HomeMy WebLinkAbout20C - AA - STATE WATER RESOURCESREQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
DECEMBER 2, 2014
TITLE:
AGREEMENT WITH STATE WATER
RESOURCES CONTROL BOARD AND
REVISION OF THE FY 2014115 CAPITAL
IMPROVEMENT PROGRAM FOR
PROPOSITION 40 STORM WATER
GRANT FUNDING (STRATEGIC PLAN
NO. 5, 2)
CITY MANAGER
RECOMMENDED ACTION
CLERK OF COUNCIL USE ONLY:
APPROVED
❑ As Recommended
❑ As Amended
❑ Ordinance on 1" Reading
❑ Ordinance on 2ntl Reading
❑ Implementing Resolution
❑ Set Public Hearing For
CONTINUED TO
FILE NUMBER
Authorize the City Manager and the Clerk of the Council to execute an agreement with the
California State Water Resources Control Board, subject to nonsubstantive changes by the City
Manager and City Attorney, for Proposition 40 Storm Water Grant Program.
2. Approve an appropriation adjustment recognizing Proposition 40 State Grant Funds in the
amount of $288,898 into the States Grants — Direct revenue account and appropriating the same
amount to the Public Works Water Quality & Control expenditure account for the Morrison Park
Low Impact Development Improvements Project.
3. Approve a revision of the Fiscal Year 2014/15 Capital Improvement Program to add the
Morrison Park Low Impact Improvements Project.
DISCUSSION
The Public Works Agency applied for funding under the State of California (State) Proposition 84
Storm Water Grant Program for the Morrison Park Low Impact Development (LID) Improvements
project. The Proposition 84 Stormwater Grant Program (SWGP) provides matching grants to local
public agencies for the reduction and prevention of storm water contamination of rivers, lakes, and
streams. The Morrison Park LID Improvements project will reconstruct the existing parking lot with
new porous asphalt pavement, and incorporate an adjacent bioretention system with drought -
tolerant landscaping.
20C -1
Agreement with State Water Resources Control Board
Prop 40 Storm Water Grant Funding
December 2, 2014
Page 2 of 2
After receiving notification of the $288,898 grant award, the City Council approved Resolution No.
2014 -058 on September 16, 2014, authorizing the City Manager to enter into an agreement with the
State of California. The agreement (Exhibit 1) presented by the State references the Proposition 40
Storm Water Grant Program instead of Proposition 84. Although the Public Works Agency applied
for a Proposition 84 Grant and the State acknowledged awarding a Proposition 84 Grant, the State
indicated they have chosen to apply excess Proposition 40 funds for the project and has therefore
presented the City an agreement specifically referencing the Proposition 40 Storm Water Grant.
Due to a recently added requirement to prepare a Monitoring Plan for the project, the City's match
has increased from $72,225 to $76,831. Both the State grant award of $288,898 and the City's
match had not been previously recognized in a previously approved Capital Improvement Program.
Therefore, the appropriation adjustment will recognize these funds in Fiscal Year 2014 -15 and
appropriate them for the Morrison Park LID Improvements project.
STRATEGIC PLAN ALIGNMENT
Approval of this item supports the City's efforts to meet Goal #5 Community Health, Livability,
Engagement & Sustainability; Objective #2 (expand opportunities for conservation and
environmental sustainability).
ENVIRONMENTAL IMPACT
In accordance with the California Environmental Quality Act, the recommended action is exempt
from further review. Categorical Exemptions Environmental Review No. 2013 -91 (Project PWA-
2013- 1119 -CIP) was filed for this project.
FISCAL IMPACT
State grant funds in the amount of $288,898 will be deposited into the States Grants — Direct
revenue account (16417002- 52025) and appropriated into the Public Works Water Quality &
Control expenditure account (16417640- 66220). The City's matching share of $76,831 is available
in the Federal Clean Water Protection Fund (Account No. 05717640 - 66220).
/J1 J �—
'Fred Mousavipour
Executive Director
Public Works Agency
Exhibits: 1. Agreement
2. Appropriation Adjustment
APPROVED AS TO FUNDS AND ACCOUNTS:
Francisco Gutierrez
Executive Director
Finance & Management Services Agency
20Ci -2
FOR STFTE USE ONLY
CGS REGISTRATION NO.
PROPOSITION 40 STORMWATER GRANT PROGRAM
GRANTAGREEMENT
BETWEEN THE
STATE WATER RESOURCES CONTROL BOARD, hereinafter called "State" or "State Water Board"
AND
CITY OF SANTA ANA, hereinafter called "Grantee'
MORRISON PARK LOW IMPACT DEVELOPMENT (LID) IMPROVEMENTS, hereinafter called
'Project'
AGREEMENT NO. 14. 449 -550
The State and Grantee hereby agree as follows:
PROVISION(s). The following provision(s) authorize the State Water Board to enter into this type of Grant
Agreement:
Pub. Resources Code, §§ 5096.650(c)(2), 30930 (Proposition 40 Stormwater)
PURPOSE. The State shall provide a grant to and for the benefit of Grantee for the purpose of replacing the
existing parking lot pavement with porous pavement and incorporating bioretention system with drought tolerant
landscaping adjacent to the parking lot in Morrison Park.
GRANT AMOUNT. The maximum amount payable under this Agreement shall not exceed $288,898.
TERM OF AGREEMENT. The term of the Agreement shall begin on DECEMBER 1, 2014 and continue through final
payment plus thirty -five (35) years unless otherwise terminated or amended as provided in the Agreement.
HOWEVER, ALL WORK SHALL BE COMPLETED BY AUGUST 31, 2016. ABSOLUTELY NO FUNDS MAY BE
REQUESTED AFTER SEPTEMBER 30, 2016.
PROJECT REPRESENTATIVES. The Project Representatives during the term of this Agreement will be:
State Water Board
Grantee:
City of Santa Ana
Name:
Ruben Mora, Grant Manager
Name:
William Galvez, Project Director
Address:
1001 1 Street 1 VR Floor
Address:
20 Civic Center Plaza
City, Zip:
Sacramento CA 95814
City, Zip:
Santa Ana, CA 92701
Phone:
916 341
-5387
Phone:
714 647 -5653
Fax:
916 341
-5296
Fax:
714 647 -5058
e -mail:
Ruben.Mora aterboards.ce. ov
e-mail:
we alvez santa- na.or
Direct all inquiries to:
State Water Board
Grantee:
City of Santa Ana
Section:
Division of Financial Assistance
Section:
Attention:
Carolyn Sa uto, Pro p ram Analyst
Name:
Thomas Lo Grant Contact
Address:
1001 1 Street 17 Floor
Address:
20 Civic Center Plaza
City, Zip:
Sacramento CA 95814
Ci Zi :
Santa Ana CA 92701
Phone:
916 341 -5784
Phone:
714 647 -5659
Fax:
916 341 -5296
Fax:
714 647 -5058
e -mail:
Carol n.Sa uto waterboards.ca. ov
e -mail:
tlo Santa- ana.or
Either party may change its Project Representative upon written notice to the other party.
EXHIBIT 1 Page 1 of 20
M& 'I
City of Santa Ana
State Water Board Grant Agreement No '14.4493 550
Page 2 of 20
STANonao PRavrstoNS. The allowing exhibits are attached and made a part of this Agreement by this reference.
Exhibit A
SCOPE OF WORK - WORK TO BE PERFORMED BY THE GRANTEE
Exhibit B
INVOICING, BUDGET DETAIL AND REPORTING PROVISIONS
Exhibit
GENERAL TERMS & CONDITIONS
Exhibit
SPECIAL CONDITIONS
GRANTEF REPRESENTATIONS. The Grantee accepts and agrees to comply With all terms, provisions, conditions,
antl commitments of this Agreement, including all incorporated documents, and to m1fill all assurances,
declarations, representations, and commitments made by the Grantee in its application, accompanying
documents, and communications filed in support of its request for grant funding Grantee shell comply with and
require its contractors and subcontractors to comply with all applicable laws, policies and regulations.
W WITNESS THEREOF, the purifies have executed this Agreement on the dates set forth below.
By . —__... BY -
Grantee Signature Darin Polhamus, Deputy Director
State Water Resources Control Board,
Division of Financiai Assistance
Grantee Typed/Printed Nardi
Reviewed by'.
Office of Chiat Counsel
Date:
JI r� .� �"t,�A:.IVI
Jose San al
S r Assls[ant City Atticii
EXHIBIT 1 Page 2 of 20
20C -4
City of Santa Ana
State Water Board Grant Agreement No. 14- 449 -550
Page 3 of 20
EXHIBIT A
SCOPE OF WORK— WORK TO BE PERFORMED BY THE GRANTEE
A. PLANS AND GENERAL COMPLIANCE REQUIREMENTS
1. In order for the State Water Board and Regional Water Quality Control Board (Regional Water Board)
staff to verify work was adequately performed or conducted, Global Positioning System (GPS) information
for project site and monitoring locations must be identified for this Project. Submittal requirements for
GPS data are available at:
http�/ /www waterboards ca aov/water issues /droamms /arants loans /arent info/docs/ope.odf.
2. The Grantee shall prepare and submit a Monitoring and Reporting Plan (MRP) that does all of the
following: 1) identifies the nonpoint source(s) of pollution to be prevented or reduced by the Project; 2)
describes the baseline water quality or quality of the environment to be addressed; 3) describes the
manner in which the Project will be effective in preventing or reducing pollution and in demonstrating the
desired environmental results; and 4) describes the monitoring program, including, but not limited to, the
methodology, frequency, and duration of monitoring.
The MRP shall be organized as follows, and may be submitted as separate documents or in one report.
2.1 Project Assessment and Evaluation
Project Assessment and Evaluation Plan (PAEP) describes the manner in which the Project will be
effective in preventing or reducing pollution and in demonstrating the desired environmental results.
PAEP details the methods of measuring Project benefits and reporting them in accordance with a
PAEP. Grantee shall not implement monitoring and performance assessment and /or evaluation
actions prior to PAEP approval by the Grant Manager. Guidance for preparing the PAEP is
available at httpY/www waterboards,ca.aov /water issues /omnramslmmnts inanslnaar,rnriav �hrry,i
2.2 Monitorina Plan
All projects that include water quality or environmental monitoring must prepare a Monitoring Plan
(MP). At a minimum, all MPs must: 1) describe the baseline water quality or quality of the
environment to be addressed; 2) identify the non -point source(s) of pollution to be prevented or
reduced by the Project; and 3) provide GPS information for all sampling locations.
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 location
for the monitoring activities.
Any costs related to monitoring data collected prior to and not supported by the approved MP will
not be reimbursed. Changes to the MP must be submitted to the Grant Manager for review and a
decision regarding approval prior to implementation. Guidance for preparing an MP is available at:
httr):/iwww.wEiterboards,ca.gov/water issues /programs /grants loans /grant info /index shtmIftens.
2.3 Quality Assurance and Project Plan
If water quality monitoring is undertaken, the Grantee shall also prepare, maintain, and implement a
Quality Assurance Project Plan (QAPP) in accordance with the State Water Board's Surface Water
Ambient Monitoring Program's (SWAM P) QAPP and data reporting requirements, and the USEPA
QAPP, EPA AQ /R5, 3/01. Water quality monitoring data includes physical, chemical, and biological
monitoring of any surface water. The QAPP shall be submitted to the State Water Board's Quality
Assurance Officer for review and a decision regarding approval. Any costs related to monitoring
data collected prior to and not supported by the approved QAPP will not be reimbursed. Guidance
for preparing the QAPP Is available at:
http�//www.waterboards ca gov/water issues /programs /grants loans /grant info/index.shtml.
EXHIBIT 1 Page 3 of 20
20C -5
City of Santa Ana
State Water Board Grant Agreement No. 14- 449 -550
Page 4 of 20
The Grantee shall upload a pdf version of the final approved document(s) to the Financial
Assistance Application Submittal Tool (FAAST) system.
2.4 Data Management
The Grantee shall upload all water quality data obtained through its implementation of the MP to the
California Environmental Data Exchange Network ( CEDEN). The Grantee 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 htto'//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.
3. Activities supported by grant funds are projects under the California Environmental Quality Act (CEQA)
and must comply with CEQA requirements. Work on the Project cannot begin until the State Water Board
has reviewed the CEQA documentation submitted by the Grantee and given environmental clearance. If
the work Is conducted on federal land, the Grantee must also comply with 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,
4. If public agency approvals, entitlements, or permits are required, such approvals, entitlements or permits
must be obtained and signed copies submitted to the Grant Manager before work begins. If the Project is
carried out on lands not owned by the Grantee, the Grantee must obtain adequate rights of way for the
useful life of the Project.
5. State Disclosure Requirements — Include the following disclosure statement in any document, written
report, or brochure prepared in whole or in part pursuant to this Agreement:
"Funding for this project has been provided in full or in part through an agreement with the State Water
Resources Control Board. The contents of this document do not necessarily reflect the views and
policies of the State Water Resources Control Board, nor does mention of trade names or commercial
products constitute endorsement or recommendation for use."
Signage shall be posted in a prominent location at Project site (if applicable) or at the Grantee's
headquarters and shall Include the State Water Board color logo (available from the Program Analyst):
Water Boards
and the following disclosure statement:
"Funding for this project has been provided in full or in part through an agreement with the State Water
Resources Control Board."
6. The Grantee shall also include in each of its contracts for work under this Agreement a provision that
incorporates the requirements stated within this work item.
EXHIBIT 1 Page 4 of 20
20C -6
City of Santa Ana
State Water Board Grant Agreement No. 14- 449 -550
Page 5 of 20
B. PROJECT- SPECIFIC REQUIREMENTS
1. Project Management
11 Provide all technical and administrative services as needed for Agreement completion; monitor,
supervise, and review all work performed; and coordinate budgeting and scheduling to ensure the
agreement is completed within budget, on schedule, and in accordance with approved procedures,
applicable laws, and regulations.
1.2 Notify the Grant Manager at least fifteen (15) working days in advance of upcoming meetings,
workshops, and trainings.
1.3 Conduct pre -, during, and post- construction photo monitoring and submit to the Grant Manager,
1,4 Conduct periodic and final site visits with the Grant Manager.
2, Planning, Design, and Engineering
2.1 Prepare a topographic survey of the site, a permeability testing and structural pavement design,
and landscape renderings and submit to the Grant Manager in an electronic format.
2.2 Complete the preliminary engineered design plans and specifications for the Installation of a
minimum of eleven thousand (11,000) square feet of porous pavement and a minimum of three
thousand (3,000) square feet of a bioretention system. Submit the preliminary engineered design
plans and specifications to the Grant Manager in an electronic format for review and approval.
2.3 Complete the final engineered design plans and specifications and prepare a summary identifying
changes from the preliminary plans in Item 2.2. Submit the final plans and summary of changes to
the Grant Manager for review and approval prior to preparing bid documents in Item 2.4.
2.4 Complete the bid documents and advertise the Project for bid. Submit the awarded bid documents
to the Grant Manager in an electronic format.
3. Construction and Implementation
3.1 Award the construction contract and submit the Notice to Proceed to the Grant Manager in an
electronic format.
3.2 Construct the Project in accordance with the approved engineered design plans and specifications.
33 Submit as -built drawings to the Grant Manager in an electronic format.
3.4 Prepare and submit an Operations and Maintenance Plan to the Grant Manager for review and
approval.
4. Monitoring and Performance
4.1 Monitor in accordance with the approved MP.
4.2 Analyze monitoring results, document implementation of monitoring in accordance with the
approved MP, and include a summary report of the monitoring results in the associated quarterly
progress report. A summary of all monitoring and data analysis shall be included in the Final
Project Report.
EXHIBIT 1 Page 5 of 20
20C -7
City of Santa Ana
State Water Board Grant Agreement No. 14- 449 -550
Page 6 of 20
5. Education and Outreach
5.1 Prepare an educatlonal brochure to be distributed at one (1) outreach event highlighting stormwater
quality, the impact of receiving waters, and the role of the Project and submit a copy of a brochure
to the Grant Manager.
5.2 Conduct a minimum of one (1) outreach event for the surrounding neighborhood. Submit the sign -
in sheet and meeting materials to the Grant Manager.
5.3 Install a minimum of one (1) permanent educational sign at the Project site and submit photo
documentation of the installed sign to the Grant Manager
EXHIBIT 1 Page 6 of 20
200-8
City of Santa Ana
State Water Board Grant Agreement No 14 -449 -550
Page 7 of 20
TABLE OF ITEMS FOR REVIEW
ITEM
I DESCRIPTION
CRITICAL DUE
DATE
ESTIMATED
DUE DATE
EXHIBIT A — SCOPE OF WORK —WORK TO BE PERFORMED BY THE GRANTEE
A.
PLANS AND GENERAL COMPLIANCE REQUIREMENTS
1.
GPS Information for Project Site and Monitoring Locations
Day 120
2.
Monitoring and Reporting Plan
2.1
Project Assessment and Evaluation Plan (PAEP)
Day 120
2.2
Monitoring Plan (MP)
Day 120
2.3
Quality Assurance Project Plan (QAPP)
Day 120
2.4
Proof of Water Quality Data Submission to CEDEN
Before Final
Invoice
3.
Copy of Final CEQA/NEPA Documentation
Day 90
4.
Public Agency Approvals, Entitlements, or Permits
As Needed
B.
PROJECT- SPECIFIC REQUIREMENTS
1.
Project Management
1.2
Notification of Upcoming Meetings, Workshops, and Trainings
Ongoing
1.3
Pre -, During, and Post - Construction Photos
Ongoing
1.4
Periodic and Final Site Visits
Ongoing
2.
Planning, Design, and Engineering
2.1
Topographic Survey, Permeability Testing and Structural
Pavement Design, and Landscape Renderings
March 2015
2.2
Preliminary Engineered Design Plans and Specifications
March 2015
2.3
Final Engineered Design Plans and Summary of Changes
April 2015
2.4
Awarded Bid Documents
August 2015
3.
Construction and Implementation
3.1
Notice to Proceed
9/302015
3.3
As -Built Drawings
December 2015
3.4
Operations and Maintenance Plan
January 2016
4.
Monitoring and Performance
4.2
Summary Report of the Monitoring Results
Quarterly
5.
Education and Outreach
5.1
Brochure
August 2015
5.2
Sign -in Sheet and Meeting Materials
August 2015
5.3
Photo of the Installed Sign
December 2015
EXHIBIT 1 Page 7 of 20
20C -9
City of Santa Ana
State Water Board Grant Agreement No. 14 -449 -550
Page 8 of 20
ITEM
DESCRIPTION
CRITICALDUE
DATE
ESTIMATED
DUE DATE
EXHIBIT B — INVOICING, BUDGET DETAIL, AND REPORTING PROVISIONS
A.
INVOICING
Quarterly
G.
REPORTS
1.
Progress Reports within forty -five (45) days following the end of
the calendar quarter (March, June, September, and December)
Quarterly
2.
Annual Progress Summaries
Annually by 9/30
3,
Natural Resource Projects Inventory (NRPI) Survey Form
(If applicable)
Before Final
Invoice
4.
Draft Final Project Report
6/30/2016
5.
Final Project Report
7/31/2016
6.
Final Project Summary
Before Final
Invoice
7.
Final Project Inspection and Certification
Before Final
Invoice
EXHIBIT 1 Page 8 of 20
20C -10
City of Santa Ana
State Water Board Grant Agreement No. 14- 449 -550
Page 9 of 20
EXHIBIT B
INVOICING, BUDGET DETAIL, AND REPORTING PROVISIONS
A. INVOICING
1. Invoices shall be submitted using the invoice template provided by the State Water Board, The invoice
must be itemized based on the line items specified in the Budget. The original invoice shall be submitted
to the State Water Board's Grant Manager on a quarterly basis consistent with the reporting schedule in
Section G.1 of this exhibit. The address for submittal is:
Ruben Mora, Grant Manager
State Water Resources Control Board
1001 1 Street, 16th Floor
Sacramento, CA 95814
2. Invoices submitted in any other format than the one provided by the State Water Board will cause an
invoice to be disputed. In the event of an invoice dispute, the State Water Board's Grant Manager will
notify the Grantee by initiating an "Invoice Dispute Notification" form. Payment will not be made until the
dispute is resolved and a corrected invoice submitted. Failure to use the address exactly as provided
above may result in return of the invoice to the Grantee. Payment shall be deemed complete upon
deposit of the payment, properly addressed, postage prepaid, in the United States mail. The State Water
Board Grant Manager has the responsibility for approving invoices.
3. Supporting documentation (e.g., receipts) must be submitted with each invoice to request reimbursement
for grant funds as well as to support Match Funds invoiced. The amount claimed for the Personnel
Services line item and Professional and Consultant Services line item must include a calculation formula
(i.e., hours or days worked times the hourly or daily rate = total amount claimed). Invoice payment shall
be made only after receipt of a complete, adequately supported, properly documented and accurately
addressed invoice.
4. The Grantee shall not request disbursement for any cost until such cost has been incurred and has been
paid by or is due and payable by the Grantee. Although it is agreed that actual payment of such cost by
the Grantee is not required as a condition of the grant disbursement, all grant disbursements received by
the Grantee shall be paid to contractors and vendors within thirty (30) days from receipt of the funds. In
the event that the Grantee fails to disburse grant funds to contractors or vendors within thirty (30) days
from receipt of the funds, the Grantee shall immedlately 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 Grantee held such funds in interest- bearing accounts, any interest earned
on the funds shall also be due to the State Water Board.
5. Notwithstanding any other provision of this Agreement, no disbursement shall be required at any time or
in any manner which is in violation of, or in conflict with, federal or state laws, rules, or regulations, or
which may require any rebates to the Federal Government, or any loss of tax -free status on state bonds,
pursuant to any Federal statute or regulation.
6. Notwithstanding any other provision of this Agreement, the Grantee agrees that the State Water Board
may retain an amount equal to ten percent (10 %) of the grant amount specified in this Agreement until
completion of the Project to the reasonable satisfaction of the State Water Board. Any retained amounts
due to the Grantee will be promptly disbursed to the Grantee, without interest, upon completion of the
Project.
7. The invoice shall contain the following information:
a. The date of the invoice;
b. The time period covered by the invoice, i.e., the term "from" and "to'
c. The total amount due; and
d. Original signature and date (in ink) of Grantee or its authorized representative.
EXHIBIT 1 Page 9 of 20
20C -11
City of Santa Ana
State Water Board Grant Agreement No. 14- 449 -550
Page 10 of 20
e. Final invoice shall be clearly marked "FINAL INVOICE" and submitted NO LATER THAN
SEPTEMBER 30, 2016.
B. PROHIBITION OF INDIRECT COSTS
The grant funds for this Agreement are the proceeds from the sale of general obligation bonds. As such,
grant 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 Project
(i.e., costs that are not directly related to the Project). Examples of Indirect Costs include, but are not limited
to: central service costs; general administration of the Grantee; non - project- specific accounting and personnel
services performed within the Grantee 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
Grantee and any subcontract or sub - agreement for work on the Project that will be reimbursed with grant
funds pursuant to this Agreement. (Gov. Code, § 16727.)
C. BUDGET CONTINGENCY CLAUSE
The maximum amount to be encumbered under this Agreement for the 2014 -15 fiscal year ending
June 30, 2015 shall not exceed TWO HUNDRED EIGHTY -EIGHT THOUSAND, EIGHT HUNDRED NINETY -
EIGHT DOLLARS ($288,898).
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 Grantee
or to furnish any other considerations under this Agreement and Grantee shall not be obligated to perform any
provisions of this Agreement. Nothing in this Agreement shall be construed to provide the Grantee with a
right of priority for payment over any other Grantee.
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 Grantee to reflect the reduced
amount.
D. LINE ITEM BUDGET
Direct Project Administration Costs
Plan ning /Desig rdE ngi nee ring /Environmental
Equipment ($5,000 or more per item)
Construction /Implementation
Monitoring /Performance
Education /Outreach
TOTAL
E. BUDGET LINE ITEM FLEXIBILITY
PROP 40 MATCH TOTAL
$ 8,816 $ 2,205 $ 11,021
$ 31,440 $ 7,860 $ 39,300
$ 0 $ 0 $ 0
$ 215,856 $ 53,964 $ 269,820
$ 23,438 $ 10,465 $ 33,903
$ 9,348 $ 2,337 $ 11,685
$ 288,898 $ 76,831 $ 365,729
1. Line Item Adjustment(s). Subject to the prior review and approval of the Grant Manager, adjustments
between existing line item(s) may be used to defray allowable direct costs up to fifteen percent (15 %) of
the total grant amount (excluding Match Funds), including any amendment(s) thereto. Line item
adjustments in excess of fifteen percent (15 %) shall require a formal Agreement amendment. If the Line
Item Budget includes an amount for Personnel Services, that amount is based on the hours,
EXHIBIT 1
20C -12
Page 10 of 20
City of Santa Ana
State Water Board Grant Agreement No. 14- 449 -550
Page 11 of 20
classifications, and rates submitted by the Grantee in its application. Any changes to the hours,
classifications, and rates must be approved, in advance and in writing, by the Grant Manager,
2. Procedure to Request an Adjustment. Grantee may submit a request for an adjustment in writing to the
State Water Board. Such adjustment may not increase or decrease the total grant amount allocated per
fiscal year. The Grantee shall submit a copy of the original Agreement Budget sheet reflecting the
requested changes. Changes shall be noted by striking the original amount(s) followed with revised
change(s) In bold and underlined. Budget adjustments deleting a budget line item or adding a new
budget line item requires a formal amendment and are not permissible under this provision. The State
Water Board may also propose adjustments to the budget.
3. Remaining Balance. In the event the Grantee does not submit invoices requesting all of the funds
encumbered under this Grant Agreement, any remaining funds revert to the State. The State Water Board
will mail a Notice of Project Completion letter to the Grantee stating that the project file is closed, the final
invoice is being processed for payment, and any remaining balance will be disencumbered and
unavailable for further use under the Grant Agreement.
F. MATCH FUNDS
1. The Grantee agrees to provide match funds in the amount of SEVENTY -SIX THOUSAND, EIGHT
HUNDRED THIRTY -ONE DOLLARS ($76,831) (Match Funds) for this Project. This Match Funds amount
Is based on Line Item Budget categories, funding sources, and amounts submitted by the Grantee in its
application and during the negotiation of this Agreement. Any Match Funds line item changes or
adjustments in Match Funds classifications or sources requested by Grantee must be approved, in
advance and in writing, by the Grant Manager,
2. If, upon completion of the Project, the Grantee has provided match funds in an amount that is less than
the Match Funds amount set forth in paragraph F.1 above, then the State Water Board may
proportionately reduce the grant amount and /or Grantee's Match Funds amount, provided the reduced
amount(s) satisfy statutory requirements and State Water Board Guidelines.
G. REPORTS
1, PROGRESS REPORT. Grantee shall submit quarterly progress reports to the State Water Board's Grant
Manager within forty -five (45) days following the end of the calendar quarter (March, June, September,
and December).
a. The progress reports shall provide a brief description of the work performed, accomplishments during
the quarter, milestones achieved, monitoring results (if applicable), and any problems encountered in
the performance of the work under this Agreement. The Grantee shall document all contractor
activities and expenditures in progress reports.
b. The invoice should accompany the progress report. The invoice should reflect charges for the work
completed during the reporting period covered by progress report. The invoice cannot be paid prior
to submission of a progress report covering the invoice reporting period.
2. ANNUAL PROGRESS SUMMARIES. Prepare and provide an Annual Progress Summary annually by
September 30. The summary must be no more than two (2) pages, and shall include pictures as
appropriate. Upload an electronic copy of the Annual Progress Summary in pdf format to the FAAST
system. The summary shall include the following:
a. A summary of the conditions the Project is meant to alleviate, the Project's objective, the scope of the
Project, and a description of the approach used to achieve the Project's objective.
b. A summary of the progress made to date, significant milestones achieved, and the current schedule
of completing the Project.
c. An evaluation of the effectiveness of the Project to date in preventing or reducing pollution and
alleviating the Project's original conditions.
EXHIBIT 1 Page 11 of 20
20C -13
City of Santa Ana
State Water Board Grant Agreement No. 14- 449 -550
Page 12 of 20
3. NATURAL RESOURCE PROJECTS INVENTORY (NRPI) SURVEY FORM. If available at the completion of
this Project, the Grantee shall complete and submit electronically a NRPI Project Survey Form found at
http://www.loe,uodavis.edutnrr)i
4 DRAFT FINAL PROJECT REPORT. Prepare and submit to the Grant Manager, for review and comment,
a Draft Final Project Report in a format provided by the Grant Manager.
5. FINAL PROJECT REPORT, Prepare a Final Project Report that addresses, to the extent feasible,
comments made by the Grant Manager on the Draft Final Project Report. Submit one (1) reproducible
master and an electronic copy of the final. Upload an electronic copy of the final report in pdf format to
the FAAST system.
6. FINAL PROJECT SUMMARY. Prepare a brief summary of the Information contained in the Final Project
Report, including before and after pictures, as appropriate. Upload an electronic copy of the Final Project
Summary in pdf format to the FAAST system.
7. FINAL PROJECT INSPECTION AND CERTIFICATION. Upon completion of the Project, the Grantee
shall provide for a final inspection and shall certify that the Project has been completed in accordance
with this Agreement, any final plans and specifications submitted to the State Water Board, and any
amendments or modifications thereto. If the Project involved the planning, investigation, evaluation,
design, or other work requiring interpretation and proper application of engineering, or other
professionals, the final Inspection and certification shall be conducted by a California Registered Civil
Engineer or other appropriate California registered professional. The results of the final inspection and
certification shall be provided to the Grant Manager.
8. The Grantee agrees to expeditiously provide, during work on the Project and throughout the term of this
Agreement, such reports, data, information, and certifications that may be reasonably required by the State
Water Board.
H. PAYMENT OF PROJECT COSTS
The Grantee agrees that it will provide for payment of its full share of Project costs and that all costs
connected with the Project will be paid by the Grantee on a timely basis.
I. AUDIT DISALLOWANCES
The Grantee agrees it shall return any audit disallowances to the State Water Board.
J. FRAUD AND MISUSE OF PUBLIC FUNDS
All invoices 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 Grantee 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 Grantee 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 grant
funds and /or termination of this Agreement requiring the repayment of all funds disbursed hereunder.
Additionally, the Deputy Director of the Division of Financial Assistance may request an audit pursuant to
Exhibit C, paragraph 4 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, 480 -490.)
EXHIBIT 1 Page 12 of 20
20C -14
City of Santa Ana
State Water Board Grant Agreement No. 14- 449 -550
Page 13 of 20
EXHIBIT C
GENERAL TERMS & CONDITIONS
1. 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 understanding or agreement not
incorporated in the Agreement is binding on any of the parties.
2. APPROVAL: The Grantee will not proceed with any work on the Project until authorized in writing by the
State Water Board,
3. ASSIGNMENT: This grant is not assignable by the Grantee, either in whole or in part, without the written
consent of the State Water Board.
4. AUDIT: The Grantee agrees the State Water Board, the Bureau of State Audits, the Governor of the State,
the Internal Revenue Service, or any authorized representative of the foregoing shall have the right to review
and to copy any records and supporting documentation pertaining to the performance of this Agreement.
The Division of Financial Assistance (Division), at its option, may call for an audit of financial information
relative to the Project, where the Deputy Director of the Division determines that an audit is desirable to
assure program integrity or where such an audit becomes necessary because of federal requirements.
Where such an audit is called for, the audit shall be performed by a certified public accountant independent
of the Grantee and at the cost of the Grantee. The audit shall be in the form required by the Division. The
Grantee agrees to maintain such records for a possible audit for a minimum of thirty -five (35) years after final
payment, unless a longer period of records retention is stipulated. The Grantee agrees to allow the
auditor(s) access to such records during normal business hours and to allow interviews of any employees
who might reasonably have information related to such records. Further, the Grantee agrees to include a
similar right of the State to audit records and interview staff in any contract related to performance of this
Agreement. (Gov. Code, § 8546.7; Pub. Contract Code, § 10115 at seq.)
5. BONDING: Where contractors are used, the Grantee shall not authorize construction to begin until each
contractor has furnished a performance bond in favor of the Grantee in the following amounts: faithful
performance (100 %) of contract value; labor and materials (100 %) of contract value. This requirement shall
not apply to any contract for less than $25,000.00. (Civ. Code, § 9550; Pub. Contract Code, § 7103.)
6. COMPLIANCE WITH LAW, REGULATIONS, ETC.: The Grantee agrees that it will, at all times, comply with
and require its contractors and subcontractors to comply with all applicable federal and state laws, rules,
guidelines, regulations, and requirements. Without limitation of the foregoing, the Grantee agrees that, to the
extent applicable, the Grantee will comply with the provisions of the adopted environmental mitigation plan
for the term of this Agreement, or the useful life of the Project, whichever is longer.
7. COMPUTER SOFTWARE: The Grantee certifies that it has appropriate systems and controls in place to
ensure that state funds will not be used in the performance of this Agreement for the acquisition, operation or
maintenance of computer software in violation of copyright laws.
8. CONFLICT OF INTEREST: The Grantee certifies that it is in compliance with applicable state and /or federal
conflict of interest laws.
9. CONTINUOUS USE OF PROJECT; LEASE OR DISPOSAL OF PROJECT: The Grantee agrees that,
except as provided in the Agreement, it will not abandon, substantially discontinue use of, lease, or dispose
of the Project or any significant part or portion thereof during the useful life of the Project without prior written
approval of the Deputy Director of the Division. Such approval may be conditioned as determined to be
appropriate by the Deputy Director of the Division, including a condition requiring repayment of all grant
funds or any portion of all remaining grant funds covered by this Agreement together with accrued interest
and any penalty assessments which may be due.
10. DAMAGES FOR BREACH AFFECTING TAX EXEMPT STATUS: In the event that any breach of any of the
provisions of this Agreement by the Grantee shall result in the loss of tax exempt status for any state bonds,
or if such breach shall result in an obligation on the part of the State to reimburse the federal government by
EXHIBIT 1 Page 13 of 20
20C -15
City of Santa Ana
State Water Board Grant Agreement No. 14- 449 -550
Page 14 of 20
reason of any arbitrage profits, the Grantee shall immediately reimburse the State in an amount equal to any
damages paid by or loss incurred by the State due to such breach.
11. DATA MANAGEMENT: This Project includes appropriate data management activities so that Project data
can be incorporated Into appropriate statewide data systems.
12. DISPUTES: The Grantee shall continue with its responsibilities under this Agreement during any dispute.
Any dispute arising under this Agreement which is not otherwise disposed of by agreement shall be decided
by the Deputy Director of the Division, or his or her authorized representative. The decision shall be reduced
to writing and a copy thereof furnished to the Grantee and to the State Water Board's Executive Director,
The decision of the Division shall be final and conclusive unless, within thirty (30) calendar days after mailing
of the Division decision to the Grantee, the Grantee mails or otherwise furnishes a written appeal of the
decision to the State Water Board's Executive Director. The decision of the State Water Board's Executive
Director shall be final and conclusive unless determined by a court of competent jurisdiction to have been
fraudulent, or capricious, or arbitrary, or so grossly erroneous as necessarily to imply bad faith, or not
supported by substantial evidence. In connection with any appeal under this clause, the Grantee shall be
afforded an opportunity to be heard and to offer evidence in support of its appeal. Pending final decision of a
dispute hereunder, the Grantee shall continue to fulfill and comply with all the terms, provisions,
commitments, and requirements of this Agreement. 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.
13. ENVIRONMENTAL CLEARANCE (CEQA/NEPA/STREAMBED ALTERATION):
a. No work that is subject to the California Environmental Quality Act (CEQA) or National Environmental
Policy Act (NEPA) may proceed under this Agreement until documents that satisfy the CEQA/NEPA
process are received by the Grant Manager and the State Water Board has given environmental
clearance. No work that is subject to an Environmental Impact Report or a Mitigated Negative
Declaration may proceed until and unless approved by the Deputy Director of the Division. Such
approval is fully discretionary and shall constitute a condition precedent to any work for which it is
required. 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.
b. If this Project includes modification of a river or stream channel, it must fully mitigate environmental
impacts resulting from the modification. The Grantee must provide documentation that the
environmental impacts resulting from such modification will be fully mitigated considering all of the
impacts of the modification and any mitigation, environmental enhancement, and environmental benefit
resulting from the Project, and whether, on balance, any environmental enhancement or benefit equals
or exceeds any negative environmental impacts of the Project.
14, FISCAL MANAGEMENT SYSTEMS AND ACCOUNTING STANDARDS: The Grantee agreesthat, at a
minimum, its fiscal control and accounting procedures will be sufficient to permit tracing of grant funds to a
level of expenditure adequate to establish that such funds have not been used in violation of state law or this
Agreement. The Grantee further agrees that It will maintain separate Project accounts in accordance with
generally accepted accounting principles.
15. GOVERNING LAW: This grant is governed by and shall be interpreted in accordance with the laws of the
State of California.
16, GRANTEE'S RESPONSIBILITY FOR WORK: The Grantee 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 Grantee shall be responsible for any and all
disputes arising out of Its contracts for work on the Project, including but not limited to payment disputes with
contractors and subcontractors. The State will not mediate disputes between the Grantee and any other
entity concerning responsibility for performance of work.
EXHIBIT 1 Page 14 of 20
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City of Santa Ana
State Water Board Grant Agreement No. 14. 449 -550
Page 15 of 20
17. INCOME RESTRICTIONS: The Grantee agrees that arty refunds, rebates, credits, or other amounts
(including any interest thereon) accruing to or received by the Grantee under this Agreement shall be paid by
the Grantee to the State, to the extent that they are properly allocable to costs for which the Grantee has
been reimbursed by the State under this Agreement.
18. INDEPENDENT ACTOR. The Grantee, 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 Slate Water
Board.
19 INSPECTION: The State Water Board, the Bureau of State Audits, or any authorized representative of the
foregoing, shall have suitable access to the Project site at all reasonable times during Project implementation
and thereafter for the useful life of the Project to ascertain compliance v4lh this Agreement and Its goals.
The Grantee ackrcwledges that the Project records and location are public records.
20. INSURANCE: Throughout the useful life of the Project, the Grantee shall provide and maintain insurance
against fire, vandalism and other loss, damage, or destruction of the facilities or structures constructed
pursuant to this Agreement, if any. This insurance shall be issued by a company or companies admitted to
transact business in the State of California. The insurance policy shall contain an endorsement specifying
that the policy will not be cancelled or reduced in coverage without thirty (30) days prior written notice to the
State Water Board. In the event of any damage to or destruction of the Projector any larger system of which
it is apart, the net proceeds of insurance shall be applied to the reconstruction, repairer replacement of the
damaged or destroyed parts of the Project or Its larger system. The Grantee shall begin such reconstruction,
repair, or replacement as expeditiously as possible and shall pay out of such net proceeds all costs and
expenses in connection with such reconstruction, repair or replacement so that the same shall be completed
and the larger system shall be free of all claims and liens. zt
21. NONDISCRIMINATION:
a. During the performance of this Agreement, the Grantee and its consultants and contractors shall not
unlawfully discriminate, harass, or allow harassment against arty 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, and denial of family care leave.
b. The Grantee, its consultants, and contractors shall ensure that the evaluation and treatment of their
employees arid applicants for employment are free from such disorimination and harassment.
c. The Grantee, its consultants, and contractors shall comply with the provisions of the Fair Employment and
Housing Act (Gov. Code, § 12990) and the applicable regulations promulgated thereunder (Cal. Code
Rags,, tit. 2, § 7285 at seq.). The applicable regulations of the Fair Employment and Housing
Commission implementing Government Code section 12990, set forth In Chapter 5 of Division 4 of Title
2 of the California Code of Regulations, are incorporated into this Agreement by reference and made a
part hereof as if set forth in full.
d. The Grantee, its consultants, and contractors shall give written notice of their obligations under this
clause to labor organizations with which they have a collective bargaining or other Agreement, if any
a. The Grantee shall include the nondiscrimination and compliance provisions of this clause in all
subcontracts to perform work under the Agreement. Failure by the Grantee to carry out these
requirements aril applicable requirements of 40 C.F.R. part 33 is a breach of a material provision of this
Agreement which may result in its termination.
22 NO THIRD PARTY RIGHTS: The parties to this grant Agreement do not create rights in, or grant remedies
to, any third party as a beneficiary of this grant Agreement, of of any duty, covenant, obligation or
undertaking established herein
*Please be advised that this Is to certify that the City of Santa Ana is a legally self - insured public entity. As such,
It self - Insures for the first $1,000,000 of Its Auto, Liability and Workers' Compensation coverage and purchases
'�• Its excess coverage through the Big Independent Cities Excess Pool (BICEP). The BICEP program provides
coverage up to $27,000,000 above the retained limits.
EXHIBIT 1 Page 1S of 20
20C -17
City of Santa Ana
State Water Board Grant Agreement No. 14- 449 -550
Page 16 of 20
23. NOTICE:
a. The Grantee shall notify the State Water Board prior to conducting construction, monitoring,
demonstration, or other implementation activities such that State Water Board and /or Regional Water
Board staff may observe and document such activities.
b. The Grantee shall promptly notify the State Water Board of events or proposed changes that could affect
the scope, budget, or work performed under this Agreement. The Grantee agrees that no substantial
change in the scope of the Project will be undertaken until written notice of the proposed change has
been provided to the State Water Board, and the State Water Board has given written approval for such
change.
c. Discovery of any potential archeological or historical resource. Should a potential archeological or
historical resource be discovered during implementation of the Project, the Grantee agrees that all work
in the area of the find will oease until a qualified archeologist has evaluated the situation and made
recommendations regarding preservation of the resource, and the Deputy Director of the Division has
determined what actions should be taken to protect and preserve the resource. The Grantee agrees to
implement appropriate actions as directed by the Division.
d. Discovery of any unexpected endangered or threatened species, as defined in the federal or California
Endangered Species Acts. Should a federal or state protected species be unexpectedly encountered
during implementation of the Project, the Grantee agrees to promptly notify the Deputy Director of the
Division. This notification is in addition to the Grantee's obligations under the federal or state
Endangered Species Acts.
e. The Grantee shall notify the State Water Board at least ten (10) working days prior to any public or media
event publicizing the accomplishments and /or results of this Agreement and provide the opportunity for
attendance and participation by State Water Board's representatives.
f. The Grantee shall promptly notify the State Water Board in writing of completion of work on the Project.
g. The Grantee shall promptly notify the State Water Board in writing of any cessation of all major
construction work on the Project where such cessation of work is expected to or does extend for a period
of thirty (30) days or more and of any circumstance, combination of circumstances, or condition, which is
expected to or does delay completion of construction for a period of ninety (90) days or more beyond the
estimated date of completion of construction previously provided.
24. OPERATIONS & MAINTENANCE: The Grantee shall maintain and operate the facility and structures
constructed or improved as part of the Project throughout the useful life of the Project, consistent with the
purposes for which this Grant was made. The Grantee assumes all operations and maintenance costs of the
facilities and structures; the State Water Board shall not be liable for any cost of such maintenance,
management or operation. The Grantee may be excused from operations and maintenance only upon the
written approval of the Deputy Director of the Division. For purposes of this Agreement, "operation costs"
Include direct costs incurred for material and labor needed for operations, utilities, insurance, and similar
expenses. "Maintenance costs" Include ordinary repairs and replacements of a recurring nature necessary
to prolong the life of capital assets and basic structures, and the expenditure of funds necessary to replace
or reconstruct capital assets or basic structures.
25. PERMITS, CONTRACTING, AND DEBARMENT: The Grantee shall procure all permits and licenses
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. Any contractors, outside
associates, or consultants required by the Grantee In connection with the services covered by this
Agreement shall be limited to such individuals or firms as were specifically Identified and agreed to during
negotiations for this Agreement, if any, or as are specifically authorized by the State Water Board's Grant
Manager during the performance of this Agreement. Any substitutions in, or additions to, such contractors,
associates, or consultants, shall be subject to the prior written approval of the State Water Board's Grant
Manager. The Grantee shall not contract with any party who is debarred or suspended or otherwise
excluded from or ineligible for participation in federal assistance programs under Executive Order 12549,
EXHIBIT 1 Page 16 of 20
Z
20C -18
City of Santa Ana
State Water Board Grant Agreement No, 14- 449 -550
Page 17 of 20
"Debarment and Suspension ". The Grantee shall not contract with any individual or organization on
USEPA's List of Violating Facilities. (40 CFR, Part 31.35; Gov. Code, § 4477) http: / /echo.epa.00v. The
Grantee certifies to the best of its knowledge and belief, that it and its principals:
a. Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily
excluded by any federal department, the California Department of Industrial Relations (DIR), or Grantee;
b, Have not within a three (3) -year period preceding this Agreement been convicted of or had a civil
judgment rendered against them for commission of fraud or a criminal offense in connection with
obtaining, attempting to obtain, or performing a public (federal, state or local) transaction or contract
under a public transaction; violation of federal or state antitrust statutes or commission of embezzlement,
theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen
property;
c. Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (federal,
state or local) with commission of any of the offenses enumerated in paragraph (b) of this certification;
and,
d. Have not within a three (3) -year period preceding this application /proposal had one or more public
transactions (federal, state or local) terminated for cause or default.
26. PREVAILING WAGES AND LABOR COMPLIANCE: If applicable, the Grantee agrees to be bound by all the
provisions of the Labor Code regarding prevailing wages and shall monitor all contracts subject to
reimbursement from this Agreement to assure that the prevailing wage provisions of the Labor Code are
being met. Current DIR requirements may be found at http: / /www.dir.ca.ciov /lco.asr). For more Information,
please refer to DIR's Public Works Manual at: httip://www.dir.ca.gov/dlse/PWManualCombined.odf.
27. PROFESSIONALS: The Grantee agrees that only licensed professionals 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 work 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 pursuant to Business and Professions Code, sections 6735,
7835, and 7835.1. To demonstrate compliance with California Code of Regulations, title 16, sections 415
and 3065, all technical reports must contain a statement of the qualifications of the responsible registered
professional(s). As required by these laws, completed 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.
28. RECORDS: Without limitation of the requirement to maintain Project accounts in accordance with generally
accepted accounting principles, the Grantee agrees to:
a. Establish an official file for the Project which shall adequately document all significant actions relative to
the Project;
b. Establish separate accounts which will adequately and accurately depict all amounts received and
expended on this Project, including all grant funds received under this Agreement;
c. Establish separate accounts which will adequately depict all income received which Is attributable to the
Project, especially including any income attributable to grant funds disbursed under this Agreement;
d. Establish an accounting system which will adequately depict final total costs of the Project, including
both direct and indirect costs;
e. 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,
f. If a Force Account is used by the Grantee for any phase of the Project, establish an account that
documents all employee hours, and associated tasks charged to the Project per employee.
EXHIBIT 1 Page 17 of 20
20C -19
City of Santa Ana
State Water Board Grant Agreement No 14- 449 -550
Page 18 of 20
29, RELATED LITIGATION: Under no circumstances may a Grantee use funds from any disbursement under
this Grant Agreement to pay costs associated with any litigation the Grantee pursues against the State
Water Board or any Regional Water Board. Regardless of the outcome of any such litigation, and
notwithstanding any conflicting language in this Agreement, the Grantee agrees to complete the Project
funded by this Agreement or to repay all of the grant funds plus interest.
30. RIGHTS IN DATA: The Grantee agrees that all data, plans, drawings, specifications, reports, computer
programs, operating manuals, audio and video recordings, notes, and other written or graphic work produced
in the performance of this Agreement shall be in the public domain. The Grantee may disclose, disseminate
and use in whole or in part, any final form data and Information received, collected, and developed under this
Agreement, subject to appropriate acknowledgement of credit to the State Water Board for financial support.
The Grantee shall not utilize the materials for any profit- making venture or sell or grant rights to a third party
who intends to do so.
31. STATE REVIEWS AND INDEMNIFICATION: The parties agree that review or approval of Project
applications, documents, permits, plans and specifications or other Project information by the State Water
Board is for administrative purposes only and does not relieve the Grantee of its responsibility to properly
plan, design, construct, operate, maintain, implement, or otherwise carry out the Project. To the extent
permitted by law, the Grantee agrees to indemnify, defend and hold harmless the State Water Board and the
State against any loss or liability arising out of any claim or action brought against the State Water Board
and/or the State from and against any and all losses, claims, damages, liabilities or expenses, of every
conceivable kind, character and nature whatsoever arising out of, resulting from, or in any way connected
with (1) the Project or the conditions, occupancy, use, possession, conduct or management of, work done In
or about, or the planning, design, acquisition, installation or construction, of the Project or any part thereof;
(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 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 Grantee 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 Grantee agrees to
pay and discharge any judgment or award entered or made against the State Water Board and /or the State
with respect to any such claim or action, and any settlement, compromise or other voluntary resolution. The
provisions of this section shall survive the term of this Agreement.
32, STATE WATER BOARD ACTION, COSTS, AND ATTORNEY FEES: The Grantee agrees that any remedy
provided in this Agreement 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 Grantee, whether such
breach occurs before or after completion of the Project, 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 filing costs and attorney fees.
33. SUPPLEMENTAL ENVIRONMENTAL PROJECTS: Grant Funds shall not be used for supplemental
environmental projects required by Regional Water Boards.
34. TERMINATION, IMMEDIATE REPAYMENT, INTEREST: This Grant Agreement may be terminated by
written notice at any time prior to completion of the Project, at the option of the State Water Board, upon
violation by the Grantee of any material provision after such violation has been called to the attention of the
Grantee and after failure of the Grantee to bring itself into compliance with the provisions of this Agreement
within a reasonable time as established by the State Water Board. In the event of termination, the Grantee
agrees, upon demand, to immediately repay to the State Water Board an amount equal to the amount of
grant funds disbursed to the Grantee prior to such termination. 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 Grantee to the date of full repayment by the Grantee,
EXHIBIT 1 Page 18 of 20
20C -20
City of Santa Ana
State Water Board Grant Agreement No. 14- 449 -550
Page 19 of 20
35. TIMELINESS: Time is of the essence in this Agreement. The Grantee shall proceed with and complete the
Project in an expeditious manner.
36. TRAVEL AND PER DIEM: 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 beat the State
travel and per diem amounts that are current as of the date costs are incurred by the Grantee. No travel
outside the State of California shall be reimbursed unless prior written authorization is obtained from the
Grant Manager,
37, 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 shall continue to have
full force and effect and shall not be affected thereby.
38. URBAN WATER MANAGEMENT: The Grantee certifies that this Project complies with the Urban Water
Management Planning Act (Water Code, § 10610 at sec.). This shall constitute a condition precedent to this
Agreement.
39. USEFUL LIFE OF PROJECT: For the purpose of this Agreement, the useful life of any constructed portions
of this Project begins upon completion of construction and continues until fifty (50) years thereafter for
pipelines and structures and twenty (20) years for all else.
40. VENUE: The State Water Board and the Grantee 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, or in the
United States District Court in and for the Eastern District of California. The Grantee hereby waives any
existing sovereign immunity for the purposes of this Agreement.
41. WAIVER AND RIGHTS OF THE STATE WATER BOARD: Any waiver of rights with respect to a default or
other matter arising under the Agreement at anytime by either party shall not be considered a waiver of
rights with respect to any other default or matter. Any rights and remedies of the State provided for in this
Agreement are in addition to any other rights and remedies provided by law.
42. WATER CONSERVATION AND EFFICIENCY PROGRAMS: The Grantee acknowledges that it has
appropriate water conservation and efficiency programs in place, and that this provision constitutes a
condition of the grant award. A web link with examples of water conservation and efficiency programs is
available at: http://www.waterboards.ca.gov/waterrights/Water issues /programs /drought /conservation shtml,
The grantee also agrees to comply with the State Water Board's Drought Emergency Water Conservation
regulations in sections 863 -865 of title 23 of the California Code of Regulations. If applicable, the Grantee
agrees to include a discussion of progress and compliance in its reports submitted pursuant to Exhibit B of
this Agreement.
43, WATER RIGHTS: The Grantee acknowledges that its eligibility for this Grant award is conditioned on its
compliance with Water Code section 5103(e), if applicable. The Grantee further certifies that it is not
required to file a Statement of Diversion and Use pursuant to Water Code section 5101.
44. WATERSHED MANAGEMENT PLAN CONSISTENCY: The Grantee certifies that any watershed protection
activity undertaken as part of this Project will be consistent with the applicable, adopted, local watershed
management plans and the applicable Water Quality Control Plan (Basin Plan and/or Statewide) adopted by
a Regional Water Board or the State Water Board, where such plans exist. Any such activity occurring in the
San Gabriel and Los Angeles watersheds shall be consistent with the San Gabriel and Los Angeles River
Watershed and Open Space Plan as adopted by the San Gabriel and Lower Los Angeles Rivers and
Mountain Conservancy and the Santa Monica Mountains Conservancy.
45, WITHHOLDING OF GRANT DISBURSEMENTS: The State Water Board may withhold all or any portion of
the grant funds provided for by this Agreement in the event that the Grantee has materially violated, or
threatens to materially violate, any term, provision, condition, or commitment of this Agreement; or the
Grantee fails to maintain reasonable progress toward completion of the Project.
EXHIBIT 1 Page 19 of 20
20C -21
City of Santa Ana
State Water Board Grant Agreement No. 14- 449 -550
Page 20 of 20
EXHIBIT D
SPECIAL CONDITIONS
Proposition 40 Stormwater Grant Program
1. The Grantee certifies that it is a local public agency (i.e., one of the following: a city, county, city and county,
district, or a joint powers authority comprised entirely of local public agencies).
2. The Grantee certifies that this Project is intended to achieve one of the purposes set forth in Public Resources
Code section 75050.2(a).
3. The Grantee certifies that any real property or interests in real property acquired for this Project shall be
acquired from a willing seller.
4. The Grantee certifies that it is providing a match to the amount of at least 20% of the total Project cost (see
Round 2 Guidelines, page 3).
5. The Grantee certifies that in no event will it complete this Project later than August 31, 2016. It
acknowledges that this condition is a material condition of this Agreement.
EXHIBIT 1 Page 20 of 20
200-22