Board of Directors Agenda - Sutter Butte Flood Control Agency

SBFCA Board Agenda Page 1 February 8, 2017

The agenda is posted in the building of the Sutter Butte Flood Control Agency at 1441 Garden Highway, Yuba City, and at the Sutter County Library, 750 Forbes Avenue, Yuba City. The agenda summary, backup materials, and approved minutes are also posted on the Sutter Butte Flood Control Agency website at sutterbutteflood.org. Materials related to an item on this agenda and submitted to the Board of Directors after distribution of the agenda packet are available for public inspection in the office of the Board Clerk at 1441 Garden Highway, Yuba City, during normal business hours. In compliance with the American with Disabilities Act, the meeting room is wheelchair accessible and disabled parking is available. If you have a disability and need disability related modifications or accommodations to participate in this meeting, please contact the SBFCA office at 530-755-9859 or [email protected]. Requests must be made one full business day before the start of the meeting.

County of Sutter Dan Flores Larry Munger Alt. Mat Conant Alt. Jim Whiteaker

County of Butte Bill Connelly Steve Lambert

City of Yuba City John Buckland Stan Cleveland Alt. Manny Cardoza Alt. Shon Harris

City of Live Oak Jason Banks Alt. Lakhvir Ghag

City of Gridley Frank Hall Alt. Jeff Draper

City of Biggs Bo Sheppard Alt. John Busch

Levee District 1 Francis Silva Charlie Hoppin Alt. Sally Serger Alt. Drew Stresser

Levee District 9 Mike Morris Chris Schmidl Alt. David Schmidl

Persons wishing to address the Board during consideration of matters listed on the agenda will be allowed to do so. Testimony should always begin with the speaker giving his or her name and place of residence. Requests for assistive listening devices or other accommodations, such as interpretive services, should be made through the Sutter Butte Flood Control Agency office at 530-755-9859. Requests should be made at least 72 hours prior to the meeting. Later requests will be accommodated to the extent feasible. REGULAR MEETING/CALL TO ORDER

Roll Call

Pledge of Allegiance CLOSED SESSION Conference with real property negotiators pursuant to Govt. Code section 54956.8. Agency negotiator(s): McElhern/O'Regan Properties and negotiating parties:

Robert Banes Land Leveling and Heavy Equipment Rental, Inc. (Sutter County APN 51-580-020) Housing Authority of the County of Butte (Butte County APN 024-220-030)

JoAnn Dietrich, individually and as the Trustee of JoAnn’s Trust (Butte County APN 025-130-025)

Carrdi, LLC (Butte County APN 025-050-017 & 018)

Sierra Gold Land Inc. (Sutter County APNs 23-234-003, 23-253-016, 23-300-084, -085, & -086)

Sutter Butte Flood Control Agency Board of Directors Agenda – Regular Meeting, February 8, 2017, 1p.m. City of Yuba City Council Chambers - 1201 Civic Center Blvd., Yuba City, CA

mailto:[email protected]


Walter A. Berg Trustee and Ellen C. Berg Trustee, of the Walter and Ellen Berg Family Trust (APN 23-234-008)

Ellen C. Berg, Trustee of the Ellen C. Berg revocable Trust created under the Walter and Ellen Berg Family Trust (as to ½ interest) and Ellen C. Berg, Trustee of the Walter A. Berg Residual Trust created under the Walter and Ellen berg Family Trust (as to a ½ interest), as Tenants in common (APN 23-234-014)

Ellen C. Berg, Trustee of the Ellen C. Berg revocable Trust created under the Walter and Ellen Berg Family Trust (as to ½ interest) and Ellen C. Berg, Trustee of the Walter A. Berg Residual Trust created under the Walter and Ellen Berg Family Trust (as to a ½ interest), as Tenants in common (APN 23-253-023)

CONSENT CALENDAR The Consent Calendar groups together those items which are considered noncontroversial or for which prior policy direction has been given to staff and that require only routine action by the Board. The Chair will advise the audience that the matters may be adopted in total by one motion; however, the Board may, at its option or upon request of a member of the public, consider any matter separately.

1. Approval of the Minutes for the December 5, 2016 Board Meeting

2. Approval of Amendment No. 7 to the professional services agreement with MBK Engineers amending the Scope and Budget for Feather River Regional Flood Management Planning (FRRFMP) Phase II FY 2016/17 Activities

3. Amendment 4 to the Construction Management Contract for Project Areas B&D with Parsons

Brinckerhoff for Additional Work Required for Project Closeout Services

4. Approval of Plans and Specifications and Consideration of Award of the Construction Contract for the Tree Removal and Disposal Project, Contract No. 01-2017-T to the Lowest Responsive and Responsible Bidder W.C. Maloney, Inc.

5. Approval of a Professional Services Agreement with the Sutter Buttes Regional Land Trust to develop

the required conservation easement and other instruments needed to convey the Star Bend Setback Levee Elderberry Mitigation Area to the Trust

PRESENTATION, DISCUSSION & ACTION ITEMS

6. Presentation of Agency audited financial statements and related reports for fiscal year ending June 30, 2016

7. Receive and File Monthly Financial Reports (October, November, and December 2016) INFORMATIONAL AND POSSIBLE APPROVAL ITEMS

8. Storm Related Recent Actions Report

9. Program/Project Update

10. Other Reports from Agency Staff and Consultants

11. Report by the Citizens’ Assessment District Advisory Committee (CADAC)

12. Report by Member and Partner Agencies CORRESPONDENCE


13. Report on Correspondence Sent by and Received by the Board PUBLIC COMMENT Members of the public will be allowed to address the Sutter Butte Flood Control Agency’s Board of Directors on items of interest to the public that are within the subject matter jurisdiction of the Board. Any member of the audience who may wish to bring a matter before the Board that has not been placed on the agenda may do so at this time; however, State law provides that no action may be taken on any item not appearing on the posted Agenda. ADJOURNMENT The next regularly scheduled Board of Directors meeting will be held on Wednesday, March 8, 2017 at 1p.m., Yuba City Council Chambers – 1201 Civic Center Blvd., Yuba City, CA 95993

Item 1

Sutter Butte Flood Control Agency A Partnership for Flood Safety

February 8, 2017 TO: Board of Directors FROM: Mike Inamine, Executive Director SUBJECT: Approval of the Minutes for the December 5, 2016 Board Meeting

The proposed minutes for the Board of Director’s special meeting on December 5, 2016 are attached for your review, modification and/or approval. Recommendation We recommend that the Board approve and authorize the Chair to sign the minutes. Thank you.

December 5, 2016 Special Board Meeting

The Sutter Butte Flood Control Agency (Agency) Board of Directors (Board), State of California, met on the above date at 1 p.m. at the City of Yuba City Council Chambers - 1201 Civic Center Boulevard, Yuba City, CA.

These minutes do not represent a transcript of the meeting and are intended to be a summary of the most important points. For a complete record, please refer to the video recording of the meeting, which is posted on SBFCA’s website: http:/sutterbutteflood.org/board/meetings-agendas/ MEMBERS PRESENT County of Sutter: Larry Munger, Barbara LeVake County of Butte: Steve Lambert City of Yuba City: John Dukes, Kash Gill City of Live Oak: Gary Baland City of Biggs: Bo Sheppard City of Gridley: Frank Hall Levee District 9: Chris Schmidl, Mike Morris Levee District 1: Charlie Hoppin, Francis Silva MEMBERS ABSENT: Bill Connelly STAFF PRESENT: Mike Inamine, Executive Director; Michael Bessette, Director of Engineering; Andrea Clark, Agency Counsel; Scott Shapiro, Agency Counsel, Kim Floyd, Public Outreach Manager and Tina Banta, Board Clerk

MEETING/CALL TO ORDER At 1 p.m., Chair Kash Gill opened the meeting and led the group in the pledge of allegiance before going into Closed Session. CLOSED SESSION Conference with real property negotiators pursuant to Govt. Code section 54956.8. Agency negotiator(s): McElhern/O’Regan Properties and negotiating parties: Robert Banes Land Leveling and Heavy Equipment Rental, Inc. (Sutter County APN: 51-580-020) Housing Authority of the County of Butte (Butte County APN: 024-220-030)

Nothing to report. RESOLUTION OF NECESSITY 1. Adopt a resolution of necessity to acquire certain property interests for the Feather River West

Levee Project as follows: A portion of Sutter County Assessor’s Parcel Number 51-580-020 owned by Robert Banes Land Leveling and Heavy Equipment Rental, Inc. Agency Counsel Scott McElhern presented the resolution of necessity to the Board.

Mr. Robert Banes provided comment. He stated that the SBFCA contractor broke a water line, and that work was being completed despite not having an agreement. Director of Engineering Michael Bessette

Sutter Butte Flood Control Agency Board of Directors Minutes – Special Meeting, December 5, 2016, 1p.m. City of Yuba City Council Chambers - 1201 Civic Center Blvd., Yuba City, CA

http://sutterbutteflood.org/board/meetings-agendas/


explained there were existing easement rights in place which allowed some work to proceed, and if a pipe was broken, SBFCA would fix the pipe and bring it into compliance. No public comment.

A motion was made by John Dukes and seconded by Larry Munger. Motion passed with no objection. The Resolution of Necessity was passed as follows:

Gary Baland - yes Barbara LeVake - yes John Dukes – yes Mike Morris - yes Kash Gill - yes Larry Munger - yes Frank Hall - yes Chris Schmidl - yes Charlie Hoppin - yes Bo Sheppard - yes Steve Lambert - yes Francis Silva - yes

2. Adopt a resolution of necessity to acquire certain property interests for the Feather River West

Levee Project as follows: A portion of Butte County Assessor’s Parcel Number 024-220-030 owned by the Housing Authority of the County of Butte. Agency Counsel Scott McElhern presented the resolution of necessity to the Board.

No public comment.

A motion to approve was made by Director Bo Sheppard and seconded by Larry Munger. Motion passed with no objection. The Resolution of Necessity was passed as follows:


CONSENT CALENDAR 1. Approval of the Minutes for the November 9, 2016 Board Meeting 2. Approval of the Resolution Establishing the Regular SBFCA Meetings for the 2017 Calendar Year 3. Selection of 2017 Chair

No public comment.

Items one through three of the Consent Calendar were approved in one motion. A motion to approve was made by Barbara LeVake and seconded by John Dukes. Motion passed with no objection. The Consent Calendar was approved as follows:



4. Approval of a Three-Year Extension of the Executive Director (Mike Inamine) Contract

Item 4 was pulled from the Consent Calendar for public comment. Elaine Miles provided public comment regarding travel expenses and mileage expenses. Agency Counsel Scott Shapiro explained how expenses are reimbursed. A motion to approve was made by Larry Munger and seconded by Barbara LeVake. The motion passed with no objection. The Executive Director’s three-year contract extension was approved as follows:


PRESENTATION, DISCUSSION & ACTION ITEMS 5. Recognition of Board Member Departures

Executive Director Mike Inamine thanked the departing Board members for their dedication and expertise over the past years. Those members leaving the SBFCA Board are: Kash Gill, Barbara LeVake, David Lamon, Gary Baland and John Dukes. Certificates of Appreciation were presented to departing Board members.

5.5 Selection of the 2017 SBFCA Vice Chair Item 5.5 was inadvertently skipped and was instead addressed following the Item 6, the Program/Project Update. A motion was made by Charlie Hoppin to nominate Steve Lambert to serve as the 2017 SBFCA Vice Chair. The motion was seconded by Larry Munger. The motion passed with no objection. The nomination was approved as follows:


INFORMATIONAL AND POSSIBLE APPROVAL ITEMS 6. Program/Project Update

Director of Engineering Michael Bessette gave a presentation outlining both current and upcoming projects. Staff and Board members discussed the possibility of high water during the winter months while work is being completed on the 5th Street Bridge gap closure project. Mr. Bessette confirmed that there were contingency plans in place for high water activity. Executive Director Mike Inamine provided an update on additional activities. He reported on the success of the two-day meeting of the Expert Opinion Elicitation for remaining high priority repair sites. SBFCA prioritized five levee repair sites in the southern portion of the Yuba City Basin.

November 9, 2016 Regular Board Meeting

The discussion related to this item can be viewed in its entirety on the SBFCA website: http://sutterbutteflood.org/board/meetings-agendas/.

No action required.

7. Other Reports from Agency Staff and Consultants

Nothing to report.

8. Report by the Citizens’ Assessment District Advisory Committee (CADAC) Nothing to report.

9. Report by Member and Partner Agencies

Nothing to report.

CORRESPONDENCE 10. Report on Correspondence Sent and Received by the Board.

Nothing to report. PUBLIC COMMENT

No public comment. ADJOURNMENT Board Chair Kash Gill adjourned the meeting at 1:55 p.m.

__________________________________

ATTEST BY: __________________________________ Kash Gill, Board Chair Tina Banta, Board Clerk

http://sutterbutteflood.org/board/meetings-agendas/

Item 2


February 8, 2017 TO: Board of Directors FROM: Mike Inamine, Executive Director

Scott Shapiro, Agency Counsel SUBJECT: Approval of Amendment No. 7 to the Professional Services Agreement with

MBK Engineers Amending the Scope and Budget for Feather River Regional Flood Management Planning (FRRFMP) Phase II FY 2016/17 Activities

Recommendation Staff recommends that the Board approve Amendment No. 7 to the Agreement with MBK Engineers to amend the scope and budget to continue the Feather River Regional Flood Management Plan (FRRFMP) activities, as requested by the Department of Water Resources (DWR) and formalized within Amendment 1 to SBFCA’s funding with DWR (Agreement No. 4600010043) for Regional Flood Management Planning. Background The FRRFMP Working Group completed the Feather River Regional Flood Management Plan in August 2014. DWR subsequently approved follow-on scopes of work and an amendment in May 2015 (RFMP Phase II). MBK submitted a scope of work and request for Amendment 6 to their professional services agreement which was approved by SBFCA on October 14, 2015 to support RFMP Phase II services in FY 2016. The attached scope of work and amendment to MBK’s agreement will provide authorization for Amendment No. 7 to the professional services agreement, amending the scope and budget for Feather River Regional Flood Management Planning (FRRFMP) Phase II FY 2016/17 activities. RFMP efforts are directed and approved by DWR through the Fiscal Year ending June 30, 2017. DWR funded the entire amount encompassed by Amendment 7; however, funding was released in two $125,000 increments. This amendment funds the scope of work through June 30, 2017 and releases the second increment of $125,000 to complete the work. Fiscal Impact This action will obligate SBFCA to pay for the associated professional services delivered on a time and materials basis, up to the amended agreement limit of $703,989. The costs associated with this request are fully covered through Amendment 1 to the agreement with DWR for Regional Planning. The cost of these services is included within the Amended 5 and 3-Year Budgets (reference accounts 731-99-2001-65641 through 65646). As a result, there is no net budgetary impact resulting from board approval of the recommended action. Attachment

1. SEVENTH AMENDMENT TO AGREEMENT BETWEEN SUTTER BUTTE FLOOD CONTOL AGENCY AND MBK ENGINEERS

SEVENTH AMENDMENT TO AGREEMENT BETWEEN

SUTTER BUTTE FLOOD CONTOL AGENCY AND

MBK ENGINEERS

This Seventh Amendment to the Agreement between Sutter Butte Flood Control Agency and MBK Engineers (“Amendment”) is entered into this 8th day of February, 2017 by and between Sutter Butte Flood Control Agency (“Agency”) and MBK Engineers (“Consultant”) (together referred to herein as the “Parties”).

RECITALS

WHEREAS, Agency and Contractor entered into an Agreement for Consulting Services dated April 1, 2010 (“Agreement”);

WHEREAS, Agency and Contractor entered into a First Amendment to Agreement for Consulting Services dated October 12, 2011;

WHEREAS, Agency and Contractor entered into a Second Amendment to Agreement for Consulting Services dated March 14, 2012;

WHEREAS, Agency and Contractor entered into a Third Amendment to Agreement for Consulting Services dated February 13, 2013;

WHEREAS, Agency and Contractor entered into a Fourth Amendment to Agreement for Consulting Services dated January 8, 2015;

WHEREAS, Agency and Contractor entered into a Fifth Amendment to Agreement for Consulting Services dated February 1, 2015;

WHEREAS, Agency and Contractor entered into a Sixth Amendment to Agreement for Consulting Services dated October 14, 2015;

WHEREAS, the Agency amended the contract with the Department of Water Resources to continue certain tasks for Regional Flood Management Planning dated May 4, 2015;

WHEREAS, Article 21 of the Agreement states that modifications or amendments to the terms of the Agreement shall be in writing and executed by both Parties;

WHEREAS, the Parties now desire to amend the Agreement;

NOW, THEREFORE, the Parties agree as follows:

1. Schedule. Regional Planning consulting services pursuant to the MBK Scope of Work dated September 12, 2016 provides funding for the existing Sixth Amendment through June 30th 2017

2. Contract Fee. Agreement is amended to increase the maximum not to exceed amount $125,000 from $578,989 to $703,989.

All other terms and conditions contained in the Agreement shall remain in full force and effect.

SUTTER BUTTE FLOOD CONTROL AGENCY MBK ENGINEERS

By:_____________________ By:_____________________ Ric Reinhardt

APPROVED AS TO FORM:

By:_________________________________ SBFCA Agency Counsel

Water Resources Flood Control Water Rights GILBERT COSIO, JR., P.E. ANGUS NORMAN MURRAY MARC VAN CAMP, P.E. 1913-1985 WALTER BOUREZ, III, P.E. RIC REINHARDT, P.E. GARY KIENLEN, P.E. CONSULTANTS: DON TRIEU, P.E. JOSEPH I. BURNS, P.E. DARREN CORDOVA, P.E. DONALD E. KIENLEN, P.E. NATHAN HERSHEY, P.E., P.L.S. LEE G. BERGFELD, P.E. BEN TUSTISON, P.E.

455 University Avenue, Suite 100 Sacramento, California 95825 Phone: (916) 456‐4400 Fax: (916) 456‐0253 www.mbkengineers.com

September 12, 2016

Mr. Mike Inamine Sutter Butte Flood Control Agency 1441 Garden Highway Yuba City, CA 95991 Subject: Amendment No. 7 to MBK Contract for FY17 Feather River Regional

Planning Effort Dear Mr. Inamine: I am submitting the enclosed Amended Scope of Work for engineering and project management support for work being funded under the California Department of Water Resources (DWR) Regional Flood Management Planning (RFMP) Round 2 effort. In addition to work performed since July 1, 2016, the following Scope of Work and budget includes planned activities for each task, through June 30, 2017: Task 1 – Program Management Program Management includes general regional plan coordination; rural levee repair coordination; inter-regional coordination; grant administration; and policy, strategy, and legal reviews. Efforts for the next fiscal year include the following:

a. Coordination with the Central Valley Flood Protection Plan (CVFPP) Operation, Maintenance, Repair, Rehabilitation, and Replacement (O&M) Workgroup to develop more specific regional O&M costs

b. Continued evaluations and support of conceptual projects in the Region for inclusion in the 2017 CVFPP

c. Continued grant management d. Continued coordination with Local Maintaining Agencies (LMA) and DWR on the Basin

Wide Feasibility Study, CVFPP, Feather River Regional Permitting Program, and other projects

e. Coordination with Inter Regional Water Management plans Task 2 – Communication and Engagement This task includes stakeholder identification; developing and maintaining a project hotline and website (http://frrfmp.com/); coordinating and attending small group meetings; public workshops and planning meetings; updates to interested public agencies; outreach materials; and coordination and support of these activities. Efforts for the next fiscal year include the following:

http://frrfmp.com/

Mr. Mike Inamine September 12, 2016 Scope of Work for Feather River Regional Planning Page 2

a. Continue coordination meetings with Cherokee Canal property owners to further develop solutions for the Cherokee Canal

b. Continue coordination meetings with the Agriculture and Environmental Stakeholders to further develop multi-benefit projects in the region. Efforts will include taking the various flood, habitat, agriculture, and recreational components to develop a plan/vision for the Feather River corridor that meets the various stakeholder needs

c. Maintain the website (http://frrfmp.com/) and stakeholder database Tasks 3 & 4 No effort is expected for Plan Formulation or Financial Planning during RFMP Round 2. Task 5 - Regional Governance This task includes identifying specific opportunities for improved governance and developing organizational structure/governance so it can effectively engage in flood risk management in the region. This will also include formulating solutions related to policies and procedures, training requirements and synchronization of potential regional LMA consolidation for O&M and Emergency Response. DWR will provide guidance and assistance to regional leadership in development of an effective governance for the region, if requested. Efforts for the next fiscal year include the following:

a. Legal Evaluation and Coordination of potential regional governance alternatives. Items may include O&M Consolidation or regional O&M oversight

b. Develop a written Report and seek public input on regional governance alternatives c. This effort may also evaluate regional Emergency Response and alternatives to improve

regional communication during an emergency. Task 6 – Institutional Barriers This task includes working with local, State, and federal agencies to develop and assess strategies to deal with institutional issues such as permitting of flood management and O&M activities, flood insurance, sustainable financing, and others. Efforts for the next fiscal year include the following:

a. Continued coordination on Federal Emergency Management Agency (FEMA) floodplain regulation and related National Flood Insurance Program (NFIP) changes to support agriculture and small communities. A portion of this task under HDR’s scope is being administered through the Lower Sac/Delta North Region and will be cost shared with other regions. Additional costs to represent the Feather Region interests in this effort are also included

b. Development of rural levee standards c. Updating O&M standards to include differences between rural and urban districts, Urban

Levee Design Criteria requirements, and documentation and reporting standards for identified issues, etc.

d. Identify and further evaluate levee encroachments to develop a regional remediation plan. This effort will coordinate with DWR programs such as Utility Crossing Inventory Program (UCIP), Flood Project Integrity and Inspection Branch, O&M Workgroup, and the Central Valley Flood Protection Board’s Enforcement Section

e. Hydraulic and engineering analysis and floodplain mapping in support of FEMA NFIP reform, non-structural alternatives, relief cuts, or other efforts.

http://frrfmp.com/

Mr. Mike Inamine September 12, 2016 Scope of Work for Feather River Regional Planning Page 3 Budget by Task

FY 17 Budget by Task Task 1 Task 2 Tasks 3 & 4

Task 5 Task 6 Total FY17 Budget

MBK Engineers $43,805 $23,199 $0 $28,998 $28,998 $125,000

MBK efforts are charged on an actual time and expense basis in accordance with the fee schedule (Exhibit 1, attached) for our current contract (Exhibit 2, attached). This amendment would increase the total current contract limit by $125,000 from $549,397 to $674,397. For RFMP tasks, the budget will increase from $435,397 to $560,397. We appreciate the opportunity to assist Sutter Butte Flood Control Agency and the Feather River Region to support the activities necessary to make the area a safe place to live.

Sincerely MBK ENGINEERS Ric Reinhardt

RR/nl _Flood Control\5050 SBFCA SOW AMMENDMENT 2016-08-31

Attachments

1/16

455 University Avenue, Suite 100 Sacramento, CA 95825 916/456-4400 (voice) 916/456-0253 (fax)

SCHEDULE OF FEES

1. Standard Fees:

Per Hour Principal $200–260 Supervising Engineer 170–230 Project Manager 160–230 Senior Engineer 140–210 Engineer/Hydrologist 120–180 GIS Professional 120–180 Water Resources Associate 100–160 Assistant Engineer 100–150 Prevailing Rate Surveyor, Chief of Party 161 Prevailing Rate Surveyor, Rodman/Chainman 146 GIS Specialist 80–140 Technician/Drafter 80–140 Junior Engineer 75–110 Engineering Aide 50–80 Technical Editor 50–125 3-Man Survey Crew 250 2-Man Survey Crew 220

2. Time spent in appearances at courts or quasi-judicial State or Federal boards andcommissions is billed at $450 per hour for principals and supervising engineers, $400 perhour for registered engineer staff, and $250 per hour for other staff.

3. Automobile mileage is billed at the Federal reimbursement rate. Local mileage (less than20 miles) will not be billed.

4. All other direct non-salary expense, including transportation and subsistence, long-distance telephone charges, commercial printing, reproduction costs, and similar out-of-pocket expenses are billed at actual cost plus a service charge of 10%. Use of GPSequipment is billed at $50 per hour. Use of MBK owned boat will be billed at $100/day.Professional services provided by others billed through MBK at cost plus a servicecharge of 5%–15%.

5. Billings will be made monthly and payment will be due within 45 days. Accounts notpaid within 90 days of presentation will bear interest at the rate of 1½% per month orfraction thereof from the billing date unless other arrangements are made in advance.

6. If accounts are not paid within 90 days of presentation, the firm may retain an attorney toobtain payment. In the event that it does so and payment of all or part of the account isthereafter obtained, reasonable attorney’s fees and other costs incurred to obtain suchpayment shall also be paid, or if payment is obtained by Judgment, shall be awarded aspart of the Judgment.

EXHIBIT 1

Item 3


February 8, 2017 TO: Board of Directors FROM: Mike Inamine, Executive Director Michael Bessette, Director of Engineering

SUBJECT: Amendment 4 to the Construction Management Contract for Project Areas B&D

with Parsons Brinckerhoff for Additional Work Required for Project Closeout Services

Recommendation Staff requests Board authorization for the Executive Director to execute Amendment 4 to Parsons Brinckerhoff’s Project Areas B&D Construction Management contract for additional work required to close out construction contracts. Background In August and September of 2012, SBFCA conducted a solicitation and interview process to identify a qualified construction management services company (CM) to provide resident engineer, project inspection, and construction management services for the Feather River West Levee Project. SBFCA received Statements of Qualifications from four CM firms and interviewed all four. The interview panel unanimously selected Parsons Brinckerhoff as the most qualified firm. SBFCA subsequently entered into a contract with Parsons Brinckerhoff to provide construction management services for Project Area C. Subsequent to that contract, in February 2014, SBFCA entered into a separate contract with Parsons Brinckerhoff to provide construction management services for Project Areas B and D. The services Parsons Brinckerhoff performs include: construction management, inspection, resident engineer, submittal processing, change order negotiation, quality assurance testing, and project close-out documentation. Project Areas B and D were scheduled to be completed by the end of 2015, and Parsons Brinckerhoff’s contract was expected to be completed by April 2016. Due to the cultural resources impacts experienced in all project areas (B, C, and D), the construction season for Project Area D ran through 2016 and project closeout activities will run into 2017. Parsons Brinckerhoff has submitted a cost proposal to perform the necessary CM services for this unanticipated construction season and that proposal was reviewed and negotiated by SBFCA’s Director of Engineering and resulted in Contract Amendment 3. Several factors encountered during the 2016 construction season have resulted in the need for additional funding to close out the construction management services required for the project Areas B and D. These factors include additional cultural resources encountered during the 2016 season and construction activities taking longer than projected. To address these additional project costs, SBFCA staff requests Board authorization for the Executive Director to execute Amendment 4 to Parsons Brinckerhoff’s Construction Management Contract for Project Areas B and D as follows:

Item 3

Construction Management Contract for Project B&D

Current Authorized Contract Budget*

Proposed Amendment 4 Amount

Proposed Revised Contract Total

Project Areas B & D $11,171,436 $257,911.18 $11,429,347.18 *Includes amendments as previously amended two times with a Board authorized decrease in October 2016.

Fiscal Impact This action will obligate SBFCA to pay for the associated services delivered up to the amended contract budget total as noted above on a time and materials basis. The total Parsons Brinckerhoff contract B&D authorization included within the current Amended 5-Year Capital Budget is as follows:

Budget Account No.


Final Amended 5-Year Budget Amount

731-99-5001/6001-68200 PB General CM Svcs Sched B $3,178,988 731-99-5001/6001-68800 PB General CM Svcs Sched D $7,992,448 Total $11,171,436

In order to ensure there are sufficient funds appropriated for this change, staff recommends that Board increase the budget as follows:


Budget Account No.

Proposed Adjustment to Amended 5-Year Budget Amount

Project Areas D 731-99-5001/6001-68800 Increase of $257,911.18 With this amendment, the resulting total amended budget authorization would be as follows:


Budget Account No.

Adjusted 5-Year Budget Amount

CM Project Area B 731-99-5001/6001-68200 $3,178,988.00 CM Project Area D 731-99-5001/6001-68800 $8,250,359.18 Total $11,429,347.18

These expenditures are cost shared with the State through the EIP and UFRR grants. The Agency has sufficient revenue sources (local and state funding) identified to cover the increased costs associated with this recommended action. With respect to the FRWLP budget these costs are covered by reducing budgets for other project elements, resulting in no net increase. Attachments

Amendment 4 to Parsons Brinckerhoff’s Construction Management Contract B&D Cost Estimate for Amendment 4 to Parsons Brinckerhoff

Parsons Brinckerhoff, Inc. – Amendment 4 (Projects B and D Contract) 1

Parsons Brinckerhoff, Inc.

Construction Management Contract Amendment 4

Feather River West Levee Project Areas B and D This Contract Amendment No. 4 amends the Contract between the Sutter Butte Flood Control Agency and Parsons Brinckerhoff, Inc. dated February 12, 2014. The granted authority for the Executive Director to approve Contract Amendment 4 to the Construction Management Contract for Project Areas B and D construction project was approved by the Sutter Butte Flood Control Agency Board at their meeting on February 8, 2017.

Scope of Work See attached Proposal dated December 20, 2016.

Schedule The services under this Amendment will be performed between February 8, 2017 through November 15, 2017.

Budget The budget for this amendment is increased by $257,911.18 to be $11,429,347.18 and will be based upon actual costs incurred and invoiced on a monthly basis.

Special Provisions None

IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be duly executed as of the day and year first written above.

SUTTER BUTTE FLOOD CONTROL AGENCY PARSONS

BRINCKERHOFF, INC By: By: _______________________ ________________________ DATED: DATED:

Sutter Butte Flood Control Agency PAGE 2 OF 7

PARSONS BRINCKERHOFF CONSTRUCTION SERVICES, INC.

1) BURDENED LABOR COSTS (Includes Profit)

REGULAR TIME $44,240

OVERTIME $0

PREMIUM TIME $0

SUBTOTAL $44,240

2) SUBCONSULTANTS:

Blackburn (UDBE) - Materials Sampling and Testing $17,130

Subconsultant Markup (5%) $0

SUBTOTAL $17,130

3) MISCELLANEOUS EXPENSES $1,550

Markup (5%) $0

SUBTOTAL $1,550

ESTIMATED COST TO COMPLETE: $62,920

BILLED THROUGH October 2016: $11,139,625

ESTIMATED BILLING November 2016: $226,802

CONTRACT AMOUNT: 11,171,436.00$

AMENDMENT REQUEST: 257,911.18$

REVISED TOTAL: 11,429,347.18$

Item 4


February 8, 2017 TO: Board of Directors FROM: Mike Inamine, Executive Director Michael Bessette, Director of Engineering SUBJECT: Approval of Plans and Specifications and Consideration of Award of the

Construction Contract for the Tree Removal and Disposal Project, Contract No. 01-2017-T to the Lowest Responsive and Responsible Bidder W.C. Maloney, Inc.

Recommendations

1. Approve the Plans and Specifications for the Tree Removal and Disposal Project - Contract No. 01-2017-T.

2. Authorize the Executive Director to award and execute a contract for the Tree Removal and Disposal Project - Contract No. 01-2017-T to the lowest responsive and responsible bidder, W.C. Maloney, Inc. in the amount of $51,650.

3. Authorize the Executive Director to take any and all actions reasonably necessary to complete the work described in the contract, including the approval of minor contract amendments that, in the judgment of the Executive Director, will not materially alter the purpose of the contract or increase the total compensation due under the contract by more than $5,165 (10%), and to issue monthly progress payments to the contractor.

Background To protect human health and safety, and prevent adverse effects on property and the regional economy, the Sutter Butte Flood Control Agency (SBFCA) was formed as a Joint Powers Authority in 2007 through a Joint Exercise of Powers Agreement by the Counties of Sutter and Butte; the Cities of Yuba City, Gridley, Live Oak, and Biggs; and Levee Districts 1 and 9 (LD 1, LD 9). SBFCA was established to coordinate the planning and construction of flood protection facilities and to finance the local share of flood management projects. SBFCA is constructing the Feather River West Levee Project to rehabilitate Feather River levees to achieve the Agency’s goals. The Tree Removal and Disposal Project is an important flood protection and compliance feature of the FRWLP. SBFCA prepared an Environmental Impact Report (EIR) under CEQA, and an Environmental Impact Statement (EIS) under NEPA for the Feather River West Levee Project, which includes evaluation of the project specific impacts of this tree removal project. The SBFCA Board certified the subject CEQA document on April 10, 2013. Discussion The Feather River West Levee Project – Tree Removal and Disposal - Contract No. 01-2017-T is consistent with SBFCA’s Strategic Plan. Sealed bids for the Tree Removal and Disposal Project - Contract No. 01-2017-T were received and opened on January 26, 2017 at 2 p.m. SBFCA staff opened and reviewed the

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bids and determined the lowest responsive, responsible bidder was W.C. Maloney, Inc. in the amount of $51,650. The other bid received for the project was:

All Clear, Inc. $87,600 The Engineer’s Estimate for the project was $150,000. Prior to contract award, staff will document findings with the Contractor’s State License Board that the low bidder holds a current and proper license to legally perform the work and it is in good standing. Fiscal Impact The Approved 5 and 3-Year capital budgets include sufficient budget authority to execute the contract consistent with staff’s recommendation. The budget includes sufficient funding (within expenditure accounts 731-5001/6001-67500- EIP Construction Contract Project Area C & Completion Work) for the Engineer’s Estimate and recommended 10% contingency. Finally, the proposed services are included within the current planned cost estimates for the Feather River West Levee Project. There is no net impact to the approved budget as a result of Board’s approval of the recommended action.

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Contract No. 01-2017-T

AGREEMENT THIS AGREEMENT made and entered into this day of , 20__, between Sutter Butte Flood Control Agency, a joint exercise of powers agency established pursuant to the laws of the State of California, hereinafter referred to as SBFCA, and , hereinafter referred to as "Contractor." WITNESSETH:

WHEREAS, the Governing Board of said SBFCA heretofore caused plans and specifications for the work hereinafter mentioned to be prepared, and did approve and adopt said plans and specifications; and WHEREAS, the Governing Board of SBFCA did cause to be published for the time and in the manner required by law, a Notice inviting sealed bids for the performance of said work; and WHEREAS, the Contractor, in response to such Notice, submitted to the Governing Board of said SBFCA within the time specified in said Notice, and in the manner provided for therein, a sealed bid for the performance of the work specified in said plans and specifications, which said bid and proposal, and the other bids and proposals submitted in response to said Notice, the Governing Board of SBFCA publicly opened and canvassed in the manner provided by law; and WHEREAS, the Contractor was the lowest responsible bidder for the performance of said work, and said Governing Board of SBFCA, as a result of the canvass of said bids, did determine and declare Contractor to be the lowest responsible bidder for said work and award to a contract therefor. NOW, THEREFORE, in consideration of the promises herein, it is mutually agreed between the parties hereto as follows: 1. CONTRACT DOCUMENTS The following documents are by this reference incorporated in and made a part of this Agreement: the Agreement Form; the Plans; the General Specifications; the Special Provisions; the Technical Provisions; the Standard Forms; Supplemental Drawings; all addenda; the Notice to Contractors; the Proposal; all required bonds; and all supplemental Agreements covering alterations, amendments, or extensions to the Contract. The documents which describe the work to be performed are sometimes collectively referred to herein as the Plans and Specifications. 2. SCOPE OF WORK

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The Contractor will furnish all labor, materials, services, transportation, appliances, and mechanical workmanship required for Contract No. 01-2017-T, Tree Cutting, Removal, Disposal and Stump Grinding Project, as provided for and set forth in the Contract Documents. All of the said work done under this Agreement shall be under the supervision of and performed to the satisfaction of the Engineer of SBFCA, or the Engineer's authorized agent or assistant, who shall have the right to reject any and all materials and supplies furnished by the Contractor which do not comply with the Contract Documents, together with the right to require the Contractor to replace any and all work furnished by the Contractor which shall not either in workmanship or material be in strict accordance with the Contract Documents. 3. DEFINITIONS

Unless otherwise specifically provided herein, all words and phrases defined in the General Specifications shall have the same meaning and intent in this Agreement. 4. COMPLETION Said work shall be completed and ready for acceptance by March 15, 2017. Time is of the essence in this Agreement and the Contract Documents. Failure of Contractor to complete the Work by the completion date and in the manner provided for by the Contract Documents shall subject Contractor to liquidated damages as provided in the Contract Documents. 5. PAYMENT Attached hereto as Exhibit "A" and by reference made a part hereof, is the bid and proposal of Contractor. Said bid and proposal containing, as required by the terms of said specifications, the full and complete schedule of the different items with the lump sums or unit prices as so specified. SBFCA agrees, in consideration of the work to be performed herein and subject to the terms and conditions hereof, to pay Contractor all sums of money which may become due to Contractor in accordance with the terms of the aforesaid bid and proposal, and this Agreement, to wit: Said sum shall be paid in accordance with Section 8 of these Specifications. With respect to that portion of the above sum as is based upon the estimated quantities specified for the general scope of the work to be performed herein, actual payment will be based upon the quantities as measured upon completion. No payment made under this Agreement shall be construed to be an acceptance of defective work or improper materials.

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6. RETENTION OF SUMS CHARGED AGAINST CONTRACTOR When, under this provisions of the Contract Documents, SBFCA shall charge any sum of money against Contractor, SBFCA shall deduct and retain the amount of such charge from the amount of the next succeeding progress payment, or from any other monies due or that may become due to Contractor from SBFCA. If, on completion or termination of the Contract, sums due Contractor are insufficient to pay SBFCA’s charges against Contractor, SBFCA shall have the right to recover the balance from Contractor or its sureties.

7. PREVAILING WAGES Pursuant to the provisions of Articles 1 and 2 of Chapter 1, Part 7, Division II, of the Labor Code of the State of California, not less than the general prevailing rate of per diem wages, and not less than the general prevailing rate of per diem wages for holidays and overtime work, for each craft, classification or type of worker needed to execute the work contemplated under this Agreement shall be paid to all workers, laborers, and mechanics employed in the execution of said work by Contractor, or by any subcontractor doing or contracting to do any part of said work. The appropriate determination of the Director of the California Department of Industrial Relations is filed with, and available for inspection, at the office of the Clerk of the Governing Board. This is a construction project in accordance with Section 1771.5 of the California Labor Code. This Contract is subject to: (1) Federal Labor Standards Provisions as required by the Davis-Bacon Act and other applicable Federal requirements, (2) Equal Employment Opportunity requirements pursuant to Executive Order 11246, and (3) Minority Business Enterprise (MBE) development pursuant to Executive Order 12432. All labor on the project shall be paid no less than the minimum wage rates as established by the U.S. Secretary of Labor or as determined by the Director of the California Department of Industrial Relations. The higher of the two rates will be paid in accordance with the following acts and codes: (1) The Davis-Bacon Act, and (2) Section 1770, and following, of the California Labor Code. A copy of the minimum wage rates, as established by the U.S. Secretary of Labor, and copies of the prevailing rate of per diem wages, as determined by the Director of the California Department of Industrial Relations, are on file at the office of the Clerk of the Sutter County and Butte County Boards of Supervisors, at the addresses provided in the Notice to Contractors or on the internet at http://www.dir.ca.gov/OPRL/PWD. Contractor shall post, at each job site, a copy of such prevailing rate of per diem wages as determined by the Director of the California Department of Industrial Relations and by the U.S. Secretary of Labor.

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8. INSURANCE The Contractor shall carry and maintain at all required times such public liability, property damage and contractual liability, auto, Workers' Compensation, Builders' Risk Insurance, and such other insurance as required by the General Specifications and Special Provisions, including in the specified coverages, amounts and durations. 9. WORKERS' COMPENSATION CERTIFICATION By execution of this Agreement, the Contractor certifies as follows: "I am aware of the provisions of Section 3700 of the Labor Code which require every employer to be insured against liability for workers' compensation or to undertake self-insurance in accordance with the provisions of that code, and I will comply with such provisions before commencing the performance of the work of this Contract.”

10. INDEMNIFICATION The Contractor shall defend, indemnify, and save harmless SBFCA and the Engineer (including their officers, agents, members, employees, affiliates, and representatives) as set forth in Section 6 of the General Specifications. 11. NO WAIVER OF REMEDIES

Neither the inspection by SBFCA or its agents, nor any order or certificate for payment of money, nor any payment for, nor acceptance of the whole or any part of the Work by SBFCA, nor any extensions of time, nor any position taken by SBFCA or its agents shall operate as a waiver of any provision of this Agreement or the Contract Documents or of any power herein reserved to SBFCA or any right to damages herein provided, nor shall any waiver of any breach of this Agreement or of the Contract Documents be held to be a waiver of any other or subsequent breach. All remedies provided in this Agreement and in the Contract Documents shall be taken and construed as cumulative; that is, in addition to each and every other remedy provided in this Agreement and/or the Contract Documents, and SBFCA shall have any and all equitable and legal remedies, which it would in any case have.

12. NON-DISCRIMINATION IN EMPLOYMENT A. CONTRACTOR shall not discriminate against any employee, applicant for employment, or volunteer because of race, color, creed, religion, national origin, sex, age, or physical or mental handicap. CONTRACTOR shall take affirmative action to insure that applicants are employed and that employees are treated during employment without regard to their race, color, creed, religion, sex, national origin, age, or physical or mental handicap. Such action shall include, but not be limited to,

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the following: employment, promotion, demotion or transfer; recruitment or advertising; layoff or termination; rates of pay or other forms of compensation; or selection for training, including apprenticeship. CONTRACTOR agrees to post, in conspicuous places, available to employees and applicants for employment, notices that CONTRACTOR shall provide an atmosphere free of sexual harassment for employees, clients, volunteers and the general public. B. CONTRACTOR shall, in all solicitations or advertisements for employees placed by or on behalf of CONTRACTOR, state that all qualified applicants will receive consideration for employment without regard to race, color, creed, religion, sex, national origin, ancestry, age, or physical or mental handicap.

13. CERTIFICATION OF NON-DEBARMENT Reference Government Debarment and Suspension (49 CFR Part 29) The Contractor certifies, by acceptance of this contract, that neither it nor its principals are presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in a Federally funded contract by any Federal department or agency. It further agrees by executing this contract that it will include this clause without modification in all lower tier transactions, solicitations, proposals, contracts, and subcontracts. 14. UNFAIR COMPETITION The following provision is included in this Agreement pursuant to California Public Contract Code section 7103.5. “In entering into a public works contract or subcontract to supply goods, services, or materials pursuant to a public works contract, the contractor or subcontractor offers and agrees to assign to the awarding body all rights, title, and interest in and to all causes of action it may have under Section 4 of the Clayton Act (15 U.S.C. Sec. 15) or under the Cartwright Act (Chapter 2 (commencing with Section 16700 of Part 2 of Division 7 of the Business and Professions Code), arising from purchases of goods, services, or materials pursuant to the public works contract or subcontract. This assignment shall be made and become effective at the time the awarding body tenders final payment to the contractor, without further acknowledgment by the parties.”

15. CHILD AND FAMILY SUPPORT OBLIGATIONS It is the policy of the State of California, as stated in Public Contract Code Section 7110, that anyone who enters into a contract with a state agency shall recognize the importance of child and family support obligations and shall fully comply with all applicable state and federal laws relating to child and family support enforcement, including but not limited to, disclosure of information and compliance with earnings assignment orders, as provided in Chapter 8 (commencing with Section 5200) of Part 5 of Division 9 of the Family Code. In compliance with Section 7110, the Contractor,

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by his or her signature on this Agreement: 1) acknowledges that the Contractor is aware of the state policy identified herein; and 2) the Contractor, to the best of his or her knowledge, is fully complying with, and will continue to fully comply with, the earnings assignment orders of all employees and is providing the names of all new employees to the New Hire Registry maintained by the State Employment Development Department. 16. ASSIGNMENT

Neither this Agreement nor any rights herein of Contractor shall be assigned without the written consent of SBFCA first obtained. 17. NO THIRD PARTY BENEFICIARIES

This Agreement is entered into solely between SBFCA and Contractor. There are no third party beneficiaries, intended, unintended, or otherwise to this Agreement. 18. MISCELLANEOUS PROVISIONS

This Agreement shall bind and inure to the heirs, devisees, assignees, and successors in interest of Contractor and to the successors in interest of SBFCA in the same manner as if such parties had been expressly named herein. As used in this instrument the singular includes the plural, and the masculine includes the feminine and the neuter. This Agreement may create a possessory interest subject to property taxation, and Contractor may be subject to the payment of property taxes levied on such interest.

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IN WITNESS WHEREOF, SBFCA and Contractor have caused this Agreement to be executed as of the day and year first above written. Sutter Butte Flood Control Agency CONTRACTOR a Joint Powers Agency of the State of California By: By: Authorized Representative

Executive Director _________________________________

Print Forms Approved by SBFCA Counsel ________________________________ Title _______________________________ Scott Shapiro Agency Counsel Contract Management Services

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February 8, 2017 TO: Board of Directors FROM: Mike Inamine, Executive Director

SUBJECT: Approval of a Professional Services Agreement with the Sutter Buttes Regional

Land Trust to Develop the Required Conservation Easement and Other Instruments Needed to Convey the Star Bend Setback Levee Elderberry Mitigation Area to the Trust

Recommendation Authorize the Executive Director to execute the attached Professional Services Agreement with the Sutter Buttes Regional Land Trust (SBRLT) to assist with the development of the required documentation including a conservation easement to transfer interim and long-term management responsibilities for the Star Bend Setback Levee Elderberry Mitigation Area (Area). Background As part of the Feather River West Levee Project’s permitting requirements, SBFCA transplanted elderberry shrubs and planted associated vegetation in the Area. The transplanting and associated plantings conformed to requirements of USFWS regulatory guidelines, and USACE 404 Clean Water Act mitigation requirements for impacts to Waters of the U.S. As part of these permitting requirements, once all plantings have been installed, SBFCA is to transfer the property along with long term management responsibility maintenance to a third party and record a conservation easement that ensures certain requirements will be met in perpetuity. SBFCA has been working with the SBRLT to set up this conservation easement and associated mechanism for the long-term maintenance and monitoring of the Area. As part of the arrangement between SBRLT and SBFCA, documentation needs to be prepared for the conservation easement and time needs to be spent by SBRLT to coordinate with the resource agencies and other stakeholders. The attached professional services agreement will allow for these activities to take place and allow for SBFCA to meet requirements of regulatory permits and the funding agreement with DWR. The budget for these services to be provided by SBRLT is $79,600. In addition to these near term services, it is expected that SBFCA will need to pay for continued interim management of the site during the establishment period of the transplants and associated plantings as well as fund an endowment for the long-term management of the conservation easement in perpetuity. The interim management amount is expected to be approximately $365,306 through 2025. The endowment is expected to be approximately $280,000.

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Fiscal Impact This action will obligate SBFCA to pay for the associated professional services delivered on a time and materials basis up to the agreement limit of $79,600. The approved Final Amended 5-Year Budget includes budget for Environmental Mitigation related to Project Areas B, C, & D (731-5001/6001 – 67401, 68401 & 68901 respectively). Sufficient budget in these accounts remains within the 5 & 3-Year budgets for this effort. Further, this action described above is within the current estimates for the FRWLP1 planned costs. There is no net budgetary impact from Board’s approval of the recommended action. Attachment

1. Transmittal letter from Sutter Butte Regional Land Trust dated January 20, 2017 re: Feather River Setback Levee and Habitat Enhancement Project at Star Bend (“Star Bend Mitigation Area”) including an Agreement for Professional Services and Scope of Work

Sutter Buttes Regional Land Trust

PO Box 3359 │ Yuba City, CA 95992 │ (530) 755-3568 │ www.sutterbutteslandtrust.org

January 20, 2017 Sutter Butte Flood Control Agency Mike Inamine PO Box M Yuba City, CA 95991 Re: Feather River Setback Levee and Habitat Enhancement Project at Star Bend (“Star Bend Mitigation Area”) Dear Mr. Inamine:

On behalf of Sutter Buttes Regional Land Trust I am pleased to provide Professional Services Agreement for services set forth in the attached agreement between Sutter Buttes Regional Land Trust (SBRLT) and Sutter Buttes Flood Control Agency (SBFCA). For the purposes of this agreement and tasks detailed henceforth, SBRLT will be seeking compensation for tasks associated with the execution of a conservation easement to permanently protect a Valley Elderberry Longhorn Beetle mitigation area as part of the Feather River Setback Levee and Habitat Enhancement Project at Star Bend in Sutter County. Property Description In order to meet the standards outlined by USFWS Grantor is required to place a conservation easement (“CE”) on the property used as a mitigation area, and create an endowment account to fund monitoring and enforcement of the CE in perpetuity. The mitigation area consists of approximately 45 acres of VELB and riparian habitat designated for the Feather River Setback Levee and Habitat Enhancement Project at Star Bend in Sutter County. Conveyance of the CE and all related aspects of the CE project will be referred to herein as the” Project.” If you have questions regarding this project, please me at 530-870-1135 or Alyssa Lindman, Stewardship Manager at 916-549-2355. We look forward to working with you. Sincerely,

Coleen Morehead Land Conservation/Executive Director c: Michael W. Bessette, P.E., Director of Engineering, Sutter Butte Flood Control Agency Seth Wurzel, CGFM, Larsen Wurzel & Associates, Inc.

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AGREEMENT FOR PROFESSIONAL SERVICES

THIS AGREEMENT FOR PROFESSIONAL SERVICES (“Agreement”) is made and entered into this 1st day of January, 2017, by and between Sutter-Butte Flood Control Agency ("SBFCA"), and Sutter Buttes Regional Land Trust, (“Contractor”) (each a “party” and collectively “the parties”).

RECITALS:

A. SBFCA has determined that it is desirable to retain a contractor for flood management services; and

B. Contractor represents that it possesses the qualifications, experience, and facilities

necessary to perform the services contemplated herein and has proposed to provide those services; and

C. SBFCA desires to retain Contractor to perform the proposed services.

AGREEMENT:

SBFCA and Contractor agree as follows: 1. Scope of Services. Contractor shall provide the land conservation services as described

in Exhibit ‘A’, during the term described in Section 2, and for the compensation described in Section 3.

2. Term of Agreement. Contractor shall begin performance of its services as of the date

of execution of this Agreement and shall continue until the project is completed as agreed or the Agreement is terminated pursuant to the provisions of Section 17, below.

3. Compensation. A. The compensation to be paid by SBFCA to Contractor for services as described in

Exhibit ‘A’ shall be in accordance with Contractors cost estimates provided in Exhibit ‘A’. Contractor shall be reimbursed for out-of-pocket expenses incurred for travel, postage and delivery, and long-distance telephone charges. Contractor shall provide SBFCA with an itemized statement of expenses by category of expense as part of each monthly billing statement.

B. SBFCA shall make no payment to Contractor in any greater amount for any extra,

further, or additional services, unless such services and payment therefore have been mutually agreed to and this Agreement has been formally amended in accordance with Section 21 of this Agreement.

C. Contractor agrees to testify at SBFCA’s request if litigation is brought against

SBFCA in connection with Contractor’s work. Unless the action is brought by Contractor or is

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based upon Contractor’s negligence or intentional tortious conduct, SBFCA will compensate Contractor for the testimony at Contractor’s hourly rate as provided in Exhibit ‘B’.

4. Invoice, Payments, Notices. Contractor shall submit monthly invoices for services

rendered during the preceding month and expenses incurred. SBFCA shall pay invoices that are undisputed within thirty (30) days of receipt and approval. The parties agree to exercise good faith and diligence in the resolution of any disputed invoice amounts.

All invoices, notices, or other documents concerning this Agreement shall be served as

follows: If to SBFCA:

Sutter Butte Flood Control Agency Mike Inamine PO Box M Yuba City, CA 95991 If to Contractor: Sutter Buttes Regional Land Trust Coleen Morehead PO Box 3359 Yuba City, CA 95992

5. Independent Contractor. A. Contractor (including Contractor’s employees) is an independent contractor and no

relationship of employer-employee exists between the parties. SBFCA is not required to make any deductions or withholdings from the compensation payable to Contractor under the provisions of this Agreement, and as an independent contractor, Contractor indemnifies and holds SBFCA harmless from any and all claims that may be made against SBFCA based upon any contention by any third party that an employer-employee relationship exists by reason of this agreement.

B. Contractor, in the performance of its obligation hereunder, is subject to the control

or direction of SBFCA as to the designation of tasks to be performed and the results to be accomplished but not as to the means and methods used by Contractor for accomplishing the results.

C. If, in the performance of this Agreement, any third persons are employed by

Contractor, such person shall be entirely and exclusively under the direction, supervision, and control of Contractor. All terms of employment, including hours, wages, working conditions, discipline, hiring and discharging, or any other terms of employment or requirements of law, shall be determined by Contractor.

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D. As an independent contractor and not an employee of SBFCA, Contractor shall have no right to act on behalf of SBFCA as its agent or have the authority to bind SBFCA to any obligation.

6. Authority of Contractor. It is understood that Contractor is to provide information,

research, advice, recommendations, and consultation services to SBFCA. Contractor shall possess no authority with respect to any SBFCA decision. SBFCA is responsible for and shall make all governmental decisions related to work of Contractor.

7. Subcontracting and Assignment. Contractor shall not subcontract or assign any portion

of the work to be performed under this agreement without the prior written consent of SBFCA. 8. Ownership of Work Product. All technical data, evaluations, plans, specifications,

reports, documents, or other work products of Contractor shall become the property of SBFCA and shall be delivered to SBFCA upon completion of services. Contractor may retain copies for its files and internal use, however, Contractor shall not disclose any of the work product of this Agreement to any third party, person, or entity, without prior written consent of SBFCA. Upon reasonable notice, SBFCA representatives shall have access to the work for purposes of inspecting same and determining that the work is being performed in accordance with the terms of the Agreement. Contractor may not publish information obtained in connection with services rendered under this Agreement.

9. Indemnification. Contractor shall indemnify, defend, and hold harmless SBFCA, its

officers, employees, and agents from and against any and all claims, loss, costs, expenses (including, but not limited to, attorney’s fees and costs incurred by SBFCA), injury, or damage caused by the recklessness, negligent acts or omissions, or intentional misconduct of Contractor, its employees, officers, or agents, or any of its contractors or subcontractors used in performance of this Agreement.

10. Insurance. Without limiting Contractor’s indemnification of SBFCA, Contractor shall

provide and maintain at its own expense during the term of this Agreement the following insurance coverages and provisions:

A. Prior to commencement of this Agreement, Contractor shall provide certificates of insurance certifying that all coverage as required herein has been obtained and remains in force for the period required by this Agreement. Any required endorsement shall be attached to the Certificate or certified as issued on the Certificate. All Certificates of Insurance shall be sent to the following address:

Sutter Butte Flood Control Agency PO Box M Yuba City, CA 95991

Contractor shall not proceed with the work under this Agreement until it has obtained all insurance required and Certificates of Insurance have been provided to SBFCA. All Certificates of Insurance

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shall provide that SBFCA shall receive thirty (30) days advance written notice of cancellation or major modification before the expiration date.

B. Should, consistent with the terms of this Agreement, any of the work under this Agreement be subcontracted, Contractor shall require each of its subcontractors to provide the insurance required herein, or Contractor may name the subcontractors as additional insureds under its own policies.

C. Insurance Required:

(i) Comprehensive General Liability Insurance or Commercial General Liability Insurance for bodily injury (including death) and property damage which provides limits of not less than one million dollars ($1,000,000) each occurrence and written on an occurrence basis. If the insurance has a General Aggregate it must be no less than two million dollars ($2,000,000). Each type of insurance shall include coverage for premises/operations, products/completed operations, contractual liability, broad form property damage, and personal injury.

For either type of general liability insurance, coverage shall include the following endorsements:

a. Additional Insured Endorsement: Insurance afforded by this

policy shall also apply to SBFCA, and members of the Board of Directors of SBFCA, the officers, agents and employees of SBFCA, individually and collectively, as additional insureds.

b. Primary Insurance Endorsement: Insurance afforded by the

Additional Insured Endorsement shall apply as primary insurance, and other insurance maintained by SBFCA, its officers, agents and employees shall be excess only and not contributing with insurance provided under this policy.

c. Notice of Cancellation or Change of Coverage Endorsement:

Insurance provided by this policy shall not be cancelled or changed so as to no longer meet the specified SBFCA insurance requirements without thirty (30) days prior written notice of such cancellation or change being delivered to SBFCA at the address as specified above.

d. Severability of Interest Endorsement: Insurance provided by

this policy shall apply separately to each insured who is seeking coverage or against whom a claim is made or a suit brought, except with respect to the policy's limits of liability.

(ii) Automobile Liability Insurance for bodily injury (including death) and property damage which provides total limits of not less than one million dollars ($1,000,000) combined single limit per occurrence applicable to all owned, non-owned, and hired vehicles.

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(iii) Workers’ Compensation and Employer’s Liability Insurance with

statutory California Workers’ Compensation coverage and Employer’s Liability coverage of not less than one million dollars ($1,000,000) per occurrence for all employees engaged in services or operations under this Agreement. Coverage shall include an endorsement whereby the insurer agrees to waive all rights of subrogation against SBFCA, Board of Directors, and officers, officials, employees and volunteers of SBFCA for losses arising from work performed by the Contractor under this Agreement.

(iv) Professional Errors and Omissions Liability Insurance in an amount

not less than one million dollars ($1,000,000) and written on an occurrence basis. If coverage is written on a claims made basis, such policy shall provide that:

a. The policy retroactive date coincides with or precedes

Contractor’s start of work (including subsequent policies purchased as renewals or replacements).

b. If the policy is terminated for any reason during the term of this

Agreement, Contractor shall either purchase a replacement policy with a retroactive date coinciding with or preceding the retroactive date of the terminating policy, or shall purchase an extended reporting provision of at least two years to report claims arising from work performed in connection with this Agreement and a replacement policy with a retroactive date coinciding with or preceding the expiration date of the terminating policy.

c. If this Agreement is terminated or not renewed, Contractor shall

maintain the policy in effect on the date of termination or non-renewal for a period of not less than two years therefrom. If that policy is terminated for any reason during the two year period, Contractor shall purchase an extended reporting provision at least covering the balance of the two year period to report claims arising from work performed in connection with this Agreement or a replacement policy with a retroactive date coinciding with or preceding the retroactive date of the terminating policy.

11. Professional Services: The work shall be performed and completed in a professional manner. All services shall be performed in the manner and according to the professional standards observed by a competent practitioner of the profession in which Contractor and any subcontractors are engaged.

12. Responsibility of Contractor. A. Contractor shall be solely responsible for the quality and accuracy of its work

and the work of its Contractors performed in connection with this Agreement. Any review, approval, or concurrence therewith by SBFCA shall not be deemed to constitute acceptance or waiver by SBFCA of any error or omission as to such work.

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B. Contractor shall coordinate the activities of all sub-Contractors and is

responsible to ensure that all work products are consistent with one another to produce a unified, workable, and acceptable whole functional product.

C. SBFCA shall promptly notify Contractor of any defect in Contractor’s

performance. 13. Audit. The following audit requirements apply from the effective date of this

Agreement until three years after SBFCA’s final payment: A. Contractor shall allow SBFCA’s authorized representatives’ reasonable access

during normal business hours to inspect, audit, and copy Contractor’s records as needed to evaluate and verify any invoices, payments, and claims that Contractor submits to SBFCA or that any payee of Contractor submits to Contractor in connection with this Agreement. ‘Records’ includes, but is not limited to, correspondence, accounting records, sub-Contractor files, change order files, and any other supporting evidence relevant to the invoices, payments, or claims.

B. SBFCA and Contractor shall be subject to the examination and audit of the State

Auditor, at the request of SBFCA or as part of any audit of SBFCA. Such examinations and audits shall be confined to matters connected with the performance of this Agreement including but not limited to administration costs.

C. The provisions of Section 13 shall survive the expiration or termination of this

Agreement. 14. Publication of Documents and Data. Contractor shall not publish or disclose to any

third party documents or data without the prior written consent of SBFCA. However, submission or distribution to meet official regulatory requirements, or for other purposes authorized by this agreement, shall not be construed as publication in derogation of the rights of either SBFCA or Contractor.

15. Interest of Contractor. Contractor covenants that it has, at the time of the execution of

this Agreement, no interest, and that it shall not acquire any interest in the future, direct or indirect, which would conflict in any manner with the performance of services required to be performed pursuant to this Agreement. Contractor further covenants that in the performance of this work, no person having any such interest shall be employed.

16. Employment Practices. Contractor, by execution of this Agreement, certifies that it

does not discriminate against any person upon the basis of race, color, creed, national origin, age, sex, disability, or marital status in its employment practices.

17. Termination. Either party shall have the right to terminate this Agreement at any time

by serving upon the other party thirty (30) days advance written notice of termination. The notice shall be deemed served and effective for all purposes on the date it is deposited in the United States

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mail, postage prepaid and addressed to SBFCA or Contractor at the address indicated in Section 4. In the event of termination:

A. Contractor shall immediately cease rendering services pursuant to this

Agreement. B. Contractor shall deliver to SBFCA copies of all writings prepared pursuant to

this Agreement. The term “writings” shall be construed to mean and include: handwriting, typewriting, drawings, blueprints, printing, photostating, photographing, electronic messages or other documents and every other means of recording upon any tangible thing, any form of communication or representation, including letters, words, pictures, sounds, or symbols or combinations thereof. All materials provided to SBFCA upon termination become the property of SBFCA.

C. Contractor shall be paid for any required services satisfactorily completed prior

to the date of termination less compensation, if any, to SBFCA for damages suffered as a result of Contractor's failure to comply with the terms of this agreement.

18. Jurisdiction. This agreement shall be administered and interpreted under the laws of

the State of California. 19. Conflict with Laws or Regulations/Severability. This agreement is subject to all

applicable laws and regulations. If any provision of this agreement is found by any court or other legal authority, or is agreed by the parties, to be in conflict with any code or regulation governing its subject, the conflicting provision shall be considered null and void. If the effect of nullifying any conflicting provision is such that a material benefit of the agreement to either party is lost, the agreement may be terminated at the option of the affected party. In all other cases, the remainder of the agreement shall continue in full force and effect.

20. Waivers. Waiver of a breach or default under this Agreement shall not constitute a

continuing waiver or a waiver of a subsequent breach of the same or any other provision of this Agreement.

21. Amendments. Any amendment to this Agreement must be in writing and executed by

both parties. 22. Entire Agreement. This Agreement, all exhibits attached hereto, all other terms or

provisions incorporated herein by reference, and any notice to proceed issued in accordance with the terms hereof constitute the entire Agreement and understanding between SBFCA and Contractor as to the subject matter hereof and supersedes all prior oral and written agreements.

23. Successors and Assigns. This agreement shall be binding upon and shall inure to the

benefit of any successors to or assigns of the parties. 24. Construction. This agreement reflects the contributions of both parties and accordingly

the provisions of California Civil Code section 1654 shall not apply in interpreting this Agreement.

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IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be duly

executed as of the day and year first written above.

SUTTER BUTTE FLOOD CONTROL AGENCY SUTTER BUTTES REGIONAL LAND TRUST By: By: Chair Contractor DATED: DATED: APPROVED AS TO FORM: By: SBFCA General Counsel

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Scope of Work and Cost Estimate

Project Name: Feather River Setback Levee and Habitat Enhancement Project at Star Bend (Star

Bend MA)

This scope of work and cost estimate is prepared for the Star Bend Setback Levee Elderberry

Mitigation Area. All items included in the scope of work represent all tasks required to create a

conservation easement for the mitigation area, including Phase I and II, and transfer interim

and long-term management responsibilities of the Star Bend MA from Sutter Butte Flood

Control Agency(SBFCA) to Sutter Buttes Regional Land Trust (SBRLT).

SBFCA will provide the following information, documents and correspondences to SBRLT to

facilitate creating and holding a Conservation Easement (CE) on Star Bend MA that

encompasses Phase I and Phase II outlined in the Final Environmental Impact Report (FEIR) for

Feather River Setback Levee and Habitat Enhancement at Star Bend. The mitigation areas are

for the long-term protection of the Valley Elderberry Longhorn Beetle (VELB).

The following items cover the work to be accomplished in order to adequately assess conditions

related to the CE, and the cost associated with securing CE on above mentioned land. Exhibit A

attached herein details tasks associated and responsibilities of each entity listed above. With

this scope of work and cost estimates and timeline.

SBFCA to provide the following:

1. Operating and Management guidelines for Phase I and Phase II

2. Operating permits

3. Current survey of property with marked boundaries and planting locations

4. Biological Opinion (BO) for Phase I and Phase II

5. Site map of restoration area

6. Restoration responsibilities as outlined in the operating permit

7. Final Environmental Impact Report (FEIR)

8. Any relevant documents currently available pertaining to project

9. Any changes in the recent guidelines outlined by USFWS

10. Any other relevant documents currently available in electronic and/or GIS format

will be produced and handed over to SBRLT as soon as possible for due diligence

purposes and for future management and analysis purposes.

Exhibit A

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SBRLT to provide the following:

1. Endowment Budget

2. Baseline Report & Management Plan

3. Biological Assessment (if needed for baseline)

4. CE Agreement

5. Easement Management Agreement

6. Endowment Management Agreement

7. Agreement for Conveyance of Easement

8. Environmental Assessment/Appraisal

9. Title Policy

Projected timeline for all items listed above is provided in the following cost estimate by

Section:

Section A: Preliminary Tasks, Project Initiation and Planning

Section B: Baseline Documentation Report and Management Plan Development

Section C: Transaction, Endowment Budget and Closing

Section D: Enforcement (to be invoiced upon close)

The Draft Endowment and Interim Management budgets are provided under separate file,

and is under review. As agency approvals are negotiated and obtained specific tasked will

be finalized and invoiced appropriately as noted within the agreement and SBFCA approval

will be sought as needed.

Project Contacts:

Coleen Morehead

[email protected]

530-870-1135

Alyssa Lindman

[email protected]

916-549-2355

Sutter Buttes Regional Land Trust

PO Box 3359 │ Yuba City, CA 95992 │ (530) 755-3568 │ www.sutterbutteslandtrust.org



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Item 6


February 8, 2017 TO: Board of Directors FROM: Mike Inamine, Executive Director Seth Wurzel, Budget Manager SUBJECT: Presentation of Agency Audited Financial Statements and Related Reports for

Fiscal Year Ending June 30, 2016

Recommendation Staff recommends that the Board accept the attached financial statements and related audit reports for filing. Background In accordance with the Agency’s Joint Exercise of Powers Agreement, the Agency’s Board of Directors is to have an independent audit of its financial statements conducted on an annual basis. The purpose of this item is to present the resulting financial statements and related audit results and management report to the Board for its review and acceptance. The two documents to be provided to the Board’s for its review and acceptance include:

Annual Financial Report – Fiscal Year Ending June 30, 2016 Management Report and Auditor’s Communication Letter, June 30, 2016

Analysis The Management’s Discussion and Analysis (MD&A) included within the Annual Financial Report provides an analysis of the financial activities that took place during Fiscal Year 2015-16 and a review of the accompanying financial statements. The MD&A also lists the major financial highlights of the year. As Fiscal Year 2015-16 reflects the Board’s adoption of the Agency’s first Strategic Plan, the following reflects SBFCA’s financial activities consistent with that plan:

Development and approval of the supporting documentation needed for the land use agencies in the basin to adopt findings of Adequate Progress toward Urban Level of Flood Protection

Adoption of a Supplemental EIR covering the Laurel Avenue Seepage Repair and Gridley Bridge Erosion Repair projects

Adoption of an Initial Study/Mitigated Negative Declaration for the Oroville Wildlife Area Flood Stage Reduction Project

Completion of the design and construction of the Gridley Bridge project Commencement of the 2nd Phase of the Regional Flood Management Planning effort Execution of an Agreement for $7.225 million under DWR’s Flood System Repair

Project for the Laurel Avenue Seepage Repair Project, completion of design and permitting, and award of a construction contract for the same.

Item 6

Finally, the major financial highlight of the year for SBFCA includes the continued significant investment in the Feather River West Levee Project. SBFCA’s Construction in progress increased by more than $68 million during the fiscal year. This is a direct reflection of the amount of money invested in the levee system by SBFCA during the year. While’s SBFCA financial activities decreased relative to Fiscal Year 2014-15, SBFCA has still been very active as evident with completion of more than 28.5 miles of levee construction to date. Audit SBFCA received an unqualified opinion, otherwise known as a “clean audit,” from the independent auditor for its Fiscal Year 2015-16 audited financial statements. With regard to the Management Report covering the auditor’s review of internal controls covering the fiscal year audited, the auditor made no findings. There were also no prior year findings to address. Fiscal Impact This is an informational item only, there is no net budgetary impact as a result of the Board’s approval of staff’s recommendation. Attachments

1. Sutter Butte Flood Control Agency Annual Financial Report For the Fiscal Year Ended June 30, 2016

2. Sutter Butte Flood Control Agency Management Report and Auditor’s Communication Letter dated June 30, 2016

SUTTER BUTTE FLOOD CONTROL AGENCY

ANNUAL FINANCIAL REPORT

For the Fiscal Year Ended

June 30, 2016

SUTTER BUTTE FLOOD CONTROL AGENCY FINANCIAL STATEMENTS

JUNE 30, 2016

TABLE OF CONTENTS

FINANCIAL SECTION Independent Auditor’s Report ......................................................................................................................... 1 Management’s Discussion and Analysis ......................................................................................................... 3 Basic Financial Statements: Government-wide Financial Statements: Statement of Net Position ........................................................................................................................ 9 Statement of Activities ............................................................................................................................ 10 Fund Financial Statements: Balance Sheet-Governmental Funds ....................................................................................................... 11 Reconciliation of the Governmental Funds Balance Sheet to the Statement of Net Position .................................................................................. 12 Statement of Revenues, Expenditures, and Changes in Fund Balances – Governmental Funds ......................................................................................................... 13 Reconciliation of the Governmental Funds Statement of Revenues, Expenditures, and Changes in Fund Balances to the Statement of Activities ............................................................. 14 Notes to Basic Financial Statements ............................................................................................................ 15 Required Supplementary Information Notes to Required Supplementary Information ....................................................................................... 28 Schedule of Revenues, Expenditures, and Changes in Fund Balance – Budget and Actual – General Fund ........................................................................................................................................ 29 Other Supplemental Information Schedule of Revenues, Expenditures, and Changes in Fund Balance – Budget and Actual – Capital Projects Fund ........................................................................................................................... 30

1 OFFICES: BEVERLY HILLS · CULVER CITY · SANTA MARIA

MEMBER AMERICAN INSTITUTE OF C.P.A.’S · CALIFORNIA SOCIETY OF MUNICIPAL FINANCE OFFICERS · CALIFORNIA ASSOCIATION OF SCHOOL BUSINESS OFFICIALS

PARTNERS COMMERCIAL ACCOUNTING & TAX SERVICES GOVERNMENTAL AUDIT SERVICES

RONALD A LEVY, CPA 433 N. CAMDEN DR. SUITE 730 5800 HANNUM AVE., SUITE ECRAIG A HARTZHEIM, CPA BEVERLY HILLS, CA 90210 CULVER CITY, CA 90230HADLEY Y HUI, CPA TEL: 310.273.2745 TEL: 310.670.2745 ALEXANDER C HOM, CPA FAX: 310.670.1689 FAX: 310.670.1689 ADAM V GUISE, CPA www.mlhcpas.com www.mlhcpas.comTRAVIS J HOLE, CPA

INDEPENDENT AUDITOR’S REPORT

To the Board of Directors Sutter Butte Flood Control Agency Yuba City, California Report on the Financial Statements We have audited the accompanying financial statements of the governmental activities and each major fund of the Sutter Butte Flood Control Agency (Agency), as of and for the fiscal year ended June 30, 2016, and the related notes to the financial statements, which collectively comprise the Agency’s basic financial statements as listed in the table of contents. Management’s Responsibility for the Financial Statements Management is responsible for the preparation and fair presentation of these financial statements in accordance with accounting principles generally accepted in the United States of America; this includes the design, implementation, and maintenance of internal control relevant to the preparation and fair presentation of financial statements that are free from material misstatement, whether due to fraud or error.

Auditor’s Responsibility Our responsibility is to express opinions on these financial statements based on our audit. We conducted our audit in accordance with auditing standards generally accepted in the United States of America and the standards applicable to financial audits contained in Government Auditing Standards, issued by the Comptroller General of the United States. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free from material misstatement. An audit involves performing procedures to obtain audit evidence about the amounts and disclosures in the financial statements. The procedures selected depend on the auditor’s judgment, including the assessment of the risks of material misstatement of the financial statements, whether due to fraud or error. In making those risk assessments, the auditor considers internal control relevant to the entity’s preparation and fair presentation of the financial statements in order to design audit procedures that are appropriate in the circumstances, but not for the purpose of expressing an opinion on the effectiveness of the entity’s internal control. Accordingly, we express no such opinion. An audit also includes evaluating the appropriateness of accounting policies used and the reasonableness of significant accounting estimates made by management, as well as evaluating the overall presentation of the financial statements. We believe that the audit evidence we have obtained is sufficient and appropriate to provide a basis for our audit opinions.

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Opinions In our opinion, the financial statements referred to above present fairly, in all material respects, the respective financial position of the governmental activities and each major fund of the Agency, as of June 30, 2016, and the respective changes in financial position for the fiscal year then ended in accordance with accounting principles generally accepted in the United States of America.

Other Matters Required Supplementary Information Accounting principles generally accepted in the United States of America require that the Management’s Discussion and Analysis and the Budgetary Comparison Schedule of the General Fund on pages 3 through 8 and page 29 respectively, be presented to supplement the basic financial statements. Such information, although not a part of the basic financial statements, is required by the Governmental Accounting Standards Board, who considers it to be an essential part of financial reporting for placing the basic financial statements in an appropriate operational, economic, or historical context. We have applied certain limited procedures to the required supplementary information in accordance with auditing standards generally accepted in the United States of America, which consisted of inquiries of management about the methods of preparing the information and comparing the information for consistency with management’s responses to our inquiries, the basic financial statements, and other knowledge we obtained during our audit of the basic financial statements. We do not express an opinion or provide any assurance on the information because the limited procedures do not provide us with sufficient evidence to express an opinion or provide any assurance. Other Information Our audit was conducted for the purpose of forming opinions on the financial statements that collectively comprise the Agency’s basic financial statements. The Budgetary Comparison Schedule of the Capital Projects Fund is presented for purposes of additional analysis and is not a required part of the basic financial statements. The Budgetary Comparison Schedule for the Capital Projects Fund is the responsibility of management and was derived from and relates directly to the underlying accounting and other records used to prepare the basic financial statements. Such information has been subjected to the auditing procedures applied in the audit of the basic financial statements and certain additional procedures, including comparing and reconciling such information directly to the underlying accounting and other records used to prepare the basic financial statements or to the basic financial statements themselves, and other additional procedures in accordance with auditing standards generally accepted in the United States of America. In our opinion, the information is fairly stated in all material respects in relation to the basic financial statements as a whole. Other Reporting Required by Government Auditing Standards

In accordance with Government Auditing Standards, we have also issued our report dated January 9, 2017, on our consideration of the Agency’s internal control over financial reporting and on our tests of its compliance with certain provisions of laws, regulations, contracts, and grant agreements and other matters. The purpose of that report is to describe the scope of our testing of internal control over financial reporting and compliance and the results of that testing, and not to provide an opinion on internal control over financial reporting or on compliance. That report is an integral part of an audit performed in accordance with Government Auditing Standards in considering the Agency’s internal control over financial reporting and compliance.

Moss, Levy & Hartzheim, LLP Culver City, California January 9, 2017

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Sutter Butte Flood Control Agency Annual Financial Report

For the Fiscal Year Ended June 30, 2016

Management's Discussion and Analysis This document provides a narrative overview and analysis of the financial activities of the SBFCA for the fiscal year ended June 30, 2016. This document has been prepared by SBFCA management as required by the Governmental Accounting Standards Board Statement No. 34 (GASB No. 34). We encourage readers to consider the information presented here in conjunction with the basic financial statements and accompanying notes to those financial statements. I. Financial Highlights Major Milestones This fiscal year was SBFCA’s sixth year of collecting assessments associated with the Sutter Butte Flood Control

Agency Assessment District (the “Assessment District”). The Agency has received nearly 100% of the levied assessments as of the date of this financial report.

As of the completion of the construction season ending in November 2016, SBFCA has completed nearly all of the work in Project Areas C, B & D of the Feather River West Levee Phase 1 Project (the “FRWLP1”) and commenced construction on the remaining, relatively smaller contracts representing work at levee / bridge and utility crossings. The completed work to date represents the construction of 27 miles of slurry wall and 1.5 miles of berm construction as well as numerous minor structures and activities. With this effort, SBFCA has fully closed out its first construction contract for its Project Area C providing enhanced flood protection to the City of Yuba City.

In October 2013, SBFCA executed a contract with the State of California, Department of Water Resources (“DWR”) to provide grant funding from Proposition 1E for $56.78 million for Project Area C work. In September 2014, DWR amended the Early Implementation Project (EIP) Agreement with SBFCA to provide additional funding of $57.8 million for construction. In December 2014, SBFCA submitted a request for funding from the Urban Flood Risk Reduction Program funding to the State of California, Department of Water Resource (DWR). Two actions took place as a result of this request. First, DWR executed a third amendment in October 2015 providing an additional $43.86 million of funding for the current approved scope of work under DWR’s EIP funding program. Second, SBFCA executed a fourth amendment in September 2016 for an additional $40.83 million funding the balance of the FRWLP1 as well as the Oroville Wildlife Area Flood Stage Reduction Project.

In January 2016, the SBFCA Board of Directors adopted the SBFCA Strategic Plan which laid out the near and long term Goals and Objectives of the Agency. Building upon the adoption of the Strategic Plan, in June 2016 the SBFCA Board adopted an amended 2015/16 Budget and forward looking 3-Year budget covering the agency’s activities through 2018-19. This three year budget lays the groundwork for the implementation of the Strategic plan and investment of available resources in the flood protection system protecting the basin. The 3-Year Budget also laid out four new capital projects / programs that SBFCA will attempt to secure and invest additional available resources in. These include DWR’s Small Communities Grant Program, future DWR Flood System Repair Projects protecting the rural portions of the basin, and a Compliance and Accreditation Program that will advance efforts to certify and accredit completed levee improvements consistent with FEMA criteria and DWR’s Urban Levee Design Criteria.

Consistent with the adopted Strategic Plan, during the Fiscal Year ending June 30, 2016, SBFCA; o Developed and approved the supporting documentation needed for the land use agencies in the basin to

adopt findings of Adequate Progress toward Urban Level of Flood Protection o Adopted a Supplemental EIR covering the Laurel Avenue Seepage Repair and Gridley Bridge Erosion

Repair projects o Adopted an Initial Study/Mitigated Negative Declaration for the Oroville Wildlife Area Flood Stage

Reduction Project o Completed the design and construction of the Gridley Bridge project

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o Commenced the 2nd Phase of the Regional Flood Management Planning effort o Executed an Agreement for $7.225 million under DWR’s Flood System Repair Project for the Laurel

Avenue Seepage Repair Project, completed design and permitting, and awarded a construction contract for the same.

SBFCA’s Sutter Basin Project received Federal Funding as part of the USACE’s 2015 work allowing SBFCA to execute a Preconstruction Engineering and Design phase agreement; this agreement affords SBFCA the opportunity to advance a significant reach of the FRWLP not currently covered through design and construction agreements with State of California.

In total, during the fiscal year, SBFCA received nearly $22.5 million of funding through its Funding Agreements with the State.

During the fiscal year, SBFCA spent more than $72 million to advance the FRWLP. This fiscal year saw a decrease in financial activities for SBFCA, expenditures decreased by more than 34% and revenues decreased by more than 60% over last fiscal year. However, fiscal year 2015-16 has been another very active year for the Agency as evidenced by the number of different projects and flood risk reduction efforts advanced by the Agency.

Financial Activities Primarily as a result of the grant awards, collection of assessment revenues and the investment of those resources

in the FRWLP, SBFCA’s net position increased by $22,945,360 in fiscal year 2015-16. Until the completion and full transfer of a project to the ultimate owner and maintainer, SBFCA is capitalizing its investments in the FRWLP as Construction in progress.

Total assets increased by $68,310,983 mostly due to an increase in Construction in progress. Total liabilities increased by $9,060,821 primarily due to an increase in accounts payable at the end of the current

year. SBFCA’s fiscal year end comes during the height of the construction season and significant construction related progress payments were due as of June 30, 2016.

II. Overview of the Basic Financial Statements This discussion and analysis is intended to serve as an introduction to SBFCA’s Basic Financial Statements. SBFCA’s Basic Financial Statements are composed of three components: 1) Government-wide Financial Statements, 2) Fund Financial Statements, and 3) Notes to the Basic Financial Statements. This report also contains required supplementary information and other supplemental information in addition to the Basic Financial Statements themselves.

Government-Wide Financial Statements The Government-Wide Financial Statements provide a longer-term view of SBFCA’s activities as a whole, and comprise the Statement of Net Position and the Statement of Activities. The Statement of Net Position provides information about the financial position of SBFCA as a whole, including all capital assets and liabilities on a full accrual basis of accounting. Over time, increases or decreases in SBFCA’s net position may serve as one useful indicator of the Agency’s overall financial position. In the case of SBFCA, total assets exceeded liabilities by $152,473,864 as of the close of the fiscal year. When comparing SBFCA’s Net Position to the fiscal year ending June 30, 2015, there has been an increase of $22,945,360 which is indicative of the amount of construction activity that has taken place over the year primarily funded by California Department of Water Resources grant programs. The Statement of Activities provides information about how SBFCA’s net position changed during the most recent fiscal year. All changes in net position are reported as soon as the underlying event giving rise to the change occurs, regardless of the timing of the related cash flows. Thus, the revenues and all of the expenses are reported in this

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statement for some items that will only result in cash flows in future fiscal periods. The Government-Wide Financial Statements are prepared on the full accrual basis of accounting, which is similar to the accounting used by most private-sector companies. In the Statement of Net Position and the Statement of Activities, all of SBFCA’s activities are considered to be governmental activities. Fund Financial Statements A fund is a grouping of related accounts that is used to maintain control over resources that have been segregated for specific activities or objectives. SBFCA, like other state and local governments, uses fund accounting to ensure and demonstrate compliance with finance-related legal requirements, particularly those conditions related to its grants. All of the funds of SBFCA are governmental funds and the Fund Financial Statements provide detailed information about all of SBFCA’s funds. Governmental Funds - All of SBFCA’s services are reported in governmental funds, which focus on how money flows into and out of those funds and the balances left at fiscal year-end that are available for spending. These funds are reported using an accounting method called the modified accrual basis of accounting, which measures cash and all other financial assets that can readily be converted to cash. The governmental fund statements provide a detailed short-term view of SBFCA’s general operations. Governmental fund information helps determine whether there are more or less financial resources that can be spent in the near future to finance SBFCA’s activities. Capital assets and other long-lived assets are not presented in the Governmental Fund Financial Statements. The relationship (or differences) between governmental activities (reported in the Statement of Net Position and the Statement of Activities) and Governmental Funds Financial Statements are explained in a reconciliation schedule following each Governmental Fund financial statement. SBFCA currently maintains two major governmental funds: The General Fund and Capital Projects Fund. Information is presented separately for each of the funds in the governmental funds balance sheet and in the governmental funds statement of revenues, expenditures, and changes in fund balances. SBFCA adopts an annual appropriated budget for both of its funds. A budgetary comparison schedule has been provided for the General Fund and the Capital Projects Fund to demonstrate compliance with this budget and is included within the Required Supplementary Information and Other Supplemental Information, respectively. Notes to Basic Financial Statements The notes provide additional information that is essential to a full understanding of the data provided in the Government-Wide and Fund Financial Statements. Other Information In addition to the basic financial statements and accompanying notes, this report also presents certain Required Supplementary Information and Other Supplemental Information with budgetary comparisons to demonstrate compliance with approved budgets. III. Government-Wide Financial Analysis As noted earlier, SBFCA’s assets exceed liabilities by $152,473,864 at the end of fiscal year 2015-16. This amount is a significant increase from the fiscal year ended June 30, 2015 balance of $129,528,504. The key element to this increase is related to SBFCA’s Capital Asset Policy and the significant receipt of funds from California Department of Water Resources through funding agreements and the associated investments made by SBFCA in the FRWLP over the past fiscal year.

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In fiscal year 2011-12, SBFCA implemented a policy to capitalize the work completed for its FRWLP in accordance with its Capital Asset policy implemented during that fiscal year. The vast majority of SBFCA’s Net Position are invested in this capital project as Construction in progress. Construction in progress increased by $68,310,983 during the fiscal year. The significant increase in Net Position from fiscal year 2015-16 represents the continued accomplishment of SBFCA’s immediate primary goal, which is the construction of the FRWLP. SBFCA’s Net Position will continue to increase in the next fiscal year as construction activities have continued into fiscal year 2016-17 and grant revenues from DWR are invested in the FRWLP and other capital projects. However, SBFCA expects that upon the completion of various phases of the FRWLP, which are expected over the next 3 - 5 years, SBFCA will transfer maintenance responsibility of the completed phases to the local maintaining agencies and improved facilities will be transferred to the State of California (specifically the Sacramento San Joaquin Drainage District), thereby reducing SBFCA’s Net Position. While there are certain regulatory and compliance hurdles to overcome, the full acceptance and transfer process can begin as early as fiscal year 2016-17. IV. Fund Financial Statements Analysis SBFCA uses fund accounting to ensure and demonstrate compliance with finance-related legal and grant requirements. Governmental Funds - The focus of the SBFCA’s Governmental Fund Financial Statements is to provide information on near-term inflows, outflows, and balances of spendable resources. Such information is useful in assessing SBFCA’s financing requirements. In particular, any unassigned fund balance may serve as a useful measure of a government's net resources available for spending at the end of the fiscal year. On June 30, 2016, SBFCA’s governmental funds reported combined fund balances of $12,411,020, an decrease of $45,288,440 in comparison to the fund balance as of June 30, 2015. This decrease is primarily due to the fact that in June 2015, SBFCA had completed the sale of a second series of assessment revenue bonds that yielded an additional $33,707,379 of proceeds for project related expenses. These proceeds were invested in the FRWLP during the fiscal year. During the fiscal year SBFCA drew down $27,356,864 of project fund proceeds from the 2015 assessment revenue bond sale. $3,304,788 of the combined fund balance amount is unassigned fund balance and the remainder is restricted for capital projects or prepaid items. The General Fund is the main operating fund of SBFCA. On June 30, 2016, the Fund Balance was $3,305,567 and almost all of this was unassigned fund balance. A useful measurement of the fund liquidity is a comparison between total expenditures and the ending fund balance. Expenditures for the fiscal year were $750,156, approximately 22.7% of the ending fund balance. The Unassigned fund balance was 440.6% of current fiscal year expenditures. The Capital Projects Fund is the main project fund of SBFCA and supports SBFCA’s capital programs. These programs include the US Army Corps of Engineers Sutter Basin Feasibility Study, SBFCA’s FRWLP, the Feather River Regional Planning Effort, the Emergency Response Planning effort, the design and permitting effort of the Oroville Wildlife Area Flood Stage Reduction project, the design and permitting effort of the Gridley Bridge Erosion Repair project and the final design permitting and construction of the Laurel Avenue Seepage Repair project. As part of the implementation of SBFCA’s Strategic Plan, three new Capital Programs were added that include the Small Community Grant program, additional Flood System Repair Projects and a Compliance & Accreditation Program. Specific Projects within these programs will be advanced to the extent funding is secured and available. The Capital Project’s Fund Balance on June 30, 2016 was $9,105,453. The total expenditures of the fund were $73,795,345. These represent 810% of the ending fund balance, indicating that liquidity is very low. This is to be expected, as by far the largest effort for SBFCA continues to be the FRWLP. FRWLP expenditures represented over 97.6% of the total expenditures in the Capital Fund. With SBFCA’s 4th Amendment to its funding agreement with the State for the FRWLP1 project, the funding agreement now provides funding for more than 76% of this effort. The Northern most reaches of the FRWLP in Project Area D (Butte County) are now funded at 81% and 100% depending upon the exact location. The State advances a portion of its share of projected expenditures on a quarterly basis. This provides the cash flow for the project, while at the same time protecting the State’s interests in the project and not

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advancing too much funding without SBFCA substantiating expenditures on a monthly basis. In order to meet the cash flow requirements for the local share of the FRWLP during the fiscal year, SBFCA relied on the proceeds of its two series of Assessment Revenue Bonds. V. Budgetary Highlights A budgetary to actual comparison for the General Fund is included in the Required Supplementary Information. Total Expenditures were $151,548 (25%) over the final budget, mostly due to an increase in costs related to professional services and salaries and benefits expended against the General Fund. SBFCA is able to allocate some of its costs for Salaries and benefits to its Capital Projects Fund and receive reimbursement for these costs. Throughout the fiscal year, this allocation was not as great as originally budgeted resulting in greater General Fund expenditures. Actual revenues were in excess of the final budgeted revenues by $28,515 solely as a result of unbudgeted interest income. A budgetary to actual comparison for the Capital Fund is also included as Other Supplemental Information. Total Capital revenues were $1,752,969 (7%) under the final budget mostly due to delays in the amount of construction funding received from DWR during the fiscal year. During the Fiscal Year, SBFCA worked with the DWR to process an amendment to its funding agreement to authorize additional scope of work. Due to delays in the approval of the agreement, funding from the State was not able to be advanced for this work. As a result, less funding from the State was received than originally forecasted. Total expenditures were $115,070 (less than 1%) lower than the final budget. VI. Capital Asset and Long-Term Obligations Capital Assets – During fiscal year 2011-12, SBFCA implemented its capital asset policy. This fiscal year SBFCA continued its significant investment in the Feather River West Levee Project and increased its capital assets by $68,310,983. As previously discussed, these capital assets represent Construction in progress. Through June 30, 2016, SBFCA was in the middle of a construction season. Long-Term Obligations – In May 2013, SBFCA issued its first series of Assessment Revenue Bonds in the amount of $41,035,000 for capital improvements. As of June 30, 2016 the outstanding balance of the bonds payable was $40,840,000. During the fiscal year SBFCA made interest payments on the outstanding debt amount totaling $1,736,938. In June 2015, SBFCA issued its second series of Assessment Revenue Bonds in the amount of $47,070,000 for capital improvements. As of June 30, 2016 the outstanding balance of the bonds payable remained $47,070,000. During the fiscal year SBFCA made interest payments on the outstanding debt amount totaling $1,623,805. VII. Economic Factors and Next Year's Budget The sole local source of funding for SBFCA’s efforts is the Assessment District. As this property assessment is not tied to property values, it is a direct charge on the property tax roll, and assessment revenue is somewhat insulated from local economic factors that might impact home values. To the extent local economic factors impact a property owner’s ability to pay the assessment, SBFCA’s revenues and future ability to capitalize this revenue could be impacted. The property assessment non-collection rate for the fifth year of collection is extremely low, approximately 1% for the assessment collected on the secured property tax rolls of Sutter and Butte Counties. As previously noted, as part of SBFCA’s implementation of its Strategic Plan, SBFCA has adopted a 3-Year budget that continues the primary goal of completing the FRWLP project while at the same time prioritizing the remaining work needed to provide flood protection to the basin with remaining limited resources available. The budget for fiscal year 2016-17 was developed assuming that SBFCA completes the remaining FRWLP construction, advances the Oroville Wildlife Area Project and works to advance the closeout efforts of the DWR Urban Flood Risk Reduction Grant. These activities are expected to extend into 2017-18. In addition, SBFCA will work to advance additional

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flood risk reduction projects in the rural portions of the basin. This work will include the Laurel Avenue Seepage Repair project which will commence construction in 2016-17 as well as advancing efforts to secure additional funding for the remainder of the Federally Authorized Sutter Basin project through either State DWR programs or the USACE. SBFCA management expects to continue to work with its Board of Directors to implement the Strategic Plan and advance additional work related to the Feather River West Levee and the rural portion of the basin. VIII. Requests for Information This financial report is designed to provide a general overview for all those with an interest in SBFCA’s finances. Questions concerning any of the information provided in this report or requests for additional financial information should be addressed to the Executive Director, Sutter Butte Flood Control Agency, Post Office Box M, Yuba City, CA 95991.

Governmental

Activities

ASSETS

Current assets:

Cash and investments 10,381,243$

Cash and investments with fiscal agent 7,830,529

Accounts receivable, net 9,629,801

Interest receivable 278

Prepaid expenses 15,586

Total Current assets 27,857,437

Noncurrent assets:

Capital assets not being depreciated:

Construction in progress 232,930,986

Total Noncurrent assets 232,930,986

Total Assets 260,788,423

Current liabilities:

Accounts payable 15,406,831

Accrued liabilities 3,880

Interest payable 945,878

Bonds payable, including original issue premium 446,128

Total Current liabilities 16,802,717

Noncurrent liabilities:

Compensated absences 24,141

Bonds payable, including original issue premium 91,487,701

Total Noncurrent liabilities 91,511,842

Total Liabilities 108,314,559

Net investment in capital assets 148,827,686

Restricted for capital projects 1,260,117

Unrestricted 2,386,061

Total Net Position 152,473,864$

LIABILITIES

NET POSITION

June 30, 2016Statement of Net PositionSutter Butte Flood Control Agency

See accompanying notes to basic financial statements

9

Program Revenues Net (expenses)

Operating Capital Revenues

Charges for Grants and Grants and and Changes

Functions/Programs Expenses Services Contributions Contributions in Net Position

Governmental activities:

Flood protection 2,683,728$ -$ 750,000$ 28,368,256$ 26,434,528$

Interest on long-term debt 3,632,028 (3,632,028)

Total governmental

activities 6,315,756$ -$ 750,000$ 28,368,256$ 22,802,500

General revenues:

Investment earnings 142,860

Total general revenues 142,860

Change in net position 22,945,360

Net position, beginning of fiscal year 129,528,504

Net position, end of fiscal year 152,473,864$

For the Fiscal Year Ended June 30, 2016

Sutter Butte Flood Control Agency Statement of Activities


10

Capital

General Projects

Fund Fund Total

Cash and investments 3,542,114$ 6,839,129$ 10,381,243$

Cash and investments with fiscal agent 7,830,529 7,830,529

Accounts receivable 9,788,527 9,788,527

Interest receivable 278 278

Prepaid items 779 14,807 15,586

Total Assets 3,542,893$ 24,473,270$ 28,016,163$

Accounts payable 233,446$ 15,173,385$ 15,406,831$

Accrued liabilities 3,880 3,880

Total Liabilities 237,326 15,173,385 15,410,711

DEFERRED INFLOWS OF RESOURCES

Deferred revenue-assessments 194,432 194,432

Total liabilities and deferred inflows of resources 237,326 15,367,817 15,605,143

Nonspendable: prepaid items 779 14,807 15,586

Restricted for capital projects 9,090,646 9,090,646

Unassigned 3,304,788 3,304,788

Total Fund Balances 3,305,567 9,105,453 12,411,020

Total Liabilities, Deferred Inflows of Resources,

and Fund Balances 3,542,893$ 24,473,270$ 28,016,163$

FUND BALANCES

Sutter Butte Flood Control Agency Balance SheetGovernmental FundsJune 30, 2016

LIABILITIES

ASSETS


11

FUND BALANCES - GOVERNMENTAL FUNDS 12,411,020$

Amounts reported for Governmental Activities in the Statement of Net Position are different

because of the following:

CAPITAL ASSETS

In the governmental funds balance sheet, only current assets are reported.

In the statement of net position, all assets are reported, including capital assets

and accumulated depreciation. 232,930,986

ACCOUNTS RECEIVABLE

Under the modified accrual basis of accounting used in governmental funds,

revenues are not recognized for transactions that do not represent available

financial resources. In the statement of net position and statement of activities,

however, revenues and assets are reported regardless of when financial

resources are available. This is the amount of the unearned revenue

associated with accounts receivable as of June 30, 2016. 194,432

An allowance for uncollectible accounts receivable has been

set up in the amount of $158,726 for certain accounts receivable. (158,726)

INTEREST PAYABLE

In the governmental funds balance sheet, interest on long-term debt is not

recognized until the period in which it matures and is paid.

In government-wide statement of net position, it is recognized

in the period that it is incurred. (945,878)

LONG-TERM DEBT

In the governmental funds balance sheet, only current liabilities

are reported. In the statement of net position, all liabilities, including

long-term liabilities, are reported. Long-term liabilities consist of:

Compensated absences (24,141)

Original issue premium (4,023,829)

Bonds payable (87,910,000)

TOTAL NET POSITION, GOVERNMENTAL ACTIVITIES 152,473,864$

Sutter Butte Flood Control Agency Reconciliation of the Governmental Funds Balance Sheet to the Statement of Net PositionJune 30, 2016


12

CapitalGeneral Projects

Fund Fund TotalREVENUES

Intergovernmental -$ 22,498,849$ 22,498,849$ Assessment revenue 750,000 5,865,352 6,615,352 Investment earnings 28,515 114,345 142,860

Total Revenues 778,515 28,478,546 29,257,061

EXPENDITURESCurrent: Operational:

Telephone 32 32 Postage and freight 574 574 Forms and supplies 105,680 105,680 Printing and binding 368 368 Professional services 449,941 449,941 Salaries and benefits 174,123 174,123 Travel and meetings 17,413 17,413 Dues and subscriptions 1,308 1,308 Rentals 180 180 Insurance 537 537

Capital:USACE Feasibility Study 28,454 28,454 State EIP Funded 1,159,787 1,159,787 Local EIP Funded 367,346 367,346 Regional Flood Management Planning - State Funded 190,697 190,697 Emergency Response Plan 7,447 7,447 Oroville Wildlife Area Planning 81,382 81,382 Laurel Avenue 75,706 75,706 Early Implementaton Project Design and Application 5,051 5,051 Gridley Bridge Project 10,290 10,290 Stakeholder Management 2,460 2,460

Capital outlay 68,310,983 68,310,983 Debt Service:

Principal 195,000 195,000 Interest 3,360,742 3,360,742

Total Expenditures 750,156 73,795,345 74,545,501

EXCESS OF REVENUES OVER (UNDER) EXPENDITURES 28,359 (45,316,799) (45,288,440)

Net Change in Fund Balances 28,359 (45,316,799) (45,288,440)

FUND BALANCES, JULY 1, 2015 3,277,208 54,422,252 57,699,460

FUND BALANCES, JUNE 30, 2016 3,305,567$ 9,105,453$ 12,411,020$

Sutter Butte Flood Control Agency Statement of Revenues, Expenditures, and Changes in Fund BalancesGovernmental FundsFor the Fiscal Year Ended June 30, 2016

See accompanying notes to basic financial statements13

The schedule below reconciles the Net Changes in Fund Balances reported on the

Governmental Funds Statement of Revenues, Expenditures, and Changes in Fund

Balances, which measures only changes in current assets and current liabilities on the

modified accrual basis, with the Change in Net Position of Governmental Activities reported

in the Statement of Activities, which is prepared on the full accrual basis.

NET CHANGE IN FUND BALANCES (45,288,440)$

Amounts reported for governmental activities in the Statement of Activities

are different because of the following:

CAPITAL ASSETS

Governmental funds report capital outlays as expenditures. However, in the

statement of activities the cost of those assets is capitalized and allocated over

their estimated useful lives and reported as depreciation expense.

Capital outlay expenditures are, therefore, added back to fund balances 68,310,983

LONG-TERM DEBT

The amount below does not require the use of current financial resources and,

therefore, is not reported as an expenditure in governmental funds (net change).This is the current fiscal year change:

Interest payable (412,414)

Compensated absences (4,952)

Original issue premiums on long-term debt issuances increases the proceeds

and are reported as other financing sources in the governmental funds, but

are deferred and amortized throughout the period during which the related debt

is outstanding in the statement of net position.

Amortization of original issue premium 141,128

Repayment of long-term debt principal is an expenditure in governmental funds,

but in the statement of net position the repayment reduces the long-term liability.

Repayment of debt principal 195,000

ACCOUNTS RECEIVABLE

During the fiscal year, it was determined that certain accounts receivable

may become uncollectible, therefore, an allowance of $158,726 was set up

on the statement of net position. This is the amount of the change in the

allowance from the prior fiscal year. (45,087)

Certain revenues reported in the statement of activities are not current

financial resoures and therefore, are not reported as revenues in the

governmental funds. This amount represents the amount that current

fiscal year unearned revenue exceeded prior fiscal year. 49,142

CHANGE IN NET POSITION OF GOVERNMENTAL ACTIVITIES 22,945,360$

Sutter Butte Flood Control Agency Reconciliation of the Governmental Funds Statement of Revenues, Expenditures, and Changes inFund Balances to the Statement of Activities For the Fiscal Year Ended June 30, 2016


14

Sutter Butte Flood Control Agency Notes to Basic Financial Statements June 30, 2016

15

1. SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES

A. Reporting Entity The Sutter Butte Flood Control Agency (Agency) is a joint powers agency formed in December 2007 by the Counties of Butte and Sutter, the Cities of Biggs, Gridley, Live Oak, and Yuba City, and Levee Districts No. 1 and 9. The Agency has the power and authority to plan, finance, acquire, construct, and improve regional facilities for the purpose of providing flood protection to the Yuba City/Sutter Basin. The Agency is governed by a 13-member Board comprised of elected officials from the member cities, counties, and levee districts. The Agency’s Boundaries encompass approximately 34,200 properties in Butte and Sutter Counties.

B. Basis of Presentation and Accounting and Measurement Focus The accounts of the Agency are organized and operated on the basis of funds, each of which is defined as a separate accounting entity. The operations of each fund are accounted for with a separate set of self-balancing accounts which comprise its assets, liabilities, fund equity, revenue, and expenditures. Agency resources are allocated to and accounted for in individual funds based upon the purpose for which they are to be spent and the means by which spending activities are controlled. Government-wide Financial Statements – The Agency’s Government-wide Financial Statements include a Statement of Net Position and a Statement of Activities. These statements present summaries of Governmental Activities for the Agency. The Agency has no Business-type or Fiduciary Activities. The Government-wide financial statements are presented on an “economic resources” measurement focus and the accrual basis of accounting. Accordingly, all the Agency’s assets and liabilities, including capital assets and long-term debt, are included in the accompanying Statement of Net Position. The Statement of Activities presents changes in net position. Under the accrual basis of accounting, revenues are recognized in the period in which they are earned while expenses are recognized in the period in which the liability is incurred. Certain eliminations have been made as prescribed by GASB Statement No. 34 in regards to interfund activities, payables, and receivables. In the Statement of Activities, interfund transfers have been eliminated. Major Funds - An emphasis is placed on major funds within the governmental category. A fund is considered major if it is the primary operating fund of the Agency or meets the following criteria:

1. Total assets, liabilities, revenues or expenditures/expenses of that individual fund are at least 10 percent of the corresponding total for all funds of that category or type; and

2. Total assets, liabilities, revenues, or expenditures/expenses of the individual governmental fund are at least 5 percent of the corresponding total for all governmental and enterprise funds combined.

The Agency has no enterprise funds as of June 30, 2016.


16

1. SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES, Continued

B. Basis of Presentation and Accounting and Measurement Focus, Continued Governmental Fund Financial Statements – Governmental Fund Financial Statements include a Balance Sheet, and a Statement of Revenues, Expenditures, and Changes in Fund Balances for all major governmental funds. An accompanying schedule is presented to reconcile and explain the difference in fund balances as presented in these statements to the net position presented in the Government-wide financial statements. The Agency has presented all funds as major funds.

The following are descriptions of the major governmental funds:

• The General Fund is used to account for all revenues and expenditures necessary to carry out the basic governmental activities of the Agency that are not accounted for through other funds.

• The Capital Projects Fund is used to account for the capital project activities of the Agency.

All governmental funds are accounted for on a spending or “current financial sources” measurement focus and the modified accrual basis of accounting. Accordingly, only current assets and current liabilities are included on the Balance Sheet. The Statement of Revenues, Expenditures, and Changes in Fund Balances presents increases (revenue and other financing sources) and decreases (expenditures and other financing uses) in net current assets. Under the modified accrual basis of accounting, revenues are recognized in the accounting period in which they become both measurable and available to finance expenditures of the current period. Accordingly, revenues are recorded when received in cash, except that revenues subject to accrual (generally 60 days after year-end, except for grant revenues which are 9 months) are recognized when due. Expenditures are recorded in the accounting period in which the related fund liability is incurred except for principal and interest on long-term debt, claims and judgments, and compensated absences, which are recognized as expenditures to the extent that they have matured. Proceeds of long-term debt and acquisitions under capital leases are reported as other financing sources. A reconciliation of the Fund Financial Statements to the Government-wide Financial Statements is provided to explain the difference created by the integrated approach.

C. Use of Restricted/Unrestricted Net Position

When an expense is incurred for a purpose for which both restricted and unrestricted net position are available, the Agency’s policy is to apply restricted net position first.

D. Cash and Investments

The Agency pools cash resources from all funds with the City of Yuba City’s cash in order to facilitate management of cash. The balance in the pooled cash account is available to meet current operating requirements. The Agency also has two bank accounts with Wells Fargo Bank, which are used for the payroll and payroll taxes and a state grant.


17

1. SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES, Continued E. Investment Valuation

The Agency has implemented GASB Statement No. 31, Accounting and Financial Reporting for Certain Investments and External Investment Pools. Highly liquid market investments with maturities of one year or less at time of purchase are stated at amortized cost. All other investments are stated at fair value. Market value is used as fair value for those securities for which market quotations are readily available.

Interest earned on investments is allocated to all funds on the basis of quarterly cash and investment balances.

F. Capital Assets

Capital assets are those assets acquired for general governmental purposes and are reported in the governmental activities in the Government-wide Financial Statements. Interest incurred during the construction phase of capital assets is not included as part of the capitalized value of the assets constructed. All purchased capital assets are recorded at historical or estimated historical cost if actual cost is not available. Donated capital assets are valued at their estimated fair value on the date received. Capital assets are defined by the Agency as assets with an estimated useful life of more than one year and a cost according to the table below:

Class Capitalization Threshold

Land $0

Land Improvements $100,000

Buildings $100,000

Building Improvements $100,000

Infrastructure: Pavement, Bridges, All Other $100,000

Equipment, Furniture, & Vehicles $5,000

Intangible Assets $5,000

Capital Lease Property $5,000

Leasehold Improvements $100,000

Works of Art / Historical Treasures $0

Construction in Progress for Year End Reporting Projects to exceed $100,000 at completion

The costs of normal maintenance and repairs that do not add to the value of the asset or materially extend asset lives are not capitalized.

G. Compensated Absences

As of June 30, 2016, there is one employee of the Agency and $24,141 has been accrued as a long-term debt. This debt represents the balance of the employee’s vacation leave as of June 30, 2016. The Agency also leases an employee from the City of Yuba City. The leased employee’s compensatory time has not been accrued as of June 30, 2016.


18

1. SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES, Continued H. Net Position and Fund Equity

In the Government-wide Financial Statements, net position are classified in the following categories:

Net investment in capital assets – This amount is the portion of net position, which is represented by the current net book value of the Agency’s capital assets, less the outstanding balance of any debt issued to finance these assets.

Restricted Net Position – This amount is restricted by external creditors, grantors, contributors, or laws or regulations of governments. Unrestricted Net Position – This amount is all net position that do not meet the definition of “net investment in capital assets” or “restricted net position” as defined above.

I. Fund Balances

Fund balances are divided into five classifications based primarily on the extent to which the Agency is bound to observe constraints imposed upon the use of the resources in the governmental funds. The classifications are as follows:

Nonspendable - The nonspendable fund balance category includes amounts that cannot be spent

because they are not in spendable form, or legally or contractually required to be maintained intact. The “not in spendable form” criterion includes items that are not expected to be converted to cash. It also includes the long-term amount of interfund loans.

Restricted - Fund balance is reported as restricted when constraints placed on the use of resources are either externally imposed by creditors (such as through debt covenants), grantors, contributors, or laws or regulations of other governments or is imposed by law through constitutional provisions or enabling legislation (Agency ordinances).

Enabling legislation authorizes the Agency to assess, levy, charge, or otherwise mandate payment of

resources (from external resource providers) and includes a legally enforceable requirement that those resources be used only for the specific purposes stipulated in the legislation. Legal enforceability means that the Agency can be compelled by an external party-such as citizens, public interest groups, or the judiciary to use resources created by enabling legislation only for the purposes specified by the legislation.

Committed - The committed fund balance classification includes amounts that can be used only for

the specific purposes imposed by formal action (resolution) of the Board of Directors. Those committed amounts cannot be used for any other purpose unless the Board of Directors removes or changes the specified use by taking the same type of action (resolution) it employed to previously commit those amounts. In contrast to fund balance that is restricted by enabling legislation, committed fund balance classification may be redeployed for other purposes with appropriate due process. Constraints imposed on the use of committed amounts are imposed by the Board of Directors, separate from the authorization to raise the underlying revenue; therefore, compliance with these constraints are not considered to be legally enforceable. Committed fund balance also incorporates contractual obligations to the extent that existing resources in the fund have been specifically committed for use in satisfying those contractual requirements.


19


I. Fund Balances, Continued Assigned - Amounts in the assigned fund balance classification are intended to be used by the

Agency for specific purposes but do not meet the criteria to be classified as restricted or committed. In governmental funds other than the General Fund, assigned fund balance represents the remaining amount that is not restricted or committed. In the General Fund, assigned amounts represent intended uses established by the Board of Directors or an Agency official delegated that authority by Agency ordinance.

Unassigned - Unassigned fund balance is the residual classification for the General Fund and includes all spendable amounts not contained in the other classifications. In other governmental funds, the unassigned classification is used only to report a deficit balance resulting from overspending for specific purposes for which amounts had been restricted, committed, or assigned.

The Agency applies restricted resources first when expenditures are incurred for purposes for which

either restricted or unrestricted (committed, assigned, and unassigned) amounts are available. Similarly, within unrestricted fund balance, committed amounts are reduced first followed by

assigned, and then unassigned amounts when expenditures are incurred for purposes for which amounts in any of the unrestricted fund balance classifications could be used.

J. Use of Estimates

The preparation of financial statements in conformity with accounting principles generally accepted in the United States of America requires management to make estimates and assumptions that affect certain reported amounts and disclosures. Accordingly, actual results could differ from those estimates.

K. Interfund Transactions

Quasi-external transactions are accounted for as revenues or expenditures (governmental fund types). Transactions that constitute reimbursements to a fund for expenditures initially made from it that are properly applicable to another fund are recovered as a reduction in expenditures in the user fund. All other interfund transactions are reported as transfers.

L. Future Accounting Pronouncements

GASB Statements listed below will be implemented in the future financial statements: Statement No. 74 "Financial Reporting for Postemployment

Benefits Plans Other Than Pension Plans"

The provision of this statement is effective for

fiscal years beginning after June 15, 2016.

Statement No. 75 "Accounting and Financial Reporting for

Postemployment Benefits Other Than

Pensions"


fiscal years beginning after June 15, 2017.


20


L. Future Accounting Pronouncements (Continued)

GASB Statements listed below will be implemented in the future financial statements: (Continued) Statement No. 77 "Tax Abatement Disclosures" The provision of this statement is effective for

fiscal years beginning after December 15, 2015.

Statement No. 78 "Pensions Provided through Certain

Multiple-Employer Defined Benefit Pension

Plans"



Statement No. 79 "Certain External Investment Pools and

Pool Participants"



Statement No. 80 "Blending Requirements for Certain

Component Units-an amendment of GASB

Statement No. 14"



Statement No. 81 "Irrevocable Split-Interest Agreements" The provision of this statement is effective for


Statement No. 82 "Pension Issues-an amendment of GASB

Statements No. 67, No. 68, and No. 73"



M. Deferred Inflows of Resources

Pursuant to GASB Statement No. 63 the Agency recognizes deferred inflows of resources. A deferred inflow of resources is defined as an acquisition of net position by the government that is applicable to a future reporting period. Refer to Note 5 for a detailed listing of the deferred inflows of resources that the Agency has recognized.

2. CASH AND INVESTMENTS

The Agency maintains a cash and investment pool with the City of Yuba City (City) for all funds. In addition, the Agency has two accounts with Wells Fargo Bank for payroll and payroll taxes and a state grant. The investments made by the City are limited to those allowable under State statutes as incorporated into the Agency’s Joint Powers Agreement, which is more conservative than that allowed by State statute. See the City’s Comprehensive Annual Financial Report for disclosures related to the pooled cash and investments and the related interest rate risk, credit risk, custodial risk, and concentration of risk.


21

2. CASH AND INVESTMENTS, Continued Summary of Cash and Investments

The Cash and Investments are classified in the financial statements as shown below:

Cash and investments, Statement of Net Position 10,381,243$ Cash and investments with fiscal agent, Statement of Net Position 7,830,529

Total cash and investments 18,211,772$

Cash and Investments held by the Agency at June 30, 2016 consisted of the following:

Deposits with financial institutions 152,236$ Deposits with City of Yuba City 10,229,007 Investments 7,830,529

Total cash and investments 18,211,772$

The Agency categorizes its fair value measurements within the fair value hierarchy established by accounting principles generally accepted in the United States of America. The hierarchy is based on the valuation inputs used to measure the fair value of the asset. These principles recognize the three-tiered fair value hierarchy. Level 1 inputs are quoted prices in active markets for identical assets; Level 2 inputs are significant other observable inputs; Level 3 inputs are significant unobservable inputs. The Agency had investments in the City’s Investment Pool, however, this external pool is not measured under Level 1, 2, or 3. Investments Authorized by the California Government Code

The table below identifies the investment types that are authorized for the Agency by the California Government Code. The table also identifies certain provisions of the California Government Code that address interest rate risk, credit risk, and concentration of credit risk. The Agency has not adopted a formal investment policy.

Maximum MaximumMaximum Percentage InvestmentMaturity of Portfolio in One Issuer

City Cash Pool None None NoneAuthorized Investment Type

Investments Authorized by Debt Agreements Investment of debt proceeds held by bond trustees are governed by provisions of the debt agreements, rather than the general provisions of the California Government Code or the Agency’s investment policy. The table below identifies the investment types that are authorized for investments held by bond trustee. The table also identifies certain provisions of these debt agreements that address interest rate risk, credit risk, and concentration of credit risk.

Maximum MaximumMaximum Percentage InvestmentMaturity of Portfolio in One Issuer

Money Market Funds N/A None NoneState Investment Fund (LAIF) N/A None None

AuthorizedInvestment Type


22

2. CASH AND INVESTMENTS, Continued Disclosures Relating to Interest Rate Risk

Interest rate risk is the risk that changes in market interest rates will adversely affect the fair value of an investment. Generally, the longer the maturity of an investment, the greater the sensitivity of its fair value to changes in market interest rates. One of the ways that the Agency manages its exposure to interest rate risk is by purchasing a combination of shorter term and longer term investments and by timing cash flows from maturities so that a portion of the portfolio is maturing or coming close to maturity evenly over time as necessary to provide the cash flows and liquidity needed for operations.

Information about the sensitivity of the fair values of the Agency’s investments (including investments held by bond trustees) to market interest rate fluctuations is provided by the following table that shows the distribution of the Agency’s investments by maturity:

Totals

City Cash Pool 10,229,007$ Held by bond trustees:

Money Market Funds 7,824,553 State Investment Fund (LAIF) 5,976

18,059,536$

Remaining Maturity (in Months)

10,229,007$ -$

Investment Type12 Months

or Less13 to 24 Months

25-36 Months

-$

37-48 Months

49-60 Months

More Than 60 Months

-$

-$

-$ -$

-$ -$

-$

-$

7,824,553 5,976

18,059,536$

Investments with Fair Values Highly Sensitive to Interest Rate Fluctuations

The Agency’s investments (including investments held by bond trustees) do not include any investments that are highly sensitive to interest rate fluctuations.

Disclosures Relating to Credit Risk

Generally, credit risk is the risk that an issuer of an investment will not fulfill its obligation to the holder of the investment. This is measured by the assignment of a rating by a nationally recognized statistical rating organization. Presented below is the minimum rating required by (where applicable) the California Government Code, the Agency’s investment policy, or debt agreements, and the actual rating as of fiscal year end for each investment type.

Amount

City Cash Pool 10,229,007$ N/AHeld by bond trustees:

Money Market Funds 7,824,553 N/AState Investment Fund (LAIF) 5,976 N/A

Total 18,059,536$

Investment TypeMinimum

Legal Rating

Exempt From

Disclosure AAA

Ratings as of Fiscal Year End

AAA Not Rated

-$ 10,229,007$ -$ -$ -$

7,824,553 5,976

10,234,983$ -$ -$ 7,824,553$ -$

Concentration of Credit Risk

The California Government Code contains limitations on the amount that can be invested in any one issuer. There are no investments (other than the money market funds) that represent 5% or more of total Agency investments.


23

2. CASH AND INVESTMENTS, Continued

Custodial Credit Risk

Custodial credit risk for deposits is the risk that, in the event of the failure of a depository financial institution, a government will not be able to recover its deposits or will not be able to recover collateral securities that are in the possession of an outside party. The custodial credit risk for investments is the risk that, in the event of the failure of the counterparty (e.g. broker-dealer) to a transaction, a government will not be able to recover the value of its investment or collateral securities that are in the possession of another party. The California Government Code does not contain legal or policy requirements that would limit the exposure to custodial credit risk for deposits or investments, other than the following provision for deposits. The California Government Code requires that a financial institution secure deposits made by state or local governmental units by pledging securities in an undivided collateral pool held by a depository regulated under state law (unless so waived by the governmental unit). The fair value of the pledged securities in the collateral pool must equal at least 110% of the total amount deposited by the public agencies. California law also allows financial institutions to secure Agency deposits by pledging first trust deed mortgage notes having a value of 150% of the secured public deposits.

The District had no deposits with financial institutions in excess of federal depository insurance limits as of June 30, 2016.

3. RISK MANAGEMENT

General Liability & Crime Insurance Coverage is maintained with the Special District Risk Management Authority with coverage limits of $10,000,000 per occurrence. Workers’ Compensation Insurance Coverage is maintained with Special District Risk Management Authority.

4. CAPITAL ASSETS

Capital asset activity for the fiscal year ended June 30, 2016, was as follows:

Capital Assets, not depreciatedConstruction in progress

Total capital assets, not depreciated

Capital assets, net

Balance July 1, 2015 Additions Deletions

Balance June 30, 2016

164,620,003$ 68,310,983$ -$ 232,930,986$

164,620,003 68,310,983 232,930,986

164,620,003$ 68,310,983$ -$ 232,930,986$


24

5. DEFERRED INFLOWS OF RESOURCES

In addition to liabilities, the balance sheet reports a separate section for deferred inflows of resources. Deferred inflows of resources represent acquisitions of net position that apply to a future period or periods. These items will not be recognized as an inflow of resources until the applicable future period. The deferred inflow of resources balance at June 30, 2016, related to the assessment revenue accounts receivable not received within 60 days, was $194,432.

6. LONG-TERM DEBT

Bonds Payable Assessment Revenue Bonds Series 2013 On May 16, 2013, the Agency issued $41,035,000 of Assessment Revenue Bonds bearing interest between 3.0% and 5.0% and payable semi-annually on October 1 and April 1, maturing on October 1, 2043. These bonds were used to finance the construction of certain public capital improvements related to levee improvements and flood control, to provide funds for a reserve fund for the bonds, to provide capitalized interest through October 1, 2013, and to pay costs of issuance of the bonds. The outstanding principal balance of the 2013 Assessment Revenue Bonds at June 30, 2016 was $40,840,000. The scheduled annual minimum debt service requirements at June 30, 2016 are as follows:

Fiscal Year Ended June 30, Principal Interest Total

2017 305,000$ 1,729,438$ 2,034,438$ 2018 320,000 1,718,462 2,038,462 2019 330,000 1,705,462 2,035,462 2020 605,000 1,686,763 2,291,763 2021 630,000 1,662,063 2,292,063

2022-2026 3,590,000 7,845,039 11,435,039 2027-2031 6,845,000 6,612,687 13,457,687 2032-2036 9,230,000 4,736,331 13,966,331 2037-2041 11,165,000 2,714,700 13,879,700 2042-2044 7,820,000 477,400 8,297,400

40,840,000$ 30,888,345$ 71,728,345$


25

6. LONG-TERM DEBT, Continued

Assessment Revenue Bonds Series 2015 On May 28, 2015, the Agency issued $47,070,000 of Assessment Revenue Bonds bearing interest between 3.375% and 5.000% and payable semi-annually on October 1 and April 1, maturing on October 1, 2045. These bonds were used to refund the Rabobank loan, finance the construction of certain public capital improvements related to levee improvements and flood control, to provide funds for a reserve fund for the bonds in the form of a debt service reserve surety, to pay capitalized interest on the bonds through October 1, 2015, and to pay costs of issuance of the bonds. The bonds are secured on parity with the 2013 Bonds. The outstanding principal balance of the 2015 Assessment Revenue Bonds at June 30, 2016 was $47,070,000. The scheduled annual minimum debt service requirements at June 30, 2016 are as follows:

Principal Interest Total2017 -$ 2,065,619$ 2,065,619$ 2018 2,065,619 2,065,619 2019 1,395,000 2,037,719 3,432,719 2020 1,190,000 1,986,019 3,176,019 2021 1,235,000 1,931,344 3,166,344

2022-2026 7,175,000 8,639,970 15,814,970 2027-2031 6,865,000 6,872,399 13,737,399 2032-2036 7,705,000 5,517,166 13,222,166 2037-2041 9,545,000 3,632,625 13,177,625 2042-2046 11,960,000 1,233,600 13,193,600

47,070,000$ 35,982,080$ 83,052,080$

Fiscal Year Ended June 30,

Changes in Long-Term Liabilities Long-term liability activity for the fiscal year ended June 30, 2016, was as follows:

July 1, 2015 Balance Additions Reductions

June 30, 2016 Balance

Due Within One Year

Governmental activities:Bonds Payable 88,105,000$ -$ (195,000)$ 87,910,000$ 305,000$ Original Issue Premium 4,164,957 (141,128) 4,023,829 141,128 Compensated Absences 19,189 17,023 (12,071) 24,141

Governmental activitiesLong-term liabilities 92,289,146$ 17,023$ (348,199)$ 91,957,970$ 446,128$


26

7. COMMITMENTS AND CONTINGENCIES

A. Lawsuits The Agency is not a defendant in any lawsuits as of June 30, 2016.

B. Federal and State Grant Programs

The Agency participates in a number of State programs that are fully or partially funded by grants received from other governmental units. Expenditures financed by grants are subject to audit by the appropriate grantor government. If expenditures are disallowed due to noncompliance with grantor program regulations, the Agency may be required to reimburse the grantor government. As of June 30, 2016 the Agency believes that disallowed expenditures, if any, based on subsequent audits will not have a material effect on any individual governmental funds or the overall financial condition of the Agency.

As of June 30, 2016, in the opinion of Agency management and legal counsel, there were no additional outstanding matters that would have a significant effect on the financial position of the funds of the Agency.

C. Construction Commitments In May 2013, the Agency entered into a construction contract with Nordic/Magnus Pacific Joint Venture for $51,606,600. As of February 25, 2016, due to additional change orders and field instructions, the contract amount has increased $6,237,323 to $57,843,923. In February 2016, a final payment was made on all work completed under the contract. In December 2017, the Agency authorized the release of all retention held within the third party retention escrow held for the benefit of the Contractor. In March 2014, the Agency entered into a second construction contract with Nordic/Magnus Pacific Joint Venture for $98,897,740. As of June 30, 2016, due to additional change orders and field instructions, the contract amount has decreased $1,335,638.36 to $97,562,101. As of June 30, 2016, approximately $13,307,415.59 of this contract was still outstanding. In June 2016, the Agency entered into a third contract with Nordic/Magnus Pacific Joint Venture for $5,968,943.00. As of June 30, 2016, a Notice to Proceed had not yet been issued and the full amount of the contract remained outstanding.

8. OPERATING LEASE

The Agency now co-locates with its Construction Manager, Parsons Brinkerhoff, at 1441 Garden Highway, Yuba City, CA. As of June 30, 2016, the Agency has no operating lease agreements.


27

9. EMPLOYEE RETIREMENT PLANS

The Agency offers its employees a deferred compensation plan created in accordance with Internal Revenue Code Section 457. The plan is available to all eligible employees, as defined by the Board of Directors. As of June 30, 2016, the Executive Director is the only eligible employee. The Agency does not match the employees’ contribution. The Omnibus Budget Reconciliation Act of 1990 mandates social security coverage for state and local government employees who are not covered by a retirement plan. The plan permits employees to defer a portion of their salary until future years. The deferred compensation is not available to employees until termination, retirement, death, specific in-service distributions, or unforeseeable emergency. The Agency also provides its employees a defined contribution plan created in accordance with Internal Revenue Code Section 401(a). The plan is available to all eligible employees, as defined by the plan. The Agency makes contributions to the plan on behalf of each participant pursuant to terms of the plan and employment agreements specifying the amount of contribution. The balance in each employee’s account is not available to the employee until normal retirement age, late retirement, disability retirement, death, or termination.

All amounts of compensation deferred under the plans, all property and rights purchased with those amounts, and all income attributable to those amounts, property, or rights are (until paid or made available to the employee or other beneficiary) held in trust. For the deferred compensation plan, this is the Sutter Butte Flood Control Agency 457(b) Deferred Compensation Plan and Trust. For the profit sharing plan, this is the Sutter Butte Flood Control Agency Profit Sharing Plan and Trust. The assets in these trusts are held by TD Ameritrade and are for the exclusive benefit of the plan participants and their beneficiaries as prescribed by Internal Revenue Code Sections 457 and 401 (a). The third-party administrator is Bidwell Consulting. Accordingly, these assets have been excluded from the accompanying financial statements.

Sutter Butte Flood Control Agency Note to Required Supplementary Information June 30, 2016

28

1. BUDGETARY CONTROL AND ACCOUNTING

The Agency follows these procedures in establishing the budgetary data reflected in the financial statements: 1. In May of each year, the Executive Director submits to the Board of Directors a proposed

operating budget for the following fiscal year. This budget includes proposed expenditures by fund and the revenues expected to finance them.

2. The budget is legally enacted through passage of a resolution before July 1. 3. The Executive Director is authorized to transfer budgeted amounts; however, any revisions which

alter total expenditures of any fund must be approved by the Board of Directors. 4. Formal budgetary integration is employed as management control device during the year for the

General Fund.

5. Budgeted revenue amounts represent the original budget modified by adjustments authorized during the fiscal year. Budgeted expenditure amounts represent original appropriations adjusted for supplemental appropriations during the year which were contingent upon new or additional revenue sources and reappropriated amounts for prior year encumbrances. The Executive Director must approve any adjustments to the budget.

6. Appropriations lapse at the end of the fiscal year.

7. Budgeted appropriations for the various governmental funds become effective each July 1. The

Board of Directors may amend the budget during the fiscal year. The legal level of budgetary control has been established at the fund level. Appropriations generally lapse at the end of the fiscal year to the extent they have not been expended or encumbered.

The accompanying Statement of Revenues, Expenditures, and Changes in Fund Balances - Budget and Actual for the General Fund presents comparisons of the legally-adopted budget with actual data on a basis consistent with accounting principles generally accepted in the United States of America.

SUTTER BUTTE FLOOD CONTROL AGENCY

MANAGEMENT REPORT AND

AUDITOR’S COMMUNICATION LETTER

June 30, 2016

SUTTER BUTTE FLOOD CONTROL AGENCY June 30, 2016

TABLE OF CONTENTS Required Communication under Statement on Auditing Standards No. 114 .......................... 1 Independent Auditor’s Report on Internal Control Over Financial Reporting and on Compliance and Other Matters Based on an Audit of Financial Statements Performed In Accordance with Government Auditing Standards ...................................................................... 4 Current Year Recommendations .................................................................................................. 6 Status of Prior Year Recommendations ....................................................................................... 7



PARTNERS COMMERCIAL ACCOUNTING & TAX SERVICES GOVERNMENTAL AUDIT SERVICESRONALD A. LEVY, CPA 433 N. CAMDEN DR., SUITE 730 5800 HANNUM AVE., SUITE ECRAIG A. HARTZHEIM, CPA BEVERLY HILLS, CA 90210 CULVER CITY, CA 90230HADLEY Y. HUI, CPA TEL: 310.670.2745 TEL: 310.670.2745 ALEXANDER C HOM, CPA FAX: 310.670.1689 FAX: 310.670.1689 ADAM V GUISE, CPA www.mlhcpas.com www.mlhcpas.com TRAVIS J HOLE, CPA

January 9, 2017 To the Board of Directors Sutter Butte Flood Control Agency Yuba City, California We have audited the financial statements of the governmental activities and each major fund of the Sutter Butte Flood Control Agency (Agency) as of and for the fiscal year ended June 30, 2016. Professional standards require that we provide you with information about our responsibilities under auditing standards generally accepted in the United States of America and Government Auditing Standards, as well as certain information related to the planned scope and timing of our audit. We have communicated such information in our letter to you dated June 13, 2016. Professional standards also require that we communicate to you the following information related to our audit. Significant Audit Findings Qualitative Aspects of Accounting Practices Management is responsible for the selection and use of appropriate accounting policies. The significant accounting policies used by the Agency are described in Note 1 of the notes to the basic financial statements. Effective July 1, 2015, the Agency adopted the provisions of Governmental Accounting Standards Board (GASB) Statement No. 72, Fair Value Measurement and Application and Statement No. 73, Accounting and Financial Reporting for Pensions and Related Assets That Are Not within the Scope of GASB Statement 68, and Amendments to Certain Provisions of GASB Statements 67 and 68. We noted no transactions entered into by the Agency during the fiscal year for which there is a lack of authoritative guidance or consensus. All significant transactions have been recognized in the financial statements in the proper period. Accounting estimates are an integral part of the financial statements prepared by management and are based on management’s knowledge and experience about past and current events and assumptions about future events. Certain accounting estimates are particularly sensitive because of their significance to the financial statements and because of the possibility that future events affecting them may differ significantly from those expected. The most sensitive estimates affecting the financial statements was:

2

Management’s estimate of the collectability of the assessments receivable. This estimate is based on historical data and management’s judgment. We evaluated the key factors and assumptions used to develop the estimate above in determining that it is reasonable in relation to the financial statements taken as a whole.

The financial statement disclosures are neutral, consistent, and clear. Difficulties Encountered in Performing the Audit We encountered no difficulties in dealing with management in performing and completing our audit. Corrected and Uncorrected Misstatements Professional standards require us to accumulate all known and likely misstatements identified during the audit, other than those that are clearly trivial, and communicate them to the appropriate level of management. We noted no such misstatements during our audit. Disagreements with Management For purposes of this letter, a disagreement with management is a financial accounting, reporting, or auditing matter, whether or not resolved to our satisfaction, that could be significant to the financial statements or the auditor’s report. We are pleased to report that no such disagreements arose during the course of our audit. Management Representations We have requested certain representations from management that are included in the management representation letter dated January 9, 2017. Management Consultations with Other Independent Accountants In some cases, management may decide to consult with other accountants about auditing and accounting matters, similar to obtaining a “second opinion” on certain situations. If a consultation involves application of an accounting principle to the Agency’s financial statements or a determination of the type of auditor’s opinion that may be expressed on those statements, our professional standards require the consulting accountant to check with us to determine that the consultant has all the relevant facts. To our knowledge, there were no such consultations with other accountants. Other Audit Findings or Issues We generally discuss a variety of matters, including the application of accounting principles and auditing standards, with management each year prior to retention as the Agency’s auditors. However, these discussions occurred in the normal course of our professional relationship and our responses were not a condition to our retention. Other Matters We applied certain limited procedures to the Management’s Discussion and Analysis and the Budgetary Comparison Schedule of the General Fund, which is required supplementary information (RSI) that supplements the basic financial statements. Our procedures consisted of inquiries of management regarding the methods of preparing the information and comparing the information for consistency with management’s responses to our inquiries, the basic financial statements, and other knowledge we obtained during our audit of the basic financial statements. We did not audit the RSI and do not express an opinion or provide any assurance on the RSI.

3

Restriction on Use This information is intended solely for the use of the Board of Directors and management of the Agency and is not intended to be, and should not be, used by anyone other than these specified parties. Very truly yours,

MOSS, LEVY & HARTZHEIM, LLP Culver City, CA



PARTNERS COMMERCIAL ACCOUNTING & TAX SERVICES GOVERNMENTAL AUDIT SERVICESRONALD A. LEVY, CPA 433 N. CAMDEN DR., SUITE 730 5800 HANNUM AVE., SUITE ECRAIG A. HARTZHEIM, CPA BEVERLY HILLS, CA 90210 CULVER CITY, CA 90230HADLEY Y. HUI, CPA TEL: 310.670.2745 TEL: 310.670.2745 ALEXANDER C HOM, CPA FAX: 310.670.1689 FAX: 310.670.1689 ADAM V GUISE, CPA www.mlhcpas.com www.mlhcpas.comTRAVIS J HOLE, CPA

INDEPENDENT AUDITOR’S REPORT ON INTERNAL CONTROL OVER FINANCIAL REPORTING AND ON COMPLIANCE AND OTHER MATTERS

BASED ON AN AUDIT OF FINANCIAL STATEMENTS PERFORMED IN ACCORDANCE WITH GOVERNMENT AUDITING STANDARDS

To the Board of Directors Sutter Butte Flood Control Agency Yuba City, California We have audited, in accordance with the auditing standards generally accepted in the United States of America and the standards applicable to financial audits contained in Government Auditing Standards issued by the Comptroller General of the United States, the financial statements of the governmental activities, each major fund of the Sutter Butte Flood Control Agency (Agency) as of and for the fiscal year ended June 30, 2016, which collectively comprise the Agency’s basic financial statements, and have issued our report thereon dated January 9, 2017. Internal Control Over Financial Reporting In planning and performing our audit of the financial statements, we considered the Agency’s internal control over financial reporting (internal control) to determine the audit procedures that are appropriate in the circumstances for the purpose of expressing our opinions on the financial statements, but not for the purpose of expressing an opinion on the effectiveness of the Agency’s internal control. Accordingly, we do not express an opinion on the effectiveness of the Agency’s internal control. A deficiency in internal control exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent, or detect and correct, misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control, such that there is a reasonable possibility that a material misstatement of the entity’s financial statements will not be prevented, or detected and corrected on a timely basis. A significant deficiency is a deficiency, or a combination of deficiencies, in internal control that is less severe than a material weakness, yet important enough to merit attention by those charged with governance. Our consideration of internal control was for the limited purpose described in the first paragraph of this section and was not designed to identify all deficiencies in internal control that might be material weaknesses or, significant deficiencies. Given these limitations, during our audit we did not identify any deficiencies in internal control that we consider to be material weaknesses. However, material weaknesses may exist that have not been identified.

5

Compliance and Other Matters As part of obtaining reasonable assurance about whether the Agency’s financial statements are free from material misstatement, we performed tests of its compliance with certain provisions of laws, regulations, contracts, and grant agreements, noncompliance with which could have a direct and material effect on the determination of financial statement amounts. However, providing an opinion on compliance with those provisions was not an objective of our audit, and accordingly, we do not express such an opinion. The results of our tests disclosed no instances of noncompliance or other matters that are required to be reported under Government Auditing Standards. Purpose of this Report The purpose of this report is solely to describe the scope of our testing of internal control and compliance and the results of that testing, and not to provide an opinion on the effectiveness of the Agency’s internal control or on compliance. This report is an integral part of an audit performed in accordance with Government Auditing Standards in considering the entity’s internal control and compliance. Accordingly, this communication is not suitable for any other purpose.

Moss, Levy & Hartzheim, LLP Culver City, California January 9, 2017

6

CURRENT YEAR RECOMMENDATIONS No findings noted in the current fiscal year.

7

STATUS OF PRIOR YEAR RECOMMENDATIONS No findings noted in the prior fiscal year.

Item 7


February 8, 2017 TO: Board of Directors FROM: Mike Inamine, Executive Director Seth Wurzel, Budget Manager SUBJECT: Receive and File Monthly Financial Reports (October, November, and

December 2016)

Recommendation Staff recommends that the Board receive and file the October, November, and December 2016 Financial Report and receive staff’s monthly financial report update. Background The last report the Board received was the September monthly financial report at the last regular Board meeting in November 2016. This transmittal includes the prior reports not yet received for October and November of 2016. Staff will be prepared to present the December Financial Report at the Board meeting. Staff will provide a brief presentation of SBFCA’s current financial position, the December financial activities, and be prepared to answer any questions. The monthly financial reports include the following information:

• Current Working Capital Position: The reports provide an update as to the liquidity of the Agency and ability to cover current obligations. This information is presented within the monthly financial report prepared in coordination with Yuba City finance staff. The current month’s financial report reflects the financial information as of December 2016. The information presented is compared to the Final Amended Final Budgets for FY 2016/17.

Fiscal Impact This is an informational item only with no fiscal impact to the Agency. Attachments To Be Provided at the Board Meeting

• Yuba City Finance Department Memorandum, December 5, 2016 re: Monthly Financial Report: October 2016

• Yuba City Finance Department Memorandum, January 11, 2017 re: Monthly Financial Report: November 2016

• Yuba City Finance Department Memorandum, February 8, 2017 re: Monthly Financial Report: December 2016)

Amended Month Ending Rec'd/InvoicedLine Item Description 2016-17 Budget October‐16 to Date

Working Capital Beginning of Period

Operational Fund 730 3,282,035 3,282,035 3,282,035

Capital Fund 731 ‐ USACE Study (508,062) (508,062) (508,062)

Capital Fund 731 ‐ EIP 10,783,615 10,783,615 11,729,993

Prior Period Adjustment for Funding Received from DWR ‐ ‐

Capital Fund 731 ‐ Stakeholder 5,430 5,430 5,430 Capital Fund 731 ‐ Star Bend ‐ ‐

Capital Fund 731 ‐ RFMP (318,677) (318,677) (318,677)

Capital Fund 731 ‐ OWA (562,954) (562,954) (562,954)

Capital Fund 731 ‐ ER Planning (8,646) (8,646) (8,646)

Capital Fund 731 ‐ Gridley Bridge (227,282) (227,282) (227,282)

Capital Fund 731 ‐ FSRP (1,003,848) (1,003,848) (1,003,848)

Capital Fund 731‐ ULOP ‐ ‐

Total Beginning of Period 11,441,611 11,441,611 12,387,989

Transfers

Operational Fund 730 ‐ ‐ ‐

Capital Fund 731

Capital Fund 731 ‐ USACE Study ‐

Capital Fund 731 ‐ EIP ‐ ‐ ‐

Capital Fund 731 ‐ Stakeholder ‐ ‐ ‐

Capital Fund 731 ‐ RFMP ‐ ‐ ‐

Capital Fund 731 ‐ OWA ‐

Capital Fund 731‐ FSRP ‐

Capital Fund 731‐ ULOP

Subtotal Capital Fund ‐ ‐ ‐

Net Transfers ‐ ‐ ‐

Revenues

Operational Fund 730 750,000 ‐ ‐

Capital Fund 731

Capital Fund 731 ‐ USACE Study ‐ ‐ ‐

Capital Fund 731 ‐ EIP (Local) 5,750,000 (278) (278)

Capital Fund 731 ‐ EIP (State) 46,219,877 17,973,864 18,005,974


Capital Fund 731 ‐ RFMP 281,759 ‐ ‐

Capital Fund 731 ‐ OWA 1,665,322 281,550 281,550

Capital Fund 731 ‐ ER Planning ‐ (61,252) ‐

Capital Fund 731 ‐ Gridley Bridge ‐ 116,399 ‐

Capital Fund 731‐ FSRP 7,225,000 4,188,375 4,188,375

Capital Fund 731‐ ULOP ‐ ‐ ‐

Subtotal Capital Fund 61,141,958 22,498,658 22,475,621

Total Revenues Operating & Capital 22,498,658 22,475,621

Expenses

Operational Fund 730 997,987 129,038 117,825

Capital Fund 731

Capital Fund 731 ‐ USACE Study ‐ 775 775

Capital Fund 731 ‐ EIP 40,759,522 11,191,824 17,795,021

Capital Fund 731 ‐ Stakeholder 25,000 ‐ ‐

Capital Fund 731 ‐ RFMP 239,591 31,826 1,846

Capital Fund 731 ‐ OWA 1,469,771 35,899 814

Capital Fund 731 ‐ ER Planning ‐ ‐ ‐

Capital Fund 731 ‐ Gridley Bridge ‐ 1,521 1,783

Capital Fund 731‐ FSRP 9,772,576 535,431 570,324

Capital Fund 731‐ ULOP 275,604 6,133 12,265


Total Expenses Operating & Capital 53,264,447 11,932,446 18,500,654

Financing Activities [2]Gross Proceeds from New Debt [Trustee] ‐ (6,408,226) (6,408,226)

Proceeds from of New Debt [SBFCA] 6,408,226 6,408,226

Short/Long Term Debt Repayment ‐ ‐

Costs of Financing ‐

Debt Service on Outstanding Debt (4,100,056) (1,258,938) (2,204,816)

Net Financing Activities (4,100,056) (1,258,938) (2,204,816)

Working Capital End of Period



Capital Fund 731 ‐ EIP 17,893,913 16,306,439 9,735,852

Capital Fund 731 ‐ Stakeholder (19,570) 5,430 5,430


Capital Fund 731 ‐ OWA (367,402) (317,303) (282,218)



Capital Fund 731 ‐ FSRP (3,551,424) 2,649,096 2,614,203

Capital Fund 731‐ ULOP (275,604) (6,133) (12,265)

Total End of Period 15,693,463 20,748,886 14,158,140

Working Capital Net of Trustee Funds $12,379,937 $12,197,418[1] Reflects Approved Budget presented to the Board at

it's June 22, 2016 meeting with adjustments through June

FY 2016/17

[2] Financing Activities are reflected in the Capital Fund

EIP Ending Working Capital Balance

SBFCA BUDGETTOTAL WORKING CAPITAL RECONCILIATION

SBFCA Budget Forecast and Cash Flow 11.29.16 12/1/2016 Cons Wrkg

Exhibit A

SUTTER BUTTE FLOOD CONTR

OL AGENCY

COMBINED SUMMARY STATEMEN

T OF ACTIVITIES

AS OF MONTH

ENDING OCTO

BER 2016 OF FY 16/17

11/29/2016

OPERATIONS (730)

OPERATIONS (730)

OPERATIONS (730)

ADMIN

USA

CE

STUDY

EIP

STAKE‐

HOLD

ER,

OWA, G

B,

FSRP

REGIONAL

PLA

NNING,

ULO

P

ER

PLA

NNING

Sub‐Total ‐ Capital

Fund

TOTA

LSADMIN

USA

CE

STUDY

EIP

STAKE‐

HOLD

ER, O

WA,

GB, FSR

P

REGIONAL

PLA

NNING,

ULO

PER PLA

NNING

Sub‐Total ‐ Capital

Fund

TOTA

LSADMIN

USA

CE

STUDY

EIP

STAKE‐

HOLD

ER,

OWA, G

B,

FSRP

REGIONAL

PLA

NNING

ER

PLA

NNING

Sub‐Total ‐

Capital Fund

TOTA

LS

% OF BUDGET

EXPEN

DED

REVENUES:

43195-F

edera

l Inte

rgo

v't

Funds

‐ ‐

‐ ‐

‐‐

‐‐

‐ ‐

‐‐

‐ ‐

‐‐

‐‐

‐ ‐

‐ ‐

‐ 0%

43495-P

ropo

sitio

n 1

3 F

unds -

$1.4

M‐

‐ ‐

‐‐

‐‐

‐ ‐

‐‐

‐ ‐

‐‐

‐‐

‐ ‐

‐ ‐

‐ 0%

43495-P

ropo

sitio

n 1

3 F

unds -

$650 K

‐ ‐

‐ ‐

‐‐

‐‐

‐ ‐

‐‐

‐ ‐

‐‐

‐‐

‐ ‐

‐ ‐

‐ 0%

43530-E

IP G

rant F

unds -

(Lo

cal C

redit)

‐ ‐

‐ ‐

‐‐

‐‐

‐ 740,146

‐

740,146

740,146

‐

‐740,146

‐ ‐

‐ 740,146

740,146

0%

43531-E

IP G

rant F

unds -

(S

tate

Share

)‐

17,973,864

‐ ‐

(61,252)

17,912,612

17,912,612

‐ ‐

45,479,731

‐281,759

45,761,490

45,761,490

‐‐

27,505,867

‐ 281,759

61,252

27,848,878

27,848,878

39%

43535-S

tate

Revenues -

Flo

od E

merg

ency R

espo

nse G

rant

‐‐

‐‐

‐‐

‐‐

‐ ‐

‐ ‐

‐ 0%

43536-S

tate

Revenues -

Pro

p 1

3 G

rant

397,949

397,949

397,949

‐

‐ ‐

1,665,322

‐ ‐

1,665,322

1,665,322

‐‐

‐ 1,267,373

‐ ‐

1,267,373

1,267,373

24%

43717-L

ocal I

nte

rgo

v't

Co

ntr

ibutio

ns

‐ ‐

‐ ‐

‐‐

‐‐

‐ ‐

‐‐

‐ ‐

‐ ‐

‐‐

‐ ‐

‐ ‐

‐ ‐

0%

45520-A

ssessm

ent D

istr

ict R

evenues

‐ ‐

0 ‐

‐‐

00

750,000

‐ 5,750,000

‐‐

‐ 5,750,000

6,500,000

750,000

‐

5,750,000

‐ ‐

‐ 5,750,000

6,500,000

0%

43537-S

tate

Revenues -

LC

FS

RP

Gra

nt

4,188,375

4,188,375

4,188,375

7,225,000

7,225,000

7,225,000

3,036,625

‐ 3,036,625

Sub-

Tota

l‐

‐ 17,973,864

4,586,324

‐(61,252)

22,498,936

22,498,936

750,000

‐ 51,969,877

8,890,322

281,759

‐ 61,141,958

61,891,958

750,000

‐

33,996,013

1,267,373

281,759

61,252

35,606,397

36,356,397

36%

46110-I

nte

rest o

n Investm

ents

‐ ‐

(278)

‐ ‐

‐(278)

(278)

‐

‐ ‐

‐‐

‐ ‐

‐‐

‐278

‐ ‐

‐ 278

278

0%

49010-O

ther

Revenue

‐ ‐

‐ ‐

‐‐

‐‐

‐ ‐

‐‐

‐ ‐

‐ ‐

‐‐

‐ ‐

‐ ‐

‐ ‐

0%

Sub-

Tota

l‐

‐ (278)

‐ ‐

‐(278)

(278)

‐

‐ ‐

‐‐

‐ ‐

‐‐

‐278

‐ ‐

‐ 278

278

0%

TOTA

L IN

CO

ME

‐ ‐

17,973,586

4,586,324

‐(61,252)

22,498,658

22,498,658

750,000

‐ 51,969,877

8,890,322

281,759

‐ 61,141,958

61,891,958

750,000

‐

33,996,291

1,267,373

281,759

61,252

35,606,675

36,356,675

36%

EXPEN

DITURES ‐ ADMINISTR

ATION:

Operations:

62701-E

xecutive D

irecto

r‐

‐‐

‐ ‐

‐‐

‐ ‐

‐ ‐

‐ ‐

0%

62730-A

tto

rney

(1,360)

‐

(1,360)

(36,000)

‐ (36,000)

(34,640)

‐

‐ ‐

‐ ‐

‐ (34,640)

4%

62701-A

naly

st/A

dm

inis

trative A

ssis

tant

(483)

‐(483)

‐

‐ ‐

483

‐‐

‐ ‐

‐ ‐

483

0%

62701-C

lerk

/Secre

tary

‐ ‐

‐(24,000)

‐ (24,000)

(24,000)

‐

‐ ‐

‐ ‐

‐ (24,000)

0%

6279(8

,9)-

Exe

c D

ir/A

dm

in M

gr

(15,233)

‐(15,233)

(122,140)

‐

(122,140)

(106,908)

‐

‐ ‐

‐ ‐

‐ (106,908)

12%

61(5

,2)(

XX

)-D

irecto

r o

f E

ngin

eering

(55,766)

‐(55,766)

(56,407)

‐ (56,407)

(640)

‐

‐ ‐

‐ ‐

‐ (640)

99%

62701-D

irecto

r o

f E

ngin

eering S

uppo

rt(1,057)

‐

(1,057)

(171,167)

‐

(171,167)

(170,110)

‐

‐ ‐

‐ ‐

‐ (170,110)

1%

62701-P

ublic

Outr

each

(624)

‐(624)

(22,050)

‐ (22,050)

(21,426)

‐

‐ ‐

‐ ‐

‐ (21,426)

3%

62701-F

inancia

l Mgt

(22,689)

‐(22,689)

(73,000)

‐ (73,000)

(50,311)

‐

‐ ‐

‐ ‐

‐ (50,311)

31%

62701-A

ssessm

ent D

istr

ict A

dm

in.

(25,025)

‐(25,025)

(235,167)

‐

(235,167)

(210,142)

‐

‐ ‐

‐ ‐

‐ (210,142)

11%

Sub‐Total

(122,236)

‐

‐ ‐

‐‐

‐(122,236)

(739,930)

‐

‐‐

‐ ‐

‐ (739,930)

(617,695)

‐

‐ ‐

‐ ‐

‐ (617,695)

17%

Serv

ices a

nd S

upplie

s(6,802)

(89,460)

(89,460)

(96,262)

(253,056)

(179,011)

(179,011)

(432,067)

(246,254)

‐

(89,551)

‐ ‐

‐ (89,551)

(335,805)

22%

Equip

ment

‐ ‐

‐ ‐

‐‐

‐ ‐

‐ ‐

‐ ‐

0%

Sub‐Total

(6,802)

‐

(89,460)

‐ ‐

‐(89,460)

(96,262)

(253,056)

‐

(179,011)

‐

‐ ‐

(179,011)

(432,067)

(246,254)

‐

(89,551)

‐ ‐

‐ (89,551)

(335,805)

22%

Total O

perations

(129,038)

‐

(89,460)

‐ ‐

‐(89,460)

(218,497)

(992,987)

‐

(179,011)

‐

‐ ‐

(179,011)

(1,171,997)

(863,949)

‐

(89,551)

‐ ‐

‐ (89,551)

(953,500)

19%

EXPEN

DITURES ‐ PROGRAM:

USA

CE Feasibility Study:

Administration

(775)

(775)

(775)

‐

‐ ‐

‐775

‐ ‐

‐ ‐

775

775

0%

Engineering

‐ ‐

‐‐

‐ ‐

‐‐

‐ ‐

‐ ‐

‐ ‐

0%

Environmental

‐ ‐

‐‐

‐ ‐

‐‐

‐ ‐

‐ ‐

‐ ‐

0%

Paym

ents to USA

CE

‐ ‐

‐‐

‐ ‐

‐‐

‐ ‐

‐ ‐

‐ ‐

0%

Sub‐Total

‐ (775)

‐ ‐

‐‐

(775)

(775)

‐

‐ ‐

‐‐

‐ ‐

‐‐

775

‐ ‐

‐ ‐

775

775

0%

EIP:

Pre

-Pla

nnin

g‐

‐‐

‐‐

‐‐

‐‐

‐ ‐

‐ ‐

‐ 0%

Adm

inis

tratio

n(249,181)

(249,181)

(249,181)

(1,040,616)

(1,040,616)

(1,040,616)

‐‐

(791,435)

‐ ‐

‐ (791,435)

(791,435)

24%

Engineering

(1,071,944)

(1,071,944)

(1,071,944)

(17,898,805)

(17,898,805)

(17,898,805)

‐‐

(16,826,861)

‐ ‐

‐ (16,826,861)

(16,826,861)

6%

Environmental

(768,859)

(768,859)

(768,859)

(7,495,479)

(7,495,479)

(7,495,479)

‐‐

(6,726,620)

‐ ‐

‐ (6,726,620)

(6,726,620)

10%

Right of W

ay Services

(321,561)

(321,561)

(321,561)

(2,610,928)

(2,610,928)

(2,610,928)

‐‐

(2,289,367)

‐ ‐

‐ (2,289,367)

( 2,289,367)

12%

Construction & OWA FSR

(8,690,820)

(8,690,820)

(8,690,820)

(11,534,683)

(11,534,683)

(11,534,683)

‐‐

(2,843,863)

‐ ‐

‐ (2,843,863)

(2,843,863)

75%

Sub‐Total

‐ ‐

(11,102,364)

‐ ‐

‐(11,102,364)

(11,102,364)

‐ ‐

(40,580,511)

‐‐

‐ (40,580,511)

(40,580,511)

‐‐

(29,478,147)

‐ ‐

‐ (29,478,147)

(29,478,147)

27%

Stakeh

older M

anagem

ent, OWA, G

ridley Bridge, FSR

P

2005 ‐ O

WA

(35,899)

(35,899)

(35,899)

(1,469,771)

(1,469,771)

(1,469,771)

(1,433,872)

(1,433,872)

(1,433,872)

2%

1068 ‐ Stakeholder Man

agement

‐ ‐

‐(25,000)

(25,000)

(25,000)

‐

‐‐

(25,000)

‐ ‐

(25,000)

(25,000)

0%

2006 ‐ G

ridley Bridge

(1,521)

(1,521)

(1,521)

‐‐

‐1,521

1,521

1,521

0%

2004 ‐ FSRP

(535,431)

(535,431)

(535,431)

(9,772,576)

(9,772,576)

(9,772,576)

(9,237,145)

(9,237,145)

(9,237,145)

5%

Sub‐Total

‐ ‐

‐ (572,851)

‐‐

(572,851)

(572,851)

‐ ‐

‐(11,267,347)

‐ ‐

(11,267,347)

(11,267,347)

‐‐

‐ (1,458,872)

‐

‐ (1,458,872)

(1,458,872)

5%

Regional Planning, ULO

P

2001 Regional Planning Efforts

(31,826)

(31,826)

(31,826)

‐

(239,591)

(239,591)

(239,591)

‐

‐‐

‐ (207,764)

‐ (207,764)

(207,764)

13%

2008 ULO

P(6,133)

(6,133)

(6,133)

(275,604)

(275,604)

(275,604)

Sub‐Total

‐ ‐

‐ ‐

(31,826)

‐(37,959)

(37,959)

‐

‐ ‐

‐(515,194)

‐ (515,194)

(515,194)

‐

‐‐

‐ (207,764)

‐ ‐

(207,764)

7%

Emergency Response

656XX

Emergency Response Efforts

‐‐

‐‐

‐ ‐

‐‐

‐ ‐

‐ ‐

‐ ‐

0%

Sub‐Total

‐ ‐

‐ ‐

‐‐

‐‐

‐ ‐

‐‐

‐ ‐

‐ ‐

‐‐

‐ ‐

‐ ‐

‐ ‐

0%

Total Capital

‐ (775)

(11,102,364)

(572,851)

(31,826)

‐(11,713,949)

(11,713,949)

‐ ‐

(40,580,511)

(11,267,347)

(515,194)

‐ (52,363,053)

(52,363,053)

‐775

(29,478,147)

(1,458,872)

(207,764)

‐ (30,936,244)

(31,144,009)

22%

Budgeted Contingency

(5,000)

(5,000)

(5,000)

‐‐

‐

‐

‐ (5,000)

0%

TOTA

L EX

PEN

DITURES

(129,038)

(775)

(11,191,824)

(572,851)

(31,826)

‐(11,803,409)

(11,932,446)

(997,987)

‐

(40,759,522)

(11,267,347)

(515,194)

‐ (52,542,064)

(53,540,050)

(868,949)

775

(29,567,698)

(1,458,872)

(207,764)

‐ (31,025,795)

(32,102,509)

22%

NET

REVENUES OVER (UNDER) EXPEN

DITURES

(129,038)

(775)

6,781,762

4,013,474

(31,826)

(61,252)

10,695,250

10,566,212

(247,987)

‐

11,210,355

(2,377,025)

(233,435)

‐ 8,599,895

8,351,908

(118,949)

775

4,428,593

(191,499)

73,994

61,252

4,580,880

‐

NET

TRANSFERS BETW

EEN FUNDS

‐ ‐

‐ ‐

‐‐

‐‐

‐ ‐

‐‐

‐ ‐

‐ ‐

‐‐

‐ ‐

‐ ‐

‐ ‐

NET

FINANCING ACTIVITIES

‐ ‐

(1,258,938)

‐ ‐

‐(1,258,938)

(1,258,938)

‐ ‐

(4,100,056)

‐‐

‐ (4,100,056)

(4,100,056)

‐‐

(2,841,119)

‐ ‐

‐ (2,841,119)

(2,841,119)

WORKING CAPITAL ‐ JULY 1, 2015

3,282,035

(508,062)

10,783,615

(1,788,653)

(318,677)

(8,646)

8,159,576

11,441,611

3,282,035

(508,062)

10,783,615

(1,788,653)

(318,677)

(8,646)

8,159,576

11,441,611

‐‐

‐ ‐

‐ ‐

‐ ‐

WORKING CAPITAL ‐ M

ONTH

END 2016

3,152,998

(508,837)

16,306,439

2,224,820

(350,504)

(69,897)

17,602,021

20,748,886

3,034,049

(508,062)

17,893,913

(4,165,678)

(552,113)

(8,646)

12,659,414

15,693,463

(118,949)

775

1,587,475

(191,499)

73,994

61,252

1,739,761

(2,841,119)

% of Year Complete

33%

SBFCA FUNDS ‐ A

CTIVITIES TO

DATE

SBFCA FUNDS ‐ FY 16/17 BUDGET

SBFCA FUNDS ‐ V

ARIANCE FROM BUDGET

CAPITAL FU

ND (731)

CAPITAL FU

ND (731)

CAPITAL FU

ND (731)

SB

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A B

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and

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11.

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.34

Amended Month Ending Rec'd/InvoicedLine Item Description 2016-17 Budget November‐16 to Date




Capital Fund 731 ‐ EIP 10,783,615 10,783,615 11,713,877




Capital Fund 731 ‐ OWA (562,954) (562,954) (562,954)






Transfers


Capital Fund 731










Revenues

Operational Fund 730 750,000 ‐ ‐

Capital Fund 731






Capital Fund 731 ‐ OWA 1,665,322 402,444 281,550


Capital Fund 731 ‐ Gridley Bridge ‐ 116,399 ‐




Total Revenues Operating & Capital 22,619,552 22,475,621

Expenses


Capital Fund 731

Capital Fund 731 ‐ USACE Study ‐ 775 775

Capital Fund 731 ‐ EIP 40,759,522 18,418,745 20,734,648



Capital Fund 731 ‐ OWA 1,469,771 91,637 268,983

Capital Fund 731 ‐ ER Planning ‐ 94 94















Capital Fund 731 ‐ EIP 17,893,913 9,079,518 6,780,108



Capital Fund 731 ‐ OWA (367,402) (252,147) (550,387)






Working Capital Net of Trustee Funds $5,093,269 $8,784,207


[1] Reflects Approved Budget presented to the Board at


FY 2016/17




Exhibit A

SUTTER

BUTTE FLOOD CONTR

OL AGEN

CY

COMBINED

SUMMARY STA

TEMEN

T OF ACTIVITIES

AS OF MONTH

ENDING NOVEM

BER

2016 OF FY

16/17

1/3/2017

OPER

ATIONS (730)

OPER

ATIONS (730)

OPER

ATIONS (730)

ADMIN

USA

CE

STUDY

EIP

STAKE‐

HOLD

ER,

OWA, G

B,

FSRP

REG

IONAL

PLA

NNING,

ULO

P

ER

PLA

NNING

Sub‐Total ‐ Cap

ital

Fund

TOTA

LSADMIN

USA

CE

STUDY

EIP

STAKE‐

HOLD

ER, O

WA,

GB, FSR

P

REG

IONAL

PLA

NNING,

ULO

PER

PLA

NNING

Sub‐Total ‐ Cap

ital

Fund

TOTA

LSADMIN

USA

CE

STUDY

EIP

STAKE‐

HOLD

ER,

OWA, G

B,

FSRP

REG

IONAL

PLA

NNING

ER

PLA

NNING

Sub‐Total ‐

Cap

ital Fund

TOTA

LS

% OF BUDGET

EXPEN

DED

REV

ENUES:

43195-F

edera

l In

terg

ov't

Funds

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ 0%

43495-P

ropositio

n 1

3 F

unds -

$1.4

M‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ 0%

43495-P

ropositio

n 1

3 F

unds -

$650 K

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ 0%

43530-E

IP G

rant F

unds -

(Local C

redit)

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ 740,146

‐

740,146

740,146

‐

‐ 740,146

‐ ‐

‐ 740,146

740,146

0%

43531-E

IP G

rant F

unds -

(S

tate

Share

)‐

17,973,864

‐ ‐

(61,252)

17,912,612

17,912,612

‐ ‐

45,479,731

‐ 281,759

45,761,490

45,761,490

‐ ‐

27,505,867

‐ 281,759

61,252

27,848,878

27,848,878

39%

43535-S

tate

Revenues -

Flo

od E

merg

ency R

esponse G

rant

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ 0%

43536-S

tate

Revenues -

Pro

p 1

3 G

rant

518,843

518,843

518,843

‐

‐ ‐

1,665,322

‐ ‐

1,665,322

1,665,322

‐ ‐

‐ 1,146,479

‐ ‐

1,146,479

1,146,479

31%

43717-L

ocal In

terg

ov't

Contr

ibutions

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

0%

45520-A

ssessm

ent D

istr

ict R

evenues

‐ ‐

0 ‐

‐ ‐

0 0

750,000

‐

5,750,000

‐ ‐

‐ 5,750,000

6,500,000

750,000

‐

5,750,000

‐ ‐

‐ 5,750,000

6,500,000

0%

43537-S

tate

Revenues -

LC

FS

RP

Gra

nt

4,188,375

4,188,375

4,188,375

7,225,000

7,225,000

7,225,000

3,036,625

‐ 3,036,625

Sub-

Tota

l‐

‐ 17,973,864

4,707,218

‐ (61,252)

22,619,831

22,619,831

750,000

‐

51,969,877

8,890,322

281,759

‐ 61,141,958

61,891,958

750,000

‐

33,996,013

1,146,479

281,759

61,252

35,485,503

36,235,503

37%

46110-I

nte

rest on Investm

ents

‐ ‐

(278)

‐

‐ ‐

(278)

(278)

‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ 278

‐

‐ ‐

278

278

0%

49010-O

ther

Revenue

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

0%

Sub-

Tota

l‐

‐ (278)

‐

‐ ‐

(278)

(278)

‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ 278

‐

‐ ‐

278

278

0%

TOTA

L IN

CO

ME

‐ ‐

17,973,586

4,707,218

‐ (61,252)

22,619,552

22,619,552

750,000

‐

51,969,877

8,890,322

281,759

‐ 61,141,958

61,891,958

750,000

‐

33,996,291

1,146,479

281,759

61,252

35,485,781

36,235,781

37%

EXPEN


ATION:

Operations:

62701-E

xecutive D

irecto

r‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

0%

62730-A

ttorn

ey

(2,485)

‐

(2,485)

(36,000)

‐

(36,000)

(33,515)

‐

‐ ‐

‐ ‐

‐ (33,515)

7%

62701-A

naly

st/A

dm

inis

trative A

ssis

tant

(815)

‐

(815)

‐

‐ ‐

815

‐

‐ ‐

‐ ‐

‐ 815

0%

62701-C

lerk

/Secre

tary

‐ ‐

‐ (24,000)

‐

(24,000)

(24,000)

‐

‐ ‐

‐ ‐

‐ (24,000)

0%

6279(8

,9)-

Exec D

ir/A

dm

in M

gr

(80,880)

‐

(80,880)

(122,140)

‐

(122,140)

(41,261)

‐

‐ ‐

‐ ‐

‐ (41,261)

66%

61(5

,2)(

XX

)-D

irecto

r of E

ngin

eering

(38,690)

‐

(38,690)

(56,407)

‐

(56,407)

(17,717)

‐

‐ ‐

‐ ‐

‐ (17,717)

69%

62701-D

irecto

r of E

ngin

eering S

upport

(3,802)

‐

(3,802)

(171,167)

‐

(171,167)

(167,364)

‐

‐ ‐

‐ ‐

‐ (167,364)

2%

62701-P

ublic

Outr

each

(1,105)

‐

(1,105)

(22,050)

‐

(22,050)

(20,945)

‐

‐ ‐

‐ ‐

‐ (20,945)

5%

62701-F

inancia

l M

gt

(29,675)

‐

(29,675)

(73,000)

‐

(73,000)

(43,325)

‐

‐ ‐

‐ ‐

‐ (43,325)

41%

62701-A

ssessm

ent D

istr

ict A

dm

in.

(25,025)

‐

(25,025)

(235,167)

‐

(235,167)

(210,142)

‐

‐ ‐

‐ ‐

‐ (210,142)

11%

Sub‐Total

(182,476)

‐

‐ ‐

‐ ‐

‐ (182,476)

(739,930)

‐

‐ ‐

‐ ‐

‐ (739,930)

(557,454)

‐

‐ ‐

‐ ‐

‐ (557,454)

25%

Serv

ices a

nd S

upplie

s(11,658)

(124,345)

(124,345)

(136,004)

(253,056)

(179,011)

(179,011)

(432,067)

(241,398)

‐

(54,665)

‐ ‐

‐ (54,665)

(296,063)

31%

Equip

ment

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

0%

Sub‐Total

(11,658)

‐

(124,345)

‐ ‐

‐ (124,345)

(136,004)

(253,056)

‐

(179,011)

‐

‐ ‐

(179,011)

(432,067)

(241,398)

‐

(54,665)

‐ ‐

‐ (54,665)

(296,063)

31%

Total O

perations

(194,135)

‐

(124,345)

‐ ‐

‐ (124,345)

(318,480)

(992,987)

‐

(179,011)

‐

‐ ‐

(179,011)

(1,171,997)

(798,852)

‐

(54,665)

‐ ‐

‐ (54,665)

(853,517)

27%

EXPEN


USA


Administration

(775)

(775)

(775)

‐

‐ ‐

‐ 775

‐ ‐

‐ ‐

775

775

0%

Engineering

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

0%

Environmen

tal

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

0%

Paymen

ts to USA

CE

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

0%

Sub‐Total

‐ (775)

‐ ‐

‐ ‐

(775)

(775)

‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

775

‐ ‐

‐ ‐

775

775

0%

EIP:

Pre

-Pla

nnin

g(13,794)

(13,794)

(13,794)

‐

‐ ‐

‐ ‐

13,794

‐ ‐

‐ 13,794

13,794

0%

Adm

inis

tration

(446,708)

(446,708)

(446,708)

(1,040,616)

(1,040,616)

(1,040,616)

‐ ‐

(593,908)

‐ ‐

‐ (593,908)

(593,908)

43%

Engineering

(1,870,801)

(1,870,801)

(1,870,801)

(17,898,805)

(17,898,805)

(17,898,805)

‐ ‐

(16,028,004)

‐ ‐

‐ (16,028,004)

(16,028,004)

10%

Environmen

tal

(1,576,915)

(1,576,915)

(1,576,915)

(7,495,479)

(7,495,479)

(7,495,479)

‐ ‐

(5,918,564)

‐ ‐

‐ (5,918,564)

(5,918,564)

21%

Right of Way Services

(382,069)

(382,069)

(382,069)

(2,610,928)

(2,610,928)

(2,610,928)

‐ ‐

(2,228,860)

‐ ‐

‐ (2,228,860)

(2,228,860)

15%


(14,004,113)

(14,004,113)

(14,004,113)

(11,534,683)

(11,534,683)

(11,534,683)

‐ ‐

2,469,430

‐ ‐

‐ 2,469,430

2,469,430

121%

Sub‐Total

‐ ‐

(18,294,399)

‐ ‐

‐ (18,294,399)

(18,294,399)

‐ ‐

(40,580,511)

‐ ‐

‐ (40,580,511)

(40,580,511)

‐ ‐

(22,286,112)

‐ ‐

‐ (22,286,112)

(22,286,112)

45%

Stakeholder Man

agement, OWA, G

ridley Bridge, FSR

P

2005 ‐ OWA

(91,637)

(91,637)

(91,637)

(1,469,771)

(1,469,771)

(1,469,771)

(1,378,134)

(1,378,134)

(1,378,134)

6%

1068 ‐ Stakeholder M

anagem

ent

‐ ‐

‐ (25,000)

(25,000)

(25,000)

‐

‐ ‐

(25,000)

‐ ‐

(25,000)

(25,000)

0%

2006 ‐ Gridley Bridge

(1,783)

(1,783)

(1,783)

‐

‐ ‐

1,783

1,783

1,783

0%

2004 ‐ FSRP

(579,294)

(579,294)

(579,294)

(9,772,576)

(9,772,576)

(9,772,576)

(9,193,282)

(9,193,282)

(9,193,282)

6%

Sub‐Total

‐ ‐

‐ (672,714)

‐ ‐

(672,714)

(672,714)

‐ ‐

‐ (11,267,347)

‐ ‐

(11,267,347)

(11,267,347)

‐ ‐

‐ (1,403,134)

‐

‐ (1,403,134)

(1,403,134)

6%


P


(47,414)

(47,414)

(47,414)

‐

(239,591)

(239,591)

(239,591)

‐

‐ ‐

‐ (192,177)

‐ (192,177)

(192,177)

20%

2008 ULO

P(6,133)

(6,133)

(6,133)

(275,604)

(275,604)

(275,604)

Sub‐Total

‐ ‐

‐ ‐

(47,414)

‐ (53,547)

(53,547)

‐

‐ ‐

‐ (515,194)

‐ (515,194)

(515,194)

‐

‐ ‐

‐ (192,177)

‐ ‐

(192,177)

10%

Emergency Response

656XX Emergency Response Efforts

(94)

(94)

(94)

‐

‐ ‐

‐ ‐

‐ ‐

‐ 94

94

94

0%

Sub‐Total

‐ ‐

‐ ‐

‐ (94)

(94)

(94)

‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

94

94

94

0%

Total Cap

ital

‐ (775)

(18,294,399)

(672,714)

(47,414)

(94)

(19,021,528)

(19,021,435)

‐ ‐

(40,580,511)

(11,267,347)

(515,194)

‐ (52,363,053)

(52,363,053)

‐ 775

(22,286,112)

(1,403,134)

(192,177)

‐ (23,688,472)

(23,880,648)

36%


(5,000)

(5,000)

(5,000)

‐

‐

‐

‐

‐ (5,000)

0%

TOTA

L EX

PEN

DITURES

(194,135)

(775)

(18,418,745)

(672,714)

(47,414)

(94)

(19,145,874)

(19,340,008)

(997,987)

‐

(40,759,522)

(11,267,347)

(515,194)

‐ (52,542,064)

(53,540,050)

(803,852)

775

(22,340,777)

(1,403,134)

(192,177)

‐ (23,743,137)

(24,739,165)

36%

NET

REV

ENUES OVER

(UNDER

) EX

PEN

DITURES

(194,135)

(775)

(445,159)

4,034,505

(47,414)

(61,345)

3,473,679

3,279,544

(247,987)

‐

11,210,355

(2,377,025)

(233,435)

‐ 8,599,895

8,351,908

(53,852)

775

11,655,514

(256,655)

89,582

61,252

11,742,644

‐

NET

TRANSFER

S BETWEEN FUNDS

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

NET


‐ ‐

(1,258,938)

‐ ‐

‐ (1,258,938)

(1,258,938)

‐ ‐

(4,100,056)

‐ ‐

‐ (4,100,056)

(4,100,056)

‐ ‐

(2,841,119)

‐ ‐

‐ (2,841,119)

(2,841,119)


3,282,035

(508,062)

10,783,615

(1,788,653)

(318,677)

(8,646)

8,159,576

11,441,611

3,282,035

(508,062)

10,783,615

(1,788,653)

(318,677)

(8,646)

8,159,576

11,441,611

‐ ‐

‐ ‐

‐ ‐

‐ ‐

WORKING CAPITAL ‐ MONTH

END 2016

3,087,901

(508,837)

9,079,518

2,245,851

(366,091)

(69,991)

10,380,449

13,462,218

3,034,049

(508,062)

17,893,913

(4,165,678)

(552,113)

(8,646)

12,659,414

15,693,463

(53,852)

775

8,814,395

(256,655)

89,582

61,252

8,901,525

(2,841,119)

% of Year Complete

42%

SBFCA FUNDS ‐ ACTIVITIES TO

DATE

SBFCA FUNDS ‐ FY

16/17 BUDGET

SBFCA FUNDS ‐ VARIANCE FR

OM BUDGET

CAPITAL FU

ND (731)

CAPITAL FU

ND (731)

CAPITAL FU

ND (731)

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h F

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12.

28.1

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E 9

96

00

1 6

84

01

S

BF

CA

/JU

L 2

01

6 M

AIN

0

.00

6

6.0

71

01

00

8

00

57

69

1

1/1

0/1

6 3

06

26

4 F

LO

RA

L N

AT

IVE

NU

RS

E 9

96

00

1 6

74

01

S

BF

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/JU

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01

6 M

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0

.00

1

98

.20

10

10

0 8

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57

69

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26

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L N

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/SE

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71

01

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8

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L N

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/JU

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0

.00

6

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L N

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/JU

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0

.00

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09

.21

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0 8

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L N

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0

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L N

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/SE

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.64

10

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0 8

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L N

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E 9

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1 6

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.00

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L C

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0

.00

2

,75

2.8

0

10

10

0 8

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58

68

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5 D

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Y B

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99

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,66

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.00

1

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.00

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/OC

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0

.00

8

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8

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58

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5 D

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1

,78

8.0

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8

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5 D

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99

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6 A

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.75

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6 G

S 0

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4

,59

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8

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1

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.18

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09

.65

Amended Month Ending Rec'd/InvoicedLine Item Description 2016-17 Budget December‐16 to Date




Capital Fund 731 ‐ EIP 10,783,615 10,783,615 11,713,877




Capital Fund 731 ‐ OWA (562,954) (562,954) (563,878)






Transfers


Capital Fund 731










Revenues


Capital Fund 731






Capital Fund 731 ‐ OWA 1,665,322 402,444 402,444






Total Revenues Operating & Capital 61,891,958 22,632,250 22,906,837

Expenses


Capital Fund 731

Capital Fund 731 ‐ USACE Study ‐ 1,349 1,349

Capital Fund 731 ‐ EIP 40,759,522 21,685,506 22,924,442



Capital Fund 731 ‐ OWA 1,469,771 94,674 302,919

Capital Fund 731 ‐ ER Planning ‐ 94 94















Capital Fund 731 ‐ EIP 17,893,913 5,812,756 4,771,541



Capital Fund 731 ‐ OWA (367,402) (255,184) (464,354)






Working Capital Net of Trustee Funds $1,832,835 $7,001,091


[1] Reflects Approved Budget presented to the Board at


FY 2016/17




Exhibit A

SUTTER

BUTTE FLOOD CONTR

OL AGEN

CY

COMBINED

SUMMARY STA

TEMEN

T OF ACTIVITIES

AS OF MONTH

ENDING DEC

EMBER

2016 OF FY

16/17

1/23/2017

OPER

ATIONS (730)

OPER

ATIONS (730)

OPER

ATIONS (730)

ADMIN

USA

CE

STUDY

EIP

STAKE‐

HOLD

ER,

OWA, G

B,

FSRP

REG

IONAL

PLA

NNING,

ULO

P

ER

PLA

NNING

Sub‐Total ‐ Cap

ital

Fund

TOTA

LSADMIN

USA

CE

STUDY

EIP

STAKE‐

HOLD

ER, O

WA,

GB, FSR

P

REG

IONAL

PLA

NNING,

ULO

PER

PLA

NNING

Sub‐Total ‐ Cap

ital

Fund

TOTA

LSADMIN

USA

CE

STUDY

EIP

STAKE‐

HOLD

ER,

OWA, G

B,

FSRP

REG

IONAL

PLA

NNING

ER

PLA

NNING

Sub‐Total ‐

Cap

ital Fund

TOTA

LS

% OF BUDGET

EXPEN

DED

REV

ENUES:

43195-F

edera

l In

terg

ov't

Funds

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ 0%

43495-P

ropositio

n 1

3 F

unds -

$1.4

M‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ 0%

43495-P

ropositio

n 1

3 F

unds -

$650 K

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ 0%

43530-E

IP G

rant F

unds -

(Local C

redit)

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ 740,146

‐

740,146

740,146

‐

‐ 740,146

‐ ‐

‐ 740,146

740,146

0%

43531-E

IP G

rant F

unds -

(S

tate

Share

)‐

17,973,864

‐ ‐

(61,252)

17,912,612

17,912,612

‐ ‐

45,479,731

‐ 281,759

45,761,490

45,761,490

‐ ‐

27,505,867

‐ 281,759

61,252

27,848,878

27,848,878

39%

43535-S

tate

Revenues -

Flo

od E

merg

ency R

esponse G

rant

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ 0%

43536-S

tate

Revenues -

Pro

p 1

3 G

rant

518,843

518,843

518,843

‐

‐ ‐

1,665,322

‐ ‐

1,665,322

1,665,322

‐ ‐

‐ 1,146,479

‐ ‐

1,146,479

1,146,479

31%

43717-L

ocal In

terg

ov't

Contr

ibutions

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

0%

45520-A

ssessm

ent D

istr

ict R

evenues

12,697

‐

0 ‐

‐ ‐

0 12,697

750,000

‐

5,750,000

‐ ‐

‐ 5,750,000

6,500,000

737,303

‐

5,750,000

‐ ‐

‐ 5,750,000

6,487,303

0%

43537-S

tate

Revenues -

LC

FS

RP

Gra

nt

4,188,375

4,188,375

4,188,375

7,225,000

7,225,000

7,225,000

3,036,625

‐ 3,036,625

Sub-

Tota

l12,697

‐

17,973,864

4,707,218

‐ (61,252)

22,619,831

22,632,528

750,000

‐

51,969,877

8,890,322

281,759

‐ 61,141,958

61,891,958

737,303

‐

33,996,013

1,146,479

281,759

61,252

35,485,503

36,222,806

37%

46110-I

nte

rest on Investm

ents

‐ ‐

(278)

‐

‐ ‐

(278)

(278)

‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ 278

‐

‐ ‐

278

278

0%

49010-O

ther

Revenue

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

0%

Sub-

Tota

l‐

‐ (278)

‐

‐ ‐

(278)

(278)

‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ 278

‐

‐ ‐

278

278

0%

TOTA

L IN

CO

ME

12,697

‐

17,973,586

4,707,218

‐ (61,252)

22,619,552

22,632,250

750,000

‐

51,969,877

8,890,322

281,759

‐ 61,141,958

61,891,958

737,303

‐

33,996,291

1,146,479

281,759

61,252

35,485,781

36,223,084

37%

EXPEN


ATION:

Operations:

62701-E

xecutive D

irecto

r‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

0%

62730-A

ttorn

ey

(3,177)

‐

(3,177)

(36,000)

‐

(36,000)

(32,823)

‐

‐ ‐

‐ ‐

‐ (32,823)

9%

62701-A

naly

st/A

dm

inis

trative A

ssis

tant

(815)

‐

(815)

‐

‐ ‐

815

‐

‐ ‐

‐ ‐

‐ 815

0%

62701-C

lerk

/Secre

tary

‐ ‐

‐ (24,000)

‐

(24,000)

(24,000)

‐

‐ ‐

‐ ‐

‐ (24,000)

0%

6279(8

,9)-

Exec D

ir/A

dm

in M

gr

(60,419)

‐

(60,419)

(122,140)

‐

(122,140)

(61,721)

‐

‐ ‐

‐ ‐

‐ (61,721)

49%

61(5

,2)(

XX

)-D

irecto

r of E

ngin

eering

(37,276)

‐

(37,276)

(56,407)

‐

(56,407)

(19,130)

‐

‐ ‐

‐ ‐

‐ (19,130)

66%

62701-D

irecto

r of E

ngin

eering S

upport

(3,802)

‐

(3,802)

(171,167)

‐

(171,167)

(167,364)

‐

‐ ‐

‐ ‐

‐ (167,364)

2%

62701-P

ublic

Outr

each

(1,105)

‐

(1,105)

(22,050)

‐

(22,050)

(20,945)

‐

‐ ‐

‐ ‐

‐ (20,945)

5%

62701-F

inancia

l M

gt

(29,968)

‐

(29,968)

(73,000)

‐

(73,000)

(43,032)

‐

‐ ‐

‐ ‐

‐ (43,032)

41%

62701-A

ssessm

ent D

istr

ict A

dm

in.

(25,025)

‐

(25,025)

(235,167)

‐

(235,167)

(210,142)

‐

‐ ‐

‐ ‐

‐ (210,142)

11%

Sub‐Total

(161,587)

‐

‐ ‐

‐ ‐

‐ (161,587)

(739,930)

‐

‐ ‐

‐ ‐

‐ (739,930)

(578,343)

‐

‐ ‐

‐ ‐

‐ (578,343)

22%

Serv

ices a

nd S

upplie

s(13,479)

(128,224)

(128,224)

(141,703)

(253,056)

(179,011)

(179,011)

(432,067)

(239,577)

‐

(50,787)

‐ ‐

‐ (50,787)

(290,364)

33%

Equip

ment

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

0%

Sub‐Total

(13,479)

‐

(128,224)

‐ ‐

‐ (128,224)

(141,703)

(253,056)

‐

(179,011)

‐

‐ ‐

(179,011)

(432,067)

(239,577)

‐

(50,787)

‐ ‐

‐ (50,787)

(290,364)

33%

Total O

perations

(175,066)

‐

(128,224)

‐ ‐

‐ (128,224)

(303,290)

(992,987)

‐

(179,011)

‐

‐ ‐

(179,011)

(1,171,997)

(817,921)

‐

(50,787)

‐ ‐

‐ (50,787)

(868,707)

26%

EXPEN


USA


Administration

(1,349)

(1,349)

(1,349)

‐

‐ ‐

‐ 1,349

‐ ‐

‐ ‐

1,349

1,349

0%

Engineering

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

0%

Environmen

tal

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

0%

Paymen

ts to USA

CE

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

0%

Sub‐Total

‐ (1,349)

‐ ‐

‐ ‐

(1,349)

(1,349)

‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

1,349

‐ ‐

‐ ‐

1,349

1,349

0%

EIP:

Pre

-Pla

nnin

g(13,794)

(13,794)

(13,794)

‐

‐ ‐

‐ ‐

13,794

‐ ‐

‐ 13,794

13,794

0%

Adm

inis

tration

(548,335)

(548,335)

(548,335)

(1,040,616)

(1,040,616)

(1,040,616)

‐ ‐

(492,282)

‐ ‐

‐ (492,282)

(492,282)

53%

Engineering

(2,259,226)

(2,259,226)

(2,259,226)

(17,898,805)

(17,898,805)

(17,898,805)

‐ ‐

(15,639,579)

‐ ‐

‐ (15,639,579)

(15,639,579)

13%

Environmen

tal

(1,818,040)

(1,818,040)

(1,818,040)

(7,495,479)

(7,495,479)

(7,495,479)

‐ ‐

(5,677,439)

‐ ‐

‐ (5,677,439)

(5,677,439)

24%

Right of Way Services

(382,264)

(382,264)

(382,264)

(2,610,928)

(2,610,928)

(2,610,928)

‐ ‐

(2,228,665)

‐ ‐

‐ (2,228,665)

(2,228,665)

15%


(16,535,624)

(16,535,624)

(16,535,624)

(11,534,683)

(11,534,683)

(11,534,683)

‐ ‐

5,000,941

‐ ‐

‐ 5,000,941

5,000,941

143%

Sub‐Total

‐ ‐

(21,557,283)

‐ ‐

‐ (21,557,283)

(21,557,283)

‐ ‐

(40,580,511)

‐ ‐

‐ (40,580,511)

(40,580,511)

‐ ‐

(19,023,229)

‐ ‐

‐ (19,023,229)

(19,023,229)

53%

Stakeholder Man

agement, OWA, G

ridley Bridge, FSR

P

2005 ‐ OWA

(94,674)

(94,674)

(94,674)

(1,469,771)

(1,469,771)

(1,469,771)

(1,375,097)

(1,375,097)

(1,375,097)

6%

1068 ‐ Stakeholder M

anagem

ent

‐ ‐

‐ (25,000)

(25,000)

(25,000)

‐

‐ ‐

(25,000)

‐ ‐

(25,000)

(25,000)

0%

2006 ‐ Gridley Bridge

(3,894)

(3,894)

(3,894)

‐

‐ ‐

3,894

3,894

3,894

0%

2004 ‐ FSRP

(581,893)

(581,893)

(581,893)

(9,772,576)

(9,772,576)

(9,772,576)

(9,190,683)

(9,190,683)

(9,190,683)

6%

Sub‐Total

‐ ‐

‐ (680,461)

‐ ‐

(680,461)

(680,461)

‐ ‐

‐ (11,267,347)

‐ ‐

(11,267,347)

(11,267,347)

‐ ‐

‐ (1,400,097)

‐

‐ (1,400,097)

(1,400,097)

6%


P


(64,531)

(64,531)

(64,531)

‐

(239,591)

(239,591)

(239,591)

‐

‐ ‐

‐ (175,059)

‐ (175,059)

(175,059)

27%

2008 ULO

P(6,133)

(6,133)

(6,133)

(275,604)

(275,604)

(275,604)

Sub‐Total

‐ ‐

‐ ‐

(64,531)

‐ (70,664)

(70,664)

‐

‐ ‐

‐ (515,194)

‐ (515,194)

(515,194)

‐

‐ ‐

‐ (175,059)

‐ ‐

(175,059)

14%

Emergency Response

656XX Emergency Response Efforts

(94)

(94)

(94)

‐

‐ ‐

‐ ‐

‐ ‐

‐ 94

94

94

0%

Sub‐Total

‐ ‐

‐ ‐

‐ (94)

(94)

(94)

‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

94

94

94

0%

Total Cap

ital

‐ (1,349)

(21,557,283)

(680,461)

(64,531)

(94)

(22,309,850)

(22,309,756)

‐ ‐

(40,580,511)

(11,267,347)

(515,194)

‐ (52,363,053)

(52,363,053)

‐ 1,349

(19,023,229)

(1,400,097)

(175,059)

‐ (20,421,977)

(20,597,037)

43%


(5,000)

(5,000)

(5,000)

‐

‐

‐

‐

‐ (5,000)

0%

TOTA

L EX

PEN

DITURES

(175,066)

(1,349)

(21,685,506)

(680,461)

(64,531)

(94)

(22,438,074)

(22,613,140)

(997,987)

‐

(40,759,522)

(11,267,347)

(515,194)

‐ (52,542,064)

(53,540,050)

(822,921)

1,349

(19,074,016)

(1,400,097)

(175,059)

‐ (20,472,764)

(21,470,744)

42%

NET

REV

ENUES OVER

(UNDER

) EX

PEN

DITURES

(162,369)

(1,349)

(3,711,921)

4,026,757

(64,531)

(61,345)

181,479

19,110

(247,987)

‐

11,210,355

(2,377,025)

(233,435)

‐ 8,599,895

8,351,908

(85,618)

1,349

14,922,276

(253,618)

106,699

61,252

15,013,016

‐

NET

TRANSFER

S BETWEEN FUNDS

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

‐ ‐

NET


‐ ‐

(1,258,938)

‐ ‐

‐ (1,258,938)

(1,258,938)

‐ ‐

(4,100,056)

‐ ‐

‐ (4,100,056)

(4,100,056)

‐ ‐

(2,841,119)

‐ ‐

‐ (2,841,119)

(2,841,119)


3,282,035

(508,062)

10,783,615

(1,788,653)

(318,677)

(8,646)

8,159,576

11,441,611

3,282,035

(508,062)

10,783,615

(1,788,653)

(318,677)

(8,646)

8,159,576

11,441,611

‐ ‐

‐ ‐

‐ ‐

‐ ‐

WORKING CAPITAL ‐ MONTH

END 2016

3,119,666

(509,411)

5,812,756

2,238,104

(383,208)

(69,991)

7,088,250

10,201,783

3,034,049

(508,062)

17,893,913

(4,165,678)

(552,113)

(8,646)

12,659,414

15,693,463

(85,618)

1,349

12,081,157

(253,618)

106,699

61,252

12,171,898

(2,841,119)

% of Year Complete

50%

SBFCA FUNDS ‐ ACTIVITIES TO

DATE

SBFCA FUNDS ‐ FY

16/17 BUDGET

SBFCA FUNDS ‐ VARIANCE FR

OM BUDGET

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CAPITAL FU

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.46

1 Item 8


February 8, 2017 TO: Board of Directors FROM: Mike Inamine - Executive Director Michael Bessette - Director of Engineering SUBJECT: SBFCA Storm Related Recent Actions

Recommendation Receive a briefing from staff on recent storm-related actions. Background In January, northern California experienced two atmospheric rivers (“Pineapple Express”) storm events which produced a large amount of precipitation. Rivers and streams throughout the region received higher flows than over past years of drought. During the month of January, SBFCA had two active construction projects underway: the 5th Street Bridge Cement Bentonite Slurry Wall, and the collective Completion Projects consisting of the UPRR crossing, Yuba City Raw Water Pipelines, and Reach 7 relief wells. SBFCA staff and consultants are also evaluating seven critical repair sites along both the Feather River west levee, south of Star Bend, and the Sutter Bypass east levee, all of which are impacted by the current period of high water. The SBFCA Construction Management team prioritizes public and worker safety above all else, and to this end all construction activities were conducted in a safe manner during the inclement weather events. Working through inclement weather on a levee is obviously non-ideal; however, a one-month delay in permission issued by the Corps necessitated that SBFCA weigh the benefits of working through storm events versus impacts to safety and project cost. Staff coordinated closely with the State (DWR and CVFPB) and USACE to keep these agencies informed of SBFCA’s construction activities. These activities and informational items passed on to our state and federal partners included:

Working through weekends and holidays to complete work as quickly as possible The 5th Street levee design did not require any degrading (lowering) of the levee or

change in levee geometry at any time during construction. Projections of Feather River water surface elevations disclosed that levels would not

reach the elevation of the landside toe, rendering the risk of any seepage impacts extremely unlikely or impossible. Nonetheless, staff closely monitored current and projected river stages on a daily basis to ensure safe flood operation.

Levee stability during construction was monitored closely and was never an issue during periods of higher water.

As opposed to the majority of the project, the 5th Street Bridge slurry wall utilized a cement bentonite slurry wall mix that quickly gains strength and immediately reduces seepage. This results in a much safer levee both for the long-term as well as any near-term, or even concurrent high water event.

2 Item 8

Staff conducted public outreach during the storm events to inform the general public why and how SBFCA is working through the winter

Only construction access, worker safety, and storm water pollution prevention plan provisions caused construction to be delayed or interrupted during the storm events.

SBFCA’s contractor continuously mitigated wet weather impacts on the levee by 1) grading the levee surfaces to drain before, during, and after construction activity 2) placing rock road surfacing material, and 3) halting work when conditions necessitated, as described above.

During all construction activities, an onsite inspector and an onsite geotechnical engineer monitored all construction activities. Combined with the proximity of heavy equipment and materials, this was a safe operation even during periods of precipitation.

In addition to ongoing construction work, staff had previously informed the Board of the seven critical repair sites currently under evaluation by SBFCA. Prior to, and during, the recent storm events, SBFCA communicated locations and details of these sites to DWR and LD 1 to assist levee inspection during high water events. SBFCA and its consultant team, along with LD 1’s General Manager, also performed field inspections of the critical repair sites and found areas of distress at the Cypress Avenue site and along the Sutter Bypass east levee north of the Tisdale Bypass. LD 1 took preventive measures at the Cypress site by installing sand bag rings around one boil and one agricultural well that was flowing artesian. These areas of distress and follow up actions by LD 1 staff were communicated to DWR. Fiscal Impact This is an informational item only with no fiscal impact to SBFCA.

1 Item 9


February 8, 2017 TO: Board of Directors FROM: Mike Inamine - Executive Director Michael Bessette - Director of Engineering SUBJECT: Receive and File Program/Project Update Report

Recommendation Receive and file the February 2017 Program/Project update report. Background The purpose of this report is to provide a regular, monthly update on SBFCA program and project activities: Engineering Design The design team has been participating in construction of the Completion Projects (UPRR Relief Wells, UPRR Closure Structure, Yuba City Raw Water Intake Berm, and Reach 7 Relief Wells) and the 5th Street Bridge Gap closure project. Coordination work with UPRR representatives for the required encroachment permit and design approval for the closure structure is ongoing and a meeting has been scheduled for early February. The design team is working closely with the construction management team on the construction of the 5th Street Bridge cement-bentonite slurry wall project in the City of Yuba City. The construction at this project location will conclude in early February, at which time the design team will begin the record drawings process. The design team also continues the analysis of the existing slurry wall installed by the USACE in Reaches 14-16 to better understand the deficiencies and possible remediation alternatives. Recent high water events continue to supply important performance data to aid the analysis. The design team continues to provide project closeout services for the Project Areas B and D contractor operations. Efforts for the past month have focused on: change order reviews, record drawings, and PG&E utility relocation coordination. The design team also continues to support right-of-way acquisition efforts, providing appraisal exhibits, plats and legal descriptions, real estate plan geodetics information, and coordinating with landowners on utility crossings and relocations. Construction Management (Project Areas B, C & D, and Completion Projects) The construction of both the 5th Street Bridge Gap closure, and the Completion Projects began on November 28, 2016. Initial work for both projects included mobilization, site layout, material procurement, surveys, potholing, and installation of storm water pollution prevention control measures. The 5th Street Bridge slurry wall project is scheduled to be completed in early February. The construction of the Completion Projects will be ongoing until late June. Currently, work has focused mostly at the Reach 7 relief well site with the installation of the associated drainage system and at the Yuba City Raw Water site with the potholing of existing raw water pipelines.

2 Item 9

Over the past two months since our last report, the CM and engineering design teams have held weekly construction coordination meetings with the contractor to coordinate and manage the closeout of the 2016 construction season. The CM team continued construction management and administrative duties related to schedule evaluation, pay estimates, requests for pricing, and reviewed and negotiated costs submitted for changed work. The CM team completed the Project Area C Construction Documentation Report with support from the design team. Work is now taking place to produce the Project Area B Construction Documentation Report and Project Area D report will follow closely behind. The CM team is holding weekly construction coordination meetings with Teichert Construction for the Completion Projects now that construction on that project is ongoing. The CM team is also holding weekly coordination meetings with affected tribes. As of the end of January in Project Area D (Butte County), the contractor has been finalizing the miscellaneous metals installations involved with the utility pipeline crossings and associated structures. The project completion punch list process has now concluded. Final work items will be completed in early February. Environmental Documentation/Permitting Biological monitoring continues in all active project areas and will be concluded soon in most project areas. Monitoring will continue in active sites for the Completion Projects. Permitting for the Oroville Wildlife Area and Laurel Avenue Critical Repair Project are ongoing. Staff and the consultant team continue to coordinate with DWR and CDFW to finalize the mitigation for GGS impacts. Staff conducted interviews with ethnography consultants as part of the UAIC/SBFCA settlement agreement and continue to coordinate with UAIC. Staff met with the Sutter Buttes Regional Land Trust (SBRLT) in January regarding the Starr Bend setback area mitigation site and associated conservation easement, and will continue to coordinate with SBRLT until the easement is in place. A professional services agreement with the SBRLT is going before the Board for consideration of approval at the February Board meeting. Right of Way Right-of-way acquisition for the Completion Projects and 5th Street gaps work is ongoing with only two parcels outstanding. The right-of-way acquisition process for the Laurel Avenue project is mostly completed with only one outstanding right of entry yet to be received. Right-of-way acquisition for the Project Area D 2016 construction has successfully concluded, however fee title acquisition processes are ongoing. The right-of-way team is working closely with DWR to complete the real estate plans for two out of three project areas, as the Project Area C plan was recently approved. The plan for Project Area C was completed in November, which will now allow SBFCA to be reimbursed by the state for acquisition costs in that project area (see funding coordination below). Areas B and D real estate plans are on schedule for approval next month. State & Local Funding and Coordination SBFCA finalized a fourth amendment to its construction funding agreement with DWR and the agreement was approved by the California Department of General Services on December 28, 2016. With the approval of this amendment, reimbursement can now be provided by DWR for work completed in the northern reaches of Project Area D. SBFCA expects that there will be at least one additional amendment to the construction agreement in the future that will transfer the remaining funding, $2.53 million, from SBFCA’s Design Funding Agreement once that agreement is fully closed out.

3 Item 9

SBFCA has several outstanding payment and reimbursement requests that various items of work completed through December 31, 2016. These pending payment requests and their status are summarized below:

Payment Item Amount Status Pmt #9 – Withholding for Area C Crown Road $181,226 Approved waiting for Wire

Pmt #10 – True-Up thru September 30, 2016 $2,928,803 Approved waiting for Wire

Pmt #11 – Advance for work thru December 31, 2016 $7,898,917 Approved waiting for Wire

Pmt #12 –Area D Reimbursement per CFA #4 $11,742,433 Pending DWR FPO Review

Pmt #13 – Partial Retention Release for Area C Work $4,448,650 Pending DWR FPO Review

Area C ROW Payments (various) $144,540 FAP Approved, waiting for Wire

Design Funding Agreement Retention Release $1,594,666 Waiting for DWR to Process

Total Pending Payments $ 28,939,235

The following updated table summarizes SBFCA’s EIP/UFRR grant funding committed, in process and received to date.

FRWLP DWR EIP Funding

Agreement

Design

Construction

Total

Agreement No. #4600009480

#4600010296 Capital Outlay Amount $9,000,000

$56,780,000

$65,780,000

Amendment 1 $0 [1] $0 [2] $0

Amendment 2 $14,869,280 [3] $57,803,791 [4] $72,673,071

Amendment 3

$43,861,587

$43,861,587

Amendment 4

$40,828,931

$40,828,931

Amendment X -$2,529,451 [5] $2,529,451 [5] $0

TOTAL FUNDING $21,339,829

$201,803,760

$223,143,589

Receipts

PMT 1 $2,328,141

$14,103,457

$16,431,597

PMT 2 $1,160,580

$18,447,722

$19,608,302

PMT 3 $4,842,366

$19,469,632

$24,311,998

PMT 4 $8,704,665

$15,358,844

$24,063,509

PMT 5 $2,709,411

$13,846,991

$16,556,402

PMT 6 $0

$14,479,664

$14,479,664

PMT 7 $0 $13,168,126 $13,168,126

PMT 8 $0 $26,429,866 $26,429,866

PMT 9 $0

$181,266 [6] $181,266

RET. & FINAL PMT $1,594,667 [6] $0

$1,594,667

Balance of Pending $0 $27,163,343 [7] $27,163,343

TOTAL PAYMENTS $21,339,829 $162,648,910

$183,988,740

GRANT BALANCE $0

$39,154,849

$39,154,849

[1] Amendment 1 to the Design Agreement amended the term of the agreement.

[2] Amendment 1 to the Construction Agreement amended the scope agreement to include the closure of gaps (at reaches 13 and 24) in Area C.

[3] Amendment 2 to the Design Agreement increased the cost share from 50% to 76% State Cost Share and increased the State funding limit.

[4] Amendment 2 to the Construction Agreement increased the scope to include Areas B & D2A and and increased the State funding limit. It also incorporated many of the guideline provisions of the UFRR Program.

[5] Reflects transfer of remaining design funding to the CFA. [6] Pending Payments per Dhanota notifications. (DFA 12/23/15 CFA 1/17/17 emails) [7] Payments pending

Note: All payments reflected after PMT No. 8 have not yet been received.

4 Item 9

Laurel Avenue Repair Project (DWR Flood System Repair Program Grant)

The Construction Management and Design team held a pre-construction meeting with the

contractor in November. However, due to impacts associated with the federal cultural

resources Section 106 process, the project construction is now scheduled to begin in May

2017. The Letter of Permission and Encroachment Permit to be issued by USACE and the

CVFPB, respectively, is an ongoing process and expected to be concluded in February. The

project delivery team will hold coordination meetings on an as-needed basis to advance all

aspects of the project including the right of entries from property owners (1 pending), utility

relocations, cultural issues, and permitting. Also, meetings with the contractor will be held on

an as-needed basis to advance early work activities (submittals, tree removals, slurry wall mix

design sampling).

Critical Repairs Projects (Lower Feather River west levee and Sutter Bypass east levee)

Staff conducted an Expert Opinion Elicitation workshop November 21-22, 2016, for the

purpose of prioritizing repair of critically damaged levees. Post-processing is underway and

results will be formalized over the next two months. Prior to, and during, the recent storm

events SBFCA communicated with DWR to insure that during their levee patrols DWR staff

would focus careful attention to the critical repair sites. SBFCA and its consultant team, along

with LD 1’s General Manager, also performed field inspections of the critical repair sites and

found areas of distress at the Cypress Avenue site and along the Sutter Bypass east levee

north of the Tisdale Bypass. LD 1 took preventive measures at the Cypress site by installing

sand bag rings around one boil and one agricultural well that was flowing artesian. These

areas of distress were communicated to DWR.

Oroville Wildlife Area (OWA) Flood Stage Reduction Project The project team continues to work on the design, environmental documentation, and permitting efforts. The 100% design for the flood control improvements is now complete and was submitted to SBFCA for review; review of the 100% deliverable is ongoing. Design efforts for the restoration improvements have kicked off and the surveying and geotechnical work is in progress. The Draft NEPA document is complete and the USACE Section 408 Public Notice has been posted for public review. The 30-day public review period began December 23, 2016 and ends on January 30, 2017. The USACE Section 404 application, State Lands Commission Lease application, and Section 106 Inventory Report have been completed. Development of the Biological Assessments, Streambed Alteration Agreement, 401 application, and the Incidental Take Permit is in progress. In regards to funding, the team was recently notified that SBFCA has been awarded a Prop 1 grant from CDFW for ~$2.5M, which will fund the construction of some of the restoration-related work. In addition, SBFCA staff continues to coordinate with both American Rivers and River Partners to implement the recent grants which they received from the Wildlife Conservation Board and CDFW. The team also continues to research additional opportunities to fund the construction of the remaining restoration related work. The team has submitted an application for funding under WCB’s Stream Flow Enhancement Program (Prop 1) and review of the WCB application is ongoing. Feather River Regional Flood Management Plan Staff continued work on the Technical Memorandum summarizing work of the Agricultural Floodplain Ordinance Task Force—the final document was released on December 28, 2016 and can be found at (http://frrfmp.com/). On a related topic, staff reviewed and provided support for the proposed “Flood and Agriculture Cost Reduction Act of 2017” authored by Congressmen LaMalfa and Garamendi. This bill contains many of the provisions contained in

http://frrfmp.com/)

5 Item 9

the AFOTF Technical Memorandum and is consistent with objectives of the SBFCA Strategic Plan. Staff also participated in meetings regarding the ongoing Regional Governance Study. Federal Advocacy Trip

Board Chair Larry Munger, Executive Director Mike Inamine, General Counsel Scott Shapiro and federal advocate Julie Minerva met with federal officials on January 30-February 1 regarding SBFCA programs and issues. A report will be provided at the Board meeting. Fiscal Impact

This is an informational item only with no fiscal impact to SBFCA.

Items 10-13


February 8, 2017 Item 10 TO: Board of Directors FROM: Mike Inamine, Executive Director SUBJECT: Other reports from Agency staff and consultants

This time has been set aside on the agenda for other reports from Agency staff and consultants. Item 11 TO: Board of Directors FROM: Mike Inamine, Executive Director SUBJECT: Report by the Citizens’ Assessment District Advisory Committee

This time has been set aside on the agenda for a report from the CADAC. Item 12 TO: Board of Directors FROM Mike Inamine, Executive Director SUBJECT: Report by member and partner agencies

This time has been set aside on the agenda for a report and discussion (if necessary) by member and partner agency representatives. Item 13 TO: Board of Directors FROM: Mike Inamine, Executive Director SUBJECT: Report on correspondence sent by and received by the Board

This time has been set aside on the agenda for Board discussion and staff response regarding correspondence received by the Agency. Fiscal Impact The above items are informational only with no fiscal impact to the Agency.