Loading (50 kb)...'

(continued)

Note: Authority cited: Section 7267.8, Government Code. Reference: Section 7268, Government Code.


s 370.28. Temporary Moves for Rehabilitation.
(a) If temporary displacement is required because of a program of residential rehabilitation the occupants displaced may be provided at State expense with the following:
(1) Temporary housing in motels or apartments. Displacee shall continue to be liable for payment of rent on the unit from which they have been temporarily displaced.
(2) Transportation of displacees.
(3) Moving of personal property.
(4) Storage of personal property.
(5) Gas and electricity in temporary residence.
(6) Telephone transfers.
(7) If displacees are moved from housekeeping units to accommodations without kitchens, meals shall be provided. The Department may contract with restaurants, or at its option the Department may provide a meal allowance of $12.00 per day for each displacee. The meal allowance may be paid in advance when deemed appropriate by the Department.

Note: Authority cited: Section 7267.8, Government Code. Reference: Section 7268, Government Code.


s 370.40. General.
The provisions of the Relocation Assistance and Real Property Acquisition Guidelines of the State of California, Department of Housing and Community Development, regarding acquisition policies (California Administrative Code, Title 25, Chapter 6, Article 6) are hereby incorporated.

Note: Authority cited: Section 7267.8, Government Code. Reference: Section 7268, Government Code.


s 380. Purpose and Scope.
The purpose of these regulations is to establish those procedures authorized and required by legal enactments, including the following:
- Chapter 1434 of the Statutes of 1974, as amended, which added Chapter 10 (commencing with Section 4525) of Division 5 of Title 1 of the Government Code.
- Initiative Measure of 2000 (Proposition 35, s 4, approved November 7, 2000, effective November 8, 2000), which added Chapter 10.1 (commencing with Section 4529.10) of Division 5 of Title 1 of the Government Code.
- Article XXII of the California Constitution, Article XXII, which was added by Initiative Measure (Proposition 35, s 4, effective November 8, 2000, approved November 7, 2000), and amended the California Constitution.
Such procedures shall require the securing of services covered under Chapter 10 and Chapter 10.1, Title 1, Division 5 of the Government Code on the basis of demonstrated competence and on the professional qualifications necessary for the satisfactory performance of the services required.
The Department of Water Resources is authorized to contract with qualified firms, as described in Government Code Section 4525(a), for the services listed in Government Code Section 4525(d), 4525(e), and 4525(f).
The regulations in this chapter are intended to be broad enough to encompass all matters needed for the Department of Water Resources to carry out its mission, which includes the duty to manage the water resources of California in cooperation with other agencies, to benefit the State's people, and to protect, restore, and enhance the natural and human environments, and to fulfill its statutory mandates.

Note: Authority cited: Section 4526, Government Code. Reference: Sections 4526 and 4529.10, Government Code.




s 381. Definitions.
As used in these regulations:
(a) The term "architectural and engineering (hereafter "A&E") services" shall include all architectural, landscape architectural, environmental, engineering, land surveying, and construction project management services, as well as incidental services that members of these professions and those in their employ may logically or justifiably perform, including permitting and environmental studies, rights-of-way services, design phase services, construction phase services, public outreach and meeting facilitation related to the foregoing. "A&E services" shall not include legal services rendered to the Department, provided that nothing in these regulations shall prevent an A&E contractor from consulting legal counsel and including the fees as part of its reasonable overhead.
(b) "Department" and "DWR" mean the Department of Water Resources.
(c) "Director" is the Director of the Department of Water Resources or any person delegated by the Director to act on the behalf of the Director.
(d) "Firm" means any individual, firm, partnership, corporation, association, or other legal entity permitted by law to practice the professions of architecture, landscape architecture, engineering, environmental services, land surveying, or construction project management.
(e) "Project" includes a project as defined in Section 10105 of the Public Contract Code, or as defined in Public Resources Code Section 21065. Project shall also include any or all of the State Water Project, the Sacramento River Flood Control Project, any authorized flood control project pursuant to Water Code Section 12570 et seq., and any dam subject to the jurisdiction of the Department pursuant to Water Code Section 6000 et seq. "Project" also includes "'services"' which relate to public works of improvement or other similar Department needs. "Services" shall mean any activity described in Section 381(a) including incidental or ancillary services typically, logically or justifiably performed in connection therewith. Such incidental services may include educational, instructional, training, and public outreach services, providing workshops, making presentations and facilitating meetings. Furthermore, "project" means the nature or scope of work being solicited as defined by a statewide announcement and/or Request for Qualifications.
(f) "RFQ" is an acronym for Request for Qualifications, the solicitation document used to request a Statement of Qualifications of firms that perform A&E services.
(g) "Small business" firm is a firm certified as a "small business" in accordance with Section 14837 of the Government Code.
(h) "SOQ" is an acronym for Statement of Qualifications, the response to an RFQ or annual announcement submitted by firms that perform A&E services.

Note: Authority cited: Section 4526, Government Code. Reference: Sections 4525, 4526, 4527 and 4529.10, Government Code.




s 381.1. Announcements for Statement of Qualifications and Performance Data.
On an annual basis, or more or less frequently as needed by the Department, the Director may request SOQs for specified A&E services by statewide announcement as provided in Section 384 of these regulations. This announcement must, at a minimum, include a description of the project or proposed services, a Department contact, and the date, time and location for submission of SOQs. The announcements may also identify the criteria upon which the award will be made. The statewide announcement shall be made through publications of the respective professional societies.

Note: Authority cited: Section 4526, Government Code. Reference: Section 4527, Government Code.




s 382. Establishment of Criteria.
The Director shall establish criteria which will comprise the basis for selection for each project or proposed services. The criteria shall include such factors as professional excellence, demonstrated competence, specialized experience of the firm, education and experience of key personnel to be assigned, staff capability, workload, ability to meet schedules, nature and quality of completed work, reliability and continuity of the firm and/or subcontractors, location, or other considerations deemed relevant. Such factors shall be weighted by the Director according to the nature of the project or proposed services, the needs of the State and complexity and special requirements of the specific project or proposed services.

Note: Authority cited: Section 4526, Government Code. Reference: Sections 4526 and 4529.12, Government Code.




s 383. Estimate of Value of Services.
Before any discussion with any firm concerning fees may take place, the Director shall cause an estimate of the value of such services to be prepared. This estimate may be based on such factors as a market survey, comparison with fees paid to other departments' or agencies' contractors for similar services, or comparison with the salaries of comparable positions within the Department, within State service, or within other governmental entities. This estimate shall serve as a guide in determining fair and reasonable compensation for the services rendered. Such estimate shall be, and remain, confidential until approval of contract or abandonment of any further procedure for the services to which it relates. At any time the Director determines the State's estimates to be unrealistic due to rising costs, special conditions, or for other relevant considerations, the estimate shall be reevaluated and modified if necessary.

Note: Authority cited: Section 4526, Government Code. Reference: Sections 4526, 4528 and 4529.12, Government Code.




s 384. Request for Qualifications - Publication of Announcement.
(a) Where a project or Department need requires A&E services, the Department may make a statewide announcement through the publications of the respective professional societies, in a construction trade journal, or publicize the requirements for services in other appropriate publications.
The Department may also or as an alternative selectively advertise to reach providers of services within the appropriate trade or profession by publishing the announcement through electronic communications media which support bulletin boards or Internet web sites that have demonstrated statewide accessibility and are regularly maintained at established addresses by professional organizations which are representative of the services to be procured.
Failure of any professional society or construction trade journal to publish the announcement shall not invalidate any contract.
(b) The announcement shall include information describing the project or services, a Department contact for obtaining RFQs and the due date, time and location for submission of SOQs. The announcement may also identify the criteria upon which the award will be made. The announcement shall be statewide and shall be made through publications of the respective professional societies.
(c) The Director shall endeavor to provide to all small business firms that have indicated an interest in receiving such, a copy of each announcement for work, projects or services for which the Director concludes that small business firms could be especially qualified. A failure of the Director to send a copy of an announcement to any firm shall not operate to preclude any contract.
(d) If the Department has received at least three SOQs from qualified firms through the announcement issue pursuant to Section 381.1, the Director may waive the statewide announcement required in subdivision (a) of this section.
(e) The Director shall disseminate RFQs to those firms responding to the announcement and to qualified firms providing SOQs pursuant to Section 381.1. The RFQs shall include a description of the project, the criteria upon which the award shall be made, the due date, SOQ submission and contract requirements. The RFQs may also provide for the award of multiple contracts if the selection procedure is sufficiently described in the RFQ and the award otherwise complies with the provisions of this subchapter.

Note: Authority cited: Section 4526, Government Code. Reference: Sections 4526, 4527 and 4529.5, Government Code.




s 385. Selection Process.
After expiration of the period stated in the announcement prescribed in Section 384, the Director shall evaluate statements of qualifications and performance data that have been submitted to the Department. Discussions shall be conducted with no less than three firms regarding the required service. Where three firms cannot be found that could provide the required service, a full explanation including names and addresses of firms and individuals requested to submit qualifications must be entered in the files. From the firms with which discussions are held, the Director shall select no less than three, in order of preference, based upon the established and published criteria, that are deemed to be the most highly qualified to provide the services required.

Note: Authority cited: Section 4526, Government Code. Reference: Sections 4526, 4527 and 4529.12, Government Code.




s 386. Negotiation.
The Director shall attempt to negotiate a contract with the most highly qualified firm. In negotiating fees and executing a contract, the procedure described in Section 6106 of the Public Contract Code shall be followed. When the Director is unable to negotiate a satisfactory contract with this firm with fair and reasonable compensation provisions as determined by the procedure set forth in Section 383, negotiations shall be terminated. The Director may then undertake negotiations with the second most qualified firm on the same basis. Failing accord, negotiations shall be terminated. The Director may then undertake negotiations with the third most qualified firm on the same basis. Failing accord, negotiations shall be terminated. Should the Director be unable to negotiate a satisfactory contract at fair and reasonable compensation with any of the selected firms, additional firms may be selected in the manner prescribed and the negotiation procedure continued.

Note: Authority cited: Section 4526, Government Code. Reference: Sections 4526, 4526.5, 4527 and 4528, Government Code.




s 386.1. Length of Agreements.
Firms selected may be retained for up to one year or longer if needed to complete the project or the services.

Note: Authority cited: Section 4526, Government Code. Reference: Section 4528 Government Code.




s 387. Amendments.
Where the Director determines that a change in the contract is necessary during the performance of the services, the parties may, by mutual consent, in writing, agree to modifications, additions or deletions in the general terms, conditions and specifications for the services involved, including extensions of time, with a reasonable adjustment in the firm's compensation.

Note: Authority cited: Section 4526, Government Code. Reference: Sections 4526, 4528 and 4529.12, Government Code.




s 388. Alternative Contract Procedures.
(a) Contracting in Phases. Should the Director determine that it is necessary or desirable to have a given project or set of services performed in phases, it will not be necessary to negotiate the total contract price or compensation provisions in the initial instance, provided that the Director shall have determined that the firm is best qualified to perform the whole project at a fair and reasonable cost, and the contract contains provisions that the State, at its option, may utilize the firm for other phases and that the firm will accept a fair and reasonable price for subsequent phases to be later negotiated and reflected in a subsequent written instrument. The procedure with regard to estimates and negotiation shall otherwise be applicable, i.e., in all other respects 'Contracts in Phases' must comply with Chapter 10 and Chapter 10.1, Title 1, Division 5 of the Government Code.
(b) Retainer Agreements. The Department may identify the general need for A&E services to assist in its overall mission and may enter into contracts for such services through a retainer agreement. Retainer agreements will provide a process for the development and execution of task orders for defined A&E work. Rates for such work shall be specified in a rate schedule to be attached to the original contract provided that rates may be modified and categories of work added by mutual agreement of the parties. Retainer agreements must comply with Chapter 10 and Chapter 10.1, Title 1, Division 5 of the Government Code.

Note: Authority cited: Section 4526, Government Code. Reference: Sections 4526 Government Code; Article XXII, California Constitution, Section 1.




s 389. Director's Power to Require Bids.
Where the Director determines that the services needed are technical in nature and involve little professional judgment and that requiring bids would be in the public interest, a contract may be awarded on the basis of bids rather than by following the foregoing procedures for requesting qualifications and negotiation.

Note: Authority cited: Section 4526, Government Code. Reference: Section 4529, Government Code; Article XXII, California Constitution, Section 1.




s 390. Exclusions.
The provisions of this subchapter shall not apply to service agreements for architects or engineers engaged to provide consulting services on specific problems on projects where the architectural and engineering work is being performed by State of California Civil Service employees, nor to service agreements for the services of recognized experts retained as members of advisory boards.

Note: Authority cited: Section 426, Government Code. Reference: Sections 4525-4529, Government Code.




s 391. Prohibited Practices and Conflict of Interest.
(a) Practices which might result in unlawful activity, including but not limited to rebates, kickbacks, or other unlawful consideration are strictly prohibited. The Department shall require a contract entered into pursuant to this chapter to include a provision in which the firm represents that the contract was not obtained through rebates, kickbacks, or other unlawful considerations either promised or paid to a DWR employee. In addition to any other applicable legal proscriptions, failure to adhere to the representation may be cause for contract termination and recovery of damages under the rights and remedies due the Department under the default provision of the contract.
(b) A DWR employee shall not participate in the selection process if the employee has a relationship, as specified in Section 87100 of the Government Code, with a firm seeking a contract subject to this chapter.
(c) Nothing in this chapter shall be construed to abridge the obligation of the Department or the firm to comply with all laws regarding political contributions, conflicts of interest, or unlawful activities.

Note: Authority cited: Section 4526, Government Code. Reference: Sections 4526, 4527 and 4529.12, Government Code.








s 392. Definitions.
This Chapter shall apply to the Department's award of contracts under the State Contract Act, Public Contract Code Sections 10100 et seq.
As used in these regulations:
(a) "Department" is the Department of Water Resources.
(b) "Minority" shall have the meaning set forth in Section 10115.1 of the Public Contract Code.
(c) "M/WBE" means minority business enterprise and or women business enterprise.
(d) The terms "minority business enterprise" ( "MBE") and "women business enterprise" ( "WBE"), shall have the respective meanings set forth in Section 10115.1 of the Public Contract Code.
(e) "Contract" shall mean public works contracts as defined in Section 1101 of the Public Contract Code which are awarded by the Department pursuant to the State Contract Act, Public Contract Code Sections 10100 et seq.

Note: Authority cited: Section 10115.3, Public Contract Code. Reference: Sections 10115.1 and 10115.2, Public Contract Code.




s 393. Minority and Women Business Enterprise Bid Requirements.
Bidders shall either (1) meet the M/WBE goals as set forth in Section 10115 of the Public Contract Code and specified in the bid package released by the Department, and shall provide within the time frames specified in the bidding requirements the names of their M/WBE subcontractors and suppliers of services, material and equipment, together with certification of their M/WBE status as described in Section 393(a) and their indicated dollar participation, or (2) provide within the time frames specified in the bidding requirements the required documentation demonstrating that they have made a good faith effort as described in Section 393(b) to meet the specified goals.
(a) Certification that a firm meets the definition of a M/WBE pursuant to Sections 10115.1(e) and 10115.1(f) of the Public Contract Code shall be accepted when completed by federal, state or local agencies designated by the Department as acceptable for issuing such certification verifying that a specific firm is a M/WBE. These agencies shall include but not be limited to:
(1) State Department of Transportation
(2) U.S. Small Business Administration
(b) A bidder shall be considered to have made a good faith effort upon showing, within the time limits specified in the bidding requirements, to the satisfaction of the Department, that the requirements set forth in Section 10115.2(b) of the Public Contract Code or any other requirements described in the bidding requirements were met.

Note: Authority cited: Section 10115.3, Public Contract Code. Reference: Section 10115.2(c), Public Contract Code.




s 394. Applicability.
The Department may exempt the application of these regulations to specified contracts pursuant to Section 10115.2(c) of the Public Contract Code.

Note: Authority cited: Section 10115.3, Public Contract Code. Reference: Sections 10115.1 and 10115.2, Public Contract Code.




s 400. Definitions.
As used in these regulations, the terms listed below shall have the meanings noted:
(a) "Department," "project" and "public agency" shall have the meaning given in Water Code Sections 22, 12881.2(a) and 12881.2(b), respectively.
(b) Governing Body. "Governing body" shall mean the body which is empowered by law to govern the business of a public agency.
(c) Act. "Act" shall mean the Davis-Grunsky Act as set forth in Chapter 5 (commencing with Section 12880) of Part 6 of Division 6 of the Water Code, and any and all amendments which may hereafter be made thereto.
(d) Applicant. "Applicant" shall mean any public agency applying for financial assistance under the Davis-Grunsky Act.

Note: Authority cited: Section 12890, Water Code. Reference: Section 12881.2, Water Code.




s 405. Purposes and Effect of Regulations.
These regulations are adopted for the purpose of carrying out the provisions of the Davis-Grunsky Act.

Note: Authority cited: Section 12890, Water Code. Reference: Sections 12880 et seq., Water Code.




s 406. Official Records.




s 407. Filing Fees.
No filing fee is required to accompany any request for a preliminary determination of eligibility or any application for assistance under the act.

Note: Authority cited: Section 12890, Water Code. Reference: Section 12882, Water Code.



s 411. Form of Request for Preliminary Determination of Eligibility.
Applicants for a loan or grant under the act for the construction of a proposed project shall file with the department a request for a preliminary determination of eligibility in duplicate on a form provided by the department.

Note: Authority cited: Section 12890, Water Code. Reference: Section 12882, Water Code.



s 412. Material to Accompany Request.
Each request that is filed with the department shall be accompanied by duplicate copies of the following material:
(a) A resolution by the governing body authorizing the filing of the request, and designating a representative authorized to act on behalf of the applicant.
(b) A generalized sketch of the proposed project on a U.S. Geological Survey quadrangle map or on any other suitable and readily available map.
(c) Applicant's most recent financial statement.
(d) Such other material as the department may require.

Note: Authority cited: Section 12890, Water Code. Reference: Section 12882, Water Code.



s 413. Omissions in Request for Preliminary Determination of Eligibility.
If a request for a preliminary determination of eligibility submitted to the department is not complete, or if additional information is required, the department will notify the public agency in what respect the request is incomplete. If the request is not completed within 60 days after notice that the request is incomplete, unless the department extends this time for good cause shown, the department will return the request to the public agency without making any finding as to eligibility and without prejudice to the submission of a new request at any future time.

Note: Authority cited: Section 12890, Water Code. Reference: Section 12882, Water Code.



s 414. Review by Department.
Upon receipt of a properly completed request, the department will review it forthwith and will make preliminary findings regarding eligibility as to type of agency, type of project, purposes of project, conformance with The California Water Plan, statewide interest, and, when a loan is proposed, the reasonable ability of the applicant to finance from other sources.

Note: Authority cited: Section 12890, Water Code. Reference: Section 12882, Water Code.



s 415. Notice to Applicants.
After a review of a request, the department will notify the applicant of the department's preliminary findings. Such findings shall be solely for the information and guidance of the applicant in determining whether or not it wishes to proceed with an application.

Note: Authority cited: Section 12890, Water Code. Reference: Section 12882, Water Code.



s 416. Time to Complete Applications.
Upon notice by the department to a public agency of its findings on a request for preliminary determination of eligibility, the public agency will be given a period of one year to complete an application, as set forth in Article 3. If an application is not completed within one year, or within such additional time as the department may grant for good cause shown, then a new request for preliminary determination of eligibility must be filed with the department.

Note: Authority cited: Section 12890, Water Code. Reference: Section 12882, Water Code.



s 420. Form of Application.
Applicants for a loan and applicants for a grant under the Act for the construction of a proposed project, and applicants for a grant under the Act for the construction of initial water supply and sanitary facilities, shall also file with the Department an application in writing which shall contain a specific request for each type of assistance applied for in a specified amount. Such application may be in the form of a letter and shall be accompanied by twenty-five (25) copies of a feasibility report on the applicant's proposed project and by a resolution by the governing body of the applicant adopting the feasibility report and specifically authorizing the filing of the application by a designated representative who is to represent the applicant until final action is taken by the Department on the application. Feasibility reports shall be prepared at the expense of the applicant, under the direction of a licensed civil engineer, except that where an applicant for a loan for an irrigation distribution system project or a municipal distribution system project has no engineer, the feasibility report may be prepared by or under the direction of, the county surveyor, road commissioner or comparable officer of a county in which the applicant is located, in whole or part. Applicants shall obtain a determination from the Department before filing an application whether feasibility reports shall include reports prepared by financial consultants, economists, recreation planners, or by consultants in other special fields. Supporting material with respect to the ability of a public agency to repay a loan and with respect to the reasonable ability of the public agency to finance all or part of the proposed project from other sources may be supplied by the county assessor or the county engineer.
In addition to the above, applications for loans for irrigation or municipal distribution system projects which involve extreme hardship which jeopardizes the public health, safety or welfare shall describe, generally, such extreme hardship existing with respect to the water supply, the financial and economic conditions existing in the area, and the proposed project, and shall be accompanied by:
(a) A report by the assessor of the local agency with respect to assessed valuation and tax delinquencies.
(b) In cases involving a health hazard with respect to the domestic water supply, a report by the local health officer or by the Department of Public Health with respect to such health hazard.

Note: Authority cited: Section 12890, Water Code. Reference: Section 12882, Water Code.



s 420.1. Time of Filing Application for Facilities Grant.
Applicants for a grant under the act for the construction of initial water supply and sanitary facilities shall file an application for such assistance at the same time an application is filed for a grant for the construction of a proposed project.

Note: Authority cited: Section 12890, Water Code. Reference: Section 12882, Water Code.



s 421. Contents of Feasibility Report.
The feasibility report should contain sufficient information and data to demonstrate that the proposed project is engineeringly feasible, economically justified, and financially sound. The amount of detailed information required in the feasibility report will vary with the type, purpose, and complexity of the project. In each case, the department will advise the applicant regarding the nature and scope of the information and studies which should be contained in the feasibility report. The department will also advise the applicant of the criteria it will use to evaluate the engineering, economic, and financial aspects of the project. In general, feasibility reports shall contain the following:
(a) A general description of the project plan, purpose, and accomplishments, with a map showing the project features and service area.
(b) Studies of water resources and water requirements, including project operational studies demonstrating the accomplishments of the project.
(c) Status of water rights necessary for operation of the project.
(d) Preliminary designs and cost estimates of the project features in sufficient detail to establish probable cost of the project. Estimates of annual costs of operation and maintenance should also be included.
(e) Economic studies to establish the benefits and economic justification of the project.
(f) An allocation of costs among the purposes of the project, if the project has more than one purpose.
(g) Financial studies indicating the proposed method of financing, sources of revenue, and repayment schedule.
(h) A construction schedule and an estimate of the amount of state funds required each year.
(i) Environmental documents prepared and submitted pursuant to Title 14, Division 6, Chapter 3 (Register 78, No. 5) and Title 23, Chapter 2, Subchapter 3 of this Code.
(j) Such other information as the Department may require.

Note: Authority cited: Section 21082, Public Resources Code; Section 12890, Water Code. Reference: Sections 21069, 21150, 21153, Public Resources Code; Sections 12882-12882.5, Water Code.



s 422. Omissions in Application.
If an application submitted to the Department is not complete, or if additional information is required, the Department will notify the applicant in what respect the application is incomplete. If the application is not completed within 90 days after the notice that the application is incomplete, unless the Department extends this time for good cause shown, the Department will return the application to the applicant without making any findings on the application and without prejudice to the submission of a new application at any future time.

Note: Authority cited: Section 12890, Water Code. Reference: Section 12882, Water Code.



s 423. Use of Department's Data.
Any pertinent data in the files of the department will be made available to applicants for use in preparing applications and feasibility reports. Such data will be furnished free of charge except for costs of reproduction. If the proposed project has been reported on by the department, the report may be used by the applicant and supplemented by such additional information as may be necessary to complete the application.

Note: Authority cited: Section 12890, Water Code. Reference: Section 12882, Water Code.



s 424. Review and Report by the Department.
(a) The Department shall review any application and environmental document submitted to it pursuant to Title 14, Section 15146 of this Code. (Register 78, No. 5).
(b) The Department shall then prepare a report containing its findings and recommendations with respect to the application and will file said report with the State Legislature.
(c) The Department shall furnish the applicant with copies of the report.

Note: Authority cited: Section 21082, Public Resources Code; Section 12890, Water Code. Reference: Sections 21002, 21002.1, and 21150, Public Resources Code; Section 12882.4, Water Code.



s 425. Submission to California Water Commission.
The Department will submit all applications filed under this Article 3 and the Department's reports thereon to the California Water Commission for its approval before final action is taken by the Department.

Note: Authority cited: Section 12890, Water Code. Reference: Section 12891.4, Water Code.



s 426. Notice to Applicants.
The department will notify each applicant of the official action taken by the department and by the California Water Commission with respect to the application.

Note: Authority cited: Section 12890, Water Code. Reference: Section 12891.4, Water Code.




s 427. Form and Filing of Application.
Applications for state participation under Article 7 (commencing with Section 12886) of the Act shall be made to the Department by a public agency in the form of a letter stating the conditions under which the state participation is desired, accompanied by a resolution by the governing body of the applicant authorizing the filing of the application by a designated representative who is to represent the applicant until final action is taken by the Department on the application. The applicant shall submit to the Department such additional information as the Department may require to reach a decision in the particular case.

Note: Authority cited: Section 12890, Water Code. Reference: Section 12886.4, Water Code.



s 431. Contract.
State funds will not be advanced to any applicant pursuant to an approved loan or grant until a contract between the applicant and the department setting forth terms and conditions of such loans or grants has been executed.

Note: Authority cited: Section 12890, Water Code. Reference: Section 12887.2, Water Code.



s 432. Water Rights.
The department will not execute a contract with any applicant for a loan or grant for the construction of a proposed project, or grant for the construction of initial water supply and sanitary facilities, or state participation, until the applicant submits evidence satisfactory to the department that the applicant holds or can acquire water rights adequate to permit operation of the project as specified in the application. No funds shall be disbursed under the contract unless or until the applicant has or obtains a right or permit to appropriate the water required for operation of the project.

Note: Authority cited: Section 12890, Water Code. Reference: Section 12882, Water Code.




s 435. Feasibility Report.
As used in this Article 5 of these regulations, "feasibility report" shall mean such report on the feasibility of a public agency's proposed project as the department may require the public agency to file with the department in support of an application by the public agency under the Act for a loan for the construction of the proposed project.

Note: Authority cited: Section 12890, Water Code. Reference: Section 12882, Water Code.




s 436. Form and Filing of Application.
Applicants for a loan under the act for the preparation of a feasibility report on a proposed project shall file an application for the loan on a form provided by the department. Such application should be filed after receipt of a favorable written reply from the department on a written request for a preliminary determination of eligibility for a loan for the construction of the proposed project filed with the department by the applicant in accordance with Article 2 of these regulations. The application shall be accompanied by such additional information as the department may determine is required to reach a decision in the particular case.

Note: Authority cited: Section 12890, Water Code. Reference: Section 12882, Water Code.




s 437. Other Applicable Provisions.
The provisions of Sections 422, 423, 424, 425, and 431 of these regulations shall also apply to applications for loans under the Act for the preparation of feasibility reports.

Note: Authority cited: Section 12890, Water Code. Reference: Section 12882, Water Code.




s 445. Eligible Recreation Activities.
In calculating recreation benefits, the recreation activities that the Department will consider shall be limited to water-associated activities which take place in, on, or adjacent to the reservoir, and which entail direct enjoyment of the recreational values of the reservoir. The activities considered may include bathing, fishing, hunting, boating, water skiing, picnicking, and camping.
Activities and facilities which the Department will not consider shall include, but not be limited to, the following: hiking, riding, cycling, scientific-historic appreciation, swimming pools, swimming lagoons detached from reservoirs, athletic fields, amphitheaters, museums, zoos, nature study areas, stables, and golf courses.

Note: Authority cited: Section 12890, Water Code; reference: Section 12884.2, Water Code.




s 446. Eligible Recreation Lands.

Note: Authority cited: Section 12890, Water Code. Reference: Section 12884.2, Water Code.






Note: Authority cited for Article 9 (Sections 447-450, inclusive): Section 6078, Water Code. Reference: Section 12885.9, Water Code.




s 449.1. Definitions.
The words used in this chapter have the meanings provided in Water Code Section 12929.2 and set forth below:
(a) "Act" means the Environmental Water Act of 1989 as set forth in Chapter 7.7 of Part 6 of Division 6 of the Water Code (commencing as Section 12929) and any amendments thereto.
(b) "Applicant" means the agency or entity requesting a grant, loan, or combination of grant and loan under the Act.
(c) "Direct Expenditure" means costs incurred by the Department as a result of staff salary and overhead expenses associated with implementing and administering the Act and other costs incurred under the Act.
(d) "Enhancement" means the process of improving upon current conditions, and may be used to describe a program that results in a specific area, such as a watershed, wetland, fisheries, or riparian area, gaining desired features. It is distinguishable from "restoration" in that it does not imply merely a return to natural conditions, but may include the provision of other features that were not part of the area's natural conditions.
(e) "Environmental Water Program" means the program authorized by Article 3 of the Act (ss 12929.20 through 12929.26, inclusive).
(f) "Environmental Enhancement Component" means that part of the Environmental Water Program that is authorized by Section 12929.26 of the Act.
(g) "Environmental documentation" means written documentation prepared in compliance with all applicable laws and guidelines relating to the protection of the environment and resources of the State, including but not limited to the California Environmental Quality Act and Guidelines (Public Resources Code s 21000 et seq.); the National Environmental Policy Act (42 U.S.C.A. s 4371 et seq.); the Federal Clean Water Act (33 U.S.C.A. s1251 et seq.); the California Fish & Game Code, including the California Endangered Species Act (Fish & Game Code s 2050 et seq.); and the Federal Endangered Species Act (16 U.S.C.A. s 1531 et seq.).
(h) "Mitigation" means those actions required by law for the purposes listed in the CEQA guidelines at 14 California Code of Regulations section 15370.
(i) "Mono Lake Basin Component" means that part of the Environmental Water Program that is authorized by Sections 12929.20 through 12929.25 of the Act.
(j) "Private Agency" means a nongovernmental entity.
(k) "Project" and "program" mean an activity or activities that result in an actual physical change to the environment or produce or conserve water.
( l) "Public Agency" means any Federal agency, State agency, or political subdivision of the State of California, including but not limited to any county, city, city and county, or district.
(m) "Restore" means to reproduce and reestablish the physical and biological characteristics of an area which would occur in a specific area under current climatic, geologic, and hydrologic conditions. An area is suitable for restoration if it has been damaged or if it has been modified by human efforts.
(n) "Study" means an activity that involves investigation, testing, review, or evaluation of data without physically changing the environment or producing additional water or power supplies.
(o) "Technical Feasibility" means that the proposed project can be designed, constructed, and operated to accomplish the purpose for which it is planned, and is planned in accordance with generally accepted engineering and environmental principles and concepts.
(p) "Water Quality Program" means the program authorized by Article 4 of the Act (ss 12929.30 and 12929.31).

Note: Authority cited: Section 12929.44, Water Code. Reference: Sections 12929, 12929.1, 12929.2, 12929.21, 12929.22, 12929.26, 12929.30, 12929.31 and 12929.41, Water Code.




s 449.2. Program Funding.
(a) The matching funds requirement for grants described in Section 12929.41(b) of the Act may be met by monetary contribution, in-kind service such as materials, labor, or staff time, or land easements.
(b) The Department may request that the applicant seek federal funds or participation by federal agencies.
(c) Loan applicants must demonstrate that they possess the ability to repay the loan by providing the following information:
(1) financial statements;
(2) statements of existing cash reserves and existing debts, long term and short term;
(3) a statement describing the applicant's legal authority to enter into a loan contract with the state;
(4) a description of the repayment method;
(5) an explanation of how the applicant proposes to secure the loan if required to do so by the State;
(6) a description of funding sources for all other elements of the proposed project if the total project costs exceed the loan;
(7) disclosure of any other debt currently pending issuance or approval; and
(8) any other information necessary to evaluate the applicant's ability to repay the loan.
(d) The maximum loan term shall be no longer than the useful life of the project.
(e) Applicants may apply for funds that may be appropriated in the future.
(f) Applications that are not approved for funding may be reconsidered in the next funding cycle.
(g) No funds shall be disbursed until the applicant has obtained all applicable permits and complied with all applicable federal, state, and local laws, rules and regulations, and until the applicant and the Department execute a contract setting forth the terms and conditions of such grants or loans.

Note: Authority cited: Section 12929.44, Water Code. Reference: Sections 12929.41, 12929.42, 12929.43 and 12949.45, Water Code.




s 449.3. Application Process.
(a) Applicants shall file with the Department a complete application. The Department shall provide application packages upon request.
(b) A complete application consists of the application and any required supporting information, including environmental documentation, attached to, or bound with, the application.
(c) If environmental documentation is not completed, the application may be submitted with a statement explaining in detail the steps remaining in the process of obtaining final environmental documentation.

Note: Authority cited: Section 12929.44, Water Code. Reference: Sections 12929.11, 12929.20, 12929.21 and 12929.22, Water Code. Section 21002.1, Public Resources Code.




s 449.4. Mono Lake Basin Provisions.
(a) Eligibility Requirements
(1) Only those types of projects that are listed in Section 12929.22 of the Act and that are technically feasible shall be considered for funding.
(2) Studies may be funded only if they are associated with technically feasible projects.
(3) The project must result in the reduction of diversions of water from the Mono Lake Basin.
(4) Costs of long-term operation and maintenance are not eligible for funding. Costs for long-term operation and maintenance may be part of an in-kind service contribution.
(5) The Department shall review the project's eligibility, and may revise its decision on project eligibility, if prior to the funding of the project the State Water Resources Control Board issues a final order, or a court issues a final judgment, regarding the Mono Lake Basin.
(b) Application Procedure
(1) The application process shall be conducted on a continuing, open basis, in which applications shall be reviewed as they are received.
(2) Each application shall include or be accompanied by the following information:
(A) A detailed project description;
(B) a detailed description of project benefits;
(C) maps of project area, marked with locations of the project components;
(D) a description and determination of project technical feasibility and methods to be used, with certification from a California Registered Engineer;
(E) a firm estimate of the amount of water to be gained, reclaimed, or conserved by the project;
(F) a detailed plan and schedule showing timing and amount of reduced diversion from the Mono Lake Basin;
(G) a detailed outline of total project costs, including long-term operation and maintenance costs;
(H) a description of source and amount of matching funds;
(I) environmental documentation and permits that are required, or a statement pursuant to Section 449.3(c) if environmental documentation is incomplete;
(J) a detailed schedule for the completion of the proposed project;
(K) copies of any project feasibility studies that have been prepared for the project; and
(L) any other information necessary to evaluate the project's eligibility and technical feasibility.

Note: Authority cited: Section 12929.44, Water Code. Reference: Sections 12929.21, 12929.22, 19292.24, 12929.41 and 12929.45, Water Code.




s 449.5. Environmental Enhancement Component.
(a) Eligibility Requirements
(1) Projects must involve activities listed in Section 12929.26 of the Act.
(2) Applications for technically feasible projects and programs shall be considered for funding. Studies may be funded only if they are associated with technically feasible projects funded by the Environmental Water Fund.
(3) No funds shall be granted or loaned for long-term operation and maintenance. Costs for long-term operation and maintenance may be part of an applicant's in-kind service contribution.
(4) Projects that are mitigation for other projects are not eligible for funding under this program.
(5) In order to allow for a greater number of projects to be funded, the total amount funded through grants, loans, or a combination of grants and loans, for any single project shall not exceed one million dollars ($1,000,000), unless the applicant demonstrates to the Department's satisfaction that the project provides unique possibilities for significant environmental benefits to the State.
(6) Studies not associated with technically feasible projects funded by the Environmental Water Fund may be considered for funding if the applicant demonstrates to the Department's satisfaction that the study provides unique possibilities for significant environmental benefits to the State by advancing our knowledge and understanding of a problem and its solution, and that a resource of statewide significance is in jeopardy and completion of the proposed study is a critical initial step in restoration or enhancement of the resource.
(b) Projects with one or more of the following features may be given priority for funding:
(1) The project is at an advanced stage in the planning process;
(2) The project represents advancement of an overall enhancement or restoration goal of statewide or regional interest.
(c) Application Procedure
(1) Applications shall be submitted to the Department no later than June 30 of each year for consideration for funding in the following fiscal year.
(2) The Department may also solicit applications at any time.
(3) Each application shall include or be accompanied by the following information:
(A) A detailed project description
(B) a detailed description of project benefits
(C) maps of project area, marked with locations of the project components;
(D) a description and determination of technical feasibility and methods to be used, with certification from a California Registered Engineer;
(E) copies of any project feasibility studies that have been prepared for the project;
(F) a detailed schedule for the completion of the proposed project;
(G) an outline of total project costs, including, where applicable:
(i) capital costs, and costs of labor, material, and equipment,
(ii) land acquisition costs,
(iii) planning-related costs
(iv) costs for mitigation if required in order to implement the project, and
(v) an estimate of any long-term operation and maintenancecosts associated with the project; (continued)