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DELTA LEVEE SUBVENTIONS PROGRAM
PRELIMINARY PROCEDURES AND CRITERIA
(Adopted December 16, 1988, by the Reclamation Board)
Introduction
The formulation and implementation of these Preliminary Procedures represents the
second phase of a three-stage process to incorporate the provisions of Senate Bill 34
(Ayala, 1988) into the Delta Levee Subventions Program, originally established by the Way
Bill. The first phase culminated in the adoption of "Interim Administrative
Provisions and Criteria" by The Reclamation Board in May 1988 for the administration
of this program in fiscal year 1987-88. The final phase will involve the translation of
the Preliminary Procedures and addendums into final Rules and Regulations. A two to three
year review period is envisioned before Phase III is implemented, to ensure that the
manner in which SB 34 is integrated into the Subventions Program is workable in practice
as well as in theory. The final Rules and Regulations are tentatively scheduled for
approval in fiscal year 1990-91.
The Preliminary Procedures update the Interim Provisions. The Interim Provisions, which
reflect some of the provisions of SB 34, were developed to affect the immediate
implementation of SB 34, as mandated by the bill, yet not delay disbursement of funds for
1987-88. The Preliminary Procedures incorporate the remaining provisions of SB 34. Some
addendums to these procedures will be necessary to reflect future developments. For
example, the recent signing of the reclamation district competitive bidding law
(Senate Bill 1893) requires the development of procedures to implement this bill in
conjunction with the Subventions Program. Concepts from SB 1893 are already incorporated
into these procedures.
SB 34 has modified the previous program of financial assistance to local agencies
responsible for maintaining nonproject levees in the Sacramento-
San Joaquin Delta. It creates the Delta Flood Protection Fund and declares legislative
intent to appropriate $120,000,000 over the next 10 years: $60,000,000 for local
assistance under the Subventions Program, administered by The Reclamation Board, and
$60,000,000 for Special Delta Flood Protection Projects, administered by the Department of
Water Resources.
In addition to increasing the funding for the Subventions Program from $2,000,000 to an
average of $6,000,000 annually, SB 34 also provides for major changes in the areas of:
cost-sharing, advances, the reimbursement of levee work rejected by FEMA for disaster
assistance and the expanded role of DFG in this program. The State reimbursement
percentage is increased from a maximum of 50% of costs incurred in excess of an average of
$1,000 for each mile of nonproject levee to a maximum of 75% of these costs. Provisions
for advances (up to 75% of the anticipated State share) and the possible reimbursement of
levee rehabilitation costs rejected by FEMA for disaster assistance are features of the
program provided by SB 34. Expanded requirements of the program include: approval by DFG
of plans, subject to the mandate that no net long-term loss of riparian, fisheries, or
wildlife habitat occur as a result of Subventions activities; compatibility of plans with
Bulletin 192-82 and the Delta Master Recreation Plan; provisions for acquisition of
easements by the Department in critical sections with regard to levee stabilization;
execution of hold harmless agreements; competitive bidding requirements as mandated by SB
1893; and application for federal disaster assistance (PL 93-288), when appropriate.
SB 34 enumerates some of the reasons for its passage:
(a) The value and public benefit of preserving the Sacramento-San Joaquin Delta, as
declared in Section 12981 of the Water Code, is reaffirmed, as is the recognition that not
all islands, because of the physical condition of their soils and foundations, can
economically justify protection or increased development.
(b) In recent years, federal, State, and local expenditures for disaster assistance
have been very high, and hazard mitigation efforts to avoid disasters are needed.
(c) Other lands have benefited by flood control levees at the expense of the Delta
through loss of overbank storage which causes more flood water to reach the Delta.
(d) Long-term solutions for the Delta will be facilitated by short-term efforts to
stabilize the existing situation."
The following administrative procedures set forth the requirements for State financial
assistance to local agencies for nonproject levee maintenance and rehabilitation, and
guide the State administration of the program.
PART I
ADMINISTRATIVE PROVISIONS
Article 1 DEFINITIONS
Section
1.1 "Board" means The Reclamation Board.
1.2 "Department" means the Department of Water Resources.
1.3 "Local agency" means any city, county, district or other political
subdivision of the State which is authorized to maintain levees.
1.4 "FEMA" means the Federal Emergency Management Agency.
1.5 "DFG" means the Department of Fish and Game.
1.6 "Corps" means the U.S. Army Corps of Engineers.
1.7 "Nonproject levee" means a levee, privately built in the Delta which is
not a project facility under the State Water Resources Law of 1945.
1.7 "Project levee" means a levee, built as part of a federally authorized
flood control project, which is maintained to Corps' standards.
1.8 "Levee system" means all the levees (both project and nonproject) which
protect an area of benefit.
1.9 "Delta" means the Sacramento-San Joaquin Delta as described in Section
12220 of the Water Code.
Article 2 PLANS
Section
2.1 Long-Range Plans. Long-range plans shall consist of:
a. A map showing the levee system on which project levees, nonproject levees under
jurisdiction of the local agency, and the ownership of nonproject levees which are not
under jurisdiction of the local agency, if any, are clearly identified.
b. An inventory of the nonproject levees.
c. Either engineering plans or a statement setting forth the local agency's long-range
plans for maintenance and rehabilitation of the nonproject levees in the system, including
plans for preservation and planting of levee vegetation where vegetation on the levee
section is acceptable.
d. The local agency's method of ensuring the maintenance and rehabilitation of the
portions of the system's nonproject levees, if any, which are not under its jurisdiction.
e. The target date for completion of levee rehabilitation.
f. An estimate of the cost of annual routine maintenance and the total cost of
rehabilitation. Also, an estimate of the cost of any mitigation measures required by DFG
to ensure no net long-term loss of habitat, if available.
g. All plans and schedules for levee improvement submitted to FEMA pursuant to the
State Flood Hazard Mitigation Plan, Disaster Declaration FEMA-758-DR-CA (1986).
h. An inventory of nonproject levees, consisting of:
(1) A map of the levees at a scale of 1"= 2,000' or larger;
(2) The establishment of a levee mile or station designation and marking on the ground
such mile or station designations at one-half mile or 2,500-foot intervals;
(3) A profile of the centerline of the levees;
(4) Typical cross-sections of the existing levee and cross-sections at problem areas
from the landside levee toe to under water levee toe or its adjacent berm. Sections should
be taken at the beginning and end of transitions between materially different levee cross
sections;
(5) The location, plan, and description (elevations where pertinent) of all
encroachments on, over or through the levee section.
(6) Such other material or information pertinent to the inventory that the local agency
may have submitted to FEMA, under the 1986 State Plan as referred to in subsection (g).
i. Provisions for the acquisition of any easements on and adjacent to the levee where
the Department has made the determination required by Water Code Section 12987 that an
easement for open space and minimum tillage of the soil is desirable to maintain the
structural stability of the levee.
j. Plans indicating proposed land use changes, if any.
k. A plan to compensate for any impacts to fish, wildlife or riparian habitat caused by
levee rehabilitation or maintenance. The plan shall meet the goal of no net long-term loss
for these habitats.
2.2 Annual Routine Maintenance Plans. Maintenance plans shall cover work to be
performed on a fiscal year (July 1 to June 30) basis. They shall be in the form of a
statement setting forth the local agency's planned maintenance within the scope of Section
5.I of Part II (Criteria). An estimate shall be prepared showing the cost of each major
activity and the year's total maintenance cost. When a statement will not adequately
describe the work, it shall be shown on engineering plans or sketches.
2.3 Rehabilitation Plans. Rehabilitation plans shall cover work to be performed
on a fiscal year (July 1 to June 30) basis. The plan shall be shown on an engineering
drawing. The plan must show details of riparian vegetation or habitat within the work area
that will be disturbed and any proposed revegetation or mitigation measures the agency
will take.
An estimate shall be prepared showing the cost of each major activity and the total
cost of the planned rehabilitation. Rehabilitation plans will conform to Section 6.1 of
Part II-Criteria of this document.
2.4 Plan Revisions. To the extent that there is a significant change in the
Maintenance or Rehabilitation Plan(s), the local agency shall inform the Department in
writing. Depending on the type of plan revision, approval may be required from one or more
of the following agencies: Department, DFG, and/or Board.
2.5 Disaster Assistance. For applications made pursuant to Water Code Section
12993, the following conditions apply: This work, which was denied for reimbursement by
both FEMA and OES, under Public Law
93-288, must have been denied for reasons of levee improvement or normal levee
maintenance work. Work items under this category must be clearly and separately indicated
on the agency's work plan. Damage Survey Reports (DSR's) and/or other pertinent
documentation must be included with the agency's application as well as evidence of all
costs incurred for the work performed. The fiscal year limitation for work performed under
the Rehabilitation or Maintenance Plans does not apply here.
Article 3 ADMINISTRATION
Section
3.1. Application Requirements. A local agency must make application to the
Board in order to participate in the program for each fiscal year. The application shall
be submitted in triplicate and should consist of:
a. A letter expressing the agency's desire to participate.
b. A statement of the agency's long-range plans (Section 2.1).
c. A summary of the agency's annual routine maintenance work plan (Section 2.2).
d. A summary of the agency's rehabilitation work plan (Section 2.3) for the fiscal year
in which the work will be accomplished.
e. A statement defining the land use of the area protected by the levee as well as any
planned land use changes.
f. Acreage of the protected area and approximate number of permanent inhabitants.
g. Method of assessment, assessed value, local agency tax rate for flood control,
bonded indebtedness for flood control, and a summary of unpaid warrants for flood control
work.
h. Proof of application for federal disaster assistance, whenever eligible, under
Public Law 93-288.
i. If application is for reimbursement of work deemed ineligible for federal disaster
assistance, Damage Survey Report and/or other pertinent documentation (Section 2.5) plus
proof of costs incurred.
j. A signed hold-harmless agreement, as described in Water Code Section 12992, for
execution by the Board. The form for this agreement shall be obtained from the Board.
3.2 Application Deadline. With the exception of applications submitted pursuant
to Water Code Section 12993, the application shall be submitted to the Department by May 1
for levee maintenance and rehabilitation work for the following fiscal year. Applications
for Section 12993 work, i.e. work previously believed but determined not to be eligible
for assistance under Public Law 93-288, may be submitted any time prior to June 30 of the
fiscal year in which reimbursement is requested.
Because the Subventions Program is undergoing a transition with the incorporation of SB
34 provisions into this program, a schedule showing key deadlines during the three-year
period from FY 87-88 to FY 89-90 is attached.
3.3 Approval of Application. The Department shall review the application and
make recommendations to the Board. The Board will approve the application in whole or in
part or disapprove the application. The applicant will be informed of the disapproval of
any application or any part of an application. Prior to any approval, the Board will
execute the hold-harmless agreement submitted with the application under Section 3.1 (i).
Following are among the conditions that need to be satisfied for approval of the
application:
3.31 Engineering. All plans shall be prepared and signed by a registered civil
engineer and approved by the local agency. The plans shall indicate which field activities
will be performed under the supervision of an engineer.
3.32 Fish and Game Review. DFG shall review all local agency plans. Plans shall
not call for the use of channel islands or berms with significant riparian communities as
borrow sites for levee repair material, unless fully mitigated. Plans shall not result in
a net long-term loss of riparian, fisheries, or wildlife habitat.
Costs required to meet DFG approval are eligible for reimbursement under the
Subventions Program.
3.33 CEQA/NEPA Compliance. The local agency shall be the lead agency for
purposes of CEQA.
3.4 Agreements. After the plans are approved, the Board and the agency shall
enter into an agreement for the reimbursement of the costs of the work to be performed, in
accordance with the approved application, with the provisions and policies of Water Code
Sections 12980 et seq, with these Provisions and Criteria, and with the recommendations of
the
Department. The agreement will be submitted to the local agency for signature. Upon
return of the signed agreement by the local agency, the Board will execute the agreement.
3.5 Inspection of Work. Upon completion of the agreed work, the local agency
shall notify the Department, and the Department will inspect the work. If the work is in
conformance with the approved plans and agreement, the Department will so notify both the
local agency and the Board. If the work is not in conformance, the Department will point
out the deficiencies, and upon satisfactory completion of any necessary remedial work, the
Department will notify the local agency and the Board.
The local agency shall cooperate in the conduct of all inspections, including
inspections by the Department, pursuant to Water Code
Section 12989, to monitor and ascertain compliance with and progress toward meeting the
standards in the State's Flood Hazard Mitigation Plan, as updated or amended.
3.6 Bookkeeping and Records. The local agency shall maintain records and books
relating to the costs and quantities of labor and materials used, purchased, or contracted
for in the performance of its levee maintenance and rehabilitation work.
The Board and Department shall have full and free access at all reasonable times to
these books and records with the right at any time during office hours to make copies
thereof.
The Department, the Board, or the State Controller shall have the right to conduct
audits, on a periodic basis, of the local agency's expenditures for levee maintenance and
rehabilitation. The purpose of such audits is to assure that subvention moneys are being
properly used, that payments are not being made under different assistance programs for
the same work, and that local agencies are seeking the best terms reasonable in its use of
State funds.
The local agency shall cooperate fully in any such audits and shall maintain all
receipts, accountings, books, invoices, and records pertaining to its levee work for a
period of ten years after the work has been performed or the expenses therefore incurred.
3.7 Competitive Bidding. SB 1893 imposes competitive bidding requirements on
reclamation districts for construction and materials contracts over $25,000. This law
applies to the Subventions Program.
Article 4 REIMBURSEMENTS
Section
4.1 Eligibility. A local agency shall be eligible for reimbursement for work
completed under the agreement with the Board in accordance with the following:
a. No costs shall be reimbursed until the local agency has spent an average of
$1,000.00 per mile of levee for all of its nonproject levees.
b. The local agency shall be reimbursed up to seventy-five percent of the costs
incurred in excess of the $1,000.00 per mile of levee.
c. Nonproject levees which are not under the jurisdiction of an applicant agency but
are in its system may be maintained under a formal agreement which results in costs to the
local agency. Such levees will be considered the same as the local agency's other
nonproject levees in computing State reimbursement.
4.2 Eligible and Ineligible Costs. Local agency costs incurred in the
preparation and execution of the work plans, which meet the criteria and are a part of the
Board approved plans, will be used to compute the amount of reimbursement. These costs
must be associated with the fiscal year for which the application was made.
Reasonable costs for engineering, labor, materials, equipment rental, capital costs of
rehabilitation and maintenance of non-project levees (including appurtenances), and pro
rata rental charges of agency-owned equipment are eligible for reimbursement. A survey of
local rates will be used to ensure that rates charged to local agencies are justifiable.
The salaries, expenses, and fringe benefits of the executive board, executive officer
in charge of the agency, their immediate stenographic support and the pro rata rent charge
for their office and equipment are not eligible for reimbursement.
New construction or maintenance of drainage pumps and drainage ditches, with the
exception of toe drains, are not eligible items for reimbursement. They are considered to
be items which are incidental to flood control activities.
4.3 Agency Claims. The local agency shall submit a claim for reimbursement to
the Board upon completion of the maintenance and rehabilitation work associated with the
fiscal year (July 1 through June 30) for which application is made to the Subventions
Program. This claim must be filed by August 30 of the following fiscal year. The
Department will compute the amount of reimbursement to the local agency based on the claim
submitted and the field investigation. The Department will then recommend to the Board
certification for payment.
4.4 Certification for Payment. Upon receipt of the Department's findings that
the work has been satisfactorily completed, the Board may certify payment and
reimbursement of all or a portion of the estimated State share for immediate
reimbursement.
4.5 Prioritization of Funds. If, in any year, the total eligible costs incurred
exceed the State funds available, the Board will apportion the funds among those levees,
or levee segments identified by the Department as being most critical and beneficial for
flood control, water quality, recreation, or wildlife, in accordance with the following
funding prioritization scheme:
a. The first priority for funding is for levee maintenance and rehabilitation up to the
Bulletin 192-82 standards (for geometry) associated with the existing land use at the
time SB 34 was signed into law, i.e. in March 1988.
b. If available funds are sufficient to fully fund work described in 4.5a. (above),
full reimbursement of claims will be made. When claims exceed available funds, full
reimbursement of each claim will be made according to the categories listed below (in the
order listed) until insufficient funds are available to fund a category. The claims in
this latter category will be paid on a pro rata basis. Claims in lower categories will not
be paid.
Category 1. The Reclamation Board mandated top priority funding items.
Category 2. Plans that make special provisions for protection of fish and wildlife
habitat, recreation opportunities or land use changes to reduce land subsidence or
erosion. These provisions must be coordinated with the Department and/or DFG.
Category 3. Plans based on meeting the Short-Term Hazard Mitigation Standards (see
Appendix).
Category 4. Plans based on meeting Bulletin 192-82 standards or PL-99 standards (see
Appendix).
Category 5. Reimbursement of work rejected by FEMA and portions of an individual
district's fiscal year work in excess of $1 million.
4.6 Advances. Upon submission of plans for maintenance and
improvement of nonproject levees and approval by the Board, the local agency shall be
eligible for advances in the following manner:
a. The Department may provide, at its discretion, an advance to the applicant in an
amount not to exceed seventy-five percent of the estimated State's share. No advance shall
be made until the applicant has incurred costs averaging one thousand dollars ($1000) per
mile of nonproject levee.
b. The amount advanced shall be subtracted from the final amount due to be reimbursed
after the work has been completed and inspected. If after the work has been inspected the
Department finds the work unsatisfactory, or the advances made exceed the amount
reimbursable, the local agency shall promptly remit to the State all amounts in excess of
reimbursable costs. (The Board may require a bond to be posted to ensure faithful
performance of the work set forth.)
4.7 Work Rejected by FEMA. If after the applicant has applied for
federal disaster assistance under PL 93-288, it is determined that the work performed does
not qualify for such assistance, the applicant may apply for reimbursement to the
Subventions Program. The associated costs shall be deemed incurred by the applicant in the
year in which the latter application is filed. Such work must be compatible with Articles
5 and 6 of Part II-Criteria of this document, and must have been denied reimbursement
under Public Law 93-288, or the Natural Disaster Assistance Act.
Work items under this category must be clearly and separately indicated on the agency's
application and all costs for work performed must be substantiated. The Department will
review the agency's application and will determine the eligibility as if the costs were
incurred in the fiscal year of application. The review of costs will be conducted as
regular subventions work and is still subject to audit by the State Controllers Office.
If, due to a shortfall of funds, an applicant is not fully reimbursed for work rejected
by FEMA in one fiscal year, the applicant may apply for the remaining reimbursement in the
following fiscal year(s).
4.8 Documentation. The local agency may be required to provide proof
of payment for work done under the Subventions Program associated with the fiscal year for
which application is made, subsequent to the final disbursement of funds associated with
that fiscal year.
PART II
CRITERIA
Article 5 LEVEE
MAINTENANCE
Section
5.1 Maintenance Definitions and Criteria. "Maintenance" means
annual or routine activities to preserve all of the local agency's nonproject levee
systems in its current condition. The following are examples of "maintenance":
a. Inspection by the local agency to ensure that adequate maintenance is being carried
out and that dangerous or unusual conditions are discovered early - as a minimum, levees
shall be inspected by September 15 to allow time to correct dangerous conditions, in April
to provide information to plan annual maintenance and repair, during and after periods of
high water, and during and after periods of high winds which can accelerate wave erosion;
b. Extermination of burrowing rodents and filling their burrows with compacted
material;
c. Shaping the levee crown to drain freely;
d. Repairing and shaping patrol or access roads and controlling the weight and speed of
all vehicles using patrol roads on the levee crown;
e. Repairing any minor slipouts, erosion, or subsidence of the levee section;
f. Removing drift deposits, debris, and litter from the levee and berm;
g. Cleaning drains and toe ditches which are adjacent to the landside levee toe and
which intercept seepage;
h. Cutting, removing or trimming vegetative growth such as weeds, brush, and trees to
the extent necessary to inspect and maintain the levee and a 5-foot strip adjoining the
landside toe and retaining or planting vegetation in accordance with the current edition
of "Levee Encroachment Guide for Vegetation on Project Levees" adopted by The
Reclamation Board;
i. Repairing or restoring rock protection except where such repairs are the
responsibility of a federal agency - minor repairs can be made in cases of federal
responsibility, if the appropriate federal agency does not perform these repairs
expeditiously;
j. Planning for flood emergencies to ensure the availability of adequate repair
materials and equipment so that immediate action can be taken in the event of a flood
fight;
k. Removing or modifying encroachments which endanger the levee or interfere with
maintenance;
l. Determining the profile and conducting a cross section survey of levees often enough
to detect subsidence (normally at least every fifth year).
Article 6 LEVEE
REHABILITATION
Section
6.1 Rehabilitation Definitions. "Rehabilitation" means
improvements to levees which increase their physical integrity or degree of flood
protection. The following are examples of "rehabilitation":
a. Raising portions of a levee system to increase minimum freeboard or rectify
effects of subsidence and/or erosion;
b. Flattening slopes or constructing landslide berms to increase structural stability;
c. Widening the levee crown and shaping to drain;
d. Constructing or reconstructing a patrol road to provide greater width or a
structural section adequate for all-weather traffic for inspection, patrol, and flood
fighting purposes (all-weather is interpreted to be a gravel surface. If an asphalt
surface is desired, reimbursement will be only for the cost of an equivalent stretch of
gravel surface road);
e. Providing turnouts, access roads and ramps as necessary;
f. Placing rock protection, or equivalent, on the waterside berm and/or on the
waterside levee slope when erosion may potentially endanger the stability of the
foundation or the integrity of the levee, except where such rock protection is the
responsibility of a federal agency;
g. Retaining or replanting vegetation in accordance with the latest edition of
"Guide for Vegetation on Project Levees" adopted by The Reclamation Board.
APPENDIX
Levee Standards. Following are synopses of the different stages of levee
construction standards. Each of the standards is important for different reasons, which
are also briefly summarized.
1. Short-Term Hazard Mitigation Plan Standards. As part of the requirements
to qualify for future federal disaster assistance, local districts should adopt the
following minimum standards:
a. Levees shall have 1-foot of freeboard above the 100-year flood frequency
elevations, as provided by the Corps of Engineers.
b. The minimum crown width shall be at least 16 feet.
c. Waterside slopes shall be at least 1.5 horizontal to 1 vertical, with revetment in
areas where erosion has been a problem. The size of the revetment material shall be
appropriate for the slope.
d. Landside slopes shall be at least 2 horizontal to 1 vertical, with flatter slopes in
the lower portion of the levee in areas where soil stability and seepage have been
problems.
e. The levees shall have all-weather access roads.
2. PL-99 Standards. The Corps has developed guidelines for the rehabilitation of
Delta nonproject levees to allow for implementation of Public Law 99 in the event of a
flood in the Delta. If nonproject levees are rehabilitated to these standards and
certified to that effect before a flood, federal disaster assistance may be available from
the Corps. The Delta-specific standards which must be met to be certified a "flood
control levee" include (but are not limited to) the following features:
a. 1.5 feet of freeboard above the 100-year flood stage for all islands and tracts.
b. The levee will have a 16-foot crown width with an all-weather patrol road.
c. The minimum waterside slope of the levee will be 2 horizontal to 1 vertical.
d. The minimum landside slope of the levee shall vary with the levee height and depth
of peat.
e. A levee toe drain will be located 30 feet landward from the landside levee toe.
3. Bulletin 192-82 Criteria. The Department, as part of planning for the Delta
Levees Study in Bulletin 192-82, called for the following criteria. SB 34 references these
criteria:
a. Minimum freeboard for levees protecting agricultural and urban land consists of
1.5 ft and 3.0 ft, respectively, above the one in 300-year flood elevations, as determined
by the Corps.
b. A typical improved levee section has a 16-foot crown width with a waterside slope of
2 horizontal to 1 vertical, and a landside slope of, at least, 3 horizontal to 1 vertical.
c. Landside berms should be constructed where necessary to help provide stability for
the weak, highly compressible, peat foundations. Slopes on the landside berms may have to
be as flat as 15 horizontal to 1 vertical.
d. In deep peat areas, staged construction, consisting of periodic raising of the levee
crowns, backslope, and the landside berm may be required to compensate for continuing
subsidence.
e. Construction of levees on a new alignment (levee setback) are to have a 12 foot
crown width and slopes of 2 horizontal to 1 vertical on both the land and watersides.
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