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Early Implementation Program (EIP)


Administrating Agency: Resources Agency
Bond: Proposition 1E
Department Name: Department of Water Resources
Bond Statute: 5096.821
Implementing Statute: Water Code Section 8361

  • Front-end
  • In-Progress
  • Follow-up

The Flood Projects Office provides a sustainable integrated flood management and emergency response system throughout California that improves public safety, protects and enhances environmental and cultural resources, and supports economic growth by reducing the probability of destructive floods, promoting beneficial floodplain processes, and lowering the damages caused by flooding. The Flood Projects Office administers the Early Implementation Program (EIP), which was created as a result of the passage of the Disaster Preparedness and Flood Prevention Bond Act of 2006 (Proposition 1E) and the Safe Drinking Water, Water Quality and Supply, Flood Control, River and Coastal Protection Bond Act of 2006 (Proposition 84). These Propositions authorized the DWR to make funds available to Local Agencies for, among other things, flood protection work. These funds will be for: (a) repair, rehabilitation, reconstruction or replacement of levees, weirs, bypasses and facilities of the State Plan of Flood Control and (b) improving or adding facilities to the State Plan of Flood Control to increase levels of flood protection for urban areas. This program applies only to certain portions of the Central Valley and certain adjacent areas. $3,000,000,000 has been made available for projects under this program.

 

The Early Implementation Program Guidelines have been developed and revised since 2007 for the Flood Projects Office’s EIP projects that tie the goals of this program to the mission of the DWR, the objectives of FloodSAFE, and the statutory obligations of DWR for improvements to elements of the flood control system.  The Guidelines define the Flood Projects Office EIP purpose, goals, objectives, program elements, program components, strategies, priorities, and overall schedule and budget.  It also describes detailed activities and measurable objectives under each of the composite program elements, and provides strategic program direction for the Flood Projects Office.  Projects selected for bond funding (as well as those receiving General Funds) are to be consistent with the Flood Projects Office’s EIP Guidelines.  

 

Applicants must be a Local Agency.  Applicants may submit proposals for one or more repair or improvement projects that are consistent with an Area Plan and Area Project cost limits. The Area Project spending cap is $200 million but the cost of repair work included in the Area Project is not counted against the $200 million cap.  In urban areas, the Department will fund no more than two Area Projects per Area from this program.

 

Projects designed and constructed under the EIP must provide flood protection to at least the 200-year Level of Protection State standard.  Projects must also be ready for implementation in the fiscal year that funds are authorized by the Legislature through the budget process.

 

Objectives

 

Projects undertaken by the Flood Projects Office are selected from a pool of applications based on the level of funding for a particular fiscal year.  It is anticipated that EIP funding will be available through Fiscal Year 2010-11, but the amount available will vary each year and will likely decrease. The DWR envisions transitioning the distribution of funds for Projects that may be eligible under this program to the DWR’s traditional capital outlay program for flood management projects after FY 2010-11. 

 

Project Selection

 

DWR prepares a Proposal Solicitation Package (PSP) that includes application materials.  The completed application shall include:

·         An application cover sheet that provides an overview of the Project;

·         A statement identifying the Applicant’s representatives; 

·         A statement concerning the Applicant’s legal authority to enter into a contract with the State of California, implement a flood protection program and levy assessments and charges;

·         A resolution authorizing filing of the application and designating a representative to sign the application;

·         A statement by a registered professional civil engineer who certifies that he has reviewed the information presented in support of the application and the Level of Protection (e.g., 100-year, 200-year, etc.);

·         A statement of expected Project costs and proposed financing; 

·         A Financial Plan.  The State will pay for a portion (State Share) of the project, based on the criteria laid out in the EIP Guidelines.  The remainder (Local Share) of the project cost will have to be paid for by the Applicant;

·         The Area Plan with a separate cost, schedule and cost-sharing description for each Area Project including phases, if applicable;

·         A flood risk resolution approved by the DWR and executed by the Applicant;

·         All applicable NEPA and CEQA documents, if available;

·         A statement of loans from other sources or bonds that are associated with the Project financing plan and a statement of repayment method and loan security for such other financing sources; and

·         A checklist of attachments.

Eligibility and ranking criteria have been developed for the different types of projects encompassed within the EIP.  The types of projects that may be applied for include: Design Projects, Repair Projects, and Improvement Projects.  These criteria are defined within the EIP Guidelines.

Completed applications will first be screened for completeness and eligibility.  Once an application is deemed complete and eligible, it will be ranked using the scoring presented below.

The Executive Order requires ongoing activities to be reviewed, documented and reported to the State Department of Finance.   The projects selected for funding must also conform to the intended use of Propositions 1E and 84 and measures must be instituted to ensure that the scope of the project remains within the intended use of the funds.  To that end, the following procedures have been instituted:

 

·         A project scope and description is developed at the initiation of the project that is consistent with the intended use of the bonds.  A project cost estimate and schedule is also developed;

 

·         Monthly briefings are conducted at the Office level to review progress which includes project expenditures, accomplishments, changes in scope, and current schedule;

 

·         Project updates are submitted for inclusion with the quarterly reports that DWR submits on bond expenditures and any changes in scope, cost or schedule are reflected on the website maintained for projects funded by Proposition 1E and 84;

 

·         Bond funding is requested from the Department of Finance based on quarterly cash flow projections provided by the project manager and compiled within DWR for all programs.

 

Project managers track project budgets using the SAP database.  Schedules are tracked using Microsoft Project software.  Project managers work with environmental support staff to ensure that the proper environmental permits have been obtained and permit conditions are met, coordinate with staff from the Division of Engineering to make sure the engineering designs meet the needs of the project, work with the Construction Office during project construction to address any issues that arise and also coordinate with the Maintenance Yards that may be impacted during construction, and provide monthly briefings on project status to the Branch and Office Chiefs.  Project managers may also be required to coordinate with other Divisions for legal, right-of-way and environmental support.  Project managers are also responsible for monitoring and approving all funding sources and payments, with the Chief of the Division of Flood Management having the final approval.  Invoices are approved for contractors and sub-contractors only after all requirements are met.

Following completion of a project a Post Construction Report is completed.  This report summarizes the activities that took place to achieve the project goals.  The Post Construction Report becomes part of the Project Close-Out Report.  The Project Close-Out Report includes all the documents referenced in the Post Construction Report and provides a consistent method to file important project documents following project completion.  The section of the report covering the budget includes a summary of project funding sources, and cost centers and internal order numbers used to track expenditures.

 

The following internal audit is conducted with the Project Close-Out:

 

·                     Funding Recipient shall submit a Project Completion Report within ninety (90) calendar days of completion of all tasks associated with the Project.  The Final Project Report shall include a description of actual work done, a final schedule showing actual progress versus planned progress, copies of any final documents or reports generated or utilized during the Project and three sets of as-built drawings. The Project Completion Report shall also include certification of final Project by a registered civil engineer, consistent with paragraph B-8 of this Funding Agreement. Exhibit C, Quarterly Work Plan and Report Formats, provides an example report template.

 

·         After Project completion and within ninety (90) calendar days after the date of submission of the Project Completion Report, Funding Recipient shall submit an annual summary of the operations for the Project as provided in the operation, maintenance, repair, replacement and rehabilitation (OMRR&R) Agreement.

 

·         Before the final payment is made, project managers verify the final project complies with all applicable current laws and regulations and submit documents summarizing total project costs and additional funding sources.

 

·         All projects doing repair work on levees will receive a close-out visit conducted by the U.S. Army Corps of Engineers and DWR to assure that the project is completed consistent with federal principles and guidelines.

 

·         Project managers conduct in-progress and post construction/implementation monitoring and assess project performance.

 

The Flood Projects Office is working closely with Department of Finance to ensure accountability and projects financed under Prop 84 and 1E have been posted to the Bond Accountability Website so the public is provided readily accessible information on how proceeds of state general obligation bonds are being utilized. 



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