaelectronic/digitalsignaturesystem(e.g.,DocuSign)ofFundingRecipient’sProjectRepresentative.Theinvoiceshallbecertifiedandtransmittedviaelectronic/digitalsignaturesystem(e.g.,DocuSign)or,viaU.S.mailorExpressmaildeliverytotheState’sProjectManager.Allinvoicessubmittedshallbeaccurateandsignedunderpenaltyoflaw. AnyandallcostssubmittedpursuanttothisAgreementshallonlybeforthetaskssetforthherein. TheFundingRecipientshallnotsubmitanyinvoicecontainingcoststhatareineligibleorhavebeenreimbursedfromotherfundingsources.AnyeligiblecostsforwhichtheFundingRecipientisseekingStatefundingpursuanttothisAgreementshallnotbereimbursedfromanyothersource. Doubleormultiplebillingfortime,services,oranyothereligiblecostisillegalandconstitutesfraud. Anysuspectedoccurrencesoffraud,forgery,embezzlement,theft,oranyothermisuseofpublicfundsmayresultinsuspensionofdisbursementsoffundsand/orterminationofthisAgreementrequiringtherepaymentofallfundsdisbursedhereunder. Additionally,theStatemayrequestanauditpursuanttoParagraphD.5andreferthemattertotheAttorneyGeneral’sOfficeortheappropriatedistrictattorney’sofficeforcriminalprosecutionortheimpositionofcivilliability. (Civ.Code,§§1572-1573;Pen.Code,§§470,489-490.)7. DEFAULTPROVISIONS.FundingRecipientwillbeindefaultunderthisFundingAgreementifanyofthefollowingoccur:A. SubstantialbreachesofthisFundingAgreement,oranysupplementoramendmenttoit,oranyotheragreementbetweenFundingRecipientandStateevidencingorsecuringFundingRecipient’sobligations.B. Makinganyfalsewarranty,representation,orstatementwithrespecttothisFundingAgreement.C. FailuretooperateormaintainProjectinaccordancewiththisFundingAgreement.D. FailuretomakeanyremittancerequiredbythisFundingAgreement,includinganyremittancerecommendedastheresultofanauditconductedpursuanttoParagraphD.5.E. Failuretosubmittimelyprogressreports.F. FailuretoroutinelyinvoiceState.G. FailuretomeetanyoftherequirementssetforthinParagraph8,“ContinuingEligibility.”Shouldaneventofdefaultoccur,StateshallprovideanoticeofdefaulttotheFundingRecipientandshallgiveFundingRecipientatleastten(10)calendardaystocurethedefaultfromthedatethenoticeissentviafirst-classmailtotheFundingRecipient.IftheFundingRecipientfailstocurethedefaultwithinthetimeprescribedbytheState,Statemaydoanyofthefollowing:a. Declarethefundingbeimmediatelyrepaidatthetimeofthedefault. 13 FundingAgreement No. 4600015992Page3of 23
b. TerminatetheFundingAgreement.c. Takeanyotheractionthatitdeemsnecessarytoprotectitsinterests.IntheeventStatefindsitnecessarytoenforcethisprovisionofthisFundingAgreementinthemannerprovidedbylaw,FundingRecipientagreestopayallcostsincurredbyStateincluding,butnotlimitedto,reasonableattorneys'fees,legalexpenses,andcosts.8. CONTINUINGELIGIBILITY. FundingRecipientshallmeetthefollowingongoingrequirements(asapplicable)toremaineligibletoreceiveStatefunds:A. AnurbanwatersupplierthatreceivesstatefundspursuanttothisAgreementshallmaintaincompliancewiththeUrbanWaterManagementPlanningAct(UWMP;WaterCode,§10610etseq.)andSustainableWaterUseandDemandReduction(WaterCode,§10608etseq.).B. AnagriculturalwatersupplierreceivingstatefundsshallcomplywithSustainableWaterUseandDemandReductionrequirementsoutlinedinWaterCode§10608,etseq.andhavetheirAgriculturalWaterManagementPlan(AWMP)deemedconsistentbyDWR.C. AsurfacewaterdiverterreceivingstatefundsshallmaintaincompliancewithdiversionreportingrequirementsasoutlinedinPart5.1ofDivision2oftheWaterCode.D. FundingRecipientshallmaintaincontinuingeligibilitywiththecurrentSustainableGroundwaterManagementAct(SGMA,WaterCode§10720etseq.)requirementsastheycomeintoeffect.E. IfFundingRecipientisdesignatedasamonitoringentityundertheCaliforniaStatewideGroundwaterElevationMonitoring(CASGEM)Program,FundingRecipientshallmaintainreportingcompliance,asrequiredbyWaterCode§10932andtheCASGEMProgram.F. FundingRecipientshalladheretotheprotocolsdevelopedpursuanttoTheOpenandTransparentWaterDataAct(Water.Code,§12405,etseq.)fordatasharing,transparency,documentation,andqualitycontrol.G. OnMarch4,2022,theGovernorissuedExecutiveOrderN-6-22(theEO)regardingEconomicSanctionsagainstRussiaandRussianentitiesandindividuals. TheEOmaybefoundat:https://www.gov.ca.gov/wp-content/uploads/2022/03/3.4.22-Russia-Ukraine-Executive-Order.pdf.“EconomicSanctions”referstosanctionsimposedbytheU.S.governmentinresponsetoRussia’sactionsinUkraine,aswellasanysanctionsimposedunderStatelaw. TheEOdirectsDWRtoterminatefundingagreementswith,andtorefrainfromenteringanynewagreementswith,individualsorentitiesthataredeterminedtobeatargetofEconomicSanctions. Accordingly,shouldtheStatedeterminethattheFundingRecipientisatargetofEconomicSanctionsorisconductingprohibitedtransactionswithsanctionedindividualsorentities,thatshallbegroundsforterminationofthisAgreement. TheStateshallprovidetheFundingRecipientadvancewrittennoticeofsuchtermination,allowingtheFundingRecipientatleast30calendardaystoprovideawrittenresponse. TerminationshallbeatthesolediscretionoftheState.9. SUBMISSIONOFREPORTS.ThesubmittalandapprovalofallreportsisarequirementforthesuccessfulcompletionofthisFundingAgreement.Reportsshallmeetgenerallyacceptedprofessionalstandardsfortechnicalreportingandshallbeproofreadforcontent,numericalaccuracy,spelling,andgrammarpriortosubmittaltoState.AllreportsshallbesubmittedtotheState’sProjectManager,andshallbesubmittedviaDWR’s“GrantsReviewandTrackingSystem”(GRanTS)orviae-mail.Ifrequested,FundingRecipientshallpromptlyprovideanyadditionalinformationdeemednecessarybyStatefortheapprovalofreports.ReportsshallbepresentedintheformatsdescribedintheapplicableportionofExhibitF.ThetimelysubmittalofreportsisarequirementforinitialandcontinueddisbursementofStatefunds.A. AnnualProgressReports:FundingRecipientshallsubmitAnnualProgressReportstomeettheState’srequirementfordisbursementoffunds.AnnualProgressReportsshallbeuploadedviaGRanTS,andtheState’sProjectManagernotifiedofupload,ororviae-mailtotheState’sProjectManager.Annual 14 FundingAgreement No. 4600015992Page4of 23
ProgressReportsshall,ataminimum,provideabriefdescriptionoftheworkperformed,FundingRecipientsactivities,milestonesachieved,anyaccomplishmentsandanyproblemsencounteredintheperformanceoftheworkunderthisFundingAgreementduringthereportingperiod.ThefirstAnnualProgressReportshouldbesubmittedtotheStatenolaterthanoneyearaftertheexecutionoftheAgreementwithfuturereportsthendueonsuccessiveyearincrementsbasedonthefirstAnnualProgressReportsubmittaldate,withtheexceptionofthefinalAnnualProgressReportwhichmayalsoserveastheProjectCompletionReportandcanextendbeyondayear-longincrementtoaccountforProjectcloseoutinformation.B. ProjectCompletionReport:FundingRecipientshallprepareandsubmittoStateaProjectCompletionReport,eitherseparatelyoraspartofthefinalAnnualProgressReport.FundingRecipientshallsubmittheProjectCompletionReportwithinninety(90)calendardaysofProjectcompletion.TheProjectCompletionReportshallinclude,inpart,adescriptionofactualworkdone,anychangesoramendmentstotheProject,andafinalscheduleshowingactualprogressversusplannedprogress,andcopiesofanyfinaldocumentsorreportsgeneratedorutilizedduringtheProject.10.NOTIFICATIONOFSTATE.FundingRecipientshallpromptlynotifyState,inwriting,ofthefollowingitems:A. Eventsorproposedchangesthatcouldaffectthescope,budget,orworkperformedunderthisFundingAgreement.FundingRecipientagreesthatnosubstantialchangeinthescopeoftheProjectwillbeundertakenuntilwrittennoticeoftheproposedchangehasbeenprovidedtoStateandStatehasgivenwrittenapprovalforsuchchange.Substantialchangesgenerallyincludechangestothescopeofwork,scheduleorterm,andbudget.B. Discoveryofanypotentialarchaeologicalorhistoricalresource. Shouldapotentialarchaeologicalorhistoricalresourcebediscoveredduringconstruction,theFundingRecipientagreesthatallworkintheareaofthefindwillceaseuntilaqualifiedarchaeologisthasevaluatedthesituationandmaderecommendationsregardingpreservationoftheresource,andtheStatehasdeterminedwhatactionsshouldbetakentoprotectandpreservetheresource. TheFundingRecipientagreestoimplementappropriateactionsasdirectedbytheState.C. TheinitiationofanylitigationorthethreatoflitigationagainsttheFundingRecipientregardingtheProjectorthatmayaffecttheProjectinanyway.11.NOTICES.Anynotice,demand,request,consent,orapprovalthateitherpartydesiresorisrequiredtogivetotheotherpartyunderthisFundingAgreementshallbeinwriting.A. Noticesmaybetransmittedbyanyofthefollowingmeans:i. Bydeliveryinperson.ii. BycertifiedU.S.mail,returnreceiptrequested,postageprepaid.iii. By“overnight”deliveryservice;providedthatnext-business-daydeliveryisrequestedbythesender.iv. Byelectronicmeans.B.Noticesdeliveredinpersonwillbedeemedeffectiveimmediatelyonreceipt(orrefusalofdeliveryorreceipt).Noticessentbycertifiedmailwillbedeemedeffectivegiventen(10)calendardaysafterthedatedepositedwiththeU.S.PostalService.Noticessentbyovernightdeliveryservicewillbedeemedeffectiveonebusinessdayafterthedatedepositedwiththedeliveryservice.Noticessentelectronicallywillbeeffectiveonthedateoftransmission,whichisdocumentedinwriting.Noticesshallbesenttothebelowaddresses.Eitherpartymay,bywrittennoticetotheother,designateadifferentaddressthatshallbesubstitutedfortheonebelow. 15 FundingAgreement No. 4600015992Page5of 23
12.PROJECTREPRESENTATIVES.TheProjectRepresentativesduringthetermofthisFundingAgreementareasfollows:DepartmentofWaterResourcesArthurHinojosaManager,DivisionofRegionalAssistanceP.O.Box942836Sacramento,CA94236-0001Phone:916-902-6713Email:[email protected] CityofOxnardAlexanderNguyenCityManager300WThirdSt,4
th
FloorPhone:805-385-8017Email:[email protected] DirectallinquiriestotheProjectManager:DepartmentofWaterResourcesTedDaumSeniorEnvironmentalScientistP.O.Box942836Sacramento,[email protected] CityofOxnardAdamSmithProjectManager300WThirdSt,4thFloorPhone:805-385-3918Email:[email protected] EitherpartymaychangeitsProjectRepresentativeorProjectManageruponwrittennoticetotheotherparty.13.STANDARDPROVISIONSANDINTEGRATION.ThisFundingAgreementiscompleteandisthefinalAgreementbetweentheparties. ThefollowingExhibitsareattachedandmadeapartofthisFundingAgreementbythisreference:ExhibitA–WorkPlanExhibitB–BudgetExhibitC–ScheduleExhibitD–StandardConditionsExhibitE–AuthorizingResolutionExhibitF–ReportFormatsandRequirementsExhibitG–StateAuditDocumentRequirementsforFundingRecipients 16 FundingAgreement No. 4600015992Page6of 23
INWITNESSWHEREOF,thepartiesheretohaveexecutedthisFundingAgreement.
STATEOFCALIFORNIADEPARTMENTOFWATERRESOURCES
______________________________ArthurHinojosaManager,DivisionofRegionalAssistanceDate__________________________
CITYOFOXNARD
______________________________AlexanderNguyenCityManagerDate__________________________ ApprovedastoLegalFormandSufficiency
______________________________RobinBrewer,AssistantGeneralCounselOfficeoftheGeneralCounselDate__________________________ ApprovedastoLegalFormandSufficiency
______________________________StephenFischerCityAttorneyDate__________________________ 17 FundingAgreement No. 4600015992Page7of 23
EXHIBITAWORKPLAN
PROJECT:SantaClaraLeveeConstructionIMPLEMENTINGAGENCY:CityofOxnardPROJECTDESCRIPTION:TheProjectisPhase2ofatwo-phaseproject.Phase1wascompletedinFebruary2018.TheProjectentailstheconstructionofapproximately1,860feetoffloodwallparalleltotheSantaClaraRiverandVenturaRoad,approximately360feetofearthenleveeembankmentdividedbetweenthewestandeastends,and120feetofafloodbreakbarriergatesystemacrossVenturaRoadwherethefloodwallalignmentchangesfromthenorthsideoftheroadtothesouthsidealongresidentialproperties.ThisnewleveeconstructionwilltieintotherecentlycompletedPhase1leveesectionstothewest.TheProjectleveeandfloodwallsystemwillcomplywithFEMA'sfreeboardrequirementsandregulations(44CFR65.10)andprovideprotectionfromthe1%annualchanceoffloodforresidential,commercial,andindustrialpropertiesandcriticalregionalandlocalpublicinfrastructure.Budget CategoryA: AdministrationTaskA.1:AgreementAdministrationTheFundingRecipientwillrespondtoDWR’sreportingandcompliancerequirementsassociatedwiththeagreementadministrationandwillcoordinatewiththeProjectmanagersresponsibleforimplementingtheProject.TheFundingRecipientwillberesponsibleforcompilinginvoicesforsubmittaltoDWR.Deliverables● AnnualInvoicesandassociatedbackupdocumentationTaskA.2:ReportingTheFundingRecipientwillberesponsibleforcompilingprogressreportsforsubmittaltoDWR.TheFundingRecipientmayretainconsultantsasneededtoprepareandsubmitprogressreportsandfinalprojectcompletionreport,aswellasthefundingagreementcompletionreport.ReportswillmeetgenerallyacceptedprofessionalstandardsfortechnicalreportingandtherequirementstermsofthecontractwithDWRoutlinedinExhibitFofthisAgreement.Deliverables● Documentation(e.g.,photo)of"AcknowledgmentofCredit"perStandardConditionD.2● AnnualProgressReports● FinalFundingAgreementCompletionReportBudget CategoryB: PermittingandEnvironmental DocumentationAllpermittingandenvironmentaldocumentationhasbeencompleted.Deliverables● MemorandumidentifyingCEQAcomplianceandenvironmentalpermitsfortheProject.● Copiesofpermitsasrequired.Budget CategoryC: PlanningandDesignAllplanninganddesigndocumentsnecessarytopermit,releasebiddocuments,andawardconstructioncontract,havebeencompleted.
DeliverablesNotApplicable
18 FundingAgreement No. 4600015992Page8of 23
Budget CategoryD: ConstructionThistaskincludesallactivitiesnecessarytoconstructtheProject.TaskD.1:ContractAdministrationThistaskmustcomplywiththeStandardConditionD.10-CompetitiveBiddingandProcurements,asapplicable.Activitiesnecessary(asapplicable)tosecureacontractorandawardthecontract,including:developbiddocuments,prepareadvertisementandcontractdocumentsforconstructioncontractbidding,conductpre-bidmeeting,bidopeningandevaluation,selectionofthecontractor,awardofcontract,andissuanceofnoticetoproceed.Constructionadministrationincludingprojectschedulecoordination,developmentofinvoices,budgetmanagement,trackingofexpendituresandreporting.Deliverables:● BidDocuments● ProofofAdvertisement● AwardofContract● ConstructionContract● NoticetoProceedTaskD.2.ConstructionItisintheFundingRecipient’sdiscretiontodeterminewhichactivitiesaretobefundedundertheFundingAgreement.Thefollowingisabriefdescriptionofconstructionactivities.Asspecificdetailsbecomeavailable,theAgreementwillbeamendedtoreflectthespecificactivitiesunderTaskD.2.TheProjectwillextendwestfromtheUnionPacificRailroadBridgefor0.46miles,consistsofconstructingapproximately1,860feetoffloodwallparalleltotheRiverandVenturaRoad,approximately360feetofearthenleveeembankmentdividedbetweenthewestandeastends,and120feetofaFloodBreakbarriergatesystemacrossVenturaRoadwherethefloodwallalignmentchangesfromthenorthsideoftheroadtothesouthsidealongtheresidentialproperties.ThewestextentoftheReach4earthenleveeembankmenttiesintotherecentlycompletedReaches1-3neartheRiverRidgeGolfCourse.Deliverables● Engineer’sprojectcompletioncertificate● Projectprogressandcompletionpictures● As-builts,asappropriate 19 FundingAgreement No. 4600015992Page9of 23
EXHIBITBBUDGET
PROJECT:SantaClaraLeveeConstruction
Budget Category StateFunds AgencyCost
Total ProjectCostA: Administration $0 $10,000 $10,000B: PermittingandEnvironmentalDocumentation N/A N/A N/AC: PlanningandDesign N/A N/A N/AD: Construction $1,000,000 $0 $1,000,000Total $1,000,000 $10,000 $1,010,000 20 FundingAgreement No. 4600015992Page10of 23
EXHIBITCSCHEDULE
PROJECT:SantaClaraLeveeConstruction
DESCRIPTION START FINISHA: Administration October1,2024 March31,2027B: PermittingandEnvironmental Documentation N/A N/AC: PlanningandDesign N/A N/AD: Construction January6,2025 January31,2027 21 FundingAgreement No. 4600015992Page11of 23
EXHIBITDSTANDARDCONDITIONS
D.1. ACCOUNTINGANDDEPOSITOFFUNDINGDISBURSEMENT:A. SeparateAccountingofFundingDisbursements:FundingRecipientshallaccountforthemoneydisbursedpursuanttothisFundingAgreementseparatelyfromallotherFundingRecipientfunds.FundingRecipientshallmaintainauditandaccountingproceduresthatareinaccordancewithgenerallyacceptedaccountingprinciplesandpractices,consistentlyapplied.FundingRecipientshallkeepcompleteandaccuraterecordsofallreceipts,disbursements,andanyinterestearnedonexpendituresofsuchfunds.FundingRecipientshallrequireitscontractorsorsubcontractorstomaintainbooks,records,andotherdocumentspertinenttotheirworkinaccordancewithgenerallyacceptedaccountingprinciplesandpractices.RecordsaresubjecttoinspectionbyStateatanyandallreasonabletimes.B. DispositionofMoneyDisbursed:AllmoneydisbursedpursuanttothisFundingAgreementshallbedepositedinaseparateaccount,administered,andaccountedforpursuanttotheprovisionsofapplicablelaw.D.2. ACKNOWLEDGEMENTOFCREDITANDSIGNAGE:FundingRecipientshallincludeappropriateacknowledgementofcredittotheStateforitssupportwhenpromotingtheProjectorusinganydataand/orinformationdevelopedunderthisFundingAgreement.SignageshallbepostedinaprominentlocationatProjectsite(s)(ifapplicable)orattheFundingRecipient’sheadquartersandshallincludetheDepartmentofWaterResourcescolorlogoandthefollowingdisclosurestatement:“Fundingforthisprojecthasbeenprovidedinfullorinpart fromtheCaliforniaStateBudget Act of2023andthroughanagreementwiththeStateDepartmentofWaterResources.” TheFundingRecipientshallalsoincludeineachofitscontractsforworkunderthisAgreementaprovisionthatincorporatestherequirementsstatedwithinthisParagraph.D.3. AMENDMENT:ThisFundingAgreementmaybeamendedatanytimebymutualagreementoftheParties,exceptinsofarasanyproposedamendmentsareinanywaycontrarytoapplicablelaw.RequestsbytheFundingRecipientforamendmentsmustbeinwritingstatingtheamendmentrequestandthereasonfortherequest.D.4. AMERICANSWITHDISABILITIESACT:BysigningthisFundingAgreement,FundingRecipientassuresStatethatitcomplieswiththeAmericanswithDisabilitiesAct(ADA)of1990,(42U.S.C.§12101etseq.),whichprohibitsdiscriminationonthebasisofdisability,aswellasallapplicableregulationsandguidelinesissuedpursuanttotheADA.D.5. AUDITS:StatereservestherighttoconductanauditatanytimebetweentheexecutionofthisFundingAgreementandthecompletionoftheProject,withthecostsofsuchauditbornebyState.AftercompletionoftheProject,StatemayrequireFundingRecipienttoconductafinalaudittoState’sspecifications,atFundingRecipient’sexpense,suchaudittobeconductedbyandareportpreparedbyanindependentCertifiedPublicAccountant.FailureorrefusalbyFundingRecipienttocomplywiththisprovisionshallbeconsideredabreachofthisFundingAgreement,andStatemayelecttopursueanyremediesprovidedinParagraph7ortakeanyotheractionitdeemsnecessarytoprotectitsinterests.TheFundingRecipientagreesitshallreturnanyauditdisallowancestotheState.PursuanttoGovernmentCodesection8546.7,theFundingRecipientshallbesubjecttotheexaminationandauditbytheStateforaperiodofthree(3)yearsafterfinalpaymentunderthisFundingAgreementwithrespectofallmattersconnectedwiththisFundingAgreement,includingbutnotlimitedto,thecostofadministeringthisFundingAgreement. AllrecordsofFundingRecipientoritscontractororsubcontractorsshallbepreservedforthispurposeforatleastthree(3)yearsafterreceiptofthefinaldisbursementunderthisAgreement. 22 FundingAgreement No. 4600015992Page12of 23
D.6. BUDGETCONTINGENCY:IftheBudgetActofthecurrentyearcoveredunderthisFundingAgreementdoesnotappropriatesufficientfundsforthisprogram,thisFundingAgreementshallbeofnoforceandeffect.ThisprovisionshallbeconstruedasaconditionprecedenttotheobligationofStatetomakeanypaymentsunderthisFundingAgreement.Inthisevent,StateshallhavenoliabilitytopayanyfundswhatsoevertoFundingRecipientortofurnishanyotherconsiderationsunderthisFundingAgreementandFundingRecipientshallnotbeobligatedtoperformanyprovisionsofthisFundingAgreement.NothinginthisFundingAgreementshallbeconstruedtoprovideFundingRecipientwitharightofpriorityforpaymentoveranyotherFundingRecipient.IffundingforanyfiscalyearafterthecurrentyearcoveredbythisFundingAgreementisreducedordeletedbytheBudgetAct,byExecutiveOrder,orbyorderoftheDepartmentofFinance,theStateshallhavetheoptiontoeithercancelthisFundingAgreementwithnoliabilityoccurringtotheState,orofferaFundingAgreementamendmenttoFundingRecipienttoreflectthereducedamount.D.7. CEQA:ActivitiesfundedunderthisFundingAgreement,regardlessoffundingsource,mustbeincompliancewiththeCaliforniaEnvironmentalQualityAct(CEQA).(Pub.ResourcesCode,§21000etseq.) WorkfundedunderthisAgreementthatissubjecttoaCEQAdocumentshallnotproceeduntilandunlessapprovedbytheDepartmentofWaterResources. Suchapprovalisfullydiscretionaryandshallconstituteaconditionprecedenttoanyworkforwhichitisrequired. IfCEQAcompliancebytheFundingRecipientisnotcompleteatthetimetheStatesignsthisAgreement,onceStatehasconsideredtheenvironmentaldocuments,itmaydecidetorequirechanges,alterations,orothermitigationtotheProject. ShouldtheStatedecidetonotfundtheProject,thisAgreementshallbeterminatedinaccordancewithParagraph7.D.8. CHILDSUPPORTCOMPLIANCEACT:TheFundingRecipientacknowledgesinaccordancewithPublicContractCodesection7110,that:A. TheFundingRecipientrecognizestheimportanceofchildandfamilysupportobligationsandshallfullycomplywithallapplicablestateandfederallawsrelatingtochildandfamilysupportenforcement,including,butnotlimitedto,disclosureofinformationandcompliancewithearningsassignmentorders,asprovidedinFamilyCodesection5200etseq.;andB. TheFundingRecipient,tothebestofitsknowledgeisfullycomplyingwiththeearningsassignmentordersofallemployeesandisprovidingthenamesofallnewemployeestotheNewHireRegistrymaintainedbytheCaliforniaEmploymentDevelopmentDepartment.D.9. CLAIMSDISPUTE:AnyclaimthattheFundingRecipientmayhaveregardingperformanceofthisAgreementincluding,butnotlimitedto,claimsforadditionalcompensationorextensionoftime,shallbesubmittedtotheDWRProjectRepresentative,withinthirty(30)daysoftheFundingRecipient’sknowledgeoftheclaim.StateandFundingRecipientshallthenattempttonegotiatearesolutionofsuchclaimandprocessanamendmenttothisAgreementtoimplementthetermsofanysuchresolution.D.10. COMPETITIVEBIDDINGANDPROCUREMENTS:FundingRecipient’scontractswithotherentitiesfortheacquisitionofgoodsandservicesandconstructionofpublicworkswithfundsprovidedbyStateunderthisFundingAgreementmustbeinwritingandshallcomplywithallapplicablelawsandregulationsregardingthesecuringofcompetitivebidsandundertakingcompetitivenegotiations. IftheFundingRecipientdoesnothaveawrittenpolicytoawardcontractsthroughacompetitivebiddingorsolesourceprocess,theDepartmentofGeneralServices’ StateContractingManualrulesmustbefollowedandareavailableat:https://www.dgs.ca.gov/OLS/Resources/Page-Content/Office-of-Legal-Services-Resources-List-Folder/State-Contracting.D.11. COMPUTERSOFTWARE:FundingRecipientcertifiesthatithasappropriatesystemsandcontrolsinplacetoensurethatstatefundswillnotbeusedintheperformanceofthisFundingAgreementfortheacquisition,operation,ormaintenanceofcomputersoftwareinviolationofcopyrightlaws. 23 FundingAgreement No. 4600015992Page13of 23
D.12. CONFLICTOFINTEREST:AllparticipantsaresubjecttoStateandFederalconflictofinterestlaws.Failuretocomplywiththeselaws,includingbusinessandfinancialdisclosureprovisions,willresultintheapplicationbeingrejectedandanysubsequentcontractbeingdeclaredvoid.Otherlegalactionmayalsobetaken.Applicablestatutesinclude,butarenotlimitedto,GovernmentCodesection1090andPublicContractCodesections10410and10411,forStateconflictofinterestrequirements.A. CurrentStateEmployees:NoStateofficeroremployeeshallengageinanyemployment,activity,orenterprisefromwhichtheofficeroremployeereceivescompensationorhasafinancialinterestandwhichissponsoredorfundedbyanyStateagency,unlesstheemployment,activity,orenterpriseisrequiredasaconditionofregularStateemployment.NoStateofficeroremployeeshallcontractonhisorherownbehalfasanindependentcontractorwithanyStateagencytoprovidegoodsorservices.B. FormerStateEmployees:Forthetwo-yearperiodfromthedateheorsheleftStateemployment,noformerStateofficeroremployeemayenterintoacontractinwhichheorsheengagedinanyofthenegotiations,transactions,planning,arrangements,oranypartofthedecision-makingprocessrelevanttothecontractwhileemployedinanycapacitybyanyStateagency.Forthetwelve-monthperiodfromthedateheorsheleftStateemployment,noformerStateofficeroremployeemayenterintoacontractwithanyStateagencyifheorshewasemployedbythatStateagencyinapolicy-makingpositioninthesamegeneralsubjectareaastheproposedcontractwithinthetwelve-monthperiodpriortohisorherleavingStateservice.C. EmployeesoftheFundingRecipient:EmployeesoftheFundingRecipientshallcomplywithallapplicableprovisionsoflawpertainingtoconflictsofinterest,includingbutnotlimitedtoanyapplicableconflictofinterestprovisionsoftheCaliforniaPoliticalReformAct.(Gov.Code,§87100etseq.)D. EmployeesandConsultantstotheFundingRecipient:IndividualsworkingonbehalfofaFundingRecipientmayberequiredbytheDepartmenttofileaStatementofEconomicInterests(FairPoliticalPracticesCommissionForm700)ifitisdeterminedthatanindividualisaconsultantforPoliticalReformActpurposes.D.13. DELIVERYOFINFORMATION,REPORTS,ANDDATA:FundingRecipientagreestoexpeditiouslyprovidethroughoutthetermofthisFundingAgreement,suchreports,data,information,andcertificationsasmaybereasonablyrequiredbyState.D.14. DISPOSITIONOFEQUIPMENT:FundingRecipientshallprovidetoState,notlessthan30calendardayspriortosubmissionofthefinalinvoice,anitemizedinventoryofequipmentpurchasedwithfundsprovidedbyState.Theinventoryshallincludeallitemswithacurrentestimatedfairmarketvalueofmorethan$5,000.00peritem.Within60calendardaysofreceiptofsuchinventoryStateshallprovideFundingRecipientwithalistoftheitemsontheinventorythatStatewilltaketitleto.AllotheritemsshallbecomethepropertyofFundingRecipient.StateshallarrangefordeliveryfromFundingRecipientofitemsthatittakestitleto.Costoftransportation,ifany,shallbebornebyState.D.15. DRUG-FREEWORKPLACECERTIFICATION:CertificationofCompliance:BysigningthisFundingAgreement,FundingRecipient,itscontractorsorsubcontractorsherebycertify,underpenaltyofperjuryunderthelawsofStateofCalifornia,compliancewiththerequirementsoftheDrug-FreeWorkplaceActof1990(Gov.Code,§8350etseq.)andhaveorwillprovideadrug-freeworkplacebytakingthefollowingactions:A. Publishastatementnotifyingemployees,contractors,andsubcontractorsthatunlawfulmanufacture,distribution,dispensation,possession,oruseofacontrolledsubstanceisprohibitedandspecifyingactionstobetakenagainstemployees,contractors,orsubcontractorsforviolations,asrequiredbyGovernmentCodesection8355.B. EstablishaDrug-FreeAwarenessProgram,asrequiredbyGovernmentCodesection8355toinformemployees,contractors,orsubcontractorsaboutallofthefollowing:
24 FundingAgreement No. 4600015992Page14of 23
i. Thedangersofdrugabuseintheworkplace,ii. FundingRecipient’spolicyofmaintainingadrug-freeworkplace,iii. Anyavailablecounseling,rehabilitation,andemployeeassistanceprograms,andiv. Penaltiesthatmaybeimposeduponemployees,contractors,andsubcontractorsfordrugabuseviolations.C. Provide,asrequiredbyGovernmentCodesection8355,thateveryemployee,contractor,and/orsubcontractorwhoworksunderthisFundingAgreement:i. WillreceiveacopyofFundingRecipient’sdrug-freepolicystatement,andii. WillagreetoabidebytermsofFundingRecipient’sconditionofemployment,contractorsubcontract.D.16. EASEMENTS:WheretheFundingRecipientacquirespropertyinfeetitleorfundsimprovementstorealpropertyalreadyownedinfeebytheFundingRecipientorimprovedusingStatefundsprovidedthroughthisFundingAgreement,anappropriateeasementorothertitlerestrictionprovidingforfloodplainpreservationandagriculturaland/orwildlifehabitatconservationforthesubjectpropertyinperpetuity,approvedbytheState,shallbeconveyedtoaregulatoryortrusteeagencyorconservationgroupacceptabletotheState.TheeasementorothertitlerestrictionmustbeinfirstpositionaheadofanyrecordedmortgageorlienonthepropertyunlessthisrequirementiswaivedbytheState.WheretheFundingRecipientacquiresaneasementunderthisAgreement,theFundingRecipientagreestomonitorandenforcethetermsoftheeasement,unlesstheeasementissubsequentlytransferredtoanotherlandmanagementorconservationorganizationorentitywithStatepermission,atwhichtimemonitoringandenforcementresponsibilitieswilltransfertotheneweasementowner.FailuretoprovideaneasementacceptabletotheStatemayresultinterminationofthisAgreement.D.17. FUNDINGRECIPIENT'SRESPONSIBILITIES:FundingRecipientanditsrepresentativesshall:A. FaithfullyandexpeditiouslyperformorcausetobeperformedallprojectworkasdescribedinExhibitA(WorkPlan)andinaccordancewithProjectExhibitB(Budget)andExhibitC(Schedule).B. Acceptandagreetocomplywithallterms,provisions,conditions,andwrittencommitmentsofthisFundingAgreement,includingallincorporateddocuments,andtofulfillallassurances,declarations,representations,andstatementsmadebyFundingRecipientintheapplication,documents,amendments,andcommunicationsfiledinsupportofitsrequestforfunding.C. ComplywithallapplicableCalifornia,federal,andlocallawsandregulations.D. ImplementtheProjectinaccordancewithapplicableprovisionsofthelaw.E. FulfillitsobligationsundertheFundingAgreementandberesponsiblefortheperformanceoftheProject.F. Obtainanyandallpermits,licenses,andapprovalsrequiredforperforminganyworkunderthisFundingAgreement,includingthosenecessarytoperformdesign,construction,oroperationandmaintenanceoftheProject.FundingRecipientshallprovidecopiesofpermitsandapprovalstoState.G. Besolelyresponsiblefordesign,construction,andoperationandmaintenanceoftheProjectwithintheworkplan.Revieworapprovalofplans,specifications,biddocuments,orotherconstructiondocumentsbyStateissolelyforthepurposeofproperadministrationoffundsbyStateandshallnotbedeemedtorelieveorrestrictresponsibilitiesofFundingRecipientunderthisAgreement.H. BesolelyresponsibleforallworkandforpersonsorentitiesengagedinworkperformedpursuanttothisAgreement,including,butnotlimitedto,contractors,subcontractors,suppliers,andprovidersofservices. TheFundingRecipientshallberesponsibleforanyandalldisputesarisingoutofits 25 FundingAgreement No. 4600015992Page15of 23
contractsforworkontheProject,includingbutnotlimitedtopaymentdisputeswithcontractorsandsubcontractors. TheStatewillnotmediatedisputesbetweentheFundingRecipientandanyotherentityconcerningresponsibilityforperformanceofwork.D.18. GOVERNINGLAW:ThisFundingAgreementisgovernedbyandshallbeinterpretedinaccordancewiththelawsoftheStateofCalifornia.D.19. INDEMNIFICATION:FundingRecipientshallindemnifyandholdandsavetheState,itsofficers,agents,andemployees,freeandharmlessfromanyandallliabilitiesforanyclaimsanddamages(includinginversecondemnation)thatmayariseoutoftheProjectandthisAgreement,including,butnotlimitedtoanyclaimsordamagesarisingfromplanning,design,construction,maintenanceand/oroperationofleveerehabilitationmeasuresforthisProjectandanybreachofthisAgreement.FundingRecipientshallrequireitscontractorsorsubcontractorstonametheState,itsofficers,agentsandemployeesasadditionalinsuredsontheirliabilityinsuranceforactivitiesundertakenpursuanttothisAgreement.D.20. INDEPENDENTCAPACITY:FundingRecipient,andtheagentsandemployeesofFundingRecipients,intheperformanceoftheFundingAgreement,shallactinanindependentcapacityandnotasofficers,employees,oragentsoftheState.D.21. INSPECTIONOFBOOKS,RECORDS,ANDREPORTS:Duringregularofficehours,eachofthepartiesheretoandtheirdulyauthorizedrepresentativesshallhavetherighttoinspectandtomakecopiesofanybooks,records,orreportsofeitherpartypertainingtothisFundingAgreementormattersrelatedhereto.Eachofthepartiesheretoshallmaintainandshallmakeavailableatalltimesforsuchinspectionaccuraterecordsofallitscosts,disbursements,andreceiptswithrespecttoitsactivitiesunderthisFundingAgreement.FailureorrefusalbyFundingRecipienttocomplywiththisprovisionshallbeconsideredabreachofthisFundingAgreement,andStatemaywithholddisbursementstoFundingRecipientortakeanyotheractionitdeemsnecessarytoprotectitsinterests.D.22. INSPECTIONSOFPROJECTBYSTATE:StateshallhavetherighttoinspecttheworkbeingperformedatanyandallreasonabletimesduringthetermoftheFundingAgreement.Thisrightshallextendtoanysubcontracts,andFundingRecipientshallincludeprovisionsensuringsuchaccessinallitscontractsorsubcontractsenteredintopursuanttoitsFundingAgreementwithState.D.23. LABORCODECOMPLIANCE:TheFundingRecipientagreestobeboundbyalltheprovisionsoftheLaborCoderegardingprevailingwagesandshallmonitorallcontractssubjecttopaymentfromthisAgreementtoassurethattheprevailingwageprovisionsoftheLaborCodearebeingmet. CurrentDepartmentofIndustrialRelations(DIR)requirementsmaybefoundat:http://www.dir.ca.gov/lcp.asp.Formoreinformation,pleaserefertoDIR’sPublicWorksManualat:http://www.dir.ca.gov/dlse/PWManualCombined.pdf. TheFundingRecipientaffirmsthatitisawareoftheprovisionsofsection3700oftheLaborCode,whichrequireseveryemployertobeinsuredagainstliabilityforworkers’compensationortoundertakeself-insurance,andtheFundingRecipientaffirmsthatitwillcomplywithsuchprovisionsbeforecommencingtheperformanceoftheworkunderthisAgreementandwillmakeitscontractorsandsubcontractorsawareofthisprovision.D.24. MODIFICATIONOFOVERALLWORKPLAN:AttherequestoftheFundingRecipient,theStatemayatitssolediscretionapprovenon-materialchangestotheportionsofExhibitsA,B,andCwhichconcernthebudgetandschedulewithoutformallyamendingthisFundingAgreement.Non-materialchangeswithrespecttothebudgetarechangesthatonlyresultinreallocationofthebudgetandwillnotresultinanincreaseintheamountoftheStateFundingAgreement.Non-materialchangeswithrespecttotheProjectschedulearechangesthatwillnotextendthetermofthisFundingAgreement.Requestsfornon-materialchangestothebudgetandschedulemustbesubmittedbytheFundingRecipienttotheStateinwritingandarenoteffectiveunlessanduntilspecificallyapprovedbytheState’sProgramManagerinwriting. 26 FundingAgreement No. 4600015992Page16of 23
D.25. NONDISCRIMINATION:DuringtheperformanceofthisFundingAgreement,FundingRecipientanditscontractorsorsubcontractorsshallnotunlawfullydiscriminate,harass,orallowharassmentagainstanyemployeeorapplicantforemploymentbecauseofsex(gender),sexualorientation,race,color,ancestry,religion,creed,nationalorigin(includinglanguageuserestriction),pregnancy,physicaldisability(includingHIVandAIDS),mentaldisability,medicalcondition(cancer/geneticcharacteristics),age(over40),maritalstatus,anddenialofmedicalandfamilycareleaveorpregnancydisabilityleave.FundingRecipientanditscontractorsorsubcontractorsshallensurethattheevaluationandtreatmentoftheiremployeesandapplicantsforemploymentarefreefromsuchdiscriminationandharassment.FundingRecipientanditscontractorsorsubcontractorsshallcomplywiththeprovisionsoftheCaliforniaFairEmploymentandHousingAct(Gov.Code,§12990.)andtheapplicableregulationspromulgatedthereunder(Cal.CodeRegs.,tit.2,§11000etseq.).TheapplicableregulationsoftheFairEmploymentandHousingareincorporatedintothisAgreementbyreference.FundingRecipientanditscontractorsorsubcontractorsshallgivewrittennoticeoftheirobligationsunderthisclausetolabororganizationswithwhichtheyhaveacollectivebargainingorotheragreement.FundingRecipientshallincludethenondiscriminationandcomplianceprovisionsofthisclauseinallsubcontractstoperformworkundertheFundingAgreement.D.26. OPINIONSANDDETERMINATIONS:WherethetermsofthisFundingAgreementprovideforactiontobebasedupon,judgment,approval,review,ordeterminationofeitherpartyhereto,suchtermsarenotintendedtobeandshallneverbeconstruedaspermittingsuchopinion,judgment,approval,review,ordeterminationtobearbitrary,capricious,orunreasonable.D.27. PERFORMANCEBOND: Wherecontractorsareused,theFundingRecipientshallnotauthorizeconstructiontobeginuntileachcontractorhasfurnishedaperformancebondinfavoroftheFundingRecipientinthefollowingamounts: faithfulperformance(100%)ofcontractvalue,andlaborandmaterials(100%)ofcontractvalue. Thisrequirementshallnotapplytoanycontractforlessthan$25,000.00. AnybondissuedpursuanttothisparagraphmustbeissuedbyaCalifornia-admittedsurety.(Pub.ContractCode,§7103;CodeCiv.Proc.,§995.311.)D.28. PRIORITYHIRINGCONSIDERATIONS:IfthisFundingAgreementincludesservicesinexcessof$200,000,theFundingRecipientshallgivepriorityconsiderationinfillingvacanciesinpositionsfundedbytheFundingAgreementtoqualifiedrecipientsofaidunderWelfareandInstitutionsCodesection11200inaccordancewithPublicContractCodesection10353.D.29. PROHIBITIONAGAINSTDISPOSALOFPROJECTWITHOUTSTATEPERMISSION:TheFundingRecipientshallnotsell,abandon,lease,transfer,exchange,mortgage,hypothecate,orencumberinanymannerwhatsoeveralloranyportionofanyrealorotherpropertynecessarilyconnectedorusedinconjunctionwiththeProject,orwithFundingRecipient’sserviceofwater,withoutpriorpermissionofState.FundingRecipientshallnottakeanyaction,includingbutnotlimitedtoactionsrelatingtouserfees,charges,andassessmentsthatcouldadverselyaffecttheabilityofFundingRecipientmeetitsobligationsunderthisFundingAgreement,withoutpriorwrittenpermissionofState.StatemayrequirethattheproceedsfromthedispositionofanyrealorpersonalpropertyberemittedtoState.D.30. PROJECTACCESS: TheFundingRecipientshallensurethattheState,theGovernoroftheState,oranyauthorizedrepresentativeoftheforegoing,willhavesafeandsuitableaccesstotheProjectsiteatallreasonabletimesduringProjectconstructionandthereafterforthetermofthisAgreement.D.31. REMAININGBALANCE: IntheeventtheFundingRecipientdoesnotsubmitinvoicesrequestingallofthefundsencumberedunderthisFundingAgreement,anyremainingfundsreverttotheState. TheStatewillnotifytheFundingRecipientstatingthattheProjectfileisclosed,andanyremainingbalancewillbedisencumberedandunavailableforfurtheruseunderthisFundingAgreement.D.32. REMEDIESNOTEXCLUSIVE:TheusebyeitherpartyofanyremedyspecifiedhereinfortheenforcementofthisFundingAgreementisnotexclusiveandshallnotdeprivethepartyusingsuchremedyof,orlimittheapplicationof,anyotherremedyprovidedbylaw. 27 FundingAgreement No. 4600015992Page17of 23
D.33. RIGHTSINDATA:FundingRecipientagreesthatalldata,plans,drawings,specifications,reports,computerprograms,operatingmanuals,notesandotherwrittenorgraphicworkproducedintheperformanceofthisFundingAgreementshallbemadeavailabletotheStateandshallbeinthepublicdomaintotheextenttowhichreleaseofsuchmaterialsisrequiredundertheCaliforniaPublicRecordsAct.(Gov.Code,§6250etseq.) FundingRecipientmaydisclose,disseminateanduseinwholeorinpart,anyfinalformdataandinformationreceived,collectedanddevelopedunderthisFundingAgreement,subjecttoappropriateacknowledgementofcredittoStateforfinancialsupport.FundingRecipientshallnotutilizethematerialsforanyprofit-makingventureorsellorgrantrightstoathirdpartywhointendstodoso.TheStateshallhavetherighttouseanydatadescribedinthisparagraphforanypublicpurpose.D.34. SEVERABILITY:ShouldanyportionofthisFundingAgreementbedeterminedtobevoidorunenforceable,suchshallbeseveredfromthewholeandtheFundingAgreementshallcontinueasmodified.D.35. SUSPENSIONOFPAYMENTS:ThisFundingAgreementmaybesubjecttosuspensionofpaymentsortermination,orbothiftheStatedeterminesthat:A. FundingRecipient,itscontractors,orsubcontractorshavemadeafalsecertification,orB. FundingRecipient,itscontractors,orsubcontractorsviolatesthecertificationbyfailingtocarryouttherequirementsnotedinthisFundingAgreement.D.36. SUCCESSORSANDASSIGNS:ThisFundingAgreementandallofitsprovisionsshallapplytoandbindthesuccessorsandassignsoftheparties.NoassignmentortransferofthisFundingAgreementoranypartthereof,rightshereunder,orinteresthereinbytheFundingRecipientshallbevalidunlessanduntilitisapprovedbyStateandmadesubjecttosuchreasonabletermsandconditionsasStatemayimpose.D.37. TERMINATIONBYFUNDINGRECIPIENT:SubjecttoStateapprovalwhichmaybereasonablywithheld,FundingRecipientmayterminatethisAgreementandberelievedofcontractualobligations.Indoingso,FundingRecipientmustprovideareason(s)fortermination.FundingRecipientmustsubmitallprogressreportssummarizingaccomplishmentsupuntilterminationdateandrepayallfundsdisbursedpursuanttothisAgreement.D.38. TERMINATIONFORCAUSE:SubjecttotherighttocureunderParagraph7,theStatemayterminatethisFundingAgreementandberelievedofanypaymentsshouldFundingRecipientfailtoperformtherequirementsofthisFundingAgreementatthetimeandinthemannerherein,providedincludingbutnotlimitedtoreasonsofdefaultunderParagraph7.D.39. TERMINATIONWITHOUTCAUSE:TheStatemayterminatethisAgreementwithoutcauseon30daysadvancewrittennotice.TheFundingRecipientshallbereimbursedforallreasonableexpensesincurreduptothedateoftermination.D.40. THIRDPARTYBENEFICIARIES:ThepartiestothisAgreementdonotintendtocreaterightsin,orgrantremediesto,anythirdpartyasabeneficiaryofthisAgreement,oranyduty,covenant,obligationorunderstandingestablishedherein.D.41. TIMELINESS:TimeisoftheessenceinthisFundingAgreement.D.42. UNIONORGANIZING:FundingRecipient,bysigningthisFundingAgreement,herebyacknowledgestheapplicabilityofGovernmentCodesections16645through16649tothisFundingAgreement.Furthermore,FundingRecipient,bysigningthisFundingAgreement,herebycertifiesthat:A. NoStatefundsdisbursedbythisFundingAgreementwillbeusedtoassist,promote,ordeterunionorganizing.B. FundingRecipientshallaccountforStatefundsdisbursedforaspecificexpenditurebythisFundingAgreementtoshowthosefundswereallocatedtothatexpenditure. 28 FundingAgreement No. 4600015992Page18of 23
C. FundingRecipientshall,whereStatefundsarenotdesignatedasdescribedin(B)above,allocate,onaproratabasis,alldisbursementsthatsupporttheprogram.D. IfFundingRecipientmakesexpenditurestoassist,promote,ordeterunionorganizing,FundingRecipientwillmaintainrecordssufficienttoshowthatnoStatefundswereusedforthoseexpendituresandthatFundingRecipientshallprovidethoserecordstotheAttorneyGeneraluponrequest.D.43. VENUE: TheStateandtheFundingRecipientherebyagreethatanyactionarisingoutofthisAgreementshallbefiledandmaintainedintheSuperiorCourtinandfortheCountyofSacramento,California,orintheUnitedStatesDistrictCourtinandfortheEasternDistrictofCalifornia. TheFundingRecipientherebywaivesanyexistingsovereignimmunityforthepurposesofthisAgreement.D.44. WAIVEROFRIGHTS:NoneoftheprovisionsofthisFundingAgreementshallbedeemedwaivedunlessexpresslywaivedinwriting.ItistheintentionofthepartiesheretothatfromtimetotimeeitherpartymaywaiveanyofitsrightsunderthisFundingAgreementunlesscontrarytolaw.AnywaiverbyeitherpartyofrightsarisinginconnectionwiththeFundingAgreementshallnotbedeemedtobeawaiverwithrespecttoanyotherrightsormatters,andsuchprovisionsshallcontinueinfullforceandeffect. 29 FundingAgreement No. 4600015992Page19of 23
EXHIBITEAUTHORIZINGRESOLUTION
30 FundingAgreement No. 4600015992Page20of 23
EXHIBITFREPORTFORMATSANDREQUIREMENTS
Thefollowingreportingformatsshouldbeutilized.PleaseobtainStateapprovalpriortosubmittingareportinanalternativeformat.1. PROGRESSREPORTSProgressreportsshallgenerallyusethefollowingformat. Ingeneral,whereverpossiblepleaseusebulletedformat.Thisformatmaybemodifiedasnecessarytoeffectivelycommunicateinformation.PROJECTSTATUSBrieflydescribetheworkperformedduringthetimeperiodcoveredbythereportincludingbutnotlimitedto:PROJECTINFORMATION(asapplicable)● Legalmatters● EngineeringEvaluations● Environmentalmatters● Statusofpermits,easements,rights-of-way,rightsofentryandapprovalsasmayberequiredbyotherState,federal,and/orlocalagencies● Majoraccomplishmentsduringthereportingperiod(i.e.taskscompleted,milestonesmet,meetingsheldorattended,pressreleases,etc.)● Issues/concernsthathave,will,orcouldaffectthescheduleorbudget,witharecommendationonhowtocorrectthematter● IdentifykeyissuesthatneedtoberesolvedCOSTINFORMATION(asapplicable)● ProvidealistshowingallprojectcostsincurredduringthetimeperiodcoveredbythereportbytheFundingRecipientandeachcontractorworkingontheProjectandwhichofthesecostsareEligibleProjectCosts● AbriefdiscussiononhowtheactualbudgetisprogressingincomparisontotheprojectbudgetincludedintheWorkPlan● AlistofanychangesapprovedtothebudgetinaccordancewithFundingAgreementandarevisedbudget,bytask,ifchangedfromlatestbudgetintheWorkPlanSCHEDULEINFORMATION(asapplicable)● Ascheduleshowingactualprogressversesplannedprogress● Abriefdiscussiononhowtheactualscheduleisprogressingincomparisontotheoriginalorlastreportedschedule● AlistofanychangesapprovedtotheScheduleinaccordancewithFundingAgreementandarevisedschedule,bytask,ifchangedfromlatestreportedschedule TheFinalAnnualReportshallcontainthefollowingProjectcompletioninformationandshallgenerallyusethefollowingformat. 31 FundingAgreement No. 4600015992Page21of 23
EXECUTIVESUMMARY–Shouldincludeabriefsummaryofprojectinformationandincludethefollowingitems:● Briefdescriptionofworkproposedtobedoneintheoriginalapplication● DescriptionofactualworkcompletedandanydeviationsfromtheworkplanidentifiedintheFundingAgreementCOSTSANDDISPOSITIONOFFUNDS–Alistofshowing:● ThedateeachinvoicewassubmittedtoState● Theamountoftheinvoice● Thedatethecheckwasreceived● Theamountofthecheck(Ifacheckhasnotbeenreceivedforthefinalinvoice,thenstatethisinthissection.)● Summaryofprojectcostincludingthefollowingitems:o Accountingofthecostofprojectexpenditureo Includeallinternalandexternalcostsnotpreviouslydisclosedo Adiscussionoffactorsthatpositivelyornegativelyaffectedtheprojectcostandanydeviationfromtheoriginalprojectcostestimate.ADDITIONALINFORMATION–AnyrelevantadditionalInformationshouldbeincluded. 32 FundingAgreement No. 4600015992Page22of 23
EXHIBITGSTATEAUDITDOCUMENTREQUIREMENTSFORFUNDINGRECIPIENTS ThefollowingprovidesalistofdocumentstypicallyrequiredbyStateAuditorsandgeneralguidelinesforFundingRecipients.ListofdocumentspertainstobothStatefundinganddetailsthedocuments/recordsthatStateAuditorswouldneedtoreviewintheeventofthisFundingAgreementisaudited.FundingRecipientsshouldensurethatsuchrecordsaremaintainedforeachfundedproject.
StateAudit Document RequirementsInternalControls1. Organizationchart(e.g.,Agency’soverallorganizationchartandorganizationchartfortheStatefundedProject).2. Writteninternalproceduresandflowchartsforthefollowing:a) Receiptsanddepositsb) Disbursementsc) Statepaymentrequestsd) ExpendituretrackingofStatefundse) Guidelines,policy,andproceduresonStatefundedProgram/Project3. AuditreportsoftheFundingRecipientinternalcontrolstructureand/orfinancialstatementswithinthelasttwoyears.4. PriorauditreportsontheStatefundedProject.StateFunding:1. OriginalFundingAgreement,anyamendment(s)andbudgetmodificationdocuments.2. AlistingofpublicfundsreceivedfromtheState.3. AlistingofallotherfundingsourcesfortheProject.Contracts:1. Allsubcontractorandconsultantcontractsandrelatedorpartners’documents,ifapplicable.2. ContractsbetweentheFundingRecipientandotherpublicagenciesasrelatedtotheStatefundedProject.Invoices:1. InvoicesfromvendorsandsubcontractorsforexpendituressubmittedtotheStateforpaymentsundertheFundingAgreement.2. DocumentationlinkingsubcontractorinvoicestoStatepayment,requestsandrelatedFundingAgreementbudgetlineitems.3. PaymentrequestssubmittedtotheStatefortheFundingAgreement.CashDocuments:1. Receipts(copiesofwarrants)showingpaymentsreceivedfromtheState.2. Depositslips(orbankstatements)showingdepositofthepaymentsreceivedfromtheState. 33 FundingAgreement No. 4600015992Page23of 23
3. Cancelledchecksordisbursementdocumentsshowingpaymentsmadetovendors,subcontractors,consultants,and/oragentsunderthegrantsorloans.4. Bankstatementsshowingthedepositofthereceipts.AccountingRecords:1. Ledgersshowingentriesforfundingreceiptsandcashdisbursements.2. Ledgersshowingreceiptsandcashdisbursemententriesofotherfundingsources.3. BridgingdocumentsthattiethegeneralledgertorequestsforFundingAgreementpayment.AdministrationCosts:1. Supportingdocumentsshowingthecalculationofadministrationcosts.Personnel:1. ListofallcontractorsandAgencystaffthatworkedontheStatefundedProgram/Project.2. PayrollrecordsincludingtimesheetsforcontractorstaffandtheFundingRecipient’spersonnelwhoprovidedserviceschargedtotheProjectProjectFiles:1. AllsupportingdocumentationmaintainedintheProjectfiles.2. AllFundingAgreementrelatedcorrespondence. 34 Accept a grant from the California State
Department of Water Resources in the
amount of
$1,000,000 for the Santa Clara River Levee
3 Construction Project
Finance & Governance Committee, November 26, 2024
Adam Smith, Project Manager
City Manager’s Office
That the Finance and Governance Committee
recommends that the City Council:
1. Adopt a Resolution authorizing the City of
Oxnard to enter into Agreement No. 4600015992
with the State of California Department of Water
Resources to receive funds for the Santa Clara
River Levee Construction Project and authorizing
the City Manager or designee to execute the
agreement on behalf of the City;
RECOMMENDATION 2
35 2. Accept a grant from the California State
Department of Water Resources in the amount of
$1,000,000 for the Santa Clara River Levee
Construction Project; and
3. Authorize the City Manager or designee to
execute the grant agreement and submit financial
reports, grant claims, and approve the necessary
budget appropriations for the use of the grant
funds.
RECOMMENDATION 3
As part of the State of California (State) Fiscal
Year 2023-24 budget process, the City, in
partnership with Assemblymember Steve
Bennett, Assemblymember Jacqui Irwin, and
Senator Monique Limón, successfully obtained
$1 million in State funding from the State
Department of Water Resources (DWR) for the
Santa Clara River 3 (SCR-3) Levee Completion
project
BACKGROUND 4
36 SCR-3 “REACHES” 5
• Upon completion of the project, the SCR-3 levee will be able to achieve FEMA levee certification
• This $1 million contribution will help provide crucial funding for the completion of Reach 4 of SCR-3
BACKGROUND 6
37 • The City will act as a pass-through for the $1 million from the State by entering into a yet-to-be-presented funding agreement to City Council between the City and Ventura County Watershed Protection District (VCWPD) for the construction and completion of Reach 4 of the SCR-3 levee• VCWPD is the lead agency for the SCR-3 construction project• This funding agreement will outline the terms and conditions of the funding transfer, the responsibilities of each party, and the timeline for the project BACKGROUND 7
• Reach 4 of SCR-3 will provide flood protection to
residents south of the levee system and protect vital
public infrastructure
• This infrastructure includes a former cogeneration plant, municipal golf course, three municipal landfills, a hotel to the west, the Union Pacific Railroad bridge to the east, two elementary schools, and significant transportation
arterial corridors in North Oxnard, including W.
Gonzales Rd and Ventura Rd
BACKGROUND 8
38 • Progress on completing SCR-3 is continuing• On October 29, 2024, the Ventura County Board of Supervisors approved VCWPD’s plans and specifications for the SCR-3 levee project and awarded a construction contract to complete Reach 4• Staff at VCWPD have estimated that construction will begin by the end of 2024 and last approximately two years BACKGROUND 9
• There is no match requirement for this grant
• Grant revenue of $1,000,000 will be recognized and
appropriated to the State Grant Fund (210)
• City staff will return in early 2025 with a funding
agreement between the City and VCWPD to transfer
the State DWR funding from the City to VCWPD to
help fund the SCR-3 construction project
• There is no impact on the General Fund for approving
this funding agreement
FINANCIAL IMPACT 10
39 That the Finance and Governance Committee
recommends that the City Council:
1. Adopt a Resolution authorizing the City of
Oxnard to enter into Agreement No. 4600015992
with the State of California Department of Water
Resources to receive funds for the Santa Clara
River Levee Construction Project and authorizing
the City Manager or designee to execute the
agreement on behalf of the City;
RECOMMENDATION 11
2. Accept a grant from the California State
Department of Water Resources in the amount of
$1,000,000 for the Santa Clara River Levee
Construction Project; and
3. Authorize the City Manager or designee to
execute the grant agreement and submit financial
reports, grant claims, and approve the necessary
budget appropriations for the use of the grant
funds.
RECOMMENDATION 12
40 THE END
13 41